EX-99.1 2 tv483451_ex99-1.htm EXHIBIT 99.1

 

Exhibit 99.1

 

 

 

 

 

 

Itaú Unibanco Holding S.A.

 

 

  

REFERENCE FORM

 

Base date: 12.31.2016

 

(in compliance with Attachment 24 of CVM Instruction No. 480 of December 7, 2009, or “CVM Instruction 480” and following its updates)

 

 

 

Identification   Itaú Unibanco Holding S.A. a corporation enrolled with the Legal Entity Taxpayer’s Registry under CNPJ/MF No. 60.872.504/0001-23, with its incorporation documents duly filed with the Board of Trade of the State of São Paulo under NIRE No. 35.3.0001023-0, registered as a listed company before the Brazilian Securities Commission (“CVM”) under No. 19348 (“Bank” or “Issuer”).
     
Head office   The Issuer’s head office is located at Praca Alfredo Egydio de Souza Aranha, 100 - Torre Olavo Setubal, in the City of São Paulo, State of São Paulo, CEP 04344-902.
     
Investor Relations Office   The Bank’s Investor Relations area is located at Praça Alfredo Egydio de Souza Aranha, 100 - Torre Conceição – 9th floor, in the City of São Paulo, State of São Paulo. The Investor Relations Officer is Mr. Alexsandro Broedel Lopes. The phone number of the Investor Relations Department is (0xx11) 2794 3547 , fax is (0xx11) 5019 8717 and e-mail is investor.relations@itau-unibanco.com.br.
     
Independent Auditors of the Company   PricewaterhouseCoopers Auditores Independentes for the years ended 12/31/2016, 12/31/2015 and 12/31/2014.
     
Underwriter   Itaú Corretora de Valores S.A.
     
Shareholders Service   The Issuer’s Shareholders’ Service is provided at the branches of Itaú Unibanco S.A., of which the head office is located at Praça Alfredo Egydio de Souza Aranha, 100 - Torre Olavo Setubal, in the City of São Paulo, State of São Paulo, CEP 04344-902.
     
Newspapers in which the Company divulges its information   Oficial do Estado de São Paulo (Official Gazette of the State of São Paulo) and Valor Econômico.
     
Website   https://www.itau.com.br/investor-relations Information included in the Company’s website is not an integral part of this Reference Form.
     
Date of last review of this Reference Form   01/12/2018

 

 

 

 

 

 

Historical resubmission

 

Version   Reasons for resubmission   Date of update
         
V2   Update in items 9.1, 12.5, 12.6, 12.7, 12.8, 12.13 and 18.7   06/12/2017
       
V3 Update in items 10.3, 12.5 and 12.6.   06/26/2017
       
V4 Update in items 10.3, 10.8, 11.1, 11.2, 12.5/12.6, 12.7, 15.1/15.2, 15.3, 15.4, 15.7, 15.8, 19.2 and 19.3.   07/31/2017
         
V5   Update in items 12.5/6, 12.7/8, 15.1, 15.2, 15.3, 15.4, 15.8, 19.1, 19.2, 19.3   09/12/2017
         
V6   Update in items 3.4, 10.3, 10.8, 12.1, 12.5/6, 12.7/8, 12.13, 15.7   10/09/2017
         
V7   Update in items 1.2, 1.3, 12.1, 12.5/6, 12.7/8, 21.1   10/11/2017
         
V8   Update in items 10.3, 10.8, 11.1, 12.1, 12.5/6, 12.7/8 and 15.7   10/30/2017
         
V9   Update in items 12.1, 12.5/6 and 12.13.   11/13/2017
         
V10   Update in items 12.1d, 12.5/6, 12.7/8, 18.8 and 18.12.   12/11/2017
         
V11   Update in items 15.1, 15.2, 15.3, 15.4, 15.8, 17.1, 17.5, 19.1, 19.2 and 19.3.   12/27/2017
         
V12   Update items 15.1, 15.2, 15.3, 15.4, 15.8, 19.2 and 19.3.   01/12/2018

 

 

 

 

ITEM 15. CONTROL AND ECONOMIC GROUP

 

15.1. Identify the stockholder or group of controlling stockholders, indicating for each one of them:

 

15.2. In a table, a list including the information below about stockholders or groups of stockholders that act jointly or represent the same interests, with an interest equal to or higher than 5% in the same class or type of shares, and that are not mentioned in item 15.1:

 

 

 

 

BASE DATE                        
12.31.2017                        
Itaú Unibanco Holding S.A.  EO   %   EP   %   Total   % 
IUPAR - Itaú
Unibanco
Participações S.A.		   1,709,389,603    51.48840    -    -    1,709,389,603    26.095502 
Nationality: Brazilian                              
CNPJ 04.676.564/0001-08                              
Itaúsa - Investimentos Itaú S.A.   1,295,937,718    39.03484    112,882    0.003494    1,296,050,600    19.785478 
Nationality: Brazilian                              
CNPJ 61.532.644/0001-15                              
BlackRock, INC   -    -    233,283,398    7.221137    233,283,398    3.561299 
Nationality: American                              
Treasury Shares   14,424,206    0.43447    71,549,714    2.211989266    85,883,920    1.311102 
Others   300,199,585    9.04229    2,925,707,332    90.563380    3,225,906,917    49.246619 
Total   3,319,951,112    100.000000    3,230,563,326    100.000000    6,550,514,438    100.000000 

 

 

 

 

BASE DATE SINCE 02.27.2009                        
IUPAR - Itaú Unibanco Participações S.A.  Common shares   %   Preferred shares   %   Total   % 
Itaúsa - Investimentos Itaú S.A.   355,227,092    50.000000    350,942,273    100.000000    706,169,365    66.532101 
Nationality: Brazilian                              
CNPJ 61.532.644/0001-15                              
Cia. E. Johnston de Participações   355,227,092    50.000000    -    -    355,227,092    33.467899 
Nationality: Brazilian                              
CNPJ 04.679.283/0001-09                              
Total   710,454,184    100.000000    350,942,273    100.000000    1,061,396,457    100.000000 

 

BASE DATE 04.29.2016                        
Companhia E. Johnston de Participações  Common shares   %   Preferred shares   %   Total   % 
Fernando Roberto Moreira Salles   1,380    25.000000    2,760    25.000000    4,140    25.000000 
Nationality: Brazilian                              
CPF 002.938.068-53                              
João Moreira Salles   1,380    25.000000    2,760    25.000000    4,140    25.000000 
Nationality: Brazilian                              
CPF 667.197.397-00                              
Pedro Moreira Salles   1,380    25.000000    2,760    25.000000    4,140    25.000000 
Nationality: Brazilian                              
CPF 551.222.567-72                              
Walther Moreira Salles Júnior   1,380    25.000000    2,760    25.000000    4,140    25.000000 
Nationality: Brazilian                              
CPF 406.935.467-00                              
Total   5,520    100.000000    11,040    100.000000    16,560    100.000000 

 

 

 

 

BASE DATE SINCE                        
11.09.2017                        
Itaúsa - Investimentos Itaú S.A.  Common shares   %   Preferred shares   %   Total   % 
Companhia ESA   29,583,348    1,047761    25,439    0.000547    29,608,787    0.396177 
Nationality: Brazilian                              
CNPJ 52.117.397/0001-08                              
Fundação Itaú Social   329,845,956    11.682233    6,701,241    0.144108    336,547,197    4.503129 
Nationality: Brazilian                              
CNPJ 59.573.030/0001-30                              
Fundação Antonio e Helena Zerrenner – Instituição Nacional de Beneficiência   433,968,885    15.369980    2,239,970    0.048170    436,208,855    5.836640 
Nationality: Brazilian                              
CNPJ 60.480.480/0001-67                              
O. E. Setubal S.A.   6    0.000001    -    -    6    0.000000 
Nationality: Brazilian                              
CNPJ 61.074.456/0001-90                              
Rudric ITH S.A.   233,828,158    8.281548    147,158,174    3.164592    380,986,332    5.097742 

 

 

 

 

Nationality: Brazilian                              
CNPJ 67.569.061/0001-45                              
Alfredo Egydio Arruda Villela Filho   358,093,324    12.682677    190,012,375    4.086159    548,105,699    7.333862 
Nationality: Brazilian                              
CPF 066.530.838-88                              
Ana Lúcia de Mattos Barreto Villela   358,093,298    12.682676    177,146,351    3.809479    535,239,649    7.161709 
Nationality: Brazilian                              
CPF 066.530.828-06                              
Ricardo Villela Marino   63,504,866    2.249167    37,161,345    0.799144    100,666,211    1.346952 
Nationality: Brazilian                              
CPF 252.398.288-90                              
Rodolfo Villela Marino   63,558,069    2.251051    37,235,970    0.800748    100,794,039    1.348662 
Nationality: Brazilian                              
CPF 271.943.018-81                              
Paulo Setubal Neto   114,316,595    4.048778    24,297,324    0.522507    138,613,919    1.854707 
Nationality: Brazilian                              
CPF 638.097.888-72                              

 

 

 

 

Carolina Marinho Lutz Setubal   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 077.540.228-18                              
Julia Guidon Setubal   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 336.694.358-08                              
Paulo Egydio Setubal   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 336.694.318-10                              
Maria Alice Setubal   62,150,121    2.201186    35,857,917    0.771114    98,008,038    1.311385 
Nationality: Brazilian                              
CPF 570.405.408-00                              
Fernando Setubal Souza e Silva   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 311.798.878-59                              
Guilherme Setubal Souza e Silva   2,125    0.000075    150,456    0.003236    152,581    0.002042 
Nationality: Brazilian                              
CPF 269.253.728-92                              

 

 

 

 

Tide Setubal Souza e Silva Nogueira   2,446    0.000087    602,786    0.012963    605,232    0.008098 
Nationality: Brazilian                              
CPF 296.682.978-81                              
Olavo Egydio Setubal Júnior   101,190,549    3.583890    28,027,409    0.602721    129,217,958    1.728985 
Nationality: Brazilian                              
CPF 006.447.048-29                              
Bruno Rizzo Setubal   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 299.133.368-56                              
Camila Setubal Lenz Cesar   2,021    0.000072    1,947    0.000042    3,968    0.000053 
Nationality: Brazilian                              
CPF 350.572.098-41                              
Luiza Rizzo Setubal Kairalla   2,024    0.000072    7,938    0.000171    9,962    0.000133 
Nationality: Brazilian                              
CPF 323.461.948-40                              
Roberto Egydio Setubal   100,798,683    3.570011    29,373,250    0.631663    130,171,933    1.741750 
Nationality: Brazilian                              
CPF 007.738.228-52                              

 

 

 

 

Mariana Lucas Setubal   2,020    0.000072         -    2,020    0.000027 
Nationality: Brazilian                              
CPF 227.809.998-10                              
Paula Lucas Setubal   2,020    0.000072         -    2,020    0.000027 
Nationality: Brazilian                              
CPF 295.243.528-69                              
José Luiz Egydio Setubal   92,081,190    3.261262    25,454,028    0.547381    117,535,218    1.572666 
Nationality: Brazilian                              
CPF 011.785.508-18                              
Beatriz de Mattos Setubal da Fonseca   2,737,879    0.096968    80    0.000002    2,737,959    0.036635 
Nationality: Brazilian                              
CPF 316.394.318-70                              
Gabriel de Mattos Setubal   2,737,879    0.096968    80    0.000002    2,737,959    0.036635 
Nationality: Brazilian                              
CPF 348.338.808-73                              
Olavo Egydio Mutarelli Setubal   2,737,879    0.096968    80    0.000002    2,737,959    0.036635 
Nationality: Brazilian                              
CPF 394.635.348-73                              

 

 

 

 

Alfredo Egydio Setubal   100,336,439    3.553640    27,157,563    0.584015    127,494,002    1.705918 
Nationality: Brazilian                              
CPF 014.414.218-07                              
Alfredo Egydio Nugent Setubal   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 407.919.708-09                              
Marina Nugent Setubal   2,020    0.000072    -    -    2,020    0.000027 
Nationality: Brazilian                              
CPF 384.422.518-80                              
Ricardo Egydio Setubal   100,290,486    3.552012    27,926,668    0.600555    128,217,154    1.715594 
Nationality: Brazilian                              
CPF 033.033.518-99                              
Marcelo Ribeiro do Valle Setubal   2,051    0.000073    46,745    0.001005    48,796    0.000653 
Nationality: Brazilian                              
CPF 230.936.378-21                              
Rodrigo Ribeiro do Valle Setubal   2,051    0.000070    46,745    0.001005    48,796    0.000653 
Nationality: Brazilian                              
CPF 230.936.298-02                              

 

 

 

 

Patricia Ribeiro do Valle Setubal   2,051    0.000073    46,746    0.001005    48,796    0.000653 
Nationality: Brazilian                              
CPF 230.936.328-62                              
BlackRock, INC   -    -    229,620,576    4.937922    229,620,576    3.072410 
Other   273,597,165    9.690053    3,623,846,947    77.929742    3,897,444,112    52.149278 
Total   2,823,483,724    100.0000000    4,650,146,149    100.0000000    7,473,629,873    100.0000000 

 

 

 

 

BASE DATE SINCE                
11.09.2017                
Companhia ESA  Common shares   %   Total   % 
O. E. Setubal S.A.   6    0.000001    6    0.000001 
Nationality: Brazilian                    
CNPJ 61.074.456/0001-90                    
Rudric ITH S.A.   233,828,158    13.312252    233,828,158    13.312252 
Nationality: Brazilian                    
CNPJ 67.569.061/0001-45                    
Alfredo Egydio Arruda Villela Filho   358,093,324    20.386887    358,093,324    20.386887 
Nationality: Brazilian                    
CPF 066.530.838-88                    
Ana Lúcia de Mattos Barreto Villela   358,093,298    20.386886    358,093,298    20.386886 
Nationality: Brazilian                    
CPF 066.530.828-06                    
Ricardo Villela Marino   63,504,866    3.615445    63,504,866    3.615445 
Nationality: Brazilian                    
CPF 252.398.288-90                    
Rodolfo Villela Marino   63,558,069    3.618474    63,558,069    3.618474 
Nationality: Brazilian                    
CPF 271.943.018-81                    
Paulo Setubal Neto   114,316,595    6.508247    114,316,595    6.508247 
Nationality: Brazilian                    
CPF 638.097.888-72                    
Carolina Marinho Lutz Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 077.540.228-18                    
Julia Guidon Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 336.694.358-08                    
Paulo Egydio Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 336.694.318-10                    
Maria Alice Setubal   62,150,121    3.538317    62,150,121    3.538317 
Nationality: Brazilian                    
CPF 570.405.408-00                    
Fernando Setubal Souza e Silva   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 311.798.878-59                    
Guilherme Setubal Souza e Silva   2,125    0.000121    2,125    0.000121 
Nationality: Brazilian                    
CPF 269.253.728-92                    
Tide Setubal Souza e Silva Nogueira   2,446    0.000139    2,446    0.000139 
Nationality: Brazilian                    
CPF 296.682.978-81                    
Olavo Egydio Setubal Júnior   101,190,549    5.760958    101,190,549    5.760958 
Nationality: Brazilian                    
CPF 006.447.048-29                    

 

 

 

 

Bruno Rizzo Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 299.133.368-56                    
Camila Setubal Lenz Cesar   2,021    0.000115    2,021    0.000115 
Nationality: Brazilian                    
CPF 350.572.098-41                    
Luiza Rizzo Setubal Kairalla   2,024    0.000115    2,024    0.000115 
Nationality: Brazilian                    
CPF 323.461.948-40                    
Roberto Egydio Setubal   100,798,683    5.738648    100,798,683    5.738648 
Nationality: Brazilian                    
CPF 007.738.228-52                    
Mariana Lucas Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 227.809.998-10                    
Paula Lucas Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 295.243.528-69                    
José Luiz Egydio Setubal   92,081,190    5.242346    92,091,190    5.242346 
Nationality: Brazilian                    
CPF 011.785.508-18                    
Beatriz de Mattos Setubal da Fonseca   2,737,879    0.155872    2,737,879    0.155872 
Nationality: Brazilian                    
CPF 316.394.318-70                    
Gabriel de Mattos Setubal   2,737,879    0.155872    2,737,879    0.155872 
Nationality: Brazilian                    
CPF 348.338.808-73                    
Olavo Egydio Mutarelli Setubal   2,737,879    0.155872    2,737,879    0.155872 
Nationality: Brazilian                    
CPF 394.635.348-73                    
Alfredo Egydio Setubal   100,336,439    5.712332    100,336,439    5.712332 
Nationality: Brazilian                    
CPF 014.414.218-07                    
Alfredo Egydio Nugent Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 407.919.708-09                    
Marina Nugent Setubal   2,020    0.000115    2,020    0.000115 
Nationality: Brazilian                    
CPF 384.422.518-80                    
Ricardo Egydio Setubal   100,290,486    5.709715    100,290,486    5.709715 
Nationality: Brazilian                    
CPF 033.033.518-99                    
Marcelo Ribeiro do Valle Setubal   2,051    0.000117    2,051    0.000117 
Nationality: Brazilian                    
CPF 230.936.378-21                    
Patricia Ribeiro do Valle Setubal   2,051    0.000117    2,051    0.000117 
Nationality: Brazilian                    
CPF 230.936.328-62                    
Rodrigo Ribeiro do Valle Setubal   2,051    0.000117    2,051    0.000117 

 

 

 

  

Nationality: Brazilian                    
CPF 230.936.298-02                    
                     
Total   1,756,488,370    100.000000    1,756,488,370    100.000000 
                     
BASE DATE SINCE                
04.30.2013                
O. E. Setubal S.A. 

Common shares

   %   Total   % 
Paulo Setubal Neto   100,000    14.285715    100,000    14.285715 
Nationality: Brazilian                    
CPF 638.097.888-72                    
Maria Alice Setubal   100,000    14.285714    100,000    14.285714 
Nationality: Brazilian                    
CPF 570.405.408-00                    
Olavo Egydio Setubal Júnior   100,000    14.285714    100,000    14.285714 
Nationality: Brazilian                    
CPF 006.447.048-29                    
Roberto Egydio Setubal   100,000    14.285714    100,000    14.285714 
Nationality: Brazilian                    
CPF 007.738.228-52                    
José Luiz Egydio Setubal   100,000    14.285714    100,000    14.285714 
Nationality: Brazilian                    
CPF 011.785.508-18                    
Alfredo Egydio Setubal   100,000    14.285714    100,000    14.285714 
Nationality: Brazilian                    
CPF 014.414.218-07                    
Ricardo Egydio Setubal   100,000    14.285715    100,000    14.285715 
Nationality: Brazilian                    
CPF 033.033.518-99                    
Total   700,000    100.000000    700,000    100.000000 

 

 

 

 

BASE DATE SINCE                
05.30.2016                
Rudric ITH S.A. 

Common

shares

   %   Total   % 
Maria de Lourdes Egydio Villela   2    0.0000002    2    0.0000002 
Nationality: Brazilian                    
CPF 007.446.978-91                    
Ricardo Villela Marino   458,896,903    49.9999999    458,896,903    49.9999999 
Nationality: Brazilian                    
CPF 252.398.288-90                    
Rodolfo Villela Marino   458,896,903    49.9999999    458,896,903    49.9999999 
Nationality: Brazilian                    
CPF 271.943.018-81                    
Total   917,793,808    100.00000000    917,793,808    100.00000000 

 

 

 

 

15.3 – Distribution of Capital

 

15.3. In a table, describe the general distribution of capital, as determined in the last annual general stockholders' meeting

 

a) number of individual shareholders

 

b) number of corporate shareholders (excluding the corporate shareholder that is an institutional investor.)

 

c) number of institutional investors

 

d) number of outstanding shares, by class and type

 

Date of last general meeting/ Date of last update  04.19.2017 
     
Number of stockholders - individuals   108,853 
      
Number of stockholders - companies   11,591 
      
Number of institutional investors   1,039 

 

Outstanding shares

 

Outstanding shares correspond to the Issuer's total shares, except for those held by the parent company, the people related to the latter, the Issuer's management members, and treasury shares.

 

Number of common shares (units)   258,256,503    7.779000%
           
Number of preferred shares (units)   3,134,142,191    97.015000%
           
Total   3,392,398,694    51.788000%

 

15.4. Please insert a flowchart of the stockholders of the issuer and the economic group in which the issuer is included, identifying:

 

a) all direct and indirect controlling stockholders, and, should the issuer wish, stockholders owning an interest equal to or higher than 5% in a class or type of shares

 

 

 

 

 

(1) Date: 11.30.2017.

 

(2) Date: 12.31.2017.

 

Percentage do not include treasury shares

 

(*) In addition to treasury shares, percentage do not include the interest held by controlling stockholders.

 

(3) Date: 12.31.2016.

 

Direct and indirect subsidiaries

 

 

 

 

  a) Direct and indirect controlling stockholders  
     
  Direct controlling stockholders  
  Itaúsa - Investimentos Itaú S.A.  
  IUPAR - Itaú Unibanco  
  Participações S.A.  
  Indirect controlling stockholders  
  Alfredo Egydio Arruda Villela Filho  
  Alfredo Egydio Nugent Setubal  
  Alfredo Egydio Setubal  
  Ana Lúcia de Mattos Barretto Villela  
  Beatriz de Mattos Setubal da Fonseca  
  Bruno Rizzo Setubal  
  Camila Setubal Lenz Cesar  
  Carolina Marinho Lutz Setubal  
  Cia. E.Johnston de Participações  
  Companhia ESA  
  Fernando Roberto Moreira Salles  
  Fernando Setubal Souza e Silva  
  Gabriel de Mattos Setubal  
  Guilherme Setubal Souza e Silva  
  João Moreira Salles  
  José Luiz Egydio Setubal  
  Julia Guidon Setubal  
  Luiza Rizzo Setubal Kairalla  
  Marcelo Ribeiro do Valle Setubal  
  Maria Alice Setubal  
  Maria de Lourdes Egydio Villela  
  Mariana Lucas Setubal  
  Marina Nugent Setubal  
  O.E. Setubal S.A.  
  Olavo Egydio Setubal Júnior  
  Olavo Egydio Mutarelli Setubal  
  Patrícia Ribeiro do Valle Setubal  
  Paula Lucas Setubal  
  Paulo Egydio Setubal  
  Paulo Setubal Neto  
  Pedro Moreira Salles  
  Ricardo Egydio Setubal  
  Ricardo Villela Marino  
  Roberto Egydio Setubal  
  Rodolfo Villela Marino  
  Rodrigo Ribeiro do Valle Setubal  
  Rudric ITH S.A.  
  Tide Setubal Souza e Silva Nogueira  
  Walther Moreira Salles Júnior  

 

 

 

 

b) Issuer's main subsidiary and affiliated companies

 

c) Issuer's ownership interest in the group's companies

 

d) Group companies' ownership interest in the Issuer

 

e) Main companies under common control

 

The table below refers to items "b" and "e" above:

 

   Participation on   Share   Subsidiary or
In Brazil  voting capital (%)   Capital (%)   affiliated
Itaú Unibanco S.A.   100.00    100.00   Subsidiary
Banco Itaú BBA S.A.   99.99    99.99   Subsidiary
Banco Itaucard S.A.   99.99    99.99   Subsidiary
Itaú Administração Previdenciária Ltda.   0.00    0.00   Subsidiary
Itaú BBA Participações S.A.   100.00    100.00   Subsidiary
Itaú Corretora de Valores S. A.   99.99    99.99   Subsidiary
Itaú Seguros S.A.   0.00    0.00   Subsidiary
IU Seguros S.A.   0.00    0.00   Subsidiary
ITB Holding Brasil Participações Ltda.   0.00    0.00   Subsidiary
Abroad             
Itaú CorpBanca S.A.   22.45    22.45   Subsidiary
Itaú Chile Holdings, Inc.   100.00    100.00   Subsidiary
Banco Itaú Uruguay S.A.   100.00    100.00   Subsidiary
Bicsa Holdings, Ltd.   99.99    99.99   Subsidiary
OCA S.A.   100.00    100.00   Subsidiary
OCA Casa Financiera S.A.   100.00    100.00   Subsidiary
ACO Ltda.   99.24    99.24   Subsidiary
Topaz Holding Ltd.   0.00    0.00   Subsidiary

 

 

 

 

15.8 Other relevant information

 

Additional Information on items 15.1/15.2

 

a) Regarding the stockholding position of stockholder BlackRock, Inc. (“BlackRock”), the Company informed that on March 30, 2011 it received the information that, as provided for in Article 12, CVM Instruction No. 358/2002, as amended by CVM Instruction No.568/2015, as investment manager of some of its clients, BlackRock acquired 159,335,737 preferred shares issued by Itaú Unibanco Holding.

 

Considering the several corporate events in the Company since the interest acquisition, we present below the changes in the BlackRock’s stockholding position, which represents 7.221137% of preferred shares and 3.561299% of BlackRock’s capital stock.

 

STATEMENT OF CHANGES IN BLACROCK'S STOCKHOLDING POSITION

 

      BEGINNING         
DATE  EVENT  BALANCE   EVENT   END BALANCE 
03.30.2011  Beginning balance at 03.30.2011, as provided by BlackRock (*)   159,335,737    -    159,335,737 
11.01.2011  Stock split/reverse split, according to notice of 09.01.2011   159,335,737    159,335,700    159,335,700 
04.19.2013  10% Bonus Share (ASM of 04.19.2013)   159,335,700    15,933,570    175,269,270 
06.11.2014  10% Bonus Share (ASM of 04.23.2014)   175,269,270    17,526,927    192,796,197 
07.31.2015  10% Bonus Share (ASM of 04.29.2015)   192,796,197    19,279,620    212,075,817 
10.21.2016  10% Bonus Share (ASM of 09.14.2016)   212,075,817    21,207,581    233,283,398 

(*) Ownership interest at base date 08.19.2010, as provided by the Stockholder on March 30, 2011.

 

b) The Annual and Extraordinary General Stockholders’ Meeting held on April 27, 2016 resolved on the cancellation of 100,000,000 preferred book-entry shares, issued by the Company and held as treasury stock, without reduction in the value of the capital stock, and acquired through the Share Buyback Programs approved by the Company’s Board of Directors. This cancellation was approved by the Central Bank of Brazil on June 7, 2016.

 

c) On December 15, 2017, the Board of Directors resolved to cancel the 31,793,105 common book-entry shares, of its own stock and held as treasury stock, without the reduction of the capital amount, acquired by the Company by means of the buyback program authorized by Board of Directors on August 31, 2017. As a result of this cancellation, the capital amounting to R$ 97,148,000,000.00 now comprises 6,550,514,438 book-entry shares with no par value, 3,319,951,112 of which are common shares and 3,230,563,326 are preferred shares, and the resulting changes in the Bylaws will be resolved upon in the next General Stockholders’ Meeting.

 

Additional Information on item 15.3

 

The number of individual and corporate stockholders and institutional investors stated in item 15.3 hereof refers to the December 31, 2016 base date.

 

The number of outstanding shares stated in item 15.3 hereof refers to the December 31, 2017 base date.

 

 

 

 

ITEM 19. REPURCHASE PLANS AND TREASURY SECURITIES

 

19.1 - Information on issuer's repurchase plans

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
12/15/2017  12/20/2017 to  0.00  Common      28,616,649    9.990000    14,421,132    37.00   R$ per unit   50.394000 
   06/19/2019     Preferred      50,000,000    1.550000    0    0.00   R$ per unit   0.000000 

 

Other characteristics: Note: 1) Capital Reserves/Reserve of Goodwill on the Issue of Shares and Revenue Reserve/Reserve for Working Capital.

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
08/31/2017  09/01/2017 to  0.00  Common      31,793,134    10.000000    31,793,105    37.00   R$ per unit   99.999908 
   11/26/2018     Preferred      39,155,000    1.220000    0    0.00   R$ per unit   0.000000 

 

Other characteristics: Note: 1) Capital Reserves/Reserve of Goodwill on the Issue of Shares and Revenue Reserve/Reserve for Working Capital. 2) Purchase of 31,793,105 shares until 12.20.2017. 3) Terminated by antecipation of the Meeting of the Board of Directors of December 15, 2017.

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
05/25/2017  05/26/2017 to  0.00  Common      10,000,000    3.150000    0    0.00   R$ per unit   0.000000 
   11/26/2018     Preferred      50,000,000    1.560000    10,845,000    35.95   R$ per unit   21.690000 

 

Other characteristics: Note: 1) Capital Reserves/Reserve of Goodwill on the Issue of Shares and Revenue Reserve/Reserve for Working Capital; 2) Purchase of 10,845,000 shares until 12.20.2017. 3) Terminated by antecipation of the Meeting of the Board of Directors of August 31, 2017.

 

 

 

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
02/01/2016  02/03/2016 to  0.00  Common      10,000,000    3.474074    0    0.00   R$ per unit   0.000000 
   08/02/2017     Preferred      50,000,000    1.756396    49,787,900    34.82   R$ per unit   99.576000 

 

Other characteristics: Note: 1) Capital Reserves/Reserve of Goodwill on the Issue of Shares and Revenue Reserve/Reserve for Working Capital; 2) Purchase of 38,087,900 shares in the period from 02.03.2016 to 04.30.2017; 3) Purchase of 49,787,900 shares in the period from 02.03.2016 to 05.24.2017; 4) % in relation to outstanding shares: calculated based on concept of constant outstanding shares in Level 1 Corporate Governance. 5) Terminated by antecipation of the Meeting of the Board of Directors of May 25, 2017.

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
08/27/2015  08/28/2015 to  0.00  Common      11,000,000    3.822281    0    0.00   R$ per unit   0.000000 
   08/26/2016     Preferred      50,000,000    1.711276    49,980,000    27.33   R$ per unit   99.960000 

 

Other characteristics: Note: 1) Capital Reserves / Reserve of Goodwill on Issuance of Shares and Revenue Reserves/ Reserve for Working Capital Increase; 2) Purchase of 41,990,000 shares in the period from 08.28.2015 to 12.31.2015; 3) Purchase of 49,980,000 shares in the period from 08.28.2015 to 01.15.2016; 4) % in relation to outstanding shares: calculated based on concept of constant outstanding shares in Level I Corporate Governance; 5) Early termination at the Board of Directors’ Meeting held on February 1, 2016.

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
07/30/2015  08/05/2015 to  0.00  Common      11,000,000    4.206117    0    0.00   R$ per unit   0.000000 
   08/04/2016     Preferred      55,000,000    2.066282    30,380,000    27.11   R$ per unit   55.236363 

 

Other characteristics: Note: 1) Capital Reserve/Reserve of Goodwill on the Issue of Shares and Revenue Reserve/Reserve for Working Capital; 2) % in relation to outstanding shares: calculated based on concept of constant outstanding shares in Level I Corporate Governance; 3) Early termination at the Board of Directors’ Meeting held on August 27, 2015.

 

Date of
resolution		  Repurchase
period		  Reserves and profits
available (Brazilian
reais)		  Type  Class  Number of shares
expected (Unit)		   % in relation to
outstanding shares		   Number of shares
acquired/approved
(Unit)		   Average
purchase
price		   Quoting factor  % of shares acquired 
11/27/2014  12/16/2014 to
12/15/2015		  0.00  Preferred      50,000,000    1.858944    40,154,000    34.10   R$ per unit   80.306900 

 

Other characteristics: Note: 1) Capital Reserve/Reserve of Goodwill on the Issue of Shares and Revenue Reserve/Reserve for Working Capital; 2) % in relation to outstanding shares: calculated based on concept of constant outstanding shares in Level I Corporate Governance; 3) Early termination at the Board of Directors’ Meeting held on July 30, 2015.

 

 

 

 

19.2 – Changes in the securities held in treasury:

 

Due to the bonus shares made in the fiscal year of 12/31/2013, 12/31/2014, 7/17/2015 and on 10/21/2016, we made available a line informing the event. On 04/27/2016, we approved the cancellation of 100,000,000 preferred shares, all book-entry shares, issued by us and held in treasury, and we made available a line informing the event. This event was approved by BACEN on 06/07/2016.

 

19.3 – Supply other information that the Issuer may deem relevant

 

Additional information of item 19.2

 

12/31/2017
             
Changes  Number (units)  

Common shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   3,074         0.0%
Acquisition   46,214,237   R$37.06      
Disposal   -           
Cancellation (**)   (31,793,105)  R$37.06      
Bonus shares   -           
Closing balance   14,424,206         0.4%

 

Changes  Number (units)  

Preferred shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   69,604,462         2.2%
Acquisition (*)   37,982,900   R$36.25      
Disposal   (36,127,648)  R$29.09      
Cancellation (*)   -           
Bonus shares   -           
Closing balance   71,459,714         2.3%

 

(*) The repurchase amounts do not include settlement, brokerage and trading fees

 

07/31/2017
 
Changes  Number (units)  

Common shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   3,074         0.0%
Acquisition   -           
Disposal   -           
Bonus shares (**)   -           
Closing balance   3,074         0.0%

 

Changes  Number (units)  

Preferred shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   69,604,462         2.2%
Acquisition (*)   37,982,900   R$36.25      
Disposal   (21,598,143)  R$27.86      
Cancellation (*)   -           
Bonus shares (**)   -           
Closing balance   85,989,219         2.7%

 

(*) The repurchase amounts do not include settlement, brokerage and trading fees

 

 

 

 

12/31/2016
             
Changes  Number (units)  

Common shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   2,795         0.0%
Acquisition   -           
Disposal   -           
Bonus shares (**)   279           
Closing balance   3,074         0.0%

 

Changes  Number (units)  

Preferred shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   162,562,650         5.7%
Acquisition (*)   30,640,000   R$30.13      
Disposal   (28,225,583)  R$26.52      
Cancellation (**)   100,000,000           
Bonus shares (**)   4,627,395           
Closing balance   69,604,462         2.2%

 

(*) The repurchase amounts do not include settlement, brokerage and trading fees

(**) Approved by the Central Bank of Brazil on 06/07/2016

(**)Approved by the Central Bank of Brazil on 09/23/2016

 

12/31/2015
             
Changes  Number (units)  

Common shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   2,541         0.0%
Acquisition   -           
Disposal   -           
Bonus shares   254           
Closing balance   2,795         0.0%

 

Changes  Number (units)  

Preferred shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   53,828,551         1.9%
Acquisition (*)   111,524,800   R$28.80      
Disposal   (11,216,615)  R$26.65      
Bonus shares   8,425,914           
Closing balance   162,562,650         5.7%

 

(*) The repurchase amounts do not include settlement, brokerage and trading fees

 

12/31/2014
             
Changes  Number (units)  

Common shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   2,310         0.0%
Acquisition   -           
Disposal   -           
Bonus shares   231           
Closing balance   2,541         0.0%

 

Changes  Number (units)  

Preferred shares

Weighted average price (R$ Reais)

  

% in relation to securities of the same

class and type

 
Opening balance   68,867,010         2.8%
Acquisition (*)   1,000,000   R$34.75      
Disposal   (21,801,786)  R$25.75      
Bonus shares   5,763,327           
Closing balance   53,828,551         1.9%

 

(*) The repurchase amounts do not include settlement, brokerage and trading fees