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Form 6-K Itau Unibanco Holding For: May 14

May 14, 2021 8:36 AM EDT

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 6-K

 

 

Report of Foreign Issuer

Pursuant to Rule 13a-16 or 15d-16 of

the Securities Exchange Act of 1934

For the month of May, 2021

Commission File Number: 001-15276

 

 

Itaú Unibanco Holding S.A.

(Exact name of registrant as specified in its charter)

Itaú Unibanco Holding S.A.

(Translation of Registrant’s Name into English)

 

 

Praça Alfredo Egydio de Souza Aranha, 100-Torre Conceicao

CEP 04344-902 São Paulo, SP, Brazil

(Address of principal executive office)

 

 

Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F.

Form 20-F  ☒                Form 40-F  ☐

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):

Yes  ☐            No  ☒

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):

Yes  ☐            No  ☒

Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.

Yes  ☐            No  ☒

If “Yes” is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b):

82–                                 

 

 

 


EXHIBIT INDEX

 

99.1    ITAÚ UNIBANCO - REFERENCE FORM


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: May 14, 2021.

 

Itaú Unibanco Holding S.A
By:  

/s/ Renato Lulia Jacob

  Name:   Renato Lulia Jacob
  Title:   Group Head of Investor Relations and Market Intelligence
By:  

/s/ Alexsandro Broedel

  Name:   Alexsandro Broedel
  Title:   Chief Financial Officer

Exhibit 99.1

 

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Itaú Unibanco Holding S.A. 20_% ™¦§¦³¦¯¤¦_ °³®


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Historical resubmission Version Reasons for resubmission Date of update V2 Updated items: 12.5/6, 12.7/8 and 12.12 07/10/2020 V3 Updated items: 11.1 and 11.2 08/03/2020 V4 Updated items: 12.5/6, 12.7/8 and 12.12 08/18/2020 V5 Updated items: 12.7/8 and 12.12 08/24/2020 V6 Updated items: 12.5/6 and 12.12 09/04/2020 V7 Updated items: 12.5/6 and 12.12 10/07/2020 V8 Updated items: 12.5/12.6, 12.7/12.8 and 12.12 10/29/2020 V9 Updated items: 5.6, 11.1 and 11.2 11/03/2020 V10 Updated items: 12.5/6 and 12.12 12/03/2020 V11 Updated items: 1.0; 12.5/12.6 and 12.12 12/14/2020 V12 Updated items: 12.5/12.6, 12.7/12.8 and 12.12 01/12/2021 V13 Updated items: 18.8 01/19/2021 V14 Updated items: 12.5/12.6, 12.7/12.8, 12.12 and 18.8 01/28/2021 V15 Updated items: 1.1; 1.3; 11; 12.5/12.6, 12.12 and 15.3 02/02/2021 V16 Updated items: 10.3, 15.1/15.2, 15.3, 15.4, 15.8, 17.5, 19.2, 19.3 and 21.3 02/09/2021 V17 Updated items: 12.5/6 e 12.12 03/08/2021 V18 Updated items: 12.5/6 e 12.12 04/06/2021 V19 Updated items: 11.1 and 11.2 05/03/2021 Updated itens: 8.2, 12.5/6, 12.7/8, 12.9, 12.10, 12.12, 15.1/2, 05/06/2021 V20 15.3, 15.4, 15.8, 19.2 and 19.3


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• Ricardo Villela Marino (Vice-Chairman of the Board of Directors), together with brother Rodolfo Villela Marino, is in the management of parent companies Itaúsa – Investimentos Itaú S.A.; • Ricardo Villela Marino (Vice-Chairman of the Board of Directors), together with mother Maria de Lourdes Egydio Villela and brother Rodolfo Villela Marino, is in the management of parent company Rudric Ith Participações Ltda.; • Ana Lúcia de Mattos Barretto Villela (member of the Board of Directors), together with brother Alfredo Egydio Arruda Villela Filho, is in the management of parent company Itaúsa – Investimentos Itaú S.A.; • Alfredo Egydio Setubal (member of the Board of Directors) together with brother Ricardo Egydio Setubal, is in the management of the of parent company Companhia Esa. _______,QIRUP_RQ_WKH_VXERUGLQDWLRQ__VHUYLFHV_SURYLVLRQ_RU_FRQWURO_UHODWLRQVKLSV_ PDLQWDLQHG_IRU_WKH_ODVW_WKUHH_\HDUV_EHWZHHQ_PDQDJHPHQW_PHPEHUV_DQG_WKH_LVVXHU_ D_ ,VVXHU¶V_GLUHFW_RU_LQGLUHFW_VXEVLGLDULHV__H[FHSW_IRU_WKRVH_LQ_ZKLFK_WKH_,VVXHU KROGV__GLUHFWO\_RU_LQGLUHFWO\__WKH_WRWDO_FDSLWDO_VWRFN_ Management member Ricardo Villela Marino holds a management position in subsidiary. E_ ,VVXHU¶V_GLUHFW_RU_LQGLUHFW_SDUHQW_JURXS_ Management members Alfredo Egydio Setubal, Ana Lúcia de MattosBarrettoVillela, Pedro Moreira Salles, Ricardo Villela Marino, and Roberto Egydio Setubal are parties to the controlling group of Itaú Unibanco. F_ ,I_UHOHYDQW__VXSSOLHU__FOLHQW__GHEWRU_RU_FUHGLWRU_RI_WKH_,VVXHU__LWV_VXEVLGLDULHV RU_SDUHQW_FRPSDQLHV_RU_VXEVLGLDULHV_RI_DQ\_RI_WKHVH_SHRSOH_ Not applicable


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12.5/6 – Composition and professional experience of the board of directors and fiscal council With respect to each member, see below information about item 12.5 “m”: I – main professional experience for the past five years, indicating: • Company’s name and activity sector. • Position and roles inherent in the position. • Whether the company is part of (i) the Issuer’s economic group or (ii) is controlled by an Issuer’s direct or indirect stockholder with an interest equal to or higher than 5% in the same class or type of the Issuer’s securities. II—All management positions they hold in other companies or third sector organizations. Company is part of (ii) is controlled by an Issuer’s direct or indirect Company’s name Company’s activity sector (i) the stockholder Issuer’s with an Other economic interest equal companies or group to or higher third sector than 5% in organizations the same class or type of the Issuer’s securities. Abril Comunicações S.A. Printing of books, magazines and other periodicals x Alana Foundation Charitable organization x AlanaLab Communication of impact x Almar Participações S.A. Holding company of non-financial institutions x Alpargatas S.A. Holding company of non-financial institutions x Americel S.A. Telephony Equipment x Arthur Andersen & Co. Advocacy x Associação Brasileira das Companhias Abertas (ABRASCA—Non-profit civil association x Brazilian Association of Publicly-Held Companies) Associação Brasileira das Entidades dos Mercados Financeiro e Non-profit civil association x de Capitais (ANBIMA—Brazilian Association of Financial and Capital Market Entities) Associação Nacional das Instituições de Crédito, Financiamento Bringing together companies of the sector, x e Investimento (ACREFI—Brazilian Association of Credit, defending their legitimate interests, strengthening Financing and Investment Institutions) the relationships among the associates and fostering the development of their activities Banco Brascan S.A. Investment Bank x Banco Central do Brasil (BACEN—Central Bank of Brazil) Federal government agency x Banco do Brasil S.A. Multiple-service banking, with commercial x portfolio Banco Icatu S.A. Multiple-service banking, with commercial x portfolio Banco Itaú Argentina S.A. Holding company of non-financial institutions x Banco Itaú Suisse Holding company of non-financial institutions x Banco Itaú BBA S.A. Multiple-service x Banco Nacional de Desenvolvimento Econômico e Social Development bank x (BNDES – Brazilian Social and Economic Development Bank) Banco Pirelli-Fintec Multiple-service banking, with commercial x portfolio Banco PSA Finance Brasil S.A. Multiple-service banking, with commercial x portfolio Banco Real S.A. Multiple-service banking, with commercial x portfolio Banco Santander (Brasil) S.A. Multiple-service banking, with commercial x portfolio Banco Santander S.A. Multiple-service banking, with commercial x portfolio Bank Boston Multiple-service banking, with commercial x portfolio BB Seguridade S.A. Insurance and pension plan x BM&FBOVESPA S.A. – Bolsa de Valores, Mercadorias e Management of organized securities markets and x Futuros (currently B3 S.A. – Brasil, Bolsa, Balcão (B3 S.A. – provision of services of registration, clearing and Brazilian Exchange and OTC)) settlement, and support to financing operations Bolsas y Mercados Españoles (BME) Administration of organized securities markets x Brasil Warrant Administração de Bens e Empresas S.A (BWSA) Holding company of non-financial institutions x Bunge y Born Food industry x BW Gestão de Investimentos (BWGI) Management of restricted public funds x Câmara Interbancária de Pagamentos (CIP) Brazilian Payment System x Cambuhy Investimentos Ltda. Consultancy in corporate management x Cetip S.A. Mercados Organizados (Organized Over-the-counter Management of organized over-the-counter x Market in Assets and Derivatives) markets


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Cia. de Saneamento Básico do Estado de São Paulo (SABESP—Water collection, treatment and distribution x Basic Sanitation Company of the State of São Paulo) Cia. de Saneamento de Minas Gerais (COPASA—Minas Gerais Water collection, treatment and distribution x Sanitation Company) Cia. de Saneamento do Paraná (SANEPAR—Paraná Sanitation Water collection, treatment and distribution x Company) Cia. Hering Manufacturing of cotton woven and knitted x clothing, except for socks Citibank Brazil Financial Conglomerate    x Citigroup Brasil Financial Conglomerate    x Comissão de Valores Mobiliários (CVM – Brazilian Securities Public administration in general x and Exchange Commission) Comissão Trilateral do Conselho Internacional da NYSE Private Discussion Forum x Comitê de Fusões e Aquisições (CAF) Self-Regulatory Entity x Commercial Free Childhood (CCFC) Education x Companhia Brasileira de Distribuição S.A. Retail sales x Companhia Brasileira de Metalurgia e Mineração (CBMM—Metallurgy and technology x Brazilian Metallurgy and Mining Company) Companhia Paranaense de Gás (COMPAGÁS—Paranaense Gas Natural gas distributor x Company) Conectas Non-governmental organization x ConectCar Soluções de Mobilidade Eletrônica S.A. Payment Institution x    Conferência Monetária Internacional International Organization x Conselho Editorial da Revista de Direito das Sociedades e dos Editorial x Valores Mobiliários (RDSVM) Conselho Regional de Contabilidade (CRC/SP—Regional Self-Regulatory Entity x Council of Accounting) Corhen Serviços Ltda. Combined office and administrative support x services CPFL Energia S.A. Energy Distribution x Debevoise & Plimpton Advocacy    x Deutsche Bank Securities Investment Bank x Diagnósticos da América S.A. (DASA) Clinical Diagnostics x Directa Auditores Advocacy x Duratex S.A. Manufacturing, sale, import, and export of wood x by-products, bathroom fittings, and ceramics and plastic materials Ecorodovias Concession of Public Works and Services x Editora Almedina Editorial x Electrolux do Brasil S.A. Manufacture and marketing of household and x industrial appliances in general Elekeiroz S.A. Manufacturing of intermediate products for x plasticizers, resins and fibers Eneva S.A. Electricity x Ernst & Young Accounting and tax audit and consulting services x Escola de Administração de Empresas de São Paulo da Fundação Education institution x Getulio Vargas – São Paulo (EAESP-FGV—School of Business Administration of São Paulo of Fundação Getulio Vargas) Faculdade de Direito da Fundação Getulio Vargas Education institution x Faculdade de Economia, Administração e Contabilidade de São Higher education – undergraduate and graduate x Paulo (FEA-USP—School of Economics, Business courses Administration and Accounting of the Universidade de São Paulo) Federação Brasileira de Bancos (FEBRABAN – Brazilian Organization of trade and business association x Federation of Banks) activities Federação Brasileira de Bancos (FENABAN – National Employers’ union x Federation of Banks) Federal Reserve Bank Federal Agency x Fellow Ashoka Non-profit organization x Fidelity International Ltd. Investment management    x Financeira Itaú CBD S.A. Crédito, Financiamento e Credit, Financing and Investment Society    x Investimento Financial Stability Board (FSB) Financial Stability Board x Fundação Bienal de São Paulo (São Paulo Art Biennial Restoration and conservation of historical sites and x Foundation) buildings Fundação das Nações Unidas (EUA) International Organization x Fundação Instituto de Pesquisas Contábeis, Atuariais e Higher education – undergraduate and graduate x Financeiras (FIPECAFI – Institute for Accounting, Actuarial and courses Financial Research Foundation) Fundação Itaú para Educação e Cultura Activities of membership organizations related to x culture and art Fundação Maria Cecilia Souto Vidigal Non-profit organization    x Fundação Nova Escola Non-profit organization    x Fundação OSESP (OSESP Foundation) Music teaching x Fundo Garantidor de Crédito (FGC) Non-profit organization x Fundo Patrimonial da FEA-USP (FEA-USP Endowment Fund) Raising and investment of funds to support FEA- x USP G/xtrat Consultoria Econômica Ltda. Consultancy in corporate management x Gávea Investimentos Fund management services by contract or x commission


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GC/Capital Empreendimentos e Participações Ltda. Holding company of non-financial institutions x Grant Thornton Brasil Accounting and tax consulting and auditing x Grupo Big S.A. Retail sales x Grupo Itaú Unibanco (Itaú Unibanco Group) Financial Conglomerate x Grupo Natura (Natura Group) Financial Conglomerate x Gustavo Loyola Consultoria S/C Consultancy in economics x Hospital de Clínicas de Porto Alegre (HCPA) Hospital care, first-aid and emergency care unit x activities IBM Brasil Machinery and Services Industry    x Icatu Holding S.A. Holding company x IFRS Foundation Production of Accounting Standards x Indústrias Romi S.A. Machinery x Instituto Akatu (Akatu Institute) Non-governmental organization x Instituto Alana (Alana Institute) Non-governmental organization x Instituto Brasileiro de Ciência Bancária (IBCB – Brazilian Institutes and Foundations x Institute of Banking Science) Instituto Brasileiro de Governança Corporativa (IBGC – Activities of associations for protection of social x Brazilian Institute of Corporate Governance) rights Instituto Brincante (Brincante Institute) Non-governmental organization x Instituto de Arte Contemporânea Works of art x Instituto de Ensino e Pesquisa (INSPER) Education institution x Instituto dos Auditores Internos do Brasil Audit    x Instituto Empreender Endeavor Organization that supports entrepreneurship and x entrepreneurs Instituto Itaú Cultural Activities of associative organizations related to x culture and art Instituto Unibanco Activities of membership organizations related to x culture and art International Integrated Reporting Committee (IIRC) Global authority and central coordinating body for x matters related to Integrated Accounting Reporting Investimentos e Participações em Infraestrutura S.A. Urban mobility x (INVEPAR) Itaú Asset Management S.A. Fund administration x    Itau BBA International plc Other activities of services rendered mainly to the x companies not mentioned previously Itaú Corretora de Valores S.A. Securities brokerage x    Itaú CorpBanca (Chile) Multiple-service banking, with commercial x portfolio Itaú International Holding Limited Other service activities provided mainly to x    companies not previously specified Itaú Unibanco Holding S.A. Holding company x Itaú Unibanco S.A. Multiple-service banking, with commercial x portfolio Itaúsa S.A. Holding company x Itautec S.A. Investment in other companies in Brazil and x abroad, particularly in those engaged in the manufacture and sale of banking and commercial automation equipment and provision of services IUPAR—Itaú Unibanco Participações S.A. Holding company x J. P. Morgan Chase Holding company x Jones Day Consulting service    x L. Dias Advogados Advocacy x Luizaseg Seguros S.A. Property and casualty insurance x Magazine Luiza S.A. Retail sales x Mizuho International Ltd. Multiple-service banking, with commercial    x portfolio Museu de Arte de São Paulo (MASP – São Paulo Art Museum) Non-profit private museum x Museu de Arte Moderna de São Paulo (MAM—São Paulo Non-profit civil association x Museum of Modern Art) Odebrecht S.A. Construction company x Oi S.A. Telecommunications x Ordem dos Advogados do Brasil Self-Regulatory Entity x Organização Internacional das Comissões de Valores (IOSCO) Non-profit organization x Pão de Açúcar – Companhia Brasileira de Distribuição Retail sales x Paraná Auditores Accounting and tax audit and consulting services x Parnaíba Gás Natural Extraction of oil and natural gas x Petrobrás Distribuidora S.A. Wholesaling of alcohol fuel, biodiesel, gas and x other oil by-products, except for lubricants, which is not carried out by a retail transportation company Petrobrás Gás S.A. (GASPETRO) Oil exploration, extraction and refining x Petróleo Brasileiro S.A. Oil exploration, extraction and refining x PricewaterhouseCoopers Accounting and tax audit and consulting services x Redecard S.A. Payment Institution x RMB Assessoria e Consultoria Empresarial e Contábil EIRELI Business consulting x Serasa S.A. Information Services x


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Sercomtel S.A. Telecomunicações Telecommunication services x Serviço de Desenvolvimento de Sistemas para Recebíveis Ltda. Data Processing x (CERC) Sindicato dos Bancos no Estado de São Paulo (Union of Banks Union x of the State of São Paulo) Spaipa S.A. Indústria Brasileira de Bebidas Beverage Manufacturing and Distribution x Tecnologia Bancária (TECBAN) ATM’s x Tekno S.A. Indústria e Comércio Metal Product Manufacturing x Telet S.A. Telephone company x Tendências Conhecimento Assessoria Econômica Ltda. Consultancy x Tendências Consultoria Integrada S/S Ltda. Consultancy x Tozzini Freire Advogados Advocacy    x Totvs S.A. Technology x Unibanco – União de Bancos Brasileiros Multiple-service banking, with commercial x    portfolio Universidade Estadual de Campinas (UNICAMP) Education institution x Vale S.A. Mining company x Ventor Investimentos Ltda. Fund management services by contract or x commission W.I.L.L. – Women in Leadership in Latin America International non-profit organization    x XP Inc. Holding company x XP Investimentos S.A. Holding company of non-financial institutions x XPRIZE Non-profit organization x Yazbek Advogados Advocacy x


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_______27+(5_6,*1,),&$17_,1)250$7,21_2)_,7(0_______ D_ 5HJDUGLQJ_PHHWLQJV_KHOG_LQ_WKH_SDVW_WKUHH_____\HDUV__ZH_LQIRUP_DV_IROORZV_ <HDU_ 7\SH_RI_0HHWLQJV_ ‘DWH_7LPH_ 4XyUXP_ _____ $QQXDO_ DQG_ 27.04.2021 – 11AM e 11:10AM 91.96% of common shares ([WUDRUGLQDU\_ and 31.65% of preferred shares _____ ([WUDRUGLQDU\_ 31.01.2021 – 11AM More than 90% of common shares _____ $QQXDO_ 28.04.2020 – 11AM More than 90% of common shares and 31.75% of preferred shares _____ $QQXDO_ 24.04.2019 – 11AM More than 90% of common shares and 29.08% of preferred shares _____ $QQXDO_ DQG_ 25.04.2018 – 11AM More than 90% of common ([WUDRUGLQDU\_ shares and 28.28% of preferred shares _____ ([WUDRUGLQDU\_ 27.07.2018 – 3PM More than 90% of common shares $XGLW_&RPPLWWHH_ The Audit Committee has autonomy to establish and contract training activities. In 2016, the Audit Committee started to define the need for training identified as significant for its performance twice a year. Once it identifies a department in need of training, it contracts training to meet a specific need for the area or its members. Another training component of the Audit Committee for topics under its responsibility it understands as significant is making benchmark, including abroad, with other organizations or with the best practices identified by consultants. In 2019, the Audit Committee promoted specific training on anti-money laundering (AML) with the attendance of its members and guests representing the Internal Audit (Brazil and Latam) and Operating Risk Offices. Talks were given by consultants in Brazil and abroad on (i) Anti money laundering and combating terrorism financing (AML/CFT) and Anti-bribery and corruption (AB&C); and (ii) The Evolving Landscape of AML/CFT Management. In 2017, 2018, and 2019, some of the Committee’s individual members also took part in training activities on accounting, financial, capital markets, IT and corporate governance topics. F_ 5HODWLRQVKLS_DPRQJ_WKH_$XGLW_&RPPLWWHH__WKH_([HFXWLYH_%RDUG__DQG_WKH_&R_FKDLUPHQ_RI WKH_%RDUG_RI_‘LUHFWRUV Based on the responsibilities set up in its Regulations and on the assessment of the main risks of Itaú Unibanco’s Conglomerate, the Audit Committee annually defines its meeting schedule, including with the Executive Board. This annual planning is continuously revised by the Audit Committee, which may change its meeting planning at any time.    Over 2017, 2018, and 2019, the Audit Committee held meetings at least on a monthly basis with the executives in charge of the Internal Audit, Compliance and Operating Risk, and Internal Control departments, to monitor the outcomes of the work carried out by these departments. Additionally, the Audit Committee held bi-monthly meetings to monitor operations of Itaú CorpBanca in Chile and its branches


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CNPJ 04.679.283/0001-09 7RWDO_ ____________ __ __________________ ____________ ______________________ ______________ __________________ %$6(_’$7(____________ _ &LD__(__-RKQVWRQ_GH_3DUW__ (2_ __ ____ (3_ ____ 7RWDO_ ____ Fernando Roberto Moreira Salles 1.380 25,000 2.760 25,000 4.140 25,000 Brazilian CPF 002.938.068-53 João Moreira Salles 1.380 25,000 2.760 25,000 4.140 25,000 Brazilian CPF 667.197.397-00 Pedro Moreira Salles 1.380 25,000 2.760 25,000 4.140 25,000 Brazilian CPF 551.222.567-72 Walther Moreira Salles Júnior 1.380 25,000 2.760 25,000 4.140 25,000 Brazilian CPF 406.935.467-00 7RWDO_ ______ __ __________________ _______ ______________________ _______ __________________ _ %$6(_’$7(____________ ,WD~VD_6_$__ (2_ __ ____ (3_ ____ 7RWDO_ ____ ESA Company 18.171.526— 18.171.526 0,629— 0,216 Brazilian CNPJ 52.117.397/0001-08 Fundação Itaú Para a Educação e Cultura 337.678.958 11,685 41.473.312 0,751 379.152.270 4,508


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Brazilian CNPJ 59.573.030/0001-30 Fundação Antonio e Helena Zerrenner Instituição Nacional de Beneficência 444.274.541 15,374 85.567.917 1,550 529.842.458 6,300 Brazilian CNPJ 60.480.480/0001-67 O. E. Setubal S.A. 6 0,001 8 0,001 14 0,001 Brazilian CNPJ 61.074.456/0001-90 Rudric ITH Participações Ltda. 240.993.675 8,339 190.245.391 3,446 431.239.066 5,127 Brazilian CNPJ 67.569.061/0001-45 Alfredo Egydio Arruda Villela Filho 369.066.868 12,771 217.685.478 3,943 586.752.346 6,976 Brazilian CPF 066.530.838-88 Ana Lúcia de Mattos Barreto Villela 369.066.842 12,771 203.190.684 3,680 572.257.526 6,804 Brazilian CPF 066.530.828-06 Ricardo Villela Marino 65.450.929 2,265 48.508.236 0,879 113.959.165 1,355 Brazilian CPF 252.398.288-90 Rodolfo Villela Marino 65.505.763 2,267 48.597.738 0,880 114.103.501 1,357 Nacionalidade: Brasileira CPF 271.943.018-81 Paulo Setubal Neto 31.536 0,001 25.358.988 0,459 25.390.524 0,302 Brazilian CPF 638.097.888-72 Carolina Marinho Lutz Setubal 39.264.821 1,359 5.066.819 0,092 44.331.640 0,527


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Brazilian CPF 077.540.228-18 Julia Guidon Setubal Winandy 39.264.821 1,359 5.066.819 0,092 44.331.640 0,527 Brazilian CPF 336.694.358-08 Paulo Egydio Setubal 39.264.821 1,359 5.066.819 0,092 44.331.640 0,527 Brazilian CPF 336.694.318-10 Maria Alice Setubal — 45.806.071 0,830 45.806.071 0,545 Brazilian CPF 570.405.408-00 Fernando Setubal Souza e Silva 21.353.639 0,739 446.433 0,008 21.800.072 0,259 Brazilian CPF 311.798.878-59 Guilherme Setubal Souza e Silva 21.353.746 0,739 36.442 0,001 21.390.188 0,254 Brazilian CPF 269.253.728-92 Tide Setubal Souza e Silva Nogueira 21.354.077 0,739 1.057.615 0,019 22.411.692 0,266 Brazilian CPF 296.682.978-81 Olavo Egydio Setubal Júnior 44.069.150 1,525 42.103.822 0,763 86.172.972 1,025 Brazilian CPF 006.447.048-29 Bruno Rizzo Setubal 20.076.187 0,695 18.997 0,001 20.095.184 0,239 Brazilian CPF 299.133.368-56 Camila Setubal Lenz Cesar 20.076.188 0,695 21.190 0,001 20.097.378 0,239


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Brazilian CPF 350.572.098-41 Luiza Rizzo Setubal Kairalla 20.076.191 0,695 27.938 0,001 20.104.129 0,239 Brazilian CPF 323.461.948-40 Roberto Egydio Setubal 53.887.595 1,865 38.943.142 0,702 92.830.737 1,104 Brazilian CPF 007.738.228-52 Mariana Lucas Setubal 25.002.081 0,865 210 0,001 25.002.291 0,297 Brazilian CPF 227.809.998-10 Paula Lucas Setubal 25.002.081 0,865 210 0,001 25.002.291 0,297 Brazilian CPF 295.243.528-69 José Luiz Egydio Setubal 90.181.495 3,121 39.322.170 0,712 129.503.665 1,540 Brazilian CPF 011.785.508-18 Beatriz de Mattos Setubal 4.395.600 0,152 288.441 0,005 4.684.041 0,056 Brazilian CPF 316.394.318-70 Gabriel de Mattos Setubal 4.395.600 0,152 288.441 0,005 4.684.041 0,056 Brazilian CPF 348.338.808-73 Olavo Egydio Mutarelli Setubal 4.395.600 0,152 288.441 0,005 4.684.041 0,056 Brazilian CPF 394.635.348-73 Alfredo Egydio Setubal 103.411.186 3,578 41.090.884 0,744 144.502.070 1,718


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Brazilian CPF 014.414.218-07 Alfredo Egydio Nugent Setubal 2.081 0,001 210 0,001 2.291 0,001 Brazilian CPF 407.919.708-09 Marina Nugent Setubal 2.081 0,001 210 0,001 2.291 0,001 Brazilian CPF 384.422.518-80 Ricardo Egydio Setubal 103.363.825 3,577 42.183.172 0,764 145.546.997 1,730 Brazilian CPF 033.033.518-99 Marcelo Ribeiro do Valle Setubal 2.113 0,001 52.875 0,001 54.988 0,001 Brazilian CPF 230.936.378-21 Rodrigo Ribeiro do Valle Setubal 2.113 0,001 38.911 0,001 41.024 0,001 Brazilian CPF 230.936.298-02 Patricia Ribeiro do Valle Setubal 2.113 0,001 52.875 0,001 54.988 0,001 Brazilian CPF 230.936.328-62 BlackRock, INC (07.02.2017) — 229.620.576 4,159 229.620.576 2,730 Brazilian Treasury ——— —Others 279.397.921 9,661 4.163.459.675 75,409 4.442.857.596 52,819 7RWDO_ ______________ __ __________________ ______________ ______________________ ______________ __________________


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_ %$6(_’$7(_____________ (6$_&RPSDQ\_ (2_ __ ____ 7RWDO_ ____ _ O. E. Setubal S.A. 6 0,001 6 0,001 Brazilian ___ ___ CNPJ 61.074.456/0001-90 _ _ __ ___ ___ _ Rudric ITH Participações Ltda. 240.993.675 13,312 240.993.675 13,312 Brazilian ___ CNPJ 67.569.061/0001-45 ___ Alfredo Egydio Arruda Villela Filho 369.066.868 20,387 369.066.868 20,387 Brazilian ___ CPF 066.530.838-88 _ ___ _ Ana Lúcia de Mattos Barreto Villela 369.066.842 20,382 369.066.842 20,382 Brazilian ___ CPF 066.530.828-06 _ ___ _ Ricardo Villela Marino 65.450.929 3,615 65.450.929 3,615 Brazilian ___ CPF 252.398.288-90 _ ___ _ Rodolfo Villela Marino 65.505.763 3,618 65.505.763 3,618 Brazilian ___ CPF 271.943.018-81 _ ___ _ Paulo Setubal Neto 31.536 0,002 31.536 0,002 Brazilian ___ CPF 638.097.888-72 _ ___ _ Carolina Marinho Lutz Setubal 39.264.821 2,169 39.264.821 2,169 Brazilian CPF 077.540.228-18


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Julia Guidon Setubal Winandy 39.264.821 2,169 39.264.821 2,169 Brazilian CPF 336.694.358-08 Paulo Egydio Setubal 39.264.821 2,169 39.264.821 2,169 Brazilian CPF 336.694.318-10 Fernando Setubal Souza e Silva 21.353.639 1,180 21.353.639 1,180 Brazilian CPF 311.798.878-59 Guilherme Setubal Souza e Silva 21.353.746 1,180 21.353.746 1,180 Brazilian CPF 269.253.728-92 Tide Setubal Souza e Silva Nogueira 21.354.077 1,180 21.354.077 1,180 Brazilian ___ CPF 296.682.978-81 _ ___ _ Olavo Egydio Setubal Júnior 44.069.150 2,434 44.069.150 2,434 Brazilian ___ CPF 006.447.048-29 _ ___ _ Bruno Rizzo Setubal 20.076.187 1,109 20.076.187 1,109 Brazilian ___ CPF 299.133.368-56 _ ___ _ Camila Setubal Lenz Cesar 20.076.188 1,109 20.076.188 1,109 Brazilian ___ CPF 350.572.098-41 _ ___ _ Luiza Rizzo Setubal Kairalla 20.076.191 1,109 20.076.191 1,109 Brazilian ___ CPF 323.461.948-40 _ ___ _


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Roberto Egydio Setubal 53.887.595 2,977 53.887.595 2,977 Brazilian ___ CPF 007.738.228-52 _ ___ _ Mariana Lucas Setubal 25.002.081 1,381 25.002.081 1,381 Brazilian ___ CPF 227.809.998-10 _ ___ _ Paula Lucas Setubal 25.002.081 1,381 25.002.081 1,381 Brazilian ___ CPF 295.243.528-69 _ ___ _ José Luiz Egydio Setubal 90.181.495 4,982 90.181.495 4,982 Brazilian ___ CPF 011.785.508-18 _ ___ _ Beatriz de Mattos Setubal 4.395.600 0,243 4.395.600 0,243 Brazilian ___ CPF 316.394.318-70 _ ___ _ Gabriel de Mattos Setubal 4.395.600 0,243 4.395.600 0,243 Brazilian ___ CPF 348.338.808-73 _ ___ _ Olavo Egydio Mutarelli Setubal 4.395.600 0,243 4.395.600 0,243 Brazilian ___ CPF 394.635.348-73 _ ___ _ Alfredo Egydio Setubal 103.411.186 5,712 103.411.186 5,712 Brazilian ___ CPF 014.414.218-07 _ ___ _ Alfredo Egydio Nugent Setubal 2.081 0,001 2.081 0,001 Brazilian ___ CPF 407.919.708-09 _ ___ _


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Marina Nugent Setubal 2.081 0,001 2.081 0,001 Brazilian ___ CPF 384.422.518-80 _ ___ _ Ricardo Egydio Setubal 103.363.825 5,710 103.363.825 5,710 Brazilian ___ CPF 033.033.518-99 _ ___ _ Marcelo Ribeiro do Valle Setubal 2.113 0,001 2.113 0,001 Brazilian ___ CPF 230.936.378-21 _ ___ _ Patricia Ribeiro do Valle Setubal 2.113 0,001 2.113 0,001 Nacionalidade: Brasileira ___ CPF 230.936.328-62 _ ___ _ Rodrigo Ribeiro do Valle Setubal 2.113 0,001 2.113 0,001 Brazilian ___ CPF 230.936.298-02 _ ___ _ 7RWDO_ ______________ __ __________________ ______________ ______________________ %$6(_’$7(____________ _ 2__(__6HWXEDO_6_$__ (2_ __ ____ 7RWDO_ ____ _ Paulo Setubal Neto 100.000 14,285 100.000 14,285 Brazilian CPF 638.097.888-72 Maria Alice Setubal 100.000 14,285 100.000 14,285 Brazilian CPF 570.405.408-00 Olavo Egydio Setubal Júnior 100.000 14,285 100.000 14,285


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Brazilian CPF 006.447.048-29 Roberto Egydio Setubal 100.000 14,285 100.000 14,285 Brazilian CPF 007.738.228-52 José Luiz Egydio Setubal 100.000 14,285 100.000 14,285 Brazilian CPF 011.785.508-18 Alfredo Egydio Setubal 100.000 14,285 100.000 14,285 Brazilian CPF 014.414.218-07 Ricardo Egydio Setubal 100.000 14,285 100.000 14,285 Brazilian CPF 033.033.518-99 7RWDO_ ________ __ __________________ ________ ______________________ %$6(_’$7(_____________ _ 5XGULF_,7+_3DUWLFLSDo}HV_/WGD__ (2_ __ ____ 7RWDO_ ____ _ Ricardo Villela Marino 1.067.930.532 50,000 1.067.930.532 50,000 Brazilian CPF 252.398.288-90 Rodolfo Villela Marino 1.067.930.532 50,000 1.067.930.532 50,000 Brazilian CPF 271.943.018-81 7RWDO_ ______________ __ __________________ ______________ ______________________


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______±_‘LVWULEXWLRQ_RI_&DSLWDO ‘DWH_RI_ODVW_JHQHUDO_VWRFNKROGHUV¶_PHHWLQJ__‘DWH_RI_ODVW_XSGDWH_ __________ 1XPEHU_RI_VWRFNKROGHUV_±_LQGLYLGXDOV__XQLWV__ _______ 1XPEHU_RI_VWRFNKROGHUV_±_FRPSDQLHV__XQLWV__ ______ 1XPEHU_RI_LQVWLWXWLRQDO_LQYHVWRUV__XQLWV__ _____ 2XWVWDQGLQJ_VKDUHV_ 2XWVWDQGLQJ_VKDUHV_FRUUHVSRQG_WR_WKH_,VVXHU V_WRWDO_VKDUHV__H[FHSW_IRU_WKRVH_KHOG_E\_WKH_SDUHQW_FRPSDQ\__WKH_ SHRSOH_UHODWHG_WR_WKH_ODWWHU__WKH_,VVXHU V_PDQDJHPHQW_PHPEHUV__DQG_WUHDVXU\_VKDUHV__ 1XPEHU_RI_FRPPRQ_VKDUHV__XQLWV__ ___________ ______ 1XPEHU_RI_SUHIHUUHG_VKDUHV__XQLWV__ _____________ _______ 7RWDO _____________ _______    


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______3OHDVH_LQVHUW_D_IORZFKDUW_RI_WKH_LVVXHU¶V_VWRFNKROGHUV_DQG_WKH_HFRQRPLF_JURXS_LQ_ZKLFK_WKH_LVVXHU_ LV_LQFOXGHG__LGHQWLI\LQJ___ D_ DOO_GLUHFW_DQG_LQGLUHFW_FRQWUROOLQJ_VWRFNKROGHUV__DQG__VKRXOG_WKH_LVVXHU_ZLVK__VWRFNKROGHUV_RZQLQJ_DQ LQWHUHVW_HTXDO_WR_RU_KLJKHU_WKDQ____RI_D_FODVV_RU_W\SH_RI_VKDUHV Família Egydio de Família Moreira Salles Free Float (1) (*) Souza Aranha (1) 63.27% common shares 36.73% common shares 18.21% preferred shares 81.79% preferred shares 100.00% Total 33.69% Total 66.31% Total Cia. E . Johnston Itaúsa S.A. de Participações 50.00% common shares 100.00% preferred shares 66.53% Total IU PAR—Itaú U nibanco Free Float (*) 50.00 % common shares Participações 39.21% common shares 33.47% Total 19.83% Total 51.71% common shares Itaú U nibanco 7.76% common shares 26.15% Total Holdin g S.A. 98.64% preferred shares 52.68% Total (2) (3) 99.99% common shares“A” 100.00% common shares 100.00% preferred shares 100,00% preferred shares 22.45% Total 100.00% Total 99.99%Total 100.00%Total Itaú Consultoria Banco Itaú Itaú CorpBanca S.A. Banco Itaú BBA S.A. de Valores Mobiliários Uruguay S.A. e Participações S.A. 100.00% common shares 99.99% common shares 99.99% common shares 100.00% preferred shares 100.00% preferred shares 100.00% preferred shares 100.00% Total 100.00% Total 100.00%Total 99.99%Total 99.99%Total 0.01% 0.01% common shares Itaú Corretora common shares OCA S.A. Bicsa Holdings, Ltd. Itaú U nibanco S.A. Banco Itaucard S.A. 0.00% de Valores S.A. preferred shares 0.00% preferred shares 0.01%Total 0.01%Total (1) Date: 03.31.2021. (2) Date: 04.27.2021. The percentages do not include treasury shares (*) In addition to treasury shares, percentages do not include the interest held by controlling stockholders. (3) Date: 12.31.2020. Direct subsidiaries


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19.2—In relation to securities held in treasury, in table format, segregated by kind, class, and type, indicate: Justification for not filling in the table: On 02/22/2018, we resolved on the cancellation of 14,424,206 common shares, all book-entry, issued by us and held in treasury, and we made available a line informing the event. On 10/31/2018, BACEN approved the resolution taken by the Extraordinary Stockholders’ General Meeting held on 07/27/2018, related to the stock split. The position of 11/19/2018 was used as the base date for this event, with the shares being included in the stockholding position on 11/26/2018, we made available a line informing the event. The Annual General Stockholders’ Meeting took place on April 24, 2019, we made available a line informing the event. This event was approved by BACEN on 05/31/2019.The Annual General Stockholders’ Meeting was held on April 28, 2020, we made available a line informing the event. The Extraordinary General Stockholders’ Meeting took place on January 31, 2021, we made available a line informing the event. The Annual General Stockholders’ Meeting took place on April 27, 2021, we made available a line informing the event. 19.3. Supply other information that the issuer may deem relevant    Additional information on item 19.2—In relation to securities held in treasury, in table format, segregated by kind, class, and type, indicate: On 02/22/2018, we resolved on the cancellation of 14,424,206 common shares, all book-entry, issued by us and held in treasury, and we made available a line informing the event. On 10/31/2018, BACEN approved the resolution taken by the Extraordinary Stockholders’ General Meeting held on 07/27/2018, related to the stock split. The position of 11/19/2018 was used as the base date for this event, with the shares being included in the stockholding position on 11/26/2018, we made available a line informing the event. The Annual General Stockholders’ Meeting took place on April 24, 2019, we made available a line informing the event. This event was approved by BACEN on 05/31/2019.The Annual General Stockholders’ Meeting was held on April 28, 2020, we made available a line informing the event. The Extraordinary General Stockholders’ Meeting took place on January 31, 2021, we made available a line informing the event. The Annual General Stockholders’ Meeting took place on April 27, 2021, we made available a line informing the event. a. opening number; b. acquired number; c. weighted average purchase price; d. number sold; e. weighted average sale price; f. number cancelled; g. closing number; h. percentage in relation to outstanding securities of the same class and type.


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04/27/2021 Common shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                —R$                 7.97 0.0% Acquisition                -Disposal                —R$                  — Cancellation                —Closing balance                —R$                 7.25 0.0% Preferred shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                41,266,306 R$                24.67 0.0% Acquisition (*)                -Disposal                (16,790,397) R$                21.76 Cancellation                —R$                 — Stock split                —Closing balance                24,475,909 R$                26.78 0.0% (*) Repurchase amounts include settlement, brokerage and trading fees 01/31/2021 Common shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                —R$                 7.97 0.0% Acquisition                -Disposal                —R$                 -Cancellation                —Closing balance                —R$                 7.25 0.0% Preferred shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                41,678,452 R$                24.67 0.9% Acquisition (*)                -Disposal                (412,146) R$                21.76 Cancellation                —R$                -Stock split                —Closing balance                41,266,306 R$                26.78 0.0% (*) Repurchase amounts include settlement, brokerage and trading fees 12/31/2020 Common shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                —R$                 7.97 0.0% Acquisition                -Disposal                —R$                 -Cancellation                —Closing balance                —R$                 7.25 0.0% Preferred shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                58,533,585 R$                24.67 1.2% Acquisition (*)                -Disposal                (16,855,133) R$                21.76 Cancellation                —R$                -Stock split                —Closing balance                41,678,452 R$                26.78 0.9% (*) Repurchase amounts include settlement, brokerage and trading fees    


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12/31/2019 Common shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                —R$                 7.97 0.0% Acquisition                -Disposal                —R$                 -Cancellation                —Closing balance                —R$                 7.25 0.0% Preferred shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                83,614,426 R$                24.67 1.8% Acquisition (*)                -Disposal                (25,080,841) R$                21.76 Cancellation                —R$                -Stock split                - Closing balance                58,533,585 R$                26.78 1.2% (*) Repurchase amounts include settlement, brokerage and trading fees 12/31/2018 Common shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                14,424,206 R$                 7.97 0.4% Acquisition                -Disposal                —R$                 -Cancellation                (14,424,206) R$                37.05 Closing balance                —R$                 7.25 0.0% Preferred shares % in relation to outstanding securities of Changes Number (Units) Weighted average price (R$) the same class and type Opening balance                71,459,714 R$                24.67 2.3% Acquisition (*)                13,100,000 R$                38.95 Disposal                (29,623,265) R$                30.35 Cancellation                —R$                -Stock split                28,677,977 Closing balance                83,614,426 R$                26.78 1.8% (*) Repurchase amounts include settlement, brokerage and trading fees                



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