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• Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399;-. Errors and Omissions excepted. Important Arbitration Disclosures • All p
ery Year Since 2007 DALIAR RATED COMMUIIICATIONS LXCILLINCI Clewing *roar Pate, IIC a wiepreved subsidiary a The Mak a New Yak Meta CarpotatIon (OM Mellon) P U.C.ertn—bn FilislAVVVELGM-00046577 DE1-SDNY-0009401 EFTA_00 157186 EFTA01289549 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transact
ARCLAYS BK PLC CONTINGENT CAP NT 300.000.000 300,000.000 100.0000 ISINIUSO 6739FHKO 3 7.750% 0 4ftif 23 Fll E DTD 04/ 13713 CALLABLE() 4/ 10/18 Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy
Every Year Since 2007 DALIARIATEDCOMMUNICATIONS LC:WINCE Charing through Pealing11C • Say ogrnai setaklan of The Mak a New Yon Melba Corpont$ on OM Mellon) Peribitte LC. avert. Finits...WKa9m—00046690 DB-SDNY-0009514 EFTA_00 157299 EFTA01289662 Transactions by Type of Activity (continued) Proms'
im is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to
r Sect 20O1 DALBAR RATED COMMUNICATORS acittuta Cleating VVOUgh Pershing LUC a Sbany owned stinithory of the Bark of New Yak Mellon Corporation (OM Mellon) AW m_00046366 Ptrshinellf. mat. FINRA. Sit! DB-SDNY-0009190 EFTA_00 156975 EFTA01289338 Portfolio Holdings (continued) DateAcquired Quant
under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRB website, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, FIN RA, and NYSE Although a money market mutual fund seeks to preserve the v
ient Every Yet Since 2007 DALBAR RATIO COMMUNICATIONS ()tallMCC Clams through Fenian LLC **bay ems .Mawr a The Mak a New Yoh Mellon CarpontIon (OM Mellon) Per Ow 11.C.rnnter iirreA.WANLGM_00047139 DB-SONY-0009963 EFrA_00 157748 EFTA01290008 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Activit
Entities connected to both Pershing LLC and OM Mellon
Pershing
LOCATIONLegal Department
ORGANIZATIONthe State of New York
LOCATIONJersey City
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONthe Pershing Customer Service Department
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Baltimore
LOCATIONthe Options Clearing Corporation
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Deutsche Bank
ORGANIZATIONClient Service Information
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONMoney Market Fund
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONPie Chart
ORGANIZATION
Jeff Sessions
PERSONTAXABLE
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CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATIONON PERSHING'S
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