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ersey City, New Jersey 07399; (201) 413-3330. Page 7 of 7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOI •••••• RAS builem Cleats Iva, Penang 1.1.C. a Stay owned Enty Yew Snot 200/ sublidlay Oft Sank of New York Mellon ['ALMA MILD COMMUNICATIONS Corporatim (MY MOW OCCDAINCE pe&-t ac „
FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST OCECIMON: NOTWITHSTANDING THE P
:75 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated Eaceilent Every Yew Since 2007 DAUMMUD C0MMUNCATIMS EXCIMENCE Owing Sae. Penang ISC.• wholly owned subnehanft or km of New York Mellon Corporatism awn' Moto) P r. MC. rner-ter manANIKer-IM_00049093 DB-SDNY-0011917 EFTA_00 15
FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAAN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CAS-I PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE
. 6(e) 0.00 43,012.95 Page 5 of 7 Await% Note CONFID AL-- path brellent Every Year Same 2007 DAM& eAl ID C0MMUMCATIOM EXCLUDeCt cow through Penang Lt. a Sway owned solmieliarft Mille &onkel New York Mellon Cerpontim (MY Melon) nentnll.C.intrrte HonatIklitero64 00049780 DB-SDNY-0012604 EFTA_0
FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. N ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. BEST EMOTION: NOTWITHSTANDING THE PR
Entities connected to both Penang and BNY MELLON CAPITAL MARKETS
ON PERSHING'S
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
Jeff Sessions
PERSON
CUSTOMS
ORGANIZATIONUSAGES
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe State of New York
LOCATIONthe Pershing Customer Service Department
ORGANIZATIONLegal Department
ORGANIZATIONPershing
LOCATIONPershing LLC
ORGANIZATION
Ghislaine Maxwell
PERSONJersey City
LOCATION
Baltimore
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONClient Service Information
ORGANIZATION