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ontinued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a cleanrg agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property an
of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registe
ject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been scomorated into the FINRA Consolidated Rulebook, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processAblien an issuer initiates a
ON PURPOSES. IF ANY OF TIE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU, FI.EASE NOTIFY PEREMFG IMMEDIATELY IN WRITING BY CERTFIED IAML TO ONE PERSHING PLATA. JERSEY CITY. NI OMB Atlit LEGAL DM Page 21 of 21 Account Number: 1)0A0 ROLL Go paperless SOL Cer ONi FID ENT IAL CONFIDENTIAL — PURSUANT TO F
rmined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa•es Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not
d accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing taffies and clears those accounts). No allocation eel be made to these proprietary and employee accounts until al other client positions at Pershing
of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers Whose introduced accounts have received an allocation. Securities regist
ECUTION PURPOSES. IF ANY OF TM ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU. FtEASE NOTIFY PEREMNG IMMEDIATELY IN WRITING BY CERTFIED WM 70 ONE PERSHING PLATA. JERSEY CRT. NI 07399. ATM LEGAL DOT Page 9 or 9 Aco3unl Number BOI071SICSF30022 00.4114-1 IT Go paperless SR:7" ice= = A R DA MAR RATED COmm
this information by calling (888)387-2583, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340. Pershing must have procedures in place that are designed to treat clients fatty in accordance with an impartial lottery process. When an issuer initiates a p
of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registe
TION PURPOSES. IF ANY OF TlE ABOVE TERMS MID CCHOITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERI:MING OMEGA, ELY IN WRITING BY CERRO:ED PAWL 1001E PERSHING PLATA. JERSEY CITY. NJ 01399. ATM LEGAL DEPT Page 21 of 21 USAI3 ROLL Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:; THE
Entities connected to both Pershing and PERSHING PLATA
Pershing LLC
ORGANIZATIONthe State of New York
LOCATIONSecurities Investor Protection Corporation
ORGANIZATIONLegal Department
ORGANIZATIONDeutsche Bank Securities Inc.
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONMoney Market Fund
ORGANIZATIONClient Service Information
ORGANIZATION
Deutsche Bank
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONON PERSHING'S
ORGANIZATIONUSAGES
ORGANIZATIONPie Chart
ORGANIZATION
FDIC
ORGANIZATIONTAXABLE
ORGANIZATION