5
Shared Docs
5
Same-Page
5 / 5
Mentions
5,968.00 101.256 00 •100,69900 Page of 19 (very Van dust 2'007 DAL BAR RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERk CON Fl DAni sriA rxciarmer Account Number. N4G-023804 Rabid excellerill Go paperless SDNY_GM_00046197 DB-SDNY-0009021 EFTA_00 156806 EFTA01289169
OR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID 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 EXECUTION: NOTWITHSTANDING THE P
74 This Period % Allocation 17,558,338.54 71.80% 8,776,908.97 13.80% 7,251.590 00 1110% 163,68037M 100.00% 5009 9020CSF300 GO paperless CON Fl DAENTIAL P ease renew your allocation cer cdca y ugh your Clent Adviser. Page 1 of 10 Rated [nation, (very V.A. Woe, 2007 DALBAR RATED COMMUNIC
OR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN 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 OF A PER OPTION CONTRACT CASH PAYMENT. BEST IMECIIIION: NOTWITHSTANDING THE
201,612 03 4% ET" Account Total (Pie Chart) $63,642,192.78 $47,656,392.60 $53,946,386.66 100% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON Fl D('EWITAL B010202303230019 This Period Year-to-Oate 847,665,392.80 563,042,002.78 6,188,980 68 -10,742,141.25 53,242,313.48 62,900,851.63 2
OR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID 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 EXECUTION: NOTWITHSTANDING THE
r Asset notation. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) P ease renew your allocation cer crehrta y wth you' ClentArlyisct Pape 1 of 10 CON Fl D(rEPDITfisAL BM 0:W5130018 Rioted twalloni Every VAN Seam 2007 DALBAR RATEDCOMMUNICATIONS exeunt...a SDNY_GM_00046932 OH-SDNY-0009756 EFTA_0
FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAN OPTION EXCHANGES. IN 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 OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE P
813,801.96 60.00 $81,982.97 60.00 Page 2 011 Account Number 1,(iAi paperless JEEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON Fl DrIcTIAL Rabid Lao-SYS Event Year Sava 2007 DAL BAR RATED COMMUNCATIONS 8,m:tunic? SDNY_GM_00047399 DB-SDNY-0010223 EFTA_00 I 58008 EFTA01290
OR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTA/N OPTION EXCHANGES. IN 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 OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE P
Entities connected to both CON Fl and BNY MELLON CAPITAL MARKETS

CUSTOMS
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONON PERSHING'S
ORGANIZATIONUSAGES
ORGANIZATION
Jeff Sessions
PERSONINDEBTED TO PERSHING LLC
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPershing
LOCATIONPershing LLC
ORGANIZATIONLegal Department
ORGANIZATION
Baltimore
LOCATIONClient Service Information
ORGANIZATIONJersey City
LOCATIONPie Chart
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATION