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Document Mentions (4 shared documents)
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jectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
Cash 11/07/13 VIACOM INC NEW Cl. B Dividend Oplion: Cash 06/10/15 VOLKSWAGEN A GADR (SPONS) Dividend Oplion: Cash 04/13/15 5,000.000 WISDOM TREE INVTS INC COM Dividend Oplion: Cash 03/31/15 15.000.000 21.6110 Total Common Stocks Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTO TR FCC S
2 mentions1 same-page
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jectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershin
tifier: VLKAY Dividend Oplion: Cash CUSP:928662303 04/13/15 5.000 000 50.8610 254.306.00 32.0900 160.450 00 -93.856.00 91.85 0.05% WISDOM TREE INVTS INC COM Security Identifier:WM Dividend Oplion: Cash CUSP:9771014 Page 8 of 17 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL to ripene
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bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid f
AGEN A G ADR (SPONSI Dividend Option: Cash Security Identifier: VLKAY CUSIP-. 928662303 04113115 5.000.000 50 8610 254,306.00 29.7450 WISDOM TREE INVTS INC COM Dividend Option. Cash Security 'deadlier: WETF CUSP 97717P104 03131115 15.000.000 216110 324.157 50 8.5800 Total Common Stocks $88,135,661.
Sponsored
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bjectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available anon written request to your introducing firm. Fage16 of 18 I' RA.,son Account Num b
nt Currency Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received Security Dividends WISDOM TREE INVTS INC COM 02/17/16 03/02/16 Total Cash Not Yet Received 0.00 7,641,999.57 USD Record Date Payable Date Quantity Held Rate Dividend Option Amount of
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Mutual Connections (124)
Entities connected to both the Options Clearing Corporation and TREE INVTS INC COM
Pershing
LOCATION99 w/ the·4 w/ TREE
Money Market Fund
ORGANIZATION64 w/ the·3 w/ TREE
Securities Investor Protection Corporation
ORGANIZATION55 w/ the·4 w/ TREE
Pershing LLC
ORGANIZATION51 w/ the·4 w/ TREE
the State of New York
LOCATION50 w/ the·4 w/ TREE
the Pershing Customer Service Department
ORGANIZATION49 w/ the·4 w/ TREE
Bank Deposit
ORGANIZATION50 w/ the·2 w/ TREE
Legal Department
ORGANIZATION44 w/ the·4 w/ TREE
Pie Chart
ORGANIZATION41 w/ the·4 w/ TREE
Client Service Information
ORGANIZATION40 w/ the·3 w/ TREE
Baltimore
LOCATION37 w/ the·4 w/ TREE
THE FEDERAL RESERVE SYSTEM
ORGANIZATION37 w/ the·4 w/ TREE
Jeff Sessions
PERSON36 w/ the·4 w/ TREE
THE CLEARING FACILITY
ORGANIZATION35 w/ the·4 w/ TREE
THE BOARD OF GOVERNORS OF
ORGANIZATION35 w/ the·4 w/ TREE
CUSTOMS
ORGANIZATION34 w/ the·4 w/ TREE
ON PERSHING'S
ORGANIZATION33 w/ the·4 w/ TREE
Jersey City
LOCATION33 w/ the·4 w/ TREE
USAGES
ORGANIZATION33 w/ the·4 w/ TREE
TAXABLE
ORGANIZATION33 w/ the·3 w/ TREE