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EmmyvemS4K.2007 DAUMRRAMDCOAVAUNCATICN5 EXCUMNa Owing Swab Ambit. PIC. • %AA. owned subsidiary SIM Bonita New York Melba Cannatim (MY Mellon) POnhal; uE.jtwebe. FIIIRAUttearltet00047691 DB-SDNY-0010515 EFTA_00158300 EFTA01290328 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Hold
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
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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 CF A PER OPTION CONTRACT CASH PAYMENT. BEST EMOTION: NOTWITHSTANDING THE PR
t Every Vex Since 2007 DAUM WED COMMUNCATIONS EXCULD.0 I Owing Own% Mtn PIC • Sally weed subsidiady The BM.' New York Who Cameatim (MY MN M) POnhal; uc. MInter FIIIRAWALGM_00049709 DEI-SDNY-0012533 EFTA_OO16O3 I 8 EFTA01291804 Transactions by Type of Activity (continued) Process Settlement
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 POnhal and BNY MELLON CAPITAL MARKETS
ON PERSHING'S
ORGANIZATION
CUSTOMS
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONUSAGES
ORGANIZATION
Jeff Sessions
PERSONINDEBTED TO PERSHING LLC
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPershing
LOCATIONLegal Department
ORGANIZATIONPershing LLC
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Baltimore
LOCATIONJersey City
LOCATIONClient Service Information
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONthe Options Clearing Corporation
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