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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 OCECUTION: NOTWITHSTANDING THE P
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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
SUANT TO FED. R CRIM. P. 6(e) Page 11 of 19 Account Num ber. N4G-023804 [mailer/I DALO RATED COMMUNICATIONS GO paperless ',try Vs., since 2007 SOL THERA C5. LLC. N F I DrmTiAL NCI te a 7=7:17= " " " —0-•••Ainne SDNY_GM_00046202 OB-SDNY-0009026 EFTA_00156811 EFTA01289174 Portfolio Holdings (c
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
re marked WA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Wink, Rot t SOL THERA COrenNYEIDAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ben N4G-023 12 Go paperless Nei one Rated excellent, Every Yea.
Entities connected to both BNY MELLON CAPITAL MARKETS and SOL THERA
ON PERSHING'S
ORGANIZATIONTHE FEDERAL RESERVE SYSTEM
ORGANIZATION
Jeff Sessions
PERSONUSAGES
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATION
CUSTOMS
ORGANIZATIONINDEBTED TO PERSHING LLC
ORGANIZATIONTIME PERSHING
ORGANIZATIONTAXABLE
ORGANIZATIONthe Pershing Customer Service Department
ORGANIZATIONthe State of New York
LOCATIONPershing
LOCATIONPershing LLC
ORGANIZATIONLegal Department
ORGANIZATION
Baltimore
LOCATIONJersey City
LOCATIONClient Service Information
ORGANIZATIONthe Options Clearing Corporation
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATION