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sent for purchases into money market mutual funds processed on the sweep platform. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP Rated [strata? (my Year Since 2007 DALIAR RATED COMMUNICATIONS ()tall INC I Page 12 of 18 Clearing Omer Pad.S I1C naoly wend sotaldlary of The
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ON ALLOCATED ORDER Page '6 of 22 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 90099639C5Q° 1_8 NFIDO Paled ficellent Even/ Year Since 2007 DALBAR RATIO COMMUNICATIONS EXCELLENCE Clown. tivough 'Want U.C. a wooer owned sabsidlary of The Sank ad New York Mellon CA•Parabil any Mellon) onm Poshattl.C.nverter FihRAM
Entities connected to both CONFIDOP and DALBAR RATIO COMMUNICATIONS
Interest - U.S. DOLLARS
ORGANIZATIONTHE CLEARING FACILITY
ORGANIZATIONTHE BOARD OF GOVERNORS OF
ORGANIZATIONTAXABLE
ORGANIZATION
Mellon
ORGANIZATION
Deutsche Bank
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATION
Mao Zedong
PERSONBNY MELLON CAPITAL MARKETS
ORGANIZATIONthe State of New York
LOCATIONLegal Department
ORGANIZATIONPershing LLC
ORGANIZATIONPershing
LOCATIONJersey City
LOCATION
Baltimore
LOCATIONUMIAK
ORGANIZATION
CUSTOMS
ORGANIZATIONCleanng
PERSON
Jeff Sessions
PERSONthe Options Clearing Corporation
ORGANIZATION