Decision number: 12-ARCA-3 ID DIESES DATENSATZES: 20200292674 OTHER INFORMATION CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) For internal use only SDNY_GM_00057304 CONFIDENTIAL — PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0020128 EFTA_00 I 6787.2 EFTA01295969

Decision number: 12-ARCA-3 ID DIESES DATENSATZES: 20200292674 OTHER INFORMATION CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053241 CONFIDENTIAL SDNY_GM_00199425 EFTA01363291

ril 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United States of America For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0064680 CONFIDENTIAL

ril 20, 2012 LIST NAME: NYSE Arca Enforcement DATE OF INFORMATION: January 23, 2017 CASE: Name on the list of Arca Disciplinary Actions (Position: ETP Holder Limited Partner) COUNTRY: United States of America For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0065730 CONFIDENTIAL