EFTA01384276.pdf

TERMS AND CONDITIONS TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. • ALL ORDERS AND TRANSACTIONS SHALL SE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES, WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE, OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL, SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM. STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHIOG.CONVDISCLOSURES. TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607(A)(1)-(2)) BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO T:ME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETALS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING REGENTS PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL. REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER NSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH V./FORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMiNE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC ("PERSHING') FOR ANY AMOUNT, ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU, CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT, ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF, WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR UABILMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. IF ANY OF THE MOVE TERNS MC CONCRIONS ARE UNACCEPTABLE 70 YOU. FLEASE NOTIFYPERS-NIG MLIEDLATELY IN WRITING SY CERTFIED AWL TO ONE PERSHING PLAZA. JERSEY COY. NJ 07399. ATM LEGAL DEPT Page 9 o19 Account Number N4G-023812 Raid Ewell., Outs Swoosh Pone' LILC. • wholly sad A:Ctrr.S"•' Go paperless way,MINIM' 4 Every Year Since 2007 04BAR MTIOCOMIAVNICATIONS EXCELIDICE st6VoSwy of The Bak °Mew Yea Melba Comentlan (SHY Melon) PersPrw LLC. motto( ANSA. NYSE StPC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084378 CONFIDENTIAL SDNY_GM_00230562 EFTA01384276