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                 =033)45$>?(*$@(?7)-$A--?'0)8,-$                               FI$

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U.S. Exchanges Clearing &amp; Settlement

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  • 7. 23,)40*+$T$#,63,7,*8$ •! S,:?-08?4<$@4/-8$T$23,)40*+$2?4:?4)1?*$ –! @(,$S,:?-08?4<$@4/-8$T$23,)40*+$2?4:?4)1?*$dS@22eZ$;)-,5$:407)403<$)8$MM$ =)8,4$#84,,8$0*$U,O$C?4]$208<Z$0-$8(,$O?435j-$3)4+,-8$:?-8i84)5,$b*)*'0)3$ -,4^0',-$'?7:)*<"$Q8$O)-$-,8$/:$8?$:4?^05,$)*$,'0,*8$)*5$-)X,$O)<$X?4$;/<,4-$ )*5$-,33,4-$?X$-,'/401,-$8?$7)],$8(,04$,&'()*+,Z$)*5$8(/-$l'3,)4$)*5$-,63,l$ 84)*-)'1?*-"$Q8$)3-?$:4?^05,-$'/-8?5<$?X$-,'/401,-"$ –! ,*2'@23)."1)%9',%5.1'A)-3$+9'B@,AC'D',*2')%"7"+$#'.205%"62.'&23)."1)%9$ •! %-8);30-(,5$0*$FLJcZ$08$O)-$'4,)8,5$8?$4,5/',$'?-8-$)*5$:4?^05,$,'0,*'0,-$;<$ 077?;030m0*+$-,'/401,-$)*5$7)]0*+$l;??]i,*84<l$'()*+,-$8?$-(?O$?O*,4-(0:$?X$8(,$ -,'/401,-"$S@2$:4?^05,-$-,'/401,-$7?^,7,*8-$X?4$U#22n-$*,8$-,63,7,*8-Z$)*5$ -,63,7,*8$X?4$0*-18/1?*)3$84)5,-$dO(0'($8<:0')33<$0*^?3^,$7?*,<$)*5$-,'/401,-$ 84)*-X,4-$;,8O,,*$'/-8?50)*$;)*]-$)*5$;4?],4i5,)3,4-eZ$)-$O,33$)-$7?*,<$7)4],8$ 0*-84/7,*8-"$Q*$DEEJZ$S@2$-,63,5$84)*-)'1?*-$O?48($oMFc$840330?*Z$)*5$:4?',--,5$cDM$ 70330?*$;??]i,*84<$5,30^,40,-"$Q*$)5501?*$8?$-,63,7,*8$-,4^0',-Z$S@2$4,8)0*-$'/-8?5<$ ?X$c"M$70330?*$-,'/401,-$0--/,-Z$O?48($);?/8$oIE$840330?*Z$0*'3/50*+$-,'/401,-$0--/,5$0*$ 8(,$!#$)*5$7?4,$8()*$FFE$?8(,4$'?/*840,-"$S@2$0-$)$7,7;,4$?X$8(,$!"#"$R,5,4)3$ W,-,4^,$#<-8,7Z$)*5$)$4,+0-8,4,5$'3,)40*+$)+,*'<$O08($8(,$#,'/401,-$)*5$%&'()*+,$ 2?770--0?*"$ –! E$6)+$#'F205%"62.'A#2$%"+7'A)%3)%$6)+'BEFAAC'G'@(,$?40+0*)3$'3,)40*+$ '?4:?4)1?*Z$08$:4?^05,-$'3,)40*+$)*5$-,4^,-$)-$8(,$',*84)3$'?/*8,4:)48<$X?4$ 84)5,-$0*$8(,$!#$-,'/401,-$7)4],8-"$ •! %-8);30-(,5$0*$FLJHZ$08$:4?^05,-$'3,)40*+Z$-,63,7,*8Z$40-]$7)*)+,7,*8Z$',*84)3$ '?/*8,4:)48<$-,4^0',-Z$)*5$)$+/)4)*8,,$?X$'?7:3,1?*$X?4$',48)0*$84)*-)'1?*-$X?4$ ^048/)33<$)33$;4?],4i8?i;4?],4$84)5,-$0*^?3^0*+$,./01,-Z$'?4:?4)8,$)*5$7/*0'0:)3$5,;8Z$ A7,40')*$5,:?-08)4<$4,',0:8-Z$,&'()*+,i84)5,5$X/*5-Z$)*5$/*08$0*^,-87,*8$84/-8-"$ U#22$)3-?$*,8-$84)5,-$)*5$:)<7,*8-$)7?*+$08-$:)41'0:)*8-Z$4,5/'0*+$8(,$^)3/,$?X$ -,'/401,-$)*5$:)<7,*8-$8()8$*,,5$8?$;,$,&'()*+,5$;<$)*$)^,4)+,$?X$LKk$,)'($5)<"$ U#22$+,*,4)33<$'3,)4-$)*5$-,63,-$84)5,-$?*$)$l@Gcl$;)-0-"$U#22$()-$4?/+(3<$IZEEE$ :)41'0:)*8-ZpDJq$)*5$0-$4,+/3)8,5$;<$8(,$!"#"$#,'/401,-$)*5$%&'()*+,$2?770--0?*$ d#%2e"$ –! H"I2&'J+0)-2'A#2$%"+7'A)%3)%$6)+'BHJAAC'r$94?^05,-$'3,)40*+$X?4$b&,5$0*'?7,$ -,'/401,-Z$0*'3/50*+$84,)-/4<$-,'/401,-$)*5$7?48+)+,$;)'],5$-,'/401,-"$ –! #?/4',-_$$ •! (6:_VV,*"O0]0:,50)"?4+VO0]0VS,:?-08?4<h@4/-8hkDHh23,)40*+h2?4:?4)1?*$ •! (6:_VVOOO"58''"'?7V5?O*3?)5-V);?/8VQ*84?5/'1?*h8?hS@22":5X$ =033)45$>?(*$@(?7)-$A--?'0)8,-$ J$
  • 8. U#22$ •! S@22n-$-/;-050)4<Z$U)1?*)3$#,'/401,-$23,)40*+$2?4:?4)1?*$ dU#22eZ$,-8);30-(,5$0*$FLJHZ$:4?^05,-$'3,)40*+Z$-,63,7,*8Z$ 40-]$7)*)+,7,*8Z$',*84)3$'?/*8,4:)48<$-,4^0',-$)*5$)$ +/)4)*8,,$?X$'?7:3,1?*$X?4$',48)0*$84)*-)'1?*-$X?4$^048/)33<$ )33$;4?],4i8?i;4?],4$84)5,-$0*^?3^0*+$,./01,-Z$'?4:?4)8,$)*5$ 7/*0'0:)3$5,;8Z$A7,40')*$5,:?-08)4<$4,',0:8-Z$,&'()*+,i 84)5,5$X/*5-Z$)*5$/*08$0*^,-87,*8$84/-8-"$ •! U#22$)3-?$*,8-$84)5,-$)*5$:)<7,*8-$)7?*+$08-$:)41'0:)*8-Z$ 4,5/'0*+$8(,$^)3/,$?X$-,'/401,-$)*5$:)<7,*8-$8()8$*,,5$8?$ ;,$,&'()*+,5$;<$)*$)^,4)+,$?X$LKk$,)'($5)<"$$ •! U#22$+,*,4)33<$'3,)4-$)*5$-,63,-$84)5,-$?*$)$@Gc$;)-0-"$ •! #,4^0',-$)^)03);3,$0*'3/5,_$ –! A/8?7)8,5$2/-8?7,4$A''?/*8$@4)*-X,4$#,4^0',$dA2A@#e$ –! 2?*1*/?/-$U,8$#,63,7,*8$d2U#e$ –! Q*5,&$#()4,$94?',--0*+$ –! @4)5,$2?7:)40-?*$)*5$W,:?41*+$ –! W,)3i@07,$@4)5,$B)8'(0*+$dX?4$b&,5$0*'?7,$-,'/401,-e$ –! W,'?*b47)1?*$)*5$940'0*+$#,4^0',$ –! #,63,7,*8$#,4^0',-$ –! #8?']$a?44?O$94?+4)7$ •! U#22$0-$4,+/3)8,5$;<$8(,$!"#"$#,'/401,-$)*5$%&'()*+,$ 2?770--0?*$d#%2e"$ –! #?/4',_$(6:_VVOOO"58''"'?7V);?/8V-/;-V*-''":(:$ •! U#22$'/44,*83<$()-$?^,4$IIEE$7,7;,4-$ –! #?/4',_$(6:_VVOOO"58''"'?7V'/-8?7,4V504,'8?40,-V*-''":(:$ =033)45$>?(*$@(?7)-$A--?'0)8,-$ K$
  • 9. UC#%$V$U#22$ •! @(,$U#22$@4)5,$2):8/4,$)*5$W,:?41*+$#,4^0',$:4?^05,-$X?4$8(,$ :4?',--0*+$?X$,./08<$84)*-)'1?*-$,&,'/8,5$?*$8(,$U,O$C?4]$#8?']$ %&'()*+,$)*5$?*$8(,$UC#%$A7,&$dX?47,43<$8(,$A7,40')*$#8?']$ %&'()*+,e"$ •! As,4$8(,$UC#%$84)5,$5)8)$0-$4,',0^,5Z$08$0-$^)305)8,5$)*5$8(,*$4,:?48,5$8?$ :)41'0:)*8-$?*$'?*84)'8$?/8:/8$b3,-$X?4$4,'?*'030)1?*$:/4:?-,-$0*84)i5)<"$ R?4$-,'/401,-$,30+0;3,$)8$8(,$5,:?-08?4<Z$8(,$84)5,$5)8)$0-$)3-?$X?4O)45,5$ 8?$U#22n-$2?*1*/?/-$U,8$#,63,7,*8$d2U#e$-<-8,7$X?4$-,63,7,*8$)-$O,33$ )-$40-]$7)*)+,7,*8$-<-8,7-$X?4$40-]$'?*84?3"$ •! @(,$-,4^0',$:4?^05,-$)$*/7;,4$?X$?:,4)1?*)3$)5^)*8)+,-_$ –! W,)3i17,$5)8)$-/;70--0?*$0*8?$U#22$X4?7$8(,$UC#%$)33?O-$X?4$X)-8$)*5$ ,'0,*8$:4?',--0*+"$ –! #/::?48-$0*5/-84<$;/-0*,--$'?*1*/08<$)*5$#84)0+(8i@(4?/+($94?',--0*+$,t?48-"$ –! #,63,7,*8$0-$',*84)30m,5$0*$U#22n-$2U#$-<-8,7$X?4$2U#$,30+0;3,$-,'/401,-"$ –! Q*84)i5)<$?/8:/8$0-$4,:?48,5$8?$:)41'0:)*8-$?*$8(,$IEEi;<8,$/*0^,4-)3$84)5,$ 4,'?450*+$7)'(0*,i4,)5);3,$?/8:/8"$S)8)$0-$'/44,*83<$4,:?48,5$8?$:)41'0:)*8-$ ,0+(8$17,-$)$5)<"$ •! U#22$)'',:8-$84)5,$5)8)$)-$4,)3i17,$7,--)+,-"$@(,$84)*-)'1?*-$)4,$ 84)*-706,5$8?$8(,$'3,)40*+$'?4:?4)1?*$)s,4$8(,<$)4,$7)8'(,5$0*$8(,$ UC#%n-$Y*30*,$2?7:)40-?*$#<-8,7$dY2#e$?4$l3?'],5i0*l$0*$8(,$U,O$C?4]$ @4)50*+$#<-8,7-"$@(,$-,4^0',$8(,*$^)305)8,-$^)40?/-$84)5,$5)8)$,3,7,*8-$ )*5$4,:?48-$8(,$84)5,$5,8)03-$8?$U#22$:)41'0:)*8-$?*$)*$0*84)i5)<$)*5$ ,*5i?Xi5)<$;)-0-"$d%*5i?Xi5)<$?/8:/8$0-$?*3<$)^)03);3,$0*$)$:40*8$07)+,$ X?47)8"e$$@(,$0*84)i5)<$?/8:/8$0-$'4,)8,5$0*$)$/*0^,4-)3$X?47)8$-?$8()8$)33$ 84)5,$5)8)$0-$4,:?48,5$8?$:)41'0:)*8-$/-0*+$^048/)33<$8(,$-)7,$4,'?45$ 3)<?/8$)'4?--$)33$5?7,-1'$7)4],8:3)',-"$ •! #?/4',_$(6:_VVOOO"58''"'?7V:4?5/'8-V'-V,./01,-h'3,)4)*',V 8'4h*<-,":(:$ =033)45$>?(*$@(?7)-$A--?'0)8,-$ L$
  • 10. UA#SAf$V$U#22$ •!@(,$U#22@4)5,$2):8/4,$)*5$W,:?41*+$#,4^0',$:4?^05,-$X?4$8(,$:4?',--0*+$?X$5?7,-1'$)*5$ X?4,0+*$,./08<$84)*-)'1?*-$,&,'/8,5$0*$8(,$U)-5).$#8?']$B)4],8$)*5$;<$f/)30b,5$#,4^0',$ W,:4,-,*8)1^,-$df#W-e"$ •!$A$f#W$7/-8$;,$?*$?*,$-05,$?X$,^,4<$84)*-)'1?*$-/;706,5$8?$U#22$)*5$7/-8$:4,-'40;,$8?$ U#22n-$f#W$4/3,-$)*5$4,+/3)1?*-$$U)-5).$)*5$Y^,4i8(,i2?/*8,4$84)5,$5)8)$0-$^)305)8,5$)*5$ 8(,*$4,:?48,5$8?$:)41'0:)*8-$?*$Q*84)i5)<$)*5$,*5i?Xi5)<$'?*84)'8$?/8:/8$X?4$4,'?*'030)1?*$ :/4:?-,-"$ •!R?4$-,'/401,-$,30+0;3,$)8$8(,$5,:?-08?4<Z$84)5,$5)8)$0-$X?4O)45,5$8?$U#22n-$2?*1*/?/-$U,8$ #,63,7,*8$)::30')1?*$X?4$-,63,7,*8$)-$O,33$)-$40-]$7)*)+,7,*8$-<-8,7-$X?4$40-]$'?*84?3"$ •!@(,$-,4^0',$:4?^05,-$)$*/7;,4$?X$?:,4)1?*)3$)5^)*8)+,-_$ –!W,)3i17,$5)8)$-/;70--0?*-$0*8?$U#22$X4?7$U)-5).$)33?O-$X?4$X)-8$)*5$,'0,*8$ :4?',--0*+"$ –!@4)5,$4,'?450*+$0-$)^)03);3,$X?4$)33$Y^,4i8(,i2?/*8,4$-,'/401,-$0*'3/50*+$U)-5).$ U)1?*)3$B)4],8$dUUBeZ$U)-5).$#7)33$2):$)*5$a/33,1*$a?)45V90*]$#(,,8$0--/,-"$ –!#,63,7,*8$0-$',*84)30m,5$0*$U#22n-$2U#$)::30')1?*$X?4$2U#$,30+0;3,$-,'/401,-"$ –!Q*84)i5)<$?/8:/8$0-$4,:?48,5$8?$:)41'0:)*8-$?*$8(,$IEEi;<8,$/*0^,4-)3$84)5,$ 4,'?450*+$7)'(0*,i4,)5);3,$?/8:/8"$S)8)$0-$'/44,*83<$4,:?48,5$8?$:)41'0:)*8-$8,*$ 17,-$)$5)<"$ •!U#22$)'',:8-$84)5,$5)8)$0*$4,)3i17,$?4$?*$)$7/31i;)8'($;)-0-"$@(,$-,4^0',$8(,*$^)305)8,-$ ^)40?/-$84)5,$5)8)$,3,7,*8-$)*5$4,:?48-$8(,$84)5,$5,8)03-$8?$U#22$:)41'0:)*8-$?*$)*$0*84)i 5)<$)*5$,*5i?Xi5)<$;)-0-"$$ •!#?/4',_$(6:_VVOOO"58''"'?7V:4?5/'8-V'-V,./01,-h'3,)4)*',V8'4h?8'8:":(:$ =033)45$>?(*$@(?7)-$A--?'0)8,-$ FE$
  • 11. aA@#$V$U#22$ •! 9/4-/)*8$8?$8(,$)::4?^)3$?X$aA@#$%&'()*+,Z$Q*'"$ d8(,$uaA@#$%&'()*+,ve$)-$)$#,3X$W,+/3)8?4<$ Y4+)*0m)1?*$d#WYeZ$aA@#$%&'()*+,$7?^,5$X4?7$ %2U$8?$%&'()*+,$-8)8/-$?^,4$)$8O?$O,,]$:,40?5$ ;,+0**0*+$?*$R405)<Z$Y'8?;,4$DIZ$DEEK"$$ •! Y*$R405)<Z$Y'8?;,4$DIZ$DEEKZ$U)1?*)3$#,'/401,-$ 23,)40*+$2?4:?4)1?*$dU#22e$,*()*',5$08-$ W,+0?*)3$Q*8,4X)',$Y/8:/8$dWQYe$0*84)i5)<$ B)'(0*,$W,)5);3,$Y/8:/8$dBWYe$2?*84)'8$#(,,8$ )*5$'?44,-:?*50*+$,*5i?Xi5)<$940*8$Q7)+,$@4)5,$ ?/8:/8$8?$0*'3/5,$,./08<$84)5,-$,&,'/8,5$?*$8(,$ aA@#$%&'()*+,"$$$$$$$$$ •! A33$aA@#$%&'()*+,$,./08<$84)5,-$)4,$4,:?48,5$ O08($8(,$2?*84)$23,)40*+$R047$*/7;,4$?X$KHED$ )*5$2?*84)$%&,'/1*+$a4?],4$dB9QSe$uAUYUv$0*$ -/::?48$?X$:?-8$84)5,$)*?*<708<"$Q*$)5501?*Z$ U#22$7?50b,5$08-$2?*-?305)8,5$@4)5,$#/77)4<$ d2@#e$B)'(0*,$W,)5);3,$)*5$940*8$Q7)+,$?/8:/8$ 8?$/*0./,3<$05,*1X<$8(,$aA@#$%&'()*+,"$$ •! #?/4',_$(6:_VVOOO"58''"'?7V5?O*3?)5-V3,+)3V 07:h*?1',-VDEEKV*-''V)HHLH":5X$ =033)45$>?(*$@(?7)-$A--?'0)8,-$ FF$
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