1.3 Wells Fargo Clearing Services, LLC 2021 4 2022-01-26T18:32:07Z 2021 10 100.00 59.60 1.22 29.85 9.33 CITADEL SECURITIES LLC 29.83 29.78 35.66 26.79 39.07 0.00 0.0000 0.00 0.0000 9179.15 14.2581 685.48 4.0457 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Jane Street Capital 18.63 30.57 4.00 1.04 0.50 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Securities 13.70 22.98 0.09 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS. The Firm and WFS do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. UBS Securities, LLC 10.70 2.75 18.54 24.08 17.64 0.00 0.0000 0.00 0.0000 6928.58 28.5385 1370.64 65.1305 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Two Sigma Securities, LLC 8.57 3.13 14.63 16.95 15.77 0.00 0.0000 0.00 0.0000 4764.16 15.0805 0.00 0.0000 Two Sigma Securities, LLC: Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. G1X Execution Services, LLC 8.21 8.23 10.60 7.93 8.68 0.00 0.0000 0.00 0.0000 2764.53 16.1610 1.23 0.0721 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1 Virtu Americas, LLC 8.02 2.56 16.30 15.37 18.34 0.00 0.0000 0.00 0.0000 5455.66 19.7426 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Nasdaq OMX 1.19 0.00 0.09 3.97 0.00 0.00 0.0000 -2.16 -4.9554 1016.64 30.6900 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs. CBOE BZX Exchange 1.15 0.00 0.09 3.85 0.00 0.00 0.0000 -7.97 -19.8703 839.74 31.2352 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program. 100.00 46.99 3.08 43.33 6.60 CITADEL SECURITIES LLC 26.32 23.79 33.80 26.72 38.18 0.00 0.0000 0.00 0.0000 36538.43 12.9163 3497.34 4.1893 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Wells Fargo Securities 17.03 36.23 0.04 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS. The Firm and WFS do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. UBS Securities, LLC 14.86 4.80 22.79 24.62 18.79 0.00 0.0000 0.00 0.0000 30212.12 25.0307 5345.17 61.1986 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Jane Street Capital 11.50 23.35 3.52 0.92 0.28 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Virtu Americas, LLC 10.59 2.69 18.56 17.25 19.37 0.00 0.0000 0.00 0.0000 22650.46 16.2091 2.60 0.0164 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Two Sigma Securities, LLC 9.92 2.61 12.54 16.78 15.80 0.00 0.0000 0.52 0.0004 20087.59 15.7061 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. G1X Execution Services, LLC 7.26 6.53 8.60 7.91 7.59 0.00 0.0000 0.00 0.0000 12985.76 18.7169 36.96 0.2787 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Nasdaq OMX 1.26 0.00 0.08 2.90 0.00 0.00 0.0000 -44.93 -21.2940 3530.19 29.7936 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs. CBOE BZX Exchange 1.26 0.00 0.05 2.90 0.00 0.00 0.0000 -15.54 -9.9650 3049.33 29.8194 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program. GTS SECURITIES LLC 0.00 0.00 0.00 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 35.22 9.33 53.73 1.71 Global Execution Brokers LP 38.39 37.88 39.89 38.39 40.65 33908.00 20.5229 24604.47 22.4856 43723.40 19.3605 8812.40 4.2392 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.65 per contract. CITADEL SECURITIES LLC 36.85 37.27 36.36 36.72 35.23 29523.30 9.9901 16037.16 9.9566 17066.96 9.8464 2829.68 5.1780 Wells Fargo Clearing Services, LLC (the “Firm”) receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.10 per contract. Wolverine Execution Services, LLC 16.07 16.01 15.41 16.28 14.65 23411.80 17.4667 11059.76 25.9594 18421.25 27.4993 442.81 22.8370 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.69 per contract. Morgan Stanley & Co., LLC 8.65 8.79 8.24 8.59 9.48 3406.80 4.4072 3064.20 9.9497 8773.15 27.0751 1086.00 28.3329 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.50 per contract. Interactive Brokers LLC 0.04 0.05 0.10 0.02 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 2021 11 100.00 59.81 1.45 29.64 9.09 CITADEL SECURITIES LLC 25.41 25.39 34.73 18.86 45.42 0.00 0.0000 0.00 0.0000 5103.48 12.0875 976.81 4.5625 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Jane Street Capital 18.18 29.74 4.04 0.99 0.52 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Securities 15.62 26.10 0.06 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS. The Firm and WFS do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. G1X Execution Services, LLC 14.42 10.94 11.24 24.97 3.44 0.00 0.0000 0.00 0.0000 9559.97 17.2068 11.91 0.5839 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1 UBS Securities, LLC 10.77 2.75 19.28 22.20 24.94 0.00 0.0000 0.00 0.0000 6928.10 9.7556 1368.62 20.6710 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Two Sigma Securities, LLC 9.04 3.54 14.73 18.58 13.23 0.00 0.0000 0.00 0.0000 6328.61 16.1350 0.00 0.0000 Two Sigma Securities, LLC: Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Virtu Americas, LLC 6.55 1.56 15.92 14.34 12.45 0.00 0.0000 0.00 0.0000 6878.22 19.8393 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Nasdaq OMX 0.01 0.00 0.00 0.03 0.00 0.00 0.0000 0.00 0.0000 24.97 28.2852 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs. CBOE BZX Exchange 0.01 0.00 0.00 0.03 0.00 0.00 0.0000 0.00 0.0000 2.95 30.5507 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program. 100.00 47.88 3.27 42.29 6.56 CITADEL SECURITIES LLC 21.31 19.74 33.44 18.84 42.52 0.00 0.0000 0.00 0.0000 22770.26 10.6613 4152.48 3.0347 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Wells Fargo Securities 18.98 39.63 0.04 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS. The Firm and WFS do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. G1X Execution Services, LLC 14.72 8.27 9.66 24.05 4.14 0.00 0.0000 0.00 0.0000 42915.75 19.1136 126.41 0.5979 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. UBS Securities, LLC 13.77 4.15 22.27 22.46 23.70 0.00 0.0000 0.00 0.0000 29134.56 6.8085 5663.10 14.0303 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Jane Street Capital 11.71 23.39 3.46 0.89 0.34 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Two Sigma Securities, LLC 10.27 2.69 12.48 18.05 14.29 0.00 0.0000 0.00 0.0000 25175.24 15.2195 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Virtu Americas, LLC 9.23 2.13 18.58 15.64 15.01 0.00 0.0000 0.00 0.0000 23896.88 16.1540 2.20 0.0090 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Nasdaq OMX 0.01 0.00 0.00 0.02 0.00 0.00 0.0000 0.00 0.0000 11.65 46.9758 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity programs. CBOE BZX Exchange 0.01 0.00 0.00 0.02 0.00 0.00 0.0000 0.00 0.0000 7.58 32.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC receives rebate payments from this exchange for executed orders that provide liquidity based upon standard exchange terms and rates. These rebates may be greater than fees paid. Some orders qualify for a higher rebate rate if eligible for exchange sponsored retail liquidity program. GTS SECURITIES LLC 0.00 0.00 0.01 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 34.39 9.35 54.98 1.28 Global Execution Brokers LP 38.60 38.57 39.59 38.40 40.58 40134.51 22.5750 33726.24 23.1861 44265.16 19.0403 8156.87 3.3679 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.65 per contract. CITADEL SECURITIES LLC 37.28 36.99 37.25 37.51 34.90 32836.68 9.9928 17083.96 9.9486 18375.13 9.8162 2953.00 5.2767 Wells Fargo Clearing Services, LLC (the “Firm”) receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.10 per contract. Wolverine Execution Services, LLC 15.56 15.63 15.16 15.60 14.97 26146.63 19.5299 11933.51 26.7868 20863.60 29.5180 560.50 27.6108 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.69 per contract. Morgan Stanley & Co., LLC 8.52 8.72 7.92 8.46 9.55 4396.30 5.3470 2212.25 6.4136 8335.55 25.6053 1269.20 27.8394 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.50 per contract. Interactive Brokers LLC 0.05 0.09 0.07 0.02 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 2021 12 99.98 61.89 1.14 29.20 7.77 CITADEL SECURITIES LLC 28.17 25.76 34.87 29.11 42.82 0.00 0.0000 0.00 0.0000 9345.70 14.2149 861.11 5.0412 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Jane Street Capital 18.31 29.01 4.25 0.93 0.43 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Securities 14.81 23.93 0.09 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS. The Firm and WFS do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. G1X Execution Services, LLC 12.08 13.10 11.45 12.23 3.45 0.00 0.0000 0.00 0.0000 5038.32 17.2675 0.20 0.0063 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1 Two Sigma Securities, LLC 9.91 3.74 15.23 21.90 13.18 0.00 0.0000 0.14 0.0009 7076.85 16.1741 0.00 0.0000 Two Sigma Securities, LLC: Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Virtu Americas, LLC 8.47 1.42 16.17 22.14 12.07 0.00 0.0000 0.00 0.0000 9362.33 19.8588 0.32 0.0179 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. UBS Securities, LLC 8.26 3.05 17.94 13.68 28.04 0.00 0.0000 0.00 0.0000 3062.62 6.8466 712.36 16.4860 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. XTND 0.00 0.00 0.00 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 51.06 3.08 40.73 5.14 CITADEL SECURITIES LLC 25.34 21.38 31.64 27.78 41.47 0.00 0.0000 0.00 0.0000 34190.47 12.0585 5539.17 6.1731 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Wells Fargo Securities 17.89 35.02 0.05 0.01 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) and Wells Fargo Securities, LLC (WFS) are registered broker/dealers and are both indirect, wholly-owned subsidiaries of Wells Fargo & Company. The Firm sends orders to WFS in certain equity securities, and WFS executes these orders as either principal or agent. WFS may receive compensation in the form of rebates from certain market venues for orders routed by the Firm to WFS. WFS may have a profit or loss when executing orders as principal. The Firm does not accept rebates, credits, or payments for order flow from WFS. The Firm and WFS do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Jane Street Capital 12.60 23.72 3.52 0.90 0.26 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Virtu Americas, LLC 12.54 2.40 19.91 24.40 14.92 0.00 0.0000 0.00 0.0000 34257.66 16.2322 11.53 0.0483 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Two Sigma Securities, LLC 11.35 3.21 13.26 21.10 13.85 0.00 0.0000 3.65 0.0028 25790.36 15.0431 0.00 0.0000 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. G1X Execution Services, LLC 10.21 9.40 9.83 12.00 4.20 0.00 0.0000 0.00 0.0000 18743.38 16.1749 28.37 0.1699 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. UBS Securities, LLC 10.07 4.87 21.69 13.80 25.31 0.00 0.0000 0.00 0.0000 12578.69 3.9133 2355.56 6.8829 Wells Fargo Clearing Services, LLC (the “Firm”) does not accept rebates, credits or payments on market or marketable orders from this broker-dealer. This venue provides payments to the Firm for executed non-marketable limit orders. These payments for non-marketable orders do not negatively impact the execution price on customer orders. The Firm does not receive rebates, credits, or payments from this venue for customer orders where the Firm serves as discretionary investment advisor. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is $0.0020 per share for non-marketable limit orders priced above $1. Flow Traders 0.00 0.00 0.04 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Jane Street Execution Services 0.00 0.00 0.02 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 GTS SECURITIES LLC 0.00 0.00 0.02 0.00 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 35.22 9.04 54.64 1.10 Global Execution Brokers LP 37.61 37.32 39.02 37.51 40.55 37786.48 22.8423 33855.28 24.8965 47075.77 20.6062 6947.38 3.0292 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.65 per contract. CITADEL SECURITIES LLC 37.05 36.86 36.43 37.33 33.92 32604.13 9.9801 19210.25 9.9211 18074.96 9.7994 2394.78 5.0228 Wells Fargo Clearing Services, LLC (the “Firm”) receives a constant, per contract payment for executed option orders routed to this smart router. These payments are based on amounts the smart router receives, from exchange sponsored programs, on the option exchange where the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.10 per contract. Wolverine Execution Services, LLC 15.93 16.21 15.32 15.87 15.27 28151.53 19.6002 12249.65 24.7418 17788.74 26.1572 492.59 21.4449 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.69 per contract. Morgan Stanley & Co., LLC 9.32 9.43 9.12 9.26 10.27 5537.35 6.3168 3030.60 8.2488 7433.30 23.3561 1208.70 30.6699 Wells Fargo Clearing Services, LLC (the “Firm”) receives payments for executed option orders routed to this smart router. These payments are based on the amount of payment that the smart router receives, from exchange-sponsored programs, on the option exchange on which the option order was executed. The Firm and this venue do not have any arrangements: A. that provide incentives to the Firm for meeting or exceeding certain volume thresholds; B. that provide disincentives to the Firm for failing to meet certain minimum volume thresholds; C. for volume-based tiered payment schedules; or D. for minimum amount of orders. Remuneration is paid at a rate of no more than $0.50 per contract. Interactive Brokers LLC 0.09 0.19 0.12 0.03 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000