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⚡IMPACT LEVEL 3 — NOTEWORTHY

Epstein File EFTA01371353: Holder (DS10)

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This document is a list dated April 20, 2012, from NYSE Arca Enforcement containing information as of January 23, 2017, regarding a disciplinary action case involving an ETP holder position.

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April 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**

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