1.2UBS Financial Services Inc202122021-08-03T20:02:32Z20214100.0094.120.251.454.18UBS SECURITIES LLCUBSS97.9697.9198.5998.7098.700.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain equity securities to UBS Securities LLC to execute on a principal or agency basis, subject to principles of best execution; UBS Securities LLC may have a profit or loss when executing orders as principal;Virtu Americas LLCNITE1.992.091.291.120.030.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.XNYS0.050.000.120.181.27-1.0890-27.5000-0.6490-27.50000.952917.580325.072218.0000The net payments reflected above solely include transaction fees paid to and rebates received from the New York Stock Exchange Inc NYSE by UBSFS, in accordance with NYSE publicly provided volume-tier schedule, At the end of April 2021, based on NYSEs schedule for Tape A securities, UBSFS was charged a volume-adjusted fee of $0;00,275/share executed to remove liquidity, and received a volume-adjusted rebate of $0;0,012/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NYSE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order flow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order flow More information about NYSE pricing structure is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse/NYSE_Price_List,pdf Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order flow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices; (ii) not seeking out or negotiating payments for order flow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receive100.0091.471.222.734.57UBS SECURITIES LLCUBSS99.5699.6398.9898.6398.690.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain equity securities to UBS Securities LLC to execute on a principal or agency basis, subject to principles of best execution; UBS Securities LLC may have a profit or loss when executing orders as principal;Virtu Americas LLCNITE0.390.360.991.240.470.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.XNYS0.040.000.020.130.84-0.6710-27.5000-0.4675-27.50001.179713.961518.438217.6729The net payments reflected above solely include transaction fees paid to and rebates received from the New York Stock Exchange Inc NYSE by UBSFS, in accordance with NYSE publicly provided volume-tier schedule, At the end of April 2021, based on NYSEs schedule for Tape A securities, UBSFS was charged a volume-adjusted fee of $0;00,275/share executed to remove liquidity, and received a volume-adjusted rebate of $0;0,012/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NYSE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order flow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order flow More information about NYSE pricing structure is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse/NYSE_Price_List,pdf Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order flow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices; (ii) not seeking out or negotiating payments for order flow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receiveNASDAQ - ALL MARKETSXNAS0.010.010.010.000.00-102.0570-30.0000-0.9450-30.00000.00000.00000.00000.0000The net payments refected above solely include transaction fees paid to and rebates received from the NASDAQ Stock Exchange Inc (INET) by UBSFS, in accordance with NASDAQ publicly provided volume-tier schedule, At the end of April 2021, based on NASDAQ schedule for Tape C securities, UBSFS was charged a volume-adjusted fee of $003/share executed to remove liquidity, and received a volume-adjusted rebate of $0,0,015/share executed to add liquidity, Exchange fees and rebates may vary for specifc clients, Please note that NASDAQ in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NASDAQ transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order fow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order fow More information about NASDAQ pricing structure is available at: https://nasdaqtrader,com/Trader,aspx?id=PriceListTrading2 Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order fow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimus; and (iv) do not infuence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential confict of interest by (i) providing customer disclosures regarding its payment for order fow practices; (ii) not seeking out or negotiating payments for order fow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receive99.9745.8113.1936.464.54UBS SECURITIES LLCUBSS87.9689.3760.3895.3194.630.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain listed options to UBS Securities LLC, which re-routes those orders to various other venues for execution, subject to principles of best executionCBOE STOCK EXCHANGECBSX11.9610.6139.204.635.33-1366.8590-2.54509950.900015.01801395.290010.7711435.894028.6396The net payments reflected above solely include transaction fees paid to and rebates received from the CBOE, UBSFS, in accordance with CBOEs publicly provided volume-tier schedule, At the end of April 2021, based on CBOEs schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0.307/share executed to remove liquidity, and received a volume-adjusted rebate of $0.015/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that CBOE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for CBOE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order fow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange More information about CBOE pricing schedule is available at: https://www,cboe,com/trading-resources/fee-schedules Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order fow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution, UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices (ii) not seeking out or negotiating payments for order fow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receivePHILADELPHIA OPTIONS EXCHANGEXPHO0.060.020.240.060.000.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NQPX, At the end of April 2021, UBSFS did not pay any transaction fees to or receive any rebates from NQPX, Overall transaction fees and rebates for NQPX transactions may vary month tomonth depending on trading activity levelsNYSE AMEX OPTIONSAMXO0.020.000.180.000.040.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NYSE AMEX, At the end of April 2021, UBSFS did not pay any transaction fees to or receive any rebates from NYSE AMEX, Overall transaction fees and rebates for NYSE AMEX transactionsmay vary month-to month depending on trading activity levels20215100.0093.130.281.754.84UBS SECURITIES LLCUBSS98.0297.9598.8599.0998.700.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain equity securities to UBS Securities LLC to execute on a principal or agency basis, subject to principles of best execution; UBS Securities LLC may have a profit or loss when executing orders as principal;Virtu Americas LLCNITE1.922.050.980.610.000.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.XNYS0.060.000.170.301.30-1.0587-27.5000-0.7205-27.50000.805211.669627.664218.0000The net payments reflected above solely include transaction fees paid to and rebates received from the New York Stock Exchange Inc NYSE by UBSFS, in accordance with NYSE publicly provided volume-tier schedule, At the end of May 2021, based on NYSEs schedule for Tape A securities, UBSFS was charged a volume-adjusted fee of $0;00,275/share executed to remove liquidity, and received a volume-adjusted rebate of $0;0,017/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NYSE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order flow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order flow More information about NYSE pricing structure is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse/NYSE_Price_List,pdf Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order flow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices; (ii) not seeking out or negotiating payments for order flow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receive100.0091.031.172.934.87UBS SECURITIES LLCUBSS99.5199.6198.8798.2998.550.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain equity securities to UBS Securities LLC to execute on a principal or agency basis, subject to principles of best execution; UBS Securities LLC may have a profit or loss when executing orders as principal;Virtu Americas LLCNITE0.420.381.021.460.360.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.XNYS0.060.000.100.241.09-0.8375-17.8191-2.3595-27.50001.729818.000020.710818.0000The net payments reflected above solely include transaction fees paid to and rebates received from the New York Stock Exchange Inc NYSE by UBSFS, in accordance with NYSE publicly provided volume-tier schedule, At the end of May 2021, based on NYSEs schedule for Tape A securities, UBSFS was charged a volume-adjusted fee of $0;00,275/share executed to remove liquidity, and received a volume-adjusted rebate of $0;0,017/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NYSE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order flow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order flow More information about NYSE pricing structure is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse/NYSE_Price_List,pdf Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order flow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices; (ii) not seeking out or negotiating payments for order flow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receiveNASDAQ - ALL MARKETSXNAS0.010.010.010.010.00-120.7320-30.0000-13.3620-30.00000.600015.00000.00000.0000The net payments refected above solely include transaction fees paid to and rebates received from the NASDAQ Stock Exchange Inc (INET) by UBSFS, in accordance with NASDAQ publicly provided volume-tier schedule, At the end of May 2021, based on NASDAQ schedule for Tape C securities, UBSFS was charged a volume-adjusted fee of $003/share executed to remove liquidity, and received a volume-adjusted rebate of $0,0,015/share executed to add liquidity, Exchange fees and rebates may vary for specifc clients, Please note that NASDAQ in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NASDAQ transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order fow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order fow More information about NASDAQ pricing structure is available at: https://nasdaqtrader,com/Trader,aspx?id=PriceListTrading2 Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order fow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimus; and (iv) do not infuence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential confict of interest by (i) providing customer disclosures regarding its payment for order fow practices; (ii) not seeking out or negotiating payments for order fow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receive99.9347.8912.3635.494.26UBS SECURITIES LLCUBSS87.5290.7056.2593.5492.110.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain listed options to UBS Securities LLC, which re-routes those orders to various other venues for execution, subject to principles of best executionCBOE STOCK EXCHANGECBSX12.449.3043.506.417.89-1316.9600-2.664315568.420018.17453311.344018.2252250.849023.1624The net payments reflected above solely include transaction fees paid to and rebates received from the CBOE, UBSFS, in accordance with CBOEs publicly provided volume-tier schedule, At the end of May 2021, based on CBOEs schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0.327/share executed to remove liquidity, and received a volume-adjusted rebate of $0.025/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that CBOE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for CBOE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order fow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange More information about CBOE pricing schedule is available at: https://www,cboe,com/trading-resources/fee-schedules Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order fow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution, UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices (ii) not seeking out or negotiating payments for order fow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receiveNYSE AMEX OPTIONSAMXO0.030.000.240.020.000.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NYSE AMEX, At the end of May 2021, UBSFS did not pay any transaction fees to or receive any rebates from NYSE AMEX, Overall transaction fees and rebates for NYSE AMEX transactionsmay vary month-to month depending on trading activity levelsPHILADELPHIA OPTIONS EXCHANGEXPHO0.010.000.010.030.000.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NQPX, At the end of May 2021, UBSFS did not pay any transaction fees to or receive any rebates from NQPX, Overall transaction fees and rebates for NQPX transactions may vary month tomonth depending on trading activity levels20216100.0093.930.281.484.31UBS SECURITIES LLCUBSS98.0397.9898.8298.4298.870.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain equity securities to UBS Securities LLC to execute on a principal or agency basis, subject to principles of best execution; UBS Securities LLC may have a profit or loss when executing orders as principal;Virtu Americas LLCNITE1.922.021.181.150.000.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.XNYS0.050.000.000.431.13-2.5850-27.50000.00000.00003.020418.000019.918818.0000The net payments reflected above solely include transaction fees paid to and rebates received from the New York Stock Exchange Inc NYSE by UBSFS, in accordance with NYSE publicly provided volume-tier schedule, At the end of June 2021, based on NYSEs schedule for Tape A securities, UBSFS was charged a volume-adjusted fee of $0;00,275/share executed to remove liquidity, and received a volume-adjusted rebate of $0;0,018/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NYSE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order flow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order flow More information about NYSE pricing structure is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse/NYSE_Price_List,pdf Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order flow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices; (ii) not seeking out or negotiating payments for order flow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receive100.0090.851.153.054.95UBS SECURITIES LLCUBSS99.5599.6399.0998.7098.670.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain equity securities to UBS Securities LLC to execute on a principal or agency basis, subject to principles of best execution; UBS Securities LLC may have a profit or loss when executing orders as principal;Virtu Americas LLCNITE0.390.360.821.060.380.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.XNYS0.050.000.080.220.95-2.1010-27.5000-1.5317-27.50002.263814.962718.795618.0000The net payments reflected above solely include transaction fees paid to and rebates received from the New York Stock Exchange Inc NYSE by UBSFS, in accordance with NYSE publicly provided volume-tier schedule, At the end of June 2021, based on NYSEs schedule for Tape A securities, UBSFS was charged a volume-adjusted fee of $0;00,275/share executed to remove liquidity, and received a volume-adjusted rebate of $0;0,018/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NYSE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order flow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order flow More information about NYSE pricing structure is available at: https://www,nyse,com/publicdocs/nyse/markets/nyse/NYSE_Price_List,pdf Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order flow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices; (ii) not seeking out or negotiating payments for order flow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receiveNASDAQ - ALL MARKETSXNAS0.010.010.010.020.00-164.1690-30.0000-8.4000-30.00007.500015.00000.00000.0000The net payments refected above solely include transaction fees paid to and rebates received from the NASDAQ Stock Exchange Inc (INET) by UBSFS, in accordance with NASDAQ publicly provided volume-tier schedule, At the end of June 2021, based on NASDAQ schedule for Tape C securities, UBSFS was charged a volume-adjusted fee of $003/share executed to remove liquidity, and received a volume-adjusted rebate of $0,0,015/share executed to add liquidity, Exchange fees and rebates may vary for specifc clients, Please note that NASDAQ in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for NASDAQ transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order fow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange In these limited circumstances, the receipt of net payments from an exchange would constitute payment for order fow More information about NASDAQ pricing structure is available at: https://nasdaqtrader,com/Trader,aspx?id=PriceListTrading2 Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order fow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimus; and (iv) do not infuence UBSFS order routing practices, which are determined by UBSFS duty of best execution UBSFS effectively manages this potential confict of interest by (i) providing customer disclosures regarding its payment for order fow practices; (ii) not seeking out or negotiating payments for order fow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receive99.9748.1412.2935.623.95UBS SECURITIES LLCUBSS87.1990.2958.0192.6191.290.00000.00000.00000.00000.00000.00000.00000.0000UBSFS is an affiliate of UBS Securities LLC; Both UBSFS and UBS Securities LLC are registered broker-dealers that are wholly owned by UBS AG, a publicly owned Swiss banking corporation; UBSFS sends orders in certain listed options to UBS Securities LLC, which re-routes those orders to various other venues for execution, subject to principles of best executionCBOE STOCK EXCHANGECBSX12.769.7141.667.378.67-1245.1360-2.271715030.745017.23047013.542023.0398431.438034.4599The net payments reflected above solely include transaction fees paid to and rebates received from the CBOE, UBSFS, in accordance with CBOEs publicly provided volume-tier schedule, At the end of June 2021, based on CBOEs schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0.247/share executed to remove liquidity, and received a volume-adjusted rebate of $0.216/share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that CBOE in its sole discretion may add, remove, and change volume tiers as well as exchange fees and rebates month-to-month, Overall transaction fees and rebates for CBOE transactions executed by UBSFS will vary month-to-month depending on trading activity level including volume and type of order fow From time to time, the amount of rebates that UBSFS receives from an exchange may exceed the amount of fees that UBSFS is charged by such exchange More information about CBOE pricing schedule is available at: https://www,cboe,com/trading-resources/fee-schedules Please note that UBSFS does not base equities or options order routing decisions on the receipt of payment for order fow To the extent that any exchange provides UBSFS with a rebate or similar payment, such payments: (i) are provided according to exchange fee schedules and rules approved by the SEC; (ii) are not actively solicited or sought after by UBSFS; (iii) if received, are de minimums; and (iv) do not influence UBSFS order routing practices, which are determined by UBSFS duty of best execution, UBSFS effectively manages this potential conflict of interest by (i) providing customer disclosures regarding its payment for order flow practices (ii) not seeking out or negotiating payments for order fow; and (iii) making order routing determinations wholly independently from any rebates or similar payments that UBSFS may receiveNYSE AMEX OPTIONSAMXO0.050.000.330.020.040.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NYSE AMEX, At the end of June 2021, UBSFS did not pay any transaction fees to or receive any rebates from NYSE AMEX, Overall transaction fees and rebates for NYSE AMEX transactionsmay vary month-to month depending on trading activity levels