1.2UBS Financial Services Inc202012021-04-13T14:45:43Z20201100.0016.250.200.8582.70UBS SECURITIES LLCUBSS94.4090.3893.6392.0495.210.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 principalCITIGROUP GLOBAL MARKETS INCAUTO2.965.784.565.842.370.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Citi Global Markets IncVIRTU AMERICAS LLCNITE2.583.841.661.892.350.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.NYSE0.060.000.150.230.07-2.4750-27.5000-0.9928-27.5000-2.5100-20.0000-35.9680-20.2022The 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 January 2020, 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;0,02/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 minimus; 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 receive100.0031.031.151.9265.91UBS SECURITIES LLCUBSS99.0099.0699.1298.6598.990.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 principalCITIGROUP GLOBAL MARKETS INCAUTO0.700.580.350.650.750.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Citi Global Markets IncVIRTU AMERICAS LLCNITE0.230.310.530.640.180.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.NYSE0.050.000.000.060.07-0.4317-27.50000.00000.0000-0.7820-20.0000-19.1898-20.0730The 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 January 2020, 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;0,02/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 minimus; 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 MARKETSINET0.020.050.000.000.01-61.5060-30.00000.00000.00000.00000.0000-1.9140-30.0000The net payments reflected 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 January 2,020, 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 specific 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 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 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 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 minimus; 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 receive99.9448.8516.0130.744.41UBS SECURITIES LLCUBSS86.5989.1161.6595.9883.720.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 GLOBAL MARKETS INC.CBOE13.2010.8937.583.7516.255346.46248.109713341.859013.67201302.810413.93681069.930822.7162The 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 January 2,020, based on CBOEs schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0;079/share executed to remove liquidity, and received a volume-adjusted rebate of $0;239/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 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 More information about CBOE pricing schedule is available at: http://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 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 minimus; 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 receiveNYSE AMEX OPTIONSAMEX0.130.000.430.200.000.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NYSE AMEX, At the end of January 2,2020, UBSFS did not pay any transaction fees to or receive any rebates from NYSE AMEX, Overall transaction fees and rebates for NYSE AMEX transactions may vary month-to month depending on trading activity levelsPHILADELPHIA OPTIONS EXCHANGENQPX0.080.000.340.070.030.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NQPX, At the end of January 2,2020, 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 to month depending on trading activity levels20202100.0018.400.231.0780.31UBS SECURITIES LLCUBSS94.5190.5094.2893.4695.450.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 principalCITIGROUP GLOBAL MARKETS INCAUTO2.875.413.184.112.270.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Citi Global Markets IncVIRTU AMERICAS LLCNITE2.554.092.102.312.200.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.NYSE0.070.000.440.120.08-1.1000-27.5000-3.5337-27.5000-2.1240-21.5198-54.5325-20.0303The 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 February 2020, 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;0,02/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 minimus; 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 receive100.0033.721.232.5162.54UBS SECURITIES LLCUBSS98.8598.9298.9198.6498.810.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 principalCITIGROUP GLOBAL MARKETS INCAUTO0.730.630.330.670.790.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Citi Global Markets IncVIRTU AMERICAS LLCNITE0.340.400.680.610.300.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.NYSE0.060.000.060.080.09-1.1852-27.5000-2.2000-27.5000-1.6400-20.0000-25.5500-20.0660The 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 February 2020, 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;0,02/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 minimus; 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 MARKETSINET0.020.050.020.000.01-52.7280-30.00000.00000.00000.00000.0000-1.5690-30.0000The net payments reflected 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 February 2,020, based on NASDAQ schedule for Tape C securities, , UBSFS was charged a volume-adjusted fee of $0;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 specific clients, UBSFS 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 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 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 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 minimus; 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 receive99.9345.2916.2733.584.87UBS SECURITIES LLCUBSS89.1990.9668.1696.6691.390.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 GLOBAL MARKETS INC.CBOE10.679.0431.153.298.335539.59209.632915021.462016.21351919.769719.3330511.223620.2065The 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 February 2,020, based on CBOEs schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0.094/share executed to remove liquidity, and received a volume-adjusted rebate of $0.248/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 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 More information about CBOE pricing schedule is available at: http://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 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 minimus; 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 receiveNYSE AMEX OPTIONSAMEX0.120.000.660.040.000.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NYSE AMEX, At the end of February 2,020, UBSFS did not pay any transaction fees to or receive any rebates from NYSE AMEX, Overall transaction fees and rebates for NYSE AMEX transactions may vary month-to month depending on trading activity levelsNYSE ARCA OPTIONSARRB0.020.000.030.010.280.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from the NYSE ARCA, UBSFS, in accordance with NYSE ARCA publicly provided volume-tier schedule, At the end of February 2,020, based on NYSE ARCA schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0.495/share executed to remove liquidity, and received a volume-adjusted rebate of $0;337 /share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE ARCA 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 ARCA 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 More information about NYSE ARCA pricing schedule is available at: https://www,nyse,com/publicdocs/nyse/markets/arcaoptions/NYSE_Arca_Options_Fee_Schedule,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 minimus; 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 receive20203100.0025.280.341.3972.98UBS SECURITIES LLCUBSS94.3591.1091.8291.4295.550.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 principalCITIGROUP GLOBAL MARKETS INCAUTO3.125.284.975.362.320.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Citi Global Markets IncVIRTU AMERICAS LLCNITE2.473.623.103.132.050.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNEW YORK STOCK EXCHANGE, INC.NYSE0.060.000.110.090.08-4.2125-26.3281-1.8122-27.5000-2.2480-20.0000-80.7838-20.1325The 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 March 2020, 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;0,02/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 minimus; 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 receive100.0042.401.702.9053.00UBS SECURITIES LLCUBSS98.9699.1598.9698.7798.820.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 principalCITIGROUP GLOBAL MARKETS INCAUTO0.650.450.240.480.830.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Citi Global Markets IncVIRTU AMERICAS LLCNITE0.340.350.790.710.300.00000.00000.00000.00000.00000.00000.00000.0000No material relationship exists between UBSFS and Virtu Americas LLCNASDAQ - ALL MARKETSINET0.030.050.000.000.01-360.7140-28.2386-0.6000-30.00000.00000.0000-6.5640-30.0000The net payments reflected 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 March 2,020, based on NASDAQ schedule for Tape C securities, UBSFS was charged a volume-adjusted fee of $0;00,3/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 specific clients, UBSFS 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 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 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 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 minimus; 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 receiveNEW YORK STOCK EXCHANGE, INC.NYSE0.020.000.010.040.04-2.2687-27.5000-0.9927-27.5000-2.2125-21.0714-23.0343-20.1860The 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 March 2020, 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;0,02/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 minimus; 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 receive99.9635.1418.4542.254.17UBS SECURITIES LLCUBSS90.1693.8969.9595.5993.000.00000.00000.00000.00000.00000.00000.00000.0000UBSFS 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 GLOBAL MARKETS INC.CBOE9.716.0729.654.336.708636.957015.943921983.547017.55082520.544418.0529490.008319.3986The 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 March 2,020, based on CBOEs schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0.157/share executed to remove liquidity, and received a volume-adjusted rebate of $0.198/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 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 More information about CBOE pricing schedule is available at: http://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 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 minimus; 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 receiveNYSE AMEX OPTIONSAMEX0.120.030.390.070.120.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NYSE AMEX, At the end of March 2,020, UBSFS did not pay any transaction fees to or receive any rebates from NYSE AMEX, Overall transaction fees and rebates for NYSE AMEX transactions may vary month-to month depending on trading activity levelsPHILADELPHIA OPTIONS EXCHANGENQPX0.010.010.010.010.120.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from NQPX, At the end of March 2,020, 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 to month depending on trading activity levelsNYSE ARCA OPTIONSARRB0.000.000.000.000.060.00000.00000.00000.00000.00000.00000.00000.0000The net payments reflected above solely include transaction fees paid to and rebates received from the NYSE ARCA, UBSFS, in accordance with NYSE ARCA publicly provided volume-tier schedule, At the end of MArch 2,020, based on NYSE ARCA schedule for Tape B securities UBSFS was charged a volume adjusted fee of $0;513/share executed to remove liquidity, and received a volume-adjusted rebate of $0;381 /share executed to add liquidity, Exchange fees and rebates may vary for specific clients, Please note that NYSE ARCA 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 ARCA 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 More information about NYSE ARCA pricing schedule is available at: https://www,nyse,com/publicdocs/nyse/markets/arcaoptions/NYSE_Arca_Options_Fee_Schedule,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 minimus; 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 receive