Common use of Window Tradable Securities and Rules Clause in Contracts

Window Tradable Securities and Rules. Some of the securities available for trading through us cannot be traded in a Window. Such non-Window-tradable securities may only be traded using Direct Trade orders or as otherwise indicated on our websites. We choose the securities that are available for trading in a Window based on a combination of factors, including the security’s market capitalization and trading volume. Some Window tradable securities may be available only to certain customers or for an extra charge for trading them. We also generally restrict our selection of Window-tradable securities to those securities that are traded on an exchange. The securities available for Window orders for your account also may be limited based on a special offering we make, our arrangement with your Advisor, Manager, or an arrangement with a third-party brokerage firm that handles your account. Our list of Window-tradable securities will change over time. We may drop a security from our list for a variety of reasons. For instance, a security may be delisted from an exchange or no longer actively traded. If you own a folio containing a security that is no longer listed as Window-tradable, you generally will be able to “sell all” of the security in a Window. You cannot, however, sell a portion of your holdings in the security or buy more of the security through a Window. Finally, there are securities that, from time to time or for extended periods of time, may not be tradable at all – neither buys nor sells may be permitted. Generally, these securities may be halted from trading due to regulatory reasons relating either to the security or the issuer of the security, the relationship of the issuer to us or one of our affiliates, or for other reasons. In those instances, it may be possible to transfer your whole-share positions in the security to another brokerage firm that will allow such security to be traded, but as long as such restriction remains on our trading of such security you will not be able to sell it if you own it or buy it if you sought to do so. Due to limitations in the industry system used to transfer customer accounts between broker- dealers, fractional shares cannot be transferred to another brokerage firm using this system. This is not a limitation imposed by us and we will facilitate transfers of fractional shares to the extent possible.

Window Tradable Securities and Rules. Some of the securities available for trading through us cannot be traded in a Window. Such non-Window-Window- tradable securities may only be traded using Direct Trade orders or as otherwise indicated on our websites. We choose the securities that are available for trading in a Window based on a combination of factors, including the security’s market capitalization and trading volume. Some Window tradable securities may be available only to certain customers or for an extra charge for trading them. We also generally restrict our selection of Window-tradable securities to those securities that are traded on an exchange. The securities available for Window orders for your account also may be limited based on a special offering we make, our arrangement with your Advisor, Manager, or an arrangement with a third-party brokerage firm that handles your account. Our list of Window-tradable securities will change over time. We may drop a security from our list for a variety of reasons. For instance, a security may be delisted from an exchange or no longer actively traded. If you own a folio containing a security that is no longer listed as Window-tradable, you generally will be able to “sell all” of the security in a Window. You cannot, however, sell a portion of your holdings 10 11/07/2021 in the security or buy more of the security through a Window. Finally, there are securities that, from time to time or for extended periods of time, may not be tradable at all – neither buys nor sells may be permitted. Generally, these securities may be halted from trading due to regulatory reasons relating either to the security or the issuer of the security, the relationship of the issuer to us or one of our affiliates, or for other reasons. In those instances, it may be possible to transfer your whole-share positions in the security to another brokerage firm that will allow such security to be traded, but as long as such restriction remains on our trading of such security you will not be able to sell it if you own it or buy it if you sought to do so. Due to limitations in the industry system used to transfer customer accounts between broker- dealers, fractional Fractional shares cannot be transferred to another brokerage firm using this system. This is not a limitation imposed by us and we will facilitate transfers of fractional shares to the extent possiblefirm.

Window Tradable Securities and Rules. Some of the securities available for trading through us cannot be traded in a Window. Such non-Window-Window- tradable securities may only be traded using Direct Trade orders or as otherwise indicated on our websites. We choose the securities that are available for trading in a Window based on a combination of factors, including the security’s market capitalization and trading volume. Some Window tradable securities may be available only to certain customers or for an extra charge for trading them. We also generally restrict our selection of Window-Window- tradable securities to those securities that are traded on an exchange. The securities available for Window orders for your account also may be limited based on a special offering we make, our arrangement with your Advisor, Manager, or an arrangement with a third-party brokerage firm that handles your account. Our list of Window-tradable securities will change over time. We may drop a security from our list for a variety of reasons. For instance, a security may be delisted from an exchange or no longer actively traded. If you own a folio containing a security that is no longer listed as Window-tradable, you generally will be able to “sell all” of the security in a Window. You cannot, however, sell a portion of your holdings in the security or buy more of the security through a Window. Finally, there are securities that, from time to time or for extended periods of time, may not be tradable at all – neither buys nor sells may be permitted. Generally, these securities may be halted from trading due to regulatory reasons relating either to the security or the issuer of the security, the relationship of the issuer to us or one of our affiliates, or for other reasons. In those instances, it may be possible to transfer your whole-share positions in the security to another brokerage firm that will allow such security to be traded, but as long as such restriction remains on our trading of such security you will not be able to sell it if you own it or buy it if you sought to do so. Due to limitations in the industry system used to transfer customer accounts between broker- broker-dealers, fractional shares cannot be transferred to another brokerage firm using this system. This is not a limitation imposed by us and we will facilitate transfers of fractional shares to the extent possible.