In the event that your investment advisor experiences a significant business interruption, you may contact Pershing Advisor Solutions LLC (PAS) directly to process limited trade-related transactions, cash disbursements, and security transfers. Instructions must be in writing and transmitted via facsimile or postal service to PAS, as follows:

Fax number:    (201) 413-4444
Address:          Pershing Advisor Solutions
                        P.O. Box 2065
                        Jersey City, New Jersey 07303-2065


Please note that the above fax number is reserved for business continuity-related issues only, and should not be used for any other purposes (such as change of address notices or account transfers). Information received at this fax number unrelated to a business interruption issue will not be acted upon.

For additional information about how to request funds or transfer securities when your investment advisor cannot be contacted due to a significant business interruption, please refer to the instructions below or call (877) 604-8967 for recorded instructions.

PAS will perform the following transactions for its clients provided it receives all required accompanying information noted below:

I. Closing security transactions
Closing transactions include:

• Sale of a security position held long in an account
• Buy a security to close out a short security position

PAS will process closing securities transactions upon receipt of signed written instructions that must include all of the following information:

• Your brokerage account number
• Your name (as registered on the brokerage account)
• Security description, including symbol or CUSIP^® number
• Number of shares

NOTE: All orders will be handled as market orders

II. Cash Disbursements
PAS will process first-party cash disbursements upon receipt of signed written instructions that must include all of the following information:

• Your brokerage account number
• Your name (as registered on the brokerage account)
• Exact amount to be disbursed
• Method of disbursement:
  • For checks - Indicate the name and address of record where check is to be mailed
  • For federal fund wires - Indicate the receiving bank name, ABA number, and receiving bank account number

NOTE: The name registered on the brokerage account and the receiving bank account name of record must be identical, unless we have a Letter of Authorization on file with alternate instructions.

III. Securities Transfers
PAS will process security transfer requests upon written instructions that must include the following information:

• Your brokerage account number
• Your name (as registered on the brokerage account)
• Description of securities to be transferred, including symbol(s) or CUSIP number(s)
• Receiving account information for securities, as follows
  • For a transfer to another brokerage account at PAS or Pershing - the receiving account number (the name and address on both accounts must be identical)
  • For a transfer to another financial organization - the name of the receiving financial organization, their DTC number (if the receiving organization is a registered broker-dealer), and the account number at the receiving financial organization

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