1.2 Nomura 2022 1 2022-04-28T00:48:18Z 2022 1 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 4.85 49.18 33.64 12.33 INSTINET 88.64 0.68 51.53 35.65 12.14 0 0.0000 -1951.1 -0.7582 -5405 -3.4924 -9472.55 -11.3380 Nomura receives rebates from Instinet ICAP 4.65 40.58 25.60 12.56 21.26 -8906.31 -11.1897 -5203.54 -11.1897 -3911.91 -11.1897 -2903.05 -11.1897 No material aspects to disclose CASY 4.33 41.97 28.50 18.13 11.40 -9485.94 -15.4549 -5666.05 -11.3927 -2726.82 -10.0103 -1133.02 -13.9226 No material aspects to disclose Pyramid 1.19 5.66 52.83 33.96 7.55 -91.69 -65.4900 -4897.64 -65.0072 -2039.63 -44.6307 -110.66 -53.7182 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 0.38 47.06 23.53 29.41 0.00 -6337.79 -53.4789 -2334.53 -26.3551 -669.23 -10.5308 0 0.0000 No material aspects to disclose XFA 0.38 58.82 17.65 23.53 0.00 -1544.01 -65.5354 -299.92 -71.2400 -656.12 -71.2400 0 0.0000 No material aspects to disclose MAXIM 0.18 0.00 87.50 12.50 0.00 0 0.0000 -261.44 -57.8400 -0.55 -7.8400 0 0.0000 No material aspects to disclose CANACCORD GENUITY INC. 0.11 0.00 60.00 40.00 0.00 0 0.0000 -855.3 -46.3074 -251.11 -26.6853 0 0.0000 No material aspects to disclose DASH FINANCIAL LLC 0.07 0.00 100.00 0.00 0.00 0 0.0000 -354.55 -20.2600 0 0.0000 0 0.0000 Nomura may receive rebates from Dash Lakeshore 0.07 100.00 0.00 0.00 0.00 -412.05 -54.9400 0 0.0000 0 0.0000 0 0.0000 No material aspects to disclose 2022 2 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 3.38 53.19 43.26 0.18 INSTINET 89.24 0.61 53.70 45.69 0.00 -206.87 -27.5833 -26759.87 -10.5018 -11400.99 -5.3328 0 0.0000 Nomura receives rebates from Instinet CASY 6.40 20.56 53.23 25.40 0.81 -12856.06 -13.3381 -20069.12 -11.3626 -6629.24 -8.7383 -156.65 -12.8400 No material aspects to disclose ICAP 3.10 36.67 44.17 15.00 4.17 -10459.19 -11.4368 -990.77 -11.4368 -488.81 -11.4368 -473.6 -11.4368 No material aspects to disclose Pyramid 0.57 9.09 45.45 45.45 0.00 -1309.8 -65.4900 -948.68 -65.1569 -158.81 -51.0648 0 0.0000 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 0.49 47.37 36.84 15.79 0.00 -7626.83 -26.4526 -1565.72 -27.8400 -1252.8 -27.8400 0 0.0000 No material aspects to disclose TRADITION SECURITIES AND DERIVATIVES INC. 0.08 66.67 0.00 33.33 0.00 -1124.1 -74.9400 0 0.0000 -39.2 -7.8400 0 0.0000 No material aspects to disclose XFA 0.08 66.67 33.33 0.00 0.00 -1446.88 -71.2400 -854.88 -71.2400 0 0.0000 0 0.0000 No material aspects to disclose CANACCORD GENUITY INC. 0.05 0.00 50.00 50.00 0.00 0 0.0000 -617.74 -46.3074 -46.31 -46.3074 0 0.0000 No material aspects to disclose 2022 3 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 100.00 3.62 56.54 39.63 0.21 INSTINET 87.90 0.41 57.96 41.62 0.00 0 0.0000 -20718 -7.1694 -360.99 -0.2039 0 0.0000 Nomura receives rebates from Instinet CASY 5.23 29.35 46.27 24.38 0.00 -14384.91 -16.4296 -9313.39 -11.0751 -4964.04 -9.5550 0 0.0000 No material aspects to disclose ICAP 3.75 34.03 42.36 18.06 5.56 -8006.63 -11.6237 -5334.81 -11.6237 -1172.48 -11.6237 -502.72 -11.6237 No material aspects to disclose Pyramid 1.41 3.70 48.15 48.15 0.00 -27.51 -65.4900 -3039.5 -64.7666 -1952.23 -47.8839 0 0.0000 No material aspects to disclose TULLETT PREBON FINANCIAL SERVICES LLC 0.60 56.52 30.43 13.04 0.00 -23761.11 -24.3185 -2928.77 -27.8400 -866.94 -27.8400 0 0.0000 No material aspects to disclose XFA 0.52 10.00 50.00 40.00 0.00 -113.98 -71.2400 -916.15 -71.2400 -1079.29 -71.2400 0 0.0000 No material aspects to disclose DASH FINANCIAL LLC 0.18 0.00 85.71 14.29 0.00 0 0.0000 -20.26 -20.2600 -101.3 -20.2600 0 0.0000 Nomura may receive rebates from Dash MAXIM 0.13 0.00 100.00 0.00 0.00 0 0.0000 -131.88 -57.8400 0 0.0000 0 0.0000 No material aspects to disclose Baycrest 0.10 0.00 50.00 50.00 0.00 0 0.0000 -175.48 -69.3604 -175.48 -69.3604 0 0.0000 No material aspects to disclose MACRO RISK ADVISORS LLC 0.08 0.00 100.00 0.00 0.00 0 0.0000 -128.52 -42.8400 0 0.0000 0 0.0000 No material aspects to disclose