Restricted Period Notification Form

Security Symbol and Name

• Please provide the name of Issuer and the symbol of the security that is the subject of the distribution.

Symbols of Covered Securities

• Please provide the security symbol(s) of all reference securities of the security that is the subject of the distribution.

Restricted Period

• This line item pertains to whether the Issue itself is subject to a restricted period based on the calculation of the Issue's ADTV and value of the public float. Please select "1 day" if the ADTV is at least $100,000.00 and value of the public float is at least $25,000,000.00. Please select "5 day" for all other issues that do not meet the criteria for either an actively traded security or a "1 day" restricted security. This line item refers to the restricted period of the Issue itself, not the restricted period adhered to by members of the syndicate.

Basis for Determination of Restricted Period

• If the determination of the restricted period is based on the firm's internal calculations, please select the box titled "The Following" and provide the firm's calculations, as well as the source of the information provided. If the firm is relying on the maximum five day restricted period, the basis for determination is not required, as such, please select the "5 day default" box. If the basis of the determination is "Other", please select the box for "Other" and provide the firm's reasoning in the text box.

Concurrent Convertible?

• Please select "Yes" if there are two distinct securities belonging to the same Issuer being distributed concurrently, where one distribution is in the common equity of the issuer and the other is in a convertible product. (Note: A separate Firm Deal ID for each issue will need to be submitted (i.e. provide separate notifications with respect to the distribution of the common equity and the convertible product)).

Type of Transaction

• Please select the method by which the shares of this distribution are being offered.

Commencement of the Restricted Period

• Required for all distributions subject to a 1 or 5 day Restricted Period. Please provide the date and the time when the Restricted Period commences. Typically, the commencement date should be either the 1 full trading day or 5 full trading days prior to the pricing of the offering. In the case of certain distributions such as mergers and acquisitions, the restricted period may be longer.

Anticipated Pricing Date

• Please provide the date that the distribution is anticipated to price. This date does not necessarily reflect the final pricing date, which will be indicated on the Regulation M Trading Notification. This date does not need to be amended if the anticipated pricing date changes.

Member Firm/CRD

• Please provide the name and CRD number of all affiliated purchasers, syndicate and selling group members participating in the distribution, regardless of whether they are a market maker in this issue.

Passive or Excused

• Please select whether each affiliated purchaser, syndicate or selling group member will be acting in either an excused or passive market making capacity. Most Participants will be Excused. A participant can only act in a passive capacity if the issue is a NASDAQ-listed security, and the participant is a market maker on NASDAQ.

MPID

• Please provide the Market Participant ID ("MPID") all affiliated purchasers, syndicate and selling group members participating in the distribution. This MPID can be found on www.nasdaqtrader.com. NYSE Arca (only) firms will not have an MPID. As such, please provide the ETPID for NYSE Arca (only) firms. If no MPID or ETPID exists for the firm, leave this field blank.

Non Member Firm?

• Please select "Yes" if any affiliated purchaser, syndicate or selling group member, is not a FINRA, Arca or NYSE member firm. If Non-Member Firms are participating in this offering, list the Firm names below.