EFTA01361670.txt Text dataset_10 View on DOJ

This document from Deutsche Asset & Wealth Management outlines the allocation process for securities, particularly concerning partial calls and redemptions, and details Pershing's policies. It explains how trading units are assigned and selected, and clarifies the conditions under which accounts are excluded from the lottery process.

Subject

Messages (continued)

Sender

—

Recipients

—

Document ID

DEF-325465, EDR-567433, EGT-876574, EGT•888345, FRT-435234, FRT-658797, N46-023804

Date

12/0112014 -12/3112014

The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all.

Cfients have the right to withdraw uncalled, fully paid securities from Pershing at any tine prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial

Financial transactions/money flow

Deutsche Asset & Wealth ManagementPershingSOLD-ERN FINANCIAL LLCOemmlw Sri leolain Inc

MD 21203NY 10tH

Tone

Professional

Purpose

To provide information about the allocation process of securities and related policies.

Significance

The document outlines the process by which securities are allocated, particularly in the context of partial calls, and details Pershing's policies regarding favorable and unfavorable calls.

File Name

EFTA01361670.txt

Dataset

dataset_10

Type

Text

Model

gemini-2.0-flash-001

Processed

2026-02-07T18:41:47.950961

DOJ Source

View on DOJ