D. E. Shaw & Co., L.P.

Allegations: IN OCTOBER 2013, AN ENTITY IN THE D. E. SHAW GROUP ADVISED BY A RELYING ADVISER OF D. E. SHAW & CO., L.P. UNINTENTIONALLY VIOLATED A POSITION LIMIT SET UNDER EXCHANGE RULE 6.20(C) OF THE ICE APPLICABLE TO NATURAL GAS FUTURES. Status: Final Sanction Detail: FINE OF $20,000 PAID BY D. E. SHAW & CO., L.P. ON JANUARY 20, 2015. Summary: THE ICE ENTERED INTO THE SETTLEMENT AGREEMENT EFFECTIVE JANUARY 16, 2015.

Allegations: IN NOVEMBER 2012, CERTAIN ENTITIES OF THE D. E. SHAW GROUP ADVISED BY CERTAIN OF D. E. SHAW & CO., L.P.'S RELYING ADVISERS UNINTENTIONALLY VIOLATED FUTURES CONTRACT POSITION LIMITS RULE 562 SET BY NYMEX IN CONNECTION WITH TRADING NATURAL GAS FUTURES. Status: Final Sanction Detail: FINE OF $25,000 PAID BY D. E. SHAW & CO., L.P. ON MAY 7, 2014. Summary: THE NYMEX BUSINESS CONDUCT COMMITTEE ENTERED A DECISION ON APRIL 29, 2014, ACCEPTING THE OFFER OF SETTLEMENT, WHICH ORDER BECAME EFFECTIVE ON MAY 1, 2014.

Allegations: IN OCTOBER 2013, CERTAIN ENTITIES OF THE D. E. SHAW GROUP ADVISED BY CERTAIN OF D. E. SHAW & CO., L.P.'S RELYING ADVISERS UNINTENTIONALLY VIOLATED FUTURES CONTRACT POSITION LIMITS RULE 562 SET BY NYMEX IN CONNECTION WITH TRADING NATURAL GAS FUTURES. Status: Final Sanction Detail: FINE OF $75,000 PAID BY D. E. SHAW & CO., L.P. ON MAY 7, 2014. Summary: THE NYMEX BUSINESS CONDUCT COMMITTEE ENTERED A DECISION ON APRIL 29, 2014, ACCEPTING THE OFFER OF SETTLEMENT, WHICH ORDER BECAME EFFECTIVE ON MAY 1, 2014.

Allegations: IN APRIL 2014, D. E. SHAW & CO., L.P. UNINTENTIONALLY SUBMITTED A NOTIFICATION OF A NET SHORT POSITION IN THE SHARES OF A SWEDISH ISSUER TO THE SFSA AFTER THE NEXT-DAY NOTIFICATION DEADLINE SPECIFIED IN THE EUROPEAN UNION SHORT SELLING REGULATION. Status: Final Sanction Detail: PENALTY FEE OF 10,000 SWEDISH KRONOR (APPROXIMATELY US $1,150) TO BE PAID BY D. E. SHAW & CO., L.P. FOLLOWING THE ISSUANCE OF AN INVOICE BY THE SFSA. Summary: THE SFSA PENALTY FEE BECAME EFFECTIVE ON APRIL 1, 2015. D. E. SHAW & CO., L.P. RECEIVED AN INVOICE FOR THE PENALTY FEE ON APRIL 22, 2015 AND SUBMITTED PAYMENT TO THE SFSA ON MAY 7, 2015.

Allegations: IN JUNE 2014, D. E. SHAW & CO., L.P. UNINTENTIONALLY SUBMITTED A NOTIFICATION OF A NET SHORT POSITION IN THE SHARES OF A SWEDISH ISSUER TO THE SFSA AFTER THE NEXT-DAY NOTIFICATION DEADLINE SPECIFIED IN THE EUROPEAN UNION SHORT SELLING REGULATION. Status: Final Sanction Detail: PENALTY FEE OF 90,000 SWEDISH KRONOR (APPROXIMATELY US $10,500) TO BE PAID BY D. E. SHAW & CO., L.P. FOLLOWING THE ISSUANCE OF AN INVOICE BY THE SFSA. Summary: THE SFSA PENALTY FEE BECAME EFFECTIVE ON APRIL 1, 2015. D. E. SHAW & CO., L.P. RECEIVED AN INVOICE FOR THE PENALTY FEE ON APRIL 22, 2015 AND SUBMITTED PAYMENT TO THE SFSA ON MAY 7, 2015.

Allegations: IN DECEMBER 2013, DESCO AP, ON BEHALF OF A FUND, ENTERED INTO A BLOCK TRADE WITH A COUNTERPARTY TO PURCHASE SHARES OF A PUBLIC COMPANY IN KOREA. SUBSEQUENTLY, ON THE SAME DAY, DESCO AP DIRECTED THE FUND TO SELL THOSE SHARES. DUE TO EVENTS OUTSIDE THE CONTROL OF DESCO AP, THE COUNTERPARTY IN THE BLOCK TRADE UNILATERALLY DELAYED THE TRADE AND FAILED TO DELIVER THE SHARES ON THE AGREED DATE OF SETTLEMENT, WHICH CAUSED THE FUND TO FAIL ON ITS DELIVERY REQUIREMENT FOR THE SUBSEQUENT SALE OF THE SHARES. ON SEPTEMBER 25, 2015, THE SFC IMPOSED A FINE OF APPROXIMATELY US $13,000 ON DESCO AP FOR VIOLATING KOREAN RESTRICTIONS ON SHORT SELLING. Status: Final Sanction Detail: THE SFC IMPOSED A FINE OF APPROXIMATELY US $13,000. Summary: DESCO AP PAID THE FINE ON OCTOBER 16, 2015.

Allegations: ON SEPTEMBER 29, 2023, THE SEC ISSUED A SETTLED ORDER FINDING THAT LANGUAGE IN CERTAIN EMPLOYMENT-RELATED AGREEMENTS USED BY D. E. SHAW & CO., L.P. ("DESCO LP") RAISED IMPEDIMENTS TO EMPLOYEES' PARTICIPATION IN THE SEC'S WHISTLEBLOWER PROGRAM IN VIOLATION OF EXCHANGE ACT RULE 21F-17(A). THE SEC'S ORDER ACKNOWLEDGED THAT DESCO LP TOOK A NUMBER OF STEPS DATING BACK TO 2017 TO AFFIRM EMPLOYEES' WHISTLEBLOWING RIGHTS, INCLUDING BY SENDING A FIRMWIDE EMAIL EMPHASIZING THOSE RIGHTS AND ADDING SPECIFIC WHISTLEBLOWER PROTECTION LANGUAGE TO THE FIRM'S POLICY MATERIALS; HOWEVER, SIMILAR WHISTLEBLOWER PROTECTION LANGUAGE WAS NOT INCLUDED DIRECTLY IN DESCO LP'S EMPLOYMENT AGREEMENTS UNTIL APRIL 2019 OR IN ITS FORM OF SEPARATION RELEASE UNTIL JUNE 2023. Status: Final Sanction Detail: DESCO LP, WITHOUT ADMITTING OR DENYING THE FINDINGS, AGREED TO A CENSURE, TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 21F-17(A), AND TO PAY A $10 MILLION PENALTY. Summary: THE SEC ENTERED AN ORDER ON SEPTEMBER 29, 2023 ACCEPTING THE OFFER OF SETTLEMENT. DESCO LP PAID THE PENALTY ON OCTOBER 3, 2023.