CC NEUBERGER PRINCIPAL HLDNG

CUSIP: G1992Y106 Class: Equity

HRT FINANCIAL LP's Holding History (CIK: 0001475597)

Note: Option positions (PUT/CALL) are excluded.

Q4 2020
Shares 25,000 Value ($000) $296 Avg Close — Range —
Q3 2020
Shares 25,100 Value ($000) $272 Avg Close — Range —
Q2 2020
Shares 25,000 Value ($000) $265 Avg Close — Range —