***Please follow the instructions below based upon whether the product(s) are considered "Passive" or "Active"***

Please see the instructions below for completing the data submission template.

Note: Multiple products of the same classification may be included in each applicable worksheet.

Please contact Nasdaq with any questions regarding the correct classification

"PASSIVE" PRODUCTS "ACTIVE" PRODUCTS

If a product was listed pursuant to a 19b-4 product specific rule

Instructions
1. Please complete only the "Passive Components" worksheet.
2. Please fill in all applicable information for each component.
3. At least one CUSIP, SEDOL or ISIN is required for each component that does not have
a Security Type of "Cash" or "Other".*
4. "Fund Symbol" refers to the listed product for which component data is being
submitted. Please provide a fund symbol for each component.
proposal, it is considered "Active".
Instructions
1. Please complete both the "Active" Components" AND "Active Fund Level Data"
worksheets.
2. Please fill in all applicable information for each component.
3. All data should be as of the portfolio date.
4. At least one CUSIP, SEDOL or ISIN is required for each component that does not have
a Security Type of "Cash" or "Other".*
5. Fields that are not applicable should be left blank.
6. "Fund Symbol" refers to the listed product for which component data is being
submitted. Please provide a fund symbol for each component.
7. For each fund included in the template, please complete the "Active Fund Level
Data" Worksheet.

*PLEASE NOTE: "SECURITY TYPE" FOR EACH COMPONENT MUST BE ONE OF THE FOLLOWING: Equity, Fixed Income, Listed Derivative, OTC Derivative, Cash or Other

Questions?

Ben Haskell
301-978-8092
benjamin.haskell@nasdaq.com
Vannyda Kong
301-978-8005
vannyda.kong@nasdaq.com
 Fund Symbol Component Name Component Ticker Primary Exchange Sedol CUSIP ISIN Weight(%) Security Type
ABCD Example Equity, Inc. AAAA XNAS B123333 123456789 US1234567890 5.00% Equity
 ALL Components Fixed Income Only
% of Net Per Share Market Aggregate Maturity Coupon Currency Issuer's
Product Primary Asset Class (as Assets % of Total Shares Value of Value of Gross Derivative Underlying Option Illiquid Date or Credit Country
Symbol Component Name Primary Ticker Exchange SEDOL CUSIP ISIN Security Type defined in rule (weight of Assets Held Holding Holding Notional Type Asset Class Strike Security Industry Issuer Name Expiration Rate, if of Rating of
filing) security in ($) ($) Value ($) Price (Y/N) Date, if any any Security Domicile/
portfolio) Origin
ABCD B123333 123456789 US1234567890 Other U.S. Equity 5.00% 4.54% 1000 50 50000 N Energy
ABCD Example Note, Inc. Senior Note 01/01/2030 B122222 987654321 US9876543210 Fixed Income Corporate Bond 9.997% 9.08% 1000 99.97 99970 N Bank Example Note, Inc. 1/1/2030 1% USD AAA US
 Total Net Net Asset
Product Portfolio Total Shares
Sponsor Product Name Assets of Assets of Value per
Symbol Date Outstanding
Fund ($) Fund ($) Share ($)

ABCD 6/30/2017 Example Sponsor Example ETF Fund 1100000 1000000 100000 10