DASTA Financial, LLC

Last Updated: August 14, 2023

FRACTIONAL SHARES DISCLOSURE

Orders for Fractional Shares

DASTA Financial, LLC (“dub”) will not accept dollar-based orders less than $1.00 per security included in a portfolio. dub only accepts market orders for fractional shares and does not permit limit orders for fractional shares.

Liquidity and Transferability of Fractional Shares

Fractional shares are illiquid outside the dub app. Fractional shares cannot be transferred to another brokerage. If you would like to transfer your portfolio to another brokerage via ACATS, all whole shares will be transferred in-kind and any fractional shares will be liquidated and the cash proceeds transferred out.

Rounding

All securities purchased by you via the dub app are custodied by Apex Clearing Corp. (“Apex”). Apex rounds your fractional share holdings to the fifth decimal place. Apex rounds value of fractional shares and any dividend paid on a fractional share is rounded to the nearest cent.

Voting

You may vote your fractional shares. Apex aggregates any proxy votes for dub customers, and reports those votes to the issuer or the issuer’s designated vote tabulator. Your votes may not be counted by the issuer or its designated vote tabulator.