Fidelity Institutional Wealth Adviser LLC

Allegations: ON MAY 21, 2018, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$40,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH CORPORATION, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY FMR LLC'S INVESTMENT ADVISORY SUBSIDIARIES, HAD BEEN MADE EIGHT DAYS LATE. THE LATE NOTIFICATION AROSE BECAUSE, AS A RESULT OF A DATA ISSUE, FMR LLC'S FILING AGENT WAS NOT ALERTED ON A TIMELY BASIS THAT SUCH ACCOUNTS' HOLDINGS HAD CROSSED THE RELEVANT FILING THRESHOLD BY O.OOOOO12%.

Sanction: Civil and Administrative Penalt(ies) /Fine(s)

How it ended: Decision

Detail: FINE OF 337,500 SWEDISH KRONA (APPROXIMATELY US$40,000) WAS PAID BY FMR LLC ON JULY 31, 2018.

Summary: ON MAY 21, 2018, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$40,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH CORPORATION, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY FMR LLC'S INVESTMENT ADVISORY SUBSIDIARIES, HAD BEEN MADE EIGHT DAYS LATE. THE LATE NOTIFICATION AROSE BECAUSE, AS A RESULT OF A DATA ISSUE, FMR LLC'S FILING AGENT WAS NOT ALERTED ON A TIMELY BASIS THAT SUCH ACCOUNTS' HOLDINGS HAD CROSSED THE RELEVANT FILING THRESHOLD BY O.OOOOO12%.

Resolved: Jul 31, 2018

Allegations: ON FEBRUARY 28, 2017, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$1,700, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH CORPORATION, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY FMR LLC'S INVESTMENT ADVISORY SUBSIDIARIES, HAD BEEN MADE TWO DAYS LATE. THE LATE NOTIFICATION WAS A RESULT OF INCORRECT DATA THAT HAD BEEN SUPPLIED TO FMR LLC'S FILING AGENT BY A THIRD-PARTY VENDOR.

Sanction: Civil and Administrative Penalt(ies) /Fine(s)

How it ended: Decision

Detail: FINE OF APPROXIMATELY US$1,700 WAS PAID BY FMR LLC ON JUNE 22, 2017.

Summary: ON FEBRUARY 28, 2017, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$1,700, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH CORPORATION, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY FMR LLC'S INVESTMENT ADVISORY SUBSIDIARIES, HAD BEEN MADE TWO DAYS LATE. THE LATE NOTIFICATION WAS A RESULT OF INCORRECT DATA THAT HAD BEEN SUPPLIED TO FMR LLC'S FILING AGENT BY A THIRD-PARTY VENDOR.

Resolved: Jun 22, 2017

Allegations: ON MAY 22, 2023, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC CAPITAL MARKET COMMISSION ("HCMC") THAT FMR LLC FAILED TO NOTIFY THE HCMC AND THE ISSUING COMPANY OF A CHANGE IN SHAREHOLDINGS IN A GREEK COMPANY IN A TIMELY MANNER. THE NOTIFICATION WAS MADE THREE WORKING DAYS LATE. THE LATE NOTIFICATION WAS A TECHNICAL BREACH AS A RESULT OF THE CORPORATE RESTRUCTURING OF THE ISSUER.

How it ended: Decision

Detail: FMR LLC WAS ORDERED BY THE HCMC NOT TO REPEAT THE CONDUCT CONSTITUTING THE NOTED INFRINGEMENT AND NO MONETARY PENALTIES OR FINES WERE ASSESSED.

Summary: ON MAY 22, 2023, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC CAPITAL MARKET COMMISSION ("HCMC") THAT FMR LLC FAILED TO NOTIFY THE HCMC AND THE ISSUING COMPANY OF A CHANGE IN SHAREHOLDINGS IN A GREEK COMPANY IN A TIMELY MANNER. THE NOTIFICATION WAS MADE THREE WORKING DAYS LATE. THE LATE NOTIFICATION WAS A TECHNICAL BREACH AS A RESULT OF THE CORPORATE RESTRUCTURING OF THE ISSUER. FMR LLC WAS ORDERED NOT TO REPEAT THE CONDUCT IN THE FUTURE AND NO MONETARY FINES WERE ASSESSED. No Information Filed

Resolved: Feb 9, 2023