BLOOMBERG LEGAL ENTITY IDENTIFIER (LEI) USER GUIDE

LEI WEB PORTAL USER GUIDE information” screen will look like on the webpage.c. When Parent has an LEIIf the parent does have an LEI you will be asked to provide this LEI and thenselect two Relationship Periods at minimum. The Accounting Period and theRelationship Period are both required with any submission that contains parentdata. You will also be required to fill Start and End dates for the AccountingPeriod (Fiscal Year), but only Start date for the Relationship Period, which willnot have an end date due to the fact that the relationship between the currentparent and respective submission is still ongoing. In addition to the accountingperiods, you will be asked to provide the accounting standard under which therelationship exists. The options for this drop down are US GAAP, IFRS, or OtherAccounting Standard. See the next page for an example of what the webpagewill look like in the case of a parent having an LEI.LEGAL ENTITY IDENTIFIER // 22

LEI WEB PORTAL USER GUIDE d. When Parent Does NOT Have an LEIWhen you disclose your parent information but the parent does not have an LEI,you will be required to fill in further reference data for the direct parent andultimate parent so that these entities can receive a PNI. The PNI is a GLEIFidentifier that is created for a parent of an entity when said parent does nothave an LEI. The webpage will look similar to the regular create page with theaddition of the Relationship periods and Accounting standard as seen in theLEGAL ENTITY IDENTIFIER // 23

LEI WEB PORTAL USER GUIDE screenshot on the previous page.e. Ultimate ParentUltimate parent data that is required will be the same as immediate parentdata. The only difference is that you will be able to select Ultimate Parent sameas direct parent.f. Branch ParentIf submitting a request to have an LEI created for a Branch entity then it shouldbe noted that you will not be able to submit the created LEI if there is already anLEI in the same country having the same Branch Parent LEI (ROC/GLEIF Policy).You will also not be able to submit a request if the parent of the branch officedoes not already have an LEI.Step 3b: (Excel Workbook submission) - Users may submit their LEI requests through abulk format by using the Excel workbook provided by Bloomberg LEI. This option,along with the standard web form, will be available when beginning the registration orupdate process. To be considered for bulk pricing, a minimum of 10 records must besubmitted per submission. The maximum amount of records permitted is 250 per bulksubmission. (Therefore, in a scenario where you have 255 records to submit be sure todistribute the requests so that both files include at least 10 records).Click the "Download Excel Workbook Template" button as seen below and populateinformation accordingly using the Basic Sample as a guide if needed. Once the file hasbeen filled out, save it to your local PC and upload it to the site by either clicking intothe Upload box and selecting the file or dragging the file into the box.LEGAL ENTITY IDENTIFIER // 24

LEI WEB PORTAL USER GUIDE After clicking Upload Workbook, you will be taken to a second page to review andpublish the entered payload data. Each row in the excel file will be represented by aunique payload. Any supporting documentation referenced in the Excel templateshould be uploaded here using the upload box. Once you have reviewed the payloaddata, the submission can be published by agreeing to the Service Customer Agreementand clicking the Publish button.LEGAL ENTITY IDENTIFIER // 25

LEI WEB PORTAL USER GUIDE Step 4: (Payment Details) - After submitting the Web Form or the Excel Workbook, youwill be prompted for payment. You are to complete all required fields (*) of the form,using ASCII characters only. Taxation is determined based on the country of thedomicile address. Once you have submitted your payment information using theLEGAL ENTITY IDENTIFIER // 26

LEI WEB PORTAL USER GUIDE Finalize Order button, the payment details will be authorized and stored alongside theregistration data previously submitted. Payment does NOT occur at this time as thesubmission has to be reviewed and approved by analysts. The website will autopopulate previously submitted payment details upon subsequent visits.LEGAL ENTITY IDENTIFIER // 27

LEI WEB PORTAL USER GUIDE B. Update an LEI (Log In Required)Updating records can be done for individual records and in bulk using the web form orexcel template described above. It is important to note that updates do not requirepayment. Throughout a given registration period (LEI Registration status is Issued), youare free to update your LEI as often as you would like. Typical examples of updates arein response to corporate actions of your company such as a name change, a locationchange, or a change in incorporation. Generally, you cannot submit an update if yourrecord is in LAPSED registration state. If your LEI is LAPSED, you would need to renew itfirst in order to make an update.LEGAL ENTITY IDENTIFIER // 28

LEI WEB PORTAL USER GUIDE There are three methods to update your LEI, "My Requests", "Web Form", and "ExcelWorkbook." If you click on "My Requests," the page will be directed to the "MyRequests" page where you can see your LEIs.If you would like to change a specific LEI you can search using the search bar in theWeb Form section. Once you fill in the LEI, the "Web Form" button will be enabled.Users may submit their LEI requests through a bulk format by using the Excelworkbook provided by Bloomberg LEI.C. Renew an LEIRenewals utilize the same bulk form and web form submission templates as creatingand updating records. Renewals require payments and are expected annually.LEGAL ENTITY IDENTIFIER // 29

LEI WEB PORTAL USER GUIDE D. Transfer-InStep 1: After clicking on the Transfer tab, you have the option of populating your LEI oryou can search for your LEI using the Search button under the Additional LEIs section.You have the option of searching the LEI using the "LEI Search" button, then select"Transfer" under the action column or bulk select using the selection feature underthe "Export" column.LEGAL ENTITY IDENTIFIER // 30

LEI WEB PORTAL USER GUIDE If you already have your single LEI that you would like to transfer, you can enter the LEIin the text box next to "Web Form", which will then enable the "Web Form" button.LEGAL ENTITY IDENTIFIER // 31

LEI WEB PORTAL USER GUIDE After locating your LEI in the Additional LEIs section, you can populate it in the transferform along with your contact information. Please note this is only for transferring anLEI into Bloomberg, not out. To request a transfer outStep 2: Once the transfer details have been filled out, you will be required to verify theinformation of your LEI record, which at this time can be updated if needed. If you goto transfer your record and it does not have any Level 2 data (parent information), youwill be required to fill out the appropriate fields detailed above in the create section.Step 3: If the registration status is currently LAPSED, it will have to be renewed prior tothe record being transferred. As the renewal requires payment, owners of LAPSEDrecords or records that will Lapse within 10 days utilizing the transfer feature will beprompted for payment details to renew the LEI. You will also have the option ofrenewing LEIs that are not lapsed or not lapsing within 10 days at a prorated price.LEGAL ENTITY IDENTIFIER // 32

LEI WEB PORTAL USER GUIDE E. Challenge (Log In Required)You can only challenge records managed by Bloomberg. You should not challenge arecord currently under your account. You should be submitting an update for anyrecords that you currently have under your account. Challenges should only besubmitted using the challenge form which is not available in bulk.If known, the LEI can be submitted directly by pasting it into the Web Form box or byclicking on LEI Search, and using the Challenge feature found under the Action column.LEGAL ENTITY IDENTIFIER // 33

LEI WEB PORTAL USER GUIDE Once the challenge feature has been clicked, you are required to submit a challengecategory alongside any necessary details required to verify your request.F. My RequestsThis page allows you to view the current status of all of your submissions, both currentand historical. The second tab lists all LEIs currently owned by you, and allows you totake actions such as update, renew, or download the record into the excel templatefor bulk submission purposes.LEGAL ENTITY IDENTIFIER // 34

LEI WEB PORTAL USER GUIDE a. DraftTo access your drafts, click on the "Account" button on the Toggle Bar and the clickon my requests. Within the "My Requests" page you will then be able to click onthe drafts tab.LEGAL ENTITY IDENTIFIER // 35

LEI WEB PORTAL USER GUIDE b. Auto RenewStep 1: To access Auto Renew, click on the "Account" button on the Toggle Bar andthen click on my requests. Click on the "Auto Renew" Tab under the "My Requests"header.Step 2: In order to auto renew your LEIs, you must select a Month and Day of thedate of submission for renewal for the following year. You can also synchronize thedates of multiple LEIs by checking their boxes under the "Select" column.LEGAL ENTITY IDENTIFIER // 36

LEI WEB PORTAL USER GUIDE Step 3: Choose a payment type to continue to Add/Edit the LEIs. Taxation isdetermined based on the country of the domicile address. Once you have submittedyour payment information using the "Add/Edit for LEIs" button, the payment detailswill be authorized and stored alongside the registration data previously submitted. Thedomicile address associated with the payment type and credit card you provided to usbefore when you purchased any LEI services will be used to calculate tax. If the creditcard is never used, we use the latest domicile address associated with any credit cardpurchase.Step 4: To finalize the changes you can click on either the "Add/Edit For All" button, ifyou would like to renew all of your LEIs. Otherwise, you can click on "Add/Edit For XLEIs", which will update LEIs that you have selected under the "Select" column.c. Transfer OwnershipStep 1: To access "Transfer Ownership," click on the drop-down under the "Account"button on the Toggle Bar and then click on my requests. Click on the "OwnershipTransfer" Tab under the "My Requests" header.LEGAL ENTITY IDENTIFIER // 37

LEI WEB PORTAL USER GUIDE Step 2a: (Single Ownership Transfer) - For a single ownership transfer, provide theLEI, and destination username. To continue the transfer process, click the "Add"button. This will auto-populate the entry under "Confirm your Transfers" section.Then click the "Submit" button to finalize the transfer.Step 2b: (Bulk Ownership Transfer) - For a bulk ownership transfer, provide a .csv filewith the following headers, in order: LEI, Destination Username, Destination Email(Optional). Then hit the "Upload" button, to auto-populate the entry under "Confirmyour Transfers" section. Then click the "Submit" button to finalize the transfer.If you would like to make updates to the existing entries under the "Confirm yourTransfers," you will need to resubmit the bulk .csv file and click the "Upload andReplace" button.LEGAL ENTITY IDENTIFIER // 38

LEI WEB PORTAL USER GUIDE LEARN MOREFor additional information on Bloomberg’s LEI Services, type LEI GO or contact us at:https://lei.bloomberg.com/feedback or lei-support@bloomberg.net.lei.bloomberg.comThe BLOOMBERG PROFESSIONAL service and BLOOMBERG Data (the “Services”) are owned and distributed by Bloomberg Finance L.P. (“BFLP”) in all jurisdictions other thanArgentina, Bermuda, China, India, Japan, and Korea (the “BLP Countries”). BFLP is a wholly owned subsidiary of Bloomberg L.P. (“BLP”). BLP provides BFLP with global marketingand operational support and service for the Services and distributes the Services either directly or through a non-BFLP subsidiary in the BLP Countries. Certain functionalitiesdistributed via the Services are available only to sophisticated institutional investors and only where the necessary legal clearance has been obtained. BFLP, BLP and theiraffiliates do not guarantee the accuracy of prices or information in the Services. Nothing in the Services shall constitute or be construed as an offering of financial instruments byBFLP, BLP or their affiliates, or as investment advice or recommendations by BFLP, BLP or their affiliates of “an investment strategy or whether or not to “buy”, “sell” or “hold”an investment. Information available via the Services should not be considered as information sufficient upon which to base an investment decision. BLOOMBERG, BLOOMBERGPROFESSIONAL, BLOOMBERG MARKETS, BLOOMBERG NEWS, BLOOMBERG ANYWHERE, BLOOMBERG TRADEBOOK, BLOOMBERG TELEVISION, BLOOMBERG RADIO, BLOOMBERGPRESS and BLOOMBERG.COM are trademarks and service marks of BFLP, a Delaware limited partnership, or its subsidiaries.LEGAL ENTITY IDENTIFIER // 39

Bloomberg Finance LP is an accredited issuer of the Legal Entity Identifier (LEI). As a Local Operating Unit (LOU) of the Global Legal Entity Identifier System, the company is responsible for the registration and administration of LEI records. The LEI is designed to uniquely identify