Insider Trading Attestation and Request

It is the policy of TWP that employees are NOT to trade stocks of companies where the firm has a client relationship with a high level manager or executive who may potentially provide us with inside information. A list of applicable stocks can be requested from the Chief Compliance Officer (CCO) at any point, but will be provided to you anytime this information is requested. Any purchase of listed stocks must have prior written approval from the firm CCO before purchase or sale can occur. In order to comply with SEC insider trading rules, TWP must know of any and all investment accounts that you, your spouse or children, maintain. Please complete the following fields for the previous quarter.

Describe Your Accounts:

Have you bought or sold any of our firm's restricted stocks in the last 3 months?

If you have investments outside Schwab or Fidelity, please complete the following:

If you have invested securities outside Schwab or Fidelity, please describe the types of holdings and tickers for individual stocks below.

Type of Securities and/or Individual Stocks Held:

(If you have traded one of the restricted stocks in the last 3 months or are not sure if you have, you must upload statements to Box here.)

Attestation:

I confirm the above disclosure is correct and will provide trade away investment statements as requested by the firm CCO.

Name:

Date:

Insider Trading Attestation and Request

If you have investments outside Schwab or Fidelity, please complete the following:

Attestation:

Interested in winning by not losing?

We Are Proudly Associated With:

CONTACT INFO

OUR LOCATIONS

Blog Subscription

Insider Trading Attestation and Request

If you have investments outside Schwab or Fidelity, please complete the following:

Attestation:

Interested in winning by not losing?

We Are Proudly Associated With:

CONTACT INFO

OUR LOCATIONS