SEC 606 Order Flow Disclosure

In accordance with SEC Rule 606, Mondeum Capital, LLC is making publicly available a quarterly report on its routing of non-directed orders in NMS stocks that are submitted on a held basis and of non-directed orders that are customer orders in NMS securities that are option contracts.

The report includes the following sections as required by SEC Rule 606: (1) a section for NMS stocks, separated by securities that are included in the S&P 500 Index as of the first day of that quarter and other NMS stocks, and (2) a section for NMS securities that are option contracts.

The report also, among other things, sets forth percentages of various types of non-directed orders that were routed for execution, identifies venues to which significant amounts of non-directed orders were routed for execution, and discusses material aspects of Mondeum Capital’s relationship with venues.

Click on the appropriate quarter below to access data for the relevant time period.