No.  As noted in FAQ K4, options assignments and exercises are not orders, as defined by SEC Rule 613, and therefore are not required to be reported to CAT.  Therefore, Industry Members are also not required to report the resulting booking of shares into a customer account resulting from an options assignment or exercise.  Similarly, Industry Members are not required to report the booking of shares or contracts into a customer account resulting from other non-CAT Reportable events (e.g., conversions of a convertible bond into an equity, ADR creations and cancellations, ETF creations and redemptions, ACATS transfers). Additionally, Industry Members are not required to report the booking of shares to a customer account for the OTC equity symbol of a foreign security if it is known that the related transaction was not reportable to CAT. However, if it is not known in the firm’s booking system that the booking of shares to a customer account was related to an event (or a transaction in an OTC equity symbol of a foreign security) that was not reportable to CAT, Industry Members must report such allocations to CAT and use the applicable allocationType as set forth in the Industry Member Technical Reporting Specifications.  For example, an allocation to a custody account should be reported with an allocationType of ‘CUS’.