Compliance Hotline

UTIMCO Compliance Hotline - 1-833-222-3257

UTIMCO established a confidential reporting UTIMCO Compliance Hotline (the “Hotline”) in December 2003 to help ensure a comprehensive and effective compliance program at UTIMCO and contracts with an outside vendor to provide these Hotline services.

The Hotline exists as a mechanism to enable reporting of any kind of suspected compliance violations related to UTIMCO or a UTIMCO employee’s conduct that is not in compliance with applicable laws, rules, regulations, and policies, including violations related to the ethics policy, financial reporting, internal accounting controls, or audit matters.

The Hotline is available for confidential reporting 24 hours a day, 365 days a year. Various options for reporting the compliance incident to the Hotline are available to you:

• Website: www.lighthouse-services.com/utimco

• Anonymous Reporting App: Keyword: utimco
• Detailed instructions at https://www.lighthouse-services.com/documents/Using the Lighthouse Anonymous Reporting App.docx

• Toll-Free Telephone:
o English speaking USA and Canada: 833-222-3257
o Spanish speaking USA and Canada: 800-216-1288
o Spanish speaking Mexico: 01-800-681-5340
o French speaking Canada: 855-725-0002

• E-mail: [email protected] (must include UTIMCO company name with report)

• Fax: (215) 689-3885 (must include UTIMCO company name with report)

The Hotline, however, is not intended for handling employee grievances, such as complaints concerning working conditions, performance evaluations, hours of work, wages, or merit raises, and only compliance-related issues will be investigated.

If you suspect that UTIMCO or a UTIMCO employee's conduct is not in compliance with applicable laws, rules, regulations, and policies talk with your supervisor, contact the UTIMCO Chief Compliance Officer, or make your report via the Hotline.

A report will be provided to the appropriate individuals for investigation within one business day of your report. All reports are investigated and addressed as appropriate.