12 Rec or d k eeping W e must k eep honest and a c cur a t e busines s r ec or ds in or der t o Mak e g ood busines s decisions Meet l eg a l fnanci a l r egul a t ory and mana g ement oblig a tions and Maximize the benefts of our prior kno wl edg e and pr e vious e xperienc e T r ans a c tions or r ec or ds must ne v er be hidden f a lsifed or a lt er ed This applies t o a l l r ec or ds including email c ommunic a tions int erna l memo s and f orma l r epor ts Antitrust and f air c ompetition Antitrust l a w s s ometimes a ls o c a l l ed c ompetition l a w s g o v ern the w a y c ompanies beha v e in the mark etpl a c e The l a w s g ener a l l y outline ho w c ompanies shoul d de a l with c ompetit or s cust omer s and supplier s Viol a ting antitrust l a w s c oul d r esult in crimina l pena lties t o the individua l inv ol v ed as w el l as the c ompany Univ ar is c ommit t ed t o c ompeting vig or ousl y and f airl y W e wil l no t C ommunic a t e pricing any t erms tha t af ec t pricing or suppl y a v ail abilit y t o any c ompetit or Divide or a l l oc a t e mark ets or cust omer s or a gr ee t o divide either of them Agr ee t o bo y c o t t ano ther busines s with a c ompetit or or Put inappr opri a t e or unr e as onabl e c onditions on pur chas es or s a l es Antitrust l a w s v ary b y r egion F or questions about antitrust r equir ements pl e as e c onsult with the Leg a l C orpor a t e Af air s depar tment Insider tr a ding Buying or s el ling the s ecurities of a c ompany on the basis of inside inf orma tion kno wn as insider tr a ding is a crimina l of ens e in mo st c ountries W e must no t eng a g e in tr a ding any c ompanies s ecurities on the basis of inside inf orma tion Inside inf orma tion is ma t eri a l inf orma tion about a c ompany no t kno wn t o the g ener a l public Univ ar ma y obt ain inf orma tion fr om busines s par tner s bas ed on our r el a tionship s tha t ma y be c onsider ed inside inf orma tion C ommunic a ting tha t inf orma tion t o s omeone outside the c ompany tipping who then us es tha t inf orma tion t o tr a de in our busines s par tner s s ecurities viol a t es s ecurities l a w s and is pr ohibit ed Financi a l r epor ting and a c c ounting W e wil l k eep c ompl et e and a c cur a t e r ec or ds in or der t o enabl e pr oper and a c cur a t e a c c ounting and fnanci a l st a t ements Ef ec tiv e mana g ement c ontr ols wil l be maint ained o v er tr ans a c tiona l pr oc es s es t o pr o t ec t Univ ar s as s ets and ensur e pr oper a c c ounting and r epor ting Suspec t ed fr aud wil l be inv estig a t ed in a c c or danc e with int erna l pr oc edur es and any fnanci a l fr aud or signifc ant int erna l c ontr ol defciencies wil l be dis cl o s ed t o Univ ar s Boar d of Dir ec t or s or Audit C ommit t ee