To enhance transparency in Plan governance, the SIP Operating Committee unanimously approved the disclosure of the following policy, as well as information related to the ownership and operations of Participants, Advisors, Administrators and Processors.

POLICIES
Advisory Committee Policy
CTA and CQ Plans Administrator and Processor Confidential Information Policy
CTA, CQ & UTP Confidentiality Policy

Disclosures Date

Participant Disclosures

Disclosure Form - Participant - Cboe February 24, 2021
Disclosure Form - Participant - Cboe BYX February 24, 2021
Disclosure Form - Participant - Cboe BZX February 24, 2021
Disclosure Form - Participant - Cboe EDGA February 24, 2021
Disclosure Form - Participant - Cboe EDGX February 24, 2021
Disclosure Form - Participant - Nasdaq February 24, 2021
Disclosure Form - Participant - Nasdaq BX February 24, 2021
Disclosure Form - Participant - Nasdaq ISE February 24, 2021
Disclosure Form - Participant - Nasdaq PHLX February 24, 2021
Disclosure Form - Participant - NYSE February 24, 2021
Disclosure Form - Participant - NYSE Chicago February 24, 2021
Disclosure Form - Participant - NYSE National February 24, 2021
Disclosure Form - Participant - NYSE American February 24, 2021
Disclosure Form - Participant - NYSE Arca February 24, 2021
Disclosure Form - Participant - FINRA February 24, 2021
Disclosure Form - Participant - IEX February 24, 2021
Disclosure Form - Participant - LTSE February 24, 2021
Disclosure Form - Participant - MEMX February 24, 2021
Disclosure Form - Participant - MIAX February 24, 2021

Administrators Disclosures

Disclosure Form - Administrator - CTA February 24, 2021
Disclosure Form - Administrator - UTP February 24, 2021

Processors Disclosures

Disclosure Form - Processor - SIAC February 24, 2021
Disclosure Form - Processor - UTP February 24, 2021

Advisors Disclosures

Disclosure Form - Advisor - Kerry Baker Relf February 24, 2021
Disclosure Form - Advisor - Bill Conti February 24, 2021
Disclosure Form - Advisor - Hubert De Jesus February 24, 2021
Disclosure Form - Advisor - Edmund Flynn February 24, 2021
Disclosure Form - Advisor - Melissa Hinmon February 24, 2021
Disclosure Form - Advisor - Tom Jordan February 24, 2021
Disclosure Form - Advisor - Stephen Miele February 24, 2021
Disclosure Form - Advisor - Chris Nielsen February 24, 2021
Disclosure Form - Advisor - Paul O'Donnell February 24, 2021
Disclosure Form - Advisor - Patti Sachs February 24, 2021
Disclosure Form - Advisor - Todd Watkins February 24, 2021

Service Provider-Subcontractor Disclosures

Disclosure Form - Service Provider-Subcontractor- Ernst & Young LLP February 22, 2021
Disclosure Form - Service Provider-Subcontractor- Eversheds Sutherland (US) LLP March 30, 2021
Disclosure Form - Service Provider-Subcontractor - Forefront Communications Group, Inc. February 24, 2021
Disclosure Form - Service Provider-Subcontractor - Murphy and McGonigle February 24, 2021