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.

POLICY

Advisory Committee Policy

Disclosures Date

Participant Disclosures

Disclosure form - Participant - CBOE May 22, 2019
Disclosure form - Participant - IEX May 22, 2019
Disclosure form - Participant - Nasdaq May 22, 2019
Disclosure form - Participant - NYSE May 22, 2019
Disclosure form - Participant - FINRA June 20, 2019

Administrators Disclosures

Disclosure form - Administrator - CTA May 22, 2019
Disclosure form - Administrator - UTP May 22, 2019

Processors Disclosures

Disclosure form - Processor - SIAC May 22, 2019
Disclosure form - Processor - UTP Business May 22, 2019
Disclosure form - Processor - UTP Technology May 22, 2019

Advisors Disclosures

Disclosure form - Advisor - Kerry Baker Relf May 22, 2019
Disclosure form - Advisor - Bill Conti May 22, 2019
Disclosure form - Advisor - Chris Nielsen May 22, 2019
Disclosure form - Advisor - Hubert De Jesus May 22, 2019
Disclosure form - Advisor - Melissa Hinmon May 22, 2019
Disclosure form - Advisor - Patti Sachs May 22, 2019
Disclosure form - Advisor - Paul O'Donnell May 22, 2019
Disclosure form - Advisor - Tom Jordan May 22, 2019
Disclosure form - Advisor - Todd Watkins May 22, 2019