1.2 INCA 2021 3 2021-10-28T14:34:29Z 2021 7 6.10 0.01 22.75 29.76 47.48 Nasdaq XNAS 33.83 93.68 5.37 46.95 39.22 206.2340 9.6028 -22563.0768 -28.7083 -1098.9997 -1.7548 -12049.4985 -11.9247 The Nasdaq Stock Market (“NASDAQ”) provides tiered pricing. Instinet pays fees and receives rebates based upon NASDAQ’s pricing schedule. The pricing schedule provided by NASDAQ, including the pricing for each tier, is available to the public http://www.nasdaqtrader.com/ New York Stock Exch XNYS 5.44 3.16 8.84 3.89 4.79 -115.4124 -8.4977 -36316.9675 -28.7118 -9418.8497 -21.5182 -19069.6645 -22.3947 New York Stock Exchange LLC (“NYSE”) provides tiered pricing. Instinet pays fees and receives rebates based upon NYSE’s pricing schedule. The pricing schedule provided by NYSE, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/ NYSE Arca ARCX 5.00 0.00 3.57 7.41 4.17 0.0000 0.0000 -10620.6219 -28.7627 2139.2306 5.8222 -6753.7557 -10.3351 NYSE ARCA, Inc. (“ARCA”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA’s pricing schedule. The pricing schedule provided by ARCA, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/ UBS ATS UBSA 4.29 0.00 6.43 3.06 4.04 0.0000 0.0000 -916.4010 -10.0000 -550.9620 -10.0000 -624.6080 -10.0000 Instinet is a subscriber to the UBS ATS and pays a fee for executions occurring in the UBS ATS. Cboe EDGA Exchange, Inc. EDGA 3.58 0.00 5.15 2.08 3.78 0.0000 0.0000 4382.2290 20.3256 1663.6458 17.7637 2776.2210 19.4031 Cboe EDGA Exchange, Inc. (“Cboe EDGA”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe EDGA’s pricing schedule. The pricing schedule provided by Cboe EDGA, including the pricing for each tier, is available to the public https://markets.cboe.com/us/ Credit Suisse Securities (USA) CROS 3.43 0.00 4.98 2.30 3.40 0.0000 0.0000 -768.7770 -10.0000 -230.9800 -10.0000 -486.1560 -10.0000 Instinet is a subscriber to the CrossFinder ATS and pays a fee for executions occurring in the CrossFinder ATS. Instinet CBX ICBX 3.38 0.00 6.20 3.06 2.23 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Instinet owns and operates the Instinet CBX ATS. Instinet receives a commission from both sides of any transaction occurring in CBX (subject to the fee schedule in effect between Instinet and the relevant subscriber). Additional information regarding the Instinet CBX is available https:// Cboe BZX Exchange BATS 3.37 1.44 3.29 4.02 3.01 1.9980 9.5873 -12492.6585 -29.6109 -1178.5760 -5.7046 -6256.7270 -22.5678 Cboe BZX Exchange, Inc. (“Cboe BZX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe BZX’s pricing schedule. The pricing schedule provided by Cboe BZX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/equities/ JP Morgan Securities LLC JPMX 3.20 0.00 4.67 2.28 3.07 0.0000 0.0000 -288.1740 -10.0000 -62.9430 -10.0000 -132.9380 -10.0000 Instinet is a subscriber to the JPM-X ATS and pays a fee for executions occurring in the JPM-X ATS. Level ATS LEVL 3.00 0.00 5.34 2.71 2.07 0.0000 0.0000 -539.8188 -6.0504 -211.3470 -6.0000 -231.3606 -6.2227 Instinet is a subscriber to the Level ATS. Instinet generally pays a flat fee for executions in Level ATS. However, in instances where Instinet designates an order as only eligible to interact with certain other Level ATS subscribers, Instinet will not pay an execution fee. 2.93 0.01 12.24 24.14 63.61 Nasdaq XNAS 58.04 67.28 6.26 45.54 72.75 317.7887 7.6192 -89975.4538 -28.7853 -6950.8497 -3.0730 -71833.1192 -13.9925 The Nasdaq Stock Market (“NASDAQ”) provides tiered pricing. Instinet pays fees and receives rebates based upon NASDAQ’s pricing schedule. The pricing schedule provided by NASDAQ, including the pricing for each tier, is available to the public http://www.nasdaqtrader.com/ NYSE Arca ARCX 6.55 0.00 4.47 14.32 3.99 0.0000 0.0000 -59255.3592 -29.0165 3084.5577 2.3979 -68945.1644 -15.1150 NYSE ARCA, Inc. (“ARCA”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA’s pricing schedule. The pricing schedule provided by ARCA, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/ Cboe BZX Exchange BATS 4.45 29.54 3.87 7.79 3.28 -229.9690 -9.5069 -51381.4690 -29.4517 -1223.4740 -1.5691 -21165.9608 -13.4956 Cboe BZX Exchange, Inc. (“Cboe BZX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe BZX’s pricing schedule. The pricing schedule provided by Cboe BZX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/equities/ New York Stock Exch XNYS 3.89 0.13 6.94 2.07 3.99 -1.1600 -29.0000 -95503.6274 -28.7330 -19269.4309 -21.9047 -59795.5281 -24.9361 New York Stock Exchange LLC (“NYSE”) provides tiered pricing. Instinet pays fees and receives rebates based upon NYSE’s pricing schedule. The pricing schedule provided by NYSE, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/ CBOE EDGX EDGX 3.02 0.93 3.61 3.36 2.78 5.9648 16.0000 -62316.0784 -28.2860 -12053.3499 -19.3545 -54142.1925 -24.8195 Cboe EDGX Exchange, Inc. (“Cboe EDGX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe EDGX’s pricing schedule. The pricing schedule provided by Cboe EDGX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/ Instinet CBX ICBX 1.99 0.00 6.57 2.73 0.83 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Instinet owns and operates the Instinet CBX ATS. Instinet receives a commission from both sides of any transaction occurring in CBX (subject to the fee schedule in effect between Instinet and the relevant subscriber). Additional information regarding the Instinet CBX is available https:// UBS ATS UBSA 1.98 0.00 6.15 2.47 0.99 0.0000 0.0000 -1627.7340 -10.0000 -817.5310 -10.0000 -1103.5550 -10.0000 Instinet is a subscriber to the UBS ATS and pays a fee for executions occurring in the UBS ATS. Level ATS LEVL 1.64 0.00 5.53 2.39 0.61 0.0000 0.0000 -1272.2826 -6.3086 -397.5006 -6.0300 -724.9602 -6.1922 Instinet is a subscriber to the Level ATS. Instinet generally pays a flat fee for executions in Level ATS. However, in instances where Instinet designates an order as only eligible to interact with certain other Level ATS subscribers, Instinet will not pay an execution fee. Credit Suisse Securities (USA) CROS 1.64 0.00 5.07 1.91 0.88 0.0000 0.0000 -2000.5410 -10.0000 -580.7070 -10.0000 -882.9890 -10.0000 Instinet is a subscriber to the CrossFinder ATS and pays a fee for executions occurring in the CrossFinder ATS. JP Morgan Securities LLC JPMX 1.61 0.00 5.02 1.98 0.82 0.0000 0.0000 -900.6010 -10.0000 -285.8940 -10.0000 -273.0270 -10.0000 Instinet is a subscriber to the JPM-X ATS and pays a fee for executions occurring in the JPM-X ATS. 0.01 0.00 2.20 97.69 0.11 Nasdaq Options Market XNDQ 27.65 0.00 15.88 27.86 76.47 0.0000 0.0000 -814.2500 -26.3171 7339.7200 7.0766 15.3300 66.6522 NASDAQ Options Market (“NOM”) provides tiered pricing. Instinet pays fees and receives rebates based upon NOM’s pricing schedule. The pricing schedule provided by NOM, including the pricing for each tier, is available to the public http://nasdaqtrader.com/Micro.aspx? BOX Exchange XBOX 27.09 0.00 8.09 27.55 0.00 0.0000 0.0000 -0.2000 -0.0255 -66.9000 -0.8791 0.0000 0.0000 BOX Exchange LLC (“BOX”) provides tiered pricing. Instinet pays fees and receives rebates based upon BOX’s pricing schedule. The pricing schedule provided by BOX, including the pricing for each tier, is available to the public at https://boxoptions.com/regulatory/fee-schedule/. During July 2021, Instinet paid, on average, a net fee of $0.008 per contract for orders it routed to BOX. NYSE ARCA Options ARCO 9.55 0.00 7.89 9.58 9.80 0.0000 0.0000 -81.8400 -6.0712 49454.3200 31.1080 -22.0000 -16.0584 NYSE ARCA Options (“ARCA Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA Options’ pricing schedule. The pricing schedule provided by ARCA Options, including the pricing for each tier, is available to the public https://www.nyse.com/ Cboe BZX Options Exchange BATO 7.20 0.00 12.29 7.09 5.88 0.0000 0.0000 -2254.0000 -51.5082 -59752.4000 -52.9847 -4.0000 -50.0000 Cboe BZX Options Exchange (“BZX Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon BZX Options’ pricing schedule. The pricing schedule provided by BZX Options, including the pricing for each tier, is available to the public at https://markets.cboe.com/ C2 Options Exchange, Inc. C2OX 3.79 0.00 7.29 3.71 0.00 0.0000 0.0000 -673.6300 -42.6618 -14129.5700 -40.0839 0.0000 0.0000 Instinet pays fees and receives rebates based upon Cboe C2 Options Exchange’s (“C2”) pricing schedule. During July 2021, Instinet paid, on average, a net fee of $0.4019 per contract for orders it routed to C2. Nasdaq ISE XISX 3.39 0.00 4.00 3.38 3.92 0.0000 0.0000 -80.6100 -35.2009 -4204.6200 -35.0210 -11.5000 -46.0000 Nasdaq ISE, LLC (“ISE”) provides tiered pricing. Instinet pays fees and receives rebates based upon ISE’s pricing schedule. The pricing schedule provided by ISE, including the pricing for each tier, is available to the public http://ise.cchwallstreet.com/tools/PlatformViewer.asp? MIAX Pearl, LLC MPRL 2.73 0.00 6.19 2.65 1.96 0.0000 0.0000 -673.8000 -51.2785 -9742.0500 -52.2054 -8.5000 -50.0000 MIAX PEARL, LLC (“Pearl”) provides tiered pricing. Instinet pays fees and receives rebates based upon Pearl’s pricing schedule. The pricing schedule provided by Pearl, including the pricing for each tier, is available to the public https://www.miaxoptions.com/sites/default/files/ CBOE Exchange XCBO 2.64 0.00 5.09 2.58 0.00 0.0000 0.0000 -133.8600 -10.3128 -6178.5150 -16.7648 0.0000 0.0000 Cboe Exchange, Inc. (“Cboe”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe’s pricing schedule. The pricing schedule provided by Cboe, including the pricing for each tier, is available to the public https://cdn.cboe.com/resources/membership/ Nasdaq GEMX, LLC GMNI 2.54 0.00 4.90 2.49 0.00 0.0000 0.0000 -491.2400 -52.2596 -10123.0400 -38.2304 0.0000 0.0000 Nasdaq GEMX, LLC (“GEMX”) provides tiered pricing. Instinet pays fees and receives rebates based upon GEMX’s pricing schedule. The pricing schedule provided by GEMX, including the pricing for each tier, is available to the public http://nasdaqgemx.cchwallstreet.com/tools/ Cboe EDGX Options EDGO 2.40 0.00 5.00 2.34 0.00 0.0000 0.0000 -10.7300 -1.2789 -1173.4500 -7.2462 0.0000 0.0000 Cboe EDGX Options (“EDGX Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon EDGX Options’ pricing schedule. The pricing schedule provided by EDGX Options, including the pricing for each tier, is available to the public http://markets.cboe.com/us/ 2021 8 4.56 0.04 24.19 23.95 51.82 Nasdaq XNAS 34.95 98.41 5.61 51.85 40.77 613.6899 11.4450 -19280.1890 -28.0672 2036.6663 4.2760 -7565.2631 -9.6414 The Nasdaq Stock Market (“NASDAQ”) provides tiered pricing. Instinet pays fees and receives rebates based upon NASDAQ’s pricing schedule. The pricing schedule provided by NASDAQ, including the pricing for each tier, is available to the public http://www.nasdaqtrader.com/ New York Stock Exch XNYS 5.08 0.45 8.47 3.69 4.13 -2.5355 -29.0768 -26852.5283 -28.2914 -4580.9663 -16.8008 -14407.6811 -22.8478 New York Stock Exchange LLC (“NYSE”) provides tiered pricing. Instinet pays fees and receives rebates based upon NYSE’s pricing schedule. The pricing schedule provided by NYSE, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/ NYSE Arca ARCX 4.69 0.00 3.75 8.23 3.50 0.0000 0.0000 -9636.6588 -28.3927 2621.6582 8.8772 55.6517 0.0858 NYSE ARCA, Inc. (“ARCA”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA’s pricing schedule. The pricing schedule provided by ARCA, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/ UBS ATS UBSA 4.47 0.00 6.70 2.88 4.17 0.0000 0.0000 -605.6740 -10.0000 -193.7530 -10.0000 -403.0470 -10.0000 Instinet is a subscriber to the UBS ATS and pays a fee for executions occurring in the UBS ATS. Instinet CBX ICBX 3.67 0.00 6.71 3.13 2.50 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Instinet owns and operates the Instinet CBX ATS. Instinet receives a commission from both sides of any transaction occurring in CBX (subject to the fee schedule in effect between Instinet and the relevant subscriber). Additional information regarding the Instinet CBX is available https:// JP Morgan Securities LLC JPMX 3.35 0.00 4.86 2.12 3.22 0.0000 0.0000 -172.6770 -10.0000 -40.0480 -10.0000 -91.7180 -10.0000 Instinet is a subscriber to the JPM-X ATS and pays a fee for executions occurring in the JPM-X ATS. Cboe EDGA Exchange, Inc. EDGA 3.28 0.00 4.59 1.74 3.38 0.0000 0.0000 3489.0812 20.2544 928.7986 18.5614 1724.1486 18.2872 Cboe EDGA Exchange, Inc. (“Cboe EDGA”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe EDGA’s pricing schedule. The pricing schedule provided by Cboe EDGA, including the pricing for each tier, is available to the public https://markets.cboe.com/us/ Level ATS LEVL 3.24 0.00 5.62 2.85 2.30 0.0000 0.0000 -319.1052 -6.0650 -95.5134 -6.0000 -166.4904 -6.0000 Instinet is a subscriber to the Level ATS. Instinet generally pays a flat fee for executions in Level ATS. However, in instances where Instinet designates an order as only eligible to interact with certain other Level ATS subscribers, Instinet will not pay an execution fee. Credit Suisse Securities (USA) CROS 3.23 0.00 4.51 1.87 3.26 0.0000 0.0000 -307.8920 -10.0000 -70.8510 -10.0000 -196.6160 -10.0000 Instinet is a subscriber to the CrossFinder ATS and pays a fee for executions occurring in the CrossFinder ATS. Virtu MatchIt VFMI 2.86 0.00 4.81 1.91 2.39 0.0000 0.0000 -32.9225 -5.0000 -15.0875 -5.0000 -27.4950 -5.0000 3.12 0.01 14.97 30.18 54.84 Nasdaq XNAS 53.19 83.09 6.61 54.90 64.96 415.3990 9.7061 -90444.1420 -28.4366 7151.7375 3.3481 -46920.2295 -9.6879 The Nasdaq Stock Market (“NASDAQ”) provides tiered pricing. Instinet pays fees and receives rebates based upon NASDAQ’s pricing schedule. The pricing schedule provided by NASDAQ, including the pricing for each tier, is available to the public http://www.nasdaqtrader.com/ NYSE Arca ARCX 7.07 0.00 4.82 12.80 4.53 0.0000 0.0000 -59905.6783 -28.7281 7125.3034 6.2035 -67240.9132 -14.3599 NYSE ARCA, Inc. (“ARCA”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA’s pricing schedule. The pricing schedule provided by ARCA, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/ Cboe BZX Exchange BATS 4.84 13.59 3.92 5.18 4.91 0.4325 0.0395 -50565.1869 -29.7315 -3151.1234 -9.7978 -28268.3753 -24.3318 Cboe BZX Exchange, Inc. (“Cboe BZX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe BZX’s pricing schedule. The pricing schedule provided by Cboe BZX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/equities/ New York Stock Exch XNYS 4.52 0.99 7.58 1.75 5.21 -13.0605 -13.5020 -102500.4688 -28.2806 -15151.4132 -20.3561 -57039.0717 -24.5935 New York Stock Exchange LLC (“NYSE”) provides tiered pricing. Instinet pays fees and receives rebates based upon NYSE’s pricing schedule. The pricing schedule provided by NYSE, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/ CBOE EDGX EDGX 2.91 0.22 3.68 4.67 1.74 10.1776 16.0000 -59224.8887 -28.2484 -6193.0313 -16.4706 -45399.1089 -23.3336 Cboe EDGX Exchange, Inc. (“Cboe EDGX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe EDGX’s pricing schedule. The pricing schedule provided by Cboe EDGX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/ UBS ATS UBSA 2.26 0.00 6.00 1.98 1.40 0.0000 0.0000 -2052.4870 -10.0000 -837.4950 -10.0000 -1378.9690 -10.0000 Instinet is a subscriber to the UBS ATS and pays a fee for executions occurring in the UBS ATS. Instinet CBX ICBX 2.20 0.00 6.23 2.09 1.15 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Instinet owns and operates the Instinet CBX ATS. Instinet receives a commission from both sides of any transaction occurring in CBX (subject to the fee schedule in effect between Instinet and the relevant subscriber). Additional information regarding the Instinet CBX is available https:// Level ATS LEVL 1.82 0.00 5.19 1.83 0.90 0.0000 0.0000 -1503.8466 -6.4697 -364.6248 -6.1209 -1270.2324 -6.2286 Instinet is a subscriber to the Level ATS. Instinet generally pays a flat fee for executions in Level ATS. However, in instances where Instinet designates an order as only eligible to interact with certain other Level ATS subscribers, Instinet will not pay an execution fee. JP Morgan Securities LLC JPMX 1.82 0.00 4.76 1.52 1.18 0.0000 0.0000 -854.0140 -10.0000 -224.0030 -10.0000 -330.6940 -10.0000 Instinet is a subscriber to the JPM-X ATS and pays a fee for executions occurring in the JPM-X ATS. Cboe EDGA Exchange, Inc. EDGA 1.81 0.55 4.78 0.82 1.54 -4.6380 -30.0000 13447.9998 19.8730 2535.8682 16.3170 8130.4380 19.5440 Cboe EDGA Exchange, Inc. (“Cboe EDGA”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe EDGA’s pricing schedule. The pricing schedule provided by Cboe EDGA, including the pricing for each tier, is available to the public https://markets.cboe.com/us/ 0.03 0.00 1.41 94.83 3.76 NYSE ARCA Options ARCO 24.40 0.00 12.16 24.94 15.16 0.0000 0.0000 -122.9300 -19.9886 43638.1300 31.3429 313.9800 35.2391 NYSE ARCA Options (“ARCA Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA Options’ pricing schedule. The pricing schedule provided by ARCA Options, including the pricing for each tier, is available to the public https://www.nyse.com/ Nasdaq Options Market XNDQ 19.02 0.00 14.43 19.80 0.85 0.0000 0.0000 -93.6600 -9.1109 1740.9600 3.6688 0.0000 0.0000 NASDAQ Options Market (“NOM”) provides tiered pricing. Instinet pays fees and receives rebates based upon NOM’s pricing schedule. The pricing schedule provided by NOM, including the pricing for each tier, is available to the public http://nasdaqtrader.com/Micro.aspx? BOX Exchange XBOX 16.87 0.00 4.54 17.52 5.34 0.0000 0.0000 -11.5500 -4.5833 -2013.4000 -26.5410 0.0000 0.0000 BOX Exchange LLC (“BOX”) provides tiered pricing. Instinet pays fees and receives rebates based upon BOX’s pricing schedule. The pricing schedule provided by BOX, including the pricing for each tier, is available to the public at https://boxoptions.com/regulatory/fee-schedule/. During August 2021, Instinet paid, on average, a net fee of $0.2584 per contract for orders it routed to BOX. Cboe BZX Options Exchange BATO 7.04 0.00 11.34 7.20 1.62 0.0000 0.0000 -920.3000 -55.0748 -30900.2000 -55.3757 -173.0000 -50.0000 Cboe BZX Options Exchange (“BZX Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon BZX Options’ pricing schedule. The pricing schedule provided by BZX Options, including the pricing for each tier, is available to the public at https://markets.cboe.com/ C2 Options Exchange, Inc. C2OX 3.98 0.00 5.98 3.89 5.65 0.0000 0.0000 -138.6600 -49.8777 -7091.6400 -37.7898 -51.6400 -46.1071 Instinet pays fees and receives rebates based upon Cboe C2 Options Exchange’s (“C2”) pricing schedule. During August 2021, Instinet paid, on average, a net fee of $0.3801 per contract for orders it routed to C2. Nasdaq ISE XISX 3.94 0.00 4.54 3.47 15.47 0.0000 0.0000 -70.6800 -47.4362 -5034.6800 -35.0068 -83.2600 -46.0000 Nasdaq ISE, LLC (“ISE”) provides tiered pricing. Instinet pays fees and receives rebates based upon ISE’s pricing schedule. The pricing schedule provided by ISE, including the pricing for each tier, is available to the public http://ise.cchwallstreet.com/tools/PlatformViewer.asp? CBOE Exchange XCBO 3.76 0.00 8.66 3.25 14.85 0.0000 0.0000 -119.0175 -20.9907 -4070.3550 -26.4549 -8.5100 -42.5500 Cboe Exchange, Inc. (“Cboe”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe’s pricing schedule. The pricing schedule provided by Cboe, including the pricing for each tier, is available to the public https://cdn.cboe.com/resources/membership/ Nasdaq GEMX, LLC GMNI 3.05 0.00 4.12 3.14 0.31 0.0000 0.0000 -285.3700 -67.9452 -6831.7300 -44.9338 -27.0000 -50.0000 Nasdaq GEMX, LLC (“GEMX”) provides tiered pricing. Instinet pays fees and receives rebates based upon GEMX’s pricing schedule. The pricing schedule provided by GEMX, including the pricing for each tier, is available to the public http://nasdaqgemx.cchwallstreet.com/tools/ MIAX Emerald, LLC. EMLD 2.64 0.00 2.89 2.72 0.39 0.0000 0.0000 -72.7000 -75.7292 -3869.8000 -61.9565 -15.0000 -50.0000 MIAX Emerald, LLC (“Emerald”) provides tiered pricing. Instinet pays fees and receives rebates based upon Emerald’s pricing schedule. The pricing schedule provided by Emerald, including the pricing for each tier, is available to the public https://www.miaxoptions.com/sites/default/files/fee_schedule-files/MIAX_Emerald_Fee_Schedule_03252021.pdf. During August 2021, Instinet paid, on average, a net fee of $0.6211 per contract for orders it routed to Emerald. Separately, in accordance with Emerald’s market maker preferencing program, Instinet has preferenced a NYSE American Options AMXO 2.60 0.00 5.15 2.09 14.54 0.0000 0.0000 -85.5000 -29.5848 -1530.2500 -22.7513 0.0000 0.0000 NYSE American Options (“AMEX”) provides tiered pricing. Instinet pays fees and receives rebates based upon AMEX’s pricing schedule. The pricing schedule provided by AMEX, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/ 2021 9 4.58 0.05 26.31 20.55 53.10 Nasdaq XNAS 37.82 98.74 4.97 41.96 52.44 667.5405 10.8702 -14088.1330 -29.0186 -3185.6497 -7.6710 -9126.8492 -15.5489 The Nasdaq Stock Market (“NASDAQ”) provides tiered pricing. Instinet pays fees and receives rebates based upon NASDAQ’s pricing schedule. The pricing schedule provided by NASDAQ, including the pricing for each tier, is available to the public http://www.nasdaqtrader.com/ New York Stock Exch XNYS 5.58 0.25 8.99 4.27 4.41 -0.6527 -28.5022 -23342.6144 -28.4226 -3692.0732 -17.5366 -12972.1656 -23.9476 New York Stock Exchange LLC (“NYSE”) provides tiered pricing. Instinet pays fees and receives rebates based upon NYSE’s pricing schedule. The pricing schedule provided by NYSE, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/ NYSE Arca ARCX 4.43 0.00 3.59 7.98 3.48 0.0000 0.0000 -7529.2180 -29.4413 2220.8961 8.2842 -4126.7281 -12.6759 NYSE ARCA, Inc. (“ARCA”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA’s pricing schedule. The pricing schedule provided by ARCA, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/ UBS ATS UBSA 3.93 0.00 6.74 3.36 2.76 0.0000 0.0000 -486.6230 -10.0000 -210.6150 -10.0000 -361.9100 -10.0000 Instinet is a subscriber to the UBS ATS and pays a fee for executions occurring in the UBS ATS. Cboe BZX Exchange BATS 3.70 0.25 2.98 6.53 2.96 3.6075 25.0000 -8460.4410 -29.6345 -249.4495 -1.2826 -4605.6555 -23.5128 Cboe BZX Exchange, Inc. (“Cboe BZX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe BZX’s pricing schedule. The pricing schedule provided by Cboe BZX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/equities/ Instinet CBX ICBX 3.65 0.00 7.01 3.27 2.13 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Instinet owns and operates the Instinet CBX ATS. Instinet receives a commission from both sides of any transaction occurring in CBX (subject to the fee schedule in effect between Instinet and the relevant subscriber). Additional information regarding the Instinet CBX is available https:// Level ATS LEVL 3.31 0.00 6.12 3.30 1.93 0.0000 0.0000 -373.8354 -6.0495 -87.0708 -6.0754 -137.6190 -6.0000 Instinet is a subscriber to the Level ATS. Instinet generally pays a flat fee for executions in Level ATS. However, in instances where Instinet designates an order as only eligible to interact with certain other Level ATS subscribers, Instinet will not pay an execution fee. JP Morgan Securities LLC JPMX 2.96 0.00 4.92 2.48 2.17 0.0000 0.0000 -145.3440 -10.0000 -39.2500 -10.0000 -86.2240 -10.0000 Instinet is a subscriber to the JPM-X ATS and pays a fee for executions occurring in the JPM-X ATS. Virtu MatchIt VFMI 2.95 0.00 5.04 2.45 2.10 0.0000 0.0000 -31.0705 -5.0000 -26.6940 -5.0000 -29.2885 -5.0000 Instinet is a subscriber to the Virtu MatchIt ATS and pays a fee for executions occurring in the Virtu MatchIt ATS. Credit Suisse Securities (USA) CROS 2.82 0.00 4.56 2.07 2.25 0.0000 0.0000 -327.4020 -10.0000 -97.4930 -10.0000 -207.3610 -10.0000 Instinet is a subscriber to the CrossFinder ATS and pays a fee for executions occurring in the CrossFinder ATS. 2.00 0.01 13.45 45.32 41.22 Nasdaq XNAS 52.29 71.60 5.83 65.70 52.68 270.4509 7.4036 -58420.7528 -28.7694 -10496.0713 -5.5199 -43353.8270 -11.8329 The Nasdaq Stock Market (“NASDAQ”) provides tiered pricing. Instinet pays fees and receives rebates based upon NASDAQ’s pricing schedule. The pricing schedule provided by NASDAQ, including the pricing for each tier, is available to the public http://www.nasdaqtrader.com/ NYSE Arca ARCX 7.28 0.00 4.44 8.73 6.62 0.0000 0.0000 -42674.1023 -28.8742 3744.1412 3.4196 -48857.9012 -11.7838 NYSE ARCA, Inc. (“ARCA”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA’s pricing schedule. The pricing schedule provided by ARCA, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/ Cboe BZX Exchange BATS 5.39 25.47 3.73 5.28 6.03 -204.4425 -12.7821 -39226.8633 -29.6190 -1243.9626 -1.9586 -22319.5614 -17.7884 Cboe BZX Exchange, Inc. (“Cboe BZX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe BZX’s pricing schedule. The pricing schedule provided by Cboe BZX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/equities/ New York Stock Exch XNYS 4.99 0.23 7.41 1.19 8.39 -2.5000 -11.3636 -67622.0855 -28.4441 -15038.9543 -21.9933 -44879.9426 -24.2859 New York Stock Exchange LLC (“NYSE”) provides tiered pricing. Instinet pays fees and receives rebates based upon NYSE’s pricing schedule. The pricing schedule provided by NYSE, including the pricing for each tier, is available to the public https://www.nyse.com/publicdocs/nyse/ CBOE EDGX EDGX 3.51 0.47 3.38 4.54 2.44 2.5360 5.5311 -36971.7454 -28.0989 -11473.0521 -22.9089 -37987.0743 -24.6509 Cboe EDGX Exchange, Inc. (“Cboe EDGX”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe EDGX’s pricing schedule. The pricing schedule provided by Cboe EDGX, including the pricing for each tier, is available to the public https://markets.cboe.com/us/ Instinet CBX ICBX 2.19 0.00 6.55 1.37 1.68 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Instinet owns and operates the Instinet CBX ATS. Instinet receives a commission from both sides of any transaction occurring in CBX (subject to the fee schedule in effect between Instinet and the relevant subscriber). Additional information regarding the Instinet CBX is available https:// UBS ATS UBSA 2.11 0.00 6.28 1.28 1.67 0.0000 0.0000 -1638.7980 -10.0000 -675.8050 -10.0000 -1171.3100 -10.0000 Instinet is a subscriber to the UBS ATS and pays a fee for executions occurring in the UBS ATS. Level ATS LEVL 1.83 0.00 5.54 1.22 1.28 0.0000 0.0000 -1432.3848 -6.8750 -264.8550 -6.0000 -1506.0864 -6.4502 Instinet is a subscriber to the Level ATS. Instinet generally pays a flat fee for executions in Level ATS. However, in instances where Instinet designates an order as only eligible to interact with certain other Level ATS subscribers, Instinet will not pay an execution fee. JP Morgan Securities LLC JPMX 1.76 0.00 4.98 1.08 1.46 0.0000 0.0000 -608.7670 -10.0000 -194.1650 -10.0000 -317.2320 -10.0000 Instinet is a subscriber to the JPM-X ATS and pays a fee for executions occurring in the JPM-X ATS. Virtu MatchIt VFMI 1.74 0.00 4.89 1.05 1.46 0.0000 0.0000 -117.4235 -5.0000 -79.2990 -5.0000 -103.4975 -5.0000 Instinet is a subscriber to the Virtu MatchIt ATS and pays a fee for executions occurring in the Virtu MatchIt ATS. 0.01 0.00 0.28 98.07 1.66 NYSE ARCA Options ARCO 27.73 0.00 15.04 27.98 14.71 0.0000 0.0000 56.5500 10.0266 43286.6800 30.9195 -50.8200 -3.9213 NYSE ARCA Options (“ARCA Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon ARCA Options’ pricing schedule. The pricing schedule provided by ARCA Options, including the pricing for each tier, is available to the public https://www.nyse.com/ BOX Exchange XBOX 27.63 0.00 23.01 27.90 12.93 0.0000 0.0000 -21.3000 -54.6154 -2380.0000 -30.5755 12.6000 90.0000 BOX Exchange LLC (“BOX”) provides tiered pricing. Instinet pays fees and receives rebates based upon BOX’s pricing schedule. The pricing schedule provided by BOX, including the pricing for each tier, is available to the public at https://boxoptions.com/regulatory/fee-schedule/. During September 2021, Instinet paid, on average, a net fee of $0.3048 per contract for orders it routed to BOX. Nasdaq Options Market XNDQ 17.01 0.00 9.73 17.00 18.72 0.0000 0.0000 141.5100 50.7204 14325.9800 23.8790 -2707.0000 -38.0999 NASDAQ Options Market (“NOM”) provides tiered pricing. Instinet pays fees and receives rebates based upon NOM’s pricing schedule. The pricing schedule provided by NOM, including the pricing for each tier, is available to the public http://nasdaqtrader.com/Micro.aspx? Cboe BZX Options Exchange BATO 5.22 0.00 14.16 5.18 6.24 0.0000 0.0000 -220.4000 -71.0968 -30563.7000 -58.5198 -6495.5000 -50.0000 Cboe BZX Options Exchange (“BZX Options”) provides tiered pricing. Instinet pays fees and receives rebates based upon BZX Options’ pricing schedule. The pricing schedule provided by BZX Options, including the pricing for each tier, is available to the public at https://markets.cboe.com/ Nasdaq ISE XISX 2.85 0.00 7.08 2.77 7.13 0.0000 0.0000 -5.0400 -33.6000 -4591.4500 -46.2195 -387.7000 -39.2409 Nasdaq ISE, LLC (“ISE”) provides tiered pricing. Instinet pays fees and receives rebates based upon ISE’s pricing schedule. The pricing schedule provided by ISE, including the pricing for each tier, is available to the public http://ise.cchwallstreet.com/tools/PlatformViewer.asp? Nasdaq OMX XBXO 2.51 0.00 3.54 2.51 2.08 0.0000 0.0000 -15.1800 -46.0000 -5891.3400 -55.1262 -246.9200 -43.1678 Nasdaq OMX BX Options ("XBXO") provides tiered pricing. Instinet pays fees and receives rebates based upon XBXO’s pricing schedule. The pricing schedule provided by XBXO, including the pricing for each tier, is available to the public https://listingcenter.nasdaq.com/rulebook/bx/rules/BX%20Options%207. During September 2021, Instinet paid, on average, a net fee of $0.5449 per contract for orders it routed to XBXO. C2 Options Exchange, Inc. C2OX 2.43 0.00 6.19 2.37 5.20 0.0000 0.0000 -22.8000 -57.0000 -5781.8700 -50.4218 -708.3000 -37.0063 Instinet pays fees and receives rebates based upon Cboe C2 Options Exchange’s (“C2”) pricing schedule. During September 2021, Instinet paid, on average, a net fee of $0.4853 per contract for orders it routed to C2 CBOE Exchange XCBO 2.27 0.00 5.31 2.21 5.50 0.0000 0.0000 -11.3725 -2.1498 -8039.8925 -21.1159 -293.0875 -1.6275 Cboe Exchange, Inc. (“Cboe”) provides tiered pricing. Instinet pays fees and receives rebates based upon Cboe’s pricing schedule. The pricing schedule provided by Cboe, including the pricing for each tier, is available to the public https://cdn.cboe.com/resources/membership/ Nasdaq GEMX, LLC GMNI 2.26 0.00 1.77 2.28 0.89 0.0000 0.0000 -15.0000 -65.2174 -6207.4900 -61.0673 -129.8500 -49.0000 Nasdaq GEMX, LLC (“GEMX”) provides tiered pricing. Instinet pays fees and receives rebates based upon GEMX’s pricing schedule. The pricing schedule provided by GEMX, including the pricing for each tier, is available to the public http://nasdaqgemx.cchwallstreet.com/tools/ MIAX Pearl, LLC MPRL 1.93 0.00 2.65 1.92 2.38 0.0000 0.0000 -28.4000 -101.4286 -3998.1200 -58.1460 -265.1000 -48.4644 MIAX PEARL, LLC (“Pearl”) provides tiered pricing. Instinet pays fees and receives rebates based upon Pearl’s pricing schedule. The pricing schedule provided by Pearl, including the pricing for each tier, is available to the public https://www.miaxoptions.com/sites/default/files/