Management Team _ Miaxoptions

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Management Team

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The Miami International Securities Exchange, LLC (MIAX) has assembled a very experienced

managem ent team. MIAX currently has over 70 full-time employees and consultants.

Executive Management

Thomas P. Gallagher

Executive Chair manThomas Gallagher is the Executive Chairman of MIAX and its parent company Miami

International Holdings, Inc. (MIH). As one of the principal founders of MIH and MIAX, Tom

has been leading the company since inception. He has been instrumental in sourcing

the capital for MIH and assembling the seasoned industry professionals that comprise

the current MIAX team. Tom is also driving the building of a consortium of key users for

the MIAX Options Exchange. He is a founding partner of the law firm Gallagher, Briody &

Butler, a full-service corporate and securities law firm located in Princeton, New Jersey.

Over the past 25 years, Tom has counseled numerous private and public companies on

corporate and securities matters including debt and equity financings and transactional

matters in a wide range of industries.

Douglas M. Schafer

Executive V ice Pr esid ent, Chief Inf ormation Of f icer & Dir ector

As Chief Information Officer, Douglas Schafer is respons ible for the MIAX Exchange

technology development and operations. Working closely with customers and exchange

business strategists, he defines and manages IT across the entire enterprise, ensuring

technology closely aligns with the needs of the business . Doug served as Vice President

– Derivatives Trading Systems Development for NASDAQ OMX PHLX prior to joining

MIAX. Doug had been with NASDAQ OMX and PHLX for 18 years and is widely credited as

being one of the architects of the exchange's technological renaissance.

Barbara Comly

Executive V ice Pr esid ent, General Counsel and Corpor ate Secr etar y

Barbara Comly has over 20 years of legal experience in corporate and securities matters.

As General Counsel of MIAX and MIH, her respons ibil ities include facil itating the MIAX

Options Exchange application with the SEC and providing legal counsel to management

and the Board of Directors on a wide range of matters. In her role as Corporate Secretary,

Barbara manages corporate governance matters. Barbara's experience includes a

number of complex corporate and securities matters as a partner at Gallagher, Briody &

Butler (Princeton) and as an associate at Morgan, Lewis & Bockius LLP (Philadelphia)



and Shearman & Sterling LLP (New York).

Paul Warner

Executive V ice Pr esid ent, Chief Financial Of ficer

As Chief Financial Officer, part of Paul Warner’s respons ibil ities include handl ing the

management of all financial reporting, tax and treasury functions, as well as billing,

procurements, budgeting and capital raising initiatives. In addition, Paul will be

responsible for risk management functions at the Miami International Holdings, Inc.

(holding company) level. Prior to joining MIH, Paul was the Chief Financial Officer and

Senior Vice President of the American Stock Exchange, LLC prior to its sale to the NYSE.

He is a 30 year veteran of the financial services industry and has significant

management experience in the broker-dealer and asset management space as well,

including serving as Chief Administrative Officer of CDC Capital, and as audit executive

with CSFB and Freddie Mac. Paul is a Certified Public Accountant in the State of New

York and has served in the past on the New York State Society of CPAs Stockbrokerage

Accounting Committee.

Shelly Brown

Senior V ice Pr esid ent, Str ategic Planning and Oper ations

As Senior Vice President of Strategic Planning and Operations , Shelly Brown is

responsible for business strategy, functionality and operations as well as establishing

and maintaining client relationships for MIAX. Shelly has over 30 years of industry

experience. Prior to joining MIAX, Shelly served as the Director of Business Management

for PEAK6 Investments, a Chicago-based trading firm, where he was head of options

execution. Prior to joining PEAK6, Shelly was Associate Vice President at NASDAQ OMX

and Vice President, Derivatives Trading Strategy at the Philadelphia Stock Exchange

(PHLX) and Manager of Derivatives Trading Systems at Susquehanna International

Group, LLC.

Regulatory and Compliance

Edward Deitzel

Senior V ice Pr esid ent, Chief Regulator y Of f icer

As Chief Regulatory Officer, Edward Deitzel is responsible for monitoring member

compliance with the rules and procedures of the MIAX Exchange designed to provide a

fair and equitable marketplace. Additionally, Ed assists the legal, technology and

business departments of MIAX with SRO regulatory matters. As an experienced

exchange regulatory officer, Ed has developed a strong working relationship with

numerous industry participants in both the trading and regulatory areas. In both his

current role and in previous roles as an officer in regulation, Ed managed the

development, testing and deployment of new and updated regulatory programs in direct

response to or in anticipation of regulatory changes. Prior to joining MIAX, Ed had been

with NASDAQ OMX and PHLX for over 12 years.

Harish Jayabalan

Vice Pr esident, Chief Risk Of f icer

As Chief Risk Officer, Harish Jayabalan is respons ible for establishing ris k assessm ent,

monitoring and reporting framework. Additionally, Harish assists the regulatory, legal,

information security, technology and busines s departments of MIAX with matters dealing



with technology control areas. In previous roles, Harish managed the assessment,

design and implementation of appropriate control framework and self-assessment

programs . Prior to joining MIAX, Harish had been with Direct Edge, Citi Group, JPMorgan

Chase and Ernst & Young in various technology, internal audit and risk management

roles.

Technology

Matt Rotella

Senior V ice Pr esid ent, Tr ading Sy stems Development and Sy stems Operations

As Senior Vice President of Trading Systems Development and Operations, Matt Rotella

is responsible for the oversight of all aspects of the trading system application software

development and production operation. Matt served as Vice President of Architecture &

Development for NASDAQ OMX PHLX, where he was responsible for defining,

developing and supervising the execution and implementation of technical initiatives for

the Derivatives Trading Systems Division of Global Systems Development. In 2009, he

was the recipient of NASDAQ OMX CEO Award for outstanding contribution to a mission

critical project. Matt had been with NASDAQ OMX and PHLX for over 18 years.

Frank Ziegler

Senior V ice Pr esid ent, Systems Inf rastr uctur e

As Senior Vice President of Systems Infrastructure, Frank Ziegler is respons ible for the

MIAX Exchange technology infrastructure including architectural oversight of network and

systems integration, security engineering, data center and network operations. Frank

served as Associate Vice President – Head of Global Network and Firewall Architecture

for NASDAQ OMX PHLX, where his responsibilities included forming a core group of

network and security architects focused on deriving additional value from the exchange's

Global infrastructure supporting 21 internal markets, 10 clearing houses, and 70

exchanges in over 50 countries. While at NASDAQ OMX PHLX, he designed the

exchange's network infrastructure and managed the exchange's network team. Frank

had been with NASDAQ OMX and PHLX for over 9 years.

Randy Foster

Senior V ice Pr esid ent, Business Sy stems Development

RandyFoster is leading the development of the middle- and back-office platform that will

support all MIAX Exchange operations and business processing, including trade clearing

and correction processing, trading system configuration, help desk support,

membership, symbol management, billing, market surveillance, data warehousing and

business intelligence. Randy served as Director of Back Office Technology for NASDAQ

OMX PHLX, where his responsibilities included leading the effort to redesign and re-

platform the systems that support the operational activities of the options and futures

exchanges and supporting ongoing business and technology initiatives. Randy had been

with NASDAQ OMX and PHLX for over 5 years.

John Masserini

Vice Pr esident, Chief Inf ormation Security Of f icer

As Chief Securi ty Officer, John Mass erini is res pons ible for information security, physical

security, business continuity, and privacy for MIAX. An 18-year veteran of the security

industry, John is responsible for all information security and risk management



strategies, including security architecture, regulatory compliance, and business

continuity. Prior to joining MIAX, John was the CISO for Dow Jones, overseeing security

and risk management for all of the Dow Jones and Wall Street Journal brands. He has

held key leadership positions at several information security market leaders such as

VeriSign and Guardent, as well as leading integrators s uch as EDS and SAIC.

Trading Operations

Amy Neiley

Vice Pr esident, Tr ading Oper ations

As Vice President of Trading Operations at MIAX, Amy Neiley is respons ible for the

oversight of front line customer support for all market participants including testing,

connectivity, system functionality, configuration and trade support. Prior to joining MIAX,

Amy was the Director of Market/Trading Operations at NASDAQ OMX PHLX where she

was responsible for supporting the trading floor as well as supporting the electronic

trading system and listings for both the NASDAQ OMX options and NFX markets.

Previously, Amy was a Business Analyst for the Development Team at PHLX. From 1998

to 2006, she worked for Group One Trading LP, a proprietary trading firm. Amy spent four

years on active duty in the United States Marine Corps .

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Management Team _ Miaxoptions