Millennium Management Llc

Allegations: THE CME ALLEGED THAT REGISTRANT VIOLATED NYMEX RULES 432.Q AND 432.W (ACT DETRIMENTAL TO EXCHANGE/SUPERVISION) WITH RESPECT TO SENDING TWO SEPARATE FUTURES ORDERS TO A THIRD PARTY FCM'S TRADING EXECUTION ALGORITHM (WHICH THEN PLACED MULTIPLE ORDERS FOR THE REGISTRANT ON THE FUTURES EXCHANGE), WHICH, IN ONE CASE, RESULTED IN A TRADING HALT. Status: Final Sanction Detail: A FINE OF $90,000 WAS PAID BY REGISTRANT ON DECEMBER 22, 2022. Summary: WITHOUT ADMITTING OR DENYING THE VIOLATIONS OR FACTUAL FINDINGS, ON DECEMBER 15, 2022 REGISTRANT AGREED TO PAY A FINE OF $90,000.

Allegations: THE FIRM SELF-REPORTED TO THE SFSA THE NET SHORT POSITION IN THE SHARES OF A SINGLE SWEDISH ISSUER. THE FILING WAS MADE INADVERTENTLY LATER THAN THE NEXT DAY FILING DEADLINE. Status: Final Sanction Detail: THE SFSA DECIDED TO REQUIRE THE FIRM TO PAY A SPECIAL FEE OF 400,000 SWEDISH KRONA (APPROXIMATELY $41,450 USD). Summary: APPEAL WAS DENIED.

Allegations: THE FIRM SELF-REPORTED TO THE SFSA THE NET SHORT POSITION IN SHARES OF A SINGLE SWEDISH ISSUER. THE FILING WAS INADVERTENTLY LATER THAN THE NEXT FILING DAY. Status: Final Sanction Detail: THE SFSA DECIDED TO REQUIRE THE FIRM TO PAY A SPECIAL FEE OF 5,000 SWEDISH KRONA (APPROXIMATELY $518 USD) Summary: APPEAL WAS DENIED.

Allegations: CERTAIN NET SHORT POSITION FILINGS OF NORWEGIAN ISSUERS WERE INADVERTENTLY MADE SHORTLY AFTER THE NEXT DAY FILING DEADLINE. Status: Final Sanction Detail: THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY DECIDED TO IMPOSE A VIOLATION PENALTY IN THE AMOUNT OF NOK 40,000 ($4556 USD) Summary: THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY DECIDED TO IMPOSE A VIOLATION PENALTY IN THE AMOUNT OF NOK 40,000 ($4556 USD)

Allegations: IN THE MATTER 16932-18: THE FIRM TIMELY FILED WITH THE SFSA THE NET SHORT POSITION IN THE SHARES OF A SINGLE SWEDISH ISSUER. HOWEVER, THE FILING CONTAINED A TYPOGRAPHICAL ERROR, WAS LATER CORRECTED BUT NONETHELESS CONSIDERED BY THE SFSA TO HAVE BEEN FILED LATER THAN THE NEXT DAY FILING DEADLINE. IN THE MATTER 16937-18: THE FIRM FILED THE NET SHORT POSITION IN THE SHARES OF A SINGLE SWEDISH ISSUER INADVERTENTLY LATER THAN THE NEXT DAY FILING DEADLINE. THE FIRM SELF-REPORTED THE LATE FILING TO THE SFSA. Status: Final Sanction Detail: THE SFSA DECIDED TO REQUIRE THE FIRM TO PAY A SPECIAL FEE OF 113,700 SWEDISH KRONA (APPROXIMATELY $13,800 USD) (16937-18) AND 51,200 SWEDISH KRONER (APPROXIMATELY $6,200 USD) (16932-18), COLLECTIVELY $20,000. Summary: APPEAL WAS DENIED.

Allegations: MILLENNIUM MANAGEMENT LLC (THE "MILLENNIUM RESPONDENT") WAS ALLEGED TO HAVE VIOLATED RULE 105 OF REGULATION M OF THE SECURITIES EXCHANGE ACT OF 1934 ("RULE 105"). Status: Final Sanction Detail: CIVIL MONEY PENALTY: $300,000 DISGORGEMENT AND PREJUDGMENT INTEREST: $338,709.11 (FOR A TOTAL OF $638,709.11, WHICH WAS PAID ON NOVEMBER 6, 2017.) Summary: ON OCTOBER 31, 2017, THE MILLENNIUM RESPONDENT CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS THEREIN, TO THE ENTRY OF AN ORDER ISSUED BY THE SEC FINDING THAT ON FOUR OCCASIONS IN 2012 IT VIOLATED RULE 105 OF REGULATION M OF THE US SECURITIES EXCHANGE ACT OF 1934. (SEE SEC RELEASE NO. 34-81989.) IN SETTLEMENT OF THIS MATTER, THE MILLENNIUM RESPONDENT AGREED TO PAY A CIVIL MONEY PENALTY OF $300,000, AS WELL AS DISGORGEMENT AND PREJUDGMENT INTEREST OF $338,709.11 AND TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF RULE 105 OF REGULATION M OF THE EXCHANGE ACT.