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Ex. H (Legal Proceedings) Mockup

THIS DOCUMENT IS A TECHNICAL ILLUSTRATION OF HOW CERTAIN DISCLOSURES IN SEC FILINGS ARE TO BE TAGGED. IT DOES NOT INDICATE WHICH PARTICULAR DISCLOSURES MUST BE INCLUDED AND/OR TAGGED IN COMMISSION FILINGS, AND IT DOES NOT CONSTITUTE LEGAL GUIDANCE OF ANY SORT.

Material Pending Legal Proceedings

RIVAL SEF Patent Litigation – On April 4, 2033, we instituted patent litigation against RIVAL SEF in the U.S. Southern District Court of New York. Our complaint alleges that RIVAL SEF infringed on our patent for special market data dissemination procedures. We seek injunctive and monetary relief.   

FTC Antitrust Litigation – On February 2, 2033, the Federal Trade Commission (“FTC”) initiated a complaint in an FTC in-house administrative court against one of our affiliates, BIG SEF, and its acquisition target, LITTLE SEF, for alleged antitrust violations. The FTC’s complaint alleges that BIG SEF’s pending acquisition of LITTLE SEF would violate antitrust law due to anticompetitive effects on the SBS execution facility market. The FTC seeks injunctive relief.  

Canada – On February 14, 2033, the Ontario Securities Commission (“OSC”) served notice it is contemplating joining the FTC’s complaint that alleges that BIG SEF’s pending acquisition of LITTLE SEF would violate antitrust law due to anticompetitive effects on the SBS execution facility market.