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Management Team
ABOUT US The Miami International Securities Exchange, LLC (MIAX) has assembled a very experienced management team. MIAX currently has over 70 full-time employees and consultants.


Executive Management
CAREERS Thomas P. Gallagher Executive Chairman Thomas 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 Vice President, Chief Information Officer & Director As Chief Information Officer, Douglas Schafer is responsible 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 Vice President, General Counsel and Corporate Secretary Barbara Comly has over 20 years of legal experience in corporate and securities matters. As General Counsel of MIAX and MIH, her responsibilities include facilitating 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 Vice President, Chief Financial Officer As Chief Financial Officer, part of Paul Warners responsibilities include handling 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 Vice President, Strategic Planning and Operations 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 Vice President, Chief Regulatory Officer 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 President, Chief Risk Officer As Chief Risk Officer, Harish Jayabalan is responsible for establishing risk assessment, monitoring and reporting framework. Additionally, Harish assists the regulatory, legal, information security, technology and business 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.

Matt Rotella Senior Vice President, Trading Systems Development and Systems 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 Vice President, Systems Infrastructure As Senior Vice President of Systems Infrastructure, Frank Ziegler is responsible 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 Vice President, Business Systems Development Randy Foster 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 replatform 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 President, Chief Information Security Officer As Chief Security Officer, John Masserini is responsible 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 such as EDS and SAIC.

Trading Operations
Amy Neiley Vice President, Trading Operations As Vice President of Trading Operations at MIAX, Amy Neiley is responsible 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.

2012 MIAX Options