FNY CAPITAL MANAGEMENT LP

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Three-digit plan number (PN)	001
Effective date of plan	1998-12-01
Business code	525990
Sponsor’s telephone number	2128480600
Plan sponsor’s mailing address	90 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10016
Plan sponsor’s address	90 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10016

Plan administrator’s name and address

Administrator’s EIN	900718962
Plan administrator’s name	FNY CAPITAL MANAGEMENT LP
Plan administrator’s address	90 PARK AVENUE, 5TH FLOOR, NEW YORK, NY, 10016
Administrator’s telephone number	2128480600

Number of participants as of the end of the plan year

Active participants	222
Retired or separated participants receiving benefits	0
Other retired or separated participants entitled to future benefits	99
Deceased participants whose beneficiaries are receiving or are entitled to receive benefits	0
Number of participants with account balances as of the end of the plan year	218
Number of participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	0

Signature of

Role	Plan administrator
Date	2013-10-11
Name of individual signing	BRIAN TIERNEY
Valid signature	Filed with authorized/valid electronic signature