IN THE UNITED STATES DISTRICT COURT 

FOR THE SOUTHERN DISTRICT OF TEXAS

COMMODITY FUTURES )

TRADING COMMISSION, ) Case No. 4:18-cv-00260

)

)

Plaintiff, ) JURY DEMANDED

)

v. )

)

KRISHNA MOHAN, )

)

Defendant. )

COMPLAINT FOR INJUNCTIVE RELIEF, 

CIVIL MONETARY PENALTIES, AND OTHER RELIEF

Plaintiff Commodity Futures Trading Commission (“CFTC”) alleges as follows: 

I. SUMMARY

1. From at least November 25, 2013 to December 17, 2013 (the “Relevant Period”), 

defendant Krishna Mohan (“Mohan”) engaged in a manipulative and deceptive scheme while 

placing orders for and trading futures contracts on at least two registered entities. In furtherance 

of the scheme, Mohan repeatedly engaged in manipulative or deceptive acts and practices by 

“spoofing” (bidding or offering with the intent to cancel the bid or offer before execution). On 

tens of thousands of occasions during the Relevant Period, Mohan placed orders to buy or sell 

futures contracts that he intended to cancel before execution at the time the orders were placed. 

In doing so, Mohan intentionally or recklessly sent false signals of increased supply or demand 

designed to trick market participants into executing against the orders he wanted filled. 

2. By virtue of this conduct, as further alleged herein, Mohan engaged in acts and 

practices that violated Sections 4c(a)(5)(C) and 6(c)(1) of the Commodity Exchange Act (“Act”), 

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7 U.S.C. §§ 6c(a)(5)(C), 9(1) (2012), and CFTC Regulation (“Regulation”) 180.1(a)(1) and (3), 

17 C.F.R. § 180.1(a)(1), (3) (2017). 

3. The CFTC brings this action pursuant to Section 6c of the Act, 7 U.S.C. § 13a-1 

(2012), to enjoin Mohan’s violative acts and practices and to compel Mohan’s compliance with 

the Act and Regulation. In addition, the CFTC seeks civil monetary penalties and such other 

relief, including but not limited to disgorgement and trading and registration prohibitions, as this 

Court deems necessary or appropriate. 

II. JURISDICTION AND VENUE

4. This Court has jurisdiction over this action under 28 U.S.C. § 1331 (2012) 

(federal question jurisdiction) and 28 U.S.C. § 1345 (2012), which provides that district courts 

have original jurisdiction over civil actions commenced by the United States or by any agency 

expressly authorized to sue by Act of Congress. Section 6c(a) of the Act, 7 U.S.C. § 13a-1(a) 

(2012), authorizes the CFTC to seek injunctive relief in any proper district court of the United 

States against any person whenever it shall appear to the CFTC that such person has engaged, is 

engaging, or is about to engage in any act or practice constituting a violation of any provision of 

the Act or any rule, regulation, or order thereunder. 

5. Venue properly lies with this Court pursuant to Section 6c(e) of the Act, because 

Mohan transacted business in the Southern District of Texas, and acts and practices in violation 

of the Act and Regulation occurred in this District. 

III. PARTIES

6. Plaintiff Commodity Futures Trading Commission is the independent federal 

regulatory agency charged by Congress with the administration and enforcement of the Act and 

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Regulations promulgated thereunder. The CFTC is headquartered at 1155 21st Street, NW, 

Washington, DC 20581.

7. Defendant Krishna Mohan is an individual with a last known address in New 

York City, New York. From approximately August 2010 to March 26, 2014, Mohan was 

employed by a proprietary trading firm (the “Trading Firm”) as a quantitative trader. Mohan has 

never been registered with the CFTC.

IV. OTHER RELEVANT PARTIES

8. The Chicago Board of Trade (“CBOT”) is a commodity exchange located at 

141 W. Jackson Boulevard, Chicago, Illinois 60604. CBOT is registered with the CFTC as a 

designated contract market. 

9. The Chicago Mercantile Exchange (“CME”) is a commodity exchange located 

at 20 S. Wacker Street, Chicago, Illinois 60606. CME is registered with the CFTC as a 

designated contract market and a swap execution facility. 

10. CME Group Inc. (“CME Group”) is a Delaware corporation with its principal 

place of business in Chicago, Illinois. CME Group is the holding company that owns and 

operates the CBOT and CME. 

V. FACTS

A. Futures Trading Background

11. A futures contract is an agreement to purchase or sell a financial instrument or 

physical commodity for delivery or cash settlement in the future at a specified price. A futures 

contract traded on an exchange has standard, non-negotiable contract specifications. 

12. The E-mini Dow ($5) futures contract (“E-mini Dow contract”) is traded on 

CBOT. There are four E-mini Dow contract months: March, June, September, and December. 

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The E-mini Dow contract is cash settled so no delivery of the stocks that make up the underlying 

index takes place. 

13. The value of the E-mini Dow contract is the Dow Jones Industrial Average Index

multiplied by five dollars. The price is quoted in index points, and the minimum price change, 

commonly called a “tick,” that is allowed during a trading session is one index point. For 

example, if a trader wished to place an order above the last-traded E-mini Dow contract price of 

24802 points, that trader would have to place the order at 24803 points or higher. 

14. The E-mini NASDAQ 100 futures contract (“E-mini NASDAQ contract”) is 

traded on CME. There are four E-mini NASDAQ contract months: March, June, September, 

and December. The E-mini NASDAQ contract is cash settled so no delivery of the stocks that 

make up the underlying index takes place.

15. The value of the E-mini NASDAQ contract is the NASDAQ 100 Index multiplied 

by twenty dollars. The price is quoted in index points and the minimum price change, or tick,

allowed during a trading session is one-quarter of an index point (.25). For example, if a trader 

wished to place an order above the last-traded E-mini NASDAQ contract price of 6292.25 

points, that trader would have to place the order at 6292.50 points or higher. 

16. Both the E-mini Dow contract and the E-mini NASDAQ contract trade nearly 24 

hours per day from 5:00 PM Central Time on Sunday night to 4:00 PM Central Time on Friday 

afternoon, except for a 15-minute window each day when trading halts from 3:15 PM to 3:30 PM 

Central Time. The trading day for the E-mini Dow contract and the E-mini NASDAQ contract

generally consists of two trading sessions: the daytime session and the overnight session. The 

daytime session runs from 8:30 AM to 3:15 PM Central Time and the overnight session begins 

after the 15-minute trading halt and runs from 3:30 PM to 8:29:59 AM Central Time the next 

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day. The daytime session corresponds with, but does not perfectly overlap, the trading day for

the stocks that make up the underlying indices, which runs from 8:30 AM to 3:00 PM Central 

Time on the NYSE and NASDAQ exchanges.

17. An “order,” in the context of electronic exchange trading, is a request submitted 

to an exchange to buy (“bid”) or sell (“offer” or “ask”) a certain number of a specified futures 

contract. An order is for one or more contracts. Contracts may also be called “lots,” among 

other things. Orders are entered into the exchange’s order book. Contracts available for 

execution in the order book are sometimes referred to as “working lots.” When there exists both 

a willing buyer and seller for a contract at a given price, a transaction occurs and is referred to as 

a “fill” (or a “trade” or “execution”). At any time before the order is fully filled, the trader can 

“cancel” the order. When an order is canceled, the contracts that have not yet been bought or 

sold are pulled from the order book. 

18. Each trader can view the aggregate number of contracts and number of orders that 

all traders are actively bidding or offering at a given price level. Only the total numbers of 

orders and contracts at various price levels are visible, not the number of traders or identities of 

the traders who placed the orders. The best-bid level, or first-bid level, is the highest price at 

which someone is willing to buy. The best-ask level, or first-ask level, is the lowest price at 

which someone is willing to sell. The bid-ask spread is the difference between these two prices.

19. Traders can view the aggregate resting contracts and orders up to the tenth-bid 

and tenth-ask levels. This combined bid and ask information is often referred to as the visible 

order book and represents the visible market depth. Traders often consider information in the 

order book when making trading decisions. 

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20. An “iceberg order,” also known as a hidden quantity order, is an order type 

offered by certain designated contract markets on electronic trading platforms whose order 

quantity (i.e., number of contracts) is only partially visible in the order book to other market 

participants. For example, if a trader places an iceberg order to buy forty contracts, he or she 

may choose to display only one contract (or any other quantity up to the total quantity of the

iceberg order may be selected by the trader) in the order book, thereby hiding the remaining 

thirty-nine contracts from view in the order book. 

21. An “aggressive order” is an order that crosses the bid-ask spread. On the buy side 

of the market, an aggressive buy order is placed at the best-ask price or higher so, put simply, it 

is an offer to buy at a price that another trader is currently willing to sell. On the sell side of the 

market, an aggressive sell order is placed at the best-bid price or lower so, put simply, it is an 

offer to sell at a price that another trader is currently willing to buy. Accordingly, aggressive 

orders are guaranteed to execute, at least partially, immediately after being placed. 

22. A “passive order,” on the other hand, does not give up the spread in price. On the 

buy side of the market, a passive buy order is placed at the best-bid price or lower; so, put 

simply, it is an offer to buy at a price that is lower than the price that other traders are currently 

willing to sell. On the sell side of the market, a passive sell order is placed at the best-ask price 

or higher; so, put simply, it is an offer to sell at a price that is higher than the price that other 

traders are currently willing to buy. Passive orders rest for at least some amount of time after 

being placed and are not guaranteed to execute.

23. The E-mini Dow contract and E-mini NASDAQ contract are traded electronically 

on the CME Globex trading system (“Globex”). Globex employs a matching algorithm to match 

bids and offers for execution. The matching algorithm for the E-mini Dow contract and E-mini 

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NASDAQ contract is known as “FIFO,” which denotes first-in, first-out. Under the FIFO 

method, orders on the same side of the market (i.e., the buy side or the sell side) and at the same 

price are filled based on time priority. For example, if two buy orders are placed passively at the 

same bid price of 6292.50, and then an aggressive offer to sell one contract at 6292.50 enters to 

market, the buy order that was placed first will have one contract fill against the sell order. Thus, 

as a general rule, the order that was placed first trades first, irrespective of the order’s size. An 

exception to this rule applies to iceberg orders—with iceberg orders, once the visible quantity is 

completely filled, the replenishment quantity goes to the back of the time priority queue.

B. Mohan’s Manipulative and Deceptive Scheme 

24. Mohan began working at the Trading Firm as a quantitative trader in 

approximately August 2010. In this role, he traded futures contracts on behalf of the Trading 

Firm on U.S. exchanges during the Relevant Period, including with one or more counterparties 

residing in the Southern District of Texas.

25. Prior to 2013, Mohan provided technical trading support to a team of traders at 

the Trading Firm and worked on the development of algorithmic trading programs and semiautomatic trading tools. In mid-2013, Mohan began learning to trade futures contracts manually. 

By early November 2013, Mohan was fully engaged in manually trading futures contracts on 

behalf of the Trading Firm. Mohan connected to Globex through the Trading Firm’s trade 

servers, which implemented the Trading Firm’s trading control infrastructure called “Generic 

Trading Infrastructure.” During the Relevant Period, at least three Globex Operator IDs (Tag 

50s IDs) were registered to Mohan and used by him to place trades at CBOT and CME. In 

addition, during the Relevant Period, Mohan used the login ID “kmohan” to first access the 

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Trading Firm’s proprietary system, “SuperGUI,” and then process orders through a trade server

to Globex.

26. SuperGUI provided the Trading Firm’s manual traders various tools designed to 

significantly decrease the amount of time (and computer mouse clicks) required to execute 

trading strategies. These tools included, among other things, the ability to: modify personal 

default settings (to, for example, set automatic display quantities for iceberg orders); pre-set left 

and right computer mouse buttons to defined contract order sizes; input orders by clicking price 

levels on a trading ladder screen; utilize features such as an order splitter, which placed multiple 

randomly-sized orders at once; or automate repetitive tasks via pre-programmed hotkeys.

27. During the Relevant Period, Mohan engaged in a manipulative and deceptive 

scheme, in which he repeatedly spoofed the E-mini Dow contract and the E-mini NASDAQ

contract markets while placing orders for, and trading futures contracts through, accounts owned 

by the Trading Firm (the “Scheme”). As part of this Scheme, Mohan repeatedly utilized 

December 2013 and March 2014 E-mini NASDAQ contracts and December 2013 and March 

2014 E-mini Dow contracts.

28. Mohan’s Scheme consisted of the following observed pattern: (1) on one side of 

the market, placement of at least one passive iceberg order, showing a small visible quantity to 

the market, (“Genuine Order(s)”); (2) on the opposite side of the Genuine Order, placement of 

one or more fully-visible passive order(s)—often several randomly-sized orders placed using the 

order splitter tool—with the intent to cancel before execution (“Spoof Order(s)”); (3) the 

Genuine Order(s) and the Spoof Order(s) are available for execution at the same time; (4) at the 

time he placed one or more of the Spoof Orders, Mohan’s total number of visible working lots 

placed on the Spoof Order side of the market is at least nine times greater than Mohan’s total 

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number of visible working lots on the Genuine Order side of the market; and (5) at the placement 

of at least one of the Spoof Order(s), Mohan’s number of working lots placed on the opposite 

side of the Genuine Order increases by at least forty contracts compared to the number of 

working lots present on the opposite side of the Genuine Order at the placement of the Genuine 

Order.

29. Instances of this pattern that last no longer than sixty seconds (as measured from 

placement of the first Genuine Order to the cancellation or complete execution of the last 

Genuine Order) are classified as “Events.” The pattern is often repeated sequentially on one side 

of the market (e.g., with a Genuine Order(s) to buy at or below the current bid) and then on the 

other side (e.g., with a Genuine Order(s) to sell at or above the current ask), and the Genuine 

Orders may overlap in time. Instances where the Genuine Orders on opposite sides overlap in 

time are grouped together as a single “Event.” Collectively, “Genuine Order(s)” and “Spoof 

Order(s)” are referred to as “Event Orders.”

30. Mohan’s Scheme was designed to benefit financially from market participants’ 

reactions to his Spoof Orders. The following is a simplified explanation of how his Scheme was 

intended to work, using a hypothetical example of a Spoof Order on the buy side. A large Spoof 

Order to buy would result in an increase in demand in the order book (e.g., create or add to an 

order book imbalance in which orders to buy outweigh orders to sell). This increase would be 

visible to other market participants and may lead them to conclude that the price is likely to rise. 

This conclusion, in turn, would impact market participants’ decisions, including prompting some 

to attempt to purchase contracts before the predicted rise in price happens. In such a case, these 

participants would place aggressive orders to buy (i.e., at a higher price than the currently resting 

bids in the market), making execution of orders resting on the opposite side of the Spoof Order 

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more likely. Finally, these bids would enable orders on the opposite side of the Spoof Order—

such as Mohan’s Genuine Orders—to fill sooner, at a better price, or in larger quantities than 

they otherwise would.

31. During the Relevant Period, as part of the ongoing Scheme, Mohan engaged in 

approximately 1,500 Events. As part of those Events, Mohan entered about 2,400 Genuine 

Orders and 36,300 Spoof Orders, with most of the Spoof Orders, according to the pattern alleged 

herein, quickly being cancelled.

32. Mohan intended to cancel the Spoof Orders before execution, and often did so 

after his Genuine Orders were filled. The predictable sequence inherent in Mohan’s spoofing 

pattern demonstrates that Mohan was not reacting to market changes when he canceled the Spoof 

Orders; rather, he was carrying out a predetermined strategy that was not dependent on market 

conditions. 

33. By engaging in the Scheme as described herein, Mohan entered Spoof Orders 

intending either to intentionally send a false signal to the market that he actually wanted to buy 

or sell the number of contracts specified in the Spoof Orders, or while recklessly disregarding the 

fact that entering his Spoof Orders would send such a false signal—a signal that injected false 

information about supply and demand into the market that could affect market activity. Mohan 

engaged in this Scheme to trick other market participants into executing against his Genuine 

Orders on the opposite side of the market—to fill sooner, at a better price, or in larger quantities 

than they otherwise would. Mohan knew or recklessly disregarded that the Spoof Orders would 

create the false appearance of market depth and result in misinformation, thereby luring market 

participants to trade based on Mohan’s spoofing. The risk that the Spoof Orders could mislead 

other market participants into believing there was genuine interest in purchasing or selling the 

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specified number of contracts represented by Mohan’s Spoof Orders was so obvious that Mohan 

must have been aware of it. He knew that his Spoof Orders would appear in the order book and

that traders often consider order-book information in making trading decisions; thus, Mohan was, 

at least, reckless with respect to the danger that his Spoof Orders would mislead other market 

participants. 

34. Mohan frequently canceled his Spoof Orders, only to quickly replace them with 

Genuine Orders on the same side of the market as the cancelled Spoof Orders. Mohan placed 

more than 450 Genuine Orders within one second or less of the cancelation of a Spoof Order(s) 

and on the same side of the market as the canceled Spoof Order(s). Moreover, approximately 

80% of these Genuine Orders were placed at the exact same price as the Spoof Order that was 

cancelled just one second or less before, which further demonstrates Mohan’s intent to trade only 

Genuine Orders. 

35. In some instances, after using his Scheme to establish a position, Mohan then 

used his Scheme on the other side of the market to offset the position he just established. For 

example, Mohan would cancel his Spoof Orders (that were fully visible), only to quickly replace 

them with Genuine Orders (placed as icebergs) followed by Spoof Orders (that were fully 

visible) opposite the newly-placed Genuine Order (and thus opposite the Spoof Orders that he 

had just canceled).

36. Although Mohan’s Spoof Orders were visible to the rest of the market, his 

identity as the originator of those orders was not. Only the total number of orders and contracts 

at various price levels are visible, not the number of traders or identities of the traders who 

placed the orders. Accordingly, Mohan knew that other market participants could not see that 

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the same trader had placed both the Spoof Orders and the Genuine Orders, which might have 

tipped off market participants that his Spoof Orders were not bona fide.

37. Mohan concealed the size of his Genuine Orders from the rest of the market by 

placing them as iceberg orders. This allowed Mohan to reveal only a small portion of his true 

interest to the market—typically only one contract—while at the same time showing significant 

interest on the spoof side of the market. Mohan utilized the iceberg order feature with his 

Genuine Orders in order to conceal the increased supply or demand associated with his Genuine 

Orders from the market. Mohan did this because the Scheme’s success depended on other 

traders believing there was increased supply or demand on the spoof side of the market, not the 

genuine side. 

38. To further disguise his activity to the market, Mohan routinely made use of an 

order splitter tool in SuperGUI to place multiple Spoof Orders at once. Mohan used the order 

splitter to place approximately 99.3% of the Spoof Orders he placed in the E-mini Dow contract 

market and approximately 99.8% of the Spoof Orders he placed in the E-mini NASDAQ contract 

market. Mohan utilized the order splitter in order to engineer the appearance that his order 

placement activity was actually originating from multiple sources and in randomized amounts 

(signaling increased supply or demand from multiple sources), when in fact all of the additional 

increase in supply or demand associated with the Spoof Orders placed via the order splitter 

originated with Mohan. 

39. Trading overnight was a key component of Mohan’s Scheme and indicative of his 

wrongful intent. Mohan carried out his Scheme nearly 95% of the time during overnight 

sessions, when trading volume and volatility were substantially decreased. As a result, Mohan 

was able to use smaller spoofing orders (with concomitant lower financial risk) to provoke the 

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market reactions he desired. Moreover, because of the reduced volume and volatility in the 

overnight sessions, Mohan’s Spoof Orders were more likely to have their desired impact—to 

make an execution of the Genuine Order more likely. 

40. Mohan’s efforts to avoid execution of his Spoof Orders were successful. This is 

reflected in the vastly diverging fill ratios corresponding with Mohan’s Genuine Orders and 

Spoof Orders. Mohan placed approximately 2,400 Genuine Orders during the Relevant Period. 

Of those, about 39% of the contracts associated with the Genuine Orders were filled. By 

contrast, less than 1% of the contracts associated with the approximately 36,300 Spoof Orders 

were filled. 

41. The stark contrast in fill ratios of his Spoof Orders and Genuine Orders is even 

more indicative of his illegal intent when put in context of the differing order types he used to 

place Spoof and Genuine Orders. As a baseline, whether an order (such as Mohan’s Spoof 

Orders) is filled is not dependent on its size; rather, orders at the same price level execute 

according to time priority under the FIFO matching algorithm. Iceberg orders (such as Mohan’s 

Genuine Orders), on the other hand, execute incrementally by their visible quantity under the 

FIFO matching algorithm; meaning, after the visible quantity is executed, a new portion of the 

iceberg becomes visible to the market and that visible amount goes to the end of the queue. 

Consequently, the Genuine Orders, placed as icebergs, were less likely to fully execute (as 

compared to a non-iceberg order placed at the same time) given their treatment under the FIFO 

matching algorithm, which sent newly visible portions of the iceberg to the back of the queue

following an execution on a previously visible portion. The Spoof Orders, on the other hand, 

were not subject to such a limitation under the matching algorithm. Yet, despite this additional 

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limitation, the fill ratios show that the Genuine Orders executed frequently, whereas the Spoof 

Orders did not. 

42. During the Relevant Period, Mohan tended to cancel his Spoof Orders quickly 

after getting filled on a Genuine Order. Mohan canceled approximately 60% of Spoof Orders 

placed at the first level of the order book within one second or less of the last fill of the Genuine 

Order. He cancelled approximately 84% of Spoof Orders placed at the first level of the order 

book within two seconds or less of the last fill of his Genuine Order. Indeed, the closer Mohan’s 

Spoof Orders were to the top of the order book (and thus the more likely to be at risk of being 

filled), the quicker he cancelled those Spoof Orders following the last fill on the Genuine Order. 

43. Mohan placed his Spoof Orders in a manner to avoid being filled by placing them 

behind existing orders, typically at the first or second level of the order book, and by limiting 

their duration. During the Relevant Period, the median duration of Mohan’s Spoof Orders in Emini Dow contracts was 1.7 seconds, compared with 7.5 seconds for his Genuine Orders and 8.3

seconds for his non-Event Orders. Similarly, the median duration of Mohan’s Spoof Orders in 

E-mini NASDAQ contracts was 1.9 seconds, compared with 7.7 seconds for his Genuine Orders 

and 4.6 seconds for his non-Event Orders. This disparity in duration between Mohan’s Spoof 

Orders and non-spoof orders further indicates his intent to cancel the Spoof Orders before 

execution. 

44. Mohan’s Spoof Orders comprised a substantial portion of the total working lots in 

the E-mini Dow and E-mini NASDAQ market order books during the Relevant Period. For 

example, half of Mohan’s Spoof Orders at the best-bid/offer level in the E-mini Dow market 

comprised at least 87% of the contracts available at that level and half of Mohan’s Spoof Orders 

at the best-bid/offer level in the E-mini NASDAQ markets comprised at least 85% of the 

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contracts available at that level. Despite representing such a significant portion of the E-mini 

Dow and E-mini NASDAQ market order books, Mohan’s Spoof Orders rarely executed—further

demonstrating that Mohan did not intend for his Spoof Orders to trade. 

45. Mohan’s Scheme frequently worked as planned; that is, his Spoof Orders tricked 

other market participants into executing against his Genuine Orders. However, there were times 

that Mohan’s Genuine Orders continued to sit, unfilled, even after he placed and canceled his 

Spoof Orders; thus, not all of the Events resulted in executions of Mohan’s Genuine Orders. See 

infra Section C., iv., ¶ 55. Still, the fill ratio associated with Mohan’s Genuine Orders was

approximately thirty-nine times higher than that associated with his Spoof Orders, again 

demonstrating the differing intent behind his Spoof Orders and Genuine Orders.

46. Mohan’s Google Drive folder contained documents describing certain spoofing 

strategies. For example, one such document references a “Smart Stuffing book.(order cancel 

replace),” which would:

allow trader to control which side they want to show bluff. trader decide each 

level how many contracts should be put in. and contracts should be break into 

multiple smaller contracts in random size which overall average order size match 

with the entire books average size. we can also add 30,40,50 contracts into the 

book to mimic market makers. never throw easily detected size like 100/200/250 

or 60s like 9ner.

Only put bluffing orders in when book exceed 400 contract. and flipped for more than 

500 ms.

every 10 second add 1 lot in the existing order and minus 1 lot to make sure every order 

of ours will be at the back of the queue. make a butt called (refresh bluffing)

All those orders are not mean to be traded. if for any reason some one flush big size and 

bluff order get filled, order will be sent out immediately to the price it get filled try to 

scratch out.

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 15 of 25
C. Examples of Mohan’s Scheme

47. Mohan’s Scheme is illustrated in the four Events set forth below. Detailed trade 

data associated with these Events is provided in Exhibits A-D to this Complaint.

i. November 27, 2013—December 2013 E-Mini Dow Contract

48. Mohan’s trading in the morning of November 27, 2013, constitutes an Event 

pursuant to his Scheme. See Ex. A (displaying detailed trade data). At 8:05:39.461 AM Central 

Time (denoted in hours, minutes, seconds, and milliseconds), Mohan placed an iceberg order to 

buy forty E-mini Dow contracts (displaying only one contract to the market) at the second-bid 

level (first Genuine Order). At 8:05:40.703 AM, Mohan placed multiple orders, via an order 

splitter, to collectively sell forty E-mini Dow contracts at the second-ask level (first group of 

Spoof Orders). The first group of Spoof Orders caused the total number of contracts then resting 

at the second-ask level to more than quadruple. Only 630 milliseconds after entering his first 

group of Spoof Orders, at 8:05:41.333 AM, Mohan’s first Genuine Order began to trade. Within 

two milliseconds, or by 8:05:41.335 AM, all forty contracts of the first Genuine Order were

filled. Having completely filled the first Genuine Order, Mohan then proceeded to cancel the

first group of Spoof Orders at 8:05:42.684 AM, just over one second after the first Genuine 

Order was fully filled and less than two seconds after he placed his first group of Spoof Orders. 

49. Less than a second later, Mohan immediately repeated his spoofing pattern on the 

other side of the market. At 8:05:43.565 AM, Mohan placed an iceberg order to sell forty E-mini 

Dow contracts (again displaying only one contract to the market) at the best-ask level (second 

Genuine Order). Approximately one and one-half seconds later, at 8:05:45.024 AM, Mohan 

placed multiple orders, via an order splitter, to collectively buy forty E-mini Dow contracts at the 

second-bid level (second group of Spoof Orders). The second group of Spoof Orders nearly 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 16 of 25
tripled the number of contracts then resting at that level of the order book. At 8:05:45.117 AM,

only ninety-three milliseconds after he placed the second group of Spoof Orders, Mohan’s 

second Genuine Order began to trade, with fourteen of the forty contracts filling by 8:05:46.239

AM. At 8:05:46.239 AM, Mohan placed another group of orders, via an order splitter, to

collectively buy forty E-mini Dow contracts at the best-bid level (third group of Spoof 

Orders). The third group of Spoof Orders caused the total number of contracts at that level of the 

order book to more than quadruple. One millisecond after placing the third group of Spoof 

Orders, at 8:05:46.240 AM, the second Genuine Order resumed trading and its twenty-six

remaining contracts instantly filled by 8:05:46.241 AM. Having completely filled the second 

Genuine Order, Mohan then proceeded to cancel the third group of Spoof Orders at 8:05:47.085 

AM and the second group of Spoof Orders at 8:05:47.421 AM. Mohan’s cancellation of the 

third group of Spoof Orders came less than one second after the second Genuine Order was fully 

filled and less than one second after he placed the third group of Spoof orders. Mohan’s 

cancellation of the second group of Spoof Orders came less than one and one-half seconds after 

the second Genuine Order was fully filled and less than two and one-half seconds after he placed 

the second group of Spoof orders. 

ii. December 2, 2013—December 2013 E-mini NASDAQ Contract

50. Mohan executed his Scheme in the early morning of December 2, 2013, in the Emini NASDAQ contract. See Ex. B. At 3:01:50.862 AM Central Time, Mohan placed an 

iceberg order to buy forty E-mini NASDAQ contracts (with only one contract visible to the 

market) at the best-bid level (first Genuine Order). Approximately ten seconds later, at the 

second-ask level, Mohan placed two groups of orders, both groups via an order splitter, to 

collectively sell eighty E-mini NASDAQ contracts at 3:02:00.909 AM (first group of Spoof 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 17 of 25
Orders) and 3:02:01.327 AM (second group of Spoof Orders). Together, the two groups of 

Spoof Orders caused the total number of contracts then resting at that level of the order book to 

more than quadruple. At 3:02:02.279 AM, approximately one second after he placed the second 

group of Spoof Orders, the first Genuine Order began to trade and completely filled within four

milliseconds by 3:02:02.283 AM. Having completely filled the first Genuine Order, Mohan then 

proceeded to cancel both the first group of Spoof Orders and the second group of Spoof Orders

at 3:02:02.735 AM through 3:02:02.736 AM, less than a half-second after the first Genuine 

Order was fully filled. Mohan cancelled the first group of Spoof Orders and the second group of 

Spoof Orders less than two seconds after he placed both groups of orders. 

51. Almost two seconds later, Mohan repeated his spoofing pattern on the other side 

of the market. At 3:02:04.670 AM, Mohan placed an iceberg order to sell 40 E-mini NASDAQ 

contracts (with one contract showing to the market) at the best-ask level (second Genuine Order). 

Approximately six seconds later, at 3:02:11.103 AM, Mohan placed multiple orders, via an order 

splitter, to collectively buy forty E-mini NASDAQ contracts at the best-bid level (third group of 

Spoof Orders). The third group of Spoof Orders caused the total number of contracts then 

resting at that level of the order book to more than triple. The second Genuine Order 

immediately began to trade at 3:02:11.104 AM, filling in full five milliseconds later at 

3:02:11.109 AM. Having completely filled the second Genuine Order, Mohan then proceeded to 

cancel the third group of Spoof Orders between 3:02:11.878 AM and 3:02:11.879 AM—less 

than one second after the second Genuine Order fully filled and less than one second after he 

placed the third group of Spoof Orders. 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 18 of 25
iii. December 9, 2013–December 2013 E-mini NASDAQ Contract

52. A third example containing Genuine Orders on both sides of the market occurred 

in the overnight session of December 9, 2013. See Ex. C. At 5:27:41.553 AM Central Time,

Mohan placed an iceberg order to buy forty E-mini NASDAQ contracts (showing only one 

contract to the market) at the best-bid level (first Genuine Order). Just over one second later, at 

5:27:42.713 AM, Mohan placed multiple orders, via an order splitter, to collectively sell forty Emini NASDAQ contracts at the second-ask level (first group of Spoof Orders). The first group 

of Spoof Orders caused the total number of contracts then resting at that level of the order book 

to increase five-fold. At 5:27:43.225 AM, approximately a half-second after placing the first 

group of Spoof Orders, Mohan placed another group of orders, via an order splitter, to 

collectively sell forty E-mini NASDAQ contracts at the best-ask level (the second group of

Spoof Orders). The second group of Spoof Orders caused the total number of futures contracts 

then resting at that level of the order book to increase by over seven-fold. At 5:27:43.228 AM, 

just three milliseconds after placing the second group of Spoof Orders, Mohan’s first Genuine 

Order began to trade and seventeen of the forty contracts filled within 284 milliseconds. At 

5:27:44.208 AM, Mohan canceled the second group of Spoof Orders less than one second after 

the first Genuine Order was partially filled and less than one second after he placed the second 

group of Spoof Orders. Mohan then cancelled the first group of Spoof Orders (which was higher 

in the order book and at less risk of execution) just over a second later, at 5:27:45.480 AM. The 

cancellation of the first group of Spoof Orders occurred just under two seconds after the last fill 

of the first Genuine Order and less than three seconds after he placed the first group of Spoof 

Orders. 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 19 of 25
53. At 5:27:44.772 AM, just over one second after trading into a long position of 

seventeen contracts in the E-mini NASDAQ contract (i.e., the seventeen contract buy side fill

that began at 5:27:43.228 AM referenced above in ¶ 52), Mohan placed an iceberg order to sell

seventeen E-mini NASDAQ contracts (with one contract showing to the market) at the best-ask

level (second Genuine Order). At 5:27:46.505 AM, Mohan placed multiple orders, via an order 

splitter, to collectively buy forty E-mini NASDAQ contracts at the second-bid level (third group 

of Spoof Orders). The third group of Spoof Orders caused the total number of contracts then 

resting at the second-bid level to more than quadruple. Only 328 milliseconds later, at 

5:27:46.833 AM, Mohan placed another group of orders, via an order splitter, to collectively buy 

forty E-mini NASDAQ contracts at the best-bid level (fourth group of Spoof Orders). The fourth

group of Spoof Orders caused the total number of contracts then resting at that level of the order 

book to more than quadruple. The second Genuine Order began to trade at 5:27:46.834 AM, 

filling in full one millisecond later at 5:27:46.835 AM. At 5:27:47.568 AM, Mohan canceled 

both his first Genuine Order (with twenty-three contracts remaining unsold) and his fourth group 

of Spoof Orders, less than one second after the second Genuine Order was fully filled and less 

than one second after he placed the fourth group of Spoof Orders. He canceled his third group of 

Spoof Orders at 5:27:47.976 AM, just over one second after the second Genuine Order was fully 

filled and just under one and one-half seconds after he placed the third group of Spoof Orders. 

54. As part of a CME investigation regarding Mohan’s spoofing, CME staff 

questioned Mohan about this particular Event during a recorded interview. Mohan refused to 

answer any questions related to this Event, including specific questions about whether he 

intended to cancel the orders described above before execution. Mohan similarly refused to 

answer questions regarding other examples of order placement activity that CME staff showed to 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 20 of 25
him during the interview. Mohan also refused to answer questions on related subjects, such as 

his order splitter usage, the purpose of his iceberg order usage, and the cancellation rates 

associated with his order placement activity.

iv. December 3, 2013–December 2013 E-mini NASDAQ Contract

55. Mohan’s trading in the early morning hours of December 3, 2013, shows an Event 

that did not result in execution of the Genuine Order, contrary to Mohan’s plan. See Ex. D. At 

2:34:47.807 AM Central Time, Mohan placed an iceberg order to buy forty E-mini NASDAQ 

contracts (showing only one to the market) at the best-bid level (Genuine Order). Approximately 

one second later, at 2:34:48.887 AM, he placed multiple orders, via an order splitter, to 

collectively sell forty E-mini NASDAQ contracts at the best-ask level (first group of Spoof 

Orders) and quickly canceled the first group of Spoof Orders 712 milliseconds later. Between 

2:34:50.767 AM and 2:34:50.768, Mohan then placed another group of orders, via an order 

splitter, to collectively sell forty E-mini NASDAQ contracts at the second-ask level (second 

group of Spoof Orders), followed 455 milliseconds later, at 2:34:51.223 AM, by yet another 

group of orders, via an order splitter, to collectively sell forty E-mini NASDAQ contracts at the 

best-ask level (third group of Spoof Orders). At 2:34:51.847 AM, Mohan canceled his third

group of Spoof Orders only 624 milliseconds after placing them; and, at 2:34:52.407 AM, he 

canceled his second group of Spoof Orders less than two seconds after placing them. Mohan let 

his Genuine Order rest slightly longer, but canceled it in full at 2:34:53.062 AM, just over five 

seconds after he placed it. 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 21 of 25
VI. VIOLATIONS OF THE COMMODITY EXCHANGE ACT

COUNT I

VIOLATIONS OF SECTION 4c(a)(5)(C) OF THE ACT, 7 U.S.C. § 6c(a)(5)(C)

Spoofing

56. Paragraphs 1 through 55 are re-alleged and incorporated herein by reference.

57. By reason of the conduct described above, Mohan engaged in trading, practices, 

or conduct on or subject to the rules of a registered entity that is, is of the character of, or is 

commonly known to the trade as, “spoofing” (bidding or offering with the intent to cancel the 

bid or offer before execution).

58. In placing each Spoof Order, Mohan acted with the intent to cancel the bid or 

offer before execution.

59. By reason of the foregoing, Mohan violated Section 4c(a)(5)(C) of the Act, 

7 U.S.C. § 6c(a)(5)(C) (2012). 

60. Each Spoof Order constitutes a separate and distinct violation of Section 

4c(a)(5)(C) of the Act. 

COUNT II

VIOLATIONS OF SECTION 6(c)(1) OF THE ACT, 7 U.S.C. § 9(1),

AND REGULATION 180.1(a)(1) AND (3), 17 C.F.R. § 180.1(a)(1), (3)

Use of Manipulative Device, Scheme, or Artifice

61. The allegations set forth in paragraphs 1 through 55 are re-alleged and 

incorporated herein by reference. 

62. By reason of the conduct described above, Mohan, in connection with a contract 

for future delivery on a registered entity, intentionally or recklessly: (1) used or employed, or 

attempted to use or employ, manipulative devices, schemes, or artifices to defraud; or 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 22 of 25
(2) engaged, or attempted to engage, in acts, practices, or courses of business, which operated or 

would have operated as a fraud or deceit upon market participants. 

63. Mohan acted intentionally or recklessly.

64. By reason of the foregoing, Mohan violated Section 6(c)(1) of the Act, 7 U.S.C. 

§ 9(1) (2012), and Regulation 180.1(a)(1) and (3), 17 C.F.R. § 180.1(a)(1), (3) (2017).

65. Each Spoof Order, Event, and Scheme constitutes a separate and distinct violation 

of Section 6(c)(1) of the Act and Regulation 180.1(a)(1) and (3).

VII. RELIEF REQUESTED

WHEREFORE, the CFTC respectfully requests that the Court, as authorized by 

Section 6c of the Act, 7 U.S.C. §13a-1 (2012), and pursuant to its own equitable powers:

A. Enter an order finding that Mohan violated Sections 4c(a)(5)(C) and 6(c)(1) of the 

Act, 7 U.S.C. §§ 6c(a)(5)(C), 9(1) (2012), and Regulation 180.1(a)(1) and (3), 

17 C.F.R. § 180.1(a)(1), (3) (2017);

B. Enter an order of permanent injunction enjoining Mohan and his affiliates, agents, 

servants, employees, successors, assigns, attorneys, and all persons in active concert with him 

who receive actual notice of such order by personal service or otherwise, from violating Sections 

4c(a)(5)(C) and 6(c)(1) of the Act and Regulation 180.1(a)(1) and (3);

C. Enter an order of permanent injunction enjoining Mohan and his affiliates, agents, 

servants, employees, successors, assigns, attorneys, and all persons in active concert with him, 

from directly or indirectly:

1. Trading on or subject to the rules of any registered entity (as that term is 

defined in Section 1a(40) of the Act, 7 U.S.C. § 1a(40) (2012));

2. Entering into any transactions involving “commodity interests” (as that 

term is defined in Regulation 1.3(yy), 17 C.F.R. § 1.3(yy) (2017)) for his 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 23 of 25
own personal account or for any account in which he has a direct or 

indirect interest;

3. Having any commodity interests traded on his behalf;

4. Controlling or directing the trading for or on behalf of any person or 

entity, whether by power of attorney or otherwise, in any account 

involving commodity interests;

5. Soliciting, receiving, or accepting any funds from any person for the 

purpose of purchasing or selling any commodity interests;

6. Applying for registration or claiming exemption from registration with the 

CFTC in any capacity, and engaging in any activity requiring such 

registration or exemption from registration with the CFTC, except as 

provided for in Regulation 4.14(a)(9), 17 C.F.R. § 4.14(a)(9) (2017); 

and/or 

7. Acting as a principal (as that term is defined in Regulation 3.1(a), 

17 C.F.R. § 3.1(a) (2017)), agent or any other officer or employee of any 

person (as that term is defined in Section 1a(38) of the Act, 

7 U.S.C. § 1a(38) (2012)), registered, exempted from registration or 

required to be registered with the CFTC except as provided for in 

Regulation 4.14(a)(9), 17 C.F.R. § 4.14(a)(9) (2017). 

D. Enter an order directing Mohan to be assessed by the Court, in an amount not to 

exceed the penalty prescribed by Section 6c(d)(1) of the Act, 7 U.S.C. § 13a-1(d)(1) (2012), as 

adjusted for inflation pursuant to the Federal Civil Penalties Inflation Adjustment Act 

Improvements Act of 2015, Pub. L. 114-74, 129 Stat. 584 (2015), title VII, Section 701, see 

Regulation 143.8, 17 C.F.R. § 143.8 (2017), for each violation of the Act, as described herein;

E. Enter an order requiring Mohan to pay costs and fees, as permitted by 28 U.S.C. 

§§ 1920 and 2412(a)(2) (2012); and 

F. Enter an order providing for such other and further remedial and ancillary relief, 

including, but not limited to, disgorgement, as the Court may deem necessary and appropriate. 

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 24 of 25
Dated: January 28, 2018 Respectfully submitted,

PLAINTIFF COMMODITY FUTURES

TRADING COMMISSION 

s/ Peter L. Riggs

Peter L. Riggs (pro hac vice pending), Attorney in 

Charge (Missouri Bar #57268)

Rachel A. Hayes (pro hac vice pending) (Missouri

Bar #48713)

Rebecca S. Jelinek (pro hac vice pending) (Missouri

Bar #53586)

Commodity Futures Trading Commission

4900 Main Street, Ste. 500

Kansas City, Missouri 64112

Telephone: (816) 960-7700

Facsimile: (816) 960-7751

priggs@cftc.gov

rhayes@cftc.gov

rjelinek@cftc.gov

Attorneys for Plaintiff

Case 4:18-cv-00260 Document 1 Filed in TXSD on 01/28/18 Page 25 of 25
Exhibit A

TO COMPLAINT FOR INJUNCTIVE 

RELIEF, CIVIL MONETARY PENALTIES, 

AND OTHER RELIEF

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 1 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

1 8 05:39.461 YB01 Order B 40 40 1 16081 Genuine2 8 05:39.461 16 11 16081 2 1 16082 16083 7 12 16084 8 12 16085 17 203 8 05:39.822 16 11 16081 2 1 16082 16083 8 13 16084 8 12 16085 17 204 8 05:39.823 16 11 16081 2 1 16082 16083 8 13 16084 9 13 16085 17 205 8 05:40.703 YB01 Order S 4 4 0 16084 Spoof6 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 10 17 16085 17 207 8 05:40.703 YB01 Order S 4 4 0 16084 Spoof8 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 11 21 16085 17 209 8 05:40.703 YB01 Order S 8 8 0 16084 Spoof

10 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 12 29 16085 17 2011 8 05:40.703 YB01 Order S 3 3 0 16084 Spoof12 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 13 32 16085 17 2013 8 05:40.703 YB01 Order S 4 4 0 16084 Spoof14 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 14 36 16085 17 2015 8 05:40.703 YB01 Order S 4 4 0 16084 Spoof16 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 15 40 16085 17 2017 8 05:40.703 YB01 Order S 7 7 0 16084 Spoof18 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 16 47 16085 17 2019 8 05:40.703 YB01 Order S 6 6 0 16084 Spoof20 8 05:40.703 16 11 16081 2 1 16082 16083 8 13 16084 17 53 16085 17 2021 8 05:40.704 23 20 16080 16 11 16081 16083 8 13 16084 17 53 16085 17 2022 8 05:40.704 23 20 16080 16 11 16081 16083 8 13 16084 17 53 16085 17 2023 8 05:40.704 23 20 16080 16 11 16081 16083 8 13 16084 17 53 16085 17 2024 8 05:40.704 23 20 16080 15 10 16081 16083 8 13 16084 17 53 16085 17 2025 8 05:40.704 23 20 16080 13 9 16081 16083 8 13 16084 17 53 16085 17 2026 8 05:40.704 23 20 16080 13 9 16081 16082 1 3 16083 8 13 16084 17 5327 8 05:40.704 23 20 16080 13 9 16081 16082 1 3 16083 8 13 16084 17 5328 8 05:40.704 23 20 16080 13 9 16081 16082 1 3 16083 8 13 16084 17 5329 8 05:40.704 23 20 16080 12 8 16081 16082 1 3 16083 8 13 16084 17 5330 8 05:40.705 23 20 16080 12 8 16081 16082 2 5 16083 8 13 16084 17 5331 8 05:40.705 23 20 16080 11 7 16081 16082 2 5 16083 8 13 16084 17 5332 8 05:40.705 23 20 16080 11 7 16081 16082 2 5 16083 8 13 16084 17 5333 8 05:40.705 23 20 16080 11 7 16081 16082 2 5 16083 8 13 16084 17 5334 8 05:40.705 23 20 16080 11 7 16081 16082 2 5 16083 8 13 16084 17 5335 8 05:40.705 23 20 16080 8 6 16081 16082 2 5 16083 8 13 16084 17 5336 8 05:40.705 23 20 16080 8 6 16081 16082 2 5 16083 9 14 16084 17 5337 8 05:40.705 23 20 16080 6 5 16081 16082 2 5 16083 9 14 16084 17 5338 8 05:40.705 23 20 16080 6 5 16081 16082 2 5 16083 10 15 16084 17 5339 8 05:40.705 23 20 16080 5 4 16081 16082 2 5 16083 10 15 16084 17 5340 8 05:40.706 23 20 16080 5 4 16081 16082 3 8 16083 10 15 16084 17 5341 8 05:40.717 23 20 16080 5 4 16081 16082 3 8 16083 10 15 16084 17 5342 8 05:40.717 23 20 16080 5 4 16081 16082 3 8 16083 10 15 16084 17 5343 8 05:40.738 23 20 16080 5 4 16081 16082 3 8 16083 10 15 16084 17 5344 8 05:40.738 23 20 16080 5 4 16081 16082 3 8 16083 10 15 16084 17 5345 8 05:41.203 23 20 16080 3 3 16081 16082 3 8 16083 10 15 16084 17 5346 8 05:41.203 23 20 16080 3 3 16081 16082 3 8 16083 11 16 16084 17 5347 8 05:41.204 23 20 16080 2 2 16081 16082 3 8 16083 11 16 16084 17 53

Bid Side Market Depth Ask Side Market Depth

EXHIBIT

A Page 1 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 2 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

48 8 05:41.204 23 20 16080 2 2 16081 16082 3 8 16083 11 16 16084 17 5349 8 05:41.205 22 19 16080 2 2 16081 16082 3 8 16083 11 16 16084 17 5350 8 05:41.333 YB01 Trade B 1 39 0 16081 Genuine51 8 05:41.333 YB01 Trade B 1 38 0 16081 Genuine52 8 05:41.333 YB01 Trade B 1 37 0 16081 Genuine53 8 05:41.333 22 19 16080 1 1 16081 16082 3 8 16083 11 16 16084 17 5354 8 05:41.334 YB01 Trade B 1 36 0 16081 Genuine55 8 05:41.334 YB01 Trade B 1 35 0 16081 Genuine56 8 05:41.334 YB01 Trade B 1 34 0 16081 Genuine57 8 05:41.334 YB01 Trade B 1 33 0 16081 Genuine58 8 05:41.334 YB01 Trade B 1 32 0 16081 Genuine59 8 05:41.334 YB01 Trade B 1 31 0 16081 Genuine60 8 05:41.334 YB01 Trade B 1 30 0 16081 Genuine61 8 05:41.334 YB01 Trade B 1 29 0 16081 Genuine62 8 05:41.334 YB01 Trade B 1 28 0 16081 Genuine63 8 05:41.334 YB01 Trade B 1 27 0 16081 Genuine64 8 05:41.334 YB01 Trade B 1 26 0 16081 Genuine65 8 05:41.334 YB01 Trade B 1 25 0 16081 Genuine66 8 05:41.334 YB01 Trade B 1 24 0 16081 Genuine67 8 05:41.334 YB01 Trade B 1 23 0 16081 Genuine68 8 05:41.334 YB01 Trade B 1 22 0 16081 Genuine69 8 05:41.334 YB01 Trade B 1 21 0 16081 Genuine70 8 05:41.334 YB01 Trade B 1 20 0 16081 Genuine71 8 05:41.334 YB01 Trade B 1 19 0 16081 Genuine72 8 05:41.334 YB01 Trade B 1 18 0 16081 Genuine73 8 05:41.334 YB01 Trade B 1 17 0 16081 Genuine74 8 05:41.334 YB01 Trade B 1 16 0 16081 Genuine75 8 05:41.335 YB01 Trade B 1 15 0 16081 Genuine76 8 05:41.335 YB01 Trade B 1 14 0 16081 Genuine77 8 05:41.335 YB01 Trade B 1 13 0 16081 Genuine78 8 05:41.335 YB01 Trade B 1 12 0 16081 Genuine79 8 05:41.335 YB01 Trade B 1 11 0 16081 Genuine80 8 05:41.335 YB01 Trade B 1 10 0 16081 Genuine81 8 05:41.335 YB01 Trade B 1 9 0 16081 Genuine82 8 05:41.335 YB01 Trade B 1 8 0 16081 Genuine83 8 05:41.335 YB01 Trade B 1 7 0 16081 Genuine84 8 05:41.335 YB01 Trade B 1 6 0 16081 Genuine85 8 05:41.335 YB01 Trade B 1 5 0 16081 Genuine86 8 05:41.335 YB01 Trade B 1 4 0 16081 Genuine87 8 05:41.335 YB01 Trade B 1 3 0 16081 Genuine88 8 05:41.335 YB01 Trade B 1 2 0 16081 Genuine89 8 05:41.335 YB01 Trade B 2 0 0 16081 Genuine90 8 05:41.335 20 18 16080 1 1 16081 16082 3 8 16083 11 16 16084 17 5391 8 05:41.335 20 18 16080 1 1 16081 16082 4 9 16083 11 16 16084 17 5392 8 05:41.335 25 15 16079 20 18 16080 16082 4 9 16083 11 16 16084 17 5393 8 05:41.335 25 15 16079 20 18 16080 16082 4 9 16083 11 16 16084 17 5394 8 05:41.336 25 15 16079 20 18 16080 16082 5 10 16083 11 16 16084 17 53

EXHIBIT

A Page 2 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 3 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

95 8 05:41.336 25 15 16079 20 18 16080 16082 5 10 16083 11 16 16084 17 5396 8 05:41.336 25 15 16079 20 18 16080 16082 5 10 16083 11 16 16084 17 5397 8 05:41.336 25 15 16079 24 19 16080 16082 5 10 16083 11 16 16084 17 5398 8 05:41.336 25 15 16079 24 19 16080 16082 5 10 16083 11 16 16084 17 5399 8 05:41.336 25 15 16079 24 19 16080 16082 5 10 16083 11 16 16084 17 53

100 8 05:41.336 24 19 16080 1 1 16081 16082 5 10 16083 11 16 16084 17 53101 8 05:41.336 24 19 16080 2 2 16081 16082 5 10 16083 11 16 16084 17 53102 8 05:41.336 24 19 16080 2 2 16081 16082 4 7 16083 11 16 16084 17 53103 8 05:41.336 24 19 16080 4 3 16081 16082 4 7 16083 11 16 16084 17 53104 8 05:41.336 25 15 16079 24 19 16080 16082 4 7 16083 11 16 16084 17 53105 8 05:41.336 25 15 16079 24 19 16080 16082 4 7 16083 11 16 16084 17 53106 8 05:41.336 25 15 16079 24 19 16080 16081 1 1 16082 4 7 16083 11 16107 8 05:41.336 25 15 16079 24 19 16080 16081 1 1 16082 5 8 16083 11 16108 8 05:41.336 25 15 16079 24 19 16080 16081 1 1 16082 5 8 16083 11 16109 8 05:41.336 25 15 16079 24 19 16080 16081 1 1 16082 5 8 16083 11 16110 8 05:41.336 25 15 16079 24 19 16080 16082 5 8 16083 11 16 16084 17 53111 8 05:41.336 25 15 16079 24 19 16080 16082 2 2 16083 11 16 16084 17 53112 8 05:41.336 25 15 16079 24 19 16080 16082 2 2 16083 11 16 16084 17 53113 8 05:41.336 25 15 16079 24 19 16080 16083 11 16 16084 17 53 16085 18 21114 8 05:41.336 25 15 16079 24 19 16080 16083 11 16 16084 17 53 16085 18 21115 8 05:41.336 24 14 16079 24 19 16080 16083 11 16 16084 17 53 16085 18 21116 8 05:41.336 24 19 16080 3 1 16081 16083 11 16 16084 17 53 16085 18 21117 8 05:41.336 24 19 16080 3 1 16081 16082 1 3 16083 11 16 16084 17 53118 8 05:41.336 24 19 16080 9 2 16081 16082 1 3 16083 11 16 16084 17 53119 8 05:41.337 24 19 16080 9 2 16081 16082 1 3 16083 11 16 16084 17 53120 8 05:41.337 24 19 16080 9 2 16081 16082 1 3 16083 11 16 16084 17 53121 8 05:41.337 24 19 16080 9 2 16081 16082 1 3 16083 11 16 16084 17 53122 8 05:41.337 24 19 16080 9 2 16081 16082 1 3 16083 11 16 16084 17 53123 8 05:41.337 24 19 16080 9 2 16081 16082 1 3 16083 11 16 16084 17 53124 8 05:41.337 24 19 16080 10 3 16081 16082 1 3 16083 11 16 16084 17 53125 8 05:41.337 24 19 16080 10 3 16081 16082 2 6 16083 11 16 16084 17 53126 8 05:41.337 24 19 16080 11 4 16081 16082 2 6 16083 11 16 16084 17 53127 8 05:41.337 23 18 16080 11 4 16081 16082 2 6 16083 11 16 16084 17 53128 8 05:41.337 23 18 16080 14 5 16081 16082 2 6 16083 11 16 16084 17 53129 8 05:41.337 23 18 16080 14 5 16081 16082 1 3 16083 11 16 16084 17 53130 8 05:41.337 23 18 16080 15 6 16081 16082 1 3 16083 11 16 16084 17 53131 8 05:41.337 23 18 16080 15 6 16081 16082 1 3 16083 11 16 16084 17 53132 8 05:41.337 23 18 16080 15 6 16081 16082 1 3 16083 11 16 16084 17 53133 8 05:41.337 23 18 16080 15 6 16081 16082 2 5 16083 11 16 16084 17 53134 8 05:41.337 23 18 16080 15 6 16081 16082 2 5 16083 11 16 16084 17 53135 8 05:41.337 23 18 16080 15 6 16081 16082 3 6 16083 11 16 16084 17 53136 8 05:41.337 23 18 16080 15 6 16081 16082 3 6 16083 11 16 16084 17 53137 8 05:41.337 23 18 16080 15 6 16081 16082 3 6 16083 11 16 16084 17 53138 8 05:41.337 23 18 16080 14 5 16081 16082 3 6 16083 11 16 16084 17 53139 8 05:41.338 23 18 16080 14 5 16081 16082 2 2 16083 11 16 16084 17 53140 8 05:41.338 23 18 16080 15 6 16081 16082 2 2 16083 11 16 16084 17 53141 8 05:41.339 21 17 16080 15 6 16081 16082 2 2 16083 11 16 16084 17 53

EXHIBIT

A Page 3 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 4 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

142 8 05:41.339 21 17 16080 15 6 16081 16082 3 3 16083 11 16 16084 17 53143 8 05:41.341 21 17 16080 15 6 16081 16082 3 3 16083 11 16 16084 17 53144 8 05:41.343 21 17 16080 15 6 16081 16082 3 3 16083 11 16 16084 17 53145 8 05:41.343 21 17 16080 16 7 16081 16082 3 3 16083 11 16 16084 17 53146 8 05:41.348 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 17 53147 8 05:41.350 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 18 54148 8 05:41.350 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 18 54149 8 05:41.353 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 18 54150 8 05:41.353 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 18 54151 8 05:41.361 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 18 54152 8 05:41.361 21 17 16080 16 7 16081 16082 3 3 16083 12 17 16084 18 54153 8 05:41.372 21 17 16080 16 7 16081 16082 3 3 16083 11 16 16084 18 54154 8 05:41.411 21 17 16080 13 6 16081 16082 3 3 16083 11 16 16084 18 54155 8 05:41.411 21 17 16080 13 6 16081 16082 3 3 16083 11 16 16084 18 54156 8 05:41.413 21 17 16080 13 6 16081 16082 4 4 16083 11 16 16084 18 54157 8 05:41.419 21 17 16080 13 6 16081 16082 4 4 16083 11 16 16084 18 54158 8 05:41.421 21 17 16080 13 6 16081 16082 4 4 16083 11 16 16084 18 54159 8 05:41.443 21 17 16080 13 6 16081 16082 4 4 16083 11 16 16084 18 54160 8 05:41.443 21 17 16080 13 6 16081 16082 4 4 16083 11 16 16084 18 54161 8 05:41.535 21 17 16080 13 6 16081 16082 4 4 16083 11 16 16084 18 54162 8 05:41.536 21 17 16080 13 6 16081 16082 4 4 16083 10 15 16084 18 54163 8 05:41.594 21 17 16080 14 7 16081 16082 4 4 16083 10 15 16084 18 54164 8 05:41.594 21 17 16080 14 7 16081 16082 4 4 16083 10 15 16084 18 54165 8 05:41.615 22 18 16080 14 7 16081 16082 4 4 16083 10 15 16084 18 54166 8 05:41.839 22 18 16080 14 7 16081 16082 3 3 16083 10 15 16084 18 54167 8 05:41.839 22 18 16080 14 7 16081 16082 3 3 16083 9 14 16084 18 54168 8 05:41.839 22 18 16080 15 8 16081 16082 3 3 16083 9 14 16084 18 54169 8 05:42.420 22 18 16080 18 9 16081 16082 3 3 16083 9 14 16084 18 54170 8 05:42.421 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 18 54171 8 05:42.684 YB01 Cancel S 6 0 0 16084 Spoof172 8 05:42.684 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 17 48173 8 05:42.684 YB01 Cancel S 3 0 0 16084 Spoof174 8 05:42.684 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 16 45175 8 05:42.684 YB01 Cancel S 4 0 0 16084 Spoof176 8 05:42.684 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 15 41177 8 05:42.684 YB01 Cancel S 4 0 0 16084 Spoof178 8 05:42.685 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 14 37179 8 05:42.685 YB01 Cancel S 4 0 0 16084 Spoof180 8 05:42.685 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 13 33181 8 05:42.685 YB01 Cancel S 4 0 0 16084 Spoof182 8 05:42.685 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 12 29183 8 05:42.685 YB01 Cancel S 7 0 0 16084 Spoof184 8 05:42.685 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 11 22185 8 05:42.685 YB01 Cancel S 8 0 0 16084 Spoof186 8 05:42.685 23 19 16080 18 9 16081 16082 3 3 16083 9 14 16084 10 14187 8 05:42.685 23 19 16080 18 9 16081 16083 9 14 16084 10 14 16085 17 20188 8 05:42.685 23 19 16080 18 9 16081 16083 9 14 16084 10 14 16085 17 20

EXHIBIT

A Page 4 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 5 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

189 8 05:42.685 23 19 16080 18 9 16081 16083 9 14 16084 10 14 16085 17 20190 8 05:42.686 18 9 16081 3 1 16082 16083 9 14 16084 10 14 16085 17 20191 8 05:42.686 18 9 16081 3 1 16082 16083 9 14 16084 10 14 16085 17 20192 8 05:42.686 18 9 16081 3 1 16082 16083 8 13 16084 10 14 16085 17 20193 8 05:42.686 18 9 16081 3 1 16082 16083 8 13 16084 10 14 16085 17 20194 8 05:42.686 18 9 16081 3 1 16082 16083 8 13 16084 10 14 16085 17 20195 8 05:42.686 18 9 16081 3 1 16082 16083 7 10 16084 10 14 16085 17 20196 8 05:42.686 18 9 16081 3 1 16082 16083 7 10 16084 10 14 16085 17 20197 8 05:42.686 18 9 16081 3 1 16082 16083 7 10 16084 10 14 16085 17 20198 8 05:42.686 18 9 16081 4 2 16082 16083 7 10 16084 10 14 16085 17 20199 8 05:42.686 18 9 16081 5 3 16082 16083 7 10 16084 10 14 16085 17 20200 8 05:42.717 18 9 16081 5 3 16082 16083 7 10 16084 10 14 16085 17 20201 8 05:42.717 18 9 16081 5 3 16082 16083 7 10 16084 10 14 16085 17 20202 8 05:42.717 18 9 16081 5 3 16082 16083 7 10 16084 10 14 16085 17 20203 8 05:42.717 18 9 16081 5 3 16082 16083 7 10 16084 10 14 16085 17 20204 8 05:42.762 18 9 16081 5 3 16082 16083 6 9 16084 10 14 16085 17 20205 8 05:42.763 18 9 16081 5 3 16082 16083 5 8 16084 10 14 16085 17 20206 8 05:42.878 18 9 16081 5 3 16082 16083 4 7 16084 10 14 16085 17 20207 8 05:42.879 18 9 16081 6 4 16082 16083 4 7 16084 10 14 16085 17 20208 8 05:42.879 19 10 16081 6 4 16082 16083 4 7 16084 10 14 16085 17 20209 8 05:42.897 19 10 16081 6 4 16082 16083 3 3 16084 10 14 16085 17 20210 8 05:42.897 19 10 16081 7 5 16082 16083 3 3 16084 10 14 16085 17 20211 8 05:42.897 19 10 16081 7 5 16082 16083 3 3 16084 10 14 16085 16 19212 8 05:42.922 19 10 16081 7 5 16082 16083 3 3 16084 9 13 16085 16 19213 8 05:43.185 21 11 16081 7 5 16082 16083 3 3 16084 9 13 16085 16 19214 8 05:43.185 21 11 16081 7 5 16082 16083 3 3 16084 8 12 16085 16 19215 8 05:43.565 YB01 Order S 40 40 1 16083 Genuine216 8 05:43.565 21 11 16081 7 5 16082 16083 4 4 16084 8 12 16085 16 19217 8 05:44.757 21 11 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19218 8 05:45.024 YB01 Order B 2 2 0 16081 Spoof219 8 05:45.024 23 12 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19220 8 05:45.024 YB01 Order B 6 6 0 16081 Spoof221 8 05:45.024 29 13 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19222 8 05:45.024 YB01 Order B 3 3 0 16081 Spoof223 8 05:45.024 32 14 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19224 8 05:45.024 YB01 Order B 1 1 0 16081 Spoof225 8 05:45.024 33 15 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19226 8 05:45.024 YB01 Order B 7 7 0 16081 Spoof227 8 05:45.024 40 16 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19228 8 05:45.024 YB01 Order B 7 7 0 16081 Spoof229 8 05:45.024 47 17 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19230 8 05:45.024 YB01 Order B 2 2 0 16081 Spoof231 8 05:45.024 49 18 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19232 8 05:45.024 YB01 Order B 7 7 0 16081 Spoof233 8 05:45.024 56 19 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19234 8 05:45.024 YB01 Order B 1 1 0 16081 Spoof235 8 05:45.024 57 20 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19

EXHIBIT

A Page 5 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 6 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

236 8 05:45.024 YB01 Order B 3 3 0 16081 Spoof237 8 05:45.024 60 21 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19238 8 05:45.024 YB01 Order B 1 1 0 16081 Spoof239 8 05:45.024 61 22 16081 6 4 16082 16083 4 4 16084 8 12 16085 16 19240 8 05:45.117 YB01 Trade S 1 39 0 16083 Genuine241 8 05:45.117 YB01 Trade S 1 38 0 16083 Genuine242 8 05:45.117 YB01 Trade S 1 37 0 16083 Genuine243 8 05:45.117 YB01 Trade S 1 36 0 16083 Genuine244 8 05:45.117 YB01 Trade S 1 35 0 16083 Genuine245 8 05:45.117 61 22 16081 6 4 16082 16083 1 1 16084 8 12 16085 16 19246 8 05:45.118 YB01 Trade S 1 34 0 16083 Genuine247 8 05:45.118 YB01 Trade S 1 33 0 16083 Genuine248 8 05:45.118 YB01 Trade S 1 32 0 16083 Genuine249 8 05:45.118 YB01 Trade S 1 31 0 16083 Genuine250 8 05:45.118 YB01 Trade S 1 30 0 16083 Genuine251 8 05:45.118 YB01 Trade S 1 29 0 16083 Genuine252 8 05:45.118 61 22 16081 7 5 16082 16083 1 1 16084 8 12 16085 16 19253 8 05:45.118 61 22 16081 10 6 16082 16083 1 1 16084 8 12 16085 16 19254 8 05:45.118 61 22 16081 11 7 16082 16083 1 1 16084 8 12 16085 16 19255 8 05:45.118 61 22 16081 11 7 16082 16083 1 1 16084 8 12 16085 16 19256 8 05:45.118 61 22 16081 11 7 16082 16083 1 1 16084 8 12 16085 15 18257 8 05:45.119 YB01 Trade S 1 28 0 16083 Genuine258 8 05:45.119 61 22 16081 12 8 16082 16083 1 1 16084 8 12 16085 15 18259 8 05:45.119 61 22 16081 12 8 16082 16083 1 1 16084 8 12 16085 15 18260 8 05:45.119 61 22 16081 12 8 16082 16083 1 1 16084 7 11 16085 15 18261 8 05:45.119 61 22 16081 12 8 16082 16083 1 1 16084 7 11 16085 16 19262 8 05:45.120 YB01 Trade S 1 27 0 16083 Genuine263 8 05:45.121 61 22 16081 12 8 16082 16083 1 1 16084 8 12 16085 16 19264 8 05:46.239 YB01 Trade S 1 26 0 16083 Genuine265 8 05:46.239 YB01 Order B 8 8 0 16082 Spoof266 8 05:46.239 61 22 16081 20 9 16082 16083 1 1 16084 8 12 16085 16 19267 8 05:46.239 YB01 Order B 7 7 0 16082 Spoof268 8 05:46.239 61 22 16081 27 10 16082 16083 1 1 16084 8 12 16085 16 19269 8 05:46.239 YB01 Order B 6 6 0 16082 Spoof270 8 05:46.239 61 22 16081 33 11 16082 16083 1 1 16084 8 12 16085 16 19271 8 05:46.239 YB01 Order B 4 4 0 16082 Spoof272 8 05:46.239 61 22 16081 37 12 16082 16083 1 1 16084 8 12 16085 16 19273 8 05:46.239 YB01 Order B 4 4 0 16082 Spoof274 8 05:46.239 61 22 16081 41 13 16082 16083 1 1 16084 8 12 16085 16 19275 8 05:46.239 YB01 Order B 1 1 0 16082 Spoof276 8 05:46.239 61 22 16081 42 14 16082 16083 1 1 16084 8 12 16085 16 19277 8 05:46.239 YB01 Order B 4 4 0 16082 Spoof278 8 05:46.239 61 22 16081 46 15 16082 16083 1 1 16084 8 12 16085 16 19279 8 05:46.239 YB01 Order B 6 6 0 16082 Spoof280 8 05:46.239 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19281 8 05:46.240 YB01 Trade S 1 25 0 16083 Genuine282 8 05:46.240 YB01 Trade S 1 24 0 16083 Genuine

EXHIBIT

A Page 6 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 7 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

283 8 05:46.240 YB01 Trade S 1 23 0 16083 Genuine284 8 05:46.240 YB01 Trade S 1 22 0 16083 Genuine285 8 05:46.240 YB01 Trade S 1 21 0 16083 Genuine286 8 05:46.240 YB01 Trade S 1 20 0 16083 Genuine287 8 05:46.240 YB01 Trade S 1 19 0 16083 Genuine288 8 05:46.240 YB01 Trade S 1 18 0 16083 Genuine289 8 05:46.240 YB01 Trade S 1 17 0 16083 Genuine290 8 05:46.240 YB01 Trade S 1 16 0 16083 Genuine291 8 05:46.240 YB01 Trade S 1 15 0 16083 Genuine292 8 05:46.240 YB01 Trade S 1 14 0 16083 Genuine293 8 05:46.240 YB01 Trade S 1 13 0 16083 Genuine294 8 05:46.240 YB01 Trade S 1 12 0 16083 Genuine295 8 05:46.240 YB01 Trade S 1 11 0 16083 Genuine296 8 05:46.240 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19297 8 05:46.240 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19298 8 05:46.240 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19299 8 05:46.240 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19300 8 05:46.240 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19301 8 05:46.240 61 22 16081 52 16 16082 16083 1 1 16084 8 12 16085 16 19302 8 05:46.241 YB01 Trade S 1 10 0 16083 Genuine303 8 05:46.241 YB01 Trade S 1 9 0 16083 Genuine304 8 05:46.241 YB01 Trade S 1 8 0 16083 Genuine305 8 05:46.241 YB01 Trade S 1 7 0 16083 Genuine306 8 05:46.241 YB01 Trade S 1 6 0 16083 Genuine307 8 05:46.241 YB01 Trade S 1 5 0 16083 Genuine308 8 05:46.241 YB01 Trade S 5 0 0 16083 Genuine309 8 05:46.241 61 22 16081 52 16 16082 16083 1 1 16084 9 13 16085 16 19310 8 05:46.241 52 16 16082 1 1 16083 16083 1 1 16084 9 13 16085 16 19311 8 05:46.241 52 16 16082 1 1 16083 16084 9 13 16085 16 19 16086 14 16312 8 05:46.241 52 16 16082 1 1 16083 16084 9 13 16085 16 19 16086 14 16313 8 05:46.241 52 16 16082 1 1 16083 16084 8 12 16085 16 19 16086 14 16314 8 05:46.242 52 16 16082 2 2 16083 16084 8 12 16085 16 19 16086 14 16315 8 05:46.242 52 16 16082 2 2 16083 16084 8 12 16085 16 19 16086 14 16316 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 14 16317 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 14 16318 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 14 16319 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 14 16320 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 14 16321 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 14 16322 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 15 19323 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 15 19324 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 15 19325 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 15 19326 8 05:46.242 61 22 16081 52 16 16082 16084 8 12 16085 16 19 16086 15 19327 8 05:46.242 61 22 16081 52 16 16082 16083 1 2 16084 8 12 16085 16 19328 8 05:46.242 61 22 16081 52 16 16082 16083 1 2 16084 8 12 16085 16 19329 8 05:46.242 61 22 16081 53 17 16082 16083 1 2 16084 8 12 16085 16 19

EXHIBIT

A Page 7 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 8 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

330 8 05:46.243 61 22 16081 53 17 16082 16083 1 2 16084 9 13 16085 16 19331 8 05:46.243 61 22 16081 52 16 16082 16083 1 2 16084 9 13 16085 16 19332 8 05:46.243 61 22 16081 52 16 16082 16083 1 2 16084 9 13 16085 16 19333 8 05:46.243 61 22 16081 52 16 16082 16083 1 2 16084 9 13 16085 16 19334 8 05:46.243 61 22 16081 53 17 16082 16083 1 2 16084 9 13 16085 16 19335 8 05:46.243 61 22 16081 53 17 16082 16083 1 2 16084 9 13 16085 16 19336 8 05:46.243 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19337 8 05:46.243 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19338 8 05:46.243 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19339 8 05:46.243 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19340 8 05:46.243 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19341 8 05:46.243 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19342 8 05:46.244 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19343 8 05:46.246 53 17 16082 1 1 16083 16084 9 13 16085 16 19 16086 15 19344 8 05:46.246 53 17 16082 1 1 16083 16084 9 13 16085 16 19 16086 15 19345 8 05:46.246 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19346 8 05:46.246 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19347 8 05:46.246 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19348 8 05:46.246 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19349 8 05:46.247 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19350 8 05:46.247 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19351 8 05:46.262 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19352 8 05:46.262 61 22 16081 53 17 16082 16084 9 13 16085 16 19 16086 15 19353 8 05:46.263 61 22 16081 53 17 16082 16084 10 21 16085 16 19 16086 15 19354 8 05:46.263 61 22 16081 53 17 16082 16084 11 29 16085 16 19 16086 15 19355 8 05:46.263 61 22 16081 53 17 16082 16084 11 29 16085 17 20 16086 15 19356 8 05:46.742 61 22 16081 52 16 16082 16084 11 29 16085 17 20 16086 15 19357 8 05:46.807 61 22 16081 52 16 16082 16084 11 29 16085 17 20 16086 15 19358 8 05:46.889 52 16 16082 10 1 16083 16084 11 29 16085 17 20 16086 15 19359 8 05:46.889 52 16 16082 8 1 16083 16084 11 29 16085 17 20 16086 15 19360 8 05:46.890 52 16 16082 2 1 16083 16084 11 29 16085 17 20 16086 15 19361 8 05:46.890 52 16 16082 2 1 16083 16084 11 29 16085 17 20 16086 15 19362 8 05:46.890 52 16 16082 2 1 16083 16084 11 29 16085 17 20 16086 15 19363 8 05:46.890 61 22 16081 52 16 16082 16084 11 29 16085 17 20 16086 15 19364 8 05:46.890 61 22 16081 52 16 16082 16084 11 29 16085 17 20 16086 15 19365 8 05:46.891 61 22 16081 52 16 16082 16084 11 29 16085 17 20 16086 15 19366 8 05:46.891 61 22 16081 52 16 16082 16084 11 29 16085 17 20 16086 15 19367 8 05:47.085 61 22 16081 48 15 16082 16084 11 29 16085 17 20 16086 15 19368 8 05:47.085 YB01 Cancel B 8 0 0 16082 Spoof369 8 05:47.085 61 22 16081 40 14 16082 16084 11 29 16085 17 20 16086 15 19370 8 05:47.085 YB01 Cancel B 1 0 0 16082 Spoof371 8 05:47.085 61 22 16081 39 13 16082 16084 11 29 16085 17 20 16086 15 19372 8 05:47.085 YB01 Cancel B 7 0 0 16082 Spoof373 8 05:47.085 61 22 16081 32 12 16082 16084 11 29 16085 17 20 16086 15 19374 8 05:47.085 YB01 Cancel B 4 0 0 16082 Spoof375 8 05:47.085 61 22 16081 28 11 16082 16084 11 29 16085 17 20 16086 15 19376 8 05:47.085 YB01 Cancel B 6 0 0 16082 Spoof

EXHIBIT

A Page 8 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 9 of 10
Date: Nov 27, 2013

December 2013

E‐mini Dow Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2 AskPx3 AskCnt3 AskQty3

Bid Side Market Depth Ask Side Market Depth

377 8 05:47.085 61 22 16081 22 10 16082 16084 11 29 16085 17 20 16086 15 19378 8 05:47.085 YB01 Cancel B 6 0 0 16082 Spoof379 8 05:47.085 61 22 16081 16 9 16082 16084 11 29 16085 17 20 16086 15 19380 8 05:47.085 YB01 Cancel B 4 0 0 16082 Spoof381 8 05:47.085 61 22 16081 12 8 16082 16084 11 29 16085 17 20 16086 15 19382 8 05:47.085 YB01 Cancel B 4 0 0 16082 Spoof383 8 05:47.085 61 22 16081 11 7 16082 16084 11 29 16085 17 20 16086 15 19384 8 05:47.085 61 22 16081 10 6 16082 16084 11 29 16085 17 20 16086 15 19385 8 05:47.091 10 6 16082 10 1 16083 16084 11 29 16085 17 20 16086 15 19386 8 05:47.091 10 6 16082 10 1 16083 16084 11 29 16085 17 20 16086 15 19387 8 05:47.091 10 6 16082 10 1 16083 16084 11 29 16085 17 20 16086 15 19388 8 05:47.092 10 6 16082 7 1 16083 16084 11 29 16085 17 20 16086 15 19389 8 05:47.092 10 6 16082 6 1 16083 16084 11 29 16085 17 20 16086 15 19390 8 05:47.092 10 6 16082 7 2 16083 16084 11 29 16085 17 20 16086 15 19391 8 05:47.092 61 22 16081 10 6 16082 16084 11 29 16085 17 20 16086 15 19392 8 05:47.092 61 22 16081 10 6 16082 16084 11 29 16085 17 20 16086 15 19393 8 05:47.092 61 22 16081 10 6 16082 16084 11 29 16085 17 20 16086 15 19394 8 05:47.092 61 22 16081 10 6 16082 16084 11 29 16085 17 20 16086 15 19395 8 05:47.390 61 22 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19396 8 05:47.391 60 21 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19397 8 05:47.421 YB01 Cancel B 7 0 0 16081 Spoof398 8 05:47.421 53 20 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19399 8 05:47.421 YB01 Cancel B 1 0 0 16081 Spoof400 8 05:47.421 52 19 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19401 8 05:47.421 YB01 Cancel B 1 0 0 16081 Spoof402 8 05:47.421 51 18 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19403 8 05:47.421 YB01 Cancel B 7 0 0 16081 Spoof404 8 05:47.421 44 17 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19405 8 05:47.421 YB01 Cancel B 2 0 0 16081 Spoof406 8 05:47.421 42 16 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19407 8 05:47.421 YB01 Cancel B 3 0 0 16081 Spoof408 8 05:47.421 39 15 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19409 8 05:47.421 YB01 Cancel B 7 0 0 16081 Spoof410 8 05:47.421 32 14 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19411 8 05:47.421 YB01 Cancel B 6 0 0 16081 Spoof412 8 05:47.421 26 13 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19413 8 05:47.421 YB01 Cancel B 1 0 0 16081 Spoof414 8 05:47.421 25 12 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19415 8 05:47.421 YB01 Cancel B 2 0 0 16081 Spoof416 8 05:47.421 23 11 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19417 8 05:47.421 YB01 Cancel B 3 0 0 16081 Spoof418 8 05:47.421 20 10 16081 10 6 16082 16084 11 29 16085 16 19 16086 15 19

EXHIBIT

A Page 9 of 9

Case 4:18-cv-00260 Document 1-1 Filed in TXSD on 01/28/18 Page 10 of 10
Exhibit B

TO COMPLAINT FOR INJUNCTIVE 

RELIEF, CIVIL MONETARY PENALTIES, 

AND OTHER RELIEF

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 1 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

1 3:01:50 862 YB01 Order B 40 40 1 349075 Genuine

2 3:01:50 862 19 14 349050 4 4 349075 349100 10 13 349125 14 213 3:01:51.406 19 14 349050 5 5 349075 349100 10 13 349125 14 214 3:01:51.409 19 14 349050 5 5 349075 349100 9 12 349125 14 215 3:01:51.410 19 14 349050 5 5 349075 349100 8 11 349125 14 216 3:01:51 542 19 14 349050 5 5 349075 349100 9 12 349125 14 217 3:01:51 909 19 14 349050 5 5 349075 349100 9 12 349125 13 208 3:01:52 808 19 14 349050 4 4 349075 349100 9 12 349125 13 209 3:01:52 809 19 14 349050 4 4 349075 349100 10 13 349125 13 20

10 3:01:52 810 19 14 349050 4 4 349075 349100 10 13 349125 14 2111 3:01:53 352 19 14 349050 5 5 349075 349100 10 13 349125 14 2112 3:01:53 353 19 14 349050 5 5 349075 349100 9 12 349125 14 2113 3:01:53.477 19 14 349050 4 4 349075 349100 9 12 349125 14 2114 3:01:53 854 19 14 349050 4 4 349075 349100 9 12 349125 13 2015 3:01:54 271 19 14 349050 3 3 349075 349100 9 12 349125 13 2016 3:01:54 271 19 14 349050 3 3 349075 349100 9 12 349125 13 2017 3:01:54 272 19 14 349050 3 3 349075 349100 10 13 349125 13 2018 3:01:54 273 19 14 349050 3 3 349075 349100 10 13 349125 14 2119 3:01:54 985 19 14 349050 3 3 349075 349100 10 13 349125 14 2120 3:01:55 069 19 14 349050 3 3 349075 349100 10 13 349125 14 2121 3:01:55.113 19 14 349050 3 3 349075 349100 9 12 349125 14 2122 3:01:55.114 19 14 349050 5 4 349075 349100 9 12 349125 14 2123 3:01:55.114 19 14 349050 7 6 349075 349100 9 12 349125 14 2124 3:01:55.114 19 14 349050 7 6 349075 349100 8 11 349125 14 2125 3:01:55.115 19 14 349050 7 6 349075 349100 7 10 349125 14 2126 3:01:55.115 19 14 349050 7 6 349075 349100 6 9 349125 14 2127 3:01:55.115 19 14 349050 7 6 349075 349100 5 8 349125 14 2128 3:01:55.115 19 14 349050 8 7 349075 349100 5 8 349125 14 2129 3:01:55.115 19 14 349050 9 8 349075 349100 5 8 349125 14 2130 3:01:55.115 19 14 349050 9 8 349075 349100 4 7 349125 14 2131 3:01:55.115 19 14 349050 9 8 349075 349100 3 6 349125 14 2132 3:01:55.116 20 15 349050 10 9 349075 349100 3 6 349125 14 2133 3:01:55.116 20 15 349050 10 9 349075 349100 2 3 349125 14 2134 3:01:55.122 10 9 349075 2 1 349100 349125 14 21 349150 17 3135 3:01:55.122 20 15 349050 10 9 349075 349125 14 21 349150 17 3136 3:01:55.122 10 9 349075 1 1 349100 349125 14 21 349150 17 3137 3:01:55.122 11 10 349075 1 1 349100 349125 13 18 349150 17 3138 3:01:55.122 20 15 349050 11 10 349075 349100 1 2 349125 13 1839 3:01:55.123 20 15 349050 11 10 349075 349100 1 2 349125 13 1840 3:01:55.123 25 16 349050 10 9 349075 349125 13 18 349150 16 2641 3:01:55.123 25 16 349050 10 9 349075 349125 13 18 349150 17 3142 3:01:55.123 25 16 349050 11 10 349075 349125 13 18 349150 17 3143 3:01:55.123 20 15 349050 11 10 349075 349125 13 18 349150 17 3144 3:01:55.123 25 16 349050 12 11 349075 349125 13 18 349150 17 3145 3:01:55.123 25 16 349050 12 11 349075 349125 13 18 349150 17 3146 3:01:55.123 25 16 349050 12 11 349075 349125 13 18 349150 16 2647 3:01:55.124 20 15 349050 12 11 349075 349125 13 18 349150 16 26

48 3:01:55.124 20 15 349050 12 11 349075 349125 13 18 349150 16 2649 3:01:55.125 20 15 349050 12 11 349075 349100 1 1 349125 13 1850 3:01:55.125 20 15 349050 12 11 349075 349100 2 2 349125 13 1851 3:01:55.125 20 15 349050 12 11 349075 349100 2 2 349125 13 18

Bid Side Market Depth Ask Side Market Depth

EXHIBIT B Page 1 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 2 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

52 3:01:55.125 20 15 349050 12 11 349075 349100 3 4 349125 13 1853 3:01:55.126 20 15 349050 12 11 349075 349125 13 18 349150 17 3154 3:01:55.126 20 15 349050 11 10 349075 349125 13 18 349150 17 3155 3:01:55.126 20 15 349050 12 11 349075 349125 13 18 349150 17 3156 3:01:55.127 20 15 349050 12 11 349075 349125 13 18 349150 16 2657 3:01:55.127 20 15 349050 12 11 349075 349100 1 2 349125 13 1858 3:01:55.127 20 15 349050 12 11 349075 349125 13 18 349150 16 2659 3:01:55.127 20 15 349050 11 10 349075 349125 13 18 349150 16 2660 3:01:55.128 20 15 349050 12 11 349075 349125 13 18 349150 16 2661 3:01:55.140 20 15 349050 12 11 349075 349125 14 19 349150 16 2662 3:01:55.140 20 15 349050 12 11 349075 349100 1 1 349125 14 1963 3:01:55.140 20 15 349050 12 11 349075 349100 2 3 349125 14 1964 3:01:55.141 20 15 349050 11 10 349075 349100 2 3 349125 14 1965 3:01:55.145 20 15 349050 11 10 349075 349100 1 2 349125 14 1966 3:01:55.145 20 15 349050 11 10 349075 349125 14 19 349150 16 2667 3:01:55.146 20 15 349050 12 11 349075 349125 14 19 349150 16 2668 3:01:55.197 20 15 349050 12 11 349075 349100 1 2 349125 14 1969 3:01:55.197 20 15 349050 12 11 349075 349100 1 2 349125 15 2270 3:01:55.197 20 15 349050 12 11 349075 349100 1 2 349125 15 2271 3:01:55.197 20 15 349050 11 10 349075 349100 1 2 349125 15 2272 3:01:55 227 20 15 349050 11 10 349075 349100 1 2 349125 15 2273 3:01:55 229 20 15 349050 11 10 349075 349125 15 22 349150 17 3174 3:01:55 230 20 15 349050 11 10 349075 349125 14 19 349150 17 3175 3:01:55 230 20 15 349050 12 11 349075 349125 14 19 349150 17 3176 3:01:55 230 20 15 349050 12 11 349075 349125 14 19 349150 16 2677 3:01:55 230 20 15 349050 11 10 349075 349125 14 19 349150 16 2678 3:01:55 235 20 15 349050 11 10 349075 349100 1 1 349125 14 1979 3:01:55 235 20 15 349050 11 10 349075 349125 14 19 349150 16 2680 3:01:55 235 20 15 349050 11 10 349075 349125 14 19 349150 17 3181 3:01:55 235 20 15 349050 11 10 349075 349125 14 19 349150 16 2682 3:01:55 241 20 15 349050 11 10 349075 349100 1 1 349125 14 1983 3:01:55 241 20 15 349050 11 10 349075 349125 14 19 349150 16 2684 3:01:55 241 20 15 349050 11 10 349075 349125 14 19 349150 17 3185 3:01:55 241 20 15 349050 11 10 349075 349125 14 19 349150 16 2686 3:01:55 314 23 16 349050 11 10 349075 349125 14 19 349150 16 2687 3:01:55 330 23 16 349050 12 11 349075 349125 14 19 349150 16 2688 3:01:55 504 23 16 349050 15 12 349075 349125 14 19 349150 16 2689 3:01:55.615 23 16 349050 15 12 349075 349125 13 18 349150 16 2690 3:01:55 811 23 16 349050 15 12 349075 349100 1 1 349125 13 1891 3:01:55 811 23 16 349050 15 12 349075 349100 1 1 349125 14 2192 3:01:55 811 15 12 349075 1 1 349100 349125 14 21 349150 16 2693 3:01:55 811 15 12 349075 1 1 349100 349125 14 21 349150 17 3194 3:01:55 812 15 12 349075 1 1 349100 349125 13 18 349150 17 3195 3:01:55 812 23 16 349050 15 12 349075 349125 13 18 349150 17 3196 3:01:55 812 28 17 349050 15 12 349075 349125 13 18 349150 17 3197 3:01:55 812 15 12 349075 2 1 349100 349125 13 18 349150 16 2698 3:01:55 812 15 12 349075 2 1 349100 349125 13 18 349150 16 2699 3:01:55 812 23 16 349050 15 12 349075 349125 13 18 349150 16 26

100 3:01:55 812 28 17 349050 15 12 349075 349125 13 18 349150 16 26101 3:01:55 813 28 17 349050 16 13 349075 349125 13 18 349150 16 26102 3:01:55 813 23 16 349050 16 13 349075 349125 13 18 349150 16 26

EXHIBIT B Page 2 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 3 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

103 3:01:55 813 28 17 349050 16 13 349075 349125 13 18 349150 16 26104 3:01:55 813 23 16 349050 16 13 349075 349125 13 18 349150 16 26105 3:01:55 813 16 13 349075 2 1 349100 349125 13 18 349150 16 26106 3:01:55 814 23 16 349050 16 13 349075 349125 13 18 349150 16 26107 3:01:55 814 28 17 349050 16 13 349075 349125 13 18 349150 16 26108 3:01:55 814 39 18 349050 16 13 349075 349125 13 18 349150 16 26109 3:01:55 814 16 13 349075 2 1 349100 349125 13 18 349150 16 26110 3:01:55 815 16 13 349075 2 1 349100 349125 13 18 349150 16 26111 3:01:55 815 16 13 349075 2 1 349100 349125 13 18 349150 16 26112 3:01:55 818 28 17 349050 16 13 349075 349125 13 18 349150 16 26113 3:01:55 819 23 16 349050 16 13 349075 349125 13 18 349150 16 26114 3:01:56 312 23 16 349050 16 13 349075 349125 13 18 349150 15 25115 3:01:56 313 22 15 349050 15 12 349075 349125 13 18 349150 15 25116 3:01:57.671 15 12 349075 1 1 349100 349125 13 18 349150 15 25117 3:01:57.672 15 12 349075 1 1 349100 349125 13 18 349150 15 25118 3:01:57.672 16 13 349075 1 1 349100 349125 13 18 349150 15 25119 3:01:57.672 16 13 349075 1 1 349100 349125 13 18 349150 16 26120 3:01:57.733 16 13 349075 1 1 349100 349125 13 18 349150 16 26121 3:01:57 830 16 13 349075 3 2 349100 349125 13 18 349150 16 26122 3:01:57 836 16 13 349075 1 1 349100 349125 13 18 349150 16 26123 3:01:57 845 30 17 349050 16 13 349075 349125 13 18 349150 16 26124 3:01:57 846 25 16 349050 16 13 349075 349125 13 18 349150 16 26125 3:01:58 332 25 16 349050 15 12 349075 349125 13 18 349150 16 26126 3:01:58 332 25 16 349050 15 12 349075 349125 13 18 349150 15 25127 3:01:58.677 25 16 349050 14 11 349075 349125 13 18 349150 15 25128 3:01:58.677 25 16 349050 14 11 349075 349100 1 2 349125 13 18129 3:01:58.678 25 16 349050 14 11 349075 349100 1 2 349125 14 21130 3:01:58.678 25 16 349050 14 11 349075 349100 1 2 349125 14 21131 3:01:58.696 25 16 349050 14 11 349075 349100 2 3 349125 14 21132 3:01:58.697 25 16 349050 14 11 349075 349100 3 6 349125 14 21133 3:01:58.724 25 16 349050 14 11 349075 349100 2 4 349125 14 21134 3:01:59.199 25 16 349050 14 11 349075 349100 2 4 349125 14 21135 3:01:59.460 25 16 349050 14 11 349075 349100 4 6 349125 14 21136 3:01:59.461 26 17 349050 14 11 349075 349100 4 6 349125 14 21137 3:01:59.461 26 17 349050 13 10 349075 349100 4 6 349125 14 21138 3:01:59.604 26 17 349050 13 10 349075 349100 3 5 349125 14 21139 3:01:59.605 26 17 349050 14 11 349075 349100 3 5 349125 14 21140 3:01:59.605 26 17 349050 14 11 349075 349100 4 6 349125 14 21141 3:01:59.605 26 17 349050 14 11 349075 349100 3 5 349125 14 21142 3:01:59.607 26 17 349050 14 11 349075 349100 2 4 349125 14 21143 3:01:59.781 26 17 349050 14 11 349075 349100 1 1 349125 14 21144 3:01:59.781 26 17 349050 14 11 349075 349100 1 1 349125 14 21145 3:01:59.782 26 17 349050 14 11 349075 349100 1 1 349125 14 21146 3:01:59.782 26 17 349050 14 11 349075 349100 2 4 349125 14 21147 3:02:00.453 25 17 349050 14 11 349075 349100 2 4 349125 14 21148 3:02:00 537 26 17 349050 14 11 349075 349100 2 4 349125 14 21149 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 14 21150 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 14 21151 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 14 21152 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 14 21153 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 15 25

EXHIBIT B Page 3 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 4 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

154 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 15 25155 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 15 25156 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 15 25157 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 15 25158 3:02:00 584 30 18 349050 14 11 349075 349100 2 4 349125 15 25159 3:02:00 585 30 18 349050 14 11 349075 349100 2 4 349125 15 25160 3:02:00 585 30 18 349050 14 11 349075 349100 2 4 349125 15 25161 3:02:00 585 30 18 349050 14 11 349075 349100 2 4 349125 15 25162 3:02:00 588 30 18 349050 14 11 349075 349100 3 5 349125 15 25163 3:02:00 588 30 18 349050 13 10 349075 349100 3 5 349125 15 25164 3:02:00 588 30 18 349050 13 10 349075 349100 4 6 349125 15 25165 3:02:00 588 30 18 349050 13 10 349075 349100 5 7 349125 15 25166 3:02:00 588 30 18 349050 12 9 349075 349100 5 7 349125 15 25167 3:02:00 588 30 18 349050 11 8 349075 349100 5 7 349125 15 25168 3:02:00 589 30 18 349050 11 8 349075 349100 6 8 349125 15 25169 3:02:00 589 30 18 349050 10 7 349075 349100 6 8 349125 15 25170 3:02:00 590 30 18 349050 10 7 349075 349100 7 9 349125 15 25171 3:02:00 591 30 18 349050 10 7 349075 349100 8 10 349125 15 25172 3:02:00.635 30 18 349050 11 8 349075 349100 8 10 349125 15 25173 3:02:00.635 30 18 349050 11 8 349075 349100 7 9 349125 15 25174 3:02:00.691 30 18 349050 11 8 349075 349100 6 8 349125 15 25175 3:02:00.692 30 18 349050 12 9 349075 349100 6 8 349125 15 25176 3:02:00.692 30 18 349050 12 9 349075 349100 6 8 349125 15 25177 3:02:00 881 30 18 349050 12 9 349075 349100 7 9 349125 15 25178 3:02:00 909 YB01 Order S 6 6 0 349125 Spoof

179 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 16 31180 3:02:00 909 YB01 Order S 6 6 0 349125 Spoof

181 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 17 37182 3:02:00 909 YB01 Order S 5 5 0 349125 Spoof

183 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 18 42184 3:02:00 909 YB01 Order S 6 6 0 349125 Spoof

185 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 19 48186 3:02:00 909 YB01 Order S 4 4 0 349125 Spoof

187 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 20 52188 3:02:00 909 YB01 Order S 5 5 0 349125 Spoof

189 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 21 57190 3:02:00 909 YB01 Order S 3 3 0 349125 Spoof

191 3:02:00 909 YB01 Order S 5 5 0 349125 Spoof

192 3:02:00 909 30 18 349050 12 9 349075 349100 7 9 349125 23 65193 3:02:00 909 30 18 349050 11 8 349075 349100 7 9 349125 23 65194 3:02:00 909 30 18 349050 10 7 349075 349100 7 9 349125 23 65195 3:02:00 909 30 18 349050 10 7 349075 349100 8 10 349125 23 65196 3:02:00 910 30 18 349050 10 7 349075 349100 9 11 349125 23 65197 3:02:00 910 30 18 349050 10 7 349075 349100 10 12 349125 23 65198 3:02:00 910 30 18 349050 10 7 349075 349100 10 12 349125 23 65199 3:02:00 910 30 18 349050 10 7 349075 349100 11 13 349125 23 65200 3:02:00 910 30 18 349050 10 7 349075 349100 11 13 349125 24 66201 3:02:01 012 30 18 349050 10 7 349075 349100 11 13 349125 24 66202 3:02:01 089 29 17 349050 10 7 349075 349100 11 13 349125 24 66203 3:02:01 327 YB01 Order S 6 6 0 349125 Spoof

204 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 25 72

EXHIBIT B Page 4 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 5 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

205 3:02:01 327 YB01 Order S 4 4 0 349125 Spoof

206 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 27 76207 3:02:01 327 YB01 Order S 5 5 0 349125 Spoof

208 3:02:01 327 YB01 Order S 2 2 0 349125 Spoof

209 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 29 83210 3:02:01 327 YB01 Order S 1 1 0 349125 Spoof

211 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 30 84212 3:02:01 327 YB01 Order S 4 4 0 349125 Spoof

213 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 31 88214 3:02:01 327 YB01 Order S 8 8 0 349125 Spoof

215 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 32 96216 3:02:01 327 YB01 Order S 3 3 0 349125 Spoof

217 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 33 99218 3:02:01 327 YB01 Order S 3 3 0 349125 Spoof

219 3:02:01 327 YB01 Order S 1 1 0 349125 Spoof

220 3:02:01 327 YB01 Order S 3 3 0 349125 Spoof

221 3:02:01 327 29 17 349050 10 7 349075 349100 11 13 349125 35 106222 3:02:01.327 29 17 349050 9 6 349075 349100 11 13 349125 35 106223 3:02:02.141 29 17 349050 9 6 349075 349100 11 13 349125 35 106224 3:02:02.279 29 17 349050 5 3 349075 349100 11 13 349125 35 106225 3:02:02.279 YB01 Trade B 1 39 0 349075 Genuine

226 3:02:02.279 29 17 349050 1 1 349075 349100 11 13 349125 35 106

227 3:02:02.279 YB01 Trade B 1 38 0 349075 Genuine

228 3:02:02.279 29 17 349050 1 1 349075 349100 12 14 349125 35 106

229 3:02:02 284 34 18 349025 29 17 349050 349100 12 14 349125 35 106230 3:02:02.280 YB01 Trade B 1 37 0 349075 Genuine

231 3:02:02.280 YB01 Trade B 1 36 0 349075 Genuine232 3:02:02.280 YB01 Trade B 1 35 0 349075 Genuine233 3:02:02.280 YB01 Trade B 1 34 0 349075 Genuine234 3:02:02.280 YB01 Trade B 1 33 0 349075 Genuine235 3:02:02.280 YB01 Trade B 1 32 0 349075 Genuine236 3:02:02.280 YB01 Trade B 1 31 0 349075 Genuine237 3:02:02.281 YB01 Trade B 1 30 0 349075 Genuine238 3:02:02.281 YB01 Trade B 1 29 0 349075 Genuine239 3:02:02.281 YB01 Trade B 1 28 0 349075 Genuine240 3:02:02.281 YB01 Trade B 1 27 0 349075 Genuine241 3:02:02.281 YB01 Trade B 1 26 0 349075 Genuine242 3:02:02.281 YB01 Trade B 1 25 0 349075 Genuine243 3:02:02.281 YB01 Trade B 1 24 0 349075 Genuine244 3:02:02.281 YB01 Trade B 1 23 0 349075 Genuine245 3:02:02.281 YB01 Trade B 1 22 0 349075 Genuine246 3:02:02.282 YB01 Trade B 1 21 0 349075 Genuine247 3:02:02.282 YB01 Trade B 1 20 0 349075 Genuine248 3:02:02.282 YB01 Trade B 1 19 0 349075 Genuine249 3:02:02.282 YB01 Trade B 1 18 0 349075 Genuine250 3:02:02.282 YB01 Trade B 1 17 0 349075 Genuine251 3:02:02.282 YB01 Trade B 1 16 0 349075 Genuine252 3:02:02.282 YB01 Trade B 1 15 0 349075 Genuine253 3:02:02.282 YB01 Trade B 1 14 0 349075 Genuine254 3:02:02.282 YB01 Trade B 1 13 0 349075 Genuine255 3:02:02.282 YB01 Trade B 1 12 0 349075 Genuine

EXHIBIT B Page 5 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 6 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

256 3:02:02 282 YB01 Trade B 1 11 0 349075 Genuine

257 3:02:02 283 YB01 Trade B 1 10 0 349075 Genuine258 3:02:02 283 YB01 Trade B 1 9 0 349075 Genuine259 3:02:02 283 YB01 Trade B 1 8 0 349075 Genuine260 3:02:02 283 YB01 Trade B 1 7 0 349075 Genuine261 3:02:02 283 YB01 Trade B 1 6 0 349075 Genuine262 3:02:02 283 YB01 Trade B 1 5 0 349075 Genuine263 3:02:02 283 YB01 Trade B 1 4 0 349075 Genuine264 3:02:02 283 YB01 Trade B 1 3 0 349075 Genuine265 3:02:02 283 YB01 Trade B 1 2 0 349075 Genuine266 3:02:02 283 YB01 Trade B 1 1 0 349075 Genuine267 3:02:02 283 YB01 Trade B 1 0 0 349075 Genuine268 3:02:02 284 29 17 349050 2 1 349075 349100 12 14 349125 35 106

269 3:02:02 284 28 16 349050 4 2 349075 349100 12 14 349125 35 106270 3:02:02 284 28 16 349050 5 3 349075 349100 12 14 349125 35 106271 3:02:02 284 28 16 349050 1 1 349075 349100 12 14 349125 35 106272 3:02:02 284 34 18 349025 28 16 349050 349100 12 14 349125 35 106273 3:02:02 284 34 18 349025 27 15 349050 349100 12 14 349125 35 106274 3:02:02 284 29 17 349025 27 15 349050 349100 12 14 349125 35 106275 3:02:02 284 28 16 349025 27 15 349050 349100 12 14 349125 35 106276 3:02:02 284 28 16 349025 24 14 349050 349100 12 14 349125 35 106277 3:02:02 284 28 16 349025 24 14 349050 349100 12 14 349125 35 106278 3:02:02 284 24 14 349050 2 1 349075 349100 12 14 349125 35 106279 3:02:02 284 24 14 349050 3 2 349075 349100 12 14 349125 35 106280 3:02:02 285 24 14 349050 3 2 349075 349100 13 18 349125 35 106281 3:02:02 285 21 13 349050 3 2 349075 349100 13 18 349125 35 106282 3:02:02 285 28 16 349025 21 13 349050 349075 1 3 349100 13 18283 3:02:02 286 28 16 349025 20 12 349050 349100 13 18 349125 35 106284 3:02:02 286 28 16 349025 20 12 349050 349075 1 3 349100 13 18285 3:02:02 286 28 16 349025 20 12 349050 349075 1 3 349100 13 18286 3:02:02 286 28 16 349025 20 12 349050 349075 1 3 349100 14 21287 3:02:02 286 28 16 349025 20 12 349050 349075 1 3 349100 14 21288 3:02:02 286 28 16 349025 20 12 349050 349100 14 21 349125 36 111289 3:02:02 286 28 16 349025 20 12 349050 349100 13 18 349125 36 111290 3:02:02 286 28 16 349025 20 12 349050 349100 14 19 349125 36 111291 3:02:02 286 28 16 349025 20 12 349050 349100 14 19 349125 37 116292 3:02:02 286 28 16 349025 20 12 349050 349100 14 19 349125 36 111293 3:02:02 287 28 16 349025 20 12 349050 349100 14 19 349125 35 106294 3:02:02 288 28 16 349025 19 11 349050 349100 14 19 349125 35 106295 3:02:02 383 28 16 349025 19 11 349050 349100 14 19 349125 35 106296 3:02:02 384 28 16 349025 20 12 349050 349100 14 19 349125 35 106297 3:02:02.735 YB01 Cancel S 6 0 0 349125 Spoof298 3:02:02.735 YB01 Cancel S 5 0 0 349125 Spoof299 3:02:02.735 28 16 349025 20 12 349050 349100 14 19 349125 33 95300 3:02:02.735 YB01 Cancel S 2 0 0 349125 Spoof301 3:02:02.735 28 16 349025 20 12 349050 349100 14 19 349125 32 93302 3:02:02.735 YB01 Cancel S 5 0 0 349125 Spoof303 3:02:02.735 YB01 Cancel S 1 0 0 349125 Spoof304 3:02:02.735 YB01 Cancel S 1 0 0 349125 Spoof305 3:02:02.735 28 16 349025 20 12 349050 349100 14 19 349125 29 86306 3:02:02.735 YB01 Cancel S 5 0 0 349125 Spoof

EXHIBIT B Page 6 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 7 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

307 3:02:02.735 28 16 349025 20 12 349050 349100 14 19 349125 28 81308 3:02:02.735 YB01 Cancel S 5 0 0 349125 Spoof

309 3:02:02.735 28 16 349025 20 12 349050 349100 14 19 349125 27 76

310 3:02:02.735 YB01 Cancel S 4 0 0 349125 Spoof

311 3:02:02.735 28 16 349025 20 12 349050 349100 14 19 349125 26 72

312 3:02:02.735 YB01 Cancel S 3 0 0 349125 Spoof

313 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 25 69

314 3:02:02.736 YB01 Cancel S 3 0 0 349125 Spoof

315 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 24 66

316 3:02:02.736 YB01 Cancel S 6 0 0 349125 Spoof

317 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 23 60

318 3:02:02.736 YB01 Cancel S 3 0 0 349125 Spoof

319 3:02:02.736 YB01 Cancel S 8 0 0 349125 Spoof

320 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 21 49321 3:02:02.736 YB01 Cancel S 4 0 0 349125 Spoof

322 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 20 45

323 3:02:02.736 YB01 Cancel S 6 0 0 349125 Spoof

324 3:02:02.736 YB01 Cancel S 3 0 0 349125 Spoof

325 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 18 36326 3:02:02.736 YB01 Cancel S 4 0 0 349125 Spoof

327 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 17 32

328 3:02:02.736 YB01 Cancel S 6 0 0 349125 Spoof

329 3:02:02.736 28 16 349025 20 12 349050 349100 14 19 349125 16 26

330 3:02:02.736 28 16 349025 21 13 349050 349100 14 19 349125 16 26331 3:02:02.736 28 16 349025 22 14 349050 349100 14 19 349125 16 26332 3:02:02.736 29 17 349025 22 14 349050 349100 14 19 349125 16 26333 3:02:02.737 22 14 349050 2 1 349075 349100 14 19 349125 16 26334 3:02:02.737 22 14 349050 5 2 349075 349100 14 19 349125 16 26335 3:02:02.737 22 14 349050 5 2 349075 349100 14 19 349125 16 26336 3:02:02.738 22 14 349050 6 3 349075 349100 14 19 349125 16 26337 3:02:02.760 22 14 349050 6 3 349075 349100 13 18 349125 16 26338 3:02:02.760 22 14 349050 7 4 349075 349100 13 18 349125 16 26339 3:02:02.761 22 14 349050 9 5 349075 349100 13 18 349125 16 26340 3:02:02.761 22 14 349050 9 5 349075 349100 12 17 349125 16 26341 3:02:02.761 25 15 349050 9 5 349075 349100 12 17 349125 16 26342 3:02:02.761 25 15 349050 9 5 349075 349100 11 16 349125 16 26343 3:02:02.782 25 15 349050 9 5 349075 349100 10 12 349125 16 26344 3:02:02.787 25 15 349050 9 5 349075 349100 9 11 349125 16 26345 3:02:02.787 25 15 349050 9 5 349075 349100 9 11 349125 15 25346 3:02:02.787 25 15 349050 10 6 349075 349100 8 8 349125 15 25347 3:02:02.787 25 15 349050 11 7 349075 349100 8 8 349125 15 25348 3:02:02.788 25 15 349050 12 8 349075 349100 8 8 349125 15 25349 3:02:02.788 25 15 349050 13 9 349075 349100 8 8 349125 15 25350 3:02:02.788 25 15 349050 13 9 349075 349100 7 7 349125 15 25351 3:02:02.788 25 15 349050 13 9 349075 349100 6 6 349125 15 25352 3:02:02.788 25 15 349050 13 9 349075 349100 5 5 349125 15 25353 3:02:02.789 25 15 349050 14 10 349075 349100 5 5 349125 15 25354 3:02:02.829 25 15 349050 15 11 349075 349100 5 5 349125 15 25355 3:02:02.991 25 15 349050 15 11 349075 349100 6 6 349125 15 25356 3:02:02.992 25 15 349050 14 10 349075 349100 6 6 349125 15 25357 3:02:02.992 25 15 349050 13 9 349075 349100 6 6 349125 15 25

EXHIBIT B Page 7 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 8 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

358 3:02:02 992 25 15 349050 12 8 349075 349100 6 6 349125 15 25359 3:02:03.172 25 15 349050 10 7 349075 349100 6 6 349125 15 25360 3:02:03.172 25 15 349050 9 6 349075 349100 6 6 349125 15 25361 3:02:03.173 25 15 349050 9 6 349075 349100 7 7 349125 15 25362 3:02:03 389 25 15 349050 8 5 349075 349100 7 7 349125 15 25363 3:02:04.133 25 15 349050 12 6 349075 349100 7 7 349125 15 25364 3:02:04 384 25 15 349050 13 7 349075 349100 7 7 349125 15 25365 3:02:04 384 26 16 349050 13 7 349075 349100 7 7 349125 15 25366 3:02:04.670 YB01 Order S 40 40 1 349100 Genuine

367 3:02:04.670 26 16 349050 13 7 349075 349100 8 8 349125 15 25

368 3:02:04.679 26 16 349050 13 7 349075 349100 8 8 349125 15 25369 3:02:04.680 26 16 349050 13 7 349075 349100 8 8 349125 15 25370 3:02:04 859 26 16 349050 14 8 349075 349100 8 8 349125 15 25371 3:02:04 860 26 16 349050 14 8 349075 349100 7 7 349125 15 25372 3:02:06 011 26 16 349050 13 7 349075 349100 7 7 349125 15 25373 3:02:06 011 26 16 349050 12 6 349075 349100 8 8 349125 15 25374 3:02:06 011 26 16 349050 12 6 349075 349100 9 9 349125 15 25375 3:02:06 011 26 16 349050 12 6 349075 349100 9 9 349125 15 25376 3:02:06 512 25 15 349050 12 6 349075 349100 9 9 349125 15 25377 3:02:06 862 25 15 349050 12 6 349075 349100 8 8 349125 15 25378 3:02:06 862 25 15 349050 13 7 349075 349100 8 8 349125 15 25379 3:02:06 862 25 15 349050 13 7 349075 349100 7 7 349125 15 25380 3:02:06 864 25 15 349050 14 8 349075 349100 7 7 349125 15 25381 3:02:06 864 26 16 349050 14 8 349075 349100 7 7 349125 15 25382 3:02:08 345 26 16 349050 18 9 349075 349100 7 7 349125 15 25383 3:02:08.449 26 16 349050 18 9 349075 349100 8 8 349125 15 25384 3:02:10 082 26 16 349050 18 9 349075 349100 7 7 349125 15 25385 3:02:10 085 26 16 349050 18 9 349075 349100 7 7 349125 15 25386 3:02:10 350 26 16 349050 18 9 349075 349100 7 7 349125 15 25387 3:02:11.103 YB01 Order B 1 1 0 349075 Spoof

388 3:02:11.103 YB01 Order B 3 3 0 349075 Spoof

389 3:02:11.103 26 16 349050 22 11 349075 349100 7 7 349125 15 25390 3:02:11.103 YB01 Order B 2 2 0 349075 Spoof

391 3:02:11.103 YB01 Order B 6 6 0 349075 Spoof

392 3:02:11.103 26 16 349050 30 13 349075 349100 7 7 349125 15 25393 3:02:11.103 YB01 Order B 4 4 0 349075 Spoof

394 3 02:11.103 26 16 349050 34 14 349075 349100 7 7 349125 15 25

395 3 02:11.103 YB01 Order B 1 1 0 349075 Spoof

396 3 02:11.103 YB01 Order B 1 1 0 349075 Spoof

397 3 02:11.103 26 16 349050 36 16 349075 349100 7 7 349125 15 25398 3 02:11.103 YB01 Order B 1 1 0 349075 Spoof

399 3 02:11.103 YB01 Order B 2 2 0 349075 Spoof

400 3 02:11.103 26 16 349050 39 18 349075 349100 7 7 349125 15 25401 3 02:11.103 YB01 Order B 5 5 0 349075 Spoof

402 3 02:11.103 26 16 349050 44 19 349075 349100 7 7 349125 15 25

403 3 02:11.103 YB01 Order B 5 5 0 349075 Spoof

404 3 02:11.103 YB01 Order B 2 2 0 349075 Spoof

405 3 02:11.103 YB01 Order B 1 1 0 349075 Spoof

406 3 02:11.103 26 16 349050 52 21 349075 349100 7 7 349125 15 25

407 3 02:11.103 YB01 Order B 6 6 0 349075 Spoof

408 3 02:11.104 26 16 349050 58 23 349075 349100 7 7 349125 15 25

EXHIBIT B Page 8 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 9 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

409 3:02:11.104 26 16 349050 59 24 349075 349100 7 7 349125 15 25410 3:02:11.104 26 16 349050 59 24 349075 349100 6 6 349125 15 25411 3:02:11.104 26 16 349050 59 24 349075 349100 5 5 349125 15 25412 3:02:11.104 YB01 Trade S 1 39 0 349100 Genuine413 3:02:11.104 YB01 Trade S 1 38 0 349100 Genuine414 3:02:11.104 YB01 Trade S 1 37 0 349100 Genuine415 3:02:11.104 YB01 Trade S 1 36 0 349100 Genuine416 3:02:11.104 YB01 Trade S 1 35 0 349100 Genuine417 3:02:11.104 YB01 Trade S 1 34 0 349100 Genuine418 3:02:11.104 YB01 Trade S 1 33 0 349100 Genuine419 3:02:11.104 YB01 Trade S 1 32 0 349100 Genuine420 3:02:11.104 YB01 Trade S 1 31 0 349100 Genuine421 3:02:11.104 YB01 Trade S 1 30 0 349100 Genuine422 3:02:11.104 YB01 Trade S 1 29 0 349100 Genuine423 3:02:11.104 YB01 Trade S 1 28 0 349100 Genuine424 3:02:11.105 26 16 349050 59 24 349075 349100 1 1 349125 15 25425 3:02:11.106 26 16 349050 59 24 349075 349100 1 1 349125 15 25426 3:02:11.106 26 16 349050 60 25 349075 349100 1 1 349125 15 25427 3:02:11.109 26 16 349050 61 26 349075 349100 1 1 349125 14 24428 3:02:11.109 26 16 349050 61 26 349075 349100 1 1 349125 13 23429 3:02:11.109 YB01 Trade S 1 27 0 349100 Genuine430 3:02:11.109 YB01 Trade S 1 26 0 349100 Genuine431 3:02:11.109 YB01 Trade S 1 25 0 349100 Genuine432 3:02:11.109 YB01 Trade S 1 24 0 349100 Genuine433 3:02:11.109 YB01 Trade S 1 23 0 349100 Genuine434 3:02:11.109 YB01 Trade S 1 22 0 349100 Genuine435 3:02:11.109 YB01 Trade S 1 21 0 349100 Genuine436 3:02:11.109 YB01 Trade S 1 20 0 349100 Genuine437 3:02:11.109 YB01 Trade S 1 19 0 349100 Genuine438 3:02:11.109 YB01 Trade S 1 18 0 349100 Genuine439 3:02:11.109 YB01 Trade S 1 17 0 349100 Genuine440 3:02:11.109 YB01 Trade S 1 16 0 349100 Genuine441 3:02:11.109 YB01 Trade S 1 15 0 349100 Genuine442 3:02:11.109 YB01 Trade S 1 14 0 349100 Genuine443 3:02:11.109 YB01 Trade S 1 13 0 349100 Genuine444 3:02:11.109 YB01 Trade S 1 12 0 349100 Genuine445 3:02:11.109 YB01 Trade S 1 11 0 349100 Genuine446 3:02:11.109 YB01 Trade S 1 10 0 349100 Genuine447 3:02:11.109 YB01 Trade S 1 9 0 349100 Genuine448 3:02:11.109 YB01 Trade S 1 8 0 349100 Genuine449 3:02:11.109 YB01 Trade S 1 7 0 349100 Genuine450 3:02:11.109 YB01 Trade S 1 6 0 349100 Genuine451 3:02:11.109 YB01 Trade S 1 5 0 349100 Genuine452 3:02:11.109 YB01 Trade S 1 4 0 349100 Genuine453 3:02:11.109 YB01 Trade S 1 3 0 349100 Genuine454 3:02:11.109 YB01 Trade S 1 2 0 349100 Genuine455 3:02:11.109 YB01 Trade S 1 1 0 349100 Genuine456 3:02:11.109 YB01 Trade S 1 0 0 349100 Genuine457 3:02:11.109 61 26 349075 3 1 349100 349125 13 23 349150 19 37458 3:02:11.109 65 27 349075 3 1 349100 349125 13 23 349150 19 37459 3:02:11.109 65 27 349075 2 2 349100 349125 13 23 349150 19 37

EXHIBIT B Page 9 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 10 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

460 3:02:11.109 65 27 349075 2 2 349100 349125 13 23 349150 18 36461 3:02:11.109 65 27 349075 4 4 349100 349125 13 23 349150 18 36462 3:02:11.110 26 16 349050 64 26 349075 349100 1 1 349125 13 23463 3:02:11.110 26 16 349050 64 26 349075 349100 1 1 349125 12 20464 3:02:11.110 31 17 349050 64 26 349075 349100 1 1 349125 12 20465 3:02:11.110 31 17 349050 64 26 349075 349100 2 3 349125 12 20466 3:02:11.110 31 17 349050 65 27 349075 349100 2 3 349125 12 20467 3:02:11.110 31 17 349050 65 27 349075 349100 2 3 349125 12 20468 3:02:11.110 31 17 349050 66 28 349075 349100 1 2 349125 12 20469 3:02:11.110 31 17 349050 67 29 349075 349100 1 2 349125 13 21470 3:02:11.110 31 17 349050 67 29 349075 349100 1 2 349125 12 20471 3:02:11.111 67 29 349075 1 1 349100 349125 12 20 349150 16 29472 3:02:11.111 67 29 349075 1 1 349100 349125 12 20 349150 16 29473 3:02:11.111 67 29 349075 4 2 349100 349125 12 20 349150 16 29474 3:02:11.111 67 29 349075 4 2 349100 349125 12 20 349150 17 31475 3:02:11.111 67 29 349075 7 3 349100 349125 12 20 349150 17 31476 3:02:11.111 67 29 349075 7 3 349100 349125 12 20 349150 17 31477 3:02:11.111 67 29 349075 7 3 349100 349125 13 21 349150 17 31478 3:02:11.111 67 29 349075 7 3 349100 349125 12 20 349150 17 31479 3:02:11.111 67 29 349075 7 3 349100 349125 12 20 349150 17 31480 3:02:11.112 67 29 349075 7 3 349100 349125 11 19 349150 17 31481 3:02:11.119 67 29 349075 8 4 349100 349125 11 19 349150 17 31482 3:02:11.126 67 29 349075 9 5 349100 349125 11 19 349150 17 31483 3:02:11.190 67 29 349075 9 5 349100 349125 10 18 349150 17 31484 3:02:11.190 67 29 349075 8 4 349100 349125 10 18 349150 17 31485 3:02:11.191 67 29 349075 9 5 349100 349125 10 18 349150 17 31486 3:02:11 200 67 29 349075 9 5 349100 349125 11 19 349150 17 31487 3:02:11 210 67 29 349075 10 6 349100 349125 11 19 349150 17 31488 3:02:11 210 67 29 349075 10 6 349100 349125 11 19 349150 17 31489 3:02:11 210 70 30 349075 10 6 349100 349125 11 19 349150 17 31490 3:02:11 227 70 30 349075 9 5 349100 349125 10 18 349150 17 31491 3:02:11 235 73 31 349075 9 5 349100 349125 10 18 349150 17 31492 3:02:11 274 73 31 349075 10 6 349100 349125 10 18 349150 17 31493 3:02:11 274 73 31 349075 10 6 349100 349125 9 17 349150 17 31494 3:02:11 394 73 31 349075 9 5 349100 349125 9 17 349150 17 31495 3:02:11 395 73 31 349075 9 5 349100 349125 9 17 349150 17 31496 3:02:11.782 73 31 349075 9 5 349100 349125 8 13 349150 17 31497 3:02:11 801 73 31 349075 10 6 349100 349125 8 13 349150 17 31498 3:02:11 802 73 31 349075 11 7 349100 349125 8 13 349150 17 31499 3:02:11 878 YB01 Cancel B 2 0 0 349075 Spoof500 3:02:11 878 71 30 349075 11 7 349100 349125 8 13 349150 17 31501 3:02:11 878 YB01 Cancel B 6 0 0 349075 Spoof502 3:02:11 878 YB01 Cancel B 1 0 0 349075 Spoof503 3:02:11 878 64 28 349075 11 7 349100 349125 8 13 349150 17 31504 3:02:11 878 YB01 Cancel B 2 0 0 349075 Spoof505 3:02:11 879 62 27 349075 11 7 349100 349125 8 13 349150 17 31506 3:02:11 879 YB01 Cancel B 1 0 0 349075 Spoof507 3:02:11 879 61 26 349075 11 7 349100 349125 8 13 349150 17 31508 3:02:11 879 YB01 Cancel B 2 0 0 349075 Spoof509 3:02:11 879 59 25 349075 11 7 349100 349125 8 13 349150 17 31510 3:02:11 879 YB01 Cancel B 5 0 0 349075 Spoof

EXHIBIT B Page 10 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 11 of 12
Date: Dec 2, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

511 3:02:11 879 YB01 Cancel B 5 0 0 349075 Spoof512 3:02:11 879 YB01 Cancel B 4 0 0 349075 Spoof513 3:02:11 879 45 22 349075 11 7 349100 349125 8 13 349150 17 31514 3:02:11 879 YB01 Cancel B 3 0 0 349075 Spoof515 3:02:11 879 YB01 Cancel B 1 0 0 349075 Spoof516 3:02:11 879 41 20 349075 11 7 349100 349125 8 13 349150 17 31517 3:02:11 879 YB01 Cancel B 6 0 0 349075 Spoof518 3:02:11 879 35 19 349075 11 7 349100 349125 8 13 349150 17 31519 3:02:11 879 YB01 Cancel B 1 0 0 349075 Spoof520 3:02:11 879 YB01 Cancel B 1 0 0 349075 Spoof521 3:02:11 879 33 17 349075 11 7 349100 349125 8 13 349150 17 31

EXHIBIT B Page 11 of 11

Case 4:18-cv-00260 Document 1-2 Filed in TXSD on 01/28/18 Page 12 of 12
Exhibit C

TO COMPLAINT FOR INJUNCTIVE 

RELIEF, CIVIL MONETARY PENALTIES, 

AND OTHER RELIEF

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 1 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

1 5:27:41.553 YB01 Order B 40 40 1 350950 Genuine

2 5:27:41.553 11 10 350925 5 4 350950 350975 6 7 351000 7 8

3 5:27:42.022 11 10 350925 5 4 350950 350975 5 6 351000 7 84 5:27:42.022 11 10 350925 5 4 350950 350975 3 4 351000 7 85 5:27:42.023 11 10 350925 5 4 350950 351000 7 8 351025 12 306 5:27:42.023 11 10 350925 6 5 350950 351000 7 8 351025 12 307 5:27:42.023 11 10 350925 6 5 350950 351000 7 8 351025 12 308 5:27:42.024 11 10 350925 7 6 350950 351000 7 8 351025 12 309 5:27:42.024 7 6 350950 2 1 350975 351000 6 7 351025 12 30

10 5:27:42.024 7 6 350950 2 1 350975 351000 5 6 351025 12 3011 5:27:42.024 7 6 350950 2 1 350975 351000 5 6 351025 13 3112 5:27:42.024 7 6 350950 2 1 350975 351000 5 6 351025 13 3113 5:27:42.024 7 6 350950 2 1 350975 351000 4 4 351025 13 3114 5:27:42.024 7 6 350950 2 1 350975 351000 4 4 351025 13 3115 5:27:42.024 8 7 350950 2 1 350975 351000 4 4 351025 13 3116 5:27:42.025 8 7 350950 2 1 350975 351000 3 3 351025 13 3117 5:27:42.025 8 7 350950 4 2 350975 351000 2 2 351025 13 3118 5:27:42.025 8 7 350950 2 2 350975 351000 2 2 351025 13 3119 5:27:42.025 8 7 350950 2 2 350975 351000 2 2 351025 13 3120 5:27:42.025 13 11 350925 8 7 350950 351000 2 2 351025 13 3121 5:27:42.025 13 11 350925 8 7 350950 351000 3 3 351025 13 3122 5:27:42.025 13 11 350925 8 7 350950 351000 2 2 351025 13 3123 5:27:42.025 13 11 350925 9 8 350950 351000 2 2 351025 13 3124 5:27:42.025 9 8 350950 2 1 350975 351000 3 4 351025 12 3025 5:27:42.025 9 8 350950 2 1 350975 351000 4 6 351025 12 3026 5:27:42.026 9 8 350950 2 1 350975 351000 5 8 351025 12 3027 5:27:42.026 12 10 350925 9 8 350950 351000 5 8 351025 12 3028 5:27:42.026 12 10 350925 8 7 350950 351000 5 8 351025 12 3029 5:27:42.026 8 7 350950 2 1 350975 351000 5 8 351025 12 3030 5:27:42.026 10 8 350950 2 1 350975 351000 5 8 351025 12 3031 5:27:42.026 10 8 350950 2 1 350975 351000 6 9 351025 12 3032 5:27:42.027 12 10 350925 10 8 350950 351000 6 9 351025 12 3033 5:27:42.027 10 8 350950 1 1 350975 351000 6 9 351025 12 3034 5:27:42.027 8 7 350950 1 1 350975 351000 6 9 351025 12 3035 5:27:42.027 8 7 350950 1 1 350975 351000 7 10 351025 12 3036 5:27:42.027 11 9 350925 8 7 350950 351000 7 10 351025 12 3037 5:27:42.027 11 9 350925 8 7 350950 351000 7 10 351025 12 3038 5:27:42.028 11 9 350925 8 7 350950 350975 1 1 351000 7 1039 5:27:42.028 11 9 350925 7 6 350950 350975 1 1 351000 7 1040 5:27:42.028 11 9 350925 8 7 350950 350975 1 1 351000 7 1041 5:27:42.028 11 9 350925 8 7 350950 350975 2 3 351000 7 1042 5:27:42.028 11 9 350925 8 7 350950 350975 2 3 351000 7 1043 5:27:42.028 11 9 350925 8 7 350950 350975 3 4 351000 7 1044 5:27:42.029 11 9 350925 8 7 350950 350975 3 4 351000 7 1045 5:27:42.029 11 9 350925 7 6 350950 350975 3 4 351000 7 1046 5:27:42.029 11 9 350925 7 6 350950 350975 3 4 351000 7 1047 5:27:42.029 11 9 350925 8 7 350950 350975 3 4 351000 7 10

48 5:27:42.029 11 9 350925 8 7 350950 350975 3 4 351000 7 1049 5:27:42.030 11 9 350925 8 7 350950 350975 3 4 351000 7 1050 5:27:42.030 11 9 350925 9 8 350950 350975 3 4 351000 7 1051 5:27:42.030 11 9 350925 9 8 350950 350975 4 6 351000 7 1052 5:27:42.030 11 9 350925 9 8 350950 350975 4 6 351000 6 9

Bid Side Market Depth Ask Side Market Depth

EXHIBIT

C Page 1 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 2 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

53 5:27:42.030 11 9 350925 11 9 350950 350975 4 6 351000 6 954 5:27:42.031 11 9 350925 11 9 350950 350975 4 6 351000 6 955 5:27:42.031 11 9 350925 9 8 350950 350975 4 6 351000 6 956 5:27:42.031 11 9 350925 9 8 350950 350975 4 6 351000 6 957 5:27:42.032 11 9 350925 9 8 350950 350975 4 6 351000 6 958 5:27:42.033 11 9 350925 9 8 350950 350975 4 6 351000 7 1459 5:27:42.034 11 9 350925 10 9 350950 350975 4 6 351000 7 1460 5:27:42.034 11 9 350925 10 9 350950 350975 4 6 351000 7 1461 5:27:42.034 11 9 350925 10 9 350950 350975 4 6 351000 8 1562 5:27:42.034 11 9 350925 10 9 350950 350975 4 6 351000 8 1563 5:27:42.034 11 9 350925 10 9 350950 350975 4 6 351000 9 1664 5:27:42.034 11 9 350925 10 9 350950 350975 4 6 351000 9 1665 5:27:42.035 11 9 350925 10 9 350950 350975 4 6 351000 8 1566 5:27:42.035 11 9 350925 12 10 350950 350975 4 6 351000 8 1567 5:27:42.035 11 9 350925 11 9 350950 350975 4 6 351000 8 1568 5:27:42.036 11 9 350925 11 9 350950 350975 4 6 351000 8 1569 5:27:42.036 11 9 350925 12 10 350950 350975 4 6 351000 8 1570 5:27:42.036 11 9 350925 12 10 350950 350975 4 6 351000 8 1571 5:27:42.036 11 9 350925 10 9 350950 350975 4 6 351000 8 1572 5:27:42.036 11 9 350925 10 9 350950 350975 4 6 351000 9 1673 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 9 1674 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1575 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1576 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1577 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1578 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1579 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1580 5:27:42.037 11 9 350925 12 10 350950 350975 4 6 351000 8 1581 5:27:42.038 11 9 350925 12 10 350950 350975 4 6 351000 8 1582 5:27:42.038 11 9 350925 12 10 350950 350975 4 6 351000 8 1583 5:27:42.038 11 9 350925 11 9 350950 350975 4 6 351000 8 1584 5:27:42.038 11 9 350925 9 8 350950 350975 4 6 351000 9 1685 5:27:42.038 11 9 350925 9 8 350950 350975 4 6 351000 9 1686 5:27:42.038 11 9 350925 9 8 350950 350975 4 6 351000 9 1687 5:27:42.038 11 9 350925 8 7 350950 350975 4 6 351000 9 1688 5:27:42.038 11 9 350925 10 8 350950 350975 4 6 351000 8 1589 5:27:42.039 11 9 350925 10 8 350950 350975 4 6 351000 8 1590 5:27:42.039 11 9 350925 8 7 350950 350975 4 6 351000 8 1591 5:27:42.039 11 9 350925 8 7 350950 350975 4 6 351000 8 1592 5:27:42.039 11 9 350925 8 7 350950 350975 4 6 351000 8 1593 5:27:42.039 11 9 350925 8 7 350950 350975 4 6 351000 9 1694 5:27:42.039 11 9 350925 9 8 350950 350975 4 6 351000 9 1695 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 9 1696 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 9 1697 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 9 1698 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 9 1699 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 8 15

100 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 8 15101 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 8 15102 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 8 15103 5:27:42.040 11 9 350925 11 9 350950 350975 4 6 351000 8 15104 5:27:42.040 11 9 350925 10 8 350950 350975 4 6 351000 8 15

EXHIBIT

C Page 2 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 3 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

105 5:27:42.040 11 9 350925 10 8 350950 350975 4 6 351000 8 15106 5:27:42.041 11 9 350925 10 8 350950 350975 4 6 351000 8 15107 5:27:42.041 11 9 350925 10 8 350950 350975 4 6 351000 8 15108 5:27:42.041 11 9 350925 11 9 350950 350975 4 6 351000 8 15109 5:27:42.041 11 9 350925 11 9 350950 350975 4 6 351000 8 15110 5:27:42.041 11 9 350925 11 9 350950 350975 4 6 351000 8 15111 5:27:42.041 11 9 350925 11 9 350950 350975 4 6 351000 8 15112 5:27:42.041 11 9 350925 11 9 350950 350975 4 6 351000 8 15113 5:27:42.042 11 9 350925 12 10 350950 350975 4 6 351000 8 15114 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 8 15115 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 8 15116 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 9 16117 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 9 16118 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 9 16119 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 9 16120 5:27:42.042 11 9 350925 10 9 350950 350975 4 6 351000 9 16121 5:27:42.043 11 9 350925 10 9 350950 350975 4 6 351000 9 16122 5:27:42.043 11 9 350925 9 8 350950 350975 4 6 351000 9 16123 5:27:42.043 11 9 350925 9 8 350950 350975 4 6 351000 9 16124 5:27:42.043 11 9 350925 9 8 350950 350975 4 6 351000 9 16125 5:27:42.043 11 9 350925 9 8 350950 350975 4 6 351000 9 16126 5:27:42.043 11 9 350925 9 8 350950 350975 4 6 351000 9 16127 5:27:42.043 11 9 350925 8 7 350950 350975 4 6 351000 9 16128 5:27:42.044 11 9 350925 8 7 350950 350975 4 6 351000 9 16129 5:27:42.044 11 9 350925 8 7 350950 350975 4 6 351000 9 16130 5:27:42.044 11 9 350925 9 8 350950 350975 4 6 351000 9 16131 5:27:42.044 11 9 350925 9 8 350950 350975 4 6 351000 9 16132 5:27:42.044 11 9 350925 9 8 350950 350975 4 6 351000 8 15133 5:27:42.044 11 9 350925 11 9 350950 350975 4 6 351000 8 15134 5:27:42.044 11 9 350925 11 9 350950 350975 4 6 351000 8 15135 5:27:42.044 11 9 350925 11 9 350950 350975 4 6 351000 8 15136 5:27:42.044 11 9 350925 11 9 350950 350975 4 6 351000 8 15137 5:27:42.045 11 9 350925 11 9 350950 350975 4 6 351000 8 15138 5:27:42.045 11 9 350925 9 8 350950 350975 4 6 351000 8 15139 5:27:42.045 11 9 350925 9 8 350950 350975 4 6 351000 8 15140 5:27:42.045 11 9 350925 9 8 350950 350975 4 6 351000 8 15141 5:27:42.045 11 9 350925 9 8 350950 350975 4 6 351000 8 15142 5:27:42.045 11 9 350925 9 8 350950 350975 4 6 351000 8 15143 5:27:42.045 11 9 350925 9 8 350950 350975 4 6 351000 8 15144 5:27:42.046 11 9 350925 9 8 350950 350975 4 6 351000 8 15145 5:27:42.046 11 9 350925 8 7 350950 350975 4 6 351000 8 15146 5:27:42.046 11 9 350925 8 7 350950 350975 4 6 351000 8 15147 5:27:42.046 11 9 350925 8 7 350950 350975 4 6 351000 8 15148 5:27:42.046 11 9 350925 8 7 350950 350975 4 6 351000 8 15149 5:27:42.046 11 9 350925 8 7 350950 350975 4 6 351000 8 15150 5:27:42.046 11 9 350925 8 7 350950 350975 4 6 351000 8 15151 5:27:42.046 11 9 350925 10 8 350950 350975 4 6 351000 8 15152 5:27:42.047 11 9 350925 10 8 350950 350975 4 6 351000 8 15153 5:27:42.047 11 9 350925 10 8 350950 350975 4 6 351000 8 15154 5:27:42.047 11 9 350925 10 8 350950 350975 4 6 351000 8 15155 5:27:42.047 11 9 350925 10 8 350950 350975 4 6 351000 8 15156 5:27:42.047 11 9 350925 11 9 350950 350975 4 6 351000 8 15

EXHIBIT

C Page 3 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 4 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

157 5:27:42.047 11 9 350925 9 8 350950 350975 4 6 351000 8 15158 5:27:42.047 11 9 350925 9 8 350950 350975 4 6 351000 8 15159 5:27:42.047 11 9 350925 9 8 350950 350975 4 6 351000 8 15160 5:27:42.047 11 9 350925 9 8 350950 350975 4 6 351000 8 15161 5:27:42.048 11 9 350925 9 8 350950 350975 4 6 351000 8 15162 5:27:42.048 11 9 350925 9 8 350950 350975 4 6 351000 8 15163 5:27:42.048 11 9 350925 9 8 350950 350975 4 6 351000 8 15164 5:27:42.048 11 9 350925 9 8 350950 350975 4 6 351000 8 15165 5:27:42.048 11 9 350925 9 8 350950 350975 4 6 351000 8 15166 5:27:42.048 11 9 350925 9 8 350950 350975 4 6 351000 8 15167 5:27:42.048 11 9 350925 10 9 350950 350975 4 6 351000 8 15168 5:27:42.049 11 9 350925 9 8 350950 350975 4 6 351000 8 15169 5:27:42.049 11 9 350925 9 8 350950 350975 4 6 351000 7 10170 5:27:42.049 11 9 350925 9 8 350950 350975 4 6 351000 7 10171 5:27:42.049 11 9 350925 9 8 350950 350975 4 6 351000 7 10172 5:27:42.050 11 9 350925 8 7 350950 350975 4 6 351000 7 10173 5:27:42.051 11 9 350925 8 7 350950 350975 4 6 351000 7 10174 5:27:42.051 11 9 350925 8 7 350950 350975 4 6 351000 7 10175 5:27:42.051 11 9 350925 8 7 350950 350975 4 6 351000 7 10176 5:27:42.052 11 9 350925 8 7 350950 350975 4 6 351000 7 10177 5:27:42.052 11 9 350925 8 7 350950 350975 4 6 351000 8 11178 5:27:42.053 11 9 350925 9 8 350950 350975 4 6 351000 8 11179 5:27:42.053 11 9 350925 9 8 350950 350975 4 6 351000 8 11180 5:27:42.054 11 9 350925 9 8 350950 350975 4 6 351000 8 11181 5:27:42.054 11 9 350925 9 8 350950 350975 4 6 351000 8 11182 5:27:42.054 11 9 350925 9 8 350950 350975 4 6 351000 8 11183 5:27:42.054 11 9 350925 9 8 350950 350975 4 6 351000 8 11184 5:27:42.054 11 9 350925 9 8 350950 350975 4 6 351000 8 11185 5:27:42.054 11 9 350925 10 9 350950 350975 4 6 351000 8 11186 5:27:42.054 11 9 350925 9 8 350950 350975 4 6 351000 8 11187 5:27:42.055 11 9 350925 9 8 350950 350975 4 6 351000 8 11188 5:27:42.055 11 9 350925 9 8 350950 350975 4 6 351000 8 11189 5:27:42.056 11 9 350925 9 8 350950 350975 4 6 351000 9 16190 5:27:42.056 11 9 350925 8 7 350950 350975 4 6 351000 9 16191 5:27:42.059 11 9 350925 9 8 350950 350975 4 6 351000 9 16192 5:27:42.060 11 9 350925 8 7 350950 350975 4 6 351000 9 16193 5:27:42.063 11 9 350925 8 7 350950 350975 4 6 351000 9 16194 5:27:42.063 11 9 350925 8 7 350950 350975 4 6 351000 9 16195 5:27:42.063 11 9 350925 8 7 350950 350975 4 6 351000 9 16196 5:27:42.063 11 9 350925 8 7 350950 350975 4 6 351000 9 16197 5:27:42.070 11 9 350925 8 7 350950 350975 4 6 351000 9 16198 5:27:42.070 11 9 350925 8 7 350950 350975 4 6 351000 9 16199 5:27:42.071 11 9 350925 8 7 350950 350975 4 6 351000 9 16200 5:27:42.071 11 9 350925 8 7 350950 350975 4 6 351000 9 16201 5:27:42.076 11 9 350925 8 7 350950 350975 4 6 351000 9 16202 5:27:42.082 11 9 350925 9 8 350950 350975 4 6 351000 9 16203 5:27:42.082 11 9 350925 10 9 350950 350975 4 6 351000 9 16204 5:27:42.082 11 9 350925 11 10 350950 350975 4 6 351000 9 16205 5:27:42.082 11 9 350925 12 11 350950 350975 4 6 351000 9 16206 5:27:42.087 11 9 350925 11 10 350950 350975 4 6 351000 9 16207 5:27:42.088 11 9 350925 10 9 350950 350975 4 6 351000 9 16208 5:27:42.088 11 9 350925 9 8 350950 350975 4 6 351000 9 16

EXHIBIT

C Page 4 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 5 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

209 5:27:42.088 11 9 350925 8 7 350950 350975 4 6 351000 9 16210 5:27:42.092 11 9 350925 9 8 350950 350975 4 6 351000 9 16211 5:27:42.092 11 9 350925 10 9 350950 350975 4 6 351000 9 16212 5:27:42.092 11 9 350925 11 10 350950 350975 4 6 351000 9 16213 5:27:42.092 11 9 350925 12 11 350950 350975 4 6 351000 9 16214 5:27:42.095 11 9 350925 12 11 350950 350975 4 6 351000 8 11215 5:27:42.099 11 9 350925 11 10 350950 350975 4 6 351000 8 11216 5:27:42.099 11 9 350925 10 9 350950 350975 4 6 351000 8 11217 5:27:42.099 11 9 350925 9 8 350950 350975 4 6 351000 8 11218 5:27:42.099 11 9 350925 8 7 350950 350975 4 6 351000 8 11219 5:27:42.101 11 9 350925 8 7 350950 350975 3 5 351000 8 11220 5:27:42.105 11 9 350925 8 7 350950 350975 4 6 351000 8 11221 5:27:42.106 11 9 350925 8 7 350950 350975 5 7 351000 8 11222 5:27:42.115 11 9 350925 8 7 350950 350975 4 6 351000 8 11223 5:27:42.116 11 9 350925 9 8 350950 350975 4 6 351000 8 11224 5:27:42.116 11 9 350925 10 9 350950 350975 4 6 351000 8 11225 5:27:42.116 11 9 350925 11 10 350950 350975 4 6 351000 8 11226 5:27:42.116 11 9 350925 12 11 350950 350975 4 6 351000 8 11227 5:27:42.116 11 9 350925 12 11 350950 350975 3 5 351000 8 11228 5:27:42.122 11 9 350925 11 10 350950 350975 3 5 351000 8 11229 5:27:42.122 11 9 350925 10 9 350950 350975 3 5 351000 8 11230 5:27:42.122 11 9 350925 9 8 350950 350975 3 5 351000 8 11231 5:27:42.122 11 9 350925 8 7 350950 350975 3 5 351000 8 11232 5:27:42.132 11 9 350925 9 8 350950 350975 3 5 351000 8 11233 5:27:42.132 11 9 350925 10 9 350950 350975 3 5 351000 8 11234 5:27:42.132 11 9 350925 11 10 350950 350975 3 5 351000 8 11235 5:27:42.132 11 9 350925 12 11 350950 350975 3 5 351000 8 11236 5:27:42.136 11 9 350925 11 10 350950 350975 3 5 351000 8 11237 5:27:42.136 11 9 350925 10 9 350950 350975 3 5 351000 8 11238 5:27:42.136 11 9 350925 9 8 350950 350975 3 5 351000 8 11239 5:27:42.136 11 9 350925 8 7 350950 350975 3 5 351000 8 11240 5:27:42.147 11 9 350925 8 7 350950 350975 3 5 351000 8 11241 5:27:42.147 11 9 350925 8 7 350950 350975 3 5 351000 8 11242 5:27:42.147 11 9 350925 8 7 350950 350975 3 5 351000 8 11243 5:27:42.148 11 9 350925 8 7 350950 350975 3 5 351000 8 11244 5:27:42.162 11 9 350925 8 7 350950 350975 4 6 351000 8 11245 5:27:42.495 11 9 350925 8 7 350950 350975 4 6 351000 8 11246 5:27:42.495 11 9 350925 8 7 350950 350975 4 6 351000 8 11

247 5:27:42.525 11 9 350925 8 7 350950 350975 4 6 351000 7 10248 5:27:42.525 9 8 350925 8 7 350950 350975 4 6 351000 7 10249 5:27:42.713 YB01 Order S 14 14 0 351000 Spoof

250 5:27:42.713 YB01 Order S 12 12 0 351000 Spoof

251 5:27:42.713 9 8 350925 8 7 350950 350975 4 6 351000 9 36252 5:27:42.713 YB01 Order S 2 2 0 351000 Spoof

253 5:27:42.713 9 8 350925 8 7 350950 350975 4 6 351000 10 38

254 5:27:42.713 YB01 Order S 8 8 0 351000 Spoof

255 5:27:42.713 YB01 Order S 4 4 0 351000 Spoof

256 5:27:42.713 9 8 350925 8 7 350950 350975 4 6 351000 12 50257 5:27:43.225 YB01 Order S 16 16 0 350975 Spoof

258 5:27:43.225 YB01 Order S 14 14 0 350975 Spoof

259 5:27:43.225 9 8 350925 8 7 350950 350975 6 36 351000 12 50260 5:27:43.225 YB01 Order S 8 8 0 350975 Spoof

EXHIBIT

C Page 5 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 6 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

261 5:27:43.225 9 8 350925 8 7 350950 350975 7 44 351000 12 50262 5:27:43.225 YB01 Order S 2 2 0 350975 Spoof

263 5:27:43.225 9 8 350925 8 7 350950 350975 8 46 351000 12 50

264 5:27:43.226 9 8 350925 8 7 350950 350975 9 47 351000 12 50265 5:27:43.226 9 8 350925 6 5 350950 350975 9 47 351000 12 50266 5:27:43.226 9 8 350925 6 5 350950 350975 9 47 351000 13 51267 5:27:43.227 9 8 350925 3 3 350950 350975 9 47 351000 13 51268 5:27:43.228 YB01 Trade B 1 39 0 350950 Genuine

269 5:27:43.228 YB01 Trade B 1 38 0 350950 Genuine270 5:27:43.228 YB01 Trade B 1 37 0 350950 Genuine271 5:27:43.228 YB01 Trade B 1 36 0 350950 Genuine272 5:27:43.228 YB01 Trade B 1 35 0 350950 Genuine273 5:27:43.228 YB01 Trade B 1 34 0 350950 Genuine274 5:27:43.228 YB01 Trade B 1 33 0 350950 Genuine275 5:27:43.228 YB01 Trade B 1 32 0 350950 Genuine276 5:27:43.238 9 8 350925 3 3 350950 350975 10 49 351000 13 51

277 5:27:43.238 9 8 350925 3 3 350950 350975 11 50 351000 13 51278 5:27:43.238 9 8 350925 1 1 350950 350975 11 50 351000 13 51279 5:27:43.239 YB01 Trade B 1 31 0 350950 Genuine

280 5:27:43.239 YB01 Trade B 1 30 0 350950 Genuine281 5:27:43.239 YB01 Trade B 1 29 0 350950 Genuine282 5:27:43.240 8 7 350925 3 2 350950 350975 11 50 351000 13 51

283 5:27:43.240 10 8 350925 5 3 350950 350975 11 50 351000 13 51284 5:27:43.240 10 8 350925 5 3 350950 350975 11 50 351000 13 51285 5:27:43.240 10 8 350925 5 3 350950 350975 11 50 351000 13 51286 5:27:43.240 12 9 350925 5 3 350950 350975 11 50 351000 13 51287 5:27:43.242 12 9 350925 5 3 350950 350975 11 50 351000 13 51288 5:27:43.242 12 9 350925 5 3 350950 350975 11 50 351000 13 51289 5:27:43.509 YB01 Trade B 1 28 0 350950 Genuine

290 5:27:43.509 12 9 350925 4 3 350950 350975 11 50 351000 13 51

291 5:27:43.510 YB01 Trade B 1 27 0 350950 Genuine

292 5:27:43.510 12 9 350925 4 3 350950 350975 11 50 351000 13 51

293 5:27:43.510 YB01 Trade B 1 26 0 350950 Genuine

294 5:27:43.510 12 9 350925 3 2 350950 350975 11 50 351000 13 51

295 5:27:43.510 YB01 Trade B 1 25 0 350950 Genuine

296 5:27:43.510 13 10 350925 3 2 350950 350975 11 50 351000 13 51

297 5:27:43.510 YB01 Trade B 1 24 0 350950 Genuine

298 5:27:43.510 13 10 350925 1 1 350950 350975 11 50 351000 13 51

299 5:27:43.510 13 10 350925 1 1 350950 350975 12 51 351000 13 51300 5:27:43.511 12 9 350925 1 1 350950 350975 12 51 351000 13 51301 5:27:43.511 11 8 350925 1 1 350950 350975 12 51 351000 13 51302 5:27:43.511 11 8 350925 1 1 350950 350975 12 51 351000 13 51303 5:27:43.512 YB01 Trade B 1 23 0 350950 Genuine

304 5:27:43.512 11 8 350925 3 2 350950 350975 12 51 351000 13 51

305 5:27:43.512 12 9 350925 3 2 350950 350975 12 51 351000 13 51306 5:27:43.512 13 10 350925 3 2 350950 350975 12 51 351000 13 51307 5:27:44.208 YB01 Cancel S 14 0 0 350975 Spoof308 5:27:44.208 13 10 350925 3 2 350950 350975 11 37 351000 13 51309 5:27:44.208 YB01 Cancel S 16 0 0 350975 Spoof310 5:27:44.208 YB01 Cancel S 2 0 0 350975 Spoof311 5:27:44.208 YB01 Cancel S 8 0 0 350975 Spoof312 5:27:44.208 13 10 350925 3 2 350950 350975 8 11 351000 13 51

EXHIBIT

C Page 6 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 7 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

313 5:27:44.208 13 10 350925 5 3 350950 350975 8 11 351000 13 51314 5:27:44.209 13 10 350925 5 3 350950 350975 7 10 351000 13 51315 5:27:44.710 13 10 350925 5 3 350950 350975 7 10 351000 12 50316 5:27:44.772 YB01 Order S 17 17 1 350975 Genuine

317 5:27:44.772 13 10 350925 5 3 350950 350975 8 11 351000 12 50

318 5:27:44.945 13 10 350925 3 2 350950 350975 8 11 351000 12 50319 5:27:45.480 YB01 Cancel S 2 0 0 351000 Spoof320 5:27:45.480 13 10 350925 3 2 350950 350975 8 11 351000 11 48321 5:27:45.480 YB01 Cancel S 8 0 0 351000 Spoof322 5:27:45.480 13 10 350925 3 2 350950 350975 8 11 351000 10 40323 5:27:45.480 YB01 Cancel S 4 0 0 351000 Spoof324 5:27:45.480 13 10 350925 3 2 350950 350975 8 11 351000 9 36325 5:27:45.480 YB01 Cancel S 14 0 0 351000 Spoof326 5:27:45.480 YB01 Cancel S 12 0 0 351000 Spoof327 5:27:45.480 13 10 350925 3 2 350950 350975 8 11 351000 7 10328 5:27:45.481 13 10 350925 5 3 350950 350975 8 11 351000 7 10329 5:27:46.505 YB01 Order B 10 10 0 350925 Spoof

330 5:27:46.505 23 11 350925 5 3 350950 350975 8 11 351000 7 10

331 5:27:46.505 YB01 Order B 2 2 0 350925 Spoof

332 5:27:46.505 25 12 350925 5 3 350950 350975 8 11 351000 7 10

333 5:27:46.505 YB01 Order B 4 4 0 350925 Spoof

334 5:27:46.505 YB01 Order B 12 12 0 350925 Spoof

335 5:27:46.505 41 14 350925 5 3 350950 350975 8 11 351000 7 10336 5:27:46.505 YB01 Order B 4 4 0 350925 Spoof

337 5:27:46.505 45 15 350925 5 3 350950 350975 8 11 351000 7 10

338 5:27:46.505 YB01 Order B 8 8 0 350925 Spoof

339 5:27:46.505 53 16 350925 5 3 350950 350975 8 11 351000 7 10

340 5:27:46.506 53 16 350925 5 3 350950 350975 6 8 351000 7 10341 5:27:46.506 53 16 350925 6 4 350950 350975 6 8 351000 7 10342 5:27:46.506 53 16 350925 8 5 350950 350975 6 8 351000 7 10343 5:27:46.506 54 17 350925 8 5 350950 350975 5 6 351000 7 10344 5:27:46.506 54 17 350925 10 6 350950 350975 5 6 351000 7 10345 5:27:46.506 56 18 350925 10 6 350950 350975 5 6 351000 7 10346 5:27:46.506 56 18 350925 11 7 350950 350975 5 6 351000 7 10347 5:27:46.833 YB01 Order B 16 16 0 350950 Spoof

348 5:27:46.833 56 18 350925 27 8 350950 350975 5 6 351000 7 10

349 5:27:46.833 YB01 Order B 2 2 0 350950 Spoof

350 5:27:46.833 YB01 Order B 10 10 0 350950 Spoof

351 5:27:46.833 56 18 350925 39 10 350950 350975 5 6 351000 7 10352 5:27:46.833 YB01 Order B 6 6 0 350950 Spoof

353 5:27:46.833 YB01 Order B 6 6 0 350950 Spoof

354 5:27:46.833 56 18 350925 51 12 350950 350975 5 6 351000 7 10355 5:27:46.834 YB01 Trade S 1 16 0 350975 Genuine356 5:27:46.834 YB01 Trade S 1 15 0 350975 Genuine357 5:27:46.834 YB01 Trade S 1 14 0 350975 Genuine358 5:27:46.834 YB01 Trade S 1 13 0 350975 Genuine359 5:27:46.834 YB01 Trade S 1 12 0 350975 Genuine360 5:27:46.834 YB01 Trade S 1 11 0 350975 Genuine361 5:27:46.834 YB01 Trade S 1 10 0 350975 Genuine362 5:27:46.834 YB01 Trade S 1 9 0 350975 Genuine363 5:27:46.834 YB01 Trade S 1 8 0 350975 Genuine364 5:27:46.834 YB01 Trade S 1 7 0 350975 Genuine

EXHIBIT

C Page 7 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 8 of 9
Date: Dec 9, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST) BidQty2 BidCnt2 BidPx2 BidQty1 BidCnt1 BidPx1 Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type AskPx1 AskCnt1 AskQty1 AskPx2 AskCnt2 AskQty2

Bid Side Market Depth Ask Side Market Depth

365 5:27:46.834 YB01 Trade S 1 6 0 350975 Genuine366 5:27:46.834 YB01 Trade S 1 5 0 350975 Genuine367 5:27:46.834 56 18 350925 51 12 350950 350975 1 1 351000 7 10368 5:27:46.834 56 18 350925 52 13 350950 350975 1 1 351000 6 8369 5:27:46.834 56 18 350925 53 14 350950 350975 1 1 351000 6 8370 5:27:46.835 YB01 Trade S 1 4 0 350975 Genuine371 5:27:46.835 YB01 Trade S 1 3 0 350975 Genuine372 5:27:46.835 YB01 Trade S 1 2 0 350975 Genuine373 5:27:46.835 YB01 Trade S 1 1 0 350975 Genuine374 5:27:46.835 YB01 Trade S 1 0 0 350975 Genuine375 5:27:46.835 56 18 350925 53 14 350950 350975 1 1 351000 5 6376 5:27:46.835 56 18 350925 51 13 350950 350975 1 1 351000 5 6377 5:27:46.835 56 18 350925 51 13 350950 350975 1 1 351000 6 8378 5:27:46.835 56 18 350925 51 13 350950 350975 1 1 351000 6 8379 5:27:46.836 56 18 350925 53 14 350950 350975 1 1 351000 6 8380 5:27:46.836 56 18 350925 53 14 350950 350975 1 1 351000 6 8381 5:27:47.044 56 18 350925 53 14 350950 350975 2 2 351000 6 8382 5:27:47.336 56 18 350925 51 13 350950 350975 2 2 351000 6 8383 5:27:47.336 56 18 350925 51 13 350950 350975 2 2 351000 6 8384 5:27:47.568 YB01 Cancel B 23 0 1 350950 Genuine385 5:27:47.568 56 18 350925 50 12 350950 350975 2 2 351000 6 8386 5:27:47.568 YB01 Cancel B 2 0 0 350950 Spoof

387 5:27:47.568 56 18 350925 40 11 350950 350975 2 2 351000 6 8388 5:27:47.568 YB01 Cancel B 10 0 0 350950 Spoof

389 5:27:47.568 56 18 350925 38 10 350950 350975 2 2 351000 6 8390 5:27:47.568 YB01 Cancel B 6 0 0 350950 Spoof

391 5:27:47.568 YB01 Cancel B 16 0 0 350950 Spoof

392 5:27:47.568 56 18 350925 16 8 350950 350975 2 2 351000 6 8393 5:27:47.568 YB01 Cancel B 6 0 0 350950 Spoof

394 5:27:47.568 56 18 350925 10 7 350950 350975 2 2 351000 6 8395 5:27:47.568 56 18 350925 10 7 350950 350975 3 3 351000 6 8396 5:27:47.569 57 19 350925 10 7 350950 350975 3 3 351000 6 8397 5:27:47.569 57 19 350925 9 6 350950 350975 3 3 351000 6 8398 5:27:47.569 57 19 350925 8 5 350950 350975 3 3 351000 6 8399 5:27:47.976 YB01 Cancel B 8 0 0 350925 Spoof400 5:27:47.976 49 18 350925 8 5 350950 350975 3 3 351000 6 8401 5:27:47.976 YB01 Cancel B 2 0 0 350925 Spoof402 5:27:47.976 47 17 350925 8 5 350950 350975 3 3 351000 6 8403 5:27:47.976 YB01 Cancel B 12 0 0 350925 Spoof404 5:27:47.976 35 16 350925 8 5 350950 350975 3 3 351000 6 8405 5:27:47.976 YB01 Cancel B 4 0 0 350925 Spoof406 5:27:47.976 31 15 350925 8 5 350950 350975 3 3 351000 6 8407 5:27:47.976 YB01 Cancel B 10 0 0 350925 Spoof408 5:27:47.976 YB01 Cancel B 4 0 0 350925 Spoof409 5:27:47.976 17 13 350925 8 5 350950 350975 3 3 351000 6 8

EXHIBIT

C Page 8 of 8

Case 4:18-cv-00260 Document 1-3 Filed in TXSD on 01/28/18 Page 9 of 9
Exhibit D

TO COMPLAINT FOR INJUNCTIVE 

RELIEF, CIVIL MONETARY PENALTIES, 

AND OTHER RELIEF

Case 4:18-cv-00260 Document 1-4 Filed in TXSD on 01/28/18 Page 1 of 5
Date: Dec 3, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST)

Second Bid

Quantity

Second

Bid

Order

Count

Second

Bid Price

Best Bid

Quantity

Best Bid

Order

Count

Best

Bid

Price Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type

Best

Ask

Price

Best Ask

Order

Count

Best Ask

Quantity

Second

Ask

Price

Second

Ask

Order

Count

Second

Ask

Quantity

1 2:34:47.807 YB01 1 B 40 40 1 348350 Genuine2 2:34:47.807 18 13 348325 10 8 348350 348375 4 7 348400 11 213 2:34:48.887 YB01 Order S 4 4 0 348375 Spoof4 2:34:48.887 YB01 Order S 3 3 0 348375 Spoof5 2:34:48.887 18 13 348325 10 8 348350 348375 6 14 348400 11 216 2:34:48.887 YB01 Order S 3 3 0 348375 Spoof7 2:34:48.887 18 13 348325 10 8 348350 348375 7 17 348400 11 218 2:34:48.887 YB01 Order S 5 5 0 348375 Spoof9 2:34:48.887 18 13 348325 10 8 348350 348375 8 22 348400 11 21

10 2:34:48.887 YB01 Order S 7 7 0 348375 Spoof11 2:34:48.887 18 13 348325 10 8 348350 348375 9 29 348400 11 2112 2:34:48.887 YB01 Order S 3 3 0 348375 Spoof13 2:34:48.887 18 13 348325 10 8 348350 348375 10 32 348400 11 2114 2:34:48.887 YB01 Order S 2 2 0 348375 Spoof15 2:34:48.887 18 13 348325 10 8 348350 348375 11 34 348400 11 2116 2:34:48.887 YB01 Order S 6 6 0 348375 Spoof17 2:34:48.887 18 13 348325 10 8 348350 348375 12 40 348400 11 2118 2:34:48.887 YB01 Order S 3 3 0 348375 Spoof19 2:34:48.887 18 13 348325 10 8 348350 348375 13 43 348400 11 2120 2:34:48.887 YB01 Order S 4 4 0 348375 Spoof21 2:34:48.887 18 13 348325 10 8 348350 348375 14 47 348400 11 2122 2:34:48.888 18 13 348325 10 8 348350 348375 15 48 348400 11 2123 2:34:48.888 18 13 348325 10 8 348350 348375 16 50 348400 11 2124 2:34:48.888 18 13 348325 8 7 348350 348375 17 51 348400 11 2125 2:34:48.888 18 13 348325 8 7 348350 348375 18 52 348400 12 2326 2:34:48.888 18 13 348325 7 6 348350 348375 18 52 348400 12 2327 2:34:49.599 18 13 348325 7 6 348350 348375 19 54 348400 12 2328 2:34:49.599 YB01 Cancel S 7 0 0 348375 Spoof29 2:34:49.599 YB01 Cancel S 3 0 0 348375 Spoof30 2:34:49.599 18 13 348325 7 6 348350 348375 17 44 348400 12 2331 2:34:49.599 YB01 Cancel S 3 0 0 348375 Spoof32 2:34:49.599 18 13 348325 7 6 348350 348375 16 41 348400 12 2333 2:34:49.599 YB01 Cancel S 4 0 0 348375 Spoof34 2:34:49.599 YB01 Cancel S 3 0 0 348375 Spoof35 2:34:49.599 18 13 348325 7 6 348350 348375 14 34 348400 12 2336 2:34:49.599 YB01 Cancel S 4 0 0 348375 Spoof37 2:34:49.599 18 13 348325 7 6 348350 348375 13 30 348400 12 2338 2:34:49.599 YB01 Cancel S 2 0 0 348375 Spoof39 2:34:49.599 YB01 Cancel S 3 0 0 348375 Spoof40 2:34:49.599 18 13 348325 7 6 348350 348375 11 25 348400 12 2341 2:34:49.599 YB01 Cancel S 5 0 0 348375 Spoof

Bid Side Market Depth Ask Side Market Depth

EXHIBIT

D Page 1 of

4

Case 4:18-cv-00260 Document 1-4 Filed in TXSD on 01/28/18 Page 2 of 5
Date: Dec 3, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST)

Second Bid

Quantity

Second

Bid

Order

Count

Second

Bid Price

Best Bid

Quantity

Best Bid

Order

Count

Best

Bid

Price Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type

Best

Ask

Price

Best Ask

Order

Count

Best Ask

Quantity

Second

Ask

Price

Second

Ask

Order

Count

Second

Ask

Quantity

Bid Side Market Depth Ask Side Market Depth

42 2:34:49.599 YB01 Cancel S 6 0 0 348375 Spoof43 2:34:49.599 18 13 348325 7 6 348350 348375 9 14 348400 12 2344 2:34:49.600 18 13 348325 7 6 348350 348375 8 13 348400 12 2345 2:34:49.600 18 13 348325 7 6 348350 348375 7 11 348400 12 2346 2:34:49.600 18 13 348325 7 6 348350 348375 6 10 348400 12 2347 2:34:49.600 18 13 348325 9 7 348350 348375 6 10 348400 12 2348 2:34:49.600 18 13 348325 9 7 348350 348375 5 8 348400 12 2349 2:34:49.600 18 13 348325 9 7 348350 348375 4 7 348400 12 2350 2:34:50.102 18 13 348325 9 7 348350 348375 4 7 348400 11 2151 2:34:50.368 18 13 348325 9 7 348350 348375 4 7 348400 11 2152 2:34:50.453 18 13 348325 9 7 348350 348375 3 4 348400 11 2153 2:34:50.454 18 13 348325 10 8 348350 348375 3 4 348400 11 2154 2:34:50.454 19 14 348325 10 8 348350 348375 3 4 348400 11 2155 2:34:50.456 19 14 348325 10 8 348350 348375 2 3 348400 11 2156 2:34:50.743 19 14 348325 10 8 348350 348375 1 1 348400 11 2157 2:34:50.767 YB01 Order S 1 1 0 348400 Spoof58 2:34:50.767 19 14 348325 10 8 348350 348375 1 1 348400 12 2259 2:34:50.767 YB01 Order S 8 8 0 348400 Spoof60 2:34:50.767 19 14 348325 10 8 348350 348375 1 1 348400 13 3061 2:34:50.767 YB01 Order S 3 3 0 348400 Spoof62 2:34:50.768 19 14 348325 10 8 348350 348375 1 1 348400 14 3363 2:34:50.768 YB01 Order S 2 2 0 348400 Spoof64 2:34:50.768 YB01 Order S 8 8 0 348400 Spoof65 2:34:50.768 19 14 348325 10 8 348350 348375 1 1 348400 16 4366 2:34:50.768 YB01 Order S 1 1 0 348400 Spoof67 2:34:50.768 19 14 348325 10 8 348350 348375 1 1 348400 17 4468 2:34:50.768 YB01 Order S 2 2 0 348400 Spoof69 2:34:50.768 YB01 Order S 8 8 0 348400 Spoof70 2:34:50.768 19 14 348325 10 8 348350 348375 1 1 348400 19 5471 2:34:50.768 YB01 Order S 1 1 0 348400 Spoof72 2:34:50.768 YB01 Order S 6 6 0 348400 Spoof73 2:34:50.768 19 14 348325 10 8 348350 348375 1 1 348400 21 6174 2:34:50.768 19 14 348325 10 8 348350 348375 2 4 348400 21 6175 2:34:50.768 19 14 348325 10 8 348350 348375 2 4 348400 22 6276 2:34:50.769 19 14 348325 9 7 348350 348375 2 4 348400 22 6277 2:34:51.223 YB01 Order S 1 1 0 348375 Spoof78 2:34:51.223 YB01 Order S 3 3 0 348375 Spoof79 2:34:51.223 19 14 348325 9 7 348350 348375 4 8 348400 22 6280 2:34:51.223 YB01 Order S 1 1 0 348375 Spoof81 2:34:51.223 YB01 Order S 4 4 0 348375 Spoof82 2:34:51.223 19 14 348325 9 7 348350 348375 6 13 348400 22 62

EXHIBIT

D Page 2 of

4

Case 4:18-cv-00260 Document 1-4 Filed in TXSD on 01/28/18 Page 3 of 5
Date: Dec 3, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST)

Second Bid

Quantity

Second

Bid

Order

Count

Second

Bid Price

Best Bid

Quantity

Best Bid

Order

Count

Best

Bid

Price Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type

Best

Ask

Price

Best Ask

Order

Count

Best Ask

Quantity

Second

Ask

Price

Second

Ask

Order

Count

Second

Ask

Quantity

Bid Side Market Depth Ask Side Market Depth

83 2:34:51.223 YB01 Order S 8 8 0 348375 Spoof84 2:34:51.223 19 14 348325 9 7 348350 348375 7 21 348400 22 6285 2:34:51.223 YB01 Order S 7 7 0 348375 Spoof86 2:34:51.223 YB01 Order S 7 7 0 348375 Spoof87 2:34:51.223 19 14 348325 9 7 348350 348375 9 35 348400 22 6288 2:34:51.223 YB01 Order S 1 1 0 348375 Spoof89 2:34:51.223 19 14 348325 9 7 348350 348375 10 36 348400 22 6290 2:34:51.223 YB01 Order S 7 7 0 348375 Spoof91 2:34:51.223 19 14 348325 9 7 348350 348375 11 43 348400 22 6292 2:34:51.223 YB01 Order S 1 1 0 348375 Spoof93 2:34:51.223 19 14 348325 9 7 348350 348375 12 44 348400 22 6294 2:34:51.224 19 14 348325 7 6 348350 348375 12 44 348400 22 6295 2:34:51.224 19 14 348325 7 6 348350 348375 14 47 348400 22 6296 2:34:51.224 19 14 348325 6 5 348350 348375 15 48 348400 22 6297 2:34:51.224 19 14 348325 6 5 348350 348375 15 48 348400 23 6498 2:34:51.224 19 14 348325 6 5 348350 348375 16 49 348400 23 6499 2:34:51.269 18 13 348325 6 5 348350 348375 16 49 348400 23 64

100 2:34:51.324 18 13 348325 6 5 348350 348375 17 50 348400 23 64101 2:34:51.847 YB01 Cancel S 7 0 0 348375 Spoof102 2:34:51.847 YB01 Cancel S 1 0 0 348375 Spoof103 2:34:51.847 18 13 348325 6 5 348350 348375 15 42 348400 23 64104 2:34:51.847 YB01 Cancel S 7 0 0 348375 Spoof105 2:34:51.847 18 13 348325 6 5 348350 348375 14 35 348400 23 64106 2:34:51.847 YB01 Cancel S 1 0 0 348375 Spoof107 2:34:51.847 YB01 Cancel S 4 0 0 348375 Spoof108 2:34:51.847 18 13 348325 6 5 348350 348375 12 30 348400 23 64109 2:34:51.847 YB01 Cancel S 1 0 0 348375 Spoof110 2:34:51.847 18 13 348325 6 5 348350 348375 11 29 348400 23 64111 2:34:51.847 YB01 Cancel S 7 0 0 348375 Spoof112 2:34:51.847 18 13 348325 6 5 348350 348375 10 22 348400 23 64113 2:34:51.847 YB01 Cancel S 3 0 0 348375 Spoof114 2:34:51.847 YB01 Cancel S 8 0 0 348375 Spoof115 2:34:51.847 18 13 348325 6 5 348350 348375 8 11 348400 23 64116 2:34:51.847 YB01 Cancel S 1 0 0 348375 Spoof117 2:34:51.847 18 13 348325 6 5 348350 348375 7 10 348400 23 64118 2:34:51.847 18 13 348325 7 6 348350 348375 7 10 348400 23 64119 2:34:51.893 18 13 348325 8 7 348350 348375 7 10 348400 23 64120 2:34:52.350 18 13 348325 8 7 348350 348375 7 10 348400 22 62121 2:34:52.407 YB01 Cancel S 2 0 0 348400 Spoof122 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 21 60123 2:34:52.407 YB01 Cancel S 2 0 0 348400 Spoof

EXHIBIT

D Page 3 of

4

Case 4:18-cv-00260 Document 1-4 Filed in TXSD on 01/28/18 Page 4 of 5
Date: Dec 3, 2013

December 2013

E‐mini NASDAQ Contracts

Mohan Activity

Row Time (CST)

Second Bid

Quantity

Second

Bid

Order

Count

Second

Bid Price

Best Bid

Quantity

Best Bid

Order

Count

Best

Bid

Price Tag50 Action Side Qty

Remaining

Qty

Display

Qty Price Type

Best

Ask

Price

Best Ask

Order

Count

Best Ask

Quantity

Second

Ask

Price

Second

Ask

Order

Count

Second

Ask

Quantity

Bid Side Market Depth Ask Side Market Depth

124 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 20 58125 2:34:52.407 YB01 Cancel S 6 0 0 348400 Spoof126 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 19 52127 2:34:52.407 YB01 Cancel S 8 0 0 348400 Spoof128 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 18 44129 2:34:52.407 YB01 Cancel S 1 0 0 348400 Spoof130 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 17 43131 2:34:52.407 YB01 Cancel S 1 0 0 348400 Spoof132 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 16 42133 2:34:52.407 YB01 Cancel S 1 0 0 348400 Spoof134 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 15 41135 2:34:52.407 YB01 Cancel S 8 0 0 348400 Spoof136 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 14 33137 2:34:52.407 YB01 Cancel S 8 0 0 348400 Spoof138 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 13 25139 2:34:52.407 YB01 Cancel S 3 0 0 348400 Spoof140 2:34:52.407 18 13 348325 8 7 348350 348375 7 10 348400 12 22141 2:34:52.407 18 13 348325 8 7 348350 348375 6 8 348400 12 22142 2:34:52.408 18 13 348325 10 8 348350 348375 6 8 348400 12 22143 2:34:52.408 18 13 348325 10 8 348350 348375 5 7 348400 12 22144 2:34:52.408 18 13 348325 10 8 348350 348375 4 6 348400 12 22145 2:34:52.408 18 13 348325 10 8 348350 348375 3 5 348400 12 22146 2:34:52.408 18 13 348325 10 8 348350 348375 2 4 348400 12 22147 2:34:52.408 18 13 348325 10 8 348350 348375 1 3 348400 12 22148 2:34:52.408 19 14 348325 10 8 348350 348375 1 3 348400 12 22149 2:34:52.408 19 14 348325 10 8 348350 348400 12 22 348425 17 29150 2:34:52.408 19 14 348325 11 9 348350 348400 12 22 348425 17 29151 2:34:52.409 19 14 348325 11 9 348350 348400 12 22 348425 16 24152 2:34:52.908 19 14 348325 11 9 348350 348400 12 22 348425 15 22153 2:34:53.043 19 14 348325 15 10 348350 348400 12 22 348425 15 22154 2:34:53.062 YB01 Cancel B 40 0 1 348350 Genuine155 2:34:53.063 19 14 348325 14 9 348350 348400 12 22 348425 15 22

EXHIBIT

D Page

4 of

4

Case 4:18-cv-00260 Document 1-4 Filed in TXSD on 01/28/18 Page 5 of 5