Appointment

From: Jones, Shonneice [/O=CFTC/OU=WASHINGTON, DC/CN=RECIPIENTS/CN=SKNIGHT] 

Sent: 3/14/2019 3:57:29 PM 

To: Giancarlo, Chris [/o=CFTC/ou=Exchange Administrative Group (FYDIBOH F23SPDLT)/cn=Recipients/cn=Giancarlo, 

Chris2a4] 

Subject: FW: Call: Cha irman Giancarlo/Bakkt 

Location: Dial in below

Start: 3/18/2019 4:30:00 PM 

End: 3/18/2019 5:15:00 PM 

Show Time As: Tentative 

-----Original Appointment-----

From: Kelly Loeffler [mailto:Kelly.Loeffler@bakkt.com] 

Sent: Thursday, March 14, 2019 12:21 PM 

To: Kelly Loeffler; Trabue Bland; DeWaal, Gary; 'Hahn, Arthur W.'; Gill, Michael; Jones, Shonneice 

Subject: Call: Chairman Giancarlo/Bakkt 

When: Monday, March 18, 2019 4:30 PM-5:15 PM (UTC-05:00) Eastern Time (US & Canada). 

Where: Dial in below 

Meeting 19

Password:: (b)(4)] : 

i-·-·-·-·-·-·-·-·-·-·-·-·i 

External numbers 

Atlanta +1 770 618 8888 

Chicago +1 312 596 4412 

New York +1 212 896 2810 

c.~i ~;,>~~-~-=- t::.<~:h"\;/: (A-;;:d ofr~t::r\\·'~:~~-t::. j-~ yo~ j-~tf,/~~ t~~a~~'.)P tc: bt::Ue,.,~~ you t:r-;;: 

i: ~t::~<:-:::~>:: : ~\:~ / ;·~,-A.: t::~;.-,>~~-t::~:-~ -~; ~t:: , .. ;•: .. );~: .;•: ~ \,/ i~:-~t::~s_., .. n :d.)(;':.; ~~.,1; C;<, .. ;; ~,::~\1d. 
Appointment 

From: Gill, Michael [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=3AB6B606C58B45FE8B9174D248B3FA65-GILL, MICHAEL] 

Sent: 2/26/2019 8:29:45 AM 

To: Giancarlo, Chris [/o=CFTC/ou=Exchange Administrative Group (FYDIBOH F23SPDLT)/cn=Recipients/cn=Giancarlo, 

Chris2a4]; Kelly Loeffler [Kelly.Loeffler@theice.com]; Bussey, Brian [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=a2d0b8b95a0b46029f13ebeadb73f297-Bussey, Brian]; Za idi, Amir 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=azaidi]; Kulkin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=f973c0fe038742b4bb68c3eeae3f8171-Kul kin, Matthew]; Sklar, Maggie 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Sklar, Maggieca3]; Thornton, 

Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Alex Albert 

[Alex.Albert@theice.com]; Trabue Bland [Trabue.Bland@theice.com]; Kelly Loeffler [Kelly.Loeffler@bakkt.com]; 

Goodman, Chris [/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Goodman, 

Chris269]; Hester Serafini [Hester.Serafini@theice.com]; Kuserk, Gregory [/o=CFTC/ou=Washington, 

DC/cn=Recipients/cn=gkuserk]; Karen Wuertz [KWuertz@NFA.Futures.Org] 

Subject: CFTC warehouse review call 

Attachments: invite.ics 

Location: Dial-in: 866-564-2207 Participant Code:l_ __ (b)(4) ____ i 

Start: 2/28/2019 9:00:00 AM 

End: 2/28/2019 10:00:00 AM 

Show Time As: Tentative 

Recurrence: (none)

When: Thursday, February 28, 2019, 3:00 PM to 4:00 PM. Eastern Time 

Where: Dial-in: 866-564-2207 Participant Code: :-·-·-·fb)°i4i"-·-·1 

If it is not too much trouble, the Chairman would like to move this call to 9:00 a.m. 
Message 

From: Ke lly Loeffler [Kelly.Loeffler@bakkt.com] 

Sent: 2/22/2019 5:45:37 PM 

To: Gill, Michael [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=3ab6b606c58b45fe8b9174d248b3fa65-Gill, Michael]; Giancarlo, Chris 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Giancarlo, Chris2a4]; Bussey, 

Brian [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=a2d0b8b95a0b46029f13ebeadb73f297-Bussey, Brian]; Zaidi, Amir 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=azaidi]; Kulkin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=f973c0fe038742b4bb68c3eeae3f8171-Kul kin, Matthew]; Sklar, Maggie 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Sklar, Maggieca3]; Thornton, 

Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Alex Albert 

[Alex.Albert@theice.com]; Trabue Bland [Trabue.Bland@theice.com]; Fred Hatfield (External) 

[fwhatfield@comcast.net]; Adam White [adam.white@bakkt.com]; Erik Haas [Erik.Haas@bakkt.com] 

Subject: RE: Follow Up From Warehouse Mtg 

Mike, thank you for the summary. We're in agreement and I know everyone is working hard to resolve the open items. 

Regards, 

Kelly 

From: Gill, Michael [mailto:MGill@CFTC.gov] 

Sent: Thursday, February 21, 2019 6:58 PM 

To: Giancarlo, Chris <JCGiancarlo@CFTC.gov>; Kelly Loeffler <Kelly.Loeffler@bakkt.com>; Bussey, Brian 

<BBussey@CFTC.gov>; Zaidi, Amir <AZaidi@CFTC.gov>; Kulkin, Matthew <MKulkin@CFTC.gov>; Sklar, Maggie 

<MSklar@CFTC.gov>; Thornton, Charlie <cthornton@CFTC.gov>; Alex Albert <Alex.Albert@theice.com>; Trabue Bland 

<Trabue.Bland@theice.com>; Fred Hatfield (External) <fwhatfield@comcast.net> 

Subject: Follow Up From Warehouse Mtg 

WARNING - External email from cftc.gov 

Thanks again for this morning's productive meeting. To recap, I believe the following tasks were agreed to today: 

I __________________________________________________ J_~_)J~l __________________________________________________ I 

• All regroup for a call at 8 a.m. Eastern Thursday Feb 28. 

Please forward this as appropriate and let me know if I have not captured our tasks correctly. l will send around a call 

invite shortly. 

Mike 

C'tdef o:f Staff 

f)(: 20581 
.1·\·'i ~>J:1lz?:," = __ "):"{·~\..: ~',y· ;-:c=:>~~,•-.y:r: 

~.._:'.._.-u,s:_~,11. ,_/~;I~,'"""''"''"""" !ete ~:ind 
Appointment 

From: Kelly Loeffler [Kelly.Loeffler@bakkt.com] 

Sent: 12/20/2018 8:57:24 AM 

To: Giancarlo, Chris [/o=CFTC/ou=Exchange Administrative Group (FYDIBOH F23SPDLT)/cn=Recipients/cn=Giancarlo, 

Chris2a4] 

Subject: Accepted: Ref : BAKKT 

Location: Chairman to ca ll Jeff Sprecher cell f _____ (b)(6) ___ __j 

Start: 12/20/2018 10:30:00 AM 

End: 12/20/2018 11:00:00 AM 

Show Time As: Tentative 

Recurrence: (none) 

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Appointment 

From: Kelly Loeffler [Kelly.Loeffler@bakkt.com] 

Sent: 3/14/2019 3:57:30 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]i Giancarlo, Chris [/o=CFTC/ou,,Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=-Redpients/cn=Giancarlo, Chris2a4]; Trabue Bland [Trabue.Bland@theice.com]; DeWaal, 

Gary [gary.dewaal@kattenlaw.com]; 'Hahn, Arthur W.' [arthur.hat1r1@kattenlaw.com]; Gill, Michael 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOH F 23SPDL T)/cn=Recipients/cn=3ab6b606c58b45fe8b917 4d248b3fa65-Gtl I, Mi cha el]; Jones, Shonneice 

[/O=CFTC/OU=Washington, DC/cn=Recipients/cn=sknight]; Zaidi, Amir [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=azaidi]; Bussey, Brian [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=a2dDb8b95aOb46029f13ebeadb73f297-Bussey, Brian]; Kulkin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOH F23SPDLT)/ cn=Recipients/cn=f973c0fe038 7 42b4bb68c3eeae3 f817 l-Ku I kin, Matthew]; Thornton, Charlie 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDL T)/cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton 111 , Norwo]; Sklar, Maggie 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Sklar, Maggieca3] 

Subject: FW: Call: Chairman Giancarlo/Bakkt 

Location: Dial in below 

Start: 3/18/2019 4:30:00 PM 

End: 3/18/2019 5:15:00 PM 

Show Time As: Busy 

-----Original Appointment-----

From: Kelly Loeffler [mailto:Kelly.Loeffler@bakkt.com] 

Sent: Thursday, March 14, 2019 12:21 PM 

To: Kelly Loeffler; Trabue Bland; DeWaal, Gary; 'Hahn, Arthur W.'; Gill, Michael; Jones, Shonneice 

Subject: Call: Chairman Giancarlo/Bakkt 

When: Monday, March 18, 2019 4:30 PM-5:15 PM (UTC-05:00) Eastern Time (US & Canada). 

Where: Dial in below 

Meeting ll)f'------- -·-•-1 

Password: ! '-·-·-{b){4) 

·-·-•-·-·---·-•---l

External numbers 

Atlanta +1 770 618 8888 

Chicago +1 312 596 4412 

New York +1 212 896 2810 

·rh,t ~t~~,t ag&. n:ay r..0?1~!n tof:!!,krrt~a~ :t~fcrrttaltwn ·and is fr::;{;f!ded f.,,}t \tpectn(. h1:~)t}~e,ni:s un1est t~...::phdrt\1 :1~W.:d otht.N•,.¥:se If v·ou hav~ t(:ti~utt i,0 ~efo.~vt ~'(,'-'J. i!h:; 

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Message 

From: Kelly Loeffl er [Kelly.Loeffler@bakkt.com] 

Sent: 3/18/2019 3:38:49 PM 

To: Gil l, Michael [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ cn=Recip ient s/ en =3a b6b606c58b45fe8b917 4d248b3fa65-G ii I, Mi cha el] 

Subject: Memo for today's ca ll 

IFUS Presentation 

! . 

' ' 

I (b)(4) I 

i..·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-j 

K.e!!y L Loeff!er, CFA 

Chief Executive Officer I Bakkt 

5660 New Northside Dr,I 3rd Floor I Atlanta, GA 30328 

Direct: +1 770 857 4726 I Mobile: i (b)(6) i 

kelly.loeffler@bakkt.com i www.bakkt.com , 

Bal<kt 
Message 

From: Jones, Shonneice [/O=CFTC/OU=WASHINGTON, DC/CN=RECIPIENTS/CN=SKNIGHT] 

Sent: 3/14/2019 12:23:59 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Gill, Michael [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ cn=Recip ients/ en =3a b6b606c58b45fe8b917 4d248b3fa65-G ii I, Mi cha el] 

CC: Christina Canfield [Christina.Canfield@bakkt.com] 

Subject: RE: Monday call 

Good afternoon, 

Christina and I discussed a 3pm call time for Monday. I see that the invite was sent around for 4:30. It looks like we are 

all set 

Thanks, 

Shonneice Jones 

Executive Assistant to Chairman, L Christopher Giancarlo 

Office of the Chairman 

1155 21"'t Street NW 

Washington, DC 20581 

202-418-5030 I siones@cftc.gov 

From: Kelly Loeffler [mailto:Kelly.Loeffler@bakkt.com] 

Sent: Thursday, March 14, 2019 12:07 PM 

To: Gill, Michael 

Cc: Jones, Shonneice; Christina Canfield 

Subject: RE: Monday call 

Yes, looping in Christina. Thank you all. 

From: Gill, Michael <l'v1Giltd.CFTC 12:ov> 

Date: Thursday, Mar 14, 2019, 11:57 AM 

To: Kelly Loeffler <Keil,,.Loeffler?i;bakkt.com> 

Cc: Jones, Shonneice <Sfoncs,dCFTCr,ov> 

Subject: Re: Monday call 

WARNING - External email from cftc.gov 

Shonneice will set up from our side. Could ICE should set up the conference line please? 

Mike 

On: 14 March 2019 10:26, 

"Kelly Loeffler" <Kellv.Loefl1er(a)bakkt.com> wrote: 

Great! 

From: Gill, Michael [mailto:MGill@CFTC.gov] 

Sent: Thursday, March 14, 2019 10:21 AM 

To: Kelly Loeffler <Kelly.Loeffler@bakkt.com> 
Cc: Jones, Shonneice <SJones@CFTC.gov> 

Subject: Re: Mond,w call 

WARNING - External email from cftc.gov 

4:30? 

On: 14 March 2019 10:12, 11Kelly Loeftler'1 <+.~-~HY.,.k99.H1~r..@.Qi:1J~};:trnm.> wrote: 

Unfortunately I have an immovable conflict in the morning given that the team involved has no flexibility on travel 

rescheduling. Would 3p Monday work? 

From: Gill, Michael [maih:o:MGill@CFTC.gov] 

Sent: Thursday,. March 14, 2019 10:09 AM 

To: Kelly Loeffler </5~!1.Y.,J.~<::ffl.~r.@.t.>.§.~_~t.,.<:.9!'.D.> 

Cc: Jones, Shonneice <SJooes@CFTC.gov> 

Subject: Re: Monday call 

WARNING - External email from cftc.gov 

I can help. We have time blocked between 9 am and 11 am Monday for a call. We should plan on at least 45 

minutes to be safe. ls there a block within that timeframe that works for your team? 

Mike 

-------- --~---------------~- ------~ -------------------------------------

On: 14 March 2019 09:30, 

"Kelly Loeffler" <Kelly.Loeffier(@.bakkt com> wrote: 

Hi Mike, 

Is t his call something l can work with Chris's assistant on? My EA has been out w ith pneumonia, so I'm not sure it is 

being scheduled. Just wanted to make sure we keep it moving. Thanks! 

Best, 

Kelly 

Kelly L. Loeffler, CFA 

Chief Executive- Officer I Sakkt 

5660 New Northside Or.j 3rd Floor f Atlanta. GA 30328 

Direct +1 770 '857 4726 1 Mobile; { -----(b)(6f·----1 

kelly.loeffler@bakkt.com ! www.ba'l<Tff-com--·········-···-·· 

Baldct 

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Appointment 

From: Christina.Canfield@bakkt.com [Christina.Canfield@bakkt.com] 

Sent: 3/14/2019 12:20:45 PM 

To: Trabue Bland [Trabue.Bland@theice.com]; DeWaal, Gary [gary.dewaal@kattenlaw.com]; 'Hahn, ArthurW.' 

[arthur.hahn@kattenlaw.com); Gill, Michael [/o=CHC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDL T)/cn=Recipients/cn=3ab6b606c58b4Sfe8b9174d248b3fa65-Gill, Michael]; Jones, Shonneice 

1/O=CFTC/OU=Washington, DC/cn=Recipients/cn=sknight) 

Subject: Call : Chairman Giancarfo/Bakkt 

Location: Dial in below 

Start: 3/18/2019 4:30:00 PM 

End: 3/18/2019 5:15:00 PM 

Show Time As: Tentative 

Recurrence: (none) 

Meeting I or-·-----·--·-··7 

Password: l (b)(4) ! L,- ,- •- •- •- •-•- •- •- •-•-•- •-' 

External numbers 

Atlanta +1 770 618 8888 

Chicago +1 312 596 4412 

New York +1 212 896 2810 

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Appointment 

From: Ke lly Loeffler [Kelly.Loeffler@bakkt.com] 

Sent: 2/22/2019 11:24:04 PM 

To: Gil l, Michael [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ cn=Recip ients/ en =3a b6b606c58b45fe8b917 4d248b3fa65-G ii I, Mi cha el] 

Subject: Accepted: CFTC warehouse review ca ll 

Location: Dial-in: 866-564-2207 Participant Code: l ___ (b )( 4 ) ___ i 

Start: 2/28/2019 9:00:00 AM 

End: 2/28/2019 10:00:00 AM 

Show Time As: Tentative 

Recurrence: (none)

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-v::<tA:!~.-~-~~--~; prcvkk: :~~-t:1 :-9:H::td~~ fr~;:-~-~\: :uH>~~- ::~ :'..; ~:c.~~~s~;c ,::dc~t~,::~,-::- n·k:~1r:r; (/ C'.)tnn:~;nict=~~·ksn V~/h,;;:re pnvt:~:y ;:~ blndlnq: 1,>~~-~-=-,:~::~-v ~~-=- d~::~-=-;;\:~~.;. 
Message 

From: Thornton, Charlie [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=2F7CD1B27F3E4FDE80A5088EADD3B931-THORNTON Ill, NORWO] 

Sent: 2/18/2019 3:36:48 PM 

To: Trabue Bland [Trabue.Bland@theice.com]; Gorfine, Daniel [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=fec0394154854eleac5fb409856e51e8-Gorfine, Daniel]; Gil I, Michael 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=3ab6b606c58b45fe8b9174d248b3fa65-Gill, Michael]; Zaidi, Amir 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=azaidi]; Thornton, Charlie 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo]; Kul kin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=f973c0fe038742b4bb68c3eeae3f8171-Kul kin, Matthew]; Bussey, Brian 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ cn=Recip ients/ en =a2d0b8b95a0b46029f13ebead b 73f297-Bussey, Brian] 

CC: Alex Albert [Alex.Albert@theice.com]; Kelly Loeffler [Kelly.Loeffler@bakkt.com] 

Subject: Re: Follow up 

Thank you, Trabue. We will review. 

Talk soon. 

Charlie 

On: 18 February 2019 13:27, "Trabue Bland" <Trabue.Bland@theice.com> wrote: 

Happy Presidents Day. Following up on our calls last week, attached is a memo covering the FCM solution and 

bankruptcy. Also attached is the BTC deposit and trade flows power point I sent last week. 

Thank you again for your time. Please let me know if you have any questions. 

Trabue 
Appointment 

From: Christina Canfield [Christina.Canfield@bakkt.com] 

Sent: 2/12/2019 1:32:33 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Trabue Bland [Trabue.Bland@theice.com]; Alex Albert 

[Alex.Albert @theice.com]; Erik Haas [Erik.Haas@bakkt.com]; Adam Wh ite [adam.white@bakkt.com]; David Clifton 

[David.Clifton@theice.com]; 'Geoffrey.Goldman@Shearman.com' [Geoffrey.Goldman@Shearman.com]; Bussey, 

Brian [/o=CFTC/ou=Exchange Ad ministrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=a2d0b8b95a0b46029f13ebeadb73f297-Bussey, Brian]; Kulkin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ cn=Reci pi ents/ cn=f973c0fe0387 42b4bb68c3eeae3f8171-Ku I kin, Matthew] 

CC: Thornton, Charlie [/o=CFTC/ou=Exchange Adm inistrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Beale, Joshua 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOH F23SPDLT)/cn=Recipients/cn=Beale, Joshua742] 

Subject: Ca ll: CFTC/Bakkt Discussion 

Location: Dial in below 

Start: 2/12/2019 4:00:00 PM 

End: 2/12/2019 5:00:00 PM 

Show Time As: Tentative 

Recurrence: (none) 

Internal extension: [ (b)(4) i 

Meeting I or·-·-·-·-·-·-·-·-·•-·-·-·T-·-·-·' 

Password: l __ {b)_{4) _ _j 

Atlanta +1 770 618 8888 

Chicago +1 312 596 4412 

Houston +1 713 815 7276 

New York +1 212 896 2810 

San Mateo +1 650 581 5603 

Phoenix +1 480 444 0215 
Message 

From: Kulkin, Matthew [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=F973COFE038742B4BB68C3EEAE3F8171-KULKIN, MATTHEW] 

Sent: 2/9/2019 8:07:52 AM 

To: Trabue Bland [Trabue.Bland@t heice.com]; Bussey, Brian [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ cn=Recip ients/ en =a2d0b8b95a0b46029f13ebead b 73f297-Bussey, Brian] 

CC: Thornton, Charlie [/o=CFTC/ou=Exchange Adm inistrative Group 

(FYDI BOH F23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Kelly Loeffler 

[Kelly.Loeffler@bakkt.com]; Alex Albert [Alex.Albert@theice.com]; David Clifton [David.Clifton@theice.co m] 

Subject: RE: FCM overview 

Thanks Trabue. 

From: Trabue Bland [mailto:Trabue.Bland@theice.com] 

Sent: Friday, February 8, 2019 10:15 PM 

To: Bussey, Brian; Kulkin, Matthew 

Cc: Thornton, Charlie; Kelly Loeffler; Alex Albert; David Clifton 

Subject: FCM overview 

Matt, Brian, and Charlie: per our discussion today (sorry I had to get off) is a brief overview the FCM 

solution. Thank you again for your work on this. Please let me know if you have any questions. 
Message 

From; Tarbert, Heath P. [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDI BOHF23SPDLT)/CN=RE Cl Pl ENTS/CN=Fl937 A8EF6D145D6ADC3 BC3059CDE54A-TARBERT, HEATH] 

Sent: 10/27/2019 5:25:52 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com] 

CC: Thornton, Charlie [/o=CFTC/01..1=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton llf, Norwo]; Ridenour, 

Andrew [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=85f4293fe51c4883b6044b2281a95278-Ridenour, Andrew]; Trabue Bland 

(Trabue.Bland@theice.com]; Alex Albert [Alex.Albert@theice.com] 

Subject: Re: [EXTERNAL] Bakkt I Following up 

Kelly 

Many thanks I'll discuss when I see you (or your colleagues) this week in Chicago. 

Best 

Heath 

On: 23 October 2019 22:49, 

"Kelly Loeffler" <_[~,-~HY.J.,_.99.ft.1.Qt@J~l:'lkbt.fQ_l!-1_> wrote: 

Confidential treatment requested. 

Chairman Tarbert: 

Thank you for your time on October 9 to discuss the digital asset market. In the spirit of supporting the healthy 

regulation and evolution of this emerging asset class, we are respectfully submitting a recommendation for 

consideration, attached, and briefly described below. 

,--·-·-···-·-·-·-·-·--·-·-·-·-·-·-·-·-···-·---- ~-~·-·-·-·-·-·-·--·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·--·····-···-···-·-·-·-·--·-·-·-·-·-·-·--·-·-·-·-·-·-·--·-···-···-···-···-·-·-·-·-·-·-·-·-·-·-·-·-·-·-· ' 

f 

~ 

f 

f b 4 

f 

f 

f 

; ' ... ·-·--·-' -·-' -·-' -' -' -' -. -·-' -·-. -·-·-· -·-· -·-·-·-·-·-·-·-. -·- ' -·-·-·-·-·-·-·-' -·- ' -·-·-·-·-·-·-·-. -·-. -·-·-·-·-·-·-··-' -·-' -·-·-·-·-·-·-·-. -·-' -·-·-·-·-. -·-·-· -·-. -·-·-. -·-·-·-·-. -·-' -·-·-·-·-·-·-·-' -·-' -·-·-·-·-·-·-·-. -·-' -·-·-·-·-·-·-·-' -·- ' -·-·-·-·-·-·-·- ' -. 

Regards, 

Kelly 

Kelly L Loeffler, CFA 

Chief Executive Officer I Bak.kt 

5660 New Northsicte Dr.j 3rd Floor ! Atlanta, GA 30328 

Direct +1 770 857 4726 I Mobile: {•-·-·-•-·-·Tbf(6f-·-·-•-•-•1 

kelly.loeffler@baklct.com ! www.ba'RTdJ'::om·-·-·-·-·-·-···-·-·-·· 

Baldct 
.1·\·'i ~>J:1lz?:," = __ "):"{·~\..: ~',y· ;-:c=:>'~,•-.y:r: 

~.._:'.._.-u,s:_~,11. ,_/~;I~,'"""''"''"""" ,~:tt? it ~:md n:_>iif;l the ::_:;,~:ndi.:,r, 

c:::::nsiituie ~{ c:::::ntruct or (IU~{r.ant~X:'. Gt:'.(/.lt"i_:, .~.:~nd ·the red~1it?nt nf ihh; :·---·; 

1:.,-:,·--~~:c 

: · >>,s=-c .• /~ !::::; d:~:i.:dred 
Message 

From: Thornton, Charlie [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=2F7CD1B27F3E4FDE80A5088EADD3B931-THORNTON Ill, NORWO] 

Sent: 10/9/2019 8:58:21 AM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Thornton, Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo] 

CC: Alex Albert [Alex.Albert@theice.com] 

Subject: Re: [EXTERNAL] CFTC I Bakkt agenda 

This is great. Thanks. See you soon. 

On: 09 October 2019 08:39, "Kelly Loeffler" <Kellv.Loeffler@bakkt.com> wrote: 

Good morning Charlie. As discussed wanted to offer an agenda as I want to be efficient with the Chairman's time and 

ensure it covers key areas of interest for the Agency. Welcome feedback or modifications, thank you and looking 

forward to our meeting. 

1. <!--[if !supportlists]--><!--[endif]-->Update on futures 

2. <!--[if !supportlists]--><!--[endif]-->Reg status of custody 

3. < !--[if !supportlists]-->< !--[endif]-->Spot 

4. <!--[if !supportlists]--><!--[endif]-->Settlement 

5. <!--[if !supportlists]--><!--[endif]-->Options 

6. <!--[if !supportlists]--><!--[endif]-->Singapore 

7. <!--[if !supportlists]--><!--[endif]-->Additional futures products 

8. <!--[if !supportlists]--><!--[endif]-->Bakkt Clearing FCM I NFA update 

Regards, 

Kelly 

Ke!!y L Loeff!er, CFA 

Chief Executive Officer I Bakkt 

5660 New Northside Dr,I 3rd Floor i Atlanta, GA 30328 

Direct: +1 770 857 4726 I Mobile: j (b)(6) i 

ke lly. loeffle r@ba k kt. com i www. bal<Jff .-c6m·-·-·-·-·-·-·-·-·-·-·· 

1·==-
Message 

From: Ke lly Loeffler [Kelly.Loeffler@bakkt.com] 

Sent: 9/4/2019 11:27:46 AM 

To: Tarbert, Heath P. [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ en=Recip ients/ en =f193 7a8ef6d 145d6adc3bc3059cde54a-Ta rbert, Heath] 

CC: Thornton, Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/en=Recipients/en=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Klima, Ja ime 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/en=Recipients/en=7a6650cf77cd45c5a9893a9c455d6f03-Klima, Jamie]; Daigler, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BO HF 23SPDL T)/ en=Recip ients/ en =b8f0d8c0ccda4c95879141c3867 db 70e-Da igl er, Matthew] 

Subject: [EXTERNAL] Bakkt I following up 

Chairman Tarbert, 

Thank you and your team for making time to meet and learn more about Bakkt and the digital asset space. I appreciate 

the many demands on your schedule during your first month. 

As we approach our launch on September 23, our team would like to offer further discussions on the topics of bitcoin 

custody and markets. We are glad to meet with you or staff in Washington and will coordinate through Jamie and 

Charlie, as and when appropriate. 

Best regards, 

Kelly 

Ke!!y L Loeffler, CFA 

Chief Executive Officer I Bakkt 

5660 New Northside Dr.I 3rd Floor i Atlanta, GA 30328 

Direct +i 770 857 4726 I Mobile: 1 (b)(G) ] 

ke lly. loeffle r@ba k kt. com i www. baRT<l.-c6Yii'-·-·-·-·-·-·-·-·-·-· 

l3al<kt 

<:~,.;);~::::~\ .... :.; :.h;-> ''""''""''"'' pl~:::~~~~e dehA~::: :t Hnd n::.tJy the ~~.enz:i::.:r. ·r}is tnes~~-~~re n·k(/ not repn~:~~ent the c:plnk::n of lnter::.::r::n~:nentaf i~~:<chanqe, i ~::.-. 

net tr::n~tH'ute t: ::.::r.::n~t'~~ct ot qut:Vi~nk~:::, Un::.:nctyph.:d dect:\)n:::.:: rn~~il i~~ net s~:::~~ure and Jv: r,~:~~ipl~:::nt ci thi~~ n·K:~~-~~w;n 
Message 

From: Sterling, Joshua [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=ED205E169CD94A8D8FC8E397DCD8EA8F-STERLING, JOSHUA] 

Sent: 8/27/2019 3:27:54 PM 

To: Trabue Bland [Trabue.Bland@theice.com]; Thornton, Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton Ill, Norwo]; Kelly Loeffler 

[Kelly.Loeffler@bakkt.com]; Alex Albert [Alex.Albert@theice.com] 

Subject: Re: [EXTERNAL] RE: Email Connection 

Trabue, 

Good afternoon. Can you speak with me for 10 minutes or so this evening? Say between 5 and 6? Early 

tomorrow is also good 

Best, 

Josh 

Joshua B. Sterling 

U.S. Commodity Futures Trading Commission 

+l.202.418.6056 (0) 

l ________________ J_b) ( 6) ·-·-·-·-·-·-·-·-·-j 

Sent from my iPhone 

On: 20 August 2019 17:36, 

"Trabue Bland" <Trabue.Bland(a),theice.com> wrote: 

Josh--

That sounds great. Look forward to meeting you, we have heard good things about you from our colleague 

Hope Jarkowski (I think you worked in private practice with her years ago). 

I hope you are enjoying your new job at the CFTC 

Trabue 

From: Sterling, Joshua <JSterling@CFTC.gov> 

Sent: Tuesday, August 20, 2019 5:24 PM 

To: Thornton, Charlie <cthornton@CFTC.gov>; Kelly Loeffler <Kelly.Loeffler@bakkt.com>; Trabue Bland 

<Trabue.Bland@theice.com>; Alex Albert <Alex.Albert@theice.com> 

Subject: RE: Email Connection 

WARNING - External email from cftc.gov 

Charlie - thank you for the intros here. 

Kelly, Trabue and Alex - great to be connected with you all. I look forward to catching up soon on this important front. 

believe my staff are aiming to set up a meeting with one of your colleagues, but some direct engagement with you will 

be great as wen, particularly since I am new to Bakkt and want to get up to speed on where the program is heading. 
Thank you alL 

Best, 

Josh 

Joshua B. Sterling 

Director, Division of Swap Dealer & Intermediary Oversight 

U.S. Commodity Futures Trading Commission 

1.155 2.1. Street NW 

Washington, DC 20581 

+1.202.418.6056 (0) 

[_ ________________ ( b )( 6) ·-·-·-·-·-·-·-__.! 

jst erl ing@cftc.gov 

From: Thornton, Charlie 

Sent: Tuesday, August 20, 2019 5:18 PM 

To: Kelly Loeffler; Trabue Bland; Alex Albert 

Cc: Sterling, Joshua 

Subject: Email Connection 

Kelly, Trabue, Alex, 

I am connecting you with Josh Sterling, our new DSIO Director. I think it would be good to sit down with him and get 

him up to speed on Bakkt and any other issues. 

Best, 

Charlie 

N. Charles Thornton HI 

Counselor to the Chairman 

U.S. Commodity Futures Trading Commission 

'"'""""-''''""" n·1t::-/ nc:i' tept(~:~~ent the c:plnk::n of lnter::.::r::n~:nentaf i~~:<chanqe, i ;::. .. 

i_:+:,c·tr::::ni::~ n-K:;ij k; not :::;:~:c:ure ;;_~r-;d th~: n~ .:\;..<:,~:. i2 .. ..:.; ,.: i_., :ik~:~:..:~.;:,sv= ~::_:; 
Message 

From: Ridenour1 Andrew [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=85F4293FE51C48838604482281A95278-RIDENOUR, ANDREW] 

Sent: 8/23/2019 9:52:44 AM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com], Thornton, Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOH F23SPDL T)/ cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo] 

CC: Alex Albert [Alex.Albert@theice.com 1 

Subject: RE: [EXTERNAL] RE: Email Connection 

Hello Kelly1 thanks for the note. 

We will certainly reach out ff we have quest ions. I know that the dlvision staff is working w it h Bakkt on a number of 

issues. 

Regards, 

Andrew 

Andrew L. Ridenour 

Sen1or Counsel 

Office of Chairman Tarbert 

U.S. Commodity Futures Trading Commission 

{202} 418-6052 

aridenou r@cttc.gov 

From: Kelly Loeffler [mailto:Kelly.Loeffler@bakkt.com] 

Sent: Wednesday, August 21, 2019 7:44 PM 

To: Thornton, Charlie 

Cc: Ridenour, Andrew; Alex Albert 

Subject: [EXTERNAL] RE: Email Connection 

Hello Andrew, I appreciate the introductior, and! look forward to the opportunity to rneet jn the near ftJt ure. l'f we can 

be helpful with anything relate d to Bakkt or digital asse ts. please let me know. 

Best regards, 

Kefly 

Kelly L Loeffler, CFA 

Chief Executive Officer I Bak.kt 

5660 New Northside Dr ,l 3:d Ploor tAllant.a ... GA. ~032? 

Direct: +1 770 857 4726 I M (b)(6) l l-···-···-·······-···-···-·-·-···-·•·-···-•··-··-•··-·• kelly.loeffler@bakld:.com I www.bakkt.com 

From: Thornton,Charlie fmailto:cthornton@CFTC.goYl 

Sent: Tuesday, August 20, 2019 5:21 PM 

To: Kell.yLoeffler<Kellv.Loeffler@bakkt.com> 
Cc: Ridenour, Andrew <ARidenour@CFTC.gov>; Alex Albert <Alex.Albert@theice.com> 

Subject: Email Connection 

WARNING - External email from cftc.gov 

Kelly, 

I am connecting you with Andrew Ridenour on our team. Once things calm down, maybe you can connect on Bakkt and 

any other issues. 

Best, 

Charlie 

n-:~:;y conL~ln :_::onfo.t_:,nfr_::~ jr:fon;·t_::fr)n ~:ind :, ,,.<.->;,) .• >,; \:; ::c::).._) .. j ;;:_: ,-,,.,,,,,,;,,·,(,, w+_:,::_-;:::; e:x:pjic:Ov _ .'-n.~)- t ~ -~:·>·•hi/•H-' :f v::· .i h.~_::ve n.:,;;_~::_;nn ·to b:.dk~'./i_:, you ~:ffe 

i-:·y:;::;::_;i::g::.: n1~1v n::::t r::n>tt:'.:::;::.:ni ::::~1ini::"::n of lnter:_::or--;tn::.:nt.::! E::x-ch.an:y:.:. lp•·: 
Message 

From; Sterling, Joshua [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=ED205E169CD94A8D8FC8E397DCD8EA8F-STERLING, JOSHUA] 

Sent: 8/20/2019 7:32:07 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Trabue Bland [Trabue.8land@theice.com]; Thornton, Charlie 

[/o=CFTC/ou:cExchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton Ill, Norwo]; Alex Albert 

[Alex.Albert@theice.com] 

Subject: Re: [EXTERNAL] RE: RE: Email Connection 

Thank you, Kelly. 

Best, 

Josh 

Joshua B. Sterling 

U.S. Commodity Futures Trading Commission 

+ 1.202.418.6056 (0) [ (b)(6) . ···- ·-'! t.. ·- - · - • - ·- ·- ·- ·- .... - ·- ·- ·- · - · - ' - • - · - ·- · _ , .. _,_,_,I 

Sent from my iPbone 

On: 20 August 20.l9 18:18, 

"Kelly Loeffler" <Kelly.Loeffler@bakkt.com> wrote: 

Likewise Josh, look forward to meeting. In the meantime, please let us know if there' s anything we can do to be 

helpful. 

Best regards, 

Kelly 

Kelly t. L-oeffler, CF.A 

Chit'tf Ex~euthte- Officer l Sakkt 

.5660 New Northside Or.j 3rd Floor [ Atlanta, GA 30328 

Dkeet: :t.1...Z:?..Q ... §.§.7....4.7..?.§. I Mobile ~~~~~~~~~~]fiit~t~~~:~~~: ~~J 

.kelly.!oeffler@bakkt.com ! www.bakkt.com 

From: Sterling: Joshua <JSterl.ingliv.CTTC.g,ov> 

Date: Tuesday, Aug 20, 2019, 5:42 PM 

To: Trabue Bland <Trahuc.Bland@ thcice.com>, Thornton, Charlie <cthomton@CFTC.gov>. Kelly LocITTcr 

<Kelly .Loeiller(a!bakkt.com>, A lex Albert <Ale,x.Alborllallhoice.com> 

Subjc.ct: Re: RE: Emajl Connection 

, , 1ARNJNG - Exterual email from cftc.go,, 

Hi Trabue, 

Thanks for your note - let's defotitely connect soon . My best to Hope! 
Best, 

Josh 

Joshua B. Sterling 

U.S. Commodity Futures Trading Commission 

+ 1.202.418.6056 (0) 

L. ................ (b )(6) ................... 1 

Sent from my iPhone 

On: 20 August2019 17:36, 

"Trabue Bland" <Trabue.Bland@theice.com> wrote: 

Josh---· 

That sounds great. look forward to meeting you, we have heard good things about you from our colteague 

Hope Jarkowski ( I think you-worked in private practice with he-r years ago). 

l hope you are enjoying your new job at t he CFTC. 

Trabue 

From: Sterling, Joshua <J5terling@CFTC.gov> 

Sent: Tuesday, August 20, 2019 5:24 PM 

To: Thornton, Charlie <cthornton@CFTC.gov>; Kelly Loeffler <Kelly.Loeffler@bakkt.com>; Trabue Bland 

<Trabue.Bland@t heice.corn>; Alex Albert <Alex.Albert @theice.com> 

Subject: RE: Email Connection 

WARNING- External email from dtc.gov 

Charlie -- thank you for the intros here_ 

Kelly, Trabue and Alex - great to be connected with you a.IL I look forward to catching up soon on this !!nportant front. 

believe my ~taff are aiming to set up a meeting with one of your colleagues, but some direct engagement with you will 

be. great as well, particularly since I am new to Bakkt and want to get up to speed on where the program i.s heading. 

Thank you all. 

Best, 

Josh 

Joshua B. Sterling 

Director, Division of Swap Dealer & Intermediary Oversight 

U.S. Commodity Futures Tradlng Commission 

1155 21 Street NW 

Washington, DC 20581 

-1-1.202.418.6056 (O) 

L.. ... ~ .... , .(b){6l . , ., . • _.J 

isterling@cftc.gov 
From: Thornton, Charlie 

Sent: Tuesday, August 20, 2019 5:18 PM 

To: Kelly Loeffler; Trabue Bland; Alex Albert 

Cc: Sterling, Joshua 

Subject: Email Connection 

Kelly, Trabue, Alex, 

I am connecting you with Josh Sterling, our new DSIO Director. I think it would be good to sit down with him and get 

him up to speed on Bakkt and any other issues. 

Best, 

Charlie 

N. Charles Thornton 1H 

Courn;elor to the Chairman 

U.S. Commodity Futmes Trading Commission 

1155 21 .]JC~ 2(}581 ··ret 202.418.5145 

<:~,.;);~::::~\ .... :.; :.h;-> ''""''""''"'' pj~:::~~~~e dehA~::: :t Hnd n::AW/ the ~~.enz:je:·. Thi~~- rn::.::~:~~a9e n·k(/ not repn~:~~ent the opj~ ;u~·-: u; ;)=·~~:::=, •.-,•-;:._•,::.~··, ❖·:) =·:·<t~>~:\;(·, = ~::. .. 

(lCE). h~ ~~utr~.ldl~~rie~~ net tr::n~tH'ute t: ::.::r.::n~t'~~ct ot qut:Vi~nk~:::. Un::.:nctyph.:d dect:\)n:::.:: rn~~il i~~ net s~:::~~u e an::J ~rv: r,~:~~ipl~:::nt ci thi~~ n·K:~~-~~w;n 
Appointment 

From: Tarbert, Heath (Chairman) [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=28E27D6E122C4A9CBC3E9ACC90B0091A-CHAIRMAN] 

Sent: 7/18/2019 4:55:33 PM 

To: Jeffrey.sprecher@theice.com; Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Alex Albert [Alex.Albert@theice.com]; 

Klima, Jaime [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=7a6650cf77cd45c5a9893a9c455d6f03-Klima, Jamie]; Thornton, Charlie 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo] 

Subject: Meeting with the CFTC Chairman (ICE) 

Location: Chairman's Conference Room (9108) 

Start: 8/12/2019 1:30:00 PM 

End: 8/12/2019 2:30:00 PM 

Show Time As: Tentative 

Required Jeffrey.sprecher@theice.com; Kelly Loeffler; Alex Albert; Klima, Jaime; Thornton, Charlie 

Attendees: 
Message 

From: Benedict, Melissa [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDI BO HF 23SPDL T)/CN =RE Cl Pl ENTS/CN =F23BFAF85 7ED4BEC877 B0E3 EA19A550C-BE N EDICT, MELISSA] 

Sent: 7/18/2019 4:01:17 PM 

To: Mika Kawana [Mika .Kawana@theice.com] 

CC: Ke lly Loeffler [Kelly.Loeffler@bakkt.com]; Thornton, Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Alex Albert 

[Alex.Albert@theice.com] 

Subject: RE: [EXTERNAL] RE: RE: Meeting request 

Nice toe-meet you, Mika, Alex, and Kelly. 

Mika, I will take a look at the Chairman's schedule and follow up with you directly. 

Kind Regards, 

Melissa 

,.ltf eli.;;,,;r,t Benedict 

Executive Support to Chairman Tarbert 

US Commodity Futures Trading Commission 

1155 21st Street N.W., Washington, DC 20581 

Tel: 202-418-6055 {Direct) 

Office: 202-418-5010 (Main) 

Emal!: MBenedict@CFTC.gov 

From: Mika Kawana [mailto:Mika.Kawana@theice.com] 

Sent: Thursday, July 18, 2019 1:32 PM 

To: Thornton, Charlie; Alex Albert 

Cc: Kelly Loeffler; Benedict, Melissa 

Subject: [EXTERNAL] RE: RE: Meeting request 

Amazing. Thanks, Charlie! 

Melissa - please let us know what time works best for the Chairman. A late morning to late afternoon meeting works 

great for us given they are coming up from Atlanta, but we will make it work if the morning is the only available slot. 

Many thanks! 

Mika 

Mika Kawana - Manager, Corporate Affairs 

Intercontinental Exchange I ICE 

5660 New Northside Dr. j 3rd Floor I Atlanta, GA 30328 

Tel +1 T?0.857 7087 I Mob c-·-·-·-·-·-(bi(Gf·-·-·-·-·-·; 

mika.kawana@theice.com 

intercontinentalexchange.corn 

From: Thornton, Charlie [mailto:cthornton@CFTC.gov] 

Sent: Thursday, July 18, 2019 11:18 AM 

To: Mika Kawana <Mika.Kawana@theice.com>; Alex Albert <Alex.Albert@theice.com> 
Cc: Kelly Loeffler <Kelly.Loeffler@bakkt.com>; Benedict, Melissa <MBenedict@CFTC.gov> 

Subject: RE: RE: Meeting request 

WARNING - External email from cftc.gov 

We can do August lih. Thanks! 

From: Mika Kawana [mailto:Mika.Kawana@theice.com] 

Sent: Thursday, July 18, 2019 11:12 AM 

To: Alex Albert; Thornton, Charlie 

Cc: Kelly Loeffler; Benedict, Melissa 

Subject: [EXTERNAL] RE: Meeting request 

Thanks, Alex! 

Charlie - congratulations! We hope the week is going well! 

Melissa ·· It is a pleasure to meet you. Please feel free to give me a buzz if it is easier to connect on the phone to 

compare calendars. 

Many thanks and we look forward to working with you! 

Best, 

Mika 

Mika Kawana - Manager, Corporate Affairs 

Intercontinental Exchange I ICE 

5660 New Northside Dr. j 3rd Floor I Atlanta, GA 30328 

Tel +1 T?0.857 7087 I Mob -1{-·-·-·-·1blisf-·-·-·-·-: 

mika.kawana@theice.com ' 

intercontinentalexchange.corn 

From: Alex Albert 

Sent: Thursday, July 18, 2019 11:08 AM 

To: Thornton, Charlie <cthornton@CFTC.gov> 

Cc: Kelly Loeffler <Kelly.Loeffler@bakkt.com>; Benedict, Melissa <MBenedict @CFTC.gov>; Mika Kawana 

<Mika .Kawana@theice.com> 

Subject: RE: Meeting request 

Thanks all. Nice to meet you over email, Melissa. I'm copying Mika who works with Jeff and Kelly in a 

similar capacity. One data point that may be helpful. The 12th is the only day Jeff has available but we could 

look at others too. Again, many thanks! Alex 

From: Thornton, Charlie <cthorntonrcz),CFTC.gov> 

Date: Thursday, Jul 18, 2019, 10:53 AM 

To: Alex Albert <Alex.Albertra)theice.com>, Thornton, Charlie <cthornton(a),CFTC.gov> 

Cc: Kelly Loeffler <Kellv.Loeffler@bakkt.com>, Benedict, Melissa <MBenedict(w.CFTC.ggy> 

Subject: Re: Meeting request 

WARNING - External email from cftc.gov 
Thank you Alex. Copying Melissa who can work to get this on the schedule. That week works well. Should 

we put her in touch with Mika? 

On: 17 July 2019 18:04, "Alex Albert" <Alex.Albert(a),theice.com> wrote: 

Charlie, as discussed with you last week ..... now that you have started new job .... copying Kelly (who I just spoke to) on 

this version so we can coordinate schedules directly. 

First, congratulations on your first couple of days and hope you are doing well. I am writing on behalf of Bakkt as you 

begin considering activities for incoming Chairman Tarbert. Apologies for the early and direct approach, but I am not 

sure of your administrative structure yet and want to make sure we can get on the Chairman's calendar. As you may 

recall, we had mentioned looking at the week of August 12. 

Our intent would be to update you and the Chairman of activities related to Bakkt and possibly other interests related to 

ICE. I believe Jeff may want to attend also if schedules allow. Please let me know if I should send directly to someone 

else or you can connect us. 

Appreciate your consideration and look forward to crossing paths soon. Alex 

Alex Albert 

Intercontinental Exchange 

(202) 661-8942 (w) 

!__ _____________ ( b )( 6) ·-·-·-·-·-·-___! 

unle::_;s ,:.:x-piic:Wv noted oth:.:ri.,,.\d::x: _ if vnu ha'-.:'i.:: rix:;Bon h> tK:lk~'-.:'i.:, are 

t~·K::>Bi:~:y:.: i·ri~{Y n::::t rq::te::x:ni tK: ::::~1hi::"::n of hk:rc:::::ntirn_:,nt:il E::x-ch.an:y:.:, lp•·: 
Message 

From: Thornton, Charlie [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=2F7CD1B27F3E4FDE80A5088EADD3B931-THORNTON Ill, NORWO] 

Sent: 2/27/2019 9: 14:37 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Thornton, Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton Ill, Norwo]; Alex Albert 

[Alex.Albert@theice.com]; Trabue Bland [Trabue.Bland@theice.com] 

Subject: Re: Agenda for tomorrow 

No we can wait until after. I put it in there just for you to say you are working and will share in the coming 

days. 

On: 27 February 2019 20:58, "Kelly Loeffler" <Kdiv.Loeffier@bakkt.com> wrote: 

Thank you Charlie. Do you want to see the draft of the post for the meeting or is after OK? 

Best, 

Kelly 

From: Thornton, Charlie [mailto:cthornton@CFTC.gov] 

Sent: Wednesday, February 27, 2019 5:07 PM 

To: Alex Albert <Alex.Albert@theice.com>; Trabue Bland <Trabue.Bland@theice.com>; Kelly Loeffler 

<Kelly.Loeffler@bakkt.com> 

Subject: Agenda for tomorrow 

\VARNING- ExternaJ email from cftc.gov 

Excuse the weird font /format. I am sending this from my phone. Please let me know if you have any 

questions. 

Agenda: 

IFUS Draft Submission 

ICUS Draft Submission 

FCM Issues: 4d Customer Property, Segregation, Bankruptcy Treatment 

Warehouse Regulatory Status/Disclosure 

ICE Press Release 

Wrap Up/ Discuss Next Steps 

~-inie~~~~- exp{dUy noted oJi(~:r\.-•/:S(~: y~;~.l ht:\/e reason to b:::lk:'.-'e ":/Z>L: ~~:\: 

n::A =·~:::p:\::~:~:::n~ th~::: G~Hn:Gn o! >:>~::\,,.._\ =·-;~·:~~=:L ) Exz)~anrr:::, 

Appointment 

From: Christina Canfield [Christina.Canfield@bakkt.com] 

Sent: 2/19/2019 6:12:58 PM 

To: Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Rich Mackey (External) [rmackey@rcgdirect.com]; Richard Mackey 

[Richard.Mackey@bakkt.com]; Erik Haas [Erik.Haas@bakkt.com]; Chris Michels [Chris.Michels@bakkt.com]; Adam 

Whfte [adam.white@bakkt.com]; Davfd Clifton [David.Clifton@theice.com]; Alex Albert [Alex.Albert@theice.com]; 

Trabue Bland [Trabue.Bland@theice.com]; Matthew Mehalso [Matthew.Mehalso@theice.com]; Thornton, Charlie 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDL T)/ cn=Recipients/ cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton 111 , Norwo]; Jeffrey Sprecher 

[Jeffrey.Sprecher@theice.com]; Mark Wassersug [Mark.Wassersug@Thelce.com]; Jerry Perullo 

ijerry.perullo@theice.com]; Sachi Pati [Sachi.Pati@theice.com]; RJ Cummings [rj.cummings@theice.com I 

CC: Kara Dutta [Kara.Dutta@theice.com] 

Subject: Canceled: Meeting: CFTC I Bakkt 

Location: ICE Atlanta I The High Conference Room I Dial in below 

Start: 2/20/201910:45:00 AM 

End: 2/20/2019 3:15:00 PM 

Show Time As: Free 

Importance: High 

Recurrence: (none) 

2/18- attendees update, agenda and dial in added 

Agenda added below. 

Dial in information 

Internal ext~nsion:J1iiii4"j'} 

Meeting ID:j (b)(4) rPassword: l l 

External nu}i;oers:·····-·-·-·-l 

us 

Atlanta 1-770-618-8888 

Chicago 1-312-596-4412 

Houston 1-713-815-7276 

New York 1-212-896-2810 

CFTC Attendees 

Charlie Thornton, Director of Legislative Affairs 

Mike Gill, Chief of Staff - Chairman Giancarlo 

Daniel Gorfine, LabCFTC Director 

Brian Bussey, Director of OCR 

Bakkt Attendees 

Kelly Loeffler, CEO 

Rich Mackey, President18 

Adam White, COO 

Erik Haas, Director, Compliance 

Chris Michels, Director, Custody Operations 

Intercontinental Exchange Attendees 

Jeff Sprecher, Chairman & CEO - TBD 

Mark Wassersug, COO 

Trabue Bland, President, ICE Futures U.S. 

Alex Albert, Co-Head Government Affairs 

Matt Mehalso, Manager, ICE Clear Dev, Technology 

Jerry Perullo, Chief Information Security Officer 

Sachi Pati, Senior Director - Clearing Technology 

RJ Cummings, VP - Product Development 

Centennial Conference Room also booked for a breakout room as needed. 

Lab CFTC Agenda 
February 20 

10:45 a.m.-11 :00 a.m. 

Intro - Bland/Albert/Loeffler [note: KUAW(?) leaving at 11 am for Bakkt board meeting until ~Noon) 

• People in the room 

• Lab CFTC 

Message 

From: Mfka Kawana [Mika.Kawana@theice.com] 

Sent: 2/19/2019 3:34:35 PM 

To: Chdstina Canfield [Christina.Canfield@bakkt.com]; Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Rich Mackey (External) 

[rmackey@rcgdirect.com]; Richard Mackey [Richard.Mackey@bakkt.com); Erik Haas [Erik.Haas@bakkt.com]; Chris 

Michels [Chris.Michels@bakkt.com]; Adam White [adarn.wh1te@bakkt.com]; David Clifton 

[David.Clifton@theice.com j; Alex Albert [Alex.Albert@theice.com); Trabue Bland [Trabue.Bland@theice.com]; 

Matthew Mehalso [Matthew.Mehalso@theice.com]; Jeffrey Sprecher [Jeffrey.Sprecher@theice.com]; Mark 

Wassersug [Mark.Wassersug@Thelce.com] 

CC: Thornton, Charlie [/o=CFTC/ou=Exchange Administ~ative Group 

(FYDI BOH F 23SPDL T)/cn=Recipients/cn=2f7cdlb2 7f3e4 fde80a5088eadd3b931-Thornton 111 , Norwo] 

Subject: RE: Meeting: CFTC I Bakkt 

Hi ail -

The weather is not looking great in DC tomorro\,. Cha.die will ke\':p us posted. but \H~ uxe currentlj puttmg tomorrow' $ 

meeting in the TBD category given possible mght cancellations. 

Chariic or l will circle hack 

Tirnnkst 

Mika 

Mika Kawana • Manager, Corporate Affairs 

Intercontinental Exchange J ICE 

.5660 New Northside o r._J_3rd_F!oo. r L_Af~i.'lnt.a, GA, 30328 

Tel: +1 770.857.7087 I (b){6) f 1 

mika.kawana@fhe1ce.com ' ~ 

rntercontinentalexchange. com *:«W:l~~':'. 

1 r 

L,ce 

----Original Appointment---­

From: Christina Canfield 

Sent: Thursday, February 14, 2019 11:26 AM 

To: Christina Canfield; Kelly Loeffler; Rich Mackey (External); Richard Mackey; Erik Haas; Chris Michels; Adam White; 

David Clifton; Alex Albert; Trabue Bland; Matthew Mehalso; cthornton@CFfC.gov; Jeffrey Sprecher; Mark Wassersug 

Subject: Meeting: CFfC I Bakkt 

When: Wednesday, February 20, 2019 10:45 AM-3:15 PM (UTC-05:00) Eastern Time (US & Canada). 

Where: ICE Atlanta I The High Conference Room I Dial in below 

2/18- attendees update, agenda and dial in added 

Agenda added below. 

Dial in information ~·-···-·-·--·-·-·-, tnter~al ext~nsion_: L{b)l4) _j 

Meeting ID:j {b){4 ) l 

Password: 1 i '·-·-·-·-·-·-·-·-·-·-·-·-· . 

External numbers: 

us 

Atlanta 1-770-618-8888 

Chicago 1-312-596-4412 

Houston 1-713-815-7276 
New York 1-212-896-2810 

CFTC Attendees 

Charlie Thornton, Director of Legislative Affairs 

Mike Gill, Chief of Staff - Chairman Giancarlo 

Daniel Gorfine, LabCFTC Director 

Brian Bussey, Director of OCR 

Bakkt Attendees 

Kelly Loeffler, CEO 

Rich Mackey, President18 

Adam White, COO 

Erik Haas, Director, Compliance 

Chris Michels, Director, Custody Operations 

Intercontinental Exchange Attendees 

Jeff Sprecher, Chairman & CEO - TBD 

Mark Wassersug, COO 

Trabue Bland, President, ICE Futures U.S. 

Alex Albert, Co-Head Government Affairs 

Matt Mehalso, Manager, ICE Clear Dev, Technology 

Jerry Perullo, Chief Information Security Officer 

Sachi Pati, Senior Director - Clearing Technology 

RJ Cummings, VP - Product Development 

Centennial Conference Room also booked for a breakout room as needed. 

Lab CFTC Agenda 

February 20 

10:45 a.m.-11 :00 a.m. 

Intro - Bland/Albert/Loeffler [note: KUAW(?) leaving at 11 am for Bakkt board meeting until ~Noon) 

• People in the room 

• Lab CFTC 
L--·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·~·-·-·~·-·-·-·-·-·-·~·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-· 
nc,L::d uti )c) r;:i;: ~f \ --.,:.: ;?-:.·e th:~~sc,;) t,-., bc;k~,:e V'.)U ;:~rt:: 

) t::~ .. ;);d:~\ --.~ ~c ; ;~i,) ,-y""'"'"""'"'· ~;h::d,)~:~ d--.:;(,).~:: jt !~l: ..._, '"'' t'~::.--.· '" , ......... , o(~:k::r: '.A int~::: A)~:-~:n:.:: ~\:d •":':<~;:< '\> 

(lCE). h~ ~~utr~.ldl~~rie~~ ~~!1 net tr::n~tH'ute t: 
Message 

From: Thornton, Charlie [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=2F7CD1B27F3E4FDE80A5088EADD3B931-THORNTON Ill, NORWO] 

Sent: 2/20/2019 6:20:28 PM 

To : Kelly.Loeffler@bakkt.com; Alex Albert [Alex.Albert@theice.com]; Trabue Bland [Trabue.Bland@t heice.com]; Mika 

Kawana [Mika.Kawana@theice.com] 

Subject: Agenda 

Attachments: Agenda 2-21.docx 

Here is the agenda for tomorrow. Listing the multiple options is simply to lay out all of the possibilities and to make sure 

that we are all on the same page currently. We can focus on the FCM approach and not the others. Also, the Chairman 

wants NFA to dial-in. 

Happy to chat if you have any questions. 

Best, 

Charlie 
Agenda 

February 21, 2019 

I. Opening 

a. Purpose of this meeting to discuss options for Bakkt' s launch, paths to 

implementation and any potential hurdles, and CFTC "must have" requirements. 

Based on the most recent discussions, the contract approval, trading, and clearing 

of this product is CFTC regulated. It is only the regulatory status of the custody 

of bitcoin that is at issue. 

II. CFTC Requirements 

III. Options for Bakkt launch 

·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-·-, 

IV. Discussion of Timeline 

V. Other Items 

VI.Adjourn 
Appointment 

From: Gill, Michael [/O=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=3AB6B606C58B45FE8B9174D248B3FA65-GILL, MICHAEL] 

Sent: 2/26/2019 8:29:45 AM 

To: Giancarlo, Chris [/o=CFTC/ou=Exchange Administrative Group (FYDIBOH F23SPDLT)/cn=Recipients/cn=Giancarlo, 

Chris2a4]; Kelly Loeffler [Kelly.Loeffler@theice.com]; Bussey, Brian [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=a2d0b8b95a0b46029f13ebeadb73f297-Bussey, Brian]; Za idi, Amir 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=azaidi]; Kulkin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=f973c0fe038742b4bb68c3eeae3f8171-Kul kin, Matthew]; Sklar, Maggie 

[/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Sklar, Maggieca3]; Thornton, 

Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOHF23SPDL T)/cn=Recipients/cn=2f7cd lb27f3e4fde80a5088eadd3b931-Thornton 111, Norwo ]; Alex Albert 

[Alex.Albert@theice.com]; Trabue Bland [Trabue.Bland@theice.com]; Kelly Loeffler [Kelly.Loeffler@bakkt.com]; 

Goodman, Chris [/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Goodman, 

Chris269]; Hester Serafini [Hester.Serafini@theice.com]; Kuserk, Gregory [/o=CFTC/ou=Washington, 

DC/cn=Recipients/cn=gkuserk]; Karen Wuertz [KWuertz@NFA.Futures.Org] 

Subject: CFTC warehouse review call 

Attachments: invite.ics 

Location: Dial-in: 866-564-2207 Participant Code: j.Jb)(4) __ i 

Start: 2/28/2019 9:00:00 AM 

End: 2/28/2019 10:00:00 AM 

Show Time As: Tentative 

Recurrence: (none) 

When: Thursday, February 28, 2019, 3:00 PM to 4:00 PM. Eastern Time 

Where: Dial-in: 866-564-2207 Participant Code: i (b)(4) i L--·-·-·-·-·-·-·-·-·-·-·• 

If it is not too much trouble, the Chairman would like to move this call to 9:00 a.m. 
Appointment 

From: Gill, Michael [MGill@CFTC.gov] 

To: Giancarlo, Chris [JCGiancarlo@CFTC.gov]; Kelly Loeffler [Kelly.Loeffler@theice.com]; Bussey, Brian 

[BBussey@CFTC.gov]; Zaidi, Amir [AZaidi@CFTC.gov]; Kulkin, Matthew [MKulkin@CFTC.gov]; Sklar, Maggie 

[MSklar@CFTC.gov]; Thornton, Charlie [cthornton@CFTC.gov]; Alex Albert [Alex.Albert@theice.com]; Trabue Bland 

[Trabue.Bland@theice.com]; Kelly Loeffler [Kelly.Loeffler@bakkt.com]; Goodman, Chris [CGoodman@CFTC.gov]; 

Hester Serafini [Hester.Serafini@theice.com]; Kuserk, Gregory [gkuserk@CFTC.gov ]; Karen Wuertz 

[KWuertz@NFA.Futures.Org] 

Subject: CFTC warehouse review call 

Location: Dial-in: 866-564-2207 Participant Code:[ ____ (b)(4) _ ___] 

Start: 2/28/2019 9:00:00 AM 

End: 2/28/2019 10:00:00 AM 

Show Time As: Tentative 

Recurrence: (none) 

When: Thursday, February 28, 2019, 3:00 PM to 4:00 PM. Eastern Time 

where: Dial-in: 866-564-2207 Participant Code: j·-·-·-·(i:>H4f·-·-·i 

If it is not too much trouble, the chairman would like to move this call to 9:00 a.m. 
Appointment 

From: Gill, Michael 1/0=CFTC/OU=EXCHANGE ADMINISTRATIVE GROUP 

(FYDIBOHF23SPDLT)/CN=RECIPIENTS/CN=3AB6B606C58B45FE8B9.174D248B3FA65-GILL, MICHAEL) 

Se nt: 2/22/2019 6:29:27 PM 

To : Giancarlo, Chris t/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=Giancarlo1 

Chds2a4); Kelly Loeffler [Kelly.Loeffler@theice.com]; Bussey, Brian [/o=CFTC/ou=Ex.change Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=a2d0b8b95a0b46029f13ebeadb73f297-Bussey, Brian]; Zaidi, Amir 

1/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=azaidi]; Kulkin, Matthew 

[/o=CFTC/ou=Exchange Administrative Group 

(FYDI BOH F23SPDLT)/ cn=Recipients/ cn=f973c0fe0387 42b4bb68c3eeae3f8171-Ku I kin, Matthew]; Sklar, Magg1 e 

1/o=CFTC/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipient s/cn=Sklar, Maggieca3]; Thornton, 

Charlie [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=2f7cdlb27f3e4fde80a5088eadd3b931-Thornton Ill, Norwo]; Alex Albert 

[Alex.Albert@theice,com]; Trabue Bland [Trabue.Bland@theice.com] 

CC: Kelly Loeffler lKelly,Loeffler@bakkt.com]; Goodman, Chris [/o=CFTC/ou=Exchange Administrative Group 

(FYDIBOHF23SPDLT)/cn=Recipients/cn=Goodman, Chris269}; Hester Serafini [Hester.Serafini@theice.com] 

'Subject: CFTC warehouse review call ,-,-,-,. ,-,. ,_,_,_,. ,-; 

location: Dial-in: 866-564-2207 Participant Code:L_Jb)(4) _J 

Start: 2/28/2019 9:00:00 AM 

End: 2/28/2019 10:00:00 AM 

Show Time As: Tentative 

Required Giancarlo, Chris; Kelly Loeffler; Bussey, Brian; Zaidi, Amir; Kulkin, Matthew; Sklar, Maggie; Thornton, Charlie; Alex 

Attendees: Albert; Trabue Bland 

If it is not too much trouble, the Chairman would like to move this call to 9:00 a.m.