Quarterly Order Routing Statistics: MDB Capital Group LLC
Date: 01-JUL-2017 - 30-SEP-2017




NYSE Listed Securities

Orders# Orders% Orders# Orders% Market Market Limit Limit Other Other Venue Routed Routed Market Market Limit Limit Other Other Non-Dir Non-Dir Direct Direct orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 6 100.0% 0 0.0% 1 16.7% 5 83.3% 0 0.0% | NYSE 3 50.0% 1 100.0% 2 40.0% 0 0.0% | VIRTUDP 1 16.7% 0 0.0% 1 20.0% 0 0.0% | BYX 1 16.7% 0 0.0% 1 20.0% 0 0.0% | IB ATS 1 16.7% 0 0.0% 1 20.0% 0 0.0%

Nasdaq Stock Market securities

Orders# Orders% Orders# Orders% Market Market Limit Limit Other Other Venue Routed Routed Market Market Limit Limit Other Other Non-Dir Non-Dir Direct Direct orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 1622 100.0% 0 0.0% 28 1.7% 1592 98.2% 2 0.1% | ISLAND 1,221 75.3% 10 35.7% 1,211 76.1% 0 0.0% | IB ATS 108 6.7% 4 14.3% 103 6.5% 1 50.0% | DRCTEDGE 85 5.2% 2 7.1% 83 5.2% 0 0.0% | BYX 42 2.6% 1 3.6% 41 2.6% 0 0.0% | UBSDARK 35 2.2% 1 3.6% 34 2.1% 0 0.0% | ARCA 32 2.0% 4 14.3% 28 1.8% 0 0.0% | BATS 25 1.5% 0 0.0% 25 1.6% 0 0.0% | NITEECN 18 1.1% 2 7.1% 16 1.0% 0 0.0% | CITADELDP 13 0.8% 1 3.6% 12 0.8% 0 0.0% | ITG 13 0.8% 0 0.0% 13 0.8% 0 0.0% | NITEEXST 9 0.6% 2 7.1% 7 0.4% 0 0.0% | BEX 5 0.3% 0 0.0% 5 0.3% 0 0.0% | PSX 4 0.2% 0 0.0% 4 0.3% 0 0.0% | VIRTUDP 4 0.2% 1 3.6% 3 0.2% 0 0.0% | PDQ 4 0.2% 0 0.0% 4 0.3% 0 0.0% | JANE 2 0.1% 0 0.0% 1 0.1% 1 50.0% | EDGEA 1 0.1% 0 0.0% 1 0.1% 0 0.0% | CSFBCROSS 1 0.1% 0 0.0% 1 0.1% 0 0.0%

Securities listed on Amex or any other national securities exchange

Orders# Orders% Orders# Orders% Market Market Limit Limit Other Other Venue Routed Routed Market Market Limit Limit Other Other Non-Dir Non-Dir Direct Direct orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 11 100.0% 0 0.0% 0 0.0% 11 100.0% 0 0.0% | DRCTEDGE 5 45.5% 0 0.0% 5 45.5% 0 0.0% | AMEX 2 18.2% 0 0.0% 2 18.2% 0 0.0% | IB ATS 1 9.1% 0 0.0% 1 9.1% 0 0.0% | JANE 1 9.1% 0 0.0% 1 9.1% 0 0.0% | VIRTUDP 1 9.1% 0 0.0% 1 9.1% 0 0.0% | ARCA 1 9.1% 0 0.0% 1 9.1% 0 0.0%

Listed Options

Orders# Orders% Orders# Orders% Market Market Limit Limit Other Other Venue Routed Routed Market Market Limit Limit Other Other Non-Dir Non-Dir Direct Direct orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% orders# orders% --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 61 100.0% 0 0.0% 1 1.6% 25 41.0% 35 57.4% | CBOE 25 41.0% 1 100.0% 5 20.0% 19 54.3% | PSE 12 19.7% 0 0.0% 7 28.0% 5 14.3% | ISE 5 8.2% 0 0.0% 0 0.0% 5 14.3% | AMEX 5 8.2% 0 0.0% 4 16.0% 1 2.9% | NASDAQOM 4 6.6% 0 0.0% 3 12.0% 1 2.9% | PHLX 3 4.9% 0 0.0% 0 0.0% 3 8.6% | MIAX 2 3.3% 0 0.0% 2 8.0% 0 0.0% | MERCURY 2 3.3% 0 0.0% 2 8.0% 0 0.0% | BOX 1 1.6% 0 0.0% 1 4.0% 0 0.0% | CBOE2 1 1.6% 0 0.0% 0 0.0% 1 2.9% | EDGX 1 1.6% 0 0.0% 1 4.0% 0 0.0%


EXCHANGE NAME ABBREVIATIONS





AMEX NYSE MKT / NYSE Amex Options ARCA NYSE Arca BATS BATS Z-EXCHANGE BEX NASDAQ OMX BX BOX Boston Option Exchange BYX BATS Y Exchange CBOE Chicago Board Options Exchange CBOE2 Chicago Board Options Exchange 2 CITADELDP Citadels Darkpool for US Equities CSFBCROSS CSFB CrossFinder DRCTEDGE BATS DIRECT EDGE EDGEA BATS EDGA Exchange EDGX BATS EDGX Exchange IB ATS Interactive Brokers Alternative Trading System ISE International Securities Exchange ISLAND Nasdaq ITG Investment Technology Group JANE Jane Street Execution Services LLC MERCURY ISE Mercury MIAX Miami Options Exchange NASDAQOM Nasdaq Options Market NITEECN KNIGHT LINK NITEEXST Knight Trading Exhaust Darkpool NYSE New York Stock Exchange PDQ PDQ ATS PHLX NASDAQ OMX PHLX PSE NYSE Arca Options PSX Nasdaq OMX PSX UBSDARK UBS Dark Pool VIRTUDP Virtu Financial Capital Markets LLC









ABBREVIATIONS





BASIC ORDER FLOW PROVIDER ROUTING REPORT


Orders# The number of total orders from the provider that were Non-Dir non-directed orders. Orders% The percentage of total orders from the provider that were Non-Dir non-directed orders. Orders# The number of total orders from the provider that were Direct directed orders. Orders% The percentage of total orders from the provider that were Direct directed orders. Market The number of total non-directed customer orders that were orders# market orders. Market The percentage of total non-directed customer orders that orders% were market orders. Limit The number of total non-directed customer orders that were orders# limit orders. Limit The percentage of total non-directed customer orders that orders% were limit orders. Other The number of total non-directed customer orders that were orders# special handling orders and any orders that must be executed on a particular tick or bid. Other The percentage of total non-directed customer orders that orders% were special handling orders and any orders that must be executed on a particular tick or bid. Venue List of the ten venues to which the largest number of total non-directed orders were routed for execution and of any venue to which more than five percent or more of non-directed orders were routed for execution Routed The number of total non-directed orders routed to the venue orders# Routed The percentage of total non-directed orders routed to the orders% venue Market The number of total non-directed market orders routed to the orders# venue Market The percentage of total non-directed market orders routed to orders% the venue Limit The number of total non-directed limit orders routed to the orders# venue Limit The percentage of total non-directed limit orders routed to orders% the venue Other The number of total non-directed other orders routed to the orders# venue. Other orders include special handling orders and any orders that must be executed on a particular tick or bid. Other The percentage of total non-directed other orders routed to orders% the venue. Other orders include special handling orders and any orders that must be executed on a particular tick or bid.