<SEC-DOCUMENT>0001381197-19-000005.txt : 20190110
<SEC-HEADER>0001381197-19-000005.hdr.sgml : 20190110
<ACCEPTANCE-DATETIME>20190110164940
ACCESSION NUMBER:		0001381197-19-000005
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190110
ITEM INFORMATION:		Regulation FD Disclosure
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20190110
DATE AS OF CHANGE:		20190110

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			Interactive Brokers Group, Inc.
		CENTRAL INDEX KEY:			0001381197
		STANDARD INDUSTRIAL CLASSIFICATION:	SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
		IRS NUMBER:				000000000
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33440
		FILM NUMBER:		19520684

	BUSINESS ADDRESS:	
		STREET 1:		ONE PICKWICK PLAZA
		CITY:			GREENWICH
		STATE:			CT
		ZIP:			06830
		BUSINESS PHONE:		203-618-5800

	MAIL ADDRESS:	
		STREET 1:		ONE PICKWICK PLAZA
		CITY:			GREENWICH
		STATE:			CT
		ZIP:			06830
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>ibkr-20190110x8k.htm
<DESCRIPTION>8-K
<TEXT>
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			ibkr_8k-20190110
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			<font style="display: inline;font-size:20pt;">UNITED STATES</font>
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			<font style="display: inline;font-size:20pt;">SECURITIES AND EXCHANGE COMMISSION</font>
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			<font style="display: inline;font-size:14pt;">CURRENT REPORT</font><br /><font style="display: inline;font-size:14pt;"></font><font style="display: inline;">Pursuant to Section 13 or 15(d) of the</font><br /><font style="display: inline;">Securities Exchange Act of 1934</font><br /><font style="display: inline;"></font>
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			<font style="display: inline;font-size:11pt;">Date of Report (Date of Earliest Event Reported):&nbsp; </font><font style="display: inline;font-weight:bold;font-size:11pt;">January</font><font style="display: inline;font-weight:bold;font-size:11pt;">&nbsp;</font><font style="display: inline;font-weight:bold;font-size:11pt;">10</font><font style="display: inline;font-weight:bold;font-size:11pt;">, &nbsp;</font><font style="display: inline;font-weight:bold;font-size:11pt;">2019</font>
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			<font style="display: inline;">INTERACTIVE BROKERS GROUP, INC.</font>
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			<font style="display: inline;font-size:11pt;">(Exact Name of Registrant as Specified in its Charter)</font>
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						<font style="display: inline;font-family:Times New Roman;font-weight:bold;">Delaware</font></p>
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						<font style="display: inline;font-family:Times New Roman;font-weight:bold;">001-33440</font></p>
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						<font style="display: inline;font-family:Times New Roman;font-weight:bold;">30-0390693</font></p>
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						<font style="display: inline;font-family:Times New Roman;">(State or Other Jurisdiction</font><br /><font style="display: inline;font-family:Times New Roman;">of Incorporation)</font></p>
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						<font style="display: inline;font-family:Times New Roman;"> Number)</font></p>
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			<font style="display: inline;font-size:11pt;">One Pickwick Plaza, Greenwich, CT 06830</font>
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			<font style="display: inline;font-size:11pt;">(Address of Principal Executive Offices) (Zip Code)</font>
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			<font style="display: inline;font-size:11pt;">(203) 618-5800</font>
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			<font style="display: inline;font-size:11pt;">(Registrant&#x2019;s Telephone Number, Including Area Code)</font>
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			<font style="display: inline;font-size:11pt;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</font>
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						<font style="display: inline;font-size:11pt;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</font></p>
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						<font style="display: inline;font-size:11pt;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</font></p>
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						<font style="display: inline;font-size:11pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</font></p>
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						<font style="display: inline;font-size:11pt;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></p>
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			<font style="display: inline;font-family:Times New Roman;color:#000000;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#xA7;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#xA7;240.12b-2 of this chapter).</font>
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			<font style="display: inline;font-family:Times New Roman;">Emerging growth company </font><font style="display: inline;font-family:Times New Roman;">&#x25A1;</font>
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			<font style="display: inline;font-family:Times New Roman;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.&nbsp;&nbsp;&nbsp; </font><font style="display: inline;font-family:Times New Roman;">&#x25A1;</font>
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			<font style="display: inline;font-weight:bold;font-size:11pt;">Item </font><font style="display: inline;font-weight:bold;font-size:11pt;">7.01 Regulation FD Disclosure</font><font style="display: inline;font-weight:bold;font-size:11pt;">.</font>
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			<font style="display: inline;font-family:Times New Roman;font-weight:bold;color:#000000;">&#xFEFF;</font>
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			<font style="display: inline;font-family:Times New Roman;">Interactive Brokers Group, Inc.</font><font style="display: inline;font-family:Times New Roman;">&nbsp;</font><font style="display: inline;font-family:Times New Roman;">announced today that Mr. Thomas Peterffy, Chairman and Chief Executive Officer of the Company, and his affiliates, intend to adopt a trading plan in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934 and the Company&#x2019;s Employee Trading Policy.&nbsp;&nbsp;Following the Company&#x2019;s July 2019 earnings announcement, an annually renewable trading plan will be adopted pursuant to which approximately 20,000 shares of Class A common stock will be sold each trading day at prevailing market prices, subject to any minimum price and volume thresholds and other terms to be set forth in the trading plan.&nbsp;&nbsp;The shares of Class A common stock to be sold under the trading plan will be acquired pursuant to the terms of that certain Exchange Agreement, previously filed by the Company as exhibit 10.3 to its Form 10-Q filed on November 11, 2009, as amended by that certain amendment previously filed as exhibit 10.1 to the Form 8-K filed on June 12, 2012 and as further amended by that certain amendment filed as exhibit 10.1 to the Form 10-Q on November 9, 2015.&nbsp;&nbsp;It is expected the trading plan will be renewed annually.&nbsp;&nbsp;The transactions will be disclosed in accordance with applicable securities laws, rules and regulations through appropriate filings with the Securities and Exchange Commission, as applicable.</font>
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			<font style="display: inline;font-weight:bold;font-size:11pt;">Item 9.01 Financial Statements and Exhibits.</font>
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			<font style="display: inline;font-size:11pt;">(d)</font><font style="display: inline;font-size:11pt;;font-size: 11pt;font-family:Times New Roman;text-indent:0pt;margin-left:0pt;padding:0pt 36pt 0pt 0pt;"></font><font style="display: inline;font-size:11pt;">Exhibits</font>
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						<font style="display: inline;font-family:Times New Roman;font-weight:bold;font-size:8pt;">Exhibit</font><br /><font style="display: inline;font-family:Times New Roman;font-weight:bold;font-size:8pt;">Number</font></p>
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						<font style="display: inline;font-family:Times New Roman;font-weight:bold;font-size:8pt;">Description</font></p>
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						<font style="display: inline;font-family:Times New Roman;">10.</font><font style="display: inline;font-family:Times New Roman;">1</font></p>
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					<p style="margin:0pt 0pt 0pt 3.6pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<a href="http://www.sec.gov/Archives/edgar/data/1381197/000138119709000022/exhibit_10-3.htm" style="-sec-extract:exhibit"><font style="display: inline;font-family:Times New Roman;">Exchange Agreement by and among Interactive Brokers Group,&nbsp;Inc., IBG Holdings&nbsp;LLC, IBG&nbsp;LLC and the Members of IBG&nbsp;LLC (filed as Exhibit&nbsp;10.3 to the Quarterly Report on Form&nbsp;10</font><font style="display: inline;font-family:Times New Roman;">&#8209;Q for the Quarterly Period Ended September&nbsp;30, 2009 filed by the Company on November&nbsp;11, 2009).</font></a><font style="display: inline;font-family:Times New Roman;">**</font></p>
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				<td valign="top" style="width:09.30%;padding:0pt 4.3pt;">
					<p style="margin:0pt 0pt 0pt 10pt;text-indent: -10pt;text-align:center;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">&#xFEFF;</font></p>
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					<p style="margin:0pt 0pt 0pt 3.6pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						&nbsp;</p>
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					<p style="margin:0pt 0pt 0pt 10pt;text-indent: -10pt;text-align:center;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">10.</font><font style="display: inline;font-family:Times New Roman;">2</font></p>
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				<td valign="top" style="width:90.70%;padding:0pt 4.3pt;">
					<p style="margin:0pt 0pt 0pt 3.6pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<a href="http://www.sec.gov/Archives/edgar/data/1381197/000138119712000042/exhibit10_1.htm" style="-sec-extract:exhibit"><font style="display: inline;font-family:Times New Roman;">Interactive Brokers Group,&nbsp;Inc. Amendment to the Exchange Agreement (filed as Exhibit&nbsp;10.1 to the Form&nbsp;8</font><font style="display: inline;font-family:Times New Roman;">&#8209;K filed by the Company on June&nbsp;6, 2012).</font></a><font style="display: inline;font-family:Times New Roman;">**</font></p>
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					<p style="margin:0pt 0pt 0pt 10pt;text-indent: -10pt;text-align:center;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">&#xFEFF;</font></p>
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						&nbsp;</p>
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					<p style="margin:0pt 0pt 0pt 10pt;text-indent: -10pt;text-align:center;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">10.</font><font style="display: inline;font-family:Times New Roman;">3</font></p>
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				<td valign="top" style="width:90.70%;background-color: #auto;padding:0pt 4.3pt;">
					<p style="margin:0pt 0pt 0pt 3.6pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<a href="http://www.sec.gov/Archives/edgar/data/1381197/000138119715000040/ibkr-20150930ex10162c1d4.htm" style="-sec-extract:exhibit"><font style="display: inline;font-family:Times New Roman;">Second Amendment to Exchange Agreement by and among Interactive Brokers Group, Inc., IBG Holdings LLC, IBG (filed as Exhibit 10.1 to the Quarterly Report on Form 10-Q for the Quarterly Period Ended September 31, 2015 filed by the Company on November 9, 2015).</font></a><font style="display: inline;font-family:Times New Roman;">**</font></p>
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		<p style="margin:0pt;line-height:100%;font-family:Times New Roman;font-size: 11pt">
			<font style="display: inline;font-size:11pt;">&#xFEFF;</font>
		</p><hr style="border-bottom-style:solid;width:25%;height:.75pt; ;color:#000000" align="left"></hr>
		<p style="margin:0pt 0pt 8pt 18pt;text-indent: -18pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
			<font style="display: inline;font-family:Times New Roman;">**&nbsp;&nbsp;&nbsp;Previously filed; incorporated herein by reference.</font>
		</p>
		<p style="margin:0pt 0pt 8pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
			<font style="display: inline;font-family:Times New Roman;color:#000000;">&#xFEFF;</font>
		</p>
		<p style="margin:0pt 0pt 8pt;text-align:justify;text-justify:inter-ideograph;font-family:Calibri;line-height:107.92%;font-size: 11pt">
			<font style="display: inline;color:#000000;">&#xFEFF;</font>
		</p>
		<p style="margin:0pt 0pt 8pt;text-align:justify;text-justify:inter-ideograph;font-family:Calibri;line-height:107.92%;font-size: 11pt">
			<font style="display: inline;color:#000000;">&#xFEFF;</font>
		</p>
		<p style="margin:0pt 0pt 12pt;text-align:center;font-family:Calibri;line-height:107.92%;font-size: 11pt">
			<font style="display: inline;">***</font>
		</p>
		<p style="margin:0pt 0pt 8pt;text-align:center;font-family:Calibri;line-height:107.92%;font-size: 11pt">

		</p>
		<p><font size="1"> </font></p><hr size="3" style="color:#999999" width="100%" align="center"></hr><p style="page-break-after:always">&nbsp;</p>
		<p style="margin:0pt 0pt 8pt;text-align:center;font-family:Calibri;line-height:107.92%;;font-size: 11pt"><font style="display: inline;"></font><font style="display: inline;font-family:Times New Roman;">SIGNATURE</font>
		</p>
		<p style="margin:0pt 0pt 12pt;line-height:100%;text-indent:36pt;font-family:Times New Roman;font-size: 11pt">
			<font style="display: inline;font-size:11pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</font>
		</p>
		<p style="margin:0pt 0pt 12pt;line-height:100%;font-family:Times New Roman;font-size: 11pt">
			<font style="display: inline;font-size:11pt;">Dated: </font><font style="display: inline;font-size:11pt;">January</font><font style="display: inline;font-size:11pt;">&nbsp;</font><font style="display: inline;font-size:11pt;">10</font><font style="display: inline;font-size:11pt;">, &nbsp;</font><font style="display: inline;font-size:11pt;">201</font><font style="display: inline;font-size:11pt;">9</font>
		</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;height:1.00pt;overflow:hidden;font-size: 1pt">
						<font style="display: inline;font-family:Times New Roman;font-size:1pt;">&#xFEFF;</font></p>
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				<td valign="top" style="width:49.80pt;border-top:1pt none #D9D9D9 ;border-left:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;border-right:1pt none #D9D9D9 ;height:1.00pt;padding:0pt 6.5pt;">
					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;height:1.00pt;overflow:hidden;font-size:0pt;">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;height:1.00pt;overflow:hidden;font-size:0pt;">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">&#xFEFF;</font></p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">INTERACTIVE BROKERS GROUP, INC.</font></p>
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						<font style="display: inline;font-family:Times New Roman;">&#xFEFF;</font></p>
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				<td valign="top" style="width:49.80pt;padding:0pt 6.5pt;">
					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">&#xFEFF;</font></p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						&nbsp;</p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">By:</font></p>
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				<td valign="top" style="width:252.00pt;border-top:1pt none #D9D9D9 ;border-left:1pt none #D9D9D9 ;border-bottom:1pt solid #000000 ;border-right:1pt none #D9D9D9 ;padding:0pt 6.5pt;">
					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">/s/ Paul J. Brody</font></p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">&#xFEFF;</font></p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">Name:</font></p>
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				<td valign="top" style="width:252.00pt;border-top:1pt solid #000000 ;border-left:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;border-right:1pt none #D9D9D9 ;padding:0pt 6.5pt;">
					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">Paul J. Brody</font></p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">Title:</font></p>
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					<p style="margin:0pt;font-family:Calibri;line-height:107.92%;font-size: 11pt">
						<font style="display: inline;font-family:Times New Roman;">Chief Financial Officer, Treasurer</font><br /><font style="display: inline;font-family:Times New Roman;">and Secretary</font></p>
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			<font style="display: inline;">&nbsp;</font>
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			<font style="display: inline;">&nbsp;</font>
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