1.3 APEX Clearing 2021 4 2022-01-31T17:39:08Z 2021 10 100.00 46.57 5.64 39.15 8.64 Instinet, LLC 27.06 28.93 18.53 31.04 4.55 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 17.58 12.89 27.20 22.31 15.13 3133.16 15.0550 2201.91 15.0000 3825.74 28.6074 1471.02 23.3644 APEX receives payment from Jane Street Capital, LLC (Jane) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CODA MARKETS INC 16.90 33.62 1.30 0.00 13.56 40782.76 15.0000 189.38 16.1986 0.00 0.0000 3052.10 15.0000 APEX receives payment from Coda Markets, Inc. (CODA) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Important Disclosures: Orders routed to and executed by CODA Markets interact with PEAK6 Capital Management LLC. PEAK6 Capital Management LLC is an affiliated entity of Apex Clearing Corporation Virtu Americas, LLC 15.46 11.04 25.60 18.40 19.37 2529.05 15.0000 1792.23 15.0000 2843.42 29.0000 413.26 9.1213 APEX receives payment from Virtu Financial, Inc. (Virtu) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CITADEL SECURITIES LLC 13.19 6.85 12.91 15.85 35.48 1427.66 15.0000 893.90 15.0000 2154.23 29.0000 795.97 20.0289 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Two Sigma Securities, LLC 6.39 1.85 3.87 11.80 7.93 406.10 15.0002 263.06 15.0005 2064.16 28.7969 313.54 16.4913 APEX receives payment from Two Sigma Investments, LP (Two Sigma) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 100.00 28.44 11.03 46.54 13.99 Instinet, LLC 33.55 23.86 21.34 51.07 4.64 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 15.53 14.34 24.98 14.51 13.87 121149.13 13.5448 261500.87 14.2140 137707.18 25.5116 128463.29 17.5145 APEX receives payment from Jane Street Capital (Jane) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CITADEL SECURITIES LLC 15.50 8.57 12.98 12.91 40.21 67901.89 7.9188 134138.12 9.9689 80510.51 18.0158 101695.53 14.9714 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Virtu Americas, LLC 15.29 12.99 23.15 12.49 23.08 106161.18 10.5895 214846.12 12.1549 102206.67 28.7605 100204.11 13.7946 APEX receives payment from Virtu Financial, Inc. (Virtu) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CODA MARKETS INC 10.46 32.38 3.52 0.00 6.16 104834.63 15.0000 4422.49 15.0000 23.82 14.9998 9802.35 15.0000 APEX receives payment from Coda Markets, Inc. (CODA) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Important Disclosures: Orders routed to and executed by CODA Markets interact with PEAK6 Capital Management LLC. PEAK6 Capital Management LLC is an affiliated entity of Apex Clearing Corporation Two Sigma Securities, LLC 5.84 2.10 3.70 7.84 8.44 16777.65 14.9673 38304.04 14.9741 85283.59 28.8511 28220.50 15.9748 APEX receives payment from Two Sigma Investments, LP (Two Sigma) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 100.00 1.82 4.68 24.50 69.00 Wolverine Execution Services, LLC 39.99 31.66 43.28 55.70 34.42 7526.82 31.6559 193263.14 45.9989 65536.42 41.5495 114892.61 57.0756 APEX receives payment from Wolverine Execution Services (Wolverine) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Dash Financial Technologies 35.44 41.06 32.69 20.60 40.74 13626.75 24.3613 44504.44 27.9507 32046.34 32.7602 197732.89 50.6997 APEX receives payment from Dash Technologies Inc (Dash) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Global Execution Brokers LP 17.00 14.34 15.19 15.11 17.87 2063.02 18.2133 26210.49 20.1849 17195.51 23.6312 71162.94 52.1218 APEX receives payment from G1 Execution Services, LLC (G1X) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 2021 11 100.00 47.43 6.35 37.73 8.50 Instinet, LLC 23.95 29.84 18.28 21.83 4.74 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 19.00 12.86 27.95 25.79 16.44 4513.41 15.1121 4208.52 15.0000 4666.72 28.3736 3350.16 18.7523 APEX receives payment from Jane Street Capital, LLC (Jane) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CODA MARKETS INC 16.77 32.89 0.57 0.00 13.28 27296.71 15.0000 64.54 14.9998 0.00 0.0000 1974.28 15.0000 APEX receives payment from Coda Markets, Inc. (CODA) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Important Disclosures: Orders routed to and executed by CODA Markets interact with PEAK6 Capital Management LLC. PEAK6 Capital Management LLC is an affiliated entity of Apex Clearing Corporation Virtu Americas, LLC 16.64 11.20 26.41 20.97 20.43 3730.71 15.0000 2720.93 15.0000 3778.57 29.0000 2174.40 12.8693 APEX receives payment from Virtu Financial, Inc. (Virtu) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CITADEL SECURITIES LLC 12.00 5.05 9.32 16.68 32.06 1623.27 15.0000 1195.24 15.0000 2976.56 29.0000 1481.67 18.1393 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Two Sigma Securities, LLC 6.85 1.85 3.83 13.47 7.57 690.65 15.0002 671.31 15.0096 2670.62 28.8302 582.24 15.5617 APEX receives payment from Two Sigma Investments, LP (Two Sigma) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 100.00 33.05 10.65 41.71 14.59 Instinet, LLC 25.62 24.17 16.34 36.59 4.30 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 18.07 14.60 28.28 19.51 14.34 109605.00 11.7104 177637.60 13.2157 120603.84 26.9662 100419.78 17.2791 APEX receives payment from Jane Street Capital (Jane) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Virtu Americas, LLC 17.84 13.04 26.07 16.60 26.24 94798.70 11.1177 142570.78 12.4660 87051.25 28.6351 59475.69 12.8687 APEX receives payment from Virtu Financial, Inc. (Virtu) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CITADEL SECURITIES LLC 15.09 6.23 9.76 15.19 38.76 37899.59 8.6329 60277.08 10.8214 67952.97 21.1349 55769.33 16.2272 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CODA MARKETS INC 11.48 32.48 1.14 0.00 4.28 67153.07 15.0000 754.13 15.0000 0.00 0.0000 3914.27 15.0000 APEX receives payment from Coda Markets, Inc. (CODA) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Important Disclosures: Orders routed to and executed by CODA Markets interact with PEAK6 Capital Management LLC. PEAK6 Capital Management LLC is an affiliated entity of Apex Clearing Corporation Two Sigma Securities, LLC 6.73 2.12 4.16 10.43 8.47 14443.07 11.7282 26513.27 13.6878 69264.79 28.8325 21312.98 16.8127 APEX receives payment from Two Sigma Investments, LP (Two Sigma) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 100.00 1.87 4.48 25.88 67.77 Dash Financial Technologies 37.03 37.45 25.07 17.72 45.18 12457.65 22.4778 46188.10 23.6107 23644.35 35.9397 165206.52 50.8562 APEX receives payment from Dash Technologies Inc (Dash) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Wolverine Execution Services, LLC 30.93 30.61 38.08 41.17 26.55 6298.45 28.7587 76307.38 29.6442 46910.64 30.7143 85623.49 51.1258 APEX receives payment from Wolverine Execution Services (Wolverine) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Global Execution Brokers LP 24.46 23.55 29.51 32.52 21.08 4203.19 18.9401 71730.36 25.3649 43944.82 28.2061 52275.35 58.1677 APEX receives payment from G1 Execution Services, LLC (G1X) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 2021 12 100.00 45.19 5.77 39.35 9.69 Instinet, LLC 21.09 28.15 15.38 17.84 4.75 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 20.00 14.00 28.76 26.49 16.37 5402.57 15.0343 4333.62 15.0000 5144.98 28.5134 5880.68 18.6368 APEX receives payment from Jane Street Capital, LLC (Jane) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Virtu Americas, LLC 17.63 12.23 27.13 21.94 19.66 4362.50 15.0000 3583.65 15.0000 3523.49 29.0000 3546.61 14.6075 APEX receives payment from Virtu Financial, Inc. (Virtu) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CODA MARKETS INC 15.15 31.21 0.18 0.00 10.68 17672.02 15.0001 13.29 15.0002 0.00 0.0000 1296.45 15.0001 APEX receives payment from Coda Markets, Inc. (CODA) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Important Disclosures: Orders routed to and executed by CODA Markets interact with PEAK6 Capital Management LLC. PEAK6 Capital Management LLC is an affiliated entity of Apex Clearing Corporation CITADEL SECURITIES LLC 14.63 6.96 13.29 18.43 35.80 2242.83 15.0000 2036.56 15.0000 3047.90 28.9999 3291.61 18.7460 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Two Sigma Securities, LLC 6.60 0.87 1.82 13.69 7.36 318.75 15.0001 283.80 15.0013 2882.68 28.8402 689.52 16.8790 APEX receives payment from Two Sigma Investments, LP (Two Sigma) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 100.00 33.24 10.18 39.33 17.25 Virtu Americas, LLC 20.36 14.06 27.90 18.66 31.94 84568.30 11.7272 131410.35 11.6511 89239.91 28.6213 52545.90 13.8761 APEX receives payment from Virtu Financial, Inc. (Virtu) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Instinet, LLC 19.60 21.12 10.79 27.89 3.00 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 19.15 15.75 30.58 22.08 12.25 97867.05 12.0425 165166.60 12.2760 119870.74 26.7553 98949.14 18.4890 APEX receives payment from Jane Street Capital (Jane) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CITADEL SECURITIES LLC 18.09 8.51 13.98 17.95 39.28 44543.84 10.8566 79327.00 11.3399 69457.03 20.2519 58676.10 17.5518 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CODA MARKETS INC 11.14 32.06 0.14 0.00 2.74 46677.23 15.0001 63.45 15.0001 0.00 0.0000 2069.55 15.0001 APEX receives payment from Coda Markets, Inc. (CODA) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Important Disclosures: Orders routed to and executed by CODA Markets interact with PEAK6 Capital Management LLC. PEAK6 Capital Management LLC is an affiliated entity of Apex Clearing Corporation Two Sigma Securities, LLC 6.33 1.01 2.05 11.24 7.94 6437.00 9.3595 10258.98 9.0816 67903.73 28.9178 13335.26 16.7799 APEX receives payment from Two Sigma Investments, LP (Two Sigma) for directing order flow. Payment varies based upon a number of factors including but not limited to: whether an order is marketable at the time of order entry, the underlying price of the security and any special handling instructions. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. 100.00 2.23 4.16 27.45 66.16 Dash Financial Technologies 36.66 40.29 24.30 15.93 45.92 15891.85 21.5793 25127.65 23.8245 20804.00 23.9633 213471.34 51.5793 APEX receives payment from Dash Technologies Inc (Dash) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Wolverine Execution Services, LLC 33.59 31.32 41.95 47.12 27.53 11342.42 27.3912 83700.36 35.4247 45779.70 34.0866 98520.18 54.1850 APEX receives payment from Wolverine Execution Services (Wolverine) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. Global Execution Brokers LP 19.18 15.19 20.62 23.55 17.42 4768.01 28.7541 41175.31 37.4733 27293.12 35.5268 39960.10 57.1757 APEX receives payment from G1 Execution Services, LLC (G1X) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds. CITADEL SECURITIES LLC 8.50 10.96 11.33 11.33 7.07 3528.52 24.7061 17947.32 29.0838 11557.99 29.5382 17131.01 53.0997 APEX receives payment from Citadel Securities, LLC. (Citadel) for directing order flow of options contracts. Payment varies based upon a number of factors including but not limited to: Type of the order and the underlying symbol of the security. These payments were not contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds.