1.3 APEX Clearing 2022 1 2022-04-29T15:16:07Z 2022 01 100.00 46.11 5.96 38.32 9.60 Jane Street Capital 25.02 24.08 28.20 26.29 22.51 9045.84 15.0022 4751.83 15.0000 5687.28 28.7373 6008.74 18.2305 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. Instinet, LLC 23.26 30.89 17.75 19.65 4.39 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Virtu Americas, LLC 20.20 18.61 23.72 20.96 22.59 6603.48 15.0000 3346.18 15.0000 4286.36 29.0000 3133.22 14.8335 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 18.27 14.94 16.91 17.96 36.39 5441.12 15.0000 2897.35 15.0000 3176.90 29.0000 3556.92 17.4770 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 6.58 1.35 1.62 13.49 7.27 546.99 15.0008 356.70 15.0002 3214.24 28.8865 657.39 17.4504 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 32.48 10.50 40.50 16.52 Jane Street Capital 22.82 26.23 30.03 21.69 14.32 108830.88 12.2617 144698.32 12.2211 93730.43 25.9443 87328.04 17.3962 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. Instinet, LLC 21.77 23.88 12.48 29.87 3.64 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. CITADEL SECURITIES LLC 21.63 16.70 17.98 17.98 42.59 69357.16 12.0567 89503.46 11.8146 58293.68 18.0193 65077.78 15.8303 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 21.10 20.58 24.60 17.79 28.05 85139.78 11.6032 100937.29 11.2115 73334.53 28.1158 43123.91 13.7152 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. Two Sigma Securities, LLC 6.42 1.53 1.93 10.68 8.45 5935.17 9.0097 9197.41 9.5073 56522.54 28.8888 11859.55 16.6404 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 2.89 4.38 35.65 57.08 Dash Financial Technologies 36.21 51.49 27.14 15.31 49.19 29719.19 21.4680 24476.78 23.4690 18015.33 23.8860 234141.09 51.4825 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 35.71 26.61 42.91 49.79 26.83 14274.85 28.3710 85760.65 34.6027 43349.65 31.2888 102243.71 54.2554 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 17.96 11.22 17.26 22.12 15.76 4525.05 28.7926 33109.72 35.5735 25925.20 33.1516 39144.02 56.8260 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 8.16 9.66 11.53 11.45 5.78 4508.04 24.6099 18440.61 28.5857 11159.59 27.9060 14637.45 52.7324 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. 2022 02 100.00 47.37 5.55 37.40 9.68 Instinet, LLC 25.29 30.56 23.53 24.20 4.77 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 24.46 24.21 26.73 24.97 22.38 6820.13 15.0088 5049.77 15.0000 4243.94 28.5322 3702.15 20.4797 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 19.44 18.71 21.56 19.57 21.26 5368.81 15.0000 3256.55 15.0000 3221.46 29.0000 2644.23 14.7995 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 18.18 14.98 15.78 17.67 37.15 4265.97 15.0000 3348.20 15.0000 2708.94 29.0000 5784.42 16.2834 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 6.02 1.34 1.56 12.23 7.50 374.11 15.0003 240.45 15.0009 2758.61 28.9494 769.77 18.2643 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 33.30 10.75 39.80 16.14 Instinet, LLC 24.62 25.52 15.16 35.10 3.22 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 22.06 25.86 29.36 19.97 14.50 84027.38 11.8194 136181.93 12.2123 74014.59 25.0174 74434.43 16.5011 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 21.69 16.18 17.34 17.60 46.04 51343.34 11.2746 84709.47 12.1100 47193.45 16.6493 51830.65 15.7457 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 19.54 20.13 23.67 15.96 24.39 63998.21 10.9928 100238.22 11.3985 56479.88 28.0612 35354.50 12.2604 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. Two Sigma Securities, LLC 6.04 1.50 1.89 9.84 8.81 4746.62 8.0064 7209.87 9.0095 43830.84 28.8924 9008.62 14.6971 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 2.97 5.01 37.25 54.77 Wolverine Execution Services, LLC 34.06 23.43 40.06 46.14 25.87 13295.95 27.6670 89804.65 33.2087 40787.05 33.6546 72273.13 54.8946 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 34.04 49.70 25.31 15.56 46.55 38448.75 21.4093 28716.11 24.1645 15341.40 23.5934 169494.59 51.3508 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 19.05 14.79 18.67 22.53 16.95 7074.36 26.5335 35142.28 33.0595 22291.26 33.9687 52260.34 57.1239 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 8.10 9.25 10.72 11.00 5.82 4392.64 25.3032 18617.08 28.1932 9740.66 28.7828 12406.85 52.0880 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. 2022 03 100.00 47.13 4.90 38.55 9.42 Instinet, LLC 26.69 31.18 17.23 27.68 5.12 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 24.65 25.80 30.85 23.20 21.63 9048.05 15.0066 3482.86 15.0000 5122.48 28.6327 3446.89 19.3826 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. CITADEL SECURITIES LLC 20.32 18.15 19.54 17.73 42.20 6360.23 15.0000 2115.86 15.0000 2660.53 29.0000 2788.46 17.0182 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 16.08 13.80 18.59 18.35 16.91 4657.57 15.0000 1655.29 15.0000 3483.09 29.0000 1192.81 12.8681 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. Two Sigma Securities, LLC 5.99 1.37 1.66 11.82 7.49 510.77 15.0007 179.40 15.0000 2565.91 28.9242 474.06 17.3898 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 29.90 11.83 45.32 12.95 Instinet, LLC 31.15 30.09 17.96 42.80 4.86 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. CITADEL SECURITIES LLC 21.86 19.32 20.37 15.92 49.85 104811.28 10.7335 227213.72 10.8345 102254.10 13.8713 179217.16 14.5007 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. Jane Street Capital 20.88 25.56 29.38 17.68 13.48 136688.28 10.8007 300917.50 11.3127 174023.70 23.6261 118545.70 15.2442 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 15.09 13.95 18.99 13.43 19.96 74809.90 9.6435 167885.33 9.7821 130019.50 28.0399 71572.08 12.3396 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. Two Sigma Securities, LLC 5.84 1.43 1.90 8.90 8.87 7083.26 6.8905 16748.91 7.9164 101057.30 28.7572 15793.41 14.0632 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 2.16 4.98 39.64 53.22 Wolverine Execution Services, LLC 33.89 24.61 38.93 45.00 25.52 12996.90 26.6729 124110.95 34.8956 47939.25 33.0288 112439.96 55.0949 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 32.62 46.47 25.16 15.31 45.65 22924.92 21.7037 34164.38 24.6479 18531.56 23.6254 216391.31 51.7610 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 15.94 13.63 16.15 18.51 14.10 6257.46 25.0028 43479.25 34.8377 20660.25 33.5633 56255.73 56.9673 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 8.33 9.15 11.02 11.14 5.95 4457.90 24.8531 24399.60 29.6995 13419.23 29.3201 17256.88 53.0687 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. Matrix Executions, LLC / Simplex Trading, LLC 7.44 4.87 7.29 8.81 6.53 27.60 41.1940 19978.65 33.0051 14447.25 29.8417 37867.40 55.5444 APEX receives payment from Matrix Executions, LLC (Matrix) 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.