1.3 APEX Clearing 2022 3 2022-10-31T20:26:23Z 2022 07 100.00 47.65 4.65 40.03 7.67 Instinet, LLC 31.38 35.14 20.58 32.25 10.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Virtu Americas, LLC 20.00 26.31 15.79 14.61 11.44 3513.50 13.9639 2049.68 14.9966 2286.16 28.9730 907.09 11.4293 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. Jane Street Capital 19.53 19.97 34.52 19.05 10.14 6169.96 15.0070 5106.28 15.0000 3338.52 28.7027 3165.56 20.5854 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 17.98 11.62 18.31 18.26 55.88 7027.25 15.0000 3620.74 15.0000 2473.97 28.9863 3034.51 16.9862 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 7.82 1.01 1.62 15.83 12.08 203.37 15.0000 234.28 15.0014 3150.75 28.9841 558.39 18.5839 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. CODA MARKETS INC 3.30 5.95 9.18 0.00 0.47 3590.23 15.0000 540.46 15.0000 1.25 15.0060 45.11 14.9999 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. Both CODA Markets and PEAK6 Capital Management LLC are affiliated entities of Apex Clearing Corporation. 100.00 30.74 12.16 44.21 12.90 Instinet, LLC 30.25 29.54 13.37 42.55 5.68 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. CITADEL SECURITIES LLC 23.87 17.91 21.95 17.40 62.09 59731.41 8.0103 104926.50 9.7292 51191.53 12.4033 48627.77 13.0857 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 19.99 25.81 34.14 15.70 7.46 82282.20 9.4158 148845.77 10.4760 78788.79 22.2404 46855.43 14.9627 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 14.62 17.99 19.44 11.29 13.48 41250.29 6.7566 67960.99 8.2263 50527.96 26.5644 14394.07 8.9946 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 7.84 1.45 2.17 13.06 10.55 4135.20 4.9291 7481.97 6.0389 74842.92 28.8929 6973.93 12.7926 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. CODA MARKETS INC 3.43 7.30 8.93 0.00 0.74 10586.68 15.0032 5125.20 14.9977 6.47 15.0014 447.85 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. Both CODA Markets and PEAK6 Capital Management LLC are affiliated entities of Apex Clearing Corporation. 100.00 1.44 4.93 29.54 64.08 Dash Financial Technologies 46.13 54.93 34.75 31.24 53.68 11366.57 21.8739 83842.42 29.0304 28687.37 33.4547 284693.96 51.3520 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 29.75 23.29 39.00 41.19 23.92 3861.15 26.4354 177757.96 26.8370 28831.05 30.8813 100788.27 54.0347 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. CITADEL SECURITIES LLC 10.34 10.02 10.36 10.41 10.32 1805.44 23.5267 39743.54 27.3708 8872.32 31.6473 42871.26 51.8339 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. Global Execution Brokers LP 7.46 6.87 7.56 7.41 7.48 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 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. Matrix Executions, LLC / Simplex Trading, LLC 6.31 4.89 8.32 9.76 4.60 3.90 39.0000 29635.20 29.1961 14803.00 27.8529 17245.40 51.9049 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. 2022 08 100.00 50.14 4.47 38.77 6.63 Virtu Americas, LLC 28.92 43.52 15.93 14.44 11.95 3719.61 13.0200 1284.68 14.9923 2700.18 28.9699 433.63 6.7363 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 28.70 27.13 20.48 34.67 11.15 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 16.91 15.42 34.86 18.07 9.32 7663.27 15.0018 2734.86 15.0000 3446.69 28.6734 3478.23 23.7474 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 15.66 8.80 17.96 17.52 55.15 4294.68 15.0000 1650.05 14.9999 2807.00 29.0000 1994.94 21.0268 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 7.11 0.63 1.45 15.30 12.10 289.79 15.0000 134.10 15.0002 3510.45 28.9766 693.85 17.0953 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. CODA MARKETS INC 2.69 4.50 9.31 0.00 0.33 4565.94 15.0000 841.87 15.0000 1.09 15.0000 44.17 14.9998 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. Both CODA Markets and PEAK6 Capital Management LLC are affiliated entities of Apex Clearing Corporation. 100.00 31.24 11.91 46.11 10.73 Instinet, LLC 33.16 31.13 18.12 44.48 7.13 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. CITADEL SECURITIES LLC 20.39 14.75 20.22 15.95 56.04 78050.07 9.8067 152107.33 10.1286 67654.88 14.5782 75394.82 13.2128 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 18.72 21.63 32.83 15.30 9.31 109433.69 10.1258 210630.28 10.5813 102093.80 23.4104 75789.58 14.6783 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 17.04 25.47 18.42 11.13 16.34 57223.52 8.8609 82211.91 8.0923 65077.28 27.9625 19383.73 8.5187 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 7.70 0.98 1.89 13.14 10.32 4590.14 5.8158 8844.55 5.8686 97584.10 28.8559 8586.68 12.4516 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. CODA MARKETS INC 2.99 6.04 8.50 0.00 0.87 14790.54 15.0000 7943.37 15.0000 9.39 14.9989 730.02 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. Both CODA Markets and PEAK6 Capital Management LLC are affiliated entities of Apex Clearing Corporation. 100.00 2.00 5.08 31.52 61.41 Dash Financial Technologies 43.42 51.72 32.59 29.93 50.97 14766.03 22.1174 113206.20 31.0351 34826.24 33.7254 344306.98 51.1336 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 29.93 23.76 37.32 40.54 24.08 5647.10 27.0468 215762.50 27.4053 42920.25 30.8535 109333.11 53.7369 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. CITADEL SECURITIES LLC 12.56 12.66 14.06 12.47 12.48 3131.36 25.0309 69297.57 26.4682 16713.39 28.2392 60850.97 51.7361 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 8.55 6.75 10.48 11.67 6.84 97.25 58.9394 54022.30 28.4093 24926.10 27.9585 35802.32 53.9086 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. Global Execution Brokers LP 5.54 5.10 5.54 5.39 5.63 1324.24 23.3841 25272.41 28.7592 6540.29 31.0939 33788.01 53.4223 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. 2022 09 100.00 51.21 4.59 37.34 6.86 Virtu Americas, LLC 32.80 48.83 19.94 16.00 13.14 3999.21 13.2745 2729.19 14.9957 2043.11 28.9653 1025.19 10.9675 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 25.19 22.78 20.70 31.76 10.44 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. Jane Street Capital 17.56 16.04 34.89 18.97 9.71 6140.76 15.0016 5429.90 15.0000 2721.98 28.6740 3977.36 23.8262 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 15.31 7.12 14.05 19.47 54.59 2955.25 15.0000 2556.58 15.0000 2259.04 29.0000 3943.87 17.1265 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 6.21 0.42 0.88 13.80 11.70 125.86 15.0000 74.94 15.0199 2405.03 28.9734 654.63 18.7758 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. CODA MARKETS INC 2.93 4.80 9.53 0.00 0.42 3516.74 15.0000 625.25 15.0000 1.67 15.0000 41.43 14.9998 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. Both CODA Markets and PEAK6 Capital Management LLC are affiliated entities of Apex Clearing Corporation. 100.00 30.96 11.69 45.94 11.40 Instinet, LLC 30.70 25.30 14.22 44.72 5.83 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client. CITADEL SECURITIES LLC 20.43 12.86 18.37 17.10 56.56 47644.59 9.1521 121024.29 10.7649 64984.25 17.2757 51540.57 14.7036 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 19.76 31.44 22.70 11.77 17.24 50339.12 9.3690 92288.55 9.7666 54072.71 28.2326 15422.06 10.3910 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. Jane Street Capital 19.11 23.15 34.30 15.05 8.92 78945.62 10.2670 200005.63 11.8225 84755.54 24.4966 62713.86 15.5709 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. Two Sigma Securities, LLC 6.80 0.70 1.29 11.36 10.67 1831.17 4.5206 5654.08 6.2497 68150.94 28.9401 5908.68 13.2405 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. CODA MARKETS INC 3.18 6.54 9.12 0.00 0.78 10245.48 15.0000 5392.28 15.0000 8.05 14.9996 447.34 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. Both CODA Markets and PEAK6 Capital Management LLC are affiliated entities of Apex Clearing Corporation. 100.00 1.86 4.76 31.34 62.04 Dash Financial Technologies 47.77 67.17 40.59 36.22 53.58 10897.18 22.3275 123247.41 28.4159 32467.53 33.2081 368098.69 51.0611 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 25.80 14.64 32.74 37.04 19.92 2914.49 27.6281 164524.41 26.6346 25990.59 31.5087 71728.98 53.9502 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. CITADEL SECURITIES LLC 10.50 9.88 11.60 10.76 10.30 1928.66 24.0631 53098.41 25.7184 8458.63 28.5494 47663.47 51.5164 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 9.19 5.08 11.48 13.82 6.80 3.10 28.1818 45368.55 28.0916 19761.65 28.7497 25982.36 54.0522 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. Instinet, LLC 6.74 3.23 3.59 2.16 9.39 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Instinet is APEX’s technology provider, All Exchange fee/rebates are passed directly back to the client.