0000074751-21-000002.txt : 20210407 0000074751-21-000002.hdr.sgml : 20210407 20210407121447 ACCESSION NUMBER: 0000074751-21-000002 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06c FILED AS OF DATE: 20210407 DATE AS OF CHANGE: 20210407 EFFECTIVENESS DATE: 20210407 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPTIONS CLEARING CORP CENTRAL INDEX KEY: 0000074751 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 362756407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-215337 FILM NUMBER: 21811376 BUSINESS ADDRESS: STREET 1: 440 S LASALLE ST 39TH FL CITY: CHICAGO STATE: IL ZIP: 60605 BUSINESS PHONE: 3123226200 MAIL ADDRESS: STREET 1: 440 S LASALLE STREET STREET 2: SUITE 2400 CITY: CHICAGO STATE: IL ZIP: 60605 FORMER COMPANY: FORMER CONFORMED NAME: CHICAGO BOARD OPTIONS EXCHANGE CLEARING DATE OF NAME CHANGE: 19750108 D/A 1 primary_doc.xml X0708 D/A LIVE 0000074751 OPTIONS CLEARING CORP 125 South Franklin Street Suite 1200 CHICAGO IL ILLINOIS 60606 3123226200 DELAWARE CHICAGO BOARD OPTIONS EXCHANGE CLEARING Corporation true Jennifer Baum 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Janet Angstadt 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Thomas Barrett Goldman Sachs & Co. 200 West Street, Sixth Floor New York NY NEW YORK 10282 Director Julie W. Bauer 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Stuart M. Bourne Bank of America Merrill Lynch One Bryant Park New York NY NEW YORK 10036 Director Daniel T. Busby 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Thomas R. Cardello Venice Financial Management, LLC 1 Dock Street, Suite 610 Stamford CT CONNECTICUT 06902 Director Maria Chiodi Credit Suisse Eleven Madison Avenue New York NY NEW YORK 10010 Director John P. Davidson, III 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Carla Dawson 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Craig S. Donohue 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Director Kurt M. Eckert Wolverine Trading 175 West Jackson Boulevard, Suite 200 Chicago IL ILLINOIS 60604 Director John J. Fennell 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Thomas A. Frank Interactive Brokers, LLC One Pickwick Plaza Greenwich CT CONNECTICUT 06830 Director Meyer S. Frucher Nasdaq 324 West 101st Street, Apt. 2 New York NY NEW YORK 10025 Director David S. Goone IntercontinentalExchange, Inc., NYSE 353 North Clark Street, Suite 3100 Chicago IL ILLINOIS 60654 Director David A. Hoag 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Christopher A. Isaacson Cboe Inc. 8050 Marshall Drive, Suite 120 Lenexa KS KANSAS 66214 Director Joseph P. Kamnik 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Kevin J. Kennedy Nasdaq 2929 Walnut Street, Floor 8 Philadelphia PA PENNSYLVANIA 19104 Director Elizabeth K. King NYSE Group 11 Wall Street, 19th Floor New York NY NEW YORK 10005 Director Susan E. Lester 3145 Brant Street San Diego CA CALIFORNIA 92103 Director Richard R. Lindsey Windham Capital Management, Inc. 800 Boylston Street, 30th Floor Boston MA MASSACHUSETTS 02199 Director Robert R. Litterman Kepos Capital, LP 20 Twin Oak Road Short Hills NJ NEW JERSEY 07078 Director Stephen Luparello Citadel Securities 350 Park Avenue New York NY NEW YORK 10022 Director Dale A. Michaels 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Mark J. Morrison 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Hugo A. Mugica 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Susan G. O'Flynn Morgan Stanley 20 Bank Street, Canary Wharf London X0 UNITED KINGDOM E14 4AD Director Amy C. Shelly 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Scot E. Warren 125 South Franklin Street Suite 1200 Chicago IL ILLINOIS 60606 Executive Officer Alice Patricia White 4635 15th Street North Arlington VA VIRGINIA 22207 Director Joseph Kinahan TD Ameritrade 111 West Washington Street Chicago IL ILLINOIS 60602 Director Peter Maragos Dash Financial Technologies 250 Park Avenue South 9th Floor New York NY NEW YORK 10003 Director Other Decline to Disclose 06c true 0000074751-20-000001 2014-04-25 true true Cash-settled over-the-counter options on the S&P 500 Index ("OTC Options") false 0 Indefinite 740000 Indefinite OCC is the issuer of the OTC Options in its capacity as a reg clearing agcy. OTC Options w/tenors of less than 1101 days are subject to a min notional amt req under OCC's By-Laws/Rules but no min premium amt. Item 13(b) reps notional amt of options issued false 2 0 0 In their capacity as broker-dealers, OCC's clearing members may charge commissions or other fees with respect to any OTC Options, but OCC will not charge or pay any portion of such commissions or fees. See Item 16 below. 0 OCC will not receive any proceeds from the OTC Options. OCC charges clearing fees with respect to the OTC Options and no such fees will be paid to any of OCC's executive officers, directors or promoters. false OPTIONS CLEARING CORP John P. Davidson John P. Davidson CEO 2021-04-07