Form D

FORM D

Notice of Exempt Offering of Securities

UNITED STATES SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C.

OMB APPROVAL

OMB Number: 3235-0076

Estimated Average burden hours per response: 4.0

1. Issuer's Identity

CIK (Filer ID Number)

Previous Name(s)

None

Entity Type

0000074751

CHICAGO BOARD OPTIONS EXCHANGE CLEARING

Corporation

Limited Partnership

Limited Liability Company

General Partnership

Business Trust

Other

Name of Issuer

OPTIONS CLEARING CORP

Jurisdiction of Incorporation/Organization

DELAWARE

Year of Incorporation/Organization

Over Five Years Ago

Within Last Five Years (Specify Year)

Yet to Be Formed

2. Principal Place of Business and Contact Information

Name of Issuer

OPTIONS CLEARING CORP

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Phone No. of Issuer

CHICAGO

ILLINOIS

60606

3123226200

3. Related Persons

Last Name

First Name

Middle Name

Baum

Jennifer

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Angstadt

Janet

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Barrett

Thomas

Street Address 1

Street Address 2

Goldman Sachs & Co.

200 West Street, Sixth Floor

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10282

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Bauer

Julie

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Bourne

Stuart

Street Address 1

Street Address 2

Bank of America Merrill Lynch

One Bryant Park

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10036

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Busby

Daniel

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Cardello

Thomas

Street Address 1

Street Address 2

Venice Financial Management, LLC

1 Dock Street, Suite 610

City

State/Province/Country

ZIP/Postal Code

Stamford

CONNECTICUT

06902

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Chiodi

Maria

Street Address 1

Street Address 2

Credit Suisse

Eleven Madison Avenue

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10010

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Davidson, III

John

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Dawson

Carla

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Donohue

Craig

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Eckert

Kurt

Street Address 1

Street Address 2

Wolverine Trading

175 West Jackson Boulevard, Suite 200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60604

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Fennell

John

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Frank

Thomas

Street Address 1

Street Address 2

Interactive Brokers, LLC

One Pickwick Plaza

City

State/Province/Country

ZIP/Postal Code

Greenwich

CONNECTICUT

06830

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Frucher

Meyer

Street Address 1

Street Address 2

Nasdaq

324 West 101st Street, Apt. 2

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10025

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Goone

David

Street Address 1

Street Address 2

IntercontinentalExchange, Inc., NYSE

353 North Clark Street, Suite 3100

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60654

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Hoag

David

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Isaacson

Christopher

Street Address 1

Street Address 2

Cboe Inc.

8050 Marshall Drive, Suite 120

City

State/Province/Country

ZIP/Postal Code

Lenexa

KANSAS

66214

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Kamnik

Joseph

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Kennedy

Kevin

Street Address 1

Street Address 2

Nasdaq

2929 Walnut Street, Floor 8

City

State/Province/Country

ZIP/Postal Code

Philadelphia

PENNSYLVANIA

19104

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

King

Elizabeth

Street Address 1

Street Address 2

NYSE Group

11 Wall Street, 19th Floor

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10005

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Lester

Susan

Street Address 1

Street Address 2

3145 Brant Street

City

State/Province/Country

ZIP/Postal Code

San Diego

CALIFORNIA

92103

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Lindsey

Richard

Street Address 1

Street Address 2

Windham Capital Management, Inc.

800 Boylston Street, 30th Floor

City

State/Province/Country

ZIP/Postal Code

Boston

MASSACHUSETTS

02199

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Litterman

Robert

Street Address 1

Street Address 2

Kepos Capital, LP

20 Twin Oak Road

City

State/Province/Country

ZIP/Postal Code

Short Hills

NEW JERSEY

07078

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Luparello

Stephen

Street Address 1

Street Address 2

Citadel Securities

350 Park Avenue

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10022

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Michaels

Dale

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Morrison

Mark

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Mugica

Hugo

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

O'Flynn

Susan

Street Address 1

Street Address 2

Morgan Stanley

20 Bank Street, Canary Wharf

City

State/Province/Country

ZIP/Postal Code

London

UNITED KINGDOM

E14 4AD

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Shelly

Amy

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Warren

Scot

Street Address 1

Street Address 2

125 South Franklin Street

Suite 1200

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60606

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

White

Alice

Patricia

Street Address 1

Street Address 2

4635 15th Street North

City

State/Province/Country

ZIP/Postal Code

Arlington

VIRGINIA

22207

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Kinahan

Joseph

Street Address 1

Street Address 2

TD Ameritrade

111 West Washington Street

City

State/Province/Country

ZIP/Postal Code

Chicago

ILLINOIS

60602

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

Last Name

First Name

Middle Name

Maragos

Peter

Street Address 1

Street Address 2

Dash Financial Technologies

250 Park Avenue South 9th Floor

City

State/Province/Country

ZIP/Postal Code

New York

NEW YORK

10003

Relationship:

Executive Officer

Director

Promoter

Clarification of Response (if Necessary)

4. Industry Group

Agriculture

Banking & Financial Services

Commercial Banking

Insurance

Investing

Investment Banking

Pooled Investment Fund

Other Banking & Financial Services

Business Services

Energy

Coal Mining

Electric Utilities

Energy Conservation

Environmental Services

Oil & Gas

Other Energy

Health Care

Biotechnology

Health Insurance

Hospitals & Physicians

Pharmaceuticals

Other Health Care

Manufacturing

Real Estate

Commercial

Construction

REITS & Finance

Residential

Other Real Estate

Retailing

Restaurants

Technology

Computers

Telecommunications

Other Technology

Travel

Airlines & Airports

Lodging & Conventions

Tourism & Travel Services

Other Travel

Other

5. Issuer Size

Revenue Range

Aggregate Net Asset Value Range

No Revenues

No Aggregate Net Asset Value

$1 - $1,000,000

$1 - $5,000,000

$1,000,001 - $5,000,000

$5,000,001 - $25,000,000

$25,000,001 - $50,000,000

$25,000,001 - $100,000,000

$50,000,001 - $100,000,000

Over $100,000,000

Decline to Disclose

Not Applicable

6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)

Rule 504(b)(1) (not (i), (ii)
or (iii))

Rule 506(b)

Rule 504 (b)(1)(i)

Rule 506(c)

Rule 504 (b)(1)(ii)

Securities Act Section 4(a)(5)

Rule 504 (b)(1)(iii)

Investment Company Act Section 3(c)

7. Type of Filing

New Notice

Date of First Sale

2014-04-25

First Sale Yet to Occur

Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?

Yes

9. Type(s) of Securities Offered (select all that apply)

Pooled Investment Fund Interests

Equity

Tenant-in-Common Securities

Debt

Mineral Property Securities

Option, Warrant or Other Right to Acquire Another Security

Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security

Other (describe)

Cash-settled over-the-counter options on the S&P 500 Index ("OTC Options")

10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?

Yes

Clarification of Response (if Necessary)

11. Minimum Investment

Minimum investment accepted from any outside investor

USD

12. Sales Compensation

Recipient

Recipient CRD Number

None

(Associated) Broker or Dealer

None

(Associated) Broker or Dealer CRD Number

None

Street Address 1

Street Address 2

City

State/Province/Country

ZIP/Postal Code

State(s) of Solicitation

All States

13. Offering and Sales Amounts

Total Offering Amount

USD

Indefinite

Total Amount Sold

740000

USD

Total Remaining to be Sold

USD

Indefinite

Clarification of Response (if Necessary)

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

14. Investors

Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering

Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering:

15. Sales Commissions & Finders’ Fees Expenses

Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.

Sales Commissions

USD

Estimate

Finders' Fees

USD

Estimate

Clarification of Response (if Necessary)

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.

16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.

USD

Estimate

Clarification of Response (if Necessary)

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.

Signature and Submission

Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.

Terms of Submission

In submitting this notice, each Issuer named above is:

Notifying the SEC and/or each State in which this notice is filed of the offering of securities described and undertaking to furnish them, upon written request, the information furnished to offerees.

Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator or other legally designated officer of the State in which the Issuer maintains its principal place of business and any State in which this notice is filed, as its agents for service of process, and agreeing that these persons may accept service on its behalf, of any notice, process or pleading, and further agreeing that such service may be made by registered or certified mail, in any Federal or state action, administrative proceeding, or arbitration brought against it in any place subject to the jurisdiction of the United States, if the action, proceeding or arbitration (a) arises out of any activity in connection with the offering of securities that is the subject of this notice, and (b) is founded, directly or indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii) the laws of the State in which the issuer maintains its principal place of business or any State in which this notice is filed.

Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Rule 504 or Rule 506 for one of the reasons stated in Rule 504(b)(3) or Rule 506(d).

Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.

For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.

Issuer

Signature

Name of Signer

Title

Date

OPTIONS CLEARING CORP

John P. Davidson

CEO

2021-04-07