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Options Clearing Corp – ‘D/A’ on 4/10/19

On:  Wednesday, 4/10/19, at 11:44am ET   ·   Effective:  4/10/19   ·   Accession #:  74751-19-1   ·   File #:  21-215337

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  As Of                Filer                Filing    For·On·As Docs:Size

 4/10/19  Options Clearing Corp             D/A         4/10/19    1:28K

Amendment to Notice of an Exempt Offering of Securities   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D/A         Amendment to Notice of an Exempt Offering of        HTML     28K 
                          Securities -- primary_doc.xml/7.8


        

This ‘D/A’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Amendment to Notice of an Exempt Offering of Securities
 
                                                                                                                                                                                
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<entityName> OPTIONS CLEARING CORP </entityName>
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<street1> 125 South Franklin St. </street1>
<street2> Ste. 1200 </street2>
<city> Chicago </city>
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<stateOrCountryDescription> ILLINOIS </stateOrCountryDescription>
<zipCode> 60606 </zipCode>
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<jurisdictionOfInc> DELAWARE </jurisdictionOfInc>
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<street1> Venice Financial Management, LLC </street1>
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<firstName> Mark </firstName>
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<street1> Goldman Sachs & Co. </street1>
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<firstName> Kurt </firstName>
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<middleName> C. </middleName>
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<middleName> Patricia </middleName>
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<street1> NASDAQ Inc. </street1>
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<firstName> William </firstName>
<middleName> T. </middleName>
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<street2> 200 South 108th Avenue </street2>
<city> Omaha </city>
<stateOrCountry> NE </stateOrCountry>
<stateOrCountryDescription> NEBRASKA </stateOrCountryDescription>
<zipCode> 68154 </zipCode>
</relatedPersonAddress>
<relatedPersonRelationshipList>
<relationship> Director </relationship>
</relatedPersonRelationshipList>
<relationshipClarification></relationshipClarification>
</relatedPersonInfo>
</relatedPersonsList>
<offeringData>
<industryGroup>
<industryGroupType> Other </industryGroupType>
</industryGroup>
<issuerSize>
<revenueRange> Decline to Disclose </revenueRange>
</issuerSize>
<federalExemptionsExclusions>
<item> 06c </item>
</federalExemptionsExclusions>
<typeOfFiling>
<newOrAmendment>
<isAmendment> true </isAmendment>
<previousAccessionNumber> 0000074751-18-000001 </previousAccessionNumber>
</newOrAmendment>
<dateOfFirstSale>
<value> 2014-04-25 </value>
</dateOfFirstSale>
</typeOfFiling>
<durationOfOffering>
<moreThanOneYear> true </moreThanOneYear>
</durationOfOffering>
<typesOfSecuritiesOffered>
<isOtherType> true </isOtherType>
<descriptionOfOtherType> Cash-settled over-the-counter options on the S&P 500 Index ("OTC Options") </descriptionOfOtherType>
</typesOfSecuritiesOffered>
<businessCombinationTransaction>
<isBusinessCombinationTransaction> false </isBusinessCombinationTransaction>
<clarificationOfResponse></clarificationOfResponse>
</businessCombinationTransaction>
<minimumInvestmentAccepted> 0 </minimumInvestmentAccepted>
<salesCompensationList></salesCompensationList>
<offeringSalesAmounts>
<totalOfferingAmount> Indefinite </totalOfferingAmount>
<totalAmountSold> 740000 </totalAmountSold>
<totalRemaining> Indefinite </totalRemaining>
<clarificationOfResponse> 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 </clarificationOfResponse>
</offeringSalesAmounts>
<investors>
<hasNonAccreditedInvestors> false </hasNonAccreditedInvestors>
<totalNumberAlreadyInvested> 2 </totalNumberAlreadyInvested>
</investors>
<salesCommissionsFindersFees>
<salesCommissions>
<dollarAmount> 0 </dollarAmount>
</salesCommissions>
<findersFees>
<dollarAmount> 0 </dollarAmount>
</findersFees>
<clarificationOfResponse> 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. </clarificationOfResponse>
</salesCommissionsFindersFees>
<useOfProceeds>
<grossProceedsUsed>
<dollarAmount> 0 </dollarAmount>
</grossProceedsUsed>
<clarificationOfResponse> 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. </clarificationOfResponse>
</useOfProceeds>
<signatureBlock>
<authorizedRepresentative> false </authorizedRepresentative>
<signature>
<issuerName> OPTIONS CLEARING CORP </issuerName>
<signatureName> John P. Davidson </signatureName>
<nameOfSigner> John P. Davidson </nameOfSigner>
<signatureTitle> CEO </signatureTitle>
<signatureDate> 2019-04-10 </signatureDate>
</signature>
</signatureBlock>
</offeringData>
</edgarSubmission>


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