SBSE/A 0001983408 XXXXXXXX true false Clear Street Derivatives LLC 88-2035501 0001983408 4WTC 150 GREENWICH STREET FLOOR 45 NEW YORK NY 10007 4WTC 150 GREENWICH STREET FLOOR 45 NEW YORK NY 10007 646-306-7475 Andrew Weg 917-720-7035 aweg@clearstreet.io Andrew Weg 917-720-7035 aweg@clearstreet.io Clear Street Derivatives LLC Y N maintains a substantial security-based swap position has substantial counterparty exposure is highly leveraged to its capital position N N N N The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency N Clear Street Derivatives (CSD) offers clients exposure to securities through Total Return Swaps (TRS) and fully hedges CSD's market exposure by creating a delta neutral position by purchasing the underlying securities. Limited Liability Company December DE X1 01-27-2022 N N Clear Street Derivatives LLC Y Y N N Y N N N N N Clear Street Derivatives LLC N N N N N N N N N N N Y N N N N N N N N Clear Street Derivatives LLC N N N N N N Clear Street Derivatives LLC Y Clear Street Holdings LLC DE Sole Class A Member 01/2022 E Y 833532659 I CEO / Director 06/2022 NA Y 003189055 Pat Travers joined Clear Street in June 2022 from Wells Fargo where he served as Co-Head of Equity Finance and Global Head of Distribution of Equities from 2014 through 2022. Prior to Wells Fargo, Mr. Travers was a Managing Director Head of Prime Finance Sales at BoA/Merrill Lynch from 2009 to 2013. I Chief Compliance Officer 02/2024 NA Y 006596922 I General Counsel / Director 09/2021 NA Y Prior to Clear Street, Mr. Gutmanstein served as Assistant General Counsel at Cantor Fitzgerald Securities from 2015 to 2021, where he provided legal and regulatory advice to its broker dealer and swap dealer businesses. Before Cantor, Mr. Gutmanstein was an Associate GC at Convergex Group from 2013 to 2015, providing regulatory guidance and negotiating agreements, including ISDAs, CSAs, and Prime Brokerage agreements for its broker dealer business. From 2007 through 2013, he was a Senior Associate at Lehman & Eilen, representing domestic and foreign broker dealers and security-based swap clients on Dodd-Frank requirements, SEC and FINRA requirements. I Chief Operations Officer 02/2023 NA Y 005730417 Prior to Clear Street, Jordan Brodsky led the Client Asset Protection team for Prime Derivative Services at Barclays from 2017 to 2022, responsible for daily Segregation, Secured, and Cleared Swap reporting. Before Barclays, Ms. Brodsky worked at Reval from 2015 to 2017, processing and reporting hedge transactions and hedge accounting. From 2012-2015, she was on the middle-office and back-office teams at Conifer Financial Services (formerly Vastardis Capital Services), responsible for all derivative SMA accounts. I Chief Financial Officer 10/2022 NA Y Before joining Clear Street, Mr. Wenger was an audit executive at Ernst & Young LLP with more than 12 years of experience in financial audit (US GAAP and IFRS), including attestation engagements over financial responsibility rules (SEC Rule 15c3-1 net capital calculation, SEC Rule 15c3-3 customer reserve calculation, customer statement rules and quarterly security count rules) and review of FOCUS filings, as well as regulatory compliance projects (including market conduct, market risk, credit risk, AML/BSA, and investment suitability) in the financial industry, serving public registrants and private companies including wealth management, investment banking, broker dealer and swap dealer clients. I Chief Risk Officer 09/2023 NA Y 006683631 Mr. Gunawan joined Clear Street from Goldman Sachs where he was the Head of OTC Swaps Clearing Risk from 2016 to 2021, in addition to providing Prime Brokerage Risk & Futures risk oversight for the firm. He represented Goldman, globally, on the CME's Risk Committee providing guidance on IRS & CDS products including risk management policies, margin, default management, and oversight of new product initiatives. From 2010 to 2016, Mr. Gunawan was a Vice President in Goldman's Market Risk Management & Analysis Dept. covering multiple asset classes, and acted as lead coordinator for CCAR stress test and Volcker rule implementation. I Director 09/2023 NA N 004808674 Andy Volz joined Clear Street in August 2021 as Chief Operating Officer and Head of Sales. Prior to Clear Street, Mr. Volz was a Chief Operating Officer and Head of Prime Services at Jones Trading from 2016 through 2021. Mr. Volz has almost 20 year of experience in various sales / product management roles, including at Citi, Reval, Merlin Securities, among others. I Director 09/2023 NA N 004855629 Christy Moccia serves as the Global Chief Compliance Officer for the Clear Street group of companies, responsible for all aspects of Clear Street's enterprise-wide regulatory compliance program. Prior to joining Clear Street, Ms. Moccia was the CCO and AML Compliance Officer for Virtu Americas LLC and Virtu Financial Capital Markets LLC, both FINRA member broker-dealers. Previous to Virtu, Ms. Moccia served in a similar role at KCG Americas LLC between January 2014 and July 2017 and in a variety of compliance roles at Knight Capital Group between September 2009 and January 2014. Ms. Mocchia has more than 25 years of regulatory compliance experience with expertise in prime brokerage, market making, high frequency trading and electronic trading. I Director 09/2023 NA N 005491470 Mr. Bhatt joined Clear Street from Bank of America where he was the Head of Risk for all Market Making and Joint Back Office clients within its Prime Brokerage Division from 2015-2020. In this capacity, he was responsible for enhancing the House Risk Methodologies, stress testing and risk management controls. Prior to BofA, Mr. Bhatt was at Goldman Sachs from 2008 to 2015 where he served as the Americas Market Risk Head overseeing Market Risk management across Commodities, Currencies, Emerging Markets and Global Liquidity Products. Clear Street Derivatives LLC Clear Street Group Inc. Clear Street Holdings LLC DE Owner 05/2022 C Y 86-2376416 Clear Street Holdings USVI, Inc Clear Street Holdings LLC DE Owner 02/2021 D Y 66-0925803 Clear Street Derivatives LLC INITIAL Item 11A Global Relay Communications 286 Madison Ave., 7th Fl, NY NY 10017 01-27-2022 Global Relay captures and retains CSD's electronic communications and provides related tools utilized in the supervision of APs. Item 11A MyComplianceOffice Inc 535 5t Ave. 4th Fl, New York NY 10017 09-02-2022 MCO provides CSD with functionality utilized in the supervision of CSD APs, including tracking the personal trading and outside business activities of CSD APs. Item 11A Amazon Web Services, Inc. 2121 7th Ave. (SEA41) Seattle WA 98121 01-27-2022 Amazon Web Services maintains and retains electronic books and records for CSD. Item 11B Clear Street LLC 000288933 4 World Trade Center 150 Greenwich Street, 45 Fl New York NY 10007 05-12-2022 Clear Street LLC, an affiliate under common control with CSD, provides execution, clearing, and custody services related to CSD's hedging transactions and positions. Clear Street Derivatives LLC INITIAL 13A Clear Street Canada Inc. under common control with applicant 30 Adelaide St. East, 12 Fl, Toronto A6 M5C 05-12-2023 Y Z4 Y N The applicant and Clear Street Canada Inc. are under common control as both are directly owned by Clear Street Holdings LLC. Clear Street LLC 000288933 under common control with applicant 4 WTC, 150 GREENWICH STREET, 45TH FLOOR NEW YORK NY 10007 01-27-2022 N Y N Applicant and Clear Street LLC are under common control as both are directly owned by Clear Street Holdings LLC. Clear Street Investments LLC under common control with applicant 55 BROADWAY, SUITE 2102 NEW YORK, NY 10006 01-27-2022 N Y N Applicant and Clear Street Investments are under common control as both are directly owned by Clear Street Holdings LLC. Clear Street Markets LLC 000159283 under common control with applicant 55 Broadway, 21st Fl New York NY 10006 01-27-2022 N Y N Applicant and Clear Street Markets LLC are under the common control of Clear Street Holdings LLC. Clear Street Derivatives LLC AMENDED Clear Street Derivatives LLC Clear Street Derivatives LLC AMENDED 14E(2) One or more control affiliate(s) 000159283 Firm Y Clear Street Markets LLC N Y AMENDED 14E(2) One or more control affiliate(s) 000103976 Firm Y Precision Securities, LLC N Y 04-08-2024 Clear Street Derivatives LLC Andrew Weg Andrew Weg Chief Compliance Officer