The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Intentional misstatements or omissions of fact constitute federal criminal violations. See 18 U.S.C. 1001.

FORM D

Notice of Exempt Offering of Securities
OMB APPROVAL
OMB Number: 3235-0076
Estimated average burden
hours per response: 4.00

1. Issuer's Identity

CIK (Filer ID Number) Previous Names
   None
Entity Type
0000074751
CHICAGO BOARD OPTIONS EXCHANGE CLEARING
X Corporation
   Limited Partnership
   Limited Liability Company
   General Partnership
   Business Trust
   Other (Specify)

Name of Issuer
OPTIONS CLEARING CORP
Jurisdiction of Incorporation/Organization
DELAWARE
Year of Incorporation/Organization
X 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/PostalCode Phone Number 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/PostalCode
Chicago ILLINOIS 60606
Relationship: X 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/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Bauer Julie W.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Bourne Stuart M.
Street Address 1 Street Address 2
Bank of America Merrill Lynch One Bryant Park
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10036
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Busby Daniel T.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Cardello Thomas R.
Street Address 1 Street Address 2
Venice Financial Management, LLC 1 Dock Street, Suite 610
City State/Province/Country ZIP/PostalCode
Stamford CONNECTICUT 06902
Relationship:    Executive Officer X 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/PostalCode
New York NEW YORK 10010
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Davidson, III John P.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X 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/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Donohue Craig S.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Eckert Kurt M.
Street Address 1 Street Address 2
Wolverine Trading 175 West Jackson Boulevard, Suite 200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60604
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Frank Thomas A.
Street Address 1 Street Address 2
Interactive Brokers, LLC One Pickwick Plaza
City State/Province/Country ZIP/PostalCode
Greenwich CONNECTICUT 06830
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Frucher Meyer S.
Street Address 1 Street Address 2
Nasdaq 324 West 101st Street, Apt. 2
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10025
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Goone David S.
Street Address 1 Street Address 2
IntercontinentalExchange, Inc., NYSE 353 North Clark Street, Suite 3100
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60654
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Hoag David A.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Kamnik Joseph P.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Kennedy Kevin J.
Street Address 1 Street Address 2
Nasdaq 2929 Walnut Street, Floor 8
City State/Province/Country ZIP/PostalCode
Philadelphia PENNSYLVANIA 19104
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
King Elizabeth K.
Street Address 1 Street Address 2
NYSE Group 11 Wall Street, 19th Floor
City State/Province/Country ZIP/PostalCode
New York NEW YORK 10005
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Lester Susan E.
Street Address 1 Street Address 2
3145 Brant Street
City State/Province/Country ZIP/PostalCode
San Diego CALIFORNIA 92103
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Lindsey Richard R.
Street Address 1 Street Address 2
Windham Capital Management, Inc. 800 Boylston Street, 30th Floor
City State/Province/Country ZIP/PostalCode
Boston MASSACHUSETTS 02199
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Litterman Robert R.
Street Address 1 Street Address 2
Kepos Capital, LP 20 Twin Oak Road
City State/Province/Country ZIP/PostalCode
Short Hills NEW JERSEY 07078
Relationship:    Executive Officer X 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/PostalCode
New York NEW YORK 10022
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Michaels Dale A.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Morrison Mark J.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Mugica Hugo A.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
O'Flynn Susan G.
Street Address 1 Street Address 2
Morgan Stanley 20 Bank Street, Canary Wharf
City State/Province/Country ZIP/PostalCode
London UNITED KINGDOM E14 4AD
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Shelly Amy C.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X Executive Officer    Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Warren Scot E.
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X 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/PostalCode
Arlington VIRGINIA 22207
Relationship:    Executive Officer X 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/PostalCode
New York NEW YORK 10003
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Hocking Robert
Street Address 1 Street Address 2
400 South LaSalle Street
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60605
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Nowak Michael
Street Address 1 Street Address 2
175 West Jackson Blvd Suite 2050
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60604
Relationship:    Executive Officer X Director    Promoter

Clarification of Response (if Necessary):

Last Name First Name Middle Name
Thakkar Vishal
Street Address 1 Street Address 2
125 South Franklin Street Suite 1200
City State/Province/Country ZIP/PostalCode
Chicago ILLINOIS 60606
Relationship: X 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
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940?
   Yes    No
   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
X
 Other

5. Issuer Size

Revenue Range OR 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
   $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    Over $100,000,000
X Decline to Disclose    Decline to Disclose
   Not Applicable    Not Applicable

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

   Rule 504(b)(1) (not (i), (ii) or (iii))
   Rule 504 (b)(1)(i)
   Rule 504 (b)(1)(ii)
   Rule 504 (b)(1)(iii)
   Rule 506(b)
X Rule 506(c)
   Securities Act Section 4(a)(5)
   Investment Company Act Section 3(c)
   Section 3(c)(1)    Section 3(c)(9)  
   Section 3(c)(2)    Section 3(c)(10)
   Section 3(c)(3)    Section 3(c)(11)
   Section 3(c)(4)    Section 3(c)(12)
   Section 3(c)(5)    Section 3(c)(13)
   Section 3(c)(6)    Section 3(c)(14)
   Section 3(c)(7)

7. Type of Filing

   New Notice Date of First Sale 2014-04-25    First Sale Yet to Occur
X Amendment

8. Duration of Offering

Does the Issuer intend this offering to last more than one year?
X Yes    No

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

   Equity    Pooled Investment Fund Interests
   Debt    Tenant-in-Common Securities
   Option, Warrant or Other Right to Acquire Another Security    Mineral Property Securities
   Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security X 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 X No

Clarification of Response (if Necessary):

11. Minimum Investment

Minimum investment accepted from any outside investor $0 USD

12. Sales Compensation

Recipient
Recipient CRD Number X None
(Associated) Broker or Dealer X None
(Associated) Broker or Dealer CRD Number X None
Street Address 1 Street Address 2
City State/Province/Country ZIP/Postal Code
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States		    All States
   Foreign/non-US

13. Offering and Sales Amounts

Total Offering Amount USD
or X Indefinite
Total Amount Sold $740,000 USD
Total Remaining to be Sold USD
or X 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, and enter the 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:
2

15. Sales Commissions & Finder's 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 $0 USD
   Estimate
Finders' Fees $0 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.

$0 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, in the accordance with applicable law, 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 the issuer 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 John P. Davidson CEO 2022-04-07

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.