NYSE American Options - Client Specific Reports

Report Name Frequency Available To Description

American Customer Engagement ("ACE")

Daily

Order Flow Providers

Month-to-date volumes and tier thresholds required to achieve Customer volume credits under the ACE Options Volume Rebate Program.

Amex EBUF (Excessive Bandwidth Utilization Fees)

Daily

Market Makers

Month-to-date metrics of a Market Maker firm's quotes and orders along with executed volume ("Messages to Contracts Traded Ratio").

Amex Firm Cap

Daily

All Permit Holders

Month-to-date manual volumes. The report includes both capped and uncapped fees, as well as projected month-end charges which are applicable for the Monthly Firm Fee Cap.

Amex MM Electronic Sliding Scale

Daily

Market Makers

Month-to-date Market Maker electronic volume including thresholds required to achieve tiers for reduced per contract transaction charges. The report also provides the estimated blended rate per contract.

Amex MM Rank by Underlying

Daily

Market Makers

Month-to-date volume by option class for the top 10 Market Makers in each class. The report includes a flag to identify whether the Market Maker has the class in their quoting assignment, whether they are registered as a Specialist or whether they are not registered to quote the class.

Amex MM Rank by Underlying QTD

Daily

Market Makers

Quarter-to-date volume by option class for the top 10 Market Makers in each class. The report includes a flag to identify whether the Market Maker has the class in their quoting assignment, whether they are registered as a Specialist or whether they are not registered to quote the class.

Amex Specialist Volume Ranking

Daily

Market Makers

Volume by option class, sorted by industry volume rank and rank number among all Market Makers for the class. The report separates total electronic volume from posting volume and identifies whether a Market Maker is a Specialist in a class.

Directed Order

Daily

All Permit Holders

Daily execution details of orders directed to a Market Maker by an Order Flow Provider. The report includes executions that trade contra to the Directed Market Maker. Reports for Order Flow Providers includes all of the firm's executed directed orders. Reports for Market Makers includes all orders directed to their firm and whether they interacted with the orders.

Executive Summary

Monthly

All Permit Holders

High-level view of a market participant's footprint on the Exchange, over a rolling thirteen month time period. Comprised of three sections: i) Monthly Permit Holder volume, rank against peers and percentage of Exchange business; ii) Monthly volume and rank by trade type; and iii) Monthly volume and rank by trade type and clearing capacity.

Floor Broker Prepay

Weekly

Participating Floor Brokers

Floor Broker firm's volume-to-date in the 2018 Prepayment Program time period (April 1, 2018 - December 31, 2018) and a comparison against their performance for second half 2017. The report also includes projected volume requirements to achieve incentive tiers in the Prepayment program. Distributed weekly (pre-open on Monday) the report includes data through the previous Friday's activity.

MM Report Card

Monthly

Market Makers

Participation rank against other Market Makers. The report contains symbol level details and measures percentage volumes and trade participation.

MMD Report

Daily

Market Makers

Market Marker Direct (“MMD”) gateway latency metrics for the Market Marker's connection sessions.

Set Join

Daily

Market Makers

Month-to-date metrics of the percentage of time a Market Maker sets the market and the percentage of time the Market Maker joins. The report includes quote, trade and volume interaction rates for a Market Maker in each options class.

UGW Options

Daily

Market Makers

UGW (Binary) gateway latency metrics for the Market Marker's connection sessions.

NYSE American Options - Exchange Statistical Reports

Report Name Frequency Available To Description

ATPID Config

Daily

All Permit Holders

Reference table for lookup of company name from TPID or clearing firm symbol. This report can help to identify contra parties in T+1 clearing reports and/or online extracts.

Amex Complex Volume

Daily

All Permit Holders

Month-to-date complex volume statistics. The report contains two tabs, which provide: i) Exchange daily complex volume statistics by trade date; and ii) Exchange complex volume by symbol for the most recent trade date.

Amex CUBE Volume

Daily

All Permit Holders

Month-to-date CUBE auction execution data. The report contains three tabs, which provide: i) orders and volume by date; ii) orders and volume by symbol month-to-date; and iii) orders and volume by symbol for the most recent trade date.

ElecOutcry (Electronic - Outcry)

Daily

All Permit Holders

Month-to-date electronic and open outcry volumes. The report contains two tabs, which provide: i) statistics for electronic order count and volume executed, as well as outcry order count and volume executed by option class; and, in the same format, ii) data solely for the most recent trade date.

ElecOutcry (Electronic - Outcry)

Monthly

All Permit Holders

Monthly version produced at month end, summarizes electronic and open outcry transactions for the entire month in a similar manner as the month-to-date report above.

Monthly Complex Analysis

Monthly

All Permit Holders

Complex execution volume by option class. The report provides details for volume by clearing capacity, count of orders, average contract size, amount of volume legged out, volume executed in Complex Order Auction (“COA”), and total electronic volume in each class. The report contains two tabs, one for American Options and one for Arca Options.

NYSE Arca Options - Client Specific Reports

Report Name Frequency Available To Description

Arca Customer Posting Tiers

Daily

Order Flow Providers

Month-to-date volumes and tier thresholds of Customer volumes eligible for the Arca Customer Posting Tiers Program.

Arca Firm/Cust BD Cap:

Daily

All Permit Holders

Month-to-date manual volumes. The report includes total fees, as well as projected month-end charges that are eligible for the Monthly Firm Fee Cap.

Arca LMM MTD Volumes

Daily

Market Makers

Lead Market Maker (“LMM”) month-to-date average daily volumes for LMM firms. The report includes the firm's percentage of TCADV, ADV in LMM issues and percentage of TCADV in LMM issues.

Arca MM Posting Tiers

Daily

Market Makers

Comparison of month-to-date Market Maker eligible volumes against thresholds for achieving monthly tiers for posting credits and take discounts.

Arca MM Rank by Underlying

Daily

Market Makers

Month-to-date volume by option class for the top 10 Market Makers in each class. The report includes a flag to identify whether the Market Maker has the class in their quoting assignment, whether they are registered as a Specialist or whether they are not registered to quote the class.

Arca MM Rank by Underlying QTD

Daily

Market Makers

Quarter-to-date volume by option class for the top 10 Market Makers in each class. The report includes a flag to identify whether the Market Maker has the class in their quoting assignment, whether they are registered as a Specialist or whether they are not registered to quote the class.

Arca MM Volumes Rank

Daily

Market Makers

Month-to-date Market Maker volume for all option classes traded by the firm receiving the report. Includes volume by class, electronic volume, posting volume and rank number among total number Market Makers for the options class. The firm receiving the report is identified in the rankings while the other Market Makers are redacted.

Executive Summary

Monthly

All Permit Holders

High-level view of a market participant's footprint on the Exchange, over a rolling thirteen month time period. Comprised of three sections: i) Monthly Permit Holder volume, rank against peers and percentage of Exchange business; ii) Monthly volume and rank by trade type; and iii) Monthly volume and rank by trade type and clearing capacity.

Floor Broker Prepay

Weekly

Participating Floor Brokers

Floor Broker firm's volume-to-date in the 2018 Prepayment Program time period (April 1, 2018 - December 31, 2018) and a comparison against their performance for second half 2017. The report also includes projected volume requirements to achieve incentive tiers in the Prepayment program. Distributed weekly (pre-open on Monday) the report includes data through the previous Friday's activity.

MM Report Card

Monthly

Market Makers

Participation rank against other Market Makers. The report provides symbol level details and measures percentage volume and trade participation.

MMD Report

Daily

Market Makers

Market Marker Direct (“MMD”) gateway latency metrics for the Market Marker's connection sessions.

Set Join

Daily

Market Makers

Month-to-date metrics of the percentage of time a Market Maker sets the market and percentage of time they join. The report includes quote, trade and volume interaction rates for the Market Maker in each options class.

UGW Options

Daily

Market Makers

UGW (Binary) gateway latency metrics for the Market Marker's connection sessions.

NYSE Arca Options - Exchange Statistical Reports

Report Name Frequency Available To Description

Arca Complex Volume

Daily

All Permit Holders

Month-to-date complex volume statistics. The report contains two tabs, which provide: i) Exchange daily complex volume statistics by trade date; and ii) Exchange complex volume by symbol for the most recent trade date.

ElecOutcry (Electronic - Outcry)

Daily

All Permit Holders

Month-to-date electronic and outcry volumes. The report contains two tabs, which provide: i) statistics for electronic order count and volume executed, as well as outcry order count and volume executed by option class; and, in the same format, ii) data solely for the most recent trade date.

ElecOutcry (Electronic - Outcry)

Monthly

All Permit Holders

The monthly version is produced at month end and summarizes electronic and open outcry transactions for the entire month in a similar manner as the month-to-date report above.

Monthly Complex Analysis

Monthly

All Permit Holders

Complex executions by option class. The report provides: i) volume by clearing capacity; ii) count of orders; iii) average contract size; iv) amount of volume legged out; v) volume executed in COA; vi) total electronic volume in each class. The report contains two tabs, one for American Options and one for Arca Options.

OTPID Config

Daily

All Permit Holders

Reference table for lookup of company name from TPID or clearing firm symbol. This report can help to identify contra parties in T+1 clearing reports and/or online extracts.