Form D · Other
OPTIONS CLEARING CORP
Chicago, IL · CIK 0000074751
Offering snapshot reported Mar 16, 2026 · SEC filing
- Reported sold
- $740K Indefinite offering
- Investors reported
- 2 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Apr 25, 2014 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 16, 2026 | Initial | $740,000 | No comparison | 2 | SEC filing |
| Mar 19, 2025 | Amendment | $740,000 | $0vs Mar 19, 2024 | 2 | SEC filing |
| Mar 19, 2024 | Amendment | $740,000 | $0vs Mar 24, 2023 | 2 | SEC filing |
| Mar 24, 2023 | Initial | $740,000 | No comparison | 2 | SEC filing |
| Apr 7, 2022 | Amendment | $740,000 | $0vs Apr 7, 2021 | 2 | SEC filing |
| Apr 7, 2021 | Amendment | $740,000 | $0vs Apr 10, 2020 | 2 | SEC filing |
| Apr 10, 2020 | Amendment | $740,000 | $0vs Apr 10, 2019 | 2 | SEC filing |
| Apr 10, 2019 | Amendment | $740,000 | $0vs Apr 10, 2018 | 2 | SEC filing |
| Apr 10, 2018 | Amendment | $740,000 | $0vs Apr 10, 2017 | 2 | SEC filing |
| Apr 10, 2017 | Amendment | $740,000 | $0vs Apr 8, 2016 | 2 | SEC filing |
| Apr 8, 2016 | Amendment | $740,000 | $0vs Apr 10, 2015 | 2 | SEC filing |
| Apr 10, 2015 | Amendment | $740,000 | No comparison | 2 | SEC filing |
| Apr 10, 2014 | Initial | Yet to sell | No comparison | 0 | SEC filing |
Offering details
- Securities
- Other
- Exemptions
- 06c
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-576620
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
Cash-settled over-the-counter options on the S&P 500 Index ("OTC Options")
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.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| N/A | None |
Source: Form D, filed Mar 16, 2026. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Joseph P. Adamczyk | Executive |
| Joe Adamczyk | Executive |
| Adi Agrawal | Executive |
| Janet Angstadt | Executive |
| Thomas Barrett | Director |
| Julie W. Bauer | Executive |
| Jennifer Baum | Executive |
| Mark Baumgardner | Executive |
| Andrej Bolkovic | Director, Executive |
| Stuart M. Bourne | Director |
| Daniel T. Busby | Executive |
| Michael E. Cahill | Director |
| Thomas R. Cardello | Director |
| Jean M. Cawley | Executive |
| Roland Chai | Director |
| Maria Chiodi | Director |
| Megan M. Cohen | Executive |
| Joseph Corcoran | Executive |
| Alicia Crighton | Director |
| Massimo Cutuli | Executive |
| John P. Davidson | Executive |
| Felix B. Davidson | Director |
| John P. Davidson, Iii | Executive |
| Carla Dawson | Executive |
| Mark F. Dehnert | Director |
| Paul De Michele | Executive |
| Chip Dempsey | Executive |
| Mark F. Denhert | Director |
| Raymond J. Di Sanza | Director |
| Craig S. Donohue | Director |
| Meaghan Dugan | Director |
| Boudewijn Duinstra | Director |
| Timothy J. Dwyer | Executive |
| Kurt M. Eckert | Director |
| William Eineke | Executive |
| Thomas W. Farley | Director |
| John J. Fennell | Executive |
| George S. Fischer | Director |
| Thomas A. Frank | Director |
| Meyer S. Frucher | Director |
| Matthew B. Gelber | Director |
| David S. Goone | Director |
| John J. Grace | Executive |
| Mike Hansen | Executive |
| Michael Hansen | Executive |
| Patrick Hickey | Executive |
| David A. Hoag | Executive |
| Robert A. Hocking | Director |
| J. Matthew Hughes | Executive |
| Christopher A. Isaacson | Director |
| Steven Ivey | Executive |
| Saqib Jamshed | Executive |
| Joseph P. Kamnik | Executive |
| Gary Katz | Director |
| Rachelle Keller | Director |
| Kevin J. Kennedy | Director |
| Joseph Kinahan | Director |
| Elizabeth K. King | Director |
| Denise Knabjian | Executive |
| Judith M. Kula | Director |
| Michael O. Kurd | Director |
| James M. Kustusch | Executive |
| Jim Kustusch | Executive |
| Amy Lawson | Executive |
| Susan E. Lester | Director |
| Joseph C. Lewis | Director |
| Richard R. Lindsey | Director |
| Timothy Lipscomb | Executive |
| Robert R. Litterman | Director |
| Stephen Luparello | Director |
| Douglas Mac Kay | Executive |
| Peter Maragos | Director |
| Faris Matalka | Director |
| Michael Mc Clain | Executive |
| Amy S. Mc Cormick | Executive |
| Gerald Mc Graw | Director |
| Craig C. Messinger | Director |
| Dale A. Michaels | Executive |
| Carolyn Mitchell | Executive |
| Luke Moranda | Executive |
| Mark J. Morrison | Executive |
| Hugo A. Mugica | Executive |
| Jamil Nazarali | Director |
| Eric W. Noll | Director |
| Michael Nowak | Executive |
| Susan G. O'flynn | Director |
| Joseph Pellegini | Executive |
| David P. Prosperi | Executive |
| Tracy A. Raben | Executive |
| Matt Rathbun | Executive |
| Kevin G. Russell | Director |
| John M. Ruth | Director |
| Amy C. Shelly | Executive |
| Christine L. Show | Director |
| Stephen Szarmack | Executive |
| Vishal Thakkar | Executive |
| Edward T. Tilly | Director |
| Scot E. Warren | Executive |
| Jonathan B. Werts | Director |
| Michael West, Jr. | Director |
| Alice Patricia White | Director |
| Thomas A. Wittman | Director |
| Lauren W. Wong | Executive |
| Dennis S. Woods | Executive |
| Joshua Woods | Director |
| William T. Yates | Director |
Issuer details
Industry: Other (See others in industry)
Address:
125 South Franklin Street Suite 1200
Chicago, IL, 60606
Chicago, IL, 60606