E-mail: [email protected]
Phone: 312 460-1941
Position Transfer Form
Trading Permit Holders (TPHs) seeking to effect an on-floor position transfer pursuant to
CBOE Rule 6.49A are required to complete and submit this form and a spreadsheet
detailing each component of the transfer package.
Option class ___________________
Position transfer trade date of ___________________
Seller: __________________
Buyer: __________________
TPH Firm Name
TPH Firm Name
Seller:__________________
Buyer:__________________
Acronym/Account Number
Acronym/Account Number
Seller:__________________
Buyer:__________________
Clearing Firm Number
Clearing Firm Number
X__________________________________
X__________________________________
Signature
Signature
X___________________________________
Designee Name/ FB Acronym
Date ______________________
Total Long Equity Options Value _______________
Total Long Index Options Value _____________
Total Short Equity Options Value _______________
Total Short Index Options Value _____________
Reason for transfer: ____________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
(over)
Certification Relating to CBOE Sales Value Fee
The CBOE Sales Value Fee is assessed by CBOE to TPHs for sales of securities resulting from on-floor
position transfers between unaffiliated TPHs. The term “affiliate” has the meaning set forth in CBOE Rule
1.1(j). Complete the certification below if the transactions identified above represent an on-floor position
transfer (1) between affiliated TPHs or (2) between TPHs acting as agent and results in no change in
beneficial ownership.
CERTIFICATION
I certify that the transactions identified above and by way of this submission represent an on-floor position
transfer (1) between affiliated TPHs (as defined in CBOE Rule 1.1(j)), or (2) between TPHs acting as agent
and results in no change in beneficial ownership, and are therefore not subject to the CBOE Sales Value
Fee. I understand that this certification is subject to examination, review, and verification by CBOE staff.
Seller:
Trading Permit Holder (Individual) Name / Title:
Trading Permit Holder Firm Name:
Phone Number/ E-mail:
Buyer:
Trading Permit Holder (Individual) Name / Title:
Trading Permit Holder Firm Name:
Phone Number/ E-mail:
2