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Cboe Exchange, Inc. Fees Schedule - September 1, 2021

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Cboe Exchange, Inc. Fees Schedule - September 1, 2021 Cboe Exchange, Inc. Fees Schedule - September 1, 2021 Options Transaction Fees (1)(3)(4)(7)(13)(15)(33)(39) Rate Table - All Products Excluding Underlying Symbol List A (34) Transaction Fee Per Contract Manual Electronic AIM Response (20) Capacity Products Capacity Code AIM Agency/Primary (19) AIM Contra (18) Non-Penny Penny Classes Non-Penny Classes Penny Classes Non-Penny Classes Penny Classes Classes Equity Options {CK} $0.00 {CE} $0.00 if adding liquidity {CA} $0.18 if original order {CK} $0.00 ETF and ETN Options {CK} $0.00 size is ≥100 contracts and removing liquidity {CD} $0.00 if original order size is <100 contracts and removing liquidity Customer (2)(8)(9) MRUT C {CQ} $0.02 XSP {CC} $0.04 ≥10 contracts / {XC} $0.00 <10 contracts MXEA {CM} $0.25 MXEF {CN} $0.25 {YB} $0.07 All Other Index Products {CB} $0.18 Sector Indexes (47) {CP} $0.30 MRUT {FM} $0.02 XSP {XF} $0.06 Equity, ETF, and ETN Options and All Other Index {FA} $0.20 - See Clearing Trading {FD} $0.20 - See Clearing Trading Clearing Trading Permit Holder Proprietary (11)(16) F L {FB} $0.43 {FC} $0.70 Products Permit Holder Fee Cap Permit Holder Fee Cap {YB} $0.07 {NB} $0.50 {NC} $1.05 Sector Indexes (47) {FI} $0.25 Facilitation (11) {FF} $0.00 {FI} $0.25 MRUT {MM} $0.03 XSP {MX} $0.045 Cboe Options Market-Maker/DPM/LMM (10) M Equity, ETF, and ETN Options, Sector Indexes (47) {MA} $0.23 - See Liquidity Provider Sliding Scale and Liquidity Provider Sliding Scale {MB} $0.35 {YB} $0.07 and All Other Index Products Adjustment Table MRUT {BM} $0.04 Broker-Dealer (16) XSP {XB} $0.08 Equity, ETF, and ETN Options and All Other Index B N U J {BA} $0.25 Non-Trading Permit Holder Market Maker (16) {BB} $0.47 {BC} $0.75 {BD} $0.20 {YB} $0.07 {NB} $0.50 {NC} $1.05 Products {WA} $0.12 "U" Capacity Code Only Professional /Joint Back-Office Sector Indexes (47) {BE} $0.40 Equity, ETF, and ETN Options and All Other Index Complex Surcharge (35) $0.12 Products F J L M B N U DJX, MXEA and MXEF and Sector Indexes $0.10 ($0.00 for Sector Indexes (47)) Surcharge Fee (14) Index License MRUT $0.02 FLEX Surcharge Fee (17) - DJX, MRUT, MXEA, MXEF, NDX, NDXP and XSP Only C F J L M B N U $0.10 (capped at $250 per trade) Exotic Surcharge C $0.25 ($0.03 for XSP and MRUT Only) Rate Table - Underlying Symbol List A (34) (Also applies to GTH)(37) Options Transaction Fees (1)(3)(4)(7)(13)(15)(33)(39)(12) VIX Only (12) Transaction Fee Per Contract by Premium Price Capacity Products Capacity Code SPX (incl SPXw) in GTH Only $0.00 - $0.10 $0.11 - $0.99 $1.00 - $1.99 $2.00+ AIM Agency/Primary (19) AIM Contra (18) OEX and XEO {CO} $0.40 OEX Weeklys, XEO Weeklys (47) {CP} $0.30 RUT {CR} $0.18 Customer (2) RLG, RLV, RUI and UKXM C {WR} $0.00 SPX (incl SPXW) and SPESG {CS} $0.36 {CT} $0.45 See Rates to Left VIX (simple orders) {CV} $0.10 {CW} $0.25 {CX} $0.40 {CY} $0.45 See Rates to Left VIX (complex orders) {CZ} $0.05 {DA} $0.17 {DB} $0.30 {DC} $0.45 See Rates to Left SPX (incl SPXW) and SPESG (41)(12) Clearing Trading Permit Holder Proprietary {FH} $0.26 - See Cboe Options Clearing Trading Permit Holder Proprietary Products Sliding Scales/ {WR} $0.00 RLG, RLV, RUI, UKXM Only Underlying Symbol List A (34) F L (11)(12)(16) VIX {FK} $0.25 - See Cboe Options Clearing Trading Permit Holder VIX Sliding Scale SPX (incl SPXW) and SPESG (41)(12) {MS} $0.28 - See SPX Liquidity Provider Sliding Scale/ {SC} $0.00 RUT {MT} $0.30 Cboe Options Market-Maker/ DPM/LMM (10)(42) OEX and XEO M {MR} $0.20 RLG, RLV, RUI, UKXM {WR} $0.00 VIX (45) {MV} $0.05 {MW} $0.23 See Rates to Left OEX, XEO and VIX {BR} $0.40 Joint Back-Office (45) SPX (incl SPXW) and SPESG (41) {BT} $0.42 B N U J Non-Trading Permit Holder Market Maker (16)(45) RUT {BS} $0.25 Manual and AIM/ {BK} $0.65 non-AIM Electronic Professional (45) RLG, RLV, RUI and UKXM {WR} $0.00 RUT $0.45 Surcharge Fee (14) SPX (incl SPXW) (41)(12) $0.17/ {SC} $0.00 (Also applies to Index License (41)(12) F J L M B N U $0.10 ($0.00 for capacity codes F and L for VIX transactions where the VIX Premium is ≤ $0.10 and the related series has an expiration of seven (7) OEX, XEO, and VIX GTH)(37) calendar days or less.) RLG, RLV, RUI, and UKXM $0.00 Underlying Symbol List A (34) (except RLG, RLV, $0.10 (capped at $250 per trade) FLEX Surcharge Fee (17) RUI, and UKXM) C F J L M B N U RLG, RLV, RUI, and UKXM $0.00 Exotic Surcharge (42) C $0.25 1 Cboe Exchange, Inc. Fees Schedule - September 1, 2021 Execution Surcharge (21)(12)(41) SPX (not incl SPXW) and SPESG (15) $0.21 C F J L B N U (Also applies to GTH)(37) SPXW (electronic only) $0.13 Customer Priority Surcharge (31) VIX (Maker non-turner) C $0.00 $0.20 (Also applies to GTH)(37) AIM Response Surcharge Fee (12)(41) SPX (incl SPXW) and SPESG C F J L M B N U $0.05 AIM Contra Surcharge Fee (12)(41) SPX (incl SPXW) and SPESG C F J L M B N U $0.10 SPX (incl SPXW) and SPESG C F J L M B N U $0.10 AIM Agency/Primary Surcharge Fee (12)(41) VIX C F J L M B N U $0.04 J M B N U $0.50 SPX AIM Hybrid Surcharge (26) SPX (incl SPXW) F L $0.39 SPX AIM Hybrid Originator Surcharge (26) SPX (incl SPXW) C F J L M B N U $0.10 SPX (incl SPXW) C F J L M B N U $0.05 RFC Execution Surcharge Fee (41)(21)(25) VIX C F J L M B N U $0.04 SPX/SPXW and SPESG Liquidity Provider Sliding Scale (41)(33)(12) Capacity Tier Volume Thresholds Capacity Code Transaction Fee Per Contract Notes 1 0.00% - 1.00% $0.28 2 Above 1.00% - 4.00% $0.26 Cboe Options Market- 3 Above 4.00% - 9.00% M $0.24 Volume thresholds are based on total Market-Maker volume in SPX, SPXW and SPESG. Maker/LMM 4 Above 9.00% - 15.00% $0.23 5 Above 15.00% $0.21 Liquidity Provider Sliding Scale (6)(10)(33) Capacity Tier Volume Thresholds Capacity Code Transaction Fee Per Contract Notes 1 0.00% - 0.05% $0.23 2 Above 0.05% - 0.80% $0.17 Volume thresholds are based on total national Market-Maker volume in all underlying Cboe Options Market- 3 Above 0.80% - 1.50% M $0.10 symbols excluding Underlying Symbol List A (34), MRUT and XSP during the calendar month. Maker/DPM/LMM 4 Above 1.50% - 2.25% $0.05 Applies in all underlying symbols excluding Underlying Symbol List A (34), MRUT and XSP. 5 Above 2.25% $0.03 Liquidity Provider Sliding Scale Adjustment Table (6)(44)(33) Make Rate Maker Rebate Taker Fee Capacity Performance Tier Capacity Code (% Based on Prior Month) Penny Classes Non-Penny Classes Penny Classes Non-Penny Classes 1 0% - 50% $0.00 $0.00 $0.05 $0.10 $0.00 $0.00 $0.04 $0.07 Cboe Options Market- 2 Above 50% - 60% 3 Above 60% - 75% M ($0.01) $0.00 $0.03 $0.05 Maker/DPM/LMM 4 Above 75% - 90% ($0.02) $0.00 $0.00 $0.04 5 Above 90% ($0.03) $0.00 $0.00 $0.00 Volume Incentive Program (VIP)(6)(23)(36)(33) Per Contract Credit Percentage Thresholds of National Customer Volume in All Underlying Symbols Excluding Capacity Tier Capacity Code Simple Complex Underlying Symbol List A (34), Sector Indexes (47), DJX, MRUT, MXEA, MXEF and XSP (Monthly) Non-AIM AIM Non-AIM AIM 1 0% - 0.75% $0.00 $0.00 $0.00 $0.00 2 Above 0.75% - 2.00% $0.10 $0.09 $0.21 $0.19 Customer/Broker- Dealer/Professional/ 3 Above 2.00% - 3.00% C B J U $0.12 $0.10 $0.24 $0.22 Joint Back-Office 4 Above 3.00% -4.00% $0.15 $0.13 $0.25 $0.23 5 Above 4.00% $0.15 $0.14 $0.25 $0.24 Notes Volume for capacity B, J and U will count towards tier qualification only. Credits on orders executed electronically in AIM will be capped at 1,000 contracts per order for simple executions and 1,000 contracts per leg for complex executions. Credits on orders executed electronically in SUM will be capped at 1,000 contracts per auction quantity. All contracts executed in AIM and all contracts executed in SUM will continue to be counted towards the percentage thresholds even if they exceed the 1,000 contract cap for VIP credits. Additionally, multiple simple orders from the same affiliated TPH(s) in the same series on the same side of the market that are executed in AIM or SUM within a 3 second period will be aggregated for purposes of determining the order quantity subject to the cap.
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