Aidan Choi
Bill Rapavy
2020-08-05T16:19:04Z
2020-08-05T12:57:18Z
2020-08-10T13:55:53Z
16.00
15840
29040
28680
32767
False
False
| 2nd Quarter, 2020 |
|
|
|
|
|
|
| S&P 500 Stocks |
| Summary |
| Non-Directed Orders
as % of All Orders |
Market Orders as % of
Non-Directed Orders |
Marketable Limit
Orders as % of Non-Directed Orders |
Non-Marketable Limit
Orders as % of Non-Directed Orders |
Other Orders as % of
Non-Directed Orders |
| 0 |
0 |
0 |
0 |
0 |
| Venues |
| Venue -Non-directed
Order Flow |
Non-Directed
Orders (%) |
Market
Orders
(%) |
Marketable
Limit Orders
(%) |
Non-Marketable
Limit Orders
(%) |
Other
Orders
(%) |
Net Payment
Paid/Received for
Market
Orders(USD) |
Net Payment Paid/
Received for Market
Orders(cents per
hundred shares) |
Net Payment Paid/
Received for
Marketable Limit
Orders(USD) |
Net Payment Paid/
Received for
Marketable Limit
Orders(cents per
hundred shares) |
Net Payment Paid/
Received for Non-Marketable Limit
Orders(USD) |
Net Payment Paid/
Received for Non-Marketable Limit
Orders(cents per
hundred shares) |
Net Payment
Paid/Received for
Other
Orders(USD) |
Net Payment Paid/
Received for Other
Orders(cents per
hundred shares) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 2nd Quarter, 2020 |
|
|
|
|
|
|
| Non-S&P 500 stocks |
| Summary |
| Non-Directed Orders
as % of All Orders |
Market Orders as % of
Non-Directed Orders |
Marketable Limit
Orders as % of Non-Directed Orders |
Non-Marketable Limit
Orders as % of Non-Directed Orders |
Other Orders as % of
Non-Directed Orders |
| 0 |
0 |
0 |
0 |
0 |
| Venues |
| Venue -Non-directed
Order Flow |
Non-Directed
Orders (%) |
Market
Orders
(%) |
Marketable
Limit Orders
(%) |
Non-Marketable
Limit Orders
(%) |
Other
Orders
(%) |
Net Payment
Paid/Received for
Market
Orders(USD) |
Net Payment Paid/
Received for Market
Orders(cents per
hundred shares) |
Net Payment Paid/
Received for
Marketable Limit
Orders(USD) |
Net Payment Paid/
Received for
Marketable Limit
Orders(cents per
hundred shares) |
Net Payment Paid/
Received for Non-Marketable Limit
Orders(USD) |
Net Payment Paid/
Received for Non-Marketable Limit
Orders(cents per
hundred shares) |
Net Payment
Paid/Received for
Other
Orders(USD) |
Net Payment Paid/
Received for Other
Orders(cents per
hundred shares) |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
| 2nd Quarter, 2020 |
|
|
|
|
|
|
| Options |
| Summary |
| Non-Directed Orders
as % of All Orders |
Market Orders as % of
Non-Directed Orders |
Marketable Limit
Orders as % of Non-Directed Orders |
Non-Marketable Limit
Orders as % of Non-Directed Orders |
Other Orders as % of
Non-Directed Orders |
| 100 |
75 |
25 |
0 |
0 |
| Venues |
| Venue -Non-directed
Order Flow |
Non-Directed
Orders (%) |
Market
Orders
(%) |
Marketable
Limit Orders
(%) |
Non-Marketable
Limit Orders
(%) |
Other
Orders
(%) |
Net Payment
Paid/Received for
Market
Orders(USD) |
Net Payment Paid/
Received for Market
Orders(cents per
hundred shares) |
Net Payment Paid/
Received for
Marketable Limit
Orders(USD) |
Net Payment Paid/
Received for
Marketable Limit
Orders(cents per
hundred shares) |
Net Payment Paid/
Received for Non-Marketable Limit
Orders(USD) |
Net Payment Paid/
Received for Non-Marketable Limit
Orders(cents per
hundred shares) |
Net Payment
Paid/Received for
Other
Orders(USD) |
Net Payment Paid/
Received for Other
Orders(cents per
hundred shares) |
| Puma Capital LLC |
100 |
100 |
100 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
| Outset does not have a profit sharing arrangement with or receive payment for order flow from any of the above venues/market centers |
0
44
600
600
85
3
4
1
False
False
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SQL
Provider=Microsoft.Mashup.OleDb.1;Data Source=$Workbook$;Location="Table006 (Page 2)";Extended Properties=""
0
6
6
15
1
Venue -Non-directed
Order Flow
2
Non-Directed
Orders (%)
3
Market
Orders
(%)
4
Marketable
Limit Orders
(%)
5
Non-Marketable
Limit Orders
(%)
6
Other
Orders
(%)
7
Net Payment
Paid/Received for
Market
Orders(USD)
8
Net Payment Paid/
Received for Market
Orders(cents per
hundred shares)
9
Net Payment Paid/
Received for
Marketable Limit
Orders(USD)
10
Net Payment Paid/
Received for
Marketable Limit
Orders(cents per
hundred shares)
11
Net Payment Paid/
Received for Non-Marketable Limit
Orders(USD)
12
Net Payment Paid/
Received for Non-Marketable Limit
Orders(cents per
hundred shares)
13
Net Payment
Paid/Received for
Other
Orders(USD)
14
Net Payment Paid/
Received for Other
Orders(cents per
hundred shares)
ExternalData_5
OLEDB
SELECT * FROM [Table005 (Page 2)]
SQL
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0
6
6
6
1
Non-Directed Orders
as % of All Orders
2
Market Orders as % of
Non-Directed Orders
3
Marketable Limit
Orders as % of Non-Directed Orders
4
Non-Marketable Limit
Orders as % of Non-Directed Orders
5
Other Orders as % of
Non-Directed Orders
ExternalData_4
OLEDB
SELECT * FROM [Venues - Non-S&P 500 stocks]
SQL
Provider=Microsoft.Mashup.OleDb.1;Data Source=$Workbook$;Location="Venues - Non-S&P 500 stocks";Extended Properties=""
0
6
6
15
1
Venue -Non-directed
Order
Flow
2
Non-Directed
Orders (%)
3
Market
Orders
(%)
4
Marketable
Limit Orders
(%)
5
Non-Marketable
Limit Orders
(%)
6
Other
Orders
(%)
7
Net Payment
Paid/Received for
Market
Orders(USD)
8
Net Payment Paid/
Received for Market
Orders(cents per
hundred shares)
9
Net Payment Paid/
Received for
Marketable Limit
Orders(USD)
10
Net Payment Paid/
Received for
Marketable Limit
Orders(cents per
hundred shares)
11
Net Payment Paid/
Received for Non-Marketable Limit
Orders(USD)
12
Net Payment Paid/
Received for Non-Marketable Limit
Orders(cents per
hundred shares)
13
Net Payment
Paid/Received for
Other
Orders(USD)
14
Net Payment Paid/
Received for Other
Orders(cents per
hundred shares)
ExternalData_3
OLEDB
SELECT * FROM [Summary - Non S&P 500 stocks]
SQL
Provider=Microsoft.Mashup.OleDb.1;Data Source=$Workbook$;Location="Summary - Non S&P 500 stocks";Extended Properties=""
0
6
6
6
1
Non-Directed Orders
as % of All Orders
2
Market Orders as % of
Non-Directed Orders
3
Marketable Limit
Orders as % of Non-Directed Orders
4
Non-Marketable Limit
Orders as % of Non-Directed Orders
5
Other Orders as % of
Non-Directed Orders
ExternalData_2
OLEDB
SELECT * FROM [Venues]
SQL
Provider=Microsoft.Mashup.OleDb.1;Data Source=$Workbook$;Location=Venues;Extended Properties=""
0
6
6
15
1
Venue -Non-directed
Order
Flow
2
Non-Directed
Orders (%)
3
Market
Orders
(%)
4
Marketable
Limit Orders
(%)
5
Non-Marketable
Limit Orders
(%)
6
Other
Orders
(%)
7
Net Payment
Paid/Received for
Market
Orders(USD)
8
Net Payment Paid/
Received for Market
Orders(cents per
hundred shares)
9
Net Payment Paid/
Received for
Marketable Limit
Orders(USD)
10
Net Payment Paid/
Received for
Marketable Limit
Orders(cents per
hundred shares)
11
Net Payment Paid/
Received for Non-Marketable Limit
Orders(USD)
12
Net Payment Paid/
Received for Non-Marketable Limit
Orders(cents per
hundred shares)
13
Net Payment
Paid/Received for
Other
Orders(USD)
14
Net Payment Paid/
Received for Other
Orders(cents per
hundred shares)
ExternalData_1
OLEDB
SELECT * FROM [Summary]
SQL
Provider=Microsoft.Mashup.OleDb.1;Data Source=$Workbook$;Location=Summary;Extended Properties=""
0
6
6
6
1
Non-Directed Orders
as % of All Orders
2
Market Orders as % of
Non-Directed Orders
3
Marketable Limit
Orders as % of Non-Directed Orders
4
Non-Marketable Limit
Orders as % of Non-Directed Orders
5
Other Orders as % of
Non-Directed Orders