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354 Pages·2015·17.01 MB·English

Form 1 UNITED STATES SECURITIESAND EXCHANGE COMMISSION Date filed OFFICIAL
D.C.
Page1 WASHINGTON, 20549 (MM/DD/YY): USE
Execution APPLICATION FOR,AND AMENDMENTS TOAPPLICATION FOR, ONLY
Pay REGISTRATION ASANATIONAL SECURITIES EXCHANGEOR EXEMPTION
FROM REGISTRATION PURSUANT TO SECTION 5OFTHEEXCHANGE ACT
WARNING:Failureto keep thisformcurrent and tofile accurate supplementary information onatimely basis, orthe failureto
keep accurate books andrecords or otherwise to comply with the provisions of law applying to the conduct of the applicant
would violatethe federal securities lawsand mayresult indisciplinary, administrative, orcriminal action.
INTENTIONAL MISSTATEMENTS OR OMISSIONS OFFACTS MAYCONSTITUTE CRIMINAL VIOLATIONS
O APPLICAllON DilAMENDMENT
1. State the nameofthe applicant: ED(iX Exchange,Inc.
2. Provide the applicant's orimarv street address (Donot useaRO.Box):
545Washington Blvd..6thTloor NW
Jersey City, NJ07310 13035241
3. Provide the applicant's mailing address (if different):
4. Provide the applicant's business telephone and facsimile number:
[phone]
(Telephone) (Facsimile)
5.
Providethe name,title, and telephone number of acontact employee:
S.
Jeffrey Rosenstrock GeneralCounsel& Secretary 201-942-8295
(Name) (Title) (Telephone Number)
6 Providethe name and address of counsel for the applicant:
Jeffrey S.Rosenstrock
545Washington Blvd.,6th Floor
JerseyCity, NewJersey 07310
7. Provide the date applicant's fiscal year ends: December31,2013
8. Indicate legalstatus ofapplicant: liD Corporation D SoleProprietorship 0 Partnership
O Limited Liability Company 0 Other (specify):
Ifother than asole proprietor, indicate the date and place whereapplicant obtained its legalstatus (e.g.state
whereincorporated, place where partnership agreement was filed or where applicant entity was formed):
(a) Date (MM/DD/YY): 03/03/09 (b) State/Country of formation: Delaware, U.S.A.
(c) Statute under which applicant was organized:
EXECUTION: Theapplicant consents that service ofany civil action brought by,or notice of any proceeding before, the Securities and
Exchange Commission in connection with the applicant's activities maybegivenbyregistered or certified mail orconfirmed telegram to the
applicant's contactemployee at the mainaddress, ormailing addressifdifferent,given inItems2and 3.The undersigned, being first duly
sworn,deposesandsaysthat he/she has executed this form on behalf of, andwith theauthority of,said applicant. The undersigned and
applicantrepresentthat the information and statements contained herein,including exhibits, schedules, orotherdocuments attached hereto,
and otherInformat nfil herewith, allof which aremadeaparthereof, arecurrent,true,andcomplete.
Il
Date: EDGX Exchange,Inc.
By: Jeffrey S RosN etr k l Cons etary
Á{a $0
Subscribed and sworn before me this day of(Montn)a r , (Ye,ar) by (NotaryP MARIACORONAS.BelGARN
Guiliniissiuti eAvlica 09/20/13 uuilty us IIutlaun Grate uf NC," -Elasy' enna ruum.uiview Tema:
This page must always be completed in fuHwith original, manual slgnature and Uta res'SeptizBj203
Aikx notarystamp or seal where applicable.
4
o
c
FY
Form 1 UNITED STATES SECURITIES AND EXCHANQECOMMISSION Date filed OFFICIAL
Page1 WASHINGTON, D.C.20540 (MM/DD/YY): USE
Execution APPLICATION FOR, AhlDAMENDMENTS TOAW9tjCATION FOR, ONLY
Page REGISTRATION ASA NATIONAL SECURITIES EXCHÅlŠEOREXEMPTION
FROM REGISTRATION PURSUANT TO SECTION 5OFTHE EXCHANGEACT
WARNING:Failureto keep thisformcurrent and to file accurate supplementary information on atimely basis, orthe failure to
keepaccurate books andrecords or otherwise to comply with the provisions of lawapplying to the conduct ofthe applicant
would violate the federal securitieslawsand mayresultindisciplinary, administrative, orcriminal action.
INTENTIONAL MISSTATEMENTS OROMISSIONSOFFACTSMAYCONSTITUTE CRIMINALVIOLATIONS
Ll APPLIGAllON DiAMENDME.NI
1. State the nameof the applicant: EDGX Exchange,Inc.
2. Providethe applicant's primary street address (Donot useaRO.Box):
545Washington Blvd., 6th Floor
JerseyCity,NJ07310
3. Provide the applicant's mailing address (ifdifferent):
4. Provide the applicant's business telephone and facsimile number:
[phone] [phone]
(Telephone) (Facsimile)
5. Provide the name,title, and telephone number of a contact empioyee:
Jeffrey S,Roseristrock GeneralCounsel& Secretary 201-942-8295
(Name) (Title) (Telephone Number)
6. Provide the nameand address ofcounsel for the applicant:
Jeffrey S.Rosenstrock
545Washington Blvd.,6th Floor
Jersey City,New Jersey 07310
7. Provide the date applicant's fiscal year ends: December 31,2013
8. Indicate legal status of applicant: XI Corporation D Sole Proprietorship 0 Partnership
D Limited Liability Company 0 Other (specify):
Ifother than a sole proprietor, indicate the date and place where applicant obtained its legal status (e.g.state
whereincorporated, place where partnership agreement was filed or where applicant entity wasformed):
(a) Date (MM/DD/YY): 03/03/09 (b) State/Country of formation: Delaware, U.S.A.
(c) Statute under which applicant was organized:
EXECUTION:Theapplicant consents that service ofany civilaction brought by,ornotice of any proceeding before, the Securities and
ExchangeCommissioninconnection with the applicant's activities maybegiven byregistered orcertified mailorconfirmed telegram to the
applicant's contact employee at the mainaddress, ormailing address ifdifferent, giveninitems 2and 3. Theundersigned, being first duly
sworn, deposes and saysthat he/she has executed this formon behalf of, and with the authority of, said applicant. The undersigned and
applicant represent that the information and statements contained herein,including exhibits,schedules, orother documents attached hereto,
and otherinformat nfil dherewith, allof which aremade apart hereof, arecurrent,true,and compiete.
Date: a& lb EDGX Exchange,Inc.
( Y) (Nameofapplicant)
By: faus Jeffrey S. Rosenstrock, Gen 1Couns Secretary
,
ure) (Printe le)
Subscribed andswornbefore me this day of pg r, ,O by
(M th) (Year) ( otary Public) MARIACORONAS.BUGARii
lvly Cuiumission expises 09/26/l3 Coulay of IIudoun ,Mme ui Now Joisey Nuny Fublit.ufNewJemes
Thispage must always be completed in fuHwith original, manual signature and notaNzcafomExpiresSept.26,203
Alhx notary stamp or seal where apphcable.
4
DirectEdge
June 28,2013
Mr. Christopher Grobbel
U.S.
Securities and Exchange Commission
Division of Trading and Markets
Securities and Exchange Commission
100F Street, NE
Washington, DC 20549
Dear Mr. Grobbel:
Enclosed please find anamendment to the EDGX Exchange,Inc.("EDGX" or the
"Exchange") Form 1for registration asa national securities exchange. Pursuant to Rule 6a-2 of
the Securities Exchange Act of 1934("the Act"), the Exchange is filing the following:
Form 1Execution Page
•
• Annual Amendment to Form 1including Exhibits D,I,J,K,M and N
Tri-Annual Amendment to Form 1including Exhibits A,B and C
•
The Exhibits supplement materials filed in connection with EDGA's Form 1application
for exchange registration, which the Securities and Exchange Commission approved in March
2010,1 and its Form 1update filed on April 19,2013.
Very truly yours,
Jeffrey Rosenstrock, Esq.
General Counsel
Enclosures: Original and two (2)copies of the above amendments to the Exchange'sForm 1
cc: Freedom of Information Act Officer (U.S.Securities andExchange Commission)
i Re Securities Exchange Act Release No.61698,74FR 13151(March 18,2010).
Direct Edge, 545 Washington Boulevard, 6*Fl.,Jersey City,NJ 07310 Tel.[phone] Fax[phone] www.directedge.com
C O PY
DirectEdge
June 28,2013
Mr. Christopher Grobbel
U.S.Securities and Exchange Commission
Division of Trading and Markets
Securities and Exchange Commission
100F Street, NE
Washington, DC 20549
Re: FOIA CONFIDENTIAL TREATMENT REQUEST
Dear Mr. Grobbel:
Pursuant to 17C.F.RSection 200.83,EDGX Exchange, Inc. (the "Exchange") requests
confidential treatment for the enclosed documents and all the information contained therein.
This confidential treatment request is basedupon, among other things, exemptions 4,7
and 8of the Freedom of Information Act, 5U.S.C.552(b)(4). The enclosed documents contain
or relate to: privileged and confidential trade secrets and commercial and financial information
relating to the Exchanges and other persons; information relating to techniques andprocedures
for law enforcement investigations andprosecutions; and examination, operating or condition
reports prepared by the Exchanges which, asregistered national securities exchanges, are
responsible for the regulation and supervision of financial institutions. The Exchanges further
submit that, to the extent the information provided relates to individuals, disclosure could affect
those individuals' rights under the Privacy Act of 1974,5U.S.C.552a.
Please contact me at(201) 942-8295 upon receipt of any requests for copies of the any of
the enclosed documents, pursuant to 17C.F.R.Section 200.83.
Sincerely,
Jeffrey Rosenstrock
General Counsel
cc: Freedom of Information Act Officer (U.S.Securities and Exchange Commission)
Direct Edge, 545Washington Boulevard, 6*Fl.,Jersey City, NJ07310 Tel. [phone] Fax [phone] www.directedge.com
DirectEdge
EDGX Exchange, Inc.
Annual Amendment to Form 1
Exhibit D
Exhibit Request:
For each subsidiary or affiliate of the exchange, provide unconsolidated financial statements for
the latest fiscal year.Such financial statements shall consist, ataminimum, of abalance sheet
and anincome statement with such footnotes and other disclosures asarenecessary to avoid
rendering the financial statements misleading. If any affiliate or subsidiary is required by another
Commission rule to submit annual financial statements, astatement to that effect with a citation
to the other Commission rule, may beprovided in lieu of the financial statements required here.
Response:
1. The financials of Deutsche Börse AG are submitted in response to this Exhibit D.
2. Direct Edge Holdings LLC filed financial statements for the year ended December 31,
2012 with the Commission pursuant to Rule 17a-5 under the Securities Exchange Act
of 1934which include the financials for the entities listed below. They are submitted
again asareference in response to Exhibit D.
The financials of DECN d/b/a/ DE Route are submitted in response to Exhibit D.
•
The financials of EDGA Exchange,Inc. are submitted in responseto Exhibit D.
•
• The financials of EDGX Exchange, Inc. are submitted in response to Exhibit D.
3. The financials of Eurex Global Derivatives AG, Zrich are submitted in responseto
this Exhibit D.
4. The financials of Eurex Frankfurt AG are submitted in responseto Exhibit D.
5. The financials of Eurex Zrich AG are submitted in response to Exhibit D.
6. The financials of International Securities Exchange Holdings, Inc. are submitted in
response to Exhibit D.
7. The financials of International Securities Exchange, LLC are submitted in response to
Exhibit D.
8. The financials of U.S.Exchange Holdings, Inc. are submitted in response to Exhibit D.
9. There areno financials available for U.S.Exchange, LLC asthe entity was dormant
for the fiscal year ending December 31,2012.
Exhibit D
1.Deutsche Börse AG
DeutSche BörSe AktiengeSellSChaft, Frankfurt/Main
Balance Sheet aSat 31 December 2012
ets 31/12/2012 31/12/2011 Shareholders Equity and Liabilities 31/12/2012 31/12/2011
€ € (thousand) acqPueirrevdalufeororeftsirheamreesnt Sbuebfosrceribreedtirecmaepnittal € € (thousand)
NCURRENT ASSETS SHAREHOLDERS EQUITY € C
ansesandssseimtsilai rightsfordata processing andsoftware 13.058.459,00 9.15Ó Subscribed Capital 193.000.000,00 -8.921.326,00 184.078.674,00 183.400
opdawymillents 4425.9.02050,0,000 4615 Capital Reserve 1.286.328.955,19 1.284.329
6.384,00 9.624 Retained Earnings
Otherprofit reserves 431.144.371,32 138.156
iguirbelesoAnsstheitrsd partyland 23.174.252,00 24.224 431.144.371,32 138.156
erassets, furniture andoffice equipment 54.604.766,94 53.769
ancialAssets 77.779.018,94 77.993 Unappropriated Surpius 400.000.000,00 650.000
TotalShareholders Equity 2.301.552.000,51 2,255.885
resinaffiliated companies 3.086.328.369,45 2 496.172
nstoaffiliated companies 996.934.322,01 942.765 Provisions
istments 34.408.837,03 34.651 Provisions forpensions andsimilar obiigations 16.463.524,92 26.142
nstocompanies inwhich thecompany hasaparticipating interest 77.187,98 549 Provisionsfor deferred taxes 130,838.773,33 114.995
g-Term securities 12.636.498,14 10.669 Otherprovisions 131.788.565,28 145.822
arloans 4.130.435.5708.85,7941,30 3.484.8126 Totalprovisions 279.090.863.53 286.959
alNoncu ntAssets 4.221.721.191,85 3.572.428 LIABILITIES
Bonds 1.746.387.690,66 1.463.106
2RENTASSETS Liabilities frombank loans andoverdraft 96.148,45 527
unts Receivable andOther Assets Tradeaccounts payable 21.589.616.21 29.944
leaccounts receivable 118.807.282,50 119.887 Amounts owed toaffiliated companies 557.352.867,42 440.423
eivablesfrom affiliated companies 253.331.809,10 210.284 Amounts owed tocompanies in which thecompany hasaparticipating interest 13.260.012,84 12.988
eivablesfrom companies in which the company hasaparticipating interest 1.438.448,48 3.402 Otherliabilities 51.268.160,69 62.163
thereof withresidual termover 1year € 13.976.760,02 (previous year€ 15.671 (thousand))
trcurrent assets 78.061.601,38 37.467 Total Liabilities 2.389.954.496,27 2.009.152
451.639.141,46 371.040 DEFERRED INCOMEAND ACCRUED EXPENSES 907.288,40 2.367
iandBank Balances 281.081 01 6Ï)15
ICurrent Assets 732.720.157,29 967.053
ERREDEXPENSES ANDACCRUED INCOME 17.063.299,57 14.881
iAssets 4.971.504.648,71 4.554.362 TotalShareholders Equity andLiabilities 4.971.504.648,71 4.554.362
Deutsche Börse Aktiengesellschaft, Frankfurt/Main
Profit and LossAccount
for the period 1 January to 31 December 2012
2012 2011
€ € €(thousand) €(thousand)
SalesRevenue 1.110.263.852,97 1.280.677
OtherOperating income 109.182.724,08 118.786
thereof fromcurrency transiation € 13.485.097,00 (previousyear € 6.469 (thousand))
PersonnelExpenses
WagesandSalaries -120.307.535,19 -119.487
Sociatlhesreecoufritiepse,nsipoennssi6on5s,9a5n8d.7o6th5e,9r8ben(epfritesviousyear€ 15.245 (thousand)) -17.668.253,18 -27,034 -146.521
Depreciation
ofintangible andtangible assets -32.526.864,49 -28.439
OtherOperating Expenses -522.140.871,83 -566.278
thereof fromcurrency transiation € 4.567.676 62 (previousyear € 14.615 (thousand))
incomefromParticipating Interests 79.772.463,08 39.489
thereof fromaffiliated companies € 72.200.950,71 (previousyear € 37.195 (thousand))
incomefromProfitandLossAgreements 215.420.834,70 173.436
income fromFinancial Assets: Long-Term SecuritiesandLoans 27.018.291,41 16.754
thereof fromaffiliated companies € 15.000.000,00 (previousyear € 15.286 (thousand))
Interest andSimilar income 1.094,474,84 4.492
thereof fromaffiliated companies € 22.290,64 (previous € 36 (thousand))
Depretchieatrieonof toofaCffiulirarteendtAcsosmetps:aniFeisna€nc0ia,0l0As(speretsviaonudsSyeecaurrit€iesÖ(thousarid)) -2.662.724,18 -25.876
Interest andSimilarCharges -121.143.275,18 -106.376
thereof toaffiliated companies € 1.147.005,48 (previousyear € 3.033 (thousand))
thereof fromaddition ofdiscounted interest € 10.608.388,48 (previous year€ 8.408 (thousand))
Profit beforeTaxfrom Ordinary Activities 726.303.117,03 760.145
Extraordinary income 0,00 60.261
Extraordinaryexpense 0,00 -118
Extraordinary earnings 0,00 60.143
TaxonProfit -120.639.985,13 -155.891
Other Taxes 29.868,10 15.289
Net income forthe Financial Year 605.693.000,00 679.685
Withdrawal fromother profit reserves 0,00 0
Allocations toother profit reserve -205.693.000,00 -29.685
Unappropriated Surplus 400.000.000,00 650.000
Deutsche Börse Aktiengesellschaft, Frankfurt/Main
Statement ofChangesin Noncurrent Assets asat 31 December 2012
Acquistion and Production COsts Depreciation and Amortization BOOk Value
Changedueto Changedueto
Balanceasat mergers Additions Disposals Balanceasat Balance asat mergers Depreciation Release Disposals Balanceasat
iJan. 2012 2012 2012 2012 31Dec.2012 1Jan. 2012 2012 2012 2012 2012 31Dec.2012 31Dec.2012 31Dec2011
tangible Assets € € € € € e 0 e O e e e
ansesandsimilarrightsfordataprocessingandsonware 249.922.912.74 0.00 8.944.151,26 33.266.214,75 225.600849,25 240.765172.74 0.00 5.043.432,26 0,00 33.266.214.75 212.542.390.25 13.058.459,00 9.157740.(
odwill 484.734,10 0.00 29.416,26 0,00 514 150,36 23270,10 0.00 47.955,26 0,00 0.00 71.225,36 442.925,00 461 464,(
payments onaccount andconstruction inprogress 5.000.00 0,00 0,00 0,00 5000,00 0.00 0.00 0,00 0,00 0,00 0,00 5.000,00 5000,(
ngible Assets 250.412.646,84 0,00 8.973.567,52 33.266.214.75 226 119 999,61 240.788.442.84 0.00 5.091.387,52 0,00 33.266.214,75 212.613.615,61 13.506.384,00 9.624 204,(
Ures onthird partyland 35.679.888.13 0.00 861 683,99 332.851,01 36208 721,11 11.456.178,13 0,00 1.911.141,99 0.00 332.851,01 13.034.469.11 23.174.252,00 24.223.710,(
erassets,furnitures andofficeequipment 244.834.941.06 0,00 26.523.426,97 25.344.322,61 246 014 045,42 191.066.093,11 0,00 25.524.334,98 0,00 25.181.149,61 191.409.278,48 54.604.766.94 53.768.847,5
iancial Assets 280.514 829,19 0.00 27.385 110,96 25.677.173.62 282.222 766,53 202.522.271.24 0,00 27.435.476,97 0.00 25.514.000.62 204.443.747,59 77.779.018.94 77.992.557.5
ires inaffiliated companies 2.506.972 213,78 0,00 590.156 155,67 0.00 3.097.128.369,45 10.800.000,00 0,00 0,00 D,00 0.00 10,800 000,00 3.086,328,369,45 2.496.172.213,
nstoalfiliatedcompanies 1.778.856095,21 0,00 0,00 2.530.000.00 1.776.326.095,21 836.091.375,14 0.00 0,00 -56.699.601,94 0.00 779.391773,20 996.934.322,01 942.764.720.(
astments 56.897 133,12 0,00 1.241 745,63 1.484.009.52 56.654 869,23 22.246.032,20 0.00 0,00 0,00 0,00 22.246 032.20 34.408.837,03 34.651.100,
nstocompaniesinwhichthecompanyhasaparticipatinginterest 3.465829.16 0,00 2.191083.00 0.00 5.656.912,16 2.917.000,00 0.00 2.662.724,18 0,00 0.00 5.579.724,18 77.187,98 548.829.
gtermsecurities 11.970399,08 0,00 5.017042,65 3.970.400.00 13.017.041,73 1.301.859,65 0.00 0,00 -921.316,06 0,00 380543,59 12.636.498,14 10.668.539,
loans 6274,96 0.00 44.299.34 0,00 50.574,30 0,00 0.00 0.00 0.00 0.00 0,00 50.574.30 6.274,
4.358.167 945,31 0,00 598.650,326,29 7,984.409.52 4.948.833.862,08 873.356.266,99 0,00 2.662.724,18 -57.620.918.00 0,00 818.398 073,17 4.130.435.788,91 3.484.811.678,
4.889.095 421.34 0,00 635.009.004.77 66.927.797,89 5.457.176.628.22 1.316.666.981,07 0,00 35.189.588,67 -57.620.918,00 58.780.215.37 1.235.455.436.37 4.221.721.191,85 3.572.428.440,