MARKET DATA DISTRIBUTION AGREEMENT APPENDIX B FEES 1 SUBSCRIBER DISPLAY FEES BROKER-DEALER ENTERPRISE LICENSES
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1 MARKET DATA DISTRIBUTION AGREEMENT APPENDIX B FEES 1 Fr each Real-Time Prfessinal Subscriber: OTC Markets Level 1+: $30.00 per mnth OTC Markets Level 2+: $75.00 per mnth SUBSCRIBER DISPLAY FEES Fr each Real-Time Nn-Prfessinal Subscriber: OTC Markets Level 1+: $5.00 per mnth OTC Markets Level 2+: $15.00 per mnth BROKER-DEALER ENTERPRISE LICENSES OTC Markets Level 1+ Brker-Dealer Enterprise License Real-time Display Usage, Nn-Display Usage and Derived Data Usage f OTC Markets Level 1+, Display Usage f OTC Markets Real-Time Reference Prices and Display Usage f OTC Markets Delayed Level 1+, fr distributin t all (i) emplyees f Distributr and (ii) custmers f Distributr that are Subscribers; prvided that (i) OTC Markets Level 1+ Infrmatin may be distributed under such license nly t Subscribers that maintain a securities brkerage (custmer) accunt with the Distributr and (ii) nne f such Subscribers may view OTC Markets Level 1+ Infrmatin except as an integral part f the passwrd prtected display devices, passwrd prtected trading applicatins r passwrd prtected Internet sites f the Distributr. $10, per mnth OTC Markets Level 2+ Brker-Dealer Enterprise License Real-time Display Usage, Nn-Display Usage and Derived Data Usage f OTC Markets Level 2+, Display Usage f OTC Markets Real-Time Reference Prices, and Display Usage f OTC Markets Delayed Level 1+, fr distributin t all (i) emplyees f Distributr and (ii) custmers f Distributr that are Subscribers; prvided that (i) OTC Markets Level 2+ Infrmatin may be distributed under such license nly t Subscribers that maintain a securities brkerage (custmer) accunt with the Distributr and (ii) nne f such Subscribers may view OTC Markets Level 2+ Infrmatin except as an integral part f the passwrd prtected display devices, passwrd prtected trading applicatins r passwrd prtected Internet sites f the Distributr. $20, per mnth 1 In the event f any claim f cnflict between the descriptins f the licenses and fees cntained in this Appendix and the descriptins f the licenses and fees cntained in any ther part f the Agreement, including but nt limited t the OTC Markets Grup Market Data Plicies, the interpretatin given t such terms in the Agreement shall cntrl the meaning theref. OTC Markets Grup Inc. Page 1 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
2 NON-DISPLAY LICENSES OTC Markets Level 1+ Internal Systems/Applicatins Enterprise License Nn-Display Usage f OTC Markets Level 1+; prvided that the applicatins and services that use the Infrmatin are nt available t any persn that is nt a User. Fees are based n Categry f usage. Distributrs with usage in mre than ne Categry will be charged the highest applicable fee. Categry 1 Nn-Display Trading Platfrm Usage (OTC Link Participant). Applies t Nn- Display Usage by a Distributr r Recipient wh is an OTC Link Participant when the Distributr r Recipient uses the Infrmatin in an Electrnic Trading System, whether the system trades n the Distributr s r Recipient s wn behalf r n behalf f its custmers. An Electrnic Trading System includes trading platfrms such as any SEC Registered Exchange, Alternative Trading System (ATS), Electrnic Cmmunicatin Netwrk (ECN), brker crssing netwrks, brker crssing netwrks nt filed as ATS s, dark pls, multilateral trading facilities, and systematic internalizatin systems. $1, per mnth Categry 2 Nn-Display Trading Platfrm Usage (Nn-OTC Link Participant). Applies t Nn-Display Usage by a Distributr r Recipient wh is nt an OTC Link Participant when the Distributr r Recipient uses the Infrmatin in an Electrnic Trading System (as defined abve), whether the system trades n the Distributr s r Recipient s wn behalf r n behalf f its custmers. $2, per mnth Categry 3 All Other Nn-Display Usage. Applies t all Nn-Display Usage ther than as set frth in Categries 1 r 2 abve. $1, per mnth OTC Markets Level 2+ Internal Systems/Applicatins Enterprise License Nn-Display Usage f OTC Markets Level 2+; prvided that the applicatins and services that use the Infrmatin are nt available t any persn that is nt a User. Fees based n Categry f usage. Distributrs with usage in mre than ne Categry will be charged the highest applicable fee. Categry 1 Nn-Display Trading Platfrm Usage (OTC Link Participant). Applies t Nn- Display Usage by a Distributr r Recipient wh is an OTC Link Participant when the Distributr r Recipient uses the Infrmatin in an Electrnic Trading System (as defined abve), whether the system trades n the Distributr s r Recipient s wn behalf r n behalf f its custmers. $2, per mnth Categry 2 Nn-Display Trading Platfrm Usage (Nn-OTC Link Participant). Applies t Nn-Display Usage by a Distributr r Recipient wh is nt an OTC Link Participant when the Distributr r Recipient uses the Infrmatin in an Electrnic Trading System (as defined abve), whether the system trades n the Distributr s r Recipient s wn behalf r n behalf f its custmers. $4, per mnth OTC Markets Grup Inc. Page 2 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
3 Categry 3 All Other Nn-Display Usage. Applies t all Nn-Display Usage ther than as set frth in Categries 1 r 2 abve. $2, per mnth OTC Markets Level 1+ Internal Derived Data License Nn-Display Derived Data Usage f OTC Markets Level 1+ by the Distributr; prvided that the data derived frm the Infrmatin may nt be distributed t any persn that is nt a User. $1, per mnth OTC Markets Level 1+ External Derived Data License Nn-Display Derived Data Usage f OTC Markets Level 1+ by the Distributr and the data derived frm the Infrmatin may be distributed t any persn. $2, per mnth OTC Markets Level 2+ Internal Derived Data License Nn-Display Derived Data Usage f OTC Markets Level 2+ by the Distributr; prvided that (i) the data derived frm the Infrmatin may nt be distributed t any persn that is nt a User. $ 2, per mnth OTC Markets Level 2+ External Derived Data License Nn-Display Derived Data Usage f OTC Markets Level 2+ by the Distributr and the data derived frm the Infrmatin may be distributed t any persn. $ 3, per mnth OTC Markets Delayed Level 1+ License DELAYED DATA DISPLAY LICENSE Display f OTC Markets Level 1+, n a 15 minute delayed basis, cntinuusly updated frm 6:00 AM t 5:00 PM Eastern Standard Time, n Distributr s websites and use f such Infrmatin n Distributr s Internal Applicatins r External Applicatins. $1, per mnth INVESTOR INFORMATION WEBSITE LICENSE OTC Markets Level 1+ fr OTC Issuer Website License License t publish Infrmatin cnsisting f OTC Markets Level 1+ relating t ver-the-cunter securities f a particular Issuer that are quted n OTC Link n a website wned and perated by such Issuer r the Distributr, and t prvide such Infrmatin t such Issuer fr its use in the rdinary curse f the Issuer s OTC Markets Grup Inc. Page 3 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
4 business, and fr n ther purpse; prvided, hwever, that this license shall nt be used t publish Infrmatin relating t the securities f any Issuer whse OTC Market Tier is Caveat Emptr. $ per mnth per security per Issuer OTC Markets Level 2+ fr OTC Issuer Website License License t publish Infrmatin cnsisting f OTC Markets Level 2+ relating t ver-the-cunter securities f a particular Issuer that are quted n OTC Link n a website wned and perated by such Issuer r the Distributr, and t prvide such Infrmatin t such Issuer fr its use in the rdinary curse f the Issuer s business, and fr n ther purpse; prvided, hwever, that this license shall nt be used t publish Infrmatin relating t the securities f any Issuer whse OTC Market Tier is Caveat Emptr. $ per mnth per security per Issuer REAL-TIME REFERENCE PRICES LICENSE OTC Markets Real-Time Reference Prices License Display Usage f highest bid price and lwest ffer price, but n qute size infrmatin, security infrmatin and OTC Markets Trade Prices, fr a security quted in the Infrmatin. $1, per mnth per market data system OTC Markets End-f-Day Pricing Service 2 END-OF-DAY PRICING LICENSES Requires an End f Day Addendum Infrmatin cnsisting f a snapsht f the Inside Market Qute taken at the clse f regular trading hurs, received frm OTC Markets Grup r a data vendr t be used fr (i) Investment Accunting, (ii) valuatin, (iii) settlement, clearing and custdy, and (iv) infrmatin, research r analysis. Fr purpses f the OTC Markets End-f-Day Pricing Service, Tier 1 distributin means prviding Infrmatin r services based n the Infrmatin t mre than 100 entities, Tier 2 distributin means entities, and Tier 3 distributin means 1-10 entities. i. Fr distributin t a firm that is nt a Custdian Bank, Clearing Firm, Prime Brker, r Service Bureau a. Lcated in the United States r Canada, the lesser f: 1. $1, per mnth; r, 2. $15.00 times number f securities accessed r used by each Subscriber, per mnth. 2 The OTC Markets End-f-Day Pricing Service is the nly license ffered by OTC Markets Grup that may be used fr Investment Accunting, valuatin, r settlement, clearing and custdy. These uses are nt authrized under any ther license. OTC Markets Grup Inc. Page 4 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
5 b. Lcated utside f the United States r Canada, the lesser f: 1. $ per mnth; r, 2. $9.00 times number f securities accessed r used by each Subscriber, per mnth. ii. Fr distributin t a Custdian Bank, Clearing Firm, Prime Brker, r Service Bureau a. Lcated in the United States r Canada: 1. Tier 1: $3, per mnth; r 2. Tier 2: $2, per mnth; r, 3. Tier 3: $1, per mnth. b. Lcated utside the United States r Canada: 1. Tier 1: $2, per mnth; r 2. Tier 2: $1, per mnth; r, 3. Tier 3: $1, per mnth. WEB ACCESS LICENSES Requires a Web Access Addendum. Pricing per license is listed belw and varies based n type f usage fr that license (Categry 1 Internal Use nly; r Categry 2 Internal Use and External Display). Web Access Licenses may NOT be used fr redistributin f data files. OTC Markets Web Access License fr Cmpany Data File License t (i) display Infrmatin cnsisting f OTC Markets Cmpany Data File received frm a secured FTP interface r secured website interface n Distributr s Internet Prperties ( External Display ) and (ii) use such Infrmatin n Distributr s Internal Applicatins ( Internal Use ). OTC Markets Web Access License fr OTC Qute Histry Data File License t (i) display Infrmatin cnsisting f OTC Markets OTC Qute Histry Data File received frm a secured FTP interface r secured website interface n Distributr s Internet Prperties ( External Display ) and (ii) use such Infrmatin n Distributr s Internal Applicatins ( Internal Use ). OTC Markets Web Access License fr Security Data File License t (i) display Infrmatin cnsisting f OTC Markets Security Data File received frm a secured FTP interface r secured website interface n Distributr s Internet Prperties ( External Display ) and (ii) use such Infrmatin n Distributr s Internal Applicatins ( Internal Use ). OTC Markets Web Access License fr Unslicited Qute Security File License t (i) display Infrmatin cnsisting f OTC Markets Unslicited Qute Security File received frm a secured FTP interface r secured website interface n Distributr s Internet Prperties ( External Display ) and (ii) use such Infrmatin n Distributr s Internal Applicatins ( Internal Use ). Fees fr the abve licenses: Categry 1 Internal Use nly: $1, per license, per mnth Categry 2 Internal Use plus External Display: $1, per license, per mnth OTC Markets Grup Inc. Page 5 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
6 OTC Markets Web Access License fr Cmpliance Data File License t (i) display Infrmatin cnsisting f OTC Markets Cmpliance Data File received frm a secured FTP interface r secured website interface n Distributr s Internet Prperties and (ii) use such Infrmatin n Distributr s Internal Applicatins. Categry 1 Internal Use nly: $2, per mnth Categry 2 Internal Use plus External Display: $2, per mnth OTC Markets Web Access License fr Cmpliance Analytics Data License t (i) display Infrmatin cnsisting f OTC Markets Cmpliance Analytics Data received frm a secured FTP interface r secured website interface n Distributr s Internet Prperties ( External Display ) and (ii) use such Infrmatin n Distributr s Internal Applicatins ( Internal Use ). Categry 1 Internal Use nly: $3, per mnth Categry 2 Internal Use plus External Display: $3, per mnth OTC Markets Web Access License fr Q Scre Data File License t (i) display infrmatin cnsisting f OTC Markets Q Scre Data File received frm a secure FTP interface r secured website interface n Distributr s Internet Prperties ( External Display ) and (ii) use such Infrmatin n Distributr s Internal Applicatins ( Internal Use ). Categry 1 Internal Use nly: $ per mnth Categry 2 Internal Use plus External Display: $1, per mnth Executin Quality OTC Markets Executin Quality Reprt Service License fr use f Infrmatin cnsisting f OTC Markets Executin Quality Reprt. Requires an Executin Quality Addendum. $2, per mnth (includes 1 authrized user lgin) $ per additinal authrized user per mnth OTC Markets RSS Feed License RSS FEED License t use the OTC Markets RSS Feed n Distributr s Internal Applicatins and External Applicatins. Requires an RSS Feed Addendum. Free f charge OTC Markets Grup Inc. Page 6 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
7 Web Access License Files Back Histry* First 12 Mnths: $1000 per mnth 12+ Mnths: $500 per mnth HISTORICAL DATA CHARGES *pricing is per file type (e.g. OTC Qute Histry, Security Data etc.) NETWORK CONNECTIVITY CHARGES Requires a Direct Cnnectivity Addendum. Applies t any Distributr wh receives Infrmatin directly frm OTC Markets Grup. Initial Cnnectivity Fee: $1, (ne-time charge) Includes primary and secndary cnnectins nly if bth circuits/extensins are rdered within 1 mnth f each ther. Includes the issuing f a Letter f Authrizatin t the service prvider t gain access t ur datacenter space. Includes the extensin f the circuit frm the demarcatin pint t OTC Markets Grup equipment. Subject t adjustment depending n ther expenses OTC Markets Grup may incur frm the datacenter prvider. Prt Csts: $ per mnth per cnnectin Sme cnnectins may incur an additinal ne-time prt setup fee, as fllws: RJ45 Handff cnnectin t OTC Markets Grup switch RJ45 must be CAT5e UTP r CAT6 UTP N ne-time cst LC Fiber Handff (Multimde) Additinal ne-time cst f $500 per cnnectin LC Fiber Handff (Singlemde) Additinal ne-time cst f $1,000 per cnnectin Inter-Data Center Cnnectivity: $ per mnth per data center Requires Inter-Data Center Cnnectivity Addendum ACCESS & REDISTRIBUTION FEES Applies t all Distributrs wh receive Infrmatin directly frm OTC Markets Grup r thrugh an Extranet Prvider. (Nt required fr Distributrs with nly Delayed Data, End-f-Day Pricing r Web Access Licenses.) Direct Access Fee: $1, per mnth per firm Applies t all Distributrs wh receive Infrmatin frm anther Distributr. (Nt required fr Distributrs with nly Delayed Data, End-f-Day Pricing r Web Access Licenses.) Indirect Access Fee: $ per mnth per firm OTC Markets Grup Inc. Page 7 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
8 Applies t all Distributrs wh receive Infrmatin that is cnslidated with Glbal OTC data. (Glbal OTC Redistributin Fee is a pass-thrugh fee frm NYSE.) Glbal OTC Redistributin Fee: $400 per mnth per firm OTC DEALER APPLICATION LICENSE License fr Authrized Users t use the sftware applicatin prvided by OTC Markets Grup (the OTC Dealer Applicatin ). Fees are based n Categry f usage and are subject t the applicable discunts, as described belw. Categry 1 OTC Dealer Applicatin. License fr Authrized Users t (i) search and view Infrmatin via the OTC Dealer Applicatin and (ii) cntribute qutatins, send and receive messages and ther infrmatin via the OTC Dealer Applicatin. $ per mnth per Authrized User (with applicable OTC Dealer Discunts as described belw) Categry 2 OTC Dealer Applicatin View Only. License fr Authrized Users t search and view infrmatin via the OTC Dealer Applicatin. $ per mnth per Authrized User (with applicable OTC Dealer Discunts as described belw) OTC Dealer Discunts: Discunts are based n the ttal number f OTC Dealer Applicatin and OTC Dealer Applicatin View Only Authrized User licenses issued t Distributr as f the first f any mnth. Discunts apply t the ttal mnthly charge: Discunt applied fr ttal Authrized Users Up t 10 N Discunt % % % % Greater than 50 30% OTC Markets Grup Inc. Page 8 f 8 Market Data Distributin Appendix B Fees (January 1, 2018)
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