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United States Securities and ExchangeCommission

FORM13H

LargeTraderRegistration

InformationRequiredofLargeTraders PursuantTo Section13(h)ofthe

Securities ExchangeActof1934 andRules Thereunder

[ ]INITIAL FILING: / Dateidentifyingtransactions first effected (mm/dd/yyyy)
Voluntaryfiling? [ ]no [ ]yes Dateofvoluntaryfiling
[ ]ANNUALFILING: / Calendaryear ending
[ ]AMENDED FILING
[ ]INACTIVE STATUS: / Date commencing InactiveStatus (mm/dd/yyyy)
[ ]TERMINATIONFILING: / Effectivedate (mm/dd/yyyy)
[ ]REACTIVATED STATUS: / Dateidentifying transactions first effected, post-InactiveStatus (mm/dd/yyyy)
NameofLargeTrader FilingThis Form
LTID
TaxpayerIdentification Number
Business Address oftheLargeTrader (Street, City,State,Zip, Country)
Mailing Address oftheLargeTrader (Street, City,State,Zip, Country)
TelephoneNo. / FacsimileNo. / Email

The Formand theschedules thereto must besubmitted byanatural personwho is authorized to makethis submission on behalfofthelargetrader.

NameofAuthorized Person (First, MiddleInitial,Last)
TitleofAuthorized Person
Relationship to LargeTrader
Business Address ofAuthorized Person (Street,City, State,Zip, Country)
Authorized Person’s TelephoneNo. / FacsimileNo.
Authorized Person’s Email

ATTENTION

Intentional misstatements oromissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Intentional misstatements oromissions of facts mayresult in civil fines and othersanctions pursuant to theSecurities ExchangeAct of1934.

The authorized person signingthis form represents that all information contained in the form, schedules, and continuation sheets is true, correct, andcomplete. It is understood that all information whethercontained in the form, schedules, orcontinuation sheets, is consideredanintegral part ofthis formand that anyamendment represents that all unamended information remains true, correct,and complete.

SignatureofPerson Authorized to Submitthis Form

FORM 13H

INFORMATION REQUIREDOFALLLARGETRADERS

ITEM 1. BUSINESSESOFTHELARGE TRADER(checkas manyas applicable)

(a)Businesses engaged in bythelargetraderand anyofthelargetrader’s affiliates (check as manyas applicable)

[ ]BrokerorDealer / [ ]Bank HoldingCompany
[ ]Government Securities BrokerorDealer / [ ]Non-Bank HoldingCompany
[ ]Municipal Securities BrokerorDealer / [ ]Bank
[ ]Investment Adviser / [ ]Pension Trustee
[ ]to RegisteredInvestment Companies / [ ]Non-Pension Trustee
[ ]to HedgeFunds orother Funds not registered
undertheInvestment CompanyAct / [ ]InsuranceCompany
[ ]Futures CommissionMerchant / [ ]Other (specify)
[ ]CommodityPool Operator

(b)Describethenatureofthebusiness ofthelargetraderincluding adescription for each SecuritiesAffiliate:

ITEM 2. SECURITIESAND EXCHANGE COMMISSIONFILINGS

Does thelargetraderoranyofits Securities Affiliates file anyother formswith theCommission? [ ]Yes[ ]No

Ifyes, specifythe entityand the forms filed:

Entity / Form(s)Filed / CIK Number

ITEM 3. CFTC REGISTRATION ANDFOREIGN REGULATORS

(a)Is thelargetraderor anyofits affiliates registeredwith theCommodityFutures TradingCommission in any capacity, includingasa“registered trader”pursuant to sections 4iand 9 oftheCommodityExchangeAct?

[ ]Yes[ ]No

Ifyes, identifyeachentityand specifytheregistration number:

Entity / Registration Number

(b)Is thelargetraderor anyofits Securities Affiliates regulated byaforeign regulator?

[ ]Yes[ ]No

Ifyes, identifyeachentityand its primaryforeignregulator(s):

Entity / PrimaryForeign Regulator

ITEM 4.ORGANIZATIONINFORMATION

(a)Attach an Organizational Chart that identifies thelargetrader, its parent company (if applicable), all SecuritiesAffiliates, and all entitiesidentified in Item 3(a).

(b)Provide the following information on allSecurities Affiliates and all entities identified inItem 3(a):

Entity / MPID(s) / Description of Business / Relationship to the LargeTrader

(c)Ifanyaffiliates fileseparately, identifyeach entity:

Entity / LTID / Suffix (if any)

(d)Ifanyaffiliates havebeen assignedanLTIDsuffix, identifysuchentities and their correspondingsuffixes:

Entity / Suffix

ITEM 5.GOVERNANCE OFTHELARGE TRADER

(a)STATUSOFTHELARGE TRADER(checkas manyas apply)

[ ]Individual / [ ] Partnership
[ ]Limited Partnership
[ ]Trustee / [ ]Corporation
[ ]LimitedLiabilityCompany / [ ]Other (specify)

(b)Completethe followingfor eachgeneral partner, and in thecaseoflimited partnerships, each limited partnerthat is theownerofmorethan a10 percent financial interest in theaccounts ofthelargetrader:

Name / Status (check one for each)
[ ]General Partner [ ]Limited Partner
[ ]General Partner [ ]Limited Partner
[ ]General Partner [ ]Limited Partner
[ ]General Partner [ ]Limited Partner
[ ]General Partner [ ]Limited Partner
[ ]General Partner [ ]Limited Partner
[ ]General Partner [ ]Limited Partner

(c)Completethefollowingfor each executiveofficer, director, ortrusteeofalargetrader corporation or trustee:

NameStatus (check oneforeach)

Name / Status (check one for each)
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee
[ ] ExecutiveOfficer / [ ]Director / [ ]Trustee

(d)Jurisdiction in whichthelargetraderentityisincorporated ororganized:

(state and country)

ITEM 6.LIST OFBROKER-DEALERSAT WHICH THELARGETRADERORITS SECURITIES AFFILIATESHASANACCOUNT

Identifyeach broker-dealer at which thelargetraderor anyofits SecuritiesAffiliates has anaccount and thetypes of services provided.

NameofBroker-Dealer
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker
[ ] Prime Broker [ ]Executing Broker[ ]ClearingBroker

INSTRUCTIONSFOR FORM 13H

SubmissionoftheForm. All submissions on Form 13H must be filed electronicallythrough theCommission’s ElectronicDataGathering, Analysis, and Retrieval (“EDGAR”)system. For moreinformation on filingthrough EDGAR, includinginstructions on howto obtain access to and file electronicallythrough EDGAR, seetheEDGARFilerManual (availableon the Commission’s website at:

Definitions.Theterm “SecuritiesAffiliate”means an affiliateofthelargetraderthat exercises investment discretion overNMSsecurities.

Theterm “affiliate”means anyperson that directlyorindirectlycontrols, is under common control with, oris controlled bythelargetrader.

Theterm “bank”meansanational bank, statememberbank oftheFederalReserveSystem, state non-memberbank, savings bank or association, credit union, or foreign bank.

Theterm “executive officer”means “policy-makingofficer” and otherwiseis interpreted in accordancewith Rule16a-1(f)undertheExchangeAct.

TypeofFiling. Indicatethetypeof Form 13Hfilingbycheckingtheappropriateboxat thetop ofthe coverpagetoForm 13H. All filings must includeavalid digital signature.

Ifthe filingisan “InitialFiling,”indicatewhetherit is avoluntaryfiling. Voluntaryfilings are submitted regardless ofwhetherthe aggregatenumberoftransactions effected reached the identifyingactivitylevel. Forvoluntaryfilings, thelargetradermust inputthedateon which it submits its voluntaryfiling. Fornon-voluntaryfilings, thelargetradermust input the first date on which theaggregatenumberoftransactions effected reached theidentifyingactivitylevel.A non-voluntary“Initial Filing”must besubmitted promptlyafter first effectinganaggregate numberoftransactions equal to orgreaterthan theidentifying activitylevel.

Ifthe filingisan “Annual Filing,”input the applicable calendaryear.

An “AmendedFiling”must be filed promptlyfollowingtheend ofthecalendarquarterin which anyoftheinformation contained in a Form 13Hfilingbecomes inaccuratefor anyreason. A largetradermust file an“AmendedFiling”when,for example, it changes its name, business address, organization type (e.g., thelargetraderpartnership reincorporates as alimited liability company), orregulatorystatus (e.g., ahedge fundregisters undertheInvestment CompanyAct), orwhen its organizational chart changes in amanner relevant underItem 4(a) (e.g., it adds or removes aSecurities Affiliate).

Ifthe filingis for“InactiveStatus,”input thedatethat thelargetraderqualified forInactive Status. A largetraderthat has not effected aggregatetransactions at anytimeduringtheprevious full calendaryearin an aggregateamount equal toorgreaterthan theidentifyingactivitylevel mayfileforInactiveStatus. A largetradershall becomeinactive,and exempt from the filingand self-identification requirements upon filingforInactiveStatus until theidentifyingactivity level is reached again.

Ifthe filingis for “Reactivated Status,”indicatethedatethat theaggregatenumberof transactions againreached or exceeded theidentifyingactivitylevel.Afilingfor “Reactivated Status”must besubmitted promptlyaftereffectinganaggregatenumberoftransactions -- subsequent to filingfor“InactiveStatus”-- equal to orgreaterthan theidentifyingactivitylevel. Inaddition, aperson mayvoluntarilyelect to fileforReactivated Status priorto effecting aggregatetransactions that areequal to orgreaterthan theidentifying activitythreshold. For such voluntarilyfilings for “Reactivated Status,”thedateofthevoluntarilyfilingshould be enteredratherthan thedatethat theaggregatenumberoftransactions againreached orexceeded theidentifyingactivitylevel.

Ifthe filingisa “Termination Filing,”indicatethedateon which thelargetraderceased operation. For example, when onelargetradermerges into anotherlargetrader, resultingin only onesurviving entity, thenon-survivinglargetradershould specifytheeffectivedateofthe

mergerin its Termination Filing.

The Formalso requires that alargetraderinput its TaxpayerIdentification Number. TheForm furtherrequiresalargetraderto input its business and mailingaddresses. Ifthose addresses are thesame, forthemailing address field, thelargetradermayeitherinput its address again orinput “same.”

The Form must be filed byanatural person who isauthorized to submit it on behalfofthelarge trader. TheCommissionmayrequirethelargetraderto providedescriptiveor clarifying information about theinformation disclosed in the Form 13H, andwill contact theAuthorized Person to providesuch information.

To amend thename, phonenumber, andemail address ofthelargetrader, thelargetradermust modifyits EDGARprofile. Thereafter, changeswill automaticallybereflected in theForm 13H.

Item1. Businesses oftheLargeTrader. Item 1 ofthe Formrequires thelargetraderto specify, from amongthe enumerated choices, thetypes ofbusiness engaged in bythelargetrader, by checkingas manyas areapplicable. Select“Other”to indicateafinancialentitynot included in anyofthe enumeratedcategories and enterashortdescription foreach such entity. In addition, select “Other”ifthelargetraderis an individual and input his orheroccupation.

A largetraderalso is required, foritself andeachofits Securities Affiliates, to describethe natureofits operations, includingageneral description ofits tradingstrategies. Asan example, the followingwould be an appropriatedescription: “Registered market-makeron [SRO], authorized participant foranumberofETFs basedon foreign indices, and proprietarytrading focusingon statistical arbitrage.”

Item2. Securities and ExchangeCommission Filings. Thelargetradermust indicatewhetherit or anyofits Securities Affiliates files forms with theCommission. Ifitchecks “Yes,”thelargetradermust input thenames ofthe filing entities and, foreach ofthem, input the form(s)theyfile and the applicableCIKnumber.

Item3. CFTC Registration and Foreign Regulators.

Item 3(a)requires thelargetraderto indicatewhetheritor anyofits affiliates is registeredwith theCommodityFuturesTradingCommission in anycapacity, includingasa “registered trader” pursuant to Sections 4iand 9 oftheCommodityExchangeAct. Ifit checks“Yes,”thelarge tradermust input thenameof each such entityand the registration numberfor each such entity.

Item 3(b)requires thelargetraderto indicatewhetheritor anyofits Securities Affiliates is regulated byaforeignregulator. UnlikeItem 3(a),Item 3(b)applies onlyto thelargetraderand its Securities Affiliates. Ifit checks“Yes,”thelargetradermust input thenameofeach such regulated entityand its primaryforeign regulator.

Item4. OrganizationInformation.

To complywithItem 4(a), thelargetradermust attach an organizational chart that depicts the organization ofthelargetrader. Ataminimum, the chart must includethelargetrader, its parent company(if applicable),all Securities Affiliates, and all entities identified inItem 3(a)ofthe Form (ifany)(collectively,“Item 4 Affiliates”).

Item 4(b)requires that alargetraderprovideinformation about theItem 4 Affiliates.

Specifically, thelargetradermust input thenames ofItem 4 Affiliatesand,for each oneofthem,

also input the followinginformation: MPID(s); abriefdescription ofits business, and its relationship to thelargetrader.

Item 4(c)requires that alargetraderidentifyall affiliates that fileaseparate Form 13H. Those affiliates will haveadifferentLTID.

Item 4(d)permits alargetraderto assignLTIDsuffixes to oneormoreofits Securities

Affiliates. A suffixshould haveno morethan three characters, all ofwhich must benumbers; no letters orspecial characters maybeused.Thesamesuffixmaynot be assigned to morethan one affiliateusingthesameLTID.

Item5. GovernanceoftheLargeTrader.

Item 5captures basicinformation about thelargetraderorganization. All terms havethe meaningsgenerallyascribed to them in theUnited States. Ifa foreign organization typehas no comparablecorporate form, check “Other”and input theorganization type. A largetraderwho is anatural person must check “Individual.”

Item6. List ofBroker-Dealersat Which theLargeTraderorIts SecuritiesAffiliates HasanAccount.

Item 6requires that alargetraderidentifyeach broker-dealerat which thelargetraderand any Securities Affiliatehasan account. Additionally,for each such broker-dealer, thelargetrader must indicatethetype(s)ofservices provided. Thelargetradermust checkas manyofthe followingthat apply: PrimeBroker; Executing Broker; Clearing Broker.