1.3 StoneX Financial, Inc. 2026 1 2026-04-23T02:42:12Z 2026 01 100.00 9.31 0.91 19.58 70.20 CITADEL SECURITIES LLC 94.11 56.24 70.58 95.77 98.98 399.16 6.5681 41.69 1.6580 50.30 0.3616 29.91 0.1360 SFI received payment from Citadel Securities LLC (“Citadel”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Citadel with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. 99.93 12.05 3.52 26.30 58.14 CITADEL SECURITIES LLC 94.15 71.17 88.58 94.61 99.04 4865.47 4.2955 1170.81 0.7742 1036.71 0.3203 126.49 0.0793 SFI received payment from Citadel Securities LLC (“Citadel”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Citadel with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. 100.00 3.01 4.02 27.30 65.67 Matrix Executions, LLC / Simplex Trading, LLC 83.04 26.96 38.50 62.23 96.99 160.77 15.3260 3040.39 3.1673 7958.76 11.3757 176009.75 7.9311 SFI has paid fees to and/or has received payment from Matrix Executions, LLC (“Matrix”) in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through or with Matrix during the month indicated. Such amounts were calculated (and SFI was paid) (1) at a rate of $0.12 per executed contact for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted in non-penny increments and (2) based upon the amount Matrix receives from applicable options exchanges and shares with SFI (as described below) for crossing SFI options orders on such options exchanges, as described in greater detail below. As indicated above, SFI receives all or a portion of the compensation Matrix receives from executing SFI options orders on applicable options exchanges and the amount of such compensation varies based upon the options exchange, whether the order was crossed on the exchange, whether the order was crossed electronically or on the applicable options exchange floor as part of a qualified contingent cross, and/or the professional/non-professional (that is, retail) nature of the counterparties to such cross. Specifically, SFI receives from Matrix: · For SFI orders routed to options exchanges with complex order books, SFI receives 100% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders; · For SFI orders routed to options exchanges as crosses (other than as indicated below), SFI received 100% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders; · For qualified contingent crosses executed electronically on the BOX Exchange or MIAX Exchange, $0.10 per executed contracts for crosses with a counterparty characterized as a “Customer” or a “Professional Customer” and $0.15 per executed contracts for crosses with a counterparty not characterized as a “Customer.” · For qualified contingent crosses and solicitation agency orders executed electronically on the, EDGX options exchange, $0.10 per executed contracts for crosses with a counterparty characterized as a “Customer” or a “Professional Customer” and $0.15 per executed contracts for crosses with a counterparty not characterized as a “Customer.” · For non-qualified contingent crosses executed natively, SFI receives 100% of the rebates that Matrix receives based on the total volume from the exchanges where execution occurred. · For SFI orders submitted as an agency order, including an order with a designated give up, that crosses with a response order (also referred to as a break up order), SFI receives 50% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders. · For SFI orders in specific accounts mutually agreed upon by StoneX and Matrix that predominantly take liquidity, Matrix charges a commission of $0.035 per contract, and provides a $0.40 incentive per contract for orders that add liquidity. Matrix’s receipt of rebates from applicable options exchanges and the volume-based tiering payment schedules of those options exchanges potentially provides an incentive for Matrix to route orders to one options exchange over another so as potentially to maximize the benefit of such rebates or such volume-based tiering. Although SFI does not participate in Matrix’s routing decisions, SFI can benefit from any potential routing by Matrix as a result of SFI’s receipt of all or a portion of the compensation Matrix receives from such options exchanges. Other than the foregoing, SFI’s arrangement with Matrix is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. Finally, as indicated above, SFI’s receipt of rebates from Matrix for crosses executed on applicable options exchanges are subject to the volume-based tier applicable to SFI’s order flow notwithstanding that Matrix may receive a greater benefit from volume-based tiering as a result of aggregate order flow routed for SFI and other broker-dealers for which Matrix routes options orders. CITADEL SECURITIES LLC 6.52 37.32 16.04 15.60 0.74 3958.50 24.7221 1995.06 29.9154 3824.09 29.0011 823.26 13.9441 SFI received payment from Citadel in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.50 per executed contract for executable/marketable orders in options that are quoted and trade in nickel ($0.05) increments. SFI’s arrangement with Citadel is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from options exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. Jane Street Capital 6.06 35.00 16.71 15.05 0.34 648.25 29.6411 936.75 27.3105 2431.00 32.4393 18.25 4.9728 SFI received payment from Jane Street Capital (“Jane Street”) in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through Jane Street during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.50 per executed contract for executable/marketable orders in options that are quoted and trade in nickel ($0.05) increments. SFI’s arrangement with Jane Street is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Jane Street may receive rebates or other compensation from options exchanges in connection with SFI orders, Jane Street does not share any such rebates or compensation with SFI. 2026 02 100.00 8.14 0.77 1.60 89.50 CITADEL SECURITIES LLC 92.93 38.22 58.84 42.02 99.10 405.80 8.7294 23.12 1.1615 63.66 0.6540 8.00 0.0372 SFI received payment from Citadel Securities LLC (“Citadel”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Citadel with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. Jane Street Capital 5.02 49.83 27.64 41.37 0.10 603.38 10.0000 44.45 10.0000 91.65 10.0000 27.35 10.0000 SFI received payment from Jane Street Capital (“Jane Street”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Jane Street during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Jane Street with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Jane Street may receive rebates or other compensation from exchanges in connection with SFI orders, Jane Street does not share any such rebates or compensation with SFI. 99.97 12.03 3.37 14.36 70.24 CITADEL SECURITIES LLC 92.65 64.37 84.66 87.72 98.88 4633.17 4.6155 1567.81 1.3551 973.26 0.3984 199.96 0.1602 SFI received payment from Citadel Securities LLC (“Citadel”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Citadel with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. 100.00 3.01 4.05 28.70 64.24 Matrix Executions, LLC / Simplex Trading, LLC 83.00 26.78 45.34 66.93 95.19 175.14 12.7190 -1584.79 -1.3541 4380.59 5.7276 166828.28 8.1368 SFI has paid fees to and/or has received payment from Matrix Executions, LLC (“Matrix”) in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through or with Matrix during the month indicated. Such amounts were calculated (and SFI was paid) (1) at a rate of $0.12 per executed contact for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted in non-penny increments and (2) based upon the amount Matrix receives from applicable options exchanges and shares with SFI (as described below) for crossing SFI options orders on such options exchanges, as described in greater detail below. As indicated above, SFI receives all or a portion of the compensation Matrix receives from executing SFI options orders on applicable options exchanges and the amount of such compensation varies based upon the options exchange, whether the order was crossed on the exchange, whether the order was crossed electronically or on the applicable options exchange floor as part of a qualified contingent cross, and/or the professional/non-professional (that is, retail) nature of the counterparties to such cross. Specifically, SFI receives from Matrix: · For SFI orders routed to options exchanges with complex order books, SFI receives 100% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders; · For SFI orders routed to options exchanges as crosses (other than as indicated below), SFI received 100% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders; · For qualified contingent crosses executed electronically on the BOX Exchange or MIAX Exchange, $0.10 per executed contracts for crosses with a counterparty characterized as a “Customer” or a “Professional Customer” and $0.15 per executed contracts for crosses with a counterparty not characterized as a “Customer.” · For qualified contingent crosses and solicitation agency orders executed electronically on the, EDGX options exchange, $0.10 per executed contracts for crosses with a counterparty characterized as a “Customer” or a “Professional Customer” and $0.15 per executed contracts for crosses with a counterparty not characterized as a “Customer.” · For non-qualified contingent crosses executed natively, SFI receives 100% of the rebates that Matrix receives based on the total volume from the exchanges where execution occurred. · For SFI orders submitted as an agency order, including an order with a designated give up, that crosses with a response order (also referred to as a break up order), SFI receives 50% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders. · For SFI orders in specific accounts mutually agreed upon by StoneX and Matrix that predominantly take liquidity, Matrix charges a commission of $0.035 per contract, and provides a $0.40 incentive per contract for orders that add liquidity. Matrix’s receipt of rebates from applicable options exchanges and the volume-based tiering payment schedules of those options exchanges potentially provides an incentive for Matrix to route orders to one options exchange over another so as potentially to maximize the benefit of such rebates or such volume-based tiering. Although SFI does not participate in Matrix’s routing decisions, SFI can benefit from any potential routing by Matrix as a result of SFI’s receipt of all or a portion of the compensation Matrix receives from such options exchanges. Other than the foregoing, SFI’s arrangement with Matrix is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. Finally, as indicated above, SFI’s receipt of rebates from Matrix for crosses executed on applicable options exchanges are subject to the volume-based tier applicable to SFI’s order flow notwithstanding that Matrix may receive a greater benefit from volume-based tiering as a result of aggregate order flow routed for SFI and other broker-dealers for which Matrix routes options orders. CITADEL SECURITIES LLC 6.98 34.68 22.38 14.51 1.35 981.75 25.5531 10604.64 42.4865 4998.95 39.5018 65.23 3.2534 SFI received payment from Citadel in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.50 per executed contract for executable/marketable orders in options that are quoted and trade in nickel ($0.05) increments. SFI’s arrangement with Citadel is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from options exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. Jane Street Capital 6.47 36.80 19.08 14.39 0.71 785.75 25.4948 695.00 30.0086 2218.50 30.1837 346.75 32.4977 SFI received payment from Jane Street Capital (“Jane Street”) in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through Jane Street during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.50 per executed contract for executable/marketable orders in options that are quoted and trade in nickel ($0.05) increments. SFI’s arrangement with Jane Street is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Jane Street may receive rebates or other compensation from options exchanges in connection with SFI orders, Jane Street does not share any such rebates or compensation with SFI. 2026 03 100.00 12.67 0.70 1.77 84.86 CITADEL SECURITIES LLC 90.28 40.45 54.35 37.60 99.12 359.64 5.8279 119.68 4.5152 52.89 0.7421 17.16 0.0799 SFI received payment from Citadel Securities LLC (“Citadel”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Citadel with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. Jane Street Capital 7.59 50.11 32.48 46.99 0.21 476.35 10.0000 71.84 10.0000 92.28 10.0000 30.45 10.0000 SFI received payment from Jane Street Capital (“Jane Street”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Jane Street during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Jane Street with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Jane Street may receive rebates or other compensation from exchanges in connection with SFI orders, Jane Street does not share any such rebates or compensation with SFI. 100.00 14.98 3.33 15.93 65.75 CITADEL SECURITIES LLC 91.88 63.28 85.33 91.52 98.81 4686.89 5.7861 1506.02 0.9549 1114.81 0.4740 -47.96 -0.0387 SFI received payment from Citadel Securities LLC (“Citadel”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Citadel with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI. Jane Street Capital 5.95 31.16 9.83 4.69 0.31 5701.06 9.7581 1685.89 7.8920 1008.64 7.0280 325.04 10.0000 SFI received payment from Jane Street Capital (“Jane Street”) in the amounts shown above for orders in NMS Stocks priced greater than or equal to $1 per share that were routed to and executed through Jane Street during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.001 per share. Rebates are only received for orders sent from SFI’s Correspondent Clearing Division. SFI’s arrangement with Jane Street with respect to orders and executions in such NMS stocks is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Jane Street may receive rebates or other compensation from exchanges in connection with SFI orders, Jane Street does not share any such rebates or compensation with SFI. 100.00 2.26 4.37 28.57 64.80 Matrix Executions, LLC / Simplex Trading, LLC 80.46 26.53 36.03 67.89 90.89 455.14 11.9837 3629.87 3.4954 12191.66 11.6259 169093.27 8.3267 SFI has paid fees to and/or has received payment from Matrix Executions, LLC (“Matrix”) in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through or with Matrix during the month indicated. Such amounts were calculated (and SFI was paid) (1) at a rate of $0.12 per executed contact for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted in non-penny increments and (2) based upon the amount Matrix receives from applicable options exchanges and shares with SFI (as described below) for crossing SFI options orders on such options exchanges, as described in greater detail below. As indicated above, SFI receives all or a portion of the compensation Matrix receives from executing SFI options orders on applicable options exchanges and the amount of such compensation varies based upon the options exchange, whether the order was crossed on the exchange, whether the order was crossed electronically or on the applicable options exchange floor as part of a qualified contingent cross, and/or the professional/non-professional (that is, retail) nature of the counterparties to such cross. Specifically, SFI receives from Matrix: · For SFI orders routed to options exchanges with complex order books, SFI receives 100% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders; · For SFI orders routed to options exchanges as crosses (other than as indicated below), SFI received 100% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders; · For qualified contingent crosses executed electronically on the BOX Exchange or MIAX Exchange, $0.10 per executed contracts for crosses with a counterparty characterized as a “Customer” or a “Professional Customer” and $0.15 per executed contracts for crosses with a counterparty not characterized as a “Customer.” · For qualified contingent crosses and solicitation agency orders executed electronically on the, EDGX options exchange, $0.10 per executed contracts for crosses with a counterparty characterized as a “Customer” or a “Professional Customer” and $0.15 per executed contracts for crosses with a counterparty not characterized as a “Customer.” · For non-qualified contingent crosses executed natively, SFI receives 100% of the rebates that Matrix receives based on the total volume from the exchanges where execution occurred. · For SFI orders submitted as an agency order, including an order with a designated give up, that crosses with a response order (also referred to as a break up order), SFI receives 50% of the rebates that Matrix receives with respect to those orders, calculated at the pricing tier applicable solely to SFI orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating SFI orders with other non-SFI orders. · For SFI orders in specific accounts mutually agreed upon by StoneX and Matrix that predominantly take liquidity, Matrix charges a commission of $0.035 per contract, and provides a $0.40 incentive per contract for orders that add liquidity. Matrix’s receipt of rebates from applicable options exchanges and the volume-based tiering payment schedules of those options exchanges potentially provides an incentive for Matrix to route orders to one options exchange over another so as potentially to maximize the benefit of such rebates or such volume-based tiering. Although SFI does not participate in Matrix’s routing decisions, SFI can benefit from any potential routing by Matrix as a result of SFI’s receipt of all or a portion of the compensation Matrix receives from such options exchanges. Other than the foregoing, SFI’s arrangement with Matrix is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. Finally, as indicated above, SFI’s receipt of rebates from Matrix for crosses executed on applicable options exchanges are subject to the volume-based tier applicable to SFI’s order flow notwithstanding that Matrix may receive a greater benefit from volume-based tiering as a result of aggregate order flow routed for SFI and other broker-dealers for which Matrix routes options orders. Jane Street Capital 7.96 36.21 24.13 14.08 3.19 924.00 25.6027 921.50 23.9413 3349.25 30.1246 340.75 15.2325 SFI received payment from Jane Street Capital (“Jane Street”) in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through Jane Street during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.50 per executed contract for executable/marketable orders in options that are quoted and trade in nickel ($0.05) increments. SFI’s arrangement with Jane Street is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Jane Street may receive rebates or other compensation from options exchanges in connection with SFI orders, Jane Street does not share any such rebates or compensation with SFI. CITADEL SECURITIES LLC 7.67 36.84 22.60 12.98 3.30 1758.25 25.4893 3820.18 27.8337 3999.73 30.1775 1111.78 16.0337 SFI received payment from Citadel in the amounts shown above for executable/marketable options orders (other than orders in index options) that were routed to and executed through Citadel during the month indicated. Such amounts were calculated (and SFI was paid) at a rate of $0.25 per executed contract for executable/marketable orders in options that are quoted and trade in penny ($0.01) increments and at a rate of $0.50 per executed contract for executable/marketable orders in options that are quoted and trade in nickel ($0.05) increments. SFI’s arrangement with Citadel is not subject to any volume thresholds, minimum order thresholds, or volume-based tiered payment schedule. While Citadel may receive rebates or other compensation from options exchanges in connection with SFI orders, Citadel does not share any such rebates or compensation with SFI.