SBSE/A 0002117967 XXXXXXXX false false Jane Street Derivatives Dealer, LLC 92-3685714 0002117967 JANE STREET DERIVATIVES DEALER, LLC 250 VESEY STREET 3RD FLOOR NEW YORK NY 10281 250 VESEY STREET 3RD FLOOR NEW YORK NY 10281 1 646 759 6000 Jesse Sun 6469085329 jesun@janestreet.com Andrew Weg 6467596794 anweg@janestreet.com Jane Street Derivatives Dealer, LLC Y N maintains a substantial security-based swap position has substantial counterparty exposure is highly leveraged to its capital position N N N N The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency N Jane Street Derivatives Dealer engages in the dealing of security-based swaps with various counterparties. Limited Liability Company December DE X1 04-13-2023 N N Jane Street Derivatives Dealer, LLC Y Y Y Y Y N N N N N Jane Street Derivatives Dealer, LLC N N N N N N Y N N N N Y N N N N N N N N Jane Street Derivatives Dealer, LLC N N N N N N Jane Street Derivatives Dealer, LLC Y Jane Street Group, LLC DE Member 04/2023 E Y 90-1010033 I Chief Compliance Officer 04/2026 NA N 006596922 I President 04/2026 NA N 006344770 I Principal Financial Officer 04/2026 NA N 004621035 I Principal Operations Officer 04/2026 NA N 004786045 Jane Street Derivatives Dealer, LLC Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 005359654 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 004714455 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 003073206 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 003231898 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 004823496 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 004758029 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 004560429 Jane Street Group, LLC I MANAGEMENT COMMITTEE MEMBER 04/2026 F Y 002363949 JSHC, LLC Jane Street Group, LLC DE INDIRECT OWNER 04/2026 E Y 30-1147798 JSHP, LLLP JSHC, LLC DE INDIRECT OWNER 04/2026 E Y 83-2446396 Jane Street Derivatives Dealer, LLC INITIAL Item 11A WORKDAY, INC. 6110 STONERIDGE MALL ROAD PLEASANTON CA 94588 04-18-2023 MAINTAINING CERTAIN FINANCIAL BOOKS AND RECORDS. Item 11A RACKSPACE US, INC. (FORMALLY KNOWN AS TRICORE SOLUTIONS, LLC) 1 FANATICAL PLACE CITY OF WINDCREST SAN ANTONIO TX 78218 04-18-2023 MAINTAINING CERTAIN FINANCIAL BOOKS AND RECORDS. Item 11A IRON MOUNTAIN INFORMATION MANAGEMENT, INC. 22 KIMBERLY ROAD East Brunswick NJ 08816 04-18-2023 STORAGE OF BOOKS AND RECORDS. Item 11A CLOUDNINE DISCOVERY 14655 NORTHWEST FREEWAY SUITE 135 Houston TX 77040 04-18-2023 ARCHIVES CERTAIN BOOKS AND RECORDS. Item 11B THE BANK OF NEW YORK MELLON 385 RIFLE CAMP ROAD 6th Floor Woodland Park NJ 07424 01-12-2026 APPLICANT MAINTAINS A BANK ACCOUNT WITH THE BANK OF NEW YORK MELLON Item 11B JPMorgan Chase Bank, N.A. 277 PARK AVENUE 4th Floor New York NY 10172 07-18-2023 APPLICANT MAINTAINS A BANK ACCOUNT WITH JPMorgan Chase Bank, N.A. Item 11B HSBC BANK USA, N.A. 120 BROADWAY New York NY 10271 11-13-2025 APPLICANT MAINTAINS BANK ACCOUNTS WITH HSBC BANK USA, N.A. Item 11B Citibank, N.A. 5800 S Corporate Place Sioux Falls SD 57108 12-22-2025 APPLICANT MAINTAINS BANK ACCOUNTS WITH Citibank, N.A. Item 12A Jane Street Group, LLC 250 Vesey Street New York NY 10281 04-13-2023 JANE STREET GROUP IS THE PARENT COMPANY OF APPLICANT. Item 12B Jane Street Group, LLC 250 Vesey Street New York NY 10281 04-13-2023 JANE STREET GROUP IS THE PARENT COMPANY OF APPLICANT. Jane Street Derivatives Dealer, LLC INITIAL 13A Jane Street Capital, LLC 000103782 under common control with applicant 250 Vesey Street New York NY 10281 04-13-2023 N Y N JANE STREET CAPITAL, LLC IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF JANE STREET GROUP, LLC, WHICH IS THE PARENT COMPANY OF APPLICANT. JANE STREET INTERNATIONAL TRADING LTD under common control with applicant 2 & A HALF DEVONSHIRE SQUARE London X0 EC2M 4UJ 04-13-2023 Y X0 Y N JANE STREET INTERNATIONAL TRADING LTD IS A SISTER COMPANY OF APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. JANE STREET NETHERLANDS B.V. under common control with applicant WTC TOWER TEN - L19 STRAWINSKYLAAN 1657 Amsterdam P7 1077 XX 04-13-2023 Y P7 Y N JANE STREET NETHERLANDS B.V. IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. ALBANY STREET INVESTMENT MANAGER, LLLP 000316117 under common control with applicant 250 Vesey Street New York NY 10281 04-13-2023 N N Y THE APPLICANT AND ALBANY STREET INVESTMENT MANAGER, LLLP ARE NOT IN A RELYING ADVISOR RELATIONSHIP. THE APPLICANT AND ALBANY STREET INVESTMENT MANAGER, LLLP HAVE OVERLAPPING BENEFICIAL OWNERSHIP, AND THUS ARE UNDER COMMON CONTROL. JANE STREET (SINGAPORE) PTE. LIMITED under common control with applicant 1 MARINA BOULEVARD 1 MARINA BOULEVARD U0 018989 04-13-2023 Y U0 Y N JANE STREET (SINGAPORE) PTE LIMITED IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. JANE STREET ASIA CAPITAL LTD under common control with applicant Gfin Corporate Services Ltd 9th Floor, Orange Tower Cybercity Ebene O4 72201 04-13-2023 Y O4 Y N JANE STREET ASIA CAPITAL LTD IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. JANE STREET ASIA PACIFIC LIMITED under common control with applicant 15TH FLOOR, CHATER HOUSE 8 CONNAUGHT ROAD Central K3 999077 04-13-2023 Y K3 Y N Jane Street Asia Pacific Limited Is An Indirect Wholly Owned Subsidiary Of Jane Street Group, Llc, Which Is The Parent Company Of Applicant. JANE STREET ASIA TRADING LIMITED under common control with applicant 15TH FLOOR, CHATER HOUSE 8 CONNAUGHT ROAD, CENTRAL Central K3 999077 04-13-2023 Y K3 Y N JANE STREET ASIA TRADING LIMITED IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF JANE STREET GROUP, LLC, WHICH IS THE PARENT COMPANY OF APPLICANT. JANE STREET EUROPE LIMITED under common control with applicant 2 & A HALF DEVONSHIRE SQUARE London X0 EC2M 4UJ 04-13-2023 Y X0 Y N JANE STREET EUROPE LIMITED IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. JANE STREET EXECUTION SERVICES, LLC 000167820 under common control with applicant 250 Vesey Street New York NY 10281 04-13-2023 N Y N Jane Street Execution Services, Llc Is A Sister Company Of The Applicant And Has The Same Corporate Parent, Jane Street Group, Llc, As Applicant. JANE STREET FINANCIAL LIMITED under common control with applicant 2 & A HALF DEVONSHIRE SQUARE London X0 EC2M 4UJ 04-13-2023 Y X0 Y N JANE STREET FINANCIAL LIMITED IS A SISTER COMPANY AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. JANE STREET GLOBAL TRADING, LLC under common control with applicant 250 Vesey Street New York NY 10281 04-13-2023 N Y N Jane Street Global Trading, Llc Is A Sister Company Of The Applicant And Has The Same Corporate Parent, Jane Street Group, Llc, As Applicant. JANE STREET HONG KONG LIMITED under common control with applicant 15TH FLOOR CHATER HOUSE Central K3 999077 04-13-2023 Y K3 Y N Jane Street Hong Kong Limited Is An Indirect Wholly Owned Subsidiary Of Jane Street Group, Llc, Which Is The Parent Company Of Applicant. JANE STREET OPTIONS, LLC 000134159 under common control with applicant 250 Vesey Street New York NY 10281 04-13-2023 N Y N JANE STREET OPTIONS, LLC IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT JSCC LIMITED is controlled by applicant WALKERS CORPORATE SERVICES LIMITED WALKER HOUSE, 87 MARY STREET George Town, Grand Cayman E9 KY1-9002 04-13-2023 Y E9 Y N Jscc Limited Is A Wholly Owned Subsidiary Of Jane Street Capital, Llc. JSGC HOLDING, LLC under common control with applicant WALKERS CORPORATE SERVICES LIMITED WALKER HOUSE, 87 MARY STREET GEORGE TOWN, GRAND CAYMAN E9 KY1-9002 04-13-2023 Y E9 Y N JSGC HOLDING, LLC IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT. JSGC LIMITED under common control with applicant WALKERS CORPORATE SERVICES LIMITED WALKER HOUSE, 87 MARY STREET GEORGE TOWN, GRAND CAYMAN E9 KY1-9002 04-13-2023 Y E9 Y N Jsgc Limited Is An Indirect Wholly Owned Subsidiary Of Jane Street Group, Llc, Which Is The Parent Company Of Applicant. JSI INVESTMENTS PRIVATE LIMITED under common control with applicant LEVEL 6, 4TH NORTH AVENUE, MAKER MAXITY, 'G1 BLOCK BANDRA KURLA COMPLEX, BANDRA (EAST) Mumbai K7 400051 04-13-2023 Y K7 Y N JSI INVESTMENTS PRIVATE LIMITED IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF JANE STREET GROUP, LLC, THE CORPORATE PARENT OF THE APPLICANT. JSOIN (BVI) LTD. under common control with applicant Road Town Tortola D8 VG1110 04-13-2023 Y D8 Y N JSOIN (BVI) LTD. IS A SISTER COMPANY OF THE APPLICANT AND HAS THE SAME CORPORATE PARENT, JANE STREET GROUP, LLC, AS APPLICANT JSQB LIMITED under common control with applicant WALKERS CORPORATE LIMITED CAYMAN COROPORATE CENTRE, 190 ELGIN AVENUE GEORGE TOWN, GRAND CAYMAN E9 KY1-9003 04-13-2023 Y E9 Y N JSQB LIMITED IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF JANE STREET GROUP, LLC, THE CORPORATE PARENT OF THE APPLICANT. JSQC LIMITED under common control with applicant WALKERS CORPORATE LIMITED CAYMAN CORPORATE CENTRE, 190 ELGIN AVENUE GEORGE TOWN, GRAND CAYMAN E9 KY1-9003 04-13-2023 Y E9 Y N JSQC LIMITED IS AN INDIRECT WHOLLY OWNED SUBSIDIARY OF JANE STREET GROUP, LLC, THE CORPORATE PARENT OF THE APPLICANT. JSQM LIMITED under common control with applicant WALKERS CORPORATE LIMITED CAYMAN CORPORATE CENTRE, 190 ELGIN AVENUE GEORGE TOWN, GRAND CAYMAN E9 KY1-9003 04-13-2023 Y E9 Y N Jsqm Limited Is A Sister Company Of The Applicant And Has The Same Corporate Parent, Jane Street Group, Llc, As Applicant. LEONARD STREET HOLDINGS, LP under common control with applicant 250 Vesey Street New York NY 10281 03-26-2026 N Y N Leonard Street Holdings, Lp Is A Sister Company Of The Applicant And Has The Same Corporate Parent, Jane Street Group, Llc, As Applicant. Jane Street Derivatives Dealer, LLC INITIAL Jane Street Derivatives Dealer, LLC Jane Street Derivatives Dealer, LLC INITIAL 14E(2) One or more control affiliate(s) 000103782 Firm Y Jane Street Capital, LLC N Y INITIAL 14E(2) One or more control affiliate(s) 000103782 Firm Y Jane Street Capital, LLC N Y INITIAL 14E(2) One or more control affiliate(s) 000134159 Firm Y Jane Street Options, LLC N Y INITIAL 14E(2) One or more control affiliate(s) 000134159 Firm Y Jane Street Options, LLC N Y INITIAL 14D(2) One or more control affiliate(s) Firm N Jane Street Group, LLC N N Foreign The Financial Supervisory Authority of Norway Civil and Administrative Penalty(ies)/Fine(s) 01-21-2021 Exact 20/10651 Equity Listed (Common & Preferred Stock) Debt - Corporate Fine for late reporting of short positions Final Decision 01-21-2021 Exact Monetary/Fine 3500.00 FINANSTILSYNET ISSUED JANE STREET GROUP, LLC (THE "HOLDING COMPANY") A VIOLATION PENALTY DECISION (THE "DECISION") CONCERNING LATE REPORTING OF NET SHORT POSITIONS ON FOUR OCCASIONS IN TWO DIFFERENT SHARES. THE DECISION FINDS THAT THE HOLDING COMPANY'S NET SHORT POSITION CHANGED FROM BELOW 0.1% TO 0.17% ON MARCH 19, 2020, BUT WAS NOT REPORTED TO FINANSTILSYNET UNTIL MARCH 20, 2020 AT 15:41 CET. FURTHER, THE DECISION FINDS THAT ON MARCH 20, 2020, THE HOLDING COMPANY'S POSITION CHANGED FROM 0.17% TO 0.2%, BUT WAS NOT REPORTED UNTIL MARCH 24, 2020 AT 15:45 CET. THE DECISION ALSO FINDS THAT ON MARCH 23, 2020, THE HOLDING COMPANY'S NET SHORT POSITION CHANGED AGAIN FROM 0.2% TO 0.14%, BUT WAS NOT REPORTED TO FINANSTILSYNET UNTIL MARCH 24, 2020 AT 15:45 CET. THE DECISION ALSO FINDS THAT THE HOLDING COMPANY CROSSED A RELEVANT NOTIFICATION THRESHOLD IN ANOTHER SECURITY ON MAY 22, 2020, WHEN A NET SHORT POSITION CHANGED FROM BELOW 0.1% TO 0.78%, BUT THE HOLDING COMPANY DID NOT REPORT THE POSITION UNTIL MAY 25, 2020 AT 16:48 CET. THE DECISION NOTES THAT FINANSTILSYNET FINDS NO REASON TO DOUBT THE HOLDING COMPANY'S STATEMENT THAT THESE DELAYS WERE DUE TO REGULATIVE EVENTS (INCLUDING THE DECISION BY ESMA ON MARCH 16, 2020 WHICH TEMPORARILY BUT IMMEDIATELY LOWERED THE NOTIFICATION THRESHOLD FOR NET SHORT POSITIONS FROM 0.2% TO 0.1%) THAT REQUIRED SUBSTANTIAL DEVELOPMENT WORK BOTH TO THE HOLDING COMPANY'S SYSTEMS FOR CALCULATING NET SHORT POSITIONS AND TO THE HOLDING COMPANY'S PROCESS TO DEAL WITH INCREASED NUMBER OF NOTIFICATIONS, DURING THE DAYS AROUND THE LATE REPORTED POSITIONS IN MARCH. NEVERTHELESS, THE DECISION FINDS THE HOLDING COMPANY HAS ACTED NEGLIGENTLY BY FAILING TO HAVE IN PLACE APPROPRIATE PROCEDURES AND/OR SYSTEMS IN ORDER TO PROACTIVELY IDENTIFY THE NOTIFICATION OBLIGATION UNDER REGULATION (EU) NO 236/2012 AND TO MAKE SURE SUCH PROCEDURES ARE SATISFIED IN A TIMELY AND COMPLETE MANNER. Monetary fine paid as of 01-21-2021. INITIAL 14D(2) One or more control affiliate(s) Firm N Jane Street Asia Limited N N Foreign The South Korean Financial Services Commission (The "FSC") Other Fine 12-27-2023 Explanation This is the date formal notification was received. None Other Listed Securities THE SOUTH KOREAN FINANCIAL SERVICES COMMISSION (THE "FSC") HAS SENT A NOTICE OF IMPOSITION OF PENALTY TO JANE STREET ASIA LIMITED ("JSAL"), IMPOSING AN ADMINISTRATIVE FINE OF APPROXIMATELY US $215,000.00 (KRW 281.2 MILLION), IN CONNECTION WITH A BLOCK TRADE THAT JSAL ENTERED INTO IN OCTOBER 2019 AGAINST A BROKER COUNTERPARTY IN A SECURITY LISTED ON THE KOREA EXCHANGE (THE "BLOCK TRADE"). JSAL ENTERED INTO THE BLOCK TRADE AT A TIME DURING THE KOREA TRADING DAY AT WHICH THE BLOCK TRADE WAS NOT ELIGIBLE FOR TRADE REPORTING UNDER KOREA EXCHANGE RULES GIVEN THE AGREED PRICE AND QUANTITY OF THE BLOCK TRADE. SUBSEQUENT TO ENTERING INTO THE BLOCK TRADE, BUT BEFORE THE BLOCK TRADE ULTIMATELY WAS ELIGIBLE FOR REPORTING UNDER THE KOREA EXCHANGE RULES, JSAL ENTERED INTO HEDGES TO REDUCE RISK RESULTING FROM HAVING ENTERED INTO THE BLOCK TRADE. THE FSC FOUND THAT THIS TRADING ACTIVITY VIOLATED MARKET DISRUPTION PROVISIONS OF THE KOREA FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. Final Decision 02-01-2024 Exact Monetary/Fine 215000.00 MONETARY FINE OF KRW 281.2 MILLION (APPROXIMATELY $215,000) PAID IN FULL BY JANE STREET ASIA LIMITED ON 2/1/2024. Monetary fine paid as of 02/01/2024. 09-02-2026 Jane Street Derivatives Dealer, LLC Andreas Roy Andreas Roy President