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For Internal Use Only submit i original OMB APPROVðL Sec File No. 9- and 9 Copies OMB Number: 3235-0504 D E C EN ED Expires: August 31, 2013 UNITED STATES Estimated average burden SECURITIES AND EXCHANGE COMMISSION hours per response. . .... 3.60 10% EN ~ Washington, D.C. 20549 SEC / TM FORM 19b-4(e) Information Required of a Self-Regulatory Organization Listing and Trading a New Derivative Securities Product Pursuant to Rule 19b-4(e) Under the Securities Exchange Act of 1934 SEC READ ALL INSTRUCTIONS PRIOR TO COMPLETING FORM Mail Proces Part I Initial Listing Report 1. Name of Self-Regulatory Organization Listing New Derivative Securities Product: Chicago Stock Exchange, Inc. _ 2. Type of Issuer of New Derivative Securities Product (a clearinghouse, broker-dealer, corporation, åt ): |Trust 3. Class of New Derivative Seçurities Product: Ownership of the Trust 4. Name of Underlying Instrument: Elkhorn S&P MidCap Industrials Portfolio 5. It i Inderivmo inetrument te an indev Ninte Whether tt in Hrnnd-Hneed nr Narrnw-Haged- Narrow-Based 6. Ticker Symbol(s) of New Derivative Securities Product: XI 7. viarket or Markets Uoon Which Securities Comorising Underlying instrument Trades: Various SeitTemeritMeiliodológ öfNeWUerivative SeduriffesYrodöt - See Prospectus ] 9. Position Limits of New Derivative Securities Product (if applicable): See Prospectus 17002075 Part II Execution The undersigned represents that the governing body of the above-referenced Self-Regulatory Organization has duly approved, or has duly delegated its approval to the undersigned for, the listing and trading of the above-referenced new derivative securities product according to its relevant trading rules, procedures, surveillance programs and listing standards. Name of Official Responsible for Form: Michael J. Cardin Title: irector Member Regulation Department Teleph ne Number· 12-663-2204 Manual Si at r of Offici i Respons r r . Date: January 03, 2017 SEC 2449 (6-01)
