for internal use only and9 sec file no. 9- c expires ... · pffr infracap reit preferred etf if you...

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For Internal Use Only submit i original OMB APPROVAL and 9 Copies OMB Number: 3235-0504 Sec File No. 9- \ c a Expires: August 31, 2013 - L UNITED STATES Estimated average burden SECURITIES AND EXCHANGE COMMISSION hours per response. . .... 3.60 200FEBl5 PMl2:34 Washington, D.C. 20549 SEC/ TM FoRM 1sb-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 READ ALL INSTRUCTIONS PRIOR TO COMPLETING FORQad c 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 (e.g., clearinghouse, broker-dealer, corpo t n, tc.): |Trust 3. Class of New Derivative Securities Product; Ownership of the Trust 4. Name of Underlying Instrument: InfraCap REIT Preferred ETF 17002318 Narrow-Based L (, intrar Cumanitei afkTaur narivative Caesiettime DenÅiset. PFFR 7. Market or Markets Unon Which Securities Comorising Underlying Instrument Trades: |Various 8. Settlement Methodology of New Derivative Securities Product: See Prospectus 9. Position Limits of New Derivative Securities Product (if applicable): See Prospectus 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: Director Member Regulation Department Teleph ne Number: 39-663-2204 Manual Sign Official R sponsible f : Date: F uary 09, 2017 ' Au au se act of 19.44 SEC 2449 (6-01)

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Page 1: For Internal Use Only and9 Sec File No. 9- c Expires ... · PFFR InfraCap REIT Preferred ETF If you have anyquestions about this filing, please contact the undersigned at (312) 663-2204

For Internal Use Only submit i original OMB APPROVALand 9 Copies OMB Number: 3235-0504

Sec File No. 9- \ c a Expires: August 31, 2013- L UNITED STATES Estimated average burden

SECURITIES AND EXCHANGE COMMISSION hours perresponse. .....3.60200FEBl5 PMl2:34 Washington, D.C.20549

SEC/ TM FoRM 1sb-4(e)

Information Required of a Self-Regulatory Organization Listing and Trading a NewDerivative Securities Product Pursuant to Rule 19b-4(e) Under the Securities Exchange Act of 1934

READ ALL INSTRUCTIONS PRIOR TO COMPLETING FORQad c

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 (e.g.,clearinghouse, broker-dealer, corpo t n, tc.):

|Trust3. Class of New Derivative Securities Product;

Ownership of the Trust

4. Name of Underlying Instrument:

InfraCap REIT Preferred ETF 17002318

Narrow-Based L(, intrar Cumanitei afkTaur narivative Caesiettime DenÅiset.

PFFR

7. Market or Markets Unon Which Securities Comorising Underlying Instrument Trades:|Various

8. Settlement Methodology of New Derivative Securities Product:

See Prospectus9. Position Limits of New Derivative Securities Product (if applicable):

See Prospectus

Part II Execution

The undersigned represents that the governing body of the above-referenced Self-Regulatory Organization has dulyapproved, or has duly delegated its approval to the undersigned for, the listing and trading of the above-referenced newderivative securities product according to its relevant trading rules, procedures, surveillance programs and listingstandards.

Name of Official Responsible for Form:Michael J.Cardin

Title: Director

Member RegulationDepartmentTeleph ne Number:

39-663-2204Manual Sign Official R sponsible f :

Date: F uary 09, 2017 ' Au au seact of 19.44

SEC 2449 (6-01)

Page 2: For Internal Use Only and9 Sec File No. 9- c Expires ... · PFFR InfraCap REIT Preferred ETF If you have anyquestions about this filing, please contact the undersigned at (312) 663-2204

CHICAGO

2OllFEB15 PM12:3ti SECMail Processing

SEC/ TM Section

February 09, 2017 FEB15 2017Washington DC

By UPS 412

Claudette Ransom

Division of Trading and MarketsSecurities and Exchange Commission100F Street NE - Stop 7010Washington, DC 20549

Re: Form 19b-4(e) for exchange traded product

Dear Ms. Ransom:

Pursuant to Rule 19b-4(e) of the Securities Exchange Act of 1934,I enclose for filing an originaland four copies of the Form 19b-4(e) relating to the following exchange traded product:

PFFR InfraCap REIT Preferred ETF

If you have any questions about this filing, please contact the undersigned at (312) 663-2204 orKevin Curtin at (312) 663-2252.

incerely,

Michael e Act of 193 .Director

Member Regulation Department

Enclosures

Chicago stuck Exchange, Inc. OneFinancial Place440 SIssalle Street, Suite 800Chicago, Illinois 60605-1070 312-663-2222