Robinhood Securities LLC: Tax Information Account 416166320

Page 1 of 40
Tax Information Statement Date: 02/14/2021

Robinhood Securities LLC
500 Colonial Center Parkway Account 416166320 Document ID: R35F 0JS 2D2N 2020
Suite 100 Janarthanan Pandurangan
Lake Mary, FL 32746 8265 Ranchview Drive 1127
Customer Service: 650-940-2700
Irving, TX 75063
PAYER'S TIN: 38-4019216 RECIPIENT'S TIN: XXX-XX-6614

[ ] FATCA filing requirement (see instructions) Summary Information
DIVIDENDS AND DISTRIBUTIONS 2020 1099-DIV* OMB No. 1545-0110 MISCELLANEOUS INCOME 2020 1099-MISC* OMB No. 1545-0115
1a- Total ordinary dividends (includes lines 1b, 5) 0.45 2- Royalties 0.00
1b- Qualified dividends 0.41 3- Other income 0.00
2a- Total capital gain distributions (includes lines 2b, 2c, 2d) 0.00 4- Federal income tax withheld 0.00
2b- Unrecaptured Section 1250 gain 0.00 8- Substitute payments in lieu of dividends or interest 0.00
2c- Section 1202 gain 0.00
2d- Collectibles (28%) gain 0.00 SECTION 1256 CONTRACTS 2020 1099-B* OMB No. 1545-0715
3- Nondividend distributions 0.00
8- Profit or (loss) realized in 2020 on closed contracts 0.00
4- Federal income tax withheld 0.00
9- Unrealized profit or (loss) on open contracts-12/31/2019 0.00
5- Section 199A dividends 0.00
10- Unrealized profit or (loss) on open contracts-12/31/2020 0.00
6- Investment expenses 0.00
11- Aggregate profit or (loss) on contracts 0.00
8- Foreign country or US possession: See detail 7- Foreign tax paid: 0.01
9- Cash liquidation distributions 0.00 If applicable, proceeds from sale transactions appear summarized below and are
10- Noncash liquidation distributions 0.00 detailed in subsequent sections of this document.
11- Exempt-interest dividends (includes line 12) 0.00
12- Specified private activity bond interest dividends (AMT) 0.00
* This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return,
a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported.
SUMMARY OF PROCEEDS, GAINS & LOSSES, ADJUSTMENTS AND WITHHOLDING

Refer to the 1099-B and Proceeds not reported to the IRS pages to ensure that you consider all relevant items and to determine the correct gains and losses. The amounts shown below are for informational purposes.
Term Form 8949 type Proceeds Cost basis Market discount Wash sale loss disallowed Net gain or loss(-)
Short A (basis reported to the IRS) 147,520.48 145,963.77 0.00 3,315.40 4,872.11
Short B (basis not reported to the IRS) 0.00 0.00 0.00 0.00 0.00
Short C (Form 1099-B not received) 11.12 0.00 0.00 0.00 11.12
Total Short-term 147,531.60 145,963.77 0.00 3,315.40 4,883.23
Long D (basis reported to the IRS) 0.00 0.00 0.00 0.00 0.00
Long E (basis not reported to the IRS) 0.00 0.00 0.00 0.00 0.00
Long F (Form 1099-B not received) 0.00 0.00 0.00 0.00 0.00
Total Long-term 0.00 0.00 0.00 0.00 0.00
Undetermined B or E (basis not reported to the IRS) 0.00 0.00 0.00 0.00 0.00
Undetermined C or F (Form 1099-B not received) 0.00 0.00 0.00 0.00 0.00
Total Undetermined-term 0.00 0.00 0.00 0.00 0.00
Grand total 147,531.60 145,963.77 0.00 3,315.40 4,883.23

Withholding Amount
Federal income tax withheld 0.00
Changes to dividend tax classifications processed after your original tax form is issued for 2020 may require an amended tax form.
Page 2 of 40
Robinhood Securities LLC Account 416166320

Summary Information
2020 (continued) 02/14/2021
INTEREST INCOME 2020 1099-INT OMB No. 1545-0112 ORIGINAL ISSUE DISCOUNT AND ADJUSTMENTS
This is important tax information and is being furnished to the Internal Revenue Service. Use bond-by-bond details from the Form 1099-OID page(s) to determine amounts of
If you are required to file a return, a negligence penalty or other sanction may be Original Issue Discount income for your income tax return(s). The amounts shown in this
imposed on you if this income is taxable and the IRS determines that it has not been section are for your reference when preparing your income tax return(s).
reported. Original issue discount for the year 0.00
1- Interest income (not included in line 3) 0.00 Acquisition premium (covered lots) 0.00
2- Early withdrawal penalty 0.00 Acquisition premium (noncovered lots) 0.00
3- Interest on US Savings Bonds & Treasury obligations 0.00 Original issue discount on Treasury obligations 0.00
4- Federal income tax withheld 0.00 Acquisition premium, Treasury obligations (covered lots) 0.00
5- Investment expenses 0.00 Acquisition premium, Treasury obligations (noncovered lots) 0.00
7- Foreign country or US possession: 6- Foreign tax paid: 0.00 Tax-exempt OID 0.00
8- Tax-exempt interest (includes line 9) 0.00 Tax-exempt OID (lots not reported) 0.00
9- Specified private activity bond interest (AMT) 0.00 Acquisition premium (covered) 0.00
10- Market discount (covered lots) 0.00 Acquisition premium (lots not reported) 0.00
11- Bond premium (covered lots) 0.00 Tax-exempt OID on private activity bonds 0.00
12- Bond premium on Treasury obligations (covered lots) 0.00 Tax-exempt OID on private activity bonds (lots not reported) 0.00
13- Bond premium on tax-exempt bonds (categorized below) 0.00 Acquisition premium (AMT, covered) 0.00
Tax-exempt obligations (covered lots) 0.00 Acquisition premium (AMT, lots not reported) 0.00
Tax-exempt private activity obligations (AMT, covered lots) 0.00 Market discount (all lots) 0.00
14- Tax-exempt and tax credit bond CUSIP number Early withdrawal penalty 0.00
Investment expenses 0.00
The following amounts are not reported to the IRS. They are presented here for your reference
when preparing your tax return(s). RECONCILIATIONS, FEES, EXPENSES AND EXPENDITURES
The amounts in this section are not reported to the IRS. They are presented here for your
Taxable accrued interest paid 0.00
reference when preparing your income tax return(s).
Taxable accrued Treasury interest paid 0.00
Tax-exempt accrued interest paid 0.00 Other Receipts & Reconciliations- Partnership distributions 0.00
Tax-exempt accrued interest paid (AMT) 0.00 Other Receipts & Reconciliations- Foreign tax paid- partnership 0.00
Taxable accrued nonqualified interest paid 0.00 Other Receipts & Reconciliations- Return of principal 0.00
Tax-exempt accrued nonqualified interest paid 0.00 Other Receipts & Reconciliations- Deferred income payment 0.00
Tax-exempt accrued nonqualified interest paid (AMT) 0.00 Other Receipts & Reconciliations- Deemed premium 0.00
Nonqualified interest 0.00 Other Receipts & Reconciliations- Income accrual- UIT 0.00
Tax-exempt nonqualified interest 0.00 Other Receipts & Reconciliations- Basis adjustments 0.00
Tax-exempt nonqualified interest (AMT) 0.00 Other Receipts & Reconciliations- Foreign tax pd beyond treaty 0.00
Interest shortfall on contingent payment debt 0.00 Fees & Expenses- Margin interest 0.00
Bond premium- Non Treasury obligations (noncovered lots) 0.00 Fees & Expenses- Dividends paid on short position 0.00
Bond premium- Treasury obligations (noncovered lots) 0.00 Fees & Expenses- Interest paid on short position 0.00
Bond premium- Tax-exempt obligations (noncovered lots) 0.00 Fees & Expenses- Non reportable distribution expense 0.00
Bond premium- Tax-exempt obligations (AMT, noncovered lots) 0.00 Fees & Expenses- Other expenses 0.00
Market discount (noncovered lots) 0.00
Fees & Expenses- Severance tax 0.00
Fees & Expenses- Organizational expense 0.00
STATE TAX WITHHELD Fees & Expenses- Miscellaneous fees 0.00
Use the details of the State Tax Withholding page(s) to determine the appropriate amounts for Fees & Expenses- Tax-exempt investment expense 0.00
your income tax return(s). The amounts shown in this section are for your reference. Foreign Exchange Gains & Losses- Foreign currency gain/loss 0.00
1099-DIV total withheld 0.00
1099-INT total withheld 0.00
1099-OID total withheld 0.00
1099-MISC total withheld 0.00
1099-B total withheld 0.00
Page 3 of 40

Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 02/14/2021
Sales transactions are organized into sections according to term (long, short or undetermined) and covered status (covered or noncovered). For tax lots whose term is undetermined, use your historical
documents to establish the cost basis and date of purchase. The Box 12, basis is reported to the IRS indicator checkmark, is reflected as being checked in the title of the covered securities pages of
Forms 1099-B, short-term and long-term. The title pages of the noncovered securities pages for Forms 1099-B reflect that Box 12 is not being checked, as these securities are not being reported to the
IRS.
Several columns include both an amount and a qualifying notation to its right. Where proceeds are the result of an option exercise or assignment, there is indication of whether the amount is N (net of
option premium) or G (Gross). Accrued market discount and wash sale loss disallowed appear in the same column, identified by the letters D or W, respectively. Where you are not permitted to
recognize a loss, an indication of X (change in control or capital structure) or Z (other corporate action) is used. The change in control condition is reported to the IRS for covered lots. Neither the
disallowance of loss due to a corporate action nor the amount of gain or loss is reported to the IRS in any instance.
Some tax lots may have notations in the column of Additional Information because they require special treatment on your tax returns. Sales of securities such as Contingent Payment Debt Instruments
(CPDI) are marked as “Ordinary” because gains and losses on these instruments generally do not qualify as short- or long-term capital transactions. Similarly, lots noted as “3 - [X] Collectible” are
handled distinctly under the tax code. These conditions are reported to the IRS. You may wish to consult with your tax advisor, the IRS or your state tax authority regarding the proper treatment for
these scenarios. With further regard to Box 3, there is also a checkmark to indicate the proceeds of sale are from a Qualified Opportunity Zone Fund investment - a QOF. If the proceeds are from a QOF
the Additional Information column will reflect the following - “3 - [X] Proceeds from QOF.” The tax treatment for QOF investments can be complex and you may wish to consult your tax advisor about
such sales.
Closing of written options is presented in a distinct manner in accordance with IRS regulation. For these transactions the Cost or other basis (column 1e) is always presented as $0.00 and the Proceeds
(column 1d) is the net of the amount received when the option was written and the cost to close the position.
FATCA filing requirement [ ]
SHORT TERM TRANSACTIONS FOR COVERED TAX LOTS [Ordinary gains or losses are identified in the Additional information column] (Lines 2 & 5)
Report on Form 8949, Part I with Box A checked. Basis is provided to the IRS. (Line 12)
“Gain or loss (-)” is NOT reported to the IRS.
1a- Description of property/CUSIP/Symbol
1c- Date 1d- Proceeds & 1f- Accrued mkt disc (D) & Gain or loss(-) &
sold or 6- Reported 1b- Date 1e- Cost or 1g- Wash sale loss 7- Loss not allowed (X)
disposed Quantity (G)ross or (N)et acquired other basis disallowed (W) also not reported (Z) Additional information
ADMA BIOLOGICS INC COMMON STOC K / CUSIP: 000899104 / Symbol:
2 transactions for 12/23/20. Total proceeds and cost reported to the IRS.
25.000 54.75 12/14/20 52.75 ... 2.00 1 of 2 - Sale 25
25.000 54.75 12/18/20 52.75 ... 2.00 2 of 2 - Sale 25
12/23/20 50.000 109.50 Various 105.50 ... 4.00 Total of 2 transactions
AT&T INC. / CUSIP: 00206R102 / Symbol:
10.000 269.65 10/23/20 283.60 ... -13.95 1 of 3 - Sale 25
7.000 188.75 10/23/20 198.52 ... -9.77 2 of 3 - Sale 25
1.000 26.96 10/23/20 28.36 ... -1.40 3 of 3 - Sale 25
10/29/20 18.000 485.36 Various 510.48 ... -25.12 Total of 3 transactions
10/29/20 1.000 26.96 10/23/20 28.36 1.40 W 0.00 Sale 25
11/05/20 1.000 27.79 10/23/20 29.76 ... -1.97 Sale 25
* This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if
this income is taxable and the IRS determines that it has not been reported. Remember, taxpayers are ultimately responsible for the accuracy of their tax return(s).
Page 4 of 40

2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021
AT&T INC. / CUSIP: 00206R102 / Symbol: (cont'd)
Security total: 540.11 568.60 1.40 W -27.09
ARK INNOVATION ETF / CUSIP: 00214Q104 / Symbol:
11/16/20 3.000 302.43 11/02/20 269.40 ... 33.03 Sale 25
ABCELLERA BIOLOGICS INC. COMMO N SHARES / CUSIP: 00288U106 / Symbol:
12/15/20 2.000 95.16 12/11/20 114.98 ... -19.82 Sale 25
ACTIVISION BLIZZARD, INC. COMM ON STOCK / CUSIP: 00507V109 / Symbol:
12/08/20 5.000 411.65 11/30/20 391.75 ... 19.90 Sale 25
ALIBABA GROUP HOLDING LIMITED AMERICAN DEPOSITARY SHARES, EA CH REPRESENTS EIGHT ORDINARY S / CUSIP: 01609W102 / Symbol:
10/06/20 3.000 879.50 10/05/20 867.00 ... 12.50 Sale 25
1.000 268.79 11/11/20 267.33 ... 1.46 1 of 4 - Sale 25
1.000 268.79 11/12/20 264.31 ... 4.48 2 of 4 - Sale 25
1.000 268.80 11/16/20 258.03 ... 10.77 3 of 4 - Sale 25
3.000 806.38 11/23/20 819.60 ... -13.22 4 of 4 - Sale 25
11/30/20 6.000 1,612.76 Various 1,609.27 ... 3.49 Total of 4 transactions
Security total: 2,492.26 2,476.27 ... 15.99
ALLOGENE THERAPEUTICS, INC. CO MMON STOCK / CUSIP: 019770106 / Symbol:
11/10/20 13.000 376.47 11/09/20 369.33 ... 7.14 Sale 25
ALLY FINANCIAL INC. / CUSIP: 02005N100 / Symbol:
11/13/20 25.000 738.48 11/11/20 719.18 ... 19.30 Sale 25
ALPHATEC HOLDINGS, INC. COMMON STOCK / CUSIP: 02081G201 / Symbol:
10/20/20 50.000 522.04 10/14/20 512.50 ... 9.54 Sale 25
ALTIMMUNE, INC. COMMON STOCK / CUSIP: 02155H200 / Symbol:
10/21/20 50.000 559.98 10/13/20 741.05 ... -181.07 Sale 25
Page 5 of 40

APHRIA INC. COMMON SHARES / CUSIP: 03765K104 / Symbol:
11/03/20 99.000 498.95 10/19/20 455.40 ... 43.55 Sale 25
1.000 5.30 10/19/20 4.60 ... 0.70 1 of 2 - Sale 25
99.000 524.67 11/04/20 465.30 ... 59.37 2 of 2 - Sale 25
11/06/20 1.000 5.75 11/04/20 4.70 ... 1.05 Sale 25
Security total: 1,034.67 930.00 ... 104.67
APEX TECHNOLOGY ACQUISITION CO RPORATION CLASS A COMMON STOCK / CUSIP: 03768F102 / Symbol:
11/27/20 35.000 489.98 11/27/20 480.90 ... 9.08 Sale 25
1.000 14.00 11/27/20 14.17 0.17 W 0.00 1 of 2 - Sale 25
49.000 685.98 11/27/20 694.33 8.35 W 0.00 2 of 2 - Sale 25
11/27/20 50.000 699.98 Various 708.50 8.52 W 0.00 Total of 2 transactions
10.000 151.09 12/02/20 135.51 ... 15.58 1 of 5 - Sale 25
5.000 75.55 12/03/20 70.98 ... 4.57 2 of 5 - Sale 25
5.000 75.55 12/07/20 73.75 ... 1.80 3 of 5 - Sale 25
15.000 226.64 12/07/20 218.70 ... 7.94 4 of 5 - Sale 25
35.000 528.83 12/08/20 513.10 ... 15.73 5 of 5 - Sale 25
1.000 15.11 11/30/20 15.66 0.55 W 0.00 1 of 5 - Sale 25
7.000 105.77 11/30/20 109.62 3.85 W 0.00 2 of 5 - Sale 25
5.000 75.55 11/30/20 78.30 2.75 W 0.00 3 of 5 - Sale 25
12.000 181.31 11/30/20 187.93 6.62 W 0.00 4 of 5 - Sale 25
5.000 75.55 12/01/20 75.60 0.05 W 0.00 5 of 5 - Sale 25
Security total: 2,700.91 2,668.55 22.34 W 54.70
Page 6 of 40

APPLE INC. COMMON STOCK / CUSIP: 037833100 / Symbol:
10/29/20 3.000 343.96 10/26/20 342.00 ... 1.96 Sale 25
11/06/20 2.000 237.71 11/02/20 217.00 ... 20.71 Sale 25
12/28/20 3.000 401.70 12/22/20 395.10 ... 6.60 Sale 25
Security total: 983.37 954.10 ... 29.27
AQUABOUNTY TECHNOLOGIES, INC. COMMON STOCK / CUSIP: 03842K200 / Symbol:
15.000 120.00 12/10/20 105.45 ... 14.55 1 of 2 - Sale 25
9.000 72.00 12/15/20 63.00 ... 9.00 2 of 2 - Sale 25
12/21/20 25.000 200.00 12/04/20 205.00 0.20 W -4.80 Sale 25
12/29/20 1.000 9.39 12/15/20 7.20 ... 2.19 Sale 25
Security total: 401.39 380.65 0.20 W 20.94
ARCIMOTO, INC. COMMON STOCK / CUSIP: 039587100 / Symbol:
5.000 74.50 11/24/20 76.78 ... -2.28 1 of 2 - Sale 25
5.000 74.50 11/24/20 71.45 ... 3.05 2 of 2 - Sale 25
ASANA, INC. CLASS A COMMON STO CK / CUSIP: 04342Y104 / Symbol:
10/01/20 5.000 130.00 09/30/20 143.25 ... -13.25 Sale 25
AT HOME GROUP INC. / CUSIP: 04650Y100 / Symbol:
10.000 192.49 10/29/20 169.00 ... 23.49 1 of 8 - Sale 25
10.000 192.49 10/29/20 165.00 ... 27.49 2 of 8 - Sale 25
20.000 384.99 11/03/20 334.00 ... 50.99 3 of 8 - Sale 25
4.000 77.00 11/09/20 54.80 ... 22.20 4 of 8 - Sale 25
6.000 115.50 11/09/20 82.20 ... 33.30 5 of 8 - Sale 25
10.000 192.50 11/09/20 148.00 ... 44.50 6 of 8 - Sale 25
10.000 192.49 11/09/20 141.18 ... 51.31 7 of 8 - Sale 25
10.000 192.49 11/18/20 152.50 ... 39.99 8 of 8 - Sale 25
Page 7 of 40

AT HOME GROUP INC. / CUSIP: 04650Y100 / Symbol: (cont'd)
25.000 400.49 11/27/20 480.00 ... -79.51 1 of 2 - Sale 25
10.000 160.19 12/18/20 160.00 ... 0.19 2 of 2 - Sale 25
Security total: 2,100.63 1,886.68 ... 213.95
AURORA CANNABIS INC. COMMON SH ARES / CUSIP: 05156X884 / Symbol:
50.000 451.50 11/06/20 448.50 ... 3.00 1 of 2 - Sale 25
100.000 903.97 11/06/20 897.00 ... 6.97 2 of 2 - Sale 25
AVAYA HOLDINGS CORP. COMMON ST OCK / CUSIP: 05351X101 / Symbol:
10/19/20 20.000 388.00 10/12/20 372.80 ... 15.20 Sale 25
BALLARD POWER SYSTEMS, INC. CO MMON SHARES / CUSIP: 058586108 / Symbol:
25.000 512.49 10/12/20 456.25 ... 56.24 1 of 2 - Sale 25
10.000 204.99 11/23/20 203.00 ... 1.99 2 of 2 - Sale 25
BEAM GLOBAL COMMON STOCK / CUSIP: 07373B109 / Symbol:
2.000 68.00 11/23/20 64.25 ... 3.75 1 of 2 - Sale 25
3.000 102.00 11/23/20 96.38 ... 5.62 2 of 2 - Sale 25
7.000 461.98 12/21/20 344.75 ... 117.23 1 of 2 - Sale 25
2.000 132.00 12/23/20 100.80 ... 31.20 2 of 2 - Sale 25
Security total: 763.98 606.18 ... 157.80
BENEFITFOCUS, INC. COMMON STOC K / CUSIP: 08180D106 / Symbol:
12/03/20 15.000 208.80 11/27/20 206.25 ... 2.55 Sale 25
Page 8 of 40

BIONANO GENOMICS, INC. COMMON STOCK / CUSIP: 09075F107 / Symbol:
50.000 98.49 12/29/20 87.50 ... 10.99 1 of 2 - Sale 25
100.000 196.99 12/29/20 154.00 ... 42.99 2 of 2 - Sale 25
B2GOLD CORP. / CUSIP: 11777Q209 / Symbol:
100.000 559.18 11/09/20 643.80 ... -84.62 1 of 5 - Sale 25
100.000 559.17 11/10/20 612.00 ... -52.83 2 of 5 - Sale 25
100.000 559.18 11/10/20 602.00 ... -42.82 3 of 5 - Sale 25
100.000 559.17 11/18/20 585.00 ... -25.83 4 of 5 - Sale 25
49.000 274.00 11/18/20 279.30 ... -5.30 5 of 5 - Sale 25
11/19/20 449.000 2,510.70 Various 2,722.10 ... -211.40 Total of 5 transactions
11/19/20 100.000 559.17 11/09/20 656.00 0.97 W -95.86 Sale 25
12/21/20 1.000 5.64 11/18/20 6.67 ... -1.03 Sale 25
Security total: 3,075.51 3,384.77 0.97 W -308.29
CIIG MERGER CORP. CLASS A COMM ON STOCK / CUSIP: 12559C103 / Symbol:
11/24/20 25.000 737.48 11/19/20 420.00 ... 317.48 Sale 25
12/07/20 20.000 690.18 11/25/20 518.80 ... 171.38 Sale 25
5.000 160.25 11/25/20 129.70 ... 30.55 1 of 5 - Sale 25
5.000 160.24 11/27/20 120.50 ... 39.74 2 of 5 - Sale 25
5.000 160.25 11/27/20 120.00 ... 40.25 3 of 5 - Sale 25
5.000 160.25 11/30/20 105.00 ... 55.25 4 of 5 - Sale 25
5.000 160.24 12/03/20 105.50 ... 54.74 5 of 5 - Sale 25
Security total: 2,228.89 1,519.50 ... 709.39
CARNIVAL CORPORATION / CUSIP: 143658300 / Symbol:
10/06/20 3.000 47.10 09/28/20 46.50 ... 0.60 Sale 25
11/25/20 20.000 405.02 11/23/20 363.60 ... 41.42 Sale 25
12/24/20 15.000 314.10 12/04/20 351.00 36.90 W 0.00 Sale 25
Security total: 766.22 761.10 36.90 W 42.02
Page 9 of 40

CBAK ENERGY TECHNOLOGY, INC. C OMMON STOCK / CUSIP: 14986C102 / Symbol:
175.000 1,271.33 11/19/20 1,359.59 ... -88.26 1 of 4 - Sale 25
100.000 726.02 11/19/20 776.91 ... -50.89 2 of 4 - Sale 25
100.000 726.02 11/19/20 776.91 ... -50.89 3 of 4 - Sale 25
25.000 181.51 11/19/20 194.23 ... -12.72 4 of 4 - Sale 25
CELLECTAR BIOSCIENCES, INC. C OMMON STOCK / CUSIP: 15117F500 / Symbol:
12/22/20 50.000 145.00 12/16/20 95.00 ... 50.00 Sale 25
CLEANSPARK, INC. COMMON STOCK / CUSIP: 18452B209 / Symbol:
12/16/20 5.000 86.90 12/14/20 80.00 ... 6.90 Sale 25
CODIAK BIOSCIENCES, INC. COMMO N STOCK / CUSIP: 192010106 / Symbol:
12/02/20 10.000 138.00 11/30/20 99.00 ... 39.00 Sale 25
COLONY CAPITAL, INC. CLASS A C OMMON STOCK / CUSIP: 19626G108 / Symbol:
10/01/20 2.000 5.42 09/28/20 5.28 ... 0.14 Sale 25
THE CONTAINER STORE GROUP, INC . / CUSIP: 210751103 / Symbol:
10/29/20 29.000 282.17 10/22/20 275.50 ... 6.67 Sale 25
1.000 10.35 10/22/20 9.50 ... 0.85 1 of 3 - Sale 25
1.000 10.18 11/09/20 9.53 ... 0.65 2 of 3 - Sale 25
29.000 300.00 11/09/20 276.39 ... 23.61 3 of 3 - Sale 25
Security total: 602.70 570.92 ... 31.78
CORSAIR GAMING, INC. COMMON ST OCK / CUSIP: 22041X102 / Symbol:
12/28/20 10.000 395.00 11/25/20 440.00 45.00 W 0.00 Sale 25
Page 10 of 40

COTY INC / CUSIP: 222070203 / Symbol:
10/06/20 1.000 3.12 09/24/20 2.94 ... 0.18 Sale 25
11/09/20 19.000 84.17 10/30/20 55.10 ... 29.07 Sale 25
11/11/20 1.000 4.49 10/30/20 2.90 ... 1.59 Sale 25
Security total: 91.78 60.94 ... 30.84
CURIOSITYSTREAM INC. CLASS A C OMMON STOCK / CUSIP: 23130Q107 / Symbol:
12/21/20 1.000 11.52 12/18/20 11.17 ... 0.35 Sale 25
DMY TECHNOLOGY GROUP, INC. II / CUSIP: 233277102 / Symbol:
10.000 141.99 12/08/20 119.90 ... 22.09 1 of 2 - Sale 25
30.000 425.99 12/08/20 347.40 ... 78.59 2 of 2 - Sale 25
12/21/20 39.000 575.62 12/08/20 467.61 ... 108.01 Sale 25
12/29/20 1.000 16.32 12/08/20 11.99 ... 4.33 Sale 25
Security total: 1,159.92 946.90 ... 213.02
DARLING INGREDIENTS INC. / CUSIP: 237266101 / Symbol:
5.000 241.40 11/23/20 238.55 ... 2.85 1 of 2 - Sale 25
3.000 144.84 11/23/20 140.97 ... 3.87 2 of 2 - Sale 25
DEXCOM, INC. COMMON STOCK / CUSIP: 252131107 / Symbol:
10/28/20 2.000 735.98 10/27/20 776.00 20.01 W -20.01 Sale 25
11/09/20 1.000 356.59 11/02/20 329.01 ... 27.58 Sale 25
Security total: 1,092.57 1,105.01 20.01 W 7.57
DIGITAL TURBINE, INC. COMMON S TOCK / CUSIP: 25400W102 / Symbol:
10/13/20 10.000 393.70 10/07/20 351.50 ... 42.20 Sale 25
10.000 341.25 10/16/20 385.00 43.75 W 0.00 1 of 2 - Sale 25
9.000 307.12 10/19/20 331.20 2.68 W -21.40 2 of 2 - Sale 25
10/22/20 19.000 648.37 Various 716.20 46.43 W -21.40 Total of 2 transactions
Page 11 of 40

DIGITAL TURBINE, INC. COMMON S TOCK / CUSIP: 25400W102 / Symbol: (cont'd)
11/03/20 9.000 307.08 10/30/20 276.97 ... 30.11 Sale 25
11/03/20 1.000 34.12 10/19/20 41.18 7.06 W 0.00 Sale 25
11/06/20 1.000 42.85 10/30/20 29.08 ... 13.77 Sale 25
1.000 44.72 11/24/20 45.01 ... -0.29 1 of 3 - Sale 25
4.000 178.88 11/24/20 151.80 ... 27.08 2 of 3 - Sale 25
5.000 223.60 11/27/20 201.49 ... 22.11 3 of 3 - Sale 25
Security total: 1,873.32 1,813.23 53.49 W 113.58
DPW HOLDINGS, INC. / CUSIP: 26140E600 / Symbol:
11/24/20 25.000 200.00 11/23/20 70.50 ... 129.50 Sale 25
DRAFTKINGS INC. CLASS A COMMON STOCK / CUSIP: 26142R104 / Symbol:
10.000 482.39 11/17/20 463.60 ... 18.79 1 of 2 - Sale 25
5.000 241.19 11/23/20 238.75 ... 2.44 2 of 2 - Sale 25
DROPBOX, INC. CLASS A COMMON S TOCK / CUSIP: 26210C104 / Symbol:
12/11/20 5.000 110.00 12/02/20 100.10 ... 9.90 Sale 25
EBAY INC. COMMON STOCK / CUSIP: 278642103 / Symbol:
10/09/20 5.000 276.00 09/29/20 270.00 ... 6.00 Sale 25
11/06/20 5.000 247.53 10/29/20 245.95 ... 1.58 Sale 25
Security total: 523.53 515.95 ... 7.58
EQUINOX GOLD CORP. / CUSIP: 29446Y502 / Symbol:
11/09/20 10.000 106.53 11/02/20 106.00 ... 0.53 Sale 25
FACEBOOK, INC. CLASS A COMMON STOCK / CUSIP: 30303M102 / Symbol:
11/16/20 1.000 279.00 11/02/20 262.96 ... 16.04 Sale 25
FASTLY, INC. / CUSIP: 31188V100 / Symbol:
11/12/20 7.000 531.98 11/03/20 484.33 ... 47.65 Sale 25
Page 12 of 40

FATE THERAPEUTICS, INC. COMMON STOCK / CUSIP: 31189P102 / Symbol:
11/16/20 10.000 524.98 11/13/20 515.00 ... 9.98 Sale 25
FISKER INC. / CUSIP: 33813J106 / Symbol:
10.000 163.70 11/17/20 168.50 ... -4.80 1 of 3 - Sale 25
9.000 147.33 11/17/20 151.65 ... -4.32 2 of 3 - Sale 25
1.000 16.37 11/17/20 16.85 ... -0.48 3 of 3 - Sale 25
FLUX POWER HOLDINGS, INC. COMM ON STOCK / CUSIP: 344057302 / Symbol:
12/15/20 15.000 162.75 12/08/20 152.25 ... 10.50 Sale 25
FORD MOTOR COMPANY / CUSIP: 345370860 / Symbol:
40.000 308.19 10/12/20 293.60 ... 14.59 1 of 2 - Sale 25
60.000 462.28 10/12/20 440.40 ... 21.88 2 of 2 - Sale 25
10/28/20 49.000 403.27 10/22/20 402.78 ... 0.49 Sale 25
1.000 7.96 10/22/20 8.22 ... -0.26 1 of 2 - Sale 25
49.000 390.04 11/02/20 377.30 ... 12.74 2 of 2 - Sale 25
Security total: 1,571.74 1,522.30 ... 49.44
FORUM MERGER III CORPORATION C LASS A COMMON STOCK / CUSIP: 349885103 / Symbol:
10.000 120.00 11/30/20 121.80 ... -1.80 1 of 3 - Sale 25
5.000 60.00 12/03/20 55.60 ... 4.40 2 of 3 - Sale 25
5.000 60.00 12/03/20 55.35 ... 4.65 3 of 3 - Sale 25
Page 13 of 40

FREEPORT-MCMORAN INC. / CUSIP: 35671D857 / Symbol:
11/12/20 15.000 293.55 11/04/20 273.00 ... 20.55 Sale 25
1.000 24.47 11/25/20 23.00 ... 1.47 1 of 3 - Sale 25
2.000 48.94 11/25/20 47.26 ... 1.68 2 of 3 - Sale 25
17.000 415.99 11/25/20 396.78 ... 19.21 3 of 3 - Sale 25
2.000 48.92 11/25/20 47.26 ... 1.66 1 of 3 - Sale 25
13.000 317.98 11/25/20 307.19 ... 10.79 2 of 3 - Sale 25
13.000 317.98 11/25/20 307.19 ... 10.79 3 of 3 - Sale 25
Security total: 1,467.83 1,401.68 ... 66.15
FUELCELL ENERGY, INC. COMMON S TOCK / CUSIP: 35952H601 / Symbol:
11/09/20 100.000 261.99 10/13/20 259.50 ... 2.49 Sale 25
30.000 163.80 11/18/20 155.70 ... 8.10 1 of 2 - Sale 25
100.000 545.97 11/18/20 519.00 ... 26.97 2 of 2 - Sale 25
10.000 101.70 11/19/20 53.00 ... 48.70 1 of 2 - Sale 25
15.000 152.55 11/23/20 101.25 ... 51.30 2 of 2 - Sale 25
8.000 81.60 12/15/20 64.64 ... 16.96 1 of 3 - Sale 25
42.000 428.38 12/16/20 339.36 ... 89.02 2 of 3 - Sale 25
50.000 509.98 12/21/20 455.50 ... 54.48 3 of 3 - Sale 25
12/22/20 100.000 1,019.96 Various 859.50 ... 160.46 Total of 3 transactions
12/23/20 49.000 569.85 12/21/20 446.39 ... 123.46 Sale 25
Security total: 2,815.82 2,394.34 ... 421.48
FUBOTV INC. / CUSIP: 35953D104 / Symbol:
12/21/20 15.000 779.98 12/18/20 567.00 ... 212.98 Sale 25
Page 14 of 40

GENERAL ELECTRIC COMPANY / CUSIP: 369604103 / Symbol:
10/12/20 10.000 68.25 10/02/20 60.90 ... 7.35 Sale 25
10/28/20 49.000 377.30 10/22/20 379.75 2.45 W 0.00 Sale 25
11/06/20 1.000 7.98 10/22/20 7.75 ... 0.23 Sale 25
11/27/20 40.000 421.60 11/25/20 421.60 ... 0.00 Sale 25
Security total: 875.13 870.00 2.45 W 7.58
GENERAL MOTORS COMPANY / CUSIP: 37045V100 / Symbol:
11/10/20 10.000 412.00 11/02/20 346.00 ... 66.00 Sale 25
5.000 224.40 11/11/20 201.00 ... 23.40 1 of 2 - Sale 25
5.000 224.40 11/12/20 195.50 ... 28.90 2 of 2 - Sale 25
15.000 658.49 11/25/20 680.70 ... -22.21 1 of 2 - Sale 25
5.000 219.49 11/30/20 220.00 ... -0.51 2 of 2 - Sale 25
Security total: 1,738.78 1,643.20 ... 95.58
GIGCAPITAL3, INC. / CUSIP: 37519D107 / Symbol:
12/10/20 10.000 148.00 11/30/20 133.80 ... 14.20 Sale 25
GLOBAL BLOOD THERAPEUTICS, INC . COMMON STOCK / CUSIP: 37890U108 / Symbol:
12/21/20 1.000 43.98 12/16/20 42.60 ... 1.38 Sale 25
GOODRX HOLDINGS, INC. CLASS A COMMON STOCK / CUSIP: 38246G108 / Symbol:
11/18/20 10.000 336.75 11/17/20 400.25 ... -63.50 Sale 25
THE GOODYEAR TIRE & RUBBER COM PANY COMMON STOCK / CUSIP: 382550101 / Symbol:
10.000 100.85 10/30/20 85.00 ... 15.85 1 of 2 - Sale 25
10.000 100.85 11/04/20 90.00 ... 10.85 2 of 2 - Sale 25
GORES METROPOULOS, INC. CLASS A COMMON STOCK / CUSIP: 382872109 / Symbol:
11/24/20 15.000 202.95 11/23/20 200.85 ... 2.10 Sale 25
Page 15 of 40

GROWGENERATION CORP. COMMON ST OCK / CUSIP: 39986L109 / Symbol:
5.000 151.85 11/19/20 150.50 ... 1.35 1 of 2 - Sale 25
70.000 2,125.84 11/19/20 2,107.00 ... 18.84 2 of 2 - Sale 25
11/25/20 25.000 824.98 11/19/20 752.50 ... 72.48 Sale 25
12/15/20 25.000 874.98 12/04/20 872.50 ... 2.48 Sale 25
12/15/20 25.000 874.98 12/04/20 887.50 12.52 W 0.00 Sale 25
10.000 385.69 12/04/20 350.01 ... 35.68 1 of 2 - Sale 25
15.000 578.53 12/07/20 516.68 ... 61.85 2 of 2 - Sale 25
6.000 230.99 12/07/20 196.50 ... 34.49 1 of 4 - Sale 25
9.000 346.49 12/07/20 294.75 ... 51.74 2 of 4 - Sale 25
5.000 192.50 12/09/20 160.00 ... 32.50 3 of 4 - Sale 25
9.000 346.49 12/09/20 279.00 ... 67.49 4 of 4 - Sale 25
Security total: 6,933.32 6,566.94 12.52 W 378.90
HDFC BANK LIMITED / CUSIP: 40415F101 / Symbol:
11/06/20 1.000 62.63 10/22/20 59.24 ... 3.39 Sale 25
HANESBRANDS, INC. / CUSIP: 410345102 / Symbol:
11/06/20 10.000 135.95 11/05/20 134.20 ... 1.75 Sale 25
HEPION PHARMACEUTICALS, INC. C OMMON STOCK / CUSIP: 426897104 / Symbol:
12/14/20 99.000 190.07 12/07/20 153.45 ... 36.62 Sale 25
12/16/20 1.000 1.80 12/07/20 1.55 ... 0.25 Sale 25
Security total: 191.87 155.00 ... 36.87
Page 16 of 40

HIBBETT SPORTS, INC. COMMON ST OCK / CUSIP: 428567101 / Symbol:
10/27/20 2.000 86.42 10/13/20 107.36 ... -20.94 Sale 25
10/27/20 2.000 86.42 10/13/20 107.36 20.94 W 0.00 Sale 25
1.000 44.25 11/20/20 54.27 ... -10.02 1 of 2 - Sale 25
1.000 44.31 11/20/20 54.27 ... -9.96 2 of 2 - Sale 25
Security total: 261.40 323.26 20.94 W -40.92
HYLIION HOLDINGS CORP. / CUSIP: 449109107 / Symbol:
10.000 238.99 10/29/20 195.00 ... 43.99 1 of 4 - Sale 25
5.000 119.50 10/30/20 92.00 ... 27.50 2 of 4 - Sale 25
5.000 119.50 11/02/20 94.00 ... 25.50 3 of 4 - Sale 25
20.000 477.98 11/05/20 463.60 ... 14.38 4 of 4 - Sale 25
25.000 648.23 11/13/20 570.00 ... 78.23 1 of 2 - Sale 25
5.000 129.65 11/18/20 125.00 ... 4.65 2 of 2 - Sale 25
12/10/20 10.000 174.00 11/30/20 219.30 ... -45.30 Sale 25
Security total: 1,907.85 1,758.90 ... 148.95
HYRECAR INC. COMMON STOCK / CUSIP: 44916T107 / Symbol:
11/27/20 20.000 128.80 11/23/20 127.80 ... 1.00 Sale 25
ICICI BANK LIMITED / CUSIP: 45104G104 / Symbol:
11/09/20 9.000 120.96 10/22/20 101.57 ... 19.39 Sale 25
11/10/20 1.000 13.23 10/22/20 11.28 ... 1.95 Sale 25
12/03/20 25.000 333.50 11/19/20 325.75 ... 7.75 Sale 25
Security total: 467.69 438.60 ... 29.09
Page 17 of 40

IDEANOMICS, INC. COMMON STOCK / CUSIP: 45166V106 / Symbol:
10.000 31.00 11/23/20 29.00 ... 2.00 1 of 5 - Sale 25
20.000 61.70 11/23/20 58.00 ... 3.70 2 of 5 - Sale 25
30.000 92.55 11/23/20 85.50 ... 7.05 3 of 5 - Sale 25
15.000 46.50 11/23/20 36.75 ... 9.75 4 of 5 - Sale 25
25.000 77.50 11/23/20 61.25 ... 16.25 5 of 5 - Sale 25
IHUMAN INC. AMERICAN DEPOSITAR Y SHARES, EACH REPRESENTING FI VE CLASS A ORDINARY SHARES / CUSIP: 45175B109 / Symbol:
10/28/20 19.000 344.09 10/22/20 376.20 ... -32.11 Sale 25
11/06/20 1.000 20.55 10/22/20 19.80 ... 0.75 Sale 25
Security total: 364.64 396.00 ... -31.36
INSEEGO CORP. COMMON STOCK / CUSIP: 45782B104 / Symbol:
10.000 92.69 11/23/20 91.50 ... 1.19 1 of 3 - Sale 25
10.000 92.70 11/24/20 90.00 ... 2.70 2 of 3 - Sale 25
10.000 92.69 11/24/20 89.60 ... 3.09 3 of 3 - Sale 25
10.000 92.70 11/23/20 94.50 1.80 W 0.00 1 of 2 - Sale 25
20.000 185.39 11/23/20 187.20 1.81 W 0.00 2 of 2 - Sale 25
12/10/20 10.000 123.50 12/03/20 111.20 ... 12.30 Sale 25
Security total: 679.67 664.00 3.61 W 19.28
IRIDIUM COMMUNICATIONS INC COM MON STOCK / CUSIP: 46269C102 / Symbol:
12/08/20 5.000 171.70 12/03/20 169.00 ... 2.70 Sale 25
JAGUAR HEALTH, INC. COMMON STO CK / CUSIP: 47010C409 / Symbol:
12/22/20 500.000 209.94 12/17/20 173.00 ... 36.94 Sale 25
12/23/20 149.000 114.75 12/21/20 50.51 ... 64.24 Sale 25
Security total: 324.69 223.51 ... 101.18
Page 18 of 40

JD.COM, INC. AMERICAN DEPOSITA RY SHARES / CUSIP: 47215P106 / Symbol:
1.000 84.31 10/22/20 81.57 ... 2.74 1 of 2 - Sale 25
9.000 758.77 10/22/20 734.04 ... 24.73 2 of 2 - Sale 25
11/24/20 5.000 448.50 11/23/20 440.71 ... 7.79 Sale 25
Security total: 1,291.58 1,256.32 ... 35.26
JINKOSOLAR HOLDINGS CO / CUSIP: 47759T100 / Symbol:
10/16/20 30.000 2,108.95 10/14/20 1,868.32 ... 240.63 Sale 25
20.000 1,352.17 10/20/20 1,521.85 169.68 W 0.00 1 of 5 - Sale 25
5.000 338.00 10/20/20 380.46 42.46 W 0.00 2 of 5 - Sale 25
25.000 1,689.96 10/20/20 1,902.31 212.35 W 0.00 3 of 5 - Sale 25
1.000 67.60 10/21/20 91.17 23.57 W 0.00 4 of 5 - Sale 25
20.000 1,351.97 10/21/20 1,823.28 471.31 W 0.00 5 of 5 - Sale 25
10/21/20 71.000 4,799.70 Various 5,719.07 919.37 W 0.00 Total of 5 transactions
1.000 67.00 10/21/20 91.17 24.17 W 0.00 1 of 3 - Sale 25
3.000 201.00 10/22/20 233.98 32.98 W 0.00 2 of 3 - Sale 25
16.000 1,071.97 10/22/20 1,247.91 175.94 W 0.00 3 of 3 - Sale 25
1.000 62.27 10/22/20 77.99 15.72 W 0.00 1 of 3 - Sale 25
1.000 62.27 10/27/20 82.57 20.30 W 0.00 2 of 3 - Sale 25
8.000 498.14 10/27/20 539.95 41.81 W 0.00 3 of 3 - Sale 25
1.000 57.63 10/27/20 82.56 24.93 W 0.00 1 of 5 - Sale 25
1.000 57.63 11/02/20 85.93 28.30 W 0.00 2 of 5 - Sale 25
9.000 518.66 11/02/20 773.33 254.67 W 0.00 3 of 5 - Sale 25
1.000 57.63 11/02/20 85.17 27.54 W 0.00 4 of 5 - Sale 25
8.000 461.02 11/02/20 676.52 215.50 W 0.00 5 of 5 - Sale 25
Page 19 of 40

JINKOSOLAR HOLDINGS CO / CUSIP: 47759T100 / Symbol: (cont'd)
11/05/20 1.000 67.22 11/05/20 74.50 ... -7.28 Sale 25
1.000 67.28 11/02/20 84.57 17.29 W 0.00 1 of 3 - Sale 25
13.000 874.62 11/05/20 968.45 79.39 W -14.44 2 of 3 - Sale 25
3.000 201.83 11/05/20 223.48 21.65 W 0.00 3 of 3 - Sale 25
11/05/20 17.000 1,143.73 Various 1,276.50 118.33 W -14.44 Total of 3 transactions
1.000 66.50 11/05/20 74.49 ... -7.99 1 of 9 - Sale 25
8.000 531.98 11/06/20 561.81 ... -29.83 2 of 9 - Sale 25
1.000 66.50 11/06/20 80.72 ... -14.22 3 of 9 - Sale 25
1.000 66.50 11/06/20 76.00 ... -9.50 4 of 9 - Sale 25
9.000 598.48 11/09/20 821.67 ... -223.19 5 of 9 - Sale 25
1.000 66.50 11/09/20 91.80 ... -25.30 6 of 9 - Sale 25
1.000 66.50 11/09/20 90.54 ... -24.04 7 of 9 - Sale 25
1.000 66.50 11/09/20 88.43 ... -21.93 8 of 9 - Sale 25
1.000 66.50 11/09/20 83.80 ... -17.30 9 of 9 - Sale 25
8.000 523.99 11/12/20 725.50 ... -201.51 1 of 5 - Sale 25
1.000 65.50 11/12/20 70.97 ... -5.47 2 of 5 - Sale 25
3.000 196.49 11/18/20 201.65 ... -5.16 3 of 5 - Sale 25
2.000 131.00 11/18/20 134.43 ... -3.43 4 of 5 - Sale 25
4.000 261.99 11/19/20 256.47 ... 5.52 5 of 5 - Sale 25
11/23/20 1.000 65.50 11/12/20 81.04 15.54 W 0.00 Sale 25
1.000 61.41 11/19/20 64.12 ... -2.71 1 of 2 - Sale 25
3.000 184.23 12/04/20 206.15 ... -21.92 2 of 2 - Sale 25
12/18/20 1.000 67.00 12/16/20 75.44 8.44 W 0.00 Sale 25
Security total: 14,387.89 16,700.50 1,923.54 W -389.07
Page 20 of 40

JUST ENERGY GROUP INC / CUSIP: 48213W408 / Symbol:
40.000 316.00 10/09/20 293.20 ... 22.80 1 of 2 - Sale 25
160.000 1,263.95 10/09/20 1,172.80 ... 91.15 2 of 2 - Sale 25
KANDI TECHNOLOGIES GROUP, INC COMMON STOCK / CUSIP: 483709101 / Symbol:
5.000 65.60 11/23/20 62.70 ... 2.90 1 of 2 - Sale 25
5.000 65.60 11/23/20 62.70 ... 2.90 2 of 2 - Sale 25
KIRKLAND'S, INC. COMMONSTOCK / CUSIP: 497498105 / Symbol:
10/06/20 20.000 203.40 10/05/20 183.60 ... 19.80 Sale 25
10/12/20 30.000 321.10 10/08/20 294.00 ... 27.10 Sale 25
10.000 103.00 10/29/20 91.50 ... 11.50 1 of 2 - Sale 25
9.000 92.70 10/29/20 80.10 ... 12.60 2 of 2 - Sale 25
1.000 12.02 10/29/20 8.90 ... 3.12 1 of 2 - Sale 25
4.000 48.08 11/04/20 44.00 ... 4.08 2 of 2 - Sale 25
Security total: 780.30 702.10 ... 78.20
KOHL'S CORPORATION / CUSIP: 500255104 / Symbol:
2.000 43.92 09/28/20 39.22 ... 4.70 1 of 2 - Sale 25
8.000 175.68 09/28/20 156.88 ... 18.80 2 of 2 - Sale 25
11/09/20 10.000 258.40 11/02/20 205.99 ... 52.41 Sale 25
Security total: 478.00 402.09 ... 75.91
Page 21 of 40

LI AUTO INC. AMERICAN DEPOSITA RY SHARES / CUSIP: 50202M102 / Symbol:
11/17/20 9.000 321.03 11/13/20 292.50 ... 28.53 Sale 25
1.000 37.25 11/13/20 32.50 ... 4.75 1 of 2 - Sale 25
19.000 707.73 11/18/20 636.50 ... 71.23 2 of 2 - Sale 25
Security total: 1,066.01 961.50 ... 104.51
LATTICE SEMICONDUCTOR CORPORAT ION COMMON STOCK / CUSIP: 518415104 / Symbol:
10/29/20 19.000 660.99 10/23/20 661.39 0.21 W -0.19 Sale 25
11/06/20 1.000 39.01 10/23/20 34.81 ... 4.20 Sale 25
11/23/20 10.000 401.00 11/17/20 400.81 ... 0.19 Sale 25
Security total: 1,101.00 1,097.01 0.21 W 4.20
LIMELIGHT NETWORKS, INC. COMMO N STOCK / CUSIP: 53261M104 / Symbol:
50.000 212.00 10/23/20 212.50 ... -0.50 1 of 4 - Sale 25
2.000 8.48 10/23/20 8.40 ... 0.08 2 of 4 - Sale 25
20.000 84.80 10/30/20 69.60 ... 15.20 3 of 4 - Sale 25
28.000 118.71 11/20/20 117.60 ... 1.11 4 of 4 - Sale 25
LONGVIEW ACQUISITION CORP. / CUSIP: 543195101 / Symbol:
2.000 33.84 11/24/20 32.00 ... 1.84 1 of 2 - Sale 25
18.000 304.58 11/24/20 288.00 ... 16.58 2 of 2 - Sale 25
25.000 439.99 11/27/20 439.75 ... 0.24 1 of 3 - Sale 25
5.000 88.00 12/03/20 78.45 ... 9.55 2 of 3 - Sale 25
10.000 175.99 12/08/20 160.00 ... 15.99 3 of 3 - Sale 25
Security total: 1,042.40 998.20 ... 44.20
Page 22 of 40

MFA FINANCIAL, INC / CUSIP: 55272X102 / Symbol:
10.000 38.70 11/19/20 35.88 ... 2.82 1 of 4 - Sale 25
15.000 58.05 11/23/20 56.25 ... 1.80 2 of 4 - Sale 25
1.000 3.87 11/25/20 3.82 ... 0.05 3 of 4 - Sale 25
23.000 89.01 11/25/20 87.86 ... 1.15 4 of 4 - Sale 25
12/22/20 1.000 3.87 11/25/20 3.82 ... 0.05 Sale 25
Security total: 193.50 187.63 ... 5.87
MP MATERIALS CORP. / CUSIP: 553368101 / Symbol:
12/16/20 10.000 270.80 12/07/20 275.00 ... -4.20 Sale 25
MADISON SQUARE GARDEN SPORTS C ORP. / CUSIP: 55825T103 / Symbol:
10/12/20 1.000 149.38 09/29/20 153.58 ... -4.20 Sale 25
THE MICHAELS COMPANIES, INC. C OMMON STOCK / CUSIP: 59408Q106 / Symbol:
10/13/20 10.000 102.41 10/06/20 98.69 ... 3.72 Sale 25
25.000 264.99 10/22/20 239.50 ... 25.49 1 of 6 - Sale 25
10.000 106.00 10/29/20 86.00 ... 20.00 2 of 6 - Sale 25
15.000 158.99 11/03/20 128.25 ... 30.74 3 of 6 - Sale 25
5.000 53.00 11/04/20 42.80 ... 10.20 4 of 6 - Sale 25
10.000 106.00 11/06/20 81.55 ... 24.45 5 of 6 - Sale 25
15.000 158.99 11/20/20 137.40 ... 21.59 6 of 6 - Sale 25
Security total: 950.38 814.19 ... 136.19
MICROSOFT CORPORATION COMMON S TOCK / CUSIP: 594918104 / Symbol:
2.000 399.99 10/26/20 428.00 ... -28.01 1 of 2 - Sale 25
3.000 599.98 10/27/20 644.19 ... -44.21 2 of 2 - Sale 25
10/30/20 5.000 999.97 Various 1,072.19 ... -72.22 Total of 2 transactions
Page 23 of 40

MICROVISION, INC. COMMON STOCK / CUSIP: 594960304 / Symbol:
10/09/20 100.000 277.99 10/09/20 275.50 ... 2.49 Sale 25
20.000 37.60 10/29/20 37.60 ... 0.00 1 of 2 - Sale 25
10.000 18.80 11/02/20 16.55 ... 2.25 2 of 2 - Sale 25
12/16/20 25.000 96.50 12/07/20 66.95 ... 29.55 Sale 25
12/22/20 49.000 367.75 12/21/20 280.28 ... 87.47 Sale 25
Security total: 798.64 676.88 ... 121.76
MODERNA, INC. COMMON STOCK / CUSIP: 60770K107 / Symbol:
10/29/20 10.000 682.98 10/22/20 707.75 12.39 W -12.38 Sale 25
11/06/20 5.000 366.83 11/02/20 348.14 ... 18.69 Sale 25
Security total: 1,049.81 1,055.89 12.39 W 6.31
NIO INC. AMERICAN DEPOSITARY S HARES, EACH REPRESENTING ONE C LASS A ORDINARY SHARE / CUSIP: 62914V106 / Symbol:
10/12/20 5.000 108.76 10/05/20 107.70 ... 1.06 Sale 25
10.000 472.82 11/02/20 332.00 ... 140.82 1 of 4 - Sale 25
10.000 472.82 11/04/20 374.00 ... 98.82 2 of 4 - Sale 25
19.000 898.35 11/04/20 750.50 ... 147.85 3 of 4 - Sale 25
20.000 945.64 11/04/20 730.00 ... 215.64 4 of 4 - Sale 25
1.000 46.39 11/04/20 39.50 ... 6.89 1 of 3 - Sale 25
2.000 92.74 11/13/20 88.00 ... 4.74 2 of 3 - Sale 25
19.000 881.01 11/13/20 773.30 ... 107.71 3 of 3 - Sale 25
10.000 463.89 11/13/20 528.00 64.11 W 0.00 1 of 8 - Sale 25
22.000 1,020.55 11/13/20 1,144.00 123.45 W 0.00 2 of 8 - Sale 25
4.000 185.56 11/13/20 233.65 48.09 W 0.00 3 of 8 - Sale 25
4.000 185.47 11/13/20 233.64 48.17 W 0.00 4 of 8 - Sale 25
2.000 92.74 11/13/20 109.22 16.48 W 0.00 5 of 8 - Sale 25
Page 24 of 40

NIO INC. AMERICAN DEPOSITARY S HARES, EACH REPRESENTING ONE C LASS A ORDINARY SHARE / CUSIP: 62914V106 / Symbol: (cont'd)
8.000 370.95 11/13/20 430.49 59.54 W 0.00 6 of 8 - Sale 25
4.000 185.47 11/13/20 224.09 38.62 W 0.00 7 of 8 - Sale 25
14.000 649.16 11/13/20 694.56 45.40 W 0.00 8 of 8 - Sale 25
Security total: 7,072.32 6,792.65 443.86 W 723.53
NANO DIMENSION LTD. AMERICAN D EPOSITARY SHARES / CUSIP: 63008G203 / Symbol:
10.000 65.20 11/19/20 55.39 ... 9.81 1 of 5 - Sale 25
5.000 32.60 11/23/20 23.90 ... 8.70 2 of 5 - Sale 25
15.000 97.80 11/23/20 74.40 ... 23.40 3 of 5 - Sale 25
10.000 65.20 11/24/20 48.80 ... 16.40 4 of 5 - Sale 25
19.000 123.88 11/30/20 112.29 ... 11.59 5 of 5 - Sale 25
1.000 9.20 11/30/20 5.91 ... 3.29 1 of 2 - Sale 25
49.000 450.80 12/10/20 317.52 ... 133.28 2 of 2 - Sale 25
Security total: 844.68 638.21 ... 206.47
NAUTILUS, INC. / CUSIP: 63910B102 / Symbol:
10.000 277.29 10/22/20 253.01 ... 24.28 1 of 2 - Sale 25
15.000 415.94 10/22/20 388.88 ... 27.06 2 of 2 - Sale 25
11/30/20 10.000 208.40 11/19/20 193.80 ... 14.60 Sale 25
Security total: 901.63 835.69 ... 65.94
NEW RESIDENTIAL INVESTMENT COR P / CUSIP: 64828T201 / Symbol:
10/29/20 19.000 141.55 10/07/20 156.15 ... -14.60 Sale 25
11/04/20 1.000 7.97 10/07/20 8.22 ... -0.25 Sale 25
Security total: 149.52 164.37 ... -14.85
Page 25 of 40

NEXGEN ENERGY LTD. COMMON SHAR ES / CUSIP: 65340P106 / Symbol:
12/18/20 35.000 89.60 11/30/20 61.43 ... 28.17 Sale 25
NIKOLA CORPORATION COMMON STOC K / CUSIP: 654110105 / Symbol:
10/13/20 15.000 374.10 10/05/20 367.65 ... 6.45 Sale 25
NORTHERN GENESIS ACQUISITION C ORP. / CUSIP: 66516T104 / Symbol:
15.000 246.75 11/30/20 240.00 ... 6.75 1 of 3 - Sale 25
5.000 82.25 12/02/20 64.00 ... 18.25 2 of 3 - Sale 25
5.000 82.25 12/03/20 66.50 ... 15.75 3 of 3 - Sale 25
OCEAN POWER TECHNOLOGIES, INC. COMMON STOCK / CUSIP: 674870506 / Symbol:
50.000 119.05 10/12/20 114.00 ... 5.05 1 of 2 - Sale 25
50.000 119.05 10/12/20 114.00 ... 5.05 2 of 2 - Sale 25
1.000 3.14 12/16/20 2.52 ... 0.62 1 of 3 - Sale 25
9.000 28.26 12/16/20 22.68 ... 5.58 2 of 3 - Sale 25
65.000 204.09 12/16/20 163.80 ... 40.29 3 of 3 - Sale 25
Security total: 473.59 417.00 ... 56.59
OPENDOOR TECHNOLOGIES INC COMM ON STOCK / CUSIP: 683712103 / Symbol:
12/21/20 1.000 30.30 12/18/20 29.16 ... 1.14 Sale 25
PACIFIC BIOSCIENCES OF CALIFOR NIA, INC. COMMON STOCK / CUSIP: 69404D108 / Symbol:
13.000 219.50 11/23/20 194.74 ... 24.76 1 of 3 - Sale 25
10.000 168.84 11/24/20 144.10 ... 24.74 2 of 3 - Sale 25
7.000 118.19 11/25/20 100.80 ... 17.39 3 of 3 - Sale 25
Page 26 of 40

PACIFIC ETHANOL, INC. COMMON S TOCK / CUSIP: 69423U305 / Symbol:
99.000 990.22 10/20/20 1,110.78 60.89 W -59.67 1 of 2 - Sale 25
100.000 1,000.21 10/20/20 1,122.00 121.79 W 0.00 2 of 2 - Sale 25
10/22/20 199.000 1,990.43 Various 2,232.78 182.68 W -59.67 Total of 2 transactions
1.000 5.54 10/20/20 12.44 ... -6.90 1 of 4 - Sale 25
49.000 271.65 10/23/20 523.71 ... -252.06 2 of 4 - Sale 25
50.000 277.20 11/05/20 420.89 ... -143.69 3 of 4 - Sale 25
49.000 271.66 11/06/20 392.86 ... -121.20 4 of 4 - Sale 25
11/19/20 149.000 826.05 Various 1,349.90 ... -523.85 Total of 4 transactions
12/04/20 1.000 6.13 11/06/20 8.02 ... -1.89 Sale 25
Security total: 2,822.61 3,590.70 182.68 W -585.41
PALANTIR TECHNOLOGIES INC. CLA SS A COMMON STOCK / CUSIP: 69608A108 / Symbol:
10/06/20 10.000 98.00 09/30/20 106.90 ... -8.90 Sale 25
15.000 388.49 11/23/20 319.05 ... 69.44 1 of 4 - Sale 25
10.000 258.99 11/23/20 185.80 ... 73.19 2 of 4 - Sale 25
1.000 25.90 11/24/20 22.28 ... 3.62 3 of 4 - Sale 25
4.000 103.60 11/24/20 89.12 ... 14.48 4 of 4 - Sale 25
Security total: 874.98 723.15 ... 151.83
PAYPAL HOLDINGS, INC. COMMON S TOCK / CUSIP: 70450Y103 / Symbol:
11/23/20 2.000 392.00 11/02/20 353.00 ... 39.00 Sale 25
THE PECK COMPANY HOLDINGS, INC . COMMON STOCK / CUSIP: 705163103 / Symbol:
10/07/20 25.000 348.75 10/07/20 309.38 ... 39.37 Sale 25
PERSONALIS, INC. COMMON STOCK / CUSIP: 71535D106 / Symbol:
18.000 493.22 10/12/20 524.16 8.60 W -22.34 1 of 2 - Sale 25
1.000 27.40 10/12/20 29.12 1.72 W 0.00 2 of 2 - Sale 25
Page 27 of 40

PERSONALIS, INC. COMMON STOCK / CUSIP: 71535D106 / Symbol: (cont'd)
1.000 27.09 10/12/20 30.84 ... -3.75 1 of 3 - Sale 25
2.000 54.19 10/30/20 51.44 ... 2.75 2 of 3 - Sale 25
3.000 81.29 11/02/20 79.87 ... 1.42 3 of 3 - Sale 25
Security total: 683.19 715.43 10.32 W -21.92
PFIZER INC. / CUSIP: 717081103 / Symbol:
15.000 542.72 11/09/20 626.70 ... -83.98 1 of 3 - Sale 25
10.000 361.82 11/09/20 394.30 ... -32.48 2 of 3 - Sale 25
5.000 180.91 11/16/20 185.80 ... -4.89 3 of 3 - Sale 25
PIVOTAL INVESTMENT CORPORATION II / CUSIP: 72582K100 / Symbol:
12/04/20 20.000 290.00 11/27/20 285.00 ... 5.00 Sale 25
PLATINUM GROUP METALS LTD. / CUSIP: 72765Q882 / Symbol:
12/18/20 50.000 252.50 12/08/20 244.50 ... 8.00 Sale 25
3.000 14.70 12/08/20 14.58 ... 0.12 1 of 3 - Sale 25
22.000 107.80 12/08/20 106.92 ... 0.88 2 of 3 - Sale 25
24.000 117.60 12/08/20 107.52 ... 10.08 3 of 3 - Sale 25
12/30/20 1.000 4.82 12/08/20 4.48 ... 0.34 Sale 25
Security total: 497.42 478.00 ... 19.42
PLUG POWER, INC. COMMON STOCK / CUSIP: 72919P202 / Symbol:
10/12/20 5.000 91.41 10/06/20 76.75 ... 14.66 Sale 25
10/22/20 49.000 722.24 10/13/20 827.11 96.31 W -8.56 Sale 25
1.000 16.77 10/13/20 16.88 ... -0.11 1 of 2 - Sale 25
9.000 150.97 10/30/20 145.26 ... 5.71 2 of 2 - Sale 25
Page 28 of 40

PLUG POWER, INC. COMMON STOCK / CUSIP: 72919P202 / Symbol: (cont'd)
1.000 18.27 10/30/20 16.14 ... 2.13 1 of 3 - Sale 25
24.000 438.59 11/04/20 447.37 ... -8.78 2 of 3 - Sale 25
1.000 18.61 11/04/20 18.64 ... -0.03 3 of 3 - Sale 25
10.000 280.00 11/17/20 253.40 ... 26.60 1 of 3 - Sale 25
5.000 140.00 12/08/20 132.75 ... 7.25 2 of 3 - Sale 25
20.000 569.98 12/08/20 531.00 ... 38.98 3 of 3 - Sale 25
Security total: 2,446.84 2,465.30 96.31 W 77.85
RMG ACQUISITION CORP. CLASS A COMMON STOCK / CUSIP: 749641106 / Symbol:
24.000 399.83 11/25/20 372.24 ... 27.59 1 of 4 - Sale 25
25.000 406.24 11/25/20 348.50 ... 57.74 2 of 4 - Sale 25
25.000 406.24 11/25/20 346.11 ... 60.13 3 of 4 - Sale 25
25.000 416.49 11/25/20 348.50 ... 67.99 4 of 4 - Sale 25
12/04/20 1.000 16.00 11/25/20 15.51 ... 0.49 Sale 25
12/21/20 1.000 21.02 12/18/20 19.94 ... 1.08 Sale 25
Security total: 1,665.82 1,450.80 ... 215.02
ROCKET COMPANIES, INC. / CUSIP: 77311W101 / Symbol:
10/06/20 5.000 107.68 10/02/20 107.95 ... -0.27 Sale 25
3.000 65.28 11/09/20 62.97 ... 2.31 1 of 2 - Sale 25
7.000 152.32 11/09/20 144.55 ... 7.77 2 of 2 - Sale 25
12.000 261.12 11/09/20 265.20 3.40 W -0.68 1 of 2 - Sale 25
3.000 65.28 11/09/20 66.30 1.02 W 0.00 2 of 2 - Sale 25
Page 29 of 40

ROCKET COMPANIES, INC. / CUSIP: 77311W101 / Symbol: (cont'd)
12/08/20 10.000 203.00 11/30/20 204.70 ... -1.70 Sale 25
Security total: 854.68 851.67 4.42 W 7.43
SM ENERGY COMPANY / CUSIP: 78454L100 / Symbol:
21.000 98.07 11/24/20 95.34 ... 2.73 1 of 2 - Sale 25
29.000 135.43 11/24/20 131.66 ... 3.77 2 of 2 - Sale 25
12/15/20 100.000 591.97 11/24/20 450.00 ... 141.97 Sale 25
Security total: 825.47 677.00 ... 148.47
SABRE CORPORATION COMMON STOCK / CUSIP: 78573M104 / Symbol:
10/29/20 20.000 125.00 10/22/20 156.00 ... -31.00 Sale 25
SLACK TECHNOLOGIES, INC. / CUSIP: 83088V102 / Symbol:
1.000 42.70 11/27/20 40.80 ... 1.90 1 of 4 - Sale 25
2.000 85.39 11/27/20 81.60 ... 3.79 2 of 4 - Sale 25
3.000 128.08 11/27/20 122.40 ... 5.68 3 of 4 - Sale 25
4.000 170.77 11/27/20 163.20 ... 7.57 4 of 4 - Sale 25
SNAP INC. / CUSIP: 83304A106 / Symbol:
10/22/20 250.000 9,682.85 10/22/20 9,626.90 ... 55.95 Sale 25
SPIRIT AIRLINES, INC. / CUSIP: 848577102 / Symbol:
12/10/20 15.000 405.00 11/25/20 330.00 ... 75.00 Sale 25
SQUARE, INC. / CUSIP: 852234103 / Symbol:
11/06/20 1.000 194.07 11/02/20 154.80 ... 39.27 Sale 25
1.000 212.49 11/24/20 203.29 ... 9.20 1 of 3 - Sale 25
1.000 212.50 11/24/20 203.27 ... 9.23 2 of 3 - Sale 25
2.000 424.99 11/24/20 406.58 ... 18.41 3 of 3 - Sale 25
Page 30 of 40

SQUARE, INC. / CUSIP: 852234103 / Symbol: (cont'd)
Security total: 1,044.05 967.94 ... 76.11
SUNDIAL GROWERS INC. COMMON SH ARES / CUSIP: 86730L109 / Symbol:
11/30/20 499.000 269.40 11/09/20 264.47 ... 4.93 Sale 25
SUNNOVA ENERGY INTERNATIONAL I NC. / CUSIP: 86745K104 / Symbol:
10/19/20 20.000 592.94 10/12/20 563.20 ... 29.74 Sale 25
SUNWORKS, INC. COMMON STOCK / CUSIP: 86803X204 / Symbol:
100.000 340.32 10/07/20 451.00 ... -110.68 1 of 2 - Sale 25
100.000 340.49 10/07/20 451.00 ... -110.51 2 of 2 - Sale 25
SWITCHBACK ENERGY ACQUISITION CORPORATION / CUSIP: 87105M102 / Symbol:
11/12/20 10.000 164.60 11/02/20 132.00 ... 32.60 Sale 25
11/24/20 20.000 739.98 11/19/20 462.00 ... 277.98 Sale 25
5.000 177.50 11/19/20 115.50 ... 62.00 1 of 4 - Sale 25
15.000 532.49 11/23/20 472.10 ... 60.39 2 of 4 - Sale 25
10.000 354.99 11/25/20 345.00 ... 9.99 3 of 4 - Sale 25
5.000 177.49 11/30/20 170.90 ... 6.59 4 of 4 - Sale 25
Security total: 2,147.05 1,697.50 ... 449.55
TALOS ENERGY, INC. COMMON STOC K / CUSIP: 87484T108 / Symbol:
12/08/20 20.000 205.00 11/24/20 202.76 ... 2.24 Sale 25
TAPESTRY, INC. COMMON STOCK / CUSIP: 876030107 / Symbol:
4.000 105.32 11/04/20 94.00 ... 11.32 1 of 2 - Sale 25
15.000 394.93 11/04/20 352.50 ... 42.43 2 of 2 - Sale 25
11/10/20 1.000 25.88 11/04/20 23.50 ... 2.38 Sale 25
Security total: 526.13 470.00 ... 56.13
Page 31 of 40

TATTOOED CHEF, INC CLASS A COM MON STOCK / CUSIP: 87663X102 / Symbol:
2.000 48.64 12/14/20 40.56 ... 8.08 1 of 4 - Sale 25
4.000 97.28 12/14/20 81.12 ... 16.16 2 of 4 - Sale 25
5.000 121.60 12/14/20 101.40 ... 20.20 3 of 4 - Sale 25
8.000 194.56 12/14/20 162.24 ... 32.32 4 of 4 - Sale 25
TELEPHONE AND DATA SYSTEMS INC . / CUSIP: 879433829 / Symbol:
11/18/20 10.000 191.85 11/13/20 190.40 ... 1.45 Sale 25
TENCENT HOLDINGS LIMITED UNSPO NSORED ADR REPRESENTING B SHAR ES (CAYMAN ISLANDS) / CUSIP: 88032Q109 / Symbol:
1.000 75.30 11/17/20 75.20 ... 0.10 1 of 2 - Sale 25
9.000 677.68 11/17/20 676.80 ... 0.88 2 of 2 - Sale 25
TESLA, INC. COMMON STOCK / CUSIP: 88160R101 / Symbol:
10/07/20 3.000 1,259.37 10/06/20 1,231.90 ... 27.47 Sale 25
10/19/20 10.000 4,349.90 10/19/20 4,386.50 21.96 W -14.64 Sale 25
10/29/20 4.000 1,659.96 10/22/20 1,718.04 ... -58.08 Sale 25
11/16/20 2.000 888.58 11/13/20 828.40 ... 60.18 Sale 25
12/14/20 1.000 624.98 12/11/20 610.00 ... 14.98 Sale 25
Security total: 8,782.79 8,774.84 21.96 W 29.91
TUSCAN HOLDINGS CORP. COMMON S TOCK / CUSIP: 90069K104 / Symbol:
12/08/20 20.000 254.00 11/27/20 250.20 ... 3.80 Sale 25
UNITY SOFTWARE INC. / CUSIP: 91332U101 / Symbol:
10/12/20 10.000 975.00 10/09/20 978.15 ... -3.15 Sale 25
VAXART, INC COMMON STOCK / CUSIP: 92243A200 / Symbol:
94.000 498.19 10/13/20 736.78 ... -238.59 1 of 2 - Sale 25
5.000 26.50 10/13/20 39.19 ... -12.69 2 of 2 - Sale 25
Page 32 of 40

VAXART, INC COMMON STOCK / CUSIP: 92243A200 / Symbol: (cont'd)
11/05/20 1.000 5.23 10/13/20 7.84 ... -2.61 Sale 25
Security total: 529.92 783.81 ... -253.89
VIATRIS INC. COMMON STOCK / CUSIP: 92556V106 / Symbol:
1.139 18.79 11/09/20 0.00 ... 18.79 1 of 3 - Sale 25
1.241 20.47 11/09/20 0.00 ... 20.47 2 of 3 - Sale 25
0.620 10.24 11/16/20 0.00 ... 10.24 3 of 3 - Sale 25
W&T OFFSHORE, INC. / CUSIP: 92922P106 / Symbol:
12/10/20 50.000 131.50 11/24/20 118.89 ... 12.61 Sale 25
WORKHORSE GROUP, INC. COMMON S TOCK / CUSIP: 98138J206 / Symbol:
50.000 887.97 10/23/20 1,016.50 128.53 W 0.00 1 of 2 - Sale 25
9.000 159.83 10/26/20 171.90 12.07 W 0.00 2 of 2 - Sale 25
11/03/20 9.000 161.21 10/30/20 160.84 ... 0.37 Sale 25
1.000 17.91 10/26/20 21.67 3.76 W 0.00 1 of 2 - Sale 25
10.000 179.13 10/30/20 182.71 3.58 W 0.00 2 of 2 - Sale 25
1.000 18.30 10/30/20 17.87 ... 0.43 1 of 6 - Sale 25
9.000 164.74 11/04/20 171.37 ... -6.63 2 of 6 - Sale 25
6.000 109.83 11/04/20 108.35 ... 1.48 3 of 6 - Sale 25
4.000 73.22 11/04/20 70.63 ... 2.59 4 of 6 - Sale 25
6.000 109.83 11/04/20 103.80 ... 6.03 5 of 6 - Sale 25
14.000 256.26 11/04/20 238.56 ... 17.70 6 of 6 - Sale 25
Page 33 of 40

WORKHORSE GROUP, INC. COMMON S TOCK / CUSIP: 98138J206 / Symbol: (cont'd)
9.000 164.74 11/04/20 182.43 9.83 W -7.86 1 of 3 - Sale 25
20.000 366.09 11/04/20 417.41 51.32 W 0.00 2 of 3 - Sale 25
1.000 18.30 11/04/20 21.46 3.16 W 0.00 3 of 3 - Sale 25
11/10/20 1.000 18.99 11/04/20 19.61 ... -0.62 Sale 25
10.000 199.00 11/20/20 258.16 ... -59.16 1 of 4 - Sale 25
9.000 179.10 11/23/20 268.57 ... -89.47 2 of 4 - Sale 25
1.000 19.90 11/23/20 30.43 ... -10.53 3 of 4 - Sale 25
5.000 99.50 11/24/20 157.33 ... -57.83 4 of 4 - Sale 25
Security total: 3,203.85 3,619.60 212.25 W -203.50
XPENG INC. AMERICAN DEPOSITARY SHARES, EACH REPRESENTING TWO CLASS A ORDINARY SHARES / CUSIP: 98422D105 / Symbol:
11/12/20 30.000 1,289.97 11/06/20 1,062.00 ... 227.97 Sale 25
11/19/20 10.000 452.50 11/18/20 405.00 ... 47.50 Sale 25
11/25/20 10.000 669.98 11/24/20 668.00 ... 1.98 Sale 25
5.000 222.15 11/30/20 314.00 91.85 W 0.00 1 of 2 - Sale 25
5.000 222.15 11/30/20 290.00 67.85 W 0.00 2 of 2 - Sale 25
Security total: 2,856.75 2,739.00 159.70 W 277.45
ZOOM VIDEO COMMUNICATIONS, INC . CLASS A COMMON STOCK / CUSIP: 98980L101 / Symbol:
10/09/20 1.000 496.80 10/05/20 493.97 ... 2.83 Sale 25
11/09/20 1.000 421.57 11/02/20 449.50 27.93 W 0.00 Sale 25
1.000 421.14 11/19/20 451.31 ... -30.17 1 of 2 - Sale 25
1.000 421.13 11/19/20 423.37 ... -2.24 2 of 2 - Sale 25
Security total: 1,760.64 1,818.15 27.93 W -29.58
Page 34 of 40

ZYNGA INC. CLASS A COMMON STOC K / CUSIP: 98986T108 / Symbol:
10/13/20 50.000 468.50 10/08/20 468.36 ... 0.14 Sale 25
HUDSON CAPITAL INC. ORDINARY S HARES / CUSIP: G4645C109 / Symbol:
10/15/20 100.000 84.99 10/12/20 82.60 ... 2.39 Sale 25
NEWBORN ACQUISITION CORP. ORDI NARY SHARES / CUSIP: G6463T106 / Symbol:
11/25/20 20.000 335.66 11/24/20 240.00 ... 95.66 Sale 25
VIVOPOWER INTERNATIONAL PLC OR DINARY SHARES / CUSIP: G9376R100 / Symbol:
10/27/20 49.000 339.08 10/12/20 678.65 ... -339.57 Sale 25
11/05/20 1.000 7.46 10/12/20 13.85 ... -6.39 Sale 25
Security total: 346.54 692.50 ... -345.96
VG ACQUISITION CORP. / CUSIP: G9446E105 / Symbol:
4.000 45.44 11/30/20 42.08 ... 3.36 1 of 3 - Sale 25
15.000 170.40 11/30/20 157.50 ... 12.90 2 of 3 - Sale 25
21.000 238.56 12/14/20 241.50 ... -2.94 3 of 3 - Sale 25
GAMIDA CELL LTD. ORDINARY SHAR ES / CUSIP: M47364100 / Symbol:
1.000 9.82 12/07/20 9.05 ... 0.77 1 of 3 - Sale 25
1.000 9.83 12/07/20 9.05 ... 0.78 2 of 3 - Sale 25
98.000 961.34 12/07/20 886.90 ... 74.44 3 of 3 - Sale 25
TOWER SEMICONDUCTOR LTD. ORDIN ARY SHARES / CUSIP: M87915274 / Symbol:
12/01/20 10.000 257.60 11/24/20 243.60 ... 14.00 Sale 25
NAKED BRAND GROUP LIMITED ORDI NARY SHARES / CUSIP: Q6519T117 / Symbol:
11/09/20 100.000 7.24 11/02/20 7.75 ... -0.51 Sale 25
Totals : 147,520.48 145,963.77 3,315.40 W 4,872.11
Page 35 of 40

Proceeds Not Reported to the IRS
2020 02/14/2021
This section of your tax information statement provides proceeds transactions that are not reported to the IRS, but may have a tax impact. They are grouped by term (long, short or undetermined). For
tax lots whose term is undetermined, use your historical documents to establish the cost basis and date of purchase.
Several columns include both an amount and a qualifying notation to its right. Where proceeds are the result of an option exercise or assignment, there is indication of whether the amount is N (net of
option premium) or G (Gross). Accrued Market Discount and Wash Sale Loss Disallowed appear in the same column, identified by the letters D or W, respectively. Where you are not permitted to
recognize a loss, an indication of X (change in control or capital structure) or Z (other corporate action) is used.
Some tax lots may have notations in the column of additional information because they require special treatment on your tax returns. Sales of securities such as Contingent Payment Debt Instruments
(CPDI) are marked as “Ordinary” because gains and losses on these instruments generally do not qualify as short- or long-term capital transactions. Similarly, sales of collectibles, noted as “3 -
Proceeds from Collectibles [X]” are handled distinctly under the tax code. You may wish to consult with your tax advisor, the IRS or your state tax authority regarding the proper treatment for these
scenarios. With further regard to Box 3, there is also a checkmark to indicate the proceeds of sale are from a Qualified Opportunity Zone Fund investment - a QOF. If the proceeds are from a QOF the
Additional Information column will reflect the following - “3 - [X] Proceeds from QOF.” The tax treatment for QOF investments can be complex and you may wish to consult your tax advisor about such
sales.
SHORT TERM TRANSACTIONS [Ordinary gains or losses are identified in the Additional information column]
Report on Form 8949, Part I, with Box C checked.
Description of property
Date Proceeds & Accrued mkt disc (D) & Gain or loss(-) &
sold or Reported Date Cost or Wash sale loss Loss not allowed (X)
VIATRIS INC. COMMON STOCK / CUSIP: 92556V106 / Symbol:

11/23/20 0.722 11.12 11/09/20 0.00 ... 11.12 Gain or loss
Totals: 11.12 0.00 ... 11.12

Page 36 of 40

Detail for Dividends and Distributions
2020 02/14/2021
This section of your tax information statement contains the payment level detail of your taxable dividends, capital gains distributions, Section 199A dividends, exempt-interest dividends, nondividend
distributions and liquidation distributions. Also shown are the fair market values of any taxable stock dividends or noncash liquidation distributions.
Federal, state and foreign tax withheld and investment expenses are presented as negative amounts but do not net against the reportable income totals. All amounts are grouped by security, with the
transactions listed in chronological order. Subtotals for each security are provided. For situations in which the tax character of a distribution (or part thereof) is different than at the time it was paid,
endnotes are provided for further explanation.
Note that a payment characterized as a “Qualified dividend” is only issuer-qualified.
Security description CUSIP and/or symbol State Date Amount Transaction type Notes
APPLE INC. COMMON STOCK 037833100 11/12/20 0.41 Qualified dividend
B2GOLD CORP. 11777Q209 12/18/20 0.04 Nonqualified dividend

12/18/20 -0.01 Foreign tax withheld-CA
0.04 Total Dividends & distributions
-0.01 Total Foreign tax withheld
0.45 Total Dividends & distributions

-0.01 Total Foreign tax withheld
Page 37 of 40

Foreign Income and Taxes Summary
2020 02/14/2021
This schedule lists all income and foreign tax by country. Mutual Funds and Unit Investment Trusts (UITs) structured as Regulated Investment Companies (RICs) are listed separately with a country
designation of “RIC.”
Dividends
Country Security Description CUSIP Nonqualified Qualified Interest Total Income Tax
CA B2GOLD CORP. 11777Q209 0.04 0.00 0.00 0.04 -0.01
Total CANADA 0.04 0.00 0.00 0.04 -0.01
Grand Total Total Foreign Source Income* 0.04

Qualified Foreign Source Income** 0.00
Foreign Tax -0.01
* Total Foreign Source Income utilizes the "Total" column for RICs which may not always be supplied.
** Qualified Foreign Source Income utilizes the "Qualified" column for RICs which may not always be supplied.
Page 38 of 40

Non-Reportable Actions
2020 02/14/2021
Security Description CUSIP and/or symbol Date Quantity Amount Transaction type Notes
OPENDOOR TECHNOLOGIES INC COMM ON STOCK 683712103 12/18/20 1.00 0.00 Exchange
VIATRIS INC. COMMON STOCK 92556V106 11/17/20 3.00 0.00 Stock spinoff
SOCIAL CAPITAL HEDOSOPHIA HOLD INGS CORP. II G8250T109 12/18/20 -1.00 0.00 Exchange
Page 39 of 40
Robinhood Securities LLC 2020 End Notes for Account 416166320
25 Tax lot closed on a first in first out basis.

Page 40 of 40
Instructions for Recipient
Common Instructions for Recipient Line 6. Shows your share of expenses of a nonpublicly offered RIC, generally a securities were acquired through the exercise of a noncompensatory option granted or
Recipient's taxpayer identification number (TIN). For your protection, this form may nonpublicly offered mutual fund. This amount is included in line 1a. acquired before January 1, 2014, your broker is permitted, but not required, to adjust
show only the last four digits of your TIN (social security number (SSN), individual Line 7. Shows the foreign tax that you may be able to claim as a deduction or a credit the basis to reflect your option premium. If the securities were acquired through the
taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or on Form 1040 or 1040-SR. See the Instructions for Forms 1040 and 1040-SR. exercise of a compensatory option, the basis has not been adjusted to include any
employer identification number (EIN)). However, the issuer has reported your complete Line 8. This line should be left blank if a RIC reported the foreign tax shown in line 7. amount related to the option that was reported to you on a Form W-2. If box 5 is
TIN to the IRS. Lines 9 and 10. Show cash and noncash liquidation distributions. checked, box 1e may be blank. See the Instructions for Form 8949, the Instructions for
Account number. May show an account or other unique number the payer assigned to Line 11. Shows exempt-interest dividends from a mutual fund or other RIC paid to you Schedule D (Form 1040 or 1040-SR), or Pub. 550 for details.
distinguish your account. during the calendar year. See the Instructions for Forms 1040 and 1040-SR for where to Box 1f. Shows the amount of accrued market discount. For details on market discount,
Backup Withholding. Shows backup withholding. Generally, a payer must backup report. This amount may be subject to backup withholding. See line 4 above. see the Schedule D (Form 1040 or 1040-SR) instructions, the Instructions for Form
withhold if you did not furnish your taxpayer identification number. See Form W-9 and Line 12. Shows exempt-interest dividends subject to the alternative minimum tax. This 8949, and Pub. 550. If box 5 is checked, box 1f may be blank.
Pub. 505 for more information. Report this amount on your income tax return as tax amount is included in line 11. See the Instructions for Form 6251. Line 1g. Shows the amount of nondeductible loss in a wash sale transaction. For
withheld. Lines 13-15. State income tax withheld reporting lines. Nominees. If this form includes details on wash sales, see the Schedule D (Form 1040 or 1040-SR) instructions, the
Nominees. If this 1099 form includes amounts belonging to another person, you are amounts belonging to another person, you are considered a nominee recipient. You Instructions for Form 8949, and Pub. 550. If box 5 is checked, box 1g may be blank.
considered a nominee recipient. You must file as the “payer” the respective Form 1099 must file Form 1099-DIV (with a Form 1096) with the IRS for each of the other owners Line 2. The short-term and long-term boxes pertain to short-term gain or loss and
(DIV, INT, or OID) Copy A (with a Form 1096) to the IRS for each of the other owners to show their share of the income, and you must furnish a Form 1099-DIV to each. A long-term gain or loss. If the “Ordinary” box is checked, your security may be subject to
as recipient(s) to show their allocable share of the income and you must furnish the spouse is not required to file a nominee return to show amounts owned by the other special rules. For example, gain on a contingent payment debt instrument subject to the
respective Copy B Form(s) and amounts to each owner. A spouse is not required to file spouse. See the 2020 General Instructions for Certain Information Returns. Future noncontingent bond method generally is treated as ordinary interest income rather than
a nominee return to show amounts owned by the other spouse. See the General developments. For the latest information about developments related to Form 1099-DIV as capital gain. See the Instructions for Form 8949, Pub. 550, or Pub. 1212 for more
Instructions for Certain Information Returns and its instructions, such as legislation enacted after they were published, go to details on whether there are any special rules or adjustments that might apply to your
FATCA filing requirement. If the FATCA filing requirement box is checked, the payer www.irs.gov/Form1099DIV. security. If box 5 is checked, box 2 may be blank.
is reporting on Form 1099 to satisfy its chapter 4 account reporting requirement. You Line 3. If checked, proceeds are from a transaction involving collectibles or from a
also may have a filing requirement. See the Instructions for Form 8938. Qualified Opportunity Fund (QOF).
Line 4. Shows backup withholding. Generally, a payer must backup withhold if you did
Keep tax documents for your records. 1099-B Instructions for Recipient not furnish your TIN to the payer. See Form W-9 for information on backup withholding.
Brokers and barter exchanges must report proceeds from (and in some cases, basis Include this amount on your income tax return as tax withheld.
for) transactions to you and the IRS on Form 1099-B. Reporting is also required when Line 5. If checked, the securities sold were noncovered securities and boxes 1b, 1e, 1f,
your broker knows or has reason to know that a corporation in which you own stock has 1g, and 2 may be blank. Generally, a noncovered security means: stock purchased
1099-DIV Instructions for Recipient had a reportable change in control or capital structure. You may be required to before 2011, stock in most mutual funds purchased before 2012, stock purchased in or
Recipient’s taxpayer identification number (TIN). For your protection, this form may recognize gain from the receipt of cash, stock, or other property that was exchanged for transferred to a dividend reinvestment plan before 2012, debt acquired before 2014,
show only the last four digits of your TIN (social security number (SSN), individual the corporation’s stock. If your broker reported this type of transaction to you, the options granted or acquired before 2014, and securities futures contracts entered into
taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or corporation is identified in box 1a. before 2014.
employer identification number (EIN)). However, the issuer has reported your complete Recipient’s taxpayer identification number (TIN). For your protection, this form may Line 6. If the exercise of a noncompensatory option resulted in a sale of a security, a
TIN to the IRS. show only the last four digits of your TIN (social security number (SSN), individual checked “net proceeds” box indicates whether the amount in box 1d was adjusted for
FATCA filing requirement. If the FATCA filing requirement box is checked, the payer taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or option premium.
is reporting on this Form 1099 to satisfy its chapter 4 account reporting requirement. employer identification number (EIN)). However, the issuer has reported your complete Line 7. If checked, you cannot take a loss on your tax return based on gross proceeds
You also may have a filing requirement. See the Instructions for Form 8938. TIN to the IRS. from a reportable change in control or capital structure reported in box 1d. See the Form
Account number. May show an account or other unique number the payer assigned to Account number. May show an account or other unique number the payer assigned to 8949 and Schedule D (Form 1040 or 1040-SR) instructions. The broker should advise
distinguish your account. distinguish your account. you of any losses on a separate statement.
Line 1a. Shows total ordinary dividends that are taxable. Include this amount on the CUSIP number. Shows the CUSIP (Committee on Uniform Security Identification Line 12. If checked, the basis in box 1e has been reported to the IRS and either the
“Ordinary dividends” line of Form 1040 or 1040-SR. Also, report it on Schedule B (Form Procedures) number or other applicable identifying number. short-term or the long-term gain or loss box in box 2 will be checked. If box 12 is
1040 or 1040-SR), if required. FATCA filing requirement. If the FATCA filing requirement box is checked, the payer checked on Form(s) 1099-B and NO adjustment is required, see the instructions for
Line 1b. Shows the portion of the amount in line 1a that may be eligible for reduced is reporting on this Form 1099 to satisfy its chapter 4 account reporting requirement. your Schedule D (Form 1040 or 1040-SR) as you may be able to report your transaction
capital gains rates. See the Instructions for Forms 1040 and 1040-SR for how to You may also have a filing requirement. See the Instructions for Form 8938. directly on Schedule D (Form 1040 or 1040-SR). If the “Ordinary” box in box 2 is
determine this amount and where to report. The amount shown may be dividends a Applicable checkbox on Form 8949. Indicates where to report this transaction on checked, an adjustment may be required.
corporation paid directly to you as a participant (or beneficiary of a participant) in an Form 8949 and Schedule D (Form 1040 or 1040-SR), and which checkbox is Line 13. Shows the cash you received, the fair market value of any property or services
employee stock ownership plan (ESOP). Report it as a dividend on your Form 1040 or applicable. See the instructions for your Schedule D (Form 1040 or 1040-SR) and/or you received, and the fair market value of any trade credits or scrip credited to your
1040-SR but treat it as a plan distribution, not as investment income, for any other Form 8949. account by a barter exchange. See Pub. 525.
purpose. Line 1a. Shows a brief description of the item or service for which amounts are being Lines 14-16. Show state(s)/local income tax information.
Line 2a. Shows total capital gain distributions from a regulated investment company reported. For regulated futures contracts and forward contracts, “RFC” or other
(RIC) or real estate investment trust (REIT). See How To Report in the Instructions for Future developments. For the latest information about any developments related to
appropriate description may be shown. For Section 1256 option contracts, “Section Form 1099-B and its instructions, such as legislation enacted after they were published,
Schedule D (Form 1040 or 1040-SR). But, if no amount is shown in lines 2c and 2d and 1256 option” or other appropriate description may be shown. For a corporation that had
your only capital gains and losses are capital gain distributions, you may be able to go to www.irs.gov/Form1099B.
a reportable change in control or capital structure, this box may show the class of stock
report the amounts shown in line 2a on your Form 1040 or 1040-SR rather than as C (common), P (preferred), or O (other).
Schedule D. See the Instructions for Forms 1040 and 1040-SR. Line 1b. This box may be blank if box 5 is checked or if the securities sold were
Line 2b. Shows the portion of the amount in line 2a that is unrecaptured section 1250 acquired on a variety of dates. For short sales, the date shown is the date you acquired
gain from certain depreciable real property. See the Unrecaptured Section 1250 Gain the security delivered to close the short sale.
Worksheet in the Instructions for Schedule D (Form 1040 or 1040-SR). Line 1c. Shows the trade date of the sale or exchange. For short sales, the date shown
Line 2c. Shows the portion of the amount in line 2a that is section 1202 gain from is the date the security was delivered to close the short sale. For aggregate reporting in
certain small business stock that may be subject to an exclusion. See the Schedule D boxes 8 through 11, no entry will be present.
(Form 1040 or 1040-SR) instructions. Line 1d. Shows the cash proceeds, reduced by any commissions or transfer taxes
Line 2d. Shows 28% rate gain from sales or exchanges of collectibles. If required, use related to the sale, for transactions involving stocks, debt, commodities, forward
this amount when completing the 28% Rate Gain Worksheet in the Instructions for contracts, non-Section 1256 option contracts, or securities futures contracts. May show
Schedule D (Form 1040 or 1040-SR). the proceeds from the disposition of your interest(s) in a widely held fixed investment
Line 3. Shows a return of capital. To the extent of your cost (or other basis) in the stock, trust. May also show the aggregate amount of cash and the fair market value of any
the distribution reduces your basis and is not taxable. Any amount received in excess of stock or other property received in a reportable change in control or capital structure
your basis is taxable to you as capital gain. See Pub. 550. arising from the corporate transfer of property to a foreign corporation. Losses on
Line 4. Shows backup withholding. A payer must backup withhold on certain payments forward contracts or nonSection 1256 option contracts are shown in parentheses. This
if you did not give your TIN to the payer. See Form W-9, Request for Taxpayer box does not include proceeds from regulated futures contracts or Section 1256 option
Identification Number and Certification, for information on backup withholding. Include contracts. Report this amount on Form 8949 or on Schedule D (Form 1040 or 1040-SR)
this amount on your income tax return as tax withheld. (whichever is applicable) as explained in the Instructions for Schedule D (Form 1040 or
Line 5. Shows the portion of the amount in line 1a that may be eligible for the 20% 1040-SR).
qualified business income deduction under section 199A. See the instructions for Form Line 1e. Shows the cost or other basis of securities sold. If the securities were acquired
8995 and Form 8995-A. through the exercise of a noncompensatory option granted or acquired on or after
January 1, 2014, the basis has been adjusted to reflect your option premium. If the

Robinhood Securities LLC: Tax Information Account 416166320

Uploaded by

Copyright:

Available Formats

You might also like

Robinhood Securities LLC: Tax Information Account 416166320

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Robinhood Securities LLC: Tax Information Account 416166320

Uploaded by

Copyright:

Available Formats

Page 1 of 40

Tax Information Statement Date: 02/14/2021

PAYER'S TIN: 38-4019216 RECIPIENT'S TIN: XXX-XX-6614

SUMMARY OF PROCEEDS, GAINS & LOSSES, ADJUSTMENTS AND WITHHOLDING

Grand total 147,531.60 145,963.77 0.00 3,315.40 4,883.23

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

FATCA filing requirement [ ]

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC Account 416166320

VIATRIS INC. COMMON STOCK / CUSIP: 92556V106 / Symbol:

Totals: 11.12 0.00 ... 11.12

Robinhood Securities LLC Account 416166320

Note that a payment characterized as a “Qualified dividend” is only issuer-qualified.

B2GOLD CORP. 11777Q209 12/18/20 0.04 Nonqualified dividend

0.45 Total Dividends & distributions

Robinhood Securities LLC Account 416166320

CA B2GOLD CORP. 11777Q209 0.04 0.00 0.00 0.04 -0.01

Total CANADA 0.04 0.00 0.00 0.04 -0.01

Grand Total Total Foreign Source Income* 0.04

Robinhood Securities LLC Account 416166320

Robinhood Securities LLC 2020 End Notes for Account 416166320

25 Tax lot closed on a first in first out basis.

You might also like