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Tax Information
Robinhood Securities LLC
500 Colonial Center Parkway Account 686964636
Statement Date: 02/14/2021
Document ID: FZ11 659 W28D 2020
Suite 100 Md shahriar Kabir
Lake Mary, FL 32746 2419 School Rd
Customer Service: 650-940-2700
Hatfield, PA 19440

PAYER'S TIN: 38-4019216 RECIPIENT'S TIN: XXX-XX-1550


[ ] 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) 3.00 2- Royalties 0.00
1b- Qualified dividends 3.00 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: 7- Foreign tax paid: 0.00
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) 127,212.04 113,032.43 0.00 665.08 14,844.69
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) 0.00 0.00 0.00 0.00 0.00
Total Short-term 127,212.04 113,032.43 0.00 665.08 14,844.69
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 127,212.04 113,032.43 0.00 665.08 14,844.69


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 28

Robinhood Securities LLC Account 686964636


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 42.54
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 28

Robinhood Securities LLC Account 686964636


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
AAL 08/07/2020 CALL $11.50 / CUSIP: / Symbol:
08/10/20 1.000 -121.02 08/07/20 0.00 ... -121.02 Short sale closed- call 25
Option written: 08/03/20
AAL 09/18/2020 CALL $13.50 / CUSIP: / Symbol:
09/18/20 2.000 55.98 09/18/20 0.00 ... 55.98 Short sale closed- call expired
Option written: 09/14/20
AAL 10/02/2020 CALL $13.00 / CUSIP: / Symbol:
10/02/20 3.000 134.98 10/02/20 0.00 ... 134.98 Short sale closed- call expired
Option written: 09/28/20
AAL 10/16/2020 CALL $13.00 / CUSIP: / Symbol:
10/16/20 1.000 9.98 10/16/20 0.00 ... 9.98 Short sale closed- call expired
Option written: 10/14/20

* 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 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
AAL 10/23/2020 CALL $13.00 / CUSIP: / Symbol:
2 transactions for 10/23/20. Total proceeds and cost reported to the IRS.
1.000 12.98 10/23/20 0.00 ... 12.98 1 of 2 - Short sale closed- call
expired
Option written: 10/22/20
1.000 39.98 10/23/20 0.00 ... 39.98 2 of 2 - Short sale closed- call
expired
Option written: 10/19/20
10/23/20 2.000 52.96 Various 0.00 ... 52.96 Total of 2 transactions
AAL 11/13/2020 CALL $13.00 / CUSIP: / Symbol:
11/12/20 2.000 255.98 11/11/20 0.00 ... 255.98 Short sale closed- call 25
Option written: 11/09/20
BBBY 12/04/2020 CALL $21.00 / CUSIP: / Symbol:
12/02/20 1.000 67.98 12/01/20 0.00 ... 67.98 Short sale closed- call 25
Option written: 11/23/20
CBAT 01/15/2021 CALL $7.50 / CUSIP: / Symbol:
2 transactions for 12/29/20. Total proceeds and cost reported to the IRS.
1.000 34.98 12/28/20 0.00 ... 34.98 1 of 2 - Short sale closed- call 25
Option written: 12/22/20
1.000 39.98 12/28/20 0.00 ... 39.98 2 of 2 - Short sale closed- call 25
Option written: 12/22/20
12/29/20 2.000 74.96 Various 0.00 ... 74.96 Total of 2 transactions
CBAT 12/18/2020 CALL $10.00 / CUSIP: / Symbol:
2 transactions for 12/09/20. Total proceeds and cost reported to the IRS.
1.000 132.98 12/08/20 0.00 ... 132.98 1 of 2 - Short sale closed- call 25
Option written: 11/27/20
1.000 147.98 12/08/20 0.00 ... 147.98 2 of 2 - Short sale closed- call 25
Option written: 11/27/20
12/09/20 2.000 280.96 Various 0.00 ... 280.96 Total of 2 transactions
CRON 08/21/2020 CALL $6.00 / CUSIP: / Symbol:
08/21/20 1.000 18.98 08/21/20 0.00 ... 18.98 Short sale closed- call expired
Option written: 08/11/20

* 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 5 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
CRON 09/04/2020 CALL $5.50 / CUSIP: / Symbol:
09/04/20 2.000 27.98 09/04/20 0.00 ... 27.98 Short sale closed- call expired
Option written: 08/27/20
JDST 08/28/2020 CALL $10.50 / CUSIP: / Symbol:
08/28/20 1.000 53.98 08/28/20 0.00 ... 53.98 Short sale closed- call expired
Option written: 08/18/20
KODK 10/16/2020 CALL $9.00 / CUSIP: / Symbol:
10/13/20 1.000 -84.02 10/12/20 0.00 ... -84.02 Short sale closed- call 25
Option written: 10/08/20
KODK 10/16/2020 CALL $9.50 / CUSIP: / Symbol:
3 transactions for 10/16/20. Total proceeds and cost reported to the IRS.
1.000 14.98 10/16/20 0.00 ... 14.98 1 of 3 - Short sale closed- call
expired
Option written: 10/15/20
1.000 36.98 10/16/20 0.00 ... 36.98 2 of 3 - Short sale closed- call
expired
Option written: 10/14/20
1.000 39.98 10/16/20 0.00 ... 39.98 3 of 3 - Short sale closed- call
expired
Option written: 10/14/20
10/16/20 3.000 91.94 Various 0.00 ... 91.94 Total of 3 transactions
KODK 11/06/2020 CALL $9.00 / CUSIP: / Symbol:
11/06/20 3.000 59.98 11/06/20 0.00 ... 59.98 Short sale closed- call expired
Option written: 10/29/20
M 07/24/2020 CALL $6.50 / CUSIP: / Symbol:
07/24/20 1.000 19.98 07/24/20 0.00 ... 19.98 Short sale closed- call expired
Option written: 07/20/20
M 07/31/2020 CALL $6.50 / CUSIP: / Symbol:
07/31/20 2.000 39.98 07/31/20 0.00 ... 39.98 Short sale closed- call expired
Option written: 07/28/20

* 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 6 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
M 08/28/2020 CALL $7.00 / CUSIP: / Symbol:
08/28/20 1.000 22.98 08/28/20 0.00 ... 22.98 Short sale closed- call expired
Option written: 08/18/20
M 10/16/2020 CALL $6.50 / CUSIP: / Symbol:
2 transactions for 10/16/20. Total proceeds and cost reported to the IRS.
3.000 41.98 10/16/20 0.00 ... 41.98 1 of 2 - Short sale closed- call
expired
Option written: 10/08/20
3.000 44.98 10/16/20 0.00 ... 44.98 2 of 2 - Short sale closed- call
expired
Option written: 10/08/20
10/16/20 6.000 86.96 Various 0.00 ... 86.96 Total of 2 transactions
NIO 08/14/2020 CALL $14.00 / CUSIP: / Symbol:
08/14/20 1.000 51.98 08/14/20 0.00 ... 51.98 Short sale closed- call expired
Option written: 08/11/20
NIO 09/25/2020 CALL $19.00 / CUSIP: / Symbol:
3 transactions for 09/25/20. Total proceeds and cost reported to the IRS.
1.000 73.98 09/25/20 0.00 ... 73.98 1 of 3 - Short sale closed- call
expired
Option written: 09/22/20
1.000 73.98 09/25/20 0.00 ... 73.98 2 of 3 - Short sale closed- call
expired
Option written: 09/22/20
2.000 139.98 09/25/20 0.00 ... 139.98 3 of 3 - Short sale closed- call
expired
Option written: 09/22/20
09/25/20 4.000 287.94 Various 0.00 ... 287.94 Total of 3 transactions

* 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 7 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
PLUG 10/16/2020 CALL $18.00 / CUSIP: / Symbol:
2 transactions for 10/16/20. Total proceeds and cost reported to the IRS.
1.000 28.98 10/16/20 0.00 ... 28.98 1 of 2 - Short sale closed- call
expired
Option written: 10/14/20
1.000 28.98 10/16/20 0.00 ... 28.98 2 of 2 - Short sale closed- call
expired
Option written: 10/14/20
10/16/20 2.000 57.96 Various 0.00 ... 57.96 Total of 2 transactions
PLUG 10/23/2020 CALL $17.00 / CUSIP: / Symbol:
2 transactions for 10/23/20. Total proceeds and cost reported to the IRS.
1.000 44.98 10/23/20 0.00 ... 44.98 1 of 2 - Short sale closed- call
expired
Option written: 10/20/20
1.000 44.98 10/23/20 0.00 ... 44.98 2 of 2 - Short sale closed- call
expired
Option written: 10/20/20
10/23/20 2.000 89.96 Various 0.00 ... 89.96 Total of 2 transactions
PLUG 11/06/2020 CALL $16.50 / CUSIP: / Symbol:
2 transactions for 10/30/20. Total proceeds and cost reported to the IRS.
1.000 23.98 10/29/20 0.00 ... 23.98 1 of 2 - Short sale closed- call 25
Option written: 10/27/20
1.000 23.98 10/29/20 0.00 ... 23.98 2 of 2 - Short sale closed- call 25
Option written: 10/27/20
10/30/20 2.000 47.96 Various 0.00 ... 47.96 Total of 2 transactions
SBE 12/18/2020 CALL $40.00 / CUSIP: / Symbol:
12/03/20 1.000 653.97 12/02/20 0.00 ... 653.97 Short sale closed- call 25
Option written: 11/24/20
12/16/20 1.000 561.97 12/15/20 0.00 ... 561.97 Short sale closed- call 25
Option written: 12/09/20
Security total: 1,215.94 0.00 ... 1,215.94

* 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 8 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
SPXU 10/09/2020 CALL $9.00 / CUSIP: / Symbol:
10/09/20 1.000 10.98 10/09/20 0.00 ... 10.98 Short sale closed- call expired
Option written: 10/06/20
SPXU 10/23/2020 CALL $8.00 / CUSIP: / Symbol:
2 transactions for 10/23/20. Total proceeds and cost reported to the IRS.
1.000 16.98 10/23/20 0.00 ... 16.98 1 of 2 - Short sale closed- call
expired
Option written: 10/13/20
1.000 18.98 10/23/20 0.00 ... 18.98 2 of 2 - Short sale closed- call
expired
Option written: 10/13/20
10/23/20 2.000 35.96 Various 0.00 ... 35.96 Total of 2 transactions
SPXU 11/06/2020 CALL $9.50 / CUSIP: / Symbol:
10/30/20 2.000 -18.02 10/29/20 0.00 ... -18.02 Short sale closed- call 25
Option written: 10/28/20
SQQQ 09/11/2020 CALL $22.50 / CUSIP: / Symbol:
09/02/20 1.000 68.98 09/01/20 0.00 ... 68.98 Short sale closed- call 25
Option written: 08/28/20
SQQQ 09/18/2020 CALL $21.50 / CUSIP: / Symbol:
09/21/20 1.000 -537.02 09/18/20 0.00 ... -537.02 Short sale closed- call 25
Option written: 09/01/20
SQQQ 09/25/2020 CALL $23.00 / CUSIP: / Symbol:
09/28/20 1.000 154.97 09/25/20 0.00 ... 154.97 Short sale closed- call 25
Option written: 09/18/20
SQQQ 10/02/2020 CALL $24.00 / CUSIP: / Symbol:
10/01/20 1.000 222.98 09/30/20 0.00 ... 222.98 Short sale closed- call 25
Option written: 09/25/20
SQQQ 10/02/2020 CALL $25.00 / CUSIP: / Symbol:
10/02/20 1.000 43.98 10/02/20 0.00 ... 43.98 Short sale closed- call expired
Option written: 09/30/20

* 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 9 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
SQQQ 11/06/2020 CALL $25.00 / CUSIP: / Symbol:
2 transactions for 11/06/20. Total proceeds and cost reported to the IRS.
1.000 97.98 11/05/20 0.00 ... 97.98 1 of 2 - Short sale closed- call 25
Option written: 10/22/20
1.000 101.98 11/05/20 0.00 ... 101.98 2 of 2 - Short sale closed- call 25
Option written: 10/19/20
11/06/20 2.000 199.96 Various 0.00 ... 199.96 Total of 2 transactions
SQQQ2 08/21/2020 CALL $6.00 / CUSIP: / Symbol:
08/21/20 1.000 18.98 08/21/20 0.00 ... 18.98 Short sale closed- call expired
Option written: 08/11/20
WKHS 11/06/2020 CALL $17.00 / CUSIP: / Symbol:
11/09/20 1.000 59.98 11/06/20 0.00 ... 59.98 Short sale closed- call 25
Option written: 11/03/20
WKHS 11/13/2020 CALL $19.00 / CUSIP: / Symbol:
11/11/20 2.000 169.98 11/10/20 0.00 ... 169.98 Short sale closed- call 25
Option written: 11/09/20
2 transactions for 11/16/20. Total proceeds and cost reported to the IRS.
1.000 74.98 11/13/20 0.00 ... 74.98 1 of 2 - Short sale closed- call 25
Option written: 11/11/20
1.000 74.98 11/13/20 0.00 ... 74.98 2 of 2 - Short sale closed- call 25
Option written: 11/11/20
11/16/20 2.000 149.96 Various 0.00 ... 149.96 Total of 2 transactions
Security total: 319.94 0.00 ... 319.94
WKHS 11/20/2020 CALL $22.50 / CUSIP: / Symbol:
11/19/20 1.000 -35.02 11/18/20 0.00 ... -35.02 Short sale closed- call 25
Option written: 11/17/20
WKHS 12/04/2020 CALL $25.50 / CUSIP: / Symbol:
12/03/20 1.000 179.98 12/02/20 0.00 ... 179.98 Short sale closed- call 25
Option written: 11/20/20

* 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 10 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
WWR 12/18/2020 CALL $7.50 / CUSIP: / Symbol:
2 transactions for 12/11/20. Total proceeds and cost reported to the IRS.
1.000 84.98 12/10/20 0.00 ... 84.98 1 of 2 - Short sale closed- call 25
Option written: 11/30/20
1.000 124.98 12/10/20 0.00 ... 124.98 2 of 2 - Short sale closed- call 25
Option written: 11/20/20
12/11/20 2.000 209.96 Various 0.00 ... 209.96 Total of 2 transactions
X 08/14/2020 CALL $8.00 / CUSIP: / Symbol:
08/14/20 3.000 44.98 08/14/20 0.00 ... 44.98 Short sale closed- call expired
Option written: 08/10/20
X 08/21/2020 CALL $8.00 / CUSIP: / Symbol:
08/21/20 2.000 41.98 08/21/20 0.00 ... 41.98 Short sale closed- call expired
Option written: 08/17/20
X 09/04/2020 CALL $8.00 / CUSIP: / Symbol:
2 transactions for 09/04/20. Total proceeds and cost reported to the IRS.
1.000 22.98 09/04/20 0.00 ... 22.98 1 of 2 - Short sale closed- call
expired
Option written: 08/24/20
1.000 22.98 09/04/20 0.00 ... 22.98 2 of 2 - Short sale closed- call
expired
Option written: 08/24/20
09/04/20 2.000 45.96 Various 0.00 ... 45.96 Total of 2 transactions
X 09/11/2020 CALL $7.50 / CUSIP: / Symbol:
2 transactions for 09/11/20. Total proceeds and cost reported to the IRS.
1.000 4.98 09/11/20 0.00 ... 4.98 1 of 2 - Short sale closed- call
expired
Option written: 09/10/20
1.000 4.98 09/11/20 0.00 ... 4.98 2 of 2 - Short sale closed- call
expired
Option written: 09/10/20
09/11/20 2.000 9.96 Various 0.00 ... 9.96 Total of 2 transactions

* 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 11 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
AXT INC COMMON STOCK / CUSIP: 00246W103 / Symbol:
2 transactions for 11/18/20. Total proceeds and cost reported to the IRS.
20.000 185.59 11/18/20 182.40 ... 3.19 1 of 2 - Sale 25
50.000 463.98 11/18/20 460.25 ... 3.73 2 of 2 - Sale 25
11/18/20 70.000 649.57 Various 642.65 ... 6.92 Total of 2 transactions
11/27/20 50.000 499.15 11/23/20 495.41 ... 3.74 Sale 25
2 transactions for 11/30/20. Total proceeds and cost reported to the IRS.
3.000 29.40 11/30/20 29.10 ... 0.30 1 of 2 - Sale 25
97.000 950.56 11/30/20 940.90 ... 9.66 2 of 2 - Sale 25
11/30/20 100.000 979.96 Various 970.00 ... 9.96 Total of 2 transactions
Security total: 2,128.68 2,108.06 ... 20.62
AMERICAN AIRLINES GROUP INC. C OMMON STOCK / CUSIP: 02376R102 / Symbol:
2 transactions for 08/10/20. Total proceeds and cost reported to the IRS.
30.000 419.98 07/29/20 340.14 ... 79.84 1 of 2 - Sale 25
70.000 979.97 07/29/20 794.15 ... 185.82 2 of 2 - Sale 25
08/10/20 100.000 1,399.95 Various 1,134.29 ... 265.66 Total of 2 transactions
3 transactions for 08/27/20. Total proceeds and cost reported to the IRS.
40.000 546.86 08/17/20 513.17 ... 33.69 1 of 3 - Sale 25
60.000 820.28 08/17/20 768.00 ... 52.28 2 of 3 - Sale 25
100.000 1,386.45 08/25/20 1,318.81 ... 67.64 3 of 3 - Sale 25
08/27/20 200.000 2,753.59 Various 2,599.98 ... 153.61 Total of 3 transactions
08/28/20 100.000 1,394.94 N 08/26/20 1,276.80 ... 118.14 Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $44.98
2 transactions for 09/08/20. Total proceeds and cost reported to the IRS.
100.000 1,390.41 09/08/20 1,352.72 ... 37.69 1 of 2 - Sale 25
100.000 1,390.40 09/08/20 1,324.48 ... 65.92 2 of 2 - Sale 25
09/08/20 200.000 2,780.81 Various 2,677.20 ... 103.61 Total of 2 transactions

* 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 12 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
AMERICAN AIRLINES GROUP INC. C OMMON STOCK / CUSIP: 02376R102 / Symbol: (cont'd)
2 transactions for 10/09/20. Total proceeds and cost reported to the IRS.
200.000 2,695.90 N 09/09/20 2,577.62 ... 118.28 1 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $95.99
100.000 1,347.95 N 09/21/20 1,253.93 ... 94.02 2 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $47.99
10/09/20 300.000 4,043.85 Various 3,831.55 ... 212.30 Total of 2 transactions
2 transactions for 11/09/20. Total proceeds and cost reported to the IRS.
100.000 1,439.96 10/12/20 1,303.77 ... 136.19 1 of 2 - Sale 25
100.000 1,439.95 10/22/20 1,245.00 ... 194.95 2 of 2 - Sale 25
11/09/20 200.000 2,879.91 Various 2,548.77 ... 331.14 Total of 2 transactions
3 transactions for 11/27/20. Total proceeds and cost reported to the IRS.
100.000 1,344.94 N 10/23/20 1,245.00 ... 99.94 1 of 3 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $44.98
48.000 645.57 N 10/27/20 554.40 ... 91.17 2 of 3 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $21.59
52.000 699.37 N 10/27/20 600.60 ... 98.77 3 of 3 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $23.39
11/27/20 200.000 2,689.88 Various 2,400.00 ... 289.88 Total of 3 transactions
Security total: 17,942.93 16,468.59 ... 1,474.34
APEX TECHNOLOGY ACQUISITION CO RPORATION CLASS A COMMON STOCK / CUSIP: 03768F102 / Symbol:
2 transactions for 12/23/20. Total proceeds and cost reported to the IRS.
50.000 776.98 11/30/20 771.50 ... 5.48 1 of 2 - Sale 25
50.000 776.97 12/08/20 725.00 ... 51.97 2 of 2 - Sale 25
12/23/20 100.000 1,553.95 Various 1,496.50 ... 57.45 Total of 2 transactions

* 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 13 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
ARCIMOTO, INC. COMMON STOCK / CUSIP: 039587100 / Symbol:
3 transactions for 12/24/20. Total proceeds and cost reported to the IRS.
50.000 777.98 11/27/20 695.00 ... 82.98 1 of 3 - Sale 25
100.000 1,555.95 12/04/20 1,203.00 ... 352.95 2 of 3 - Sale 25
50.000 777.97 12/22/20 681.00 ... 96.97 3 of 3 - Sale 25
12/24/20 200.000 3,111.90 Various 2,579.00 ... 532.90 Total of 3 transactions
2 transactions for 12/24/20. Total proceeds and cost reported to the IRS.
100.000 1,555.95 11/23/20 1,750.00 194.05 W 0.00 1 of 2 - Sale 25
50.000 777.98 11/23/20 800.00 22.02 W 0.00 2 of 2 - Sale 25
12/24/20 150.000 2,333.93 Various 2,550.00 216.07 W 0.00 Total of 2 transactions
Security total: 5,445.83 5,129.00 216.07 W 532.90
AYRO, INC. COMMON STOCK / CUSIP: 054748108 / Symbol:
3 transactions for 12/08/20. Total proceeds and cost reported to the IRS.
27.000 198.44 11/23/20 264.60 66.16 W 0.00 1 of 3 - Sale 25
25.000 183.74 11/23/20 245.00 61.26 W 0.00 2 of 3 - Sale 25
48.000 352.79 11/23/20 470.40 117.61 W 0.00 3 of 3 - Sale 25
12/08/20 100.000 734.97 Various 980.00 245.03 W 0.00 Total of 3 transactions
BLINK CHARGING CO. COMMON STOC K / CUSIP: 09354A100 / Symbol:
11/18/20 100.000 1,074.94 N 11/10/20 888.00 ... 186.94 Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $74.98
11/19/20 100.000 1,839.94 11/13/20 958.52 ... 881.42 Sale 25
Security total: 2,914.88 1,846.52 ... 1,068.36
CIIG MERGER CORP. CLASS A COMM ON STOCK / CUSIP: 12559C103 / Symbol:
11/23/20 100.000 1,999.94 11/20/20 1,705.98 ... 293.96 Sale 25
COTY INC / CUSIP: 222070203 / Symbol:
2 transactions for 08/24/20. Total proceeds and cost reported to the IRS.
1.000 3.83 07/14/20 4.21 ... -0.38 1 of 2 - Sale 25
6.000 22.98 08/17/20 23.87 ... -0.89 2 of 2 - Sale 25
08/24/20 7.000 26.81 Various 28.08 ... -1.27 Total of 2 transactions

* 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 14 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
COTY INC / CUSIP: 222070203 / Symbol: (cont'd)
3 transactions for 11/03/20. Total proceeds and cost reported to the IRS.
100.000 311.48 10/28/20 298.76 ... 12.72 1 of 3 - Sale 25
100.000 311.48 10/28/20 295.00 ... 16.48 2 of 3 - Sale 25
200.000 622.96 11/02/20 599.52 ... 23.44 3 of 3 - Sale 25
11/03/20 400.000 1,245.92 Various 1,193.28 ... 52.64 Total of 3 transactions
Security total: 1,272.73 1,221.36 ... 51.37
CRONOS GROUP INC. COMMON SHARE / CUSIP: 22717L101 / Symbol:
2 transactions for 09/14/20. Total proceeds and cost reported to the IRS.
100.000 533.01 08/11/20 567.84 ... -34.83 1 of 2 - Sale 25
100.000 533.00 08/26/20 546.84 ... -13.84 2 of 2 - Sale 25
09/14/20 200.000 1,066.01 Various 1,114.68 ... -48.67 Total of 2 transactions
DIREXION DAILY JUNIOR GOLD MIN ERS INDEX BEAR 2X SHARES / CUSIP: 25460G807 / Symbol:
5 transactions for 09/04/20. Total proceeds and cost reported to the IRS.
100.000 1,075.96 N 08/17/20 1,029.87 ... 46.09 1 of 5 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $25.99
10.000 107.59 N 08/28/20 101.75 ... 5.84 2 of 5 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $2.60
15.000 161.39 N 08/28/20 153.59 ... 7.80 3 of 5 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $3.90
100.000 1,075.96 N 08/28/20 1,026.87 ... 49.09 4 of 5 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $25.99
75.000 806.97 N 08/31/20 746.99 ... 59.98 5 of 5 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $19.50
09/04/20 300.000 3,227.87 Various 3,059.07 ... 168.80 Total of 5 transactions
09/11/20 200.000 2,129.91 N 09/09/20 2,071.00 ... 58.91 Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $29.98
09/17/20 100.000 990.15 09/14/20 979.80 ... 10.35 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 15 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
DIREXION DAILY JUNIOR GOLD MIN ERS INDEX BEAR 2X SHARES / CUSIP: 25460G807 / Symbol: (cont'd)
3 transactions for 09/21/20. Total proceeds and cost reported to the IRS.
100.000 1,017.07 09/14/20 979.80 ... 37.27 1 of 3 - Sale 25
100.000 1,017.07 09/14/20 970.00 ... 47.07 2 of 3 - Sale 25
100.000 1,017.08 09/14/20 965.50 ... 51.58 3 of 3 - Sale 25
09/21/20 300.000 3,051.22 Various 2,915.30 ... 135.92 Total of 3 transactions
10/13/20 100.000 1,031.15 10/09/20 987.81 ... 43.34 Sale 25
Security total: 10,430.30 10,012.98 ... 417.32
EASTMAN KODAK COMPANY / CUSIP: 277461406 / Symbol:
09/25/20 20.000 184.88 09/23/20 181.60 ... 3.28 Sale 25
2 transactions for 10/13/20. Total proceeds and cost reported to the IRS.
10.000 98.71 10/08/20 87.79 ... 10.92 1 of 2 - Sale 25
90.000 888.36 10/08/20 790.13 ... 98.23 2 of 2 - Sale 25
10/13/20 100.000 987.07 Various 877.92 ... 109.15 Total of 2 transactions
10/16/20 70.000 681.07 10/14/20 665.62 ... 15.45 Sale 25
6 transactions for 10/19/20. Total proceeds and cost reported to the IRS.
30.000 285.59 10/14/20 285.27 ... 0.32 1 of 6 - Sale 25
30.000 285.29 10/14/20 284.37 ... 0.92 2 of 6 - Sale 25
70.000 666.37 10/14/20 663.52 ... 2.85 3 of 6 - Sale 25
100.000 950.97 10/15/20 935.94 ... 15.03 4 of 6 - Sale 25
70.000 665.68 10/15/20 646.65 ... 19.03 5 of 6 - Sale 25
80.000 760.77 10/16/20 716.00 ... 44.77 6 of 6 - Sale 25
10/19/20 380.000 3,614.67 Various 3,531.75 ... 82.92 Total of 6 transactions
2 transactions for 12/07/20. Total proceeds and cost reported to the IRS.
100.000 1,313.46 10/19/20 934.85 ... 378.61 1 of 2 - Sale 25
100.000 1,313.46 10/19/20 895.00 ... 418.46 2 of 2 - Sale 25
12/07/20 200.000 2,626.92 Various 1,829.85 ... 797.07 Total of 2 transactions
3 transactions for 12/28/20. Total proceeds and cost reported to the IRS.
100.000 825.97 10/20/20 890.00 ... -64.03 1 of 3 - Sale 25
100.000 825.97 11/03/20 709.89 ... 116.08 2 of 3 - Sale 25
100.000 825.96 11/27/20 750.00 ... 75.96 3 of 3 - Sale 25
12/28/20 300.000 2,477.90 Various 2,349.89 ... 128.01 Total of 3 transactions
Security total: 10,572.51 9,436.63 ... 1,135.88

* 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 16 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
ELECTRAMECCANICA VEHICLES CORP . LTD. COMMON STOCK / CUSIP: 284849205 / Symbol:
11/11/20 100.000 364.99 11/10/20 353.88 ... 11.11 Sale 25
FUELCELL ENERGY, INC. COMMON S TOCK / CUSIP: 35952H601 / Symbol:
11/11/20 100.000 259.99 11/10/20 245.81 ... 14.18 Sale 25
LITHIUM AMERICAS CORP. COMMON SHARES / CUSIP: 53680Q207 / Symbol:
11/27/20 100.000 1,141.46 11/17/20 1,135.88 ... 5.58 Sale 25
12/22/20 100.000 1,039.96 12/21/20 908.93 ... 131.03 Sale 25
Security total: 2,181.42 2,044.81 ... 136.61
MACY'S INC. / CUSIP: 55616P104 / Symbol:
2 transactions for 07/28/20. Total proceeds and cost reported to the IRS.
100.000 639.98 07/20/20 638.83 ... 1.15 1 of 2 - Sale 25
100.000 639.97 07/27/20 631.00 ... 8.97 2 of 2 - Sale 25
07/28/20 200.000 1,279.95 Various 1,269.83 ... 10.12 Total of 2 transactions
3 transactions for 08/07/20. Total proceeds and cost reported to the IRS.
100.000 625.96 N 07/27/20 615.76 ... 10.20 1 of 3 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $25.99
35.000 219.09 N 07/30/20 217.97 ... 1.12 2 of 3 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $9.10
65.000 406.87 N 08/03/20 390.33 ... 16.54 3 of 3 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $16.88
08/07/20 200.000 1,251.92 Various 1,224.06 ... 27.86 Total of 3 transactions
08/07/20 100.000 625.96 N 07/27/20 629.00 3.04 W 0.00 Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $25.99
08/25/20 100.000 650.17 08/18/20 659.03 8.86 W 0.00 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 17 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
MACY'S INC. / CUSIP: 55616P104 / Symbol: (cont'd)
7 transactions for 09/04/20. Total proceeds and cost reported to the IRS.
5.000 36.70 N 08/18/20 32.78 ... 3.92 1 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $1.70
75.000 550.46 N 08/18/20 492.52 ... 57.94 2 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $25.48
2.000 13.98 N 08/20/20 12.65 ... 1.33 3 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $0.98
10.000 73.40 N 08/20/20 64.93 ... 8.47 4 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $3.40
10.000 73.39 N 08/20/20 64.77 ... 8.62 5 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $3.40
98.000 684.98 N 08/20/20 619.85 ... 65.13 6 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $48.00
100.000 698.95 N 08/25/20 640.82 ... 58.13 7 of 7 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $48.98
09/04/20 300.000 2,131.86 Various 1,928.32 ... 203.54 Total of 7 transactions
7 transactions for 10/20/20. Total proceeds and cost reported to the IRS.
22.000 141.89 09/28/20 139.04 ... 2.85 1 of 7 - Sale 25
2.000 12.90 09/29/20 12.26 ... 0.64 2 of 7 - Sale 25
8.000 51.60 09/29/20 49.04 ... 2.56 3 of 7 - Sale 25
15.000 96.75 10/05/20 94.96 ... 1.79 4 of 7 - Sale 25
50.000 322.48 10/06/20 314.92 ... 7.56 5 of 7 - Sale 25
50.000 322.48 10/07/20 319.39 ... 3.09 6 of 7 - Sale 25
50.000 322.49 10/07/20 316.92 ... 5.57 7 of 7 - Sale 25
10/20/20 197.000 1,270.59 Various 1,246.53 ... 24.06 Total of 7 transactions

* 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 18 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
MACY'S INC. / CUSIP: 55616P104 / Symbol: (cont'd)
11 transactions for 10/20/20. Total proceeds and cost reported to the IRS.
50.000 322.49 09/16/20 340.99 18.50 W 0.00 1 of 11 - Sale 25
50.000 322.48 09/16/20 338.49 16.01 W 0.00 2 of 11 - Sale 25
100.000 644.98 09/16/20 688.83 43.85 W 0.00 3 of 11 - Sale 25
50.000 322.49 09/17/20 346.88 24.39 W 0.00 4 of 11 - Sale 25
50.000 322.48 09/17/20 344.38 21.90 W 0.00 5 of 11 - Sale 25
20.000 128.99 09/18/20 136.18 7.19 W 0.00 6 of 11 - Sale 25
20.000 129.00 09/18/20 135.75 6.75 W 0.00 7 of 11 - Sale 25
10.000 64.50 09/18/20 67.85 3.35 W 0.00 8 of 11 - Sale 25
30.000 193.49 09/21/20 200.10 6.61 W 0.00 9 of 11 - Sale 25
20.000 128.99 09/22/20 131.15 2.16 W 0.00 10 of 11 - Sale 25
3.000 19.35 09/23/20 19.41 0.06 W 0.00 11 of 11 - Sale 25
10/20/20 403.000 2,599.24 Various 2,750.01 150.77 W 0.00 Total of 11 transactions
4 transactions for 10/29/20. Total proceeds and cost reported to the IRS.
50.000 310.61 10/28/20 325.40 14.79 W 0.00 1 of 4 - Sale 25
10.000 62.12 10/28/20 64.05 1.93 W 0.00 2 of 4 - Sale 25
20.000 124.24 10/28/20 128.59 4.35 W 0.00 3 of 4 - Sale 25
20.000 124.24 10/28/20 128.15 3.91 W 0.00 4 of 4 - Sale 25
10/29/20 100.000 621.21 Various 646.19 24.98 W 0.00 Total of 4 transactions
9 transactions for 11/03/20. Total proceeds and cost reported to the IRS.
47.000 291.03 10/30/20 299.66 ... -8.63 1 of 9 - Sale 25
30.000 185.76 10/30/20 189.01 ... -3.25 2 of 9 - Sale 25
20.000 123.84 10/30/20 123.76 ... 0.08 3 of 9 - Sale 25
3.000 18.58 10/30/20 18.30 ... 0.28 4 of 9 - Sale 25
20.000 123.84 11/02/20 125.90 ... -2.06 5 of 9 - Sale 25
20.000 123.84 11/02/20 125.46 ... -1.62 6 of 9 - Sale 25
10.000 61.92 11/02/20 62.71 ... -0.79 7 of 9 - Sale 25
3.000 18.58 11/02/20 19.12 ... -0.54 8 of 9 - Sale 25
47.000 291.04 11/02/20 285.65 ... 5.39 9 of 9 - Sale 25
11/03/20 200.000 1,238.43 Various 1,249.57 ... -11.14 Total of 9 transactions
Security total: 11,669.33 11,602.54 187.65 W 254.44

* 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 19 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
MARATHON OIL CORPORATION / CUSIP: 565849106 / Symbol:
2 transactions for 07/29/20. Total proceeds and cost reported to the IRS.
0.063 0.35 07/28/20 0.35 ... 0.00 1 of 2 - Sale 25
98.000 546.81 07/28/20 545.60 ... 1.21 2 of 2 - Sale 25
07/29/20 98.063 547.16 Various 545.95 ... 1.21 Total of 2 transactions
07/29/20 1.000 5.53 07/28/20 5.57 0.04 W 0.00 Sale 25
4 transactions for 08/27/20. Total proceeds and cost reported to the IRS.
0.937 4.99 07/28/20 5.22 ... -0.23 1 of 4 - Sale 25
1.000 5.32 08/26/20 5.35 ... -0.03 2 of 4 - Sale 25
3.000 15.97 08/26/20 15.92 ... 0.05 3 of 4 - Sale 25
53.000 282.06 08/26/20 281.42 ... 0.64 4 of 4 - Sale 25
08/27/20 57.937 308.34 Various 307.91 ... 0.43 Total of 4 transactions
Security total: 861.03 859.43 0.04 W 1.64
NIO INC. AMERICAN DEPOSITARY S HARES, EACH REPRESENTING ONE C LASS A ORDINARY SHARE / CUSIP: 62914V106 / Symbol:
2 transactions for 08/21/20. Total proceeds and cost reported to the IRS.
100.000 1,440.95 N 08/11/20 1,376.99 ... 63.96 1 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $40.99
100.000 1,440.94 N 08/11/20 1,334.50 ... 106.44 2 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $40.99
08/21/20 200.000 2,881.89 Various 2,711.49 ... 170.40 Total of 2 transactions
09/08/20 100.000 1,760.21 09/08/20 1,735.50 ... 24.71 Sale 25
09/08/20 100.000 1,760.21 09/08/20 1,771.75 11.54 W 0.00 Sale 25
09/09/20 100.000 1,811.99 09/08/20 1,721.28 ... 90.71 Sale 25
09/17/20 50.000 953.55 09/16/20 940.43 ... 13.12 Sale 25
2 transactions for 09/19/20. Total proceeds and cost reported to the IRS.
50.000 970.96 N 09/17/20 932.39 ... 38.57 1 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $20.99
50.000 970.96 N 09/17/20 908.00 ... 62.96 2 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $20.99
09/19/20 100.000 1,941.92 Various 1,840.39 ... 101.53 Total of 2 transactions

* 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 20 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
NIO INC. AMERICAN DEPOSITARY S HARES, EACH REPRESENTING ONE C LASS A ORDINARY SHARE / CUSIP: 62914V106 / Symbol: (cont'd)
6 transactions for 10/02/20. Total proceeds and cost reported to the IRS.
1.000 19.82 N 09/21/20 17.95 ... 1.87 1 of 6 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $0.80
5.000 99.10 N 09/21/20 90.35 ... 8.75 2 of 6 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $4.10
100.000 1,981.93 N 09/21/20 1,878.99 ... 102.94 3 of 6 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $81.99
100.000 1,981.93 N 09/21/20 1,848.78 ... 133.15 4 of 6 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $81.99
100.000 1,981.93 N 09/21/20 1,841.72 ... 140.21 5 of 6 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $81.99
94.000 1,863.01 N 09/21/20 1,705.77 ... 157.24 6 of 6 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $77.07
10/02/20 400.000 7,927.72 Various 7,383.56 ... 544.16 Total of 6 transactions
2 transactions for 10/14/20. Total proceeds and cost reported to the IRS.
14.000 333.20 10/13/20 298.62 ... 34.58 1 of 2 - Sale 25
86.000 2,046.74 10/13/20 1,834.38 ... 212.36 2 of 2 - Sale 25
10/14/20 100.000 2,379.94 Various 2,133.00 ... 246.94 Total of 2 transactions
Security total: 21,417.43 20,237.40 11.54 W 1,191.57
NEOLEUKIN THERAPEUTICS, INC. C OMMON STOCK / CUSIP: 64049K104 / Symbol:
12/31/20 100.000 1,414.95 12/28/20 1,400.00 ... 14.95 Sale 25
NOKIA CORPORATION / CUSIP: 654902204 / Symbol:
11/03/20 100.000 337.19 10/29/20 325.00 ... 12.19 Sale 25
OCEAN POWER TECHNOLOGIES, INC. COMMON STOCK / CUSIP: 674870506 / Symbol:
11/24/20 100.000 344.49 11/20/20 220.00 ... 124.49 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 21 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
PFIZER INC. / CUSIP: 717081103 / Symbol:
4 transactions for 12/29/20. Total proceeds and cost reported to the IRS.
5.000 184.62 12/16/20 188.55 ... -3.93 1 of 4 - Sale 25
5.000 184.62 12/16/20 188.55 ... -3.93 2 of 4 - Sale 25
10.000 369.24 12/22/20 368.05 ... 1.19 3 of 4 - Sale 25
5.000 184.62 12/28/20 183.93 ... 0.69 4 of 4 - Sale 25
12/29/20 25.000 923.10 Various 929.08 ... -5.98 Total of 4 transactions
PLUG POWER, INC. COMMON STOCK / CUSIP: 72919P202 / Symbol:
4 transactions for 11/06/20. Total proceeds and cost reported to the IRS.
100.000 1,824.94 N 10/12/20 1,783.50 ... 41.44 1 of 4 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $124.99
100.000 1,824.94 N 10/13/20 1,704.50 ... 120.44 2 of 4 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $124.99
100.000 1,824.94 N 10/20/20 1,625.87 ... 199.07 3 of 4 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $125.00
100.000 1,772.93 N 10/30/20 1,445.00 ... 327.93 4 of 4 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $122.98
11/06/20 400.000 7,247.75 Various 6,558.87 ... 688.88 Total of 4 transactions
11/20/20 100.000 2,419.91 N 11/17/20 2,299.00 ... 120.91 Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $69.98
12/08/20 100.000 2,576.57 12/07/20 2,497.70 ... 78.87 Sale 25
Security total: 12,244.23 11,355.57 ... 888.66
PROSHARES ULTRAPRO SHORT S&P 5 00 / CUSIP: 74347B268 / Symbol:
10/06/20 25.000 213.63 10/05/20 208.75 ... 4.88 Sale 25
6 transactions for 10/29/20. Total proceeds and cost reported to the IRS.
75.000 682.47 10/05/20 626.25 ... 56.22 1 of 6 - Sale 25
25.000 227.49 10/06/20 207.45 ... 20.04 2 of 6 - Sale 25
5.000 45.50 10/07/20 41.04 ... 4.46 3 of 6 - 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 22 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
PROSHARES ULTRAPRO SHORT S&P 5 00 / CUSIP: 74347B268 / Symbol: (cont'd)
25.000 227.49 10/07/20 205.25 ... 22.24 4 of 6 - Sale 25
50.000 454.99 10/07/20 409.40 ... 45.59 5 of 6 - Sale 25
20.000 181.99 10/08/20 160.00 ... 21.99 6 of 6 - Sale 25
10/29/20 200.000 1,819.93 Various 1,649.39 ... 170.54 Total of 6 transactions
Security total: 2,033.56 1,858.14 ... 175.42
PROSHARES ULTRAPRO SHORT QQQ / CUSIP: 74347G408 / Symbol:
2 transactions for 08/14/20. Total proceeds and cost reported to the IRS.
25.000 138.75 08/03/20 142.21 3.46 W 0.00 1 of 2 - Sale 25
10.000 55.50 08/03/20 56.79 1.29 W 0.00 2 of 2 - Sale 25
08/14/20 35.000 194.25 Various 199.00 4.75 W 0.00 Total of 2 transactions
REKOR SYSTEMS, INC. COMMON STO CK / CUSIP: 759419104 / Symbol:
3 transactions for 11/03/20. Total proceeds and cost reported to the IRS.
4.000 15.66 11/02/20 15.55 ... 0.11 1 of 3 - Sale 25
8.000 31.36 11/02/20 29.88 ... 1.48 2 of 3 - Sale 25
96.000 375.77 11/02/20 361.92 ... 13.85 3 of 3 - Sale 25
11/03/20 108.000 422.79 Various 407.35 ... 15.44 Total of 3 transactions
3 transactions for 11/09/20. Total proceeds and cost reported to the IRS.
2.000 7.90 11/03/20 7.60 ... 0.30 1 of 3 - Sale 25
100.000 393.04 11/03/20 380.96 ... 12.08 2 of 3 - Sale 25
98.000 385.18 11/03/20 372.40 ... 12.78 3 of 3 - Sale 25
11/09/20 200.000 786.12 Various 760.96 ... 25.16 Total of 3 transactions
11/11/20 100.000 411.88 11/10/20 390.00 ... 21.88 Sale 25
2 transactions for 11/12/20. Total proceeds and cost reported to the IRS.
5.000 21.00 11/11/20 19.50 ... 1.50 1 of 2 - Sale 25
95.000 398.99 11/11/20 370.50 ... 28.49 2 of 2 - Sale 25
11/12/20 100.000 419.99 Various 390.00 ... 29.99 Total of 2 transactions
2 transactions for 11/19/20. Total proceeds and cost reported to the IRS.
100.000 409.98 11/16/20 400.00 ... 9.98 1 of 2 - Sale 25
100.000 409.98 11/16/20 394.00 ... 15.98 2 of 2 - Sale 25
11/19/20 200.000 819.96 Various 794.00 ... 25.96 Total of 2 transactions
Security total: 2,860.74 2,742.31 ... 118.43

* 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 23 of 28

Robinhood Securities LLC Account 686964636


Proceeds from Broker and Barter Exchange Transactions
2020 1099-B* OMB No. 1545-0715 (continued) 02/14/2021

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
SWITCHBACK ENERGY ACQUISITION CORPORATION / CUSIP: 87105M102 / Symbol:
12/22/20 100.000 4,599.88 11/20/20 2,591.00 ... 2,008.88 Sale 25
UNITED STATES STEEL CORPORATIO N / CUSIP: 912909108 / Symbol:
08/17/20 100.000 799.97 07/28/20 793.90 ... 6.07 Sale 25
2 transactions for 09/18/20. Total proceeds and cost reported to the IRS.
100.000 765.95 N 07/28/20 785.50 ... -19.55 1 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $15.98
100.000 765.95 N 07/28/20 775.74 ... -9.79 2 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $15.98
09/18/20 200.000 1,531.90 Various 1,561.24 ... -29.34 Total of 2 transactions
Security total: 2,331.87 2,355.14 ... -23.27
WESTWATER RESOURCES, INC. COMM ON STOCK / CUSIP: 961684206 / Symbol:
11/24/20 100.000 609.97 11/17/20 491.79 ... 118.18 Sale 25
WORKHORSE GROUP, INC. COMMON S TOCK / CUSIP: 98138J206 / Symbol:
11/03/20 4.000 68.27 10/30/20 65.60 ... 2.67 Sale 25
2 transactions for 11/24/20. Total proceeds and cost reported to the IRS.
4.000 98.00 N 10/30/20 61.23 ... 36.77 1 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $6.00
96.000 2,351.91 N 10/30/20 1,574.40 ... 777.51 2 of 2 - Sold via call assignment 25
Proceeds or Cost adjusted for
option premium of $143.98
11/24/20 100.000 2,449.91 Various 1,635.63 ... 814.28 Total of 2 transactions
Security total: 2,518.18 1,701.23 ... 816.95
Totals : 127,212.04 113,032.43 665.08 W 14,844.69

* 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 24 of 28

Robinhood Securities LLC Account 686964636


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
UNITED STATES STEEL CORPORATIO N 912909108 09/10/20 3.00 Qualified dividend

3.00 Total Dividends & distributions


Page 25 of 28

Robinhood Securities LLC Account 686964636


Fees and Expenses
2020 02/14/2021
This section of your tax information statement may contain the detail of fees and investment expenses that are not accounted for in amounts reportable to the IRS on the various Forms 1099. You may
wish to consult with your tax advisor, the IRS or your state tax authority regarding the proper treatment.

These amounts are provided here to facilitate an accounting of all amounts received during the year and are totaled in the Reconciliations, Fees, Expenses and Expenditures found in the Summary
Information at the beginning of the statement.

Description CUSIP and/or symbol Date Amount Transaction type Notes


08/24/20 -2.90 Margin interest paid
08/24/20 -5.00 Margin interest paid
09/22/20 -5.00 Margin interest paid
09/22/20 -5.40 Margin interest paid
10/22/20 -5.00 Margin interest paid
10/22/20 -9.24 Margin interest paid
11/23/20 -5.00 Margin interest paid
12/04/20 -5.00 Margin interest paid
-42.54 Total Margin interest paid

-42.54 Total Margin interest paid


Page 26 of 28

Robinhood Securities LLC Account 686964636


Non-Reportable Actions
2020 02/14/2021

Security Description CUSIP and/or symbol Date Quantity Amount Transaction type Notes

SQQQ 08/21/2020 CALL $6.00 SQQQ 08/21/20 C 6.000 08/18/20 1.00 0.00 Merger

SQQQ2 08/21/2020 CALL $6.00 SQQQ2 08/21/20 C 6.000 08/18/20 -1.00 0.00 Merger
Page 27 of 28

Robinhood Securities LLC 2020 End Notes for Account 686964636

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


Page 28 of 28
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

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