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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
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
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
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.
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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
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.
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
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.
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