Page 1 of 14

Tax Information Statement Date: 02/14/2021

Robinhood Securities LLC
500 Colonial Center Parkway Account 897506358 Document ID: Y2B8 17X V7GP 2020
Suite 100 Peter Mulard
Lake Mary, FL 32746 1252 35th Ave
Customer Service: 650-940-2700
San Francisco, CA 94122

PAYER'S TIN: 38-4019216 RECIPIENT'S TIN: XXX-XX-7908

[ ] FATCA filing requirement (see instructions) Summary Information
DIVIDENDS AND DISTRIBUTIONS 2020 1099-DIV* OMB No. 1545-0110 MISCELLANEOUS INCOME 2020 1099-MISC* OMB No. 1545-0115
1a- Total ordinary dividends (includes lines 1b, 5) 0.00 2- Royalties 0.00
1b- Qualified dividends 0.00 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) 85,099.73 86,717.24 0.00 407.93 -1,209.58
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 85,099.73 86,717.24 0.00 407.93 -1,209.58
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 85,099.73 86,717.24 0.00 407.93 -1,209.58

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 14

Robinhood Securities LLC Account 897506358

Summary Information
2020 (continued) 02/14/2021

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

Robinhood Securities LLC Account 897506358

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 04/03/2020 PUT $22.00 / CUSIP: / Symbol:
02/26/20 5.000 604.97 02/25/20 605.00 ... -0.03 Option sale to close-put 25
AAL 08/21/2020 PUT $6.00 / CUSIP: / Symbol:
08/21/20 1.000 0.00 05/13/20 134.00 ... -134.00 Option expiration- long put
AAPL 03/20/2020 PUT $305.00 / CUSIP: / Symbol:
2 transactions for 02/24/20. Total proceeds and cost reported to the IRS.
1.000 1,139.96 02/21/20 504.00 ... 635.96 1 of 2 - Option sale to close-put 25
1.000 1,169.96 02/21/20 504.00 ... 665.96 2 of 2 - Option sale to close-put 25
02/24/20 2.000 2,309.92 Various 1,008.00 ... 1,301.92 Total of 2 transactions
AAPL 04/17/2020 CALL $340.00 / CUSIP: / Symbol:
02/18/20 1.000 424.98 02/13/20 720.00 ... -295.02 Option sale to close-call 25

* This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if
this income is taxable and the IRS determines that it has not been reported. Remember, taxpayers are ultimately responsible for the accuracy of their tax return(s).
 Page 4 of 14

Robinhood Securities LLC Account 897506358

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
AMD 03/13/2020 CALL $60.00 / CUSIP: / Symbol:
02/21/20 2.000 213.98 02/18/20 374.00 ... -160.02 Option sale to close-call 25
AMD 03/13/2020 CALL $65.00 / CUSIP: / Symbol:
02/21/20 6.000 233.98 02/19/20 732.00 ... -498.02 Option sale to close-call 25
AMD 06/19/2020 CALL $60.00 / CUSIP: / Symbol:
06/19/20 1.000 0.00 05/20/20 184.00 ... -184.00 Option expiration- long call
BA 09/18/2020 CALL $300.00 / CUSIP: / Symbol:
06/09/20 1.000 849.97 06/05/20 660.00 ... 189.97 Option sale to close-call 25
BA 09/18/2020 PUT $95.00 / CUSIP: / Symbol:
09/18/20 1.000 0.00 05/14/20 1,075.00 ... -1,075.00 Option expiration- long put
CRM 04/03/2020 CALL $200.00 / CUSIP: / Symbol:
02/21/20 2.000 769.97 02/21/20 740.00 ... 29.97 Option sale to close-call 25
DIS 04/17/2020 PUT $110.00 / CUSIP: / Symbol:
03/05/20 3.000 1,274.96 03/04/20 975.00 ... 299.96 Option sale to close-put 25
DIS 04/24/2020 PUT $90.00 / CUSIP: / Symbol:
03/17/20 1.000 899.97 03/11/20 460.00 ... 439.97 Option sale to close-put 25
DIS 05/15/2020 PUT $95.00 / CUSIP: / Symbol:
03/13/20 1.000 1,279.96 03/11/20 635.00 ... 644.96 Option sale to close-put 25
EWI 04/17/2020 PUT $19.00 / CUSIP: / Symbol:
2 transactions for 03/13/20. Total proceeds and cost reported to the IRS.
2.000 309.98 03/12/20 240.00 ... 69.98 1 of 2 - Option sale to close-put 25
3.000 464.97 03/12/20 360.00 ... 104.97 2 of 2 - Option sale to close-put 25
03/13/20 5.000 774.95 Various 600.00 ... 174.95 Total of 2 transactions
F 02/28/2020 PUT $8.00 / CUSIP: / Symbol:
2 transactions for 02/18/20. Total proceeds and cost reported to the IRS.
4.000 35.98 02/14/20 44.00 ... -8.02 1 of 2 - Option sale to close-put 25
1.000 9.00 02/14/20 11.02 ... -2.02 2 of 2 - Option sale to close-put 25
02/18/20 5.000 44.98 Various 55.02 ... -10.04 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 5 of 14

Robinhood Securities LLC Account 897506358

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
F 02/28/2020 PUT $8.00 / CUSIP: / Symbol: (cont'd)
02/18/20 1.000 8.98 02/14/20 9.00 0.02 W 0.00 Option sale to close-put 25
Security total: 53.96 64.02 0.02 W -10.04
F 04/09/2020 PUT $4.00 / CUSIP: / Symbol:
7 transactions for 03/18/20. Total proceeds and cost reported to the IRS.
1.000 82.99 03/18/20 54.00 ... 28.99 1 of 7 - Option sale to close-put 25
1.000 83.00 03/18/20 54.00 ... 29.00 2 of 7 - Option sale to close-put 25
1.000 86.00 03/18/20 54.00 ... 32.00 3 of 7 - Option sale to close-put 25
2.000 171.98 03/18/20 108.00 ... 63.98 4 of 7 - Option sale to close-put 25
3.000 257.99 03/18/20 162.00 ... 95.99 5 of 7 - Option sale to close-put 25
6.000 515.97 03/18/20 324.00 ... 191.97 6 of 7 - Option sale to close-put 25
34.000 2,821.87 03/18/20 1,836.00 ... 985.87 7 of 7 - Option sale to close-put 25
03/18/20 48.000 4,019.80 Various 2,592.00 ... 1,427.80 Total of 7 transactions
LL 02/28/2020 CALL $16.00 / CUSIP: / Symbol:
2 transactions for 02/21/20. Total proceeds and cost reported to the IRS.
2.000 319.98 02/20/20 300.00 ... 19.98 1 of 2 - Option sale to close-call 25
7.000 1,119.96 02/20/20 1,050.00 ... 69.96 2 of 2 - Option sale to close-call 25
02/21/20 9.000 1,439.94 Various 1,350.00 ... 89.94 Total of 2 transactions
LL 02/28/2020 CALL $17.00 / CUSIP: / Symbol:
02/20/20 13.000 974.94 02/20/20 1,690.00 ... -715.06 Option sale to close-call 25
LYFT 04/17/2020 CALL $52.50 / CUSIP: / Symbol:
02/13/20 2.000 429.98 02/13/20 422.00 ... 7.98 Option sale to close-call 25
LYV 04/17/2020 PUT $32.50 / CUSIP: / Symbol:
03/13/20 1.000 619.97 03/12/20 530.00 ... 89.97 Option sale to close-put 25
MA 03/20/2020 CALL $350.00 / CUSIP: / Symbol:
02/18/20 1.000 424.98 02/14/20 365.00 ... 59.98 Option sale to close-call 25
MDB 02/07/2020 CALL $175.00 / CUSIP: / Symbol:
02/07/20 1.000 0.00 02/04/20 145.00 ... -145.00 Option expiration- long call

* 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 14

Robinhood Securities LLC Account 897506358

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
MSFT 04/17/2020 CALL $190.00 / CUSIP: / Symbol:
02/19/20 1.000 569.97 02/06/20 425.00 ... 144.97 Option sale to close-call 25
MSFT 04/17/2020 CALL $200.00 / CUSIP: / Symbol:
02/19/20 1.000 246.98 02/10/20 320.00 ... -73.02 Option sale to close-call 25
MSFT 05/15/2020 CALL $200.00 / CUSIP: / Symbol:
02/18/20 1.000 439.98 02/10/20 380.00 ... 59.98 Option sale to close-call 25
MSFT 05/15/2020 CALL $210.00 / CUSIP: / Symbol:
02/14/20 2.000 419.98 02/10/20 476.00 ... -56.02 Option sale to close-call 25
NUGT 04/17/2020 CALL $10.00 / CUSIP: / Symbol:
03/27/20 14.000 1,651.93 03/24/20 2,436.00 ... -784.07 Option sale to close-call 25
NVDA 01/15/2021 CALL $430.00 / CUSIP: / Symbol:
2 transactions for 02/18/20. Total proceeds and cost reported to the IRS.
1.000 754.98 02/13/20 510.00 ... 244.98 1 of 2 - Option sale to close-call 25
3.000 2,264.94 02/13/20 1,530.00 ... 734.94 2 of 2 - Option sale to close-call 25
02/18/20 4.000 3,019.92 Various 2,040.00 ... 979.92 Total of 2 transactions
NVDA 03/06/2020 CALL $315.00 / CUSIP: / Symbol:
02/21/20 1.000 344.98 02/20/20 750.00 ... -405.02 Option sale to close-call 25
NVDA 03/13/2020 CALL $295.00 / CUSIP: / Symbol:
02/19/20 2.000 4,499.89 02/18/20 1,440.00 ... 3,059.89 Option sale to close-call 25
NVDA 03/20/2020 CALL $335.00 / CUSIP: / Symbol:
2 transactions for 02/21/20. Total proceeds and cost reported to the IRS.
2.000 461.98 02/19/20 1,220.00 ... -758.02 1 of 2 - Option sale to close-call 25
1.000 230.99 02/19/20 610.00 ... -379.01 2 of 2 - Option sale to close-call 25
02/21/20 3.000 692.97 Various 1,830.00 ... -1,137.03 Total of 2 transactions
NVDA 03/27/2020 CALL $290.00 / CUSIP: / Symbol:
02/13/20 1.000 729.97 02/11/20 635.00 ... 94.97 Option sale to close-call 25
NVDA 06/19/2020 CALL $385.00 / CUSIP: / Symbol:
05/22/20 1.000 1,099.96 05/18/20 1,030.00 ... 69.96 Option sale to close-call 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 7 of 14

Robinhood Securities LLC Account 897506358

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
RCL 03/06/2020 PUT $86.00 / CUSIP: / Symbol:
02/27/20 2.000 2,099.94 02/26/20 940.00 ... 1,159.94 Option sale to close-put 25
RCL 03/06/2020 PUT $88.00 / CUSIP: / Symbol:
02/27/20 1.000 1,299.96 02/26/20 480.00 ... 819.96 Option sale to close-put 25
RCL 03/20/2020 PUT $60.00 / CUSIP: / Symbol:
03/06/20 3.000 1,289.96 03/05/20 1,215.00 ... 74.96 Option sale to close-put 25
RCL 04/03/2020 PUT $75.00 / CUSIP: / Symbol:
02/26/20 10.000 2,099.93 02/25/20 2,500.00 ... -400.07 Option sale to close-put 25
RCL 04/03/2020 PUT $80.00 / CUSIP: / Symbol:
02/26/20 1.000 289.98 02/25/20 177.00 ... 112.98 Option sale to close-put 25
SEDG 03/20/2020 CALL $135.00 / CUSIP: / Symbol:
02/27/20 1.000 429.98 02/26/20 820.00 ... -390.02 Option sale to close-call 25
SPCE 03/06/2020 CALL $40.00 / CUSIP: / Symbol:
2 transactions for 02/20/20. Total proceeds and cost reported to the IRS.
1.000 709.97 02/18/20 290.00 ... 419.97 1 of 2 - Option sale to close-call 25
1.000 709.97 02/18/20 290.00 ... 419.97 2 of 2 - Option sale to close-call 25
02/20/20 2.000 1,419.94 Various 580.00 ... 839.94 Total of 2 transactions
SPCE 03/06/2020 CALL $42.00 / CUSIP: / Symbol:
2 transactions for 02/20/20. Total proceeds and cost reported to the IRS.
1.000 639.97 02/18/20 440.00 ... 199.97 1 of 2 - Option sale to close-call 25
1.000 639.97 02/18/20 440.00 ... 199.97 2 of 2 - Option sale to close-call 25
02/20/20 2.000 1,279.94 Various 880.00 ... 399.94 Total of 2 transactions
SPCE 03/06/2020 CALL $43.00 / CUSIP: / Symbol:
5 transactions for 02/20/20. Total proceeds and cost reported to the IRS.
1.000 619.98 02/18/20 540.00 ... 79.98 1 of 5 - Option sale to close-call 25
2.000 1,239.96 02/18/20 1,080.00 ... 159.96 2 of 5 - Option sale to close-call 25
1.000 719.97 02/18/20 540.00 ... 179.97 3 of 5 - Option sale to close-call 25
1.000 749.97 02/18/20 540.00 ... 209.97 4 of 5 - Option sale to close-call 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 8 of 14

Robinhood Securities LLC Account 897506358

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
SPCE 03/06/2020 CALL $43.00 / CUSIP: / Symbol: (cont'd)
1.000 809.97 02/18/20 540.00 ... 269.97 5 of 5 - Option sale to close-call 25
02/20/20 6.000 4,139.85 Various 3,240.00 ... 899.85 Total of 5 transactions
SPY 03/09/2020 PUT $310.00 / CUSIP: / Symbol:
2 transactions for 02/27/20. Total proceeds and cost reported to the IRS.
1.000 896.97 02/26/20 494.00 ... 402.97 1 of 2 - Option sale to close-put 25
1.000 897.97 02/26/20 494.00 ... 403.97 2 of 2 - Option sale to close-put 25
02/27/20 2.000 1,794.94 Various 988.00 ... 806.94 Total of 2 transactions
SPY 03/20/2020 CALL $310.00 / CUSIP: / Symbol:
3 transactions for 03/04/20. Total proceeds and cost reported to the IRS.
1.000 615.98 03/04/20 464.00 ... 151.98 1 of 3 - Option sale to close-call 25
1.000 615.98 03/04/20 464.00 ... 151.98 2 of 3 - Option sale to close-call 25
1.000 615.98 03/04/20 464.00 ... 151.98 3 of 3 - Option sale to close-call 25
03/04/20 3.000 1,847.94 Various 1,392.00 ... 455.94 Total of 3 transactions
03/11/20 4.000 123.98 03/05/20 2,400.00 ... -2,276.02 Option sale to close-call 25
Security total: 1,971.92 3,792.00 ... -1,820.08
SPY 03/20/2020 PUT $260.00 / CUSIP: / Symbol:
03/05/20 2.000 383.98 02/28/20 1,000.00 ... -616.02 Option sale to close-put 25
SPY 03/30/2020 PUT $290.00 / CUSIP: / Symbol:
03/02/20 1.000 859.97 02/27/20 639.00 ... 220.97 Option sale to close-put 25
2 transactions for 03/05/20. Total proceeds and cost reported to the IRS.
2.000 1,229.96 02/27/20 1,278.00 ... -48.04 1 of 2 - Option sale to close-put 25
1.000 769.97 02/27/20 639.00 ... 130.97 2 of 2 - Option sale to close-put 25
03/05/20 3.000 1,999.93 Various 1,917.00 ... 82.93 Total of 2 transactions
Security total: 2,859.90 2,556.00 ... 303.90
SPY 07/17/2020 PUT $270.00 / CUSIP: / Symbol:
2 transactions for 05/14/20. Total proceeds and cost reported to the IRS.
1.000 1,143.96 05/13/20 1,105.00 ... 38.96 1 of 2 - Option sale to close-put 25
1.000 1,143.96 05/13/20 1,105.00 ... 38.96 2 of 2 - Option sale to close-put 25
05/14/20 2.000 2,287.92 Various 2,210.00 ... 77.92 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 9 of 14

Robinhood Securities LLC Account 897506358

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
TDOC 03/20/2020 CALL $120.00 / CUSIP: / Symbol:
02/26/20 1.000 699.97 02/26/20 890.00 ... -190.03 Option sale to close-call 25
TQQQ 06/19/2020 CALL $80.00 / CUSIP: / Symbol:
05/13/20 4.000 1,459.95 05/11/20 2,140.00 ... -680.05 Option sale to close-call 25
TQQQ 12/18/2020 CALL $95.00 / CUSIP: / Symbol:
05/13/20 1.000 776.97 05/12/20 835.00 ... -58.03 Option sale to close-call 25
TSLA 06/19/2020 CALL $1,200.00 / CUSIP: / Symbol:
02/25/20 1.000 4,204.89 02/24/20 5,790.00 ... -1,585.11 Option sale to close-call 25
UAL 03/20/2020 PUT $50.00 / CUSIP: / Symbol:
2 transactions for 02/27/20. Total proceeds and cost reported to the IRS.
3.000 335.98 02/27/20 510.00 ... -174.02 1 of 2 - Option sale to close-put 25
1.000 114.98 02/27/20 170.00 ... -55.02 2 of 2 - Option sale to close-put 25
02/27/20 4.000 450.96 Various 680.00 ... -229.04 Total of 2 transactions
UBER 03/13/2020 CALL $33.00 / CUSIP: / Symbol:
03/10/20 10.000 139.97 03/05/20 1,370.00 ... -1,230.03 Option sale to close-call 25
UBER 04/03/2020 PUT $30.00 / CUSIP: / Symbol:
2 transactions for 02/26/20. Total proceeds and cost reported to the IRS.
1.000 52.00 02/25/20 48.00 ... 4.00 1 of 2 - Option sale to close-put 25
20.000 1,039.93 02/25/20 980.00 ... 59.93 2 of 2 - Option sale to close-put 25
02/26/20 21.000 1,091.93 Various 1,028.00 ... 63.93 Total of 2 transactions
WDAY 03/20/2020 CALL $182.50 / CUSIP: / Symbol:
2 transactions for 02/28/20. Total proceeds and cost reported to the IRS.
1.000 319.98 02/27/20 690.00 ... -370.02 1 of 2 - Option sale to close-call 25
1.000 319.98 02/27/20 690.00 ... -370.02 2 of 2 - Option sale to close-call 25
02/28/20 2.000 639.96 Various 1,380.00 ... -740.04 Total of 2 transactions
WDAY 04/03/2020 CALL $180.00 / CUSIP: / Symbol:
02/28/20 2.000 1,419.95 02/27/20 1,720.00 ... -300.05 Option sale to close-call 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 10 of 14

Robinhood Securities LLC Account 897506358

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
ADVANCED MICRO DEVICES, INC. C OMMON STOCK / CUSIP: 007903107 / Symbol:
12/09/20 3.000 282.83 09/03/20 246.90 ... 35.93 Sale 25
CREDIT SUISSE AG NASSAU BRH VE LOCITYSHARES DAILY 2X VIX SHOR T TERM ETN / CUSIP: 22542D258 / Symbol:
03/19/20 2.000 1,126.53 03/17/20 1,081.54 ... 44.99 Sale 25
03/20/20 3.000 1,949.95 03/19/20 2,250.00 300.05 W 0.00 Sale 25
2 transactions for 03/23/20. Total proceeds and cost reported to the IRS.
7.000 2,600.16 03/23/20 3,387.97 ... -787.81 1 of 2 - Sale 25
3.000 1,114.35 03/23/20 1,752.04 ... -637.69 2 of 2 - Sale 25
03/23/20 10.000 3,714.51 Various 5,140.01 ... -1,425.50 Total of 2 transactions
Security total: 6,790.99 8,471.55 300.05 W -1,380.51
DIREXION DAILY S&P 500 BULL 3 X SHARES / CUSIP: 25459W862 / Symbol:
03/11/20 23.000 893.10 03/10/20 1,000.96 107.86 W 0.00 Sale 25
2 transactions for 03/20/20. Total proceeds and cost reported to the IRS.
235.000 4,580.04 03/20/20 5,186.42 ... -606.38 1 of 2 - Sale 25
23.000 448.26 03/20/20 615.47 ... -167.21 2 of 2 - Sale 25
03/20/20 258.000 5,028.30 Various 5,801.89 ... -773.59 Total of 2 transactions
Security total: 5,921.40 6,802.85 107.86 W -773.59
DIREXION DAILY S&P 500 BEAR 3X SHARES / CUSIP: 25460E885 / Symbol:
2 transactions for 03/12/20. Total proceeds and cost reported to the IRS.
50.000 1,157.97 03/09/20 958.75 ... 199.22 1 of 2 - Sale 25
50.000 1,194.97 03/09/20 958.75 ... 236.22 2 of 2 - Sale 25
03/12/20 100.000 2,352.94 Various 1,917.50 ... 435.44 Total of 2 transactions
2 transactions for 03/25/20. Total proceeds and cost reported to the IRS.
55.000 1,016.93 03/24/20 1,249.00 ... -232.07 1 of 2 - Sale 25
20.000 369.79 03/24/20 470.00 ... -100.21 2 of 2 - Sale 25
03/25/20 75.000 1,386.72 Various 1,719.00 ... -332.28 Total of 2 transactions
Security total: 3,739.66 3,636.50 ... 103.16
MICROSOFT CORPORATION COMMON S TOCK / CUSIP: 594918104 / Symbol:
02/10/20 1.000 187.82 02/07/20 185.14 ... 2.68 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 11 of 14

Robinhood Securities LLC Account 897506358

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
MONGODB, INC. CLASS A COMMON S TOCK / CUSIP: 60937P106 / Symbol:
02/11/20 2.000 334.27 02/04/20 338.56 ... -4.29 Sale 25
NVIDIA CORPORATION COMMON STOC K / CUSIP: 67066G104 / Symbol:
02/13/20 7.000 1,901.11 02/13/20 1,912.62 ... -11.51 Sale 25
SIRIUS XM HOLDINGS INC. COMMON STOCK / CUSIP: 82968B103 / Symbol:
02/07/20 1.000 7.16 02/04/20 7.13 ... 0.03 Sale 25
T-MOBILE US, INC. COMMON STOCK / CUSIP: 872590104 / Symbol:
02/07/20 1.000 84.09 02/06/20 82.97 ... 1.12 Sale 25
Totals : 85,099.73 86,717.24 407.93 W -1,209.58

* 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 14

Robinhood Securities LLC 2020 End Notes for Account 897506358

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

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

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