Machine Operator
Resume:
** ****** **, ***** ****, CA *****
*******@*********.***
Pet Diaz Account #:900344144
**** ****** ******, *******, ** 95358
Transaction
Confirmation
Thank you for letting Robinhood Securities, LLC ("RHS") serve you through Robinhood Financial, LLC ("RHF").
1. Amounts due for securities transactions must be received on or before the settlement date shown.
2. All orders are received and executed subject to the applicable rules, regulations and customs of the SEC, FINRA, and the exchange or market where the order is entered, the provisions of the Securities Exchange Act of 1934.
3. Failure of customer to notify RHS in writing within five days of the receipt of this document of any concerns constitutes an acceptance of the transaction.
4. For purchase transactions in a margin account, it is agreed that sufficient cash or acceptable collateral will be deposited on or before the settlement date, or at such earlier time that payment may be demanded to satisfy applicable margin requirements.
5. Securities purchased and securities pledged as margin are or may be hypothecated for the sum due thereon or for a greater sum, under circumstances which permit commingling thereof with securities of other customers, all without further notice to the customer. 6. If shares loaned for a short sale are no longer available, RHS reserves the right to decide, by random selection, which positions will be subject to a buy-in.
7. Upon written request and where available, further details of items herein will be provided including: the execution date and time, the counterparty when acting as agent, the detailed breakdown of fees and the remuneration details, if any, to RHS, or RHF for directing orders to select market participants and details of provisions that may cause a call or prepayment. 8. All transactions on this confirmation are presumed to be unsolicited unless noted otherwise.
9. Any Good Till Canceled (GTC) orders may expire or be terminated by RHS or RHF in their ordinary course of business after the order has remained open for a reasonable period of time. Please contact RHF for more specific details. Until such expiration or cancellation, or cancellation by the customer, all open orders are considered good. When entering a substitute order, the responsibility for cancelling the original order rests upon the customer. Therefore, if a customer fails to cancel an existing order, transactions resulting from the execution of both the original and new order(s) will be entered into the customer's account. 10. The responsibility to cancel an open order resides with the customer. Any transactions which result from the execution of any order which the customer has not instructed RHF/RHS to cancel will be entered into the customer's account.
11. The default Cost Basis Election or tax relief method used by RHS for tax preparing is First-In-First-Out (FIFO) for Equities. Please contact RHF if you wish to change the default tax-relief method for your account or specify different tax lots for liquidation.
12. Backup Withholding - if you have not provided us with your correct social security number/tax id number, under federal law, you may be subject to a
$50 penalty as well as backup withholding on certain payments. 13. RHS receives remuneration for directing orders to particular broker- dealers or market centers for execution. Such remuneration is considered compensation to the firm. The source and nature in connection with your transactions are available upon written request. RHF, when clearing through RHS, may share in such payments or may directly receive payment for order flow for certain transactions. Details are available upon written request. 14. If you request the sale of a non-marketable or worthless security, RHF will be the buyer to the transaction in the event a market cannot be located. In such a sale, you are deeming the security worthless and RHF thereby makes no representation regarding the present or future value of these securities. The transaction is irreversible and you will have no further claim to the securities and no claim against RHF for any losses related to the sale. Accounts carried by Robinhood Securities, LLC Member FINRA & SIPC - *******@*********.*** Tax ID 38-4019216
MKT = Market in which transaction
was Executed/Cleared
NYSE - New York Stock Exchange
NYSEA - NYSE Alternext
USE - Other US Exchange
MF - Mutual Funds
OP - Options
OTC - Over-the-Counter/NASDAQ
UND - Underwriting
FOREX - Foreign Exchange
OTH - Other
Buy/Sell Codes
B = Buy or Buy To Open
S = Sell or Sell To Close
BCXL = Cancel Buy
SCXL = Cancel Sell
BTC = Buy To Close
STO = Sell To Open
BTCX = Buy To Close Cancel
STOX = Sell to Open Cancel
Account Types
C = Cash
M = Margin
N = Non-negotiable
S = Short
U/S: Solicitation
U = Unsolicited
S = Solicited
CAP = Capacity in which the firm acted:
1 - 2,4 - 5,8 - As AGENT
3 - As PRINCIPAL, your broker has bought from you or sold to you and may have received a profit or loss on the transaction
6 - As AGENT for both buyer and seller
Page 2 of 3
85 Willow Rd, Menlo Park, CA 94025
*******@*********.***
07/01/2020
Pet Diaz Account #:900344144
1609 Grimes Avenue, Modesto, CA 95358
Equities/Options B/S Trade Date Settle Date Acct Type Price QTY Principal Comm Tran Fee Net Amount MKT CAP U/S GasLog
GLOG CUSIP: G37585109 B 07/01/2020 07/06/2020 M $2.8200 0.497054 $1.40 $0.00 $0.00 $1.40 OTC 3 U Cinemark
CNK CUSIP: 17243V102 B 07/01/2020 07/06/2020 M $11.7820 4.243633 $50.00 $0.00 $0.00 $50.00 OTC 3 U AMC Entertainment
AMC CUSIP: 00165C104 B 07/01/2020 07/06/2020 M $4.2900 0.009268 $0.04 $0.00 $0.00 $0.04 OTC 3 U GasLog
GLOG CUSIP: G37585109 B 07/01/2020 07/06/2020 M $2.8164 17 $47.88 $0.00 $0.00 $47.88 OTC 3 U AMC Entertainment
AMC CUSIP: 00165C104 B 07/01/2020 07/06/2020 M $4.3000 11 $47.30 $0.00 $0.00 $47.30 OTC 3 U AMC Entertainment
AMC CUSIP: 00165C104 B 07/01/2020 07/06/2020 M $4.3112 0.055102 $0.24 $0.00 $0.00 $0.24 OTC 3 U AMC Entertainment
AMC CUSIP: 00165C104 B 07/01/2020 07/06/2020 M $4.3499 0.556157 $2.42 $0.00 $0.00 $2.42 OTC 3 U GasLog
GLOG CUSIP: G37585109 B 07/01/2020 07/06/2020 M $2.8141 17.730496 $49.90 $0.00 $0.00 $49.90 OTC 3 U GasLog
GLOG CUSIP: G37585109 B 07/01/2020 07/06/2020 M $2.8141 0.035535 $0.10 $0.00 $0.00 $0.10 OTC 3 U GasLog
GLOG CUSIP: G37585109 B 07/01/2020 07/06/2020 M $2.8141 0.233442 $0.66 $0.00 $0.00 $0.66 OTC 3 U GasLog
GLOG CUSIP: G37585109 B 07/01/2020 07/06/2020 M $2.8141 0.021321 $0.06 $0.00 $0.00 $0.06 OTC 3 U Sunesis
SNSS CUSIP: 867328700 B 07/01/2020 07/06/2020 M $0.2908 97 $28.21 $0.00 $0.00 $28.21 OTC 1 U Helix Energy
HLX CUSIP: 42330P107 B 07/01/2020 07/06/2020 M $3.5650 0.190743 $0.68 $0.00 $0.00 $0.68 OTC 3 U Helix Energy
HLX CUSIP: 42330P107 B 07/01/2020 07/06/2020 M $3.5684 19.980383 $71.30 $0.00 $0.00 $71.30 OTC 3 U Page 3 of 3
85 Willow Rd, Menlo Park, CA 94025
*******@*********.***
07/01/2020
Pet Diaz Account #:900344144
1609 Grimes Avenue, Modesto, CA 95358
Equities/Options B/S Trade Date Settle Date Acct Type Price QTY Principal Comm Tran Fee Net Amount MKT CAP U/S Navidea Biopharmaceuticals
NAVB CUSIP: 63937X202 B 07/01/2020 07/06/2020 M $3.9950 0.515644 $2.06 $0.00 $0.00 $2.06 OTC 3 U Navidea Biopharmaceuticals
NAVB CUSIP: 63937X202 B 07/01/2020 07/06/2020 M $3.9950 12 $47.94 $0.00 $0.00 $47.94 OTC 3 U Workhorse
WKHS CUSIP: 98138J206 B 07/01/2020 07/06/2020 M $18.2250 2.743484 $50.00 $0.00 $0.00 $50.00 OTC 3 U Berkshire Hills
BHLB CUSIP: 084680107 S 07/01/2020 07/06/2020 M $10.2650 0.188224 $1.93 $0.00 $0.00 $1.93 OTC 3 U Berkshire Hills
BHLB CUSIP: 084680107 S 07/01/2020 07/06/2020 M $10.2650 18 $184.77 $0.00 $0.00 $184.77 OTC 3 U Workhorse
WKHS CUSIP: 98138J206 B 07/01/2020 07/06/2020 M $19.5800 0.427987 $8.38 $0.00 $0.00 $8.38 OTC 3 U Workhorse
WKHS CUSIP: 98138J206 B 07/01/2020 07/06/2020 M $19.5999 3.995918 $78.32 $0.00 $0.00 $78.32 OTC 3 U Workhorse
WKHS CUSIP: 98138J206 B 07/01/2020 07/06/2020 M $19.6950 0.07743 $1.52 $0.00 $0.00 $1.52 OTC 3 U Workhorse
WKHS CUSIP: 98138J206 B 07/01/2020 07/06/2020 M $19.7000 4.998984 $98.48 $0.00 $0.00 $98.48 OTC 3 U Total Quantity Bought: 193.312581 Total Dollars Bought: $586.89 Total Quantity Sold: 18.188224 Total Dollars Sold: $186.70
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