1.3 TradeUP Securities Inc 2024 2 2024-07-25T22:44:07Z 2024 04 100.00 0.15 18.73 71.70 9.42 CITADEL SECURITIES LLC 67.15 81.87 66.69 66.27 74.52 53.75 20.0000 7908.26 17.2114 11350.61 17.5386 2918.37 18.4714 TradeUP Securities handles customer orders for equities and options on an agency only basis, and routes customer orders out to certain execution venues (specifically, other broker-dealers) to complete the execution of customer orders. Though TradeUp does not execute customer orders directly, TradeUp reviews the execution quality that these execution venues provide, to ensure that customer orders are filled as quickly as possible and are receiving the most favorable execution pricing at the time of execution. The statistics above list the execution venues where customer orders are routed to, as well as the types of orders they receive from TradeUp and the percentage makeup of those orders. Customers should be aware that as part of a pre-existing arrangement, in exchange for receiving customer orders from TradeUp, these listed execution venues will then provide funds to TradeUp. Such an arrangement is commonly referred to as “Payment-For-Order-Flow” (“PFOF”). Though TradeUp receives PFOF from these venues, please be aware that TradeUp has no preference between one execution venue over. Additionally, our arrangement with these execution venues DOES NOT include any increase or decrease in PFOF based on the amount of orders sent to them for execution (examples of this would be payments contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds). As such, TradeUp is not influenced or incentivized by any of fees paid for by any execution venue. It is still TradeUp’s responsibility to ensure that any of the below listed venues that TradeUp routes customer orders to provide the best pricing (with an emphasis on customer orders obtaining price improvements whenever possible) and best execution quality possible. As part of this report, the payments that TradeUp receives from each execution venue in exchange for PFOF are as follows: CITADEL SECURITIES LLC (Citadel) If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 15.40 0.00 15.80 16.41 7.10 0.00 0.0000 8.98 12.0300 0.00 0.0000 458.06 37.2497 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Jane Street Capital 13.68 18.13 14.06 13.23 16.22 26.04 20.0000 2121.11 20.0000 2946.18 20.0000 698.90 20.0000 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Jane Street Capital $0.0020 per share. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. 100.00 0.27 21.16 72.89 5.67 CITADEL SECURITIES LLC 65.33 40.28 66.27 64.55 73.05 1171.50 12.8899 87547.35 11.7044 91512.71 12.5255 7322.85 17.0104 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 16.86 48.87 14.74 17.98 8.73 3385.84 8.7960 103.90 6.4292 0.00 9627.00 23.0459 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Jane Street Capital 13.53 9.83 14.22 13.12 16.32 255.54 10.2630 24869.68 13.3633 20483.13 14.1235 2044.12 19.2143 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Jane Street Capital $0.0020 per share. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. 100.00 12.89 11.90 74.66 0.55 CITADEL SECURITIES LLC 69.42 68.98 70.12 69.42 65.73 34979.50 38.7464 216480.50 35.6456 295531.50 33.6633 39976.00 47.4746 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Global Execution Brokers, LP 20.03 20.58 19.77 19.97 21.10 10815.89 44.0100 58031.70 44.2764 128560.75 42.4086 10237.56 46.8024 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. Dash Financial Technologies 10.55 10.43 10.11 10.62 13.18 19181.72 45.2442 115928.98 45.4022 142066.29 42.1132 33186.62 47.6628 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. 2024 05 100.00 0.16 16.42 76.09 7.33 CITADEL SECURITIES LLC 64.14 80.25 62.34 63.63 73.00 34.02 20.0000 6482.22 18.0368 9708.66 18.3355 1914.16 19.0347 TradeUP Securities handles customer orders for equities and options on an agency only basis, and routes customer orders out to certain execution venues (specifically, other broker-dealers) to complete the execution of customer orders. Though TradeUp does not execute customer orders directly, TradeUp reviews the execution quality that these execution venues provide, to ensure that customer orders are filled as quickly as possible and are receiving the most favorable execution pricing at the time of execution. The statistics above list the execution venues where customer orders are routed to, as well as the types of orders they receive from TradeUp and the percentage makeup of those orders. Customers should be aware that as part of a pre-existing arrangement, in exchange for receiving customer orders from TradeUp, these listed execution venues will then provide funds to TradeUp. Such an arrangement is commonly referred to as “Payment-For-Order-Flow” (“PFOF”). Though TradeUp receives PFOF from these venues, please be aware that TradeUp has no preference between one execution venue over. Additionally, our arrangement with these execution venues DOES NOT include any increase or decrease in PFOF based on the amount of orders sent to them for execution (examples of this would be payments contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds). As such, TradeUp is not influenced or incentivized by any of fees paid for by any execution venue. It is still TradeUp’s responsibility to ensure that any of the below listed venues that TradeUp routes customer orders to provide the best pricing (with an emphasis on customer orders obtaining price improvements whenever possible) and best execution quality possible. As part of this report, the payments that TradeUp receives from each execution venue in exchange for PFOF are as follows: CITADEL SECURITIES LLC (Citadel) If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 18.96 0.00 21.43 19.47 8.59 0.00 0.0000 40.10 46.3014 0.00 0.0000 600.36 45.2017 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Jane Street Capital 13.58 19.75 13.66 13.22 16.96 12.17 20.0000 1845.09 20.0000 2266.67 20.0000 450.75 20.0000 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Jane Street Capital $0.0020 per share. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. 100.00 0.15 21.79 71.48 6.58 CITADEL SECURITIES LLC 62.91 42.68 61.57 62.65 70.71 982.02 20.0000 163157.59 9.6013 154621.06 9.1917 17724.10 13.7413 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 20.44 34.85 22.21 20.72 11.14 5039.76 8.9804 472.09 8.0776 0.00 0.0000 24743.13 19.6080 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Jane Street Capital 13.28 10.87 13.05 13.06 16.58 143.92 19.9986 49249.89 11.5510 35554.37 10.8680 4169.03 15.9330 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Jane Street Capital $0.0020 per share. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. 100.00 13.13 11.12 75.38 0.37 CITADEL SECURITIES LLC 71.04 68.29 72.19 71.38 64.66 34463.00 47.1508 329701.00 49.0385 446611.50 48.3170 34353.00 46.9900 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 16.74 19.83 15.73 16.34 19.34 20953.68 45.0384 175988.92 47.9895 226646.61 46.7795 23060.88 45.0408 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Global Execution Brokers, LP 11.92 11.82 11.75 11.94 15.77 5477.97 44.8720 36994.42 47.8199 81951.02 46.8348 5428.34 44.0898 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. 2024 06 100.00 0.13 17.24 76.30 6.32 CITADEL SECURITIES LLC 64.88 78.59 66.71 63.86 71.87 17.35 20.0000 13795.64 18.3598 19807.95 18.7432 4888.07 19.4174 TradeUP Securities handles customer orders for equities and options on an agency only basis, and routes customer orders out to certain execution venues (specifically, other broker-dealers) to complete the execution of customer orders. Though TradeUp does not execute customer orders directly, TradeUp reviews the execution quality that these execution venues provide, to ensure that customer orders are filled as quickly as possible and are receiving the most favorable execution pricing at the time of execution. The statistics above list the execution venues where customer orders are routed to, as well as the types of orders they receive from TradeUp and the percentage makeup of those orders. Customers should be aware that as part of a pre-existing arrangement, in exchange for receiving customer orders from TradeUp, these listed execution venues will then provide funds to TradeUp. Such an arrangement is commonly referred to as “Payment-For-Order-Flow” (“PFOF”). Though TradeUp receives PFOF from these venues, please be aware that TradeUp has no preference between one execution venue over. Additionally, our arrangement with these execution venues DOES NOT include any increase or decrease in PFOF based on the amount of orders sent to them for execution (examples of this would be payments contingent upon volume-based tiered payment schedules, agreements regarding minimum order flow, incentives for exceeding order flow thresholds or disincentives for failing to meet order flow thresholds). As such, TradeUp is not influenced or incentivized by any of fees paid for by any execution venue. It is still TradeUp’s responsibility to ensure that any of the below listed venues that TradeUp routes customer orders to provide the best pricing (with an emphasis on customer orders obtaining price improvements whenever possible) and best execution quality possible. As part of this report, the payments that TradeUp receives from each execution venue in exchange for PFOF are as follows: CITADEL SECURITIES LLC (Citadel) If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 18.09 0.00 16.28 19.24 9.45 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Jane Street Capital 14.05 21.41 14.55 13.66 17.19 7.08 20.0000 3575.94 20.0000 4760.76 20.0000 1272.47 20.0000 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Jane Street Capital $0.0020 per share. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. 100.00 0.11 21.43 72.03 6.44 CITADEL SECURITIES LLC 63.01 60.43 62.63 62.37 71.56 301.05 20.0000 72917.84 8.2948 85803.59 9.9153 6604.43 11.4503 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 20.45 22.42 21.07 21.17 10.41 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share. Jane Street Capital 13.32 14.91 13.57 12.98 16.38 48.54 20.0000 22538.99 10.3180 19613.73 10.4306 1699.58 13.8814 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Jane Street Capital $0.0020 per share. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. 100.00 2.26 11.09 76.71 9.94 CITADEL SECURITIES LLC 75.79 75.72 77.58 76.37 69.33 59810.50 48.5286 381402.00 49.0609 556371.00 48.5510 32994.00 47.1451 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives from Citadel $0.0020 per share and $0.50 per contract for options orders. If the stock price is less than $1.00 per share, TradeUP Securities does not receive any payment. If orders are sent to an Algorithmic Trading Platform that is operated by Citadel, TradeUp receives $0.001 per share. Dash Financial Technologies 23.25 23.20 21.41 22.55 30.67 25872.37 47.8692 129317.43 48.5286 195937.58 47.3784 21550.68 45.7105 If the stock price of the underlying security in a customer order is equal to or greater than $1.00 per share, TradeUP Securities receives $0.50 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. If orders are sent to an Algorithmic Trading Platform that is operated by Dash, TradeUp receives $0.0005 per share.