1.3 MARSCO INVESTMENT CORPORATION 2022 4 2023-01-19T06:05:08Z 2022 10 100.00 0.03 17.15 75.48 7.34 CITADEL SECURITIES LLC 70.72 100.00 73.31 68.98 82.52 7.45 19.9785 5997.40 19.9987 9417.55 19.9999 2098.56 14.2511 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customer orders directly, TradeUp reviews the execution quality that these execution venues provide, in order 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 $0.40 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. Virtu Americas, LLC 28.80 0.00 26.54 30.43 17.45 0.00 0.0000 0.00 20.0000 3.84 20.0000 0.00 0.0000 VIRTU FINANCIAL, INC. (Virtu) 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 $0.0020 per share; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. UBS Securities, LLC 0.47 0.00 0.14 0.60 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Dash/IMC Financial Markets 0.00 0.00 0.00 0.00 0.02 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 0.10 22.53 71.97 5.40 CITADEL SECURITIES LLC 70.71 99.51 73.28 68.91 83.43 349.95 7.0114 108651.50 15.1133 106506.76 16.0611 15947.20 10.3756 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customers orders directly, TradeUp reviews the order execution quality of these execution venues in order to ensure that customer orders are filled as quickly as possible and that these orders are receiving the most favorable execution pricing. 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 $0.40 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. Virtu Americas, LLC 29.08 0.49 26.69 30.81 16.54 0.00 0.0000 0.32 20.0000 0.00 0.0166 0.00 0.0000 VIRTU FINANCIAL, INC. (Virtu) 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 $0.0020 per share; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. UBS Securities, LLC 0.20 0.00 0.03 0.27 0.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Dash/IMC Financial Markets 0.00 0.00 0.00 0.00 0.03 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 4.02 12.98 81.68 1.32 Citadel Securities, LLC 71.84 69.95 70.45 72.20 68.86 21760.50 33.7451 137672.00 37.8729 150813.50 43.8232 2869.50 36.8451 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customers orders directly, TradeUp reviews the order execution quality of these execution venues in order to ensure that customer orders are filled as quickly as possible and that these orders are receiving the most favorable execution pricing. 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 $0.40 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 23.08 24.78 24.56 22.70 26.48 8900.00 46.8865 49544.00 48.6231 62976.00 47.6456 920.50 45.6145 SUSQUEHANNA INTERNATIONAL GROUP, LLP (Susquehanna) 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/IMC Financial Markets 5.09 5.27 4.99 5.10 4.66 570.98 37.2702 4178.32 42.3636 5088.90 39.8442 6.16 2.8257 Dash/IMC Financial Markets (Dash) 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 $0.45 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. 2022 11 100.00 0.03 17.24 75.49 7.24 CITADEL SECURITIES LLC 68.95 98.65 70.81 67.17 82.92 8.79 19.9909 6822.02 19.9937 9883.85 19.9822 2511.30 15.5466 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customer orders directly, TradeUp reviews the execution quality that these execution venues provide, in order 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 $0.40 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. Virtu Americas, LLC 30.79 1.35 29.12 32.50 17.06 0.00 0.0000 0.00 0.0000 0.06 20.0000 0.00 0.0000 VIRTU FINANCIAL, INC. (Virtu) 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 $0.0020 per share; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. UBS Securities, LLC 0.26 0.00 0.06 0.33 0.01 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Dash/IMC Financial Markets 0.01 0.00 0.00 0.01 0.01 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 0.11 21.36 72.75 5.78 CITADEL SECURITIES LLC 66.66 99.14 69.86 64.62 79.99 371.28 4.0616 119854.04 13.3212 107342.39 14.5237 17090.00 9.3872 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customers orders directly, TradeUp reviews the order execution quality of these execution venues in order to ensure that customer orders are filled as quickly as possible and that these orders are receiving the most favorable execution pricing. 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 $0.40 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. Virtu Americas, LLC 33.19 0.57 30.12 35.20 19.97 0.08 20.0000 0.00 0.0000 0.31 2.6840 0.00 0.0000 VIRTU FINANCIAL, INC. (Virtu) 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 $0.0020 per share; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. UBS Securities, LLC 0.14 0.00 0.02 0.19 0.02 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Dash/IMC Financial Markets 0.00 0.29 0.00 0.00 0.02 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 100.00 3.18 12.61 83.11 1.11 Citadel Securities, LLC 72.25 69.90 70.44 72.65 69.55 19784.50 43.5283 149545.00 36.1554 175058.50 44.1927 3028.50 32.2730 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customers orders directly, TradeUp reviews the order execution quality of these execution venues in order to ensure that customer orders are filled as quickly as possible and that these orders are receiving the most favorable execution pricing. 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 $0.40 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 22.67 25.06 24.49 22.27 24.87 7256.50 45.8982 58521.50 48.3162 70043.00 47.1727 1237.50 37.0842 SUSQUEHANNA INTERNATIONAL GROUP, LLP (Susquehanna) 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/IMC Financial Markets 5.09 5.04 5.07 5.08 5.58 1425.95 33.2389 10277.58 40.9906 12225.48 39.4040 10.68 1.0785 Dash/IMC Financial Markets (Dash) 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 $0.45 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. 2022 12 100.00 0.06 18.86 74.76 6.32 CITADEL SECURITIES LLC 68.28 100.00 70.36 66.68 80.70 77.93 20.0000 9455.90 19.9998 10439.97 19.9991 2462.30 14.8541 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customer orders directly, TradeUp reviews the execution quality that these execution venues provide, in order 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 $0.40 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. Virtu Americas, LLC 31.00 0.00 28.96 32.57 18.82 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 20.0000 VIRTU FINANCIAL, INC. (Virtu) 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 $0.0020 per share; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. Dash/IMC Financial Markets 0.45 0.00 0.64 0.40 0.48 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 UBS Securities, LLC 0.27 0.00 0.04 0.35 0.00 72.41 10.0000 62.00 10.0000 48.25 10.0000 3.80 10.0000 100.00 0.09 22.42 73.16 4.33 CITADEL SECURITIES LLC 67.11 98.03 70.50 65.21 81.01 506.83 16.7881 126414.33 12.6525 116029.23 13.7992 14473.19 7.8833 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customers orders directly, TradeUp reviews the order execution quality of these execution venues in order to ensure that customer orders are filled as quickly as possible and that these orders are receiving the most favorable execution pricing. 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 $0.40 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. Virtu Americas, LLC 32.49 1.97 29.08 34.38 18.73 2.08 20.0000 0.00 0.0000 0.60 20.0000 0.00 0.0000 VIRTU FINANCIAL, INC. (Virtu) 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 $0.0020 per share; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment. Dash/IMC Financial Markets 0.37 0.00 0.40 0.37 0.25 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 UBS Securities, LLC 0.03 0.00 0.01 0.04 0.00 249.83 9.4673 467.25 9.8688 368.89 9.9840 26.57 8.6818 100.00 3.01 12.65 83.34 1.00 Citadel Securities, LLC 72.27 69.81 70.03 72.74 69.28 17937.00 44.1081 142896.00 35.4803 164783.50 41.9725 2140.50 36.5273 TradeUP Securities (TradeUp) 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) in order complete the execution of customer orders. Though TradeUp does not execute customers orders directly, TradeUp reviews the order execution quality of these execution venues in order to ensure that customer orders are filled as quickly as possible and that these orders are receiving the most favorable execution pricing. 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 $0.40 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 22.60 25.15 24.82 22.13 26.03 7148.50 47.5426 52805.50 48.3169 69764.50 46.4836 640.00 36.6133 SUSQUEHANNA INTERNATIONAL GROUP, LLP (Susquehanna) 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/IMC Financial Markets 5.13 5.04 5.15 5.13 4.68 1505.65 40.2795 9433.88 41.8446 13121.20 38.9365 33.64 11.3283 Dash/IMC Financial Markets (Dash) 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 $0.45 per contract for options orders; if the stock price is less than $1.00 per share, TradeUP Securities does not receive any such payment.