1.2 MRSC 2020 3 2022-08-02T16:47:35Z 2020 7 90.48 0.00 0.00 0.00 100.00 Citadel Securities LLC 65.79 0.00 0.00 0.00 65.79 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 18.42 0.00 0.00 0.00 13.16 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. Quattro M Securities LLC 15.79 0.00 0.00 0.00 10.53 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Quattro M Securities Inc. for directing order flow. These payments were not 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. 90.16 1.82 1.82 1.82 94.55 Citadel Securities LLC 78.18 100.00 100.00 100.00 76.92 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 21.82 0.00 0.00 0.00 23.08 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. 100.00 0.00 0.00 0.00 100.00 Citadel Securities LLC 85.00 0.00 0.00 0.00 85.00 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. CBOE 5.00 0.00 0.00 0.00 5.00 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 XBOX 5.00 0.00 0.00 0.00 5.00 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 XPHO 5.00 0.00 0.00 0.00 5.00 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020 8 77.78 0.00 2.38 4.76 92.86 Citadel Securities LLC 88.10 0.00 0.00 100.00 89.74 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 9.52 0.00 100.00 0.00 7.69 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. Quattro M Securities LLC 2.38 0.00 0.00 0.00 2.56 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Quattro M Securities Inc. for directing order flow. These payments were not 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. 85.66 0.93 3.26 11.63 84.19 Citadel Securities LLC 79.53 50.00 85.71 96.00 77.35 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 20.46 50.00 41.29 4.00 22.65 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. 100.00 0.00 0.00 0.00 100.00 Citadel Securities LLC 79.48 0.00 0.00 0.00 79.48 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 5.13 0.00 0.00 0.00 5.13 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. CBOE 5.13 0.00 0.00 0.00 5.13 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 XBOX 5.13 0.00 0.00 0.00 5.13 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 XPHO 5.13 0.00 0.00 0.00 5.13 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020 9 88.61 0.42 1.94 14.67 82.97 Citadel Securities LLC 94.85 100.00 100.00 93.80 94.89 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 4.79 0.00 0.00 6.20 4.67 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. 94.62 0.57 2.41 13.28 83.73 Citadel Securities LLC 97.20 96.23 98.88 97.77 97.07 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. Apex Clearing Corp 2.66 2.83 1.12 2.23 2.77 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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. 100.00 0.00 0.00 0.00 100.00 Citadel Securities LLC 90.77 0.00 0.00 0.00 90.77 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Citadel Securities LLC for directing order flow. These payments were not 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. XBOX 3.80 0.00 0.00 0.00 3.80 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 XPHO 3.62 0.00 0.00 0.00 3.62 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 CBOE 1.16 0.00 0.00 0.00 1.16 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 XISE 0.36 0.00 0.00 0.00 0.36 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 Apex Clearing Corp 0.30 0.00 0.00 0.00 0.30 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 0.0000 2020Q3: TradeUp receives payment from Apex Clearing Corp. for directing order flow. These payments were not 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.