Activity Statement

January 1, 2024 - March 13, 2024

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Interactive Brokers LLC, Two Pickwick Plaza, Greenwich, CT 06830

Account Information
Name SHIKHAR SHARMA
Account U***54354
Account Type Individual
Customer Type Individual
Account Capabilities Cash
Base Currency USD

Net Asset Value

December 29, 2023 March 13, 2024
Total Long Short Total Change Change in NAV Total

Cash 1,237.75 1,403.65 0.00 1,403.65 165.89 Starting Value 3,672.09

Stock 2,432.22 2,859.73 0.00 2,859.73 427.51 Mark-to-Market 256.77

Dividend Accruals 2.12 2.45 0.00 2.45 0.33 Deposits & Withdrawals 350.00

Total 3,672.09 4,265.83 0.00 4,265.83 593.73 Dividends 5.08

Withholding Tax -1.15
Time Weighted Rate of Return 6.45% Change in Dividend Accruals 0.33
Commissions -17.30
Ending Value 4,265.83

Mark-to-Market Performance Summary

Quantity Price Mark-to-Market P/L
Symbol Prior Current Prior Current Position Transaction Commissions Other Total Code
Stocks
AAPL 0 0 -- -- -14.44 -0.39 -2.00 0.32 -16.51
ACN 0.551 0.551 350.9100 378.7200 15.32 0.00 0.00 0.53 15.85
ADBE 0.2495 0.2495 596.6000 573.5500 -5.75 0.00 0.00 0.00 -5.75
AMZN 1.5734 1.5734 151.9400 176.5550 38.73 0.00 0.00 0.00 38.73
APA 0 0 -- -- -0.49 0.35 -2.00 0.00 -2.15
APP 0 0 -- -- 0.00 -10.20 -2.00 0.00 -12.20
BABA 0.4963 0.4963 77.5100 76.3900 -0.56 0.00 0.00 0.50 -0.06
DPZ 0.4673 0.4673 412.2300 452.4800 18.80 0.00 0.00 0.00 18.80
DRQ 0 0 -- -- 13.56 5.52 -2.00 0.00 17.08

Generated: 2024-03-14, 09:46:06 EDT Page: 1

Mark-to-Market Performance Summary
Quantity Price Mark-to-Market P/L
Symbol Prior Current Prior Current Position Transaction Commissions Other Total Code
EL 1.027 1.027 146.2500 157.9400 12.00 0.00 0.00 0.00 12.00
GOOG 0.9882 0.9882 140.9300 140.7700 -0.16 0.00 0.00 0.00 -0.16
JNJ 1.0649 1.0649 156.7400 161.1000 4.65 0.00 0.00 0.95 5.60
META 0.9706 0.9706 353.9600 495.5700 137.45 0.00 0.00 0.00 137.45
MSFT 0.581 0.581 376.0400 415.1000 22.69 0.00 0.00 0.00 22.69
NKE 1.8273 1.8273 108.5700 101.3600 -13.17 0.00 0.00 0.51 -12.66
PEP 0.2515 0.2515 169.8400 165.3000 -1.14 0.00 0.00 0.24 -0.90
PKG 0 0 -- -- 16.84 2.76 -2.00 0.00 17.60
QQQ 0.4564 0.4564 409.5200 440.2500 14.03 0.00 0.00 0.35 14.38
RAMP 0 0 -- -- -6.84 -3.70 -2.00 0.00 -12.54
RBA 0 0 -- -- 3.42 2.12 -2.00 0.00 3.54
SPY 0.3649 0.3649 475.3100 515.9700 14.84 0.00 0.00 0.53 15.37
SYRS 0 0 -- -- 0.00 -11.31 -1.60 0.00 -12.91
UNH 0 0.3479 -- 488.0000 -1.59 3.44 -1.68 0.00 0.17
Total Stocks 268.19 -11.42 -17.30 3.93 243.40
Forex
USD 1,237.75 1,403.65 1.0000 1.0000 0.00 0.00 0.00 0.00 0.00
Total Forex 0.00 0.00 0.00 0.00 0.00
Total (All Assets) 268.19 -11.42 -17.30 3.93 243.40

Cash Report
Total Securities Futures
Base Currency Summary
Starting Cash 1,237.75 1,237.75 0.00
Commissions -17.30 -17.30 0.00
Deposits 350.00 350.00 0.00
Dividends 5.08 5.08 0.00
Trades (Sales) 1,871.28 1,871.28 0.00
Trades (Purchase) -2,042.02 -2,042.02 0.00
Withholding Tax -1.15 -1.15 0.00
Ending Cash 1,403.65 1,403.65 0.00
Ending Settled Cash 1,403.65 1,403.65 0.00

Change in Position Value

Stocks
Base Currency Summary
Prior Period Value 2,432.22
Transactions 170.74
MTM P/L On Prior Period 268.19
MTM P/L On Transactions -11.42
End Of Period Value 2,859.73

Activity Statement - January 1, 2024 - March 13, 2024 Page: 2

Commission Details
Broker Charges Third-Party Charges
Symbol Date/Time Quantity Commission Execution Clearing Execution Clearing Transaction Fee Other
Stocks
USD
AAPL 2024-02-05, 09:30:09 1 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
AAPL 2024-03-01, 09:59:18 -0.8 0.00 0.0000 0.0000 0.0000 0.0000 -0.0013 0.0000
AAPL 2024-03-01, 09:59:18 -1 -1.00 -1.0000 0.0000 0.0000 0.0000 -0.0016 0.0000
APA 2024-01-23, 10:05:53 6 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
APA 2024-02-01, 12:46:03 -0.8 -0.25 -0.2474 0.0000 0.0000 0.0000 -0.0003 0.0000
APA 2024-02-01, 12:46:03 -9 -0.76 -0.7526 0.0000 0.0000 0.0000 -0.0037 0.0000
APP 2024-01-30, 12:19:02 3 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
APP 2024-01-30, 13:56:14 -2 -0.24 -0.2361 0.0000 0.0000 0.0000 -0.0010 0.0000
APP 2024-01-30, 13:56:14 -1 -0.43 -0.4268 0.0000 0.0000 0.0000 -0.0005 0.0000
APP 2024-01-30, 13:56:14 -0.79 -0.34 -0.3371 0.0000 0.0000 0.0000 -0.0004 0.0000
DRQ 2024-02-06, 09:30:00 12 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
DRQ 2024-02-20, 10:26:38 -12 -1.00 -1.0000 0.0000 0.0000 0.0000 -0.0040 0.0000
PKG 2024-02-06, 09:55:23 2 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
PKG 2024-02-20, 10:05:38 -2 -1.00 -1.0000 0.0000 0.0000 0.0000 -0.0031 0.0000
PKG 2024-02-20, 11:00:41 -0.56 0.00 0.0000 0.0000 0.0000 0.0000 -0.0009 0.0000
RAMP 2024-01-23, 09:52:43 4 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
RAMP 2024-01-31, 15:07:19 -0.72 0.00 0.0000 0.0000 0.0000 0.0000 -0.0003 0.0000
RAMP 2024-01-31, 15:07:19 -4 -1.00 -1.0000 0.0000 0.0000 0.0000 -0.0019 0.0000
RBA 2024-01-26, 09:30:02 2 -1.00 -1.0000 0.0000 0.0000 0.0000 0.0000 0.0000
RBA 2024-01-31, 13:57:02 -2 -1.00 -1.0000 0.0000 0.0000 0.0000 -0.0014 0.0000
SYRS 2024-01-30, 09:30:00 11 -0.86 -0.8624 0.0000 0.0000 0.0000 0.0000 0.0000
SYRS 2024-01-30, 09:30:08 0.11 -0.01 -0.0083 0.0000 0.0000 0.0000 0.0000 0.0000
SYRS 2024-03-07, 10:21:14 -11 -0.72 -0.7174 0.0000 0.0000 0.0000 -0.0024 0.0000
SYRS 2024-03-07, 10:21:14 -0.11 -0.01 -0.0072 0.0000 0.0000 0.0000 0.0000 0.0000
UNH 2024-01-18, 09:30:19 0.1122 -0.56 -0.5600 0.0000 0.0000 0.0000 0.0000 0.0000
UNH 2024-03-01, 10:03:54 0.1172 -0.56 -0.5598 0.0000 0.0000 0.0000 0.0000 0.0000
UNH 2024-03-05, 14:30:37 0.1185 -0.56 -0.5596 0.0000 0.0000 0.0000 0.0000 0.0000
Total -17.30 -17.2746 0.0000 0.0000 0.0000 -0.0229 0.0000

MTM P&L On Previous Period's Positions

Symbol Description Date Price MTM P&L On Previous Period's Positions
Stocks
USD
AAPL APPLE INC 184.15444444 -14.43
ACN ACCENTURE PLC-CL A 366.1792 15.32
ADBE ADOBE INC 586.2590 -5.75
AMZN AMAZON.COM INC 164.5099 38.73
APA APA CORP 31.70571429 -0.49
BABA ALIBABA GROUP HOLDING-SP ADR 73.3614 -0.56
DPZ DOMINO'S PIZZA INC 427.9344 18.80
DRQ DRIL-QUIP INC 20.58555556 13.56

Activity Statement - January 1, 2024 - March 13, 2024 Page: 3

MTM P&L On Previous Period's Positions
Symbol Description Date Price MTM P&L On Previous Period's Positions
EL ESTEE LAUDER COMPANIES-CL A 140.8606 12.00
GOOG ALPHABET INC-CL C 143.2956 -0.16
JNJ JOHNSON & JOHNSON 159.7040 4.65
META META PLATFORMS INC-CLASS A 434.8032 137.45
MSFT MICROSOFT CORP 400.8750 22.69
NKE NIKE INC -CL B 102.7424 -13.17
PEP PEPSICO INC 167.7308 -1.14
PKG PACKAGING CORP OF AMERICA 167.04888889 16.84
QQQ INVESCO QQQ TRUST SERIES 1 425.8394 14.03
RAMP LIVERAMP HOLDINGS INC 40.37666667 -6.84
RBA RB GLOBAL INC 63.56333333 3.42
SPY SPDR S&P 500 ETF TRUST 493.3420 14.84
SYRS SYROS PHARMACEUTICALS INC 7.23192308 0.00
UNH UNITEDHEALTH GROUP INC 505.54578947 -1.59
Total 268.20

Dividends Withholding Tax

Date Description Amount Date Description Amount Code
USD USD
QQQ(US46090E1038) Cash Dividend USD 0.80826 per Share QQQ(US46090E1038) Cash Dividend USD 0.80826 per Share - US
2023-12-29 0.37 2023-12-29 -0.09
(Ordinary Dividend) Tax
NKE(US6541061031) Cash Dividend USD 0.37 per Share 2024-01-02 NKE(US6541061031) Cash Dividend USD 0.37 per Share - US Tax -0.17
2024-01-02 0.68
(Ordinary Dividend)
2024-01-05 PEP(US7134481081) Cash Dividend USD 1.265 per Share - US Tax -0.08
PEP(US7134481081) Cash Dividend USD 1.265 per Share
2024-01-05 0.32 QQQ(US46090E1038) Cash Dividend USD 0.21584 per Share - US
(Ordinary Dividend) 2024-01-15 -0.03
Tax
QQQ(US46090E1038) Cash Dividend USD 0.21584 per Share
2024-01-15 0.10 SPY(US78462F1030) Cash Dividend USD 1.906073 per Share - US
(Bonus Dividend) 2024-01-31 -0.17
Tax
BABA(US01609W1027) Cash Dividend USD 1.00 per Share
2024-01-18 0.50 2024-02-15 AAPL(US0378331005) Cash Dividend USD 0.24 per Share - US Tax -0.11
(Ordinary Dividend)
SPY(US78462F1030) Cash Dividend USD 1.906073 per Share 2024-02-15 ACN(IE00B4BNMY34) Cash Dividend USD 1.29 per Share - IE Tax -0.18
2024-01-31 0.70
(Ordinary Dividend) 2024-03-05 JNJ(US4781601046) Cash Dividend USD 1.19 per Share - US Tax -0.32
AAPL(US0378331005) Cash Dividend USD 0.24 per Share Total -1.15
2024-02-15 0.43
(Ordinary Dividend)
ACN(IE00B4BNMY34) Cash Dividend USD 1.29 per Share
2024-02-15 0.71
(Ordinary Dividend)
JNJ(US4781601046) Cash Dividend USD 1.19 per Share
2024-03-05 1.27
(Ordinary Dividend) Deposits & Withdrawals
Total 5.08
Date Description Amount
USD
2024-02-05 Electronic Fund Transfer 350.00
Total 350.00

Change in Dividend Accruals

Symbol Date Ex Date Pay Date Quantity Tax Fee Gross Rate Gross Amount Net Amount Code
Starting Dividend Accruals in USD 2.12

Activity Statement - January 1, 2024 - March 13, 2024 Page: 4

Change in Dividend Accruals
Symbol Date Ex Date Pay Date Quantity Tax Fee Gross Rate Gross Amount Net Amount Code
Stocks
USD
AAPL 2024-02-08 2024-02-09 2024-02-15 1.8 0.11 0.00 0.24 0.43 0.32 Po
AAPL 2024-02-15 2024-02-09 2024-02-15 1.8 -0.11 0.00 0.24 -0.43 -0.32 Re
ACN 2024-01-16 2024-01-17 2024-02-15 0.551 0.00 0.00 1.29 0.71 0.71 Po
ACN 2024-01-16 2024-01-17 2024-02-15 0.551 0.18 0.00 1.29 0.71 0.53 Po
ACN 2024-01-16 2024-01-17 2024-02-15 0.551 0.00 0.00 1.29 -0.71 -0.71 Re
ACN 2024-02-15 2024-01-17 2024-02-15 0.551 -0.18 0.00 1.29 -0.71 -0.53 Re
BABA 2024-01-18 2023-12-20 2024-01-18 0.4963 0.00 0.00 1.00 -0.50 -0.50 Re
EL 2024-02-27 2024-02-28 2024-03-15 1.027 0.18 0.00 0.66 0.68 0.50 Po
EL 2024-02-27 2024-02-28 2024-03-15 1.027 0.17 0.00 0.66 0.68 0.51 Po
EL 2024-02-27 2024-02-28 2024-03-15 1.027 -0.18 0.00 0.66 -0.68 -0.50 Re
JNJ 2024-02-15 2024-02-16 2024-03-05 1.0649 0.32 0.00 1.19 1.27 0.95 Po
JNJ 2024-03-05 2024-02-16 2024-03-05 1.0649 -0.32 0.00 1.19 -1.27 -0.95 Re
META 2024-02-20 2024-02-21 2024-03-26 0.9706 0.12 0.00 0.50 0.49 0.37 Po
MSFT 2024-02-13 2024-02-14 2024-03-14 0.581 0.11 0.00 0.75 0.44 0.33 Po
NKE 2024-01-02 2023-12-01 2024-01-02 1.8273 -0.17 0.00 0.37 -0.68 -0.51 Re
NKE 2024-02-29 2024-03-01 2024-04-01 1.8273 0.17 0.00 0.37 0.68 0.51 Po
PEP 2024-01-05 2023-11-30 2024-01-05 0.2515 -0.08 0.00 1.26 -0.32 -0.24 Re
PEP 2024-02-28 2024-02-29 2024-04-01 0.2515 0.08 0.00 1.26 0.32 0.24 Po
QQQ 2023-12-29 2023-12-18 2023-12-29 0.4564 -0.09 0.00 0.81 -0.37 -0.28 Re
QQQ 2024-01-15 2023-12-27 2024-01-15 0.4564 -0.03 0.00 0.22 -0.10 -0.07 Re
SPY 2023-12-14 2023-12-15 2024-01-31 0.3649 0.17 0.00 1.91 0.70 0.53 Po
SPY 2023-12-14 2023-12-15 2024-01-31 0.3649 -0.18 0.00 1.91 -0.70 -0.52 Re
SPY 2024-01-31 2023-12-15 2024-01-31 0.3649 -0.17 0.00 1.91 -0.70 -0.53 Re
UNH 2024-03-07 2024-03-08 2024-03-19 0.3479 0.16 0.00 1.88 0.65 0.49 Po
Total 0.26 0.00 0.59 0.33

Ending Dividend Accruals in USD 2.45

Notes/Legal Notes
Notes
1. Most stock exchange transactions settle on the trade date plus two business days. Options, futures and US open-end mutual fund transactions settle on trade date plus one business day. (Some exchanges and other
transaction types may have longer or shorter settlement periods.) Ending settled cash reflects the cash that has actually settled.
2. Initial and maintenance margin requirements are available within the Account Window of the Trader Workstation.
3. Interactive Brokers LLC receives compensation from fund companies in connection with the purchase and holding of fund shares by customers of Interactive Brokers LLC. Such compensation includes, but is not limited
to, Rule 12b-1 fees that are paid out of the funds assets. The source and amount of any remuneration received by Interactive Brokers LLC in connection with a transaction will be furnished upon written request of the
customer. IB may share a portion of the compensation received from fund companies with your financial advisor or introducing broker.
4. Quantities preceded by a "-" sign indicate sell transactions. Other transactions are purchases.
5. IB acts as agent in executing the fractional share portion of your order. In certain circumstances, IB routes the fractional portion of your order to an affiliate, which may execute the fractional portion of the order as
principal. In such circumstances, this is indicated by the codes associated with the trade. If an IB affiliate acts as principal in executing any fractional share portion of your order, the order will be executed at the price
displayed for the opposite side of the NBBO from your order (the offer if you are buying and the bid if you are selling) at the time of execution. If an IB affiliate is acting as riskless principal in connection with filling the
fractional share portion of your order, the affiliate will execute the fractional share portion of your order at the price it receives for the execution of the whole share.
6. In case of partial executions, commissions are charged on the total quantity executed on the original order. The commission is displayed on the first partial execution only.
7. Each closed lot indicated above with a reference to note (6) was chosen by the end of the trading day to be sold versus the specific opening purchase identified in that row.
8. Trade execution times are displayed in Eastern Time.
9. Applicable regulatory fees for your transactions are available on the IB website at www.interactivebrokers.com/en/accounts/fees/exchangeAndRegulatoryFees.php.

Activity Statement - January 1, 2024 - March 13, 2024 Page: 5

Notes/Legal Notes
10. Borrow Fee Rate represents the cost to borrow stock expressed in percent per annum. It is applied to the collateral value on the stock borrow contract and is separate from any interest earned on credit cash balances.
Similarly, Loan Fee Rate represents the benefit to lend stock. A positive rate indicates a cost to the borrower/benefit to the lender and a negative rate indicates a benefit to the borrower/cost to the lender. In general, the
fee rates for hard-to-borrow stocks are higher than for normal availability stocks.
11. Interest Rate on Customer Collateral represents the interest paid on the collateral posted to the customer's account and received from lending stock. A positive rate indicates a benefit to the lender.
12. The closing prices on this Activity Statement are indicative and may come from third-party sources. Interactive Brokers does not warrant the accuracy of the prices provided by third-party sources. Due to time zone
differences, certain non-US mutual funds may deliver closing prices after the Activity Statement has been produced and the closing prices for such funds will reflect the previous day's price.
13. All Market Data and Research services are provided through Global Financial Information Services (GmbH).
14. Market data is provided by Global Financial Information Services (GmbH). Your local broker collects amounts owed for fees and tax for such data on behalf of Global Financial Information Services (GmbH). Note, you are
responsible for any applicable taxes relating to the provision of these services.
Mutual Fund Notes
1. All purchase and sales of mutual funds are calculated against the published NAV (Net Asset Value) of the underlying fund and is displayed on this confirmation as the "C. Price" (Closing Price). Due to any fees charged
by a fund and/or any share rounding, the net price you pay may vary from the published NAV and is shown on this confirmation as the "T. Price" (Trade Price).
Fixed Income Notes
1. Call features for bonds or preferred stocks may affect the yield. For zero coupon, compound interest and multiplier securities, there are no periodic payments and securities may be callable below maturity value without
notice to holder unless registered. For asset-backed securities, the actual yield may vary depending on the speed at which the underlying note is pre-paid. For additional information regarding bond yield, please contact
the IB Help Desk at: [email protected]. If this debt security is unrated by a nationally recognized statistical rating organization, it may pose a high risk of default. You should consult a financial advisor to
determine whether unrated bonds are appropriate for your portfolio in light of your goals and your financial circumstances. Fees charged by bond trading centers are included in the cost of bond transactions.
Legal Notes
1. Please promptly report any inaccuracy or discrepancy in this statement, or in your account. Contact the IB Customer Service Department in writing using the form available on the IB website. You may also contact IB by
phone, but if you report an error by phone, you should re-confirm such oral communication in writing in order to protect your rights, including rights under the Securities Investor Protection Act (SIPA).

Interactive Brokers:

Interactive Brokers LLC, www.interactivebrokers.com, 877-442-2757 (U.S.)

Interactive Brokers (UK) (Ltd), www.interactivebrokers.co.uk, 00800-42-276537 (Intl)

Interactive Brokers Canada Inc., www.interactivebrokers.ca, 877-745-4222 (Can.)

2. Unless otherwise noted, Interactive Brokers acted as agent in the execution of the above transactions. For those exchanges where IB is not a direct clearing member or custodian, IB may use one of the following clearing
agents or sub-custodians: Interactive Brokers Australia Pty Limited; Interactive Brokers Canada Inc.; Interactive Brokers Central Europe Zrt.; Interactive Brokers Hong Kong Limited; Interactive Brokers Ireland, Limited;
Interactive Brokers Securities Japan, Inc.; Interactive Brokers (U.K.) Limited; IBKR Financial Services AG; ABN Amro Clearing Singapore Pte. Ltd.; BBVA Bancomer, S.A.; BNP Securities Services, Milan Branch; BMO
Harris Bank N.A.; Citibank Europe plc; Skandinaviska Enskilda Banken AB (including select branches).
3. IB acts as agent or riskless principal in foreign currency exchange transactions and as riskless principal in spot precious metals transactions. Such transactions are executed against an IB affiliate or a third party, which
acts as principal in such transactions and may have a long or short position and may have profited or lost in connection with the transaction. Foreign currency exchange and spot precious metals transactions executed
by Customer through IB are not regulated or overseen by the SEC or the CFTC.
4. All VWAP trades are effected pursuant to an average price formula based on a reference price provided by a third-party data provider. Additional information and reference prices are available upon request. IB, as agent,
effects VWAP transactions through a market making affiliate, which acts as principal in such transactions and may have a long or short position in the security and may have profited or lost in connection with the
transaction.
5. IB accepts liquidity rebates or other order flow payments from Alternative Trading Systems, market makers and exchanges for certain orders in stocks. IB receives payment for some option orders pursuant to exchange-
mandated marketing fee programs or other arrangements. The source and nature of any compensation received by IB in connection with any transaction is available upon written request of the customer. For further
information, check the IB website and the Order Routing and Payment for Order Flow Disclosure provided when you opened your account and annually or email [email protected].
6. For security futures trades, if not already indicated on this statement, information about the time of any transaction, the identity of the counterparty to the transaction, and whether IB is acting as agent or principal, as
agent for the counterparty, as agent for both parties to the contract, or as principal, and if acting as principal, whether the transaction was a block transaction or an exchange for physicals transaction, will be available
upon written request of the customer.
7. Customer is requested to promptly advise Interactive Brokers of any material change in Customers investment objectives.
8. A financial statement of Interactive Brokers LLC is available for your personal inspection at www.interactivebrokers.com or at its offices, or a copy of it will be mailed upon your written request.
9. For trades executed on the ASX market, the ASX 24 market and the Cboe Australia market, this confirmation is issued subject to: (i) the Applicable Laws, the directions, decisions and requirements of the relevant market
operator, the operating rules of the relevant market, the clearing rules and where relevant, the relevant settlement rules, (ii) the customs and usages of the relevant financial market, and (iii) the correction of errors and
omissions. Trades in Cash Market Products (as that term is defined in the relevant ASIC market integrity rules) on ASX market and Cboe Australia are cleared by BNP Paribas, ARBN 149 440 291, AFSL 402467, who is
a participant of ASX Clear Pty Ltd and ASX Settlement Pty Ltd. Trades in Derivative Products on ASX and all products on ASX 24 are cleared by Interactive Brokers Australia (“IBA”) as a participant of ASX Clear Pty Ltd
and ASX Clear (Futures) Pty Ltd. If your transaction was a crossing transaction, IBA may have either acted on behalf of (i) both the buyer and seller of this transaction, or (ii) on behalf of the buyer or seller on one side of
the transaction and acted as Principal on the other side. Under the Corporations Act 2001, where IBA enters into an exchange traded derivative on a customer's behalf, IBA is regarded as having issued the derivative to
the customer.
10. For All Options Trades Executed on the Stock Exchange of Hong Kong ("SEHK"): (a) Options can involve a high degree of risk and may not be suitable for every investor. Investors should ensure they understand those
risks before participating in the options market. (b) All options contracts executed on the SEHK were executed by Interactive Brokers Hong Kong Limited on behalf of Interactive Brokers LLC. (c) In the event of a default
committed by Interactive Brokers LLC resulting in the client suffering any pecuniary loss, the client shall have a right to claim under the Investor Compensation Fund established under the Hong Kong Securities and
Futures Ordinance, subject to the terms of the Investor Compensation Fund from time to time. (d) All Exchange Traded Options Business made for or on behalf of a client shall be subject to the relevant provisions of the
constitution, Rules of The Stock Exchange of Hong Kong Limited ("SEHK Rules"), regulations, the Articles, customs and usages of SEHK, the Options Trading Rules, the Clearing Rules of SEOCH, the CCASS Rules and
the laws of Hong Kong, which shall be binding on both Interactive Brokers LLC and the client.
11. Interactive Brokers LLC is a SIPC member. Deposits held away from Interactive Brokers LLC may not qualify under SIPC protection. Also, futures and options on futures are not covered by SIPC.
Interactive Brokers LLC is a SIPC Member

Activity Statement - January 1, 2024 - March 13, 2024 Page: 6

Notes/Legal Notes

Activity Statement - January 1, 2024 - March 13, 2024 Page: 7