1.3 AXOS 2021 4 2022-01-31T21:55:07Z 2021 10 100.00 74.61 3.01 9.15 13.23 UBS Securities, LLC 36.80 35.73 38.81 42.87 38.18 211.66 4.9913 174.75 5.0000 140.62 5.0000 58.58 5.0000 Axos Clearing LLC receives payments from UBS Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is equal to or less than $1 per share. Axos Clearing LLC receives compensation in the form of $0.00005 per executed share when the execution price is $1 per share or higher. CITADEL SECURITIES LLC 21.85 21.95 19.40 22.97 21.09 423.58 7.4998 127.14 7.5005 36.01 5.0001 26.45 5.0713 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0005 per executed share for limit orders. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share for market orders. Axos Clearing LLC receives compensation in the form of $0.0012 per executed share for stop orders. Two Sigma Securities, LLC 20.55 21.12 20.90 15.85 20.49 386.78 7.5000 45.40 7.5000 61.18 7.5000 39.92 7.5000 Axos Clearing LLC receives payments from Two Sigma Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share. Canaccord Genuity Securities 20.24 21.21 20.90 18.06 16.16 325.82 7.5299 22.17 7.5069 227.96 7.5038 40.17 7.5173 Axos Clearing LLC receives payments from Canaccord Genuity Securities for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0007 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. 100.00 60.88 8.38 17.19 13.55 UBS Securities, LLC 35.01 35.96 36.81 33.29 31.77 3070.80 4.7973 2751.20 4.6820 1403.74 4.7921 424.20 4.7145 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. CITADEL SECURITIES LLC 24.77 24.73 23.15 24.56 26.21 4541.82 7.3392 1521.00 7.1802 955.03 5.3145 665.02 4.1820 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.25 for each order when the share price is $0 to $0.05. Axos Clearing LLC receives compensation in the form of $0.75 for each order when the share price is $0.05 to $1. Axos Clearing LLC receives compensation in the form of $1.50 for each order when the share price is greater than $1. Canaccord Genuity Securities 20.53 21.18 20.02 21.01 17.29 4016.58 7.5081 959.15 7.5055 1238.89 7.5056 233.39 7.5050 Axos Clearing LLC receives payments from Canaccord Genuity Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.40 for each order when the share price is $0.01 to $1. Axos Clearing LLC receives compensation in the form of $1.00 for each order when the share price is $1.01 to $5. Axos Clearing LLC receives $2.00 for each order when the shares price is greater than $5. Axos Clearing LLC does not receive compensation when the share price is less than $0.01. Two Sigma Securities, LLC 17.65 17.74 18.39 19.44 14.50 3260.27 7.3138 1368.40 6.1357 711.57 7.2880 201.06 6.6790 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 16.93 13.84 68.45 0.78 Citadel Execution Services 55.03 53.22 60.84 54.39 47.46 4871.65 35.8289 13818.75 46.9100 8057.88 33.1996 319.10 34.7603 Axos Clearing LLC receives payments from Citadel Execution Services for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. SUS 44.93 46.78 39.16 45.55 52.54 866.20 27.1026 1262.77 26.8903 4780.43 32.1093 1406.60 30.2365 Axos Clearing LLC receives payments from Susquehanna International Group LLP for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. Executed option orders whose underlying security is an exchange traded fund at a rate of $0.15 per contract. 2021 11 100.00 73.04 3.09 10.96 12.91 UBS Securities, LLC 38.56 38.59 34.32 41.65 36.83 308.80 4.9712 128.65 5.0000 41.84 4.9984 50.66 4.9978 Axos Clearing LLC receives payments from UBS Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is equal to or less than $1 per share. Axos Clearing LLC receives compensation in the form of $0.00005 per executed share when the execution price is $1 per share or higher. CITADEL SECURITIES LLC 22.00 21.69 26.33 23.71 21.32 376.60 7.4999 79.42 7.5000 62.30 5.0659 48.29 4.5874 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0005 per executed share for limit orders. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share for market orders. Axos Clearing LLC receives compensation in the form of $0.0012 per executed share for stop orders. Canaccord Genuity Securities 20.22 21.61 18.64 14.94 17.21 389.57 7.5327 13.44 7.5180 43.46 7.5246 48.91 7.5158 Axos Clearing LLC receives payments from Canaccord Genuity Securities for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0007 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. Two Sigma Securities, LLC 18.23 18.10 20.71 19.70 17.07 454.31 7.5000 137.74 7.5000 56.00 7.5000 36.54 7.4992 Axos Clearing LLC receives payments from Two Sigma Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share. 100.00 59.25 9.24 17.90 13.61 UBS Securities, LLC 36.82 37.39 39.86 36.51 32.70 3783.63 4.8841 3009.59 4.7781 1278.60 4.7880 750.22 4.7896 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. CITADEL SECURITIES LLC 24.12 24.56 22.27 23.41 24.36 5311.87 7.2954 1914.90 5.9232 966.26 5.1590 684.60 3.4959 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.25 for each order when the share price is $0 to $0.05. Axos Clearing LLC receives compensation in the form of $0.75 for each order when the share price is $0.05 to $1. Axos Clearing LLC receives compensation in the form of $1.50 for each order when the share price is greater than $1. Canaccord Genuity Securities 21.31 21.66 22.16 23.21 16.77 4683.52 7.5102 1171.50 7.5066 1503.94 7.5069 316.33 7.5106 Axos Clearing LLC receives payments from Canaccord Genuity Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.40 for each order when the share price is $0.01 to $1. Axos Clearing LLC receives compensation in the form of $1.00 for each order when the share price is $1.01 to $5. Axos Clearing LLC receives $2.00 for each order when the shares price is greater than $5. Axos Clearing LLC does not receive compensation when the share price is less than $0.01. Two Sigma Securities, LLC 15.15 15.96 14.38 15.63 11.50 3648.55 7.3390 1072.48 6.9397 746.43 7.3444 347.23 7.0091 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 17.22 12.38 69.65 0.75 Citadel Execution Services 51.52 51.36 51.04 51.59 56.72 3948.95 29.5072 8686.51 39.6554 11472.36 34.6681 181.15 36.8941 Axos Clearing LLC receives payments from Citadel Execution Services for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. SUS 48.44 48.64 48.87 48.36 43.28 1192.15 27.1066 2256.10 35.5908 7608.90 34.4778 3600.90 34.1706 Axos Clearing LLC receives payments from Susquehanna International Group LLP for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. Executed option orders whose underlying security is an exchange traded fund at a rate of $0.15 per contract. 2021 12 100.00 76.06 2.65 8.98 12.31 UBS Securities, LLC 42.91 42.81 42.19 45.45 41.81 333.17 4.9997 127.26 5.0000 58.87 4.9989 59.61 5.0000 Axos Clearing LLC receives payments from UBS Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share when the execution price is equal to or less than $1 per share. Axos Clearing LLC receives compensation in the form of $0.00005 per executed share when the execution price is $1 per share or higher. CITADEL SECURITIES LLC 22.06 22.06 23.44 23.36 20.82 387.71 7.4999 37.44 7.5003 16.99 5.0075 21.60 4.1943 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0005 per executed share for limit orders. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share for market orders. Axos Clearing LLC receives compensation in the form of $0.0012 per executed share for stop orders. Canaccord Genuity Securities 20.63 20.97 22.27 18.87 19.48 451.92 7.5170 6.29 7.5257 82.36 7.5103 9.87 7.5114 Axos Clearing LLC receives payments from Canaccord Genuity Securities for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.0007 per executed share when the execution price is $1 per share or higher. Axos Clearing LLC does not receive any compensation for executed shares when the execution price is less than $1 per share. Two Sigma Securities, LLC 13.62 14.16 12.11 12.31 11.59 310.37 7.5000 35.53 7.5000 21.26 7.5000 20.68 7.5000 Axos Clearing LLC receives payments from Two Sigma Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.00075 per executed share. 100.00 61.59 8.95 16.44 13.02 UBS Securities, LLC 40.35 42.27 40.08 37.67 34.84 3826.82 4.6382 2863.64 4.2658 1553.68 4.2170 641.48 4.5769 Axos Clearing LLC does not receive any payments from UBS Securities LLC for directing order flow to this venue. CITADEL SECURITIES LLC 25.32 24.70 24.76 27.73 25.61 4552.64 6.6705 3659.28 6.6631 1578.85 5.0609 570.55 4.1421 Axos Clearing LLC receives payments from Citadel Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.25 for each order when the share price is $0 to $0.05. Axos Clearing LLC receives compensation in the form of $0.75 for each order when the share price is $0.05 to $1. Axos Clearing LLC receives compensation in the form of $1.50 for each order when the share price is greater than $1. Canaccord Genuity Securities 21.24 21.39 22.27 22.07 18.80 3861.60 7.5095 1273.31 7.5045 1795.69 7.5037 470.78 7.5046 Axos Clearing LLC receives payments from Canaccord Genuity Securities LLC for directing order flow to this venue. Axos Clearing LLC receives compensation in the form of $0.40 for each order when the share price is $0.01 to $1. Axos Clearing LLC receives compensation in the form of $1.00 for each order when the share price is $1.01 to $5. Axos Clearing LLC receives $2.00 for each order when the shares price is greater than $5. Axos Clearing LLC does not receive compensation when the share price is less than $0.01. Two Sigma Securities, LLC 10.94 11.13 11.59 11.57 8.81 1702.87 6.8195 620.80 6.5186 463.28 7.2871 156.66 6.6664 Axos Clearing LLC does not receive any payments from Two Sigma Securities LLC for directing order flow to this venue. 100.00 20.02 12.30 67.12 0.55 Citadel Execution Services 51.10 50.62 51.39 51.23 45.24 3226.15 28.2426 5984.93 32.5321 5578.12 32.3576 237.10 48.7860 Axos Clearing LLC receives payments from Citadel Execution Services for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. SUS 48.86 49.24 48.61 48.75 54.76 1185.95 24.6713 1907.10 26.6839 5427.19 29.5181 3261.55 31.4913 Axos Clearing LLC receives payments from Susquehanna International Group LLP for directing order flow to this venue. Axos Clearing LLC receives compensation as follows: Executed option orders whose underlying securities participate in the penny increment program at a rate of $0.25 per contract. Executed option orders whose underlying securities do not participate in the penny increment program at a rate of $0.65 per contract. Executed option orders whose underlying security is an exchange traded fund at a rate of $0.15 per contract.