Name
First
Last
Address
Is your State of Residency the same as your address listed above? If your State of Residency is different than your address listed above, select "No, I reside in a different State" and you will be asked to provide the state you reside in.
Which Brokerages did you use? Please select the Brokerages you used to trade the restricted stocks between January 27, 2021 through February 1, 2021.
Did you own any of the following stocks "Restricted Stocks" as of the close of trading on January 27, 2021? Please select every Restricted Stock you owned as of the close of trading on January 27, 2021.
Then we will need to know the number of shares you owned on January 27, 2021 for each of these stocks.
Any Forced Sales of your Stocks? Did Robinhood sell any of your holdings - Without your Consent? Did the Robinhood Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Robinhood sell without your consent Which Stocks did Robinhood sell of yours without your consent to sell them? Check all that apply.
Did Ally sell any of your holdings - Without your Consent? Did the Ally Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Ally sell without your consent Which Stocks did Ally sell of yours without your consent to sell them? Check all that apply.
Did Alpaca sell any of your holdings - Without your Consent? Did the Alpaca Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Alpaca sell without your consent Which Stocks did Alpaca sell of yours without your consent to sell them? Check all that apply.
Did Cash App sell any of your holdings - Without your Consent? Did the Cash App Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Cash App sell without your consent Which Stocks did Cash App sell of yours without your consent to sell them? Check all that apply.
Did E*Trade sell any of your holdings - Without your Consent? Did the E*Trade Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did E*Trade sell without your consent Which Stocks did E*Trade sell of yours without your consent to sell them? Check all that apply.
Did Freetrade sell any of your holdings - Without your Consent? Did the Freetrade Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Freerade sell without your consent Which Stocks did Freetrade sell of yours without your consent to sell them? Check all that apply.
Did Interactive Brokers sell any of your holdings - Without your Consent? Did the Interactive Brokers Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did interactive Broker sell without your consent Which Stocks did Interactive Broker sell of yours without your consent to sell them? Check all that apply.
Did MI Finance sell any of your holdings - Without your Consent? Did the MI Finance Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did MI Finance Broker sell without your consent Which Stocks did MI Finance Broker sell of yours without your consent to sell them? Check all that apply.
Did Public.com sell any of your holdings - Without your Consent? Did the Public.com Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Public.com Broker sell without your consent Which Stocks did Public.com Broker sell of yours without your consent to sell them? Check all that apply.
Did Stash sell any of your holdings - Without your Consent? Did the Stash Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Stash Broker sell without your consent Which Stocks did Stash Broker sell of yours without your consent to sell them? Check all that apply.
Did Tastyworks sell any of your holdings - Without your Consent? Did the Tastyworks Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks Did Tastyworks Broker sell without your consent Which Stocks did Tastyworks Broker sell of yours without your consent to sell them? Check all that apply.
Did WeBull sell any of your holdings - Without your Consent? Did the WeBull Brokerage Firm sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks did the WeBull Broker sell without your consent Which Stocks did the WeBull Broker sell of yours without your consent to sell them? Check all that apply.
Did Another Broker sell any of your holdings - Without your Consent? Did another Brokerage Firm other than the ones listed above, sell any of your holdings in any of the Restricted Stocks (or any other stocks) on January 28, 2021, without your consent?
Which stocks did the "Other" Broker sell without your consent Which Stocks did the "Other" (not listed above) Broker sell of yours without your consent to sell them? Check all that apply.
OPTIONS Did you own any Restricted Stock Options on January 27, 2021?
Did you own any OPTIONS of Restricted Stocks as of the Close of January 27, 2021 Did you own any options for any of the Restricted Stocks at the close of trading on January 28, 2021? If so, list:
A) The Brokerage
B) The Number of Options
C) They description of the Options
I had GameStop (GME) Options on January 27, 2021 Did you have Calls, Puts or both types of options as of the close of trading on January 28, 2021?
I had AMC Entertainment Holdings Inc. Options on January 27, 2021 Did you have AMC Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had American Airlines (AA) Options on January 27, 2021 Did you have AA Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Bed Bath & Beyond (BBBY) Options on January 27, 2021 Did you have BBBY Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Blackberry (BB) Options on January 27, 2021 Did you have BB Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Express (EXPR) Options on January 27, 2021 Did you have EXPR Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Koss (KOSS) Options on January 27, 2021 Did you have KOSS Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Bed Naked Brand Group (NAKD) Options on January 27, 2021 Did you have NAKD Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Nokia (NOK) Options on January 27, 2021 Did you have NOK Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Sundial Growers Inc. (SNDL) Options on January 27, 2021 Did you have SNDL Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Tootsie Roll Industries (TR) Options on January 27, 2021 Did you have TR Calls, Puts or both types of options as of the close of trading on January 27, 2021?
I had Trivago NV (TRVG) Options on January 27, 2021 Did you have TRVG Calls, Puts or both types of options as of the close of trading on January 27, 2021?
What Restricted Stocks did you ATTEMPT to buy on January 28 through February 1, 2021? What Restricted Stocks did you attempt to purchase on January 28, 2021 through February 1, 2020?
What Restricted Stocks did you ATTEMPT to buy What Restricted Stocks did you attempt to buy but could not because of the restrictions put on your account by your broker?
Which Brokerages prevented you from buying Restricted Stocks, and When. Please send any evidence of their restrictions such as screen shots. Please indicate the Brokerages that you had accounts with who prevented you from buying any of the restricted stocks between January 27, 2021 through February 1, 2021.
Please upload any evidence or screenshots you have
Please upload any evidence or screenshots showing the broker(s) prevented you from purchasing Restricted Shares
Describe the shares you sold of Restricted Stocks: What was the price and date of Restricted Stocks you sold.
Describe the shares of Restricted Stock you eventually sold What Restricted Stocks that you held on January 27, 2021, did you ultimately sell. Please check the box for each such stock that you sold.