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Wage and Income Transcript

Request Date: 10-24-2023
Response Date: 10-24-2023
Tracking Number: 105110422298

SSN Provided: 219-19-2163
Tax Period Requested: December, 2019

Form W-2 Wage and Tax Statement

Employer:

Employer Identification Number (EIN):232084784
COMCAST CC OF WILLOW GROVE
1701 JF KENNEDY BLVD 4
PHILADELPHIA, PA 19103-0000

Employee:

Employee's Social Security Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD
FORT MYERS, FL 33916-0000

Submission Type:Original document
Wages, Tips and Other Compensation:$254,003.00
Federal Income Tax Withheld:$52,350.00
Social Security Wages:$132,900.00
Social Security Tax Withheld:$8,239.00
Medicare Wages and Tips:$257,613.00
Medicare Tax Withheld:$4,253.00
Social Security Tips:$0.00
Allocated Tips:$0.00
Dependent Care Benefits:$0.00
Deferred Compensation:$4,043.00
Code "Q" Nontaxable Combat Pay:$0.00
Code "W" Employer Contributions to a Health Savings Account:$0.00
Code "Y" Deferrals under a section 409A nonqualified Deferred Compensation plan:$0.00
Code "Z" Income under section 409A on a nonqualified Deferred Compensation plan:$0.00
Code "R" Employer's Contribution to MSA:$0.00
Code "S" Employer's Contribution to Simple Account:$0.00
Code "T" Expenses Incurred for Qualified Adoptions:$0.00
Code "V" Income from exercise of non-statutory stock options:$32,583.00
Code "AA" Designated Roth Contributions under a Section 401(k) Plan:$0.00
Code "BB" Designated Roth Contributions under a Section 403(b) Plan:$0.00
Code "DD" Cost of Employer-Sponsored Health Coverage:$13,104.00
Code "EE" Designated ROTH Contributions Under a Governmental Section 457(b) Plan:$0.00
Code "FF" Permitted benefits under a qualified small employer health reimbursement arrangement:$0.00
Code "GG" Income from Qualified Equity Grants Under Section 83(i):$0.00
Code "HH" Aggregate Deferrals Under Section 83(i) Elections as of the Close of the Calendar Year:$0.00
Third Party Sick Pay Indicator:Unanswered
Retirement Plan Indicator:Yes - retirement plan
Statutory Employee:Not Statutory Employee
W2 Submission Type:Original
W2 WHC SSN Validation Code:Correct SSN

Form 3922: Transfer of Stock Acquired Through an Employee Stock Purchase Plan Under Section 423(c)

Corporation:

Corporation's Federal Identification Number (FIN):270000798
COMCAST CORPORATION
1701 JFK BOULEVARD
PHILADELPHIA, PA 19103-0000

Employee:

Employee's Identification Number: 219-19-2163
LERMER MICHAEL SCOTT
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):IT8QDN35X5
Exercise Price per Share:$29.00
Fair Market Value per Share on Exercise Date:$39.00
Fair Market Value per Share on Grant Date:$34.00
Exercise price per share determined as if the option was exercised on the date shown in box 1:$29.00
Date Option Exercised:03-29-2019
Date Option Granted:01-02-2019
Number of Shares Transferred:0000000000012
Date Legal Title Transferred:03-29-2019

Form 3922: Transfer of Stock Acquired Through an Employee Stock Purchase Plan Under Section 423(c)

Corporation:

Corporation's Federal Identification Number (FIN):270000798
COMCAST CORPORATION
1701 JFK BOULEVARD
PHILADELPHIA, PA 19103-0000

Employee:

Employee's Identification Number: 219-19-2163
LERMER MICHAEL SCOTT
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):JPJ5W4MMCP
Exercise Price per Share:$37.00
Fair Market Value per Share on Exercise Date:$44.00
Fair Market Value per Share on Grant Date:$44.00
Exercise price per share determined as if the option was exercised on the date shown in box 1:$37.00
Date Option Exercised:12-31-2019
Date Option Granted:10-01-2019
Number of Shares Transferred:0000000000022
Date Legal Title Transferred:12-31-2019

Form 5498 SA

Trustee:

Trustee's Federal Identification Number (FIN):941687665
BANK OF AMERICA, N.A.
C/O HEALTH ACCOUNT SERVICES
PO BOX 2203
FARGO, ND 58108-0000

Participant:

Participant's Identification Number: 219-19-2163
MICHAEL LERMER
16081 VIA SOLERA CIR APT 104 104
FORT MYERS, FL 33908-3776

Submission Type:Original document
Account Number (Optional):K6301000000067399976
MSA Contributions:$0.00
Current Contributions:$0.00
Future Contributions:$0.00
Rollover MSA Contributions:$0.00
MSA Fair Market Value:$325.00
HSA Indicator:HSA Box Checked
Archer MSA Indicator:Archer MSA Box Not Checked
MA MSA Indicator:Not Checked

Form 5498 Individual Retirement Arrangement Contribution Information

Trustee:

Trustee/Issuer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Participant:

Participant's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):L220486894001
IRA Contributions:$1,200.00
Rollover Contributions:$0.00
Roth Conversion Amount:$0.00
Recharacterized Contributions:$0.00
Fair Market Value of Account:$46.00
Life Insurance Cost Included in Box 1:$0.00
SEP Code:Not Checked
IRA Code:Checked
Simple Code:Not Checked
Roth IRA Code:Not Checked
RMD For Subsequent Year:RMD box not checked
RMD Date:00-00-0000
Year:
Postponed Contribution Code:
Repayments Code:
Fair Market Value of certain specified assets:N/A
SEP Contributions:$0.00
SIMPLE Contributions:$0.00
Roth IRA Contributions:$0.00
Required Minimum Distribution Amount:$0.00
Postponed Contributions:$0.00
Repayment of a qualified reservist distribution or federally designated disaster withdrawal repayment:$0.00
Fair Market Value of Certain Specified Assets:$0.00

Form 5498 Individual Retirement Arrangement Contribution Information

Trustee:

Trustee/Issuer's Federal Identification Number (FIN):043685560
E*TRADE SECURITIES
PO BOX 484
JERSEY CITY, NJ 07303-0484

Participant:

Participant's Identification Number: 219-19-2163
MICHAEL S LERMER
12042 LEDGEWOOD CIR
FORT MYERS, FL 33913-0000

Submission Type:Original document
Account Number (Optional):40496342662146781
IRA Contributions:$0.00
Rollover Contributions:$0.00
Roth Conversion Amount:$0.00
Recharacterized Contributions:$0.00
Fair Market Value of Account:$79.00
Life Insurance Cost Included in Box 1:$0.00
SEP Code:Not Checked
IRA Code:Checked
Simple Code:Not Checked
Roth IRA Code:Not Checked
RMD For Subsequent Year:RMD box not checked
RMD Date:00-00-0000
Year:
Postponed Contribution Code:
Repayments Code:
Fair Market Value of certain specified assets:N/A
SEP Contributions:$0.00
SIMPLE Contributions:$0.00
Roth IRA Contributions:$0.00
Required Minimum Distribution Amount:$0.00
Postponed Contributions:$0.00
Repayment of a qualified reservist distribution or federally designated disaster withdrawal repayment:$0.00
Fair Market Value of Certain Specified Assets:$0.00

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IQF40C9F6K
Date Sold or Disposed:01-25-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$1,306.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$1,194.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:12-29-2017
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IRVFSQ6ZKF
Date Sold or Disposed:03-07-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$35.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$30.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:12-29-2017
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IRVFSQ6ZWL
Date Sold or Disposed:03-07-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$909.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IRVFSQ700L
Date Sold or Disposed:03-07-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$35.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IRVFSQ700W
Date Sold or Disposed:03-07-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$6,136.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$4,782.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:03-07-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121ITUWVZXBKT
Date Sold or Disposed:05-02-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$38.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$27.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:03-07-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121ITUWVZXBK7
Date Sold or Disposed:05-02-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$84.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$58.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:03-29-2018
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121ITUWVZXBPI
Date Sold or Disposed:05-02-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$706.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IT979B8FTE
Date Sold or Disposed:04-15-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$1,023.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$726.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:03-29-2018
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IUKEBRTTC6
Date Sold or Disposed:05-22-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$1,061.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IUS2DU8W6W
Date Sold or Disposed:05-28-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$716.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IUS2DU8W7E
Date Sold or Disposed:05-28-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$973.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IVB7G46VXY
Date Sold or Disposed:06-12-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$951.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IVB7G46WBO
Date Sold or Disposed:06-12-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$2,156.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IWAYASNKF4
Date Sold or Disposed:07-10-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$85.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IWAYASNKLL
Date Sold or Disposed:07-10-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$1,444.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IWAYASNKSX
Date Sold or Disposed:07-10-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$3,896.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IXD8U6QKAZ
Date Sold or Disposed:08-09-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$3,730.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$2,200.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:08-09-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IXD8U6QKBM
Date Sold or Disposed:08-09-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$4,922.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$3,466.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:08-09-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121IXR9DWQLY7
Date Sold or Disposed:08-20-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$2,191.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$1,486.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:08-20-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121J0QGQOG8XX
Date Sold or Disposed:11-12-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$42.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121J0QGQOG9FV
Date Sold or Disposed:11-12-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$1,657.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$1,101.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:11-12-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121J0QGQOG9GK
Date Sold or Disposed:11-12-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$5,269.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$4,384.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:11-12-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121J0QGQOG9G9
Date Sold or Disposed:11-12-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$43.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$28.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:11-12-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121J2AOAD9DOL
Date Sold or Disposed:12-26-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$42.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$35.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:11-12-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):BX78227121J2AOAD9DPJ
Date Sold or Disposed:12-26-2019
CUSIP Number:20030N101
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$3,153.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:COMCAST CORP NEW CL A
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Noncovered Security Basis not reported to IRS
Type of Gain or Loss Code:
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is not being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722674
Date Sold or Disposed:12-26-2019
CUSIP Number:464288414
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$10.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$10.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:ISHARES TRUST ISHARES NATIONAL MUNI BON
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722675
Date Sold or Disposed:12-26-2019
CUSIP Number:464288414
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$47.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$46.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:ISHARES TRUST ISHARES NATIONAL MUNI BON
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722676
Date Sold or Disposed:12-26-2019
CUSIP Number:886364207
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$234.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$212.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:TIDAL ETF TRUST SOFI SELECT 500 ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722677
Date Sold or Disposed:12-26-2019
CUSIP Number:886364306
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$26.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$24.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:TIDAL ETF TRUST SOFI NEXT 500 ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722678
Date Sold or Disposed:12-26-2019
CUSIP Number:886364306
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:TIDAL ETF TRUST SOFI NEXT 500 ETF
Second Notice Indicator:
Date Acquired:04-12-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722679
Date Sold or Disposed:04-12-2019
CUSIP Number:922908769
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$4.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$4.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD INDEX FUNDS VANGUARD TOTAL STO
Second Notice Indicator:
Date Acquired:04-05-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722680
Date Sold or Disposed:12-26-2019
CUSIP Number:921937827
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$5.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$5.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SHORT TERM BOND ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722681
Date Sold or Disposed:12-26-2019
CUSIP Number:921937827
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$22.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$22.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SHORT TERM BOND ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722682
Date Sold or Disposed:12-26-2019
CUSIP Number:921937827
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SHORT TERM BOND ETF
Second Notice Indicator:
Date Acquired:04-05-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722683
Date Sold or Disposed:12-26-2019
CUSIP Number:922908751
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$12.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$11.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD INDEX FUNDS VANGUARD SMALL-CAP
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722684
Date Sold or Disposed:12-26-2019
CUSIP Number:922908751
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD INDEX FUNDS VANGUARD SMALL-CAP
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722685
Date Sold or Disposed:04-12-2019
CUSIP Number:922042858
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE EMERGING MARKETS ETF FTSE
Second Notice Indicator:
Date Acquired:04-05-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722686
Date Sold or Disposed:12-26-2019
CUSIP Number:922042858
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$32.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$30.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE EMERGING MARKETS ETF FTSE
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722687
Date Sold or Disposed:12-26-2019
CUSIP Number:922042858
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE EMERGING MARKETS ETF FTSE
Second Notice Indicator:
Date Acquired:04-05-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722688
Date Sold or Disposed:04-12-2019
CUSIP Number:921943858
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE DEVELOPED MARKETS ETF
Second Notice Indicator:
Date Acquired:04-05-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722689
Date Sold or Disposed:12-26-2019
CUSIP Number:921943858
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$95.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$89.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE DEVELOPED MARKETS ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722690
Date Sold or Disposed:12-26-2019
CUSIP Number:922020805
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SHORT TERM INFLATION PROTECTED
Second Notice Indicator:
Date Acquired:09-03-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722691
Date Sold or Disposed:12-26-2019
CUSIP Number:922020805
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$4.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$4.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SHORT TERM INFLATION PROTECTED
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722692
Date Sold or Disposed:12-26-2019
CUSIP Number:92189H409
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANECK VECTORS ETF TRUST VANECK VECTORS
Second Notice Indicator:
Date Acquired:10-31-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247814722693
Date Sold or Disposed:12-26-2019
CUSIP Number:92189H409
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$4.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$4.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANECK VECTORS ETF TRUST VANECK VECTORS
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5TA1469614796546
Date Sold or Disposed:05-07-2019
CUSIP Number:345370860
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$20.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$18.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:FORD MOTOR CO PAR $0.01
Second Notice Indicator:
Date Acquired:04-12-2019
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
11758 ROSALINDA CT
FORT MYERS, FL 33912-0000

Submission Type:Original document
Account Number (Optional):7SF4905526712140
Date Sold or Disposed:12-27-2019
CUSIP Number:464287200
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$200.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$182.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:ISHARES CORE S&P 500 ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
11758 ROSALINDA CT
FORT MYERS, FL 33912-0000

Submission Type:Original document
Account Number (Optional):7SF4905526712141
Date Sold or Disposed:12-27-2019
CUSIP Number:92204A405
Gross Proceeds:Gross proceeds
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$250.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$226.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SECTOR INDEX FDS VANGUARD FINA
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):454526070
PROSPER FUNDING LLC
221 MAIN STREET SUITE 300
SAN FRANCISCO, CA 94105-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):840821
Date Sold or Disposed:06-23-2019
CUSIP Number:0000000000000
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$7.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:291040-223 CHARGEOFF
Second Notice Indicator:
Date Acquired:03-23-2015
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is not being reported to the IRS wash sale
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):454526070
PROSPER FUNDING LLC
221 MAIN STREET SUITE 300
SAN FRANCISCO, CA 94105-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):840821
Date Sold or Disposed:07-16-2019
CUSIP Number:0000000000000
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$0.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$0.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:291040-223 DEBTSALE
Second Notice Indicator:
Date Acquired:03-23-2015
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is not being reported to the IRS wash sale
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Collectibles

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5482
Date Sold or Disposed:10-31-2019
CUSIP Number:922908363
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$399.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$380.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD S&P 500 ETF VOO
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5483
Date Sold or Disposed:08-09-2019
CUSIP Number:921943858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$140.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$139.00
Wash Sale Loss Disallowed:$1.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE DEVELOPED MARKET
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5484
Date Sold or Disposed:12-16-2019
CUSIP Number:922908751
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$80.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$77.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SMALL CAP ETF VB
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5485
Date Sold or Disposed:06-11-2019
CUSIP Number:464287457
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$133.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$132.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:ISHARES 1-3 YEAR TREASURY BOND
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5486
Date Sold or Disposed:12-16-2019
CUSIP Number:921943858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$80.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$75.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE DEVELOPED MARKET
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5487
Date Sold or Disposed:12-16-2019
CUSIP Number:922042858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$36.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$34.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD EMERGING MARKETS ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5488
Date Sold or Disposed:12-16-2019
CUSIP Number:922908363
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$159.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$152.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD S&P 500 ETF VOO
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5489
Date Sold or Disposed:08-09-2019
CUSIP Number:922908751
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$140.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$135.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SMALL CAP ETF VB
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5490
Date Sold or Disposed:12-16-2019
CUSIP Number:922908553
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$39.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$40.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD REIT INDEX ETF VNQ
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5491
Date Sold or Disposed:08-09-2019
CUSIP Number:922908553
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$70.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$63.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD REIT INDEX ETF VNQ
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5492
Date Sold or Disposed:10-31-2019
CUSIP Number:921943858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$200.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$195.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD FTSE DEVELOPED MARKET
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5493
Date Sold or Disposed:10-31-2019
CUSIP Number:922042858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$100.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$99.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD EMERGING MARKETS ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5494
Date Sold or Disposed:08-09-2019
CUSIP Number:922908363
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$280.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$258.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD S&P 500 ETF VOO
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5495
Date Sold or Disposed:08-09-2019
CUSIP Number:922042858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$70.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$72.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD EMERGING MARKETS ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5496
Date Sold or Disposed:10-31-2019
CUSIP Number:922908553
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$99.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$93.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD REIT INDEX ETF VNQ
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5497
Date Sold or Disposed:10-31-2019
CUSIP Number:922908751
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$200.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$197.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD SMALL CAP ETF VB
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5498
Date Sold or Disposed:06-11-2019
CUSIP Number:464287242
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$133.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$128.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:ISHARES INV GRD CORP BOND ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Short-term
Applicable Check Box on Form 8949:Short term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-B Proceeds From Broker and Barter Exchange Transactions

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):WSC5499
Date Sold or Disposed:12-16-2019
CUSIP Number:922042858
Gross Proceeds:Nothing checked
Bartering:$0.00
Federal Income Tax Withheld:$0.00
Proceeds:$3.00
Aggregate Profit or (Loss):$0.00
Realized Profit or (Loss):$0.00
Unrealized Profit or (Loss) 12/31 Prior Year:$0.00
Unrealized Profit or (Loss) 12/31 Current Year:$0.00
Cost or Basis:$3.00
Wash Sale Loss Disallowed:$0.00
Accrued Market Discount Amount:$0.00
Description:VANGUARD EMERGING MARKETS ETF
Second Notice Indicator:
Date Acquired:00-00-0000
Noncovered Security Indicator:Nothing checked
Type of Gain or Loss Code:Long-term
Applicable Check Box on Form 8949:Long term transaction for which the cost or other basis is being reported to the IRS
Loss Not Allowed Indicator:
FATCA Filing Requirement:Box not checked no Filing Requirement
Proceeds from:Box not checked

Form 1099-DIV

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):DX78227121
Tax Withheld:$0.00
Capital Gains:$0.00
Non-Dividend Distribution:$0.00
Cash Liquidation Distribution:$0.00
Non-Cash Liquidation Distribution:$0.00
Investment Expense:$0.00
Ordinary Dividend:$109.00
Collectibles (28%) Gain:$0.00
Unrecaptured Section 1250 Gain:$0.00
Section 1202 Gain:$0.00
Foreign Tax Paid:$0.00
Qualified Dividends:$109.00
Section 199A REIT Dividends:$0.00
Second Notice Indicator:No Second Notice
FATCA Filing Requirement:Box not checked no Filing Requirement
Exempt Interest Dividends:$0.00
Specified Private Activity Bond Interest Dividend:$0.00

Form 1099-DIV

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS5247847809245
Tax Withheld:$0.00
Capital Gains:$0.00
Non-Dividend Distribution:$0.00
Cash Liquidation Distribution:$0.00
Non-Cash Liquidation Distribution:$0.00
Investment Expense:$0.00
Ordinary Dividend:$0.00
Collectibles (28%) Gain:$0.00
Unrecaptured Section 1250 Gain:$0.00
Section 1202 Gain:$0.00
Foreign Tax Paid:$0.00
Qualified Dividends:$0.00
Section 199A REIT Dividends:$0.00
Second Notice Indicator:No Second Notice
FATCA Filing Requirement:Box not checked no Filing Requirement
Exempt Interest Dividends:$0.00
Specified Private Activity Bond Interest Dividend:$0.00

Form 1099-DIV

Payer:

Payer's Federal Identification Number (FIN):132967453
APEX CLEARING
ONE DALLAS CENTER
DALLAS, TX 75201-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):5RS52478578616
Tax Withheld:$0.00
Capital Gains:$0.00
Non-Dividend Distribution:$0.00
Cash Liquidation Distribution:$0.00
Non-Cash Liquidation Distribution:$0.00
Investment Expense:$0.00
Ordinary Dividend:$5.00
Collectibles (28%) Gain:$0.00
Unrecaptured Section 1250 Gain:$0.00
Section 1202 Gain:$0.00
Foreign Tax Paid:$0.00
Qualified Dividends:$3.00
Section 199A REIT Dividends:$0.00
Second Notice Indicator:No Second Notice
FATCA Filing Requirement:Box not checked no Filing Requirement
Exempt Interest Dividends:$0.00
Specified Private Activity Bond Interest Dividend:$0.00

Form 1099-DIV

Payer:

Payer's Federal Identification Number (FIN):462538416
ACORNS SECURITIES LLC
5300 CALIFORNIA AVENUE
IRVINE, CA 92617-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL LERMER
3040 OASIS GRAND BLVD 1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):00000282520802
Tax Withheld:$0.00
Capital Gains:$0.00
Non-Dividend Distribution:$0.00
Cash Liquidation Distribution:$0.00
Non-Cash Liquidation Distribution:$0.00
Investment Expense:$0.00
Ordinary Dividend:$20.00
Collectibles (28%) Gain:$0.00
Unrecaptured Section 1250 Gain:$0.00
Section 1202 Gain:$0.00
Foreign Tax Paid:$0.00
Qualified Dividends:$13.00
Section 199A REIT Dividends:$2.00
Second Notice Indicator:No Second Notice
FATCA Filing Requirement:Box not checked no Filing Requirement
Exempt Interest Dividends:$0.00
Specified Private Activity Bond Interest Dividend:$0.00

Form 1099-INT

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):IX78227121
Interest:$0.00
Tax Withheld:$0.00
Savings Bonds:$0.00
Investment Expense:$0.00
Interest Forfeiture:$0.00
Foreign Tax Paid:$0.00
Tax-Exempt Interest:$0.00
Specified Private Activity Bond Interest:$0.00
Market Discount:$0.00
Bond Premium:$0.00
Bond Premium on Tax Exempt Bond:$0.00
Bond Premium on Treasury Obligations:$0.00
Second Notice Indicator:No Second Notice
Foreign Country or US Possession:
CUSIP Number:315994103
FATCA Filing Requirement:Box not checked no Filing Requirement

Form 1099-INT

Payer:

Payer's Federal Identification Number (FIN):203196134
SALLIE MAE BANK
175 S WEST TEMPLE
SALT LAKE CITY, UT 84101-0000

Recipient:

Recipient's Identification Number: 219-19-2163
LERMER MICHAEL S
11758 ROSALINDA CT
FT MYERS, FL 33912-0000

Submission Type:Original document
Account Number (Optional):300100291587
Interest:$0.00
Tax Withheld:$0.00
Savings Bonds:$0.00
Investment Expense:$0.00
Interest Forfeiture:$0.00
Foreign Tax Paid:$0.00
Tax-Exempt Interest:$0.00
Specified Private Activity Bond Interest:$0.00
Market Discount:$0.00
Bond Premium:$0.00
Bond Premium on Tax Exempt Bond:$0.00
Bond Premium on Treasury Obligations:$0.00
Second Notice Indicator:No Second Notice
Foreign Country or US Possession:
CUSIP Number:
FATCA Filing Requirement:Box not checked no Filing Requirement

Form 1099-INT

Payer:

Payer's Federal Identification Number (FIN):203196134
SALLIE MAE BANK
175 S WEST TEMPLE
SALT LAKE CITY, UT 84101-0000

Recipient:

Recipient's Identification Number: 219-19-2163
LERMER MICHAEL S
11758 ROSALINDA CT
FT MYERS, FL 33912-0000

Submission Type:Original document
Account Number (Optional):300302388168
Interest:$1.00
Tax Withheld:$0.00
Savings Bonds:$0.00
Investment Expense:$0.00
Interest Forfeiture:$0.00
Foreign Tax Paid:$0.00
Tax-Exempt Interest:$0.00
Specified Private Activity Bond Interest:$0.00
Market Discount:$0.00
Bond Premium:$0.00
Bond Premium on Tax Exempt Bond:$0.00
Bond Premium on Treasury Obligations:$0.00
Second Notice Indicator:No Second Notice
Foreign Country or US Possession:
CUSIP Number:
FATCA Filing Requirement:Box not checked no Filing Requirement

Form 1099-OID

Payer:

Payer's Federal Identification Number (FIN):454526070
PROSPER FUNDING LLC
221 MAIN STREET SUITE 300
SAN FRANCISCO, CA 94105-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT1508
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):840821
Interest:$0.00
Tax Withheld:$0.00
Tax Exempt OID:$0.00
Investment Expenses:$0.00
Interest Forfeiture:$0.00
Original Issue Discount:$62.00
Original Issue Discount on Treasury Obligations:$0.00
Market Discount:$0.00
Acquisition Premium:$0.00
Bond Premium:$0.00
Description:ORIGINAL ISSUE DISCOUNT FOR 2019
FATCA Filing Requirement:Box not checked no Filing Requirement
Second Notice Indicator:No Second Notice

Form 1099-R Distributions from Pensions, Annuities, Retire or Profit-Sharing Plans, IRAs, Insurance Contracts, etc.

Payer:

Payer's Federal Identification Number (FIN):043523567
NATIONAL FINANCIAL SERVICES LLC
499 WASHINGTON BLVD
JERSEY CITY, NJ 07310-0000

Recipient:

Recipient's Identification Number: 219-19-2163
MICHAEL S LERMER
3040 OASIS GRAND BLVD APT 1508
FORT MYERS, FL 33916-1570

Submission Type:Original document
Account Number (Optional):9220486894001
Distribution Code Value:Early Distribution, no known exception (in most cases, under age 59 1/2)
Distribution Code:1
Distribution Code Value:Not significant
Distribution Code:Blank
Tax Amount Undetermined Code:Tax amount not determined
Total Distribution Code:Not checked
First Year Roth Contribution:0000
SEP Indicator:IRA/SEP/SIMP box checked
FATCA Indicator:not FATCA
Date of Payment for Reportable Death Benefits under Section 6050Y:00-00-0000
Tax Withheld:$0.00
Total Employee Contributions:$0.00
Unrealized Appreciation:$0.00
Other Income:$0.00
Gross Distribution:$1,254.00
Taxable Amount:$1,254.00
Eligible Capital Gains:$0.00
Amount to IRR:$0.00

Form 1099-R Distributions from Pensions, Annuities, Retire or Profit-Sharing Plans, IRAs, Insurance Contracts, etc.

Payer:

Payer's Federal Identification Number (FIN):046568107
FIDELITY INVESTMENTS
100 MAGELLAN WAY KW1C
COVINGTON, KY 41015-0000

Recipient:

Recipient's Identification Number: 219-19-2163
LERMER, MICHAEL SCOT
3040 OASIS GRAND BLVD
FORT MYERS, FL 33916-0000

Submission Type:Original document
Account Number (Optional):20200104023601223032
Distribution Code Value:Early Distribution, no known exception (in most cases, under age 59 1/2)
Distribution Code:1
Distribution Code Value:Not significant
Distribution Code:Blank
Tax Amount Undetermined Code:Not checked
Total Distribution Code:Not checked
First Year Roth Contribution:0000
SEP Indicator:IRA/SEP/SIMP box not checked
FATCA Indicator:not FATCA
Date of Payment for Reportable Death Benefits under Section 6050Y:00-00-0000
Tax Withheld:$0.00
Total Employee Contributions:$0.00
Unrealized Appreciation:$0.00
Other Income:$0.00
Gross Distribution:$6,738.00
Taxable Amount:$6,738.00
Eligible Capital Gains:$0.00
Amount to IRR:$0.00

This Product Contains Sensitive Taxpayer Data