---
type: tax-form
category: tax
person: yanxin-lu
date: 2020-01-01
source: "[[lu_1099_td_ameritrade_2020.pdf]]"
---

# 1099 Composite — TD Ameritrade 2020 — Xuewei Jiang & Yanxin Lu (Joint Account)

## Account Information

- **Account:** 427688166
- **Statement Date:** 02/04/2021
- **Document ID:** 6M12 122 W2UE
- **Payer:** TD Ameritrade Clearing, Inc., PO BOX 2209, OMAHA, NE 68103-2209
- **Client Services:** 800-669-3900
- **Payer TIN:** 47-0533629
- **Recipient:** XUEWEI JIANG & YANXIN LU JT TEN
- **Recipient address:** 11950 IDAHO AVE APT 113, LOS ANGELES, CA 90025-5794
- **Recipient TIN:** XXX-XX-3215
- **FATCA filing requirement:** No

---

## 1099-DIV — Dividends and Distributions (OMB No. 1545-0110)

| Box | Description | Amount |
|-----|-------------|--------|
| 1a | Total ordinary dividends | $463.52 |
| 1b | Qualified dividends | $453.72 |
| 2a | Total capital gain distributions | $0.00 |
| 2b | Unrecaptured Section 1250 gain | $0.00 |
| 2c | Section 1202 gain | $0.00 |
| 2d | Collectibles (28%) gain | $0.00 |
| 3 | Nondividend distributions | $0.00 |
| 4 | Federal income tax withheld | $0.00 |
| 5 | Section 199A dividends | $5.70 |
| 6 | Investment expenses | $0.00 |
| 7 | Foreign tax paid | $0.00 |
| 8 | Foreign country or US possession | (blank) |
| 9 | Cash liquidation distributions | $0.00 |
| 10 | Noncash liquidation distributions | $0.00 |
| 11 | Exempt-interest dividends | $0.00 |
| 12 | Specified private activity bond interest dividends (AMT) | $0.00 |

---

## 1099-INT — Interest Income (OMB No. 1545-0112)

| Box | Description | Amount |
|-----|-------------|--------|
| 1 | Interest income (not included in line 3) | $0.04 |
| 2 | Early withdrawal penalty | $0.00 |
| 3 | Interest on US Savings Bonds & Treasury obligations | $0.00 |
| 4 | Federal income tax withheld | $0.00 |
| 5 | Investment expenses | $0.00 |
| 6 | Foreign tax paid | $0.00 |
| 7 | Foreign country or US possession | (blank) |
| 8 | Tax-exempt interest | $0.00 |
| 9 | Specified private activity bond interest (AMT) | $0.00 |
| 10 | Market discount (covered lots) | $0.00 |
| 11 | Bond premium (covered lots) | $0.00 |
| 12 | Bond premium on Treasury obligations (covered lots) | $0.00 |
| 13 | Bond premium on tax-exempt bonds | $0.00 |
| 14 | Tax-exempt and tax credit bond CUSIP number | See detail |

---

## 1099-B — Proceeds from Broker and Barter Exchange Transactions (OMB No. 1545-0715)

### Summary of Proceeds, Gains & Losses, Adjustments and Withholding

| Term | Form 8949 Type | Proceeds | Cost Basis | Market Discount | Wash Sale Loss Disallowed | Net Gain or Loss |
|------|---------------|----------|------------|-----------------|--------------------------|-----------------|
| Short | A (basis reported to IRS) | $4,917.06 | $4,653.99 | $0.00 | $0.00 | $263.07 |
| Short | B (basis not reported) | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 |
| Short | C (no 1099-B received) | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 |
| **Total Short-term** | | **$4,917.06** | **$4,653.99** | **$0.00** | **$0.00** | **$263.07** |
| Long | D (basis reported to IRS) | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 |
| Long | E (basis not reported) | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 |
| Long | F (no 1099-B received) | $0.00 | $0.00 | $0.00 | $0.00 | $0.00 |
| **Total Long-term** | | **$0.00** | **$0.00** | **$0.00** | **$0.00** | **$0.00** |
| **Grand Total** | | **$4,917.06** | **$4,653.99** | **$0.00** | **$0.00** | **$263.07** |

**Federal income tax withheld:** $0.00

### Short-Term Transactions — Covered Tax Lots (Box A checked, basis reported to IRS)

| Description / CUSIP / Symbol | Date Sold | Qty | Proceeds | Date Acquired | Cost Basis | Gain/Loss |
|------------------------------|-----------|-----|----------|---------------|------------|-----------|
| FIDELITY COVINGTON TRUST MSCI FINLS IDX ETF / 316092501 / FNCL | 11/16/20 | 49.000 | $1,929.82 | 06/23/20 | $1,666.49 | $263.33 |
| INTERNATIONAL BUS MACH CORP COM / 459200101 / IBM | 06/23/20 | 25.000 | $2,987.24 | 06/23/20 | $2,987.50 | -$0.26 |
| **Totals** | | | **$4,917.06** | | **$4,653.99** | **$263.07** |

---

## 1099-MISC — Miscellaneous Income (OMB No. 1545-0115)

| Box | Description | Amount |
|-----|-------------|--------|
| 2 | Royalties | $0.00 |
| 3 | Other income | $0.00 |
| 4 | Federal income tax withheld | $0.00 |
| 8 | Substitute payments in lieu of dividends or interest | $0.00 |

---

## Detail for Dividends and Distributions

| Security | CUSIP / Symbol | Date | Amount | Type |
|----------|---------------|------|--------|------|
| FIDELITY COVINGTON TRUST MSCI CONSM DIS ETF | 316092204 FDIS | 03/25/20 | $9.97 | Qualified dividend |
| | | 06/24/20 | $5.41 | Qualified dividend |
| | | 09/23/20 | $5.87 | Qualified dividend |
| | | 12/23/20 | $10.20 | Qualified dividend |
| | | **Subtotal** | **$31.45** | |
| FIDELITY COVINGTON TRUST CONSMR STAPLES ETF | 316092303 FSTA | 03/25/20 | $16.12 | Qualified dividend |
| | | 06/24/20 | $15.02 | Qualified dividend |
| | | 09/23/20 | $15.06 | Qualified dividend |
| | | 09/23/20 | $0.22 | Nonqualified dividend |
| | | 12/23/20 | $18.52 | Qualified dividend |
| | | 12/23/20 | $0.27 | Nonqualified dividend |
| | | **Subtotal** | **$65.21** | |
| FIDELITY COVINGTON TRUST MSCI FINLS IDX ETF | 316092501 FNCL | 09/23/20 | $51.61 | Qualified dividend |
| | | 09/23/20 | $3.17 | Section 199A dividend |
| | | 12/23/20 | $41.27 | Qualified dividend |
| | | 12/23/20 | $2.53 | Section 199A dividend |
| | | **Subtotal** | **$98.58** | |
| FIDELITY COVINGTON TRUST MSCI INFO TECH I ETF | 316092808 FTEC | 03/25/20 | $33.48 | Qualified dividend |
| | | 06/24/20 | $23.52 | Qualified dividend |
| | | 09/23/20 | $41.58 | Qualified dividend |
| | | 12/23/20 | $48.40 | Qualified dividend |
| | | **Subtotal** | **$146.98** | |
| SPDR SERIES TRUST S&P BIOTECH ETF | 78464A870 XBI | 09/24/20 | $1.21 | Nonqualified dividend |
| | | 09/24/20 | $0.57 | Qualified dividend |
| | | 12/24/20 | $2.40 | Nonqualified dividend |
| | | 12/24/20 | $1.12 | Qualified dividend |
| | | **Subtotal** | **$5.30** | |
| TEXAS INSTRUMENTS INC COM | 882508104 TXN | 08/17/20 | $9.00 | Qualified dividend |
| | | 11/16/20 | $10.20 | Qualified dividend |
| | | **Subtotal** | **$19.20** | |
| VANGUARD S&P 500 ETF SHS | 922908363 VOO | 12/28/20 | $96.80 | Qualified dividend |
| **Total Dividends & Distributions** | | | **$463.52** | |

---

## Detail for Interest Income

| Security | CUSIP / Symbol | Date | Amount | Type |
|----------|---------------|------|--------|------|
| FDIC INSURED DEPOSIT ACCOUNT CORE NOT COVERED BY SIPC | 9ZZZFD104 MMDA1 | 06/30/20 | $0.01 | Interest - money mkt |
| | | 07/31/20 | $0.01 | Interest - money mkt |
| | | 11/30/20 | $0.01 | Interest - money mkt |
| | | 12/31/20 | $0.01 | Interest - money mkt |
| **Total Interest** | | | **$0.04** | |

---

## State Tax Withheld

| Form | Amount |
|------|--------|
| 1099-DIV total withheld | $0.00 |
| 1099-INT total withheld | $0.00 |
| 1099-OID total withheld | $0.00 |
| 1099-MISC total withheld | $0.00 |
| 1099-B total withheld | $0.00 |

## End Notes

- **03:** The tax character of the distribution has been allocated based on information provided by the security issuer.