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obsidian-yanxin/documents/tax/2023/lu_1099_stock_2023.md
Yanxin Lu 6bc3f3a21f Archive tax, immigration, and remaining loose docs into vault 
- tax/: 84 files across 2014-2025 with full .md transcriptions
- immigration/: 734 files (H-1B, green card, visa stamping, travel visas, passport) with 26 summary.md files
- Loose files sorted: SSN cards → id/, vaccines → medical/covid/, credit check + lease addendum → lease/, UChicago offer → employment/, wine archive → receipts/
- home.md: removed green card timeline (moved to immigration/greencard/greencard/summary.md)
2026-04-05 19:37:52 -07:00

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1099 tax yanxin-lu 2023-12-31 lu_1099_stock_2023.pdf

1099 Composite - Charles Schwab 2023 - Yanxin Lu

Account Information

  • Broker: Charles Schwab & Co., Inc.
  • Account: 7762-6713
  • Account Holder: Yanxin Lu, Designated Bene Plan/TOD
  • Address: 12421 Sanford St, Los Angeles, CA 90066
  • Payer TIN: 94-1737782
  • Recipient TIN (Last 4): 3464
  • Date Prepared: February 9, 2024
  • Pages: 28

Form 1099-DIV - Dividends and Distributions

Box Description Amount
1a Total Ordinary Dividends $2,901.66
1b Qualified Dividends $1,102.74
2a Total Capital Gain Distributions $0.00
3 Nondividend Distributions $0.00
4 Federal Income Tax Withheld $0.00
5 Section 199A Dividends $10.21
6 Investment Expenses $0.00
7 Foreign Tax Paid $9.11
16 State Tax Withheld $0.00

Dividend Detail by Security

Non-Qualified Dividends

Security Symbol CUSIP Paid 2023 Adjusted 2024 Amount
Fidelity Elctrc VHC FTR FDRV 316092220 $37.50 ($37.50) $0.00
Invsc China Technology CQQQ 46138E800 $53.12 ($22.66) $30.46
Schwab Treasury Oblig MO SNOXX 808515621 $1,757.77 $0.00 $1,757.77
Vanguard Health Care VHT 92204A504 $165.24 ($165.24) $0.00
Vanguard Industrials VIS 92204A603 $362.37 ($362.37) $0.00
Vanguard Information VGT 92204A702 $218.63 ($218.63) $0.00
Vanguard S&P 500 ETF VOO 922908363 $283.04 ($272.83) $10.21
Total Non-Qualified $2,877.67 ($1,079.23) $1,798.44

Short-Term Capital Gains (in Box 1a)

Security Symbol Amount
Schwab Treasury Oblig MO SNOXX $0.48

Qualified Dividends (Box 1b)

Security Symbol Amount
Apple Inc AAPL $14.40
Fidelity Elctrc VHC FTR FDRV $46.61
Invsc China Technology CQQQ $22.66
Vanguard Health Care VHT $165.24
Vanguard Industrials VIS $362.37
Vanguard Information VGT $218.63
Vanguard S&P 500 ETF VOO $272.83
Total Qualified $1,102.74

Section 199A Dividends (Box 5)

Security Symbol Amount
Vanguard S&P 500 ETF VOO $10.21

Foreign Tax Paid (Box 7)

Security Country Amount
Fidelity Elctrc VHC FTR RIC ($9.11)

Form 1099-INT - Interest Income

Box Description Amount
1 Interest Income $2.26
17 State Tax Withheld $0.00

Interest Detail

Security Amount
Deposit Interest $2.26

Form 1099-B - Proceeds from Broker Transactions

Short-Term Transactions (Box A - basis reported to IRS)

Description CUSIP / Symbol Date Acquired Date Sold Proceeds Cost Gain/Loss
55 Apple Inc 037833100 / AAPL 09/08/23 09/08/23 $9,887.81 $9,853.53 $34.28
800 Fidelity Elctrc VHC FTR TRNSPRT 316092220 / FDRV Various 09/08/23 $14,218.02 $15,635.48 ($1,417.46)
370 Invsc China Technology ETF 46138E800 / CQQQ Various 09/08/23 $14,163.44 $18,374.87 ($4,211.43)
500 KraneShares MSCI CHN CLN Tech 500767850 / KGRN 02/03/23 09/08/23 $12,897.33 $15,859.15 ($2,961.82)
370 KraneShares MSCI CHN CLN Tech 500767850 / KGRN Various 11/30/23 $8,369.32 $10,522.32 ($2,153.00)
1,180 KRNSHR MSCI AL CHNA HLTHCR ETF 500767835 / KURE Various 09/08/23 $19,823.66 $26,730.09 ($6,906.43)
115 Vanguard Consumer Staples 92204A207 / VDC Various 02/03/23 $21,995.18 $22,454.08 ($458.90)
30 Vanguard Information Technol 92204A702 / VGT 08/24/22 02/06/23 $10,883.60 $11,131.05 ($247.45)
Total Short-Term (A) $112,238.36 $130,560.57 ($18,322.21)

Short-Term Transactions (Box B - basis not reported to IRS)

All META Platforms Inc Class A (30303M102):

Shares Date Acquired Date Sold Proceeds Cost Gain/Loss
43 11/15/22 05/16/23 $10,192.27 $4,911.46 $5,280.81
100 08/15/23 08/16/23 $29,953.75 $30,619.00 ($665.25)
30 Various 08/16/23 $8,993.33 $8,389.52 $603.81
100 11/15/23 11/16/23 $32,948.36 $33,631.00 ($682.64)
Total Short-Term (B) $82,087.71 $77,550.98 $4,536.73

Total Short-Term Sales: $194,326.07, Cost $208,111.55, Loss ($13,785.48)

Long-Term Transactions (Box D - basis reported to IRS)

Description CUSIP / Symbol Date Acquired Date Sold Proceeds Cost Gain/Loss
101 Vanguard Health Care ETF 92204A504 / VHT Various 09/08/23 $24,439.78 $24,324.25 $115.53
Total Long-Term (D) $24,439.78 $24,324.25 $115.53

Long-Term Transactions (Box E - basis not reported to IRS)

All META Platforms Inc Class A (30303M102):

Shares Date Acquired Date Sold Proceeds Cost Gain/Loss
13 11/15/20 02/03/23 $2,404.01 $3,600.35 ($1,196.34)
71 11/15/20 02/03/23 $13,129.73 $19,663.45 ($6,533.72)
12 02/15/21 02/03/23 $2,219.11 $3,246.00 ($1,026.89)
64 02/15/21 02/03/23 $11,835.25 $17,312.00 ($5,476.75)
9 05/15/21 02/03/23 $1,664.34 $2,843.46 ($1,179.12)
13 05/15/21 02/03/23 $2,404.04 $4,107.22 ($1,703.18)
18 05/15/21 02/03/23 $3,328.67 $5,686.92 ($2,358.25)
80 Various 02/16/23 $13,912.08 $26,078.28 ($12,166.20)
87 Various 05/16/23 $20,621.58 $31,552.08 ($10,930.50)
Total Long-Term (E) $71,518.81 $114,089.76 ($42,570.95)

Total Long-Term Sales: $95,958.59, Cost $138,414.01, Loss ($42,455.42)

Grand Summary

Proceeds Cost Basis Gain/Loss
Total Short-Term $194,326.07 $208,111.55 ($13,785.48)
Total Long-Term $95,958.59 $138,414.01 ($42,455.42)
Total All Sales $290,284.66 $346,525.56 ($56,240.90)
Federal Income Tax Withheld $0.00

Year-End Summary (Not reported to IRS)

Realized Gain or (Loss) Detail - Short-Term (Covered, Box A)

Security CUSIP Qty Date Acquired Date Sold Proceeds Cost Gain/Loss
Apple Inc 037833100 55 09/08/23 09/08/23 $9,887.81 $9,853.53 $34.28
Fidelity Elctrc VHC FTR TRNSPRT ETF 316092220 1 02/02/23 09/08/23 $17.77 $20.26 ($2.49)
Fidelity Elctrc VHC FTR TRNSPRT ETF 316092220 4 02/02/23 09/08/23 $71.09 $80.92 ($9.83)
Fidelity Elctrc VHC FTR TRNSPRT ETF 316092220 795 02/03/23 09/08/23 $14,129.16 $15,534.30 ($1,405.14)
Invsc China Technology ETF 46138E800 15 01/17/23 09/08/23 $574.19 $713.53 ($139.34)
Invsc China Technology ETF 46138E800 55 02/03/23 09/08/23 $2,105.38 $2,732.32 ($626.94)
Invsc China Technology ETF 46138E800 300 02/03/23 09/08/23 $11,483.87 $14,929.02 ($3,445.15)
KraneShares MSCI CHN CLN Tech 500767850 500 02/03/23 09/08/23 $12,897.33 $15,859.15 ($2,961.82)
KraneShares MSCI CHN CLN Tech 500767850 200 02/16/23 11/30/23 $4,523.96 $5,979.92 ($1,455.96)
KraneShares MSCI CHN CLN Tech 500767850 170 05/17/23 11/30/23 $3,845.36 $4,542.40 ($697.04)
KRNSHR MSCI AL CHNA HLTHCR ETF 500767835 190 02/03/23 09/08/23 $3,191.95 $4,507.39 ($1,315.44)
KRNSHR MSCI AL CHNA HLTHCR ETF 500767835 600 02/03/23 09/08/23 $10,079.83 $14,121.00 ($4,041.17)
KRNSHR MSCI AL CHNA HLTHCR ETF 500767835 140 02/16/23 09/08/23 $2,351.96 $3,084.20 ($732.24)
KRNSHR MSCI AL CHNA HLTHCR ETF 500767835 250 05/17/23 09/08/23 $4,199.92 $5,017.50 ($817.58)
Vanguard Consumer Staples ETF 92204A207 85 08/25/22 02/03/23 $16,257.31 $16,637.38 ($380.07)
Vanguard Consumer Staples ETF 92204A207 30 08/26/22 02/03/23 $5,737.87 $5,816.70 ($78.83)
Vanguard Information Tech ETF 92204A702 30 08/24/22 02/06/23 $10,883.60 $11,131.05 ($247.45)

Total Short-Term (Covered): Proceeds $112,238.36, Cost $130,560.57, Loss ($18,322.21)

Short-Term (Noncovered, Box B) - META only

Shares Date Acquired Date Sold Proceeds Cost Gain/Loss
12 11/15/22 05/16/23 $2,844.35 $1,370.64 $1,473.71
13 11/15/22 05/16/23 $3,081.39 $1,484.86 $1,596.53
18 11/15/22 05/16/23 $4,266.53 $2,055.96 $2,210.57
11 05/15/23 08/16/23 $3,297.55 $2,571.91 $725.64
14 08/15/23 08/16/23 $4,193.53 $4,286.66 ($93.13)
18 08/15/23 08/16/23 $5,391.68 $5,511.42 ($119.74)
19 08/15/23 08/16/23 $5,695.78 $5,817.61 ($121.83)
33 08/15/23 08/16/23 $9,884.73 $10,104.27 ($219.54)
35 08/15/23 08/16/23 $10,483.81 $10,716.65 ($232.84)
13 11/15/23 11/16/23 $4,283.29 $4,372.03 ($88.74)
18 11/15/23 11/16/23 $5,930.70 $6,053.58 ($122.88)
22 11/15/23 11/16/23 $7,248.64 $7,398.82 ($150.18)
47 11/15/23 11/16/23 $15,485.73 $15,806.57 ($320.84)

Total Short-Term (Noncovered): Proceeds $82,087.71, Cost $77,550.98, Gain $4,536.73

Long-Term (Covered, Box D) - VHT

Security Qty Date Acquired Date Sold Proceeds Cost Gain/Loss
Vanguard Health Care ETF 71 08/25/22 09/08/23 $17,180.44 $17,178.45 $1.99
Vanguard Health Care ETF 30 08/26/22 09/08/23 $7,259.34 $7,145.80 $113.54

Total Long-Term (Covered): Proceeds $24,439.78, Cost $24,324.25, Gain $115.53

Long-Term (Noncovered, Box E) - META only

Multiple lots of META sold in 2023 at losses. All acquired 2020-2021, sold Jan-May 2023.

Total Long-Term (Noncovered): Proceeds $71,518.81, Cost $114,089.76, Loss ($42,570.95)

Supplemental Information

Foreign Tax Paid and Income Summary

  • Fidelity Elctrc VHC FTR (FDRV): Foreign tax paid ($9.11), Country: RIC
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