1.3 Roth Capital Partners, LLC 2026 1 2026-04-30T19:39:12Z 2026 01 100.00 0.00 0.00 0.00 100.00 Goldman, Sachs & Co. 100.00 0.00 0.00 0.00 100.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Roth routed held orders to GSEC Securities (GSCO) to access liquidity on securities exchanges electronic communications networks and from other market participants. GSCO charges Roth 9 mills per executed share for this strategy. 100.00 0.00 0.00 0.00 100.00 BBSS 50.00 0.00 0.00 0.00 50.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Roth routed held orders equity orders to NYSE Floor Broker (BBSS) to access liquidity on securities exchange. Roth's Floor broker rate is 30 mills per executed share. BofA Securities, Inc. 50.00 0.00 0.00 0.00 50.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Roth routed held orders and or equity orders tied to options to the consolidator and non liquidity provider BofA Securities (MLCO) to access liquidity on securities exchanges electronic communications networks and from other market participants. MLCO charges Roth 10 mills per executed share. 100.00 0.00 1.22 6.42 92.36 Matrix Executions, LLC 99.99 0.00 100.00 100.00 99.99 0.00 0.0000 -3655.90 -25.2828 7137.53 38.9242 14541.42 19.7429 ROTH Capital Partners, LLC (“ROTH”) received payment from Matrix Executions, LLC (“Matrix”) in the amounts shown above for option orders (other than order in index options) that were routed to and executed through or with Matrix during the month indicated. Such amounts were calculated (and ROTH was paid) (1) For ROTH DMA orders, ROTH will receive/pay 100% of applicable exchange “maker/taker” fees (i.e. rebates for adding liquidity and fees for taking liquidity respectively) calculated at the pricing tier applicable solely to ROTH orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating ROTH orders with other non-ROTH orders; (2) at a rate of $0.25 per executed contract on all “Customer” Complex SMARTSPREAD orders (not including singly listed products, SYNTHETIC Spread and DMA routed orders), (3) at a rate of $0.10 per executed contract on applicable exchanges that provide marketing fees, (4) based upon the amount Matrix receives from applicable options exchanges and shares with ROTH (as described below) for crossing ROTH options orders on such options exchanges, as described in greater detail below. 2026 02 100.00 0.00 0.00 0.00 100.00 BBSS 100.00 0.00 0.00 0.00 100.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Roth routed held orders equity orders to NYSE Floor Broker (BBSS) to access liquidity on securities exchange. Roth's Floor broker rate is 30 mills per executed share. 100.00 0.05 1.21 5.81 92.93 Matrix Executions, LLC 100.00 100.00 100.00 100.00 100.00 -43.68 -14.5600 -5451.10 -38.2963 9070.12 35.6474 6804.55 16.0205 ROTH Capital Partners, LLC (“ROTH”) received payment from Matrix Executions, LLC (“Matrix”) in the amounts shown above for option orders (other than order in index options) that were routed to and executed through or with Matrix during the month indicated. Such amounts were calculated (and ROTH was paid) (1) For ROTH DMA orders, ROTH will receive/pay 100% of applicable exchange “maker/taker” fees (i.e. rebates for adding liquidity and fees for taking liquidity respectively) calculated at the pricing tier applicable solely to ROTH orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating ROTH orders with other non-ROTH orders; (2) at a rate of $0.25 per executed contract on all “Customer” Complex SMARTSPREAD orders (not including singly listed products, SYNTHETIC Spread and DMA routed orders), (3) at a rate of $0.10 per executed contract on applicable exchanges that provide marketing fees, (4) based upon the amount Matrix receives from applicable options exchanges and shares with ROTH (as described below) for crossing ROTH options orders on such options exchanges, as described in greater detail below. 2026 03 100.00 0.00 0.00 0.00 100.00 BofA Securities, Inc. 100.00 0.00 0.00 0.00 100.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Roth routed held orders and or equity orders tied to options to the consolidator and non liquidity provider BofA Securities (MLCO) to access liquidity on securities exchanges electronic communications networks and from other market participants. MLCO charges Roth 10 mills per executed share. 100.00 0.00 0.00 0.00 100.00 BofA Securities, Inc. 100.00 0.00 0.00 0.00 100.00 0.00 0.0000 0.00 0.0000 0.00 0.0000 0.00 0.0000 Roth routed held orders and or equity orders tied to options to the consolidator and non liquidity provider BofA Securities (MLCO) to access liquidity on securities exchanges electronic communications networks and from other market participants. MLCO charges Roth 10 mills per executed share. 100.00 0.00 1.18 7.02 91.80 Matrix Executions, LLC 100.00 0.00 100.00 100.00 100.00 0.00 0.0000 -862.01 -8.8194 8098.69 47.2833 4199.73 21.0249 ROTH Capital Partners, LLC (“ROTH”) received payment from Matrix Executions, LLC (“Matrix”) in the amounts shown above for option orders (other than order in index options) that were routed to and executed through or with Matrix during the month indicated. Such amounts were calculated (and ROTH was paid) (1) For ROTH DMA orders, ROTH will receive/pay 100% of applicable exchange “maker/taker” fees (i.e. rebates for adding liquidity and fees for taking liquidity respectively) calculated at the pricing tier applicable solely to ROTH orders and not any more favorable pricing tier that Matrix may obtain as a result of aggregating ROTH orders with other non-ROTH orders; (2) at a rate of $0.25 per executed contract on all “Customer” Complex SMARTSPREAD orders (not including singly listed products, SYNTHETIC Spread and DMA routed orders), (3) at a rate of $0.10 per executed contract on applicable exchanges that provide marketing fees, (4) based upon the amount Matrix receives from applicable options exchanges and shares with ROTH (as described below) for crossing ROTH options orders on such options exchanges, as described in greater detail below.