Exhibit B: Certification — Scott Schiller — Case 1:21-md-02989-CMA (Document 572-4)

Summary

Exhibit B to Document 572 in Case 1:21-md-02989-CMA (Document 572-4), entered on the FLSD docket June 9, 2023: a six-page certification in which Scott Schiller, as Plaintiff, authorizes Pessah Law Group, PC, Chelin Law Firm and Klafter Lesser LLP to file a federal securities action against Robinhood Financial, LLC, Robinhood Securities LLC and Robinhood Markets, Inc. over the "Affected Options," call options on AAL, AMC, BB, BBBY, GME and NOK. Numbered statements cover review of the complaint, trading not at counsel's direction, willingness to serve as lead plaintiff, the attached transaction list, prior representative roles and payment limits; the certification is executed under penalty of perjury on April 5, 2023. Exhibit A lists AAL call option contracts bought between September 22, 2020 and January 22, 2021, each marked expired at the February 19, 2021 expiry.

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Date: 2023-06-09

Cite this document

“Exhibit B: Certification — Scott Schiller — Case 1:21-md-02989-CMA (Document 572-4).” Original at archive.org, dated 2023-06-09. Archived at Pandemic Darlings, https://pandemicdarlings.com/source-documents/2023-06-09-covid-era-misc-f7055576-1/, SHA-256 f7055576eb1cad5875161aad6f18a3e8c2813036b755369a41385366447b2e9f.

Full text

Case 1:21-md-02989-CMA Document 572-4 Entered on FLSD Docket 06/09/2023 Page 1 of 6




                EXHIBIT B
Case 1:21-md-02989-CMA Document 572-4 Entered on FLSD Docket 06/09/2023 Page 2 of 6
Case 1:21-md-02989-CMA Document 572-4 Entered on FLSD Docket 06/09/2023 Page 3 of 6
DocuSign Envelope ID: 23878D39-9E3C-4651-8A96-575FDA61EBC5
      Case 1:21-md-02989-CMA Document 572-4 Entered on FLSD Docket 06/09/2023 Page 4 of 6

                                                         CERTIFICATION

             Scott Schiller (the “Plaintiff”) authorizes Pessah Law Group, PC, Chelin Law Firm and Klafter
             Lesser LLP to file an action under the federal securities laws to recover damages and to seek
             other relief against ROBINHOOD FINANCIAL, LLC, ROBINHOOD SECURITIES LLC,
             ROBINHOOD MARKETS, INC. (collectively “RH”) in connection with the purchase and sale
             or expiration, of one or more of the Affected Options which consist of call options on any of the
             following stocks: American Airlines Group Inc. (NASDAQ: AAL), AMC Entertainment
             Holdings Inc. (NYSE: AMC), BlackBerry Limited (NYSE: BB), Bed Bath & Beyond Inc.
             (NASDAQ: BBBY), GameStop Corp. (NYSE: GME), or Nokia Corporation (NYSE: NOK).

             Plaintiff declares, as to the claims asserted under the federal securities laws, that:

             1. Plaintiff has reviewed a complaint on behalf of purchasers of the Affected Options against RH
             and retained Pessah Law Group, PC, Chelin Law Firm and Klafter Lesser LLP.

             2. Plaintiff did not engage in transactions in the securities that are the subject of this action at the
             direction of Plaintiff’s counsel or in order to participate in this or any other litigation under the
             securities laws of the United States.

             3. Plaintiff is willing to serve as a lead plaintiff either individually or as part of a group. A lead
             plaintiff is a representative party who acts on behalf of other class members in directing the
             action, and whose duties may include testifying at deposition and trial.

             4. Exhibit A contains a list of all of the purchases and sales Plaintiff has made in the Affected
             Options for which Plaintiff seeks redress pursuant to the claims set forth in the complaint:

             5. Plaintiff has not, within the three years preceding the date of this certification, sought to serve
             or served as a representative party on behalf of a class in an action involving alleged violations
             of the federal securities laws, except: for the following company(ies): ROBINHOOD
             FINANCIAL, LLC, ROBINHOOD SECURITIES LLC, ROBINHOOD MARKETS, INC.

             6. Plaintiff will not accept any payment for serving as a representative party beyond Plaintiff’s
             pro rata share of any recovery, except reasonable costs and expenses, such as travel expenses and
             lost wages directly related to the class representation, as ordered or approved by the court
             pursuant to law.

             I declare under penalty of perjury under the laws of the United States of America that the
             foregoing is true and correct.

             Executed on April 5, 2023




             SCOTT SCHILLER
DocuSign Envelope ID: 23878D39-9E3C-4651-8A96-575FDA61EBC5
      Case 1:21-md-02989-CMA Document 572-4 Entered on FLSD Docket 06/09/2023 Page 5 of 6


                                                             EXHIBIT A

                                                       SCOTT SCHILLER

             AFFECTED OPTIONS PURCHASED AND                         SALES OF SUCH OPTIONS BETWEN
             HELD AT THE CLOSE ON JAN. 27, 2021                     JAN. 28, 2021 AND FEB. 19, 2021
                        OPTION               PURCH.             PURCH. PRICE SALE            SALE
                                             DATE                                 DATE       PRICE
              AAL - 5 contracts (500 shares) 10/15/20           $135.00           Expired    Expired
                Call- 02/19/2021 Expiry
              AAL - 3 contracts (300 shares) 10/15/20           $81.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  10/15/20           $27.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  10/15/20           $27.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 3 contracts (300 shares) 11/11/20           $48.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 5 contracts (500 shares) 11/20/20           $105.00        Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 4 contracts (400 shares) 12/18/20           $252.00        Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  12/18/20           $63.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  12/18/20           $63.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  12/18/20           $63.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 5 contracts (500 shares) 12/22/20           $175.00        Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 5 contracts (500 shares) 12/28/20           $165.00        Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 3 contracts (300 shares) 12/31/20           $66.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 5 contracts (500 shares) 01/14/21           $65.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 7 contracts (700 shares) 01/15/21           $70.00         Expired     Expired
                Call- 02/19/2021 Expiry
                AAL - 10 contracts (1000     01/22/21           $60.00         Expired     Expired
                         shares)
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  09/22/20           $25.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 5 contracts (500 shares) 10/08/20           $140.00        Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  10/09/20           $22.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 2 contracts (200 shares) 10/13/20           $32.00         Expired     Expired
                Call- 02/19/2021 Expiry
              AAL - 1 contract (100 shares)  10/13/20           $21.00         Expired     Expired
                Call- 02/19/2021 Expiry
DocuSign Envelope ID: 23878D39-9E3C-4651-8A96-575FDA61EBC5
      Case 1:21-md-02989-CMA Document 572-4 Entered on FLSD Docket 06/09/2023 Page 6 of 6

               AAL - 1 contract (100 shares)         10/13/20 $21.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 1 contract (100 shares)         10/13/20 $17.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 3 contracts (300 shares)        11/23/20 $27.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 1 contract (100 shares)         12/17/20 $29.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 1 contract (100 shares)         12/18/20 $28.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 1 contract (100 shares)         12/18/20 $27.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 1 contract (100 shares)         12/22/20 $17.00   Expired   Expired
                 Call- 02/19/2021 Expiry
               AAL - 1 contract (100 shares)         12/22/20 $17.00   Expired   Expired
                 Call- 02/19/2021 Expiry

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Our copy: gov.uscourts.flsd.590042.572.4.pdf
Original: archive.org