Monthly Customer Statement

Transcription

1 Currency Summary Account / Name L Cur Opening Balance Conv Rate Reporting Cur Cur Net Change Closing Balance Conv Rate Reporting Cur Cur PR: C CAD 7, , USD , , USD =================== === =================== === 7, USD 7, USD

2 Currency Settlement Activity Account / Name Set Dt Quantity Asset Asset Description Transaction Description L Amount Cur Ticket # C/R Journal ID Rep Cur Amount Cur PR: Opening Balance 7, CAD 7, USD PR: Opening Layer Balance C 7, CAD 7, USD PR: /01/14 0 C CAD USD ========================= = =================== === =================== === PR: Closing Layer Balance C 7, CAD 7, USD ========================= = =================== === =================== === PR: Closing Balance ~ 7, CAD 7, USD PR: /01/14 0 eod sweeps C -1,792, USD ,792, USD PR: /01/14 6,953, QH4 T 4 3/8 05/15/40 Return for REP 6,953, C -6,987, USD ,987, USD PR: /01/14 6,953, QH4 T 4 3/8 05/15/40 Return for REP 6,953, C USD USD PR: /01/14-6,953, QH4 T 4 3/8 05/15/40 REP 6,953, USD 6,987,765 C 6,987, USD T ,987, USD PR: /01/14 21,710, QK7 T 3 7/8 08/15/40 Return for REV 21,710, C USD USD PR: /01/14 21,710, QK7 T 3 7/8 08/15/40 Return for REV 21,710, C 20,298, ,298,85 PR: /01/14 21,710, QK7 T 3 7/8 08/15/40 REV 21,710, USD 20,190,300 C -20,190, T ,190,30 PR: /01/14 13,625, QL5 T 4 1/4 11/15/40 Return for REP 13,625, C USD USD PR: /01/14-13,625, QL5 T 4 1/4 11/15/40 REP 13,625, USD 13,386,562.5 C 13,386, USD T ,386, USD PR: /01/14 13,625, QL5 T 4 1/4 11/15/40 Return for REP 13,625, C -13,386, USD ,386, USD PR: /01/14 22,819, HZ6 US TRSY NT 3 7/8 05/15/1 Return for REV 22,819, C USD USD PR: /01/14 22,819, HZ6 US TRSY NT 3 7/8 05/15/1 REV 22,819, USD 25,129, C -25,129, USD T ,129, USD Produced on 07/29/2011

3 Position Activity - Settlement Date Opening Position C 6,953, QH4 T 4 3/8 05/15/40 USD = ============== ============ === C 6,953, QH4 USD Opening Position Z -6,953, QH4 T 4 3/8 05/15/40 USD PR: /01/14 08/01/14 08/01/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,987, USD PR: PR: /05/14 08/05/14 08/05/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,970, USD PR: PR: /06/14 08/06/14 08/06/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,987, USD PR: PR: /07/14 08/07/14 08/07/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,031, USD PR: PR: /08/14 08/08/14 08/08/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,013, USD PR: PR: /11/14 08/11/14 08/11/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,126, USD PR: PR: /12/14 08/12/14 08/12/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,205, USD PR: PR: /13/14 08/13/14 08/13/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,222, USD PR: PR: /14/14 08/14/14 08/14/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,239, USD PR: PR: /15/14 08/15/14 08/15/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,170, USD PR: PR: /18/14 08/18/14 08/18/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,161,59 PR: PR: /19/14 08/19/14 08/19/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,118, USD PR: PR: /20/14 08/20/14 08/20/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,231,12 PR: PR: /21/14 08/21/14 08/21/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,152, USD PR: PR: /22/14 08/22/14 08/22/14 N REP Z -6,953, QH4 T 4 3/8 05/15/ ,092,06 PR:

4 Position Activity - Entry Date Opening Position 6,953, QH4 T 4 3/8 05/15/40 Cost: -7,383, USD PR: /29/14 08/29/14 08/30/14 N SEL C -6,953, QH4 T 4 3/8 05/15/ , ,135, USD CP: PR: Closing Position: QH4 Cost: Monthly Realized: -248, USD MTD Unrealized: 432, USD MTD Accretion: LTD Accretion: Opening Position -21,710, QK7 T 3 7/8 08/15/40 Cost: 20,243, USD PR: /29/14 08/29/14 08/30/14 N BUY C 7,378, QK7 T 3 7/8 08/15/ , ,941, USD CP: PR: Closing Position: -14,332, QK7 Cost: 13,161, USD Monthly Realized: 140, USD MTD Unrealized: -904, USD MTD Accretion: LTD Accretion: Opening Position 13,625, QL5 T 4 1/4 11/15/40 Cost: -13,299, USD PR: Closing Position: 13,625, QL5 Cost: -13,299, US Monthly Realized: MTD Unrealized: 576, USD MTD Accretion: LTD Accretion: Opening Position -22,819, HZ6 US TRSY NT 3 7/8 05/15/18 Cost: 25,247, USD PR: /29/14 08/29/14 08/30/14 N SEL C -14,500, HZ6 US TRSY NT 3 7/8 05/15/ , ,147,20 PR: PR: /29/14 08/29/14 08/30/14 N SEL C -14,500, HZ6 US TRSY NT 3 7/8 05/15/ , ,147,20 CP: NEWEDGE USA LLC PR: /29/14 08/29/14 08/30/14 N BUY C 14,500, HZ6 US TRSY NT 3 7/8 05/15/ , ,147,20 PR: Cxl PR: Closing Position: -37,319, HZ6 Cost: 41,394, USD Monthly Realized: MTD Unrealized: -703, USD MTD Accretion: LTD Accretion:

5 Position Summary - Securities Account / Name TD Position SD Position Holdings Asset Asset Description Mkt Price Market Value Cur Monthly P&L Monthly Carry Monthly Total =================== === ================= ================= ================= Total CAD 0.00 CAD Account / Name TD Position SD Position Holdings Asset Asset Description Mkt Price Market Value Cur Monthly P&L Monthly Carry Monthly Total PR: ,953, QH4 T 4 3/8 05/15/ , , , PR: ,332,000-21,710, QK7 T 3 7/8 08/15/ ,704, USD -764, , , PR: ,625,000 13,625, QL5 T 4 1/4 11/15/ ,897,50 576, , , PR: ,319,000-37,319, HZ6 US TRSY NT 3 7/8 05/15/ ,855, USD -703, , , PR: ,500,000-15,500, JH4 US TRSY NT 4 08/15/ ,493, USD -406, , , PR: ,186,000 31,186, KF6 US TRSY NT 1 7/8 02/28/ ,326, USD 46, , , PR: ,170,000 33,170, ME7 T 2 5/8 12/31/ ,326,05 163, , , PR: ,000,000-31,000, MW7 T 2 1/2 03/31/ ,927, USD -164, , , PR: ,500,000 15,500, NP1 T 1 3/4 07/31/ ,998, USD 235, , , PR: ,541,000-68,541, NV8 T 1 1/4 08/31/ ,322, USD -1,370, , ,480, PR: PC8 T 2 5/8 11/15/ , , , PR: ,250,000-54,250, PM6 T 2 1/8 12/31/ ,640, USD -624, , , PR: ,750,000 69,750, PX2 T 3 5/8 02/15/ ,861, USD 2,290, , ,510, PR: ,000,000-31,000, PZ7 T 1 1/4 03/15/ ,653, USD -55, , , PR: ,114,000-9,114, QA1 T 2 1/4 03/31/ ,545, USD -69, , , PR: QF0 T 2 04/30/ , , ,926.82

6 Pending Trades Account / Name Entry Dt Trade Dt Set Dt T Trn Quantity Asset Description Price Principal Interest Comm/Fee Proceeds Cur Counterparty Ticket # C/R Trd Status Set Status PR: /29/14 08/29/14 08/30/14 N SEL -6,953, QH4 T 4 3/8 05/15/ ,135, , ,199, USD PR: FNT I PR: /29/14 08/29/14 08/30/14 N BUY 7,378, QK7 T 3 7/8 08/15/ ,941, , ,072, USD PR: FNT I PR: /29/14 08/29/14 08/30/14 W BUY 15,448, QY9 T 2 1/4 07/31/ ,427, ,428, USD PR: FNT I PR: /29/14 08/29/14 08/30/14 W BUY 15,448, QY9 T 2 1/4 07/31/ ,427, ,428, USD PR: FNT I PR: /29/14 08/29/14 08/30/14 O BUY WIT 2 1/4 07/31/ ,427, ,427, USD PR: FNT PR: /29/14 08/29/14 08/30/14 O BUY WIT 2 1/4 07/31/ ,427, ,427, USD PR: FNT PR: /29/14 08/29/14 08/30/14 C SEL WIT 2 1/4 07/31/ ,427, ,427, USD PR: FSU PR: /29/14 08/29/14 08/30/14 C SEL WIT 2 1/4 07/31/ ,427, ,427, USD PR: FSU =============== ============== ================= === Currency Total -69, ,730, USD =============== ============== ================= Reporting Currency Total -69, ,730, USD

7 Active Repurchase Agreements Account / Name Entry Dt Open Dt Term Dt Trn Type Rate/Code Spread Quantity Asset Asset Description Amount Cur Col Value Daily Finance Daily Adj LTD Finance LTD Adj Counterparty Ticket # C/R Trd Status MTD Finance MTD Adj PR: /29/14 08/29/14 08/30/14 REP Over ,953, QH4 T 4 3/8 05/15/40 7,152, USD -7,314, PR: PR: /29/14 08/29/14 08/30/14 REV Over ,710, QK7 T 3 7/8 08/15/40-20,760, USD 21,148, PR: PR: /29/14 08/29/14 08/30/14 REP Over ,625, QL5 T 4 1/4 11/15/40 13,693, USD -14,020, PR: PR: /29/14 08/29/14 08/30/14 REV Over ,319, HZ6 US TRSY NT 3 7/8-41,843, USD 42,162, PR: PR: /29/14 08/29/14 08/30/14 REV Over ,500, JH4 US TRSY NT 4 08/1-17,650, USD 17,779, PR: PR: /29/14 08/29/14 08/30/14 REP Over ,186, KF6 US TRSY NT 1 7/8 32,433,44-32,570, PR: PR: /29/14 08/29/14 08/30/14 REP Over ,170, ME7 T 2 5/8 12/31/14 35,160,20-35,401, PR: PR: /29/14 08/29/14 08/30/14 REV Over ,000, MW7 T 2 1/2 03/31/15-33,092,50 33,188, PR: PR: /29/14 08/29/14 08/30/14 REP Over ,500, NP1 T 1 3/4 07/31/15 16,003,75-16,135, PR: PR: /29/14 08/29/14 08/30/14 REV Over ,541, NV8 T 1 1/4 08/31/15-69,483, USD 69,681, PR: PR: /29/14 08/29/14 08/30/14 REV Over ,250, PM6 T 2 1/8 12/31/15-56,555, USD 56,740, PR: PR: /29/14 08/29/14 08/30/14 REP Over ,750, PX2 T 3 5/8 02/15/21 74,981,25-76,027, , , PR: , PR: /29/14 08/29/14 08/30/14 REV Over ,000, PZ7 T 1 1/4 03/15/14-31,775,00 31,800, PR:

8 Account Summary Total Reporting Currencies (USD) Currency CAD (Conversion rate: ) Currency USD (Conversion rate: ) Value of settled currency balance(s) 7,654 7,309 0 Non FX Trade Proceeds Pending Settlement -30,730, ,730,636 ================ ================ ================ Trade Date Cash Balance -30,722,982 7,309-30,730,636 Value of Securities Positions -66,768, ,768,876 Financing Principal 99,054, ,054,675 LTD Finance -2, ,390 Accrued Interest -219, ,090 Pending Trade Accrued Interest 69, ,305 ================ ================ ================ Trade Date Market Value 32,133, ,133,624 ================ ================ ================ Total Account Value 1,410,642 7,309 1,402,988

9 Newedge Group: Newedge Group is incorporated as a Socit Anonyme in France. Newedge Group is authorized by CECEI (Banque de France) and lead-regulated in France by the Commission Bancaire and the Autorit des Marchs Financiers. Newedge Group operates outside France through its branches in Germany, Dubai, Spain, Hong Kong and UK. Newedge refers to Newedge Group and all of its worldwide branches and subsidiaries. General: All transactions are subject to our terms of business and any other relevant agreement unless otherwise agreed to in writing (the Customer Agreement) such terms and conditions being incorporated herein. All transactions executed or cleared by us for your account are subject to your Customer Agreement or, if you have not signed one, our standard terms and conditions from time to time in effect. Toutes les oprations sont rgies par nos conditions gnrales ou par tout autre accord crit (ci-aprs la Convention Client), ces conditions gnrales et ces accords sincorporant de plein droit la prsente. Toutes les oprations excutes ou compenses par nous pour votre compte sont rgies par la Convention Client ou, dans la mesure o vous navez pas sign de convention, par nos conditions gnrales en vigueur. This statement is an official record of your account(s) at Newedge Group or the relevant Newedge subsidiary. If you believe this statement contains or reflects any inaccuracy, error, discrepancy, unrecorded dividend payments or unaccounted cash position, it is important for your own protection that you report it to us immediately. All trades in your account and all items on this statement are binding upon you unless you notify us immediately upon the earlier of the time-frame set forth in your Customer Agreement, applicable confirmation or if not applicable, by open of trading on the next business day or any later period mandated by law. Cet avis constitue le relev de vos comptes ouverts auprs de Newedge Group ou de toute autre entit de Newedge Group. Si vous pensez que ce relev est inexacte, contient une erreur, quune position cash nest pas reflte ou que le paiement dun dividende nest pas enregistr il est important, afin de sauvegarder vos droits, de nous le notifier immdiatement. Toutes les oprations refltes sur votre compte ainsi que tout ce qui figure sur ce relev vous lie en labsence de contestation effectue conformment aux stipulations de la Convention Client ou de toute confirmation et en labsence de clauses spcifiques, le jour ouvr suivant lopration considre ou tout autre dlai spcifi par la rglementation en vigueur. If IB COMMISSION is on your statement, the amount next to it is the commission charged by your Introducing Agent. APS designated under the contract description denotes an average price trade. Si la mention IB Commission figure sur votre relev, le montant en face correspond la commission charg par lapporteur daffaires. La mention APS affiche sous le descriptif du contrat signifie une transaction cours moyen. In certain jurisdictions and on certain Exchanges, you may not receive an exchange contract. These transactions may be OTC contracts which may materially reflect the terms of the equivalent derivatives futures or options contract but are not exchange contracts (e.g. KRX,). Dans certains pays ou sur certains marchs, il est possible que vous nobteniez pas un contrat sur march rglement. Ces transactions pourront tre de gr gr et dans ce cas reflteront les conditions quivalentes celles du produit drivs lists mais ne constitueront pas un contrat sur march rglement (par exemple KRX, BSE, NSE). Please notify us promptly of any material change in your investment strategy or financial situation. Veuillez nous notifier sans dlai tout changement important de vos objectifs dinvestissement ou de votre situation financire. The following information is available upon written request (as applicable by law): executed time; counterparty details including fees, other charges and commissions; summary financial statements; if Newedge USA, LLC, or Newedge Canada Inc. acted as agent for both buyer and seller; the commission charged to the party; order taker; any agent used; and directors and senior officers list. Les informations suivantes sont disponibles sur demande crite (conformment la rglementation applicable) : heure dexcution, dtails concernant la contrepartie incluant les commissions, toutes autres charges et commissions, un rsum des relevs de compte. Si Newedge USA, LLC ou Newedge Canada Inc, agit en qualit dagent du vendeur et de lacheteur, vous pourrez disposer des informations relatives aux commissions prleves, lidentit du preneur dordre et de tout agent utilis ainsi que de la liste des directeurs et des responsables. If you believe that this statement contains unauthorized or impermissible trading activity, or you have a complaint, please contact Newedge Group or relevant Newedge subsidiary Compliance Department. Si vous pensez que ce relev reflte des oprations non autorises ou non permises par la rglementation ou pour toute rclamation veuillez contacter le Dpartement Conformit de Newedge Group ou de lentit de Newedge Group concerne. London Metals Exchange (LME) Transactions: London Metals Exchange (LME) Transactions: All LME registered client contracts are governed by the Customer Agreement and can only be issued by Newedge Group, the LME category 1 member, as principal. Newedge Subsidiaries may carry accounts for clients that receive LME registered client contracts on the basis of a principal-to-principal relationship with Newedge Group. Your statement will identify such contracts by the words LME REGISTERED CLIENT CONTRACT. Transactions sur le London Metals Exchange (LME): Tout contrat sur produits drivs enregistrs sur le LME est rgi par la convention client Customer Agreement. Ces contrats sont mis par Newedge Group qui, en sa qualit de Membre de catgorie 1 sur le LME, est contrepartie aux contrats principal. Les entits du groupe Newedge peuvent dtenir sur les comptes de leurs clients les contrats enregistrs sur le LME dans le cadre de la relation principal-to-principal qui lie les clients avec Newedge Group. Lavis dopr identifie ces contrats ainsi: LME REGISTERED CLIENT CONTRACT.