SCHEDULE 1 UNENCUMBERED CLIENT ASSETS

Transcription

1 SCHEDULE 1 UNENCUMBERED CLIENT ASSETS

2 Schedule 1 Unencumbered Client Assets Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status AG9673 N/A /AU/VENTRUNL VENTUREAXESS CAPITAL D AU AUD Delisted N/A Held AG9673 Total N/A COD COBALT USD , USD 89, , TBNS TBNS 01/08/2012 Held Total 89, , TBNS TBNS MCU2403 N/A US PFIZER INC (GB) GBP Delisted N/A Held MCU2403 Total MCU2423 N/A GB ALLIANZ DRES EURO IDX A 2, , GBP 2, Schedule 9 Part B 01/08/2012 Held MCU2423 Total 2, MCU3677 N/A GB BT GROUP ORD , , GBP 2, Schedule 9 Part A 01/08/2012 Held MCU3677 N/A GB00B16GWD56 VODAFONE GROUP LN GBP Schedule 9 Part A 01/08/2012 / Held MCU3677 Total 2, MCU3678 N/A CH ZURICH FINL GBP Delisted N/A Held MCU3678 Total MCU3898 N/A GB PRESTBURY INVEST HOLD 1, GBP Delisted N/A Held MCU3898 Total MCU4006 N/A GB YEOMAN INVEST 10, GBP Delisted N/A Held MCU4006 Total MCU4522 N/A GB PRESTBURY INVEST HOLD 6, GBP Delisted N/A Held MCU4522 N/A SE BOLIDEN AB (CAD) , CAD 2, Schedule 9 Part A 01/08/2012 Held MCU4522 N/A US ENRON (GB) 2, GBP Delisted N/A Held MCU4522 N/A US46625H1005 JPMORGAN CHASE & CO INC , USD 9, Not Held No Return N/A Not Held MCU4522 N/A US912810FH69 TSY INFL IX 3.875% 04/29 40, , USD 52, , Schedule 9 Part A 01/08/2012 Held MCU4522 N/A US WILLIAMS COS INC 3, , USD 56, , Schedule 9 Part A 01/08/2012 Held MCU4522 Total 120, , , MCU4578 N/A US37944Y1064 GLOBAL MARINE LTD (GBP) GBP Delisted N/A Held MCU4578 Total MCU5350 N/A CH ZURICH FINL GBP Delisted N/A Held MCU5350 Total AGCY087C N/A US CITIGROUP INC US 12, , USD 244, Not Held No Return N/A Not Held AGCY087C Total 244, AG8678 N/A GB ROYAL BANK OF SCOTLAND 120, , GBP 29, , Schedule 9 Part A 01/08/2012 Held AG8678 N/A GB GLAXO SMITHKLINE GBP Schedule 9 Part A 01/08/2012 Held AG8678 N/A GB00B1722W11 DART GROUP PLC 199, , GBP 137, , Schedule 9 Part A 01/08/2012 Held AG8678 Total 167, , , MCU5379 N/A GB SURGICAL INNOVATIONS GROU 40, , GBP 3, Schedule 9 Part A 01/08/2012 Held MCU5379 Total 3, MCU5829 N/A GB00B16GWD56 VODAFONE GROUP LN GBP Schedule 9 Part A 01/08/2012 Held MCU5829 Total N/A AHD LME HI GD ALUMINIUM USD , USD 33, , TBNS TBNS 01/08/2012 Held Total 33, , TBNS TBNS MCU5639 N/A GB SILENCE THER. ORD 1P 17, GBP Schedule 9 Part A 01/08/2012 Held MCU5639 N/A GB00B1VYCH82 THOMAS COOK GROU LN GBP Schedule 9 Part A 01/08/2012 Held MCU5639 N/A JE00B3DMTY01 WPP PLC LN GBP Schedule 9 Part A 01/08/2012 Held MCU5639 Total AG5728 N/A BMG3397M1091 FIBRECHEM TECH SP 5,935, SGD Delisted N/A Held AG5728 N/A GB00B068HW85 HARBINGER CAPITAL PLC 3,000, GBP Delisted N/A Held AG5728 Total MCU5953 N/A XXXXXXXXXXNV ENECO HOLDING NV 6, EUR Delisted N/A Held MCU5953 Total MCU4709 N/A ES INTERNATIONAL CONSOLID LN GBP Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB DIAGEO , GBP 4, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB RIO TINTO , GBP 10, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB SSE PLC , GBP 9, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB LLOYDS BANKING GROUP PLC 1, GBP Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB TESCO 10, , GBP 43, , Schedule 9 Part A 01/08/2012 / Held MCU4709 N/A GB ASTRAZENECA (UK LINE) , GBP 3, Schedule 9 Part A 01/08/2012 Held Page 1 of 16

3 Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status MCU4709 N/A GB BT GROUP ORD , , GBP 10, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB MARKS & SPENCER NEW ORD 1, , GBP 3, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB BARCLAYS PLC ORD SHARES 1, , GBP 2, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB00B08SNH34 NATIONAL GRID PLC , GBP 4, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB00B19DVX61 INVENSYS PLC GBP Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB00B39J2M42 UNITED UTILITIES LN , GBP 1, Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB00B5KKT968 CABLE & WIRELESS LN GBP Schedule 9 Part A 01/08/2012 Held MCU4709 N/A GB00B5WB0X89 CABLE & WIRELESS WORLD LN GBP Schedule 9 Part A 01/08/2012 Held MCU4709 N/A US26138E1091 DR PEPPER SNAPPLE GROU US , USD 5, Not Held No Return N/A Not Held MCU4709 N/A US50075N1046 KRAFT FOODS INC A , USD 5, Schedule 9 Part A 01/08/2012 Held MCU4709 Total 107, , , MCU4477 N/A CH UBS PRPRTY FD SW MIXD SW , CHF 49, , Schedule 9 Part A 01/08/2012 Held MCU4477 Total 49, , , AG7011 N/A GB AVIVA PLC 10, , GBP 34, , Schedule 9 Part A 01/08/2012 Held AG7011 N/A GB00B3KSB238 LLOYDS LONDON LSE LLOY 85, , GBP 66, , Schedule 9 Part A 01/08/2012 Held AG7011 N/A IE00B59NXW72 IRISH LIFE & PER ID 874, , EUR 28, , Schedule 9 Part A 01/08/2012 Held AG7011 N/A US74928P2074 ABNA NEW YORK 25, , USD 184, Not Held No Return N/A Not Held AG7011 Total 314, , , PAM0002 N/A GB00B0DFPF10 EARTHPORT PLC GBP Schedule 9 Part A 01/08/2012 Held PAM0002 Total PAM0004 N/A US16939U2042 CHINA HEALTH MAN US USD Not Held No Return N/A Not Held PAM0004 Total PAM0017 N/A US PFIZER INC (US) , USD 1, Not Held No Return N/A Not Held PAM0017 Total 1, PAM0030 N/A SG1O STAMFORD TYRES CORP LTD 500, , SGD 74, , Schedule 9 Part A 01/08/2012 Held PAM0030 Total 74, , , MCU6034 N/A CA58503R2090 MEDORO RES 2, GBP Delisted N/A Held MCU6034 Total AG8750 N/A GB MINOAN GROUP 50, , GBP 4, Schedule 9 Part A 01/08/2012 Held AG8750 N/A GB SBS GROUPPLC PLC LN 792, GBP Delisted N/A Held AG8750 N/A GB00B05LNF36 TERSUS ENER 134, GBP Delisted N/A Held AG8750 N/A GB00B1FNDK14 ADORIAN PLC LN 295, GBP Delisted N/A Held AG8750 Total 4, AG9193 N/A AU000000CUO8 COPPERCO LTD AU 152, AUD Delisted N/A Held AG9193 N/A BMG0620W2019 ASIAN CITRUS HOL LN GBP Schedule 9 Part A 01/08/2012 Held AG9193 N/A ES INTERNATIONAL CONSOLID LN GBP Schedule 9 Part A 01/08/2012 Held AG9193 N/A GB HSBC HOLDINGS PLC (GBP) GBP Schedule 9 Part A 01/08/2012 Held AG9193 N/A GB RSA INS. ORD 27.5P GBP Shdl 1.00 Schedule 9 Part ta 01/08/2012 Hld Held AG9193 N/A GB00B24CGK77 RECKITT BENCKISE LN , GBP 1, Schedule 9 Part A 01/08/2012 Held AG9193 N/A US GENMARK DIAGNOSTICS IN US USD Schedule 9 Part B 01/08/2012 Held AG9193 N/A USU LIFELINE SCIENTIFIC IN LN 7, , GBP 12, Schedule 9 Part B 01/08/2012 Held AG9193 Total 15, , , AG5176 N/A AU000000ANZ3 AUST & NZ BANK 1, , AUD 24, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A BE KBC BANCASSURANC , EUR 3, Schedule 9 Part A 01/08/2012 Held AG5176 N/A BMG CHINA YUCHAI INTL LTD 1, , USD 9, Not Held No Return N/A Not Held AG5176 N/A CA BARRICK GOLD CRP (USD) , USD 15, Not 0.00 Not Held No Return N/A Not Held AG5176 N/A CA CENTRAL FUND CANADA CL US 4, , USD 60, Not Held No Return N/A Not Held AG5176 N/A CA46430D1042 ISHARES US HY BD CN 5, , CAD 73, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A CA73755L1076 POTASH CORP OF SASKATC CN , CAD 3, Schedule 9 Part A 01/08/2012 Held AG5176 N/A CA85207K1075 SPROTT PHYSICAL SILVER US 1, , USD 18, Not 0.00 Not Held No Return N/A Not Held AG5176 N/A CH CREDIT SUISSE GROUP CHF3 1, , CHF 29, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A CH UBS AG REG US 11, , USD 90, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A CH JULIUS BAER GROU VX 1, , CHF 28, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A CH GAM HOLDING 1, , CHF 9, Schedule 9 Part A 01/08/2012 Held AG5176 N/A DE DEUTSCHE BK 2, , EUR 64, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A DE DAIMLERCHRYSLER ADR (USD) , USD 2, Not Held No Return N/A Not Held AG5176 N/A DE COMMERZBANK AG 6, , EUR 9, Schedule 9 Part A 01/08/2012 Held AG5176 N/A DE ALLIANZ AG REG , EUR 28, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A ES DISTRIBUIDORA IN SM 1, , EUR 2, Schedule 9 Part A 01/08/2012 Held Page 2 of 16

4 Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status AG5176 N/A FR CARREFOUR , EUR 13, Schedule 9 Part A 01/08/2012 Held AG5176 N/A FR TOTAL S A 1, , EUR 44, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A FR ST GOBAIN 2, , EUR 69, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A FR BNP PARIBAS (FR) , EUR 12, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB BHP BILLITON PLC 2, , GBP 39, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB AVIVA PLC 2, , GBP 7, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB DOMINO PRINTING SCIENCES 1, , GBP 5, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB HSBC HOLDINGS PLC (GBP) GBP Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB LEGAL & GENERAL 5, , GBP 6, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB ROYAL BANK OF SCOTLAND 2,685, , GBP 650, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB BP PLC 1, , GBP 8, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB LLOYDS BANKING GROUP PLC 1,556, , GBP 505, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB GLAXO SMITHKLINE , GBP 6, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB ASTRAZENECA (UK LINE) , GBP 7, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB BARCLAYS PLC ORD SHARES 239, , GBP 467, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB XSTRATA PLC LN 19, , GBP 198, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB YELL GROUP PLC 100, , GBP 3, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B03MLX29 ROYAL DUTCH SHELL A SHS , GBP 1, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B03MM408 ROYAL DUTCH SHELL B SHS 2, , GBP 50, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B08SNH34 NATIONAL GRID PLC 10, , GBP 64, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B0LCW083 HIKMA PHARMACEUTICALS LN , GBP 4, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B16GWD56 VODAFONE GROUP LN 4, , GBP 7, Schedule 9 Part A 01/08/2012 / Held AG5176 N/A GB00B19NKB76 HOME RETAIL LN 5, , GBP 5, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B19NLV48 EXPERIAN PLC 3, , GBP 27, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B24CGK77 RECKITT BENCKISE LN , GBP 6, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B2823H99 E THERAPEUTICS PLC LN 25, , GBP 7, Schedule 9 Part A 01/08/2012 / Held AG5176 N/A GB00B4JZFN18 DIGNITY PLC LN , GBP 4, Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B61D2N63 AFRICAN BARRICK GOLD L LN 66, , GBP 356, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A GB00B ABCAM PLC LN 1, , GBP 4, Schedule 9 Part A 01/08/2012 Held AG5176 N/A IE ELAN CORP (EURO) 2, , EUR 14, Shdl 1.00 Schedule 9 Part A 01/08/2012 Hld Held AG5176 N/A IE ISHARES MARKIT IBOXX US U 1, , USD 80, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A MHY7388L1039 SAFE BULKERS INC US 2, , USD 8, Not Held No Return N/A Not Held AG5176 N/A NL AKZO NOBEL , EUR 13, Schedule 9 Part A 01/08/2012 Held AG5176 N/A US ACME PACKET INC US , USD 6, N 0.00 Not Held Hld No Rt Return N/A Not Held Hld AG5176 N/A US ADVANCED MICRO DEVICE US , USD 1, Not Held No Return N/A Not Held AG5176 N/A US AMER EXPRESS , USD 3, Not Held No Return N/A Not Held AG5176 N/A US03485P2011 ANGLO AMER ADR US 1, , USD 18, Not Held No Return N/A Not Held AG5176 N/A US ANNALY MORTGAGE MGMNT , USD 5, N 0.00 Not Held Hld No Rt Return N/A Not Held Hld AG5176 N/A US APPLE INC , USD 103, Not Held No Return N/A Not Held AG5176 N/A US AUTHENTEC INC US 3, , USD 8, Not Held No Return N/A Not Held AG5176 N/A US05382A1043 AVIVA PLC SPON ADR US , USD 3, Not Held No Return N/A Not Held AG5176 N/A US BMC SOFTWARE INC 1, , USD 23, Not 0.00 Not Held No Return N/A Not Held AG5176 N/A US BANK OF AMERICA CORP (US) 62, , USD 262, Not Held No Return N/A Not Held AG5176 N/A US06738E2046 BARCLAYS PLC ADR , USD 3, Not Held No Return N/A Not Held AG5176 N/A US BERKSHIRE HATH B US , USD 6, Not Held No Return N/A Not Held AG5176 N/A US BEST BUY CO INC 2, , USD 32, Not 0.00 Not Held No Return N/A Not Held AG5176 N/A US BHP BILLITON LTD SPONS AD 14, ,093, USD 677, Not Held No Return N/A Not Held AG5176 N/A US CHESAPEAKE ENERGY CORP 1, , USD 17, Not Held No Return N/A Not Held AG5176 N/A US16939P1066 CHINA LIFE INSURANCE C US 4, , USD 96, Not Held No Return N/A Not Held AG5176 N/A US17275R1023 CISCO SYSTEMS (USD) 20, , USD 229, Not 0.00 Not Held No Return N/A Not Held AG5176 N/A US CITIGROUP INC US 20, , USD 395, Not Held No Return N/A Not Held AG5176 N/A US CREDIT SUISSE GRP SPON AD , USD 14, Not Held No Return N/A Not Held AG5176 N/A US23283K1051 CYTORI THERAPEUT US 3, , USD 5, Not Held No Return N/A Not Held AG5176 N/A US24702R1014 DELL INC COM , USD 2, Not 0.00 Not Held No Return N/A Not Held AG5176 N/A US E*TRADE FINANCIA US , USD 1, Not Held No Return N/A Not Held AG5176 N/A US FREDDIE MAC 20, , USD 3, Not Held No Return N/A Not Held AG5176 N/A US FANNIE MAE 20, , USD 3, Not Held No Return N/A Not Held AG5176 N/A US FORD MOTOR COMPANY (US) 4, , USD 28, Not Held 0.00 No Return N/A Not Held AG5176 N/A US GENERAL ELECTRIC CO (US) , USD 3, Not Held No Return N/A Not Held Page 3 of 16

5 Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status AG5176 N/A US37517Y1038 GIGOPTIX INC US 4, , USD 5, Not Held No Return N/A Not Held AG5176 N/A US38045R1077 GOL LINHAS AEREAS INTEL 1, , USD 7, Not Held No Return N/A Not Held AG5176 N/A US40124Q2084 GUARANTY TR GDR LI 6, , USD 17, , Schedule 9 Part A 01/08/2012 Held AG5176 N/A US40415F1012 HDFC BANK LTD ADR 1, , USD 21, Not Held No Return N/A Not Held AG5176 N/A US HEWLETT PACKARD 1, , USD 24, Not Held No Return N/A Not Held AG5176 N/A US INTEL CORP (US) 5, , USD 83, Not Held No Return N/A Not Held AG5176 N/A US ISHARES MSCI BRAZIL 2, , USD 98, Not Held No Return N/A Not Held AG5176 N/A US ISHARES MSCI MALAYSIA 1, , USD 9, Not Held No Return N/A Not Held AG5176 N/A US ISHARES MSCI HONG KNG IND 1, , USD 10, Not Held No Return N/A Not Held AG5176 N/A US46428Q1094 ISHARES SILVER TRUST US 1, , USD 20, Not Held No Return N/A Not Held AG5176 N/A US46625H1005 JPMORGAN CHASE & CO INC , USD 17, Not Held No Return N/A Not Held AG5176 N/A US48203R1041 JUNIPER NETWORKS INC , USD 4, Not Held No Return N/A Not Held AG5176 N/A US LEGG MASON INC , USD 2, Not Held No Return N/A Not Held AG5176 N/A US LLOYDS TSB GRP PLC SP A 2, , USD 3, Not Held No Return N/A Not Held AG5176 N/A US MALAYSIA FUND INC US 15, , USD 96, Not Held No Return N/A Not Held AG5176 N/A US57060U3086 MARKET VECTORS STEEL I US 6, , USD 196, Not Held No Return N/A Not Held AG5176 N/A US57060U5891 MARKET VECTORS JR GOLD US , USD 9, Not Held No Return N/A Not Held AG5176 N/A US57636Q1040 MASTERCARD INC A US , USD 6, Not Held No Return N/A Not Held AG5176 N/A US58471A1051 MEDIDATA SOLUTIONS INC US , USD 6, Not Held No Return N/A Not Held AG5176 N/A US MICROSOFT CORP (USD) , USD 16, Not Held No Return N/A Not Held AG5176 N/A US59509C1053 MICROMET INC US 14, , USD 57, Not Held No Return N/A Not Held AG5176 N/A US MORGAN ST DEAN W , USD 1, Not Held No Return N/A Not Held AG5176 N/A US61745C1053 MORGAN STANLEY INDIA I US 27, , USD 303, Not Held No Return N/A Not Held AG5176 N/A US NOKIA ADR (USD) 2, , USD 10, Not Held No Return N/A Not Held AG5176 N/A US LUKOIL SPON ADR (L INT) , USD 5, Schedule 9 Part A 01/08/2012 Held AG5176 N/A US PEPSICO INC , USD 7, Not Held No Return N/A Not Held AG5176 N/A US PFIZER INC (US) 5, , USD 59, Not Held No Return N/A Not Held AG5176 N/A US74347W8414 PROSHARES ULTRA SILVER US , USD 16, Not Held No Return N/A Not Held AG5176 N/A US STARBUCKS CORP 1, , USD 39, Not Held No Return N/A Not Held AG5176 N/A US89151E1091 TOTAL SA S.A. SPON A 7, , USD 226, N 0.00 Not Held Hld No Return N/A Not Held Hld AG5176 N/A US TOYOTA MOTOR CORP SPON AD , USD 1, Not Held No Return N/A Not Held AG5176 N/A US US BANCORP INC , USD 7, Not Held No Return N/A Not Held AG5176 N/A US90335C1009 US HOME SYSTEMS INC US 2, , USD 8, Not Held No Return N/A Not Held AG5176 N/A US UNITED MICROELECTRON S US , USD Not Held No Return N/A Not Held AG5176 N/A US92826C8394 VISA INC CLASS A SHRS US 1, , USD 92, Not Held No Return N/A Not Held AG5176 N/A US VOLTERRA SEMICONDUCTOR US , USD 7, Not Held No Return N/A Not Held AG5176 N/A US WELLS FARGO CO 1, , USD 30, Not Held No Return N/A Not Held AG5176 N/A US WORLD FUEL SERVICES CORP 1, , USD 24, N 0.00 Not Held Hld No Rt Return N/A Not Held Hld AG5176 N/A CH UBS AG REG VX 16, , CHF 134, , Schedule 9 Part A 01/08/2012 Held AG5176 Total 6,830, , , AG6315 N/A CA BANK MONTREAL (CAD) , CAD 14, , Schedule 9 Part A 01/08/2012 Held AG6315 N/A CA CAN IMPL BK COMM , CAD 18, , Schedule 9 Part A 01/08/2012 Held AG6315 N/A CA CONTL PRECIOUS MINERAL CN 64, , CAD 11, Schedule 9 Part A 01/08/2012 Held AG6315 N/A CA58516W1041 MEGA URANIUM LTD CN 12, , CAD 2, Schedule 9 Part A 01/08/2012 Held AG6315 N/A CA72765Y1097 PLATMIN LTD CN 55, , CAD 9, Schedule 9 Part A 01/08/2012 Held AG6315 N/A CA TORONTO DOMINION BK (CAD) , CAD 18, , Schedule 9 Part A 01/08/2012 Held AG6315 N/A CA91701P1053 URANIUM ONE INC CN 5, , CAD 9, Schedule 9 Part A 01/08/2012 Held AG6315 Total 85, , , AG8175 N/A CA54928Q1081 LUCARA DIAMOND CORP CN 1, , CAD Schedule 9 Part A 01/08/2012 Held AG8175 N/A GB00B09WLX62 CLONTARF ENERGY PLC LN 23, GBP Schedule 9 Part A 01/08/2012 Held AG8175 N/A GB00B28KQ186 MAN GROUP PLC LN 4, , GBP 6, Schedule 9 Part A 01/08/2012 Held AG8175 N/A GB00B5TFC825 BOTSWANA DIA ORD LONDON 1, GBP Schedule 9 Part A 01/08/2012 Held AG8175 N/A IE PETROCELTIC INTERNATIONAL 4, GBP Schedule 9 Part A 01/08/2012 Held AG8175 N/A IE00B2357X72 CONNEMARA MINING COMPA LN 6, GBP Schedule Part A 01/08/2012 Held AG8175 Total 8, AG8247 N/A CA74975F2017 RESIN SYSTEMS CAD Schedule 9 Part A 01/08/2012 Held AG8247 N/A GB JPMORGAN INDIAN INV TRUST 6, , GBP 22, , Schedule 9 Part A 01/08/2012 Held AG8247 N/A GB00B00FHZ82 GOLD BULLION SEC LN , GBP 62, , Schedule Part A 01/08/2012 Held AG8247 N/A GB00B06QGC57 XTRACT ENERGY PLC 250, , GBP 4, Schedule 9 Part A 01/08/2012 Held Page 4 of 16

6 Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status AG8247 N/A GB00B16GWD56 VODAFONE GROUP LN 33, , GBP 57, , Schedule 9 Part A 01/08/2012 Held AG8247 N/A GB00B2N7FW85 NORSEMAN GOLD PL LN 25, , GBP 1, Schedule 9 Part A 01/08/2012 Held AG8247 N/A JE00B1VS3333 ETFS PHYSICAL SILVER LN , USD 18, , Schedule 9 Part A 01/08/2012 Held AG8247 N/A US HENDRX CORP US 4, USD Not Held No Return N/A Not Held AG8247 N/A US55348A1025 MRU HOLDINGS INC US 2, USD Not Held No Return N/A Not Held AG8247 N/A US NEWMONT MINING CORP HLD C , USD 8, Not Held No Return N/A Not Held AG8247 N/A US78347P1021 RX PROCES 69, USD Not Held No Return N/A Not Held AG8247 N/A US98385L1026 XSUNX INC US 3, USD Not Held No Return N/A Not Held AG8247 Total 175, , , AG9004 N/A GB00B0RFL714 TREVERIA PLC 740, , EUR 99, , Schedule 9 Part A 01/08/2012 Held AG9004 N/A XS GSHAM /23/26 754, EUR Delisted N/A Held AG9004 Total 99, , , N/A NID LME NICKEL (USD) , USD 285, , TBNS TBNS 01/08/2012 Held Total 285, , TBNS TBNS AG6551 N/A US TRINITY BIOTECH SPON ADR 120, ,233, USD 764, Not Held No Return N/A Not Held AG6551 Total 764, MCU5084 N/A XXXXXXXXXXXX CAPLAY PLC B WARRANT 6,000, GBP Delisted N/A Held MCU5084 Total N/A COD COBALT USD , USD 35, , TBNS TBNS 01/08/2012 Held Total 35, , TBNS TBNS AG8951 N/A GB BANK IREL /8% U 160, , GBP 77, , Schedule 9 Part A 01/08/2012 Held AG8951 N/A GB BANK IREL /8% U 90, , GBP 43, , Schedule 9 Part A 01/08/2012 / Held AG8951 N/A GB AVIVA PLC 20, , GBP 68, , Schedule 9 Part A 01/08/2012 Held AG8951 N/A GB00B3KS9W93 LLOYDS LONDON LSE LLOY LN 1,220, , GBP 945, , Schedule 9 Part A 01/08/2012 Held AG8951 N/A GB00B3KSB238 LLOYDS LONDON LSE LLOY 180, , GBP 141, , Schedule 9 Part A 01/08/2012 Held AG8951 N/A IE00B59NXW72 IRISH LIFE & PER 500, EUR Delisted N/A Held AG8951 Total 1,276, , , MCU5922 N/A GB BARRATT 50, , GBP 44, , Schedule 9 Part A 01/08/2012 Held MCU5922 N/A GB TAYLOR WIMPEY PLC 100, , GBP 36, , Schedule 9 Part A 01/08/2012 Held MCU5922 N/A GB00B0H1P667 MAX PETROLEUM PL LN 200, , GBP 29, , Shdl 1.00 Schedule 9 Part A 01/08/2012 Hld Held MCU5922 Total 110, , , AGCY405C N/A AU000000BKY0 BERKELEY RESOURC AU 30, , AUD 6, Schedule 9 Part A 01/08/2012 Held AGCY405C Total 6, AG6171 N/A CH JCTRST 0 09/30/13 3,000, EUR Delisted N/A Held AG6171 Total AG5415 N/A CH SYNGENTA AG 1, , CHF 243, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A CH ROCHE HLDS AG GENUS 1, , CHF 102, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A CH SWISS RE LTD VX 7, , CHF 257, , Shdl Schedule 9 Part ta 01/08/2012 Hld Held AG5415 N/A FR SANOFI 5, , EUR 261, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A GB AVIVA PLC 55, , GBP 188, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A GB00B0SJNV03 ELDERS SER 17B GU 3,000, ,872, GBP 2,872, , TBNS Redemption Bank Transfer 01/08/2012 Held AG5415 N/A GG00B1HQ2W32 FTSE CAP PROTECED III SHS 230, , GBP 192, , Schedule Part A 01/08/2012 Held AG5415 N/A GG00B1HQ3B93 EUROPE CAP PROTECTED II S 851, , GBP 706, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A GG00B4PH8P49 ELDeRS Inv Co Class 16 LO 70, , GBP 107, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A HK NEW WORLD DEV HK 318, ,649, HKD 211, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A NL AEGON NV NA 102, , EUR 306, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A SG1L DBS GROUP HLDGS SP 16, , SGD 98, , Schedule 9 Part A 01/08/2012 Held AG5415 N/A US05382A1043 AVIVA PLC SPON ADR US 19, , USD 128, Not Held No Return N/A Not Held AG5415 N/A US BP PLC SPONS ADR 5, , USD 145, Not Held No Return N/A Not Held AG5415 N/A US ISHARES MSCI SOUTH KOREA 6, , USD 209, Not 0.00 Not Held No Return N/A Not Held AG5415 N/A XS BACR 0 10/02/14 370, GBP Delisted N/A Held AG5415 Total 6,034, , TBNS TBNS GL234 N/A AHD LME HI GD ALUMINIUM USD , USD 575, , TBNS TBNS 01/08/2012 Held GL234 Total 575, , TBNS TBNS N/A FMD Med Steel Billet LME ,688, USD 6,002, , TBNS Previously Returned N/A Previously Returned Total 6,002, , TBNS TBNS AG5953 N/A DK TRIGON AGRI A/S SS 96, , SEK 80, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A FI NOKIA OYJ FH 30, , EUR 126, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A FR M6 METROPOLE TELEVISION 5, , EUR 53, , Schedule 9 Part A 01/08/2012 Held Page 5 of 16

7 Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status AG5953 N/A FR CARREFOUR 4, , EUR 74, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A FR SANOFI 2, , EUR 89, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A FR Societe d'edition de Cana 10, , EUR 38, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB BP PLC 17, , GBP 80, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB00B CERES POWER HOLDINGS PLC 159, , GBP 25, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB00B05NYM32 INVESCO LEVERAGED HIGH LN 400, , GBP 216, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB00B11SZ269 OXFORD CATALYSTS GROUP LN 65, , GBP 34, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB00B1F4K366 PLANT IMPACT PLC LN 350, , GBP 78, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB00B1FMH067 FIBERWEB PLC LN 111, , GBP 45, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GB00B1XF5X66 MODERN WATER PLC LN 45, , GBP 23, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A GG00B1G3RS66 Phaunos Timber Fund Limit 70, , USD 30, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A IE BANK OF IRELAND(SETS EURO 700, , EUR 62, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A IM00B1HWL911 UNITECH CORPORATE PARK LN 149, , GBP 39, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A IM00B1W65B86 SPEYMILL DEUTSCH LN 480, EUR Delisted N/A Held AG5953 N/A IM00B28QLQ61 LANDKOM INTERNATIONAL LN 4,600, , GBP 143, Delisted N/A Held AG5953 N/A JE00B2Q4TN56 HERITAGE OIL PLC LN 36, , GBP 78, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A KYG2046Q1073 CHAODA MODERN HK 420, , HKD 36, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A KYG6846J1067 PACIFIC ALLIANCE ASIA LN 65, , USD 43, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A LU GAGFAH SA GY 33, , EUR 134, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A NL CSM CVA NA 4, , EUR 37, , Schedule 9 Part A 01/08/2012 Held AG5953 N/A US BANK OF AMERICA CORP (US) 8, , USD 37, Not Held No Return N/A Not Held AG5953 N/A US CITIGROUP INC US 2, , USD 52, Not Held No Return N/A Not Held AG5953 N/A US MICROSOFT CORP (USD) 5, , USD 82, Not Held No Return N/A Not Held AG5953 Total 1,747, , , AG6304 N/A US05574Y2090 DMY US05574Y2090 LONDON 2, USD Delisted N/A Held AG6304 N/A XS BTAS FR 07/01/18 / 605, , USD 223, , Schedule 9 Part A 01/08/2012 / Held AG6304 N/A XS BTAS /01/25 137, , USD 24, , Schedule 9 Part A 01/08/2012 Held AG6304 N/A XS DMY XS LONDON 1,250, , USD 38, Delisted N/A Held AG6304 Total 286, , , AG6040 N/A US LEVEL VISION ELECTRONI US 600, USD Not Held No Return N/A Not Held AG6040 N/A US54569N1090 LOTTA COAL INC US 1,200, , USD 8, Not Held No Return N/A Not Held AG6040 Total 8, GERRKING N/A AU000000GGP5 GOLDEN GATE PETROLEUM AUD Schedule 9 Part A 01/08/2012 Held GERRKING Total AG6327 N/A XS HTC /15/16 16,041, ,908, EUR 12,020, , Schedule 9 Part A 01/08/2012 Held AG6327 Total 12,020, , , N/A AHD LME HI GD ALUMINIUM USD ,038, USD 643, , TBNS TBNS 01/08/2012 Held Total 643, , TBNS TBNS AG6476 N/A CA ANTRIM ENERGY INC 60, , GBP 40, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A CA STERLING RESOURCES LTD 290, , CAD 325, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB BLOOMSBURY PUBLISHING 15, , GBP 14, Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB ECKOH PLC 200, , GBP 18, , Schedule Part A 01/08/2012 Held AG6476 N/A GB AVANTI CAPITAL PLC 187, , GBP 147, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB00B0C18177 ANGLO ASIAN MINING PLC LN 190, , GBP 72, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB00B0CY5V57 SERICA ENERGY PLC LN 348, , GBP 61, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB00B0H1P667 MAX PETROLEUM PL LN 800, , GBP 104, , Schedule Part A 01/08/2012 Held AG6476 N/A GB00B1FMH067 FIBERWEB PLC LN 40, , GBP 21, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB00B1KKCZ55 ASHLEY HOUSE PLC LN 1,250, , GBP 209, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB00B1TR0310 INLAND PLC LN 250, , GBP 44, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A GB00B1XFKR57 PRESSURE TECHNOLOGIES LN 10, , GBP 11, Schedule Part A 01/08/2012 Held AG6476 N/A GB00B64NSP76 Costain Group Plc LONDON 10, , GBP 19, , Schedule 9 Part A 01/08/2012 Held AG6476 N/A US56176Q1022 MANAS PETROLEUM CORP US 25, , USD 3, Schedule 9 Part A 01/08/2012 Held AG6476 N/A VGG PUBLIC SERVICE PROPERT LN 30, , GBP 18, , Schedule 9 Part A 01/08/2012 Held AG6476 Total 1,111, , , AG8037 CY3437 GB OLD MUTUAL 14, , GBP 16, Delisted N/A Held AG8037 Total 16, AG8041 CY3426 GB00B04M1L91 CLUFF GOLD LTD 2, , GBP 2, Schedule 9 Part A 01/08/2012 Held AG8041 CY3426 GB00B5KKT968 CABLE & WIRELESS LN 2, GBP Schedule Part A 01/08/2012 Held AG8041 CY3426 GB BABCOCK INTNL PLC 29, , GBP 206, , Schedule 9 Part A 01/08/2012 Held Page 6 of 16

8 Col. 1 Col. 2 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 11 Col. 12 Col. 13 Col. 14 Col. 15 CIS ID Account Code Share of costs (GBP) Date for Retained ISIN Sec Code Security Description Quantity Price Value Sec Cur Value (GBP) Shortfall Return Procedure Grips R&N Shared Cost Specific Cost Return Client Assets Status AG8041 CY3426 GB GLAXO SMITHKLINE , GBP 7, Schedule 9 Part A 01/08/2012 Held AG8041 CY3426 GB MORRISON 4, , GBP 12, Schedule 9 Part A 01/08/2012 Held AG8041 CY3426 GB LEGAL & GENERAL 8, , GBP 9, Schedule 9 Part A 01/08/2012 Held AG8041 CY3426 GB00B5WB0X89 CABLE & WIRELESS WORLD LN 2, GBP Schedule 9 Part A 01/08/2012 Held AG8041 Total 238, , , AG8323 CY4024 GB BT GROUP ORD , , GBP 2, Schedule 9 Part A 01/08/2012 Held AG8323 CY4024 GB LLOYDS BANKING GROUP PLC 3, , GBP 1, Schedule 9 Part A 01/08/2012 Held AG8323 Total 3, AGCY5054 CY5054 US36846Q2030 GEEKNET INC US USD Not Held No Return N/A Not Held AGCY5054 Total AGCY5061 CY5061 US00755F1030 ADVANCED TISSUE SCIENC US USD Not Held No Return N/A Not Held AGCY5061 Total AGCY5006 CY5006 US46612J5074 JDS UNIPHASE CORP US USD Not Held No Return N/A Not Held AGCY5006 CY5006 US31787A5074 FINISAR CORPORATION US , USD Not Held No Return N/A Not Held AGCY5006 Total 1, AGCY1278 CY1278 GB BT GROUP ORD , , GBP 18, , TBNS Liquidated Bank Transfer 01/08/2012 Held AGCY1278 CY1278 GB ASTRAZENECA (UK LINE) 3, , GBP 89, , Schedule 9 Part A 01/08/2012 Held AGCY1278 CY1278 GB GLAXO SMITHKLINE 5, , GBP 70, , Schedule 9 Part A 01/08/2012 Held AGCY1278 CY1278 GB GLAXO SMITHKLINE 2, , GBP 28, , TBNS Liquidated Bank Transfer 01/08/2012 Held AGCY1278 CY1278 GB TESCO 25, , GBP 100, , Schedule 9 Part A 01/08/2012 Held AGCY1278 CY1278 GB BRIT AMER TOBACCO 4, , GBP 114, , Schedule 9 Part A 01/08/2012 Held AGCY1278 CY1278 GB BG GROUP PLC 14, , GBP 189, , Schedule 9 Part A 01/08/2012 / Held AGCY1278 CY1278 GB BG GROUP PLC 6, , GBP 81, , TBNS Liquidated Bank Transfer 01/08/2012 Held AGCY1278 CY1278 GB BAE SYSTEMS PLC 11, , GBP 31, , TBNS Liquidated Bank Transfer 01/08/2012 Held AGCY1278 CY1278 GB DIAGEO 8, , GBP 103, , TBNS Liquidated Bank Transfer 01/08/2012 Held AGCY1278 CY1278 GB DIAGEO 2, , GBP 25, , Schedule 9 Part A 01/08/2012 / Held AGCY1278 CY1278 GB AVIVA PLC 10, , GBP 34, , Schedule 9 Part A 01/08/2012 Held AGCY1278 CY1278 GB IMP TOBACCO 7, , GBP 170, , TBNS Liquidated Bank Transfer 01/08/2012 Held AGCY1278 Total 1,057, , TBNS TBNS AGCY2355 CY2355 GB KINGFISHER PLC 3, , GBP 8, Shdl 1.00 Schedule 9 Part A 01/08/2012 Hld Held AGCY2355 CY2355 GB ITV PLC 1, GBP Schedule 9 Part A 01/08/2012 Held AGCY2355 CY2355 GB ROYAL BANK OF SCOTLAND 14, , GBP 3, Schedule 9 Part A 01/08/2012 Held AGCY2355 CY2355 GB ARMOUR GROUP PLC 100, , GBP 2, Schedule 9 Part A 01/08/2012 Held AGCY2355 Total 15, , , AGCY3004 CY3004 GB BARCLAYS PLC ORD SHARES 1, , GBP 1, Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 GB LLOYDS BANKING GROUP PLC 15, , GBP 5, Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 GB BP PLC 1, , GBP 4, Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 GB ROYAL BANK OF SCOTLAND 4, , GBP 1, Shdl 1.00 Schedule 9 Part ta 01/08/2012 Hld Held AGCY3004 CY3004 GB LOGICA PLC (GBP) 2, , GBP 1, Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 GB00B19DVX61 INVENSYS PLC GBP Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 GB00B3Y5L754 VERNALIS PLC LN GBP Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 GB DSG INTERNATIONAL PLC 4, GBP Schedule Part A 01/08/2012 Held AGCY3004 CY3004 GB00B16GWD56 VODAFONE GROUP LN GBP Schedule 9 Part A 01/08/2012 Held AGCY3004 CY3004 US92769L1017 VIRGIN MEDIA GBP Schedule 9 Part A 01/08/2012 Held AGCY3004 Total 16, , , AGCY8326 CY8326 JE00B2QKY057 SHIRE PLC LN 2, , GBP 39, , Schedule Part A 01/08/2012 Held AGCY8326 CY8326 GB00B16GWD56 VODAFONE GROUP LN 35, , GBP 60, , Schedule 9 Part A 01/08/2012 Held AGCY8326 CY8326 GB ARM HOLDINGS PLC 6, , GBP 35, , Schedule 9 Part A 01/08/2012 Held AGCY8326 Total 134, , , AGCY5058 CY5058 IE MAN AHL AHL DIV PLC ID 11, ,077, USD 667, , Schedule 9 Part A 01/08/2012 Held AGCY5058 CY5058 US Y65 B 0 01/12/12 250, , USD 154, , TBNS Redemption Bank Transfer 01/08/2012 Held AGCY5058 Total 822, , TBNS TBNS AGCYP073 CYP073 GB DAILY MAIL&GENERAL NV GBP Schedule 9 Part A 01/08/2012 Held AGCYP073 CYP073 GB00B03MM408 ROYAL DUTCH SHELL B SHS , GBP 12, Schedule Part A 01/08/2012 Held AGCYP073 CYP073 GB BT GROUP ORD GBP Schedule 9 Part A 01/08/2012 Held AGCYP073 CYP073 GB LOGICA PLC (GBP) GBP Schedule 9 Part A 01/08/2012 Held AGCYP073 CYP073 GB AVIVA PLC GBP Schedule 9 Part A 01/08/2012 Held AGCYP073 CYP073 GB00B03MLX29 ROYAL DUTCH SHELL A SHS GBP Schedule 9 Part A 01/08/2012 Held AGCYP073 Total 15, , , Page 7 of 16