rick berg's 2011 personal financial disclosure form
DESCRIPTION
Rick Berg's 2011 Personal Financial Disclosure Form.TRANSCRIPT
HAND DELIVERED
2DI2 JW! I 4 M: II : 0 0
UNITED STATES HOUSE OF REPRESENTATIVES I FORM A P•ge 1 or 11
CALENDAR YEAR 2011 FINANCIAL DISCLOSURE STATEMENT For use by Members, oflloel'll, and em~loyHII
~u Richard A (Rick) Berg 202-225-9575
(Full Name) <DI)IIrne TelePhone) ___ • (Office Uae Only)
Flllr ; ~ Memberofttle u.s. State: NO :I 0 Officer Or
Employing Oflloe: A UOO penalty ahaD Status I House of Re~reaenlalives Clstrlct: 1 Emptoyeii be'"'"" egllnet -. 1nyone who fltn Report ~.Annual (May 15) lc: lc Termln11lion Date: more than 30 d.ya Type Amendment Tennlnatlon lm.
PRELIMINARY JNFORMATION- ANSWER EACH OF THESE QUESTIONS
t Dltl 1ouor fiiUt opo""o ....... •a.....,. Into- (o.c., 111111• or ftN) ol UIIG Gilt YQV, y-epo~~ uo,...llont ohlld .....,.., Ani' ropool&l>lo gill m ,__,. lro"'8ft1-rcellllht ~ ptllod'/ Yta li( No r::::J VI, flit NPOIUIO piiiGd IIIIDrttllilng -'"" sno ua 1101 0111o1wtoo Y• "_.J No~
~7 II y•, co"'fflettland attach SeM<IUio 1. It r-. campi.W and llttach Sdledu'* VI.
II. Did ..,.lndtvlduol or _..,..,Uon """"a.,_.,. to C/111111' In II• of JIIIYIIIQ- Did JOU, y-..,.... or • dtponde4.i eNid ....rn.., ~.·trO;.,,., yourora-ll,tppo ......... ellklttnthoNportl•tl"'rtod? v .. n No~ VII. -..-tortr .... lolbonportl•gpll1ocl~-~~~iti•HO Yea LJ No li!l
"""'011010<11"")' lfy•, ~end -ch Schedule H. If Y•· compr.w .. cr lllaeh Sct.tdur. VII.
Ill . Dl- yov, your epouu,., a ~opeo~donl GIIU IICII.,.. •vn..,otd"l ......... ol Old rou 11011111111 "pol!lllll" ,.0.1110011"" or-.. IIMI- Dtftlflll In 11>1 --szoo Is tbo ...,......ng fii'IDd 0111Cid...,. ,. ..... ,. -·•- ""!ill No 0 VUI. .......acolorldu,..-7 Y• J!ll No O "'""'then ft,OOO at tbo tnd Of tilt plllod7 II r .. , oomplelle lllld -Oh Schedule Ill. If y•. con~ pi* aftd -~~ Selutcllde VIII . -·
IV. ~~~-fOlio 'OOI'IpGUH, ot dopo'ldt~l dlllcf ,.....I\ .. I, 1011, .... -hal!gO I Ill
IX. Did you...V. iny "11'Q1111H "'-or""""~~",_ ,..h llll oullldo
-'"" oo..t ln o1r-.ollon OliCIOdliiQ rt ,GOG dUIIng tho ,..,.,. Y .. lil) No [] ril(l v .. n No 'i']
- ~';':,' oom,.._ and Mtach Schedule rv. - w,-. conpl.te 1111<1 IIIIIch SclltcluleiX. .. ·- --- ·-Dlclro<~, your.,;;ii.io, oriidopoodonl chN"""•anrroporUbt. .. blllly v. ,_ ....... f10.t00)4urlnt lhl ._.,.,,....d? v .. ~ Non Each qu1etlon In tflls p;~rt must be an.wered and the 1pprop~ lr Y .. _,lllett 11'<1 attt.m SCMdu'* v. schlltdule 1t11ched for each "Y•" reepon ...
EXCLUSION OF SPOUSE, OEPENDENT, OR TRUST INFORMATION- ANSWER EACH OF THESE QUESTIONS
Trueta- DIUie Npodlng "Quollllld a/nd ,.,.._. •Pf1"11*1 b1 the Cornmllhl on Elhl .. a lid ~In olher ·•-pte~~ trua• need noUe dii,ICIMd. Haw JOII tnlud.cl fnlrn thll raport dllalll of llllah I 11'1.111 benefiting you, )'Oir lfiOUII, or depend.nt dlild?
Exemptlone~; . ..k;..; rnu acludldlnm ttu ,.part any other •• .-. ·u.-mld" In~ tr111111~, or lllbllllltl ola apouu 01 dep•'*nt chid -.u .. tMv meltlllllwN ..... I'Cir eumpllon? Do not --"Y•" unlen you ,_,..lht c<>r~oult..s with the CommiiiM on Ethln. v .. [l No~
·------- ------- ... - -- ·- . ... ·--· . .
SCHEDULEI·EARNEDJNCOME j Name R!cnard A. (Rick) Berg 1 l'lol2ol 1t
U.t the ~urce, t)lpt, 1111d amount o1 eM'Md Income from any ~ (ottMr than the flier'• ourrent MnPfl)1ment b)' 1tlt U.S. G<MIT\IIlant) tote•ne $200 or more during the pneudng cetendar r-. Fo~ • epou••· 11at the aource and amount of any honoraria; llet ontv 1tla eouroe for o1tler epoue• earned Income exceeding tt,OOB.
Sourc• Type Amount
U.S. House of Representatives House of Rep. Salary $156,662
·--··- .. .. -Real ~tate Sales - Sole Proprietor Commission-For services rendered prior $15,151
to becoming a Member of the House ·-- ..
lndep-mdent Family Doctors, Ltd. Spouse Salary N/A
- - --- - ----- - . . Cattle Ranch- Oliver County. ND i Spouse Cattle Ranch NIA
-----···· ----·--···---· .. . .
SCHEDULE Ill ·ASSETS AND "UNEARNED" INCOME I Namct Richard A- (Rid() Berg
SLOCKA
"-••t and/or Income Source ldNIIify (a) .-oh -~~ held for lnwllmenl ar produc:clon of In-..,.., a hllr 111tr11et v.lue ~In I ,1,0DO Ill Ill• end of the reporting period, and (b) 1111J oltlerrepott.ble _...or •- ot lncDme which geN .... d m.,.. than UOO In "11nNIMd'' IIICOIM dlltlng they-.
PI'OIIIde aompletlo Nl- of atock8 aiiCI mutu&l f...a (do not ueetJcaor ll"flllbOia.)
ForalfiRAa .nd Dtl!et' .........,_,,pia.,. (euch M '111(k) JIIM•) lh&Ure 11lf.<IIN- (l.e.,plenaln wllich you have the.,_.,-~~ If nat t!CefGlMCI, to MiliCI the a.,.clf".c IIIVMimttnta), provide !he value for each a...t hllld In tlw acaount thalexaelda tilt reporting lhJUhalda. For retlrwnMitac;couraWhlctoare nollalf-dlreeud, prowlc141 anlr1h• .....,. of lllllns11tutton holding lhe IeCoUnt and llallllluellttMendofthe repoftlng IWf'!Ool.
Far ftln\al or other rell proper1¥ held for IIIYMimenl, provide a complete add-.
For an -n•rWIIp lrtt-ln • prlvii!Myonlld bullln ... thltla not JM*IIcaiJy ....._abita IN nun. ofltla lila"-, the natww af Ita actiwlllN, and .. gqnephlc loc.tlon In Block A.
Ellclude: Your I!'Nonll reeld-, Including HCOnd ho..- .,d wc:atlon hom• (IIIIJMa ~- renlallnc:oma during lhe repo<tlng -·•-.t'• ....... .,a_.,._,..._ • ........,,_,.. H ftJ\ft oOIPIIIIIr-r-1.,. A --"""..1 ,..t,..-.&.l .. _-
ILOCKB
Year·End Value of Asset
11 ··-of reporting y-. rtrouUiea Vllultlon 111elll0d othtrlhan fair mllbl ......,., pltMa apaGify lhe ..... hod ... d. If Dll Mlat-IOidllftll. IIICkldad only becauH llla~lll-, the V.IIM 1howlcl be 11None ....
I Weekare Bldg. (30%) : $100,001-
BLOCKC
Type of Income Ch•ck•ll col...,.,. lhM apptf. F« Nlra-ntalhat do not .. ._youtochoOM ll)lelftc lnvulrMnlil or lt\lll Cll,.,.. tu-dalorned I ncar.• (•lllh u 401(k) ~~~-or IRAI). VOU 1MY cheak the "Mont• column. Clvldencle, l ... rwt, and ~llal gains, .... n llrei11Y81ttd, muet be dleet011ea A lncomt. Check "NDM.If1h• 1aNt Cll-dnGinCOIM during the reporting peTIOcL
RENT : 2302 30 112 Ave. So. Fargo, ND i $250,000
Farmland-Benson county, -N-D- ---r-ssoo-.oo- 1----1-R- ENT $1,000,000
I BLOCKD
Amount of Income For redrement ... counta t1111t dD not lllD'W you to chao• apeclllc ~~- Drthll gen•rata tax~ lnooma (IUd\ U 401(k) pia ... or IRAa), YOU 111a11Mck the .,..,,... column. For Ill other • ...., lndlcm the cuuuary of lnc0111t bv check~ u. appr<>prtale ...... ....,, Olvldellda, lntaN.., .w1 .,...,,.1 galna, even If rei.,_..., muatb• dlactoaecl •• lnoom•. Clleck "NoN" If no lncom~-d ot genam.d.
$15,001 • $50,000
$5,001 • $15,000
Paga3of 111
ILOCKE.
Tran•actlon IndiCt" lr..hlld pllfDIIIHI ~.-(l).or ewtanga(E) --ding 11,DOO In reportlngyMr,
1---·--1- - ·- -- -----1--- ---- -- -·· -SP Farmland-Oliver County, NO $500,001 -
$1,000,000 ----+-- ·-- ------- -------+ .. ...
Residential Land- Washbum, NO
$15,001. $50,000
RENT
None
·----+-----·-· - ·---lr------INREIT Real Estate Investment $100,001 - DIVIDENDS Trust-Minot, NO $250,000
$15,001 - $50,000
- · -·-----NONE
$5,001 - $15,000
- ---- · - · ·- - ·----+--------+-- .. - ·--·--+-- ----- -SP Independent Family Doctors, $15,001- S Corp $15,001 -$50,000
Ltd- Physician-Fargo, ND $50,000 Income
S(part)
- ·- -
SCHEDULE Ill ·ASSETS AND "UNEARNED" INCOME Name Rlchanl A. (Rick) Berg
,____. . -·· .
. .
Gold mark Schlossman VC Partners-Venture CapitalFargo NO . -111telllgent lnSttes, LLC SOftware-Fargo, NO
Loan to Campaign
-- -Ntractive, LLC-Software-Gran Forks, NO ~-
Dacotah Cattle Grower& LLC (Cow Share LLP)-Bismarck , ND . ..
d
College Save Seetlon 529 Plan-Growth Portfolio
starion Financial accounts
· - · Loan to Kelly Zander-Fargo, NO
·------Ramsey NationaJ Bank account
I Loan to Amber Holding,LLC-Fargo, NO
~-ioans to Jeooe Crai,-Faogo: NO
Loans to Jay Braaten-Fa~go, I NO r- -· Loans to Wes~ind Properties-r-- ____ , F'rgo, NO
I Loans to David Gille-Moorhead, MN
··--
. .
-
$15,001. $50,000 - ·· $50,001-$100,000
$1~,001 • $50,000
$100,001-$250,000
.. --$50,001-$100,000
·- .. ·-··· $50,001-$100,000
-- ·-·--· ·-$100,001-$250,000
$100,001-$250,000 - - -···-·, $250,001-$500,000
$500,001-$1,000,000
None
-. . $100,001-$250,000
$100,001 -$250,000
..
Partnership Income
LLC Income
.. None
LLC Income
- · -· ··- ,.· --LLC Income
None
INTEREST
.. INTEREST
--··· INTEREST
... . .. INTEREST
. INTEREST
INTEREST
INTEREST
... - ·-·.-. INTEREST
NONE
- ...... NONE
·- .. NONE
NONE
$15,001 -$50,000
.. . -NONE
$201 -$1,000
. -. --· $2,501 - $5,000
-$1-$200
$5,001-$15,000
$15,001-$50,000
$2,501 • $5,000
- ·- · . $5,001 -$15,000
$15,001 -$50,000
I
SCHEDULE Ill • ASSETS AND "UNEARNED" INCOME I Name Richard A. (RICII) Berg ~ i
Choice Financial Bank aecourrt-Fargo, NO
Bramer Bank account-Fargo, NO _ .. .. . Dakota Real Estate Investment Trust-Fargo, NO
·-State Bank & Trust accounts· Fargo, ND
SP 401 (k) Plan account-SBT Income Vllith Growth
SP Cattle-Oliver County, NO
1-SP - -l-Ra~ch Equipment-Oliver
County, NO-
r- l .. State Bankshares, Inc, Stock
JT . lrrevocabre Lrte Insurance Trust-State Bank & Trust
.. . -· - ---· UBS Sep account-See Attached Statement
·---SP UBS SEP account-See
Attached Statement . . INREIT Properties LLLP-Minot, NO- Real Estate
·--· ~ · ~ ·-·· SBT lnvestrT'Ients account
--·- · Mareliue Apartments-Apt. Building-Horace, NO
. -
· -
$1,001. $15,000 ... $1-$1,000
. ... -· · $15,001. $50,000
$250,001-' $500,000
$50,001-$100,000 ... . · --$500,001-$1,000,000
$1500,001 -$1,000,000
$250,001. $500,000
. ·-- .. - .. .. $15,001. $50,000
$100,001-$250,000
··-·· $250,001-$500,000
$1,000,001. $5,000,000
None
$50,001-$100,000
INTeREST $1.$200
.. INTEREST NONE
. ... DMDENCS $201 - $1,000
.. INTeREST $201 -$1,000
---·-·· . ··- - -None NONE
Spouse Earned NONE Income-Schedul& I
·1 Spouse Earned I NONe Income-Schedule I ·---DIVIDENDS $5,001 - $15,000
None NONE
...... - -· . None NONE
. . .. None NONE
-. Partnership $15,001-$50,000 Income
DIVIDENDS NONE
.. _ ...... RENT $15,001 - $50,000
PageSGf 18
·· ·-
I I
1 i
i ·-
-p
... . . . .. PS(part)
.
I I I
SCHEDULE Ill -ASSETS AND "UNEARNED" INCOME I Name Rlcllara A.. (Rick) Berg 1 Pagellof til
Northern Plains Capital stock $50,001- None NONE I Bismarck, ND $100,000 - ··- · ·- - ---- - ·-
Summit Partners, LLP- $15,001 • RENT $5,001.$15,000
-~-Apt. Building-Fargo, ND $50,000 -- ·-- ·- ··-·· - .. Renaissance Ventures, LLC- $1,001- LLC Income NONE Fargo, NO-Business $15,000
I Investments '------rl"' ____ ··-- ·- ... -·- - ---- -Braaten Apartments, LLP- $100,001- RENT $15,001 - $50,0 00
! Apt. Bulldln~~yv'e&t Fargo, ND $250,000 ·- . . . ·- ·
i SG Five, LLP $15,001- RENT $2,501 - $5,000 1 Sign-Fargo, NO $50,000
·-· - . . .. - --Jlmberg Partners, LLP None CAPITAL GAINS $50,001 - $100, 000 s Comm. Bldg. #1-Fargo, NO .. . ... .. .. Jimberg Partners, LLP $100,001- RENT $15,001 -$50, 000 Comm. Bldg. #2-Fargo, NO $250,000
----Jimberg Partners, LLP $1 ,000,001 - Partnership $100,001-Net Value Real Estate $5,000,000 Income $1,000,000 Mo~ - .. ·-·
j W~~twlnd Properties, LLP - -~ . - . .. - -
$250,001 • RENT $15,001 -$50,000 Apt Bldg. #1-West Fargo, NO $500,000
- .. . . . ... -Westwfnd Properties, LLP $250,001. RENT $50,001 - $100,000 Apt. Bldg. #2-Fargo, ND $500,000 ... . - ·- . -Westwlnd Properties, LLP $100,001- RENT $15,001 • $50,000 Apt. Bldg. #3-Fargo, ND $250 ,000
0 ... • -~ .. .. .. Westwlnd Properties, LLP None RENT/CAPITAL $100,001. s Apt. Bldg. #4-Fargo, NO GAINS $1,000,000
-- - ·-· -- -· Westwind Properties, LLP $100,001- RENT $15,001-$50,000 Apt. Bldg. #5-Fargo, ND $250,000 ·----- . - . I Westwind Properties, LLP i $50,001. RENT $15,001 -$50,000 l Apt. Bldg. 18-Fargo, NO $100,000 i
SCHEDULE Ill -ASSETS AND "UNEARNED" INCOME I Name Rlctlanl A. (RIGk) Bllrg
Westwind Properties, LLP $50,001- RENT Apt. Bldg. #7-Fargo, NO $100,000
Weatwind Properties II, LLP- $100,001 - RENT ; Apt. Bldg. #1-Moorhead, MN $250,000
... . -----9·· . .- . . ·-· .. ---- ~ -· . ~ - .. -·- ... . .. i Weatwind Properties II, LLP- $100,001- RENT ! Apt. Bldg. #2-Moorhead, MN $2ri0,000
r-----~ ~-stwlnd Propertles -il~iLP- .. ..... -. . - -·-· · .. · ··- --··
- -
t-·
t---
-j- ~~~: .. ~~g. #3-Moorhea~, ~-~ - __ . - ..... .. Wleelberg Partners, LLP-
1 Airplane-Fargo, NO
I Fay Land Partnen>, LLP-. Land-Fargo, NO
·-r· -- -- -· - -Farm House Partners, LLP Apt. Bldg.-Fargo, NO
.. -High Point Partners, LLP Apt. Bldg.-Fargo, NO
1 Red Gate Apartmenta, LLP Apt. Bldg. #1-West Fargo, ND .. . .......... -- -·· . Red Gate Apartments, LLP Apt. Bldg. #2-Weat Fargo, NO
·-· .. GF Corporatlon-Comm. Bldg. #1-Fargo, NO - --- .. .. ... GF Corporatlon-Comm. Bldg. #2-Fargo, ND ·-· - . -··-
. Goldmark Schlossman I Commercial Real Estate Services, Inc.-Fargo, ND TAG, LLC-Comm. Bldg. #1-Fargo, ND
$100,001- RENT $250,000
-··-~---- ~ -~ · -·-- -$100,001- Partnership $250,000 Income
$500,001- Partnership $1,000,000 Income - -·- -- --- - . ... - ~ ·
$250,001-$500,000
··· -$250,001-$500,000
$100,001-$250,000
··-··· -· $100,001-$250,000
$250,001-$500,000 - · . .. ... $100,001-
11250.000 None
$250,001-$500,000
RENT
---· RENT
RENT
RENT
RENT
... - .... RENT
S Corp Income
RENT
I PIIQtl7of 111
$5,001 - $15,000 I
$15,001- $50,000
$15,001 - $50,000
-· ; $15,001 - $50,000
-· ------~ - -. - - --NONE
.. $50,001 - $100,000 I . -- .. M - 00 0 o O
$15,001-$50,000
- ---·---$50,001 - $100,000
$15,001 - $50,000
$15,001-$50,000 I $50,001 -$100,000
. . .. . - ~ ·- ··- · $5,001-$15,000
$201 - $1 ,000 s
SCHEDULE Ill· ASSETS AND "UNeARNED"' INCOME I Name Richard A. (Rick) 68111
Tag, LLC-Comm. Bldg. llt2· Fargo, NO
SP NO Natural Beef, LLC-Beef Processor-Fargo, NO - -- ---- -
SP Wells Fargo Bank account-; Bismarck, NO I Kenwood:Ro~ewood ---·-Apart~nts, LLC-Apt Bldg. #1-
. _r;>_es_ Motnes, lA r-1 Kenwood-Rosewood I Apartments, LlC·Apl Bldg. #2-Dea Moines lA
$500,001- RENT $1,000,000 ·-···--·· - .
$1,001 - LLC lnc:ome $15,000 - - -$100,001 - INTEREST $250,000 .. $250,001- RENT $500,000
I Pagee of 18
1 $16,oo1 - sso.ooo
NONE
-NONE
-- -I $100,001-1 $1,000,000 I
'
I $50.001 _ $100.000 I I 1520 Partners, LLP-Comm. Bldg.-West Fargo, NO
$500-,0-01- -- ····-.--R-EN_T ____ r-$-50-,0-01---$-100~000 I $1,000,000
1------r--- ·---
f----· ··
Ag Foundation Building, lLPComm. Bldg.-Bismarck, NO
$250,001-i $600,000
Case Plaza, I..LC-Comm. Bldg.- $1,000,001· Fargo, NO $5,000,000 - · ---;-.....:....____ ___ . - - -- '- · - . .. _ ,
I, Northwestern Mutual Life-Life $1,001 -
Insurance Cash Value $15,000 INhole Ufe
--
-_:~:_:-_-_-_-_-_-_-_-_:·~· s_:i_~_·:_.;_~_~:_·-1_oo_.~oo J --- --t
None NONE I
Midland Insurance-Life $15,001--- ~ None Insurance Cash Value $50,000 Universal Life
! NONE I r-- ---rvvaddeii&~---Se-c-t-io_n __________ ,I_$_1-,0-0-1--------~-N-o-~ ·
I I ~29 Plan-InvestEd Balanced $15,000 Portfolio A r--- Old Abe C~-p-lla-1-, LL--P-10-Id_A_b_e ___ ----.1_$-50,001 •
1 Two Capital $100,000 Comm. Bldg. #1-Anthon, lA
. . . . .. -- . . - ·. - -· .... ··- ·-------·-----
1 RENT
I NONE
I $5,001- $15,000 T .,
SCHEDULE Ill ·ASSETS AND "UNeARNED" INCOME P-ci~8of 11
Old Abe Capital, LLP/Oid Abe RENT $15,001 -$50,000 l Two Capital Comm. Bid .#2,Bismarck, NO --'I $15 .. 001 - $50,000 r· -- .. ... l Old Abe Capital, LLP/Oid Abe I $100,001. I RENT Two Capital $250,000 Comm. Bld_s. 13-Biairstown, fA
fold-ia.be capital: LLP/Old Abe I $15.001 ~ - I RENT I $2.So1 _ $5.000 l , Two Capital $50,000 Com~. Bld9. #4-.Britto~._SO
I Old Abe Capital, LLP/Oid Abe 1 $100,001- I RENT I s1s,oo1- sso.ooo I Two Capital $250,000 i Comm. Bldg. #5-Casselton, ~0
Old Abe Captial, LLP/Oid Abe i $500,001 - RENT $50,001 - $100,000 Two Capital ! $1,000,000
' Comm: ~!~~.: ~R~~ ~olnes, lA
1 $Hxi.oot - I Old Abe Capital, LLP/Oid Abe I RENT I $15.001 _ $50.000 : Two Capital $250,000
Comm. Bldg. #7-E/bow lake, MN
I I Old ii,;; ~pita!, LLP/Oid Abe I $500.001 _ I RENT I $50.001 _ $100.000 I Two Capital $1,000,000 Comm. Bldg. #8-Fergus FaUs, MN
I ] Old~ Capital, i LP/Oid Abe I $100-.001 _ I RENT I $15,001 _ $50,000 l Two Capital $250,000 Comm. Bldg. #9-Gracevllle, MN
I I Old Abe Capital, LLP/Oid Abe .. .. .. Y"" - .... I RENT . , s1ioot - s50,ooo ·-1 I $100.001-
Two capital $250,000 Comm. Bldg. #1 0-Grand Forks, NO __ ---, Old Abe Capital, LLP/Oid Abe I $500.001 _ I RENT I $50,001 - $Hl0,000 T Two Capital $1,000,000 Comm. Bldg. 111-Grundy Center, lA
___ , - ---------------·-___ ,, .
SCHEDULE Ill • ASSIETS AND •uNEARNED" INCOME Name RIChard A. (Rick) Berg
Old Abe Capital, LLP/Oid Abe Two Capiltll Comm. Bldg. #12-Highmore, so r--· Old Abe Capital, LLPIOid Abe
1 Two Cap!Uil $100,001-$250,000
RENT
lRENT
$5,001 - $15,000
$5,001 - $15,000
C?!!l!!l;.!il~9: # 13-Huron, SO ~ld Abe Capital, LLP/Oid Abe -~ -S100,001 -1 ~ !wo capital $250,ooo
· Comm. Bldg. #14-KulmL.:., N=D=------r ------.
REN-T-----.~-$5-,oo1: $1s,ooo
r--r old Abe capital. UP/Old Abe 1 $1oo.oo1- RENT j Two Capital $250,000
Comm. Bid . #115-Lamoure, NO
r-· Old Abe Capital, LLP/Oid Abe
Two Capital Comm. Bldg. #115- Lidgerwood, NO r---- Old Abe Capital, LLP/Oid Abe
f Two Capital Comm. Bldg. #17-Lincoln, NE
$100,001-$250,000
$100,001 -$250,000
1 RENT
I I Old Abe C~p-lt-a-1, -L-LP-/0-Id_Abe__ $250,0~ENT .
Two Capital $500,000 I Comm. Bldg. #18-Usbon, N."'D ___ .___,
I I Old Abe Capital, LLP/Oid Abe ~ - $250,001 • Two Capital $500,000 Comm. Bid . #19-Mandan, NO
'
.. Old Abe Capital, LLP/Oid Abe Two Capital
..---r-C.;....o_".!'!'· B~. 120-Marshall, MN Old Abe Capital, UP/Old Abe Two Capital Comm. Bldg. ii121-Mi11er, SO
$100,001 • $250,000
$100,001. $250,000
RENT
I RENT
I RENT
1 $s.oo1 -$1s:ooo -~ 1
·· I $15,001 _ $50,000
I $15.001 _ $50.000
I $15.001 _ $50,000
I $15.001 _ $50,000
: $15,001 - $50,000 I
I
I $s~oo1 -$15,ooo
J
SCHEDULE Ill ·ASSETS AND "UNEARNED" INCOME Name Richard A. (Rlek) Berg
Old Abe Capital, LLPJOid Abe Two Capital Comm. Bldg. #22-Moorhead, MN
•
1
Old Abe Capital, LLPJOid Abe Two Capital Comm. Bldg. #23-Pipestone, MN Old Abe Capital, LLPJOid Abe Two Capital Comm. Bldg. #24-Rfchland, so
I Old Abe capital, LLPiold Ab;---· Two Capital Comm. Bid . #25-Roseau, MN r- Told Abe Capital, LLPJOid Abe
I 1 Two Capital . .. Co.l'fl!'!:. ~!P.9.: .lJ26-Sioux City, lA r-- I Old Abe Capital, LLP/Oid Abe I Two Capital
Comm. Bldg. #27-Sioux Falls, so Old Abe Capital, LLP/Oid Abe Two Capital Comm. Bldg. #26-Wahpeton, NO Old Abe Capital, L.LP/Oid Abe TWoCapJtal Comm. Bldg. #29-Waverl ,lA Old Abe Capital, LLP/Oid Abe Two Capital Comm. Bldg. #30-VVJnger, MN
I $500,001. $1,000,000
$50,001-$100,000
$100,001. $250,000
l·s25o,.oa·1·-~ $500,000
$50,001. $100,000
--·-l ·$100,001 • $250,000
I $250,001-$500.000
I $100.001 . $250,000
RENT
RENT
RENT
I RENT
RENT
r RENT
I RENT
I RENT
] $1 oo."oo1 ~ - .. _-~-RENT $250,000
$100,001. $1,000,000
$5,001 • $15,000
$15,001.$50,000
$15,001 -$50,000 ... .. . , ·--· --·- .
$5,001 • $15,000
! $15,001 • $50,000
I $15.001 • $50.000
... , ·-·-·-- . .... $5,001 - $15,000
.,.1111f 18
SCHEDULE Ill • ASSETS AND "UNEARNED" INCOME Name Rlcn.d A. (Rick) Berg P~ge12 of 1t
Old Abe Capital, LLPJOid Abe RENT $5,001 -$15,000 TWO Capital comm. Bldg. #31-Wishek, NO
r· I Old Abe Capital, LLP/Oid Abe "'I $250,001 • I RENT I $15.001 _ $50.000 · ·~--,.
1 j TWO Capital $500,000 comm. Bldg. •32-Crookston, MN
I I Old Abe Capital, LLP/Oid Abe -1 $250,001 - I RENT I $50,001 _ $100,000 Two Capital $500,000 Comm. Bldg. t33-Pella, lA
n ·-Oid•At; Capital, LLP/Oid Abe l"fi~~:g~b- I RENT I $15.001 _$50~--- - ---
1 TWo Capital comm. Bldg. #34-Center oint! lA . -·· . - . Old Abe Capital, llP/Oid Abe l $50,001- l RENT l $5,001 -$15,000
I _, I
I Two Capital $100,000 comm. Bldg. ill35-Oskaloosa, lA . ... -r ---- I Old Abe CaPital, LLP/Oid Ab-~ 1 $100.001 - I RENT I $5.001 _ $15.000 I . TWO Capital $250,000
r comm. Bldg. #36-Iowa Falls, lA
I $1.000.001- I RENT -··--1" I Old Abe Capital, LLP/Oid Abe $100,001-l $1,000,000 Two Capital . $5,000,000 Comm. Bldg. #37-West Fargo, ND I Old Abe Capital, U.P/Old -Abe I ssoo.oo1- I RENT 1 s1s.oo1 -' sso~ooo ... TP-- -~ Two Capital $1,000,000
· comm. Bldg. #38 Aberdeen, SO
SCHEDULE Ill ·ASSETS AND "UNEARNED" INCOME Nama Richerd A (Rick) Berg
Old Abe Capital, LLP/Oid Abe 1 Two Capital
Comm. Bldg. :AI39 I $250,001. $500,000
Aberdeen,_?!? . . -------Old Abe Capital, LLP/Oid Abe ~-$250,001 -Two Capital $500,000 Comm. Bldg. 140 Dickinson, N~D _____ _
r-Taid.Abe c-~~ital, LLP/Oid Abe I Two capital
Comm. Bldg.# 41 Duluth, MN -----
1 Old Abe Capital, LLPJOkl Abe 1 Two Capital
Comm. Bldg . #42
$100,001 -$250,000
. - , $250,001 • $500,000
RENT
I RENT
- ., RENT
HI hmore, SD _ -·--· ·----.--· - - - -r-----' Old Abe Capital, LLP/Oid Abe I $500,001 • I RENT
r
: Two Capital $1,000,000 · Comm. Bldg. # 43
Shakopee, MN ..... ··~ <ild Abe Capital, LLP/Oid Abe
Two capital Comm. Bldg. # 44
.-----,_Wi_ IIIi...;..st.;.;;o.:...;.n,'-'N..;;.;D;..._ _ _ _ _ ... --· ---..---Skyview Partners, LLP $250,001 -
I RENT
RENT
$5,001 - $15,000 p
I
T$5.001 _ $15.000 ·r ·· 1 $5,001 ~ $15,000
I NONE
I $15.001 _ $50,000
$50,001 -$100,000 Apt. Bldgs. #1 & #2- Fargo, ND $500,000
- - - 1----·--· ··-+-------+--, Skyvlew Partners, LLP
Apt. Bldgs #3 & #4-Fargo, NO
Skyview Partners, LLP Apt Bldgs. #5 & IS-Fargo, NO
Amber Holdings, LLP Comm. Bldg. #1 Fargo, NO
$500,001-$1,000,000
$100,001-$250,000
$1,000,001 -$5,000,000
RENT
RENT
RENT
$50,001 - $1 00,000
$15,001 -$50,000
$100,001-$1,000,000
SCHEDULE Ill ·ASSETS AND ''UNEARNED" INCOME
!-- -
_ ,_ ..
...
Amber Holdings, LLP Comm. Bldg. #2 F ND argo,
RJ O'Brien account
• ---••n•
JJR Properties, LLP Apt. Bldg .-Fargo, NO
-·-· . 714 Partners, LLP 1 Airplane-Fargo, NO
TFRE, LLC Real Estate-Grand For1<a, NO
Toasted Frog West, LLC Restaur~llht-Grand Forks, NO
---· Big Bend Development. LLP Twin Homes-Washbum, NO
Bauer Prtvate Equity Fund Ill
Bauer Private Equity Fund IV
-· Loan to Calll>lng Adventures, LLP-Fargo, NO .. -Loan to Lori !bach-Fargo, NO
Loan lo Ag Foundation · Building, LLP-Bismarck, NO . ' .. .
Choice Financial Bank account-Fargo, NO
Congressional Credit Union account-Washington, DC
Nona
.. .. $1,000,001 -$5,000,000
$50,001-$100,000
--· $15,001-$50,000
·-· .. . $1,001 • $15,000 ·-$50,001 -$100,000
. $1,001-$15,000
-$1,001-$15,000
$15,001 • $50,000 ........ $50,001-$100,000
-· -· $15,001 -$50,000
··-· . $1,001-$15,000
$1,001 • $15,000
.. ·-·------------
RENT $2,501 - $5,000
·-·-Commodities I NONE
·-·~s Account +=-RENT i $100,001-
$1,000,000 ·-··· . -
Partnership NONE Income
LLC Income $201-$1,000
·--LLC Income $201 - $1,000
: i
i
.. $5,001-$15,000 =---t=:== -Partnership
Income ...... LLC Income NONE
·- ·-· LLC Income NONE
-INTEREST . $2,501 - $5,000
I I .. · -INTEREST I $5.001 _ .... 000
.. INTEREST $1,001-$2,500
-INTEREST $1.$200
-·----INTEREST NONE
SCHEDULE IV- TRANSACTIONS I Name Alchlrd A. (Rick) Berg ~ PIQII 15 ot 111
Report any pun:hHI, Nle, or •~~Change by you, your 1po~e. or dl~ndent ~ld durlilfll tile Nportlng ,ur olany ,.a~ prop.rty, 1loc:ka, bondl, eomrnocltltl futu,., or ottwr 1ecurftiM ,..,.n !be' ~mount of the nnuc:tfon 1xceed-' $1,000. Include trlnactlon1 tflilt ,..ult.d In •lou· Provide a brf.t' d•crlptlon of •nr emha~• tran,,c;Uon. Do not report •trai'WIICtlon betw"n wou. your.,..., or your depend•nt child, or the pun:t\- e~r aall or your per.orwii'ISidenoe, ~.r~ln• It fa rantld out. II only 1 portion of an "Htl1 1old, pi- 10 indi~;atl (I.e., •pertfal eale'1· See example below.
SP, DC, JT Asset
1 Amber Holdings, LLP ! Comm. Bldg. #2
r----.-F_a!i~Nq ________________________ ,
1------t
Goldmark Schlossman Commercial Real Estate stock-Fargo, ND
Jimberg Partners, LLP Comm. Bldg. #1-Fargo, NO
1-----l-Oid Abe Capital, LLP/Oid Abe Two Capitai Comm. Bldg. # 42
C1plllll
Type of Geln In &Gee I
Transaction ol'$200?
p NIA '
s No s . Yes
I
p
Hlghmo~J. ~~ .... - ------- --------..,.--r-!Ord Abe Capital, LLP/Oid Abe Two Capital
·-lNIA
1P IN/A 1 1 ~~m. Bldg. # 43
1 · I ~·~;~~~:1. LLP/Oid Abe Two Capital
I
1 1 Comm. Bldg.# 44 Williston, N=D----- ---- - ---------,
I Old Abe C~pltal, LLP/Oid Abe Two Capital
lp rp-\ 1 Comm. Bldg. #'a8
Aberdeen, SO ~--~-Old Abe Capital, LLP/Oid Ab; ·T~~ -CapltaJ 1 Comm. Bldg. #39
1
Abo.Ooon.SD . 'I Old Abe Capital, LLP/Ok:l Abe Two Capital Comm. Bldg. #40 Dickinson, NO
/p
lp
[N!A ' :N/A
IN/A
IN/A
Date Amount of Tranuctlon
1-1-11 $100,001 - $250,000
8-1-11 $15,001 - $50,000
1-,-11 $250,001 - $500,000
11-18-11 $250,001 - $500,000
18-1-11 1 $soo,oo1 •· s1.ooo.ooo
' T·----- · · I $100.001 _ $250.000 l : 1-1-11
I
15-16-11 - . -·-·-· "" -·- --1 I $500,001 _ $1.000.000
! B-17-11 I $250,001-$50~
111-1-11 I $250,001 _ $500.000 · · -l
SCHEDULE IV - TRANSACTIONS I Name Rldlard A. (Rick) Berg I ~1811119
Rllport any purci!Me, Nle, or eKOhange by you, vour apouee, or Cllpendent ohlld during the ,.,orttng YHr olany real PI'OIMI'tr· .tocb, bonda, aommodiUea Muree, or other eeourltln when the amount or tile transac11on •~ $1,000. Include tranNG11ona t1wt raeult8d In 1 loll. Provldt a brl.r dMc:ffptton of any •Dtlanga lnlnucuon. Do not report a tranuollon belWMn you, your apouH, or your dependent child, or the purchaH or aale of yo~ ,.,.onal real Ilene., uniiH It&. rem.d oul. If only • portion of an auatla aald, pi••• so tndlc:at. (1• .• "parUei•Je•J. lee a:umpll below.
SP, Caplt.l
DC, Type of Oalnln Ell"" JT Auet Traneactlon ofU001 Daw Amount of Trana•ctlon
Old Abe Capital, LLP/Oid Abe Two Capital p N/A 8-4-11 I $100.001 - $25o,ooo : Comm. Bldg.# 41 Duluth MN I r- .. - .. -
-1 ~21~1 1
. . ' Residential Land-Washbum, ND S(part) No $15,001 • $50,000
.. .. ... ... . . -RJ O'Brien -Cash Value distributed (only s Yes · 3-1-11 $1,001 -$15,000 cash value was In this account at 12-31-10) I
•• •• ao -- -··· --- -SP UBS SEP acoount-See Attached Statement
- . . ·--···· UBS Sep account-See Attached Statement
_ , ... 40 • .. - . .. Westwlnd Properties-Apt. Bldg. #4-Fargo, NO s Yes 5-1-11 $250,001 • $500,000
SCHEDULE V- LIABILITIES I N•me Richard A. (RICk) Berg I Pap17 of Ul
R..port llablllliM ol' over $10,000 OWid to •nv on• c.-ecfltor at •nv lime dul1og ltM raportlng period by you, your apou.e, or cllpendent chUd. Mall\ the> hightlt amount OWIId dur1"111 the yar. l!iUill.lde: /vi~ rnortg1ge on your .. ,..onal rNidence (unl- aU or part of It Ia nnt.d aut): l0o1na Hl!urad by aut.ornobiiH, hoiiHhald fuml\uN, or appllana .. ; and llablllllM owiNI to • apou.e, or ttle ohlld, perwrt, or lllbllng of you ar your apouea. R-,ort ••nrvolvlng oha1111 neounta" (I.a., end It oarda) on~ If lhl balance It thee; I- of the prtooecnng calancilr year uONCied $10,000.
SP, Date DC, Liability JT Creditor Incurred Type of Liability Amount of Liability
SP Wells Fargo Equipment Finance June2009 Fann Equipment Loan $15,001.$50,000
-·- •. - - - .. Starlon Financial February Business Line of Credit $250,001 • $500,000
2009 - ·~~· ·--·
.. -SP Wells Fargo Bank August Farm Line of Credit $15,001 • $50,000
; 2010 .. ·- - .. . . .. .. ----· -· . ·--- -
Ramsey National Bank February Business and Real Estate -+ $500,001-$1,000,000 2005 Loans
----r- -State Bank & Trust October Business Loans . $250,001 • $500,000
2005 - .. _ .... ·-
B111mer Bank June2007 Business Lo·an $50,001 • $100,000 I
------- -
SCHEDULE VIII - POSITIONS I Name RldlerdA. (Rick) Berg I "-" 11 d 18
Ripon 111 p~ltlone, OOmptnNtld Of unoom.,.nut.d, h1ld d~ng the curNnt oel.,ur YAfll en ofllcar, dlledor, tr\INI of ert org~~nlultlon, partner, proprtnor, rap.-ntallva, lmPIO'f'n, or coneultllnt of any corporation, firm. putnen~hlp, or any bullnHI Wlllwplia1, 1ny 110npruftt organization, any llbiH' ort8111zatlon, or IllY lduc:atlonal or othllt h11t1tution other thin thl Unlald ltalll. Exoluda: Po1llio111 hlld In Ill)' Nllglout, lodtl, rt.tern.l, or pollllolll 1nt111H; p1111t1one 1ol1ly rJ en hononry natu,.: 1nd poeltlone dllld on lohldulel.
PoalUon Name of Organization
Partner See Attachment Listing Partnerships
·-' ... Member in Limited Liability Company See Attachment Listing LLCs
.. . - - . ·- - -Treasurer/Director Goldmark Schlossman Commercial Real Estate Services, Inc-Fargo, ND
. - ... ---· -- -Director GF Corporation-Fargo, ND
------·--
FOOTNOTES
Number Section I Sch•dule I I
·-I
1 ScheduleV
----~· -2 Schedule Ill
- .. 3 Schedule Ill
-· · 4 Schedule Ill
. . 5 Schedule Ill
I ... 6 Schedule Ill
.. . . 7 Schedule Ill
8 Schedule Ill
J Name Rlch•n:l A. {Rick) Berg
Footnote
··-Llabllltle& of business entities and mortgagealloans on rental or investm~nt property held In a part~rship, LLC or S Corporation are not Included pursuant to apectfic reporting Instructions-page 26. Assets values from partnerships, lLCs and S Corporations reflect 1he flier's percentage of ownership interest.
I P•;e111of 11
Thla note refera to the following Item
----------r--------Loan from Jay Braaten was paid in full on 12-19-11.
Amount of Income Is not required to be reported, since It Is spouse's earned income from a cattle ranch-see Schedule I.
Amount of income is not required to be reported, sinoe It Is spouse's earned income from a cattle ranch-see Sct"ledule I.
Cash balanoe was distributed In January, 2011 .
Quality Dairy Growers LLC changed its name to Dacotah Cattle Grower.; LLC.
Beginning 1-1-11, Skyvlew Partners LLP accounted for Its apartment buildings as three separate units : buildings #1 and #2, buildings #3 and #4, and buildingl5 #5 and tl6.
Loans to Jay BraatenFargo, NO
Cattle-Oliver County, NO
Ranch EquipmentOliver County, NO
SBT Investments , account
Dacotah Cattle Growers LLC
Skyview Partners LLP
Retirement Account
$UBS UBS fln•ooill SeMcos J1r. 51 Broodw•y FarQO NO 58102-4933
UBS Strategic Advisor December 201 1
i>JIZZ004797027 m 1 X24 80 0
VOW' fl""ndal AdviiOr:
QuettiDII'I about vour statement? Colli ywr Financial Advistlr or t~e RMA ftesourceLine at 800·RIM· 1000. ae<gurt 211004770.
Vislr our webl1t1: www.~bs.(om/financialservi<OS
Vour lnv•stment objactlves: YO\j hjll<! identified thft ~loWing 1nves.1ment oq.cUvu fer this. accoun\.. It you have questions about I~"' objoctwes, disagree with thom. or wish '10 cnongo 1hom, plea•• contact your Pnancial Ad.lsor or Branch Monager. Yw Qln md. full dt>Cription <Jftho ~atiYI! i~ve<tn-Mt objectives in Imports"! tnl'imMriM M>cut your swtemefll al the end of this documenl
Your re'um obJttl:V.: Cap•lolapJn<iotlon Your rtlk pnofllt: Prinl"Y • Aggr .. siYI SI<Mdary • Nor11' sole<"lod
Mm ... rSIPC
Atcount nerne: RICHARD A BEAG SEP
Atcount 1ype: SlmpiffiRd Employee Pension
A<caunl number:····~
Value of your account on New<!mbor 30 (S) on Deremtler .'!0 (S)
Your assets 197,534.65 196,022.67
Your liabilities 0.00 0.00
V.alue of your account $197,514.65 $196,0:22.&7
Change in the value of your account Decomber 2011 ($) v .. r to cote (Sl
Opening account value U97,5J4.&5 $209.435.16
Withdrawa Is and fees, including Investments transferred out o.oo -2,792.84
;:.D_iv_id_en_d_a_n_d_ln.:.te::.r.:es:.:.t,.;,in;.;com;.;;;.e:.... _______ .:.3:.:.,9..:83:.:·:_75:.,_ ___ , 6,208 47
Change in market value ·5,495.73 -16,828.12
Closingaccauntv.alue S196,022.67 $196,022.67
VOIU .uount lmtruc!IOriJ • UBS Fmancial seMces ~. " your
MU>dian.
APZ2000SOC.797027 PZ10002W0000002 121 IX2400)~19910 C &D 14 ,..,. I of 14
- - ------·- -· ".
$UBS
Cash activity summary
Opening bal1nces
Additions Dividend and 1nt2rest Income
rora/ add;rfons
Subtnwlons Profeu.onal management fees and related services
Funds wlthdrijwn for investments
Oo<Qrnbor 2011 ($)
S25,954.!M
3,S83.7S
$3.1113.75
0.00
AUIOUMIIIIM' Account numlotr.
Yur tD dim($)
528,706.16
6,208.47
S1,2DIA7
-2,792.8-4
boug~t -3,980.62 ·6,163.72 · - - - --. ··-·· ·- ·· -- ·-
_To_r.a_l_s_ub_r~_ac_t_km_s ___ ------- -S3.980.6Z -~8.956.56 Net cash flow $l.1ll -$1,748.09
CIO!IIng balances $Z5,1151.07 $25,958,07
.....
RICHARD A BERG
Dividend and interest income earned
Dacember 2011 (S\
3,983.75
Totel current year 53.'13.75
Prior year adjustment 0.00
Total dlvld4nd &lnterelt S:J,98J.75
S\ll)liilary of gains and losses V.Jutsl'lpOrttd brlowtxcludll prodLK.tiofor 't'ootld1 gjj'~j(d W~t\oollrl rmtd~sl*i.
IIOokl<ld g.!lfl~a'ld ios51!!
01'tember2011 (!) Year to dote($)
Short term 0.00 0.00
Long term 0.00 0.00
Total $0.00 $0.00
APZ20005004797028 P220001S41 OC00002 1211X24003919910 0 80 14
Year 11> d.!te (SJ
6,053.81
S6.05U1
154.66
$11,201.<17
Unre111liz'ed
golr!! "'d loo;ses ($)
-14.28
·1,141.19
-$1,155.47
,.""a or t4
Acc:aunt um1: IUCHIII\0 ABERG
$UBS UBS Strategic Advisor December 2011
Account l)lpe; A<courn num HI':
Simplified ern~ Pensi<rl
Your assets '!iQf't\e- pf<es, l'lCDrna •nd turrtnl ....UUtil'i shQwn nwy lH!a~rol.imatl!. A! i re.sult. garns and ~ rr~•y not bt ICO.II"'lely rafltctQd. Sw lmpcnmr lf!fbtmal)O!'IIboVf}OUI Jtal'!mtflt ., lht tnd of th•i doc.u"'er\\ Jot rnor1 dorm a liOn.
Cuh Casn •nd rnoney balance•
Equities
Mutullllunds
.TOIH/f.iha'IJtC'd ~ U\t Iotti 01 &I r til\....s":td ID.tdilnm:, ~~ .rSoti DOl .ncJUdJ li\V (I ll\ d~~·\, h }I t'iOt I (U' '"' lor 1~ ....,.,... •I llltonolo)ag I'Qdlr>Q perk•b or CD> I ,.. •. Tl\0 ""ru )'Oil ,...t,oe h<h limo )'Oil refmur: d.v!dtndt bt«<c'''Jot a S~~lif IM ~
CQS:ttdi f1 tli IN IOUI1 "'-'C'CN ... C'ot1 ol tN 'rt"-"kt· l"'dvdlrtg rtlrrttiteddMCf./'ICb.. 'n'lcto:n~ mty nMd to bt' aliJu, (.rtl ior ntl\11''1 or clpltaiPttfftlnU.lr.t o.ur~ to~~•mh•lht '~ttda:Ht boMG !Of r.aa:reponng ""- Ptlfc:N5ot prlcef
Nlllllbo< Ml'r9P"ia Clct< -'!t ol share-s "''~<II! il"'''lstrl'lllnl f\1
AUJAW NF 1 lli\IIOEND
VALUE FUND ClASS A SyrN,ol· J>NEAX
Tr•de d~lo. Dec: JO, 05 1,674.129 14.~)0 23,822 ~6 Toc.l re~stvd 600.352 Hl.l!9
EAI: $730 Cvrrenty'eld: 2.82% Securil)' to1al 2,274.4111 13.744 23,822.86 AMERICAN FUNDS SMAUCAP WORLD FUND CLASS F Symbol: SCWFX
Trade date: Aug 2 L 03 351.3.19 ~2.770 s.ooo.oo Tr~ d>te: MiiV 24, ()4 97.2~9 26730 2,600 00 Trlldf dato: Nov9, 04 137.979 28.990 4,000.01
o.VJdE:.MIIntt:lt'f!t pmc6
Nov ~3 IC Del; 22
Ullr8izt.tl (exJ ;1m 01loss •s1hl dlf"mnce b!twe"eflli'M!o ~urrtnt va~Ri11K11he cost baSis illld 'MX.IId
~:,W~b~~.u~~~: tr;;~:~i~~~!=:~o:: ~;~~r~·,:·~~~t;~g;7c: ~~ tn '""""'"'""""""' llwslmflttft~n "1he (L.IIIII'f'll veil~ m•lll.l~ tht!o amount )W invut~d. k ~ R01•Jl(ludlo 11-wrft tNt .art no'! rl!lfltdld an yOUt"W'IItiMrlt, JOC1o.lcllflq1h.-Hthi.l h.we bcoen reMrad as ~tt\e-1' ~g11n or a •O.S.S II Zlbodoes not lnc11Jdoe QISh dMdd~~ ~hal Wf•l!l not rW'wQned.
C<nl l'riol po,.ho,. V ... oo Ut!r\t""hed {ld~ ~1mMl JiOMing
"""'ill ., DK.lOIJL _______ C.C.lO(S! i!!!"' or ion IS! rwcurn lSI ptllod
23,821.86 1'.370 19,034.84 -.4,788.02 LT
7,438.19 11.370 6,826.00 -612.1~
31,261.05 25,860.84 -~.400.21 2,03HN!
8,000.00 31..890 11,555.54 3,555.54 [T . .....-..-~
2,600.00 32.890 3,1!19.18 599,18 L' 4,000,01 32.890 4,538.13 538.12 L'
conrinue<l nexr pa~e
APZlOOQSOOoiJli/0~1 Paoocl!-4100 00002 1l11Kl4 00!919910 DiD t• P•t•!ol14
- ------··------· -· ·- -· ......... . _.
$UBS A~nt.,.,.e: RIC HMO A BE~G AccauntnumW.
Your assets , Equities • M11tuol funds Ca:.nlinllfCi) -·· Purd\all p11!::&' ....... lnocl~>! ~mbef AI'O<IQ<IptU (IW ton ~i::t Pet \h.n ~~(,] .,_rmom Mol<>ng
-119 <>lob- ___ , pHINi t tl) ..... -.-•• (SJ ba<i<(l) 011~10(1) 9-'in<rlm<lll "'""'(II pe<ICd
~.;Jon26,06 21]618 37.450 8.00000 8,000.00 )2.890 7,0ZS.90 •974.10 ·-· . LT
TotJI11!rnmted 255.754 38.692 9,895.70 32.890 8,411.75 ·1.4113 .95 EAJ: '115 <:urront)'~ld · 0.33~
~~ytot~1 1,05! -9~9 30,774 22,600.01 32, 495.7 1 .34,ll0.49 2?109 12.130.4~
~ENCANFUN05GRO~
FUND OF AMt~ICII CLASS f SymbD'' GFAI'X
Trodt dat•· Aug 21, o~ .407 4~4 22.090 9,000.00 9,000.00 28.560 11,636.02 2,636.02 LT
Trade ~410: Mov 24, 04 121.803 Z4.530 3,000.00 3.00000 28 .!160 1,478.69 478.69 lT Total11!mwsted 95.75) 30.9/0 2,965.53 28560 2,7311.10 ·23083
EAJ 1135 Ct~n.-nt y••ld: 0 .16'4
Security total 624.!180 23 946 12.000.00 1~,'16S.S3 17,849.42 2.883.88 5,849;~' - ·-fl~~ I EA<iLE OVERSEAS RINOtlASSA
Syr>bol: SGOVX
1rado ~ale: 0<1 1, 03 4H.Ul 16.940 7,000.00 7,000 OD 20.360 8,413.22 1,413.22 LT
Trll<l•~ato: Mlr \2,04 79.~1$ 18170 1,500 00 1,500.00 20.360 1,6n.07 127.07 LT
Trade dato; ~ 2~. 04 161.551 18.570 3,000 ()() 3,000.00 20.36() 3,289.1R 28i1U LT
Trado! doto: Nov~. 04 1U611 20.660 4.000.00 4,000.00 20.3~0 3,941.92 ·58.011 LT
Trll<le date· JiO 76, 06 415.455 24070 10,000.00 10,000.00 20.360 S,4M.66 ·1.5-41.34 LT Tolillltlnl/lstod 965.081 21.478 Z0,7:/8.5l 20.360 19,649 OS · 1,07~.58
U.l: 58Sl Curren\ yield; 1.90%
S.ctwty tat•l 2.228636 20.741 25.500.00 ·~.228.63 45,379.10 -849.53 19.879.10
ROYCE MiCRO-(: liP FUNO
Symbol: RYOlX
Tr•d• d•le: Sep 2~. 0~ 728.853 13.720 10,000.00 10,000.00 14.540 10,597.61 597.67 LT
Toi;JI rolnVI!slod 65l3114 15.141 9,878.02 14 540 9.<18~.66 ·392 36 fAI: $279 Curren I Y'•ld• I 39'Mo
Se<u~ty tot~l_ 1~'181.247 14.391 10MO.OO \9,87~~~~ 20,083.33 205.~1 10.083 33 -----ROYCE OPPORTUNITY n.JNO
SI'JI1bol RYPNX
APWl005C047970lZPZ200025-110000002 IZ11)(.!~0Ql91g(j1Q 0150 1• PIGt \o of 14
Account nome: ~ICHMO A BERG
$UBS UBS Strategic Advisor Decerriler 2011
Account ly!w. ~ount number:
Slmpllfl<d EmpiCI')'et' Pension
Your assets , Equities • Mutual funds (<onU .. ued)
~"!! ___ ···· - · Traa<' dote Mar 11, 04
Toyl rtinwJivd
!.i!<1Jflty total
Total Total u11mat•d annuol \noomo:
Fixed lncom•
Mu,ualfunds
Nom bel of shiriS
117.832
as.68~
lm.s1a
$2,119
Purcta.ua pncW A110•age ptlce CI11Pn1
__ !":'~".!.\S.L 1-tmorn<Sl 12.730 1,500.00 11.037 12.017 1.500.00
$95,UU7
Tor.tl ~ 15 the total ct a• r11ttwsttd dftldtndJ. It dces rv;;t ;ndud.! any 'uh d111id•[ldJ. 1t Is not 1 l'll•lo1 fot lht pu.rpasf'1o ol OetltrnvWu~ ho'd1ng perods or COS I bM The 1h.m :tOY r~~ H(h!iJ'n,e you ~U dwilfe,l')d, bt~rJme a lfPWIIW IU lot
Cr;P1f ~sh is the total p~.nJw~ aat ot Ow se::lHi1y,rlldu.:rng reinve~~d div1d•nds. lhP cml bit'iiSITiilr nHd Ia ~ adJU!oled fotretum ur c:oaphi!C Pi:tr'"er'IU "' QrdN 10 ~kle IN adjustfod c.ort b.tial far Wr ~t"portrtgputpo,te&.
Purd'lase prio!f NUTtber A~~r.nM Ohrnt
Holdi'lQ of snarts invutmtnt CS)
fAtON VANCE INCOME FUN[) OF BOSTON ClASS A
Symb<ll: EVIBX Tradedate·Nov21, 02 1,11J.I73 5.390 6,000.00
Trado dato: Mor 1B. 03 892.857 5.600 5,000.00
Total rei"""""" 2,245.051 5 756
eAJ: St,892 Cut rent ~•ld: 7.86% Security tot.~ I 4.251.082 5633 11,000 00
. . - --··· -- ·- . --- - -
"'" Prk.tpuWre V~u•cn UrYt•b•dCtiJC) lrw1111Tlent H~:~ b"ls(l) onO«JC (I) Dec iiO(~I g~ll'\ a-l0$5 (i1 r•tum!1) 1.500.00 lO.JZO 1,216.0Z -283.91! lT
945 ?3 10.320 8114.28 ·61.45 2,445.73 2.HI0.30 -345.43 600.30
$141,£74.57 114&,00!.411 ·$1.271.1' 1'0,!80.11
lJrtfHJilltd (U1J g,ln cr A::ID iJ I hit d'LHet'ftKI! bl!IW!IfO tht CLJftlrl 'VillkM •nd IN COil b.t.SIJ 1nd wo.Jd QM~rilllll)' bt ~ taKJble g.t<t'l 01' IOU i~ thf! tecur'"Y WllS .sold oo this d.iti!. The wvealiud (ta,;} ~n Ql\o!$ ~y Motd to bt- adjyrttd for rtturn of apnJI paym~M! in ol'df!t 10 dtt.,.,. tht JUiizld g•ll or 1ost fer lUI roporii"'Jpurposos. h~Mk!!11tl'HUM ~ thecurrtnt"'lh•minusthtlrmunl~ II'Wf.a It dots not U':dudllhlrwsth.I'C Itt not retr.crtd on )IOI.It sltltrTJOnt, irK\.dng ~S' thal '1ilYI' bte" !Qbtd 1$ tilt4r il Qe•n cr illot$. •t .-a doe~ n~t inrlud! casft diYidH'Ids d\a1 Wff'e M1 '"'twP;Iad.
Co< I ~r<e per share V!lllueCWI \.lnrt.al..zE'd (~al) lnvtJtmtnl Ho~11111 bills !II on Dn JD{$) DeclO(II galflorb!-(S) return(SI pwl<>d
6.000,00 5.660 6,300.56 30056 LT 5,000.00 5.660 5.053.57 53.S7 ~T
12,9-45.'10 5.660 12,?0~99 -238.41
23,9<15.40 24,061.11 115.72 13,061.12
Al'Z2000500~797033 Pl2000254100000021211Xl4CC3919910 OliO 14 P•g• 11 cr 14
JEl 0047 -Client Inquiry- Activity for-•l•'!•t · 06/lS) If I i.SJ:30 Page I of2
.. Aj·'-1< f?e,.,j SEP-u85 Gen...- On1 01/ll/2012 AcaNnt 4il In 'f'l"llllla ••••
_..., Pl .. ...cl bJ: Entry Olte 01{01/2011·12/01/2011, AI SecuritiiS Tl'llnSictloos, All Cish TnmAC\Ions, Mont'( M1rklt Elcduded, Exdudt Debit Olrd
tr*Y s.tle Actlwlty O..:rlpUan s,mbol/ T'f'PII Q ... lllltr , ... ,.,.11 ~IIIOUnt 1)*11!''"' .. r---~ .....~ .... _, . EATON V~CE lHCOr-E 'UNO OF 01\1 $15D.93 12/01111 12/Dl/11 DMDENO BOSroN CUSS AM; Of 11/30/11 Mff'llf-513H53 I 0.000
ll/01/11 12{01/11 RfiNVES'Tl'6(T EATON V~CE lNCOME FUND OF tftW-SCH53 1 27.052 IWNVesT Dl\l ·$150.95
B()Sl()N C\ASS A M. Of U/30/11
11!25/11 11/ZS/11 DIVIDEND UBS ~~ID ASSETS FUND~ OF 11j2: 1l M~U~l9oiA1 I 0.000 DIVOINOOME $3.01
11!01/11 11/01/11 DMDEND EATON VANCf lNCOME ,UNO OF NffVlf-543H53 I 0.000 Dl~ $151.96 IIOSl"ON CLASS AM!. OF 10/31/11
ll/01/11 11/01/11 REINVESJleT EATON VANce lNCOHE fUM) OF MFEV1f-543HSJ I 27.0114 RfltMSTDI'II ·$1SU8
BOSroN C~ A M; Of 10/31/11
10/2ti/l1 10(26,111 OIVIOENC UllS UQOIO M.SETS FUNO AS OF MMllRA-9191Al 1 0.000 DlVDINCOMf $3.06 10/25/11
10/2 .. /11 10/24/11 FEEOfARGED QUARTERLY ffE 1 0.000 Fee Clllrt;!ed ~4.69
10/lll/L 1 10103/11 DMDfND ~ATOI'I VANCE IDICOME AJND OF MFEVIF-543HS3 1 0.000 DlV $1 .. UO BOSTON UA5S A AS OF 09/30/11
IO{Ol/11 10/0J/11 RfiNVESTMENT' ~TON VANCE INCOME FUND 01' MffVIF-543HSJ 1 27.351!1 REINVEST' ON ·$119.10 iKl5T'ClN CLASS AM!. OF 09{JC/l I
09/'11/11 09(27/11 DMDENO VBS UQUID ASSfTS fUND Ia Of 09/26,/ll MMURA·9194Al 1 OJIOO DIVD JNCDfo4! t;J,JS
Q91lJ/L1 D'l/23/tl DlYlDENO Al.i.lNll NFJ OMDEND lfALUf FUND MFPlNQ-5"0l78. 1 0.000 DlV $16U9 UASS A AS Of 09/22)11
09/2J/ll 09/23111 RfiNVES1lo1ENT A1..UNa NFJ DMOEND VALUE FUND MFPINQ·S40l7B 1 16.560 AEINV£ST DIV ·$166.59 Q.ASS A AS OF 09/221 ll
09/01/11 09/01/11 DlVIOEHD EA'TON VANCE INCOME FUNO Of M~f.YIP'.543H53 1 0.000 ~ OIV $1!il.10
90STON ~A /IS OF 011/31/11
0!1/01/11 09/01111 REINVSTMeNT EATON VANCE INCOMI! FUND OF MFEVlF-S43H53 1 27.115 ~tMSrOIII -$153.10 OOSTON <lASS A AS OF 08/31Jll
Dst26/11 OB/26,111 DIVIDEND (JBS UQIJIO AS5ETS RJNO ~ Of MMURA·9194Al 1 o.coo DIVDINCOHE $2:88 08/25/11
08101111 08/DI/11 DMDEND EAT()tj VANCE INCOr-1: fUND Of MFEVII'-543H!J I 0.000 DIV $155.57 B(l;TON Q.ASS AAS OF 07/31/11
08,101,111 OB/01/11 RElNVESTMENT EATON VANC~ INCXM! FllNO OF MFeVIF-51JHSJ 1 2.6.323 JWtMSrDIV -$1SS.~1 UOSTtlN llA5S AM!. OF 07131/11
07/.26111 07/26,111 DMDEND UBIS UQUID ASSET'S FUND AS Of MMURA-919-IAl 1 0.000 DIVO INCOME $2.91 07f25/11
07/22/11 D712:J111 11\'PASS I QuaiUIIV Fee F 0.000 Fe10111'01cl $733.36
07/22/ll 07{22/U BYPASS [QIIIIrtelly~e F 0.000 Fee Olarged -$733.)5
07/.22/ll 07@11 Ff~ OiAAGED [~VFEE I o.ooo FeeO.rged ·SnJ.36
07/01/ll 07/01/11 DIVIDEND EATON VANCI: INCOME fUND OF MFMf-543H53 1 0.000 Dl\1 $149.66 BOrnJN CLASS A AS OF 06130/11
07/01/11 07/01/11 RfiNVESTMENT EATON VANCI: JNOOME FUND OF NFM~·513H53 1 2S.Q AEINVE!iT DIV -$149,66
IIOSTON ClASS A AS Of 06/30/11
06,127/11 06/27/U OlVIDEND UBS UQUID ASSETS RJND AS OF ""MURA-9H1A1 I 0.000 DIVDlNCOME $3.418 06/24/11
06{17/11 06/17/ll otVIOENO At.LlANZ NFJ OIVJDEND VAI.Ue 1'\JNO I-IFPIHQ·540l711 1 0.000 DIV $206.85 QASS AM OFOii(16/11
06117/11 06117/11 REINIIESTI-'BIT ..WANl NFJ DI'JIDEND VALUE FUND MFPINQ-S40J78 1 17.832 REINVEST Dl'W ·$Z06.S~ OASS A M. OF 06/16/11
06,101/U 06{01/U DIVIDeND EATON VANCE INCOME AJND OF MFIMI'-S43H53 j 0.000 DIV $1S3.6B BOSTON ClASIS AM. Of 05/31/11
06j01{ll 06/01/11 REIN\IfS'Jlotif'T • EATON VANCf tNCOME fUND OF MFEVIF-513H53 1 l5.7~ REINVEST DJV -$153.68 BO~ CUdS A AS OF 05/ll/11
05/WU 05/25/1! DIVIDE NO L8S LIQUID ASSfTS F\JND AS 01' MMLIRA-919"\Al 1 O.OQO OlVOINCOME $3.10 'O!i{24/ll
05/02/Ll OS/02/U DMDEND EATOii VANct lNWME fUl'lD OF MFEVII'-513H53 1 0.000 DJV $147.84 BOSTON CLASS A AS OF 04/29/11
05/02/U 05/02/11 REINVEST~ EATON VANCf INCOME FUND OF MFEVJF-54JHS3 l 24.722 REINII£ST OIV ·$147.84 BOSlON ClASS A AS Of 04/29/11
04/.26/11 01/26111 DMCEND UBS LIQUID M.SETS FUND AS OF MMUAA-9l94A1 1 0.001l DIVD INCOME $4.69 04,125/11 04/~1/11 01/21/11 B'IPM!.S Quarterly Fee f 0.000 Fee~ $n7.6 04/21/11 01/21(11 B'I'PASS Qua~rlv~e F 0.000 FeeOmf9111 ·$727.63
(Ht21J11 Q4/21/11 FfECHARGEO ,QUAf(TERLY FEE l 0.000 Fee Chalgerj ~n7.63
0~/01111 04/01/11 DIVIDEND EATON VANCE INCOME FUND OF MFEVIF-513H53 I 0.000 DIV $151.63 BOSTON a.ASS A AS OF rJl/31/11
EAlON VNIO:.INCOME RJNO 01'
http://cwv2proxy .cwlh.pwj.com:8080/CICE/activity?fonnFlag::;;:Y &prinWl::;;:l &totRccCou... 6113/2012
JE10047 ·Client Inquiry- Activity fo,Itlr •s•£ • ._06/13MtUW:30 Page 2 of2
Elltry Settle Adlwtty •• Symllol I ,.,.. QQ•ntttw PrlcllfDellll AWiau.t Oat. Daa Seal~ G'l/01/11 I Q4/0_lfu REINVESTMENT BOSTON CLASS A AS OF 03/)1/11 MFfVIF-543HS3 1 25.570 RfiNVEST OIV _:1151.63
03128/11 0)/28,111 DMDENO UI!S UQUJD ASSE'T'.5 'UNO M. OF MMURA-919W 1 0.000 DIVDINCO~ $4.95 CJ/25111
03/111,'11 03,118,111 DMCEND AWANZ NFJ OJVJOEND VALUE FUND MFPINQ·5~0J78 1 O.OOCI '0~ $144.57
QA$AASOF03/17/ll
03/18/11 03,1111/11 REINVESTMENT AU.INa Nfl ONID61D VALUE fUND MFPJNC}540078 1 l;t.4S2 REINVEST OJ\1 ·U11.57 Q.ASS A AS OF D)/17/11
0)/01/11 03101/11 DIVIDEHD EATON VANCE INCOME FUNO Of MFE\'JF·S43H53 1 0.000 DIV $14D.&4 BOSTON CLASS A AS OF DV281U
03,101/U 03101/11 RBNVESTMENT EATON VANCE IHCOME RJNO Of MFEVIF-543HS3 1 23.fi71 REINVEST OIV ·$140.84 BOSTON ClASS A AS Of D~B/11
02}2li1L 02/23/11 DIVIDEND UBS LJQUID ASISFI'S RJNO AS OF MMURA-9191A1 ! 0.000 DIVD INCOME f4.511 Ol/22/11
02/01/11 02/01/11 DIVIDEND !A10H VANCE INCOME fUNO OF MFEVlF·543H5l J 0.000 or. $154.119 80STON QASS A AS OF Dl/31/11
02,101/11 02/01/11 RflNV~I;NT EATil'l VANce LNCOI4: F~O OF MFMF·S43H5l ! 2U61 REINVEST ON -$154.89 BOSTON QAS5 A AS OF Ol/31/11
01/26/ll 01/25/U D!VIOEND UllS UQIJIO Jeirni RJNO AS OF MMLlRA-9194Al 1 0.000 DlVO If«::ti1E $4.J:l DJ/25/11
01/21fll 01/2-4/11 BYPASS Qu.-terly "-e F o.ooo fee ChB191!d $697.~
01/24/U Ol/2'4./Jl BYPASS Qulrtei!V ~e F 0.000 fee Chlkoed ·$697.16
01/Zi{U 01J24/11 f£f CHAAGEO QUARTERLY fEE 1 0.000 Fee Chii'Qid -$697.16
01/03111 01/03/11 OI'IIOEr-.c EATON VMCE INCOM: Fl.tlD OF MFEVIF-543H53 1 0.000 OIV $153.1!0 BOSTOH QASS A ASOF 12/31/10
01/0l'U 01/03/11 DJV!Offll) ~:~UID ASSETS fUND AS 01' 1 110 MMLIAA-9194Al 1 0.000 OIVDlNCOME $0.116
01/0~11 01/03111 RfiNVESJMENT EATON VN«:E INCOME f'UNO OF MFEVIF-S'IJH53 I 26.336 REIHVeSI" DIV ·$153.80 BOSTON a.A5S A AS OF 12/31/10
1 D15played as an addlltonlllrenactlon, lhe 11bo111 t.nk anf activity ir debllld from your account on 1111 26th ofeac~ rnonlh, assuming t111s elate 15 a bldiness dav.Otherwlllll, It 15 de!Jitecl from your 1ta1unt on the following bUSii\Us dar.
lntl'lllli'l'f updates ror equi!V, FIXed lncom~ 11nd Mutu&l fund trades, and scmt QISII and securttY uensacuons are Included on iiiPpraKinlalely iii 20 minute dei•Y-~m!alm IDSI em fill: ~lllllty llldu lm §llll'\ltl5. ll!d malt Dlllll\ltdl ui!Jr.ll s!JD!:IIQil Sit t!!IJ!;S;Qll!!t. fiX!d !nmme agency tnula may hOt Include commiSSion and fees. Mutui l Fund tr.ldt5 lrt 11!1\ectM followng PIIC.<onftlmauon !TOrn lhe fllnd <ompanv or tr.lnsfer agent. Mutu1l Fund dfrecl busine&S, Mutllll Fund trtnsters, some !fade torredlons 1nd 11001e rees are nat lnduded lntrAdey.
lhl1 report Is a lnlortn~tlon~! PIIIJ)CSe5 onlv and may or mav net lndllde 11 hllllllngr or dient aca~Unts. NllnfoiTIIItiOn presenMd Is suDjett 10 d1111ge lit any time and 5 pr!Mded only as fJ the ditbllndltiiillld. 1he Rrm'5 pe/10dlc act1)Unt statemenl5 and olllelil! tax documents ~re the only ol!ldirl remrd gf drent atai\Jnts 1111d ant not !RJ~, replaced, or llllll!ndl!lll b'( any of the lnfQrl!lltlon pr-'lld 111 tt11sw reports. Oients sllould llOt rely oo thl$ lnb~ !n making purdliM or~~~ dec I-. rortn purposes or othiiM111!.
http://cwv2proxy.cwlh.pwj.com:8080/CICE/activity?formFlag=Y&printAll=l&totRecCou ... 6/1312012
$UBS \A!S Finsrodal SeNit .. l~. 51 8roa<lvm Retirement Account Farga NO SSt OH933
December 201 1 CPZ2004f9?407 1211 )(2480 0
Your PI RAMI al Advlsar. --=--VIsit our webolt.: 'ftNIW.ubs..~naocialsl!rv05
Vour lnvKtment objectives: You na~~e 1Cie<11~iod the follcwing f1ve•tm""t objo<lives for this account. If lllU haw question\ abc>Jt the<t objectr.'el, d~agreo with them, or wish to Q'..ange tn@m, ple~JS@ cuntact \'<]Ur flnoroal AdVIsor or Blanch Manal)l!r, You c.an find a full descriptiot\ of tho altemative Investment o~ectim in rmporrant informar1011 abc>ur your star.mont at the end of this documont.
Yaur r.turn objKIIVe: Cur~tii1COII\f & capitalappri!Clation Your rlolt profile: Primary- MoQerate Sec011dary - Nontl selecllld
l"<>ur PACE lnv•l1,.,.,.t obJ-ctjv .. : YoloiTPAC! r.t&lm objecti\1-.: lntome and capit.11appred•Uon Your PACE rltk profile: Moclora tely olggressiv•
Account name: TRACY J MARnN
SI:P
Account type: Simplified Employee Pension
Account nuntbtr: •••••
Value of your account Ot\ No:wember 30 (~) on Decombor JO ($)
Your assets 271,305.07 ______ 171,341 .65
Your liabilities 0.00 0.00
$271,305.07 5.2 71,34 us
Change in the value of your a~'QO'!ffit Doa!mb« 201 I ($) V•llrtOdo!te ($)
Opanlng accou11t 11alue $211,305.07 S311,Z27.76 .~---------------~--------~----Deposits, including inVl!ltments
transferted in
Withdr~wals aod fees, • Including invi!Stmenl$ transferred out
Dividend and Interest income
Change in market value
Closing .cctJunt value ·-
0.00
0.00
4,096.47
-4,0S9.89
$171,341.65
2.54 ----·S,346.75
8,419.82
-42,961.72
$271,341.65
Your lttOLMtlrutructlono • UBS Fln•nclal Service Inc. i> youo
cuMdlan.
Me,bai'SIPC Cl'220007004197407 PZ20002S4115 0000~ U 11 XZ4 005634?59 0 80 14 , ... 5 ol 16
------ .---------------------- ·- .. . ____ , __ -
$UBS
Cash activity summary 5Hft l«tiotl ACCOIMII •dMty INs llltlllln tor do!OIIo. lJa5 Bonk USA dtp<Hit IICOO\In! boiM<Osart ..,.l:rilod irl !ht - wdoi/Ofi OIMn<o. '~'"• Itt ;"'"rod by tho FDIC wrWn ·~• imiu, but ott ~t 1Het-1«led tJ? SlK St.'<t Ctrpi!li"Urt!r lnfwm~tion iiibellt.)'(lt.r,Urement: M thitf"'d or tM documtnl rot dtW.r•bour 1!-o,. bo\-"< ..
Decomber 2011 ($) Year to dal~ Ill
Opening balances so.oo $8,765.36
Additions Deptnlts and other1unds credited 0.00 2..54
Dividend and Interest locome 4,0!16.47 8,419.82
Proceeds from ii'!V@Stment transactions 0.00 304,442.62 ---·- · --Total additions 54,096.47 $312,864.91
Subtract/Qns Prof(>ssional mar1agement fees and related ~rvices 0.00 -5,202.08
Other funds deb~ed 0.00 ·144.67
Funds withdrawn for in~~estments bought ·4,096.47 ·31 6.283. 59
Total subtractions ·54,09&.47 ·5321.630.34
Net cash flow SO.OG -$8,765.36
Closing bal•ncft $0.00 so.oo
=== •
TRACY J MARTIN
Dividend and interest income earned fa" pLII'poMI of 'this sttltrMnt. taubGil~ of lntant and dNrdtnd ll'ltQJne hM bftn drttrll"'t'\t4 frQm • US liP ropqrurg p<...,.cllvt. ,...., upOI' the midon"' <>I lho '""'"" hdd!t. ICCOUn\ typo, or ptO<I:rd bpo, """'"'-••"" '"'""d.~ po-U '""not be~. to Urlttd SO• ttl M1 """"' ,_..... llico (~Al li'y.Qtnl t.I»U.. TIIot di+I'\T .jN~nlhJr U..UIMC'It • nm n~ I.Q bt u:s.fd l fld u rm01 be IUid UPirl tor \n purpoH>. ,...," .no..id """' "'tho 19f>i'*<~• t .. r_ lil9 ror.,.. tfooy ~~ (,.,.., un ,.....,..'It, '""'<> lho F"'"" 10'~ on<! IN Fo.., 480, lor tao "~ 'nl"'"">llotl k ~ 11'0 .....,," <I U81 ro n. Ill< '~klbllo .. , t~\ltiQ foriN ..W11'1 t/W: US lrl tt iNI RM tk.lt' SfMct 11'K1 fR Trw~~#)' 0 tp.wtl"''lt n1, AM ~ ~"""""" ""'""" dot~Y~"'W\- II I&> twr'rpl lli\Wbll ................. con\1111~ l~liiiiPflllpir8f_
~cember 2011 (~)
Dividends 4,096.47
Total current ~ear S4,0!16.47
To111 dividtU'Id a lntere~ 1-4,081.47
Summary of gains and losses VMuet 1fp0r1ed l;lfM)w t•d.dt prGducH. ~at wtlldl g.alnfi illnd lo55ts 1M nM dil!isrfitd.
_ __ ..::R:::e•~lil:.:ed:::..l!:g•i"'-~~~-~~~----O«ombN ~011 (S) Yurto date($)
Short term 0.00 ·10,352.99
Long term 0.00 -4,799.68
ToU.I so.oo -$15,15U7
Wim!letdhtgs and tax summary Dtc""'ber 101 1 ISl ----------------------Foreign taxes paid 0.00
Year to date($)
8,419.82
$8A1!1.82
$8,41!1.82
Ulltaalind
ger'lS a•d loOJ., (S)
6,938.03
0.00
$6,931.03
Year to dole (Sl
·142.13
Paget of 16
--· -----------·- - ·-·-- .. ··- ---·-
Ac:tount n.-n•: l/IACY J MARliN Your ffnlnclll Advltor.
*UBS Retirement Account IJQCQmbRr 2011
A<munlty!* Ac<ountnumber:
Sitnpilied (mp~ P•Mion
Your PACE assets Some prices. WltOfTll'ii!OdQJrTltntv.alua ~ rNrt-"PJ'Illii'Nle. AI• ,..,It, gilllinsaod kmt'!!.I'I\Wf nol be kCt.lt'ilefy tfflt(led ~and kmei fer uro-QNPOn lllWitm.,-Q .,., not shewn. S..e ~nt Jm'orma\101'\ it bout 'fO'.¥ sttttmtf'll 11 ttwwnd cf dis ~l fUf morw llform•lion. lllYftlmrnL rrl1.1n is tl'lt W"Y'tf''t valut mnvs ttle 1mount you uwtSttd. It don nollndudt IJff'f ca'ih ~ tNr ~ uol ,..f'W'I'ltt d.. To til rfin~ d the tut.ll ol.al rrinwi~ diYidtncls. ll doos oallldJcil rr; ash dMdtndl.lt is nol 1 to. loc. rOf the puposeJ o4 de-terminif'l9 holdWu~ ~S or~~ ~is. The ~you rewive 8iKh lJII'Wl you TIPIR'fiiU ~iQird5 b.c~JtNo 8~t~•tt taJr. lot.
Qlsh <~~lternathles
Purthas1pricw Ph.-rlblt A~t~ O'anl
~~."!l oiW... ·--liiJ PACE MONEY MARK~ T tiVESlMOOS FUNC CLASS P
Trodocute" 5ep 26, 11 ~.596.810 1.000 .,596 .81
Tot.l ,.inw<ttd M20 1.000
*""'Y toLl I 4.S96.830 1.000 4,59Ul
Equities
Purt'M..prili Numbu A"ff191 pric1 Otnt
Ito~--- ··· ollha'e I*'_ I$' i"""tmlllliUl PACE GLOIIAL ~EAL ESTATE ~ECURmES IWIIESTMENTS CLASS P Trade date: Sop 26, 11 1,506.024 4.980 7,500.00 Total roinYI!S!ed 4.4.4110 4ql9
fAt $623 (urront yield: 7.82%
S«urity totol 1 . ~S0.50<1 4.979 7,500.00
~ACE INTffthATIONAL EMERGING ~KflS EQUITY IIWI:STMENTS CLASS P
CooiiHoiS ~I~ 10101 pL.f!haot C<lOI ollho ISCUrity, .-.jud!'41 roin...,.d dMdends. fhe CXOI 1»01 ""'' nooa lo 1>e odjoslod fot '"''""of oap'"l pojfnt<\ls ft ordtriO dt11rr11ino tht ~CO<!"-"' lot 11> Nj>Ottr,g -·· unrwllnd goon or bu i> 1he d~'"'"'' bt~n tht "''""' ,.,..., ard !he"""...,., The unr .. ioUd oarn or loris"'"' rwodlobc adlollodfo< relurnoi<OIIinl Pfll...,b on O<de<lodtl""'"' t"oe reoiooO!JIIO 01ios>
tor,.,. """""" IJL'1IOI"'
CO\O l'ritt P"SI\0<0 V4l.J•on un-<W~ n .. , ~\li'Mnl ....... 9 bal~ IS) <tiD<< l~ «ll Dtd Otll 2111\arlaD(I) Nt~CIJ Otriod
~.596.81 1.000 4,S9UI S'T O.Ol I 000 0.02
4,596.8$ 4,S9Ul 0.02
Cast Prictptr &haf1' w ... ., lln<HI,..dl~ hel~l ~ buh~l on0oc30IIl - ·- -~~~fll..__~ICIIsfSI roturr.ISJ por.O<I
7,500.00 5.140 7,740.96 240.96 Sl
21i.7l 5.140 128.63 8,90
7,719.73 7,96t,S9 l49.B6 469.59
contir>ued ne><t ,.,;•
CPZ1000700rl797411 FZ20<102541150000l1211 )(24005634751 0 80 14 •aa• t o1 16
*UBS A<J;QUnt IIH\e: Tl!ACY J MARTIN A<tQUnt l\llma.r: ,_._,:_.,.
Your PACE assets , Equities lcontin••d)
""'"""'~"""' N_, A""'"''"II'Qo C:\101\l ~OSl "'"·~~' VuQn U...ollr.t~l\a>.l ""'"""'""' ~ HoiOO\g ofWm ~"'-"IS) inwolmon\(11 boOI(I) on Dec3Q(I) L>o<30 Ill aoln ... lau(ll r~ttwn(Sl
T•adedaie:Sep26, 11 1145.250 11.020 IC,416.fi6 10,415.156 11 .410 10,78530 368,64 ST
Tota' reinvested 21.427 11.019 236.12 11 410 244.AS 8.36 Secorltlii>Lil 966.677 11.020 10,416.61i 10,652.78 11,029.78 377.00 6\J,\2
PACE 1WERNATIONAl EQUI1Y 11MSTMENTS CLASS P T'"'*' d,ia: Sop 26, 11 2,616.057 10.950 28,645.82 28,645,82 11.1410 U,\42.87 497.05 sr TctolflltM!Oied 89.90/ 10.670 959.31 11.1410 1,001.56 42.15
EAt $671 Current Yield: 2.23'!(,
Se<utity tot~ I 2, /0~.964 10.941 28.645.82 29,005.13 30,144.43 $39,30 1,498.61 PAC. LA~GE CO GqoWTH EQUTY iiiVESTMEt{TS CLAS~P
Trade date: Sop 26, 11 1,715.793 17.Q!JJ 29,322.9<1 29.322.90 17.860 30.644.05 1,321,15 51
lotal roin...,.C.d 4.394 17.259 75.84 17.860 7848 2.64 I:At $50 Curront yield: 0.16%
5e<utll;l !Ot.ll 1,720.187 17.090 29,lU.9<1 29.3'.18.74 30,722.53 1,12U9 1,3'19.6]
PACE LA~Gf. CO VAlUE EQUITY iNVESTMENTS CIA>S P rrodo d•l•: Sep 26, 11 2,648.!104 14.750 39.~248 lMo2.48 16.09<1 42.611.20 3,$48.72 51
Tol>l ro~rM•ted 44.673 15.360 686.18 16,090 718.79 )2.61
EAI: S46~ CoJrrenl yield: 1.08%
S.C:•mt~ toto I 2,692.977 14.760 39,062.48 J9,74.!1.66 43,329.00 J,S81JJ 4,2li7.51
PAC:E SMAll I MID!.IM CO GRQWr~ EQuiTY INVESTMeNTS CLASS P T••M dol!!: S..p 26, 11 707.6$4 '4.no 10,416.66 10,.4~U6 lMSO 11,07V8 658.12 658.12 51
PACl SMAll/ MEDPJIII\ CO VALUE EQUITY INVfSTMENTS CLASS P
Trado dare: Sop 26, 1 t 9f8901 14.170 13,020.81 13,020.83 15.860 14,573.76 1,55293 5T
Toto! ,.;,....stool 0.201 15.074 3.0) 15.860 3 19 0.16
~~-'-
----···· CPD0007004797112 PWl00254l\ 5 00002 1211 X14 005634759 0 81ll4 r-v• 10 of 16
. ··~·-------
$UBS Retirement Ac:c:ount Accaunt.,.,.e: TRACY J MARTIN Yow Pl....,dal AGviiCir.
December 20.1 1 Account typo: Simplillod EmpiC>f•• Penoon Account nurn.bar:
Your PACE assets • Equities (continued)
I'Ur(hMe praY N....t>or
";!~~~' C"e.nt <."" ~1CJ Pf1$hafe Value on Urv•tll7'fd [W) """""""' Holdlnv Ho!G:•g ofsNrts lnvo.,rnont UJ bolio(l) nnDoclO(Il Doc lQ (I) ~lo or 125~ 1!1. -·· '!'~!"~'-- !!"'<.<! EAI: ~6 Current }r\fld: 0 04%
Socur.\y totol 919.102 1~.170 13.020.83 13,023.85 14,576.95 1,553.09 1.~56.12
~ACE pol'll'allo tot.t $1!1.315.35 St40.S&5.5& St-41.148.0$ S8.18J.49 S10,45Z.70 Toal ettlmal:iodaMldll n:omac St.lltl
fllCed Income
~ooel>fin!t Numbor Avtt-~g•prlet CIIM\t c.,, Pri<:<por....,. Vo!IJU.<M'l VrnaliudCU•I tliW'J.~I t<olrf"'t
.H~dl~ "''""'"' l>!'"''"'"l ~Ill b><k!J) on Doc 30 (S] ~clO_(I) -·-· P'"""""•Cil 1•t~n(SI Ot<iod PAC l GOVERNMENT 5eCURmtS RXED INCOtv'IE IJIMSTMENTS CIA 55 P Trado dote. Sop 26. 11 1,337.955 13.430 17,968.74 17,968.74 13.320 17,8l1 56 -147.18 5T
Total reinvested 17.462 13,288 232.05 13.320 232 59 C.S4 <AI: ~sn Curront}'iold· 3.20'!1>
Sccu~ty tar.al 1)5S.•J7 13.428 17.968.7~ 18,200.79 18,0!;4 15 ·14~:64 as 41
PAC~ HIGH 'riUD INV~STMENTS ClASS P
Trod~ dito: Sop 2~. 1 I 1,564.676 9.570 14,!173.!1!> 14,973.95 9.640 15,083.47 109.5l ST
Totyl rolnvostod 47.300 9.615 454.89 9.640 4560J 1.14
<AI: $1,243 Current )ll~d· 8.00\lo
Sec\1 ri~ toto I 1,611.981 9.571 -- ~~?_! 95 15,'128.84 15,539.50 110.66 565.55
PACE INTERNATIONAl FIXED INCOME INVtSTMENT CLASS p
Tr.ode dote: 51!1126, I 1 1,726.041 12.070 20.833.32 20,833 J2 I 1.250 19,-417.96 -1,.15.35 ST Total remwstod 93.624 I 1.290 1.057.07 11.~50 t,os~.l7 ·3.90 EAI: $',55a Curronl yold: 7.61\lo
Socurity total I,R19.665 12.0]0 20,833.32 21,990.39 20.471.23 ·1.4 19.16 ·362 .0!l - -·---•ACE ST'RATEGIC FIXEO INCOME IN111;5TMENTS ClASS P
continved nvxt {»ge ·····---
Cnl0007004797~1] I'Z20002S41t Hl0002 1211X24 005634759 0 BD 14 '• 11 of t6
*UBS A~uunt hamll; TRACY' I MARTIN Accoul\1 number.
Your PACE assets , Fixed Income ccontinuedl
l'ul <NH prtcor Nwnb« ~-r.:.m Cllo!nt loot Pril:ti>O'Ih>r8 v.Juooo Unr...,!l(.,.) lnmtrrent ~~ ... king nf>NM lnvest-t (II ba>OCII onDet30(11 O.CJC(J) gO<totloss<Sl relun'I(S)
1 rade date: Sop 26, 1 1 1,440.714 14.840 21,3a:J.19 li,31Kl.19 14.560 lO,g76.T9 -40J.40 ST
T~till reltwested 411414 14.529 674,38 14.560 575,19 1.41 EAI: ~870 Currant yield: 4.02'Wo
Stcunt~ U>tal 1,487.128 14.830 21,380.19 22,054.57 21,6$2.58 ·401.99 zn.J9 PAa portfolio total 575,156.211 $n.n~• 575,717.4& ·S1A57.1J l51il.26
T<>tal ... l-d ... nu.l lnc.....,.: $~
Altern.tlve 51rategies
Numb•r '""""""'leo Clent COil Prk.t pr;,n Villveon Unroalllld l"'-'1 WM~1tr#.fll Hdding Holdoog gf.JNrll!l ~~~~~••Ill IIM5tl'nlnl (I~ to.<i•(l) Ofi0«3CCil l>o<.3D(Sl gain or""' Ill ret..,n (Sl period
PACE ALT£RNATM STIIATK;IES II'NESTMENTS CLASS P Trod• dolo: S•p 26, 1 1 4,66().698 8,940 41.666.64 41,666.64 9.050 42,179.31 512.67 512.61 ST
~AI: 1113 Curi'E!lt yield: 1.21%
Your toul assets Petcorlloye or Cost Es1ilr\010d UM.wd
v .. ..,on De<lDtll yoLr!aCiltnf basis (i) ....... ,~ ..., ..... ~, gain rwloss($)
C:.5h •l18matiYes P-"1 4,SM.U 1.11% <&.591.11 Ec!ultlel 1'-"CII 141,141.05
_,. 140,515.!1 1,111.00 1!,281A9
F110dlncom• PA.C£ 75,711,4& 27.91" 77.S74.5D ~41.00 ·1.157.1J ofott<lrndlve SV.ItgMI f'A.C£ 41,,9.11 ,,,,.,. ",·"'·"' 51!1.00 stU7 -- , __
S:z71,J41:~ 1u'1ioo Tot81 100.00% $2&4,4031.&2 $1,111.03
--------- -· ----- - ---~------CPili)II070047974141'ZlQOOlS411S 000021211X14 ODSB0159 01!0 1' Page 1l Of f6
. ... ___ . ·- ·--·-- ·-------
$UBS Retirement Account December 2011
Atcaurrtnlmt: TI\ACY J MARTIN You• Financial AdYI50t: Atcourrt type; Account ftUmbor.
Simp~fied Employee Perulon
Account activity this month (contonu•d)
Y<M o ... Ac.l.rvJy C>ecrcnQn apn~~ecode
Dt<27 Reinwstnwn1 PACE STRATECliC FIXtO INCOME NVESTMEI.rTS ClASS P lT CAP GAINS ~EJI'NESTID AT tU9 NAV 0'1 12122111 AS OF I~!(~.!. -·
Oe<27 St C:•p G•in PACE HIGH YlflD IIM:STMHITS (lAS~ P SHORT • _ !~~~.S.~TAl GAIN AS OF 1 "1/l1111
Doc 27 OMc!end PACE HIGH VIElO INVE5rMENTS CLASS PAS OF 12121111
Dec 27 LtC~Cioin PAU HIGH VIELO IN\Ili~TMENTS CLASS P lONG TERM CAI'IT.OL GAIN AS 0~ 1lJ22/11
Dec 27 Relnmlmon1 PACE HIGH YIELD INVCSTMENTS CLASS PST CA? GAINSAEINVESTEOAT ll.59NAVON 12(.!2111 AS OF 12122111 1
Ql!( 27 Reirwestment PACE HIGIJ 'II!.LO INVESTMENTS CLASS P OIV()END REINVESTED AT 9.59 NAV ON 12122111 AS Of 12122/11
Dec27 ReinvewniK\t PACE HIGH Vl!l.D INVESTMENTS ClASS P lT CAP GAINS REWYESTED liT ~.59 NAVON 12/22/11 AS OF 12122111
.,... JO aootng <•llh and moiM)f billa,...
Fun do u-..1 t....l-ment ''""'IICtloPlJ
Realized gains and losses The esttm.Jtfd A!ZIIizld gainllnd ~ t tiM\ bt!ow att not 6ctt.u purpoe~ ,..., . , l'bi\ g11111:cx ~' recogoi111td on LN tct'-'01' rftfBT~pl iC11 of ( "tt!n SIN«\ttd Prod~ ~ CC1"111n91At O~t S«lwlaa. I'N)'bt
=·~ ~~:!:;i:-~t~~TN~~·~t~.! t::;~D~:o::.~:::-; ;.~~utW. ":. thisml'thcd ui'Uuyou (4Jetifled which IIlii Iot lG do:H ~nyautticld )'OIIadlr.11'1isl5 kroNn lll'lllllH purc:h.iW5 orVSPordtr. SH /tnpomt~t.,~~ywrsattment lltht•nd aflhGdDCUmlntfot IT'Qtt
Prlor month or year activity adjustments G•r.!Nldlcmdtt.~J preRn~ ke~ n:flect c.hii"'QU 10 grt'fliowsi" r~rcedQIIns end la:s&e:t. r11UtJngfi'DITl• tr•lil cancwlt\ion, ~il5h w\11 \r-o~1on or., upd•t. a;, mst bi3is. If theo ad.btmtm i' 1 mult d • w.~ h
Short-term capital gains and losses
C:IOGROIJ? INC Adjustment
Quinthyor Purchasef6tl YllJe dllt
0 .600 Mar 31, 11 MayOt, It
'""' c..nonG J>N:o/VW.(J) amwnt el) ~l>Monco !l)
17.258 ·2SO.o7
··-- --21 .71
91 .6Z
144.87
·21.71
9.554 ·91 52
1 5.1~ 6 ·144.87
so.oo ·S4,0NA7
Womo.ltM. Wt ""''noll ac!"'t 111lns ...S _, I« I c>pi!OI clunQtl. Wt avtOOlltiatt/ id;.Jsl colt bosi< iot t&t...,...-""0'1 <tnd A'tL' t<M:.OCX' rn~(;Olll JtMtit.i l01 tsttrn,ttd ....-crriu !ion of bQI'\d ~u•m .-.d ror •ctt.ud 0 1) lOt s.t~ &Wtd I t a cf'Rcunt. II t DU lf<IUII't.ci Ito..' IJU 14f1;1)t CO"- ~I> fof tN bond pNT'IIutn ln\Qfi,IUtiOtl on ~ !lfbt lf'Nrillll e-n CO_I1 b,t,SJ rtftrtcttd fot ~ l fCLN'itiH t\115 bMn ,l~l11d . E&tilftl.taJ h lht U~$1f(fd S«ffon can not 1M dust~ •s IMt term ar 1on51•rm btGNM trletmltlon 1$ ml»~"9 . or tht prod.ud I• on• in ~h 1hl g.IN'b:ss cakulaiJon " not pr<Wldld,
<Yit tf&n'Wt(lion.lht 1m01..mt of tht dQ&III)oN'e(t lot! Ns btttl tddtd to tht cml bus of tht se~;;unlJeo:i of th~ s•n1e i~ that you 1-.P!d wllYqiJfl'lttotnawi!l'l 11J1.
U .7J 25.19
ww. .... cott bl51~
t<fu>unor.t<l1
CPZ20007004797417 PZIQQQl>41 IS 00002 \ l11 ~l4 001~/sg 0 liD 14
lou (IJ G>lnlll
1.44
P8Qe IS ol 16
)E10Q47- Client Inquiry- Activity fori? 1±•1· 06/UJil W!ll:13 Page 1 oflO
Cl11~111t.d On: lll/1l/20U _..L Allellunt • Ia \IW~I ••• 7'tiiiL.j /YIAf7i, ... ~E.P-1..18.5
UIS PIIIIIK'I .. S.Nicel Jnc.
W:.llllred by: Entry DBte 01{01/2011-12/11/:2011, All Securities Trans;IC!Ions, All cash Tr1n11dlons, MOMV Market Exduded, Elltlude Debit Card lntry S.ttle
~ D-=rlptlon S)'ll'lbal/ ryp. Qullllllty Ptfcltoal AmOUnl Dr! !:Ill Date S.C:•rltyill
12/27/11 W27/ll DIVIOfND PACE GOVERNMENT SECURJTII;S FMO MfPCGU· 1 0.000 DIV $4<1.80 INCOME JIS Of t:l,/22/11 JAOM<j2
12/21/11 12/27/11 OMDe40 PACE INTERNATIONAl. FIXED INCCME MfPCGJ- I 0.000 DIV $'357.19 INVE!IDIENT ClASS AS OF 12/D.Ill 3AOM76
12/27{11 12/27/11 DMDENO PACE HIGH YlEW tN\IfSTIII ENlS Q.ASS P MfPCHQ- 1 0.000 ON $91.62 PS Of 12[22/11 3AON14
12/'27/11 12/27111 01\IJDENO PN:E STAAT8itC FIXED INOOME MfPGl- 1 0.000 DIV $17 ... 77 INVESTMENTS AS Of H/22/11 3AON)(3
12/27/11 1l/27/l1 LT CAP GAIN PACE GOVERNMENT SEOJRffiES FIXED MI'PCXilJ- 1 a.ooo LTG $25.02 INCOME AS Of 12/22/11 3ACIM92
12/27/11 12/27/11 LTOO GAIN PPU STRATEGIC FJXED INCOME MFPCSJ- l 0.000 LTG $250.07 INVESTMENTS AS OF 12{).2/11 3AONX3
12/27/U 12/27/11 LTCAPG.\[N PACE HIGH YIELD INVESTMENTS ClASS P Mf?Oi(J-I o.ooo LTG $1+4.87
ASOF 12/22/U 3AON1ol
12/27/11 1"1,/27/11 REINVESTMENT PACe H!GH Y!ELD INVESTMENTS QASS P MFP01Q· 1 2.2&4 REINVEST SCG -$21.71 /IS OF 12[22/11 3AIIN14
12/27/H 1"1,/27/11 RfiHVESTMENT P.oi£E INTERNATIONAL FIXED INCD4E MFPCGJ- .I 115.311 REINVEST Dl\1 ·$957.19 INVESTMENT CLASS AS OF 12f_22f11 3AOMJ6
12/27/11 12/27/11 REINVESTMENT PACE HIGH VIELO INVESTMENTS a.ASS P MFPOiQ- 1 15.106 REINVEST Rill ·$14U~ /IS OF 12/22/ U :wlNl~
12/27/11 12/27/11 REIJIVfSTl'IENT PIIC.E HIGH 'fl~LD lNVSTM"fNTS CLASS P MFI'OlQ· 1 9.55'1 RElNVESTDJII -$91.62 AS OF 12122/11 3AON1~
12/27/11 12/27/ll RfiNVEST"MfNT PACE STRATEGJC FIXED INCOME MFPCSJ· l 17.258 REINVEST IU\I ·$250.07 INVESTMEI'il'S AS OF 12/22/11 3ADNX3
!2/27/11 12/27/.U RE.INVESTMENT PACE Sll!ATEGIC FIXED INCOME MFPCSJ- I 9.793 REINvesT SO:: -$141.91 INVESTMENTS AS OF 12JW11 3ADNX3
12/27/11 12}27/11 REINVESTMENT PACE STRATEGIC FMD INCOME Mft'CSJ- 1 12.062 REINVfST DIV -$17'1.77 1NVESllo1'EifTS AS OF 12/22/11 3NlNX3
12127/11 12/27111 REINVESTMENT PACE GOVERNMEPIT SECUIUTIES FIXED MFPCGU· t 1.885 REIHYEST PJ\1 ·$25.02 INCOME AS OF 12/22/11 3ADM92
12/27/11 12/27/ll REINVESTMENT PACE GOVeRNM~T SECURITIES FIXED HfPCGu- 1 ~.IM6 REINVEST SCG -$64.30 INOOME /IS OF 12.m111 3AOH92
12/27/11 12/27/11 REI NVESTMI!NT PACE GOVERNMENT SECURITIES fiXfD MFFCGU· 1 3.376 REINVEST OTV -$44.80 INCOME AS Of lZ/22/11 YIDM92
12/27/11 12/27/ll STCAP GAIN PACE HIGH YIELD INVESTMEN"TS CLASS P MFPOiQ- I 0.000 SCG $21,71 AS CJ' 12/22.111 3AOifl1
12/27/11 12/27/11 STCN'GAlN PACE STRATEGIC FIXED INCOMJ; MFPCSJ• l o.aoo SCG $141.91 INVI:STMfNT5 AS OF 12/22/11 3AONX3
12{27/11 12/27{11 ST CAP Go\IN PACE GOVERHMEN1FIU1IES FIXEO MFPCGU· I o.ooo SC:G $61.JC INCOME AS Of 12/2 !/11 3AOM92
11/21/ll 12/21/11 DIVIDBIID PACE lNTERNATIOWL ~QUnY MfPOH• I o.ooo OIV $959.31 IN\IESTJio1ENTS AS OF 12/19/11 WlNHl
12/2.1/U 12/21/11 DMOEND AAO: Gl.OilAL REAL ESI"ATE SEOJRITlES MFPOOl- l o.ooc OIV $219.73 INVESrMEnlSASOF 12/19111 3ACN31
12/21/11 12/21/11 DMDEND PACE INTERNATIONAL EMERGING MFPO:N- l o.ooc OIV $114.09 MARXETS EQUllY AS Of 12,1111111 ~F5
12/21/ll 12/21/11 DIVIDEND PACE SMALL f MEDIUM CO VALUE EQUITY Mfi'C5W· 1 0.000 01'1 $3.~ AS OF 12/19/11 3#M'fl
12/21/11 12/21{11 Dl\IIDEND PACE LARGE CO VALUE EQUITY MfPO.W- 1 O.ODO DIV $686.18 INVESll'IENTS AS OF 12{19/ll 3AII'IM9
12/21/11 12/21{11 DIVIDEND PACE LAA.GE CO GROWT'r1 EQUITY l'oi'POD- 1 o.ooo O.IV $75.841 INVESTMENTS AS OF 12.119/11 :wJNIQ
12/21J 11 12/21/11 LTCAPGA!N !'ACE INTfRNfiTI(Nto,L EMERGING MFPCEN- I 0.000 LTG $122.03 MARKETS EQUnY AS Of 12./19/11 JADNFS
12/21/U 12/21{11 RfiNVeSTMfJH Pta. INTeRNATIONAL EMERGtNG Mf~ 1 10."353 RfiNVESTDfll ·$1l•Ul9 MARICET5 EQUnY AS Of 12/19/11 lAD~
12/21/11 12/:Zl/11 REINVESTMENT PACE INTERNATIONAL EQUITY MfPCIH· 1 89.907 REINVEST Dill ·$959.31 INVESTMENTS PS OF 12/19/11 JAONHI
12/21/ll 12/:ZI/1 I REINVf:ST~ENT PACE INTERNATIONAL EMERGING MP'PCEN- 1 u.071 REINVESTRn -$122m MARXETS EQUm' AS Of 1~19/11 3MNF5
12/21/11 12/11/ll REINVE:STM ENr PACE GLOBAL REAL ESTATE SEOJRmES MfPotQ· 1 +4.1fao REDNEST Dill -$219.73 lf.IIIE!m\ENTS ASOF 12/19/11 3110tm
12,121/lt 12/21/ll REtNVESJl.lENT PAa: SMAll/ MBll\JM CO VALUE EQUJ:IY lfiONWS 1 0.201 REINVEST DIV ·$].03 AS OF !2/19/11
12/21/ll 12/21/11 REINVESTMENT PACE LARGE CO \IALUE EQUID' MFPO.W· 1 -41.673 REINVEST O!V -$686.18 INVESTMENTS AS OF 12/19/11 J,t&JNM9
PACE LARGE CO GROWTH EQUrTY MFI'(.'U)-
http:/ /cwv2proxy .cwlh. pwj .corn:8080/C1CE/activity?formFlag= Y &printAll;;:: 1 &totRecCou. .. 6/13/2012
JE10047- Client Inquiry- Activity for •s ••-06/13fJ*' llf:l3 Page 2 oflO I '
1'*¥ s.na. ~vltf ••• 1
Symbal/ Type Qui!MIIJ Pl'lai/Otllll ~ Dl'te Dille .$eaarltyM
12/21111 12121/11 RfltMSll100 INVESTMENTS AS OF 12/l!l/11 JAONK2 1 4.394 REINVEST DIV $75.81
11/25/U 11/25111 DMDENO PACE GOVERNMENT" SECUIU'T!ES FJXEC lllfPCGu- 1 a.aoo DIY $48.97 INCOME flS OF 1112~11 3AOM92
11/25/11 11/25/11 DIVIDEND PACe INTERNATJONAL FIXED INCOME WPCGJ• l 0.000 DIV $49.1~ INVESTMENT CIA'iS AS Of' 11/22/11 ~76
11/25/U 11/25/11 DIYIDfHD PACE HIGH 'fiELD lNVESTMEtll'S CLASS P WI'CHQ- I 0.000 OlV $96.21 AS OF 11/22/11 3AON11
11/25/11 11/25/11 DMDft.jD PACE STRATEGIC fDCtD INCOME MFPCS.l· I 0.000 DlV $53.88 INVESTMENTS AS OF ll/22/11 .3AL'lNXJ
11/25111 11/25/ll REINVI51l!ENT PACE HIGH YIELD INV!SnolEWTS QASS P t-'1'1'01()- 1 9.994 REINVEST DIV ·$96 .2~ AS Of' U.Q2/11 3AON14
11/25/11 11/25/11 REIN'J£STMENT PACE STRAlEGIC FIXED INOOMt: MFPCSJ· I 3.633 Rl:INVEST DIV -$53.88 INVESTMENTS AS 01' I ~2/11 3AQN)O
11/25/ll 11/25/11 REINVESTMENT PACE GOVERNMENT SEO.JRITIES FIXED Mff'c:GU- 1 3.67'9 REINII!:STDIV -S411.97 IN~E /IS Of ll/22/11 3ADM!I2
11/25/11 11/25/11 RflNVESTMENT PACE ltm:RNATIOI'llll. fiXB> INCOME MFPCGJ· 1 4.122 REINVEST Dl\1 -$49.14 INVESTMENT a.ASS AS OF 11/22/11 3ADM;16
11/11)/!1 11/16/11 DIVIDEtiO PACE M~EY MAAKU INV'ESTMtJ(rS fUND MFPCMN· I o.ooo OIV $0.01 loS OF 11 lSLH :w:INP3
1Vl6/11 11/16/11 RflNVfSTMENT PACE MONEV MARKET INVESTJ.Iftm fU~ 3AONQ1 1 0.010 RfiNVEST 0[~ ·f0.01 QASS P AS Of 11{15/11 .
10/24/11 10/24/11 DMCEND PK£ GOVERNMENT SEO.JIUTlES fiXED HFPCXlLJ. I 0.000 DJV $48.97 INCOfo!E AS OF 10120/11 lAOH'ill
10124/11 10124/11 DlVIOfNO P.Aa HIGH YIELD lNVESTMENTS ClASS P MFP01Q· I 0.000 DlV $10D.4S ASOF 10/20/11 lAQN.14
1012-4/11 10124/11 DNIOfNO PACE It.'TCRNATIONAJ. fiXED JNt:CME MFPCGJ. 1 0.000 CIV $50.7S lfiVESTMENT o..ASS AS OF 10/20/11 JAOto\76
10/24/11 10/24/11 DIVIoet«< Pita STRATEGIC FDCal INCOME MfPCSJ· 1 o.ooc Dtv $53.74 INVESTMENlS AS OF 10/20/11 3AONlC3 1(1(24/U 10/21/11 f£E01ARGEU I QUARTERLY fEE 1 0.000 Fee Olarged -$970.18 11+'24/11 10/24/11 REFUND PK£ REBATE 1 0.000 RI!IUnd $6.90
10/24/11 10/24/11 RBNVESTM~T PACE GOVERNMENT SEOJRITli:S FIXED MFPCGu- 1 3.676 REINVEST ON -$48.97 INCOME AS OF 10/2(],/11 31()M92
10/24/11 10/24/11 RflNVESTM~T Pia llffi:RNATIONAI. I'IXI!D It«DMI! MFPCGJ· 1 4.191 REINVEST Dl~ -$50.75 lNVESTl-lENT CUSS AS OF 10/20/11 3AOM76
10/24/11 10/24/U REINVESTM~T PACE HIGH VIEW IN~ENTS ClASS P MFI'CHQ- I 10.3811 REINVEST DIV ·$100.45 AS OF 10/20/11 3AON14
10/21/11 10/24/11 RI!INVESTMEKT PACE STRATEGIC FIXEO INCOME HFPCSJ· 1 3.66e RflNVfST DIV ·$53.74 IIMSTMENTS AS OF 10/20/11 3AONX3 P~ MOHEY MARKET INVESTMENTS RJNO MFPCMN- $1.000 10/24/11 10/25/11 SOI.D 1 ·611.520 $611.52 Tmlef:55110 Slat:37 3AONP3
10/18/11 10/18/11 OlVloa.O PACE MONf'1' MARICET INVESTMENTS FUND l'lfFCMN- 1 0.000 OIV $0.01 AS OF 10/17/11 3AONP3
10/18/11 1D/1B/ll R.ElNVf:SlfoiEt« PACf MONEY PWIGITINVESTM~tmi FUND 3AIINQ1 1 0.010 ~INVEST DJV ·tO.Dl CLASS PAS Of lD/17(11
10/17/11 10/17/11 DIY!DfND OCCIDENTAL PfTROLEUM CRP PAID ON '16 COC'f·346497 0.000 01'146 U1.16 AS Of 10/15{11
10114/11 10/14/11 DIYlDEND HCTOROI.A SOLUTIONS JNC PAlO ON ~07 MSJ·038MUO 1 0.000 orv zo1 t"S.§.C
10/07111 l()i07J11 OIVIDfND MfRCit & CC INC NEW COM PAlO ON 121i MRX-Z831Z7 1 0.000 DIV126 ~7-88 10/0l/11 10/03{11 DI'IIDENO UNION PACFlC CORP PAID ON 54 UNP-469106 1 o.aoo DIV 54 $15.65 10/()],111 10/03/11 DIVIDEND HAATFORO FINCL SERVICES GROUP INC HIG-19BBE4 1 0.000 DIV 2liJ $23.lll 10/03/ll 10/03111 DIVIDEND VIACOM INC NEW CL B IWD (»j 281 VJM-<191604 1 0.000 OIV 2111 $70.25
10/03/11 10/0]/11 FOREIGN DIVIDEND ~~ N"T R£SOURa5 LTD CAD~ OF 1 11 a.Q·074331 1 0.000 O'JF 206 $17.64
09/30/1] 09/30/11 BAlANCE f'QRWAAO BALANCE FUI.WARD 1 o.ooo S16.80 09/JG/11 09/30/11 I'OREIGN DlVIDENO lNGERSOLL·RAND P1.C PAlO ON 140 ll·215EBO I 0.000 rNF 140 $1ii.M 09129/11 09/30/11 DIVIDEND HE$ CORP PAID ON 63 HE!H08BA9 1 0.000 OIV 63 $&.31l 09/29/U OQf']:g/11 OIVI~D GOlDMAN SAOtS GROOP INC PAID ON 59 Gs-11164H1 1 o.ooo Otv 59 $20.65 09/28/11 011/29/lt FEE CHARGED lNITlALFEf 1 0.000 Fu cnarued ·$53.51
09/27{11 09127/11 DNIDEND U8S CASH RESERVES FUND AS OF IOIMLIRC· 1 0.000 DIVD INCOME to.06 09/26/11 919480
~a: INTERNATIONAL EQUnY MFPCDi· S10.9SO 09f26/ll 09/27/11 IWJUGHT 1NVEST1'1EtOTS 3AONH1 l 2,c!lti-057 ·$28,6'15.82 Trada:696Cl8 lllot:37 PACE IrnRNATIONAL EMERGiffG MFPCEN· 09/26/11 09{27/11 BOUGHT MARKETS EQUnY 1 !w.i.250 $11.020 ·$10,116.66 T111~&·!6g602 Blct:37 3AONF5
09/26/11 09/2]/11 aoUGKT PACE GOVERI'IIIlEtiT' SECURTTIES FIXfD IOifPCG\1- 1 1,337.955 $13A:Jl ·$17,968.71 llt<XJME 3AOM92
http://cwv2proxy .cwlh.pwj .com: 8080/CICE/activity?fonnFlag= Y &printAU= 1 &totR.ecCou. .. 6/13/20 12
,JE1 Op47 - Client Inquiry- Activity for,1_ •. ...,1 .. •- 06/1 Jl£ A. lb: 13 Page3 oflO
lntry 5eltll Activity Dell:riPIIGII : SyNbol/ Type Qulnatr Prlc:l/l)eUII AINUIIt Date Dlt• Securltf~ T radet :69604 Slot: 37
PACt INTERNAllOOAL FIXED INCOME JfiCGJ-09/26(11 09/27/11 BOUGKT INVESTMENT QASS 1 1,126.041 $12.07~ ·S20,B:l3.32
Trade#:69S98 Blot:37 Jf.DM76
09/26111 09/27/11 BOOGHT PACE HIGH YIELD INVESffl ENTS ClASS P MfpCHQ- I t,s64.676 ~.57( ·$14,973.95 Trade#:69603 Blat:37 JAONI~
PACE Al TERMllVE STRATEGIES MFPCAQ-09/lE/11 0'"127/11 BOUGHT INVESTMENTS 1 .. ,660.~ $8.!HO ·$41,660.61
r,.de#:69599 Blot:J7 3AON10
PACE STRATEGIC FIXED INCOME! MFPCSl· 09/26/ll 09(l.7/ll BOJGHT lNVESTMfl'iTS 1 1,+40.714 $14.840 ·$21,380.19
Trade#:696Ql Blot::$7 3AQNX3
~/26/11 09/27111 BOOGHT PACE SMALL/ MEDIUM CO VALUE EQUJTY MFPCSW· 1 918.901 $14.170 ·$13,DZ0.83 lrade• :69606 810t:37 JAONV7 PACE SMAU../ MEDIUM CO GROWTH
~H'CSH· 09/26/11 09./27/11 BOJGHT ~lTY 1 1()7.654 $14.720 -$10, .. 16.66 T111de# :69597 81ot:37 WlNT1
PACE HONEY MARI<ET IN~EHTS FUND MfPCMN· 5,:208.33( 09/26/11 09{27/11 BOUGHT J $1.000 ·$S,208.33 Trade# :696CS Dlot:37 JAONP3
PACE LARGE CO VALUE EQUI'TY loiFPCLW· 09{26/11 09/27/11 BOUGHT INVESTMENTS JAONM9
1 2,646.304 $14.750 ·$39,062.18 Tr11detl:69607 Blot:37
PACE LARGE CO GROWTH EQUITY MFPCLD- ·$29,322.9!1 09{26111 09/27/11 BOUGHT INVE.5THEm'S 3AONK2 1 1,715.793. $17.()9(]
Tlldai:69S96 Blol:l7 PACE GLOIW. REAL ESTATE SEOJIUTlES MFPCRQ- $4.981: 09/26/11 09/27/11 BOUGHT iNVf!ffi.ll':NTS I 1,506.024 ·$7,500.00 Tndel:69600 B/ot:37 3AON31
09/26/11 09/27/11 RB'\JND PRORATED MMSr:xl.V FEE l 0.000 R.et\m~ .$109.55
09/22/11 09}22/11 OMOEND HALUBURTON CO (HOLOING COMPANY) HAL·19&463 1 0.000 DIV 7 .. $6.66
09/22/11 09/27/11 SOLO WELLS FARGO !a CO NEW UNSC:Ucm:D WFC-4971H5 l ·289.000 $23.100 $6,675.77 Tndel:67121 Blot:85
09/22/11 09/27/ll SOLO CA INC UNSOUCITEO CA·068BSS 1 ·65!i.O!X $20.110 $13,Z52.23
Ttlde#:61089 810t:85
09/22/11 09/27/11 SOLO BARRJCX GOil) CXlFIP CNJ UNSOLJCrnD ADX-G439G4 I ·232.000 $49.JSC .$11,441.98 Tlidel:6789-4 Blot:85
09/22/11 09/27/ll SOlO VIACOM INC NEW CL B IJNSOL.ICITfO VIAB-492604 1 -.281.000 $43.86() $12,32~.42
Trlldei:67J72 Blal:8S
09/22/11 D'J/27/11 SOU) UNUM GROUP UNSOUCfTED UNI'H86345 1 ·312.000 $20.310 $6,336.59
Trodetl:6i'J65 Blgt:85
O!l/21,/ll 09/27/11 SOlD HAim<lRD FINO. SERVICES GROJP INC
HIG·1988f4 I -238.000 $16..000 $3,al7.92 Tllldel :57~3 Blot:85
09/22/11 09m111 SOUl HAU.IBUJUUN CO (HOLDING WMPAHV] HAl-198463 1 ·7"1.000 $32,950 $2,438.25
Tradel:67231 8101::85
GOLDI'-11\N SAO\S GROUP INC 09/22/11 09/2]/11 SOlO UNSCt.Ion:o G5-1861Hl 1 ·59.000 $95.710 $5,646.78
Tradel:ti5591 Bklt:BS
09/21,/11 09{27/11 SOlO GENWOP.~ FlNANCAllN<: CL A GNW·ln9R7 1 -603.000 $5.04() $3,039.06 Tradetl :6~372 Blot:85
0'3/U/U 00/27(11 50lD CISCO SYSTEMS INC UN50U(l11;0 <:.SCXHJ91-43Q 1 -~.000 $1S."'70 $6,868.~ Tl'lldtf :65390 81ot:8S
0'3/22/11 09/Z7/11 SOLP GeNERAL MOTORS CO UNSOLICITED GM·0861Z3 1 · 179.000 $20.500 $3,669.42 Tradel :65579 Blot:BS
0'3/22/11 09/27/11 SOlO CANADIAN NAT RfSOURCfS LTD CAD (}IQ-074331 I ·206.000 $29.75() $6,128.38 Tradel :72641 Blot;SS
Wl2/11 ()9127/11 SOLO CVS c:AREMARK CORP UNSOUcmD ~731.1-\l 1 -172.000 $)\.3\Q $5,901-20
Trade I :65'100 Blot: as
09/Z1/11 09/27/ll SOLD RAYTtlfON CO NEW UNSOLICJTED
RTN·3917Z4 1 -121.000 $38.970 $4,715.27 Tra<le#:66971 9101::85
09/22111 09/27/11 SOLP PITNEY BOWES INC UNSOUC'TtD PBI·37500~ 1 -142.000 $18.910 $2,685.16
T'r~del:64646 81ot:85
09/22}11 OO/l7f11 SOLD PfiZER INC UNSOUaTEO
PrE-370011 1 -710.000 $l7.53D $12,446.()1; Trade#:66065 Blot:85
09/22/U n9/l7/1l SOlD PHI UP MORAlS INTL INC llNSOUOlED Pfo1·361Pt-16 1 -n.aoo t65.500 $5..043.40 Trade6:67313 Blat:85
09/22/11 09/27/ll SOLO PACCAR INC UNSOUCITEO I'CAP.-3)-4643 1 ·76.000 $34.270 R673.00 Trlldel :~a etat:8S
OCOoF.NTAL PETROJ.fl»> C'.RP 09/22/11 09/27/ll SOLO UNSOLICITED OX'T'-346497 1 -'16.000 $73.15() $3,364.83
Tradel:66020 Blot:8S
NOOLE ENERGY INC: UNSOLJClTEO
http://cwv2proxy .cwlh.pwj .com:8080/ClCE/activity?formFlag"" Y &printAll=J &totRecCou. .. 6/13/2012
- - -- - . - -·- -···
JE10047- Client Inquiry- Activity for 3 a F 06/11(fiJi,I IL?:l3 Page 4 of 10 . '
l!llltly Settle Ac:IWily DMI:rljltloft
5ylllllal/ Type QUII!tlf Pnci/Dellll --o.tll Dllbl kurttyiJ
09/22/11 09127/11 SOLD T~e#:66S64 !llot:85 N8l·2Q!FB5 _1 ·74.000 $73.570 $5.444.07
09{2lf11 09/27111 50..0 MEnJFE INC U~LlaTED MET·2854U7 1 ·2'16.000 $27.960 $6,878.02 Trade#:li6836 BIOC:BS
09/22/11 09/21/11 SOLD MERCK l CO INC NEW COM UNSOUCITEO MRK·2837Z7 I ·126.000 $31.1SO $3,924.82 Trade#:ti~546 1110l:8S
09/"l'2/1l 09/27/11 SOLD MIOlOSOFT CORP UNSOUCITfO MSFT-270890 1 ·2-M.OOO $25.300 $6,173.08 Trede#:6455B 91ot:as
09/22/11 09/27/11 SOLD LCEWS CORP UNSQJCITa) l·264130 I ·186.000 $34.420 $&,470.83 Tl1dt1:6S792 Bloi:BS
09/2Z/t I 09/Z7/ll SOlD UNCOUt NA1l Cau' IND UN51:lUCTfD I.M:·261 521 1 ·151.000 $15.550 $2,3~ .00 Trade1:&6811 lllot:Bs
09/22/11 09/27/11 SOLD JPMORGNI CHASE l CO UNSOUCITEO JPM·11JJP2 1 ·129.000 $29.290 $3,778.33 Tllldel:65724 lllot:85
09/22/11 r/9/27/11 SOlD INGERSOU.·AAHD PLC UHSOUCITEO IR·21SEBD 1 · I..:J.OOO $30,90 $4,254.51 Tl'lld!l:~m6 lfot:as
09(22/11 D9/Z7/U SOLD HESS CORP UNSOLIOT'ED HeS.2088R9 1 ·6J.OOO $53.930 $3,:397.52 Tredet:65628 Blot:ll5
09/22(11 r/9/27/11 SOLD CmGROUP INC UNSOUCI'f'B) C·2049Z'I 1 ·263.000 $24.550 $&,456.51 T ... et:li528J Blot:BS
09/22/U D'J/27{11 SOLD MOTOROLA SOU1TlONS INC UNSCllCTED MSI·038MUO 1 ·207,000 $41.930 $8,679.34 Tmdel:671i0 1 l!lot:8S
09/'22/11 09/27/ll sow APAOIE <DIP UNSOI.IOl'Bl APA-029131 1 ·111.000 $87.000 $9,917.80 Tw.dejj :65119 lllot:85 ANGLDGOLD J9Wm Lm NEW SPOff AOA
f13/22/11 fl'J/27111 501..0 IIIJ-Q287BO 1 ·2&1.000 $-44.950 $12,765.55 Trede.1:651<43 l!lot185
09/22/11 ~!27/11 501.0 AloiGeN INC UN90UCITED AM.;N-CI23825 t ·1jlQ.OOQ $.54.94(] $12,Q86.56 Trll~l :65081 81ot:85
09/22/11 09/27/11 SCl,D AON CORP U~CITEO AON~237<l1 1 -161.000 $'10.300 $6,488.17 Tractef:lili563 Blat;.BS
Mm,tll 09/27/11 SOI.D TAUS MAll ENERGY INC CAD UNSOUc:mD l1Joi-'176SAIJ 1 -416.000 $12.8110 $5,357.97 Tradef :67879 BlaUS
09/22/11 09/27JU soc.n UNION PACIFIC CORI' U#ISOUcrrm UNP-169106 I -54.000 $80.230 $4,332.3] Tradel:ll6383 Blot::85
rYiJ/22/11 09/27!11 SOlD TIME WARNER INC NEW l.fiSOUaTEO lWX-'1587Ml 1 ·193.000 $28.790 $5,556.36 Trldelll:l57075 Blot:SS TEVA PHAAMACEUnCAlS INO L TO ISRAEL
09/22/U 09/27/11 SOlD ADR TI:VA-4567~6 I ·152.000 $36.000 15,471.89 Tmdet:66290 Blot:85
09/22/11 fi9/'Z1/11 50I..D NRG ~ERGY INC NEW IINSQJCITED HRG-+15H67 1 ·160.000 $21.7.ol0 $3,478.33 Tilde I :66885 Blot:8S -09/22/ll 09/21/11 50I..D SANOf1 SPON ADA. UNSOUCITal SNY-40Bll9 ' ·320.000 $31.130 $9,961.40
Tmdu :66997 lllot:85 "TWA PHAA.MACEt/TICALS INO L 10 ISAAEL
09/2()/11 09/23111 EOJGHT ADR TEVA·4567<48 1 48.000 $36.864 ·$1,769.51 Tradal:79060 Blclt:85
09/19/11 119/19/11 F<lRElGN OIVIDENO ANGLOGrul ~Tl LTD NEW SPON AOR AU·0287BO 1 0.000 DVF284 $3'1.]1
09/15/11 09/15/11 DMDEHD TIME WAAHER IIIC NEW PAID OH 193 TWX~587M1 1 o.ooc DIV li'J $~5.36
09{15/!1 09/15/11 FORfiGN DIVIDI!NO BAAA:ICX GOLD CORP CAD PAID OH 232 ABX-tl439G4 1 0.000 DVF 232 $27.84
09114/11 09/14/11 DMOEHO LDI!WS CORP PAlO~ 1111 L-2&41.30 1 O.OIX DIV 188 $11 .75
09/!i/11 09/14/11 DMDBIO CA INC PAID ON 659 rA-068855 1 0.000 DIV659 $32.95
09/12111 D9f15,111 BOUGHT PNXAA INC UNSOUCJTED PCAR-354643 1 16.000 $]'1.~93 ·$559.90 Tradef:li4308 8lct: 85
09/l:l/11 09/12111 DJVDEN) PI'TNEY BOWES INC PAID ON 142 Pei-375004 1 0.000 DlV 1i2 $52 .5~
09/09/11 09/14/11 BOUGHT PACX:AR ~C UNSOUCITEO PCAA-354643 1 46.000 t:JS.190 ·$1,632.57 Tradef:ll'I02 llot:IIS ClSCO SYSTEMS U«:UNSOUCITED TRACE
00/0Wil O!lfll/11 BOUGHT DATI': 09/D8/201l cscc-091430 I 158.000 $16.195 ·t2,S~8.87 Tr•def:622~ aot:ll5
09/01.!111 09/1]/11 BOUGHT PACCAA INC UNSOUcmD PCAR·354643 1 16.000 $36.576 ·$Sss.:n Tradd:393S8 81ot:85
09{01Vll 09{011,111 DJVIDENO ~c:ROSOFT' CQRI> PAlO ON 244 MSFT-270890 1 0.000 DlV2"" $39.04 09/011111 09/08111 DIVIDEND AMGEN INC PAID ON 220 AMGN·D:l3!125 I 0.000 DlV 220 $6UO
09/08/11 09/08,/11 fOREIGN TAX !iAHOFI SPOH ADR AS OF 06/24,111 5NI"·1082L9 1 o.ooo RI:FRC25159i2 $2.51 RBl.AIM 09/06JU 09/Q6111 DMDSID PFJZE1l. INC PAlO ON 110 PfE-370011 1 0.000 DIV 710 $142..00
09/01/11 09/l)lJil DIV1D!!ND WELLS FARGO l CO NfW PAlO (Jj 299 WfC-4971H5 1 o.ooo DIV 211'3 $34.68
()8/26/11 09/26111 DIVlOO'IC UBS CASH RESElliiES AJ .. D AS OF MMURC· l D.OOO DIVDINCOME $0.02 118125/11 919'11!0
08{2fi/1.1 08/26/11 OMOENO cmCiltOI.JIIINC PAlO ON 263 C·2049Z4 1 Q.OOO DIV 263 $2.1SJ
http://cwv2proxy.cwlh.pwj.com:8080/CICE/activity?furmFlag=Y&printAll=l&totRecCou ... 6/1312012
.JE10047 ~Client Inquiry- Activity for •••-06/1~:13 Page 5 of 10
Entry SStie Acllwlty DelllCI'tptlon Sptllol/ T'nle Quaetlty Prita/EMIIII AlftCKint Date Dale S«urrtyll
08/25/11 08/25/11 fOI!.fiGN OIVIDENO TevA PHARMACfUTTCALS IND LTD ISAAEl TfVA·4567"t8 1 0.000 OVFt04 $2·4.02 AOR.
08,125/11 08125111 FOREIGN TAX IDA PHARMACEUTICALS INO LID ISRAEL TEVA-4567"t8 1 0.000 TAX J04 -$3.60 WnrtiEt..O ADR 08,122/ll ll8f221Jl DIVIDEND r-K>BI.E ENERGY INC PAID Of( 74 NBL·2glf85 1 0.000 OIV7o4 $16.28 06122111 OSJll/11 0\Yll)[flO AP/ICH'C CORP PAlD 01'4 l1o4 .IIPA-0~131 :1 0.000 DWU~ $17.~ ~19)11 DB/19/11 DIVIDEND LHIM GROOP PAID ON 312 Ufl/~4863'15 1 0.000 DJ'o/312 $32..71i
DS/19/11 DS/2~11 SOLD LOCKHEED MAII.TlN COOP UNSOUCm;D I.MT-2639Cl 1 -3.000 ~.646 ~208.93
Trad~ :92828 Blot:BS
08,118/11 08129/11 BOUGI1T RA'fTHEON CO NEW ~SOUc:rnO IITN-3917Z4 1 u.ooo $o4(],105 ·S48t.26
Tradel :92~2 BIOt:IIS
08/111/11 <JB/23/11 SOLD LOCKHEED MARTIN CORP UNSOUcmo I.MT-26390 1 ·6.000 $69.075 ~414.44 Trldd:77006 Blot:85
08117/11 oem.1u BOUGHT RAYTHEON CO NEW UNSOUCITED RTtH917Z4 1 8.000 ~1.369 -$.330.95 Tradtf :87.385 8101:85
08/17/11 oam/11 SOLD LOCKHEED MARTIN CORP UNSOUCITED LMH639Cl I ·9.000 $71.218 $6'!0.95
Tra~l:gUMO .Riot:85
OB/1~/11 08/19/11 BOUGI-IT RAYTI-IEON CO NEW UNSOUCJ'TE) Rr*3917Z1 I 24.000 $41.067 ·$985.62 Treddl:l-4525 lll~t:85
08116{11 08{19/11 SOLO l.O(J(I1EED MARTIN C:ORP UNSOUCITED ll•IH~!9Cl 1 ·20.000 $70.873. $1,~17.44
Trlldll':l8J12 Blat:ll!i
011/15/11 DR/19/11 BOUGHT MICROSOfT CORP UNSOI.JC:ITED MSFT-270890 1 1011.000 $25.'157 -$2,7~9.38 Ti11dd:16082 61ot:85
08/I!Vl1 08115/11 DMDEND AON C:ORP PAID ON 1&1 AOO-Q23701 1 O.DOO DIV 161 $24.15
08/15./11 DB/18/11 SOLD MOTOROLA MOBlUTl" HOLDINGS MMI-o31mi5 1 ·298.000 $38.!03 $11,41'1.25
Tr11Cief:13974 Blot:BS
011/12/11 08/17/11 BOliGHT MOTOI«JLA SOUJTIONS INC UNSQ.Jcm:O MS1-038MUO 1 8.000 $10.021 -$32<l. lB T~t\C\0854 lllot:85
OB/11/11 OB/11/ll DIVIDEND RAYTHfOfll CO folfW PAID ON 77 Rlli<3917Z4 1 0.000 DIV77 $33.11 08/02/11 D8102Jlt DIVIDEND CVS CAREMAAX CORI' PAID ON 172 C\r5..0731H1 1 0.000 DIV172 $21.50 08101111 08/01/U DIVIDEND UNOOLN NAn CORP INO PAID ON 151 l.NC-261521 I 0.000 OIV 151 $7.55
08/01/U 08/0l/11 OMDEND JPMORGAN CHASE &. CO PAlO ON 129 AS JPM·24UP2 1 0.000 OIV 129 $32.25 01'07/31/U
D7/2Wn 08/0~11 BOUGHT TAU94AN ENERGY INC CAD I.I4SOUOTEO TLM-476SAO 1 90.000 $18.485 ·$1,663.70 Tradel:03612 Blot:85
0.7/'H/11 07/27/ll DMDEND QSOO SYSTEMS INC PAID ON :286 CSCo-o9l4.30 l 0.000 Dl'o/296 $11-16
07/M/11 07/26/11 OMDEND UBS 091 RESERVES fUND ~ Of MMUII.C· 1 0.000 DJVO INCOME $0.04 07/25/11 919480
07/22{11 07/22/ll BYPASS Quarte~y Fee f 0.000 HeOIII'!Ied U44D.n Q?/22111 07/2.2/U B'IPASS QuartMyf'1!e F o.ooo Fee Olarged ·$1 4'10.1
07/22111 07/2.2/U FEEOIARGED QUMTeiU. V FEE 1 O.DOO Fee Ollrged ·U,4'10.11
07/22,111 07{2.?/11 SOLD PITNEY BOWES INC UNSOLICITED PBJ-375004 J ·16.000 $22.401 $358.41 Trade#:74B09 Blot:85
07/Zl/11 07/25/tl SOLD PITNEVBO~INCUNSOLXJTEO PB!-375004 1 -20.000 $22.456 $~9.1~ Traclet;82.248 Blot:85
07(20/11 Ol/25/11 SOLD PmlEY BOWES INC UNSOUCITED PBI-375004 1 ·4.000 $22.3115 $89.5~ Tn~deill:l7467 Blot:SS
07/15111 07115/11 OlVIDENO OOJDBjTAL PETROLEUM CRP PAID ON 69 O)('f-346197 l 0.000 DIV69 $31.7~
07/13/11 07{18/11 SOLD LOCICHEED MAR'm CORP LJNSOUCJ'TB) LMI· "263!1C1 1 ·6.000 $80.313 t<U!t.B7 Tr~~def:52262 Blot:BS
07/11/11 07/11{11 DIVIDEND PH!LlP MOORJS INTl INC PAID ON n PM-364PM6 J o.oco Dl\177 $49.2E
07/08/11 07/0B/11 DIVIDEND MERCK. CO INC NEW COM PAlO ON 126 MRK·2837Z7 l o.ooo DIV 126 ~7.Bfi
07(08/11 07/1~11 SOLD LOCKHEfD MAR.TIN CORP UNSOUCITEO I.MT-2639Cl 1 -4.000 $80.860 $323.43 Tradef:U802 Blot:BS
07/07/11 'J7/07(11 'FOREIGN DlVLOEND CANADIAN NAT RfSOU~ LTD CAD AS ~Q-07'1331 1 o.ooo M206 $19-ZS
OF07/01/ll
07/07/U 07/12/11 SOLO l.OOOi!:ED MMmN CC41P IJoiSI)..LCmD LMT·2639Cl 1 ~.000 $81.52~ $326.09 Tradeill:29231 Blot:!IS GOLDMAN SACHS mOUP INC
01/01/11 07/07/ll BOUGtiT UNSOUCITED GHB54H1 1 12.000 $135.881 ·$1,630.61 TF'I!Ciei':SS971 Blat:!IS
07/01111 07/01/11 01V10END VIACOM INC: NEW 0. B PAID ON 281 VIAB-492604 1 0.000 O!V 291 $70.2
07/01/11 07/01/ll DlVIDtNO UNION PACIFIC CORP PAlO 01'1' 54 Utll'-469106 I 0.000 DIVS~ $25.65 07/0l/11 07/Cl/11 DIV!OENO HAIUFO!m FINO.SERVICI'S GROUP INC HIG·1~88E4 1 o.ooo O!V238 $23.80 06/30111 0&/30/U BALANCE FORWARD BALANO: fORWARD 1 0.000 $52.53
06.130/11 07/06,111 BOUGHT TALISMAN ENERGY INC CAD UNSC:UCITEO TL.M-476SAO I 10.000 $20.340 ·i'l06.81
Tl'lldet:89369 BICit:B5 06/301U 06J3C/ll FOREIGN DMOENO INGEASOU·RAND PLC PAlO ON 110 IR·215EBO 1 o.ooa OVI' lo4<J $1&.80
~30/11 06130111 fOREIGN DIVIDEND TALISMAN ENERGY INC OJ) PAlO ON 262 n.M-1765AO 1 0.000 01/F 262 $35.73
http://cwv2proxy.cw1h.pwj.com:8080/CICE/activity?formFlag=Y&printAll=l&totRecCou ... 6/13/2012
JE 1004 7 • Clientlnquiry - Activity for-- 06/13 (]Sid tP: 13 Page 6 oflO I '
l!nlly s.ttle Aclivlty DMcrlptlon Symbol/ TY1'1 Qlllll\ly l'riot/Detlll AIMM!nt Delli! ~ Securfty-'
OCCIDENTAl PfTROl£U'! CRP 06f3Wll 07/06,111 SOLD ~SOLICITED OXY-346497 I ·23.000 $10l.999 ~2,391.93
Tra&nll :94195 Blot:85
06/29/11 07/0S/11 OOUGHT TAL.!SMI\N ENERGY INC C'AD UNSOLICI'TEO 11M-<4765AO 1 ofi.OOO $19.811 ·$671.69 Tnidl!!t:ll786 Blot:85 06}29/11 06129111 DMDfNO GOLDMAN SACHS GROUP INC PAlO ON 47 GS-1664H1 1 0.000 DIV47 $16.45 06129/ll 06/30111 DMDfNO HE!SS CORP PAID ON U HB-208Bil9 1 o.ooo OIV 63 $6.30
06rn/ll 06fl9/11 fORfJGfl DMOEHO SANOfl SPOH AOA. PALO Ofl 320 Mi OF SNY~821.9 1 o.ooo 320 ~564.211
OE/21/11
06/29/11 06/29/11 FOREIGN TAX
SANa=I SPON f<DR loS OF<l6/2i/11 SNY~B21..9 1 0.000 • ....o81 ·$141.07 WJTI-IHELD
0612'\/U D6/2"1/1l OMOENO LOCKHEED MARTlN CORP PAll) ON 66 LMT·26J9Cl 1 0.000 DIV66 $49.50 TEVA PHARMACEUTICALS IIIO L 11) ISRAEl.
06{23/11 06128,111 BOUGHT I' DR 'TEVA-456748 1 a.ooo $47.146 ·P77.97 TIBdel:671l!l IIIOt:BS nYA PHAII.MACEUllCALS 00 L TO ISRAEL
06/22/11 ()6/27/11 BOUGHT ~ TEVI\·456748 l 12.000 $47.640 ·$571.69 T111ddl :70836 1!101::85 KROGH!. CXJMPANY UN~LicmD TRADE
06/22/11 06,124/11 CANCEL SELL DATE: 06}21Jl01l IIR-252301 • 1 48.000 $21.51 ·$1,!78.06 Tradeil :82747 Blot:BS
06,121/Jl C6/l2/11 DMOENO HALLIBUirnlN CO .(HOlDOOi CXlM~ tw.-198'153 1 o.ooo ON 7• $6.66
06/22/11 06/27/11 no ICROGBl COMPANY UN9:1L!CrTEO ICR·252301 1 -sa.ooo $2-4.58'1 $1,oU5.85 Trede#:56471 BI~: B5
KROGEl1. fD'I.Pf>Nf UN!inUCrTED lRADE 06/22/11 Of.o'24/1t 901.0 DATE: 06/21/2011 KR·252301 1 ·49.UOO $2"1.536 $1,177.72
Trl~elll:83621 Blot:BS TEVA PHARMACEUTICAlS IND L10 !SRAft
~21/11 06/24/U BOUGHT ADR TEVA-'4~748 1 22.000 $47.548 -$1,04b.07 Tradef:BIK48 l!lot:BS
06/lJ/11 06/21111 SOU) KROGeR CXJIIPANV UN9li.ICITED KR·252301 1 ... ~.000 $24.543 $1,178.06 Tlllde#:B2747 BkltBS 06/17111 Olj/17/U DIVIDEND om;R.OUP INC PAlO ON :131 C·:Z019Z4 1 0.000 OlV l31 $2.31 06116111 06/111./11 OMOENO CA INC PAlO ON 659 CMl68BS5 1 0.000 DlV 659 $32.!15 06/15/11 06{15/ll OMOEND TIME WARNER INC NEW PAID ON 193 lWX-4SB7M1 1 o.ooo OIV 1g3 $45.36 06/15/11 Oli{IS/11 FORBGN DIVIDEND IIARRJO< GOLD CORP rAil PJJD ON Dl AI!X-0-4JCJG4 1 0.000 DVF232 $27.81
06/W11 06111/11 DMOEND LOI!WS CORP PAX> ON 188 l·261130 o.ooo DlV 188 f11.75
06/14/11 06/11/U SOlD AON OORP UNSOUO'TEO AON-023701 1 ·1<1.000 $51.089 $715.23 Tl1!rie#:87901 Blot8S
06/13/11 O!i/13111 OMDENO PITNfY BOWES INC PAID ON 182 ~ 0~ P81·37500"1 1 o.ooc ON lB.; $67.34 0&/12111 05/09111 06109/11 OIVJOBID MJCROSOFT CDRP PAlO ON 136 MSFT-270890 I o.ooc OIV 136 $21.76
06/09/11 06/Wll SOLD ADNCORP AON-D2J701 1 -~2.000 $51.117 $1,124.5-1 Trldd:l471M l!lot.SS
lEVA PHARMACEUTI<:ALS !NO l TO lSRAEI. Oti(DI!/U 06/13/11 BOUGHT ADR TEVA-456748 1 42.000 $i9.727 ·H,088.56
Tllldelii:S:Z922 Blot:85
06108/11 06/13/11 SOlD LOCKHEED MARnN CORP LHT-2639C1 1 ·14.000 $77.167 $1.1110.32 Tn~llef:551fi7 llot:BS
TIVA PHf\RM.faliTlCALS IND l TO ISRAE\. OISIQ7/11 06/10111 BOUGHT ADR mA.-.56718 I 20.000 $i9.667 ·$993.35
Tn~del:842!l3 llcx:8S
CfJ/01/ll Gfi/07/11 DIVIDEND PFIZER INC PAID ON 750 PFE-370011 J 0.000 O!V750 $150.00
Oli{06{11 06/Q9/ll SOLD PFIZER INC Pff-370011 I ·"10.000 $20.~ $830.41 TI'JdeN :fi9107 BICX:85
06/06/11 06/09/11 $OlD INGERSOLL-RAND PLC: IR-215EOO l -24.000 $-46.261 $1,110.25 Tr.ldei:6910J 81CX:Il5
06{06/11 06/09/11 $01.0 AP~ECORP APA·0291J1 1 ·2.000 $117.362 $'2]4.71
Trtclel:689'12 llot:ll!i
06,1(11/11 06/06Jil BOUGHT anGROUPJNC C-20"19Z1 1 32.000 $40.182 -$1,285.8~ Tredef;6t626 l!lot:es
06/01/11 U!i/01}11 OIVIOENO WaLS FARGO I. CO N€W PAID ON 289 WFC·4971H5 ] 0.000 DIV Z89 S34.6B 06/01111 06/01/11 DlVlDfND ICROGER COMPANf PAID ON 106 ICR·2.5Zl0l 1 o.ooo DIV106 $11.13
OS/31/11 05/31/11 ~f()RWAAD 1WN4CE FORWARD I 0.000 _1§00.50
05/Zl/11 06/02/11 SOLO IIIAOOM INC NfW a. B V~9260<1 1 ·6.000 $50.0S9 $300.34 T111df!l:8g253 1!101::85
05}26/11 06/01/11 !IOlD YOCOM INC flEW a. B VJAB-49260<1 1 ·22.000 $49.997 $1,099.91 T11idi3!3C761 Blct!85
OS/25/11 05/:!.5/11 OlVID~O UIIS CASH RQR.VI:S FUND AS Of MHURC· 1 0.000 DIVD INCOME ~.03 0),12-'1/ll 9194BO
http://cwv2proxy .cwlh. pwj .com:8080/CICE/activity?formFlag=Y &printAll=l &totRecCou... 6/13/2012
.JE]0047 ~Client Inquiry- Activity fo~rf--- 06/U) JJFMb:l3 Page 7 oflO
Entry Settle Al:tlvtty De.:rfptlol Sflllbol/ Ty .. Qut~ntlty Prlci/IMIIIII ,_nt Date hte 5«11rtty•
OS/25/11 OS/31/11 SOLD VlACOM INC NEW CL B VIAB-192604 1 ·10.000 f50.18l $501.81
Trade•:669J7 Blot:BS
DS/25/11 05/31/11 SOLD NRG ENERGY INC NEW NR.G·+45HB7 I -<1.000 $H.Ii75 $98.69
Tr.~~et:64470 Slot:B5 GOLDMAN !W:HS GI«JJP JNC TIW)E
05/2'1/11 05/26/11 I900GiiT DATE: 05/23/2011 GS.1864HI 1 8.000 $136.745 ·$1,093,96 Tradef:l5791 BII)(:BS
05/23111 0.5/23}\1 t)Wlte«) NOOU; 'ENERGY INC PAID Oti 74 NBL·291fBS 1 0.000 Dl\1 7~ $13.3'2. 05,123/11 05/23/11 I)IVIOENO IU'ACHE CORP PAID ON 116 IU'~29131 I 0.000 DIV 116 $17.40 05/20111 05/20/lt DIVIDEND UNUJo1 GROUP PAID ON 312 UNM-.. 6345 1 0.000 DIV 312 $2B.II6
05/16/11 05/19/11 I:IOlJ(jl-rT' ClSCO SYSTEMS INC C!iC0-091430 I 38.000 $16.1Kl1 -$638.~' Trlde#:51528 lllot:35 05/16111 05/16/11 ()IVIOENO AON CORP PAID~ 197 AON--023701 t 0.000 DIV 197 U9.5.5
05/13/11 OS/18/11 !MXJGHT ClliGROUP INC C·2049Z1 1 a coo $41.1!118 ·$335.11
Trade#~ 72405 alot:85
05/13/11 OS/18/11 I!IDtiGHT CSCO SYSTEMS INC a;aHl!i 14JO 1 36.000 $16..861 -$60,.01
Trede#:98149 81C1:~85
05/12,111 05/17/11 llOtJGHT c:mGRDUP INC C-2049Z4 1 20.000 $41.999 ·$839.99 Tra~elll:87027 Blot:B5
05/12,111 OS/17/11 llOOGHT CISCO SYSTEMS INC I:SC0-091130 1 2J2.000 $16.862 ·$3,57 ... 79 Tra~d:92633 Blot;SS
05/09/lJ 0.5/09111 CASH DIU~U CJTIGROUP INC~~ 05/06/11 C·2049Z4 1 0.000 CR.RII294721 $26.?.3
0~/06111 05/11/11 [IOUGHT GOlDMAN SA01S GROtJP INC G5-1864HJ 1 4.000 $1~9.985 ·$599.~ Tr.~dd~~SJ?l l!l!i:IIS
05/06/U 05106/1.1 ~')(CHANGE CrTIGROOP INC 2049Z4 1 21l3.000 $0.00 05/06/11 05/06111 I'J(CHANGE CITIGR.OUP INC C2045U4 1 -;ul36.000 EXOiANGE $0.00 05/03111 05,103/11 OIVIOENO CVS CAREMAAK CIJfUI PAID ON 1n CVS·07JlH1 1 0.000 Dill 172 $21.50
OS/02,/11 ,05105111 OOUGHT WEI.Ui fARGO r.. CO NEW WFC·4971HS 1 58.000 $'29.107 ·$J,688.Zl Tndelll:77975 Blct:8S -
05/02/11 05/02,111 llMDEND JPMORGAN CHASE &. CO PAI1J Oti 129 ~ JPM·241JP2 l a.ooo DIY 129 $32,25 OF 04/:Kl/11
05/02/11 05/02,111 llMC£NO UNCOLN 9ji\TL CORP lND PAID 00 151 /IS LNC·261S21 1 o.aoo OIV 151 $7.55 OF 05/01/11
001/1!1/ll 04/29/U fW.ANCf FORWARD 8AI.ANCE !'ORWARO 1 0.000 $2 432.19
04/29/11 OSJCX'll ~UGHT GOLDMAN SACHS GROUP INC CiS-"19ii<IH1 t 4.001l $149.8~ ·$599.33 Tr..:le#:llBJO Blot:85
04/l9/H OS/CX'll ~ IIARRIOC GOlD CORP CAD
ABX~39G4 1 ·16.000 $51.04C $816.63 Tt'lldef:04797 Blat:8S
0'1/29/U 05/(X/11 $OLD PITNEY BOWES INC PBI-375004 1 ·ll.OOO $24.7BE $297.45
Tl'll<k#: \6708 Blat:SS 0~/211{11 04/28,111 O!VlDEflO RAYTHEON CO NEW PAJD Cf4 77 RT!H917Z4 1 0.000 DIVn $33.U
(X/28,111 !r.i/03/11 SOLD PlTNEY~JNC PSI-375004 1 -10.000 $26.218 $262.17 Trade#:25~29 Blot:85
01/28/11 05/03/11 SOLD BAAAlCK GOCD CORP CAO AHX·04J9GII 1 ·20.000 $51.561 $1,031.22 Trad141:30596 lllatBS
M/28/11 05/03/1.1 SOLO r-"OTOROIA SOlUTIONS INC MS!·038MUC 1 ·MOD $16.09'1 $368.66
Trildef:34546 Bklt:85 MOTOROLII sot.UTlONS INC TRADE DATE:
M/2.7/11 04/29/ll CAHCB. SEU. 01/26,12011 lo\5Hl38MUO • 1 18.000 $4'1.2.9'1 ·$797.28 Trldef~4'1595 Blot:es MOTOROlA SOLUTlO~S INC TAADf DATI::;
04/2.7111 04/29/U SOLD 04{26/2011 MS!-038MUO 1 ·9 .000 $+4.]2~ $3911.91 Tradel:13307 Blot:I!S
04/27/11 05/0~11 SOLD PITNEY BOWes INC P81·J7SOD4 1 ·15.000 $26.070 $391.05 Tradel:36963 lllot:85 MOTOROlA SOLUTIONS INC TRADE DATE:
01/27/11 O't/29/11 SOLD 04/26/2011 MSI-QJIIMUO 1 ·1e.ovo $44.32<! $797.81 Trade•:~2161 Blot:as
01/26/11 04/26111 DIVIDEND UIIS CASH RESERVES RJNO AS OF MMLIRC- 1 0.000 011/D INCOME $0.03 04,125111 91C)qi!O
MOTOROLA SOLUTIONS INC TRADE OATf: 04/~11 04/28/11 SOLD 04J2SI20ll MSI-DJSMUO J ·4.000 $44.173 $176.68
Trade-:65976 Blot:B5
0'1/26/11 04/29/11 SOLO LOCIGiEED MARTtN CORP LMT·1639C1 1 -8.000 $711.7~ $629.90
Trede.t :31 rn Blot:BS
04/26111 04/29}11 SOLO MOTOROlA SOLUTIONS INC M51-Qlii-1UO ·18.000 $11.291 $797.28 Tredel:44595 Blot:BS
04/26111 04/29/11 SOLO LOfWSCORP L-261130 1 · 14.000 $1].256 $605.57 Trlcle#:~0352 llot:B5
01/25/11 04/28}11 SOLD lOCKHEED fi4ARTIN CORP LMT·2~39Cl 1 ·15.000 $77.75'1 $1,166.29
Tradelll~64769 lllct:BS
http://cwv2proxy.cwlh.pwj.com:8080/CICE/activity?formFlag=Y&printAJl=l&totRecCou... 6/13/2012
JE10047 ~Client Inquiry. Activity for sWS 'Z· 06/1-;13 Page 8 oflO . Entry s.tclll AdlwltJ DeQptlon ~I Type Q...mltJ Prlei/I»GGI obolnt Dlltll ..... $tW If
IHf25/11 04/28{11 SOLO lOEWSCORP L·264JJO 1 -4.000 $43.173 $172.68 Tr&de,:6031J Bloi::BS
04/21/11 04/21/11 IIYPASS Qua!Wiy Fu f o.ooo feeOIII~ $1,-473.3'1
04/21/11 04/21/11 BYPASS I Quartutr Ft" F 0.000 Fee O!argecl ·$1,473.34
04/21111 04/21/ll FEE OlARGEO I QUARTfRI.Y fff 1 om Fee Charged ·$1 473,34
04/:ll/11 04{27/11 SOLD LOEWSCORP L-264130 1 -12.000 $43.240 $518.87 Tn~de~:~206 Bot:ll.S
0'1{21111 04/27/11 SOLO I.OCICHEED MARTIN OORP LMT-2tiJ9Cl l -8.000 $71.701 $621.6'1 Trllde .. :99252 Bot:8S
04/15/11 04120111 BOUGHT G01.DMAN SA01S GROUP INC G5-1864Hl 1 4.000 $15q_98f -$619.9'1 T!adel :04554 Blot:8S
QqflS/11 04115/11 DIVIDfNO OCCIDENTAL P£mOL£UM au> P~ ON 69 OXV-346497 1 0.000 DlV61 fll-74 04/11/11 <M/11111 DIVIDEND Pl1lUP MORRIS Ilffi. INC PAlO ON n PM-364PM6 1 0.000 DlV77 $~9.21
01,10"7/11 IH/07/11 OMOEND MEII.OC li C:O INC NEW COM PAID ON 126 MRK-2837Z7 1 0.000 DlVU6 ~7.81!
D4fW11 04/11111 SOLD LCl:WSCORP L-264130 I -4.01lll $43.ti31 $17~.52 iradet:0586B lllot:BS
04/05/11 04/08111 SOLO LOfWSCORP L-264130 1 ·22.000 $43.630 $959.84 Trede#:55734 Blot:BS
~lC!!/1l 04(01(11 DIVIDEifD V!ACOM IHC NEW 0. 8 PAlO ON 319 VJAB-492604 1 c.aoo 01V319 $47.85:
04101111 04/01111 DMDEND UNION PACfiC COJUI PN:D ON 60 UNP--469106 1 o.ooo DIV60 $22.8C 04/01/11 04101{11 DMDEHD HARTFORD FINCL SERVICES GROOP INC HIG-19BSE4 1 0.000 OIV238 $2JA!! 04/01(11 I D410i!11 FOREIGN DMIBID CANADIAN NAT RfSOURCES L TO CAD ~0·074331 1 0.000 !M206 $19.18
03/31/11 03/31/11 BAI.ANCE ~WARD BAlANCE FORWARD 1 0.000 $352.24
OS/31111 04/05(11 IIOUGfT' CJTIGROUPINC C·204SU4 1 '135.000 $4.420 ·$1,922.70 Ttade' :97968 l!lot:85
03130/11 03}30/U DMDENO GClDfolAN SA01S GROUP INC PAID ON 18 GS-1864H1 t 0.000 DIV 19 $6.30 03/30111 03/31/11 OlVIOEI'ID HESS CORP PAID ON 53 HES-21l8BR9 1 0.1100 DIVSJ $6.30
03130111 03131111 DIVIDEND WElLS FARGO &. CO NEW PAID 00 231 WFC-4971HS 1 0.000 DIV 231 $16.17 03/]0,111 03/30f11 fOOJGN DMOEND INGfRSOU.-AAND PU: PAID ott 164 IR·215E80 J 0.000 DVF 164 $11.~
03/29/11 ~101/11 SOLD PITNEY BOWES INC PBI-37§004 1 ·22.000 t25.202 $554.~4 Till del :03960 _Biot:85
03/28{11 OJ,/28(11 DIVID~ND ~~ ~H RESERVES F\JNO liS OF MMllRC· J 0.000 DIVD INCOME $0.04 0 25 11 gt!I'IBO
03/WU 03[28,111 FOREIGN DIVIDEND ANGLOOOLD .I3Wfl1 LlD NEW SPON ADR AlJ-02S71!0 1 O.DOO DW281J pJ,gB
03/2Bill 03131/11 SOlD PtfNfY BOWES INC PSI-375004 I -14.000 $2.5.160 $352.21 TriiCid :261196 Blot: liS 03125/11 03/25/11 OMDEHD LOCXHEED MARTIN CORP PAlO ON '11 LMT·2ti39Cl I o.aoc DIV97 $72.75:
DJ/25/11 OJ/30/11 SOLD PITHt'l I!OINfS lNC P81·37S001 1 ·58.000 $25.080 $1,705.46 Tr1de-:~~579 Blot:BS
0312-t/11 G3/29/11 sow UUON PAOFlC CORP UNIY69106 1 ·6.000 ~5.351 f512,09 TrBde#:77992 Blot:BS
03/.23,111 OJ/2.3/11 DIVIDEND tWUBUR'Tt»> C:O {HOLDING COI'4PANY) HAL·191HG3 1 0.000 Dll/74 $6.66
03/27.111 03/25/11 BOUGHT N«iEN INC AMGN-o23825 1 18.000 $52.809 ·$950.58 TrBdd:2lS611 Slat:BS
03/lB/11 03/23/11 IIOOGHT AMGEN INC AMGI'Hl23825 I H.OOO $52.875 ·$7~0."1.6 Tradd:86067 Blot:8.5
03117/U 03,122/11 BOUGHT GOLDMAN SACHS GROUP !NC G5-18~Hl 1 9.000 $15-4.ti21 ·$1,3'31.59
Tnu:le1:7310S Blot:SS
03115/11 03/18/11 BOUGHT MOTOROlA MC&Lil'r' HOLDINGS MMH)3fni5 1 36.000 $23.872 ·$859!tl Tr1idef:BSS66 Blot:85 Ol,/15/11 03/15/U OMOENO TlME WARNER INC NI:W PAlO ON 1g3 lWX·~587M1 1 0.000 DlY 193 $45.36
I 03/15/11 OJ,11S/11 ffiREJ.GN DIVIDEND BARIUCK GOL.D CORP CAD PAID ON 26.11 AIIX·0439G4 1 0.000 DVF 268 $32.16
03/14/11 03/17/U BOUGHT MOTOROlA MOBIUTY HOLDINGS MMI·038THS 1 52.000 $24.734 ·$1 .2e~.19 Trade#;13671 Blot:85
03/l1/U 03114(11 DIVIDEND LOEWS CORP PAlO OH 2~ l·264130 1 0.000 OIV 2~4 $15.25 03/1-4/11 0311"1/11 DIVIDEND CA INC PAID ON 659 CA·~IIS5 I 0.000 DIV6S9 $26.36
03/11/11 03/11(11 DMDfND P~~ BOWES INC PAlO ON 323 AS OF 03/1 11
Plll·l75004 1 o.ooo owm ,119.51
03/11/11 03/16/11 BOUGtfT MOTOROLA MOBILrTY HOlDIHGS MMI-031mi5 1 zs.ooo $21.:3.32 ·$681.32 Tradd :0!1938 Blot:BS
03/1~11 00110/11 DIVIDEND MICROSOFT CORP PAlO ON 136 MSFT-2m!90 1 0.000 DIY 136 $21.76
03/09111 03/14/11 I!OUGHT MOTOROlA MOB~ HOLDINGS MMI-038Tti5 I 32.000 $26.733 ·$855.16 Tr1Clet :73557 Blot:IIS
0"3(08/11 03/11111 BOUGHT MOTOROLA MOBILITY HOLDINGS MHI-0311Tlt5 1 16.000 $26.7go -$428.65 Trildet :08070 Blot:85
03/02/11 03{07/11 SOLO ~NINC AMGN-<l23825 I ·20.000 $51.575 -$1.3~0.93 Tnltlei:~66S lllot18S
03/01111 Cl3101/11 DlVI~D WELLS FARGO ~CO NEW PAID ON 231 WFC~971H5 1 0.000 DIV 231 $11.55
http://cwv2proxy .cwlh.pwj .com:8080/CICE/activity?formFlag=Y &printAll=l&totRecCou... 6/13/2012
··- ...... ---------- ------
.J~)Q047- Client Inquiry~ Activity for···- 06/1~:13 Page 9 oflO
l!llbf s.ttll Activity DQc:rtptlon Sylllbol/ Trpe QUM!IIty Prlcl/o.ll AIIIOin Dabl IMta Security-
03}01/11 03/01}11 DMOENO PAZER INC PAJD ON 750 PfE-370011 l D.DI)(J ON 7.50 $1SO.OC OJ/01/11 03)01/11 DIVID~D ICROGfR. COMPANY PAID ON 190 ICR-152301 l 0.000 DlV 190 $19.9) 02128/ll 02/28/11 BALANCt" FORWARD BAI.ANCE FORWARD 1 o.coo ~2?3.83
02/28111 03/03/ll SOLO KROGER COMPANY KR·2Sl301 1 ·10.000 $22.818 $228.71 T~el:92696 l!lot:BS
02/2SJJ1 03,102jll SOlD PHIU1' MORRIS INll. INC f*364~ 1 -2~.000 $62.238 .U,<I93.7~ Trade• :897<4<1 l!lot:BS
0~/25Jll OJ/02/11 SOLD KROGER roMPANY KR-25230 1 1 ·1.2.000 $22.941 $215.28 Tm:l1lf :00353 ~:85
02124n1 03,101/11 SOLD KROGER CD~PAHY KR-252301 I -12.000 $23.19~ U78.32 Trldttl :76JlS Blot:BS
02/23/!1 02/28/11 BOUGHT GENERAL MOTOIIS CO GI+0861Z3 1 4.000 $35.494 -$141.98 Trade#:92641 Bklt:85
02/23/H 02/23{11 OlVIDENO U8S CASH RESEIMS RJNO AS Of MMURC-I 0.000 DNDINCOMf ,0.01 02/22/ll 919180
0'2/23/U 02/28/11 SOLD ~Qt(J(&R COMPANY ICR-252301 I -18.000 $23.100 $415.81
Tra!le1:93717 Blot:85
0'2/22{H 02/25/11 IIOUGHT GBiERAL MOTORS CO GM-QII61Z3 I lB. DOD $35.662 ·$&U.92
Tradel:l6714 alot:85 0'2/2.1./11 01/22/11 OMDEtlO Noet.f I!NERGY liiC PAID ON 74 NBL-l!llFBS 1 0.000 D1V7-4 tl3.)2 02{22/ll 02/2?,/11 DlVlOBIO N'ACJiE CDRP PAlO ON 1l6 ""Ml29131 1 0.000 DlV 116 $17.40
02122/!1 02/2Sill SOlD ~~RCOMPANY KR-~301 l -:n.ooo $11141 $743.10 Trldel:13743 Blot:BS
02/UVil 02/18/11 DIVICC:ND UNUM GROUP PAID ON 312: UNM-4863'15 1 0.000 DIV 312 $26.86
02{15/ll 02/ll!/11 IIOIJGHT GENERAL MOTORS CO GM-OB61Z3 1 14.000 $l6.01l •$501.19 Tndet;7J386 Blot:85
021-15/U 02/15/11 DIVIDEND ~N CORP PAID ON ~97 AON-013701 1 o.ooo DJV 19 $29.55
02/10/11 02/10/11 DIVIDEND RAYTHEON CO I'EtN IWD OH 77 RTN·3917Z4 1 0.000 ON n $28.88
02,108111 02/11/11 Sl)l0 K1M&EIU.Y a.ARK CQUI I(MB-247600 J -11.000 $65.012 $7lS.L2 Tro~~delll:46904 Blct:a!i
KIMBERLY a.ARK CQU>llW)E DATE: C11/07/11 02/0B,IU CANCflSEI.l. 02,103{20\ I KMIH47ti00 • 1 9.000 $64.980 ·$584.1l0
Tra~el :73113 Blot:BS
O'l/07/ll 02/10/ll SOLD KIMBERLY CLARIC CORP KM8-247600 I ·11.000 $64.945 $714.38
TrBde#:57513 Blot:B5 KIMBERLY CLARJ< CORP lRAOE OAlf:
O'l./07/11 02/08111 SOLD 02/03/2011 KM5-21p7600 1 -9.000 $64.975 $584.~ Trade.t:.59808 81ot:8S
0210'!/11 02/09/11 BOUGHT CIIS CAREMARK CORP CV5-0731Hl 1 88.000 $32.622 ·$2,87o.n
Tn!del:-18233 81ot:85
G~ERAL MOTORS 00 TRADE DATE: 0210<1/11 02/08,/ll BOJGtfT 02/03/2011 GM-086113 1 14.000 $35.S59 -f497.8~
Tride1:08653 Blct:8S
02101111 02/09/11 SOLD I<II"SERLY Cl.AAK CORP IO>IB·2~7600 1 -18.000 $64.841 $1,167.12
Trade#:S6~2 lllat:85
02/03,111 02,/08/11 SOlD KIMBERLY a.AAK CXliiP ICMII-247MO 1 -9.000 $6~.980 $S84.el TrDdel:73413 Blat:BS
02/02/H 01/02/11 Dl\IIDEND CVS CAREMARIC COIU' PAID ON &4 cvs-o?J lH1 1 0.000 DIV84 $10.50
02101/11 0'2/01/11 DIVIDBID UNCD.N No\Tl CORP IM> PAID ON 151 LNC-261521 1 0.000 OlV 151 ~7.55
01/28,111 01{31/11 DMOft/0 JPfo!OAGAN CHASf II. CO PAlO ON 129 JPM-21!JP2 1 0.000 DIVI29 $6.45
01/26,111 01/31/11 BOUGHT CA INC CA·Q6BBS5 l 36.000 $D.337 ·$&'1(1.13 Tradci:041-41 Blat:85
OtOii/11 01/1.6111 DlVlOCNO UBS CASH RESERVES ~UNO AS OF MMURC· 1 0.000 ONDlNCOME $0.03 Ol/25Jll 919~80
01{21/11 01/24/11 BYPASS . QUI rteriY Fee F 0.000 Fee Olarged $1 381.34 01/21/11 01/2 ... /11 rrtPASS ,Qua~r1yFee F 0.000 FteO\Iroed ·$1,381.31 01[24/lt 01/24/11 FEEOiARGEO 0\.IARTI:Rl Y FEf ' o.ooo FaCMrgtd -$1 381.34
01{21/ll 01/26/11 SOLO KIMBERlY CLARJ( CORP
I<MII-247600 l -lU\00 $64.117 SB97.6l Tradel :70128 Blal:85
ANGlOGOlD ASko\NTI LTD NEW SPON NlR 01{18/11 01{21/11 BOUGHT AU-028700 1 1.000 $41-968 $179.87
T1111d&# :<11l02 Bloi:BS
IU/18/11 01/18/11 DIVIDEND OCOOfNTI\l PfTROLfUM CRP PAlO ON 69 OXY-346~97 1 0.000 D!V69 $26.22 AS 0Hl1/l5(l1
ANGLOGOLD ASHAml L TO NEW SPOH ADR 01{14/11 01/20/11 BOUGHT AU-028180 I 12.000 $44.106 -$529.2.11
Trade" :81538 Blai:B5
ANGI.OGOLO ASHANTl LTD NEW SPON AI>R 01{14/11 01/19/11 BOUGHT TIVDE OA~: 01/13/2011 AU·02B7BO 1 ~.000 $44.621 -$1,784.81
Tr~de" :08158 Blot: 55
http://cwv2proxy .cwlh. pwj.com: 8080/CICEiactivity?formFiag""Y &printAll=l &totR.ecCou... 611312012
JE10047- Client Inquiry- Activity for--- 06/11 !!? 'IJ'£:13
Inti'¥ Settle Adlwtty DUI:rlfltiDII lylllbal/ Type qualltlty llrial/a.tall Am au lit DRill Dilh S.O..rltylJ
fo10TOR0t.A MOBILOY HOlDINGSTRADt 01/1"'1/U D1J19/U SOLO DATE: Ol/13/2011 MMl·D31m15 1 .je.ooo 1)2.992 $593.85
Tr1dii:Ot\~ Blot:BS ANGLOOOW ASHANTI LTD NEW SI'Cfl ADR
Dl/11/U 01{13/11 BOUOHT TRPDE DATE: 01/10/2011 AU-{128780 1 6.000 f11.571 ·$267.45 T!li1el:71l34 llot:BS MOTOROlA lo10111l.CIY HOLDINGS TRAOf
01/11/11 01/13/11 SOLD DATI:: 01/10/2011 MMI-038TH5 I ""'1.000 $l2.78'J $131.15 Trtdei:7DZ57 lllot:IIS
Ol/10/11 01/10/11 DIIIIDENO PHIUP MORRIS INTt INC PAID ON 101 PM·3&4PM6 1 0.000 OlV 101 .~ ... 6 ..
01/07/11 Dl/07/11 CASHIN UEU MOTOROLA M081UTY HOLDINGS AS OF ........ ~5 l 0.000 CILAQJQ19388 $16.51 01/04/11 TRADE DAlE: Dl/D4/2011
Ol/D711l Dl/07/11 CA!ItiN UEU MOTOROI.ASOL.UllONS INC.-s OF MSI·D31lMUD 1 0.000 C!IA10073'138 $11.12 01/04111
01/07/11 01107/11 OIVIO~O MER.O< • CO INC N~ OOM PAID ON 208 MRJC·2B37Z7 I O.Dll!l DIV 2118 $79.0'1
01/07(11 01/12/11 SOLD MOTOROlA MOBILm' HOLDINGS MMI-ollmi5 1 ·38.000 $31063 $1,256.38 Tradel:84726 llot:85
OVC6111 01/11/11 SOLO MOTllRCU loroBIIJTV HOLDINGS MMI..(I31JT115 1 ·14.000 $33.060 $462.83 Trade.f:32792 81ot:85
OJJ04/ll 01/(M/11 DlVIDBID KIMIIERL Y OARK COftf PAl D 00 63 ICHS·247600 j 0.000 DIV63 $41.56
01/04,111 Dl/04/11 EX01ANG~ MOTOR.Cl.A INC ••RMRSE SPUT EFF: »1239 l -1,668.000 EXCHANGE' $0.00 01/2.011"'"'
01/IH/11 01/04/ll EXCHANG!! MOTDRIU SOUJTIONS INC MSI·D38MUO 1 2311.000 EXCHANGe $0.00
01/IM/11 01/(H/U fOREIGN DIVIDEND CNIADIAN NAT RESOURCES LTD CAD AS O.Q-074331 1 0.000 DVF206 $15.4S OF 01/01/11 Ot/D'IJU 01101/11 SPIN OFF MOTOII(lA MOen.rTY HOLDINGS MMI·OJIJTH5 1 208.()00 ~P.Cil04n3S $0.00
OI/031U OlJOJ/11 OMDENO UNION PACFIC (X)RP PAlO ON 60 UNP-469106 1 0.000 011160 $22.80 01/03/11 01/0¥11 DMDENO HAR1fORO FINO. SERVIC£S GROUP INC HIG-Jg&8~ l 0.000 OIV 238 $11.90
01/03/11 01,'03(11 DIVIDEND CBS CORP N~ Q. B PAID ON 185 PS Of CBS--06JIMO l o.ooo D1V 1H5 ~.25 01/01/11 01/03111 01/03/11 DMDEND HESS CORP PAID ON 63 HES.208BR9 l 0.000 DIV63 $6.30
2 Dl~ayed l511n IICidlllllNIJ lrllnsadlon, the above bank aud activity IS debill!d from your attC~Jnt an the 25th f1f each month, assuming this dn! 15 a IJ.Jslnl!!ls dey.Od1erw!R, II; Is debited 1\'om !lOUr ac:count on 1111 fol!owlno bUJinus oay.
' lncraday updal!s for EqllltY, F~ Income ilnd Hub.lil fund Irides, and somt cash en!) seoalty tramractloru are Included an appriiXiiTIItely a iQ mlnutll Clf.fiV .COIM'II~n IDg !!§ fllr §:lulrt lr~ 1m l:S!m!lt§. 1ne1 m!r: ~ot l!!lt!ll!!t!lt ~ ~~rg~~ !I! Ills llmi!Dt. Fillecl Inmme aQenty trades mBiinot lndude commission and tees. Nuruol Ftmd tr«ie.! .-e n!ftected folloP.Wig ptloe oonl\11111tl0n l'rUIII t11e Mid company or tJensl'er agent. Mutual Fund dir!CI: buslne!IS, MuM I Fund tn~lll'li!r~,. sorM trlde mrrectlons and 10me lles ~~ r« lndudecl lntradev.
Thl5 r~IICirt 151'or lrtorlllllloNI purpos:u.only lind may or may not In dude all holdings or tllent ao;;ourtt Allllltor111111:1on proenll!d Is SIA!je<t trJ dllng•lll: eny tim~ and IS provtded an~ • of 1111 d~te lndie.atll<l. The Arm's pt~od!c aca~unt attrnents end ofl1clal tal( doam~ents are the cnty amc;ial remrd f1f dient accounts end are not 511persedl!d, reple~, or 1mended bv eny cA the lnfllrll'lllllan pre!ll!nted In these reports. CJients should not rely on this lnformallon In making p~ase or Sill decislonl, form pu-poses or otherwise.
http://cwv2proxy .cwlh. pwj .com: 808 0/CICE/acti vity?formFlag= Y &printAll=l &totRecCou .. , 6/13/201 2
----·-··- . .. ______ _
Richard A. Berg Schedule VIII - Positions Attachment
Partner in Partnerships
Goldmark Schlossman VC Partnership, LLP INRElT Properties, LLLP Marelius Apartments Summitt Partners LLP Braaten Apartments, LLP SG FiveLLP Jimberg Partners LLP Westwind Properties LLP Westwind Properties II, LLP Wheelberg Partners LLP Fay Land Partners, LLP Farm House Partners High Point Partners LLP Red Gate Apartments LLP Kenwood-Rosewood Apartments LLP 1520 Partners LLP Ag Foundation Building LLP Old Abe Capital, LLP Skyv iew Partners LLP Amber Holdings LLP JJR Properties LLP 714 Partners LLP Bauer Private Equity Fund III Bauer Private Equity Fund IV Big Bend Development, LLP Cow Share LLP Camping Adventures, LLP Old Abe Two Capital
U:\clients\90470\!ax\2011\[S~lledule VIII Po~ltions Attacl1menc.xls]Sheetl
Member in LLCs (Limited Liability Companies)
TnteJiigent lnSites, LLC Ntractive, LLC Dacotah Cattle Growers, LLC Renaissance Ventures, LLC TAG,LLC Case Plaza LLC TFRE,LLC Toasted Frog WestLLC