EFTA00315679.pdf

Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX484 Taxpayer Identification Number: ON-FILE JERSEYCITY, NJ 07303-0484 Account Executive No: ETt ORIGINAL: 12/31/12 2012 FORMS 1099 & DETAILS LESLEY KATHERINE GROFF & TWROS YEAR-END MESSAGES CERTAIN EVENTS SUCH AS COST BASIS ADJUSTMENTS OR RECLASSIFICATION OF AN INCOME PAYMENT RECEIVED FROMA MUTUAL TABLE OF CONTENTS FUND, ETF, REIT OR RIC MAY RESULT IN AN AMENDED 1099FOR PRIOR OR 1099 Dividends and Interest 3 CURR ENT TAXYEARS. PLEASE SEE INSERT FOR DETAILS OR VISIT VVWW.ETRADE.COM/COSTBASIS FOR ANY UPD ATES. QUESTIONS PLEASE Instructions for Forms 1099 4 CALL 1-800-ETRADE-1 (-800-387-2331) OR LOG ON TO YOUR ACCOUNT AND 1099 Gross Proceeds. 5 SEND USA SECURE MESSAGE BY CLICKING ON THE CUSTOMER SERVICE LINK AT THE TOP OF THE PAGE. 1099 Dividend & Distribution Details 10 1099 Interest Income Details 11 Your Account did not receive the following Forms: 1099 OID Investment Details 12 1099 MISCELLANEOUS EFTA00315679 This page intentionally left blank. Paget of *. 2 EFTA00315680  Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LLC PO BOX 484 Taxpayer Identification Number JERSEY CITY NJ 07303-0484 Account Executive No: ETI ORIGINAL: 12/31/12 RECIPIENT'S Name, Street Address, City, State, and Zip Code Payers Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer's Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E*TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Copy B for recipient 7 2nd TIN Notice Telephone NuMber. (800) 387-2331 2012 Consolidated 1099 Form 2012 FORM 1099-DN: DIVIDENDS AND DISTRIBUTIONS (OMB NO.1645-0110) 2012 FORM10994NT: INTEREST INCOME(OMB NO.16464112) 1a Total Ordinary Dividends 54.130 88 1 Interest Income not included in box 3 5763.74 1b Qualified Dividends $4,130.88 2 Early vAthdrawal penalty 2a Total Capital Gain Distributions 3 Interest on U.S. Savings Bonds & Treasury obligations 2b Unrecap Sec. 1250 gain 2c Section 1202 gain 4 Federal income tax withheld 2d Collectibles (28%)gain 5 Investment Expenses 6 Foreign tax paid 3 NOndividend Distributions 7 Foreign country Or LIS possession 4 Federal income tax withheld 8 Tax-Exempt interest 5 Investment Expenses 9 Specified private activity bond interest 6 Foreign Tax Paid 7 Foreign country or US possession 10 Tax-exempt bond CUSIP no. (see instructions) 8 Cash Liquidation Distributions 9 Noncash Liquidation Distributions 10 Exempt-interest dividends 53.75 11 Specified private acfivity bond interestdividendS $2.16 Thisisimportanttax information and is being furnished to the Internal Revenue Sento (except asindicated). If youam required to file a return, a negligence penalty orothersanctlonmay beimposed on youIfthis income Istaxable and the IRS determinesthat It has not been reported. Page 3 of 12 EFTA00315681 meninxtown for Ringarsol .0~ndincome Rompient's iambic/bon number. Fa you aelaton the lam may (Mr. Ca', the matt bu liXs el you 30C,31140,5tf minter ISSN) rdadaellapayor idertfaion rirrnta ach(0<n12,p3w, ,WItita,on nusuts (ATIN) brewt the sum h:n npodol you crane dortacaton numbs MIN IRS Ind whore applere to $1314 .314,3r local ;mammals Account mad», May New an xcart a rot rape numb« to pans av and to Ostraish You amour. Box Ii. Shan 1[01otan.lry a .dads the 44 faneilt treble the annul a, Ire 9a of Fern 104)s 1041A 4144 neater &Naha B(IDO:A ar IMO). Nrcalrod The rout shorn may be Giikr,34 acara4on plid deed% to µ 31 e pinsedal (Of bentriCidy CI 3p0!Ø) n a employee dab awash° pram (ESOP) Ripen 1n a (bard on pot Fan 1001~44,G, I 81 ao intetborl nob. he any «Mr espe» Box lb. Shatine ~011 14 / ~in nb>v 13 MI rflPf be 14064 1,111/4 15%a as cat 2 gain r%41 549 Fen 0401040A mbar:re la taste Meanest rn roan Report the cloak annal en Ms Rs, Fam IC40 oe 1040A Sol ii . Stems Påsketal tern detntUran tram:Marl badmen corapry Co real estate re amp, Met Rear the arrene sham n to. 2a on &NAM II (Mrs N40) be 13 &I doe mart rs roan n bate 7m2drg 'Worn/ U9131(0113 and lonel re tapis Dan ~Web tar may to IØ to roar the rout roan n to. 2a on iro 13 a Form 11110 (me 10 el Form IONA) raner ban S:tor).X D Sec the Form ININICIIM rotrudas Boy 16. Shots tie paten ofte armlet n lea 2a bat 1. Irrec ~lid eat*, 1250 gen tcm LIM«, doyEutilo ros moody Roro! IM arose <n to Lbecaaved Salon 1250 Gam 1gansheet-Ine NV in the SelaMM D rancher* (Farm 1040) Box It Mans the ten« ol the arrant n W s 2a1na n '<Øn 12Q2 5411 tan COIStrålblitelf saltha nay be Pipet b a W4, trerem and :elan urponumnt zone banns Red that may to nand to a60%4%014D, See be Scheado I) (Fan 1049)retnadbas Box N Morn Mtge ern tom mks Co erchban ol Cd0:1013$ II roamed UN 1N1 rost venen compereMe 28% Pao GanIllorkshod-lon 18 n tie rtaluChent b SCh011.10 D (Fans 1040) Box 3 Sheave the pat of re adriatom Mat roam ati. Omani t re a Mir Of par 0‘41 (0' "(Alin) Yea mug mate your ant (a ahr Dace) by the,3m<urtb11rgm2pna hi* ,4hco pu MB marscAB,tdmar9ilØ IA van Cod (a oast bale) mast Vast ditratons CarSigans 503 Rib 55) IrneitMal 'Nob and Byernes Box 4 Sham badup wrhanna A ',mar nal balmnth/ad on avian payment, l quad net gar you ~ow danficabon Natar to to pap, Sot Farm 149 Rearnd far impale Idaldcann Nunar andColn:Mon la ~melon on tack)? yytMolang Inaba taearroul on 0051 un:ono ta) ram as Mr wiMeid Box 5. Mons a, that a moonset of a non Malay abed 10~05 ~rt.« coripry, paw*, ran pybkly caned ~al had II yarile Icon 10N. you may Coda:11bn °pence. rib 'Ora ozone( Imo oh SchedUe A (Fenn 104,m, shod to re "lent Th. anon', a nebelad n to. to Box 8 Shone the beep la< to nay may be alt to care as a darelon se a crab on Fan 104 Seethe Nan 104)reinst<ne Box 7. NI tOo Todd be bb «X* I3 ftQilafed mundmdl comport f€90M/114 / *areal tar roen es be, 6 Bole. 8 and 9 !Pan can and n:Nash manlaan delitnlorn Box 10. Stain monamareit OWeena9 tema rrutal funds clher rerend regret commert ~IQpa SAM re err* yew Inelxie Inc arrant on In 8bd Fain 104131 IIA4 »Immoral wtered The rout may be candet to Nato wthhaldeg See be. 4 Sox 11. Sham monttirtered dadorat adayed lobe aternalara mrvnsnlm Tan smart a navlad in box 10 Sc. IM 114 / kr Fam 6251 / 012/014 Nominets. NIM /«14 mat rails barging Iv rah« war you re CO14 / 6tled a noene ledpal You mat Be FamlOCO.ONDN relh 3 Fam 1(46) *MS the IRS b ea:h d re duer ,lineol to show thee rat ofte mere. and you nul birth a Form 1040)V lo each A husband a irk se rya ramred lo go 3 crane «fun to dos matte Owned by the «her Me be 2012 Gaves random la Calm Irearrolon Ragre Indructian for Propene Interest Income Reciaenrs Identification number. Fa sou proiabomIInbn may row oily the hel feu elijts of pal 93031 warty nat« (5371). exintval Impart 'ambition baba (RIV) or aMiatran tmpayer (galena, brae< (MN) Noma«. be nbår has rebated på ~ale ,dentlegen nUf14 / 0' lo the IRS toabe molcabr la Ilse aided 1:csl anom-mle Account nun n. May Now a accourt a Ota Logue number the payer ~Ira a dergur xis account Box I. Mums tirode mitred toil to yon dump be ed0'09 «Oft« 44 tap The dent not yaws reand sham n bas 3 Mar oho chow the Iota raft cl the erode trom der newer crag, hands GJlar craft Naas ~fed %witty weer vacs bade b. dean renewable energy bras pared asp come.atinn bads. paned :ono a:ademy bras ktebestom !moral, bad. Waned Saba Crabbier, bake and bill Aft,ene3 b00% IhS miss be snaudnal in nu fl at««one These masts were treated as pad to you surg 2012 on the neat abwance dabs (Mach 15. June IS. Settenta IS. rd Dabber IS) Fer mete saint an see Feb 8911 Credit to Haion of T3... Croat Lands Boo i Stmanm stand a proopal Mbleg because of eats argar, are assn's Ye° MY data Be. rant to fi:tre you ~fed prom bane on you Nome tae «en See be ram:Inns b Fam IMO to tee Were totale te denxbon Box 3. Mans retest «IDS Slangs Bade Twisty Ink Treasury bends and Tumor mest. Th. mayor may not al be taxable Sat Rib 550 The rived es mural tem die and Mealwane Imes The Nato n rd (load 11 bet 1 / W,b3C, UP Ø13n: Gendarl,. a payer m,a baslup milbad if you ded not brash 30.1 110113yer FOCTOftb30 r14113C, (1111] et pu il d net fun* the fried TIN lobepm« See Fam 1V.9 Boo k 5.14 .rovl en you meant In. alum at la. rib« Box 5. My rob sham n you shoe cf batman, ' ,cerise-Ida sin*, fats REMIC It µ fk Farm '040 ray may deduct raw banes on the 'CI* marmot' IN of Sandie A [Fab ION) nand to lb 211m1 The ran rt reldod mho'. I Boot Mons bow Ia. Pad Yonmaybe abe to dam the tar as a desalon or 3 003! a ros Form ION. See vene Fart 040 nary:tab Boot:be !merry" abed 13.03 10 µ sarg be aØ pa try the papa Racal Ti ran on Ire eta et Fan, 1040 a Farm 1040A Ths smart nay be etled to !mate wihtalarg Set be. 4 Box I. ;ham tare.rot slued whoa to Me tamtue ~MI" Is. Ths amaut n relabel n bon 8 See re 1-istnatem b Farm 6251 Box le. Siam CVSIP rannorts)la tm.euanct bras) match tar.e rob* incest was pad to pea brng the saltily rear rd labeled n for 8 OW* so CUSP numb' was moo/ la lb bra./ Nominee...8On fern motets roans tetonprg to ratter micro) soy re~weda iMnee ispierne Cap's, 3 fain ten INT b each ofte ether arms des gthe n:cane araer to each Ft Copy A of be lam nth be IRS fasan Copy BM each nor La prut as the 'pryer ad the dies enals) 30114 / ', tapod' Fie Fro) MWINT nth Tam Sty8 wth re Nana Rambo Sauce Costa b pa yea On Form tads M youse/ as the 'Se 'A husband or ale 4 ml tamed to lk a 14 / 17.0Ce isem lo show am:oris omed by [14 / ~ InsInatiorn for Recipient - Records Frt.,. Brolier and Barter Exchange Tnnsactirs Orden and bra eichanms nul report tromeds for 1-2•43C1Cht lo pas and the IRS on Fpm 10990 Repatng a 31,3 based Mon rat bad( laws et as corn!albs that 3 col:onto+ na•tth pea sbl has had a rimed,* ilhang tri :atom a capial *bete You may be mutedto raorce Ban tan the recta ol cat, flO9 et Obtf :ropey !ha was mohanced 411 camplan e god apt bola iodated ths type cl broaden to you. be oracraen ty <<nifed in tor 8 Rea: enl's identification nuaber. Fa you proteabom Ms lam byre,* oily the bed for del; of sar riod secuny nuets (554). nrbdial Impayer rdertdcalon rumba (IFNI akoban Lynam, der/fibber ranter (MN) Hose., to sav has reared på <arcane dertbren nutter to be IRS rd. Mae melcabe to slat rda Etal prom-one ACCOUM briber. May she, an acacia a ref urn numbs the pale angered to delimaish you amain CUSIP number. Fa ram ~ens may No. be CUM P (Commaore on Urban batty berintron Preceduesl roots' el the torn rotated Box 13. Shan the tad date of the sae a enhamge For rat Sib, the die sham is the date Pc sassily was debatedto Poseberat sae ret anegat malmen Doses 9 Vrags 12 no airy site aerie Box lb. Ths he mar Le blatlbo. 63 .1th3<ked atria sautes sob were rased on a+rayef data Fa gad saes. lb dae *oar me ate manedthe smut, Maned!, prote sled site Box to. Shots the maniac cash 'meet ton tab-miens rsokng gods tends amer debt abler:tons. erraodbos a lensard eatacts Neal shoat the «meads ton re dwagon d oser artsod(4) In 3 inlay had LM 'bereft had May *a Now the aggregate rout of Ca«, 'MN* la madcl ',be of ry dad, obs «cooly recowd n a rotatable &one n colts et <Øa gudm< rang from the coma»bract et promrty to 3 beg, c0,ø20, Lones on land contacts xe «CM« In prat/bees Do bar does roe mØ «sals ton roplalod Naos caustic Tb boav must Moat Man« the saes wee a the mks pee W.es comma:ors (nbangtratner las es) and Wen «enure sex reared lobe IRS ResatPm abort on Form Sa t9 as ettand n lb miry:eons b Sched-le 0 (Fan, 1040) Bosti. If :hooked po oa-nd lake 3 Ins on you tar rØ based on ;tom;Webs. frOM 3 rmattk cha-ge neater a axe,: ansbe repro, n bow 23 Co areal be Ion an Fab 8949 a Scheale D Teacta rani Mane go: Xlf bi$05 On 3 it,fle 31(,, Cflt Boot 910W3114 / 05d a tie tar anetabs sad Nbco 6a n :hoaxed Mc 3 nay be brit See et Scantiel)(Form IMS) tiro:tons ce Rio 550 fee delab tat Was Bol e. Moan badabollbarg Cawal/. a MCI ""-tt ensue ."Mad 'bat ad "a lb rgh ~mama ~odor, rondos lobe pea Sec Fan n9 b rIcrinalon on tad wa .41~ reside Pis anon en you manne I,. rear as !mantic! Box S glom the rascal or naderable 1050 it a wash sak l,aexhan Fee Maio an mash saes, see be Stedse 0 (For 1040)indantom and Rh 560 Boo 4. If ~boa lb so:tries MO We rotednefed sartes as [0.ei lb. 1e.3. ard 5may be Mr* Comas a no-coatted marts mars a 'covey obi Pon «0«. sled pichasod babe 7011. deck 11mpg melvel 'ebb 343~ regaSod~man e0r,93-Ki piChT.Cd Mitre 2012. and gal purred n er hankered to 3 es ederd ream/erred tabn betas 2012 Boo 9b. If :baked the bass n bor 3 has tor matted to tie IRS Bolt glom the cad, you/monad to Ix mold .ae of arm «apati a maces yen morod and be la ragel int of any Ira* slobs a ma «tiled to på accost by abater tamme See RD 525 Boot Shorn a «el tesadhu alb ten a VON« b wheht14 / poselo bran; mars Ghanareported Fa PCQJ3ted base.: Cat)XII ad sand caramel. 'RFC' a oba amtaphae ~par maybe shown Fa a «wren rat had a rep:dale 4433?, in Control or era,' abase to to. may lbw eb demo( sloe/ as C ;common) P («drol) « 0 (ahoy) Regulated Fuldm Centred% (Basest %roc*, 12): Box 9. Sham the prat et (nss) laked en regJaled Mutt or latex artercy C0.173d( dOitd dump 2011 Box to. Shoes a-ry pave aaudnen lobe pole gloss) sham n tar 9 tbe to open wears en 31.2011 Box Il Mom oe neded all or Ilas) a, omn cobacts had in par mown en Deter:ter 31 2012 Them at «nu!~ sad x «that tale Tb mel tomb an »Almon remind n to. 10 n 2013 Boo 12. Bops 9 Ti) and If re al isod to late be mania prat a Ross) on regd2ed ttues a grog, curtency COrtrada fa 114 / yea In:14e ths abut en you 411Form 6781 Instra town har Reapard - Origral Issas Cincotta Øn31ass Osman (CND) is be moons el an nonmens stated redeneton ate at matey C.dt ti awe act (303‘dhen ett b 3 draped tend a coupon) OID !mate aunties, oser tele d lb algair M yOu die MC etla «3100 ~Oa g0-1:T31, )03 and minute a arart d00 n rat pas nors each lea you had b celpaten CelgaarS Ina may hire 00 ne..de 3 band aborts*. its. comfoao or Ø treer« of raterts bang 3 Wn cirrus Ton I yea Fa mantle, be CND nks may amly b °annexes of depas (CDs). a-e spats. Øs savngs Mans to «ha dome ragenas. ~nay 4 rho parmod ol noel( is doferted aril blue, altton the 00 rub 3ppry 10 Treasury tabbasactttled sautes See ND 550 baron Iscox and Eames b rue plantar N. as the. record Mar. you:mac Form 1093-00 'berg abuts tel:NdN)10 attics puma you re consdered a nonroe rapert Carpal* a Vain 1093.040 la tab of be era bras snorers In< ammets 31Ce3bk 10 ea?, Fie Came, el ere fern puttee IRS Furnsh Comfier, east owner List 'ousel at tic 'pow' rd the eta °mamba 'reopen ' Fk Fer y01109100 wan Faro 1.556 Mara Mama, and Trarra d U S lane. Reruns .thin Memo] Rennie Setae Center 5ar 'au area On roan 1(96 Id strut 34 'Ha footpad a acre s mt reand letle 3nØ faun to raw routs mined ty lb other II lay bait or sob an Megaten &erg ma )53 aras ',xi ate rd a nonnot you are rat maned »clue a le Fr I (03MOID downy rot 00 or dated tared ',matte to the islet r of 3'0 Ob3?%On ReOpteWl.$ Identification numb«, fa sou pramben on lam may snow oily the tad feu data el !O.( moa mealy number (SSI.1) Ineknelalli.3yef ,t0 14 / 310n rub« (ITN) a 3d0;144tupaier banterer nat.« (ATLN) Rowena be awl has reported ?pa <cm‘..le non6:ffiern balmy to be MS and Mae >micro to date mop local ;mammon' Account number. May *ow ay account a ru ingot nusset the eater ra9icd to dolman], nu 30:out Box 1. Sno: the OD rare (tiara, b the pat of re nar you~ RØ the abort n to 1 as mand MORO tr% rar irderte ter røm lbetiff “cons".; ern ts>e ol dots estnanent. the nut or mcpstondae. and one beers (tee «prat 4 pm pad avausben a mod proman. or the otagren n 3 3114 / Q03 bird a cOupeol) yOu nas raw la figurethecorm« amours ofOID lo rem en pa la,-11 See lab 1211 Cade to &gnat Issue Oneo.rt (Ott)) Instrumerts b Mats en haw »flue Mt cone« 00 Box t Shows OM' Mosl on to Ctibplein b ticpox when& 3n rart i<234,10tOW Ins 010 N you rota the ~en b rite yea. neat «4 amuse as name smome en nu tai ream Nµ demur, el is ~01 et 303.sted ttan anses bib sang be pa see Pub 550 b repartrg instu-tore If Mae es an arrart n bah taws 1 and 6 the arrant nar 1 d ~tit ce, a U S ifes3try tt1931da and,. tromp hen stale to scam ,riterne Sox t Snows flat« « prneip3Ibf010:1 11yCo ~erg/ be r14 / 00, Were the mast, data otte otigaton. ad. asbonne() You may Mast the arrow, I0Ø your aQuzed pew mob en nu. comma sar Ø See be estnatens b Fan 1040 to net mat to hake the ekdeton Sox l Sham bad's,' oelbadn4 &eta. a parrs mud bxlupwtMdddµad net funds rar la•Parer derldieahan natter (TIN) a µ ad net bash re area TIN to Me paya See Fan 1‘1.9, Risled let Tapayer bonAcaten Numb« and Certferm, b Manton on hackie *triad% In eta 340.11«1 pas bane tai ravn as ter werold Box I. Shwa the Patfe ran (CUSIP) nrea et &unpinol to otalpeer (nay ,nade Mc stook exchange, ear, capon rat rd par al nasty) Box I. Snows 0DcnauS Treaus cialgalen b ha part of lb yea pm owned t Roma the arrant as owed exam< en you federal robar roam rd see Rh 1212 to Mum any wort: ~ans tots abut The 00 norrya ton dale rol Ines Noma taws ado re< rebdel is DO/ 1 Box 7. Any anose rain e pir «4« d rmedntri event'. d a wØ4ama REMO Nµ fie Fenn I040, pol may ~I them expenses on lb 'Other tents Ix d Sehabk A (Fenn 1040) Waal so IM 2% tent NI aØ s a14 / fØ mn toil 9011.-10. Sao Nont :33 ~NM tOp0,11 Page 4 of 12 EFTA00315682  Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX484 Taxpayer Identification Number: JERSEY CITY, NJ 07303-0484 Account Executive No: ET1 ORIGINAL: 12/31/12 RECIPIENT'S Name, Street Address, City, State, and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer's Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E*TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Copy B for recipient I I 2nd TIN Notice Telephone Number: (800) 387-2331 2012 GROSS PROCEEDS 2012 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6a: Non-Covered Box 6b: Box to: Type ofGain or Loss: Report on Form 8949, in either Part I or Part Iles appropriate, with Box B checked. (Box la) (Box lb) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 6) (Box 4) (Box 2 b) Date of Sales Price Less Date of CUSIP Cost or Other Wash Sale Loss Federal Income Loss K SaleOr Description Symbol Quantity Sold Commission and Acquisition Basis Disallowed Tax Withheld "— Exchange Option Premiums Allowed 11/20/12 —BLUTIP POWER TECHNOLOGIES HYDVF 09644C106 770,900.00000 $1.02 PRICE:0.00000 03/28/12 CAMBREX CORP CBM 132011107 840.00000 $5,880.61 PRICE:7.00089 03/28/12 CAMBREX CORP CBM 132011107 4,160.00000 $29,109.35 PRICE:7.00000 06/19/12 CAMBREX CORP CBM 132011107 1,000.00000 $8,039.82 PRICE:8.05000 04/04/12 NII HOLDINGS INC NIHD 62913F201 500.00000 $9,099.80 PRICE: 18.22000 04/18/12 RADIO ONE INC ROIAK 75040P405 9,999.00000 $9,988.78 PRICE:1.00000 04/19(12 RADIO ONE INC ROIAK 75040P405 9,999.00000 $9,988.78 PRICE:1.03000 04/24/12 RADIO ONE INC ROIAK 75040P405 21,000.00000 $20,779.54 PRICE:0.99000 11/09/12 RADIO ONE INC ROIAK 75040P405 9002.00000 $7,371.48 PRICE:0.82000 ThisIs Important taxInformationand Is being furnished to the Internal Revenue Service (except asindicated). If youam required to Me a return, a negligence penalty or other sanctionmay beimposed on you ffthis Income Istexable and the IRS determinesthat It has not been reported. Page 5 of 12 EFTA00315683  Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX 484 Taxpayer Identification Number: JERSEY CITY, NJ 07303-0484 Account Executive No: ET1 ORIGINAL: 12/31/12 2012 GROSS PROCEEDS 2012 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6a: Non-Covered Box 6b: Box lc: Type ofGain or Loss: Report on Form 8949. in either Part I or Part IIas appropriate, with Box B checked. (Box la) (Box lb) (Box8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 6) (Box 4) (Box 2b) Date of Date of Sales Price Less Cost or Other Wash Sale Loss Federal Income Loss Sale or Acquisition Description Symbol CUSIP Quantity Sold Commission and Not Exchange Option Premiums Basis Disallowed TaxWithheld Allowed 01/2712 "'REGIS RESOURCES NL RGRNF Q8059N120 2,600.00000 $10,936.01 PRICE: 4.21000 07/26112 "'REGIS RESOURCES NL RGRNF Q8059N120 2,500.00000 511,740.01 PRICE: 4.70000 09/14112 "'REGIS RESOURCES NL RGRNF Q8059N120 1,000.00000 $5,510.01 PRICE: 5.52000 09/25/12 - REGIS RESOURCES NL RGRNF Q8059N120 1,000.00000 $5,730.01 PRICE: 5.74000 12/24112 ***REGIS RESOURCES NL RGRNF Q8059N120 10,000.00000 654,090.01 PRICE: 5.41000 06/14112 SAPIENT CORP SAPE 803062108 3,000.00000 632,119.59 PRICE: 10.71010 16 ITEMS -Total $220,384.82 Thisis Important taxInformationand Is being furnished to the Internal Revenue Service (except asindkated). It youam required to Me a return, a negligence penalty or other sanctionmay beimposed on you ffthis Income Istexable and the IRS determinesthat It has not been reported. Page 6 of 12 EFTA00315684  Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX484 Taxpayer Identification Number: JERSEY CITY, NJ 07303-0484 Account Executive No: ET1 ORIGINAL: 12/31/12 2012 GROSS PROCEEDS 2012 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6a: Covered Transaction Box 6b: Cost Basis Reported to IRS Bozic: Type of Gain or Loss: Short Term Report on Form 8949. Part I, with Box A checked. (Box la) (Box lb) (Boxy) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 5) (Box 4) (Box 2b) Date of Date of Sales Price Less Cost or Other Wash Sale Loss Federal Income Loss Sale or Description Symbol CUSIP Quantity Sold Commission and Not Acquisition Basis Disallowed TaxWithheld Allowed Exchange Option Premiums 11,20112 1223111 BLUTIP POWER TECHNOLOGIES HYDVF 09644C106 32,000.00000 $0.01 $1,427.59 PRICE:0.00000 03/22/12 09(08/11 GLOBALOPTIONS GROUP INC GLOI 37946D209 500.00000 51,474.98 $1,150.33 PRICE: 297000 05/29/12 09/08/11 GLOBALOPTIONS GROUP INC GLOI 37946D209 2,067.00000 $5,963.50 $4,755.48 PRICE: 2.89000 06(25/12 09/08/11 GLOBALOPTIONS GROUP INC GLOI 37946D209 4,726.00000 $13,600.58 $10,872.95 PRICE: 2.88000 07/05112 09/09/11 GLOBALOPTIONS GROUP INC GLOI 37946D209 2,292.00000 $6,621.44 $5,182.33 PRICE: 2.89000 07/05/12 09/08/11 GLOBALOPTIONS GROUP INC GLOI 37946D209 7,707.00000 $22,265.03 517,731.23 PRICE: 2.89000 07/09112 09/09/11 GLOBALOPTIONS GROUP INC GLOI 37946D209 7,208.00000 $21,541.44 $16,297.66 PRICE: 2.99000 03/28/12 07/25/11 ONCOTHYREON INC ONTY 682324108 250.00000 $1,065.60 $2,255.00 PRICE: 4.26250 03/28/12 07/25/11 ONCOTHYREON INC ONTY 682324108 250.00000 51,063.87 $2,255.00 PRICE: 4.26000 03/28112 07/21/11 ONCOTHYREON INC ONTY 682324108 400.00000 51,702.18 54,173.99 PRICE: 4.26000 03/28/12 07/21/11 ONCOTHYREON INC ONTY 682324108 600.00000 $2,553.28 $6,245.70 PRICE: 4.26000 03/28/12 07/22/11 ONCOTHYREON INC ONTY 682324108 1,000.00000 $4,255.46 $9,739.89 PRICE: 4.26000 04/18112 07/25/11 ONCOTHYREON INC ONTY 682324108 500.00000 $2,013.01 $4,510.00 PRICE: 4.03010 04/18112 0725111 ONCOTHYREON INC ONTY 682324108 1,000.00000 $4,026.01 $8,444.39 PRICE: 4.03010 ThisIs important taxInformationand Is being furnished to the Internal Revenue Service (except asindkated). If youam required to Me a return, a negligence penalty or other sanctionmay beimposed on you ffthis Income Is:amble and the IRS determinesthat It has not been reported. Page 7 of 12 EFTA00315685  Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LLC PO BOX 484 Taxpayer Identification Number JERSEY CITY NJ 07303-0484 Account Executive No: ET1 ORIGINAL: 12.31'12 2012 GROSS PROCEEDS 2012 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6a: Covered Transaction Box 6b: Cost Basis Reported to IRS Box 1c: Type of Gain or Loss: Short Term Report on Form 8949. Part I, with Box A checked. (Box la) (Box lb) (Box8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 6) (Box 4) (Box 2b) Date of Date of Sales Price Less Cost or Other Wash Sale Loss Federal Income Loss Sale Or Acquisition Description Symbol CUSIP Quantity Sold Commission and Not Exchange Basis DisalluNed Tax Withheld Option Premiums Aimed 04/18/12 07/26/11 ONCOTHYREON INC ONTY 682324108 1,000.00000 54.026 01 $8,079.49 PRICE:4.O3010 15 ITEMS -Total $92.172.40 6103.121.03 Thisis important tax information and is being furnished to the Internal Revenue Service (except asindicated). It youam required to tile a return, a negligence penalty orothersanctionmay beimposed on you ffthis Income istaxable and the IRS determinesthat It has not been reported. Page 8 of 12 EFTA00315686  Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX464 Taxpayer Identification Number: JERSEY CITY, NJ 07303-0484 Account Executive No: ET1 ORIGINAL: 12/31/12 2012 GROSS PROCEEDS 2012 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6a: Covered Transaction Box 6b: Cost Basis Reported to IRS Box lc: Type of Gain or Loss: Long Term Report on Form 8949, Part II, with Box A checked. (Box la) (Box 1b) (Boxy) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 6) (Box 4) (Box 2b) Date of Date of Sales Price Less Cost or Other Wash Sale Loss Federal Income Loss Sale or Acquisition Description Symbol CUSIP Quantity Sold Commission and Not Exchange Option Premiums Basis Disallowed TaxWithheld Allowed 04/03/12 03/16/11 "ALLOT COMMUNICATIONS LTD ALLT M0854O105 500.00000 511,689.74 $6,177.50 PRICE: 23.40000 06/25112 04/20/11 ROVI CORP ROVI 779376102 100.00000 $1,976.95 $4,983.33 PRICE: 19.77000 06/25112 04/20/11 ROVI CORP ROVI 779376102 200.00000 $3,955.91 $9,966.66 PRICE: 19.78000 06/25112 02/23/11 ROVI CORP ROVI 779376102 300.00000 $5,926.87 $15,819.99 PRICE: 19.79000 06/25112 03/29/11 ROVI CORP ROVI 779376102 400.0O300 $7,907.82 $21,853.99 PRICE: 19.77000 5 ITEMS -Total $31.457.29 $68,801.41 END OF 2012 CONSOLIDATED FORM 1099 Thisis Important taxInformationand Is being furnishedto the Internal Revenue Service (except asindicated). If youam required to Me a return, a negligence penalty or other sanctionmay beimposed on you ffthis Income Istexable and the 1RS determinesthat It has not been reported. Page 9 of 12 EFTA00315687  Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX484 Taxpayer Identification Number: ON-FILE JERSEYCITY, NJ 07303-0484 Account Executive No: ET1 ORIGINAL: 12/31/12 2012 DIVIDEND & DISTRIBUTION DETAILS DETAILS OF 2012 FORM 1099-DIV Transaction Income Tax Foreign Date Security Description CUSIP Description Amount Withheld Tax Paid Country Comments 12/17 BABCOCK& WILCOX CO 05615F102 Dividend $560.00 07/06 CONVERGYS CORP 212485106 Dividend $375.00 10/05 CONVERGYS CORP 212485106 Dividend $375.00 10/22 DELL INC 24702R101 Dividend $400.00 01/09 MERCK & CO INC 58933Y105 Dividend $605.22 04/09 MERCK & CO INC 58933Y105 Dividend 5605.22 07/09 MERCK & CO INC 58933Y105 Dividend $605.22 10/05 MERCK& CO INC 58933Y105 Dividend $605.22 Total Qualified Dividends (Box lb included inBox la) $4.130.88 Total Ordinary Dividends (Box 1a) 84,130.88 02/01 JPMORGAN MUNICIPAL 4812C2635 Dividend St 59 MONEY MARKET FDE TRADE CLASS Total Exempt-interest dividends (Box 10) $1.59 02/01 JPMORGAN MUNICIPAL 4812C2635 Dividend 5216 MONEY MARKET FD E TRADE CLASS Total Specified Private Activity bond interest dividends (Box 11) $2.16 Total Tax Exempt Interest dividends(Box 10) S3.75 This statement is not a substitute for form 1099 ands provided for informationalpurposes only Page 10 of 12 EFTA00315688  Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC PO BOX 484 Taxpayer Identification Number: ON-FILE JERSEY CITY, NJ 07303-0484 Account Executive No: ETI ORIGINAL: 12/31/12 2012 INTERES