EFTA01365923.pdf

Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Realized Gain/ Loss/ Date Date Transaction Desaiption Quantity Cost Basis Proceeds Disallowance Total Short Term $51,550.00 $141,309.58 $89,759.58 Long Term 06115115 10122112' RDMG EARTHLINK INC GTD SR EXCHANGED CUSP FROM 254.000.000 259.857 84 265,272.52 5,414.68 Brut In RrsI Out 8875% 05115119 WE DTD MI Security Idenbfier. 27032IAC6 Original Cost Basis: 262,890.00 06123115 12/13/13' RPP WASHINGTON MUT M TG $00447A2 MTG PASSTHRU CTF CL 1,290000.000 7,491.57 9,790.51 2,298.94 C- B-1 VAR RATE 6.985% 07125133 Security Identifier 939336520 Original Cost Basis: 7.491.57 06/25/15 12/13/13' ROMG COUNTRYWIDE HOME LOA 1 CL B1 4.090% 03/25/33 WE D 4.500.000.000 838,309.32 897,773.91 59.464.59 Rrst In Rift Out TD 07/30/03 Security Identifier. 12669DYSI Original Cost Basis: 838.309.32 Total Long Term $1,105,656.73 $1,172,838.94 $87,178.21 Total Short Term and Long Term $1,157,208.73 $1,314,146.52 1156,937.79 'Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to Me new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ("IRC") (incorporating amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered* under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquied on or after January 1, 2012 • Options and any Debt Instruments that provide a simple (bred payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014. This Schedule may not reflect al cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and al liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 12 0121 Account Number: listed ant Cawerm ••••••ra IPA& • torol• •..4•••••••• Go paperless rDfv-v vort--..zoo, Ew ALOAR RAT ED COMMUNICATIOMS SO ERA FINANCIAL LLC &SI( C OCI.PAP '‘'.%•••04. xatiCNC? CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0057342 CONFIDENTIAL SDNY_GM_00203526 EFTA01365923