EFTA01267639.pdf

EFTA01267639 EFTA_0011221160 1D Ameritrade SOUTHERN FINANCIAL LLC ATTN: JEFFREY EPSTEIN 6100 RED HOOK QTRS STE 8-3 ST THOMAS. VI 00802-1348 CONFIDENTIAL Terms and Conditions STATEMENT GUIDE I L.: Are-wade provides mealy Portfolio Reports for amounts ugh acttaty and quanerly repass SeCuntleS taunter Preleelion Capered:4 ('SIPC'). wail protects Spathes Auction Rate Securities ("ART./ Pricing: The market values lb ARS Securities have been ui act, accounts Mbassets! CuStOMerS 01 in members up to 5500000 ginludng 3250.000 to. etairns fOr cash). Waned. !amiable. from quaroon sondes or ether relependent sc.sces. The orowxyd the Explthatery &allured available on repeal at evesteldtag. nag ono grated a a rata sawn one matte; TDArtercan cull prxe the ARS posnon. Portfolio Summary: Track* the Current valued your 0000% aft Of the report dale and tam ine corsiderabon both the badly and underrying credl gushy The ARS market removes it to Ire POW MOnth.z The nal 00:860n Mendel yOur pa nte dhiersTalion by Additionairy. TD Amara& provide) each Cleft $149.5 mato worth of prOteOlth for cuncntly emenercing a lack of Wary and, as a result. mere can be no assurance that such investment tics securities and S2 mitten of thotocan ler cash through supplemental coverage Wean Can be SOW under Current market conditions provided by London mans. In the event Cue a brokerage nsolvency. a diets may abode at:mations under 5% WM be trouped into the calegey 01-ClIde in the the ChM Margin receive amounts due from the vista in bankruptcy and then SIPC. Supplemereal REGULATORY DISCLOSURES Early - iota/ accourn EguitylT0011 Long Merginable Value • Teal Short Value) coverage is paid out Mar the comae and SPC payouts and under such coverage each client is healed to a combined return of $152 million from a trustee. SIPC and All transactions are sUnrot to (lithe consblubon. Mos. regulations. customs and usages el the Activity Summary: The opening and dosing cash balances aro reconcled hue for yam, quick London usurers. he TO Amebae* supplemental coverage has OA aggregate 'mil 01 exchange or market. and itSdearnahrouse. if any. On weal such ininiacrions are tamped: Pit relerence. Al account acthily is surtmarde0 lor me current period and yea/40481e $500 melon over al euttemes This poky provides etherage *leonine brokerage federal laws. ndudng to Secunties Act of 1933 and the Secumin Exchange Act el 1934. inside:any and on MI prated agent less In market value of the securities. oath as amended to data and in the hare. and the nits and regulations promulgated Income 1 Expertise Summary InOnMAs Only): This section deltun the income and enientie thelettlder. and (A) the rules and rethented CI FNMA andthe Fede al Reserve System dead from to Actruty Summary and eta:ethos the lax treatment. An InueelMent n 0 Money Mane( MOO 4 tot Mewed et guaranteed by the Federal Deposit Insurance COVOrallth (FOC) Or any Other goverment agency Although the For an investor brochure that Includes informatiOn detailing MAAS Futtic NCl/Sure RebteeneM Account Summary (IRAs *My): Review the IRS rinuad transamons for the funds scat to deserve the value of you investment at $I 00 per share. it Is possible to Program. please contact FINFIA at 800489.9999 or HUswrotanta.org. curare and der years IRS Fenn 5498 lair Man value is based on the current value 55 a lose money by investing m a money market Sand. Paden: are declared they and December 31 of the pronous year ardwil to furnished lotto Internal Revenue Scnnce. paiMenvested monthly. The prospectus cacaos this and other impc•tant The interest rate span for TO Amerbade Cashretaken from the applcathe interest role der for information. Road the prospectus carefully bolero investing. Nondeposit investments the Markel Value balance n Me TO Amaryado Cash. as of the siatanom closing date. Simple Performenee Summary:Monne. your annual portfolio performance and the urrealized gains and held by your brokerdealer we NOT FCC INSURED i NOT BANK GUARANTEED ; interest is named dear/ bated on the inhered rate der epthirotie 10 each daya trainee. belts '0' your lulure madmen" satilegY. MAY LOSE VALUE. Mandel Statement NotincatiOn: The statement 01 Mandel COndeth 10i TO Amenuede Account Positions: View yes Sweennens al the current Market vate and comae the edging The balance in your bank deposit &Ceara' Or Sharer) Of your money Markel Mueual avalable mace a year and may to obtarod as no cost. via the camel at cod to see uvealezed gains and losses n your panicle Original cod is assigned using the kind fan ta 1.304lited on yeti Order. and me pr0000/08 returned 10 yew spathes Map wive idereledlrede consTnaneWelaternintthrti. (FiFOI MelhOd. welch Maumee the hill shares yOu set are those you thirehated account or remered to you. trot. The estimated irtrostment income2 and average cost per &Ave are displayed for your AlletallOn Method: In the event Wry 01 your securities Cue Called Or assigned the Seroxilet tolerance the oldestpurchase date is shown for an maroon of you holdne penal. Tax Rep:Ming:The pertfOli0 repel IS not a tan document You MI Mahe Form 1099 MI be selected on an impartial, random basis. for annual lax redone* In compliance will In regulierneMS lineludee WOMB Account Activity: Al scout solidly is (Marty defiled. lend in date order, and atlocled in the interest Oryillende aped gain. lain weaned. and Sales prebend). Some Free Credit Balances Mule 15o3-2 11 3): Under me dent protection nom. we may use tree closing cash balance. payments are 6.1300 10 redaSSdearth which wB be redacted n adatieflreill tax Credit balanCes n yOur Sand in the Ordinary Cane 01 Our butorlese which are payable to yOu on darned. repass. Trades Pending Settlement Conlirrn you execued Wades tmth a senlemort dale alter month End Mete MiniaCtions oil be rellected it the Amount ACenly Sefton next month. Margin Amounts (Regulation T):If you have a margin account. sue report a a contnaten of Cod Bade: COM-Bata tax tot and PerfOrManee intating and OeinSkeePer are yOur margin nava end a pedal mtnorarxhim =Own Trading On margin Doses adellional Online Cash Services Transaction Detail: Cash management transaceorts mat cleared during offered and eons clod by CCH INCORPORATED. TD Amended* is not responsible risks and d not sato for all investors. A cemptee tat of the risks assomMed with rthvgin for the 010014 Ct SlatetrIlly a the inearilabOn TO Ameroade and its Infatuation ths ramencm reporting coned. ndudng Oak. dent card and ATM oddity. are listed in date haring is avatar. in Me margn risk disclosure doCumtni. You May Obtain a copy b gas order redden; l'PrOvillenn 60 not guarantee the accuracy d the Alameda) and data document by anneling us 81 the number isted on page and your statement. provided. CCH INCORPORATED IS a separate Company and IS not agitated wth Online Cash Sernoes Summary: Credit and cam cardamon totals for Me carts statement 11) Anatiade. Payment for Order Flow (SEC Rules 606 and 607): In some crcumstances. TO Amon:rade roperirg paned are summarized. Indmilid honsactons are not listed. receives CompensaliOn lot dream cenan Oventhe.rounter and 'sled equity or*, flea to Margin end Options ACCOunt Agree:Mints: Promptly advise IC/Amsted. in Aesop selected mattes. brokers or dealers Mann Centers) Ctropensalion is in the tem d a per 'Coale rounding °dustmen.. thestatement deals may not aim: the anemia Mad of any change in your naves rem el/lathes or financial situation as they avian to share cash payment. n adetion. TO Arnatade also may maw compensate, related to the :Es:boated Annud Income and Esernaed Annual Yield values are based upon the number ot your Malan Or OpOOM Want agreements A summary CI commissions and Charge) foreign enemy etching!. component of Parsec:lions ntOrogn securities from Markel Centers steles Craned Or Oared value balance as of the statement dale and the man recent dMderd inWled w(h the exeeuden Of Options traindaenti IS enrold010. execurang sigh barbs. We post quarterly reports disclosing the venues for order roterg rate er cash geld prcnedet esecudon at wew.Idamerensele Can A /Aden COPY is avalabie unn reared Curi•M Market Prices: The market values d securities have been Maned. if GENERAL INFORMATION amiable, hem quotation services and odor independent sources. Values are based It is our pricy. absent clam orders to the contrary. to select breasts, dealers, and market on the closing price. the mean tohmen the bd and askng prices. or other methods. makers tend on the ally to pr ovide best <aeration end trio Minty 01 seam; price ID Ameaurade pee nOt provide lead Or lax advt.). Fietkee COMO you legal edvrtor or lax no market vain is amiable from a quetabcn service or other independent source, the improvement en market ordds.Pnee impecommem is avant:auxin moan market cow:Hons. xcounam when necessary. As a standard mashy prance. phone caroms:Ions may Co SeCurIty o sibject 10 being needed as leth.PnCed (NM. The vale:elan On your and we regular/1 mentor °monad *test for sigh impreromem d avalatio. receded for gushy contra and thinatiCOOn iredlintel Ouradere. 1130310 lean are provided as general AformabOn and we 00 not guarantee the accuracy Of thy Seaman OrCe. Mondani batted peetlan are valued Wing the Tiede COM'mations (Rule 100-10):All cordtmalions are traremilled on tae tranSerdlOn dale For ID Arnertade MS/MOMS denti, yOur advisor firm is apse* from and not *Misled hal, relnlinIng balance and the Current market plat P00010 report valuated: may not ID Amanrado. Inc. a TO Metered° Owing. Inc.. and oath I rm is rot response.. or Me represent sans proceeds The secondary marlin for CeileCarifi 01 DP/teals (COs) is Tarn: Transactions in foreign securities (Mauling foreign company ADF1S Mat trade in MO creams and senscoscd the ether generally aloud and the actual value may be different from the pitches* price. A U.S.) nay include hues and foescharged by the Reath marked or governments. winch may signficart loss of princpal may result from the sale °feel) pnor to mainly. Bonds be Wanted in the Oda 01 the seedily Or charged as an ndePenden The item Accuracyor Redone:If you rind any errors or omissions in your account statement you ander Fixed Income Secultos trade differently than emery scarifies and do not trade should Immediately call us at the number listed en page the of your statement You on a land exchange. Rather they trade in the OTC (over the counter) market and Many Poky Noliflootion: A 000y of the TO Amen:rade Pinny poky is available el should also contact our Clearing firm. TO Arnentrade Clearing, the. al 600469-3900. unhurt icardty may na coisl for you lo sell your positron prior to mature,. The sale vnsw.Clamertradecorn of bads prior to inaturey may result in a loss of prriapal Please review the statement carefsily II you Ostrom, 'Mb any lienSSOtet Or it thee ere any in Case 01 Errors Or OuntlOnti AbOA Yaw Electronic Transfers TetephOne us el errors or ornsuons. please nasty a Client Semen representalrre or yea' kcal branch e&e, as Non Standard Assets (NSA) are typicaly investments in direct participation program 1.200 869.390)or WM. us al P.O. Box 2209. Omaha. NE 68103. as soon as you can. it you wet as TO Arnearade Geeing. Irc in wdlng MINn to (10) days of ICA" recept b this securities fpartnershps, hosed lathy companies. or real ciao investment trusts/. thee your statement a Inept is wrong Or' you need more inlormation abOut a transfer On the stab:mons Any oral statements Mal you have made to ue staid be confirmed in nag The caorredry pools. moan amity private date or hedge Ands. NSAs are typicaty statement a receipt. We Mud hear from you ro bleu than GO days eta we sent you the FAST statement MP °Menne be considered COndiroher. statement on which the error or problem appeared. Arend investments and do net trade on a natonal socunhes exchange a the Nasdaq Tell us whir ran* and account mrober Stock Market. The values shown for Mose investments *rate:mated values decried (I) error or the transfer you are unsure about, ad explain as cleat/ as you can Please natty is promptly of any changes in yet corneal irtonnabon. Transactions related on from venom methods. including, but not tinted to. independent appraisals. the (2)Dosentothe TOW report von be COnckeivery deemed eaunde want you Maly TO Ametrade immethatery. why you beloved is an error or way you need mac inlormaben. program's net assets. ander Med pity lender otters that have been PrOvd00 by the (3) dollar amount of the suipeCted error Tell us the management. admheadia. ander sponsor d each program. Or by a Ihrdiarry woe investigate your complaint and ma carat any error promptly. el we lake more than 10 Account Preleclion: Wean held by 11)13ank. N A and TD Bet* USA. NA.. are inured by vender Media ndependent verlItaban by TO AMedliade. Values may nal Meted the We business days 10 do this. we wit OWN you account for the amend you think is in error, SO that the FDIC thol covered by SIPC) up to $250.000. Limits aro per account ownership per Origins purchase price. actual Mean value or be reared upon liquidaten. II an you mil have the use el the mtheydunng the linos takes us to compote our investigate,. iroblUscn. To team more about FOC coverage go to vratldicgov. Sautes ircludrg egmated value earned be ntablehed through theee mellialS. the valuation may be mutual funds. held in your Erolumage ACCOunt are of depail8 or abligatiOn8 d. or reflected as Nondrced For addbonal derail regarding valuation for guaranteed by thy bank. aro 401 FOIC.InStred. and Involve investment riat indudng N SDNY_GM_00011510 pantie Ma el (chant TO Antigen* is a member 01 the SAITO 1501013 EFTA 110122161 EFTA01267640  Statement Reporting Period: 1D Ameritrade 05/01/14 - 05/31/14 800-669-3900 Statement for Account # 867-730320 TO AMERITRADE SOUTHERN FINANCIAL LLC DIVISION OF TO AMERITRADE INC ATTN: JEFFREY EPSTEIN 6100 RED HOOK OTRS STE B-3 PO BOX 2209 ST THOMAS. VI 00802-1348 OMAHA. NE 68103-2209 TO Amer'Made Clearing. Inc.. Member SIPC Portfolio Summa Current Prior Period Estimated Estimated Investment Value Value Change Change Income Yield Portfolio Allocation Margin Loan ($40,921.55) $ • ($40,921.55) $ - Insrd Dep Acct Money Market Other Short Balance 4.5% Stocks 2,714,051.10 2,714,051.10 800.00 Short Stocks Fixed Income Options 1,289,444.13 1,289,444.13 Short Options Mutual Funds Other 146,600.00 146,600.00 Total $4,109,173.68 $ 0.00 $4,109,173.88 $800.00 0.0% Margin Equity 100.0% Cash Activi Summar Income & Ex .ense Summa Performance Summary Non Current YTD Reportable Reportable YTD Opening Balance $ 0.00 $ - Income Cost Basis As Of 05/31/14 $4,087,645.57 Securities Purchased (4,676,200.61) (4,676,200.61) Dividends S - $ - Unrealized Gains 371,182.26 Securities Sold 634,755.80 634,755.80 Interest 1.63 1.63 Unrealized Losses (308,732.60) Funds Deposited 4,000,600.00 4,000,600.00 Other Funds Deposited/(Disbursed)YM 4,000,600.00 Funds Disbursed Expense Income/(Expense)n° (81.15) Income 1.63 1.63 Interest (82.78) (82.78) Securities Received/(Delivered)"D 0.00 Expense (82.78) (82.78) Fees Other 4.41 4.41 Other Closing Balance ($40,921.55) ($40,921.55) Net ($81.15) $0.00 ($81.15) SDNY_GM_00011511 page 1 o142 CONFIDENTIAL EFTA_00122162 EFTA01267641  Statement for Account # 867-730320 05/01/14 - 05/31/14 Online Cash Services Summary Description Current Year To Date CREDITS Electronic Transfer $ 4,000,000.00 $ 4,000,000.00 Subtotal 4,000,000.00 4,000,000.00 TOTAL 4,000,000.00 4,000,000.00 Income Summary Detail' Description Current Year to Date Interest Income Credit Balance $ 1.63 $ 1.63 Margin Interest Charged (82.78) (82.78) IDA Interest 4.41 4.41 'This section displays current and year to date taxation values for this account. The current totals may not equate to the total payments listed on this statement as corrections to tax reporting may also be included. These correctons can include changes made to previous payments and removal of payments reportable In a premus tax year (spillover divcleixts). The year to date totals will accurately reflect your cumulative amount for the year. Account Positions Symbol/ Current Market Purchase Cost Average Unrealized Estimated Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield Stocks - Margin ACCESS PHARMA INC ACCP 204,959 $ 0.425 $ 87.107.58 05/12/14 $ 96280.32 $ 0.47 $ (9,172.74) $- COM AOL INC AOL 3,485 36.28 126.435.80 05/16/14 126,878.64 36.41 (442.84) COM ATHERONOVA INC AHRO 10,000 2.80 28.000.00 05/27/14 27/00.00 2.77 300.00 COM COWEN GROUP INC COWN 53,500 4.13 220.955.00 05/13/14 218,649.35 4.09 2305.65 COM ELEPHANT TALK ETAK 162.000 0.91 147.420.00 05/12/14 161873.67 1.02 (18.453.67) COMMUNICATIONS COM EMRISE CORP EMRI 4,495 0.88 3.955.60 05/15/14 1774.41 0.84 181.19 COM GREEN PLAINS INC GPRE 5,000 29.22 146.100.00 05/15/14 131,450.00 26.29 14.65000 800.00 0.5% COM HANWHA SOLARONE CO HSOL 20,006 2.48 49.614.88 05/22/14 41833.12 2.34 2.781.76 LTD ADS SDNY_GM_00011512 page 2 of 42 CONFIDENTIAL EFTA_00I 22 I 63 EFTA01267642  Statement for Account # 867-730320 05/01/14 - 05/31/14 Account Positions Symbol/ Current Market Purchase Cost Average Unrealized Estimated Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield Stocks - Margin INTERCLOUD SYSTEMS ICLD 16.900 5.73 96337.00 05/15/14 81.024.01 4.79 15212.99 INC COM LANTRONIX INC LTRX 2.064 1.98 4.086.72 05/23/14 3766.45 1.82 320.27 COM MODUSLINK GLOBAL MLNK 55.000 3.61 198350.00 05/13/14 200,070.54 3.64 (1.520.54) SOLUTIONS INC COM NET 1 UEPS UEPS 12.000 11.25 135,000.00 05/21/14 128,630.78 10.72 6269.22 TECHNOLOGIES INC COM OCLARO INC OCLR 100.000 2.12 212.000.00 05/12/14 179,522.71 1.80 32.477.29 COM RAINMAKER SYSTEMS RMKR 290.687 0.2499 72.64238 05/12/14 74,366.86 0.26 (1.724.18) INC COM RELM WIRELESS CORP. RWC 53.600 3.8399 205.818.64 05/13/14 174,392.78 3.25 31.425.86 COM RICEBRAN RIBT 52.600 7.19 378.194.00 05/12/14 290,044.76 5.51 88.149.24 TECHNOLOGIES COM TRANSGENOMIC INC TBIO 73.930 3.69 272201.70 05/12/14 298,358.60 4.04 (25.556.90) COM ZAZA ENERGY ZAZA 315.000 0.7001 220331.50 05/12/14 196,064.92 0.62 24466.58 CORPORATION COM ZIOPHARM ONCOLOGY ZIOP 30.000 3.60 108,000.00 05/14/14 98,020.40 3.27 9379.60 INC COM Total Stocks $2,714,051.10 $2,541,702.32 $172,348.78 $800.00 0.0% SDNY_GM_00011513 page 3 01 42 CONFIDENTIAL EFTA_00I 22164 EFTA01267643  Statement for Account # 867-730320 05/01/14 - 05/31/14 Account Positions Symbol/ Current Market Purchase Cost Average Unrealized Estimated Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield Options - Margin ADVANCED MICRO 1.000 $ 0.8131 $ 81311.00 05/12/14 $ 86.734.00 $ 0.87 $ (5.423.00) $- DEVICES INC AMD Jan 17 15 3.5 C ADVANCED MICRO 500 0.5136 25.679.30 05/13/14 29.645.01 0.59 (3.965.71) DEVICES INC AMD Jun 21 14 3.5 C AEROPOSTALE INC 550 0.9294 51.117.06 05/13/14 88,815.70 1.61 (37.698.64) ARO Jan 17 15 3.5 C AEROPOSTALE INC 250 0.9655 24.137.20 05/27/14 26.393.50 1.06 (2.256.30) ARO Jul 19 14 3.0 C AOL INC 150 1.8934 28.401.66 05/23/14 36.517.11 2.43 (8.115.45) AOL Jul 19 14 36.0 C APOLLO EDUCATION 150 2.1515 32.272.44 05/23/14 40.709.11 2.71 (8.436.67) GROUP INC APOL Jul 19 14 26.0 C BEAZER HOMES USA INC - 300 2.2629 67.886.19 05/13/14 72.422.20 2.41 (4.536.01) BZH Jan 17 15 20.0 C BEST BUY CO INC 100 2.702 27.020.03 05/19/14 16.057.40 1.61 10.962.63 BBY Jun 21 14 25.0 C BON-TON STORES INC 350 0.3481 12.184.20 05/13/14 14,200.90 0.41 (2.016.70) BONT Jul 19 14 9.0 P BUCKLE INC 200 0.4255 8.510.68 05/21/14 14.114.80 0.71 (5.604.12) BKE Jun 21 14 46.3 C CENTRAIS ELEC BRAS 400 0.675 27.000.60 05/13/14 39.600.62 0.99 (12.600.02) EBR Sep 20 14 2.5 C CORINTHIAN COLLEGES 500 0.075 3.750.10 05/13/14 11.012.00 0.22 (7.261.90) INC COCO Aug 16 14 1.0 C CORINTHIAN COLLEGES 2.000 0.0021 426.40 05/13/14 11.148.00 0.06 (10.721.60) INC COCO Aug 16 14 2.0 C CORINTHIAN COLLEGES 2,097 0.15 31,455.84 05/13/14 62.658.68 0.30 (31,202.84) INC COCO Nov 22 14 1.0 C SDNY_GM_00011514 page 4 o142 CONFIDENTIAL EFTA 00122165 EFTA01267644  Statement for Account # 867-730320 05/01/14 - 05/31/14 Account Positions Symbol/ Current Market Purchase Cost Average Unrealized Estimated Investment Description CUSIP Quantity Price Value Date Basis Cost Gain(Loss) Income Yield Options - Margin DRY SHIPS 750 0.5259 39.446.03 05/12/14 47.830.50 0.64 (8.384.47) INCORPORATED DRYS Jan 17 15 3.0 C FLAMEL TECH 100 3.183 31.829.85 05/14/14 34.057.40 3.41 (2.227.55) FLML Dec 20 14 10.0 C FUELCELL ENERGY INC 275 0.2144 5.895.07 05/28/14 8.407.85 0.31 (2.512.78) FCEL Jul 19 14 2.5 C FUELCELL ENERGY INC 275 1.3737 37.777.33 05/13/14 35.057.85 1.27 2.719.48 FCEL Oct 18 14 1.0 C FUELCELL ENERGY INC 350 0.9784 34.244.63 05/12/14 28.740.90 0.82 5.503.73 FCEL Oct 18 14 1.5 C GREEN PLAINS INC 200 1.0672 21.344.50 05/19/14 19.114.80 0.96 2.229.70 GPRE Jun 21 14 30.0 C GREEN PLAINS INC 150 4.8254 72.381.56 05/23/14 59.086.10 3.94 13.295.46 GPRE Jul 19 14 25.0 C HANWHA SOLARONE CO 250 0.725 18.125.28 05/13/14 26,393.50 1.06 (8.268.22) LTD HSOL Sep 20 14 2.0 C HEWLETT PACKARD CO 200 4.0228 80.456.96 05/13/14 79.114.80 3.96 1.342.16 HPQ Jan 17 15 31.0 C ITT EDUCATIONAL 100 0.0938 937.51 05/20/14 16.457.40 1.65 (15.519.89) SERVICES INC ESI Jun 21 14 25.0 C JETBLUE AIRWAYS CORP 250 2.8687 71.716.58 05/14/14 54.835.51 2.19 16.881.07 JBLU Jan 17 15 7.0 C MGIC INVT CORP WIS 500 1.3575 67.872.60 05/14/14 76,287.00 1.53 (8.414.40) MTG Jan 17 15 8.0 C NET 1 UEPS 150 3.6195 54.292.32 05/22/14 51.036.10 3.40 3.256.22 TECHNOLOGIES INC UEPS Jan 17 15 8.0 C NORDIC AMERICAN 600 0.9779 58.674.36 05/15/14 78.344.40 1.31 (19.670.04) TANKERS LTD NAT Jan 17 15 8.0 C SDNY_GM_00011515 page 5 of 42 CONFIDENTIAL EFTA_00 I 22 I 66 EFTA01267645  Statement for Account # 867-730320 05/01/14 - 05/31 14 Account Positions Symbol/ Current Market Purchase Cost Average Unrealized Estimated Investment Description COW Quantity Price Value Date Basis Cost Gain(Loss) Income Yield Options Margin QUANTUM FUEL 250 1.502 37549.53 05/12/14 27.663.50 1.11 9.886.03 SYSTEMS TEC QTWW Jul 19 14 3.0 C FiADNET INC. 950 0.65 61,751.90 05/12/14 72.240.30 0.76 (10.488.40) RDNT Sep 20 14 7.5 C RADNET INC. 470 2.0001 94.00253 05/12/14 97.860.82 2.08 (3.858.19) RDNT Dec 20 14 5.0 C SEARS HOLDING CORP 90 3.6736 33.062.02 05/19/14 22.336.66 2.48 10725.36 SHLD Jun 21 14 39.0 C SEARS HOLDING CORP 50 5.0689 25.344.55 05/28/14 11.828.70 2.37 13.515.85 SHLD Jul 19 14 38.0 C SONY CORP 300 0.0205 614.31 05/12/14 13.732.20 0.46 (13.117.89) SNE Jun 21 14 18.0 C SONY CORP 275 0.7626 20,971.91 05/13/14 40.532.85 1.47 (19,560.94) SNE Oct 18 14 17.0 C Total Options $1,289,444.13 $1,450,988.17 $(161,544.04) $0.00 0.0% Other - Margin RICEBRAN RIBTW 73.300 $ 2.00 $ 146,600.00 05/12/14 $ 94,955.08 $ 1.30 $ 51.644.92 $ TECHNOLOGIES WARRANT EXP 11/18/2018 Total Other $146,600.00 $94,955.08 $51,644.92 $0.00 0.0% Total Margin Account $4,150,09523 $4.087545.57 $62449.66 $800.00 0.0% SDNY_GM_00011516 page 6 o142 CONFIDENTIAL EFTA 00122167 EFTA01267646  Statement for Account # 867-730320 05/01/14 - 05/31/14 Online Cash Services Transaction Detail Category Transaction Date Description Amount CREDITS Electronic Transfer 05/12/2014 WIRE RECEIVED(INTL):42952771 - SOUTHERN $ 4.000.000.00 Subtotal 4.000.000.00 TOTAL 4,000,000.00 Account Activit Trade Settle Acct Transaction/ Symbol; Date Date Type Cash Activity' Description CUSIP Quantity Price Amount Balance Opening Balance $ 0.00 05/12/14 05/12/14 Margin - Funds Deposited WIRE RECEIVED(INTL):42952771 - - $ 0.00 $ 4,000,000.00 4,000,000.00 SOUTHERN 05/12/14 05/12/14 Margin Journal - Funds Deposited Cash Award 0.00 100.00 4,000,100.00 05/12/14 05/12/14 Margin Journal - Funds Deposited Cash Award 0.00 200.00 4,000,300.00 05/12/14 05/12/14 Margin Journal - Funds Deposited Cash Award 0.00 300.00 4,000,600.00 05/12/14 05/13/14 Margin Buy - Securities Purchased ADVANCED MICRO DEVICES INC 800 0.85 (68.619.20) 3,931,980.80 AMD Jan 17 15 3.5 C TO OPEN Commission 600.00 Regulatory Fee 19.20 05/12/14 05/13/14 Margin Buy - Securities Purchased RADNET INC. 250 0.85 (21.443.50) 3,910,537.30 RDNT Sep 20 14 7.5 C TO OPEN Commission 187.50 Regulatory Fee 6.00 05/12/14 05/13/14 Margin Buy - Securities Purchased FUELCELL ENERGY INC 200 0.75 (15.154.80) 3,895,382.50 FCEL Oct 18 14 1.5 C TO OPEN Commission 150.00 Regulatory Fee 4.80 05/12/14 05/13/14 Margin Buy - Securities Purchased RADNET INC. 100 0.80 (8.077.40) 3.887,305.10 RDNT Sep 20 14 7.5 C TO OPEN Commission 75.00 Regulatory Fee 2.40 05/12/14 05/13/14 Margin Buy - Securities Purchased SONY CORP 200 0.45 (9.154.80) 3,878,150.30 SNE Jun 21 14 18.0 C TO OPEN Commission 150.00 Regulatory Fee 4.80 SDNY_GM_00011517 page 7 o142 CONFIDENTIAL EFTA_00122168 EFTA01267647  Statement for Account # 867-730320 05/01/14 - 05/31/14 Account Activity Trade Settle Acct Transaction/ Symbol/ Date Date Type Cash Activity* Description CUSIP Quantity Price Amount Balance 05/12/14 05/13/14 Margin Buy - Securities Purchased SONY CORP 100 0.45 (4.577.40) 3.873.572.90 SNE Jun 21 14 18.0 C TO OPEN Commission 75.00 Regulatory Fee 2.40 05/12/14 05/13/14 Margin Buy - Securities Purchased DRY SHIPS INCORPORATED 750 0.63 (47.830.50) 3,825,742.40 DRYS Jan 17 15 3.0 C TO OPEN Commiss