Interactive Brokers LLC, Two Pickwick Plaza, Greenwich, CT 06830

Transcription

1 Brokerage Account Quarterly Activity Summary July 1, September 30, 2014 Interactive Brokers LLC, Two Pickwick Plaza, Greenwich, CT Account Information Account Holder(s) Address of Account Holder(s) ccount Number Investment Advisor ddress of Investment Advisor Customer Type Account Capabilities Trading Permissions Base Currency U IRA-Roth New Cash Stocks,Options,Warrants,Forex Below for your convenience is a summary of the activity in your Interactive Brokers Account for the dates indicated. Please note that this summary is not a substitute for your account statement and does not include a listing of each transaction in your account during the dates covered. To review daily or monthly account statements, please login to Account Management on the Interactive Brokers website. Net Asset Value June 30, 2014 September 30, 2014 Total Long Short Total Change Cash 62, , , , Stock 44, , , , Options -4, , , Dividend Accruals Total 103, , , , , Time Weighted Rate of Return -0.99% Change in NAV Total Starting Value 103, Mark-to-Market -1, Dividends Change in Dividend Accruals Other Fees Commissions Ending Value 102, Open Positions Symbol Quantity Mult Cost Price Cost Basis Close Price Value Unrealized P/L Code Stocks AAPL , , , AGEN AMZN , , AOBI.CSH , , Brokerage Account Quarterly Activity Summary - July 1, September 30, 2014 Page: 1

2 Open Positions ARCO , BAC , , CNFU CSCO , , CYD , , DNDN ETFC GES , , IPAS LPX MA MRVL , , , MU , , , MWA , NKTR , , NORX NVDA , , NVTL , PSON PXLW RMBS , , SLAB , , SLCO TZA Total 39, , , Symbol Quantity Mult Cost Price Cost Basis Close Price Value Unrealized P/L Code Equity and Index Options AMD 15JAN P AMD 15JAN P AMD 15JAN P BP 17JAN P DNDN 17JAN P DNDN 15JAN P DNDN 15JAN P FB 17JAN P GALE 17JAN P GALE 15JAN P GALE 15JAN P GALE 15JAN P GPRO 15JAN P HOV 15JAN P HOV 15JAN P MRVL 17JAN C MRVL 17JAN C MRVL 17JAN C MRVL 15JAN C Brokerage Account Quarterly Activity Summary - July 1, September 30, 2014 Page: 2

3 Open Positions MU 17JAN P MU 17JAN P MU 17JAN C MU 17JAN C SCCO 17JAN P SCO 17JAN P SCO 15JAN P TZA1 17JAN P TZA1 17JAN P TZA1 17JAN P TZA1 17JAN P TZA1 17JAN P Total -3, , Brokerage Account Quarterly Activity Summary - July 1, September 30, 2014 Page: 3

4 Trades Summary Buys Sells Symbol Quantity Avg. Price Proceeds Quantity Avg. Price Proceeds Stocks CSCO , Total -5, Equity and Index Options AA P AMD P CSCO C CSCO C GPRO P INTC C INTC C MRVL C MRVL C MRVL C MU C MU C NVTL P ORCL C ORCL C ORCL C ORCL C ORCL C ORCL C ORCL C ORCL C OVTI P SCCO P X P Total , Other Information Interactive Brokers LLC is the clearing and carrying broker for your account. Interactive Brokers LLC is a member of the Securities Investor Protection Corporation (SIPC), the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA).Your account is managed by an independent Financial Advisor selected by you, who is managing the trading and investment activity in your account. Your Financial Advisor is not employed by or affiliated with Interactive Brokers and Interactive Brokers is not responsible for and will not supervise the trading and investment decisions made by your Advisor. Your Advisor has informed Interactive Brokers that the Advisor is not registered or licensed as an advisor and is not required to be registered or licensed. Our records show the following information for your Advisor: Financial Advisor: Advisor Fees Being Deducted: Hagob Guledjian No advisor fees are being deducted by Interactive Brokers for your advisor for advice provided to this account. If you have any questions about this Quarterly Activity Summary, please contact your Financial Advisor. To report any problem or inaccuracy or discrepancy in this statement, or in your account, please contact the Interactive Brokers Customer Service Department at the Interactive Brokers website or call: Interactive Brokers LLC, Brokerage Account Quarterly Activity Summary - July 1, September 30, 2014 Page: 4

5 Codes Code Meaning Code (Cont.) Meaning (Cont.) A Assignment LT Long Term P/L AEx Automatic exercise for dividend-related recommendation. Lo Direct Loan Adj Adjustment M Entered manually by IB Al Allocation MEx Manual exercise for dividend-related recommendation. Aw Away Trade ML Maximize Losses tax basis election B Automatic Buy-in MLG Maximize Long Term Gain tax basis election Bo Direct Borrow MLL Maximize Long Term Loss tax basis election C Closing Trade MSG Maximize Short Term Gain tax basis election CD Cash Delivery MSL Maximize Short Term Loss tax basis election Ca Cancelled O Opening Trade Co Corrected Trade P Partial Execution Cx Part or all of this transaction was a Crossing executed as dual agent by IB for two IB customers PI Price Improvement ETF ETF Creation/Redemption Po Interest or Dividend Accrual Posting Ep Resulted from an Expired Position Pr Ex Exercise R Dividend Reinvestment G Trade in Guaranteed Account Segment RED Redemption to Investor HC Highest Cost tax basis election Re Interest or Dividend Accrual Reversal HFI Investment Transferred to Hedge Fund Ri Reimbursement Part or all of this transaction was executed by the Exchange as a Crossing by IB against an IB affiliate and is therefore classified as a Principal and not an agency trade HFR Redemption from Hedge Fund SI This order was solicited by Interactive Brokers I Internal Transfer SL Specific Lot tax basis election IA This transaction was executed against an IB affiliate SO This order was marked as solicited by your Introducing Broker INV Investment Transfer from Investor SS L Ordered by IB (Margin Violation) ST Short Term P/L LD Adjusted by Loss Disallowed from Wash Sale T Transfer LI Last In, First Out (LIFO) tax basis election Customer designated this trade for shortened settlement and so is subject to execution at prices above the prevailing market Brokerage Account Quarterly Activity Summary - July 1, September 30, 2014 Page: 5