Case File
efta-01267639DOJ Data Set 10OtherEFTA01267639
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01267639
Pages
632
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE 8-3
ST THOMAS. VI 00802-1348
CONFIDENTIAL
EFTA_0011221160
EFTA01267639
Terms and Conditions
STATEMENT GUIDE
I L.: Are-wade provides mealy Portfolio Reports for amounts ugh acttaty and quanerly repass
ui act, accounts Mbassets!
SeCuntleS taunter Preleelion Capered:4 ('SIPC'). wail protects Spathes
CuStOMerS 01 in members up to 5500000 ginludng 3250.000 to. etairns fOr cash).
Explthatery &allured available on repeal at evesteldtag.
Portfolio Summary: Track* the Current valued your 0000% aft Of the report dale and
removes it to Ire POW MOnth.z The nal 00:860n Mendel yOur pa nte dhiersTalion by
investment tics
abode at:mations under 5% WM be trouped into the calegey 01-ClIde in the the ChM Margin
Early - iota/ accourn EguitylT0011 Long Merginable Value • Teal Short Value)
Activity Summary: The opening and dosing cash balances aro reconcled hue for yam, quick
relerence. Al account acthily is surtmarde0 lor me current period and yea/40481e
Additionairy. TD Amara& provide) each Cleft $149.5 mato worth of prOteOlth for
securities and S2 mitten of thotocan ler cash through supplemental coverage
provided by London mans. In the event Cue a brokerage nsolvency. a diets may
receive amounts due from the vista in bankruptcy and then SIPC. Supplemereal
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
London usurers. he TO Amebae* supplemental coverage has OA aggregate 'mil 01
$500 melon over al euttemes This poky provides etherage *leonine brokerage
inside:any and on MI prated agent less In market value of the securities.
Income 1 Expertise Summary InOnMAs Only): This section deltun the income and enientie
dead from to Actruty Summary and eta:ethos the lax treatment.
RebteeneM Account Summary (IRAs *My): Review the IRS rinuad transamons for the
curare and der years IRS Fenn 5498 lair Man value is based on the current value 55 a
December 31 of the pronous year ardwil to furnished lotto Internal Revenue Scnnce.
Performenee Summary:Monne. your annual portfolio performance and the urrealized gains and
belts '0' your lulure madmen" satilegY.
Account Positions: View yes Sweennens al the current Market vate and comae the edging
cod to see uvealezed gains and losses n your panicle Original cod is assigned using the
(FiFOI MelhOd. welch Maumee the hill shares yOu set are those you thirehated
trot. The estimated irtrostment income2 and average cost per &Ave are displayed for your
tolerance the oldestpurchase date is shown for an maroon of you holdne penal.
Account Activity: Al scout solidly is (Marty defiled. lend in date order, and atlocled in the
closing cash balance.
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.
Online Cash Services Transaction Detail: Cash management transaceorts mat cleared during
ths ramencm reporting coned. ndudng Oak. dent card and ATM oddity. are listed in date
order
Online Cash Sernoes Summary: Credit and cam cardamon totals for Me carts statement
roperirg paned are summarized. Indmilid honsactons are not listed.
'Coale rounding °dustmen.. thestatement deals may not aim: the anemia
Mad
:Es:boated Annud Income and Esernaed Annual Yield values are based upon the number ot
steles Craned Or Oared value balance as of the statement dale and the man recent dMderd
rate er cash geld prcnedet
GENERAL INFORMATION
ID Ameaurade pee nOt provide lead Or lax advt.). Fietkee COMO you legal edvrtor or lax
xcounam when necessary. As a standard mashy prance. phone caroms:Ions may Co
receded for gushy contra and thinatiCOOn iredlintel Ouradere.
For ID Arnertade MS/MOMS denti, yOur advisor firm is apse* from and not *Misled hal,
ID Amanrado. Inc. a TO Metered° Owing. Inc.. and oath I rm is rot response.. or Me
creams and senscoscd the ether
Accuracyor Redone:If you rind any errors or omissions in your account
statement you
should Immediately call us at the number listed en page the of
your statement You
should also contact our Clearing firm. TO Arnentrade
Clearing, the. al 600469-3900.
Please review the statement carefsily II you Ostrom, 'Mb any lienSSOtet Or it thee ere any
errors or ornsuons. please nasty a Client Semen representalrre or yea' kcal branch e&e, as
wet as TO Arnearade Geeing. Irc in wdlng MINn to (10) days of ICA" recept b this
stab:mons Any oral statements Mal you have made to ue staid be confirmed in nag The
statement MP °Menne be considered COndiroher.
Please natty is promptly of any changes in yet corneal irtonnabon. Transactions related on
TOW report von be COnckeivery deemed eaunde want you Maly
TO Ametrade immethatery.
Account Preleclion: Wean held by 11)13ank. N A and TD Bet* USA. NA.. are inured by
the FDIC thol covered by SIPC) up to $250.000. Limits aro per account ownership per
iroblUscn. To team more about FOC coverage go to vratldicgov. Sautes ircludrg
mutual funds. held in your Erolumage ACCOunt are of depail8 or abligatiOn8 d. or
guaranteed by thy bank. aro 401 FOIC.InStred. and Involve investment riat indudng
pantie Ma el (chant TO Antigen* is a member 01 the
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
funds scat to deserve the value of you investment at $I 00 per share. it Is possible to
lose money by investing m a money market Sand. Paden: are declared they and
paiMenvested monthly. The prospectus cacaos this and other impc•tant
information. Road the prospectus carefully bolero investing. Nondeposit investments
held by your brokerdealer we NOT FCC INSURED i NOT BANK GUARANTEED ;
MAY LOSE VALUE.
The balance in your bank deposit &Ceara' Or Sharer) Of your money Markel Mueual
kind fan ta 1.304lited on yeti Order. and me pr0000/08 returned 10 yew spathes
account or remered to you.
Tax Rep:Ming:The pertfOli0 repel IS not a tan document You MI Mahe Form 1099
for annual lax redone* In compliance will In regulierneMS lineludee WOMB
interest Oryillende aped gain. lain weaned. and Sales prebend). Some
payments are 6.1300 10 redaSSdearth which wB be redacted n adatieflreill tax
repass.
Cod Bade: COM-Bata tax tot and PerfOrManee intating and OeinSkeePer are
offered and eons clod by CCH INCORPORATED. TD Amended* is not responsible
for the 010014 Ct SlatetrIlly a the inearilabOn TO Ameroade and its Infatuation
redden; l'PrOvillenn 60 not guarantee the accuracy d the Alameda) and data
provided. CCH INCORPORATED IS a separate Company and IS not agitated wth
11) Anatiade.
Margin end Options ACCOunt Agree:Mints: Promptly advise IC/Amsted. in Aesop
of any change in your naves rem el/lathes or financial situation as they avian to
your Malan Or OpOOM Want agreements A summary CI commissions and Charge)
inWled w(h the exeeuden Of Options traindaenti IS enrold010.
Curi•M Market Prices: The market values d securities have been Maned. if
amiable, hem quotation services and odor independent sources. Values are based
on the closing price. the mean tohmen the bd and askng prices. or other methods.
no market vain is amiable from a quetabcn service or other independent source, the
SeCurIty o sibject 10 being needed as leth.PnCed (NM. The vale:elan On your
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
relnlinIng balance and the Current market plat P00010 report valuated: may not
represent sans proceeds The secondary marlin for CeileCarifi 01 DP/teals (COs) is
generally aloud and the actual value may be different from the pitches* price. A
signficart loss of princpal may result from the sale °feel) pnor to mainly. Bonds
ander Fixed Income Secultos trade differently than emery scarifies and do not trade
on a land exchange. Rather they trade in the OTC (over the counter) market and
unhurt icardty may na coisl for you lo sell your positron prior to mature,. The sale
of bads prior to inaturey may result in a loss of prriapal
Non Standard Assets (NSA) are typicaly investments in direct participation program
securities fpartnershps, hosed lathy companies. or real ciao investment trusts/.
caorredry pools. moan amity private date or hedge Ands. NSAs are typicaty
Arend investments and do net trade on a natonal socunhes exchange a the Nasdaq
Stock Market. The values shown for Mose investments *rate:mated values decried
from venom methods. including, but not tinted to. independent appraisals. the
program's net assets. ander Med pity lender otters that have been PrOvd00 by the
management. admheadia. ander sponsor d each program. Or by a Ihrdiarry
vender Media ndependent verlItaban by TO AMedliade. Values may nal Meted the
Origins purchase price. actual Mean value or be reared upon liquidaten. II an
egmated value earned be ntablehed through theee mellialS. the valuation may be
reflected as Nondrced
For addbonal derail regarding valuation for
N
Auction Rate Securities ("ART./ Pricing: The market values lb ARS Securities have been
Waned. !amiable. from quaroon sondes or ether relependent sc.sces. The orowxyd the
nag ono grated a a rata sawn one matte; TDArtercan cull prxe the ARS posnon.
tam ine corsiderabon both the badly and underrying credl gushy The ARS market
cuncntly emenercing a lack of Wary and, as a result. mere can be no assurance that such
Wean Can be SOW under Current market conditions
REGULATORY DISCLOSURES
All transactions are sUnrot to (lithe consblubon. Mos. regulations. customs and usages el the
exchange or market. and itSdearnahrouse. if any. On weal such ininiacrions are tamped: Pit
federal laws. ndudng to Secunties Act of 1933 and the Secumin Exchange Act el 1934.
oath as amended to data and in the hare. and the nits and regulations promulgated
thelettlder. and (A) the rules and rethented CI FNMA andthe Fede al Reserve System
For an investor brochure that Includes informatiOn detailing MAAS Futtic NCl/Sure
Program. please contact FINFIA at 800489.9999 or HUswrotanta.org.
The interest rate span for TO Amerbade Cashretaken from the applcathe interest role der for
the Markel Value balance n Me TO Amaryado Cash. as of the siatanom closing date. Simple
interest is named dear/ bated on the inhered rate der epthirotie 10 each daya trainee.
Mandel Statement NotincatiOn: The statement 01 Mandel COndeth 10i TO Amenuede
avalable mace a year and may to obtarod as no cost. via the camel at
Map wive idereledlrede consTnaneWelaternintthrti.
AlletallOn Method: In the event Wry 01 your securities Cue Called Or assigned the Seroxilet
MI be selected on an impartial, random basis.
Free Credit Balances Mule 15o3-2 11 3): Under me dent protection nom. we may use tree
Credit balanCes n yOur Sand in the Ordinary Cane 01 Our butorlese which are payable to yOu
on darned.
Margin Amounts (Regulation T):If you have a margin account. sue report a a contnaten of
yOur margin nava end a pedal mtnorarxhim =Own Trading On margin Doses adellional
risks and d not sato for all investors. A cemptee tat of the risks assomMed with rthvgin
haring is avatar. in Me margn risk disclosure doCumtni. You May Obtain a copy b gas
document by anneling us 81 the number isted on page and your statement.
Payment for Order Flow (SEC Rules 606 and 607): In some crcumstances. TO Amon:rade
receives CompensaliOn lot dream cenan Oventhe.rounter and 'sled equity or*, flea to
selected mattes. brokers or dealers Mann Centers) Ctropensalion is in the tem d a per
share cash payment. n adetion. TO Arnatade also may maw compensate, related to the
foreign enemy etching!. component of Parsec:lions ntOrogn securities from Markel Centers
execurang sigh barbs. We post quarterly reports disclosing the venues for order roterg
esecudon at wew.Idamerensele Can A /Aden COPY is avalabie unn reared
It is our pricy. absent clam orders to the contrary. to select breasts, dealers, and market
makers tend on the ally to provide best <aeration end trio Minty 01 seam; price
improvement en market ordds.Pnee impecommem is avant:auxin moan market cow:Hons.
and we regular/1 mentor °monad *test for sigh impreromem d avalatio.
Tiede COM'mations (Rule 100-10):All cordtmalions are traremilled on tae tranSerdlOn dale
Tarn: Transactions in foreign securities (Mauling foreign company ADF1S Mat trade in MO
U.S.) nay include hues and foescharged by the Reath marked or governments. winch may
be Wanted in the Oda 01 the seedily Or charged as an ndePenden The item
Many Poky Noliflootion: A 000y of the TO Amen:rade Pinny poky is available el
vnsw.Clamertradecorn
in Case 01 Errors Or OuntlOnti AbOA Yaw Electronic Transfers TetephOne us el
1.200 869.390)or WM. us al P.O. Box 2209. Omaha. NE 68103. as soon as you can. it you
thee your statement a Inept is wrong Or' you need more inlormation abOut a transfer On the
statement a receipt. We Mud hear from you ro bleu than GO days eta we sent you the FAST
statement on which the error or problem appeared.
(I) Tell us whir ran* and account mrober
(2)Dosentothe error or the transfer you are unsure about, ad explain as cleat/ as you can
why you beloved is an error or way you need mac inlormaben.
(3) Tell us the dollar amount of the suipeCted error
We woe investigate your complaint and ma carat any error promptly. el we lake more than 10
business days 10 do this. we wit OWN you account for the amend you think is in error, SO that
you mil have the use el the mtheydunng the linos takes us to compote our investigate,.
SDNY_GM_00011510
SAITO 1501013
EFTA 110122161
EFTA01267640
1D Ameritrade
800-669-3900
TO AMERITRADE
DIVISION OF TO AMERITRADE INC
PO BOX 2209
OMAHA. NE 68103-2209
TO Amer'Made Clearing. Inc.. Member SIPC
Statement Reporting Period:
05/01/14 - 05/31/14
Statement for Account # 867-730320
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS. VI 00802-1348
Portfolio Summa
Current
Prior
Period
Estimated
Investment
Value
Value
Change
Change
Income
Margin Loan
($40,921.55)
$
•
($40,921.55)
$
-
Insrd Dep Acct
Money Market
Short Balance
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
Margin Equity
100.0%
Cash Activi Summar
Income & Ex .ense Summa
Current
YTD
Reportable
Non
Reportable
Opening Balance
$ 0.00
$
-
Income
Securities Purchased
(4,676,200.61)
(4,676,200.61) Dividends
S
-
$
-
Securities Sold
634,755.80
634,755.80 Interest
1.63
Funds Deposited
4,000,600.00
4,000,600.00 Other
Funds Disbursed
Expense
Income
1.63
1.63 Interest
(82.78)
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
page 1 o142
Estimated
Yield
Portfolio Allocation
YTD
1.63
(82.78)
CONFIDENTIAL
($81.15)
Other
4.5%
0.0%
Performance Summary
Cost Basis As Of 05/31/14
$4,087,645.57
Unrealized Gains
371,182.26
Unrealized Losses
(308,732.60)
Funds Deposited/(Disbursed)YM
4,000,600.00
Income/(Expense)n°
(81.15)
Securities Received/(Delivered)"D
0.00
SDNY_GM_00011511
EFTA_00122162
EFTA01267641
Statement for Account # 867-730320
05/01/14 - 05/31/14
Online Cash Services Summary
Description
CREDITS
Electronic Transfer
Subtotal
Current
$ 4,000,000.00
4,000,000.00
Year To Date
$ 4,000,000.00
4,000,000.00
TOTAL
4,000,000.00
4,000,000.00
Income Summary Detail'
Description
Interest Income Credit Balance
Margin Interest Charged
IDA Interest
Current
$ 1.63
(82.78)
4.41
Year to Date
'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.
$ 1.63
(82.78)
4.41
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
page 2 of 42
CONFIDENTIAL
SDNY_GM_00011512
EFTA_00 I 22 I 63
EFTA01267642
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Positions
Investment Description
Stocks - Margin
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Cost
Date
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
Income
Yield
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%
page 3 01 42
CONFIDENTIAL
SDNY_GM_00011513
EFTA_00I 22164
EFTA01267643
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
Income
Yield
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
page 4 o142
CONFIDENTIAL
SDNY_GM_00011514
EFTA 00122165
EFTA01267644
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
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
page 5 of 42
CONFIDENTIAL
SDNY_GM_00011515
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%
page 6 o142
CONFIDENTIAL
SDNY_GM_00011516
EFTA 00122167
EFTA01267646
Statement for Account # 867-730320
05/01/14 - 05/31/14
Online Cash Services Transaction Detail
Category
CREDITS
Electronic Transfer
Subtotal
TOTAL
Transaction Date
Description
05/12/2014
WIRE RECEIVED(INTL):42952771 - SOUTHERN
Amount
$
4.000.000.00
4.000.000.00
4,000,000.00
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity'
Symbol;
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
page 7 o142
CONFIDENTIAL
SDNY_GM_00011517
EFTA_00122168
EFTA01267647
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
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
Commission 562.50
Regulatory Fee 18.00
05/12/14
05/13/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
100
1.00
(10,077.40)
3.815,665.00
QTWW Jul 19 14 3.0 C TO OPEN
Commission 75.00
Regulatory Fee 2.40
05/12/14
05/13/14 Margin
Buy - Securities Purchased
RADNET INC.
19
2.10
(4,004.71)
3.811,660.29
RDNT Dec 20 14 5.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.46
05/13/14
05/13/14 Margin
Joumal - Other
PURCHASE FDIC INSURED
0.00
(3.586,052.90)
225,607.39
DEPOSIT ACCOUNT
05/13/14
05/14/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
125
1.25
(15.721.75)
209,885.64
FCEL Oct 18 14 1.0 C TO OPEN
Commission 93.75
Regulatory Fee 3.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
258
0.59
(15.603.20)
194,282.44
AMD Jun 21 143.5C TO OPEN
Commission 375.00
Regulatory Fee 6.20
05/13/14
05/14/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
242
0.58
(14.041.81)
180,240.63
AMD Jun 21 143.5C TO OPEN
Regulatory Fee 5.81
05/13/14
05/14/14 Margin
Buy - Securities Purchased
RADNET INC.
81
2.25
(18.287.70)
161.952.93
RDNT Dec 20 14 5.0 C TO OPEN
Commission 60.75
Regulatory Fee 1.95
05/13/14
05/14/14 Margin
Buy - Securities Purchased
CENTRAIS ELEC BRAS
250
0.95
(23.893.50)
138.059.43
EBR Sep 20 14 2.5 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
page 8 o142
CONFIDENTIAL
SDNY_GM_00011518
EFTA 00122169
EFTA01267648
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
05/13/14
05/14/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
250
1.05
(26,393.50)
111,665.93
HSOL Sep 20 14 2.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
300
1.75
(52,672.20)
58,993.73
ARO Jan 17 153.5 C TO OPEN
Commission 165.00
Regulatory Fee 7.20
05/13/14
05/14/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
125
1.25
(15,696.75)
43,296.98
FCEL Oct 18 14 1.0 C TO OPEN
Commission 68.75
Regulatory Fee 3.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
HEWLETT PACKARD CO
200
3.95
(79,114.80)
(35,817.82)
HPC) Jan 17 15 31.0 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
05/13/14
05(14:14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
1,000
0.30
(30,574.00)
(66,391.82)
COCO Nov 22 14 1.0 C TO OPEN
Commission 550.00
Regulatory Fee 24.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
500
0.30
(15,287.00)
(81,678.82)
COCO Nov 22 14 1.0 C TO OPEN
Commission 275.00
Regulatory Fee 12.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
RADNET INC.
150
0.80
(12,086.10)
(93,764.92)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14
05/14/14 Margin
Buy - Securities Purchased
RADNET INC.
150
2.20
(33,086.10)
(126,851.02)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14
05/14/14 Margin
Buy - Securities Purchased
SONY CORP
200
1.70
(34,114.80)
(160,965.82)
SNE Oct 18 14 17.0 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
page 9 of 42
CONFIDENTIAL
SDNY_GM_00011519
EFTA_00122I 70
EFTA01267649
Statement for Account # 867-730320
05/01/14 - 05/31 14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Symbol,'
Description
CUSIP
Quantity
Price
Amount
Balance
05/3/4
05/14/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
-
200
0.90
(18,114.80)
(179,080.62)
AMD Jan 1715 3.5 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
05/13/14
05/14/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
50
1.70
(8,528.70)
(187,609.32)
ARO Jan 17 153.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/13/14
05/14/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
150
0.90
(13,586.10)
(201,195.42)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14
05/14/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
100
1.05
(10,557.40)
(211,752.82)
QTWW Jul 19 14 3.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/13/14
05/14/14 Margin
Buy - Securities Purchased
BON-TON STORES INC
150
0.40
(6,086.10)
(217,838.92)
BONT Jul 19 14 9.0 P TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/13/14
05/14/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
2,000
0.05
(11,148.00)
(228,986.92)
COCO Aug 16 14 2.0 C TO OPEN
Commission 1100.00
Regulatory Fee 48.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
BON-TON STORES INC
100
0.40
(4,057.40)
(233,044.32)
BONT Jul 19 149.0 P TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/13/14
05/14/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
145
0.25
(3,708.23)
(236,752.55)
COCO Aug 16 14 1.0 C TO OPEN
Commission 79.75
Regulatory Fee 3.48
05/13/14
05/14/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
500
0.30
(15,287.00)
(252,039.55)
COCO Nov 22 14 1.0 C TO OPEN
Commission 275.00
Regulatory Fee 12.00
page 10 of 42
CONFIDENTIAL
SDNY_Ght000 11520
EFTA_00122171
EFTA01267650
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/13/14
05/14/14 Margin
Buy - Securities Purchased
BEAZER HOMES USA INC
250
2.50
(62,643.50)
(314,683.05)
BZH Jan 17 15 20.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
05/13/14
05/14/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
355
0.20
(7.303.77)
(321,986.82)
COCO Aug 16 141.0 C TO OPEN
Commission 195.25
Regulatory Fee 8.52
05/13/14
05/14/14 Margin
Buy - Securities Purchased
RADNET INC.
10
2.05
(2,055.74)
(324,042.56)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 5.50
Regulatory Fee 0.24
05/14/14
05/14/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
1.030.449.05
706,406.49
DEPOSIT ACCOUNT
05/12/14
05/15/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
20.000
4.00
(80.000.00)
626,406.49
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
48.799
1.08
(52.702.92)
573,703.57
COMMUNICATIONS
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
1.201
1.079
(1.295.88)
572.407.69
COMMUNICATIONS
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
48.300
1.20
(57.960.00)
514,447.69
WARRANT EXP 11/18:2018
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.700
1.19
(2.023.00)
512.424.69
WARRANT EXP 11/18/2018
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
480
5.10
(2.448.00)
509,976.69
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
3.020
5.0999
(15.401.70)
494,574.99
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
5.000
5.09
(25.450.00)
469,124.99
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
858
4.83
(4.144.14)
464,980.85
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
747A
37.526
0.45
(16.886.70)
448,094.15
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
300
0.449
(134.70)
447,959.45
COM
page 11 of 42
CONFIDENTIAL
SDNY_GM_00011521
EFTA 00122172
EFTA01267651
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
807
0.448
(361.54)
447.597.91
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
2.000
0.4472
(894.40)
446,703.51
COM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
600
0.4471
(268.26)
446.435.25
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
42.600
0.20
(8.520.00)
437.915.25
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
2.500
0.44
(1.100.00)
436,815.25
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
7.500
0.21
(1.575.00)
435,240.25
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
500
0.4598
(229.90)
435.010.35
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
200
0.4594
(91.88)
434.918.47
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
5.543
1.75
(9.700.25)
425,218.22
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
14.567
1.77
(25.783.59)
399,434.63
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
500
1.765
(882.50)
398,552.13
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.254
0.47
(589.38)
397,962.75
CAM
05/12/14
05/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
115
0.4695
(53.99)
397,908.76
05/14/14
05/15/14 Margin
Buy - Securities Purchased
CAM
RADNET INC.
100
0.70
(7.057.40)
390,851.36
05/14/14
05/15/14 Margin
Buy - Securities Purchased
RDNT Sep 20 14 7.5 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
JETBLUE AIRWAYS CORP
150
2.20
(33.141.10)
357,710.26
05/14/14
05/15/14 Margin
Buy - Securities Purchased
JBLU Jan 17 15 7.0 C TO OPEN
Commission 137.50
Regulatory Fee 3.60
JETBLUE AIRWAYS CORP
24
2.19
(5.256.58)
352.453.68
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.58
page 12 of 42
CONFIDENTIAL
SDNY_GM_00011522
EFTA_001 22 I 73
EFTA01267652
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
05/14/14
05/15/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
24
2.18
(5.232.58)
347.221.10
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.58
05/14/14
05/15/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
12
2.17
(2.604.29)
344,616.81
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.29
05/14/14
05/15/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
40
2.15
(8.600.96)
336,015.85
JBLU Jan 17 15 7.0 C TO OPEN
Regulatory Fee 0.96
05/14/14
05/15/14 Margin
Buy - Securities Purchased
CENTRAIS ELEC BRAS
96
1.05
(10.164.81)
325,851.04
EBR Sep 20 14 2.5 C TO OPEN
Commission 82.50
Regulatory Fee 2.31
05/14/14
05/15/14 Margin
Buy - Securities Purchased
CENTRAIS ELEC BRAS
11
1.04
(1.144.27)
324,706.77
EBR Sep 20 14 2.5 C TO OPEN
Regulatory Fee 0.27
05/14/14
05/15/14 Margin
Buy - Securities Purchased
CENTRAIS ELEC BRAS
11
1.03
(1.133.27)
323,573.50
EBR Sep 20 14 2.5 C TO OPEN
Regulatory Fee 0.27
05/14/14
05/15/14 Margin
Buy - Securities Purchased
CENTRAIS ELEC BRAS
32
1.02
(3.264.77)
320,308.73
EBR Sep 20 14 2.5 C TO OPEN
Regulatory Fee 0.77
05/14/14
05/15/14 Margin
Buy - Securities Purchased
MGIC INVT CORP WIS
500
1.52
(76.287.00)
244,021.73
MTG Jan 17 15 8.0 C TO OPEN
Commission 275.00
Regulatory Fee 12.00
05/14/14
05/15/14 Margin
Buy - Securities Purchased
FLAMEL TECH
100
3.40
(34.057.40)
209,964.33
FLML Dec 20 14 10.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/14/14
05/15/14 Margin
Buy - Securities Purchased
RADNET INC.
75
0.70
(5.293.05)
204,671.28
RDNT Sep 20 14 7.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/14/14
05/15/14 Margin
Buy - Securities Purchased
RADNET INC.
10
1.95
(1.955.74)
202.715.54
RDNT Dec 20 14 5.0 C TO OPEN
Commission 5.50
Regulatory Fee 0.24
page 13 of 42
CONFIDENTIAL
SDNY_GM_00011523
EFTA 00122174
EFTA01267653
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
05/15/14
05/15/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
447557.13
650.67257
DEPOSIT ACCOUNT
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
2.500
5.0999
(12.749.75)
637,922.92
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
2.500
1.7599
(4.399.75)
633,523.17
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
25.000
1.09
(27.250.00)
606.273.17
COMMUNICATIONS
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
3.500
5.1799
(18.129.65)
588.143.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
15.000
1.78
(26.700.00)
561,443.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
25,000
3.25
(81.250.00)
480,193.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
12,000
0.50
(6.000.00)
474,193.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
25.000
1.76
(44.000.00)
430,193.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
4.000
4.38
(17.520.00)
412.673.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
15.000
3.20
(48.000.00)
364,673.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
4.834
4.30
(20.786.20)
343,887.32
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
19.027
0.63
(11.987.01)
331,900.31
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
200
0.6298
(125.96)
331,774.35
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
24.000
4.17
(100.080.00)
231,694.35
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
25.000
1.07
(26.750.00)
204,944.35
COMMUNICATIONS
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
24.800
3.61
(89.528.00)
115,416.35
INC
COM
page 14 of 42
CONFIDENTIAL
SDNY_GM_00011524
EFTA 00122175
EFTA01267654
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/13/14
05/16/14 Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
200
3.605
(721.00)
114,695.35
INC
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
7.000
4.10
(28.700.00)
85.99535
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
24,000
0.645
(15.480.00)
70.51535
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
200
0.6444
(128.88)
70.386.47
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
700
0.6429
(450.03)
69.93644
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
100
0.6412
(64.12)
69.87232
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
32.360
0.255
(8.251.80)
61,620.52
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
10,000
0.68
(6.800.00)
54.82052
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
3.900
0.6794
(2.649.66)
52,170.86
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
500
0.678
(339.00)
51,831.86
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
2.000
0.6775
(1.355.00)
50,476.86
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
100
0.6772
(67.72)
50,409.14
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.500
0.675
(1.012.50)
49.39654
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
3.300
1.30
(4.290.00)
45,106.64
WARRANT EXP 11/18:2018
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
200
1.289
(257.80)
44.84854
WARRANT EXP 11/18:2018
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.500
1.28
(1.920.00)
42.92854
WARRANT EXP 11/8:2018
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
15.000
0.688
(10.320.00)
32.60854
COM
page 15 of 42
CONFIDENTIAL
SDNY_GM_00011525
EFTA 00122176
EFTA01267655
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
512
5.659
(2.897.41)
29.711.43
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
9.265
4.05
(37.523.25)
(7,811.82)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.702
0.49
(833.98)
(8,645.80)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.000
0.4898
(489.80)
(9,135.60)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
500
0.4896
(244.80)
(9,380.40)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
3.600
5.10
(18.360.00)
(27,740.40)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
700
5.099
(3.569.30)
(31,309.70)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
166
4.1999
(697.18)
(32.006.88)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.690
5.10
(8.619.00)
(40,625.88)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
ACCESS PlIARMA INC
ACCP
11.859
0.48
(5.692.32)
(46,318.20)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
9.700
0.53
(5.141.00)
(51,459.20)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
998
0.5299
(528.84)
(51,988.04)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
2.500
0.239
(597.50)
(52.585.54)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
9.850
5.14
(50.629.00)
(103214.54)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
10.600
0.57
(6.042.00)
(109,256.54)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
300
0.5699
(170.97)
(109,427.51)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.800
0.5688
(1.023.84)
(110,451.35)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
7.900
0.5687
(4.492.73)
(114,944.08)
COM
page 16 of 42
CONFIDENTIAL
SDNY_GM_00011526
EFTA 00122177
EFTA01267656
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
493
0.60
(295.80)
(115.239.88)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
2.800
0.5999
(1.679.72)
(116,919.60)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
182
0.5997
(109.15)
(117,028.75)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
3.298
0.599
(1.975.50)
(119,004.25)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
200
3.18
(636.00)
(119,640.25)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
3.540
0.25
(885.00)
(120,525.25)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
4.200
0.2499
(1.049.58)
(121,574.83)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
4.900
0.2497
(1.223.53)
(122.798.36)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
1.25
(1.250.00)
(124,048.36)
WARRANT EXP 11/18:2018
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
13.795
0.664
(9.159.88)
(133,208.24)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
300
0.6637
(199.11)
(133,407.35)
COM
05/13/14
05/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
29.640
0.255
(7.558.20)
(140,965.55)
COM
05/15/14
05/16/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
600
1.30
(78.344.40)
(219,309.95)
05/15/14
05/16/14 Margin
Buy - Securities Purchased
NAT Jan 17 15 8.0 C TO OPEN
Commission 330.00
Regulatory Fee 14.40
RADNET INC.
37
1.95
(7,270.89)
(226,580.84)
05/15/14
05/16/14 Margin
Buy - Securities Purchased
RDNT Dec 20 14 5.0 C TO OPEN
Commission 55.00
Regulatory Fee 0.89
RADNET INC.
33
1.94
(6.402.80)
(232.983.64)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.80
page 17 of 42
CONFIDENTIAL
SDNY_GM_00011527
EFTA_00 I 22 I 78
EFTA01267657
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/15/14
05/16/14 Margin
Buy - Securities Purchased
RADNET INC.
3
1.93
(579.08)
(231562.72)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.08
05/15/14
05/16/14 Margin
Buy - Securities Purchased
RADNET INC.
3
1.92
(576.08)
(234,138.80)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.08
05/15/14
05/16/14 Margin
Buy - Securities Purchased
RADNET INC.
24
1.91
(4.584.58)
(238,723.38)
RDNT Dec 20 14 5.0 C TO OPEN
Regulatory Fee 0.58
05/15/14
05/16/14 Margin
Buy - Securities Purchased
BUCKLE INC
91
1.20
(10.972.24)
(249,695.62)
BKE Jun 21 14 46.3 P TO OPEN
Commission 50.05
Regulatory Fee 2.19
05/15/14
05/16/14 Margin
Buy - Securities Purchased
RADNET INC.
150
0.65
(9.836.10)
(259,531.72)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
05/15/14
05/16/14 Margin
Buy - Securities Purchased
RADNET INC.
100
1.90
(19.057.40)
(278,589.12)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/15/14
05/16/14 Margin
Buy - Securities Purchased
BEAZER HOMES USA INC
50
1.95
(9.778.70)
(288,367.82)
BZH Jan 17 15 20.0C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/15/14
05/16/14 Margin
Buy - Securities Purchased
BUCKLE INC
109
1.15
(12.597.57)
(300,965.39)
BKE Jun 21 14 46.3 P TO OPEN
Commission 59.95
Regulatory Fee 2.62
05/16/14
05/16/14 Margin
Joumal - Other
REDEMPTION FDIC INSURED
0.00
438.512.28
137,546.89
DEPOSIT ACCOUNT
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.500
5.95
(8.925.00)
128,621.89
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
6.890
1.7499
(12.056.81)
116,565.08
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
20.000
0.49
(9.800.00)
106,765.08
COM
page 18 of 42
CONFIDENTIAL
SDNY_GM_00011528
EFTA 00122179
EFTA01267658
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/14/14
05/19/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
GOWN
6.000
4.11
(24.660.00)
82.105.08
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.000
5.899
(5.899.00)
76,206.08
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.800
0.75
(1.350.00)
74,856.08
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.500
5.85
(8.775.00)
66.081.08
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
2.500
1.30
(3.250.00)
62,831.08
WARRANT EXP 11/18:2018
05/14/14
05/19/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.000
4.14
(4.140.00)
58.691.08
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
5.000
4.0899
(20.449.50)
38,241.58
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
7.000
0.26
(1.820.00)
36.421.58
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
7.600
0.6901
(5.244.68)
31.176.90
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.400
0.6901
(966.07)
30210.83
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
25.000
0.475
(11.875.00)
18.335.83
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
9.100
3.6899
(33.578.09)
(15.242.26)
INC
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
30.000
0.47
(14.100.00)
(29,342.26)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
100
3.25
(325.00)
(29,667.26)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.700
3.249
(5.523.30)
(35,190.56)
COM
05/14/4
05/19/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
19.401
3.23
(62.665.23)
(97,855.79)
COM
05/4/4
05/19/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
300
3.229
(968.70)
(98,824.49)
COM
page 19 of 42
CONFIDENTIAL
SDNY_GM_00011529
EFTA_001.22I80
EFTA01267659
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
99
3.227
(319.47)
(99.143.96)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
200
3.225
(645.00)
(99,788.96)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
5.000
4.09
(20.450.00)
(120,238.96)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
10.000
0.651
(6.510.00)
(126,748.96)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
12.000
0.65
(7.800.00)
(134,548.96)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
30.000
0.466
(13.980.00)
(148,528.96)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
650
5.85
(3.802.50)
(152.331.46)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
8.900
3.73
(33.197.00)
(185,528.46)
INC
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
5.400
3.64
(19.656.00)
(205,184.46)
INC
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
500
3.6399
(1.819.95)
(207,004.41)
INC
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
10,000
0.615
(6.150.00)
(213,154.41)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
5.000
3.1699
(15.849.50)
(229,003.91)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.200
5.81
(6.97200)
(235,975.91)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
3.975
0.54
(2.146.50)
(238,122.41)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
4.200
1.20
(5.040.00)
(243,162.41)
WARRANT EXP 11/18:2018
05/14/14
05/19/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
20.000
0.47
(9.400.00)
(252,562.41)
COM
05/14/14
05/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
850
5.79
(4.921.50)
(257,483.91)
COM
page 20 o142
CONFIDENTIAL
SDNY_GM_00011530
EFTA 00122181
EFTA01267660
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity'
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/14/14
05/19/14
Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
1.100
3.61
(3.971.00)
(261.454.91)
INC
COM
05/14/14
05/19/14
Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
3.000
0.26
(780.00)
(262,234.91)
COM
05/14/14
05/19/14
Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
900
3.23
(2.907.00)
(265,141.91)
COM
05/16/14
05/19/14
Margin
Buy - Securities Purchased
RADNET INC.
75
0.65
(4.918.05)
(270,059.96)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/19/14
05/19/14
Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
270.059.96
0.00
DEPOSIT ACCOUNT
05/15/14
05/20/14
Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
6.500
4.87
(31.655.00)
(31,655.00)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
1.000
4.85
(4.850.00)
(36.505.00)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
MODUSLINK GLOBAL SOLUTIONS MLNK
5.000
3.5199
(17.599.50)
(54,104.50)
INC
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
OCLARO INC
OCLR
10.000
1.86
(18.600.00)
(72.704.50)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
4.500
3.98
(17.910.00)
(90,614.50)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
3.400
4.6299
(15.741.66)
(106,356.16)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
4.500
3.92
(17.640.00)
(123,996.16)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
6.544
26.21
(171.518.24)
(295,514.40)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
956
26.1899
(25.037.54)
(320,551.94)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
2.500
26.07
(65.175.00)
(385,726.94)
COM
05/15/14
05/20/14
Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
8.038
0.6229
(5.006.86)
(390,733.80)
COM
page 21 of 42
CONFIDENTIAL
SDNY_GM_00011531
EFTA_G0 I 22 I 82
EFTA01267661
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/15/14
05/20/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
25.000
0.466
(11.650.00)
(402.383.80)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
2.500
4.00
(10.000.00)
(412.383.80)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
2.000
3.9999
(7.999.80)
(420,383.60)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.500
3.2299
(4.844.85)
(425,228.45)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
3.000
3.87
(11.610.00)
(436,838.45)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
1.200
25.90
(31.080.00)
(467,918.45)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
4.900
0.6649
(3.258.01)
(471,176.46)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
100
0.6648
(66.48)
(471,242.94)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
3.500
4.7999
(16.799.65)
(488,042.59)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.200
5.3199
(6.383.88)
(494,426.47)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.100
4.01
(4.411.00)
(498,837.47)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
2.500
3.21
(8.025.00)
(506,862.47)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
1.200
4.8499
(5.819.88)
(512.682.35)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
4.1799
(835.98)
(513,518.33)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
4.390
0.6563
(2.881.11)
(516,399.44)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
282
4.44
(1.252.08)
(517,651.52)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
600
3.16
(1,896.00)
(519,547.52)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
2.500
0.26
(650.00)
(520,197.52)
COM
page 22 o142
CONFIDENTIAL
SDNY_GM_00011532
EFTA 00122183
EFTA01267662
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/15/14
05/20/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TWO
347
3.97
(1.377.59)
(521.575.11)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
240
0.83
(199.20)
(521,774.31)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
10.200
0.44
(4.488.00)
(526,262.31)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
30.700
0.28
(8.596.00)
(534,858.31)
COM
05/15/14
05/20/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
3.000
0.45
(1.350.00)
(536,208.31)
COM
05/19/ 4
05/20/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
100
1.00
(10.057.40)
(546,265.71)
GPRE Jun 21 14 30.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4
05/20/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
100
0.90
(9.057.40)
(555,323.11)
GPRE Jun 21 14 30.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4
05/20/14 Margin
Buy - Securities Purchased
BEST BUY CO INC
100
1.60
(16.057.40)
(571,380.51)
BBY Jun 21 14 25.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4
05/20/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
50
3.25
(16.278.70)
(587,659.21)
SHLD Jun 21 14 39.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/19/4
05/20/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
100
1.35
(13.557.40)
(601,216.61)
ARO Jan 17 15 3.5 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4
05/20/14 Margin
Buy - Securities Purchased
BON-TON STORES INC
100
0.40
(4.057.40)
(605,274.01)
BONT Jul 19 14 9.0 P TO OPEN
Commission 55.00
Regulatory Fee 2.40
05/19/4
05/20/14 Margin
Buy - Securities Purchased
BUCKLE INC
50
0.95
(4.778.70)
(610,052.71)
BKE Jun 21 14 46.3 P TO OPEN
Commission 27.50
Regulatory Fee 1.20
page 23 o142
CONFIDENTIAL
SDNY_GM_00011533
EFTA 00122184
EFTA01267663
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
05/20/14
05/20/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
610.052.71
0.00
DEPOSIT ACCOUNT
05/16/14
05/21/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
1.800
25.85
(46.530.00)
(46,530.00)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.390
5.67
(7.881.30)
(54.411.30)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
AOL INC
AOL
1.880
36.58
(68.770.40)
(123,181.70)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
AOL INC
AOL
1.820
36.5799
(66.575.42)
(189,757.12)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
AOL INC
AOL
1.700
36.5749
(62.177.33)
(251,934.45)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
AOL INC
AOL
1.200
36.5699
(43.883.88)
(295,818.33)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
AOL INC
AOL
900
36.56
(32.904.00)
(328,722.33)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
AOL INC
AOL
1.500
36.02
(54.030.00)
(382.752.33)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
20.000
0.31
(6.200.00)
(388,952.33)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
12.000
0.682
(8.184.00)
(397,136.33)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
3.588
3.95
(14.172.60)
(411,308.93)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.300
1.3996
(1.819.48)
(413,128.41)
WARRANT EXP 11/18:2018
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
15.000
0.31
(4.650.00)
(417,778.41)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.500
6.15
(9.225.00)
(427,003.41)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
2.500
3.999
(9.997.50)
(437,000.91)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.000
6.09
(6.090.00)
(443,090.91)
COM
page 24 o142
CONFIDENTIAL
SDNY_GM_00011534
EFTA_001 22 I 85
EFTA01267664
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/16/14
05/21/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
10.000
1.01
(10.100.00)
(453,190.91)
COMMUNICATIONS
COM
05/6/14
05/21/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.500
5.98
(8.970.00)
(462.160.91)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
3.287
0.83
(2.728.21)
(464,889.12)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
300
3.29
(987.00)
(465,876.12)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.100
3.289
(3.617.90)
(469,494.02)
COM
05/16/14
05/21/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
3.700
3.98
(14.726.00)
(484,220.02)
COM
05/20/14
05/21/14 Margin
Buy - Securities Purchased
ITT EDUCATIONAL SERVICES INC
75
2.00
(15.043.05)
(499,263.07)
ESI Jun 21 14 25.0 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/20/14
05/21/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
50
1.45
(7.278.70)
(506.541.77)
ARO Jan 17 15 3.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/21/14
05/21/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
506541.77
0.00
DEPOSIT ACCOUNT
05/19/14
05/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
2.000
1.8399
(3.679.80)
(3,679.80)
WARRANT EXP 11/18:2018
05/19/14
05/22/14 Margin
Buy - Securities Purchased
INTERCLOUD SYSTEMS INC
ICLD
1.018
4.819
(4.905.74)
(8,585.54)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
COWN
1.500
3.8999
(5.849.85)
(14,435.39)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
1.000
27.77
(27.770.00)
(42.205.39)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
8.000
0.735
(5.880.00)
(48,085.39)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
3.500
3.96
(13.860.00)
(61,945.39)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
8.000
0.732
(5.856.00)
(67,801.39)
COM
page 25 o142
CONFIDENTIAL
SDNY_GM_00011535
EFTA 00122186
EFTA01267665
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
05/19/14
05/22/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
10.000
0.981
(9.810.00)
(77,611.39)
COMMUNICATIONS
COM
05/19/4
05/22/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.600
3.48
(5.568.00)
(83,179.39)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
15.000
0.445
(6.675.00)
(89,854.39)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
AOL INC
AOL
300
36.839
(11.051.70)
(100,906.09)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
AOL INC
AOL
700
36.835
(25.784.50)
(126,690.59)
COM
05/19/14
05/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
600
6.8996
(4.139.76)
(130,830.35)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
8.100
1.89
(15.309.00)
(146,139.35)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
1.900
1.8899
(3.590.81)
(149,730.16)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
28.600
0.27
(7.722.00)
(157,452.16)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
6.58
(658.00)
(158,110.16)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
2.400
1.89
(4.536.00)
(162.646.16)
WARRANT EXP 11/18:2018
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.000
3.85
(3.850.00)
(166,496.16)
COM
05/19/ 4
05/22/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.91
(391.00)
(166,887.16)
COM
05/21/14
05/22/14 Margin
Buy - Securities Purchased
RADNET INC.
50
0.70
(3.528.70)
(170,415.86)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/21/14
05/22/14 Margin
Buy - Securities Purchased
BUCKLE INC
100
0.75
(7.557.40)
(177,973.26)
BKE Jun 21 14 46.3 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
page 26 o142
CONFIDENTIAL
SDNY_GM_00011536
EFTA 00122187
EFTA01267666
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/21714
05/22/14 Margin
Sell - Securities Sold
BUCKLE INC
4-
2.23
864.38
(177,108.88)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 0.12
05/21/14
05/22/14 Margin
Sell - Securities Sold
BUCKLE INC
1-
2.22
221.96
(176,886.92)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 0.04
05/21/14
05/22/14 Margin
Sell - Securities Sold
BUCKLE INC
45-
2.21
9.943.70
(166,943.22)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 1.30
05/21/14
05/22/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
15
1.84
(2.768.61)
(169,711.83)
SHLD Jun 21 14 39.0 C TO OPEN
Commission 8.25
Regulatory Fee 0.36
05/21/14
05/22/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
50
1.40
(7,028.70)
(176,740.53)
QTWW Jul 19 14 3.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/21/14
05/22/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
50
1.35
(6.778.70)
(183,519.23)
ARO Jan 17 15 3.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
05/22/14
05/22/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
183319.23
0.00
DEPOSIT ACCOUNT
05/20/14
05/23/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
19,000
0.6801
(12.921.90)
(12.921.90)
COM
05/20/14
05/23/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
15.000
0.23
(3.450.00)
(16,371.90)
COM
05/20/ 4
05/23/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.445
3.87
(5.592.15)
(21,964.05)
COM
05/22/14
05/23/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
-
75
3.30
(24.793.05)
(46,757.10)
UEPS Jan 17 15 8.0C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/22/14
05/23/14 Margin
Sell - Securities Sold
BUCKLE INC
5-
1.98
962.35
(45,794.75)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 0.15
page 27 o142
CONFIDENTIAL
SDNY_GM_00011537
EFTA _00122I88
EFTA01267667
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/22/14
05/23/14 Margin
Sell - Securities Sold
BUCKLE INC
1-
1.96
195.96
(45.598.79)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 0.04
05/22/14
05/23/14 Margin
Sell - Securities Sold
BUCKLE INC
44-
1.95
8.578.75
(37,020.04)
BKE Jun 21 14 46.3 P TO CLOSE
Regulatory Fee 1.25
05/22/14
05/23/14 Margin
Buy - Securities Purchased
ITT EDUCATIONAL SERVICES INC
-
25
0.56
(1.414.35)
(38,434.39)
ESI Jun 21 14 25.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
05/22/14
05/23/14 Margin
Sell - Securities Sold
BUCKLE INC
50-
1.40
6.971.14
(31,463.25)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 1.36
05/22/14
05/23/14 Margin
Buy - Securities Purchased
SONY CORP
75
0.85
(6.418.05)
(37,881.30)
SNE Oct 18 14 17.0 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
05/22/14
05/23/14 Margin
Sell - Securities Sold
BUCKLE INC
50-
1.40
6,971.14
(30,910.16)
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 1.36
05/23/14
05/23/14 Margin
Joumal - Other
REDEMPTION FDIC INSURED
0.00
30.910.16
0.00
DEPOSIT ACCOUNT
05/21/14
05/27/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
10,000
1.85
(18.500.00)
(18,500.00)
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.300
6.55
(8.515.00)
(27,015.00)
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.600
1.80
(2.880.00)
(29,895.00)
WARRANT EXP 11/18:2018
05/21/14
05/27/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
12,900
0.685
(8.836.50)
(38,731.50)
COM
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
100-
27.781
2/78.03
(35,953.47)
COM
Regulatory Fee 0.07
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
900-
27.78
25.001.44
(10,952.03)
COM
Regulatory Fee 0.56
page 28 o142
CONFIDENTIAL
SDNY_GM_00011538
EFTA 00122189
EFTA01267668
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
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
27.831
27.830.38
1637835
COM
Regulatory Fee 0.62
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
27.91
27.909.38
44.787/3
COM
Regulatory Fee 0.62
05/21/14
05/27/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
4.500
0.93
(4.184.96)
40.602.77
COMMUNICATIONS
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
4.500
0.9307
(4.187.93)
36.41434
COMMUNICATIONS
COM
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
27.9501
27.949.48
64364.32
COM
Regulatory Fee 0.62
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.200
6.41
(7.692.00)
56.67232
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.300
6.40
(8.320.00)
48.35232
COM
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
800-
28.021
22.416.30
70.768.62
COM
Regulatory Fee 0.50
05/21/14
05/27/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
200-
28.02
5.603.87
76.372.49
COM
Regulatory Fee 0.13
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.200
6.1999
(7.439.88)
68.93231
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
2.000
10.47
(20.940.00)
47.99231
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
300
10.4699
(3.140.97)
44.85134
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
400
0.425
(170.00)
44.68134
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
317
0.89
(282.13)
44.39951
COMMUNICATIONS
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
3.650
0.26
(949.00)
43.45051
COM
page 29 of 42
CONFIDENTIAL
SDNY_GM_00011539
EFTA 00122190
EFTA01267669
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
470
3.48
(1.635.60)
41.814.91
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
2.300
10.42
(23.966.00)
17.848.91
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
600
10.419
(6.251.40)
11,597.51
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
400
0.927
(370.80)
11,226.71
COMMUNICATIONS
COM
05/21/14
05/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
6.15
(1.230.00)
9.996/1
05/23/14
05/27/14 Margin
Sell - Securities Sold
COM
BUCKLE INC
50-
1.60
7,971.12
17.967.83
05/23/14
05/27/14 Margin
Buy - Securities Purchased
BKE Jun 21 14 46.3 P TO CLOSE
Commission 27.50
Regulatory Fee 1.38
NET 1 UEPS TECHNOLOGIES INC
25
3.40
(8,514.35)
9.453.48
05/23/14
05/27/14 Margin
Buy - Securities Purchased
UEPS Jan 17 15 8.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
BUCKLE INC
100
0.65
(6.557.40)
2.896.08
05/23/14
05/27/14 Margin
Buy - Securities Purchased
BKE Jun 21 14 46.3 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
AOL INC
131
2.43
(31.918.65)
(29,022.57)
05/23/14
05/27/14 Margin
Buy - Securities Purchased
AOL Jul 19 14 36.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.15
AOL INC
19
2.42
(4.598.46)
(33,621.03)
05/23/14
05/27/14 Margin
Buy - Securities Purchased
AOL Jul 19 14 36.0 C TO OPEN
Regulatory Fee 0.46
SEARS HOLDING CORP
25
1.31
(3.289.35)
(36,910.38)
05/23/14
05/27/14 Margin
Buy - Securities Purchased
SHLD Jun 21 14 39.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
GREEN PLAINS INC
100
4.00
(40.057.40)
(76.967.78)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
page 30 0142
CONFIDENTIAL
SDNY_GM_00011540
EFTA_00 I 22 I 9 I
EFTA01267670
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/23/14
05/27/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
-
133
2.71
(36.128.70)
(113,096.48)
APOL Jul 19 14 26.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.20
05/23/14
05/27/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
7
2.70
(1.890.17)
(114,986.65)
APOL Jul 19 14 26.0 C TO OPEN
Regulatory Fee 0.17
05/23/14
05/27/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
10
2.69
(2.690.24)
(117,676.89)
APOL Jul 19 14 26.0 C TO OPEN
Regulatory Fee 0.24
05/23/14
05/27/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
20
3.60
(7.211.48)
(124,888.37)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
05/23/14
05/27/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
30
3.50
(10.517.22)
(135,405.59)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 16.50
Regulatory Fee 0.72
05/27/14
05/27/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
68.050.61
(67,354.98)
DEPOSIT ACCOUNT
05/27/14
05/27/14 Margin
Div/Int - Other
FDIC INSURED DEPOSIT
MMDA1
0.00
4.41
(67,350.57)
ACCOUNT
IDA01 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 0513112014
Insured Deposit Accoun 0.71
05/22/14
05/28/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.500
3.73
(5.595.00)
(72.945.57)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.000
3.45
(3.450.00)
(76,395.57)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
30
3.44
(103.20)
(76,498.77)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
1.500
10.6896
(16.034.40)
(92.533.17)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
1.57
(1.570.00)
(94,103.17)
WARRANT EXP 11/18:2018
page 31 o142
CONFIDENTIAL
SDNY_GM_00011541
EFTA_00 I 22192
EFTA01267671
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/22/14
0528/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
11.000
0.9206
(10,126.60)
(104,229.77)
COMMUNICATIONS
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
24.997
0.25
(6.249.25)
(110,479.02)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
200
10.62
(2.124.00)
(112,603.02)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
106
10.6199
(1.125.71)
(113,728.73)
COM
05/22/14
05/28/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
HSOL
14.106
2.36
(33.290.16)
(147,018.89)
ADS
05/22/14
05/28/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
HSOL
500
2.355
(1.177.50)
(148,196.39)
05/27/14
05/28/14 Margin
Buy - Securities Purchased
ADS
AEROPOSTALE INC
250
1.05
(26.393.50)
(174,589.89)
ARO Jul 19 14 3.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
05/23/14
05/29/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
2.500
3.449
(8.622.50)
(183.212.39)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
2.500
3.58
(8.950.00)
(192,162.39)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.200
1.78
(2.136.00)
(194,298.39)
WARRANT EXP 11/18.2018
05/23/14
05/29/14 Margin
Buy - Securities Purchased
TFiANSGENOMIC INC
TBIO
700
3.80
(2.660.00)
(196.958.39)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.919
(783.80)
(197.742.19)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
994
11.0496
(10.983.30)
(208.725.49)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
1.000
11.02
(11.020.00)
(219.745.49)
COM
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
1.000-
36.961
36.960.18
(182,785.31)
COM
Regulatory Fee 0.82
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
700-
36.981
25.886.12
(156.899.19)
COM
Regulatory Fee 0.58
page 32 o142
CONFIDENTIAL
SDNY_GM_00011542
EFTA 00122193
EFTA01267672
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
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
300-
36.98
11.093.75
(145.805.44)
COM
Regulatory Fee 0.25
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
1.000-
37.0501
37.049.28
(108,756.16)
COM
Regulatory Fee 0.82
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
9-
37.17
334.52
(108,421.64)
COM
Regulatory Fee 0.01
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
100-
37.163
3.716.21
(104,705.43)
COM
Regulatory Fee 0.09
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
891-
37.161
33.109.71
(71,595.72)
COM
Regulatory Fee 0.74
05/23/14
05/29/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
1.500
10.92
(16.380.00)
(87,975.72)
COM
05/23/14
05/29/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
28.0004
27.999.78
(59,975.94)
COM
Regulatory Fee 0.62
05/23/14
05/29/14 Margin
Buy - Securities Purchased
TFiANSGENOMIC INC
TBIO
1.500
3.9199
(5.879.85)
(65,855.79)
COM
05/23/14
05/29/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
28.021
28.020.38
(37,835.41)
COM
Regulatory Fee 0.62
05/23/14
05/29/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.052
3.5299
(3.713.45)
(41,548.86)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
11.853
0.69
(8.178.57)
(49.727.43)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
800
0.689
(551.20)
(50.278.63)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
624
0.6888
(429.81)
(50.708.44)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
4
0.6887
(2.75)
(50.711.19)
COM
05/23/14
05/29/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
100-
28.10
2.809.93
(47,901.26)
COM
Regulatory Fee 0.07
page 33 o142
CONFIDENTIAL
SDNY_GM_00011543
EFTA 00122194
EFTA01267673
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/23/14
05/29/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
900-
28.091
25.281.34
(22.619.92)
COM
Regulatory Fee 0.56
05/23/14
05/29/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
HSOL
5.400
2.2899
(12.365.46)
(34,985.38)
ADS
05/23/14
05/29/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC UEPS
1.500
11.11
(16.665.00)
(51,650.38)
COM
05/23/14
05/29/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
700-
28.205
19743.06
(31,907.32)
COM
Regulatory Fee 0.44
05/23/14
05/29/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
300-
28.2004
8.459.93
(23,447.39)
COM
Regulatory Fee 0.19
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
1.000-
37.1501
37.149.27
13.701.88
COM
Regulatory Fee 0.83
05/23/14
05/29/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
ARO
10.000
3.45
(34.500.00)
(20,798.12)
COM
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
15-
37.1501
557.23
(20,240.89)
COM
Regulatory Fee 0.02
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
100-
37.155
3715.41
(16,525.48)
COM
Regulatory Fee 0.09
05/23/14
05/29/14 Margin
Sell - Securities Sold
AOL INC
AOL
1.400-
37.15
52.008.85
35.483.37
COM
Regulatory Fee 1.15
05/23/14
05/29/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
ARO
14.515
3.45
(50.076.75)
(14,593.38)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
ARO
400
3.445
(1.378.00)
(15,971.38)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
ARO
85
3.4401
(292.41)
(16,263.79)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
204
0.6786
(138.43)
(16,402.22)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
200
0.679
(135.80)
(16,538.02)
COM
page 34 o142
CONFIDENTIAL
SDNY_GM_00011544
EFTA 00122195
EFTA01267674
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
103
0.6788
(69.92)
(16,607.94)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
1.212
0.6787
(822.58)
(17.430.52)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
968
0.875
(847.00)
(18277.52)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
400
3.51
(1.404.00)
(19,681.52)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
48
3.5099
(168.48)
(19,850.00)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.174
1.81
(2.124.94)
(21.974.94)
COM
05/23/14
05/29/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
585
3.82
(2.234.70)
(24.209.64)
05/28/14
05/29/14 Margin
Buy - Securities Purchased
COM
GREEN PLAINS INC
50
3.80
(19.028.70)
(43238.34)
05/28/14
05/29/14 Margin
Buy - Securities Purchased
GPRE Jul 19 14 25.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
FUELCELL ENERGY INC
25
1.45
(3.639.35)
(46,877.69)
05/28/14
05/29/14 Margin
Buy - Securities Purchased
FCEL Oct 18 14 1.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
FUELCELL ENERGY INC
200
0.30
(6.114.80)
(52.992.49)
05/28/4
05/29/14 Margin
Buy - Securities Purchased
FCEL Jul 19 14 2.5 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
SEARS HOLDING CORP
50
2.36
(11.828.70)
(64,821.19)
05/28/14
05/29/14 Margin
Buy - Securities Purchased
SHLD Jul 19 14 38.0 C TO OPEN
Commission 2750
Regulatory Fee 1.20
FUELCELL ENERGY INC
75
0.30
(2.293.05)
(67,114.24)
05/28/14
05/29/14 Margin
Buy - Securities Purchased
FCEL Jul 19 14 2.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
CORINTHIAN COLLEGES INC
97
0.15
(1.510.68)
(68,624.92)
COCO Nov 22 141.0 C TO OPEN
Commission 53.35
Regulatory Fee 2.33
page 35 o142
CONFIDENTIAL
SDNY_GM_00011545
EFTA 00122196
EFTA01267675
Statement for Account # 867-730320
05/01/14 - 05/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/27/14
05/30/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.100
6.89
(7.579.00)
(76.203.92)
COM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
500
7.02
(3.510.00)
(79,713.92)
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
5.400
0.8898
(4.804.92)
(84,518.84)
COMMUNICATIONS
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
11
0.8893
(9.78)
(84,528.62)
COMMUNICATIONS
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
89
0.8856
(78.82)
(84,607.44)
COMMUNICATIONS
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
3.783
0.8879
(3.358.93)
(87.966.37)
COMMUNICATIONS
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.100
2.13
(2.343.00)
(90,309.37)
WARRANT EXP 11/18/2018
05/27/14
05/30/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
10.000
2.77
(27.700.00)
(118,009.37)
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
12.000
0.88
(10.560.00)
(128,569.37)
COMMUNICATIONS
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
13.000
0.28
(3.640.00)
(132.209.37)
CAM
05/27/14
05/30/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
111-
3.945
437.89
(131,771.48)
CAM
Regulatory Fee 0.01
05/27/14
05/30/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
200-
3.941
788.18
(130,983.30)
CAM
Regulatory Fee 0.02
05/27/14
05/30/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
18.259-
3.94
71.938.87
(59,044.43)
CAM
Regulatory Fee 1.59
05/27/14
05/30/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
7.1799
(717.99)
(59,762.42)
CAM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
690
1.8399
(1.269.53)
(61,031.95)
COM
page 36 of 42
CONFIDENTIAL
SDNY_GM_00011546
EFTA_00 I 22 I97
EFTA01267676
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
05/27/14
05/30/14 Margin
Buy • Securities Purchased
LANTRONIX INC
LT RX
200
1.8599
(371.98)
(61.403.93)
COM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.100
3.85
(4,235.00)
(65,638.93)
COM
05/27/14
05/30/14 Margin
Buy - Securities Purchased
HELM WIRELESS CORP.
RWC
100
3.38
(338.00)
(65,976.93)
COM
05/27/14
05/30/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
6.430-
3.97
25,526.53
(40,450.40)
COM
Regulatory Fee 0.57
05/27/14
05/30/14 Margin
Buy Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.90
(390.00)
(40,840.40)
COM
05/30/14
05/30/14 Margin
Div/Int - Expense
MARGIN INTEREST CHARGE
0.00
(82.78)
(40,923.18)
Payable: 05/30/2014
05/30/14
05/30/14 Margin
Div/Int - Income
INTEREST CREDIT
0.00
1.63
(40,921.55)
Payable: 05/30/2014
Closing Balance
($40,921.55)
'For Cash Actwrly totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit/Ex .ense
Begin
Margin
Credit
Number
Interest
Interest
Interest
Date
Balance
Balance
of Days
Rate
Debited
Credited
05/12/14
$ •
$ 4,000,600.00
1
0.01
$ 1.09
05/13/14
225,607.39
1
0.01
0.06
05/14/14
706,406.49
1
0.01
0.19
05/15/14
650,672.67
1
0.01
0.18
05/16/14
137,546.89
3
0.01
0.11
05/27/14
(67,350.57)
1
7.50
14.03
05/28/14
(174,589.89)
1
7.25
35.16
05/29/14
(68,624.92)
1
7.50
14.30
05/30/14
(40,840.40)
2
8.50
19.29
Total Interest Income/(Expense)
$82.78
$1.63
Insured De•osit Account Interest Credited
Begin
Number
Interest
Interest
MTD
MTD
Date
Balance
of Days
Rate
Accrued
Accrued
PAID
05/13/14
$ 3,586,052.90
1
0.0100
$ 0.98
$ 0.98
$ -
05/14/14
2,555,603.85
1
0.0100
0.70
1.68
05/15/14
2,107,646.72
1
0.0100
0.58
2.26
page 37 of 42
CONFIDENTIAL
SDNY_Gm_00011547
EFTA_00122198
EFTA01267677
Statement for Account # 867-730320
05/01/14 - 05/31/14
Insured Deposit Account Interest Credited
Begin
Date
Balance
Number
Interest
of Days
Rate
Interest
Accrued
MTD
Accrued
MTD
PAID
05/16/14
05/19/14
05/20/14
05/21/14
05/22/14
05/23/14
Total interest
1,669,134.44
1,399,074.48
789,021.77
282,480.00
98,960.77
68,050.61
3
0.0100
1
0.0100
1
0.0100
1
0.0100
1
0.0100
4
0.0100
1.37
0.39
0.21
0.08
0.03
0.07
3.63
4.02
4.23
4.31
0.03
0.10
4.31
0.10
Income
$4.41
Trades Pending Settlement
Account
Symbol/
Trade
Settle
Investment Description
Type
CUSIP
Quantity
Price
Date
Date
Amount
BUY
TRANSGENOMIC INC
Margin
TBIO
470
$ 3.979
05/28/14
06/02/14
$ (1,870.13)
COM
BUY
GREEN PLAINS INC
Margin
GPRE
1.000
27.72
05/28/14
06102/14
(27,720.00)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBTW
1.000
2.089
05/28/14
06102/14
(2,089.00)
WARRANT EXP 11/18/2018
BUY
GREEN PLAINS INC
Margin
GPRE
1.000
27.46
05/28/14
06/02/14
(27,460.00)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBTW
700
2.0852
05/28/14
06/02/14
(1,459.64)
WARRANT EXP 11/18/2018
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
500
7.10
05/28/14
06/02/14
(3,550.00)
COM
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
4.000
3.5799
05/28/14
06/02/14
(14,319.60)
COM
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
100
3.575
05/28/14
06/02/14
(357.50)
COM
BUY
LANTRONIX INC
Margin
LTRX
7.000
1.90
05/28/14
06/02/14
(13,300.00)
COM
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
4.200
3.51
05/28/14
06/02/14
(14.742.00)
COM
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
500
3.509
05/28/14
06/02/14
(1,754.50)
COM
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
300
3.505
05/28/14
06/02/14
(1,051.50)
COM
page 38 o142
CONFIDENTIAL
SDNY_GM_00011548
EFTA 00122199
EFTA01267678
Statement for Account # 867-730320
05/01/14 - 05/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
SELL
GREEN PLAINS INC
Margin
GPRE
1.000-
28.2548
05/28114
06102/14
28,254.17
COM
SELL
GREEN PLAINS INC
Margin
GPRE
300-
28.395
05/28/14
06102/14
8,518.31
COM
SELL
GREEN PLAINS INC
Margin
GPRE
114-
28.39
05/28/14
06102/14
3,236.38
COM
SELL
GREEN PLAINS INC
Margin
GPRE
486-
28.381
05/28/14
06/02/14
13,792.86
COM
SELL
GREEN PLAINS INC
Margin
GPRE
100-
28.38
05/28/14
06102/14
2,837.93
COM
SELL
GREEN PLAINS INC
Margin
GPRE
1.500-
28.6301
05/28/14
06102/14
42,944.20
COM
BUY
ELEPHANT TALK
Margin
ETAK
1.000
0.8001
05/28/14
06102/14
(800.10)
COMMUNICATIONS
COM
BUY
ELEPHANT TALK
Margin
ETAK
7.000
0.80
05/28/14
06102/14
(5.600.00)
COMMUNICATIONS
COM
BUY
RAINMAKER SYSTEMS INC
Margin
RMKR
20.000
0.255
05/28/14
06102/14
(5.100.00)
COM
BUY
ELEPHANT TALK
Margin
ETAK
5,000
0.8026
05/28/14
06102/14
(4.012.95)
COMMUNICATIONS
COM
SELL
GREEN PLAINS INC
Margin
GPRE
1,000-
28.6601
05/28/14
06102/14
28.659.46
COM
SELL
AOL INC
Margin
AOL
1,000-
36.4012
05/28/14
06102/14
36,400.39
COM
BUY
LANTRONIX INC
Margin
LTRX
3,400
1.8999
05/28/14
06102/14
(6.459.66)
COM
SELL
GREEN PLAINS INC
Margin
GPRE
500-
28.7412
05/28/14
06102/14
14.370.28
COM
SELL
GREEN PLAINS INC
Margin
GPRE
200-
28.7301
05/28/14
06102/14
5.745.89
COM
page 39 o142
CONFIDENTIAL
SDNY_GM_00011549
EFTA_00122200
EFTA01267679
Statement for Account # 867-730320
05/01/14 - 05/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
BUY
LANTRONIX INC
Margin
LTRX
4.100
1.89
05/28/4
06102/14
(7.749.00)
COM
BUY
LANTRONIX INC
Margin
LTRX
594
1.90
05/28/14
06102/14
(1.128.60)
COM
BUY
LANTRONIX INC
Margin
LTRX
500
1.899
05/28/14
06102/14
(949.50)
SELL
COM
BEST BUY CO INC
Margin
91-
2.76
05/30/14
06/02/14
25.058.25
SELL
BBY Jun 21 14 25.0 C
BEST BUY CO INC
Margin
9-
2.75
05/30/14
06/02/14
2.474.72
BBY Jun 21 14 25.0 C
BUY
TRANSGENOMIC INC
Margin
TBIO
600
3.6899
05/30/14
06/04/14
(2.213.94)
COM
BUY
LANTRONIX INC
Margin
LTRX
1,500
1.9799
05/30/14
06/04/14
(2.969.85)
COM
BUY
LANTRONIX INC
Margin
LTRX
6,000
1.9752
05/30/14
06104/14
(11.851.20)
COM
BUY
ACCESS PHARMA INC
Margin
ACCP
2.011
0.42
05/30/14
06104/14
(844.62)
COM
BUY
RAINMAKER SYSTEMS INC
Margin
RMKR
34
0.22
05/30/14
06104/14
(7.48)
COM
BUY
ACCESS PHARMA INC
Margin
ACCP
3,000
0.41
05/30/14
06104/14
(1.230.00)
COM
page 40 01 42
CONFIDENTIAL
SDNY_GM_00011550
EFTA_OOI 22201
EFTA01267680
Statement for Account # 867-730320
05/01/14 - 05/31/14
Insured De • osit Account Activi
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
Opening Balance
$ 0.00
05/13/14
05/13/14
Received
FDIC INSURED DEPOSIT ACCOUNT
$ 247,500.00
247,500.00
IDA01 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/13/14
05/13/14
Received
FDIC INSURED DEPOSIT ACCOUNT
3,338,552.90
3,586,052.90
IDA01 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
05/14/14
05/14/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(1,030,449.05)
2.555.603.85
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/15/14
05/15/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(447,957.13)
2,107,646.72
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/16/14
05/16/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(438,512.28)
1,669,134.44
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/19/14
05/19/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(270,059.96)
1,399,074.48
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/20/14
05/20/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(610,052.71)
789.021.77
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/21/14
05/21/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(506,541.77)
282.480.00
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/22/14
05/22/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(34,980.00)
247.500.00
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/22/14
05/22/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(148,539.23)
98.960.77
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
page 41 of 42
CONFIDENTIAL
SDNY_GM_00011551
EFTA_00122202
EFTA01267681
Statement for Account # 867-730320
05/01/14 - 05/31/14
Insured Deposit Account Activity
Date
Cleared
05/23/14
05/23/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
05/27/14
05/27/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
IDA01 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
Check
Number
Date
Written
Transaction
Description
Tracking
Code
Expense
Code
Amount
(30,910.16)
(68,050.61)
Balance
68,050.61
0.00
Closing Balance
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage accoun are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection vocable to your brokerage account.
$ 0.00
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing. Inc. may be obtained at no cost. via the Internet at http:liwww.tdameritrade.corn,financialstatement.html on
or before June 13, 2014, or by contacting TO Ameritrade Clearing. Inc. at 1-800-237-8692. As of March 31, 2014, TD Ameritrade Clearing, Inc. had net capital and a net capital
requirement of $1.42 billion and $266.6 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the commission
in Washington DC and the Denver, CO office of the Commission.
page 42 of 42
CONFIDENTIAL
SDNY_GM_00011552
EFTA_00122203
EFTA01267682
1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE 8-3
ST THOMAS. VI 00802-1348
SDNY_GM_00011553
CONFIDENTIAL
EFTA01267683
Terms and Conditions
STATEMENT GUIDE
nr•:- wade prandes marbly Pordcao Fleeces for accounts with amity and quanerly reams
er vvcr,0 =courts rah assets..
SeConan Inverted' ProWHOA CapthiltOn rSIPC'). valth MIKIS wattles
CuerOMen el id fnernberti up to 3500000 tinflueing 3250.000 rot Clain la 010).
Explthatcry Oahu, le available on request al swalliPtide
Portfolio Summary: Tema. the Current value a yOtir pOnla0 65 Of the teeth dale and
caroves it to Ire VW MOnth.T The PPM altalien adcelee yOur panel* dIvereftelith by
.nvesimen tope
waled dlocalons under 5%stabe grouped into the Megan, 01 -Mee in the pie ChM. Margin
Eciuty - Told Account EituThITOISI LOng Magnate Value • Tidal Short Value)
Madly Summery: The opening and dosing cash balances aro reconcloo hue lot yea quick
reletence Al account activity issummarized lot the current paled and yea/go-dale
Additbnight. TO Amaral* provides each 0(0 $149.5 Wen oath 01 protases for
see-unties and S2 milton of protocan for cash through supthemonla coverage
provided by London imams. In the ovoid of a brokerage nsarency. a diem may
receive afriCtlete due from the meta in bankruptcy and then SIPC. Supplemersal
coverage is paid cis agar the troves and SPC payouts and under such coverage
each client n limited to a combined return of $152 widen Item a trustee. SIPC and
London nSurery. The TO same/bade supplemental coverage tea en ipgreda401Mll el
$500 billion Over al Cush:Men This poky provides coverage *leonine brokerage
insolvency and does not protect against loss In market value 01 the securities
Income a Expense Summery (noaMAs only): This section Maas the income and endnite
wan hem Mo Acouty Summary and eta:tilos the lax boatmen.
Robrernent Account Summary (IRAs orgy): Amore no IRS renuacd transactions for the
wren and potr years IRS Form 5498 lair mania( value is based on the curtain value as a
December 31 of the prenous year arelml to furnished tote Thema] Revenue Seam.
PeclormanosSummary:Monnor your annual portfolio porlormance and the unedited gains and
tostrestayOue *lure nreaneni sealenY.
ACCOunt Positions: Viewyaw Mahwah el the Current trend value and conthare the Original
cod to sea uvealcred gains and losses n your pentad Original cod is assigned using the
*slat first-out (FIFO) method idleh assumes the tint shwa yOu set are those >du parchased
first. The estimated immanent income2 and average cost per share ate displayed for your
relevance the odast purchase date is shown for an vacation of your baking pen*.
Account Salary: Al a:cotnt solidly is dead defiled. leled in Ode order, and reflected lithe
closing cash balance.
Trades Pending Stoneman!: Conlirrn yew euxund Wades nub a settlement date alter month
aid. Them transactions wit be tattooed nitro ArmOure Astray Section rat month.
Online Cash Services Transaction Detail: Cash management transactions that cleared during
tis maternal lCiaaltelll pond. ndudng chest debt card and ATM acuity. are listed in date
prim
Online Cash Santos Summery: Credit and drat transaction totals to the current statement
repedrg paned are summarized. Indmciad transactons are not listed.
Use to rounding aduStMente the statement MONS may not equal ad nelemeatoten
:Estimated Annual Income and Conned Annual Tleld values ate based upon the number of
stores Craned Or anal value Waned as ol the Madmen dale ad the meat fecal dividend
tale or cash mild emended
GENERAL INFORMATION
ID Amethrode does not porde legal Or la advid. Made Costa yaw legal !Wee, or lax
accountant when nxessary. As a standard inanity prance. acne comersatons may to
recorded lot gushy antra and InindrotiOn veafiGlol purthased
For ID Arnearade nsfilikOnal tient your advisor firm is Separele horn and not *Misled van
ID Amanrado. Inc. a TO Arnersrado Owing. Inc.. and oath I rm Is Mil response.° lot the
creams and same: cd the other.
Accuracyel Reports.", you find any errors or omissions in your account
MilIment you
should Immediately call us at the number hated on page one of
your statement You
should also contact our Martha firm. TO Arnentrado
Clearing. Inc. at 8004654900.
F108S0 !Sew tile statement Carertily II you drawee with an/ seneeden. Or it Male are any
was or on/snorts. plow natty a Client Seams temesentamo or your kcal birdie/fink as
eel es TO Arnatrode Clearing. Irc in with* MINn tee (10) days of Tea fedi% a this
statement. Any oral statements that you have made to us slued be confirmed in twang The
statement watt °Menne be considered COOCkght
Please natty us promptly of any charges in yea contact aloanabon. Transactions related on
yon report von be COnCkeively deemed MOSSO urea. you Maly
TO Amebae* immethetery.
Account Pt oteclion: Deposits held try 71)13ank. N A and TONS* USA. NA.. are inured by
the CDC (not covered by SIPCi up le $250.000. Limits aro per account owners/me per
irr.bluun. To learn more about FOC coverage go to vnwridcgov. Secuites. ircludrg
mutual funds. held in your Evoke/age Account are tel deposits or obloblIons ol. or
guaranteed by. any bank. are not FDIClnswed. and Invoke Investment ride. inducing
posstie Kea ol prhcpal. TO Amman* is a member 01 the
An inv./4MM in a money Mane( end 4 tel inland Cr guaranteed by the Festal
Deposit Insurance Corporation (FMC) or any Other government agency Mhough the
kinds seek to preserve the value of yew investment at 51 00 per share. II Is pessibb to
lose money by investing m a money market fund. Dividend: we declared Maly and
pakinenvested monthly. The prospectus certain, this and other impaired
inbrmalion. Road the prospectus carefully belore investing. Nenamesn investments
held by your broker-dealer are NOT FMC INSURED i NOT BANK GUARANTEED ;
MAY LOSE VALUE.
The Oaten°e in your bank depeell UM.' Or Shand 01 your money market mutual
kind can be Idultlated on yam' Order, and the p/0000)09 returned 10 yew SeCtrtheS
account or tanned to you.
Tax RoptinIng: The POMO* report Is not a tax document You wit resew Form 1099
Sae annual tax repot.® In COMplenCe wall IRS legulteriethIS lineludee Wale
interest, covoens. Capital ganS. Wee wthhad. OM Sales p/009008). Some
payments are SAKI tO reCiaThdetillen stleh w0 be relletled a
fulaSequent lax
resorts
Cost Basle: Costaatis. tax tot and performance reporting and OeinTheeDer are
offered and conducted by COI INCORPORATED. TD Afileitade to not responsble
or the relebllly Cr Sultablity a the infOrmatiOn TO Annerrnide and its Into
-matron
providers ilhordenr) 00 not guarantee the accuracy a the nimmelco and data
provided. COI INCORPORATED Is a 64Varate Company and IS not atideoed with
TO Arnerthade.
Margin end Options 'Meant Alife•Mente: Promptly advise TC)Amelleade In mane
of any change in your mandril oblectives or financul :dualism as they avian to
your Margo Or Options account agreements A fiurninfiry OleCMMISCOnS and VIVO'S
inane* wag the exeeugen a 006008 trainSeCtOnS IS throlbilDle.
Current Market Prices: The market values a SCrounlitiS have been Obtaltked. if
amiable, hem quotation services and other independent sources. Oahe: we based
on the closing price. the mean between the bd and askng prces. or other methods. K
no market value is amiable from a qumahon serene or other independent source, the
Urourtly s etbda 10 being Wetted 48 lath.PeCed (ear l. The valvalall On your
POM010 roped ale provided as general olormabon and we Mr not guarantee the
accuracy a any securnes arse* Mortgage backed positions are valued Wing the
remanne balance and the Current reader price. gorgolo report valuations may not
represent sales proceeds The secondary ;nand for CentiCateS 01 DePOPIS (CCU) lo
generally aqua and the actual value may be deferent hem the purchase price. A
signecars loss of primeval may result rem the sale °feel) pnor to maunty. Sends
anat.' Fixed Income Sautes trade datronlly than eerily scarifies arid do not trade
on a liquid exchange. Ramer, they trade in the OTC (over the counter) market and
stealers 'meaty may net coin for you to sell your position prior to mature,. The sale
of bards prior to inaturry may result in a loss of armed.
Non Standard Assets (NSA) are typicaly investments in area partionation program
saunlies fpartnershps. hided Wally companies, a real estate invest:nen trusts,.
cairn:dry pods. wale equity. Ovate dots a hedge Ands. NSAs are rypicaly
illepd investments and do not trade on a nacznal socunhes exchange a the Nasdaq
Stock Market. The values shown br those investments are estimated values domed
/nom venom methods. including. but not 'mead to. [dependent appraisals, the
program's net assets. ands mad party lender Otters that have been provided by the
management. admheaatOr, ander sponsor a each program. Or by a liddlaarry
vender waled independent vernsabon by TO AMMO* Values may net relied the
origins purithatie pace. actual market value Or be realized upon liquidation. II an
essmated value cannel be esiabished through these mettials. the valuation may be
reflected as Nonthrced
For addtional detail renaming valuation for
N
bPaeSytals.Cbo
aam.fwOstpprcq
not
AuttiOn Rate SeanItis ("ARS') Pricing: The morket values Ion ARS securities bare been
warned. e mulatto. from quamon sconcesor other relependcm sources. Tie accuncyd the
snag c ea guarical n a rocket mkt na "mask; TD Arneruale wit price to MSposition.
taro into consdera0a, both the ligualy and underlying etedi golly. The ARS market is
cunenth, °menacing a lack of lestaty and. as a result. mere can be no assurance that exit
Meanies can be sold under Curren market Conditions
REGULATORY DISCLOSURES
Al transactions are 'Wuxi to CO the cor sblution. roles. regulations. customs and usages d erg
...change or market and its dearneaduse. if any. On whits such thireactions ate execued: it
federal laws. ndudng to Saunas Act of 1533 ace the Stroud*: Exchange Act d 1934,
oath as amended to dam and in the future. and the nubs and regulations promulgated
thetender. end thi) the rules and ItmAltrescI FiMIA end the Fede el Reserve System
For an investor brochure that Mack intormation detretrng FINRAS Pudic Cuselasure
Program. pease contact FINRA at 800-289.9999 or HUmmittirea.org.
The interest rate shoran for TO Amerind° Cash* taken Iran the applcatle interest rate See tot
the Market Value balance n the TO Amaiyado Cash. as ol the statemem toting date. Simple
irteresI is mated dab/ toted on the )merest rate See epplbatry 10 Oath day's balance.
Anomie' Statement Notification: The statement 01 financial condition tor TO Amenuale e
avalablo twat a year and may to emoted at no cast. ma the interned at
Mlimmvaldersentede COnslintheWelatervienthal.
Allocation Method: In the event any 01 your securities are Caned Or assigned the Manta
wit be selected on an impartial. random basis.
Fret Credit Balances (Rule 16:3-2 8 3): under the pent protection nice. we may use tree
Credit balances n your trdOunt ii the Penury course of Our Wands which are Made to yOu
on darned.
Margin Aateunts (Regulation I):II you have a margin account. tas report u a conisnatin of
your margin BCC*" and a special memorandum meow Mating On Margin Mises tideland
eisks and is not bitable for all investors. A complete tat of the risks 16SOCelad well margin
tracing is avalatle in the maron rely disclosure *acumen. You may obtain a copy a INS
document by antatling us at thenumber 'sled on page One 01 your statement.
Payment for Order Flow (SEC Rules 606 and 607): in some cncumstances. TO Anetetatle
receives compensation lot drooling caftan Oventhecounter and 'sled moray rick floe to
selected markets. brokers or dealers (Mean CenterC). Condensation is in the Iona or a per
share cash payment. In ad.:loon. TO Amite:rade also may some compensator) related to the
foreign °agency euchringe cOmponent of transactions n drogn securities from Markel Calm
executive sigh yams. We post quarterly repels CMCKILI/9 the venues for order nixing
execution at smeldamertrade Can A eaten COPY is aialatte upon request
n is our poky. absent Pen orders to the contrary. to select brokers. deems. and market
makers tend on the °billy to prouder best euecution and the Theory of sedan ace
'roommatm market alas. Poe° rowan:foamis avertable over certain marled conditions.
and we regularly molter ituronon: to test for etch imp:comment d avalatle.
Trade Conarmetiona (Rule 100-10): All cordrmarons ere transmitted on the transearon dale.
Teat: Transadons in baron securities (indueing laden comPanY ADRs that Irade in the
U.S.) ray include hues and feescharged by the Werth makes or governments. vltch may
be Needed in the cup of the seventy or charged than MdePerettnt ine item
Privacy Porky Nolificetion: A Copy of the TO Amertrad? Privary POICY is available
vnsw.thamenradecorn
in Case 01 Errors a
0a3660n$ ALMA Yes Electronic Transfers TetephOne to el
1.200 669.39COor llMle us al P.O. box 2209. Omaha. NE 68103, as soon as you can. it you
thrk your statement a roOept is stone or 4 you need more interrelation abed a transfer On the
statement a NOMA We Mud hair from you to bier then 60days cuter vie sent you the FAST
statement on shishthe error or problem appeared.
(I) Ted us yOur nand end account numb.,
t2) Doan>, the error or the transfer you are unsure about. and explan as decoy as you can
why you beloved is an error or why you need rum inlormabon.
(3) Tell us the dam angora of the euspeeted error.
Wo came invests/ate your complaint and wit carat any error promptly. el we lake more man 10
business drys to do this. we wit mkt you account for the anieun you think b in error so that
you w11 have the use of the money donne tho tmo r takes tie to complete our inyestgaton.
SDNY_GM_00011554
OM ISO ibis
EFTA 00122205
EFTA01267684
1D Ameritrade
800-669-3900
TO AMERITRADE
DIVISION OF TO AMERITRADE INC
PO 80X 2209
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Statement Reporting Period:
06/01/14 - 06/30/14
Statement for Account # 867-730320
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE 8-3
ST THOMAS. VI 00802-1348
Portfolio Summa
Current
Prior
Period
Investment
Value
Value
Change
Change
Cash
($190.07)
($40,921.55)
$40,731.48
Insrd Dep Acct
5,059.03
5,059.03
Money Market
Short Balance
Stocks
2.528.880.07
2,714,051.10
(185,171.03)
(6.8)%
Short Stocks
•
Axed Income
Options
1,720,632.38
1,289,444.13
431,188.25
33.4%
Short Options
Mutual Funds
Other
120,984.00
146,600.00
(25,616.00)
(17.5)%
Total
$4,375,365.41
$4,109,173.68
$266,191.73
6.5%
Margin Equity
100.0%
Cash Activi Summar
Income & Ex r ense Summa
Opening Balance
Current
YTD
Income
Reportable
Non
Reportable
YTD
($40,921.55)
$
-
Securities Purchased
(1,655,281.11)
(6,331,481.72) Dividends
$200.00
S
-
$200.00
Securities Sold
1,701,061.62
2,335,817.42 Interest
1.63
Funds Deposited
4,000,600.00 Other
Funds Disbursed
Expense
Income
200.00
201.63 Interest
(190.07)
(272.85)
Expense
(190.07)
(272.85) Fees
Other
(5,058.96)
(5,054.55) Other
Closing Balance
($190.07)
($190.07) Net
$9.93
$0.00
($71.22)
Estimated
Income
Portfolio Allocation
$
Estimated
Yield
S 0.00
page 1 of 55
CONFIDENTIAL
0.01%
0.0%
Performance Summa
Cost Basis As Of - 06/30/14 "
$4,251,760.75
Unrealized Gains
545,081.91
Unrealized Losses
(426,346.21)
Funds Deposited/(Disbursed)YM
4,000,600.00
Income/(Expense)n°
(71.22)
Securities Received/(Delivered)"°
0.00
**For cost-basis Information. refer to www.tclametitracte.com
SDNY_GM_00011555
EFTA_00122206
EFTA01267685
Statement for Account # 867-730320
06,01/14 - 06/30/14
Online Cash Services Summary
Description
CREDITS
Electronic Transfer
Subtotal
TOTAL
Current
s -
0.00
Year To Date
$ 4,000,000.00
4,000,000.00
0.00
4,000,000.00
Income Summary Detail'
Description
Interest Income Credit Balance
Margin Interest Charged
Qualified Dividends
IDA Interest
Current
$ 0.00
(190.07)
200.00
0.07
Year to Date
$ 1.63
(272.85)
200.00
4.48
'This section displays current and year to date taxation values lor tt, 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 corrections
can include changes made to previous payments and removal of payments reportable In a provisos tax year (spillover diands). 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
255.000
$ 0.295
$ 75,225.00
05/12/14
$ 113.056.99
$ 0.44
$ (37,831.99)
$ -
COM
ATHERONOVA INC
AHRO
5.014
1.85
9.275.90
05/27/14
11.779.93
2.35
(2.504.03)
COM
COWEN GROUP INC
COWN
48.200
4.22
203.404.00
05/13/14
196.548.35
4.08
6.855.65
COM
ELEPHANT TALK
ETAK
177.900
0.95
169.005.00
05/12/14
178.915.82
1.01
(9.910.82)
COMMUNICATIONS
COM
EMRISE CORP
EMRI
29,410
0.88
25.880.80
05/15/14
24.987.09
0.85
893.71
COM
HAUPPAGE DIGITAL INC
HAUP
38,885
0.147
5.716.10
06/13/14
5,827.48
0.15
(111.38)
COM
LANTRONIX INC
LTRX
65,000
1.97
128.050.00
05/23/14
127,802.19
1.97
247.81
COM
page 2 o155
CONFIDENTIAL
SDNY_GM_00011556
EFTA_00 I 22207
EFTA01267686
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Investment Description
Stocks - Margin
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Cost
Date
Basis
Average
Cost
MODUSLINK GLOBAL
MLNK
55.000
3.74
205.700.00
05/13/14
200.070.54
3.64
SOLUTIONS INC
COM
OCLARO INC
OCLR
70.750
2.20
155.650.00
05/13/14
127.827.42
1.81
COM
RAINMAKER SYSTEMS
RMKR
428.582
0.175
75.001.85
05/12/14
99.484.45
0.23
INC
COM
RELM WIRELESS CORP.
RWC
58.000
3.86
223.880.00
05/13/14
191.874.40
3.31
COM
RICEBRAN
RIBT
57.000
5.28
300,960.00
05/12/14
320.118.64
5.62
TECHNOLOGIES
COM
TITAN ENERGY
TEWI
4.582.450
0.0275
126.017.38
06/23/14
78.776.54
0.02
WORLDWIDE INC
COM
TORCHLIGHT ENERGY
TRCH
51.700
4.12
213.004.00
06/02/14
216.607.01
4.19
RESOURCES
COM
TRANSGENOMIC INC
TBIO
79.900
3.74
298.826.00
05/12/14
320.732.08
4.01
COM
ZAZA ENERGY
ZAZA
220.908
0.88
194299.04
05/13/14
143.718.50
0.65
CORPORATION
COM
ZIOPHARM ONCOLOGY
ZIOP
29.500
4.03
118285.00
05/14/14
99,237.50
3.36
INC
COM
Total Stocks
$2,528,860.07
$2,457,364.93
Options - Margin
ADVANCED MICRO
1,075
$ 0.936
$ 100,620.00
05/12/14
$ 93.377.05
$ 0.87
DEVICES INC
AMD Jan 17 15 3.5 C
page 3 o155
CONFIDENTIAL
Unrealized
Gain(Loss)
5.629.46
27.822.58
(24.482.60)
32.005.60
(19.158.64)
47.240.84
(3.603.01)
(21.906.08)
50.680.54
19247.50
Estimated
Income
Yield
$71,515.14
$0.00
0.0%
$ 7.242.95
$ -
SDNY_GM_00011557
EFTA_00 122208
EFTA01267687
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
ADVANCED MICRO
800
0.4109
32.872.00
06/20/14
31,871.20
0.40
1.000.80
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC
550
0.5698
31.339.00
05/13/14
88.815.70
1.61
(57.476.70)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC
300
0.4906
14.718.00
05/27/14
29.422.20
0.98
(14.704.20)
ARO Jul 19 14 3.0 C
AMAZON.COM INC
250
0.0524
1.310.00
06/09/14
9.490.52
0.38
(8.180.52)
AMZN Jul 19 14 270.0 P
AOL INC
150
3.8828
58.242.00
05/23/14
36.517.11
2.43
21.724.89
AOL Jul 19 14 36.0 C
APOLLO EDUCATION
100
5.25
52.500.00
05/23/14
27.977.54
2.80
24322.46
GROUP INC
APOL Jul 19 14 26.0 C
APOLLO EDUCATION
150
0.1584
2.376.00
06/26/14
4.292.10
0.29
(1.916.10)
GROUP INC
APOL Aug 16 14 36.0 C
APOLLO EDUCATION
120
0.06
720.00
06/16/14
7.460.88
0.62
(6.740.88)
GROUP INC
APOL Jul 19 14 26.0 P
BEAZER HOMES USA INC
-
300
2.85
85.500.00
05/13/14
72.422.20
2.41
13.077.80
BZH Jan 17 15 20.0 C
BLACKBERRY LIMITED
101
2.0798
21.005.98
06/27/14
18.845.98
1.87
2.160.00
BBRY Jan 17 15 9.0 C
CENTRAIS ELEC BRAS
475
0.4212
20.007.00
05/13/14
46.018.67
0.97
(26.011.67)
EBR Sep 20 14 2.5 C
CORINTHIAN COLLEGES
575
0.0179
1.029.25
06/24/14
3.211.05
0.06
(2.181.80)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES
500
0.0001
5.00
05/13/14
11.012.00
0.22
(11.007.00)
INC
COCO Aug 16 14 1.0 C
CORINTHIAN COLLEGES
2.000
0.0001
20.00
05/13/14
11.148.00
0.06
(11.128.00)
INC
COCO Aug 16 14 2.0 C
page 4 o155
CONFIDENTIAL
SDNY_GM_00011558
EFTA _00122209
EFTA01267688
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
CORINTHIAN COLLEGES
2.147
0.0164
3.521.08
05/13/14
63.699.38
0.30
(60.178.30)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC
250
0.225
5.625.00
06/27/14
7.649.50
0.31
(2.024.50)
COWN Jan 17 15 5.0 C
DRY SHIPS
800
0.6054
48.432.00
05/12/14
51.659.20
0.65
(3.227.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH
80
5.7723
46.178.40
05/14/14
27,245.92
3.41
18.932.48
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC
400
0.0623
2.492.00
05/28/14
11.366.60
0.28
(8.874.60)
FCEL Jul 19 14 2.5 C
FUELCELL ENERGY INC
275
1.4003
38.508.25
05/13/14
35.057.85
1.27
3.450.40
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC
350
0.9442
33.047.00
05/12/14
28.740.90
0.82
4,306.10
FCEL Oct 18 14 1.5 C
GREEN PLAINS INC
95
7.9829
75.837.55
05/23/14
46.660.53
4.91
29.177.02
GPRE Jul 19 14 25.0 C
GREEN PLAINS INC
175
2.15
37.625.00
06/25/14
34.674.45
1.98
2,950.55
GPRE Sep 20 14 35.0 C
HANWHA SOLARONE CO
400
0.9097
36.388.00
05/13/14
35.479.60
0.89
908.40
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO
200
4.05
81.000.00
05/13/14
79.114.80
3.96
1,885.20
HPO Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP
270
3.9146
105.694.20
05/14/14
70,354.16
2.61
35.340.04
JBLU Jan 17 15 7.0 C
JETBLUE AIRWAYS CORP
225
0.8571
19.284.75
06/06/14
15.129.15
0.67
4.155.60
JBLU Jul 19 14 10.0 C
KATE SPADE & COMPANY
157
0.0446
700.22
06/17/14
6.207.12
0.40
(5.506.90)
KATE Jul 19 14 34.0 P
MGIC INVT CORP WIS
500
1.8072
90.360.00
05/14/14
76,287.00
1.53
14.073.00
MTG Jan 17 15 8.0 C
page 5 of S5
CONFIDENTIAL
SDNY_GM_00011559
EFTA_00 I 22210
EFTA01267689
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
NET 1 UEPS
150
3.6813
55.219.50
05/22/14
51.036.10
3.40
4.183.40
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS
120
2.8752
34.50240
06/05/14
36.468.88
3.04
(1.966.48)
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN
690
1.757
121.233.00
05/15/14
89.90106
1.30
31.330.94
TANKERS LTD
NAT Jan 17 15 8.0 C
NORDIC AMERICAN
325
0.4232
13.754.00
06/18/14
12.954.55
0.40
799.45
TANKERS LTD
NAT Oct 18 14 10.0 C
QUANTUM FUEL
280
2.7944
78.243.20
05/12/14
32.536.72
1.16
45.706.48
SYSTEMS TEC
QTWW Jul 19 14 3.0 C
QUIKSILVER INC
250
0.0001
2.50
06/02/14
3.89150
0.16
(3.891.00)
ZQK Jul 19 14 7.0 C
RADNET INC.
900
0.5801
52.209.00
05/12/14
67.796.34
0.75
(15.587.34)
RDNT Sep 20 14 7.5 C
RADNET INC.
470
2.1048
98.925.60
05/12/14
97.860.82
2.08
1.064.78
RDNT Dec 20 14 5.0 C
SEARS HOLDING CORP
60
2.705
16.230.00
05/28/14
15.84044
2.64
389.56
SHLD Jul 19 14 38.0 C
SEARS HOLDING CORP
10
2.135
2.135.00
06/19/14
3.161.74
3.16
(1.026.74)
SHLD Jul 19 14 39.0 C
SONY CORP
550
0.775
42.625.00
05/13/14
61.339.70
1.12
(18.714.70)
SNE Oct 18 14 17.0 C
TEEKAY TANKERS LTD
500
0.0882
4.410.00
06/20/14
2.79100
0.06
1.617.00
TNK Jul 19 14 5.0 C
TEEKAY TANKERS LTD
205
0.275
5.637.50
06/23/14
7.279.67
0.36
(1.642.17)
TNK Nov 22 14 5.0 C
TESLA MOTORS INC
186
0.0187
347.82
06/10/14
16.645.77
0.89
(16.297.95)
TSLA Jul 19 14 170.0 P
UNILIFE CORP
350
0.6563
22,970.50
06/20/14
30.96190
0.88
(7.992.40)
UNIS Sep 20 14 2.5 C
page 8 o155
CONFIDENTIAL
SDNY_GM_00011560
EFTA _00122211
EFTA01267690
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Positions
SymboU
Current
Market Purchase
Cost
Average
Unrealized
Estimated
Investment Description
CUSIP
Quantity
Price
Value
Date
Basis
Cost
Gain(Loss)
Income
Yield
Options - Margin
UNITED STATES NAT GAS -
71
0.3974
2.821.54
06/27/14
2.673.76
0.38
147.78
FUND
UNG Jul 19 14 25.0 C
UNITED STATES NAT GAS -
200
0.0261
522.00
06/12/14
11.820.80
0.59
(11,298.80)
FUND
UNG Jul 19 14 27.0 C
YAHOO! INC
100
1.7538
17538.00
06/23/14
10.063.40
1.01
7.474.60
YHOO Jul 19 14 34.0 C
YRC WORLDWIDE INC
135
5.725
77.287.50
06/05/14
24.334.50
1.80
52.953.00
YRCW Jul 19 14 22.5 C
YRC WORLDWIDE INC
32
6.2285
19.931.20
06/05/14
8530.37
2.67
11.400.83
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC
50
1.35
6.750.00
06/27/14
6325.71
1.27
424.29
YRCW Oct 18 14 32.5 C
ZIOPHARM ONCOLOGY
279
0.0136
379.44
06/09/14
9.641.15
0.35
(9.261.71)
INC
ZIOP Jul 19 14 5.0 C
Total Options
$1,720,632.38
$1,685,070.24
$35,562.14
$0.00
0.0%
Other - Margin
RICEBRAN
RIBTW
80.656
$ 1.50
$ 120.984.00
05/12/14
$ 109.325.58
$ 1.36
$ 11,658.42
$ -
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other
$120,984.00
$109,325.58
$11,658.42
$0.00
0.0%
Total Margin Account
$4,370,496.45
$4,251,760.75
$118,735.70
$0.00
0.0%
page 7 of 55
CONFIDENTIAL
SDNY_GM_00011561
EFTA_00 I 91111
EFTA01267691
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
Opening Balance
($40,921.55)
05/28/14
06/02/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
470
$ 3.979
$ (1.870.13)
(42.791.68)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
1.000
27.72
(27.720.00)
(70,511.68)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
2.089
(2.089.00)
(72.600.68)
WARRANT EXP 11/18:2018
05/28/14
06/02/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
GPRE
1.000
27.46
(27.460.00)
(100,060.68)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
700
2.0852
(1.459.64)
(101,520.32)
WARRANT EXP 11/18:2018
05/28/14
06/02/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
500
7.10
(3.550.00)
(105,070.32)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
4.000
3.5799
(14.319.60)
(119,389.92)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
100
3.575
(357.50)
(119,747.42)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
7.000
1.90
(13.300.00)
(133,047.42)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
4.200
3.51
(14.742.00)
(147,789.42)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
500
3.509
(1.754.50)
(149,543.92)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
ZIOP
300
3.505
(1.051.50)
(150,595.42)
COM
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
28.2548
28.254.17
(122.341.25)
COM
Regulatory Fee 0.63
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
300-
28.395
8318.31
(113322.94)
COM
Regulatory Fee 0.19
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
114-
28.39
3.236.38
(110,586.56)
COM
Regulatory Fee 0.08
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
486-
28.381
13.792.86
(96,793.70)
COM
Regulatory Fee 0.31
page 8 o155
CONFIDENTIAL
SDNY_GM_00011562
EFTA (()122213
EFTA01267692
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
100-
28.38
2.837.93
(93,955.77)
COM
Regulatory Fee 0.07
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.500-
28.6301
42.944.20
(51,011.57)
COM
Regulatory Fee 0.95
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
1.000
0.8001
(800.10)
(51,811.67)
COMMUNICATIONS
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
7.000
0.80
(5.600.00)
(57,411.67)
COMMUNICATIONS
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
20.000
0.255
(5.100.00)
(62.511.67)
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
5.000
0.8026
(4.012.95)
(66,524.62)
COMMUNICATIONS
COM
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
28.6601
28.659.46
(37,865.16)
COM
Regulatory Fee 0.64
05/28/14
06/02/14 Margin
Sell - Securities Sold
AOL INC
AOL
1.000-
36.4012
36400.39
(1,464.77)
COM
Regulatory Fee 0.81
05/28/14
06/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
3.400
1.8999
(6.459.66)
(7.924.43)
COM
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
500-
28.7412
14.370.28
6.445.85
COM
Regulatory Fee 0.32
05/28/14
06/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
200-
28.7301
5745.89
12.191.74
COM
Regulatory Fee 0.13
05/28/14
06/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
4.100
1.89
(7.749.00)
4.442.74
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
594
1.90
(1.128.60)
3.314.14
COM
05/28/14
06/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
500
1.899
(949.50)
2.364.64
COM
page 9 *MSS
CONFIDENTIAL
SDNY_GM_00011563
EFTA (X)122214
EFTA01267693
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
05/30/14
06/02/14 Margin
Sell - Securities Sold
BEST BUY CO INC
91-
2.76
25.058.25
27.422.89
BBY Jun 21 14 25.0 C TO CLOSE
Commission 55.00
Regulatory Fee 2.75
05/30/14
06/02/14 Margin
Sell - Securities Sold
BEST BUY CO INC
9-
2.75
2.474.72
29,897.61
BBY Jun 21 14 25.0 C TO CLOSE
Regulatory Fee 0.28
06102/14
06/02/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(29.897.61)
0.00
DEPOSIT ACCOUNT
06102/14
06/03/14 Margin
Buy - Securities Purchased
QUIKSILVER INC
120
0.60
(7.268.88)
(7,268.88)
MK Jul 19 14 6.0 P TO OPEN
Commission 66.00
Regulatory Fee 2.88
06102/14
06/03/14 Margin
Buy - Securities Purchased
QUIKSILVER INC
250
0.15
(3.893.50)
(11,162.38)
MK Jul 19 14 7.0 C TO OPEN
Commission 137.50
Regulatory Fee 6.00
06103/14
06/03/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
11.162.38
0.00
DEPOSIT ACCOUNT
05/30/14
06/04/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
600
3.6899
(2.213.94)
(2.213.94)
COM
05/30/14
06/04/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.500
1.9799
(2.969.85)
(5,183.79)
COM
05/30/14
06/04/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
6.000
1.9752
(11.851.20)
(17,034.99)
COM
05/30/14
06/04/14 Margin
Buy - Securities Purchased
ACCESS PlIARMA INC
ACCP
2.011
0.42
(844.62)
(17,879.61)
COM
05/30/14
06/04/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
34
0.22
(7.48)
(17,887.09)
COM
05/30/14
06/04/14 Margin
Buy - Securities Purchased
ACCESS PlIARMA INC
ACCP
3.000
0.41
(1.230.00)
(19,117.09)
COM
06103/14
06/04/14 Margin
Sell - Securities Sold
QUIKSILVER INC
120-
2.55
30.530.44
11.413.35
ZOK Jul 19 14 6.0 P TO CLOSE
Commission 66.00
Regulatory Fee 3.56
page 10 0155
CONFIDENTIAL
SDNY_GM_00011564
EFTA (()122215
EFTA01267694
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/03/14
06/04/14 Margin
Buy - Securities Purchased
TWITTER INC
74
0.95
(7.086.78)
4.326.57
TWTR Jul 19 14 36.0 C TO OPEN
Commission 55.00
Regulatory Fee 1.78
06103/14
06/04/14 Margin
Buy - Securities Purchased
TWITTER INC
26
0.94
(2.444.63)
1.881.94
TWTR Jul 19 14 36.0 C TO OPEN
Regulatory Fee 0.63
06103/14
06/04/14 Margin
Buy - Securities Purchased
LULULEMON ATHLETTCA INC
50
1.50
(7.528.70)
(5,646.76)
LULU Jun 21 14 45.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06104/14
06/04/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
5.646.76
0.00
DEPOSIT ACCOUNT
06102/14
06/05/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
6.900
1.97
(13.593.00)
(13,593.00)
COM
06/02/14
06/05/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
100
1.9699
(196.99)
(13189.99)
COM
06/02/14
06/05/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
400
6.89
(2.756.00)
(16,545.99)
COM
06/02/14
06/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.6801
68.00
(16,477.99)
COM
Regulatory Fee 0.01
06/02/14
06/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
9.900-
0.68
6.731.85
(9,746.14)
COM
Regulatory Fee 0.15
06/02/14
06/05/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
5.000
4.2599
(21.299.50)
(31,045.64)
RESOURCES
COM
06102/14
06/05/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
2.500
0.895
(2.237.50)
(33283.14)
COMMUNICATIONS
COM
06/02/14
06/05/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
1.600
4.27
(6.832.00)
(40,115.14)
RESOURCES
COM
06/02/14
06/05/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
4.400
4.2699
(18.787.56)
(58,902.70)
RESOURCES
COM
page 11 of 55
CONFIDENTIAL
SDNY_GM_00011565
EFTA (()122216
EFTA01267695
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/02/14
06/05/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
4.500
4.26
(19.170.00)
(78,072.70)
RESOURCES
COM
06102/14
06/05/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
800-
29.131
23204.28
(54,768.42)
COM
Regulatory Fee 0.52
06102/14
06/05/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
GPRE
1.000-
29.301
29200.35
(25,468.07)
COM
Regulatory Fee 0.65
06102/14
06/05/14 Margin
Sell - Securities Sold
AOL INC
AOL
600-
36.2001
21.719.57
(3,748.50)
COM
Regulatory Fee 0.49
06102/14
06/05/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
400
3.87
(1.548.00)
(5,296.50)
COM
06102/14
06/05/14 Margin
Sell - Securities Sold
AOL INC
AOL
885-
36.3001
32.124.88
26,82828
COM
Regulatory Fee 0.71
06102/14
06/05/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
750
3.5452
(2.658.90)
24.169.48
COM
06102/14
06/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
1.800-
0.6801
1.224.06
25,393.54
COM
Regulatory Fee 0.03
06102/14
06/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
4.603-
0.68
3.129.97
28,523.51
COM
Regulatory Fee 0.07
06102/14
06/05/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
700
1.98
(1.386.00)
27.137.51
COM
06102/14
06/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.6751
67.50
27,205.01
COM
Regulatory Fee 0.01
06102/14
06/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
4.260-
0.675
2.875.43
30.080.44
COM
Regulatory Fee 0.07
06102/14
06/05/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
6.93
(693.00)
29,387.44
COM
06102/14
06/05/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
200
1.999
(399.80)
28,987.64
COM
page 12 o155
CONFIDENTIAL
SDNY_GM_00011566
EFTA (()122217
EFTA01267696
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/02/14
06/05/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
927
2.01
(1.863.27)
27.124.37
COM
06/02/14
06/05/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
435
4.33
(1.883.55)
25,240.82
RESOURCES
COM
06/02/14
06/05/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
700
4.3299
(3.030.93)
22,209.89
RESOURCES
COM
06105/14
06/05/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(22.209.89)
0.00
DEPOSIT ACCOUNT
06103/14
06/06/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
900
4.3999
(3.959.91)
(3,959.91)
RESOURCES
COM
06103/14
06/06/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
900
4.3998
(3.959.82)
(7,919.73)
RESOURCES
COM
06103/14
06/06/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.000
3.87
(3.870.00)
(11,789.73)
COM
06103/14
06/06/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
3.500
1.98
(6.930.00)
(18,719.73)
COM
06103/14
06/06/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
20,000
0.205
(4.100.00)
(22.819.73)
COM
06103/14
06/06/14 Margin
Sell - Securities Sold
AOL INC
AOL
1.000-
35.881
35680.20
13.060.47
COM
Regulatory Fee 0.80
06103/14
06/06/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.70
(370.00)
12.690.47
COM
06103/14
06/06/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
15
0.845
(12.68)
12.677.79
COM
06103/14
06/06/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
900
4.3399
(3.905.91)
8.771.88
RESOURCES
COM
06/03/14
06/06/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
1.420
0.664
(942.88)
7.829.00
COM
06/03/14
06/06/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
400
4.40
(1,760.00)
6.069.00
RESOURCES
COM
page 13 o155
CONFIDENTIAL
SDNY_GM_00011567
EFTA_001222 I
EFTA01267697
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/03/14
06106/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
1.997
4.3999
(8.786.60)
(2.717.60)
RESOURCES
COM
06103/4
06/06/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
656
1.91
(1.252.96)
(3,970.56)
WARRANT EXP 11/18.2018
06103/4
06/06/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
400
4.40
(1.760.00)
(5,730.56)
06105/4
06/06/14 Margin
Buy - Securities Purchased
RESOURCES
COM
JETBLUE AIRWAYS CORP
50
3.50
(17.528.70)
(23,259.26)
06105/14
06/06/14 Margin
Sell - Securities Sold
JBLU Jan 17 15 7.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
BUCKLE INC
200-
0.20
3.885.11
(19,374.15)
06105/14
06/06/14 Margin
Buy - Securities Purchased
BKE Jun 21 14 46.3 C TO CLOSE
Commission 110.00
Regulatory Fee 4.89
NET 1 UEPS TECHNOLOGIES INC
100
3.00
(30.057.40)
(49,431.55)
06f05f14
06/06/14 Margin
Buy - Securities Purchased
UEPS Jan 17 15 9.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
JETBLUE AIRWAYS CORP
25
3.49
(8.739.35)
(58,170.90)
06f05f14
06/06/14 Margin
Buy - Securities Purchased
JBLU Jan 17 15 7.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
LULULEMON ATHLETTCA INC
25
1.46
(3.664.35)
(61,835.25)
06105114
06/06/14 Margin
Buy - Securities Purchased
LULU Jun 21 14 45.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
YRC WORLDWIDE INC
100
1.35
(13.557.40)
(75,392.65)
06105114
06/06/14 Margin
Sell - Securities Sold
YRCW Jul 19 14 22.5 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
RADNET INC.
125-
0.85
10353.01
(64,839.64)
RDNT Sep 20 14 7.5 C TO CLOSE
Commission 68.75
Regulatory Fee 3.24
page 14 o155
CONFIDENTIAL
SDNY_GM_00011568
EFTA_00122219
EFTA01267698
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/05/14
06/06/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
32
2.66
(8.530.37)
(73,370.01)
YRCW Oct 18 14 22.5 C TO OPEN
Commission 17.60
Regulatory Fee 0.77
06105/14
06/06/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
34
1.26
(4.303.52)
(77,673.53)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 18.70
Regulatory Fee 0.82
06106/14
06/06/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
35.298.36
(42.375.17)
DEPOSIT ACCOUNT
06106/14
06/06/14 Margin
Div/Int - Other
FDIC INSURED DEPOSIT
MMDA11
0.00
0.03
(42.375.14)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 06430/2014
Insured Deposit Accoun 0.03
06104/14
06/09/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
700
6.02
(4.214.00)
(46,589.14)
COM
06104/14
06/09/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
5.500
4.32
(23.760.00)
(70,349.14)
RESOURCES
COM
06104/14
06/09/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
20.030
0.335
(6.710.05)
(77,059.19)
COM
06104/4
06/09/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
1.368
4.249
(5.812.63)
(82.871.82)
RESOURCES
COM
06104/4
06/09/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
2.000-
11.0601
22,119.71
(60152.11)
COM
Regulatory Fee 0.49
06104/4
06/09/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
4.500
4.22
(18,990.00)
(79,742.11)
RESOURCES
COM
06104/4
06/09/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
20.000-
0.65
12.999.71
(66,742.40)
COM
Regulatory Fee 0.29
06104/4
06/09/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
700
1.90
(1.330.00)
(68,072.40)
COM
page 15 o155
CONFIDENTIAL
SDNY_GM_00011569
EFTA_00122220
EFTA01267699
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/04/14
06/09/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
200
1.8999
(379.98)
(68.452.38)
COM
06104/14
06/09/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.700
1.92
(3.264.00)
(71,716.38)
COM
06104/14
06/09/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
400
1.909
(763.60)
(72.479.98)
COM
06104/4
06/09/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.000
1.95
(1.950.00)
(74,429.98)
COM
06104/14
06/09/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
100
1.97
(197.00)
(74,626.98)
COM
06104/4
06/09/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
183-
11.1601
2.042.25
(72.584.73)
COM
Regulatory Fee 0.05
06104/4
06/09/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
100-
11.16
1.115.97
(71.468.76)
06106/4
06/09/14 Margin
Buy - Securities Purchased
COM
Regulatory Fee 0.03
SEARS HOLDING CORP
10
2.20
(2.205.74)
(73,674.50)
06106/14
06/09/14 Margin
Buy - Securities Purchased
SHLD Jun 21 14 39.0 C TO OPEN
Commission 5.50
Regulatory Fee 0.24
BLACKBERRY LIMITED
200
1.58
(31.714.80)
(105,389.30)
06/06/14
06/09/14 Margin
Buy - Securities Purchased
BBRY Jan 17 15 7.0 C TO OPEN
Commission 110.00
Regulatory Fee 4.80
TWITTER INC
25
1.20
(3.014.35)
(108,403.65)
06/06/14
06/09/14 Margin
Buy - Securities Purchased
TWTR Jul 19 14 36.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
JETBLUE AIRWAYS CORP
100
0.80
(8.057.40)
(116,461.05)
JBLU Jul 19 14 10.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
06/06/14
06/09/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
25
1.20
(3.014.35)
(119,475.40)
NAT Jan 17 15 8.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
page 16 o155
CONFIDENTIAL
SDNY_GM_00011570
EFTA (()122221
EFTA01267700
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/06/14
06/09/14 Margin
Buy - Securities Purchased
RADNET INC.
25
0.40
(1.014.35)
(120.489.75)
06f06f14
06/09/14 Margin
Sell - Securities Sold
RDNT Jun 21 14 7.5 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
RADNET INC.
10-
1.10
1.094.23
(119,395.52)
06f06f14
06/09/14 Margin
Sell - Securities Sold
RDNT Sep 20 14 7.5 C TO CLOSE
Commission 5.50
Regulatory Fee 0.27
BON-TON STORES INC
298-
0.20
5.788.80
(113,606.72)
BONT Jul 19 14 9.0 P TO CLOSE
Commission 163.90
Regulatory Fee 7.30
06105/4
06/10/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
150
5.94
(891.00)
(114,497.72)
COM
06105/4
06/10/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
50
5.93
(296.50)
(114,794.22)
COM
06/05/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
1.500-
11.1801
16.769.77
(98.024.45)
COM
Regulatory Fee 0.38
06/05/4
06/10/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.85
(1.170.00)
(99,194.45)
COM
06/05/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
2.200-
11.2101
24.661.67
(74,532.78)
COM
Regulatory Fee 0.55
06105/4
06/10/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
3.400
1.98
(6.732.00)
(81,264.78)
COM
06105/4
06/10/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
4.500
4.29
(19.305.00)
(100,569.78)
RESOURCES
COM
06105/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
1.000-
11.2201
11.219.85
(89,349.93)
COM
Regulatory Fee 0.25
06105/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
1.300-
11.22
14.585.67
(74,764.26)
COM
Regulatory Fee 0.33
06/05/4
06/10/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.78
(1.156.00)
(75,920.26)
COM
page 17 o155
CONFIDENTIAL
SDNY_GM_00011571
EFTA _0011'7719
EFTA01267701
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/05/14
06/10/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
900-
5.8601
5.273.97
(70.646.29)
COM
Regulatory Fee 0.12
06105/14
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
100-
11.3501
1.134.98
(69,511.31)
COM
Regulatory Fee 0.03
06105/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
1.500-
11.35
17.024.62
(52.486.69)
COM
Regulatory Fee 0.38
06105/4
06/10/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
1.71
(1.710.00)
(54,196.69)
WARRANT EXP 11/82018
06105/4
06/10/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
600
1.959
(1.175.40)
(55.372.09)
COM
06/05/4
06/10/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
1.000
0.85
(850.00)
(56.222.09)
COM
06105/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
290-
11.2201
3.253.75
(52.968.34)
COM
Regulatory Fee 0.08
06105/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
200-
11.22
2.243.95
(50,724.39)
COM
Regulatory Fee 0.05
06105/4
06/10/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
500-
0.6645
332.24
(50,392.15)
COM
Regulatory Fee 0.01
06105/4
06/10/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
300-
0.6643
199.28
(50,192.87)
COM
Regulatory Fee 0.01
06105/4
06/10/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
880-
0.6641
584.40
(49,608.47)
COM
Regulatory Fee 0.02
06105/4
06/10/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
300-
0.6641
199.22
(49,409.25)
COM
Regulatory Fee 0.01
06105/4
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
700-
11.3701
7.958.89
(41.450.36)
COM
Regulatory Fee 0.18
page 18 o155
CONFIDENTIAL
SDNY_GM_00011572
EFTA_001 /9/93
EFTA01267702
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/05/14
06/10/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
100-
11.37
1.136.97
(40.313.39)
COM
Regulatory Fee 0.03
06105/14
06/10/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
747A
1.587-
0.6767
1.073.89
(39,239.50)
COM
Regulatory Fee 0.03
06105/14
06/10/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
747A
600-
0.6766
405.95
(38,833.55)
COM
Regulatory Fee 0.01
06109/14
06/10/14 Margin
Buy - Securities Purchased
LULULEMON ATHLETTCA INC
60
0.75
(4.534.44)
(43,367.99)
LULU Jun 21 14 40.0 P TO OPEN
Commission 33.00
Regulatory Fee 1.44
06109/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
35-
1.60
5.579.78
(37,788.21)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 19.25
Regulatory Fee 0.97
06109/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
35-
1.75
6.104.77
(31,683.44)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 19.25
Regulatory Fee 0.98
06109/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
30-
1.85
5.532.65
(26,150.79)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 16.50
Regulatory Fee 0.85
06109/14
06/10/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
50
0.60
(3.028.70)
(29,179.49)
ARO Jul 19 14 3.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/09/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
25-
2.00
4.985.53
(24,193.96)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 13.75
Regulatory Fee 0.72
06/09/14
06/10/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
50
0.40
(2,028.70)
(26,222.66)
ZIOP Jul 19 14 5.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
page 19 o155
CONFIDENTIAL
SDNY_GM_00011573
EFTA_00122224
EFTA01267703
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol
Description
CUSIP
Quantity
Price
Amount
Balance
06/09/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
20-
2.15
4.288.42
(21,934.24)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 11.00
Regulatory Fee 0.58
06109/4
06/10/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
20
7.00
(14,011.48)
(35,945.72)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06109/4
06/10/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
175
0.35
(6,225.45)
(42,171.17)
ZIOP Jul 19 14 5.0 C TO OPEN
Commission 96.25
Regulatory Fee 4.20
06109/14
06/10/14 Margin
Sell - Securities Sold
BON-TON STORES INC
52-
0.20
1,010.12
(41,161.05)
BONT Jul 19 149.0 P TO CLOSE
Commission 28.60
Regulatory Fee 1.28
06109/14
06/10/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
55
1.20
(6.631.57)
(47,792.62)
NAT Jan 17 158.0 C TO OPEN
Commission 30.25
Regulatory Fee 1.32
06109/14
06/10/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
-
25
1.40
(3.514.35)
(51,306.97)
OTWW Jul 19 14 3.0 C TO OPEN
Commission 13.75
Regulatory Fee 0.60
06109/4
06/10/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
-
75
0.88
(6,643.05)
(57,950.02)
AMD Jan 17 15 3.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06109/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
25-
1.95
4,860.54
(53,089.48)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 13.75
Regulatory Fee 0.71
06109/14
06/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
30-
1.95
5,832.65
(47,256.83)
GPRE Jun 21 14 30.0 C TO CLOSE
Commission 16.50
Regulatory Fee 0.85
page 20 of 55
CONFIDENTIAL
SDNY_GM_00011574
EFTA_00122225
EFTA01267704
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/09/14
06/10/14 Margin
Buy - Securities Purchased
CENTRAIS ELEC BRAS
75
0.85
(6.418.05)
(53.674.88)
06109/14
06/10/14 Margin
Buy - Securities Purchased
EBR Sep 20 14 2.5 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
AMAZON.COM INC
9
0.47
(428.17)
(54,103.05)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 4.95
Regulatory Fee 0.22
06106/14
06/11/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
HSOL
4.094
2.26
(9.252.44)
(63,355.49)
ADS
06106/14
06/11/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
1.000-
6.4301
6.429.95
(56,925.54)
COM
Regulatory Fee 0.15
06106/14
06/11/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
2.415
1.98
(4.781.70)
(61,707.24)
COM
06106/14
06/11/14 Margin
Sell - Securities Sold
NET 1 UEPS TECHNOLOGIES INC UEPS
827-
11.58
9376.44
(52.130.80)
COM
Regulatory Fee 0.22
06106/14
06/11/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
1.000-
6.77
6769.85
(45.360.95)
COM
Regulatory Fee 0.15
06106/14
06/11/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
2.000-
6.771
13341.70
(31.819.25)
COM
Regulatory Fee 0.30
06106/14
06/11/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
1.500-
6.9501
10.424.91
(21.394.34)
COM
Regulatory Fee 0.24
06106/14
06/11/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.500
3.85
(5.775.00)
(27.169.34)
COM
06106/14
06/11/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
7.500
0.19
(1.425.00)
(28.594.34)
COM
06106/14
06/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.80
(580.00)
(29.174.34)
COM
06106/14
06/11/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
900
2.50
(2.250.00)
(31.424.34)
COM
06106/14
06/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
100
1.89
(189.00)
(31.613.34)
WARRANT EXP 11/18:2018
page 21 o155
CONFIDENTIAL
SDNY_GM_00011575
EFTA 00122226
EFTA01267705
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/06/14
06/11/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
9.900
0.86
(8.514.00)
(40.127.34)
COM
06/06/14
06/11/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
1.200-
6.6701
8.003.94
(32.123.40)
COM
Regulatory Fee 0.18
06106/14
06/11/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
1.300-
6.7401
8761.93
(23,361.47)
COM
Regulatory Fee 0.20
06106/14
06/11/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
422-
4.0502
1709.14
(21,652.33)
COM
Regulatory Fee 0.04
06106/14
06/11/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
2.078-
4.0501
8.415.92
(13,236.41)
COM
Regulatory Fee 0.19
06106/14
06/11/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
33.000
0.17
(5.610.00)
(18,846.41)
COM
06106/14
06/11/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
100
4.25
(425.00)
(19.271.41)
RESOURCES
COM
06106/14
06/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
900
1.60
(1.440.00)
(20.711.41)
WARRANT EXP 11/18:2018
06106/14
06/11/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
500
4.289
(2.144.50)
(22.855.91)
RESOURCES
COM
06106/14
06/11/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
200-
0.6791
135.81
(22.720.10)
COM
Regulatory Fee 0.01
06106/14
06/11/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
100
2.40
(240.00)
(22.960.10)
06/10/14
06/11/14 Margin
Buy - Securities Purchased
COM
SONY CORP
50
0.70
(3.528.70)
(26.488.80)
06/10/14
06/11/14 Margin
Buy - Securities Purchased
SNE Oct 18 14 17.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
ADVANCED MICRO DEVICES INC
25
0.70
(1.764.35)
(28.253.15)
AMD Jun 21 143.5C TO OPEN
Commission 13.75
Regulatory Fee 0.60
page 22 o155
CONFIDENTIAL
SDNY_GM_00011576
EFTA_00 122227
EFTA01267706
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Description
Symbol,
CUSIP
Quantity
Price
Amount
Balance
06/10/14
06/11/14 Margin
Buy - Securities Purchased
AMAZON.COM INC
151
0.43
(6,579.68)
(34,832.83)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 83.05
Regulatory Fee 3.63
06/10/ 4
06/11/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
50
0.80
(4,028.70)
(38,861.53)
JBLU Jul 19 1410.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/10/ 4
06/11/14 Margin
Buy - Securities Purchased
TESLA MOTORS INC
25
1.23
(3,116.85)
(41,978.38)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 41.25
Regulatory Fee 0.60
06/10/14
06/11/14 Margin
Buy - Securities Purchased
TESLA MOTORS INC
50
1.22
(6,101.20)
(48,079.58)
TSLA Jul 19 14 170.0 P TO OPEN
Regulatory Fee 1.20
06/10/14
06/11/14 Margin
Buy - Securities Purchased
RADNET INC.
15
0.40
(608.61)
(48,688.19)
RDNT Jun 21 14 7.5 C TO OPEN
Commission 8.25
Regulatory Fee 0.36
06/10/14
06/11/14 Margin
Buy - Securities Purchased
AMAZON.COM INC
7
0.33
(235.02)
(48,923.21)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 3.85
Regulatory Fee 0.17
06/09/14
06/12/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
2,400
4.25
(10,200.00)
(59,123.21)
RESOURCES
COM
06/09/14
06/12/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
29,000
0.145
(4,205.00)
(63,328.21)
COM
06/09/14
06/12/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
10,000-
2.17
21,699.52
(41,628.69)
COM
Regulatory Fee 0.48
06/09/14
06/12/14 Margin
Sell - Securities Sold
ZAZA ENERGY CORPORATION
ZAZA
7.900-
0.6702
5,294.46
(36,334.23)
COM
Regulatory Fee 0.12
06/09/14
06/12/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.200
3.70
(4,440.00)
(40,774.23)
COM
06/09/14
06/12/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
2.000-
2.331
4,661.89
(36,112.34)
ADS
Regulatory Fee 0.11
page 23 of 55
CONFIDENTIAL
SDNY_GM_00011577
EFTA_00122228
EFTA01267707
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/09/14
06/12/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
2.500
4.21
(10.525.00)
(46,637.34)
RESOURCES
COM
06/09/14
06/12/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
6.500-
2.1912
14.242.48
(32.394.86)
COM
Regulatory Fee 0.32
06109/4
06/12/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
2.000
3.9808
(7.961.60)
(40,356.46)
RESOURCES
COM
06109/4
06/12/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
2.500-
2.1901
5.475.12
(34,881.34)
COM
Regulatory Fee 0.13
06109/4
06/12/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
500
3.30
(1.650.00)
(36,531.34)
RESOURCES
COM
06109/4
06/12/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
1.400
3.23
(4.522.00)
(41,053.34)
RESOURCES
COM
06109/4
06/12/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
1.500-
4.265
6297.35
(34,655.99)
COM
Regulatory Fee 0.15
06109/4
06/12/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
2.500
0.165
(412.50)
(35,068.49)
COM
06109/4
06/12/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
800
3.33
(2.664.00)
(37,732.49)
RESOURCES
COM
06109/4
06/12/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
3.000-
2.36
7.079.84
(30,652.65)
COM
Regulatory Fee 0.16
06109/4
06/12/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
200
3.8699
(773.98)
(31,426.63)
COM
06109/4
06/12/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
100-
3.94
393.99
(31,032.64)
COM
Regulatory Fee 0.01
06109/4
06/12/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
468-
3.931
1239.66
(29,192.98)
COM
Regulatory Fee 0.05
page 24 o155
CONFIDENTIAL
SDNY_GM_00011578
EFTA_00122229
EFTA01267708
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/09/14
06/12/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
250-
2.45
612.48
(28.580.50)
COM
Regulatory Fee 0.02
06/09/14
06/12/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
371-
2.40
890.38
(27,690.12)
COM
Regulatory Fee 0.02
06/11/14
06/12/14 Margin
Buy - Securities Purchased
INTL BUSINESS MACHINES
100
0.83
(8.357.40)
(36,047.52)
IBM Jun 21 14 185.0 C TO OPEN
Commission 55.00
Regulatory Fee 2.40
06/11/14
06/12/14 Margin
Buy - Securities Purchased
INTL BUSINESS MACHINES
20
0.58
(1.171.48)
(37,219.00)
IBM Jun 21 14 185.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06/11/14
06/12/14 Margin
Buy - Securities Purchased
LULULEMON ATHLETTCA INC
50
0.60
(3.028.70)
(40,247.70)
LULU Jun 13 14 48.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/11/14
06/12/14 Margin
Buy - Securities Purchased
LULULEMON ATHLETTCA INC
50
0.54
(2.728.70)
(42.976.40)
LULU Jun 13 14 48.5 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
800
3.62
(2.896.00)
(45,872.40)
RESOURCES
COM
06/10/4
06/13/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
500
3.82
(1.910.00)
(47,782.40)
RESOURCES
COM
06/10/4
06/13/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
500
3.999
(1.999.50)
(49,781.90)
RESOURCES
COM
06/10/14
06/13/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
4.900-
2.2712
11.128.63
(38,653.27)
COM
Regulatory Fee 0.25
06/10/14
06/13/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
2.100-
2.2701
4.767.10
(33,886.17)
COM
Regulatory Fee 0.11
page 25 o155
CONFIDENTIAL
SDNY_GM_00011579
EFTA_00 122230
EFTA01267709
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/10/14
06/13/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
500
3.81
(1.905.00)
(35,791.17)
RESOURCES
COM
06/10/14
06/13/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
3.279
0.165
(541.04)
(36,332.21)
COM
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.339
2.0699
(2.771.60)
(39,103.81)
COM
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
100-
6.045
604.48
(38,499.33)
COM
Regulatory Fee 0.02
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
200-
6.0425
1.208.47
(37,290.86)
COM
Regulatory Fee 0.03
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
100-
6.041
604.08
(36,686.78)
COM
Regulatory Fee 0.02
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
600-
6.0401
3.623.97
(33,062.81)
COM
Regulatory Fee 0.09
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
2.600-
4.161
10.818.36
(22.244.45)
COM
Regulatory Fee 0.24
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
2.500-
4.1701
10.425.01
(11.819.44)
COM
Regulatory Fee 0.24
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
400
3.6599
(1.463.96)
(13,283.40)
COM
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
300
1.99
(597.00)
(13,880.40)
COM
06/10/ 4
06/13/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBTW
700-
1.75
1.224.97
(12.655.43)
WARRANT EXP 11/18:2018
Regulatory Fee 0.03
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
100
2.05
(205.00)
(12.860.43)
COM
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
261
2.049
(534.79)
(13,395.22)
COM
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
501
2.04
(1.022.04)
(14,417.26)
COM
page 26 o155
CONFIDENTIAL
SDNY_GM_00011580
EFTA (X1122231
EFTA01267710
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/10/14
06/13/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
100
3.79
(379.00)
(14,796.26)
RESOURCES
COM
06/10/ 4
06/13/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
200
4.05
(810.00)
(15,606.26)
RESOURCES
COM
06/12/14
06/13/14 Margin
Sell - Securities Sold
TWITTER INC
45-
2.35
10348.93
(5,057.33)
TWTR Jul 19 14 36.0 C TO CLOSE
Commission 24.75
Regulatory Fee 1.32
06/2/14
06/13/14 Margin
Buy - Securities Purchased
TESLA MOTORS INC
25
0.78
(1.964.35)
(7,021.68)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 13.75
Regulatory Fee 0.60
06/12/14
06/13/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
75
0.40
(3.043.05)
(10,064.73)
JBLU Jul 19 14 10.0 C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06/12/14
06/13/14 Margin
Sell - Securities Sold
TWITTER INC
80-
2.60
20753.62
10.688.89
TWTR Jul 19 14 36.0 C TO CLOSE
Commission 44.00
Regulatory Fee 2.38
06/12/14
06/13/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
20
1.15
(2.311.48)
8.377.41
SHLD Jun 21 14 39.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06/2/14
06/13/14 Margin
Buy - Securities Purchased
INTL BUSINESS MACHINES
20
0.40
(811.48)
7.565.93
IBM Jun 21 14 185.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
06/2/14
06/13/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
75
0.85
(6.418.05)
1.147.88
AMD Jun 21 143.5C TO OPEN
Commission 41.25
Regulatory Fee 1.80
06/2/14
06/13/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
20
3.20
(6.411.48)
(5,263.60)
UEPS Jan 17 15 9.0 C TO OPEN
Commission 11.00
Regulatory Fee 0.48
page 27 o155
CONFIDENTIAL
SDNY_GM_00011581
EFTA (()122232
EFTA01267711
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/12/14
06/13/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
150
0.60
(9.086.10)
(14,349.70)
06/12/14
06/13/14 Margin
Buy - Securities Purchased
HSOL Sep 20 14 2.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
DRY SHIPS INCORPORATED
50
0.76
(3.828.70)
(18,178.40)
06/12/14
06/13/14 Margin
Buy - Securities Purchased
DRYS Jan 17 15 3.0 C TO OPEN
Commission 27.50
Regulatory Fee 1.20
MICHAEL KORS HOLDINGS
120
0.45
(5.468.88)
(23,647.28)
06/12/14
06/13/14 Margin
Buy - Securities Purchased
KORS Jul 19 14 85.0 P TO OPEN
Commission 66.00
Regulatory Fee 2.88
UNITED STATES NAT GAS FUND
150
0.59
(8.936.10)
(32.583.38)
UNG Jul 19 14 27.0 C TO OPEN
Commission 82.50
Regulatory Fee 3.60
06/11/14
06/16/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
300
3.92
(1.176.00)
(33,759.38)
RESOURCES
COM
06/11/14
06/16/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
489
2.05
(1.002.45)
(34,761.83)
COM
06/11/14
06/16/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
1.000-
6.3048
6.304.66
(28,457.17)
COM
Regulatory Fee 0.14
06/11/14
06/16/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.500
3.81
(5.715.00)
(34,172.17)
COM
06/11/14
06/16/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
400-
6.2801
2.511.98
(31,660.19)
COM
Regulatory Fee 0.06
06/11/14
06/16/14 Margin
Sell - Securities Sold
RICEBRAN TECHNOLOGIES
RIBT
600-
6.28
3.767.91
(27,892.28)
COM
Regulatory Fee 0.09
06/11/14
06/16/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
1.000-
2.30
2,299.94
(25,592.34)
COM
Regulatory Fee 0.06
06/11/14
06/16/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
1,000-
4.221
4,220.90
(21,371.44)
COM
Regulatory Fee 0.10
page 28 o155
CONFIDENTIAL
SDNY_GM_00011582
EFTA (X)122233
EFTA01267712
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/11/14
06/16/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
650-
2.31
1,501.46
(19.869.98)
06/13/14
06/16/14 Margin
Sell - Securities Sold
COM
Regulatory Fee 0.04
LULULEMON ATHLETTCA INC
30-
3.55
10326.54
(9.243.44)
06/13/14
06/16/14 Margin
Sell - Securities Sold
LULU Jun 21 14 40.0 P TO CLOSE
Commission 22.50
Regulatory Fee 0.96
LULULEMON ATHLETTCA INC
29-
3.66
10390.56
1.347.12
06/13/14
06/16/14 Margin
Sell - Securities Sold
LULU Jun 21 14 40.0 P TO CLOSE
Commission 22.50
Regulatory Fee 0.94
LULULEMON ATHLETTCA INC
1-
3.65
364.96
1.712.08
06f13f14
06/16/14 Margin
Buy - Securities Purchased
LULU Jun 21 14 40.0 P TO CLOSE
Regulatory Fee 0.04
UNITED STATES NAT GAS FUND
50
0.57
(2.884.70)
(1,172.62)
06f13f14
06/16/14 Margin
Buy - Securities Purchased
UNG Jul 19 14 27.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
CORINTHIAN COLLEGES INC
25
0.20
(520.35)
(1,692.97)
06f13f14
06/16/14 Margin
Buy - Securities Purchased
COCO Nov 22 141.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
TESLA MOTORS INC
20
0.88
(1.777.48)
(3.470.45)
06f13f14
06/16/14 Margin
Buy - Securities Purchased
TSLA Jul 19 14 170.0 P TO OPEN
Commission 17.00
Regulatory Fee 0.48
BLACKBERRY LIMITED
50
1.72
(8.634.70)
(12.105.15)
06f13f14
06/16/14 Margin
Buy - Securities Purchased
BBRY Jan 17 15 7.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
CORINTHIAN COLLEGES INC
25
0.20
(520.35)
(12.625.50)
06f13f14
06/16/14 Margin
Buy - Securities Purchased
COCO Nov 22 141.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
SONY CORP
75
0.65
(4.924.05)
(17,549.55)
SNE Oct 18 14 17.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
page 29 of 55
CONFIDENTIAL
SDNY_GM_00011583
EFTA_00122234
EFTA01267713
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity•
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/13/14
06/16/14 Margin
Buy - Securities Purchased
TESLA MOTORS INC
20
0.76
(1.537.48)
(19.087.03)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 17.00
Regulatory Fee 0.48
06f13f14
06/16/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
54
0.25
(1,387.00)
(20,474.03)
ZIOP Jul 19 14 5.0 C TO OPEN
Commission 35.70
Regulatory Fee 1.30
06/6/4
06/16/14 Margin
Delivered - Other
LULULEMON ATHLETTCA INC
100-
0.00
(20.474.03)
LULU Jun 13 14 48.5 C
EXPIRATION
06/2O4
06/17/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
HSOL
5.500
2.3099
(12.704.45)
(33.178.48)
ADS
06112/14
06/17/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
7.500
0.655
(4.912.50)
(38.090.98)
COM
06112/14
06/17/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
1.000-
6.261
6.260.86
(31,830.12)
COM
Regulatory Fee 0.14
06112/14
06/17/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
10.000
0.151
(1.510.00)
(33340.12)
COM
06112/14
06/17/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
868
3.98
(3.454.64)
(36.794.76)
COM
06112/14
06/17/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
2.400-
6.3401
15.215.90
(21.578.86)
COM
Regulatory Fee 0.34
06112/14
06/17/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
500
1.9699
(984.95)
(22.563.81)
WARRANT EXP 11/82018
06112/14
06/17/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.678
2.08
(3.490.24)
(26.054.05)
COM
06112/14
06/17/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
2.500
2.06
(5.150.00)
(31.204.05)
COM
06112/14
06/17/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
500-
2.275
1.137.47
(30.066.58)
ADS
Regulatory Fee 0.03
06112/14
06/17/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
5.000-
2.2712
11355.74
(18.710.84)
ADS
Regulatory Fee 0.26
page 30 o155
CONFIDENTIAL
SDNY_GM_00011584
EFTA 00122235
EFTA01267714
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/12/14
06/17/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
500-
2.2701
1.135.02
(17.575.82)
ADS
Regulatory Fee 0.03
06/12/14
06/17/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
422
2.07
(873.54)
(18,449.36)
COM
06/12/14
06/17/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
500-
2.31
1.154.97
(17,294.39)
COM
Regulatory Fee 0.03
06/12/14
06/17/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
500-
2.2801
1.134.02
(16,160.37)
ADS
Commission 6.00
Regulatory Fee 0.03
06/12/14
06/17/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
3.300-
2.28
7323.83
(8,636.54)
ADS
Regulatory Fee 0.17
06/12/14
06/17/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
865-
2.28
1$66.15
(6,670.39)
COM
Commission 6.00
Regulatory Fee 0.05
06/2/14
06/17/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
14-
2.29
26.05
(6,644.34)
ADS
Commission 6.00
Regulatory Fee 0.01
06/6/4
06/17/14 Margin
Buy - Securities Purchased
TESLA MOTORS INC
46
0.46
(2.148.41)
(8,792.75)
TSLA Jul 19 14 170.0 P TO OPEN
Commission 31.30
Regulatory Fee 1.11
06/6/4
06/17/14 Margin
Buy - Securities Purchased
AMAZON.COM INC
33
0.36
(1.212.95)
(10,005.70)
AMZN Jul 19 14 270.0 P TO OPEN
Commission 24.15
Regulatory Fee 0.80
06/16/14
06/17/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
100
0.62
(6.263.40)
(16,269.10)
APOL Jul 19 14 26.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/16/14
06/17/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
20
0.59
(1.197.48)
(17,466.58)
APOL Jul 19 14 26.0 P TO OPEN
Commission 17.00
Regulatory Fee 0.48
page 31 o155
CONFIDENTIAL
SDNY_GM_00011585
EFTA_00 122236
EFTA01267715
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/13/14
06/18/14
Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.000
3.90
(3.906.00)
(21.372.58)
COM
Commission 6.00
06/13/14
06/18/14
Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
7.800-
0.7703
6,002.20
(15,370.38)
COM
Commission 6.00
Regulatory Fee 0.14
06/13/14
06/18/14
Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
5.500-
0.79
4.338.91
(11,031.47)
COM
Commission 6.00
Regulatory Fee 0.10
06/13/14
06/18/14
Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
200
1.90
(386.00)
(11,417.47)
WARRANT EXP 11/18:2018
Commission 6.00
06/13/14
06/18/14
Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
500
1.8999
(949.95)
(12,367.42)
WARRANT EXP 11/18:2018
06/13/14
06/18/14
Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.200
1.90
(2.286.00)
(14,653.42)
WARRANT EXP 11/18:2018
Commission 6.00
06/13/14
06/18/14
Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
2.090
2.04
(4.269.60)
(18,923.02)
COM
Commission 6.00
06/13/14
06/18/14
Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
364-
2.25
812.98
(18,110.04)
COM
Commission 6.00
Regulatory Fee 0.02
06/13/14
06/18/14
Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
2.776-
2.3201
6.434.45
(11,675.59)
ADS
Commission 6.00
Regulatory Fee 0.15
06/13/14
06/18/14
Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
187
2.0199
(383.72)
(12.059.31)
COM
Commission 6.00
06/13/14
06/18/14
Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1,300
1.89
(2.463.00)
(14,522.31)
WARRANT EXP 11/18:2018
Commission 6.00
page 32 o155
CONFIDENTIAL
SDNY_GM_00011586
EFTA_00 122237
EFTA01267716
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/13/14
06/18/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
750-
2.27
1.696.46
(12,825.85)
COM
Commission 6.00
Regulatory Fee 0.04
06/13/14
06/18/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
10.000
0.14
(1.406.00)
(14,231.85)
COM
Commission 6.00
06/13/14
06/18/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
500
0.15
(81.00)
(14,312.85)
COM
Commission 6.00
06113114
06/18/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.906
2.01
(3.837.06)
(18,149.91)
COM
Commission 6.00
06113114
06/18/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
327
2.009
(656.94)
(18,806.85)
COM
06113114
06/18/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
6.000
0.16
(966.00)
(19,772.85)
COM
Commission 6.00
06113114
06/18/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
1.636-
2.25
3.674.91
(16,097.94)
COM
Commission 6.00
Regulatory Fee 0.09
06/17/14
06/18/14 Margin
Sell - Securities Sold
MICHAEL KORS HOLDINGS
50-
1.40
6.965.14
(9,132.80)
KORS Jul 19 14 25.0 P TO CLOSE
Commission 33.50
Regulatory Fee 1.36
06/17/14
06/18/14 Margin
Sell - Securities Sold
MICHAEL KORS HOLDINGS
70-
1.40
9753.60
620.80
KORS Jul 19 14 85.0 P TO CLOSE
Commission 44.50
Regulatory Fee 1.90
06117/14
06/18/14 Margin
Buy - Securities Purchased
KATE SPADE & COMPANY
150
0.40
(6.092.10)
(5,471.30)
KATE Jul 19 14 34.0 P TO OPEN
Commission 88.50
Regulatory Fee 3.60
06/17/14
06/18/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
10-
7.40
7.388.09
1.916.79
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
page 33 o155
CONFIDENTIAL
SDNY_GM_00011587
EFTA_00122238
EFTA01267717
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/17/14
06/18/14 Margin
Buy - Securities Purchased
YAHOO! INC
100
0.73
(7.363.40)
(5,446.61)
06/17/14
06/18/14 Margin
Buy - Securities Purchased
YHOO Jun 21 14 34.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
INTL BUSINESS MACHINES
50
0.22
(1.134.70)
(6.581.31)
06/17/14
06/18/14 Margin
Buy - Securities Purchased
IBM Jun 21 14 185.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
SONY CORP
50
0.65
(3.284.70)
(9,866.01)
06/17/14
06/18/14 Margin
Buy - Securities Purchased
SNE Oct 18 14 17.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
ADVANCED MICRO DEVICES INC
20
0.99
(1.997.48)
(11,863.49)
AMD Jun 21 143.5C TO OPEN
Commission 17.00
Regulatory Fee 0.48
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
6.500-
0.85
5.518.87
(6344.62)
COM
Commission 6.00
Regulatory Fee 0.13
06/16/14
06/19/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
1.000
1.50
(1.506.00)
(7,850.62)
COM
Commission 6.00
06/16/14
06/19/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
500
L455
(727.50)
(8,578.12)
COM
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
6.500-
0.9111
5,915.72
(2.662.40)
COM
Commission 6.00
Regulatory Fee 0.14
06/16/14
06/19/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
1.000
1.90
(1.906.00)
(4,568.40)
COM
Commission 6.00
06/16/14
06/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
6.82
(1.370.00)
(5,938.40)
COM
Commission 6.00
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
6.500-
0.9201
5.974.51
36.11
COM
Commission 6.00
Regulatory Fee 0.14
page 34 o155
CONFIDENTIAL
SDNY_GM_00011588
EFTA_00 122239
EFTA01267718
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
7.000-
0.9613
6.722.70
6.758.81
COM
Commission 6.00
Regulatory Fee 0.15
06/16/14
06/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
300
6.78
(2.040.00)
4.718.81
COM
Commission 6.00
06/16/14
06/19/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
600
4.05
(2.436.00)
2,282.81
RESOURCES
COM
Commission 6.00
06/16/14
06/19/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
15.000
0.322
(4.836.00)
(2.553.19)
COM
Commission 6.00
06/16/14
06/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
500
6.48
(3.246.00)
(5,799.19)
COM
Commission 6.00
06/16/14
06/19/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
3.500-
2.4401
8.534.16
2,734.97
ADS
Commission 6.00
Regulatory Fee 0.19
06/16/14
06/19/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.000
6.31
(6,316.00)
(3,581.03)
COM
Commission 6.00
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
5.200-
0.965
5.011.94
1.430.91
COM
Commission 6.00
Regulatory Fee 0.12
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
1.300-
0.965
1.254.47
2.685.38
COM
Regulatory Fee 0.03
06/16/14
06/19/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
2.367-
1.03
2.43195
5.117.33
COM
Commission 6.00
Regulatory Fee 0.06
06/16/14
06/19/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
200
2.03
(412.00)
4.705.33
COM
Commission 6.00
page 35 o155
CONFIDENTIAL
SDNY_GM_00011589
EFTA 00122240
EFTA01267719
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/18/14
06/19/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
200
0.40
(8.120.80)
(3.415.47)
NAT Oct 18 14 10.0 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
06/18/14
06/19/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
50
0.35
(1.784.70)
(5.200.17)
NAT Oct 18 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/18/14
06/19/14 Margin
Sell - Securities Sold
APOLLO EDUCATION GROUP INC
-
35-
4.30
15.023.57
9.823.40
APOL Jul 19 14 26.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.18
06/18/14
06/19/14 Margin
Buy - Securities Purchased
AMAZON.COM INC
50
0.20
(1.034.70)
8.788.70
AMZN Jul 19 14 270.0 P TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/ 8/ 4
06/19/14 Margin
Buy - Securities Purchased
INTL BUSINESS MACHINES
50
0.21
(1.084.70)
7.704.00
IBM Jun 21 14 185.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/9/14
06/19/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(7.704.00)
0.00
DEPOSIT ACCOUNT
06/7/14
06/20/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
700
1.74
(1.224.00)
(1,224.00)
COM
Commission 6.00
06/17/14
06/20/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
14.000
0.845
(11.836.00)
(13,060.00)
COM
Commission 6.00
06/17/14
06/20/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
3.400
0.1848
(634.32)
(13,694.32)
COM
Commission 6.00
06/17/4
06/20/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
1.600
0.18
(288.00)
(13,982.32)
COM
06/17/4
06/20/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
405
6.06
(2.460.30)
(16,442.62)
COM
Commission 6.00
06/17/4
06/20/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
95
6.05
(574.75)
(17,017.37)
COM
page 36 of 55
CONFIDENTIAL
SDNY_GM_00011590
EFTA_00122241
EFTA01267720
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/17/14
06/20/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
450
3.92
(1.770.00)
(18.787.37)
COM
Commission 6.00
06/17/14
06/20/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
250-
2.2601
559.01
(18,228.36)
COM
Commission 6.00
Regulatory Fee 0.02
06/17/14
06/20/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
3.000-
2.261
6776.85
(11,451.51)
COM
Commission 6.00
Regulatory Fee 0.15
06/17/14
06/20/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
800-
2.661
2.122/5
(9.328.76)
ADS
Commission 6.00
Regulatory Fee 0.05
06/17/14
06/20/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
2.710-
2.66
7.208.44
(2.120.32)
ADS
Regulatory Fee 0.16
06/17/14
06/20/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
485
0.135
(71.48)
(2.191.80)
COM
Commission 6.00
06/17/14
06/20/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
982
0.153
(156.25)
(2.348.05)
COM
Commission 6.00
06/19/14
06/20/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
75
0.25
(1.924.05)
(4,272.10)
FCEL Jul 19 14 2.5 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
06/19/14
06/20/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
20-
1.95
3.882.43
(389.67)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.57
06/19/ 4
06/20/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
10
3.15
(3.161.74)
(3.551.41)
SHLD Jul 19 14 39.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 37 o155
CONFIDENTIAL
SDNY_GM_00011591
EFTA (()122242
EFTA01267721
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/19/14
06/20/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
50
0.20
(1.034.70)
(4,586.11)
FCEL Jul 19 14 2.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/19/ 4
06/20/14 Margin
Buy - Securities Purchased
INTL BUSINESS MACHINES
20
0.03
(77.48)
(4,663.59)
IBM Jun 21 14 185.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
06/19/14
06/20/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
20-
1.96
3,902.43
(761.16)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.57
06/20/14
06/20/14 Margin
Div/Int - Income
GREEN PLAINS INC
GPRE
0.00
200.00
(561.16)
COM
Payable: 06120/2014
QUALIFIED DIVIDENDS
200.00
06/20/14
06/20/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
561.16
0.00
DEPOSIT ACCOUNT
06/18/14
06/23/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.93
(1.192.00)
(1,192.00)
COM
Commission 6.00
06/18/14
06/23/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.88
(1.182.00)
(2.374.00)
COM
Commission 6.00
06/18/14
06/23/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.79
(585.00)
(2.959.00)
COM
Commission 6.00
06/18/14
06/23/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
500
5.71
(2.861.00)
(5.820.00)
COM
Commission 6.00
06/18/14
06/23/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
500
5.69
(2.851.00)
(8,671.00)
COM
Commission 6.00
06/18/14
06/23/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
6.600
0.17
(1.128.00)
(9.799.00)
COM
Commission 6.00
06/18/14
06/23/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
7
2.04
(20.28)
(9,819.28)
COM
Commission 6.00
page 38 o155
CONFIDENTIAL
SDNY_GM_00011592
EFTA_00 122243
EFTA01267722
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Ouantity
Price
Amount
Balance
06/20/14
06/23/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
20-
2.16
4.302.42
(5.516.86)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.58
06/20/14
06/23/14 Margin
Buy - Securities Purchased
SONY CORP
50
0.95
(4.784.70)
(10.301.56)
SNE Oct 18 14 17.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/20/14
06/23/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
20-
2.16
4202.42
(5,999.14)
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.58
06/20/14
06/23/14 Margin
Sell - Securities Sold
FLAMEL TECH
10-
5.26
5.248.14
(751.00)
FLML Dec 20 14 10.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.36
06/20/14
06/23/14 Margin
Buy - Securities Purchased
UNILIFE CORP
300
0.90
(27.178.20)
(27,929.20)
UNIS Sep 20 14 2.5 C TO OPEN
Commission 171.00
Regulatory Fee 7.20
06/20/14
06/23/14 Margin
Buy - Securities Purchased
TEEKAY TANKERS LTD
500
0.05
(2.793.00)
(30,722.20)
TNK Jul 19 14 5.0 C TO OPEN
Commission 281.00
Regulatory Fee 12.00
06/20/14
06/23/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
75
0.40
(3.049.05)
(33,771.25)
NAT Oct 18 14 10.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
06/20/14
06/23/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
10
4.00
(4.011.74)
(37,782.99)
SHLD Jul 19 14 38.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/20/14
06/23/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
10-
7.20
7,188.10
(30,594.89)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.40
page 39 o155
CONFIDENTIAL
SDNY_GM_00011593
EFTA 00122244
EFTA01267723
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
06/20/14
06/23/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
20-
1.65
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.56
06/20/4
06/23/14 Margin
Sell - Securities Sold
FLAMEL TECH
10-
5.90
FLML Dec 20 14 10.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.38
06/20/4
06/23/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
20-
1.93
SHLD Jun 21 14 39.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.57
06/20/4
06/23/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
600
0.41
AMD Jan 17 15 4.5 C TO OPEN
Commission 336.00
Regulatory Fee 14.40
06/20/4
06/23/14 Margin
Sell - Securities Sold
ADVANCED MICRO DEVICES INC
620-
0.58
AMD Jun 21 14 3.5 C TO CLOSE
Commission 347.00
Regulatory Fee 15.68
06/23/14
06/23/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
DEPOSIT ACCOUNT
06/23/14
06/23/14 Margin
Delivered - Other
YAHOO! INC
100-
0.00
YHOO Jun 21 14 34.0 C
EXERCISED OPTION
06/23/14
06/23/14 Margin
Delivered - Other
ITT EDUCATIONAL SERVICES INC
100-
0.00
ESI Jun 21 14 25.0 C
EXPIRATION
06/23/14
06/23/14 Margin
Delivered - Other
RADNET INC.
40-
0.00
RDNT Jun 21 14 7.5 C
EXPIRATION
06/23/14
06/23/14 Margin
Delivered - Other
LULULEMON ATHLETTCA INC
75-
0.00
LULU Jun 21 14 45.0 C
EXPIRATION
06/23/14
06/23/14 Margin
Delivered - Other
SONY CORP
300-
0.00
SNE Jun 21 14 18.0 C
EXPIRATION
page 40 o155
CONFIDENTIAL
Amount
Balance
3.282.44
(27.312.45)
5.888.12
(21,424.33)
3.842.43
(17,581.90)
(24.950.40)
(42.532.30)
35397.32
(6,934.98)
6.934.98
SDNY_GM_00011594
0.00
0.00
0.00
0.00
0.00
0.00
EFTA_00 122245
EFTA01267724
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
06/23/14
06/23/14 Margin
Delivered Other
INTL BUSINESS MACHINES
260-
0.00
0.00
IBM Jun 21 14 185.0 C
EXPIRATION
06/19/14
06/24/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
4.000
2.02
(8.086.00)
(8,086.00)
COM
Commission 6.00
06/19/14
06/24/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
HSOL
8.000-
2.6501
21.194.33
13.108.33
ADS
Commission 6.00
Regulatory Fee 0.47
06/19/14
06/24/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.66
(1.138.00)
11.97023
COM
Commission 6.00
06/19/14
06/24/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.7316
(579.16)
11.391.17
COM
Commission 6.00
06/19/14
06/24/14 Margin
Buy - Securities Purchased
ACCESS PlIARMA INC
ACCP
10.000
0.315
(3.156.00)
8.235.17
COM
Commission 6.00
06/19/14
06/24/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
800
0.15
(126.00)
8.109.17
COM
Commission 6.00
06/19/14
06/24/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
400
0.964
(391.60)
7.71757
COMMUNICATIONS
COM
Commission 6.00
06/23/14
06/24/14 Margin
Buy - Securities Purchased
RADNET INC.
35
0.85
(3.001.09)
4.716.48
RDNT Sep 20 14 7.5 C TO OPEN
Commission 25.25
Regulatory Fee 0.84
06/23/14
06/24/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
5
4.75
(2.383.87)
2.332.61
YRCW Jul 19 14 22.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/23/14
06/24/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
10
7.60
(7.611.74)
(5.279.13)
GPRE Jul 19 14 25.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 41 o155
CONFIDENTIAL
SDNY_GM_00011595
EFTA (()122246
EFTA01267725
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/23/14
06/24/14 Margin
Buy - Securities Purchased
TEEKAY TANKERS LTD
200
035
(7.120.80)
(12.399.93)
TNK Nov 22 14 5.0 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
06/23/4
06/24/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
-
200
0.34
(6.920.80)
(19,320.73)
AMD Jan 17 15 4.5 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
06/23/14
06/24/14 Margin
Buy - Securities Purchased
RADNET INC.
35
0.80
(2.826.09)
(22.146.82)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 25.25
Regulatory Fee 0.84
06/23/14
06/24/14 Margin
Buy - Securities Purchased
SONY CORP
50
0.85
(4.284.70)
(26,431.52)
SNE Oct 18 14 17.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
06/23/14
06/24/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
100-
3.40
33.935.84
7.50432
BBRY Jan 17 15 7.0 C TO CLOSE
Commission 61.00
Regulatory Fee 3.16
06/23/14
06/24/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
150-
3.40
50.906.77
58,411.09
BBRY Jan 17 15 7.0 C TO CLOSE
Commission 88.50
Regulatory Fee 4.73
06/23/14
06/24/14 Margin
Buy - Securities Purchased
YAHOO! INC
100
1.00
(10.063.40)
48,347.69
YHOO Jul 19 14 34.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/23/14
06/24/14 Margin
Buy - Securities Purchased
KATE SPADE & COMPANY
7
0.15
(115.02)
48,232.67
KATE Jul 19 14 34.0 P TO OPEN
Commission 9.85
Regulatory Fee 0.17
06/24/14
06/24/14 Margin
Joumal - Other
PURCHASE FDIC INSURED
0.00
(48.232.67)
0.00
DEPOSIT ACCOUNT
06/20/14
06/25/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
300
5.30
(1.596.00)
(1,596.00)
COM
Commission 6.00
page 42 o155
CONFIDENTIAL
SDNY_GM_00011596
EFTA_00 122247
EFTA01267726
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/20/14
06/25/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
2.165-
0.9296
2.006.53
410.53
COM
Commission 6.00
Regulatory Fee 0.05
06/23/14
06/25/14 Margin
Buy - Securities Purchased
YAHOO! INC
YHOO
10.000
34.00
(340.010.00)
(339,599.47)
COM
Commission 10.00
06/24/14
06/25/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
575
0.05
(3.211.05)
(342.810.52)
COCO Feb 20 15 1.0 C TO OPEN
Commission 322.25
Regulatory Fee 13.80
06/24/14
06/25/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
10
4.50
(4,511.74)
(347,322.26)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/24/14
06/25/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
-
5
4.40
(2.208.87)
(349,531.13)
APOL Jul 19 14 26.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/24/14
06/25/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
10
1.90
(1,911.74)
(351.442.87)
NAT Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/24/14
06/25/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
5
2.70
(1.358.87)
(352.801.74)
QTWW Jul 19 14 3.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/24/14
06/25/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
10-
7.90
7.888.08
(344,913.66)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.42
06/24/14
06/25/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
10
3.60
(3.611.74)
(348,525.40)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
06/24/14
06/25/14 Margin
Buy - Securities Purchased
UNILIFE CORP
50
0.75
(3.784.70)
(352.310.10)
UNIS Sep 20 14 2.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
page 43 o155
CONFIDENTIAL
SDNY_GM_00011597
EFTA_00 122248
EFTA01267727
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/24/14
06/25/14 Margin
Buy - Securities Purchased
TEEKAY TANKERS LTD
5
0.30
(158.87)
(352.468.97)
TNK Nov 22 14 5.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
06/25/4
06/25/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
48.440.53
(304,028.44)
DEPOSIT ACCOUNT
06/25/14
06/25/14 Margin
Div/Int - Other
FDIC INSURED DEPOSIT
MMDA11
0.00
0.02
(304,028.42)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 06/3012014
Insured Deposit Accoun 0.02
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
250.000
0.016
(4.006.00)
(308,034.42)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
65.000
0.022
(1.436.00)
(309,470.42)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
25.000
0.0215
(537.50)
(310,007.92)
COM
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
80.000
0.0215
(1.726.00)
(311,733.92)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
100-
6.76
669.98
(311,063.94)
COM
Commission 6.00
Regulatory Fee 0.02
06/23/14
06/26/14 Margin
Sell - Securities Sold
INTERCLOUD SYSTEMS INC
ICLD
4.500-
6.7501
30374.77
(280,689.17)
COM
Regulatory Fee 0.68
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
9.749
0.026
(259.47)
(280,948.64)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
8.000
0.0238
(190.40)
(281,139.04)
COM
06/23/14
06/26/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
200
1.9998
(405.96)
(281,545.00)
COM
Commission 6.00
page 44 o155
CONFIDENTIAL
SDNY_GM_00011598
EFTA_00122249
EFTA01267728
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Settle
Acct
Transaction!
Symbol/
Date
Date
Type
Cash Activity•
Description
CUSIP
Quantity
Price
Amount
Balance
06/23/14
06/26/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
393
1.9899
(782.03)
(282.327.03)
COM
06/23/14
06/26/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
300
1.9898
(596.94)
(282.923.97)
COM
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
50.000
0.0251
(1.261.00)
(284,184.97)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
30,000
0.025
(750.00)
(284,934.97)
COM
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
75,000
0.0231
(1.738.50)
(286,673.47)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
85,000
0.0225
(1.918.50)
(288,591.97)
COM
Commission 6.00
06/23/14
06/26/14 Margin
Sell - Securities Sold
YAHOO! INC
YHOO
10,000-
33.59
335.886.57
47,294.60
COM
Commission 6.00
Regulatory Fee 7.43
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
40.000
0.026
(1.046.00)
46,248.60
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
105,000
0.0232
(2.442.00)
43,806.60
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
95,000
0.0233
(2.219.50)
41,587.10
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
5.000
0.0232
(116.00)
41.471.10
COM
06/23/14
06/26/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.1996
(1.045.92)
40.425.18
COM
Commission 6.00
06/23/14
06/26/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
3,582.251
0.016
(57.322.02)
(16,896.84)
COM
Commission 6.00
page 45 o155
CONFIDENTIAL
SDNY_GM_00011599
EFTA_00 122250
EFTA01267729
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Duantity
Price
Amount
Balance
06/25/14
06/26/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
6
3.80
(2.289.45)
(19.186.29)
06/25/14
06/26/14 Margin
Sell - Securities Sold
YRCW Jul 19 14 22.5 C TO OPEN
Commission 9.30
Regulatory Fee 0.15
GREEN PLAINS INC
10-
7.30
7.288.09
(11.898.20)
06/25/14
06/26/14 Margin
Buy - Securities Purchased
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
GREEN PLAINS INC
75
1.99
(14.974.05)
(26,872.25)
06/25/14
06/26/14 Margin
Sell - Securities Sold
GPRE Sep 20 14 35.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
GREEN PLAINS INC
10-
7.40
7388.09
(19,484.16)
06/25/14
06/26/14 Margin
Sell - Securities Sold
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
GREEN PLAINS INC
15-
7.40
11.085.14
(8399.02)
06/25/14
06/26/14 Margin
Sell - Securities Sold
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.61
GREEN PLAINS INC
10-
7.50
7.488.09
(910.93)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
06/24/14
06/27/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.12
(1.030.00)
(1.940.93)
COM
Commission 6.00
06/24/14
06/27/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
100-
4.4175
435.74
(1,505.19)
COM
Commission 6.00
Regulatory Fee 0.01
06/24/14
06/27/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
1.900-
4.4101
8.379.00
6.873.81
COM
Regulatory Fee 0.19
06/24/14
06/27/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
110
3.72
(415.20)
6.458.61
COM
Commission 6.00
06/24/14
06/27/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
90
3.715
(334.35)
6.124.26
COM
page 46 o155
CONFIDENTIAL
SDNY_GM_00011600
EFTA_00 122251
EFTA01267730
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/24/14
06/27/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
12.300
0.15
(1.851.00)
4,273.26
COM
Commission 6.00
06/24/14
06/27/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
800-
4.275
3.413.92
7,687.18
COM
Commission 6.00
Regulatory Fee 0.08
06/24/14
06/27/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
200-
4.272
854.38
8.541.56
COM
Regulatory Fee 0.02
06/24/14
06/27/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
1.800-
4.271
7.687.63
16,229.19
COM
Regulatory Fee 0.17
06/24/14
06/27/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
300
3.72
(1.122.00)
15,107.19
COM
Commission 6.00
06/24/14
06/27/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
40.450
0.025
(1.017.25)
14.089.94
06/26/14
06/27/14 Margin
Buy - Securities Purchased
COM
Commission 6.00
GREEN PLAINS INC
50
1.90
(9.534.70)
4.555.24
06/26/14
06/27/14 Margin
Sell - Securities Sold
GPRE Sep 20 14 35.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
JETBLUE AIRWAYS CORP
20-
3.74
7.459.60
12.014.84
06/26/14
06/27/14 Margin
Sell - Securities Sold
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.65
JETBLUE AIRWAYS CORP
5-
3.73
1.864.83
13,879.67
06/26/14
06/27/14 Margin
Buy - Securities Purchased
JBLU Jan 17 15 7.0 C TO CLOSE
Regulatory Fee 0.17
APOLLO EDUCATION GROUP INC
150
0.28
(4.292.10)
9.58757
06/26/14
06/27/14 Margin
Sell - Securities Sold
APOL Aug 16 14 36.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
GREEN PLAINS INC
10-
7.50
7.488.09
17.075.66
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.41
page 07 o155
CONFIDENTIAL
SDNY_GM_00011601
EFTA (1(1122252
EFTA01267731
Statement for Account # 867-730320
06/01/14 - 06/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/27/14
06/27/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(17.075.66)
0.00
DEPOSIT ACCOUNT
06/25/14
06/30/14 Margin
Buy - Securities Purchased
I-IAUPPAGE DIGITAL INC
HAUP
8.800
0.15
(1.326.00)
(1.326.00)
COM
Commission 6.00
06/25/14
06/30/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
37.000
0.0212
(790.40)
(2,116.40)
COM
Commission 6.00
06/25/4
06/30/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
618
0.75
(469.50)
(2,585.90)
COM
Commission 6.00
06/25/14
06/30/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
32
0.7499
(24.00)
(2.609.90)
COM
06/25/14
06/30/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
200
0.7486
(149.72)
(2.759.62)
COM
06/27/14
06/30/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
20-
6.00
11.982.25
9,222.63
YRCW Jul 19 1422.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.75
06/27/14
06/30/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
100
1.86
(18.663.40)
(9,440.77)
BBRY Jan 17 15 9.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/27/14
06/30/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
25
2.15
(5.395.35)
(14,836.12)
GPRE Sep 20 14 35.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
06/27/14
06/30/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
43
1.25
(5.405.69)
(20,241.81)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 29.65
Regulatory Fee 1.04
06/27/14
06/30/14 Margin
Buy - Securities Purchased
RADNET INC.
15
0.75
(1.139.61)
(21,381.42)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
06/27/14
06/30/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
250
0.30
(7.649.50)
(29,030.92)
GOWN Jan 17 15 5.0 C TO OPEN
Commission 143.50
Regulatory Fee 6.00
page 08 o155
CONFIDENTIAL
SDNY_GM_00011602
EFTA_00 122253
EFTA01267732
Statement for Account # 867-730320
06,01/14 - 06/30/14
Account Activit
Trade
Settle
Acct
Transaction!
Date
Date
Type
Cash Activity•
06/27/14
06/30/14 Margin
Buy - Securities Purchased
Description
GREEN PLAINS INC
GPRE Sep 20 1435.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
06/27/14
06/30/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.49
06/27/14
06/30/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
15-
3.90
5,835.26
(22,130.75)
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.49
06/27/14
06/30/14 Margin
Sell - Securities Sold
APOLLO EDUCATION GROUP INC -
20-
5.00
9,982.29
(12.148.46)
APOL Jul 19 14 26.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.71
06/27/14
06/30/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
10-
3.92
3,908.17
(8.240.29)
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.33
06/27/14
06/30/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
7
1.30
(920.02)
(9.160.31)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 9.85
Regulatory Fee 0.17
06/27/14
06/30/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
1
1.76
(182.58)
(9,342.89)
BBRY Jan 17 15 9.0 C TO OPEN
Commission 6.55
Regulatory Fee 0.03
06/27/14
06/30/14 Margin
Buy - Securities Purchased
UNITED STATES NAT GAS FUND
71
0.37
(2,673.76)
(12,016.65)
UNG Jul 19 14 25.0 C TO OPEN
Commission 45.05
Regulatory Fee 1.71
06/30/14
06/30/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
12.016.65
0.00
DEPOSIT ACCOUNT
06/30/14
06/30/14 Margin
Div/Int - Expense
MARGIN INTEREST CHARGE
0.00
(190.07)
(190.07)
Payable: 06/30/2014
Closing Balance
'For Cash Aclivily totals, refer to the Cash Activity Summary on page one of your statement.
Symbol,'
CUSIP
Quantity
25
Price
Amount
Balance
1.90
(4,770.35)
(33,801.27)
page 49 of 55
CONFIDENTIAL
15-
3.90
5,835.26
(27,966.01)
SDNY_GM_00011603
($190.07)
EFTA 00)22254
EFTA01267733
Statement for Account # 867-730320
06/01/14 - 06/30/14
TD Ameritrade Cash Interest Credit/Expense
Begin
Margin
Date
Balance
Credit
Number
Balance
of Days
Interest
Rate
Interest
Debited
Interest
Credited
06/01/14
$ (40,921.55)
$
1
8.50
$ 9.66
$ -
06/06/14
(42.375.14)
3
8.50
30.02
06/09/14
(113.606.72)
1
7.25
22.88
06/10/14
(54.103.05)
1
7.50
11.27
06/11/14
(48,923.21)
1
8.50
11.55
06/12/14
(42,976.40)
1
8.50
10.15
06/13/14
(32,583.38)
3
8.50
23.08
0616/14
(20,474.03)
1
8.75
4.98
06/17/14
(17,466.58)
1
8.75
4.25
06/18/14
(11,863.49)
1
8.75
2.88
06/25/14
(304,028.42)
1
7.00
59.12
06/26/14
(910.93)
1
9.00
0.23
Total Interest Income/(Expense)
$190.07
$ 0.00
Insured Detosit Account Interest Credited
Begin
Number
Interest
Interest
MTD
MTh
Date
Balance
of Days
Rate
Accrued
Accrued
PAID
06/02/14
06/03/14
06/04/14
06/05/14
06/19/14
06/20/14
06/23/14
06/24/14
06/27/14
06/30/14
$ 29,897.61
18,735.23
13,088.47
35,298.36
7,704.00
7,142.84
207.86
48,440.53
17,075.66
5,059.01
1
0.0100
1
0.0100
1
0.0100
1
0.0100
0.0100
3
0.0100
0.0100
0.0100
3
0.0100
0.0100
0.01
0.01
0.01
0.02
0.01
$ 0.01
0.01
0.02
0.03
0.02
0.01
0.01
$ -
0.03
0.02
0.01
Total Interest Income
$0.06
Trades Pending Settlement
Account
Symbol!
Trade
Settle
Investment Description
Type
CUSIP
Quantity
Price
Date
Date
Amount
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
2.200
$ 4.1599
06/26/14
07/01/14
$ (9,157.78)
COM
BUY
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
300
4.15
06/26/14
07/01/14
(1,245.00)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.23
06/26/14
07/01/14
(529.00)
COM
page 50 of 55
CONFIDENTIAL
SONY_GM_000 11604
EFTA_00122255
EFTA01267734
Statement for Account # 867-730320
06/01/14 - 06/30/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.25
06126114
07/01/14
(531.00)
COM
BUY
HAUPPAGE DIGITAL INC
Margin
HAUP
22.000
0.15
06/26/14
07/01/14
(3.306.00)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.23
06/26/14
07/01/14
(529.00)
COM
BUY
TITAN ENERGY WORLDWIDE INC
Margin
TEWI
24.500
0.023
06/26/14
07/01/14
(569.50)
COM
BUY
LANTRONIX INC
Margin
LTRX
300
1.92
06/26/14
07/01/14
(582.00)
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
200-
3.9501
06/26/14
07/01/14
784.00
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
300-
3.95
06/26/14
07/01/14
1.184.97
COM
SELL
7A7A ENERGY CORPORATION
Margin
7A7A
3,000-
0.8251
06/26/14
07/01/14
2.469.24
BUY
COM
AEROPOSTALE INC
Margin
50
0.55
06/30/14
07/01/14
(2.784.70)
BUY
ARO Jul 19 14 3.0 C
APOLLO EDUCATION GROUP INC
Margin
10
5.10
06/30/14
07/01/14
(5.111.74)
SELL
APOL Jul 19 14 26.0 C
JETBLUE AIRWAYS CORP
Margin
25-
4.10
06/30/14
07/01/14
10.229.42
BUY
JBLU Jan 17 15 7.0 C
COWEN GROUP INC
Margin
50
0.25
06/30/14
07/01/14
(1.284.70)
BUY
GOWN Jan 17 15 5.0 C
BLACKBERRY LIMITED
Margin
100
1.01
06/30/14
07/01/14
(10,163.40)
SELL
BBRY Sep 20 14 10.0 C
GREEN PLAINS INC
Margin
15-
7.90
06/30/14
07/01/14
11.835.12
BUY
GPRE Jul 19 14 25.0 C
AEROPOSTALE INC
Margin
26
0.55
06/30/14
07/01/14
(1.450.93)
BUY
ARO Jul 19 14 3.0 C
YRC WORLDWIDE INC
Margin
100
1.30
06/30/14
07/01/14
(13,063.40)
SELL
YRCW Aug 16 14 30.0 C
GREEN PLAINS INC
Margin
20-
8.00
06/30/14
07/01/14
15.982.16
GPRE Jul 19 14 25.0 C
page 51 o155
CONFIDENTIAL
SDNY_GM_00011605
EFTA_001 22256
EFTA01267735
Statement for Account # 867-730320
06/01/14 - 06/30/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
SELL
APOLLO EDUCATION GROUP INC
Margin
15-
5.28
06/30/14
07/01/14
7,905.21
APOL Jul 19 14 26.0 C
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.2499
06/27/14
07/02/14
(530.99)
COM
SELL
OCLARO INC
Margin
OCLR
400-
2.315
06(27/14
07/02/14
919.97
COM
SELL
OCLARO INC
Margin
OCLR
4,100-
2.311
06(27/14
07/02/14
9,474.89
COM
BUY
ACCESS PHARMA INC
Margin
ACCP
3.000
0.295
06(27/14
07/02/14
(891.00)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.259
06(27/14
07/02/14
(531.90)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBTW
100
1.559
06/27/14
07/02/14
(161.90)
WARRANT EXP 11/18/2018
SELL
7A7A ENERGY CORPORATION
Margin
7A7A
500-
0.8676
06/27/14
07/02/14
427.79
COM
SELL
7A7A ENERGY CORPORATION
Margin
7A7A
7.408-
0.8675
06(27/14
07/02/14
6,426.29
COM
BUY
LANTRONIX INC
Margin
LTRX
500
2.02
06/27/14
07/02/14
(1,016.00)
COM
BUY
HAUPPAGE DIGITAL INC
Margin
HAUP
200
0.15
06(27/14
07/02/14
(36.00)
COM
BUY
LANTRONIX INC
Margin
LTRX
600
1.93
06/27/14
07/02/14
(1,164.00)
COM
BUY
ACCESS PHARMA INC
Margin
ACCP
14.950
0.286
06/27/14
07/02/14
(4,281.70)
COM
BUY
HAUPPAGE DIGITAL INC
Margin
HAUP
5.000
0.1744
06/27/14
07/02/14
(878.00)
COM
SELL
7A7A ENERGY CORPORATION
Margin
7A7A
100-
0.90
06/27/14
07/02/14
83.99
COM
SELL
7A7A ENERGY CORPORATION
Margin
7A7A
1.385-
0.90
06/27/14
07/02/14
1,246.47
COM
BUY
OCLARO INC
Margin
OCLR
7.500
2.1599
06/30/14
07/03/14
(16.205.25)
COM
page 52 o155
CONFIDENTIAL
SDNY_GM_00011606
EFTA_001 22257
EFTA01267736
Statement for Account # 867-730320
06/01/14 - 06/30/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
BUY
TRANSGENOMIC INC
Margin
TBIO
100
3.889
06)30/14
07/03/14
(394.90)
COM
BUY
LIHUA INTERNATIONAL INC
Margin
LIWA
19.900
0.325
06/30/14
07/03/14
(6.473.50)
COM
BUY
LIHUA INTERNATIONAL INC
Margin
LIWA
25.000
0.30
06/30/14
07/03/14
(7.506.00)
COM
SELL
ZIOPHARM ONCOLOGY INC
Margin
ZIOP
2.800-
4.1101
06/30/14
07/03/14
11.502.02
COM
SELL
OCLARO INC
Margin
OCLR
1,500-
2.1901
06/30/14
07/03/14
3.279.07
COM
BUY
LIHUA INTERNATIONAL INC
Margin
LIWA
5,100
0.295
06/30/14
07/03/14
(1.510.50)
COM
SELL
7A7A ENERGY CORPORATION
Margin
7A7A
1,652-
0.876
06/30/14
07/03/14
1.441.11
COM
SELL
ZAZA ENERGY CORPORATION
Margin
7A7A
2.800-
0.873
06/30/14
07/03/14
2.438.34
COM
page 53 o155
CONFIDENTIAL
SDNY_GM_00011607
EFTA_00 I 22258
EFTA01267737
Statement for Account # 867-730320
06/01/14 - 06/30/14
Insured De . osit Account Activi
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
Opening Balance
$ 0.00
06/02/14
06/02/14
Received
FDIC INSURED DEPOSIT ACCOUNT
$ 29,897.61
29,897.61
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06103/14
06/03/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(11,162.38)
18,735.23
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/04/14
06/04/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(5,646.76)
13,088.47
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06105114
06/05/14
Received
FDIC INSURED DEPOSIT ACCOUNT
22,209.89
35.298.36
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06106/14
06/06/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(35,298.36)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/19/14
06/19/14
Received
FDIC INSURED DEPOSIT ACCOUNT
7,704.00
7.704.00
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/20/14
06/20/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(561.16)
7.142.84
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/23/14
06/23/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(6,934.98)
207.86
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/24/14
06/24/14
Received
FDIC INSURED DEPOSIT ACCOUNT
48,232.67
48.440.53
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/25/14
06/25/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(48,440.53)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
page 54 0155
CONFIDENTIAL
SDNY_GM_000 11608
EFTA_00122259
EFTA01267738
Statement for Account # 867-730320
06/01/14 - 06/30/14
Insured Deposit Account Activity
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
06/27/14
06/27/14
Received
FDIC INSURED DEPOSIT ACCOUNT
17,075.66
17,075.66
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
06/30/14
06/30/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(12.016.65)
5.059.01
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
06/30/14
06/30/14
Received
Interest: Insured
0.02
5.059.03
Deposit Account
Closing Balance
TD Bank NA
$5,059.03
$5,059.03
FDIC Insured Deposrl Account ODA) balances reflected in your brokerage account are FDIC-insured t p to applicable limits and held by TO Bank. N.A.. or TD Bank LISA. N.A.. or both. The IDA balances are not covered by :he
Secunties Investor Protection Cal:oration (SIPC) protection appbcable to your brokerage account.
Important Information
The most recent statement of financial condition for TD Ameritrade Clearing, Inc. may be obtained at no cost, via the Internet at http://wvmtdameritrade.comffinancialstatement.html on
or before June 13. 2014, or by contacting TD Ameritrade Clearing, Inc. at 1.800.237.8692. As of March 31, 2014, TD Ameritrade Clearing, Inc. had net capital and a net capital
requirement of $1.42 billion and $266.6 million, respectively. A copy of the report and comments is currently available for customers' inspection at the principal office of the commission
in Washington DC and the Denver, CO office of the Commission.
Required Annual FINRA Information: FINRA maintains a toll-free public disclosure hotline where investors may call to request disclosable background information on any licensed broker
or broker-dealer. To call the hotline, dial 1.800.289.9999. FINRA also maintains an Internet web site where investors may obtain useful information concerning FINRA policies,
procedures and services. The web site can be accessed at www.finra.org. Additionally, FINRA has a brochure which describes the investor education and protection program. You may
request this brochure either through the FINRA web site or by calling the toll-free public disclosure hotline.
page 55 of 55
CONFIDENTIAL
SDNY_GM_000 11609
EFTA_00122260
EFTA01267739
1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE 8-3
ST THOMAS. VI 00802-1348
SDNY_GM_00011610
CONFIDENTIAL
EFTA01267740
Terms and Conditions
STATEMENT GUIDE
IL Ar stroeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans
ta omase accounts tutti asels.'
Portfolio Symfonie,: DOM Ilro Correct «Poe d >Por p00010 es Of the repro dele end
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by
invesimert type
MAM* dboateres under 5% enk be grouped mto thocampory ol toear in tho po chan. Mar
Essay - Total Account Ertuib<Froiel Long Maginable Vekte • Total Short Velde)
Actrvity Sumarry: Ine opening and doling cash blanca dro reconoted hete lor year aak
relerosce At account ti nnry es sunntanzed lor Me (urgen pand and year to dato_
boom* a Exponeer Summary (nendEAs only): Ibis seroen adat ene mama ard amensa
Ixait trom the Sant Summa>, and ePonales the las IrealMent
Rebnsment Account Surnmary ORM only): Redes Om IRS reculatod transaceons for lbo
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or
Doorns« 31 ot tho panui yoar ard tur be furrishod tome hierna Revenu° Sance.
PadonnanceSummary:Monitor >oor omwal portfolio Postament, eid Ihe ineen/cd gaine and
lossa. *or your luturo roe:trom strategy,
Account PositIons: View your rnostrnonts l mo current marka yam ard corrporo the oognel
cad to vee irweeked geine and Poses n your pordol0 Originel coel is esagned uling 'he
baba. nratoul (FIFO) method. weien assumee me lire' share, >Po set ere Moes you purchased
tra Dm aanbid ertrostmard encome2 and ~rage cast per share are dondayed lor your
mier/ace Wee «Pol pathos° date e ilomn br en rdeehon 01 you holdeig Ped0C1.
AcCOunt Aethily: Al Sidart ecIMly ia deert/ del bed. Iele« in OM Order. end relleded n me
doens; cash WlenCe.
TMOnt %Sine Pottlensinl: Confirm you emOred tredes enn e senemen dete alle! monne
Ø. Denso transactions tid bo rellected n me Account Acvmy tomon neb moms.
Onno. Geelt Services TranncliOn
Cash mannenren Inwla8CMSW Mal Cleared Ckaing
ms statanom reporting pond. mdudng check. doen card and MIA acurny. are ',stad en dato
dar
Onbne Cash Services Sunmwy: Credt ard dabt transactien mats lor mo arrom statement
rePOnag pedod e summerized. InditiCkel neonataal, eie rot limed.
'Je to !tanding oaustments. mo stroman detals may nei apal me statement totals.
telnleled Aan'
Income end Eserroted Annuel bied vlakten are bets troon Ibe number ei
slums coma) or avrom valuta balanca as ot ne statement dale ard mo non team draden:1
rele or cash Pekt pende()
GENERAL INFORMATION
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe aPosor or las
titCOurall venen neCesslery. As e standerd inCleby paden. plan COneenblens may be
nabetaal br Sally 00nInat and transaegOn vedrcelm OurpOste.
For TO Amentrade rasebro al acre. ytre °Mes« hm es scparate from and not attbaled wit.
TO Antentrade. Inc. te TO Armeren° °meng, Inc.. ard aan h'm es rot responsble la the
0100xle end senices Ol Me erher.
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM
statement you
*houd immediatety con ve et tho omber had 00 page ome 01
your statement You
*houd oho contact our Clearing Frm TD Amentrade
Clearing, ro. el 800469-95100.
Please rcenew ms sialemoM c.iredity. Ir you dragee* wilt any tanndel or d Mae am any
orde er (mene",. please roert, e Dient Services represeMelhe a you 1):81 Winch OPoe. es
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th,
statement Arry oil statements Ihet you hem made to ui ~JO be CONPoted in writtsp The
statement Wil «Ponem be considered conclehe.
Fletse natelt a prompity 01 any charter in yocr cOnteci inormation. Tranende% Meehad On
your rcpan wil be concbsepaydecomed aeontourdoss you noely
TO Amenfadoirrenadatey.
Account Proleabn: erepoints held by TO Rank. NA ard TD Drek USA. N.A. aro resured by
me FDIC (ral COvered by SIPC) Up 10 $250.000. Emils are per arabist ormert110 per
iinett401. TO leem more etOut FDIC COverage go to twee IdCgOv. Seadharr. indoet®
~krat bnp., held in 00 Ontlieten* ACCOunt are MI depOniti Or obligatione d. or
"'wantend by. any bank. aro not FOltenscrect and envoho envestmord d:as. ircludng
posstle loss ol princpal. TD Amen:rade is a momber ol Me &curettes Inval« Praatten
Corporalion (51PC'). which prima: secunnes a-stomers of els manbars up lo 5500.000
(inlading 5250.000 lor dodo fez cash). Explanatory brochure is available on requal
wAd.abc.ere.
lt Me «Pol 01 a aderend ineolrency. a Clan may realbeeMOunts due trom the Posten
In nardouldnY and mon SIPC. Pocolonental omorago is pad out dier nve trustee and
SIPC payouts ard Lader such coyotes@ each den es limiled to a temend return ot
5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Anteribade Supplanenlel
navenant bas an aggrogale hm el 550) muon amt as cum:mors. ins polcy taande:
Cerevage lotkraing Weswege ineohincy enddoes nOl proleet Poenale» in merkel neb,
dem securnos
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd
erepost Insuranar Corporation (F010 a any oma government agent,. Mimi.", 010
eUrldS bek 10 posene the valle d yOur imealment al 51 0) p« gure. 4 b pOsebb 10
lOtte moro'/ by inmeng n a money merkel kind. (badende eie Mand dely end
pactrantestod merdy. Tno pntopedos contans des ard odia important dormalon
Reed the aanmars abrecify Won ~Ong. NOndePollil invettmente held b/ your
boker dealer We NOT FDIC ItISURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
The balen°, i, your bank depend eCCO.ed Of tihtueS d 'Muf MONS, makel ordul fund
can to losbond on your order. and Me cmorieds raturnad lo war sccurees account or
renseled byta
Tas ~eng: The andt ban if Maler Poornent You e0 ranke FOrm 1039b «Poel
tm Daan e. oxrplame wilt ES racemis indudes tab roden bode t. Poen
Seie. lauw ~1
end eros procenten Sone mimeria ere subject 10 redessnailOn nbds
wil toren:dol at mixocrxrt tor reccds
OM
Coet Eens. tas Mt and Dateren= ceporing and Gun:kaper are Wend a-el
~AN
by CO1 hCCaPORSTED TI) analade is not reperetne ta te retbrity or
bitay el tm necrmmcn. ID Amon) ao ad ts Ponen
proidom ilenwders1 do not
MA.Venleethe a:Way d the inkmelon and data prokided Cal teCORPOMIED'a a aPotrale
coneny end e ra etilted wth 11)amennede
Porgin and Options Account Agreements: Promo,/ aPosol0 Amenirado n meng ot
arry deango re your invemment clarcuyos or inarcial stuaren as they man to your
~Min Or 001~ 8000unt agreernenis A sumnbay Or amminions and charge, ineuned
wei sn oxcroutban ol opeens nasa:eens is ~Mae.
Oren Makel Poon: The molmt 'duet d somma ham bom Wand d eraan korn
q".:10‘ sent» ad Oer roependen( acne Wim we Woed On Ob dovig aree me
ran beween me brd ad arltrq paces or ahoi re ces. t no marker tam n /Motie smia
qadaiacn eend> tr Oh« indePoodent Mae. he sec" e Woed lo beng relected
Nul Pace Ce) Die dlu»dts cri your pct
raat are Wan», os 90104, Intrrdlon ad
to dom guramoo bb accuracy ct ave soorten pree:. Molair badrad postons aro mbo]
rang Po ~enne banco ad be om« merkel pico Pelde Kast kaldion my nei
manco, sake aam*, lbo teo:nday naad Ia Cotrodos d Oogst: (Ca) n generaly
ituud and the adat tute me, be dtiews aan Me ~me Vee MatlIcertitss Cl PPoPol
mar rooit Pon Me :ab ol a CD par la rralsty Sext adb Ral Worm Securtes Wade
dforomy mal oom sauna and tum rar <natelde accronse. Renet Ins/ waarin»
OTC loer the °punten markt( and dirOtet louctryrntyrxt era ta tor »wil sour poelen picr
to rrauty. To vlo et tent 'mor to rrubsty ma/ rooJi n a las d renapol.
Non Standard Assem OISAI aso typcaly ~remt
ra droeg pastematon program sauma
gootrentms. Irtmodnielltycempana. er red MEM rriesron innen certrada pais. prude
buty abele deel a eedpre Ø. N546 ere botdy houd mealmtas ad do not Inde ee' a
nanel mana behanger a ta Krom Stoa Wad Do 'duce dean ta mto mede :nis
ere ~Ad
takes det ed han orbe ~bolk Pokend bul nol Inbed Is ndependenl
appret:ah de proeyams rn =eb, and« tred party tonder aders tul ham boen prtmeed by
Me ~mora" ~maand*
bader d ØIØ
eb/ a thrdpaty vendu Milou!
indgendeM ~esa by TI) noodde. Vatne mei nat raket pkt Øne raglan, pico.
smal mairi 'duo er be roalaxl man Inbidoacn
an asemend ida cadet be esLablehed
*rough rose methode. Me Winden mto be reflected es NOnanced CNV) Fel eddlend Octet
tombng tobben la Pon-Sudan:1 koe. Ome arm Clan Senatet These nossimerts
re net wand urda ro SIPC
Aden lido Steunbeer/art Pang: Die motet~ Ia MS somma hom boen caaned.
meld». trom chOtakneenbat er Wei Poepende« ~en The way
cd ne pag is nos
~amant Ha maag taboe rot matte. TD emeritaat sel pret Om IESpeolim.takrg ille
~dorden bot tm Rhea sa underbmg mek quaty. Wie SAS merkel is eurrenly
tononbab e bak el Sally end. be went Mae an be ro esstrtrce mel toch scones an
to aa ader con, molmt codices.
REGULATORY DISCLOSURES
For an investor brochuo Mal encbcles informabon desaliang FINAM Pusht Thsclesuro
Program. plees° contact FINRA at 030-289.9?99 or wymtiva01.
Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
th, Makel VON, balace ~TO
Amen:rede Carlh. as 01 me delement °Man) dele Simple
modest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
Inname:d Statement Noldbation: The mammae ol atonaal condten lor TO OmonIrado
~lede Wee a year and mey be obtentcl al nO ceel. vie Me intomen el
Mar.stwortectonentradeoonslinanctabiatemonthrn.
°neon AssIgnment: MI short onerty ogion canons and same index oom ponbons are
~Mae lor essignment brede assignintm races to' Nut., or index options ere rendont'
alocated aflang alldorde shon pontons try an atomlad praatte.
Free Credit ~annex "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
Credit baaneb h yOur account n IN Ordner>, none ol cm boenen whkh en> melde to yOu
on dorheid.
Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
ytre neon OCCOUril arde Weekt] ~etend" acobnt Tradng on mengn poses eddlional
nok, and d nol rurale lor all investors. A complet* lat c4 the risks anomalie, tunn mannin
bedoe is maag° in me marge rek diabeten clavnent YOu mey obtain e copy or Ms
document by conleeling tie el ma vanher Select on page ene ol roer statement
Payment ler Order Flow (SEC Redes 606 and 607): In somo crcumstances. TO Arno/tirade
recenros oompassabon ler ctioceng canon any.theoeunta ard bard essay oØelaa to
selected mestas. brok«, or dealers (morkel fontenel Cempentabon is in Ille lam or a per
share cash payment. b adelen:n. TO Amatradealso may raam carponsaten rented to mo
foreign curency Metten» COmponent el trenaletiOns &Oenen necuribes Iren Merkel Cellen
ore ang itCh raa
Wo post guttery mans discleung Oio tenues lor order roLtng
*zoen!~ at wrAvidarrirtrado_com. A ventten copy is avoratle apen roXpett.
h es our penny. absent' Pari orders to lno antrary. to select brokets. dooiers. ard ~kei
~keft Pond On Me (Willy to aarde bed erecsmon and the halery 01 seeling eia
,Øvematen markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions eie PereminedOn ihe Inanabbn dele.
Tem: Transactie", in beien sPourilen (nCluSnE bre4gn conelanY ADM Iltel Ira In *be
U.S.) me/ rebel° exa ani lees chargod by tre, keer madam en governmenls. Wedt may
be rasled in Ute print Ol Me money Of cherged
an Poepende« Ine Pon
Prancy Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
waw.Pamegiradoeorn
Cao** Securbern The Oman el podia raemdtnsb calls is dane vang a proeft ketny
mslem. A aoanption el mo proadres br Dankte secunins is avalabloon me ~Ma or haal
«mies aro ~tabla twonicep.osi.
In Case Ol enorti er epestona abeel your ElearatiC Fund %Adem ',sekse co wei e ei
16606693900. ar n wrang to P.O. Box 2209, Omaha. NE 68103. or by emoe at
[email protected] The PoOnnaten cOnleined n sou( *aard statement shag
be bndng upen youil you do not ettci wthn sub LEE days lor any transfer d lurds si pa
se Rapiabon E. bal as MM and pont obrale tram," doen transactions. wat depeotts.
and dihdarnals We Must heer trom var ro teler Man 60 dan after we sent yOu Ine FEST
statoment en whchthe error or peetoom appeared.
(I) Tell us lag rente and account renter
(2) Dolen» the error or Po trondor you are unsuro .l out. ard oxplan as dab, as you can
wny you belgro ri is an error or why you nood note solormabon.
(3) Ted us the dab, amodni of ne suepected error.
Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
business days lo do thie. se wil redt your eccOuM br Ine *motet yin mink is n error. 40 Pot
you wil have dr uso ol the rroneydunng tho tm* a takes us toean:Cao ourinvestoaten.
AUTO NO 07,14
TO Anedrap. URM«, eed, dal $149.5 melkion words ol prolection for AI Ponsaceons aro abject to p) me consmubon. Na, Condooms custard and laagt,
ileCuritieS and 52 ~ikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and ie deemonouse. n en/. on grien toch lieneedan ere
London beurelt
oxecuted ui) fosfaat lag:. indaging me Secunoes Act ot 1933 and tho S«urtes
Es
4
in
Of
SDNY_GM_00011611
ounctite0
m
f
ond
rh:
EFTA_00122262
EFTA01267741
1D Ameritrade
800.669-3900
TO AMERITRADE
DIVISION OF TO AMERITRADE INC
PO 80X 2209
OMAHA. NE 68103-2209
TD Amer'trade Clearing. Inc.. Member SIPC
Statement Reporting Period:
07/01/14 - 07/31/14
Statement for Account # 867-730320
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTRS STE B-3
ST THOMAS. VI 00802-1348
Portfolio Summa
Current
Prior
Period
Investment
Value
Value
Change
Change
Margin Loan
($29,940.04)
($190.07)
($29,749.97)
Insrd Dep Acct
5,059.03
(5,059.03)
(100.0)%
Money Market
Short Balance
Stocks
2,560,212.42
2,528,880.07
31,33235
1.2%
Short Stocks
Fixed Income
Options
1,255,868.18
1,720,632.38
(464,764.20)
(27.0)%
Short Options
(29,510.60)
(29,510.60)
Mutual Funds
Other
136,720.50
120,984.00
15,736.50
13.0%
Total
$3,893,380.46
$4,375,365.41
($482,014.95)
(11.0)%
Margin Equity
100.0%
Cash Activi Summa
Income & Ex ense Summa
Opening Balance
Current
YTD
Income
Reportable
Non
Reportable
YTD
($190.07)
$
-
Securities Purchased
(1,528,170.49)
(7,859,652.21) Dividends
S
S
-
$200.00
Securities Sold
1,493,481.53
3,829,298.95 Interest
1.63
Funds Deposited
4,000,600.00 Other
Funds Disbursed
Expense
Income
201.63 Interest
(120.29)
(393.14)
Expense
(120.29)
(393.14) Fees
Other
5,059.28
4.73 Other
Closing Balance
($29,940.04)
($29,940.04) Net
($120.29)
$0.00
($191.51)
Estimated
Income
Announcements:
REFER A FRIEND & GET REWARDED.
CHOOSE $50 CASH. 5 FREE TRADES,
OR A $50 GIFT CARD WHEN THEY
OPEN AND FUND AN ACCOUNT.
VISIT TDAMERITRADE.COMIREFER
RESTRICTIONS APPLY.
Estimated
Yield
Portfolio Allocation
S 0.00
page 1 o176
CONFIDENTIAL
0.01%
Other
4.8%
0.0%
Performance Summary
Cost Basis As Of - 07/31/14 "
$4,523,121.66
Unrealized Gains
326,580.81
Unrealized Losses
(926,411.97)
Funds Deposited/(Disbursed)Yr°
4,000,600.00
Income/(Expense)"°
(191.51)
Securities Received/(Delivered)T°
0.00
**For cost-basis Information. refer to www.tdamerftradotom
SDNY_GM_00011612
EFTA_00122263
EFTA01267742
Statement for Account # 867-730320
07/01/14 - 07/31/14
Online Cash Services Summary
Description
CREDITS
Electronic Transfer
Subtotal
TOTAL
Current
s -
0.00
Year To Date
$ 4,000,000.00
4,000,000.00
0.00
4,000,000.00
Income Summary Detail'
Description
Interest Income Credit Balance
Margin Interest Charged
Qualified Dividends
IDA Interest
Current
$ 0.00
(120.29)
0.00
0.25
Year to Date
$ 1.63
(393.14)
200.00
4.73
'This section displays current and year to date taxation values lor Ns 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 corrections
can include changes made to previous payments and removal of payments reportable In a previous tax year (spillover [hands). The year to date totals will accurately reflect your cumulative amount for the year.
Account Positions
Investment Description
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
Income
Yield
Stocks - Margin
ACCESS PHARMA INC
ACCP
287,500
$ 0.26
$ 74.750.00
05/12/14
$ 121.917.19
$ 0.42
$ (47,167.19)
$ -
COM
ATHERONOVA INC
AHRO
5,864
2.15
12.607.60
05/27/14
13,794.19
2.35
(1.186.59)
COM
COMMAND SEC CORP
MOC
20,000
1.94
38.800.00
07/07/14
36,518.57
1.83
2,281.43
COM
COWEN GROUP INC
COWN
20,000
4.00
80.000.00
05/14/14
79,594.70
3.98
405.30
COM
ELEPHANT TALK
ETAK
191,100
0.90
171.990.00
05/12/14
190,584.00
1.00
(18.594.00)
COMMUNICATIONS
COM
EMRISE CORP
EMRI
30,426
0.859
26.135.93
05/15/14
25.822.05
0.85
313.88
COM
HAUPPAGE DIGITAL INC
HAUP
181,100
0.2498
45,238.78
06/13/14
33,559.59
0.19
11.679.19
COM
LANTRONIX INC
LTRX
83,000
2.00
166.000.00
05/23/14
163,137.95
1.97
2.862.05
COM
page 2 o176
CONFIDENTIAL
SDNY_GM_00011613
EFTA_00122264
EFTA01267743
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Investment Description
Stocks - Margin
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
LIHUA INTERNATIONAL
LIWA
65.000
0.2149
13.968.50
06/30/14
20.071.00
0.31
(6.102.50)
INC
COM
MEDIABISTRO INC
MBIS
3,200
0.94
3.008.00
07/24/14
2.645.50
0.83
362.50
COM
MERRIMAN HOLDINGS
MERRD
23.001
3.51
80.733.51
07/09/14
79.672.86
3.46
1,060.65
INC
COM
MODUSLINK GLOBAL
MLNK
55.000
3.73
205,150.00
05/13/14
200.070.54
3.64
5.079.46
SOLUTIONS INC
COM
NOTIFY TECHNOLOGY
NTFY
1.916
22.00
42.152.00
07/08/14
26.692.00
13.93
15.460.00
CORP
COM
OCLARO INC
OCLR
80.000
1.86
148.800.00
05/13/14
151.686.72
1.90
(2.886.72)
COM
QUANTUM FUEL
QTWW
4.700
5.13
24.111.00
07/17/14
19.659.17
4.18
4.451.83
SYSTEMS TEC
COM
RAINMAKER SYSTEMS
RMKR
461.000
0.175
80.675.00
05/12/14
105.016.07
0.23
(24.341.07)
INC
COM
RELM WIRELESS CORP.
RWC
60.770
4.10
249.157.00
05/13/14
202.505.15
3.33
46.651.85
COM
RICEBRAN
RIBT
63,300
5.19
328.527.00
05/12/14
353.378.92
5.58
(24.851.92)
TECHNOLOGIES
COM
TITAN ENERGY
TEWI
4.631,850
0.0318
147.292.83
06/23/14
80.397.72
0.02
66.895.11
WORLDWIDE INC
COM
TORCHLIGHT ENERGY
TRCH
37.400
3.78
141.372.00
06102/14
156.828.09
4.19
(15.456.09)
RESOURCES
COM
TRANSGENOMIC INC
TBIO
89,566
3.9399
352.881.08
05/12/14
356.530.15
3.98
(3.649.07)
COM
SDNY_GM_00011614
page 3 01 76
CONFIDENTIAL
EFTA _00122265
EFTA01267744
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Investment Description
Stocks - Margin
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Cost
Date
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
Income
Yield
ZAZA ENERGY
ZAZA
76.547
0.77
58.941.19
05/19/14
54,527.29
0.71
4.413.90
CORPORATION
COM
ZIOPHARM ONCOLOGY
ZIOP
21.700
3.13
67.921.00
05/14/14
76,372.38
3.52
(8.451.38)
INC
COM
Total Stocks
$2,560,212.42
$2,550,981.80
$9,230.62
$0.00
0.0%
Options - Margin
ADVANCED MICRO
880
$ 0.7103
$62506.40
05/12/14
$ 77.786.12
$ 0.88
$ (15.279.72)
$ -
DEVICES INC
AMD Jan 17 15 3.5C
ADVANCED MICRO
875
0.281
24.587.50
06/20/14
36.151.25
0.41
(11.563.75)
DEVICES INC
AMD Jan 17 15 4.5C
AEROPOSTALE INC
595
0.4522
26.905.90
05/13/14
90.647.53
1.52
(63.741.63)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC
375
1.355
50.812.50
07/18/14
51.826.26
1.38
(1.013.76)
ARO Oct 18 14 2.0 C
ALCATEL LUCENT
617
0.1641
10.124.97
07/02/14
23.903.16
0.39
(13.778.19)
ALU Sep 20 14 3.5 C
ALCATEL LUCENT
405
0.0525
2.126.25
07/21/14
6.331.48
0.16
(4.205.23)
ALU Sep 20 14 4.0 C
APOLLO EDUCATION
150
0.065
975.00
07/01/14
27.102.11
1.81
(26.127.11)
GROUP INC
APOL Aug 16 14 31.0 C
APOLLO EDUCATION
300
0.0114
342.00
07/01/14
12.972.21
0.43
(12.630.21)
GROUP INC
APOL Aug 16 14 34.0 C
APOLLO EDUCATION
250
0.0058
145.00
06/26/14
6555.50
0.26
(6.410.50)
GROUP INC
APOL Aug 16 14 36.0 C
AVON PRODUCTS INC
270
0.059
1.593.00
07/28/14
6.896.98
0.26
(5.303.98)
AVP Sep 20 14 15.0 C
page 4 of 78
CONFIDENTIAL
SDNY_GM_00011615
EFTA_00 122266
EFTA01267745
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
BEAZER HOMES USA INC
-
325
0.475
15.437.50
05/13/14
76.942.55
2.37
(61.505.05)
BZH Jan 17 15 20.0 C
BLACKBERRY LIMITED
130
1.5192
19/49.60
06/27/14
24.755.63
1.90
(5.006.03)
BBRY Jan 17 15 9.0 C
BLACKBERRY LIMITED
250
0.4791
11.977.50
07/09/14
43,457.50
1.74
(31.480.00)
BBRY Sep 20 14 10.0 C
CENTRAIS ELEC BRAS
505
0.5096
25/34.80
05/13/14
47.661.89
0.94
(21.927.09)
EBR Sep 20 14 2.5 C
CITIGROUP INC
400
0.8016
32.064.00
07/16/14
52.912.61
1.32
(20,848.61)
C Aug 16 14 49.0 C
CORINTHIAN COLLEGES
-
575
0.0253
1.454.75
06/24/14
3.211.05
0.06
(1.756.30)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES
500
0.0381
1.905.00
05/13/14
11.012.00
0.22
(9.107.00)
INC
COCO Aug 16 14 1.0 C
CORINTHIAN COLLEGES
2.000
0.0317
6.340.00
05/13/14
11.148.00
0.06
(4.808.00)
INC
COCO Aug 16 14 2.O C
CORINTHIAN COLLEGES
2.147
0.0001
21.47
05/13/14
63.699.38
0.30
(63.677.91)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC
205
1.675
34337.50
07/15/14
40.766.67
1.99
(6.429.17)
COWN Jan 17 15 2.5 C
COWEN GROUP INC
575
0.175
10.062.50
06/27/14
15.472.05
0.27
(5.409.55)
COWN Jan 17 15 5.0 C
DRY SHIPS
800
0.3395
27.160.00
05/12/14
51.659.20
0.65
(24.499.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH
110
4.3418
47759.80
05/14/14
43.331.14
3.94
4.428.66
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC
285
1.4809
42.205.65
05/13/14
36.469.59
1.28
5.736.06
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC
360
0.9819
35348.40
05/12/14
29.652.64
0.82
5.695.76
FCEL Oct 18 14 1.5 C
page 5 01 76
CONFIDENTIAL
SDNY_GM_00011616
EFTA_00122267
EFTA01267746
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
HANWHA SOLARONE CO
460
0.3902
17.949.20
05/13/14
39.126.04
0.85
(21.176.84)
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO
165
5.375
88.687.50
05/13/14
67.150.71
4.07
21.536.79
HPQ Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP
162
0.425
6.885.00
07/18/14
9.866.99
0.61
(2.981.99)
JBLU Sep 20 14 11.0 C
JETBLUE AIRWAYS CORP
250
0.1428
3.570.00
07/18/14
6.780.50
0.27
(3.210.50)
JBLU Sep 20 14 12.0 C
MGIC INVT CORP WIS
515
0.7249
37.332.35
05/14/14
77.606.61
1.51
(40.274.26)
MTG Jan 17 15 8.0 C
MICHAEL KORS
30
3.2371
9.711.30
07/25/14
9.923.22
3.31
(211.92)
HOLDINGS
KORS Aug 08 14 81.0 C
NET 1 UEPS
190
3.1123
59.133.70
05/22/14
64,539.06
3.40
(5.405.36)
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS
130
2.3634
30.724.20
06/05/14
39,080.62
3.01
(8.356.42)
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN
705
1.3092
92.298.60
05/15/14
91,772.67
1.30
525.93
TANKERS LTD
NAT Jan 17 15 7.87 C
NORDIC AMERICAN
325
0.2108
6.851.00
06/18/14
12,954.55
0.40
(6.103.55)
TANKERS LTD
NAT Oct 18 14 9.87 C
PACIFIC ETHANOL INC
200
2.1031
42.062.00
07/09/14
29,490.04
1.47
12.571.96
PEIX Aug 16 14 16.0 C
PANERA BREAD CO
85
0.1074
912.90
07/28/14
6.235.79
0.73
(5.322.89)
PNRA Aug 16 14 160.0 C
QUANTUM FUEL
250
1.3788
34.470.00
07/17/14
37,655.50
1.51
(3.185.50)
SYSTEMS TEC
QTWW Oct 18 14 4.0 C
page 6 o176
CONFIDENTIAL
SDNY_GM_00011617
EFTA _00122268
EFTA01267747
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Ouantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
RADIOSNACK
500
0.085
4.250.00
07/18/14
9.293.00
0.19
(5.043.00)
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC.
100
0.4051
4.051.00
07/21/14
10.563.40
1.06
(6.512.40)
RDNT Aug 16 14 5.0 C
RADNET INC.
1.100
0.1465
16.115.00
05/12/14
73.423.14
0.67
(57.308.14)
RDNT Sep 20 14 7.5 C
RADNET INC.
480
1.075
51.600.00
05/12/14
99.022.56
2.06
(47.422.56)
RDNT Dec 20 14 5.0 C
RITE AD CORP
200
0.0999
1.998.00
07/28/14
2.126.80
0.11
(128.80)
RAD Aug 08 14 7.0 C
RITE AD CORP
250
0.1202
3.005.00
07/10/14
12.655.50
0.51
(9.650.50)
RAD Aug 16 14 7.0 C
SONY CORP
585
1.75
102.375.00
05/13/14
64.196.79
1.10
38.178.21
SNE Oct 18 14 17.0 C
TEEKAY TANKERS LTD
205
0.10
2.050.00
06/23/14
7.279.67
0.36
(5.229.67)
TNK Nov 22 14 5.0 C
TESLA MOTORS INC
100
0.7858
7.858.00
07/28/14
5.963.40
0.60
1.894.60
TSLA Aug 16 14 180.0 P
TWITTER INC
35
9.05
31.675.00
07/18/14
8.634.76
2.47
23.040.24
TWTR Aug 01 14 36.0 C
TWITTER INC
60
0.19
1.140.00
07/30/14
8.881.44
1.48
(7.741.44)
TWTR Aug 01 14 46.0 C
TWITTER INC
35
0.0343
120.05
07/29/14
3.491.09
1.00
(3.371.04)
TWTR Aug 16 14 34.5 P
UNILIFE CORP
375
0.3192
11.970.00
06/20/14
33.108.25
0.88
(21.138.25)
UNIS Sep 20 14 2.5 C
UNISYS CORP
250
0.4134
10.335.00
07/14/14
35.629.50
1.43
(25,294.50)
UIS Oct 18 14 24.0 C
WHOLE FOODS MKT INC
70
0.2225
1.557.50
07/30/14
11.666.18
1.67
(10.108.68)
WFM Aug 08 14 39.5 C
WHOLE FOODS MKT INC
70
0.8148
5.703.60
07/30/14
11.946.18
1.71
(6.242.58)
WFM Aug 08 14 38.5 P
page 7 o176
CONFIDENTIAL
SDNY_GM_00011618
EFTA_0011 22269
EFTA01267748
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
SymboU
Investment Description
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Cost
Date
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
income
Yield
Options - Margin
YAHOO! INC
110
2.964
32.604.00
07/18/14
15.875.14
1.44
16.728.86
YHOO Aug 16 14 33.0 C
YRC WORLDWIDE INC
216
0.5635
12.171.60
06/30/14
23.127.99
1.07
(10.956.39)
YRCW Aug 16 14 30.0 C
YRC WORLDWIDE INC
400
0.1552
6.208.00
07/02/14
22.198.61
0.56
(15.990.61)
YRCW Aug 16 14 32.5 C
YRC WORLDWIDE INC
17
4.4672
7.594.24
06/05/14
4.531.76
2.67
3.062.48
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC
130
0.50
6.500.00
06/27/14
18.443.63
1.42
(11.943.63)
YRCW Oct 18 14 32.5 C
ZIOPHARM ONCOLOGY
185
0.6877
12.722.45
07/01/14
24.150.20
1.31
(11.427.75)
INC
ZIOP Oct 18 14 3.0 C
Total Options
$1,255,868.18
$1,890,715.79
$(634,847.61)
$0.00
0.0%
Short Options - Margin
AMERICAN AIRLINES
60-
$ 1.2847
$(7.708.20)
07/30/14
$ (5.779.43)
$ 0.96
$ (1.928.77)
$ -
GROUP INC
AAL Aug 08 14 39.5 P
UNITED CONTINENTAL
200-
0.6395
(12.790.00)
07/24/14
(21.439.69)
1.07
8.649.69
HLDGS
UAL Aug 08 14 45.0 P
YAHOO! INC
120-
0.0772
(926.40)
07/24/14
(5.438.99)
0.45
4.512.59
YHOO Aug 01 14 35.5 P
YAHOO! INC
100-
0.8086
(8,086.00)
07/30/14
(4,536.49)
0.45
(3,549.51)
YHOO Aug 08 14 36.0 P
Total Short Options
$(29,510.60)
$(37,194.60)
$7,684.00
$0.00
0.0%
page 8 of 78
CONFIDENTIAL
SDNY_GM_00011619
EFTA_00122270
EFTA01267749
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Other - Margin
RICEBRAN
RIBTW
TECHNOLOGIES
WARRANT EXP 11/18/2018
Quantity
Current
Price
Market Purchase
Value
Date
Cost
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
income
Yield
87,000
$ 1.5715
$ 136,720.50
05/12/14
$ 118.618.67
$ 1.36
$ 18.101.83
$
Total Other
$136,720.50
$118,618.67
$18,101.83
$0.00
0.0%
Total Margin Account
$3,923,290.50
$4,523,121.66
$(599,831.16)
$0.00
0.0%
Account Activit
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity'
Description
CUSIP
Quantity
Price
Amount
Balance
Opening Balance
($190.07)
06/26/14
07/01/14 Margin
Buy - Securities Purchased
ZIOPI-IARM ONCOLOGY INC
ZIOP
2.200
$ 4.1599
$ (9.157.78)
(9.347.85)
COM
Commission 6.00
06/26/14
07/01/14 Margin
Buy - Securities Purchased
ZIOPI-IARM ONCOLOGY INC
ZIOP
300
4.15
(1.245.00)
(10,592.85)
COM
06/26/14
07/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.23
(529.00)
(11,121.85)
COM
Commission 6.00
06/26/14
07/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.25
(531.00)
(11,652.85)
COM
Commission 6.00
06/26/14
07/01/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
22.000
0.15
(3.306.00)
(14.958.85)
COM
Commission 6.00
06/26/14
07/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.23
(529.00)
(15.487.85)
COM
Commission 6.00
page 9 o176
CONFIDENTIAL
SDNY_GM_00011620
EFTA_00 I 2227 I
EFTA01267750
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/26/14
07/01/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
24.500
0.023
(569.50)
(16,057.35)
COM
Commission 6.00
06/26/14
07/01/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
300
1.92
(582.00)
(16,639.35)
COM
Commission 6.00
06/26/14
07/01/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
200-
3.9501
784.00
(15,855.35)
COM
Commission 6.00
Regulatory Fee 0.02
06/26/14
07/01/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
300-
3.95
1.184.97
(14,670.38)
COM
Regulatory Fee 0.03
06/26/14
07/01/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
3.000-
0.8251
2.469.24
(12.201.14)
06/30/14
07/01/14 Margin
Buy - Securities Purchased
COM
Commission 6.00
Regulatory Fee 0.06
AEROPOSTALE INC
50
0.55
(2.784.70)
(14,985.84)
06/30/14
07/01/14 Margin
Buy - Securities Purchased
ARO Jul 19 14 3.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
APOLLO EDUCATION GROUP INC
10
5.10
(5.111.74)
(20,097.58)
06/30/14
07/01/14 Margin
Sell - Securities Sold
APOL Jul 19 14 26.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
JETBLUE AIRWAYS CORP
25-
4.10
10.229.42
(9,868.16)
06/30/14
07/01/14 Margin
Buy - Securities Purchased
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.83
COWEN GROUP INC
50
0.25
(1.284.70)
(11,152.86)
06/30/14
07/01/14 Margin
Buy - Securities Purchased
GOWN Jan 17 15 5.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
BLACKBERRY LIMITED
100
1.01
(10.163.40)
(21,316.26)
BBRY Sep 20 14 10.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 10 of 76
CONFIDENTIAL
SDNY_GM_00011621
EFTA (()122272
EFTA01267751
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/30/14
07/01/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
15-
7.90
11.835.12
(9.481.14)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.63
06/30/14
07/01/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
26
0.55
(1.450.93)
(10.932.07)
ARO Jul 19 14 3.0 C TO OPEN
Commission 20.30
Regulatory Fee 0.63
06/30/14
07/01/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
100
1.30
(13.063.40)
(23,995.47)
YRCW Aug 16 14 30.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
06/30/14
07/01/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
20-
8.00
15.982.16
(8,013.31)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.84
06/30/14
07/01/14 Margin
Sell - Securities Sold
APOLLO EDUCATION GROUP INC
15-
5.28
7.905.21
(108.10)
APOL Jul 19 14 26.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.54
07/01/14
07/01/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
108.10
0.00
DEPOSIT ACCOUNT
06/27/14
07/02/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.2499
(530.99)
(530.99)
COM
Commission 6.00
06/27/14
07/02/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
400-
2.315
919.97
388.98
COM
Commission 6.00
Regulatory Fee 0.03
06/27/14
07/02/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
4.100-
2.311
9.474.89
9.863.87
COM
Regulatory Fee 0.21
06/27/14
07/02/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
3.000
0.295
(891.00)
8.972.87
COM
Commission 6.00
06/27/14
07/02/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.259
(531.90)
8.440.97
COM
Commission 6.00
page 11 o176
CONFIDENTIAL
SDNY_GM_00011622
EFTA_00 122273
EFTA01267752
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
06/27/14
07102/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
100
1.559
(161.90)
8,279.07
WARRANT EXP 11/18:2018
Commission 6.00
06/27/14
07/02/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
500-
0.8676
427.79
8.706.86
COM
Commission 6.00
Regulatory Fee 0.01
06/27/14
07/02/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
7.408-
0.8675
6.426.29
15,133.15
COM
Regulatory Fee 0.15
06/27/14
07/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
500
2.02
(1.016.00)
14.117.15
COM
Commission 6.00
06/27/14
07/02/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
200
0.15
(36.00)
14.081.15
COM
Commission 6.00
06/27/14
07/02/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
600
1.93
(1.164.00)
12.917.15
COM
Commission 6.00
06/27/14
07/02/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
14.950
0.286
(4.281.70)
8.635.45
COM
Commission 6.00
06/27/14
07/02/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
5.000
0.1744
(878.00)
7.757.45
COM
Commission 6.00
06/27/14
07/02/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.90
83.99
7.841.44
COM
Commission 6.00
Regulatory Fee 0.01
06/27/14
07/02/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
1.385-
0.90
1.246.47
9.087.91
COM
Regulatory Fee 0.03
07/01/14
07/02/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
20-
6.20
12.382.24
21.470.15
YRCW Jul 19 1422.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.76
page 12 o176
CONFIDENTIAL
SDNY_GM_00011623
EFTA (H) 122274
EFTA01267753
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/01/14
07/02/14 Margin
Sell - Securities Sold
APOLLO EDUCATION GROUP INC
-
25-
5.56
13,879.34
35,349.49
APOL Jul 19 14 26.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.91
07/01/14
07/02/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
64
1.80
(11.582.54)
23,766.95
APOL Aug 16 14 31.0 C TO OPEN
Commission 61.00
Regulatory Fee 1.54
07/01/14
07/02/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
20
1.79
(3,580.48)
20,186.47
APOL Aug 16 14 31.0 C TO OPEN
Regulatory Fee 0.48
07/01/14
07/02/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
16
1.78
(2,848.39)
17,338.08
APOL Aug 16 14 31.0 C TO OPEN
Regulatory Fee 0.39
07/01/14
07/02/14 Margin
Sell - Securities Sold
APOLLO EDUCATION GROUP INC
20-
5.90
11.782.25
29,120.33
APOL Jul 19 14 26.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.75
07/01/14
07/02/14 Margin
Buy - Securities Purchased
YAHOO! INC
50
2.13
(10.684.70)
18,435.63
YHOO Jul 19 14 34.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/01/14
07/02/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
24
0.60
(1.459.78)
16.975.85
ARO Jul 19 14 3.0 C TO OPEN
Commission 19.20
Regulatory Fee 0.58
07/01/14
07/02/14 Margin
Buy - Secunties Purchased
CENTFtAIS ELEC BRAS
30
0.54
(1,643.22)
15,332.63
EBR Sep 20 14 2.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/01/14
07/02/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
25
1.83
(4,595.35)
10,737.28
APOL Aug 16 14 31.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/01/14
07/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
15-
8.00
11,985.12
22,722.40
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.63
page 13 of 76
CONFIDENTIAL
SDNY_GM_00011624
EFTA 00122275
EFTA01267754
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
07/01/14
07102/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
25
2.15
(5.395.35)
17.327.05
GPRE Sep 20 14 35.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/01/14
07/02/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
15-
8.30
12.435.11
29.762.16
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.64
07/01/14
07/02/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
10
2.55
(2.561.74)
27200.42
SHLD Jul 19 14 39.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/01/14
07/02/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
30
2.39
(7.193.22)
20.007.20
GPRE Sep 20 14 35.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/01/14
07/02/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
5
5.60
(2.808.87)
17,198.33
YRCW Jul 19 14 22.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/01/14
07/02/14 Margin
Sell - Securities Sold
AOL INC
25-
4.77
11.904.38
29.102/1
AOL Jul 19 14 36.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.87
07/01/14
07/02/14 Margin
Buy - Securities Purchased
KATE SPADE & COMPANY
33
0.10
(360.45)
28.742.26
KATE Jul 19 14 34.0 P TO OPEN
Commission 29.65
Regulatory Fee 0.80
07/01/14
07/02/14 Margin
Buy - Securities Purchased
KATE SPADE & COMPANY
3
0.09
(27.08)
28.715.18
KATE Jul 19 14 34.0 P TO OPEN
Regulatory Fee 0.08
07/01/14
07/02/14 Margin
Buy - Securities Purchased
KATE SPADE & COMPANY
7
0.07
(49.17)
28.666.01
KATE Jul 19 14 34.0 P TO OPEN
Regulatory Fee 0.17
07/01/14
07/02/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
50
1.22
(6.134.70)
22.53131
BBRY Sep 20 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
page 14 of 76
CONFIDENTIAL
SDNY_GM_00011625
EFTA_00122276
EFTA01267755
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/01/14
07102/14 Margin
Buy - Securities Purchased
UNITED STATES NAT GAS FUND
-
29
0.39
(1.153.65)
21,377.66
UNG Jul 19 14 25.0 C TO OPEN
Commission 21.95
Regulatory Fee 0.70
07/01/14
07/02/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
100
0.22
(2.263.40)
19.114.26
APOL Aug 16 14 36.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/01/14
07/02/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
125
0.10
(1.327.75)
17.786.51
FCEL Jul 19 14 2.5 C TO OPEN
Commission 74.75
Regulatory Fee 3.00
07/01/14
07/02/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
25
0.55
(1.395.35)
16.391.16
ARO Jul 19 14 3.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/01/14
07/02/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
150
1.40
(21.092.10)
(4,700.94)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/01/14
07/02/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
150
0.49
(7.442.10)
(12.143.04)
APOL Aug 16 14 34.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/02/14
07/02/14 Margin
Joumal - Other
REDEMPTION FDIC INSURED
0.00
4.950.93
(7,192.11)
DEPOSIT ACCOUNT
06/30/14
07/03/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
7.500
2.1599
(16.205.25)
(23.397.36)
COM
Commission 6.00
06/30/14
07/03/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.889
(394.90)
(23.792.26)
COM
Commission 6.00
06/30/14
07/03/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
19.900
0.325
(6.473.50)
(30.265.76)
COM
Commission 6.00
06/30/14
07/03/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
25.000
0.30
(7.506.00)
(37,771.76)
COM
Commission 6.00
page 15 6176
CONFIDENTIAL
SDNY_GM_00011626
EFTA_00 122277
EFTA01267756
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction
Cash Activity'
Description
Symbol!
CUSIP
Quantity
Price
Amount
Balance
06/30/14
07/03/14 Margin
Sell - Secunties Sold
ZIOPHARM ONCOLOGY INC
21O1,
2,800-
4.1101
11,502.02
(26,269.74)
COM
Commission 6.00
Regulatory Fee 0.26
06/30/14
07/03/14 Margin
Sell - Securities Sold
OCLARO INC
OMR
1,500-
2.1901
3,279.07
(22,990.67)
COM
Commission 6.00
Regulatory Fee 0.08
06/30/14
07/03/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
5,100
0.295
(1,510.50)
(24,501.17)
COM
Commission 6.00
06/30/14
07/03/14 Margin
Sell - Securities Sold
ZAZA ENERGY CORPORATION
ZAZA
1,652-
0.876
1,441.11
(23,060.06)
COM
Commission 6.00
Regulatory Fee 0.04
06/30/14
07/03/14 Margin
Sell - Securities Sold
ZAZA ENERGY CORPORATION
ZAZA
2,800-
0.873
2,438.34
(20,621.72)
07/02/14
07/03/14 Margin
Buy - Securities Purchased
COM
Commission 6.00
Regulatory Fee 0.06
ALCATEL LUCENT
150
0.45
(6,842.10)
(27,463.82)
07/02/14
07/03/14 Margin
Buy - Securities Purchased
ALU Sep 20 14 3.5 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
UNILIFE CORP
25
0.85
(2,145.35)
(29,609.17)
07/02/14
07/03/14 Margin
Buy - Securities Purchased
UNIS Sep 20 14 25 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
ALCATEL LUCENT
150
0.40
(6,092.10)
(35,701.27)
07/02/14
07/03/14 Margin
Buy - Securities Purchased
ALU Sep 20 14 3.5 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
UNITED CONTINENTAL HLDGS
100
1.01
(10,163.40)
(45,864.67)
07/02/14
07/03/14 Margin
Sell - Securities Sold
UAL Jul 19 14 41.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
YRC WORLDWIDE INC
25-
6.40
15,979.29
(29,885.38)
YRCW Jul 19 14 225 C TO CLOSE
Commission 19.75
Regulatory Fee 0.96
page 16 of 76
CONFIDENTIAL
SDNY_GM_00011627
EFTA_00122278
EFTA01267757
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/02/14
07/03/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
100
0.88
(8,863.40)
(38,748.78)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/02/14
07/03/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
50
1.53
(7,684.70)
(46,433.48)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/02/14
07/03/14 Margin
Sell - Securities Sold
AOL INC
20-
5.10
10,182.29
(36,251.19)
AOL Jul 19 14 36.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.71
07/02/14
07/03/14 Margin
Buy - Securities Purchased
GREEN PLAINS INC
20
2.45
(4,917.48)
(41.168.67)
GPRE Sep 20 1435.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/02714
07/03/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
20-
6.50
12,982.23
(28.186.44)
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.77
07702/14
07/03/14 Margin
Buy - Securities Purchased
UNITED CONTINENTAL HLDGS
50
0.90
(4,534.70)
(32.721.14)
UAL Jul 19 14 41.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/02/14
07/03/14 Margin
Sell - Securities Sold
YAHOO! INC
150-
0.72
10,707.66
(22,013.48)
YHOO Jul 19 14 37.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.84
07/02/14
07/03/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
50
1.34
(6,734.70)
(28,748.18)
BBRY Sep 20 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/02/14
07/03/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
50
0.80
(4,034.70)
(32,782.88)
YRCW Aug 16 14 325 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
page 17 of 76
CONFIDENTIAL
SDNY_GM_00011628
EFTA 00)22279
EFTA01267758
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07102/14
07/03/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
30
1.47
(4.433.22)
(37216.10)
07/02/14
07/03/14 Margin
Sell - Securities Sold
YRCW Oct 18 14 32.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
APOLLO EDUCATION GROUP INC
12-
4.86
5.811.83
(31,404.27)
07/02/14
07/03/14 Margin
Sell - Securities Sold
APOL Jul 19 14 26.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.42
APOLLO EDUCATION GROUP INC
13-
4.85
6204.54
(25.099.73)
07/02/14
07/03/14 Margin
Sell - Securities Sold
APOL Jul 19 14 26.0 C TO CLOSE
Regulatory Fee 0.46
GREEN PLAINS INC
4-
9.40
3.751.61
(21,348.12)
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 8.20
Regulatory Fee 0.19
07/01/14
07/07/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
900
1.97
(1,779.00)
(23.127.12)
COM
Commission 6.00
07/01/14
07/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
721
1.40
(1,015.40)
(24.142.52)
WARRANT EXP 11/18.2018
Commission 6.00
07/01/14
07/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
79
1.3999
(110.59)
(24.253.11)
WARRANT EXP 11/18:2018
07/01/14
07/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
100
1.39
(139.00)
(24.392.11)
WARRANT EXP 11/18:2018
07/01/14
07/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.289
(534.90)
(24.927.01)
COM
Commission 6.00
07/01/14
07/07/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
1.817-
3.991
7.245.48
(17.681.53)
COM
Commission 6.00
Regulatory Fee 0.17
07/01/14
07/07/14 Margin
Sell - Securities Sold
ZIOPHARM ONCOLOGY INC
ZIOP
5.683-
3.99
22,674.66
4.993.13
COM
Regulatory Fee 0.51
07/01/14
07/07/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
15,000
0.305
(4,581.00)
412.13
COM
Commission 6.00
page 18 of 76
CONFIDENTIAL
SDNY_GM_00011629
EFTA 00122280
EFTA01267759
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/01/14
07107/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
3.800
0.16
(614.00)
(201.87)
COM
Commission 6.00
07/01/14
07/07/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
600-
0.9255
549.28
347.41
COM
Commission 6.00
Regulatory Fee 0.02
07/03/4
07/07/14 Margin
Sell - Securities Sold
APOLLO EDUCATION GROUP INC
25-
5.40
13.479.35
13,826.76
APOL Jul 19 14 26.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.90
07/03/14
07/07/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
25
1.79
(4.495.35)
9.331.41
APOL Aug 16 14 31.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/03/14
07/07/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
15
2.47
(3.719.61)
5,611.80
SHLD Jul 19 14 39.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/03/14
07/07/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
45
0.63
(2.866.83)
2,744.97
APOL Aug 16 14 34.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/03/14
07/07/14 Margin
Sell - Securities Sold
AOL INC
100-
0.60
5.936.46
8.681.43
AOL Jul 19 14 42.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.54
07/07/14
07/07/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(8.681.43)
0.00
DEPOSIT ACCOUNT
07/02/14
07/08/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
300
3.83
(1.155.00)
(1.155.00)
COM
Commission 6.00
07/02/14
07/08/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
600
3.95
(2.376.00)
(3,531.00)
RESOURCES
COM
Commission 6.00
page 19 of 76
CONFIDENTIAL
SDNY_GM_00011630
EFTA_00122281
EFTA01267760
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/02/14
07/08/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
200
4.02
(810.00)
(4,341.00)
RESOURCES
COM
Commission 6.00
07/02/14
07/08/14 Margin
Buy - Securities Purchased
JBI INC NEW
JBII
1.500
0.091
(142.50)
(4.483.50)
COM
Commission 6.00
07/02/14
07/08/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
200
3.87
(780.00)
(5.263.50)
COM
Commission 6.00
07/02/14
07/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.33
(539.00)
(5,802.50)
COM
Commission 6.00
07/02/14
07/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
600
1.25
(756.00)
(6.558.50)
WARRANT EXP 11/18.2018
Commission 6.00
07/02/14
07/08/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.9016
84.15
(6.474.35)
COM
Commission 6.00
Regulatory Fee 0.01
07/02/14
07/08/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
2.991-
0.9001
2.692.14
(3.782.21)
COM
Regulatory Fee 0.06
07/02/14
07/08/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
400-
0.90
359.99
(3.422.22)
COM
Regulatory Fee 0.01
07/02/14
07/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
600
1.32
(798.00)
(4.220.22)
WARRANT EXP 11/182018
Commission 6.00
07/07/14
07/08/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
100-
1.65
16.436.23
12.216.01
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.77
07/07/14
07/08/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
100
0.25
(2.563.40)
9.652.61
GOWN Jan 17 15 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 20 o176
CONFIDENTIAL
SDNY_GM_00011631
EFTA (H) 122282
EFTA01267761
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/07/14
07/08/14 Margin
Buy - Securities Purchased
CITIGROUP INC
459
0.31
(14,498.47)
(4,845.86)
C Jul 19 1449.0 C TO OPEN
Commission 258.45
Regulatory Fee 11.02
07/07/14
07/08/14 Margin
Buy - Securities Purchased
FLAMEL TECH
15
5.50
(8,264.61)
(13,110.47)
FLML Dec 20 14 10.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/07/14
07/08/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
100-
0.66
6,536.45
(6,574.02)
UAL Jul 19 14 37.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.55
07/07/14
07/08/14 Margin
Buy - Securities Purchased
RADNET INC.
100
0.40
(4.063.40)
(10.637.42)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/07/14
07/08/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
100-
1.75
17.436.21
6.798.79
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.79
07/07/14
07/08/14 Margin
Buy - Securities Purchased
UNITED CONTINENTAL HLDGS
60
2.58
(15.520.44)
(8.721.65)
UAL Sep 20 14 40.0 C TO OPEN
Commission 39.00
Regulatory Fee 1.44
07/07/14
07/08/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
50
0.35
(1.784.70)
(10,506.35)
APOL Aug 16 14 34.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/07/14
07/08/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
40
0.65
(2,628.96)
(13,135.31)
HSOL Sep 20 14 2.0 C TO OPEN
Commission 28.00
Regulatory Fee 0.96
07/07/14
07/08/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
18-
0.73
1,297.63
(11,837.68)
07/08/14
07/08/14 Margin
Journal - Other
UAL Jul 19 14 37.0 P TO OPEN
Commission 15.90
Regulatory Fee 0.47
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
0.00
8,681.43
(3,156.25)
page 21 of 76
CONFIDENTIAL
SDNY_GM_00011632
EFTA_00122283
EFTA01267762
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/03/14
07109/14 Margin
Sell - Securities Sold
ELEPHANT TALK
ETAK
56-
0.9162
45.30
(3,110.95)
COMMUNICATIONS
COM
Commission 6.00
Regulatory Fee 0.01
07/03/14
07/09/14 Margin
Sell - Securities Sold
ELEPHANT TALK
ETAK
3.444-
0.91
3.133.97
23.02
COMMUNICATIONS
COM
Regulatory Fee 0.07
07/03/14
07/09/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.56
(1.118.00)
(1,094.98)
COM
Commission 6.00
07/03/14
07/09/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
500
1.55
(781.00)
(1.875.98)
WARRANT EXP 11/18:2018
Commission 6.00
07/03/14
07/09/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.4299
(548.99)
(2.424.97)
COM
Commission 6.00
07/03/14
07/09/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.867
(392.70)
(2.817.67)
COM
Commission 6.00
07/03/14
07/09/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
300
1.38
(420.00)
(3.237.67)
WARRANT EXP 11/182018
Commission 6.00
07/03/14
07/09/14 Margin
Buy - Securities Purchased
ATHERONOVA INC
AHRO
850
1.90
(1.621.00)
(4.858.67)
COM
Commission 6.00
07/08/14
07/09/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
26-
8.60
22238.57
17.479.90
GPRE Jul 19 14 25.0 C TO CLOSE
Commission 20.30
Regulatory Fee 1.13
07/08/14
07/09/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
100-
2.20
21.936.11
39.416.01
GPRE Sep 20 14 35.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.89
07/08/14
07/09/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
100
0.20
(2.063.40)
37.352.61
GOWN Jan 17 15 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 22 o176
CONFIDENTIAL
SDNY_GM_00011633
EFTA (()122284
EFTA01267763
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/08/14
07109/14 Margin
Buy - Securities Purchased
UNITED CONTINENTAL HLDGS
40
2.68
(10.748.96)
26.603.65
UAL Sep 20 14 40.0 C TO OPEN
Commission 28.00
Regulatory Fee 0.96
07/08/14
07/09/14 Margin
Buy - Securities Purchased
TWITTER INC
78
0.90
(7.082.88)
19.520.77
TWTR Jul 19 14 38.0 C TO OPEN
Commission 61.00
Regulatory Fee 1.88
07/08/14
07/09/14 Margin
Buy - Securities Purchased
TWITTER INC
22
0.89
(1.958.53)
17.562.24
TWTR Jul 19 14 38.0 C TO OPEN
Regulatory Fee 0.53
07/08/14
07/09/14 Margin
Buy - Securities Purchased
ALCOA INC
40
0.12
(508.96)
17.053.28
AA Jul 19 14 14.0 P TO OPEN
Commission 28.00
Regulatory Fee 0.96
07/08/14
07/09/14 Margin
Buy - Securities Purchased
ALCOA INC
60
0.12
(760.44)
16.29284
AA Jul 19 14 14.0 P TO OPEN
Commission 39.00
Regulatory Fee 1.44
07/08/14
07/09/14 Margin
Buy - Securities Purchased
ALCOA INC
200
0.11
(2.320.80)
13.972.04
AA Jul 19 14 14.0 P TO OPEN
Commission 116.00
Regulatory Fee 4.80
07/08/14
07/09/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
2-
2.90
572.83
14.544.87
QTWW Jul 19 14 3.0 C TO CLOSE
Commission 7.10
Regulatory Fee 0.07
07/08/14
07/09/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
-
2
0.20
(47.15)
14.497/2
APOL Aug 16 14 34.0 C TO OPEN
Commission 7.10
Regulatory Fee 0.05
07/09/14
07/09/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(14.497.72)
0.00
DEPOSIT ACCOUNT
07/07/14
07/10/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
1.900-
4.0001
7394.02
7.594.02
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.17
page 23 o176
CONFIDENTIAL
SDNY_GM_00011634
EFTA (H) 122285
EFTA01267764
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/07/14
07/10/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.800
1.96
(3,534.00)
4.060.02
COM
Commission 6.00
07/07/14
07/10/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
5.000
0.185
(931.00)
3.129.02
COM
Commission 6.00
07/07/14
07/10/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
1.541
1.77
(2.733.57)
395.45
COM
Commission 6.00
07/07/14
07/10/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
16
0.16
(8.56)
386.89
COM
Commission 6.00
07/07/14
07/10/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
4.320
0.15
(654.00)
(267.11)
COM
Commission 6.00
07/09/14
07/10/14 Margin
Sell - Securities Sold
ALCOA INC
300-
0.01
121.79
(145.32)
AA Jul 19 14 14.0 P TO CLOSE
Commission 171.00
Regulatory Fee 7.21
07/09/14
07/10/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
25
0.20
(520.35)
(665.67)
GOWN Jan 17 15 5.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/09/14
07/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
8-
2.68
2.096.50
1.430.83
GPRE Sep 20 14 35.0 C TO CLOSE
Commission 47.25
Regulatory Fee 0.25
07/09/14
07/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
67-
2.65
17752.99
19.183.82
GPRE Sep 20 14 35.0 C TO CLOSE
Regulatory Fee 2.01
07/09/14
07/10/14 Margin
Sell - Securities Sold
GREEN PLAINS INC
75-
2.65
19.825.51
39.00933
GPRE Sep 20 14 35.0 C TO CLOSE
Commission 47.25
Regulatory Fee 2.24
07/09/14
07/10/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
32-
0.37
1,159.60
40.168.93
UAL Jul 19 14 37.0 P TO OPEN
Commission 23.60
Regulatory Fee 0.80
page 24 o176
CONFIDENTIAL
SDNY_GM_00011635
EFTA (X1122286
EFTA01267765
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity'
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/09/14
07/10/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
28
1.30
(3,662.08)
36,506.85
PEIX Aug 16 14 16.0 C TO OPEN
Commission 21.40
Regulatory Fee 0.68
07/09/14
07/10/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
93
1.30
(12,149.39)
24,357.46
PEIX Aug 16 14 16.0 C TO OPEN
Commission 57.15
Regulatory Fee 2.24
07/09/14
07/10/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
75
1.87
(14.074.05)
10.283.41
BBRY Sep 20 14 10.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/09/14
07/10/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
17
1.30
(2,225.76)
8.057.65
PEIX Aug 16 14 16.0 C TO OPEN
Commission 15.35
Regulatory Fee 0.41
07/09/14
07/10/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
15-
6.40
9,585.17
17.642.82
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 14.25
Regulatory Fee 0.58
07/09/14
07/10/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
25
1.87
(4,695.35)
12.947.47
BBRY Sep 20 14 10.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/09/14
07/10/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
50-
0.31
1,515.26
14,462.73
UAL Jul 19 14 37.0 P TO OPEN
Commission 33.50
Regulatory Fee 1.24
07/09/14
07/10/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
15
3.80
(5,714.61)
8,748.12
JBLU Jan 17 15 7.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/09/14
07/10/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
72
1.25
(9,047.33)
(299.21)
PEIX Aug 16 14 16.0 C TO OPEN
Commission 45.60
Regulatory Fee 1.73
page 25 of 76
CONFIDENTIAL
SDNY_GM_00011636
EFTA 00122287
EFTA01267766
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/09/14
07/10/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
5
6.20
(3.108.87)
(3.408.08)
YRCW Jul 19 14 22.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/10/14
07/10/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
3.408.08
0.00
DEPOSIT ACCOUNT
07/08/14
07/11/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
500
0.0299
(20.95)
(20.95)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
1.992
0.19
(384.48)
(405.43)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.100
1.8991
(2.095.01)
(2.500.44)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.200
3.70
(4.446.00)
(6.946.44)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
1.106
0.19
(216.14)
(7,162.58)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.23
(1.052.00)
(8214.58)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
7.750
2.12
(16.436.00)
(24,650.58)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
500
10.00
(5.006.00)
(29,656.58)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
3.200-
4.1001
13.114.03
(16,542.55)
COM
Commission 6.00
Regulatory Fee 0.29
07/08/14
07/11/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
1.000-
4.1101
4,104.00
(12.438.55)
COM
Commission 6.00
Regulatory Fee 0.10
page 26 o176
CONFIDENTIAL
SDNY_GM_00011637
EFTA_00 122288
EFTA01267767
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/08/14
07/11/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
200
1.8499
(375.98)
(12.814.53)
COM
Commission 6.00
07/08/14
07/11/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
84
1.84
(154.56)
(12.969.09)
07/10/14
07/11/14 Margin
Sell - Securities Sold
COM
UNITED CONTINENTAL HLDGS
50-
1.97
9.815.08
(3,154.01)
07/10/14
07/11/14 Margin
Sell - Securities Sold
UAL Jul 19 14 41.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.42
UNITED CONTINENTAL HLDGS
50-
4.45
22.214.80
19.060.79
07/10/14
07/11/14 Margin
Sell - Securities Sold
UAL Sep 20 14 40.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.70
UNITED CONTINENTAL HLDGS
40-
2.29
9.130.83
28.191.62
07/10/14
07/11/14 Margin
Sell - Securities Sold
UAL Jul 19 14 41.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.17
UNITED CONTINENTAL HLDGS
30-
2.49
7.446.61
35.638.23
07/10/14
07/11/14 Margin
Buy - Securities Purchased
UAL Jul 19 14 41.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.89
QUANTUM FUEL SYSTEMS TEC
22
2.00
(4.418.63)
31,219.60
07/10/14
07/11/14 Margin
Buy - Securities Purchased
QTWW Jul 19 14 3.0 C TO OPEN
Commission 18.10
Regulatory Fee 0.53
BLACKBERRY LIMITED
40
2.02
(8.141.96)
23,077.64
07/10/14
07/11/14 Margin
Buy - Securities Purchased
BBRY Sep 20 14 10.0 C TO OPEN
Commission 61.00
Regulatory Fee 0.96
BLACKBERRY LIMITED
60
2.01
(12.061.44)
11,016.20
07/10/14
07/11/14 Margin
Buy - Securities Purchased
BBRY Sep 20 14 10.0 C TO OPEN
Regulatory Fee 1.44
CITIGROUP INC
141
0.14
(2.060.94)
8.955.26
C Jul 19 14 49.0 C TO OPEN
Commission 83.55
Regulatory Fee 3.39
page 27 o176
CONFIDENTIAL
SDNY_GM_00011638
EFTA 00122289
EFTA01267768
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSH,
Quantity
Price
Amount
Balance
07/10/14
07/11/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
50-
5.50
27.464.69
36.419.95
UAL Sep 20 14 40.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.81
07/10/14
07/11/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
25
1.03
(2.595.35)
33324.60
AMD Jan 17 15 3.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/10/14
07/11/14 Margin
Sell - Securities Sold
TWITTER INC
100-
0.46
4.536.49
38.361.09
TWTR Jul 19 14 36.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.51
07/10/14
07/11/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
30-
2.99
8.946.58
47307.67
UAL Jul 19 14 41.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.92
07/10/14
07/11/14 Margin
Sell - Securities Sold
YAHOO! INC
100-
0.55
5.436.47
52.744.14
YHOO Jul 25 14 33.5 P TO OPEN
Commission 61.00
Regulatory Fee 2.53
07/10/14
07/11/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
15
2.00
(3.014.61)
49.72953
QTWW Jul 19 14 3.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/10/14
07/11/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
75
0.30
(2.299.05)
47.430.48
ALU Sep 20 14 3.5 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/10/14
07/11/14 Margin
Buy - Securities Purchased
RITE AID CORP
150
0.60
(9.092.10)
38.338.38
RAD Aug 16 14 7.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
07/10/14
07/11/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
50
0.53
(2.684.70)
35.653.68
AMD Jan 17 15 4.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
page 28 o176
CONFIDENTIAL
SDNY_GM_00011639
EFTA 00122290
EFTA01267769
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/10/14
07/11/14 Margin
Buy - Securities Purchased
SEARS HOLDING CORP
15
0.90
(1.364.61)
34,289.07
SHLD Jul 19 14 39.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/10/14
07/11/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
30
0.70
(2.123.22)
32.165.85
JBLU Jul 19 14 10.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/10/14
07/11/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
25
1.04
(2.620.35)
29.545.50
AMD Jan 17 15 3.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/10/14
07/11/14 Margin
Buy - Securities Purchased
AMAZON.COM INC
100
0.05
(563.40)
28.982.10
AMZN Jul 19 14 270.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/11/14
07/11/14 Margin
Joumal - Other
PURCHASE FDIC INSURED
0.00
(28.982.10)
0.00
DEPOSIT ACCOUNT
07/09/14
07/14/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
300
5.2965
(1.594.95)
(1,594.95)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
300
3.72
(1.122.00)
(2.716.95)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
300
5.25
(1.581.00)
(4.297.95)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.2299
(528.99)
(4,826.94)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
300
5.28
(1.590.00)
(6,416.94)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
5,500
0.275
(1.518.50)
(7.935.44)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.32
(1,070.00)
(9,005.44)
COM
Commission 6.00
SDNY_GM_00011640
page 29 01 76
CONFIDENTIAL
EFTA_00I 22291
EFTA01267770
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Settle
Acct
Transaction,'
Symbol,
Date
Date
Type
Cash Activity'
Description
CUSIP
Quantity
Price
Amount
Balance
07/09/14
07/14/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIB I
390
5.31
(2,076.90)
(11,082.34)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
590419107
2
0.091
(6.18)
(11,088.52)
1:30 R/S 7/14/14 590419206
Commission 6.00
07/09/14
07/14/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
16
0.81
(18.96)
(11,107.48)
COM
Commission 6.00
07/09/14
07/14/14 Margin
Sell - Securities Sold
ZAZA ENERGY CORPORATION
ZAZA
400-
0.8121
318.84
(10,788.64)
COM
Commission 6.00
Regulatory Fee 0.01
07/09/14
07/14/14 Margin
Sell - Securities Sold
ZAZA ENERGY CORPORATION
ZAZA
3,600-
0.8121
2,923.49
(7,865.15)
COM
Regulatory Fee 0.07
07/11/14
07/14/14 Margin
Sell - Securities Sold
TWITTER INC
100-
0.47
4,636.49
(3,228.66)
TWTR Jul 19 1440.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.51
07/11/14
07/14/14 Margin
Buy - Securities Purchased
APOLLO EDUCATION GROUP INC
53
0.15
(831.43)
(4,060.09)
APOL Aug 16 14 34.0 C TO OPEN
Commission 35.15
Regulatory Fee 1.28
07/11/14
07/14/14 Margin
Buy - Securities Purchased
AOL INC
5
4.20
(2,108.87)
(6,168.96)
AOL Jul 19 14 36.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/11/14
07/14/14 Margin
Sell - Securities Sold
AOL INC
10-
0.25
238.25
(5,930.71)
AOL Jul 19 14 42.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.25
07/11/14
07/14/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
50
0.61
(3,084.70)
(9,015.41)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
page 30 of 76
CONFIDENTIAL
SDNY_GM_00011641
EFTA_00122292
EFTA01267771
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/11/14
07/14/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
50
0.25
(1.284.70)
(10,300.11)
ALU Sep 20 14 3.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/11/14
07/14/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD
10
1.15
(1.161.74)
(11,461.85)
NAT Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/11/14
07/14/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
5
3.90
(1.958.87)
(13,420.72)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/11/14
07/14/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
15
3.80
(5.714.61)
(19,135.33)
JBLU Jan 17 15 7.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/11/14
07/14/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
50
1.17
(5.884.70)
(25,020.03)
YRCW Aug 16 14 30.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/11/14
07/14/14 Margin
Buy - Securities Purchased
KATE SPADE & COMPANY
8
0.05
(50.60)
(25,070.63)
KATE Jul 19 14 34.0 P TO OPEN
Commission 10.40
Regulatory Fee 0.20
07/14/14
07/14/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
25.070.63
0.00
DEPOSIT ACCOUNT
07/10/14
07/15/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
210
5.22
(1.102.20)
(1,102.20)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
2.500
0.19
(481.00)
(1,583.20)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
901
2.0079
(1.815.12)
(3398.32)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
18.000
0.17
(3.066.00)
(6,464.32)
COM
Commission 6.00
page 31 o176
CONFIDENTIAL
SDNY_GM_00011642
EFTA_00 122293
EFTA01267772
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/10/14
07/15/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
6.000
0.8799
(5.285.11)
(11.749.43)
COMMUNICATIONS
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
600
0.8795
(527.70)
(12,277.13)
COMMUNICATIONS
COM
07/10/14
07/15/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
6.500
0.8092
(5.265.77)
(17,542.90)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
100
1.98
(204.00)
(17.746.90)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
400
1.979
(791.60)
(18,538.50)
COM
07/10/14
07/15/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
500
1.978
(989.00)
(19,527.50)
COM
07/10/14
07/15/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
500
3.7499
(1.880.95)
(21.408.45)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
17.000
0.16
(2.726.00)
(24.134.45)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
200
12.75
(2.556.00)
(26,690.45)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
590419107
200.024
0.091
(18.208.18)
(44,898.63)
1:30 R/S 7/14/14 590419206
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
1.000
0.81
(816.00)
(45,714.63)
COM
Commission 6.00
07/10/14
07/15/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
615
1.9399
(1.199.04)
(46,913.67)
COM
Commission 6.00
page 32 o176
CONFIDENTIAL
SDNY_GM_00011643
EFTA (H) 122294
EFTA01267773
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Description
Symbol
CUSIP
Quantity
Price
Amount
Balance
07/14/14
07/15/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
25
0.63
(1,595.35)
(48,509.02)
AMD Jan 17 15 4.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/14/14
07/15/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
50
0.30
(1,534.70)
(50,043.72)
ALU Sep 20 14 3.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/14/14
07/15/14 Margin
Buy - Securities Purchased
UNISYS CORP
100
2.20
(22,063.40)
(72,107.12)
UIS Oct 18 1424.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/14/14
07/15/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
25
0.20
(520.35)
(72.627.47)
ARO Jul 19 14 3.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/14/14
07/15/14 Margin
Buy - Securities Purchased
BEAZER HOMES USA INC
-
25
1.80
(4.520.35)
(77.147.82)
BZH Jan 17 1520.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/14/14
07/15/14 Margin
Buy - Securities Purchased
FLAMEL TECH
5
5.60
(2.808.87)
(79.956.69)
FLML Dec 20 14 10.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/14/14
07/15/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
-
20-
5.70
11,382.26
(68,574.43)
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.74
07/15/14
07/15/14 Margin
Joumal - Other
REDEMPTION FDIC INSURED
0.00
15,001.11
(53,573.32)
DEPOSIT ACCOUNT
07/15/14
07/15/14 Margin
Div/Int - Other
FDIC INSURED DEPOSIT
MMDA11
0.00
0.04
(53,573.28)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 07/31/2014
Insured Deposit Accoun 0.04
page 33 of 76
CONFIDENTIAL
SDNY_GM_00011644
EFTA 00122295
EFTA01267774
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/11/14
07/16/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
4.000-
3.7201
14.874.07
(38.699.21)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.33
07/11/14
07/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
300
5.40
(1.626.00)
(40,325.21)
COM
Commission 6.00
07/11/14
07/16/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
1.200-
0.8805
1,050.57
(39,274.64)
COM
Commission 6.00
Regulatory Fee 0.03
07/11/14
07/16/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
7.600-
0.8804
6.690.89
(32.583.75)
COM
Regulatory Fee 0.15
07/11/14
07/16/14 Margin
Sell - Securities Sold
JBI INC NEW
JBII
1.500-
0.09
128.99
(32.454.76)
COM
Commission 6.00
Regulatory Fee 0.01
07/11/14
07/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.344
1.55
(2,089.20)
(34,543.96)
WARRANT EXP 11/18.2018
Commission 6.00
07/11/14
07/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
1.380
0.19
(268.20)
(34,812.16)
COM
Commission 6.00
07/11/14
07/16/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
1.50
(1.506.00)
(36,318.16)
WARRANT EXP 11/18.2018
Commission 6.00
07/11/14
07/16/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
600-
3.69
2.207.95
(34,110.21)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.05
07/11/14
07/16/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
1.800-
3.6801
6.624.03
(27,486.18)
RESOURCES
COM
Regulatory Fee 0.15
page 34 of 76
CONFIDENTIAL
SDNY_GM_00011645
EFTA_00122296
EFTA01267775
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/11/14
07/16/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
1.800-
3.6501
6.564.03
(20.922.15)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.15
07/11/14
07/16/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
130
15.00
(1.956.00)
(22.878.15)
COM
Commission 6.00
07/11/14
07/16/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
120
0.14
(22.80)
(22.900.95)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
COM
Commission 6.00
MICHAEL KORS HOLDINGS
25
2.60
(6.520.35)
(29,421.30)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
KORS Jul 25 14 80.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
FUELCELL ENERGY INC
100
0.30
(3.063.40)
(32.484.70)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
FCEL Jul 19 14 2.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
JETBLUE AIRWAYS CORP
25
0.74
(1.870.35)
(34,355.05)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
JBLU Jul 19 14 10.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
FUELCELL ENERGY INC
50
0.25
(1.284.70)
(35,639.75)
FCEL Jul 19 14 2.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/15/14
07/16/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
-
400
0.10
(4.235.60)
(39,875.35)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
AMD Jul 25 14 5.0 C TO OPEN
Commission 226.00
Regulatory Fee 9.60
SONY CORP
25
0.65
(1.645.35)
(41,520.70)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
SNE Oct 18 14 17.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
YAHOO! INC
150
0.31
(4,742.10)
(46,262.80)
YHOO Jul 19 14 37.0 C TO CLOSE
Commission 88.50
Regulatory Fee 3.60
page 35 o176
CONFIDENTIAL
SDNY_GM_00011646
EFTA_00 122297
EFTA01267776
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/15/14
07/16/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
35
0.30
(1.076.09)
(47.338.89)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
GOWN Jan 17 15 5.0 C TO OPEN
Commission 25.25
Regulatory Fee 0.84
COWEN GROUP INC
150
2.05
(30.842.10)
(78,180.99)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
GOWN Jan 17 15 2.5 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
MICHAEL KORS HOLDINGS
15
1.40
(2.114.61)
(80295.60)
07/15/14
07/16/14 Margin
Sell - Securities Sold
KORS Jul 25 14 80.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
QUANTUM FUEL SYSTEMS TEC
1-
2.30
223.41
(80,072.19)
07/15/14
07/16/14 Margin
Buy - Securities Purchased
QTWW Jul 19 14 3.0 C TO CLOSE
Commission 6.55
Regulatory Fee 0.04
YAHOO! INC
21
0.29
(627.06)
(80,699.25)
YHOO Jul 25 14 33.5 P TO CLOSE
Commission 17.55
Regulatory Fee 0.51
07/14/14
07/17/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
1.200
0.19
(234.00)
(80,933.25)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
500
5.2452
(2.628.60)
(83,561.85)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
600
1.9395
(1.169.70)
(84.731.55)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.1854
(1.043.08)
(85.774.63)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
1.51
(1.516.00)
(87.290.63)
WARRANT EXP 11/18.2018
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
4.500
1.80
(8.106.00)
(95.396.63)
COM
Commission 6.00
page 36 o176
CONFIDENTIAL
SDNY_GM_00011647
EFTA_00 122298
EFTA01267777
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/14/14
07/17/14 Margin
Sell - Securities Sold
COWEN GROUP INC
GOWN
4.000-
4.3201
17.274.01
(78,122.62)
COM
Commission 6.00
Regulatory Fee 0.39
07/14/14
07/17/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.27
(1.060.00)
(79,182.62)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
1.400-
2.1301
2,976.07
(76,206.55)
COM
Commission 6.00
Regulatory Fee 0.07
07/14/14
07/17/14 Margin
Sell - Securities Sold
OCLARO INC
OCLR
6.100-
2.13
12,992.71
(63.213.84)
COM
Regulatory Fee 0.29
07/14/14
07/17/14 Margin
Buy - Securities Purchased
I-IAUPPAGE DIGITAL INC
HAUP
10.000
0.174
(1,746.00)
(64,959.84)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.892
83.19
(64,876.65)
COM
Commission 6.00
Regulatory Fee 0.01
07/14/14
07/17/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
3.700-
0.8911
3.296.99
(61,579.66)
COM
Regulatory Fee 0.08
07/14/14
07/17/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
9.200-
0.89
8.187.81
(53391.85)
COM
Regulatory Fee 0.19
07/14/14
07/17/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
3.800
0.14
(538.00)
(53,929.85)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
5.894
1.80
(10.615.20)
(64,545.05)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
4,121
0.17
(706.57)
(65,251.62)
COM
Commission 6.00
07/14/14
07/17/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
108
2.50
(276.00)
(65,527.62)
COM
Commission 6.00
page 37 o176
CONFIDENTIAL
SDNY_GM_00011648
EFTA_00122299
EFTA01267778
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity'
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/16/14
07/17/14 Margin
Sell • Securities Sold
JETBLUE AIRWAYS CORP
98-
0.92
8.952.44
(56.575.18)
JBLU Jul 19 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.56
07/16/14
07/17/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
2-
0.91
181.94
(56.393.24)
JBLU Jul 19 14 10.0 C TO CLOSE
Regulatory Fee 0.06
07/16/14
07/17/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
20-
5.73
11.442.26
(44.950.98)
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 17.00
Regulatory Fee 0.74
07/16/14
07/17/14 Margin
Sell - Securities Sold
ADVANCED MICRO DEVICES INC
-
25-
1.41
3.504.57
(41,446.41)
AMD Jan 17 15 3.5 C TO CLOSE
Commission 19.75
Regulatory Fee 0.68
07/16/14
07/17/14 Margin
Sell - Securities Sold
CITIGROUP INC
300-
0.56
16,621.42
(24,824.99)
C Jul 19 1449.0 C TO CLOSE
Commission 171.00
Regulatory Fee 7.58
07/16/14
07/17/14 Margin
Buy- Securities Purchased
UNISYS CORP
50
1.80
(9,034.70)
(33,859.69)
UIS Oct 18 1424.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/16/14
07/17/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
-
10
1.30
(1,311.74)
(35,171.43)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/16/14
07/17/14 Margin
Sell - Securities Sold
CITIGROUP INC
300-
0.73
21.72131
(13.450.12)
C Jul 19 1449.0 C TO CLOSE
Commission 171.00
Regulatory Fee 7.69
07/16/14
07/17/14 Margin
Buy - Securities Purchased
YAHOO! INC
75
0.32
(2.449.05)
(15.899.17)
YHOO Jul 19 14 34.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/16/14
07/17/14 Margin
Buy - Securities Purchased
AOL INC
10
3.00
(3.011.74)
(18,910.91)
AOL Jul 19 14 36.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 38 of 76
CONFIDENTIAL
SDNY_GM_00011649
EFTA 00122300
EFTA01267779
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/16/14
07/17/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
100
0.15
(1.563.40)
(20,474.31)
AMD Jul 25 14 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/16/14
07/17/14 Margin
Buy - Securities Purchased
CITIGROUP INC
53
1.36
(7,270.28)
(27,744.59)
C Aug 16 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 1.28
07/16/14
07/17/14 Margin
Buy - Securities Purchased
CITIGROUP INC
47
1.35
(6.346.13)
(34,090.72)
C Aug 16 14 49.0 C TO OPEN
Regulatory Fee 1.13
07/16/14
07/17/14 Margin
Sell - Securities Sold
YAHOO! INC
71-
0.41
2264.17
(31,226.55)
YHOO Jul 25 14 33.5 P TO OPEN
Commission 45.05
Regulatory Fee 1.78
07/16/14
07/17/14 Margin
Buy - Securities Purchased
CITIGROUP INC
100
1.34
(13.463.40)
(44,689.95)
C Aug 16 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/16/14
07/17/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
10
3.50
(3.511.74)
(48,201.69)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/17/14
07/17/14 Margin
Delivered - Other
QUANTUM FUEL SYSTEMS TEC
214-
0.00
(48,201.69)
QTWW Jul 19 14 3.0 C
EXERCISED OPTION
07/15/14
07/18/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
13.900
0.027
(381.30)
(48,582.99)
COM
Commission 6.00
07/15/14
07/18/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
600-
4.3502
2204.06
(45.978.93)
COM
Commission 6.00
Regulatory Fee 0.06
07/15/14
07/18/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
1,700-
4.3501
7295.00
(38,583.93)
COM
Regulatory Fee 0.17
07/15/14
07/18/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
200-
4.35
869.98
(37,713.95)
COM
Regulatory Fee 0.02
page 39 o176
CONFIDENTIAL
SDNY_GM_00011650
EFTA_00122301
EFTA01267780
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/15/14
07/18/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.000
1.99
(1.996.00)
(39,709.95)
COM
Commission 6.00
07/15/14
07/18/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
100
15.00
(1.506.00)
(41,215.95)
COM
Commission 6.00
07/15/14
07/18/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
10.000-
4.40
43593.02
2.777.07
COM
Commission 6.00
Regulatory Fee 0.98
07/15/14
07/18/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
3.500-
4.3901
15259.01
18.136.08
COM
Commission 6.00
Regulatory Fee 0.34
07/15/14
07/18/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
1.350
1.78
(2.409.00)
15.727.08
COM
Commission 6.00
07/15/14
07/18/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
696-
0.8919
614.74
16.341.82
COM
Commission 6.00
Regulatory Fee 0.02
07/15/14
07/18/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.8902
89.01
16.43023
COM
Regulatory Fee 0.01
07/15/14
07/18/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
3.629-
0.89
3.229.73
19.66056
COM
Regulatory Fee 0.08
07/15/14
07/18/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
1.000
0.17
(176.00)
19.48456
COM
Commission 6.00
07/15/14
07/18/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
162
15.00
(2.436.00)
17.048.56
COM
Commission 6.00
07/15/14
07/18/14 Margin
Sell - Securities Sold
TITAN ENERGY WORLDWIDE INC TEWI
26.000-
0.0283
729.78
17.778.34
COM
Commission 6.00
Regulatory Fee 0.02
page 40 of 76
CONFIDENTIAL
SDNY_GM_00011651
EFTA 00122302
EFTA01267781
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity'
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/17/14
07/18/14 Margin
Sell - Securities Soid
JETBLUE AIRWAYS CORP
100-
0.65
6,436.45
24,214.79
JBLU Jul 19 14 10.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.55
07/17/14
07/18/14 Margin
Sell - Securities Sold
HEWLETT PACKARD CO
50-
4.50
22,464.80
46.679.59
HPO Jan 17 1531.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.70
07/17/14
07/18/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
25
1.85
(4,645.35)
42.034.24
COWN Jan 17152.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/17/14
07/18/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
80-
0.70
5,547.95
47.582.19
JBLU Jul 19 14 10.0 C TO CLOSE
Commission 50.00
Regulatory Fee 2.05
07/17/14
07/18/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
150-
0.25
3,657.81
51.240.00
ARO Jul 19 14 3.0 C TO CLOSE
Commission 88.50
Regulatory Fee 3.69
07/17/14
07/18/14 Margin
Sell - Securities Sold
YRC WORLDWIDE INC
25-
5.66
14,129.33
65.369.33
YRCW Jul 19 14 22.5 C TO CLOSE
Commission 19.75
Regulatory Fee 0.92
07/17/14
07/18/14 Margin
Sell - Securities Sold
ADVANCED MICRO DEVICES INC
35-
1.25
4,348.81
69,718.14
AMD Jan 17 15 3.5 C TO CLOSE
Commission 25.25
Regulatory Fee 0.94
07/17/14
07/18/14 Margin
Buy - Securities Purchased
CITIGROUP INC
100
1.37
(13,763.40)
55,954.74
C Aug 16 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14
07/18/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
150
1.40
(21,092.10)
34,862.64
OTWW Oct 18 14 4.0 C TO OPEN
Commission 88.50
Regulatory Fee 3.60
page 41 of 76
CONFIDENTIAL
SDNY_GM_00011652
EFTA_00122303
EFTA01267782
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Symbol
Description
CUSIP
Quantity
Price
Amount
Balance
07/17/14
07/18/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
26
1.05
12.750.93)
32.111.71
YRCW Aug 1614 30.0 C TO OPEN
Commission 20.30
Regulatory Fee 0.63
07/17/14
07/18/14 Margin
Buy - Securities Purchased
RITE AID CORP
100
0.35
13.563.40)
28548.31
RAD Aug 16 14 7.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14
07/18/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
100-
2.10
20.936.13
49.484.44
OTWW Jul 19 14 3.0 C TO CLOSE
Commission 61.00
Regulatory Fee 2.87
07/17/14
07/18/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
80-
3.80
30,347.40
79831.84
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 50.00
Regulatory Fee 2.60
07/17/14
07/18/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
40-
3.80
15.170.70
95O02.54
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.30
07/17/14
07/18114 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
20-
3.80
7.582.35
102.58489
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.65
07/17/14
07/18/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
100
0.43
(4.363.40)
98.221.49
YRCW Aug 16 14 325 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14
07/18/14 Margin
Sell - Securities Sold
ADVANCED MICRO DEVICES INC
50-
1.20
5.965.16
104.186.65
AMD Jan 17 15 3.5 C TO CLOSE
Commission 33.50
Regulatory Fee 1.34
07/17/14
07/18/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
25
0.30
(770.35)
103,416.30
ALU Sep 20 14 3.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
page 42 of 76
CONFIDENTIAL
SDNY_GM_000 11653
EFTA_00 I 2230=t
EFTA01267783
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/17/14
07/18/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
140-
3.70
51.712.49
155.128.79
JBLU Jan 17 15 7.0 C TO CLOSE
Commission 83.00
Regulatory Fee 4.51
07/17/14
07/18/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
15
1.80
(2.714.61)
152.414.18
GOWN Jan 17 15 2.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/17/14
07/18/14 Margin
Buy - Securities Purchased
CITIGROUP INC
100
0.37
(3.763.40)
148,650.78
C Jul 19 14 49.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/17/14
07/18/14 Margin
Sell - Securities Sold
ADVANCED MICRO DEVICES INC
55-
1.23
6.727.28
155,378.06
AMD Jan 17 15 3.5 C TO CLOSE
Commission 36.25
Regulatory Fee 1.47
07/17/14
07/18/14 Margin
Buy - Securities Purchased
CITIGROUP INC
50
0.29
(1.484.70)
153,893.36
C Jul 19 14 49.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/17/14
07/18/14 Margin
Sell - Securities Sold
ADVANCED MICRO DEVICES INC
100-
1.22
12.136.33
166,029.69
AMD Jan 17 15 3.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.67
07/18/14
07/18/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(166.029.69)
0.00
DEPOSIT ACCOUNT
07/16/14
07/21/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.278
(533.80)
(533.80)
COM
Commission 6.00
07/16/14
07/21/14 Margin
Buy - Securities Purchased
OCLARO INC
OCLR
7.500
2.0199
(15.155.25)
(15,689.05)
COM
Commission 6.00
07/16/14
07/21/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.8299
(388.99)
(16,078.04)
COM
Commission 6.00
07/16/14
07/21/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
100
15.00
(1.506.00)
(17,584.04)
COM
Commission 6.00
page 43 o176
CONFIDENTIAL
SDNY_GM_00011654
EFTA 00122305
EFTA01267784
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/16/14
07/21/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
9.500
0.19
(1.811.00)
(19,395.04)
COM
Commission 6.00
07/16114
07/21/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.400
1.95
(2.736.00)
(22.131.04)
COM
Commission 6.00
07/16/14
07/21/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
5.000-
3.55
17743.60
(4,387.44)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.40
07/16/14
07/21/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
200
14.00
(2.806.00)
(7.193.44)
COM
Commission 6.00
07/16/14
07/21/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
5.090
0.18
(922.20)
(8.115.64)
07/18/14
07/21/14 Margin
Buy - Securities Purchased
COM
Commission 6.00
CITIGROUP INC
50
1.18
(5.934.70)
(14,050.34)
07/18/14
07/21/14 Margin
Buy - Securities Purchased
C Aug 16 14 49.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
NET 1 UEPS TECHNOLOGIES INC
10
3.50
(3.511.74)
(17,562.08)
07/18/14
07/21/14 Margin
Buy - Securities Purchased
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
NET 1 UEPS TECHNOLOGIES INC
10
3.40
(3.411.74)
(20,973.82)
07/18/14
07/21/14 Margin
Buy - Securities Purchased
UEPS Jan 17 15 8.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
NET 1 UEPS TECHNOLOGIES INC
10
2.60
(2.611.74)
(23,585.56)
07/18/14
07/21/14 Margin
Buy - Securities Purchased
UEPS Jan 17 15 9.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
AEROPOSTALE INC
100
1.39
(13,963.40)
(37,548.96)
ARO Oct 18 14 2.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 44 o176
CONFIDENTIAL
SDNY_GM_00011655
EFTA_00I 22306
EFTA01267785
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction
Cash Activity'
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
07/18/14
07/21/14 Margin
Sell - Securities Sold
CITIGROUP INC
75-
0.78
5,800.82
(31,748.14)
C Jul 19 1449.0 C TO CLOSE
Commission 47.25
Regulatory Fee 1.93
07/18/14
07/21/14 Margin
Buy - Securities Purchased
TWITTER INC
45
2.46
(11,101.83)
(42,849.97)
TWTR Aug 01 14 36.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/18/14
07/21/14 Margin
Buy - Securities Purchased
CITIGROUP INC
50
1.22
(6,134.70)
(48,984.67)
C Aug 16 14 49.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/18/14
07/21/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
200
1.40
(28.120.80)
(77.105.47)
ARO Oci 18 14 2.0 C TO OPEN
Commission 116.00
Regulatory Fee 4.80
07/18/14
07/21/14 Margin
Sell - Securities Sold
AOL INC
120-
2.85
34.124.36
(42.981.11)
AOL Jul 19 14 36.0 C TO CLOSE
Commission 72.00
Regulatory Fee 3.64
07/18/14
07/21/14 Margin
Buy - Securities Purchased
RADIOSHACK CORPORATION
500
0.18
(9.293.00)
(52.274.11)
RSH Jan 15 16 1.0 C TO OPEN
Commission 281.00
Regulatory Fee 12.00
07/18/14
07/21/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
50
0.89
(4,484.70)
(56,758.81)
BBRY Sep 20 14 10.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
07/18/14
07/21/14 Margin
Buy - Securities Purchased
BLACKBERRY LIMITED
29
2.03
(5,909.65)
(62,668.46)
BBRY Jan 17 15 9.0 C TO OPEN
Commission 21.95
Regulatory Fee 0.70
07/18/14
07/21/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
175
0.25
(4,481.45)
(67,149.91)
JBLU Sep 20 14 12.0 C TO OPEN
Commission 10225
Regulatory Fee 4.20
page 45 of 76
CONFIDENTIAL
SONY_GM_000 11656
EFTA_00122307
EFTA01267786
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Symbol!'
Description
CUSIP
Quantity
Price
07/18/14
07/21/14 Margin
Buy - Securities Purchased
YAHOO! INC
100
1.25
YHOO Aug 16 14 33.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/18/14
07/21/14 Margin
Buy - Securities Purchased
MGIC INVT CORP WIS
15
0.87
MTG Jan 17 15 8.0C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/18/14
07/21/14 Margin
Sell - Securities Sold
CITIGROUP INC
25-
0.51
C Jul 19 1449.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.63
07/18/14
07/21/14 Margin
Sell - Securities Sold
SEARS HOLDING CORP
60-
0.60
SHLD Jul 19 14 38.0 C TO CLOSE
Commission 39.00
Regulatory Fee 1.52
07/18/14
07/21/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
2
0.35
ALU Sep 20 14 3.5 C TO OPEN
Commission 7.10
Regulatory Fee 0.05
07/18/14
07/21/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
30
0.55
JBLU Sep 20 14 11.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/18/14
07/21/14 Margin
Sell - Securities Sold
CITIGROUP INC
50-
0.67
C Jul 19 1449.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.28
07/21/14
07/21/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
DEPOSIT ACCOUNT
07/21/14
07/21/14 Margin
Delivered - Other
AEROPOSTALE INC
300-
0.00
ARO Jul 19143.0 C
EXERCISED OPTION
07/21/14
07/21/14 Margin
Delivered - Other
FUELCELL ENERGY INC
150-
0.00
FCEL Jul 19 14 2.0 C
EXERCISED OPTION
07/21/14
07/21/14 Margin
Delivered - Other
TEEKAY TANKERS LTD
500-
0.00
TNK Jul 19 14 5.0 C
EXPIRATION
page 46 of 76
CONFIDENTIAL
Amount
Balance
(12,563.40)
(79,713.31)
(1,319.61)
(81,032.92)
1,254.62
(79,778.30)
3,559.48
(76,218.82)
(77.15)
(76,295.97)
(1,673.22)
(77,969.19)
3,315.22
(74,653.97)
74,653.97
0.00
0.00
0.00
0.00
SDNY_GM_00011657
EFTA_00122308
EFTA01267787
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
07/21/14
07/21/14 Margin
Delivered - Other
TESLA MOTORS INC
186-
0.00
0.00
TSLA Jul 19 14 170.0 P
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
KATE SPADE & COMPANY
208-
0.00
0.00
KATE Jul 19 14 340 P
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
TWITTER INC
100-
0.00
0.00
TWTR Jul 19 14 38.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Received - Other
TWITTER INC
100
0.00
0.00
TWTR Jul 19 14 40.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Received - Other
TWITTER INC
100
0.00
0.00
TWTR Jul 19 14 36.0 P
EXPIRATION
07/21/14
07/21/14 Margin
Received - Other
UNITED CONTINENTAL HLDGS
200
0.00
0.00
UAL Jul 19 14 37.0 P
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
UNITED STATES NAT GAS FUND
100-
0.00
0.00
UNG Jul 19 14 25.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
UNITED STATES NAT GAS FUND
200-
0.00
0.00
UNG Jul 19 14 27.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
AMAZON.COM INC
350-
0.00
0.00
AMZN Jul 19 14 270.0 P
EXPIRATION
07/21/14
07/21/14 Margin
Received - Other
AOL INC
110
0.00
0.00
AOL Jul 19 14 42.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
FUELCELL ENERGY INC
525-
0.00
0.00
FCEL Jul 19 14 2.5 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
SEARS HOLDING CORP
50-
0.00
0.00
SHLD Jul 19 14 39.0 C
EXPIRATION
page 47 o176
CONFIDENTIAL
SDNY_GM_00011658
EFTA 00122309
EFTA01267788
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/21/14
07/21/14 Margin
Delivered Other
APOLLO EDUCATION GROUP INC
-
120-
0.00
0.00
APOL Jul 19 14 26.0 P
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
YAHOO! INC
225-
0.00
0.00
YHOO Jul 19 14 34.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
ZIOPHARM ONCOLOGY INC
279-
0.00
0.00
ZIOP Jul 19 14 5.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
QUIKSILVER INC
250-
0.00
0.00
ZOK Jul 19 14 7.0 C
EXPIRATION
07/21/14
07/21/14 Margin
Delivered - Other
MERRIMAN HOLDINGS INC
590419107
200.026-
0.00
0.00
1:30 R/S 7/14/14 590419206
REORG - 1:30 REVERSE SPLIT
7/14/14 MERRIMAN HOLDINGS INC
590419206
Auto Recrg#231309IREVERSE
SPLIT
07/21/14
07/21/14 Margin
Received - Other
MERRIMAN HOLDINGS INC
MERRD
6.667
0.00
0.00
COM
REORG - 1:30 REVERSE SPLIT
7/14/14 MERRIMAN HOLDINGS INC
590419206
Auto Recrg#231309IREVERSE
SPLIT
07/17/14
07/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.22
(1.050.00)
(1,050.00)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
15.000
0.0271
(412.50)
(1,462.50)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.500
1.92
(2.886.00)
(4,348.50)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
500
3.8146
(1.913.30)
(6,261.80)
COM
Commission 6.00
page 48 o176
CONFIDENTIAL
SDNY_GM_00011659
EFTA_00122310
EFTA01267789
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/17/14
07/22/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
108
15.00
(1.626.00)
(7,887.80)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.72
(378.00)
(8265.80)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
208
14.50
(3.022.00)
(11,287.80)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
445
5.13
(2.288.85)
(13,576.65)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
155
5.1299
(795.13)
(14,371.78)
COM
07/17/14
07/22/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
100
3.80
(386.00)
(14,757.78)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
ACCESS PFIARMA INC
ACCP
1.550
0.255
(401.25)
(15,159.03)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
2.500
0.2001
(506.25)
(15,665.28)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
500
0.20
(100.00)
(15,765.28)
COM
07/17/14
07/22/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.8499
(390.99)
(16,156.27)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
1.200
3.72
(4.470.00)
(20,626.27)
COM
Commission 6.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
QTWW
21.400
3.00
(64.210.00)
(84,836.27)
COM
Commission 10.00
07/17/14
07/22/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
4.538
0.20
(913.60)
(85,749.87)
COM
Commission 6.00
page 49 o176
CONFIDENTIAL
soNv_skt000tisso
EFfik_00I22311
EFTA01267790
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Description
Symbol,'
CUSIP
Quantity
Price
Amount
Balance
07/21/14
07/22/14 Margin
Buy - Securities Purchased
QUANTUM FUEL SYSTEMS TEC
100
1.65
(16,563.40)
(102313.27)
QTWW Oct 18 14 4.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/21/14
07/22/14 Margin
Buy - Securities Purchased
RADNET INC.
100
1.05
(10,563.40)
(112,876.67)
RDNT Aug 16 14 5.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/21/14
07/22/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
30
1.30
(3,923.22)
(116,799.89)
ARC Oct 18 14 2.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/21/14
07/22/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
72
0.50
(3,647.33)
(120,447.22)
JBLU Sep 20 14 11.0 C TO OPEN
Commission 45.60
Regulatory Fee 1.73
07/21/14
07/22/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
246
0.15
(3.837.21)
(124.284.43)
ALU Sep 20 14 4.0 C TO OPEN
Commission 14130
Regulatory Fee 5.91
07/21/14
07/22/14 Margin
Buy - Securities Purchased
HANWHA SOLARONE CO LTD
20
0.50
(1.017.48)
(125.301.91)
HSOL Sep 20 14 2.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/22/14
07/22/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
91,375.72
(33,926.19)
DEPOSIT ACCOUNT
07/22/14
07/22/14 Margin
Div/Int - Other
FDIC INSURED DEPOSIT
MMDA11
0.00
0.16
(33,926.03)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 07/31/2014
Insured Deposit Accoun 0.16
07/18/14
07/23/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
700
3.75
(2,631.00)
(36,557.03)
COM
Commission 6.00
07/18/14
07/23/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
1.200
5.20
(6,246.00)
(42,803.03)
COM
Commission 6.00
page 50 of 76
CONFIDENTIAL
SDNY_GM_00011661
EFTA_00122312
EFTA01267791
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/18/14
07/23/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
2.500
0.8996
(2.255.01)
(45,058.04)
COMMUNICATIONS
COM
Commission 6.00
07/18/14
07/23/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
7.425
0.89
(6.614.25)
(51,672.29)
COMMUNICATIONS
COM
Commission 6.00
07/18/14
07/23/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
3.600
0.28
(1.014.00)
(52.686.29)
COM
Commission 6.00
07/18/14
07/23/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
4.000-
4.3001
17.194.01
(35,492.28)
COM
Commission 6.00
Regulatory Fee 0.39
07/18/14
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
1.500-
3.3201
4.974.03
(30,518.25)
COM
Commission 6.00
Regulatory Fee 0.12
07/18/14
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
8.500-
3.32
28.219.37
(2.298.88)
COM
Regulatory Fee 0.63
07/18/14
07/23/14 Margin
Buy - Securities Purchased
ACCESS PFIARMA INC
ACCP
7.500
0.2349
(1.767.75)
(4,066.63)
COM
Commission 6.00
07/18/14
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
2.020-
3.345
6,750.75
2.684.12
COM
Commission 6.00
Regulatory Fee 0.15
07/18/14
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
980-
3.343
3.276.06
5.960.18
COM
Regulatory Fee 0.08
07/18/14
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
1.600-
3.341
5.345.48
11.305.66
COM
Regulatory Fee 0.12
07/18/14
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
5.400-
3.34
18.035.60
29.341.26
COM
Regulatory Fee 0.40
page 51 o176
CONFIDENTIAL
SDNY_GM_00011662
EFTA 00122313
EFTA01267792
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/18/14
07/23/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
5.250
0.26
(1.371.00)
27.970.26
COM
Commission 6.00
07/18114
07/23/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
ARO
10.000-
3.36
33.593.25
61.563.51
COM
Commission 6.00
Regulatory Fee 0.75
07/18/14
07/23/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
92
1.78
(169.76)
61.393/5
COM
Commission 6.00
07/18/14
07/23/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
75
0.881
(72.08)
61.321.67
COMMUNICATIONS
COM
Commission 6.00
07/18/14
07/23/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
100
4.00
(406.00)
60.915.67
COM
Commission 6.00
07/21/14
07/23/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
ARO
30.000
3.00
(90.010.00)
(29,094.33)
COM
Commission 10.00
07/21/14
07/23/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
FCEL
15.000
2.00
(30.010.00)
(59,104.33)
COM
Commission 10.00
07/23/4
07/23/14 Margin
Delivered - Other
NORDIC AMERICAN TANKERS LTD
700-
0.00
(59,104.33)
NAT Jan 17 15 8.0 C
CONTRACT ADJS: CASH
DISTRIBUTION
07/23/14
07/23/14 Margin
Received - Other
NORDIC AMERICAN TANKERS LTD
700
0.00
(59,104.33)
NAT Jan 17 15 7.87 C
CONTRACT ADJS: CASH
DISTRIBUTION
07/23/14
07/23/14 Margin
Delivered - Other
NORDIC AMERICAN TANKERS LTD
325-
0.00
(59,104.33)
NAT Oct 18 14 10.0 C
CONTRACT ADJS: CASH
DISTRIBUTION
07/23/14
07/23/14 Margin
Received - Other
NORDIC AMERICAN TANKERS LTD
325
0.00
(59,104.33)
NAT Oct 18 14 9.87 C
CONTRACT ADJS: CASH
DISTRIBUTION
page 52 o176
CONFIDENTIAL
SDNY_GM_00011663
EFTA (()122314
EFTA01267793
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
7.900-
0.9749
7.695.53
(51,408.80)
COM
Commission 6.00
Regulatory Fee 0.18
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
18.000-
0.9351
16.825.42
(34,583.38)
COM
Commission 6.00
Regulatory Fee 0.38
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
6.486-
0.9552
6.189.29
(28.394.09)
COM
Commission 6.00
Regulatory Fee 0.14
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
3.314-
0.9551
3.165.13
(25,228.96)
COM
Regulatory Fee 0.07
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
18.000-
0.9558
17.198.01
(8,030.95)
COM
Commission 6.00
Regulatory Fee 0.39
07/21/14
07/24/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.000
1.9899
(1,995.90)
(10,026.85)
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
15.000
0.0299
(454.50)
(10,481.35)
COM
Commission 6.00
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
22.000-
0.9878
21,725.11
11.243.76
COM
Commission 6.00
Regulatory Fee 0.49
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
15.000-
0.9744
14.609.67
25.853.43
COM
Commission 6.00
Regulatory Fee 0.33
07/21/14
07/24/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
1.025
3.70
(3.798.50)
22.054.93
COM
Commission 6.00
page 53 o176
CONFIDENTIAL
SDNY_GM_00011664
EFTA 00122315
EFTA01267794
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
20.000-
0.944
18.873.58
40,928.51
COM
Commission 6.00
Regulatory Fee 0.42
07/21/14
07/24/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
4.800
3.80
(18.246.00)
22.68251
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
92
3.65
(335.80)
22,346/1
COM
07/21/14
07/24/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
108
3.95
(432.60)
21,914.11
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
4.377
1.8799
(8.234.32)
13.679/9
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
COMMAND SEC CORP
MOC
2.246
1.8899
(4.250.72)
9.429.07
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1.500
1.96
(2.946.00)
6.483.07
COM
Commission 6.00
07/21/14
07/24/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
360-
5.493
1.97143
8.454.50
COM
Commission 6.00
Regulatory Fee 0.05
07/21/14
07/24/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
7.140-
5.49
39.197.73
47.652.23
COM
Regulatory Fee 0.87
07/21/14
07/24/14 Margin
Buy - Securities Purchased
TFiANSGENOMIC INC
TBIO
300
3.727
(1.124.10)
46.528.13
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
5.000
0.26
(1.306.00)
45.222.13
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
TFiANSGENOMIC INC
TBIO
100
3.738
(379.80)
44.84233
COM
Commission 6.00
page 64 o176
CONFIDENTIAL
SDNY_GM_00011665
EFTA (()122316
EFTA01267795
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/21/14
07/24/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
70
3.73
(267.10)
44,575.23
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
300
3.72
(1.116.00)
43,459.23
COM
07/21/14
07/24/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
100
3.719
(371.90)
43,087.33
COM
07/21/14
07/24/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
100
3.718
(371.80)
42,715.53
COM
07/21/14
07/24/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
100
3.67
(367.00)
42,348.53
COM
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
100-
0.9893
92.92
42,441.45
COM
Commission 6.00
Regulatory Fee 0.01
07/21/14
07/24/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
12
3.55
(48.60)
42,392.85
COM
Commission 6.00
07/21/14
07/24/14 Margin
Buy - Securities Purchased
I-IAUPPAGE DIGITAL INC
HAUP
562
0.255
(149.31)
42,243.54
COM
Commission 6.00
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
700-
0.9103
631.19
42,874.73
COM
Commission 6.00
Regulatory Fee 0.02
07/21/14
07/24/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
7A7A
700-
0.9102
637.12
43,511.85
COM
Regulatory Fee 0.02
07/21/14
07/24/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.72
(750.00)
42,761.85
07/23/14
07/24/14 Margin
Buy - Securities Purchased
COM
Commission 6.00
UNISYS CORP
40
0.45
(1.828.96)
40,932.89
UIS Oct 18 14 24.0 C TO OPEN
Commission 28.00
Regulatory Fee 0.96
page 55 o176
CONFIDENTIAL
SDNY_GM_00011666
EFTA (()122317
EFTA01267796
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Symbol
Description
CUSIP
Quantity
Price
Amount
Balance
07/23/14
07/24/14 Margin
Buy - Securities Purchased
UNISYS CORP
20
0.40
(817.48)
40,115.41
UIS Oct 18 14 24.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/23/14
07/24/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
65
0.15
(1,018.31)
39,097.10
ALIJ Sep 20 14 4.0 C TO OPEN
Commission 41.75
Regulatory Fee 1.56
07/24/14
07/24/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(39,097.10)
0.00
DEPOSIT ACCOUNT
07/24/14
07/25/14 Margin
Sell - Securities Sold
YAHOO! INC
100-
0.48
4,736.49
4,736.49
YHOO Aug 01 14 35.5 P TO OPEN
Commission 61.00
Regulatory Fee 2.51
07/24/14
07/25/14 Margin
Buy - Securities Purchased
UNISYS CORP
25
0.50
(1,270.35)
3,466.14
UIS Oct 18 14 24.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/24/14
07/25/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
10
2.85
(2,861.74)
604.40
PEIX Aug 16 14 16.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/24/14
07/25/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
15
0.20
(314.61)
289.79
COWN Jan 17155.0 C TO OPEN
Commission 1425
Regulatory Fee 0.36
07/24/14
07/25/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
100-
1.30
12,936.31
13,226.10
UAL Aug 08 14 45.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.69
07/24/14
07/25/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
15-
1.67
2,490.33
15,716.43
UAL Aug 08 14 45.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.42
07/24/14
07/25/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
15
0.90
(1,364.61)
14,351.82
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
page 56 of 76
CONFIDENTIAL
SDNY_GM_00011667
EFTA 00122318
EFTA01267797
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/25/14
07/25/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(14.351.82)
0.00
DEPOSIT ACCOUNT
07/23/14
07/28/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
3.500
3.5499
(12.430.65)
(12,430.65)
COM
Commission 6.00
07/23/14
07/28/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
3.500
3.85
(13.481.00)
(25,911.65)
CUM
Commission 6.00
07/23/14
07/28/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
FCEL
5.000
2.52
(12.606.00)
(38,517.65)
CUM
Commission 6.00
07/23/14
07/28/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.200
3.6318
(4.364.16)
(42,881.81)
COM
Commission 6.00
07/23/14
07/28/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
1.500
3.90
(5.856.00)
(48,737.81)
COM
Commission 6.00
07/23/14
07/28/14 Margin
Buy - Securities Purchased
I-IAUPPAGE DIGITAL INC
HAUP
1.680
0.26
(442.80)
(49,180.61)
COM
Commission 6.00
07/25/14
07/28/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
45
0.80
(3.631.83)
(52,812.44)
JBLU Sep 20 1411.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/25/14
07/28/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
10
2.50
(2.511.74)
(55.324.18)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/4
07/28/14 Margin
Buy - Securities Purchased
YAHOO! INC
10
3.30
(3.311.74)
(58,635.92)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/14
07/28/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
50
0.40
(2.034.70)
(60,670.62)
ALU Sep 20 14 3.5 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
page 57 o176
CONFIDENTIAL
SDNY_GM_00011668
EFTA_00122319
EFTA01267798
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol
Description
CUSIP
Quantity
Price
Amount
Balance
07/25/14
07/28/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
15-
0.74
1,095.36
(59,575.26)
UAL Aug 08 14 45.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.39
07/25/14
07/28/14 Margin
Buy - Securities Purchased
FLAMEL TECH
10
5.00
(5,011.74)
(64,587.00)
FLML Dec 20 14 10.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/14
07/28/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
15-
0.82
1,215.36
(63,371.64)
UAL Aug 08 1445.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.39
07/25/14
07/28/14 Margin
Buy - Securities Purchased
SONY CORP
10
1.20
(1,211.74)
(64,583.38)
SNE Oct 18 14 17.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/25/14
07/28/14 Margin
Buy - Secuities Purchased
JETBLUE AIRWAYS CORP
75
0.30
(2,299.05)
(66,882.43)
JBLU Sep 20 14 12.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/25/14
07/28/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
12
1.25
(1,512.89)
(68,395.32)
ARO Oct 18 142.0 C TO OPEN
Commission 12.60
Regulatory Fee 0.29
07/25/14
07/28/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
18
1.25
(2,266.34)
(70,661.66)
ARC Oct 18 14 2.0 C TO OPEN
Commission 15.90
Regulatory Fee 0.44
07/25/14
07/28/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
45
0.40
(1,831.83)
(72,493.49)
ARO Jan 17 153.5 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/25/14
07/28/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
40
0.35
(1,428.96)
(73,922.45)
YRCW Aug 16 14 30.0C TO OPEN
Commission 28.00
Regulatory Fee 0.96
page 58 of 76
CONFIDENTIAL
SDNY_GM_000 11669
EFTA_00122320
EFTA01267799
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
07/25/14
07/28/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
89
0.18
(1.665.14)
(75.587.59)
YRCW Aug 16 14 32.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.14
07/25/14
07/28/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
11
0.17
(187.27)
(75,774.86)
YRCW Aug 16 14 32.5 C TO OPEN
Regulatory Fee 0.27
07/25/14
07/28/14 Margin
Buy - Securities Purchased
HEWLETT PACKARD CO
15
5.20
(7.814.61)
(83,589.47)
HPO Jan 17 15 31.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/25/14
07/28/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
8
0.85
(697.20)
(84,286.67)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.20
07/25/14
07/28/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
12
0.83
(996.29)
(85,282.96)
ZIOP Oct 18 14 3.0 C TO OPEN
Regulatory Fee 0.29
07/25/14
07/28/14 Margin
Buy - Securities Purchased
MICHAEL KORS HOLDINGS
30
3.30
(9.923.22)
(95,206.18)
KORS Aug 08 14 81.0 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/25/14
07/28/14 Margin
Sell - Securities Sold
MICHAEL KORS HOLDINGS
40-
1.10
4270.94
(90,835.24)
KORS Jul 25 14 80.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.06
07/25/14
07/28/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
5-
0.84
411.12
(90,424.12)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
07/28/14
07/28/14 Margin
Delivered - Other
ADVANCED MICRO DEVICES INC
500-
0.00
(90,424.12)
AMD Jul 25 14 5.0 C
EXPIRATION
07/28/14
07/28/14 Margin
Received - Other
YAHOO! INC
150
0.00
(90,424.12)
YHOO Jul 25 14 33.5 P
EXPIRATION
07/28/14
07/28/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
53,448.92
(36,975.20)
DEPOSIT ACCOUNT
page 59 o176
CONFIDENTIAL
SDNY_GM_00011670
EFTA_00I 22321
EFTA01267800
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Date
Date
Type
Cash Activity*
07/28/14
07/28/14 Margin
Div/Int - Other
07/24/14
07/29/14 Margin
Buy - Securities Purchased
07/24/14
07/29/14 Margin
Buy - Securities Purchased
07/24/14
07/29/14 Margin
Sell - Securities Sold
07/24/14
07/29/14 Margin
Sell - Securities Sold
07/24/14
07/29/14 Margin
Sell - Securities Sold
07/24/14
07/29/14 Margin
Sell - Securities Sold
07/24/14
07/29/14 Margin
Buy - Securities Purchased
07/24/14
07/29/14 Margin
Buy - Securities Purchased
07/24/14
07/29/14 Margin
Buy - Securities Purchased
07/24/14
07/29/14 Margin
Buy - Securities Purchased
page 60 o176
Description
FDIC INSURED DEPOSIT
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: 07/3112014
Insured Deposit Accoun 0.05
RAINMAKER SYSTEMS INC
COM
Commission 6.00
LANTRONIX INC
COM
Commission 6.00
QUANTUM FUEL SYSTEMS TEC
COM
Commission 6.00
Regulatory Fee 0.08
QUANTUM FUEL SYSTEMS TEC
COM
Regulatory Fee 0.23
QUANTUM FUEL SYSTEMS TEC
COM
Commission 6.00
Regulatory Fee 0.07
QUANTUM FUEL SYSTEMS TEC
COM
Regulatory Fee 0.25
TFiANSGENOMIC INC
COM
Commission 6.00
TFiANSGENOMIC INC
COM
MERRIMAN HOLDINGS INC
COM
Commission 6.00
LANTRONIX INC
COM
Commission 6.00
Symbol/
CUSIP
MMDA11
RMKR
LTRX
QTWW
QTWW
QTWW
QTWW
TBIO
TBIO
MERRD
LTRX
CONFIDENTIAL
Quantity
Price
0.00
Amount
0.05
Balance
(36.975.15)
10.000
0.16
(1.606.00)
(38,581.15)
1.500
1.9799
(2.975.85)
(41,557.00)
604-
5.442
3.280.89
(38,276.11)
1.896-
5.441
10315.91
(27,960.20)
500-
5.4601
2723.98
(25,236.22)
2.000-
5.46
10.919.75
(14,316.47)
200
3.8499
(775.98)
(15.092.45)
100
3.8149
(381.49)
(15.473.94)
182
3.90
(715.80)
(16,189.74)
1.500
1.95
(2.931.00)
(19,120.74)
SDNY_GM_00011671
EFTA_00122322
EFTA01267801
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/24/14
07/29/14 Margin
Buy - Securities Purchased
MEDIABISTRO INC
MBIS
3.000
0.825
(2.481.00)
(21,601.74)
COM
Commission 6.00
07/24/14
07/29/14 Margin
Buy - Securities Purchased
MEDIABISTRO INC
MBIS
200
0.8225
(164.50)
(21,766.24)
COM
07/24/14
07/29/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
12.000
0.25
(3.006.00)
(24,772.24)
COM
Commission 6.00
07/24/14
07/29/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
100
0.873
(93.30)
(24,865.54)
COMMUNICATIONS
COM
Commission 6.00
07/24/14
07/29/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
1.800
3.60
(6.486.00)
(31,351.54)
07/28/4
07/29/14 Margin
Sell - Securities Sold
COM
Commission 6.00
YAHOO! INC
20-
0.36
702.50
(30,649.04)
07/28/4
07/29/14 Margin
Buy - Securities Purchased
YHOO Aug 01 14 35.5 P TO OPEN
Commission 17.00
Regulatory Fee 0.50
PACIFIC ETHANOL INC
10
2.25
(2,261.74)
(32.910.78)
07/28/4
07/29/14 Margin
Buy - Securities Purchased
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
RITE AID CORP
100
0.10
(1,063.40)
(33,974.18)
07/28/4
07/29/14 Margin
Buy - Securities Purchased
RAD Aug 08 14 7.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
RITE AID CORP
100
0.10
(1.063.40)
(35,037.58)
07/28/4
07/29/14 Margin
Buy - Securities Purchased
RAD Aug 08 14 7.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
AVON PRODUCTS INC
250
0.25
(6,399.50)
(41,437.08)
07/28/14
07/29/14 Margin
Buy - Securities Purchased
AVP Sep 20 14 15.0 C TO OPEN
Commission 143.50
Regulatory Fee 6.00
TESLA MOTORS INC
100
0.59
(5,963.40)
(47,400.48)
TSLA Aug 16 14 180.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 61 o176
CONFIDENTIAL
SDNY_GM_00011672
EFTA_00 122323
EFTA01267802
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/28/14
07/29/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
69
0.15
(1.080.61)
(48.481.09)
07/28/14
07/29/14 Margin
Buy - Securities Purchased
ALU Sep 20 14 4.0 C TO OPEN
Commission 43.95
Regulatory Fee 1.66
COWEN GROUP INC
15
1.70
(2.564.61)
(51,045.70)
07/28/14
07/29/14 Margin
Buy - Securities Purchased
GOWN Jan 17 15 2.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
AVON PRODUCTS INC
20
0.24
(497.48)
(51,543.18)
07/28/14
07/29/14 Margin
Sell - Securities Sold
AVP Sep 20 14 15.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
UNITED CONTINENTAL HLDGS
10-
0.76
748.24
(50,794.94)
07/28/14
07/29/14 Margin
Buy - Securities Purchased
UAL Aug 08 14 45.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
RADNET INC.
100
0.15
(1.563.40)
(52.358.34)
07/28/14
07/29/14 Margin
Buy - Securities Purchased
RDNT Sep 20 14 7.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
PANERA BREAD CO
75
0.75
(5.674.05)
(58,032.39)
PNRA Aug 16 14160.0 C TO OPEN
Commission 47.25
Regulatory Fee 1.80
07/25/14
07/30/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
6.500
0.0297
(199.05)
(58,231.44)
COM
Commission 6.00
07/25/4
07/30/14 Margin
Sell - Securities Sold
FUELCELL ENERGY INC
FCEL
5.500-
2.3601
12.974.26
(45,257.18)
COM
Commission 6.00
Regulatory Fee 0.29
07/25/4
07/30/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
3,000
0.27
(816.00)
(46,073.18)
COM
Commission 6.00
07/25/4
07/30/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
300
3.70
(1.116.00)
(47,189.18)
COM
Commission 6.00
page 62 o176
CONFIDENTIAL
SDNY_GM_00011673
EFTA 00122324
EFTA01267803
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/25/14
07/30/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
7A7A
7.500
0.808
(6.066.00)
(53,255.18)
COM
Commission 6.00
07/25/14
07/30/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
1.600-
5.4901
8377.96
(44,477.22)
COM
Commission 6.00
Regulatory Fee 0.20
07/25/14
07/30/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
1.600-
5.4928
8.782.28
(35,694.94)
COM
Commission 6.00
Regulatory Fee 0.20
07/25/14
07/30/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.796
(385.60)
(36,080.54)
COM
Commission 6.00
07/25/14
07/30/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
1.000-
5.5001
5.493.97
(30,586.57)
COM
Commission 6.00
Regulatory Fee 0.13
07/25/14
07/30/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
193
3.50
(681.50)
(31,268.07)
COM
Commission 6.00
07/25/14
07/30/14 Margin
Buy - Securities Purchased
I-IAUPPAGE DIGITAL INC
HAUP
6.000
0.26
(1.566.00)
(32.834.07)
COM
Commission 6.00
07/29/14
07/30/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
10-
0.76
748.24
(32.085.83)
UAL Aug 08 14 45.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/29/14
07/30/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD
5
1.40
(708.87)
(32.794.70)
NAT Jan 17 15 7.87 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/29/14
07/30/14 Margin
Buy - Securities Purchased
RADNET INC.
10
1.15
(1.161.74)
(33,956.44)
RDNT Dec 20 14 5.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 63 o176
CONFIDENTIAL
SDNY_GM_00011674
EFTA_00122325
EFTA01267804
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/29/14
07/30/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
25
0.15
(395.35)
(34,351.79)
ALU Sep 20 14 4.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/29/14
07/30/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
10
0.60
(611.74)
(34,963.53)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/29/14
07/30/14 Margin
Buy - Securities Purchased
TWITTER INC
35
0.99
(3.491.09)
(38,454.62)
TWTR Aug 16 14 34.5 P TO OPEN
Commission 25.25
Regulatory Fee 0.84
07/29/14
07/30/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
10
1.40
(1,411.74)
(39,866.36)
FCEL Oct 18 14 1.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/30/14
07/30/14 Margin
Received - Other
MERRIMAN HOLDINGS INC
MERRD
1
0.00
(39.866.36)
COM
REORG - CREDIT MANDATORY
ROUNDING SHARE
FROM 590419107
07/28/14
07/31/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.94
(794.00)
(40,660.36)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Sell - Securities Sold
FUELCELL ENERGY INC
FCEL
3.000-
2.3801
7.134.14
(33,526.22)
COM
Commission 6.00
Regulatory Fee 0.16
07/28/14
07/31/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
108
20.00
(2,166.00)
(35,692.22)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.99
(804.00)
(36,496.22)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
ZAZA
5.000
0.7923
(3,967.50)
(40.463.72)
COM
Commission 6.00
page 64 o176
CONFIDENTIAL
SDNY_GM_00011675
EFTA 00122326
EFTA01267805
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Settle
Acct
Transaction!
Symbol
Date
Date
Type
Cash Activity•
Description
CUSIP
Quantity
Price
Amount
Balance
07/28/14
07/31/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.90
(786.00)
(41,249.72)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
1,000
0.19
(196.00)
(41,445.72)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
513
3.90
(2,006.70)
(43,452.42)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
FIAUPPAGE DIGITAL INC
HAUP
1,858
0.29
(544.82)
(43,997.24)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.9799
(403.99)
(44,401.23)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Sell - Securities Sold
FUELCELL ENERGY INC
FCEL
11,500-
2.36
27,133.40
(17,267.83)
COM
Commission 6.00
Regulatory Fee 0.60
07/28/14
07/31/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
300
3.94
(1,188.00)
(18,455.83)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NIFY
100
21.00
(2,106.00)
(20,561.83)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERRD
2.000
3.59
(7,186.00)
(27,747.83)
COM
Commission 6.00
07/28/14
07/31/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
166
3.87
(648.42)
(28,396.25)
COM
Commission 6.00
07/30/14
07/31/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
15-
0.53
780.37
(27,615.88)
UAL Aug 08 1445.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.38
07/30/14
07/31/14 Margin
Buy - Securities Purchased
PANERA BREAD CO
10
0.55
(561.74)
(28,177.62)
PNRA Aug 16 14 160.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 65 of 76
CONFIDENTIAL
SDNY_GM_00011676
EFTA_00122327
EFTA01267806
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol,'
Description
CUSIP
Quantity
Price
Amount
Balance
07/30/14
07/31/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
5
3.10
(1,558.87)
(29,736.49)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/30/14
07/31/14 Margin
Sell - Securities Sold
AMERICAN AIRLINES GROUP INC
60-
0.97
5,779.43
(23,957.06)
AAL Aug 08 14 39.5 P TO OPEN
Commission 39.00
Regulatory Fee 1.57
07/30/14
07/31/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
5-
0.55
266.12
(23.690.94)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
07/30/14
07/31/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
15
0.60
(914.61)
(24.605.55)
JBLU Sep 20 14 11.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14
07/31/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
10
0.90
(911.74)
(25.517.29)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/30/14
07/31/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
5
3.00
(1.508.87)
(27.026.16)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/30/14
07/31/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
15
1.35
(2,039.61)
(29,065.77)
ARO O0118 14 2.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14
07/31/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
10-
0.76
748.24
(28,317.53)
UAL Aug 08 1445.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/30/14
07/31/14 Margin
Buy - Securities Purchased
ALCATEL LUCENT
65
0.45
(2,968.31)
(31,285.84)
ALU Sep 20 14 3.5 C TO OPEN
Commission 41.75
Regulatory Fee 1.56
page 66 of 76
CONFIDENTIAL
SDNY_GM_00011677
EFTA_00122328
EFTA01267807
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity'
Symbol
Description
CUSIP
Quantity
Price
Amount
Balance
07/30/14
07/31/14 Margin
Buy - Securities Purchased
WHOLE FOODS MKT INC
70
1.70
(11,946.18)
(43,232.02)
WFM Aug 08 14 38.5 P TO OPEN
Commission 44.50
Regulatory Fee 1.68
07/30/14
07/31/14 Margin
Sell - Securities Sold
TWITTER INC
10-
10.70
10,688.02
(32,544.00)
TWTRAug01 14 36.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.48
07/30/14
07/31/14 Margin
Buy - Securities Purchased
TWITTER INC
15
1.51
(2,279.61)
(34,823.61)
TWTRAug01 14 46.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14
07/31/14 Margin
Buy - Securities Purchased
WHOLE FOODS MKT INC
70
1.66
(11,666.18)
(46,489.79)
WFM Aug 08 1439.5 C TO OPEN
Commission 44.50
Regulatory Fee 1.68
07/30/14
07/31/14 Margin
Buy - Securities Purchased
TWITTER INC
45
1.46
(6.601.83)
(53.091.62)
TWTR Aug 01 14 48.0 C TO OPEN
Commission 30.75
Regulatory Fee 1.08
07/30/14
07/31/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
20-
2.90
5.78239
(47,309.23)
PEIX Aug 16 14 16.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.61
07/30/14
07/31/14 Margin
Buy - Securities Purchased
UNISYS CORP
15
0.40
(614.61)
(47,923.84)
UIS Oct 18 1424.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/30/14
07/31/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
20-
2.90
5.782.39
(42.141.45)
PEIX Aug 16 1416.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.61
07/30/14
07/31/14 Margin
Sell - Securities Sold
YAHOO! INC
100-
0.46
4.536.49
(37,604.96)
YHOO Aug 08 14 36.0 P TO OPEN
Commission 61.00
Regulatory Fee 2.51
page 67 of 76
CONFIDENTIAL
SDNY_GM_00011678
EFTA_00122329
EFTA01267808
Statement for Account # 867-730320
07/01/14 - 07/31/14
Account Activit
Trade
Settle
Acct
Transaction!
Date
Date
Type
Cash Activity•
07;30;14
07:31:14 Margin
Sell - Securities Sold
07/31/14
07/31/14 Margin
Div.:Int - Expense
Description
YRC WORLDWIDE INC
YRCW Oct 18 14 22.5 C TO CLOSE
Commission 14.25
Regulatory Fee 0.54
MARGIN INTEREST CHARGE
Payable: 07/31/2014
Symbol
CUSIP
Quantity
Price
Amount
Balance
Closing Balance
'For Cash &Wily totals, refer to the Cash AttivIty Suinrnary on page one of your statement.
15-
5.20
7,785.21
(29,819.75)
0.00
(120.29)
(29,940.04)
($29,940.04)
TD Ameritrade Cash Interest Credit/Ex • - nse
Begin
Date
Margin
Balance
Credit
Balance
Number
of Day
Interest
Rate
Interest
Debited
Interest
Credited
07/02/14
$ (7,192.11)
1
9.00
$ 1.80
$ -
07/03/14
(21,348.12)
4
8.75
20.76
07/08/14
(3.156.25)
1
9.00
0.79
07/15/14
(53.573.28)
7.50
11.16
07/16/14
(80,699.25)
7.50
16.81
07/17/14
(48,201.69)
8.50
11.38
07/22/14
(33,926.03)
8.50
8.01
07/23/14
(59.104.33)
7.50
12.31
07/28/14
(36,975.15)
8.50
8.73
07/29/14
(58,032.39)
7.50
12.09
07/30/14
(39,866.36)
8.50
9.41
07/31/14
(29,819.75)
8.50
7.04
Total Interest Income/(Expense)
$120.29
$ 0.00
Insured De. osit Account Interest Credited
Begin
Number
Interest
Merest
MID
MTD
Date
Balance
of Days
Rate
Accrued
Accrued
PAID
7/01/14
$ 4,950.93
1
0.0100
$
$ -
$ -
7/07/14
8,681.43
0.0100
7/09/14
14,497.72
0.0100
0.01
0.01
7/10/14
11,089.64
0.0100
0.01
7/11/14
40,071.74
3
0.0100
0.03
0.04
7/14/14
15,001.11
1
0.0100
0.01
0.05
0.05
7/18/14
166,029.69
3
0.0100
0.13
0.13
7/21/14
91,375.72
1
0.0100
0.03
0.16
0.16
7/24/14
39,097.10
1
0.0100
0.01
0.01
page 68 of 76
CONFIDENTIAL
SDNY_GM_00011679
EFTA_00122330
EFTA01267809
Statement for Account # 867-730320
07/01/14 - 07/31/14
Insured Deposit Account Interest Credited
Begin
Date
Balance
Number
Interest
of Days
Rate
Interest
Accrued
MTD
Accrued
MTD
PAID
07/25/14
53,448.92
3
0.0100
0.04
0.05
0.05
Total Interest Income
$0.26
Trades Pendin. Settlement
Account
Symbol/
Trade
Settle
Investment Description
Type
CUSIP
Quantity
Price
Date
Date
Amount
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBTW
100
$ 1.59
07/29/14
08/01/14
$ (165.00)
WARRANT EXP 11/18/2018
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.19
07/29/14
08/01/14
(525.00)
COM
BUY
LANTRONIX INC
Margin
LTRX
1,200
1.96
07/29/14
08/01/14
(2,358.00)
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
614
3.59
07/29/14
08/01/14
(2,210.26)
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
86
3.58
07/29/14
08/01/14
(307.88)
COM
BUY
TORCHLIGHT ENERGY
Margin
TRCH
100
4.02
07/29/14
08/01/14
(408.00)
RESOURCES
COM
BUY
NOTIFY TECHNOLOGY CORP
Margin
NTFY
104
22.00
07/29/14
08/01/14
(2,294.00)
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
6.500-
3.8801
07/29/14
08/01/14
25,214.09
RESOURCES
COM
BUY
TRANSGENOMIC INC
Margin
TBIO
434
3.9986
07/29/14
08/01/14
(1,741.39)
COM
BUY
LIHUA INTERNATIONAL INC
Margin
LIWA
7,500
0.13
07/29/14
08/01/14
(981.00)
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
500-
3.9301
07/29/14
08/01/14
1,959.00
RESOURCES
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
4.000-
3.93
07/29/14
08/01/14
15,719.65
RESOURCES
COM
page 69 of 76
CONFIDENTIAL
SONY_GM_000 11680
EFTA_00122331
EFTA01267810
Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
BUY
TRANSGENOMIC INC
Margin
TBIO
1.000
3.95
07/29/14
08/01/14
(3,956.00)
COM
BUY
NOTIFY TECHNOLOGY CORP
Margin
NTFY
100
22.00
07/29/14
08/01/14
(2.206.00)
COM
SELL
QUANTUM FUEL SYSTEMS TEC
Margin
QTWW
700-
5.4701
07/29/14
08/01/14
3.822.98
COM
SELL
QUANTUM FUEL SYSTEMS TEC
Margin
QTWW
1.000-
5.47
07/29/14
08/01/14
5.469.87
COM
BUY
LANTRONIX INC
Margin
LTRX
500
1.938
07/29/14
08/01/14
(975.00)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIST
600
5.12
07/29/14
08/01/14
(3.078.00)
COM
BUY
RELM WIRELESS CORP.
Margin
RWC
230
4.04
07/29/14
08/01/14
(935.20)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.125
07/29/14
08/01/14
(518.50)
COM
SELL
MODUSLINK GLOBAL SOLUTIONS Margin
MLNK
807-
3.76
07/29/14
08/01/14
3.028.25
INC
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
2.200
3.45
07/29/14
08/01/14
(7,596.00)
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
2
3.47
07/29/14
08101/14
(12.94)
COM
BUY
ACCESS PHARMA INC
Margin
ACCP
3,500
0.285
07/29/14
08/01/14
(1.003.50)
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
279
3.49
07/29/14
08/01/14
(979.71)
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
112
3.58
07/29/14
08/01/14
(406.96)
SELL
COM
AMERICAN AIRLINES GROUP INC
Margin
15-
1.39
07/31/14
08/01/14
2.070.34
SELL
AAL Aug 08 14 39.5 P
SONY CORP
Margin
35-
2.00
07/31/14
08/01/14
6.973.75
SNE Oct 18 14 17.0 C
page 70 of 76
CONFIDENTIAL
SDNY_GM_00011681
EFTA_00 I 22332
EFTA01267811
Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Investment Description
Account
Symbol!
Type
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
SELL
SONY CORP
Margin
25-
2.10
07)31/14
08101/14
5.229.53
SNE Oct 18 14 17.0 C
BUY
ADVANCED MICRO DEVICES INC
Margin
10
0.66
07/31/14
08101/14
(671.74)
AMD Jan 17 15 3.5 C
BUY
TWITTER INC
Margin
20
0.39
07/31/14
08101/14
(797.48)
TWTR Aug 01 14 46.0 C
BUY
FUELCELL ENERGY INC
Margin
5
1.50
07/31/14
08101/14
(758.87)
FCEL Oct 18 14 1.0 C
BUY
RADNET INC.
Margin
30
0.15
07/31/14
08101/14
(473.22)
RDNT Sep 20 14 7.5 C
BUY
AEROPOSTALE INC
Margin
15
0.45
07/31/14
08/01/14
(689.61)
ARO Jan 17 15 3.5 C
BUY
TWITTER INC
Margin
20
0.15
07/31/14
08101/14
(317.48)
TWTR Aug 01 14 46.0 C
BUY
PACIFIC ETHANOL INC
Margin
20
1.80
07/31/14
08101/14
(3.617.48)
PEIX Aug 16 14 16.0 C
BUY
BEAZER HOMES USA INC
Margin
25
0.50
07/31/14
08101/14
(1,270.35)
BZH Jan 17 15 20.0 C
BUY
TWITTER INC
Margin
20
0.21
07/31/14
08101/14
(437.48)
TWTR Aug 01 14 46.0 C
BUY
JETBLUE AIRWAYS CORP
Margin
100
1.45
07/31/14
08101/14
(14,563.40)
JBLU Dec 20 14 10.0 C
SELL
UNITED CONTINENTAL HLDGS
Margin
10-
0.55
07/31/14
08101/14
538.24
UAL Aug 08 14 45.0 P
SELL
YAHOO! INC
Margin
15-
0.62
07/31/14
08101/14
915.36
YHOO Aug 08 14 36.0 P
SELL
AMERICAN AIRLINES GROUP INC
Margin
10-
1.16
07/31/14
08101/14
1,148.23
ML Aug 08 14 39.5 P
BUY
YRC WORLDWIDE INC
Margin
10
0.45
07/31/14
08101/14
(461.74)
YRCW Oct 18 14 32.5 C
BUY
COWEN GROUP INC
Margin
10
1.60
07/31/14
08101/14
(1.611.74)
GOWN Jan 17 15 2.5 C
BUY
MICHAEL KORS HOLDINGS
Margin
10
3.70
07/31/14
08101/14
(3.711.74)
KORS Aug 08 14 81.0 C
page 71 o176
CONFIDENTIAL
SDNY_GM_00011682
EFTA_001 22333
EFTA01267812
Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
BUY
RADNET INC.
Margin
15
0.20
07/31/14
08101/14
(314.61)
BUY
RDNT Sep 20 14 7.5 C
FUELCELL ENERGY INC
Margin
15
1.00
07/31/14
08101/14
(1,514.61)
BUY
FCEL Oct 18 14 1.5 C
CORINTHIAN COLLEGES INC
Margin
20
0.05
07/31/14
08101/14
(117.48)
BUY
COCO Nov 22 14 1.0 C
ZIOPHARM ONCOLOGY INC
Margin
15
0.80
07/31/14
08/01/14
(1,214.61)
BUY
ZIOP Oct 18 14 3.0 C
YAHOO! INC
Margin
5
3.10
07/31/14
08101/14
(1,558.87)
SELL
YHOO Aug 16 14 33.0 C
SONY CORP
Margin
15-
1.70
07/31/14
08101/14
2.535.33
BUY
SNE Oct 18 14 17.0 C
RADNET INC.
Margin
25
0.15
07/31/14
08101/14
(395.35)
BUY
RDNT Sep 20 14 7.5 C
BEAZER HOMES USA INC
Margin
25
0.45
07/31/14
08101/14
(1.145.35)
BUY
BZH Jan 17 15 20.0 C
JETBLUE AIRWAYS CORP
Margin
100
1.40
07/31/14
08101/14
(14.063.40)
BUY
JBLU Dec 20 14 10.0 C
YRC WORLDWIDE INC
Margin
16
0.17
07/31/14
08101/14
(287.19)
BUY
YRCW Aug 16 14 32.5 C
BEAZER HOMES USA INC
Margin
15
0.45
07/31/14
08101/14
(689.61)
BUY
BZH Jan 17 15 20.0 C
RADNET INC.
Margin
20
0.15
07/31/14
08101/14
(317.48)
SELL
RDNT Sep 20 14 7.5 C
UNITED CONTINENTAL HLDGS
Margin
5-
0.66
07/31/14
08101/14
321.12
UAL Aug 08 14 45.0 P
BUY
ACCESS PHARMA INC
Margin
ACCP
29.000
0.278
07/30/14
08104/4
(8.068.00)
COM
BUY
LIHUA INTERNATIONAL INC
Margin
LIWA
6,500
0.18
07/30/14
08104/4
(1.176.00)
COM
BUY
7a7A ENERGY CORPORATION
Margin
7a7A
6,453
0.75
07/30/14
08104/4
(4,845.75)
COM
SELL
QUANTUM FUEL SYSTEMS TEC
Margin
QTWW
1.500-
5.4184
07/30/14
08104/4
8.121.42
COM
page 72 o176
CONFIDENTIAL
SDNY_GM_00011683
EFTA 00122334
EFTA01267813
Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
SELL
MODUSLINK GLOBAL SOLUTIONS
Margin
MLNK
893-
3.7402
07/30/14
08/04/14
3,333.92
INC
COM
SELL
MODUSLINK GLOBAL SOLUTIONS
Margin
MLNK
300-
3.7401
07/30/14
08104/4
1.122.00
INC
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBTW
200
1.59
07/30/14
08104/4
(324.00)
WARRANT EXP 11/18/2018
BUY
ACCESS PHARMA INC
Margin
ACCP
31.000
0.26
07/30/14
08104/4
(8.066.00)
COM
SELL
QUANTUM FUEL SYSTEMS TEC
Margin
QTWW
1,500-
5.4201
07/30/14
08104/4
8.123.97
COM
SELL
TITAN ENERGY WORLDWIDE INC
Margin
TEWI
148.000-
0.0315
07/30/14
08/04/14
4.655.89
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
3.706
3.57
07/30/14
08104/14
(13.236.42)
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
200
3.83
07/30/14
08104/14
(772.00)
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
58-
4.09
07/30/14
08104/14
231.21
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
900-
4.085
07/30/14
08104/14
3.676.41
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
42-
4.08
07/30/14
08104/14
171.35
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
158-
4.0701
07/30/14
08104/14
643.06
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
42-
4.07
07/30/14
08104/14
170.93
COM
BUY
MERRIMAN HOLDINGS INC
Margin
MERRD
200
3.80
07/30/14
08104/14
(766.00)
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
1,600-
3.8001
07/30/14
08104/14
6.074.02
RESOURCES
COM
page 73 o176
CONFIDENTIAL
SDNY_GM_00011684
EFTA 00122335
EFTA01267814
Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol!
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
SELL
TORCHLIGHT ENERGY
Margin
TRCH
300-
3.705
07/30/14
08104/4
1.105.47
RESOURCES
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
4,700-
3.70
07/30/14
08104/4
17.389.61
RESOURCES
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
150-
3.70
07/30/14
08104/4
548.98
RESOURCES
COM
SELL
TORCHLIGHT ENERGY
Margin
TRCH
4,850-
3.6501
07/30/14
08104/4
17.70259
RESOURCES
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
100
5.0999
07/31/14
08105/14
(515.99)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBTW
200
1.5499
07/31/14
08105/14
(315.98)
WARRANT EXP 11/18/2018
BUY
HAUPPAGE DIGITAL INC
Margin
HAUP
4,700
0.2498
07/31/14
08105/14
(1.180.06)
COM
BUY
RICEBRAN TECHNOLOGIES
Margin
RIBT
900
5.11
07/31/14
08105/14
(4.605.00)
COM
BUY
LANTRONIX INC
Margin
LTRX
300
1.9699
07/31/14
08105/14
(596.97)
COM
SELL
COWEN GROUP INC
Margin
GOWN
3,185-
3.9601
07/31/14
08105/14
12.606.64
COM
SELL
MODUSLINK GLOBAL SOLUTIONS
Margin
MLNK
1,200-
3.7201
07/31/14
08105/14
4.458.02
INC
COM
BUY
ELEPHANT TALK
Margin
ETAK
1,600
0.9073
07/31/14
08105/14
(1.457.68)
COMMUNICATIONS
COM
page 74 o176
CONFIDENTIAL
SDNY_GM_00011685
EFTA (H) 122336
EFTA01267815
Statement for Account # 867-730320
07/01/14 - 07/31/14
Trades Pending Settlement
Investment Description
Account
Type
Symbol/
CUSIP
Quantity
Price
Trade
Date
Settle
Date
Amount
SELL
BUY
COWEN GROUP INC
COM
ELEPHANT TALK
COMMUNICATIONS
COM
Margin
Margin
COWN
ETAK
315-
1.153
3.9701
0.90
07/31/14
07/31/14
08/05/14
08/05/14
1,244.55
(1,043.70)
Insured Deposit Account Activity
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
Opening Balance
$5,059.03
07/01/14
07/01/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
$ (108.10)
4,950.93
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/02/14
07/02/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(4,950.93)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/07/14
07/07/14
Received
FDIC INSURED DEPOSIT ACCOUNT
8,681.43
8881.43
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/08/14
07/08/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(8,681.43)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/09/14
07/09/14
Received
FDIC INSURED DEPOSIT ACCOUNT
14,497.72
14.497.72
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/10/14
07/10/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(3,408.08)
11,089.64
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/11/14
07/11/14
Received
FDIC INSURED DEPOSIT ACCOUNT
28,982.10
40,071.74
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
page 75 of 76
CONFIDENTIAL
SDNY_GM_000 11686
EFTA_00122337
EFTA01267816
Statement for Account # 867-730320
07/01/14 - 07/31/14
Insured Deposit Account Activity
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
07/14/14
07/14/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(25,070.63)
15,001.11
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/15/14
07/15/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(15.001.11)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/18/14
07/18/14
Received
FDIC INSURED DEPOSIT ACCOUNT
166,029.69
166.029.69
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/21/14
07/21/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(74,653.97)
91.375.72
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/22/14
07/22/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(91,375.72)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
07/24/14
07/24/14
Received
FDIC INSURED DEPOSIT ACCOUNT
39,097.10
39.097.10
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/25/14
07/25/14
Received
FDIC INSURED DEPOSIT ACCOUNT
14,351.82
53.448.92
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
07/28/14
07/28/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(53,448.92)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
Closing Balance
$ 0.00
TD Bank NA
$0.00
FDIC Insured Depose Account (IDA) balances reflected in your trokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Secumies Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
page 76 of 76
CONFIDENTIAL
SDNY_GM_00011687
EFTA_00122338
EFTA01267817
1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE 8-3
ST THOMAS. VI 00802-1348
SDNY_GM_00011688
CONFIDENTIAL
EFTA_00122339
EFTA01267818
Terms and Conditions
STATEMENT GUIDE
IL Ars waeb aardes mortel,. Foreklio Amons lor aocoums wth acverty and quanedy toeans
*a omase accounts wth asels.'
Portfolio Symfonie,: Tred,* Ilro Correct «Poe d >Por p00010 es Of the repal dele end
~paren n to me prior monlha The Ebt elPoaliOn Meelt, yOur 00010 divendealion by
invesimert type
MAM* dboateres under 5% enk be grougol mto thocampory ol "Ces" in tho po chan. Mar
Essay - Total Account Ertuib<Froiel Long Maginable lakte • Total Short Velde)
Actrvity Summary: Ine opening and doling cash blanca wo reconored hete lor year aak
relerosce At account armry es sunnsanzed lor tm °urgent pand and voor to dato_
boom* a Exponeer Summary (nendEAs only): Ibis seroen daalt ene mama ard amens.
We, trom the Pocht Summa>, and ePonales the las IrealMeni.
Rebnsment Account Stansery ORM only): Rader Om IRS reculatod transaceons for lbo
curert ad aa nam IRS Form 5498 Ier Modi« vak* ie band On Me sonant nakie aa or
Doorns« 31 d tho panui yoar ard tunt be furrishod tome hierna Revenu° San".
PadonnanceSummary:Monitor >oor omwal portfolio Postament, eid Iho ineen/cd gaine and
lossa. *or your luturo roe:trom strategy.
Account PositIons: View your rnostrnonts l tho current market yam ard corrporo the ongul
cad to vee irweeked geine and Poses n your Denkt° Originel coel is esagned vang 'he
baba. nratoul (FIFOI method. weien assumee me lint' share, >Po set ere Moes you purchased
tra. Dm aanbid ertrostmard encome2 and ~rage cast per share are dondayed lor your
mier/ace Wee «Pot pathos° date e showa br en .'Moerion 01 you hobag PO000.
AcCOunt Aethily: Al Sidart ecIMly ia deert/ delbed. Iele« in OM Order. end relleded n Me
doens; cash WlenCe.
TMOtt %Sine Pottlensinl: Confirm you emOred tredes enn e senemen dete alle! nonen
Ø. Denso transactions tid bo rellected n me Account Acvmy tomon non moms.
Onno. Geelt Services TranncliOn
Cash manpenen venedona Mal news Swing
tas statanom reporting pond. mdudng check. doen card and MIA acurny. are ',stad en dato
dar
Onbne Cash Services SurnmansCredt ard dabt transactien mats lor kno cunom statement
rePOnag gradOCIrre summerized. IndisiCkel neonataal, eie rot limed.
'Je to !tanding antustments. tho stroman detals may not apal me statement totals.
telnleled Aan'
Income end Eserroted Annuel bied vlaken are bets troon Ibe number ei
slums coma) or avrom valuta balanca as ot ne stalemom dale ard mo most team draden:1
rele or cash Pekt pende()
GENERAL INFORMATION
10 Omen:rade does not aarde legal or las ~ce. Plees* consul, your lepe adteor or las
titCOurall venen MOPPlery. As e standerd inCleby paden. 010ne tone blar may be
nabetaal br Sally domti and transaegOn valli05141 OurpOstae
For TO Amentrade rasebro al darm ytre °Mes« hm es separate from and not attbaled wit.
TO Ansentrade. Inc. er TO Arratrado °meng, Inc.. ard aan h'm es rot responsble la the
0100xle end senices Ol Me oder.
Acceracy of Reporls:11 you fInd any errors or omissie:ins In your accouM
statement you
*houd immediatety con ve et le omber had 00 page ome 01
your statement You
*houd oho contact our Clearing Frm TD Amentrade
Clearing, ro. el 800469-95100.
Please rcenew ms sialemoM c.iredity. Ir you dragee* sub any transamon, or d Mae am any
orde er °Menen,. please roef>, e Dient Services represeMelhe a you 1):81 Winch OPoe. es
wel as 10 Amairode Cleaneg. Ine. in wrong anno ton (10) days of war record ot th,
statement Am ora statements Intet you hem made to ui slala be CONPoSed in meng The
statement Wil «Ponem be considered conclehe.
Fletse natelt ie prompity 01 any changes in yocr cOnteci inormation. Treneedions Meehad On
your repon wil be concbsepaydecomed aeontourdoss you noely
TD Amenfadoirrenadatey.
Account Prolectbn: Deposits held by TO Rank. NA ard TD Drek USA. N.A. aro resured by
Ts FDIC (ral COvered by SIPC) Up 10 2250.000. Emils are per aCtOunl ormert110 per
iinett401. TO leem more etOut FDIC COverage go tn cwer IdCgOv. Seadharr. indoet®
~krat bnp., held in 00 erehaag* ACCOunt are col deposita Or obligatione el. or
"'wantend by. any bank. Ø
not FOltenscred. and envoho envestmord eks. ircludng
posstle loss ol princpal. TD Amentade is a momber ol Me &curettes Inval« Praatten
Corporalion (51PC'). which braad: secunnes a-stomers of els merrbers up lo 5500.000
(inlading S250.000 lor dodo fez cash). Explanatory brochure is available on requal
wAd.abc.ere.
h Me «Pol 01 a aderend ineolrency. a Clan may realbeeMOunts due KOM the Posten
in ~Pat
and mon SIPC. Pocolonental omorago a pad out dier rad trustee and
&Po payouts ard Lader such coyotes@ each den es limiled to a temend return ot
5152 mniOn Ironie Poelet. SIPC and London in/koers The TO Mertrade Supplanenlel
navenant bas an aggrogale hm el 550) muon amt all cum:mors. ins polcy taande:
Cerevage lotkraing Weswege ineohincy enddoes nOl proleet Poenale» in merkel neb,
dem securnos
inveteMent h a money martel Fond ia nol ineured Or gardreeed by Me Federtd
erepost Insuranar Corporabon (F010 a any oma government agent,. Mhough 010
eUrldS bek 10 posene the valle d yow imealment al 51 0) p« gure. 4 b pOsebb 10
lOse moro'/ by invoelen n a money merkel kind. (badende eie decered dely end
pactrannestod merdy. Tho prcopedos contans des ard aha important dormalon
Reed the aanmars Carecify Won ~ding. NOndePollil invettmente held b/ your
boker dealer We NOT FDIC NSURED t NOT BANK GUAfteNTEED r MAT LOSE VALDE.
The balen°, i, your bank depend eCCO.ed Of tihtueS d 'Muf MONS, markel notul fund
can to losbond on your order. and Me cmorieds raturnad lo war sccurees account or
renseled byta
TO ~eng: The andO ban if Maler Poornent Y® e0 ranke Form 1039b «Poel
tm Daan n oxrplame mh ES seasonosis indudes Wake rodeo. Sodais. Poen
gans. lauw Ø.
end eros procenten Som, mimer% ere subject 10 redessPoilOn nbds
wilt:oren:dol os mixocrxrt tor reccds
OM
CottEasn. ta Id and Dateren= ceporing and Gun:korps are Wend a-el
~AN
by CO1 hCCaPORSTED TI) analrode is not reperetne ta te re(brity or
bØ
el tm necrmmcn. ID Amon) ao ad ts Ponen
pasdas ilenwders1 do not
MA.Venleethe a:Way d the inkmelon and data prokided Cal NCCEPCEATED 6 a aPotrale
coneny end e ra etilted wei 11)amennede
Porgin and Options Account Agreements: Prompt/ aPosol0 Amenirado n meng ot
arry deango re your investment clarcuyos or *namat stuabn as they man to your
marlijn Or 001~ 8000unt agreernenis A sumnbay Or amminions and charge, ineuned
wei Ine oxcroutban ol opeens &anoden, is ~Mae.
Oren Makel Poon: The molmt 'duet d somma ham bom Wand d motte korn
q".:10‘ serMe ad Oer roependen( acne Tabee we Woed On Ob dovig aal me
ran beween mo brd ad arltrq paces or ahoi reces. t no racket dim n /Motie anna
qadaiacn eend> tv Oh« indePoodent EaCe. he sec" e Woed lo beng relected
Nul Pace Ce) Die edu»dts cri your addo raat are Wan», os 90104, Intrrdlon ad
to dom guramoo ran accuracy day soorten pree hblaaao laacked postonsaoseltiol
rang Po ~enne banco ad be om« merkel pine REEP Kast ~Pons my nei
manco, sake aam*, lbo teo:nday naad Ia Cotrodos d Depotis (CON n generaly
ituud and the adat tute me, be dtiews aan Me ~me doe ~tartte%
Cl pin el
mar rooit Pon Me :ab S a CD par la rralsty Sext adb Ral Worm Securtes Wade
ademmi/ thas oom sauna and verd Pa <natelde accronse. Renet moy waarin»
OTC loer the °punten markt( and dirOtet louctryrntyrxt ard b ytu»seil sour palmpa
to rnsuty. Tho vlo et tent 'snor to rrubsty ma/ rooJi n a las d renapol.
Non Standard Assem PISAI aso typcaly ~stoot ra droeg pastematon program sauma
gootrentms. Imeodtabltycempana. cr red afat rriesron neen certrada pais. prude
buty. abele deel a Tedge Ø. N546 ere botdy houd mealmeas ad do not Inde cn a
mondt bana aØ
a ta Krom Stod Wad Do 'duce dean ta azo medbads
ere ~Ad
wam det ed han turby ~bolk Pokend bul nol Inbed Is ndependenl
operaas de proeyams ra =eb, and« tred party tonder aders tul ham boen prtmeed by
Me ~mora" ~maand*
gaar d ttath argon er by a thrdpaty vendu smout
indgendeM ~esa by TI) Wnabade. Vaten mei nat raket gre cPonal animo, pico.
atal mairi snul, c< be roalaxl man Inbidoacn
a asemend ida cadet be esLablehed
*rough tweemethode. Me miueicn mto be renbod es NOnanced CNV) Fel eddlend Octet
tombng voldaan la hboStasdant koe. Ome oretid Coat Senatet These misdm
re net wand urda rad SPC
Aden R,bo Soeurbre raar) Pang: Die motet~ Ia MS somma hom boen caaned.
meld». trom chOtakneenbat er eter Poepende« ~en The way
cd Me pking is nol
~amant Ha moed Mac rot traite. TD emeritaat sel pron tm IESpeolim.takrg ille
ansdoracn bot tm kwel>, sa undrPong mek quaty. Wie SAS merkel is eurrenly
tononbdreg e bak el Sally end. be ølt Mae an be ro esnrcrce giet toch scones an
to aa ader con, molmt codices.
REGULATORY DISCLOSURES
For an investor brochuo Mal encbcles informabon desaliang FINAM Pasli Thsclesuro
Program. platte contact FINRA at 030-289.9?99 or wanylkwa01.
Om inwiest Ø Luen tor TO Amertrade Cash is laken lom Om applcatlis minst rato eer lor
th, Makel VON, balace ~TO
Amen:rede Carlh. as 01 mb delement °bang dele Simple
worest es acnxd dar, base, on the interest rato sa opdraai> to oach days Liane°.
Inname :d Statement Noldbation: The mammae ol Inwaai condten lor TO neiammen
~lede Wee a year and may be obtentcl al nO oost vie Me intomen el
Mar» \ wortectonentradeoonslinanctabiatemonthrn.
°neon AssIgnment: MI short oquer, ogion canons and same index omen poubons are
~Mae lor essignment brede assignintm races co, Pouby or index options ere rendont'
alocated aflang alldorde shon pontons try an aJtamolod praatte.
Free Credit Balemoes "Ie 154-2 0 3): Under mo om promotion nets. wo may usa free
Credit baaneb n yOur *CCOunt n IN Ordner>, none ol cm boenen whkh en> melde to you
on dorheid.
Margin Aecourds (RopulallonT): H you have a margin account. ms report d a combnaton cd
ytre neon OCCOUril arde Weekt] ~etend" acobnt Tradng on mengn poses eddlional
notes and d nol rurale lor all investors. A complet* lat d the risks anomalie, tunn mannin
bedoe is maag° in me marge rek ditcbsure clainstm. YOu may obtain e copy or Ms
document by conleeling tie el ma vanher Select on page ene ol roer statement
Payment ler Order Flow (SEC Redes 606 and 607): In somo crcumstances. TO Arno/tirade
recenros oompassabon ler ctioceng canon any.theoeunta ard bard essay oØelaa to
selected mestas. brokas or dealers (Makel fontenel
bo
Cempentan is in Ille lam or a per
share cash payment. Il aden n. TO Amatradealso may raam carponsaten (*Wed to the
foreign dirrency Mollen» Component d trenaletiOns &deal necuribes Iren Merkel Cellen
oxemang itCh IraL Wo post gutters/ spots discleung lno oorlues lor order mang
*zoem!~ at nomidarrirtrado_com. A ventten copy is avoratle Lpere roXpett.
h es our penny. abeenl Pari orders to lno eonlrary. to select brokets. dooiers. ard ~kei
~keft Pond On Me (Willy to aarde bed erecsmon ani the halery 01 seeling eia
erna/moment en markt* orders. Poco improyetTentm aV311.1010 unief "han mantel condlsons.
and wo regulary monter execulas to lest lat sten mormonen d as...Matte.
Trede COMIrmathenti (Ruin 11/0-10): MI contrmalions ere PereminedOn gre Inan5ibbn dele.
Tem: Dentaal" in beien sPourilen OnCliOng bre4gn ~bant a
11`51 Kade In IN
U.S.) ray rebel° exa ani lees chargod bymo keer marron en governmenls. Wedt may
be haecied in le print Ol le money Of cherged es an Poepende« Ine Pon
Pits" Pormy Notilkillon: A copy of Me TO Amertrecb privacy DOleY ie anPoble el
waw.Pamegiradoeorn
Cao** Securbern The Oman el podia mdamdonsa calls is dane vang a proeft ketny
mslem. A aoanption el mo proadres br Sitte secunins is avalabloon Vre ~Ma or haal
«mies aro ~tabla twonicep.osi.
In Case Ol enorti er apesters &Out your ElearaPo Fund %Adem ',sekse co wei e ei
1600.6693900. or n wrang to P.O. Box 2209. Omessa. NE 68103. or by emoe at
dieMeentiCE(PodaMeritolde.COm The PoOnnaten cOnleined n sou( *aard statement shag
be bndng upen you el you do not ettci wthn sub LEE days lor any transfer d lurds stbpd
se Rapiabon E. such as MM and pon obrale tram," doen transactions. wat depeotts.
and dihdarnals We Must heer trom you ro teler Man 60 dan after we sent yOu Ine FEST
statoment en whchthe error or peetoom appeared.
(I) Ted us lag rome and account ~Poer
(2) Dolen» the error or Po Wanlor you are unsuro eibout. ard oxplan as dab, as you can
way you belerro ri is an error or way you nood note inlormabon.
(3) Ted us le dab, amodni of Ce suepected error.
Wo wi, temmers* your °omplant and MI narent any error prompdy. H we lakei more man ID
budtuss days lo do Me. se wil redt your eccOuM br Ine *motet yin Mink is n error. soOiM
you wil have rad uso ol the rroneydunng tho tm* a taket us toean:Cao ourinvestoaten.
AUTO NO 07,14
TO Ansedirede prent«, eed, derd $149.5 rnitbn words ol prolection for Al Ponsaceons aro sdasect to p) me consmubon. Na, Condooms custard and laagt,
lEsTuritieS and 52 nikon 01 IXONCIOn br cash ihreugh Supaementel coverden a0vided by or the exchange Of makel. and ie deemonouse. n dry. on grien toch Landloc ere
London beurelt
oxauted tilt fosfaat lag:. indaging me Secunoes Act el 1933 and tho S«urtes
Fs
4
in
Of
SDNY_GM_000 11689
ouncri
D
O
m
f
ond
rh:
EFTA_OOI 22340
EFTA01267819
ID Ameritrade
800-669-3900
TO AMERITRADE
DIVISION OF TO AMERITRADE INC
PO SOX 2209
OMAHA. NE 68103-2209
TO Arne:brad. Clean®. Inc.. Member SIPC
Statement Reporting Period:
08/01/14 - 08/31/14
Statement for Account # 867-730320
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFIS STE 8-3
ST THOMAS. VI 00802-1348
Portfolio Summar
Investment
Current
Value
Prior
Value
Period
Chan
0/0
Chang!
Estimated
Income
Estimated
Yield
Cash
Insrd Dep Acct
Money Market
Short Balance
Stocks
Short Stocks
Fixed Income
Options
Short Options
Mutual Funds
Other
($123.04)
253,086.65
2,421,070.92
1,544,041.82
194,020.00
($29,940.04)
2,560,212.42
1,255,868.18
(29,510.60)
136,720.50
$29,817.00
253,086.65
(139,141.50)
288,173.64
29,510.60
57,299.50
(5.4)%
22.9%
100.0%
41.9%
$
0.01%
Total
Margin Equity
$4,412,096.35
100.0%
$3,893,350.46
$518,745.89
13.3%
$0.00
0.0%
Portfolio Allocation
Other
Insrd Dep Acct
4.4%
5.7%
Stocks
54.9%
Cash Activity Summary
Income & Ex• ense Summar
Performance Summary
Current
YTD
Reportable
Non
Reportable
YTD
Opening Balance
($29,940.04)
$
-
Income
Cost Basis As Of • 08/31/14"
$4,105,532.89
Securities Purchased
(741,749.68)
(8,601,401.89) Dividends
S
-
$200.00 Unrealized Gains
632,022.23
Securities Sold
1,024,775.58
4,854,074.53 Interest
1.63 Unrealized Losses
(578,422.38)
Funds Deposited
4,000,600.00 Other
Funds Deposited/(Disbursed)YID
4,000,600.00
Funds Disbursed
Expense
Income/(Expense)"°
(314.55)
Income
201.63 Interest
(123.04)
(516.18) Securities Received/(Delivered)"°
0.00
Expense
(123.04)
(516.18) Fees
'Tor cost-basis Information. refer to vrawtclamerltradozom
Other
(253,085.86)
(253,081.13) Other
Closing Balance
($123.04)
($123.04) Net
($123.04)
$0.00
($314.55)
page 1 of 36
CONFIDENTIAL
SDNY_GM_00011690
EFTA_00122341
EFTA01267820
Statement for Account # 867-730320
08 01 14 - 08/31/14
Online Cash Services Summary
Description
CREDITS
Electronic Transfer
Subtotal
TOTAL
Current
Year To Date
-
0.00
$ 4,000,000.00
4,000,000.00
0.00
4,000,000.00
Income Summary Detail'
Description
Interest Income Credit Balance
Margin Interest Charged
Qualified Dividends
IDA Interest
Current
$ 0.00
(123.04)
0.00
0.79
Year to Date
$ 1.63
(516.18)
200.00
5.52
'This section displays current and year to date taxation values for itt 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 corrections
can include changes made to previous payments and removal of payments reponable in a previous tax year (spillover dividends). The year to date totals will accuratehi reflect your cumuiative 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
363.500
$ 0.33
$119,955.00
05/12/14
$ 142,412.44
$ 0.39
$ (22,457.44)
$ -
COM
ATHERONOVA INC
AHRO
3.403
2.29
7,792.87
06/16/14
7,570.46
2.22
222.41
COM
COMMAND SEC CORP
MOC
20.000
2.1783
43,566.00
07/07/14
36,518.57
1.83
7,047.43
COM
ELEPHANT TALK
ETAK
193.853
0.96
186,098.88
05/12/14
193,085.38
1.00
(6,986.50)
COMMUNICATIONS
COM
EMRISE CORP
EMRI
32.000
0.79
25,280.00
05/15/14
27,134.47
0.85
(1,854.47)
COM
HAUPPAGE DIGITAL INC
HAUP
187.800
0.151
28,357.80
06/13/14
35,201.45
0.19
(6,843.65)
COM
LANTRONIX INC
LTRX
90.000
1.89
170,100.00
05/23/14
176,877.30
1.97
(6,777.30)
COM
page 2 of 36
CONFIDENTIAL
SDNY_GM_00011691
EFTA 00122342
EFTA01267821
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Positions
Investment Description
Stocks - Margin
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
LIHUA INTERNATIONAL
LIWA
81.001
0.1196
9.687.72
06/30/14
22.615.07
0.28
(12.927.35)
INC
COM
MECKLERMEDIA CORP
MECK
3,200
1.00
3.200.00
07/24/14
2.645.50
0.83
554.50
COM
MERRIMAN HOLDINGS
MERR
30.400
3.80
115.520.00
07/09/14
105.961.03
3.49
9.558.97
INC
COM
MODUSLINK GLOBAL
MLNK
43,200
4.09
176.688.00
05/13/14
157.472.54
3.65
19.215.46
SOLUTIONS INC
COM
NOTIFY TECHNOLOGY
NTFY
2,220
13.00
28.860.00
07/08/14
32.898.00
14.82
(4.038.00)
CORP
COM
OCLARO INC
OCLR
80.000
1.75
140.000.00
05/13/14
151.686.72
1.90
(11.686.72)
COM
RAINMAKER SYSTEMS
RMKR
472.000
0.1099
51.872.80
05/12/14
106.708.07
0.23
(54.835.27)
INC
COM
RELM WIRELESS CORP.
RWC
57.000
4.80
273.600.00
05/13/14
190.440.35
3.34
83.159.65
COM
RICEBRAN
RIBT
66.900
6.65
444.885.00
05/12/14
371.803.49
5.56
73.081.51
TECHNOLOGIES
COM
TITAN ENERGY
TEWI
4.503.800
0.026
117.098.80
06/23/14
78.658.58
0.02
38.440.22
WORLDWIDE INC
COM
TRANSGENOMIC INC
TBIO
92.600
3.85
356.510.00
05/12/14
368.585.82
3.98
(12.075.82)
COM
ZAZA ENERGY
ZAZA
8.873
5.85
51.907.05
05/19/14
63.306.03
7.13
(11.398.98)
CORPORATION
COM
page 3 0136
CONFIDENTIAL
SDNY_GM_00011692
EFTA _00122343
EFTA01267822
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Positions
Investment Description
SymboU
CUSIP
Quantity
Current
Price
Market Purchase
Cost
Value
Date
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
Income
Yield
Stocks - Margin
ZIOPHARNI ONCOLOGY
ZIOP
21,700
3.23
70,091.00
05/14/14
76.372.38
3.52
(6,281.38)
INC
COM
Total Stocks
$2,421,070.92
$2,347,953.85
$73,117.27
$0.00
0.0%
Options - Margin
ADVANCED MICRO
920
$ 0.8398
$77,261.60
05/12/14
$ 80,879.08
$ 0.88
$ (3,617.48)
$ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO
875
0.3002
26,267.50
06/20/14
36,151.25
0.41
(9,883.75)
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC
610
1.0193
62,177.30
05/13/14
91,337.14
1.50
(29,159.84)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC
320
2.1952
70,246.40
07/18/14
44,146.39
1.38
26,100.01
ARO Oct 18 14 2.0 C
ALCATEL LUCENT
405
0.0021
85.05
07/21/14
6,331.48
0.16
(6,246.43)
ALU Sep 20 14 4.0 C
AVON PRODUCTS INC
270
0.0629
1,698.30
07/28/14
6,896.98
0.26
(5,198.68)
AVP Sep 20 14 15.0 C
BEAZER HOMES USA INC -
390
1.25
48,750.00
05/13/14
80,047.86
2.05
(31,297.86)
BZH Jan 17 15 20.0 C
BLACKBERRY LIMITED
130
1.9752
25,677.60
06/27/14
24,755.63
1.90
921.97
BBRY Jan 17 15 9.0 C
BLACKBERRY LIMITED
250
0.4864
12,160.00
07/09/14
43,457.50
1.74
(31,297.50)
BBRY Sep 20 14 10.0 C
CENTRAIS ELEC BRAS
505
1.5382
77,679.10
OW13/14
47,661.89
0.94
30,017.21
EBR Sep 20 14 2.5 C
CITIGROUP INC
120
3.70
44,400.00
08/01/14
20,540.88
1.71
23,859.12
C Sep 20 14 48.0 C
CORINTHIAN COLLEGES
-
575
0.0291
1,673.25
06/24/14
3,211.05
0.06
(1,537.80)
INC
COCO Feb 20 15 1.0 C
page 4 of 36
CONFIDENTIAL
SDNY_GM_00011693
EFTA 00122344
EFTA01267823
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
CORINTHIAN COLLEGES
2.167
0.0001
21.67
05/13/14
63.816.86
0.29
(63.795.19)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC
215
1.632
35.088.00
07/15/14
42.378.41
1.97
(7.290.41)
COWN Jan 17 15 2.5 C
COWEN GROUP INC
600
0.1433
8.598.00
06/27/14
15.873.40
0.26
(7.275.40)
COWN Jan 17 15 5.0 C
DRY SHIPS
800
0.5272
42.176.00
05/12/14
51.659.20
0.65
(9.483.20)
INCORPORATED
DRYS Jan 17 15 3.0 C
FLAMEL TECH
130
5.5099
71.628.70
05/14/14
53.660.62
4.13
17.968.08
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC
290
1.544
44.776.00
05/13/14
37,228.46
1.28
7.547.54
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC
380
1.0485
39.843.00
05/12/14
31.626.12
0.83
8.216.88
FCEL Oct 18 14 1.5 C
HANWHA SOLARONE CO
460
0.2961
13.620.60
05/13/14
39.126.04
0.85
(25.505.44)
LTD
HSOL Sep 20 14 2.0 C
HEWLETT PACKARD CO
110
7.175
78.925.00
05/13/14
45.394.14
4.13
33.530.86
HPO Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP
162
1.275
20.655.00
07/18/14
9.866.99
0.61
10.788.01
JBLU Sep 20 14 11.0 C
JETBLUE AIRWAYS CORP
250
0.4521
11.302.50
07/18/14
6.780.50
0.27
4.522.00
JBLU Sep 20 14 12.0 C
JETBLUE AIRWAYS CORP
210
2.3639
49.641.90
07/31/14
30.038.54
1.43
19.603.36
JBLU Dec 20 14 10.0 C
MGIC INVT CORP WIS
515
1.0581
54.492.15
05/14/14
77.606.61
1.51
(23.114.46)
MTG Jan 17 15 8.0 C
NET 1 UEPS
191
4.428
84.574.80
05/22/14
64.875.64
3.40
19.699.16
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS
130
3.6159
47.006.70
06/05/14
39.080.62
3.01
7.926.08
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
page 5 of 36
CONFIDENTIAL
SDNY_GM_00011694
EFTA_001 22345
EFTA01267824
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
NORDIC AMERICAN
725
1.4939
108.307.75
05/15/14
94.302.15
1.30
14.005.60
TANKERS LTD
NAT Jan 17 15 7.87 C
NORDIC AMERICAN
325
0.137
4.452.50
06/18/14
12,954.55
0.40
(8.502.05)
TANKERS LTD
NAT Oct 18 14 9.87 C
QUANTUM FUEL
250
0.9039
22.597.50
07/17/14
37.655.50
1.51
(15.058.00)
SYSTEMS TEC
QTWW Oct 18 14 4.0 C
FiADIOSHACK
500
0.68
34.000.00
07/18/14
9.293.00
0.19
24.707.00
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC.
1.530
0.1408
21542.40
05/12/14
79,204.96
0.52
(57.662.56)
RDNT Sep 20 14 7.5 C
RADNET INC.
480
2.0344
97.651.20
05/12/14
99,022.56
2.06
(1.371.36)
RDNT Dec 20 14 5.0 C
SONY CORP
485
2.15
104.275.00
05/13/14
47,690.50
0.98
56.584.50
SNE Oct 18 14 17.0 C
TEEKAY TANKERS LTD
205
0.1423
2.917.15
06/23/14
7.279.67
0.36
(4.362.52)
TNK Nov 22 14 5.0 C
TWITTER INC
50
6.85
34.250.00
08/01/14
17,784.70
3.56
16.465.30
TWTR Sep 20 14 43.0 C
UNILIFE CORP
380
0.2126
8.078.80
06/20/14
33,292.12
0.88
(25,213.32)
UNIS Sep 20 14 2.5 C
UNISYS CORP
250
0.6537
16342.50
07/14/14
35,629.50
1.43
(19,287.00)
UIS Oct 18 14 24.0 C
YAHOO! INC
100
2.1468
21.468.00
08/01/14
15,463.40
1.55
6.004.60
YHOO Sep 20 14 37.0 C
YRC WORLDWIDE INC
30
1.7924
5.377.20
06/05/14
6.820.23
2.27
(1.443.03)
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC
140
0.0001
1.40
06/27/14
18,905.37
1.35
(18.903.97)
YRCW Oct 18 14 32.5 C
page 6 o136
CONFIDENTIAL
SDNY_GM_00011695
EFTA 00122346
EFTA01267825
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Positions
Investment Description
SymboU
CUSIP
Quantity
Current
Price
Market Purchase
Cost
Value
Date
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
Income
Yield
Options - Margin
ZIOPHARNI ONCOLOGY
INC
ZIOP Oct 18 14 3.0 C
210
0.5883
12,354.30
07/01/14
26,106.55
1.24
(13,752.25)
Total Options
$1,544,041.82
$1,635,834.04
$(91,792.22)
$0.00
0.0%
Other - Margin
RICEBRAN
TECHNOLOGIES
WARRANT EXP 11/18/2018
RIBTW
89,000
$ 2.18
$ 194,020.00
05/12/14
$ 121,745.20
$ 1.37
$ 72,274.80
$72,274.80
$53,599.85
$ -
$0.00
$0.00
Total Other
$194,020.00
$121,745.20
0.0%
0.0%
Total Margin Account
$4,159,132.74
$4,105,532.89
Account Activit
Trade
Settle
Acct
Transaction
SymboU
Date
Date
Type
Cash Activity'
Description
CUSIP
Quantity
Price
Amount
Balance
Opening Balance
($29,940.04)
07/29/14
08/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
100
$ 1.59
$ (165.00)
(30,105.04)
WARRANT EXP 11/18/2018
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.19
(525.00)
(30,630.04)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
1,200
1.96
(2,358.00)
(32,988.04)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
614
3.59
(2,210.26)
(35,198.30)
COM
Commission 6.00
page 7 of 36
CONFIDENTIAL
SDNY_GM_00011696
EFTA 00122347
EFTA01267826
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Settle
Acct
Transaction!
Symbol/
Date
Date
Type
Cash Activity•
Description
CUSIP
Quantity
Price
Amount
Balance
07/29/14
08/01/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
86
3.58
(307.88)
(35.506.18)
COM
07/29/14
08/01/14 Margin
Buy - Securities Purchased
TORCHLIGHT ENERGY
TRCH
100
4.02
(408.00)
(35,914.18)
RESOURCES
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
104
22.00
(2.294.00)
(38,208.18)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
6.500-
3.8801
25.214.09
(12.994.09)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.56
07/29/14
08/01/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
434
3.9986
(1.741.39)
(14,735.48)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
7.500
0.13
(981.00)
(15,716.48)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
500-
3.9301
1.959.00
(13,757.48)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.05
07/29/14
08/01/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
4.000-
3.93
15,719.65
1.962.17
RESOURCES
COM
Regulatory Fee 0.35
07/29/14
08/01/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
1.000
3.95
(3.956.00)
(1.993.83)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
100
22.00
(2.206.00)
(4,199.83)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
700-
5.4701
3.822.98
(376.85)
COM
Commission 6.00
Regulatory Fee 0.09
page 8 o136
CONFIDENTIAL
SDNY_GM_00011697
EFTA_00 122348
EFTA01267827
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
07/29/14
08/01/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
1.000-
5.47
5,469.87
5.093.02
COM
Regulatory Fee 0.13
07/29/14
08/01/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
500
1.938
(975.00)
4.118.02
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
600
5.12
(3.078.00)
1.040.02
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
RELM WIRELESS CORP.
RWC
230
4.04
(935.20)
104.82
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.125
(518.50)
(413.68)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
807-
3.76
3.028.25
2.614.57
INC
COM
Commission 6.00
Regulatory Fee 0.07
07/29/14
08/01/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
2.200
3.45
(7.596.00)
(4,981.43)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
2
3.47
(12.94)
(4.994.37)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
3.500
0.285
(1.003.50)
(5.997.87)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
279
3.49
(979.71)
(6.977.58)
COM
Commission 6.00
07/29/14
08/01/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
112
3.58
(406.96)
(7.384.54)
COM
Commission 6.00
07/31/14
08/01/14 Margin
Sell - Securities Sold
AMERICAN AIRLINES GROUP INC
15-
1.39
2,070.34
(5.314.20)
AAL Aug 08 14 39.5 P TO OPEN
Commission 14.25
Regulatory Fee 0.41
page 9 o138
CONFIDENTIAL
SDNY_GM_00011698
EFTA 00122349
EFTA01267828
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Ouantity
Price
Amount
Balance
07/31/14
08/01/14 Margin
Sell - Securities Sold
SONY CORP
35-
2.00
6.973.75
1.659.55
SNE Oct 18 1417.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.00
07/31/14
08/01/14 Margin
Sell - Securities Sold
SONY CORP
25-
2.10
5.229.53
6.889.08
SNE Oct 18 14 17.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.72
07/31/14
08/01/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
10
0.66
(671.74)
6,217.34
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/31/14
08/01/14 Margin
Buy - Securities Purchased
TWITTER INC
20
0.39
(797.48)
5.419.86
TWTR Aug 01 14 46.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14
08/01/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
5
1.50
(758.87)
4.660.99
FCEL Oct 18 14 1.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/31/14
08/01/14 Margin
Buy - Securities Purchased
RADNET INC.
30
0.15
(473.22)
4.187.77
RDNT Sep 20 14 7.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
07/31/14
08/01/14 Margin
Buy - Securities Purchased
AEROPOSTALE INC
15
0.45
(689.61)
3.498.16
ARO Jan 17 15 3.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14
08/01/14 Margin
Buy - Securities Purchased
TWITTER INC
20
0.15
(317.48)
3.180.68
TWTR Aug 01 14 46.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14
08/01/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
20
1.80
(3.617.48)
(436.80)
PEIX Aug 16 1416.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
page 10 0136
CONFIDENTIAL
SDNY_GM_00011699
EFTA 00122350
EFTA01267829
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
07/31/14
08/01/14 Margin
Buy - Securities Purchased
BEAZER HOMES USA INC
25
0.50
(1.270.35)
(1,707.15)
BZH Jan 17 15 20.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/31/14
08/01/14 Margin
Buy - Securities Purchased
TWITTER INC
20
0.21
(437.48)
(2.144.63)
TWTR Aug 01 14 46.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14
08/01/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
100
1.45
(14.563.40)
(16,708.03)
JBLU Dec 20 1410.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
07/31/14
08/01/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
10-
0.55
538.24
(16,169.79)
UAL Aug 08 14 45.0 P TO OPEN
Commission 11.50
Regulatory Fee 0.26
07/31/14
08/01/14 Margin
Sell - Securities Sold
YAHOO! INC
15-
0.62
915.36
(15,254.43)
YHOO Aug 08 14 36.0 P TO OPEN
Commission 14.25
Regulatory Fee 0.39
07/31/14
08/01/14 Margin
Sell - Securities Sold
AMERICAN AIRLINES GROUP INC
10-
1.16
1.148.23
(14,106.20)
AAL Aug 08 14 39.5 P TO OPEN
Commission 11.50
Regulatory Fee 0.27
07/31/14
08/01/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
10
0.45
(461.74)
(14,567.94)
YRCW Oct 18 14 32.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/31/14
08/01/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
10
1.60
(1.611.74)
(16,179.68)
GOWN Jan 17 15 2.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
07/31/14
08/01/14 Margin
Buy - Securities Purchased
MICHAEL KORS HOLDINGS
10
3.70
(3.711.74)
(19,891.42)
KORS Aug 08 14 81.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 11 of 36
CONFIDENTIAL
SDNY_GM_00011700
EFTA_0012235 I
EFTA01267830
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction,'
Cash Activity'
Symbol!
Description
CUSIP
Quantity
Price
Amount
Balance
07/31/14
08/01/14 Margin
Buy - Securities Purchased
RADNET INC.
15
0.20
(314.61)
(20,206.03)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 1425
Regulatory Fee 0.36
07/31/14
08/01/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
15
1.00
(1,514.61)
(21,720.64)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14
08/01/14 Margin
Buy - Securities Purchased
CORINTHIAN COLLEGES INC
20
0.05
(117.48)
(21,838.12)
COCO Nov 22 14 1.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
07/31/14
08/01/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
15
0.80
(1,214.61)
(23,052.73)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
07/31/14
08/01/14 Margin
Buy - Securities Purchased
YAHOO! INC
5
3.10
(1.558.87)
(24.611.60)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
07/31/14
08/01/14 Margin
Sell - Securities Sold
SONY CORP
15-
1.70
2.535.33
(22.076.27)
SNE Oct 18 14 17.0 C TO CLOSE
Commission 1425
Regulatory Fee 0.42
07/31/14
08/01/14 Margin
Buy - Securities Purchased
RADNET INC.
25
0.15
(395.35)
(22,471.62)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/31/14
08/01/14 Margin
Buy - Securities Purchased
BEAZER HOMES USA INC
25
0.45
(1,145.35)
(23,616.97)
BZH Jan 17 15 20.0 C TO OPEN
Commission 19.75
Regulatory Fee 0.60
07/31/14
08/01/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
100
1.40
(14,063.40)
(37,680.37)
JBLU Dec 20 14 10.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 12 of 36
CONFIDENTIAL
SDNY_GM_00011701
EFTA_00122352
EFTA01267831
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/31/14
08/01/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
16
0.17
(287.19)
(37,967.56)
07/31/14
08/01/14 Margin
Buy - Securities Purchased
YRCW Aug 16 14 32.5 C TO OPEN
Commission 14.80
Regulatory Fee 0.39
BEAZER HOMES USA INC
15
0.45
(689.61)
(38,657.17)
07/31/14
08/01/14 Margin
Buy - Securities Purchased
BZH Jan 17 15 20.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
RADNET INC.
20
0.15
(317.48)
(38,974.65)
07/31/14
08/01/14 Margin
Sell - Securities Sold
RDNT Sep 20 14 7.5 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
UNITED CONTINENTAL HLDGS
5-
0.66
321.12
(38,653.53)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
07/30/14
08/04/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
29.000
0.278
(8.068.00)
(46,721.53)
COM
Commission 6.00
07/30/4
08/04/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
6.500
0.18
(1.176.00)
(47,897.53)
COM
Commission 6.00
07/30/14
08/04/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
98919T100
6.453
0.75
(4.845.75)
(52.743.28)
1:10 RIS 8.20/14 98919T407
Commission 6.00
07/30/4
08/04/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
1.500-
5.4184
8.121.42
(44,621.86)
COM
Commission 6.00
Regulatory Fee 0.18
07/30/14
08/04/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
893-
3.7402
3233.92
(41,287.94)
INC
COM
Commission 6.00
Regulatory Fee 0.08
07/30/14
08/04/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
300-
3.7401
1.122.00
(40,165.94)
INC
COM
Regulatory Fee 0.03
page 13 o136
CONFIDENTIAL
SDNY_GM_00011702
EFTA (H) 122353
EFTA01267832
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
07/30/14
08/04/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
200
1.59
(324.00)
(40.489.94)
WARRANT EXP 11/18/2018
Commission 6.00
07/30/14
08/04/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
31.000
0.26
(8.066.00)
(48,555.94)
COM
Commission 6.00
07/30/14
08/04/14 Margin
Sell - Securities Sold
QUANTUM FUEL SYSTEMS TEC
QTWW
1.500-
5.4201
8.123.97
(40,431.97)
COM
Commission 6.00
Regulatory Fee 0.18
07/30/14
08/04/14 Margin
Sell - Securities Sold
TITAN ENERGY WORLDWIDE INC TEWI
148.000-
0.0315
4.655.89
(35,776.08)
COM
Commission 6.00
Regulatory Fee 0.11
07/30/14
08/04/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
3.706
3.57
(13.236.42)
(49,012.50)
COM
Commission 6.00
07/30/14
08/04/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
200
3.83
(772.00)
(49,784.50)
COM
Commission 6.00
07/30/14
08/04/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
58-
4.09
231.21
(49,553.29)
COM
Commission 6.00
Regulatory Fee 0.01
07/30/14
08/04/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
900-
4.085
3.676.41
(45,876.88)
COM
Regulatory Fee 0.09
07/30/14
08/04/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
42-
4.08
171.35
(45,705.53)
COM
Regulatory Fee 0.01
07/30/14
08/04/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
158-
4.0701
643.06
(45,062.47)
COM
Regulatory Fee 0.02
07/30/14
08/04/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
42-
4.07
170.93
(44,891.54)
COM
Regulatory Fee 0.01
07/30/14
08/04/14 Margin
Buy - Securities Purchased
MERRIMAN HOLDINGS INC
MERR
200
3.80
(766.00)
(45,657.54)
COM
Commission 6.00
page 14 o136
CONFIDENTIAL
SDNY_GM_00011703
EFTA_OOI 22354
EFTA01267833
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity'
Description
Symbol,
CUSIP
Quantity
Price
Amount
Balance
07/30/14
08/04/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
I RCH
1,600-
3.8001
6,074.02
(39.583.52)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.14
07,30114
08/0414 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
300-
3.705
1.105.47
(38.478.05)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.03
07/30/14
08/04/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
4,700-
3.70
17,389.61
(21.088.44)
RESOURCES
COM
Regulatory Fee 0.39
07;3014
08104'14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
150•
3.70
548.98
(20,539.46)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.02
07;30'14
08/0414 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
4,850-
3.6501
17,702.59
(2,836.87)
RESOURCES
COM
Regulatory Fee 0.40
08/01/14
08104114 Margin
Buy - Securities Purchased
FLAMEL TECH
5
4.40
(2.208.87)
(5.045.74)
FLML Dec 20 14 10.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/01/14
08/0414 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
-
5
0.75
(383.87)
(5.429.61)
MAD Jan 17 15 3.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/01/14
08/04/14 Margin
Buy - Securities Purchased
UNILIFE CORP
5
0.35
(183.87)
(5.613.48)
UNIS Sep 20 14 2.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08101/14
08/04/14 Margin
Buy - Securities Purchased
RADNET INC.
100
0.10
(1,063.40)
(6,676.88)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
page 15 of 36
CONFIDENTIAL
SDNY_GM_00011704
EFTA_00122355
EFTA01267834
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
08/01/14
08/04/14 Margin
Buy - Securities Purchased
YAHOO! INC
100
1.54
(15.463.40)
(22.140.28)
YHOO Sep 20 14 37.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
08/01/14
08/04/14 Margin
Buy - Securities Purchased
CITIGROUP INC
100
1.73
(17.363.40)
(39,503.68)
C Sep 20 14 48.0 C TO OPEN
Commission 61.00
Regulatory Fee 2.40
08/01/14
08/04/14 Margin
Sell - Securities Sold
WHOLE FOODS MKT INC
70-
0.92
6293.67
(33,110.01)
WFM Aug 08 14 38.5 P TO CLOSE
Commission 44.50
Regulatory Fee 1.83
08/01/14
08/04/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
5-
0.63
306.12
(32.803.89)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
08/01/14
08/04/14 Margin
Buy - Securities Purchased
YRC WORLDWIDE INC
13
1.75
(2.288.47)
(35,092.36)
YRCW Oct 18 14 22.5 C TO OPEN
Commission 13.15
Regulatory Fee 0.32
08/01/14
08/04/14 Margin
Buy - Securities Purchased
CITIGROUP INC
20
1.58
(3.177.48)
(38,269.84)
C Sep 20 14 48.0 C TO OPEN
Commission 17.00
Regulatory Fee 0.48
08/01/14
08/04/14 Margin
Sell - Securities Sold
ALCATEL LUCENT
617-
0.15
8294.63
(29,375.21)
ALU Sep 20 14 3.5 C TO CLOSE
Commission 345.35
Regulatory Fee 15.02
08/01/14
08/04/14 Margin
Buy - Securities Purchased
TWITTER INC
50
3.55
(17.784.70)
(47.159.91)
TWTR Sep 20 14 43.0 C TO OPEN
Commission 33.50
Regulatory Fee 1.20
08/01/14
08/04/14 Margin
Sell - Securities Sold
TWITTER INC
35-
8.20
28.673.27
(18,486.64)
08/04/14
08/04/14 Margin
Received - Other
TWTR Aug 01 14 36.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.48
YAHOO! INC
YHOO Aug 01 14 35.5 P
EXPIRATION
120
0.00
(18.486.64)
page 16 o136
CONFIDENTIAL
SDNY_GM_00011705
EFTA (H) 122356
EFTA01267835
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
08/04/14
08/04/14 Margin
Delivered Other
TWITTER INC
120-
0.00
(18,486.64)
TWTR Aug 01 14 46.0 C
EXPIRATION
07/31/14
08/05/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.0999
(515.99)
(19,002.63)
COM
Commission 6.00
07/31/14
08/05/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
200
1.5499
(315.98)
(19,318.61)
WARRANT EXP 11/18:2018
Commission 6.00
07/31/14
08/05/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
4.700
0.2498
(1.180.06)
(20,498.67)
COM
Commission 6.00
07/31/14
08/05/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
900
5.11
(4.605.00)
(25,103.67)
COM
Commission 6.00
07/31/14
08/05/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
300
1.9699
(596.97)
(25,700.64)
COM
Commission 6.00
07/31/14
08/05/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
3.185-
3.9601
12.606.64
(13,094.00)
COM
Commission 6.00
Regulatory Fee 0.28
07/31/14
08/05/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
1.200-
3.7201
4.458.02
(8,635.98)
INC
COM
Commission 6.00
Regulatory Fee 0.10
07/31/14
08/05/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
1.600
0.9073
(1.457.68)
(10,093.66)
COMMUNICATIONS
COM
Commission 6.00
07/31/14
08/05/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
315-
3.9701
1,244.55
(8,849.11)
COM
Commission 6.00
Regulatory Fee 0.03
07/31/14
08/05/14 Margin
Buy - Securities Purchased
ELEPHANT TALK
ETAK
1,153
0.90
(1.043.70)
(9,892.81)
COMMUNICATIONS
COM
Commission 6.00
page 17 6136
CONFIDENTIAL
SDNY_GM_00011706
EFTA_00 122357
EFTA01267836
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
08/04/14
08/05/14 Margin
Buy - Securities Purchased
ZIOPHARM ONCOLOGY INC
10
0.73
(741.74)
(10,634.55)
ZIOP Oct 18 14 3.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/14
08/05/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
10
3.70
(3.711.74)
(14,346.29)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/04/14
08/05/14 Margin
Buy - Securities Purchased
RADNET INC.
15
0.15
(239.61)
(14,585.90)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08/04/14
08/05/14 Margin
Buy - Securities Purchased
MICHAEL KORS HOLDINGS
15
0.40
(614.61)
(15,200.51)
KORS Aug 08 14 81.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08/04/14
08/05/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
10
1.25
(1.261.74)
(16,462.25)
NAT Jan 17 15 7.87 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/4
08/05/14 Margin
Buy - Securities Purchased
RADNET INC.
110
0.10
(1.169.14)
(17,631.39)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 66.50
Regulatory Fee 2.64
08/04/14
08/05/14 Margin
Buy - Securities Purchased
JETBLUE AIRWAYS CORP
10
1.40
(1.411.74)
(19,043.13)
JBLU Dec 20 1410.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/04/14
08/05/14 Margin
Sell - Securities Sold
AMERICAN AIRLINES GROUP INC
10-
1.38
1368.22
(17,674.91)
AAL Aug 08 14 39.5 P TO OPEN
Commission 11.50
Regulatory Fee 0.28
08/04/14
08/05/14 Margin
Buy - Securities Purchased
YAHOO! INC
5
3.30
(1.658.87)
(19,333.78)
YHOO Aug 16 14 33.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
page 18 o136
CONFIDENTIAL
SDNY_GM_00011707
EFTA (H) 122358
EFTA01267837
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
08/04/14
08/05/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
10
3.80
(3.811.74)
(23,145.52)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/14
08/05/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
5-
0.93
456.11
(22.689.41)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.14
08104/14
08/05/14 Margin
Buy - Securities Purchased
RADNET INC.
70
0.15
(1.096.18)
(23.785.59)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 44.50
Regulatory Fee 1.68
08/04/14
08/05/14 Margin
Buy - Securities Purchased
RADNET INC.
15
0.15
(239.61)
(24,025.20)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08104/4
08/05/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
10
3.70
(3.711.74)
(27,736.94)
PEIX Aug 16 1416.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08104/4
08/05/14 Margin
Buy - Securities Purchased
RADNET INC.
30
0.15
(473.22)
(28,210.16)
RDNT Sep 20 14 7.5 C TO OPEN
Commission 22.50
Regulatory Fee 0.72
08/04/14
08/05/14 Margin
Sell - Securities Sold
AMERICAN AIRLINES GROUP INC
10-
1.43
1.418.22
(26,791.94)
AAL Aug 08 14 39.5 P TO OPEN
Commission 11.50
Regulatory Fee 0.28
08/04/14
08/05/14 Margin
Buy - Securities Purchased
FUELCELL ENERGY INC
5
0.90
(458.87)
(27,250.81)
FCEL Oct 18 14 1.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/04/14
08/05/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
10
0.78
(791.74)
(28,042.55)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
page 19 o136
CONFIDENTIAL
SDNY_GM_00011708
EFTA_00I 22359
EFTA01267838
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/04/14
08/05/14 Margin
Sell - Securities Sold
UNITED CONTINENTAL HLDGS
5-
0.78
381.12
(27,661.43)
UAL Aug 08 14 45.0 P TO OPEN
Commission 8.75
Regulatory Fee 0.13
08/04/14
08/05/14 Margin
Buy - Securities Purchased
RADNET INC.
10
0.25
(261.74)
(27,923.17)
RDNT Aug 16 14 5.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08101/14
08/06/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.948
(795.60)
(28,718.77)
COM
Commission 6.00
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
300-
3.67
1.094.97
(27,623.80)
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.03
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
5.700-
3.6601
20.862.10
(6161.70)
RESOURCES
COM
Regulatory Fee 0.47
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
2.200-
3.669
8.065.62
1.303.92
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.18
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
1.100-
3.661
4.027.01
5.330.93
RESOURCES
COM
Regulatory Fee 0.09
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
4.700-
3.66
17.201.61
22.532.54
RESOURCES
COM
Regulatory Fee 0.39
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
400-
3.555
1.415.96
23.948.50
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.04
page 20 6136
CONFIDENTIAL
SDNY_GM_00011709
EFTA 00122360
EFTA01267839
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/01/14
08/06/14 Margin
Buy - Securities Purchased
ACCESS PlIARMA INC
ACCP
5.500
0.26
(1.436.00)
22,512.50
COM
Commission 6.00
08/01/14
08/06/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
1.000
1.565
(1.571.00)
20.941.50
WARRANT EXP 11/18:2018
Commission 6.00
08101/14
08/06/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
900
1.958
(1.768.20)
19.17320
COM
Commission 6.00
08101/14
08/06/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
400
5.06
(2.030.00)
17,14320
COM
Commission 6.00
08101/14
08/06/14 Margin
Buy - Securities Purchased
LANTRONIX INC
LTRX
4.100
1.9598
(8.041.18)
9.102.12
COM
Commission 6.00
08101/14
08/06/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.09
(1.024.00)
8.078.12
COM
Commission 6.00
08101/14
08/06/14 Margin
Sell - Securities Sold
TORCHLIGHT ENERGY
TRCH
500-
3.6601
1.824.00
9.902.12
RESOURCES
COM
Commission 6.00
Regulatory Fee 0.05
08101/14
08/06/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
100
3.87
(393.00)
9.509.12
COM
Commission 6.00
08101/14
08/06/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
1.000
0.255
(261.00)
9,248.12
COM
Commission 6.00
08101/14
08/06/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
98919T100
1.750
0.691
(1.215.25)
8.032.87
1:10 FIG &'20/14 98919T407
Commission 6.00
08105/14
08/06/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
5
1.25
(633.87)
7.399.00
NAT Jan 17 15 7.87 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
page 21 o136
CONFIDENTIAL
SDNY_GM_00011710
EFfik_00I2236I
EFTA01267840
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol,
Description
CUSIP
Quantity
Price
Amount
Balance
08/05/14
08/06/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
5
3.80
(1,908.87)
5,490.13
PEIX Aug 16 14 16.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14
08/06/14 Margin
Buy - Securities Purchased
FLAMEL TECH
10
5.40
(5,411.74)
78.39
FLML Dec 20 14 10.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/05/14
08/06/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
10
0.82
(831.74)
(753.35)
AMD Jan 17 15 3.5 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/05/14
08/06/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
15
0.15
(239.61)
(992.96)
COWN Jan 17155.0 C TO OPEN
Commission 14.25
Regulatory Fee 0.36
08/05/14
08,'06,'14
Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
5
3.50
(1.758.87)
(2.751.83)
PEIX Aug 16 14 16.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08!05114
08,O6,'14
Margin
Sell - Securities Sold
SONY CORP
25-
1.45
3.604.56
852.73
SNE Oct 18 14 17.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.69
08/05/14
08/06/14 Margin
Buy - Securities Purchased
ADVANCED MICRO DEVICES INC
5
0.81
(413.87)
438.86
AMD Jan 17 15 3.5 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14
08/06/14 Margin
Buy - Securities Purchased
FLAMEL TECH
5
5.40
(2,708.87)
(2,270.01)
FLML Dec 20 14 10.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14
08/06/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
5
3.40
(1,708.87)
(3,978.88)
PEIX Aug 16 1416.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
page 22 of 36
CONFIDENTIAL
SDNY_GM_00011711
EFTA_00122362
EFTA01267841
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade
Date
Settle
Date
Acct
Type
Transaction!
Cash Activity•
Symbol
Description
CUSIP
Quantity
Price
Amount
Balance
08/05/14
08/06/14 Margin
Buy - Securities Purchased
COWEN GROUP INC
10
0.15
(161.74)
(4,140.62)
COWN Jan 17155.0 C TO OPEN
Commission 11.50
Regulatory Fee 0.24
08/05/14
08/06/14 Margin
Buy - Securities Purchased
NORDIC AMERICAN TANKERS LTD -
5
1.25
(633.87)
(4,774.49)
NAT Jan 17 157.87 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/05/14
08/06/14 Margin
Buy - Securities Purchased
PACIFIC ETHANOL INC
5
3.10
(1,558.87)
(6,333.36)
PEIX Aug 16 14 16.0 C TO OPEN
Commission 8.75
Regulatory Fee 0.12
08/04/14
08/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.05
(1.016.00)
(7,349.36)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
350
3.996
(1.404.60)
(8,753.96)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
250
4.00
(1.000.00)
(9,753.96)
COM
08/04/14
08/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.0699
(512.99)
(10,266.95)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
4.000
0.175
(706.00)
(10,972.95)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.8604
(778.08)
(11,751.03)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Buy - Securities Purchased
RAINMAKER SYSTEMS INC
RMKR
7.000
0.14
(986.00)
(12,737.03)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
800-
3.7504
2,994.25
(9,742.78)
INC
COM
Commission 6.00
Regulatory Fee 0.07
page 23 of 36
CONFIDENTIAL
SDNY_GM_00011712
EFTA_00122363
EFTA01267842
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/04/14
08/07/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBTW
500
1.4891
(750.55)
(10.493.33)
WARRANT EXP 11/18:2018
Commission 6.00
08104/14
08/07/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
300
3.97
(1.197.00)
(11,690.33)
COM
Commission 6.00
08/04/14
08/07/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
1.001
0.165
(171.17)
(11,861.50)
COM
Commission 6.00
08/05/14
08/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.05
(511.00)
(12.372.50)
COM
Commission 6.00
08/05/14
08/08/14 Margin
Buy - Securities Purchased
ACCESS PHARMA INC
ACCP
2.500
0.2742
(691.50)
(13,064.00)
COM
Commission 6.00
08105/14
08/08/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
100-
3.972
391.19
(12.672.81)
COM
Commission 6.00
Regulatory Fee 0.01
08105/14
08/08/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
1.900-
3.971
7.544.73
(5,128.08)
COM
Regulatory Fee 0.17
08/05/14
08/08/14 Margin
Buy - Securities Purchased
TRANSGENOMIC INC
TBIO
200
3.92
(790.00)
(5,918.08)
COM
Commission 6.00
08105/14
08/08/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
2.500
0.2737
(690.25)
(6,608.33)
COM
Commission 6.00
08105/14
08/08/14 Margin
Buy - Securities Purchased
EMRISE CORP
EMRI
1.574
0.83
(1.312.42)
(7,920.75)
COM
Commission 6.00
08105/14
08/08/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
1.000
0.2498
(255.80)
(8,176.55)
COM
Commission 6.00
08105/14
08/08/14 Margin
Buy - Securities Purchased
HAUPPAGE DIGITAL INC
HAUP
1.000
0.20
(206.00)
(8.382.55)
COM
Commission 6.00
page 24 o136
CONFIDENTIAL
SDNY_GM_00011713
EFTA 00122364
EFTA01267843
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
08/05/14
08/08/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
1.500-
2.30
3.443.92
(4,938.63)
COM
Commission 6.00
Regulatory Fee 0.08
08105/14
08/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.0199
(507.99)
(5,446.62)
COM
Commission 6.00
08105/14
08/08/14 Margin
Buy - Securities Purchased
ACCESS PI-IARMA INC
ACCP
1.000
0.273
(279.00)
(5,725.62)
COM
Commission 6.00
08105/14
08/08/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
1.200-
3.74
4.48190
(1,243.72)
INC
COM
Commission 6.00
Regulatory Fee 0.10
08105/14
08/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
4.9999
(505.99)
(1,749.71)
COM
Commission 6.00
08105/14
08/08/14 Margin
Buy - Securities Purchased
LIHUA INTERNATIONAL INC
LIWA
1.000
0.2099
(215.90)
(1,965.61)
COM
Commission 6.00
08105/14
08/08/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
200-
3.7501
744.00
(1,221.61)
INC
COM
Commission 6.00
Regulatory Fee 0.02
08105/14
08/08/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.0662
(512.62)
(1,734.23)
COM
Commission 6.00
08/05/14
08/08/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
281-
2.40
668.38
(1,065.85)
COM
Commission 6.00
Regulatory Fee 0.02
08105/14
08/08/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
230-
2.26
513.78
(552.07)
COM
Commission 6.00
Regulatory Fee 0.02
page 25 o136
CONFIDENTIAL
SDNY_GM_00011714
EFfik_00I22365
EFTA01267844
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/05/14
08/08/14 Margin
Sell - Securities Sold
ATHERONOVA INC
AHRO
450-
2.17
970.47
418.40
COM
Commission 6.00
Regulatory Fee 0.03
08/08/14
08/08/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(418.40)
0.00
DEPOSIT ACCOUNT
08/06/14
08/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.1549
(521.49)
(521.49)
COM
Commission 6.00
08/06/14
08/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.10
(516.00)
(1,037.49)
COM
Commission 6.00
08106/14
08/11/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
2.250
0.0316
(77.10)
(1.114.59)
COM
Commission 6.00
08106/14
08/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
100
5.08
(514.00)
(1.628.59)
COM
Commission 6.00
08106/14
08/11/14 Margin
Buy - Securities Purchased
RICEBRAN TECHNOLOGIES
RIBT
200
5.02
(1,010.00)
(2.638.59)
COM
Commission 6.00
08106/14
08/11/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
600-
3.9901
2388.00
(250.59)
COM
Commission 6.00
Regulatory Fee 0.06
08106/14
08/11/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
200-
3.771
748.18
497.59
INC
COM
Commission 6.00
Regulatory Fee 0.02
08106/14
08/11/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
400-
3.77
1.507.96
2.005.55
INC
COM
Regulatory Fee 0.04
08/06/14
08/11/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
7.700
0.0316
(249.32)
1.756.23
COM
Commission 6.00
page 26 o136
CONFIDENTIAL
SDNY_GM_00011715
EFTA 00122366
EFTA01267845
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
08/06/14
08/11/14 Margin
Buy - Securities Purchased
NOTIFY TECHNOLOGY CORP
NTFY
100
17.00
(1.706.00)
50.23
COM
Commission 6.00
08106/14
08/11/14 Margin
Buy - Securities Purchased
TITAN ENERGY WORLDWIDE INC TEWI
10.000
0.03
(306.00)
(255.77)
COM
Commission 6.00
08/06/14
08/11/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
800-
4.0301
3.218.00
2.962.23
COM
Commission 6.00
Regulatory Fee 0.08
08106/14
08/11/14 Margin
Buy - Securities Purchased
7A7A ENERGY CORPORATION
989197100
3.982
0.681
(2.717.74)
244.49
1:10 RIS w2o/14 98919T407
Commission 6.00
08/08/14
08/11/14 Margin
Buy - Securities Purchased
YAHOO! INC
115
0.22
(2.602.01)
(2.357.52)
YHOO Aug 08 14 36.0 P TO CLOSE
Commission 69.25
Regulatory Fee 2.76
08/08/14
08/11/14 Margin
Buy - Securities Purchased
AMERICAN AIRLINES GROUP INC
40
2.42
(9.708.96)
(12.066.48)
AAL Aug 08 14 39.5 P TO CLOSE
Commission 28.00
Regulatory Fee 0.96
08/08/14
08/11/14 Margin
Buy - Securities Purchased
UNITED CONTINENTAL HLDGS
100
2.05
(20.563.40)
(32.629.88)
UAL Aug 08 14 45.0 P TO CLOSE
Commission 61.00
Regulatory Fee 2.40
08/08/14
08/11/14 Margin
Buy - Securities Purchased
AMERICAN AIRLINES GROUP INC
65
2.30
(14.993.31)
(47,623.19)
AAL Aug 08 14 39.5 P TO CLOSE
Commission 41.75
Regulatory Fee 1.56
08/08/4
08/11/14 Margin
Buy - Securities Purchased
UNITED CONTINENTAL HLDGS
130
2.01
(26.210.62)
(73,833.81)
UAL Aug 08 14 45.0 P TO CLOSE
Commission 77.50
Regulatory Fee 3.12
08/11/14
08/11/14 Margin
Delivered - Other
WHOLE FOODS MKT INC
70•
0.00
(73,833.81)
WFM Aug 08 14 39.5 C
EXPIRATION
08/1/14
08/11/14 Margin
Delivered -Other
MICHAEL KORS HOLDINGS
55•
0.00
(73,833.81)
KORS Aug 08 14 81.0 C
EXPIRATION
page 27 o136
CONFIDENTIAL
SDNY_GM_00011716
EFTA (X1122367
EFTA01267846
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/11/14
08/11/14 Margin
Delivered - Other
RITE AID CORP
200-
0.00
(73.833.81)
RAD Aug 08 14 7.0 C
EXPIRATION
08/11/14
08/11/14 Margin
Journal -Other
REDEMPTION FDIC INSURED
0.00
418.40
(73.415.41)
DEPOSIT ACCOUNT
08108/14
08/13/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
6.700-
3.9901
26.727.07
(46,688.34)
COM
Commission 6.00
Regulatory Fee 0.60
08108/4
08/13/14 Margin
Sell - Securities Sold
COWEN GROUP INC
COWN
6.400-
4.0101
25.658.07
(21,030.27)
COM
Commission 6.00
Regulatory Fee 0.57
08108/4
08/13/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
4.500-
3.7801
17,004.07
(4,026.20)
INC
COM
Commission 6.00
Regulatory Fee 0.38
08108/14
08/13/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
1.115-
3.7801
4.208.71
182.51
INC
COM
Commission 6.00
Regulatory Fee 0.10
08108/14
08/13/14 Margin
Sell - Securities Sold
MODUSLINK GLOBAL SOLUTIONS MLNK
185-
3.79
695.13
877.64
INC
COM
Commission 6.00
Regulatory Fee 0.02
08/13/14
08/13/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(877.64)
0.00
DEPOSIT ACCOUNT
08/14/14
08/15/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
1
3.30
(336.58)
(336.58)
UEPS Jan 17 15 8.0 C TO OPEN
Commission 6.55
Regulatory Fee 0.03
08/14/14
08/15/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
20-
4.60
9.182.31
8.845.73
PEIX Aug 16 1416.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.69
page 28 o136
CONFIDENTIAL
SDNY_GM_00011717
EFTA (X1122368
EFTA01267847
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
08/14/14
08/15/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
20-
4.70
9.382.31
18,228.04
PEIX Aug 16 1416.0 C TO CLOSE
Commission 17.00
Regulatory Fee 0.69
08/4/4
08/15/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
30-
4.70
14.076.46
32,304.50
PEIX Aug 16 1416.0 C TO CLOSE
Commission 22.50
Regulatory Fee 1.04
08/4/4
08/15/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
35-
4.70
16.423.54
48.728.04
PEIX Aug 16 1416.0 C TO CLOSE
Commission 25.25
Regulatory Fee 1.21
08/4/4
08/15/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
26-
4.80
12.453.84
61.181.88
PEIX Aug 16 1416.0 C TO CLOSE
Commission 25.25
Regulatory Fee 0.91
08/4/4
08/15/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
9-
4.72
4.247.68
65.429.56
PEIX Aug 16 1416.0 C TO CLOSE
Regulatory Fee 0.32
08/5/4
08/15/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(65.429.56)
0.00
DEPOSIT ACCOUNT
08/5/4
08/18/14 Margin
Sell - Securities Sold
RADNET INC.
55-
1.75
9.587.21
9.587.21
RDNT Aug 16 14 5.0 C TO CLOSE
Commission 36.25
Regulatory Fee 1.54
08/5/4
08/18/14 Margin
Sell - Securities Sold
RADNET INC.
52-
1.75
9.063.94
18.651.15
RDNT Aug 16 14 5.0 C TO CLOSE
Commission 34.60
Regulatory Fee 1.46
08/5/4
08/18/14 Margin
Sell - Securities Sold
PACIFIC ETHANOL INC
130-
4.30
55.818.14
74.469.29
PEIX Aug 16 1416.0 C TO CLOSE
Commission 77.50
Regulatory Fee 4.36
08/5/4
08/18/14 Margin
Sell - Securities Sold
RADNET INC.
3-
1.80
532.25
75.001.54
RDNT Aug 16 14 5.0 C TO CLOSE
Commission 7.65
Regulatory Fee 0.10
page 29 of 36
CONFIDENTIAL
SDNY_GM_00011718
EFTA (X1122369
EFTA01267848
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
08/18/14
08/18/14 Margin
Delivered Other
YAHOO! INC
120-
0.00
75.001.54
YHOO Aug 16 14 33.0 C
EXERCISED OPTION
08f 18f 14
08/18/14 Margin
Delivered - Other
PANERA BREAD CO
85-
0.00
75.001.54
PNRA Aug 16 14 160.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
RITE AID CORP
250-
0.00
75.001.54
RAD Aug 16 14 7.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
CITIGROUP INC
400-
0.00
75.001.54
C Aug 16 14 49.0 C
EXPIRATION
08/ 8f 14
08/18/14 Margin
Delivered -Other
TESLA MOTORS INC
100-
0.00
75.001.54
TSLA Aug 16 14 180.0 P
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
APOLLO EDUCATION GROUP INC
150-
0.00
75.001.54
APOL Aug 16 14 31.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
APOLLO EDUCATION GROUP INC
300-
0.00
75.001.54
APOL Aug 16 14 34.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
APOLLO EDUCATION GROUP INC
250-
0.00
75.001.54
APOL Aug 16 14 36.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
CORINTHIAN COLLEGES INC
500-
0.00
75.001.54
COCO Aug 16 14 1.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
CORINTHIAN COLLEGES INC
2.000-
0.00
75.001.54
COCO Aug 16 14 2.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
YRC WORLDWIDE INC
216-
0.00
75.001.54
YRCW Aug 16 14 30.0 C
EXPIRATION
08/18/14
08/18/14 Margin
Delivered - Other
YRC WORLDWIDE INC
416-
0.00
75.001.54
YRCW Aug 16 14 32.5 C
EXPIRATION
page 30 of 36
CONFIDENTIAL
SDNY_GM_00011719
EFTA (X1122370
EFTA01267849
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/18/14
08/18/14 Margin
Delivered Other
TWITTER INC
35-
0.00
75.001.54
TWTR Aug 16 14 34.5 P
EXPIRATION
08f 18f 14
08/18/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(75.001.54)
0.00
DEPOSIT ACCOUNT
08/18/14
08/20/14 Margin
Buy - Securities Purchased
YAHOO! INC
YHOO
12.000
33.00
(396.010.00)
(396,010.00)
COM
Commission 10.00
08/20/14
08/20/14 Margin
Journal - Other
REDEMPTION FDIC INSURED
0.00
141.308.74
(254,701.26)
DEPOSIT ACCOUNT
08/20/14
08/20/14 Margin
Div/Int - Other
FDIC INSURED DEPOSIT
MMDA11
0.00
0.13
(254.701.13)
ACCOUNT
IDA11 NOT COVERED BY SIPC
Interest: Insured
Deposit Account
Payable: ce3112014
Insured Deposit Accoun 0.13
08/20/14
08/20/14 Margin
Delivered - Other
7A7A ENERGY CORPORATION
989191100
88,732-
0.00
(254.701.13)
1:10 RIS 8)20/14 98919T407
REORG - 1:10 REVERSE SPLIT
8/20/14 TO 747A ENERGY CORP
98919T407
Auto Recrg#234881IREVERSE
SPLIT
08/20/14
08/20/14 Margin
Received - Other
7A7A ENERGY CORPORATION
ZAZA
8.873
0.00
(254.701.13)
COM
REORG - 1:10 REVERSE SPLIT
8/20/14 TO 7A7A ENERGY CORP
98919T407
Auto Recrg#234881IREVERSE
SPLIT
08/18/14
08/21/14 Margin
Sell - Securities Sold
YAHOO! INC
YHOO
600-
37.165
22,292.50
(232,408.63)
COM
Commission 6.00
Regulatory Fee 0.50
08/18/14
08/21/14 Margin
Sell - Securities Sold
YAHOO! INC
YHOO
5.400-
37.1601
200.660.10
(31,748.53)
COM
Regulatory Fee 4.44
page 31 o136
CONFIDENTIAL
SDNY_GM_00011720
EFTA_001 22371
EFTA01267850
Statement for Account # 867-730320
08 01 14 - 08 31 14
Account Activit
Trade
Settle
Acct
Transaction!
Symbol
Date
Date
Type
Cash Activity•
Description
CUSIP
Quantity
Price
Amount
Balance
08/18/14
08/21/14 Margin
Sell - Securities Sold
YAHOO! INC
YHCO
6,000-
37.2001
223,189.66
191,441.13
COM
Commission 6.00
Regulatory Fee 4.94
08/21/14
08/21/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(191,441.13)
0.00
DEPOSIT ACCOUNT
08/26/14
08/26/14 Margin
Delivered - Other
MEDIABISTRO INC
58448U101
3,200-
0.00
0.00
WC 8/25/14 58400W103
REORG - NAME CHANGE 8/25/14
TO MECKLERMEDIA CORP
58400W103
Auto Rearg#235154ISTOCK
PAYMENT
08/26/14
08/26/14 Margin
Received - Other
MECKLERMEDIA CORP
MECK
3,200
0.00
0.00
COM
REORG - NAME CHANGE 8/25/14
TO MECKLERMEDIA CORP
58400W103
Auto Reargli235154ISTOCK
PAYMENT
08/22/14
08/27/14 Margin
Sell - Securities Sold
REIM WIRELESS COFIP.
RWC
100-
4.473
441.29
441.29
COM
Commission 6.00
Regulatory Fee 0.01
08/26/14
08/27/14 Margin
Sell - Securities Sold
HEWLETT PACKARD CO
15-
6.40
9,585.17
10,026.46
HPO Jan 17 1531.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.58
08/26/14
08/27/14 Margin
Sell - Securities Sold
HEWLETT PACKARD CO
15-
6.70
10,035.16
20,061.62
HPO Jan 17 15 31.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.59
08/26/14
08/27/14 Margin
Sell - Securities Sold
HEWLETT PACKARD CO
15-
6.90
10,335.16
30,396.78
HPO Jan 17 1531.0 C TO CLOSE
Commission 14.25
Regulatory Fee 0.59
0&26114
08/27/14 Margin
Sell - Securities Sold
HEWLETT PACKARD CO
10-
7.00
6,988.10
37,384.88
HPO Jan 17 1531.0 C TO CLOSE
Commission 11.50
Regulatory Fee 0.40
page 32 of 36
CONFIDENTIAL
SONY_GM_00011721
EFT.A_D0122372
EFTA01267851
Statement for Account # 867-730320
08/01/14 - 08/31/14
Account Activity
Trade
Settle
Acct
Transaction/
Date
Date
Type
Cash Activity*
Description
Symbol/
CUSIP
Quantity
Price
Amount
Balance
08/27/14
08/27/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(37.384.88)
0.00
DEPOSIT ACCOUNT
08/25/14
08/28/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
700-
4.4801
3.130.00
3.130.00
COM
Commission 6.00
Regulatory Fee 0.07
08/25/14
08/28/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
1.300-
4.54
5.895.86
9.025.86
COM
Commission 6.00
Regulatory Fee 0.14
08/27/14
08/28/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
30-
2.16
6.456.63
15.482.49
ARO Oct 18 14 2.0 C TO CLOSE
Commission 22.50
Regulatory Fee 0.87
08/27/14
08/28/14 Margin
Sell - Securities Sold
AEROPOSTALE INC
25-
2.20
5.479.52
20.962.01
ARO Oct 18 14 2.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.73
08/28/14
08/28/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(20.962.01)
0.00
DEPOSIT ACCOUNT
08/26/14
08/29/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
600-
4.7201
2.825.99
2.825.99
COM
Commission 6.00
Regulatory Fee 0.07
08/26/14
08/29/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
100-
4.72
471.98
3297.97
COM
Regulatory Fee 0.02
08/29/14
08/29/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(3.297.97)
0.00
DEPOSIT ACCOUNT
08/29/14
08/29/14 Margin
Div/Int - Expense
MARGIN INTEREST CHARGE
0.00
(123.04)
(123.04)
Payable: 08129/2014
Closing Balance
($123.04)
Tot Cash Actively totals. refer to the Cash Acevity Summary on page one of your statement
page 33 o136
CONFIDENTIAL
SDNY_GM_00011722
EFTA_00 I 22373
EFTA01267852
Statement for Account # 867-730320
08/01/14 - 08/31/14
7D Ameritrade Cash Interest Credit/Ex • - nse
Begin
Margin
Credit
Number
Interest
Interest
Interest
Date
Balance
Balance
of Day
Rate
Debited
Credited
08/01/14
S (38,653.53)
$ •
3
8.50
$ 27.38
$ -
08/04/14
(18.486.64)
1
8.75
4.49
08105/14
(27.923.17)
1
8.50
6.59
08/06/14
(6.333.36)
1
9.00
1.58
08/07/14
(11,861.50)
1
8.75
2.88
08/11/14
(73,415.41)
2
7.50
30.59
08/20/14
(254,701.13)
7.00
49.53
Total Interest Income/(Expense)
$123.04
$ 0.00
Insured De. osit Account Interest Credited
Begin
Number
Interest
Interest
MTD
MTD
Date
Balance
of Days
Rate
Accrued
Accrued
PAID
08/08/14
$ 418.40
3
0.0100
$
$
$ -
08/13/14
877.64
2
0.0100
08/15/14
66,307.20
3
0.0100
0.06
0.06
08/18/14
141,308.74
2
0.0100
0.07
0.13
0.13
08/21/14
191,441.13
6
0.0100
0.32
0.32
08/27/14
228,826.01
0.0100
0.06
0.38
08/28/14
249,788.02
0.0100
0.07
0.45
08/29/14
253,085.99
3
0.0100
0.21
0.66
0.66
Total Interest Income
$0.79
Trades Pendin . Settlement
Account
Symbol,'
Trade
Settle
Investment Description
Type
CUSIP
Quantity
Price
Date
Date
Amount
SELL
RELM WIRELESS CORP.
Margin
RWC
700-
$ 4.8001
08/27/14
09/02/14
$ 3,353.99
COM
SELL
RELM WIRELESS CORP.
Margin
RWC
700-
4.90
08/27/14
09/02/14
3,423.92
COM
BUY
NET 1 UEPS TECHNOLOGIES INC
Margin
1
3.70
08/29/14
09/02/14
(376.58)
UEPS Jan 17 15 9.0 C
page 34 of 36
CONFIDENTIAL
SDNY_GM_00011723
EFTA 00122374
EFTA01267853
Statement for Account # 867-730320
08 01 14 - 08 31 14
Insured De. osit Account Activi
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
Opening Balance
$ 0.00
08/08/14
08/08/14
Received
FDIC INSURED DEPOSIT ACCOUNT
$ 418.40
418.40
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/11/14
08/11/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(418.40)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
08/13/14
08/13/14
Received
FDIC INSURED DEPOSIT ACCOUNT
877.64
877.64
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/15/14
08/15/14
Received
FDIC INSURED DEPOSIT ACCOUNT
65,429.56
66.307.20
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/18/14
08/18/14
Received
FDIC INSURED DEPOSIT ACCOUNT
75,001.54
141.308.74
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/20/14
08/20/14
Delivered
FDIC INSURED DEPOSIT ACCOUNT
(141,30834)
0.00
IDA11 NOT COVERED BY SIPC
REDEMPTION FDIC INSURED
DEPOSIT ACCOUNT
08/21/14
08/21/14
Received
FDIC INSURED DEPOSIT ACCOUNT
191.441.13
191,441.13
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/27/14
08/27/14
Received
FDIC INSURED DEPOSIT ACCOUNT
37.384.88
228,826.01
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/28/14
08/28/14
Received
FDIC INSURED DEPOSIT ACCOUNT
18.673.99
247.500.00
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/28/14
08/28/14
Received
FDIC INSURED DEPOSIT ACCOUNT
2.288.02
249,788.02
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
page 35 0136
CONFIDENTIAL
SDNY_GM_00011724
EFTA_00122375
EFTA01267854
Statement for Account # 867-730320
08 01 14 - 08 31 14
Insured De. osit Account Activi
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
08/29/14
08/29/14
Received
FDIC INSURED DEPOSIT ACCOUNT
3,297.97
253,085.99
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
08/29/14
08/29/14
Received
Interest: Insured
0.01
253,086.00
Deposit Account
08/29/14
08/29/14
Received
Interest: Insured
0.65
253,086.65
Deposit Account
Closing Balance
$253,086.65
TD Bank NA
$247,500.00
TD Bank USA NA
$5,586.65
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities Investor Protection Corporation (SIPC) protection applicable to your brokerage account.
page 36 of 36
CONFIDENTIAL
SDNY_GM_00011725
EFTA 00122376
EFTA01267855
1D Ameritrade
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK QTRS STE B-3
ST THOMAS, VI 00802-1348
At the end of your September statement you'll find a copy of our Privacy Policy, which we
provide to you annually.
CONFIDENTIAL
SONY_GM_00011726
EFTA 00122377
EFTA01267856
Terms and Conditions
STATEMENT GUIDE
IL Ar.: ehaab prandes mondly Poiddio Report; lor accoums van acverty and quanody 'opa's
'a mum .re accounts vatte isme.'
Portfolio Summaire,: Treda Ine Current Waas Of yOur 000010 es 01 !he n>pOd date end
comparee ij to grue prior morilh.a nee steel BYOCeHOn irdCele4 maa p00010 diveranCalion by
investment type
MMO* dbeahms under 5% ank be gezoen.] mto tho coupon ol neinor in the pil dun. Margo
Emily - Total Account EiturtWiTouti Long labginable label • Total Short tintte)
Activity Summary: Ine opening and doling cash blanca are reconcled neo lor yoa quid
retegoico Al account aelnity es surmanzod lor mo torren ponod and year to dato.
Ineorne a Expense Summary inwaai only): 1his soctran dolais tno inoomo ard epen«
194,03 hom 0e Aciany Sommen and tamiles Me les tremmen.
Rebnanent Account Summae./ (IRA. array): Amorf to IRS ropaxod transaceons lor Mo
curare tod pro nam IRS Form 5498 Fait man« vane is based en Uw cement venus es of
Downeer 31 d lbo pranous stuar anima bo turnshod to the Iniernal Reuenuo Santo.
PedonnanceSummary:Monitor >oen omwal ponk» pedarnance end lto urreelized gein. end
lostas br your biuro rumbnont strata/.
Account PosItions: New your rnestmoms at tho current mainot vat» and combo:0 the °and
tost to set vveelaed geins and roem n your pallol0 Original coat is esegned uling Ine
entan. rint-out (FIFOI melhod. Mach mamma te ani slums >Cm sol ere Chose you purthelfed
arst. No esionalod ernestmont encome2 and armee Co:, per share an doidayed br your
meren°, Mee oaest patentst, date e ShOwn kir en odes:ion el you heffing Ped0d).
AOCOunt Actinty: Al account eflhily n deert/ delhed. Wed in Ode Order, end relleaed n the
Cbef no cash balance.
Tradert Panding %Inenting: Conlime your eiecuted Wede nith e statement dele aller mono,
Ø. Ilyaso transactionsnd bo relloctod n me Account Acvnty sabon non meen,
Onaf. Cash Services TraneactiOn Delen: Cash management inosectiom Inst cleared dring
ms statanom raorting pond. ndudng check. dobd card and ATM actmb. are ',stad in dato
Coda
Onanie Cash Services Summary:Cralt ard debt transamon totals lor tho cunom stuemen
re00400 Pedal we aumnbanzet. Indbitket treineactale ere not listed.
'ie to tanding actustments. lbo ~ment deals may nol «mal eie statement totals.
retilkneled Anrwal boom. end Ealtroted kluut]] Yield valuta are bets upon Ibe minbar d
slums anna or ~rom vake, balanse as ot trio statement dala an]
most mant duidend
rele a cash Petel prernded
GENERAL INFORMATION
10 Omen:rade does not peesde legal or lax ~ce. Ploos* coma, your loyal ~oor or las
*Moore/nl wan neanulant. AS a rilandlird ruw:baby braadt "ne COrweredatns may be
records br Sally Ontrol and liansadion verdenbal OurpOste.
For TO Amentrade bushoonal dem. your ausar inn es scp.vato hom and not attlialed win
TO Amentrada. Inc. a TO Arratrado Omme, Inc., ard ach Inn es nat responsen, la the
pretaxls end senices ol Me orher.
Money of Rayons:H you find any errors or *miniem In vors account
statement you
anould immediatety oen u$ et tnt mentor tisted Om page °ne of
your statement You
naald als* contact our Clearing reen, TD Amarltrads
Clearing, ho. el 8004694900.
Please ternete tos sialemani c.iredity. 11 you dragee* sub any banaten aal Mae am any
«Eds of °camions. Masse notify e giant Services reproseMege. Or yes lood Winch Cd-te. at
wel as 10 Amairado Clean-g. lix, in wrong netten ton (10) days of war natoot ei tod
statement. Am wei statements Inst you rune mede to os shenid be COMmled in wriing Toe
stainneni slit abonnee be conaidered concbahe.
Masse notty vs prompily 01 any changes in pv contact inkemeeon. TrareacTIOns redadottl on
your rcpon wil be concbsem~od aearratourdoss you roely
TD Amatrado inmaken/.
Account Prolectbn: Dcpostls tob by TO Bank. NA ard TD Dank USA. NA. aro nsured by
ere FOC (ral COvered by SIPC) up le $250.000. Landt, Be per CaOtinl ormereaP Per
insthludon. To leem more abel FOK COstrage (10 10 +new IdCgOv. Snide!. indudng
~vat lunet held in gun BrOkerage ACCOUN are re01 d000$0 Or delg/Mons of. or
graaneed by. any bank. are not FOICinsesed. and erwohe envestment nets. ircludng
possble loss ol princpal. TD Amenvade is a momber ol the Sccunbes Invoel« Praatten
Optoomden (51PCI. which praaien :canna: antomers of els minbars up lo 5500.000
(ncticling 5250.000 lor claims for cash). Explanatory brochure is available on raaien at
wwwsipc.org.
Additionady. TO Amerika«, panddes eed, Meed $1415 ~ion wort ol prolection tor
SeetrdlieS and $2 milen or pd009CIOn rot cash 'nwon Supdlemenial coverage provided by
Logdan Immers
h Me «Mi 01 a ~etage ineolanty. a deed may refebeernantS doe trom the trustee
in bannuPtcY and mon SIPC, ~omal
covorago d pad oul Mor tho trustee and
ØPC payouls ard ~ar such canna, cash gant es ~led to a ambrod return ot
5152 mrhon koen a tonde*. SIPC and London immers The TO ~Mud, lopplemontal
coverago bas an aggregaat km ol 1600 mnon aM ab anti:eters. Tres polcy Draad.:
arena, loVainp Wange in$Ohny end cbes 001a010C1 apBinN b» in manen vatte
ot me socurnms
invommen1 h a money medel kind n nia ineured Of euerareted by Me Fedettd
'boost Insuraine Corporabon (FOICI ce any olha gernernrrat agency Mthough IM
kinds Beek 10 posene [ho verba Cd »or innhaMent el St 00 p« Pure, d e posebb 10
Mee money by involgen n a money meniet rund. DMOrledi aio idectired dab end
padvesneestod mordey. lbo prospectus canons Mes ard odia important rtorm.roon
Reed nee armoedw aireh.0/ befae imeting NOn-deedail inverilmenta held tw your
trokor.dealer aro NOT FD1C NSURED NOT BANK GUAWWTEEDi MAT LOSE VALUE.
The balen,» h yOur bank 009091 ec000m of share. Of yOur money Merkel "dan/ bind
can bo lquidated on yout order. and Me prooeeds return:d to war sottete raamt or
/omblad NyOu
Tas Roporing: Wie pCntolO rtyryi is inlaten daonent Y®
receke Fermer:09k« snol
tas emorag n oxrpla-ce mh HIS narsomnis induarts U abb maya. bade ds. caput
gare. lage ~1
end siles proceedil Soms permens ere subled to reclassreolOn nhkh
tul I bo metaal oe 2.tnecrxre bnr acces
eat Base; aa Saus. tas lot and Dateren= ceporing ard Gun:kon:ot aft dieren and
~Wed by CO1 taXtbmORaTED 1D tmetbarle is na impOnebb lo te ~OV or
a+Ø cl to rtammcn ID /Vota ad es Intercom grondas ylonwtorn do not
~oe
me sans/ of me treinbun ard dele einebed. CCH NCCORPCMATED b a ~Snib
Orpeny end end ankteed tum 11)rmennale
Maan and Options Account Agreements: Praat/ adaso 10 Amentrada n meng et
any drang: in your inuestmont civxmos er *namat stuairan as net man to your
~rein or Oglan aCCOunt agreenyorms A Boeman el einmeson and duale neven
~no,* oxocukan el opeens transaceons is ~tabla.
Om« Makel Plom Die makel ~es el ~los
ham ban sena. n ~IQ
kom
qt<tikn ~OS sd ether imknerident waas Vabee ere Weed On me dosho tree. me
rrecn Uwe« mo bel ard vivo tom Gana maften. t na randeken salto bom a
nota/1m *m'n> (e Oteer independent earCe. tee 'anwb is tatted
beng renede] dr3
Nul Prooi CO) nowlumens
your paddc, noen am provded as genend intendon se
no dom gamma lb same/ dry scones por- hkruage batend postons arewurn
ving te ~anno bals», ant ma ene« roset pk* Porto rØ Sean/1 ney nel
nectars sake prococcb. Die seo:nday marker kv Canna. d Deposis (als) es funoraty
lood and the afhel mao me/ be Oeren trom me evehele Pree ~SIM
d PInCtel
may 'Ooit tan be slib doel) pinn ta rrearty Brit mus Fegd Worm Steurt= Ira
dteromy mat any socunwn and da na base an a klad ~go.
Raf na. loog va n me
OTC loet« We °punten ~Wand egde« Iguting ~re( sol la lal b sad leur PeeNnerla
to rekt". lblabdlbcrsØ to ma" may rooit n a leas el a11Ø.
Non Standaed Assen OGAl aso b:c-1y meinnu ra Oma panpalm program socurbce
Matraystren. Inuod rotary ccmpana. 0' red eclalo rune
Inval. cownzaty pools. prime
muty. milde OOI a hedge knots N5.46 se honen/ houd rnweirneris sd do na bade cn a
necnd ~rem echange ce to Nadat Stock Mak«. Do ',Vues torn ta moe ~entre
tre ~Wed ~ei dobed kro witte ~NOK Ø.
bui nei kneed la independent
opwarmt:. tho proefles net zot. ander trad party tonder alom tur ham boen aards by
lb ~gom"
afTrraratt.andagovadosh man aan a thrdiany vendu Mhout
imkpendem wreden by TI> kreta.
Valuta met nol («MI Ine cand mrchase pica.
acisul mand utlue « be mam] toen kwenen t ei øt11Ø telue wend a:ØØ
IIVOugh ~methode. Me oluskn ms/ be renected aa NenPited CNV) Fa 0006~ stal
toom% utman ta NahStardard koe. pleno armst Clan Smoes Dom reasturrats
amnamaa wanne9PC
Adm lido Steurt= (ARSD Pang: lbo makel~ fa MS start= rad boen ~med.
d ~Wo. torn chiOtekneenaree er ame indeperdent s0urCes Tse Barney el me edda is nol
curanicat Ha motel makt snot adertb. TE/ PadInde wil poco to OAS peotion.takrg 4110
~dom= bot to Muon/ ad undrramg att quaty. Die SAS ~kei is curratly
tecaneldng a bede 011oadty end. esa mort here art be no name deel socheecurtes ca,
to sold order aren man tablat.
REGULATORY DISCLOSURES
NI vansaceons aro abject to p) mc consmution. Na. tegulatons. clowns and ulaan
d the exchange Of makel. and ia dearaoreouse. H em. en mach mal kanteel-dna ere
oaccuted: (nl bodega! lees. mang mc Saturnus Act el 1933 and tho S«urnes
Ex
ouncriDO
ni
in
of
ond Of
(rh:
F
eer an investor brochure bal maas intormabon dosolang FINRAS Pltllc Dociasuro
Program. pletne Contact F1NRA et 030-289.9999 Of enewlinfaala
1110 intaest rato slxnen ta TO Amor/rade Cash is laken hom tho opplooi:1c micron rato eer lor
the Merkel Valere baten«. n Me TO Ametrrede Cali,. as OIO» elgismen cloWno date Simple
irtftest es acnxd dall/ based on the interestrato ter applicatie to oach days Liane°.
Innamen Statement Notinzation: llso statement ol hnancul condton lor TO Omen:rade es
~tabla Wee a yen and may be obtentel al no COst via be inramen at
tobscUwerticcrnentrad000nynnancrabiatomonibtra
°paan AssIgnment All short equty poon namens and som: indoe oom potbons are
~lab!. lof assignment. Exeitte anignment races eo, eg vb ot index opbons are tandonly
alocalod amang all tiomn' shon postent by an aJlomaind orecoette.
Free Credit Balancos (Rule 154.2 & 3): Under me ment promotion (vlos. wo may uso tree
bedil belenen in yOur OCCOuril n Ine Ordintuy course ol out buene» whkh are porralle to sou
on dorrend.
Mergin Aa:afrit Oleguladon Ttilyou have a nygin account. ma report d a combnaten cd
yle marl» aardt anda ~dal memorandum amant Tredng on maren pOses edda:knal
risks and es not sutaldo lor all investors. A complet° lal et the risks assooatod seell reargin
gedoe is svalebo in ne margri rek disdosure document. YOu may grolein a cepy d ms
document by oontacting us el Me numbef naled 00 Page Oneol put statement.
Payment lor Order Flow (SEC Robs 606 and 607): In somo creumnances. TO ~ontrat:10
recents compasabon 1« drom% cen.sn anwtrotounta and lood equb orde. lbs, fo
selecled menens. brokos or dealers (Slaan Geniete). COmponsalion is in lto lam of a per
share cash paymon1 h addlon. TO Amatradoalso may raam componsalren relaxed to the
lorden curency Mohair Omonen Of trenattaiOns h 1000n seendlies erom Merkel Cetera
nemiang nuh vaders Wo post coancny repons discianno ino verves lor «dor rotend
nanon at ennvidarnweradracom A ventten orpy is avalatle Loon roomst.
h is our pclicy. absent don orders to lno oonlrary. to sela kaats, dealers. ard maa tel
Maken, Vvd on be (Willy ko aarde best ~Won ard [ho holen, 01 ~Mg pflee
improvoment en markot ordas. Pnco imprammontn avond,* Won «man marker conctions.
and we regularar monter executant to test lar :ben inwonen:tm d ~fado.
Trede GOM amelie:ne (flule100-10):All conitmelions ere Paraffine* On Ine traisii060n date.
Tas: Transactie", in beton seOurilks (indlOn9 Saaien contant ADM liet (rftfle in me
U.8) may rotlucht Lues and loos chargod by esa kraan ma!~ os govemmonls. vach may
be Nelected in bie erica ollre accu", Of cherged
an txtereendent sne item
Privocy POliey MollIkillon: A CODy of Me TO Ameneracb privacy 001CY is avaPable al
wevanamaindocom
Cadet* Sorairilietn The elocabon el panel reuemaonsd odes n done vang a promotie keen
naam. A dorammon el mo pteactiros tot alde saunam is avalabbon Vlo astel: of hand
coploo aro muntte upontapost.
in øse ot !maa Oe (nesten, &OOI your %MONO Fund %neten. pleie COnIttl us al
laan 669,3960, ot n ming to P,O. Box 2209, Omaks. NE 68103. or by email
dieMeerva*KandaMadrade.Cem TOS ~maten einebed in >na e0Ø statement Shell
bo boden upen waf rl you do not ot urd wam sody Nt)days lor any aansta ot luens sutla
to Regiebon E, toch as ATM and pont arale barelen, dein varadons. drom daa :d.
and wilhatanilt. We Must heer trom you ro later Man 60 dors erter we seM gru lno rinst'
summair en whchthe error or pe °Mom appearod,
(I) Ted us par ren. end «munt camber
(2) Ooscrto the error er Me tranaSer you are urnen* atoom. ard oxplan as dooft/ as you can
way you bolero d is an orror or way you nood moro snlormabon.
(3) Ted os Po dobler arroJni of le suepected erwt.
Wo stil invosigdo your °omplant and wil wrat any error prompdy. n wo lakei more man ID
Name dus le de INS. se Voll Credl y04.1 eremum 40r 010 &MOL« yOu hits is n error. zo~
you wIl have go uso al the menen dunng tho tmo t taket us toean:toto ourinvestgawn.
~TO 150 07na
SDNY_GM_00011727
EFTA 00122378
EFTA01267857
1D Ameritrade
800.669-3900
TO AMERITRADE
DIVISION OF TO AMERITRADE INC
PO 80X 2209
OMAHA. NE 68103-2209
TD Amer'bade Clearing. Inc.. Member SIPC
Statement Reporting Period:
09/01/14 - 09/30/14
Statement for Account # 867-730320
SOUTHERN FINANCIAL LLC
ATTN: JEFFREY EPSTEIN
6100 RED HOOK OTFtS STE 8-3
ST THOMAS. VI 00802-1348
Portfolio Summa
Current
Prior
Period
Investment
Value
Value
Change
Change
Cash
($0.03)
($123.04)
$123.01
Insrd Dep Acct
631,076.35
253,086.65
377,989.70
149.4%
Money Market
Short Balance
Stocks
2,109,726/6
2,421,070.92
(311,344.16)
(12.9)%
Short Stocks
Axed Income
Options
739,640.04
1,544,041.82
(804,401.78)
(52.1)%
Short Options
Mutual Funds
Other
151,291.10
194,020.00
(42,728.90)
(22.0)%
Total
$3,631,734.22
$4,412,096.35
($780,362.13)
(17.7)%
Margin Equity
100.0%
Cash Activi Summar
Income & Ex iense Summa
Opening Balance
Current
YTD
Income
Reportable
Non
Reportable
YTD
($123.04)
$
-
Securities Purchased
(376.58)
(8,601,778.47) Dividends
S
-
$200.00
Securities Sold
378,485.83
5,232,560.36 Interest
1.63
Funds Deposited
4,000,600.00 Other
Funds Disbursed
Expense
Income
201.63 Interest
(0.03)
(516.21)
Expense
(0.03)
(516.21) Fees
Other
(377,986.21)
(631,067.34) Other
Closing Balance
($0.03)
($0.03) Net
($0.03)
$0.00
($314.58)
Estimated
Income
Estimated
Yield
Portfolio Allocation
$ 0.00
page 1 o113
CONFIDENTIAL
0.01%
Other
Options 4.2%
214%
0.0%
Insrd Dep
Acct
17.4%
Stocks
58.0%
Performance Summa
Cost Basis As Ot - 09/3114 ••
$3,698,668.25
Unrealized Gains
217,04170
Unrealized Losses
(915,054.05)
Funds Deposited/(Disbursed)YM
4,000,600.00
Income/(Expense)n°
(314.58)
Securities Received/(Delivered)"°
0.00
**For cost-basis Information. refer to www.tclamertttado.com
SDNY_GM_00011728
EFTA 00122379
EFTA01267858
Statement for Account # 867-730320
09 01 14 - 09/30 14
Online Cash Services Summary
Description
Current
Year To Date
CREDITS
Electronic Transfer
Subtotal
0.00
$ 4,000,000.00
4,000,000.00
TOTAL
0.00
4,000,000.00
Income Summary Detail'
Description
Current
Year to Date
Interest Income Credit Balance
Margin Interest Charged
Qualified Dividends
IDA Interest
$ 0.00
(0.03)
0.00
3.49
$ 1.63
(516.21)
200.00
9.01
'This section displays current and year to date taxation values for 016 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 corrections
can include changes made to previous payments and removal of payments reponable in a previous tax year (spillover dividends). The year to date totals will accurately reflect your cumuiative 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
363.500
$ 0.275
$99,962.50
05/12/14
$ 142,412.44
$ 0.39
$ (42,449.94)
$
COM
ATHERONOVA INC
AHRO
3.403
1.96
6,669.88
06/16/14
7,570.46
2.22
(900.58)
COM
COMMAND SEC CORP
MOC
20.000
1.98
39,600.00
07/07/14
36,518.57
1.83
3,081.43
COM
ELEPHANT TALK
ETAK
193.853
1.03
199,668.59
05/12/14
193,085.38
1.00
6,583.21
COMMUNICATIONS
COM
EMRISE CORP
EMRI
32.000
0.78
24,960.00
05/15/14
27,134.47
0.85
(2,174.47)
COM
HAUPPAGE DIGITAL INC
HAUP
187.800
0.17
31,926.00
06/13/14
35,201.45
0.19
(3,275.45)
COM
LANTRONIX INC
LTRX
90.000
1.78
160,200.00
05/23/14
176,877.30
1.97
(16,677.30)
COM
page 2 of 13
CONFIDENTIAL
SDNY_GM_00011729
EFTA_00122380
EFTA01267859
Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Positions
Investment Description
Stocks - Margin
Symbol/
CUSIP
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
LIHUA INTERNATIONAL
LIWA
81.001
0.05
4.050.05
06/30/14
22.615.07
0.28
(18.565.02)
INC
COM
MECKLERMEDIA CORP
MECK
3,200
0.96
3.072.00
07/24/14
2.645.50
0.83
426.50
COM
MERRIMAN HOLDINGS
MERR
30.400
2.55
77.520.00
07/09/14
105.961.03
3.49
(28.441.03)
INC
COM
MODUSLINK GLOBAL
MLNK
43,200
3.57
154.224.00
05/13/14
157.472.54
3.65
(3.248.54)
SOLUTIONS INC
COM
NOTIFY TECHNOLOGY
NTFY
2,220
8.00
17.760.00
07/08/14
32.898.00
14.82
(15.138.00)
CORP
COM
OCLARO INC
OCLR
80.000
1.43
114.400.00
05/13/14
151.686.72
1.90
(37,286.72)
COM
RAINMAKER SYSTEMS
RMKR
472.000
0.075
35.400.00
05/12/14
106.708.07
0.23
(71.308.07)
INC
COM
RELM WIRELESS CORP.
RWC
45.000
5.16
232.200.00
05/13/14
151.440.35
3.37
80.759.65
COM
RICEBRAN
RIBT
66.900
5.32
355.908.00
05/12/14
371.803.49
5.56
(15.895.49)
TECHNOLOGIES
COM
TITAN ENERGY
TEWI
4.503,800
0.0274
123.404.12
06/23/14
78.658.58
0.02
44.745.54
WORLDWIDE INC
COM
TRANSGENOMIC INC
TBIO
92.600
3.77
349.102.00
05/12/14
368.585.82
3.98
(19.483.82)
COM
ZAZA ENERGY
ZAZA
6.174
3.63
22.411.62
05/21/14
45.300.57
7.34
(22.888.95)
CORPORATION
COM
page 3 0113
CONFIDENTIAL
SDNY_GM_00011730
EFTA_00122381
EFTA01267860
Statement for Account # 867-730320
09 01 14 - 09 30 14
Account Positions
Investment Description
SymboU
CUSIP
Quantity
Current
Price
Market Purchase
Cost
Value
Date
Basis
Average
Cost
Unrealized
Gain(Loss)
Estimated
income
Yield
Stocks - Margin
ZIOPHAFM ONCOLOGY
LOP
21,700
2.64
57,288.00
05/14/14
76.372.38
3.52
(19,084.38)
INC
COM
Total Stocks
$2,109,726.76
$2,290,948.19
$(181,221.43)
$0.00
0.0%
Options - Margin
ADVANCED MICRO
920
$ 0.2689
$24,738.80
05/12/14
$ 80,879.08
$ 0.88
$ (56,140.28)
$ -
DEVICES INC
AMD Jan 17 15 3.5 C
ADVANCED MICRO
875
0.06
5,250.00
06/20/14
36,151.25
0.41
(30,901.25)
DEVICES INC
AMD Jan 17 15 4.5 C
AEROPOSTALE INC
610
0.3279
20,001.90
05/13/14
91,337.14
1.50
(71,335.24)
ARO Jan 17 15 3.5 C
AEROPOSTALE INC
320
1.2903
41,289.60
07/18/14
44,146.39
1.38
(2,856.79)
ARO Oct 18 14 2.0 C
BEAZER HOMES USA INC -
390
0.50
19,500.00
05/13/14
80,047.86
2.05
(60,547.86)
BM Jan 17 15 20.0 C
BLACKBERRY LIMITED
130
1.62
21,060.00
06/27/14
24,755.63
1.90
(3,695.63)
BBRY Jan 17 15 9.0 C
CORINTHIAN COLLEGES
-
575
0.0001
5.75
06/24/14
3,211.05
0.06
(3,205.30)
INC
COCO Feb 20 15 1.0 C
CORINTHIAN COLLEGES
-
2.167
0.0297
6,435.99
05/13/14
63,816.86
0.29
(57,380.87)
INC
COCO Nov 22 14 1.0 C
COWEN GROUP INC
215
1.3098
28,160.70
07/15/14
42,378.41
1.97
(14,217.71)
GOWN Jan 17 15 2.5 C
COWEN GROUP INC
600
0.3098
18,588.00
06/27/14
15,873.40
0.26
2,714.60
GOWN Jan 17 15 5.0 C
DRY SHIPS
800
0.12
9,600.00
05/12/14
51,659.20
0.65
(42,059.20)
INCORPORATED
DRYS Jan 17 15 3.0C
page 4 of 13
CONFIDENTIAL
SDNY_GM_00011731
EFTA_00122382
EFTA01267861
Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Positions
Symbol/
Investment Description
CUSIP
Options - Margin
Quantity
Current
Price
Market
Value
Purchase
Date
Cost
Basis
Average
Cost
Unrealized
Estimated
Gain(Loss)
Income
Yield
FLAMEL TECH
130
4.7496
61.744.80
05/14/14
53.660.62
4.13
8.084.18
FLML Dec 20 14 10.0 C
FUELCELL ENERGY INC
-
290
1.0901
31.612.90
05/13/14
37,228.46
1.28
(5.615.56)
FCEL Oct 18 14 1.0 C
FUELCELL ENERGY INC
-
380
0.592
22.496.00
05/12/14
31.626.12
0.83
(9.130.12)
FCEL Oct 18 14 1.5 C
HEWLETT PACKARD CO
-
110
5.00
55.000.00
05/13/14
45.394.14
4.13
9.605.86
HPQ Jan 17 15 31.0 C
JETBLUE AIRWAYS CORP -
210
1.1248
23.620.80
07/31/14
30.038.54
1.43
(6.417.74)
JBLU Dec 20 14 10.0 C
MGIC INVT CORP WIS
515
0.612
31.518.00
05/14/14
77.606.61
1.51
(46.088.61)
MTG Jan 17 15 8.0 C
NET 1 UEPS
191
4.056
77.469.60
05/22/14
64.875.64
3.40
12.593.96
TECHNOLOGIES INC
UEPS Jan 17 15 8.0 C
NET 1 UEPS
131
3.2025
41.952.75
06/05/14
39.457.20
3.01
2.495.55
TECHNOLOGIES INC
UEPS Jan 17 15 9.0 C
NORDIC AMERICAN
725
0.6092
44.167.00
05/15/14
94.302.15
1.30
(50.135.15)
TANKERS LTD
NAT Jan 17 15 7.87 C
NORDIC AMERICAN
325
0.0145
471.25
06/18/14
12.954.55
0.40
(12.483.30)
TANKERS LTD
NAT Oct 18 14 9.87 C
QUANTUM FUEL
250
0.1775
4.437.50
07/17/14
37.655.50
1.51
(33,218.00)
SYSTEMS TEC
QTWW Oct 18 14 4.0 C
RADIOSHACK
500
0.305
15.250.00
07/18/14
9.293.00
0.19
5.957.00
CORPORATION
RSH Jan 15 16 1.0 C
RADNET INC.
480
1.8685
89.688.00
05/12/14
99.022.56
2.06
(9.334.56)
RDNT Dec 20 14 5.0 C
SONY CORP
305
1.125
34.312.50
06/10/14
23.862.18
0.78
10.450.32
SNE Oct 18 14 17.0 C
page 5 0113
CONFIDENTIAL
SDNY_GM_00011732
EFTA_0011 22383
EFTA01267862
Statement for Account # 867-730320
09 01 14 - 09 30 14
Account Positions
SymboU
Current
Market Purchase
Cost
Average
Unrealized
Estimated
Investment Description
CUSIP
Quantity
Price
Value
Date
Basis
Cost
Gain(Loss)
Income
Yield
Options - Margin
TEEKAY TANKERS LTD
205
0.053
1,086.50
06/23/14
7,279.67
0.36
(6,193.17)
TNK Nov 22 14 5.0 C
UNISYS CORP
250
0.3001
7,502.50
07/14/14
35,629.50
1.43
(28,127.00)
UIS Oct 18 14 24.0 C
YRC WORLDWIDE INC
30
0.0988
296.40
06/05/14
6,820.23
2.27
(6,523.83)
YRCW Oct 18 14 22.5 C
YRC WORLDWIDE INC
140
0.0202
282.80
06/27/14
18,905.37
1.35
(18,622.57)
YRCW Oct 18 14 32.5 C
ZIOPHARM ONCOLOGY
210
0.10
2,100.00
07/01/14
26,106.55
1.24
(24,006.55)
INC
ZIOP Oct 18 14 3.0 C
Total Options
$739,640.04
$1,285,974.86
$(546,334.82)
$0.00
0.0%
Other - Margin
RICEBRAN
RIBTW
89.000
$ 1.6999
$ 151,291.10
05/12/14
$ 121,745.20
$ 1.37
$ 29,545.90
$
TECHNOLOGIES
WARRANT EXP 11/18/2018
Total Other
$151,291.10
$121,745.20
$29,545.90
$0.00
0.0%
Total Margin Account
$3,000,657.90
$3,698,668.25
$(698,010.35)
$0.00
0.0%
page 8 0113
CONFIDENTIAL
SDNY_GM_00011733
EFTA_00122384
EFTA01267863
Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
Opening Balance
($123.04)
08/27/14
09/02/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
700-
$ 4.8001
$ 3253.99
3,230.95
COM
Commission 6.00
Regulatory Fee 0.08
08/27/14
09/02/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
700-
4.90
3.423.92
6.654.87
COM
Commission 6.00
Regulatory Fee 0.08
08/29/14
09/02/14 Margin
Buy - Securities Purchased
NET 1 UEPS TECHNOLOGIES INC
-
1
3.70
(376.58)
6,278.29
UEPS Jan 17 15 9.0 C TO OPEN
Commission 6.55
Regulatory Fee 0.03
09/02/14
09/02/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(6.278.29)
0.00
DEPOSIT ACCOUNT
09/02/14
09/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
1.200-
5.825
6.983.84
6.983.84
COM
Commission 6.00
Regulatory Fee 0.16
09/02/14
09/05/14 Margin
Sell - Securities Sold
7A7A ENERGY CORPORATION
ZAZA
1.500-
5.805
8.701.30
15.685.14
COM
Commission 6.00
Regulatory Fee 0.20
09/05/14
09/05/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(15.685.14)
0.00
DEPOSIT ACCOUNT
09/03/14
09/08/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
3.600-
4.96
17.849.60
17,849.60
COM
Commission 6.00
Regulatory Fee 0.40
09/08/14
09/08/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(17.849.60)
0.00
DEPOSIT ACCOUNT
09/04/14
09/09/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
2.000-
5.1501
10.293.97
10,293.97
COM
Commission 6.00
Regulatory Fee 0.23
09/09/ 4
09/09/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(10,293.97)
0.00
DEPOSIT ACCOUNT
page 7 of 13
CONFIDENTIAL
SDNY_GM_00011734
EFTA_00 122385
EFTA01267864
Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade
Settle
Acct
Transaction/
Symbol/
Date
Date
Type
Cash Activity*
Description
CUSIP
Quantity
Price
Amount
Balance
09/09/14
09/09/14 Margin
Received - Other
7A7A ENERGY CORPORATION
7A7A
1
0.00
0.00
COM
REORG - CREDIT MANDATORY
ROUNDING SHARE
FROM 98919T100
09/05/14
09/10/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
1.700-
5.634
9.571.58
9.571.58
COM
Commission 6.00
Regulatory Fee 0.22
09/ Oil 4
09/10/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(9.571.58)
0.00
DEPOSIT ACCOUNT
09/12/14
09/15/14 Margin
Sell - Securities Sold
YAHOO! INC
25-
5.80
14.479.32
14.479.32
YHOO Sep 20 14 37.0 C TO CLOSE
Commission 19.75
Regulatory Fee 0.93
09/15/14
09/15/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(14.479.32)
0.00
DEPOSIT ACCOUNT
09/15/14
09/16/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
50-
1.07
5.315.18
5.315.18
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.32
09/16/14
09/16/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(5.315.18)
0.00
DEPOSIT ACCOUNT
09/16/14
09/17/14 Margin
Sell - Securities Sold
SONY CORP
45-
3.20
14367.85
14,367.85
SNE Oct 18 14 17.0 C TO CLOSE
Commission 30.75
Regulatory Fee 1.40
09/16/14
09/17/14 Margin
Sell - Securities Sold
SONY CORP
45-
3.20
14367.85
28.735.70
SNE Oct 18 14 17.0 C TO CLOSE
Commission 30.75
Regulatory Fee 1.40
09/16/14
09/17/14 Margin
Sell - Securities Sold
SONY CORP
90-
3.30
29.641.68
58,377.38
SNE Oct 18 14 17.0 C TO CLOSE
Commission 55.50
Regulatory Fee 2.82
09/16/14
09/17/14 Margin
Sell - Securities Sold
CENTRAIS ELEC BRAS
100-
0.80
7.936.42
66,313.80
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.58
page 8 of 13
CONFIDENTIAL
SDNY_GM_00011735
EFTA_00 122386
EFTA01267865
Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
Amount
Balance
09/17/14
09/17/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(66.313.80)
0.00
DEPOSIT ACCOUNT
09/17/14
09/18/14 Margin
Sell - Securities Sold
CENTRAIS ELEC BRAS
105-
0.90
9.383.52
9.383.52
EBR Sep 20 14 2.5 C TO CLOSE
Commission 63.75
Regulatory Fee 2.73
09/17/14
09/18/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
50-
1.11
5.515.17
14,898.69
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 33.50
Regulatory Fee 1.33
09/17/14
09/18/14 Margin
Sell - Securities Sold
CITIGROUP INC
40-
4.90
19.570.60
34.469.29
C Sep 20 14 48.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.40
09/ 8/14
09/18/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(34.469.29)
0.00
DEPOSIT ACCOUNT
09/ 8/14
09/19/14 Margin
Sell - Securities Sold
CITIGROUP INC
40-
5.00
19.970.59
19.970.59
C Sep 20 14 48.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.41
09/8/4
09/19/14 Margin
Sell - Securities Sold
CITIGROUP INC
40-
5.45
21.770.55
41.741.14
C Sep 20 14 48.0 C TO CLOSE
Commission 28.00
Regulatory Fee 1.45
09/18/14
09/19/14 Margin
Sell - Securities Sold
TWITTER INC
50-
8.80
43.964.32
85.705.46
TWTR Sep 20 14 43.0 C TO CLOSE
Commission 33.50
Regulatory Fee 2.18
09/18/14
09/19/14 Margin
Sell - Securities Sold
CENTRAIS ELEC BRAS
100-
0.80
7.936.42
93.641.88
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.58
09/18/14
09/19/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
-
62-
0.56
3.337.93
96.979.81
HSOL Sep 20 14 2.0 C TO CLOSE
Commission 132.50
Regulatory Fee 1.57
09/18/14
09/19/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
-
168-
0.55
9.235.75
106,215.56
HSOL Sep 20 14 2.0 C TO CLOSE
Regulatory Fee 4.25
page 9 0113
CONFIDENTIAL
SDNY_GM_00011736
EFTA_00 122387
EFTA01267866
Statement for Account # 867-730320
09/01/14 - 09/30/14
Account Activity
Trade
Date
Settle
Date
Acct
Type
Transaction/
Cash Activity*
Symbol/
Description
CUSIP
Quantity
Price
09/19/14
09/19/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
DEPOSIT ACCOUNT
09/19/14
09/22/14 Margin
Sell - Securities Sold
JETBLUE AIRWAYS CORP
162-
0.45
JBLU Sep 20 1411.0 C TO CLOSE
Commission 95.10
Regulatory Fee 4.06
09/19/14
09/22/14 Margin
Sell - Securities Sold
HANWHA SOLARONE CO LTD
-
230-
0.45
HSOL Sep 20 14 2.0 C TO CLOSE
Commission 132.50
Regulatory Fee 5.75
09/19/14
09/22/14 Margin
Sell - Securities Sold
CENTRAIS ELEC BRAS
100-
0.70
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.56
09/19/14
09/22/14 Margin
Sell - Securities Sold
BLACKBERRY LIMITED
150-
0.81
BBRY Sep 20 14 10.0 C TO CLOSE
Commission 88.50
Regulatory Fee 3.87
09/19/14
09/22/14 Margin
Sell - Securities Sold
CENTRAIS ELEC BRAS
100-
0.70
EBR Sep 20 14 2.5 C TO CLOSE
Commission 61.00
Regulatory Fee 2.56
09/19/14
09/22/14 Margin
Sell - Securities Sold
YAHOO! INC
75-
3.92
YHOO Sep 20 14 37.0 C TO CLOSE
Commission 47.25
Regulatory Fee 2.45
09/22/14
09/22/14 Margin
Delivered - Other
ALCATEL LUCENT
405-
0.00
ALU Sep 20 14 4.0 C
EXPIRATION
09/22/14
09/22/14 Margin
Delivered - Other
RADNET INC.
1.530-
0.00
RDNT Sep 20 14 7.5 C
EXPIRATION
09/22/14
09/22/14 Margin
Delivered - Other
AVON PRODUCTS INC
270-
0.00
AVP Sep 20 14 15.0 C
EXPIRATION
09/22/14
09/22/14 Margin
Delivered - Other
UNILIFE CORP
380-
0.00
UNIS Sep 20 14 2.5 C
EXPIRATION
page 10 6113
CONFIDENTIAL
Amount
(106.215.56)
Balance
0.00
7.190.84
7.190.84
10.211.75
17.402.59
6.936.44
24,339.03
12.057.63
36,396.66
6.936.44
43,333.10
29.350.30
72.683.40
72.683.40
72.683.40
72.683.40
72.683.40
SDNY_GM_00011737
EFTA _00122388
EFTA01267867
Statement for Account # 867-730320
09 01 14 - 09 30 14
Account Activit
Trade
Settle
Acct
Transaction,'
Symbol!
Date
Date
Type
Cash Activity'
Description
CUSIP
Quantity
Price
Amount
Balance
09/22/14
09/22/14 Margin
Delivered - Other
JETBLUE AIRWAYS CORP
250-
0.00
72,683.40
JBLU Sep 20 14 12.0 C
EXPIRATION
09/22/14
09/22/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(72,683.40)
0.00
DEPOSIT ACCOUNT
09/22/14
09/25/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
1,500-
5.6863
8,523.26
8,523.26
COM
Commission 6.00
Regulatory Fee 0.19
09/22/14
09/25/14 Margin
Sell - Securities Sold
RELM WIRELESS CORP.
RWC
570-
5.7301
3,260.08
11,783.34
COM
Commission 6.00
Regulatory Fee 0.08
09/22/14
09/25/14 Margin
Sell - Securities Sold
REIM WIRELESS CORP.
RWC
1,230-
5.73
7,047.74
18,831.08
COM
Regulatory Fee 0.16
09/25/14
09/25/14 Margin
Journal - Other
PURCHASE FDIC INSURED
0.00
(18,831.08)
0.00
DEPOSIT ACCOUNT
09/30/14
09/30/14 Margin
Div/Int - Expense
MARGIN INTEREST CHARGE
0.00
(0.03)
(0.03)
Payable: 09/30/2014
Closing Balance
($0.03)
'For Cash Activity totals, refer to the Cash Activity Summary on page one of your statement.
TD Ameritrade Cash Interest Credit/Ex
n se
Begin
Margin
Credit
Number
Interest
Interest
Interest
Date
Balance
Balance
of Days
Rate
Debited
Credited
09/01/14
$ (123.04
$
Total Interest Income/(Expense)
1
9.00
$ 0.03
$ -
$0.03
$ 0.00
Insured Deposit Account Interest Credited
Begin
Date
Balance
Number
of Days
Interest
Rate
Interest
Accrued
MTD
Accrued
MTD
PAID
09/01/14
$ 253,086.65
1
0.0100
$ 0.07
$ 0.07
$ -
09/02/14
259,364.94
3
0.0100
0.21
0.28
09/05/14
275,050.08
3
0.0100
0.23
0.51
09/08/14
292,899.68
1
0.0100
0.08
0.59
09/09/14
303,193.65
1
0.0100
0.08
0.67
09/10/14
312,765.23
5
0.0100
0.43
1.10
page 11 of 13
CONFIDENTIAL
SDNY_GM_00011738
EFTA_00122389
EFTA01267868
Statement for Account # 867-730320
09/01/14 - 09/30/14
Insured Deposit Account Interest Credited
Begin
Date
Balance
Number
Interest
of Days
Rate
Interest
Accrued
MID
Accrued
MTD
PAID
09/15/14
09/16/14
09/17/14
09/18/14
09/19/14
09/22/14
09/25/14
327,244.55
332,559.73
398,873.53
433,342.82
539,558.38
612,241.78
631,072.86
1
0.0100
1
0.0100
1
0.0100
1
0.0100
3
0.0100
3
0.0100
6
0.0100
0.09
0.09
0.11
0.12
0.44
0.51
1.03
1.19
1.28
1.39
1.51
1.95
2.46
3.49
3.49
Total Interest Income
$3.49
Insured Deposit Account Activity
Date
Check
Date
Tracking
Expense
Cleared
Number
Written
Transaction
Description
Code
Code
Amount
Balance
Opening Balance
S253,086.65
09/02/14
09/02/14
Received
FDIC INSURED DEPOSIT ACCOUNT
$ 6,278.29
259.364 94
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/05/14
09/05/14
Received
FDIC INSURED DEPOSIT ACCOUNT
15,685.14
275,050.08
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/08/14
09/08/14
Received
FDIC INSURED DEPOSIT ACCOUNT
17,849.60
292,899.68
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/09/14
09/09/14
Received
FDIC INSURED DEPOSIT ACCOUNT
10,293.97
303,193.65
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/10/14
09/10/14
Received
FDIC INSURED DEPOSIT ACCOUNT
9,571.58
312,765.23
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/15/14
09/15/14
Received
FDIC INSURED DEPOSIT ACCOUNT
14,479.32
327,244.55
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/16/14
09/16/14
Received
FDIC INSURED DEPOSIT ACCOUNT
5,315.18
332,559.73
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
pegs 12 01 13
CONFIDENTIAL
SDNY_GM_00011739
EFTA_00122390
EFTA01267869
Statement for Account # 867-730320
09/01/14 - 09/30/14
Insured Deposit Account Activity
Date
Check
Cleared
Number
Date
Written
Transaction
Tracking
Description
Code
Expense
Code
Amount
Balance
09/17/14
09/17/14
Received
FDIC INSURED DEPOSIT ACCOUNT
66,313.80
398,873.53
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/18/14
09/18/14
Received
FDIC INSURED DEPOSIT ACCOUNT
34.469.29
433342.82
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/19/14
09/19/14
Received
FDIC INSURED DEPOSIT ACCOUNT
106.215.56
539.558.38
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/22/14
09/22/14
Received
FDIC INSURED DEPOSIT ACCOUNT
72.683.40
612.241.78
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/25/14
09/25/14
Received
FDIC INSURED DEPOSIT ACCOUNT
18,831.08
631,072.86
IDA11 NOT COVERED BY SIPC
PURCHASE FDIC INSURED DEPOSIT
ACCOUNT
09/30/14
09/30/14
Received
Interest: Insured
1.46
631,074.32
Deposit Account
09/30/14
09/30/14
Received
Interest: Insured
2.03
631,076.35
Deposit Account
Closing Balance
$631,076.35
TD Bank NA
$247,500.00
TD Bank USA NA
$383,576.35
FDIC Insured Deposit Account (IDA) balances reflected in your brokerage account are FDIC-insured up to applicable limits and held by TD Bank. N.A. or TO Bank USA. N.A.. or both. The IDA balances are not covered by the
Securities hwestor Protection Corporation (SIPC) protection applicable to your brokerage account.
page 13 of 13
CONFIDENTIAL
SDNY_GM_00011740
EFTA_00122391
EFTA01267870
FACTS
Why?
What?
How?
WHAT DOES TD AMERITRADE
FACTS DO WITH YOUR PERSONAL INFORMATION?
Financial companies choose how they share your personal information. Federal law gives
consumers the right to limit some but not all sharing. Federal law also requires us to tell you
how we collect, share, and protect your personal information. Please read this notice carefully to
understand what we do.
The types of personal information we collect and share depend on the product or service you
have with us. This information can include:
•
Social Security number and financial account numbers
•
Account balances and transaction information
•
Income and employment information
All financial companies need to share customers' personal information to run their everyday
business. In the section below, we list the reasons financial companies can share their
customers' personal information; the reasons TD Ameritrade chooses to share; and whether
you can limit this sharing.
Do:: TD HrtHHHcle IHH?
Han :CPU Hal: HhH IHH:ngH
For our everyday business purposes—
such as to process your transactions. maintain
your account(s), respond to court orders and legal
investigations, or report to credit bureaus
Yes
No
For our marketing purposes—
to otter our products and services to you
Yes
No
For joint marketing with other financial companies
No
We do not share
For our affiliates' everyday business purposes—
information about your transactions and experiences
Yes
No
For our affiliates' everyday business purposes—
information about your creditworthiness
No
We do not sha
[truncated]
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amazon.comDomain
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huswrotanta.orgDomain
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www.tclamertttado.comDomain
www.tclametitracte.comDomain
wwwsipc.orgEmail
[email protected]GPS
0.0100
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0.2499
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2.0001
94.00253GPS
2.8752
34.50240Phone
1-800-237-8692Phone
1.800.237.8692Phone
1.800.289.9999Phone
13112014Phone
1600.6693900Phone
16606693900Phone
289.9999Phone
2952771Phone
3012014Phone
311.1010Phone
3112014Phone
3500000Phone
5500000Phone
600469-3900Phone
6105114Phone
6113114Phone
6126114Phone
800-289.9999Phone
800-669-3900Phone
800.669-3900Phone
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800489.9999Phone
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9191100Phone
9197100SWIFT/BIC
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N546URL
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