ETRADE CLEARING LLC

ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: ET1 CORRECTED: 03/19/2014 2013 FORMS 1099 & DETAILS LESLEY KATHERINE GROFF & DANIEL GROFF JTWROS YEAR-END MESSAGES CERTAIN EVENTS SUCH AS COST BASIS ADJUSTMENTS OR RECLASSIFICATIONS OF AN INCOME PAYMENT RECEIVED FROM A MUTUAL FUND, ETF, REIT, OR RIC MAY RESULT IN AN AMENDED 1099 FOR PRIOR OR CURRENT TAX YEARS. PLEASE SEE INSERT FOR DETAILS OR VISIT WWW.ETRADE.COM/COSTBASIS FOR ANY UPDATES. QUESTIONS PLEASE CALL 800-ETRADE-1 (800-387-2331) OR LOG ON TO YOUR ACCOUNT AND SEND US A SECURE MESSAGE BY CLICKING ON THE CUSTOMER SERVICE LINK AT THE TOP OF THE PAGE. Your Account did not receive the following Forms: 1099-OID 1099-MISC 1099-C TABLE OF CONTENTS Consolidated 1099 Sections: 1099 Dividends and Interest 1099 Gross Proceeds Details: 1099 Dividend & Distribution Details 1099 Interest Income Details Investment Details PAGE 2 4 13 14 15 Page I of IS EFTA00315661 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 073030484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number—rill Account Executive No: ET1 CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, Stale. and Zip Code LESLEY KATHERINE GROFF & DANIEL GROFF JTWROS Copy B for recipient ED 2nd TIN Notice 2013 CONSOLIDATED 1099 FORM 2013 FORM 1099-DIV: DIVIDENDS AND DISTRIBUTIONS (OMB NO. 1545-0110) la Total Ordinary Dividends 1b Qualified Dividends 2a Total Capital Gains Distribution 2b Unrecap Sec. 1250 gain 2c Section 1202 gain 2d Collectibles (28%) gain 3 Non dividend distributions 4 Federal income tax withheld 5 Investment Expenses 6 Foreign tax paid 7 Foreign country or US possession 8 Cash liquidation distributions 9 Noncash liquidation distributions 10 Exempt-interest dividends 11 Specified Private Activity bond interest dividends 12 State 13 State identification no. 14 State tax withheld 510,826.81 510,826.81 523,700 00 5791.58 Payer's Federal Identification Number: 32-0012683 Payer's Name, Street, City, State, Zip Code: E'TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 FORM 1099-INT: INTEREST INCOME (OMB N0.1545-0112) 1 Interest Income not included in box 3 2 Early withdrawal penalty 3 Interest on U.S. Savings Bonds and Treasury obligations 4 Federal income tax withheld 5 Investment Expenses 6 Foreign tax paid 7 Foreign country or US possession 8 Tax-Exempt Interest 9 Specified private activity bond interest 10 Tax-exempt bond CUSIP no. 11 State 12 State Identification no. 13 State tax withheld $1,261.61 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 2 el le EFTA00315662 1099-DIV Instructions for Recipient Recipient's dent', ication number. For tour protection, this form may snow only the last Sour digits of your social security number ISSN). indmdual taxpayer dertriesion venter (ITN.) or adoption taxpayer identification number (ATP!) However the issuer has reported your complete idenuficanon number to the IRS and. whore *globe to state and load governments. Account number. May show an accoum or other unique number the payer assigned to distinguish your account. Box I. Shows total ordinary die Wends that are taxable. Include this amount on km Oa ri Form 1040 or 10404. tdso, report e on Schedule B (1040A or 1040). required. Box 1 b. Shows the portionof the amount in box laths may be &gbh for reduced capital gins rates. See Fan, 104O't040A instructive for ti0vi 1O determine this amount. Report the elieble amount on IS Bs. Form 1040 or I040A. The amount shown may be dividends a corporation paid tinselly to you as a panSPern (or beneficiary of a panictoam) in an employee stock ownership plan (ESOP). Report k as a dividend on your Form 1040'1040A but treat t as a plan distrbution, nor as investmem income. la any other Winos*. Box 25. Shows total capital gain di:phut:3ns from a regulated investment company or real estate investment trust. Neon the amounts shown in box 2a on Schedule D (Form 1040),Ine la Bit, 4 no amount is shown in boxes 2c-2d and your only capital gains and losses are capital gait dstributions. you may be able to repot the amounts sham a tom 2a on Ise 13 of Form 1040 (line 10 ot Form 0401) rather than Schedule 0. Sea the Form 104O'1040A istmaions Box 2b. Shoes the portion of the amount in box 2a that is umeCanaued section 1250 gain Iran certain depreciable real property. Report this amount on the Unrecaptured Section 1250 Chain Worksheet line 19 in the Schedule D instructions (Form 1040) Box 2e Shows the portion of the amount in box 2a that S section 1202 gain from certain smal business stock that may be subject to a 50% exclusion and certain empowerment Ione business sock that may be subject to a 60% exclusion. See the Scheduie 0 (Form 1040) instructions. Box 2d. Shoes 28% rate gain from sake or exchanges of colkrctbles. If required. use this amount when completing the 28% Rea Gain Worksheet-Line 18 in the instructions for Schedule D (Form 1040). Box 3. Shows the pan of the detrbution that is nontaxable because it is a return of your 1099-INT Instructions for Recipient Recipient's klentilkation number.For your protection, this form may show only the last tour digits of your social security number (SSN). individual taxpayer idattiotech number (ITN), or adoption taxpayer identification number (ATIN) However, the issuer has repotted your complete identification number to the IRS and, where applcable. to suite andtt local governments. Account number. May show an accoum or other unique number the payer assigned to dainguish your account Box 1. Shows taxable interest pad to you during the calendar year by the payer This does not include interest shown in box 3. May also show the total amount of the credits from clean renewable energy bonds, quaWied forestry conservation bonds, new dean renewable energy bonds. qualified energy conservation bonds, quaffed Ione academy bonds. quoit ed school annual:in bonds, and build America bonds rat must be ixtuded in your interest income. These amounts were treated as paid to you Outing 2013 on the trod: allowance does (March I5. June IS, September I5. and December I5). For more information, see Form 8912, Credo to Hoiden of Tax Greet Bonds. Box 2. Shows interest or princtx9 Socketed beaus of early withdrawal of time savings. You may deduct this nun to figure you adjusted (rots income on your insole tax return See the ristructions for Form 1040 to see where to take the deduction. Box 3. Shows interest on U.S. Savings Bonds. Treasury bills. Treasury bonds. and Treasury notes. The may or may not all be taxable See Pub 560. This interest is exempt from state and local income taxes This interest is not included n box I. Box 4. Shows backup wkhholdng. Generally. a payer must McKie withhold il you did rim furnish your Impanel identification number (TIN) or you did not f wish the correct TIN to the payer. See Fall W9 Include this amount on your income tax resit as tax withheld, cost (or other basis). You must reduce your oost for other basis) by this amount for flouring gain or lass when you sal your stock. But i you pet back al your met (or other basis). report tutee astibuticas as caudal pairs See Pub 550. Investment Income and E menses Box 4. Shows backup withholdng. A payer must badap withhold on certain payments i you did not give your tavern identification number to the payer. See Form W'9. Request for Taxpayer lientilianion Number and Ceitfication. for information on backup wthholdng. Include this amount on your inocene tax return as tax withheld. Box 5. Shows your share of *menses of a nonsubncle offered regulated investment company, generally a nonputricly offered mutual Itmd If you fib Form 1040, you may deduct these expenses on the tther expenses line on Schedule A (Form t04O) saes% to the mind. This amount n included in box la BOX 8.Shows the foreign tax that you may be able to claim as a deduction or a credit on Form 1010. See the Form HMO instructions Box 7. This box should be left btailt it investment company reported the Ionian tax chasm in box 6 Boxes 8 end 9. Shows cash and nornash lquidation darbutionr. Box I 0.Shovn exerraintemet die deeds from a mutual fund a other regulated iwestmem company paid to you during the calendar year. Include this amount on line fib of Form 1040 or 10404 as taxexemm interest. This amount maybe subject to backup withholding. See box 4. Box I I.Shows exempt-Worst dudends subject to the atematme minimum tax. This amount is included in box 10. See the Instructions for Form 6251. Boxes 12.14. State acme tax withheld reposing boxes. Nominees. If this form includes amount botoriging to another person, you are considered a nominee recipient You must file Form 1099.01Y (with a Form 1036) with the IRS for each of the other owners to show Mei share of the income, and you must furnish a Form 1099.DIV to each A husband or wife is not required to file a nominee return to show mounts tinned by the other. See the 2013 General bistro:bore for Certain Information Returns. Future developments. For the latest information about the developments raised to Form 1009-DIY and its instructive, such as legislation enacted after they were pitted. go to nwntifs.gorefomil099c4r. Box 5. Any arncum shovel is your share of investment ecenses et a sngle-dass REIAIC. you No Form 1040, you may deduct these expenses on the 'Other *menses' knit of Schedule A (Form 1040f subject to the 2% limit The amount is included in bpi I Box 6. Shows forego lax paid. You may be able to claim this tax as a deduction or a credit on your Form 1040. See your Form 1040 instruabra. Box 7. Shows the country or U.S. possession to which the foreign tax was paid Box 8. Shows lexeserra interest pail to you during the calendar yew by the payer. Report this amoum on line fib cd Rim 1040 or Form 1040A This amount may he subject to backup wehtioldng See box 4. Box 9. Shows taxexemot interest subject to the alternative minimum tax. This amount is inziuded it box 8. See the instructions for Form 6251. Box 10. Shows CUSIP numbens) fa tax-ex/apt bond(s) on which =exempt interest was paid to you during the calendar year and reported in box S If Nark. no CUSP number was issued for the bond(s). Boxes 11.13. State tax withhold reporting boxes. Nominate this form includes amounts belonging to another person(s), you NO considered a nominee recent Complete a Fam 1099.IS/T for each of the other owners showing the income savable to each. File Copy A of the form with the IRS. Furnish Copy B to each owner. List yourself as the *payer and the other owner(s) as the 'recPiern.* Fie Form(s) 1O9PINT with Form 1096 cosh the Internal Revenue Service Center for your area. On Form 1096 rat yoursef as the *filar.* A husband or wife is not required to tile a nominee return to show amounts owned by the other. Future developments. Footholds= informabn about developments related to Form 1009-INT and es instructions, such as legislation enacted afar they were published, go to mineits.gototom11030m. Page 3 ol 18 EFTA00315663 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303O484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number:- -- -Ill Account Executive No: ET1 CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, State. and Zip Code LESLEY KATHERINE GROFF & DANIEL GROFF JTWROS Copy B for recipient ED 2nd TIN Notice 2013 GROSS PROCEEDS Payer's Federal Identification Number: 32-0012683 Payer's Name, Street, City, State, Zip Code: E'TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6: Noncovered Securities Report on Form 8949, in either Part I or Part II, as appropriate. (Box 1a) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax Tranz•an c or Exchange Sold 8 Option Premiums Withheld Type 03/04/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2500.00000 $17,098.12 PRICE: 6.84340 03/14/2013 - PALADIN ENERGY LTD PALAF 07264T104 5000.00000 $5,243.22 PRICE: 1.05000 03/14/2013 ***PALADIN ENERGY LTD PALAF 07264T104 2500.00000 $2,621.61 PRICE: 1.05000 04/10/2013 ***REGIS RESOURCES NL RGRNF 08059NI20 4500.00000 $20,016.01 PRICE: 4 45000 04/10/2013 - REGIS RESOURCES NL RGRNF 08059N120 500.00000 52,224.00 PRICE: 4 45000 04/10/2013 - REGIS RESOURCES NL RGRNF 08059N 120 5500.00000 $24,355.01 PRICE: 4.43000 04/11/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 1000.00000 516,429.64 PRICE: 16.44000 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 4 of 18 EFTA00315664 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: - -- -IIII Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Noncovered Securities Report on Form 8949. in either Part I or Part II. as appropriate. (Box la) (Box 8) (Box Id) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax Tranz•atic or Exchange F Sold & Option Premiums Withheld Type 04/12/2013 - REGIS RESOURCES NL RGRNF O8059N120 100.00000 $415.01 PRICE: 4.25000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 200.00000 $1,410.46 PRICE: 7.05250 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1300.00000 $9,171.29 PRICE: 7.05500 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2000.00000 $14,093.97 PRICE: 7.05000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1200.00000 $8,456.38 PRICE: 7.05000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 300.00000 $2,114.10 PRICE: 7.05000 04/15/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 1864.00000 $19,002.38 PRICE: 10.20000 04/15/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 2136.00000 $21,789.27 PRICE: 10.20120 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 400.00000 $2,784.33 PRICE: 6.96100 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1943.00000 $13,512.98 PRICE: 6.96000 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2557.00000 $17,770.75 PRICE: 6.95000 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 100.00000 $694.98 PRICE: 6.95000 04/22/2013 CAMBREX CORP CBM 132011107 100.00000 $1,291.48 PRICE: 13.01500 04/22/2013 CAMBREX CORP CBM 132011107 900.00000 $11,708.73 PRICE: 13.01000 This Is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 5 of 18 EFTA00315665 E'TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Noncovered Securities Report on Form 8949. in either Part I or Part II, as appropriate. (Box la) (Box 8) Date of Sale Description or Exchange J (Box 1d) Symbol Cusip (Box le) Quantity Sold (Box 2a) (Box 4) Sales Price Less Commissions Federal Income Tax & Option Premiums Withheld 04/22/2013 DELL INC 24702R101 1000.00000 513,261.30 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 513,261.32 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 $13,261.30 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 $13,261.30 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 513,261.30 PRICE: 13.26360 04/23/2013 "'REGIS RESOURCES NL RGRNF O8059N120 2500.00000 $9,015.01 PRICE: 3.61000 05/09/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 3000.00000 $28,195.77 PRICE: 9.40080 05/09/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 2000.00000 $18,797.18 PRICE: 9.40080 05/09/2013 "'REGIS RESOURCES NL RGRNF O8059N120 10O0.00000 54,230.01 PRICE: 4.24000 05/21/2013 "'REGIS RESOURCES NL RGRNF O8059N120 9600.00000 $35,605.21 PRICE: 3.71000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 100.00000 $1,939.47 PRICE: 19.49500 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 4700.00000 591,601.40 PRICE: 19.49000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 2700.00000 $52,643.69 PRICE: 19.50000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 700.00000 $13,648.36 PRICE: 19.50000 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Type Page 6 of 18 EFTA00315666 E'TRADE CLEARING LIC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: - -- -IIII Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Noncovered Securities Report on Form 8949. in either Part I or Part II. as appropriate. (Box la) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax Transaction or Exchange Sold & Option Premiums Withheld Type 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 100.00000 $1,949.77 PRICE: 19.50000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 200.00000 $3,899.53 PRICE: 19.50000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 1300.00000 525,346.96 PRICE: 19.50000 05/31/2013 - REGIS RESOURCES NL RGRNF O8059N120 6800.00000 526,101.55 PRICE: 3.84000 06/20/2013 "'REGIS RESOURCES NL RGRNF O8059N120 1000.00000 $3,039.95 PRICE: 3.05000 06/20/2013 "'REGIS RESOURCES NL RGRNF O8059N120 10000.00000 $29,989.48 PRICE: 3.00000 06/21/2013 TRIAN ACQUISITION 895ESC994 5000.00000 $84.97 - MERGER 08/06/2013 "'MCDERMOTT INTERNATIONAL INC MDR 580037109 300.00000 $2,163.47 PRICE: 7.25000 08/0,6/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 2200.00000 $15,916.72 PRICE: 7.24000 08/06/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 500.00000 $3,558.64 PRICE: 7.12140 08/06/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 500.00000 $3,558.64 PRICE: 7.12140 08/06/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 1500.00000 510,675.92 PRICE: 7.12140 09/12/2013 "'REGIS RESOURCES NL RGRNF O8059N120 5000.00000 519,039.67 PRICE: 3.81000 10/16/2013 CAMBREX CORP CBM 132011107 570.00000 $9,104.15 PRICE: 15.99000 49 ITEMS-Total 102870.00000 $688,615.76 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 7 of 18 EFTA00315667 E'TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: ETI CORRECTED: 03/19/2014 RECIPIENTS Name, Street Address, City, State, and Zip Code LESLEY KATHERINE GROFF & DANIEL GROFF JTWROS Copy B for recipient C 2nd TIN Notice 2013 GROSS PROCEEDS Payer's Federal Identification Number: 32-0012683 Payer's Name, Street, City, State, Zip Code: E'TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box lc): Short Term Report on Form 8949, Part I with box A, as appropriate. (Box la) (Box ib) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 5) (Box 4) ('Box 2b) Date of Sale Date of Sales Price Cost or Wash Sale Federal or Exchange Acquisition Description Symbol Cusip Quantity Less Commissions Other Basis Loss Income Tax Loss Not Sold & Option Premiums Disallowed Withheld I Allowed 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 100.00000 $83.00 $83.56 0 PRICE: 0.83010 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 900.00000 $737.98 5756.00 0 PRICE: 0.83110 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 100.00000 $83.00 $83.77 0 PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 400.00000 $331.99 $335.24 0 PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 7499.00000 $6,224.07 $6,299.16 O PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 400.00000 $331.99 $334.40 O PRICE: 0.83000 'If box 2b checked, loss based on amount in box 2 is not allowed This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 8 of 18 EFTA00315668 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 073030484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: -" Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box lc): Short Term Report on Form 8949, Part I with box A, as appropriate. (Box la) (Box lb) (Box 8) (Box id) (Box 1e) (Box 2a) (Box 3) (Box 5) (Box 4) eBox 2b) Date of Sale Date of Sales Price Cost or Wash Sale Federal or Exchange I Acquisition Description Symbol Cuslp I Quantity old Less Commissions & Option Premium Other Basis Loss Disallowed Income Tax Withheld Loss Not Mowed 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 600.00000 $497.99 $511.53 () PRICE: 0.83000 09/18/2013 11/13/2012 FIRSTMARBLEHEADCORP 320771108 9999.00000 $8,189.04 $7,609.23 () PRICE: 0.82000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 4153.00000 $4,103.19 $2,824.04 () PRICE: 0.99000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 500.00000 $494.00 $339.50 () PRICE: 0.99000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 100.00000 $98.80 $67.88 O PRICE: 0.99000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 300 00000 $296.40 $213.78 () PRICE: 0.99000 11/13/2013 09/26/2013 DOLAN COMPANY DM 25659P402 1400.00000 $1,327.52 $3,080.00 () PRICE: 0.95110 11/13/2013 09/03/2013 DOLAN COMPANY DM 25659P402 1000.00000 $948.23 32,359.89 O PRICE: 0.95110 11/13/2013 09/26/2013 DOLAN COMPANY DM 25659P402 1100.00000 $1,043.05 $2,428.89 O PRICE: 0.95110 12/13/2013 10/17/2013 MODEL N INC MODN 607525102 900.00000 $9,781.83 $8,640.00 O PRICE: 10.88000 12/24/2013 10/15/2013 MODEL N INC MODN 607525102 1000.00000 $11,479.81 $9,419.99 O PRICE: 11.49000 17 ITEMS - Total 30451.00000 $46,051.89 $45,386.86 'If box a checked. loss based on amount in box 2 is not allowed This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 9 el 18 EFTA00315669 E'TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: CORRECTED: ET1 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box le): Long Term Report on Form 8949, Part II with box D, as appropriate. (Box la) (Box lb) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 5) (Box 4) ('Box 2b) Date of Sale Date of Sales Price Cost or Wash Sale Federal or Exchange Acquisition Description Symbol Cusip Quantity Less Cormtissions, Other Basis Loss Income Tax Loss Not Sold & Option Premiumti Disallowed Withheld Mowed 02/13/2013 11/16/2011 GLOBALOPTIONS GROUP INC 37946D209 15500.00000 $37,034.18 $38,759.99 () PRICE: 2.39000 02/28/2013 03/16/2011 "'ALLOT COMMUNICATIONS L ALLT M08540105 400.00000 $5,517.88 $4,942.00 ( ) PRICE: 13.82000 02/28/2013 03/16/2011 "'ALLOT COMMUNICATIONS L ALLT M08540105 1100.00000 $15,179.65 $13,590.49 ( ) PRICE: 13.80000 04/09/2013 05/11/2011 GRAMERCY CAPITAL CORP 384871307 1000.00000 $33,229.26 $23,005.00 ( ) PRICE: 33.24000 07/30/2013 05/11/2011 GRAMERCY PROPERTY TRUST I GPTPRA 38489R209 500.00000 $16,889.71 $11,502.50 ( ) PRICE: 33.80000 08/06/2013 05/11/2011 GRAMERCY PROPERTY TRUST I GPTPRA 38489R209 400.00000 $13,525.77 $9,202.00 ( ) PRICE: 33.84000 6 ITEMS - Total 18900.00000 $121,376.45 $101,001.98 'If box 2b checked, loss based on amount in box 2 is not allowed This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page lad la EFTA00315670 1099-B Instructions for Recipient bans and bat< ictocrger orport;oxcerS eon trinracbonr to pow re Ow AS on Fain 1039.B Reporting It aloOrcroaree rte. you trOla IrOrot a NI MSC" TO Item Mal • 0GpOrinero el retell you con itodthoe had I repolatk Chance1,05MM Cr eaplal &Meta< fly My to rt.:Ural TO NOW** gaertan tO r101131 a Cab. MCI, a Oct popper flat wag tacnan$0 for lb bloom:06i flak it yea &Oka Waled PS W. a Iren3aeleet to yOu the COrpOrSOOtt Y 1301:11•31‘ MV Raelplonfle kloatlIO•lern meta. Foe ryas preterite" Wit Mon trey to. Oat UM Ids Oirti ot you weird itcrnty turbo tSSICt irdtt7a torferytt Corflkohyr nate. 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Meta Wit more ofr pots 2013 Form (011 Boxes 13-15.9vas itsleivane tax teeneid Page I I CI 18 EFTA00315671 ETRADE CLEARING LIC PO SOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: - -- -IIII Account Executive No: ET1 CORRECTED: 03/19/2014 END OF 2013 CONSOLIDATED FORM 1099 EFTA00315672 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303O484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number—rill Account Executive No: ET1 CORRECTED: 03/19/2014 DETAILS OF 2013 FORM 1099-DIV Date Security Description 2013 DIVIDEND & DISTRIBUTION DETAILS CUSIP Transaction Amount Income Tax Description Withheld Foreign Country Tax Paid Comments 03/12/2013 BABCOCK & WILCOX CO 06/07/2013 BABCOCK & WILCOX CO 09/10/2013 BABCOCK & WILCOX CO 12/13/2013 BABCOCK & WILCOX CO 01/04/2013 CONVERGYS CORP 04/05/2013 CONVERGYS CORP 07/05/2013 CONVERGYS CORP 10/04/2013 CONVERGYS CORP 01/23/2013 DELL INC 04/22/2013 DELL INC 01/0812013 MERCK & CO INC 04/05/2013 MERCK & CO INC 07/0812013 MERCK & CO INC 10/07/2013 MERCK & CO INC 10/28/2013 - REGIS RESOURCES NL US LISTED 05615F102 Qualified Dividend $560.00 05615F102 Qualified Dividend $560.00 05615F102 Qualified Dividend $560.00 05615F102 Qualified Dividend $700.00 212485106 Qualified Dividend $375.00 212485106 Qualified Dividend $450.00 212485106 Qualified Dividend $450.00 212485106 Qualified Dividend $450.00 24702R101 Qualified Dividend $400.00 24702R101 Qualified Dividend $400.00 58933Y105 Qualified Dividend $619.63 58933Y105 Qualified Dividend $619.63 58933Y105 Qualified Dividend $619.63 58933Y105 Qualified Dividend $619.63 Q8059N120 Qualified Dividend $3,443.29 Total Qualified Dividends (Box lb included in Box la) $10,826.81 Total Ordinary Dividends (Box la) $10,826.81 11/08/2013 HMG COURTLAND PROPERTIES INC 404232100 Qualified Long Tenn Gain $22,908.42 Total Capital Gains Distributions Included in Box 2a $22,908.42 11/08/2013HMG COURTLAND PROPERTIES INC 404232100 Section 1250 Gain $791.58 Total Unrecap. Sec. 1250 Gain (Box 2b included in 2a) $791.58 Total Capital Gains (Box 2a) $23,700.00 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Pa 9e 3d EFTA00315673 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: ET1 CORRECTED: 03/19/2014 DETAILS OF 2013 FORM 1099•INT Date Security Description CUSIP 2013 INTEREST INCOME DETAILS Transaction Description Amount Income Tax Withheld Foreign Tax Paid Country Comments 01/28/2013E TRADE BANK terest $123.59 02/26/2013E TRADE BANK terest 5128.82 03/26/2013E TRADE BANK terest $111.98 04/26/2013E TRADE BANK terest $73.48 05/28/2013E TRADE BANK terest $176.13 06/26/2013E TRADE BANK terest 5190.84 07/26/2013E TRADE BANK terest $67.60 08/26/2013E TRADE BANK terest 578.24 09/26/2013E TRADE BANK terest $91.89 10/28/2013 E TRADE BANK SWEEPMAX DEP ACCT (FD terest $86.63 11/26/2013 E TRADE BANK SWEEPMAX DEP ACCT (FD terest $81.51 12/26/2013 E TRADE BANK SWEEPMAX DEP ACCT (FD terest 550.90 Total Interest Income Not Included in Box 3 (Box 1) $1,261.61 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page led 18 EFTA00315674 ETRADE CLEARING LIC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: ET1 CORRECTED: 03/19/2014 DETAILS OF 2013 PURCHASES AND SALES Date Security Description 04/22/2013 CAMBREX CORP 04/22/2013 CAMBREX CORP 10/16/2013 CAMBREX CORP 132011107 132011107 13201 1107 Sell 100.000 Sell 900.000 Sell 570.000 $13.02 $$15319091 51,291.48 $11,708.73 $9,104.15 04/22/2013 DELL INC 09/03/2013 DOLAN COMPANY 24702R101 25659P402 Sell 5,000.000 Purchase 1,000.000 $13.26 $66,306.52 $2,359.89 09/26/2013 DOLAN COMPANY 09/26/2013 DOLAN COMPANY 25659P402 25659P402 Purchase 1,100.000 Purchase 1,400.000 $52.20 35 $2.20 $2,428.89 $3,080.00 11/13/2013 DOLAN COMPANY 25659P402 Sell 3,500.000 $0.95 $3,318.80 09/18/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 700.000 $4.25 $2,984.92 09/18/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 1,300.000 $4.25 $5,520.84 09/26/2013 ENTROPIC COMMUNICATIONS INC 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 29384R105 Purchase 2,500.000 Purchase 400.000 $4.31 $4.16 $10,784.74 $1,673.63 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 500.000 $4.16 52,079.50 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 1,100.000 $4.16 $4,576.00 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.96 $96.39 02/07/2013 FIRST MARBLEHEAD CORP 02/07/2013 FIRST MARBLEHEAD CORP 02/07/2013 FIRST MARBLEHEAD CORP 320771108 320771108 320771108 Purchase 100.000 Purchase 100.000 Purchase 100.000 $0.97 $0.97 $0.97 $96.68 $96.70 $97.00 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 200.000 $0.96 $202.31 02/07/2013 FIRST MARBLEHEAD CORP 09/16/2013 FIRST MARBLEHEAD CORP 320771108 320771108 Purchase 300.000 Sel 100.000 $0.96 $0.83 $288.30 $83.00 09/16/2013 FIRST MARBLEHEAD CORP 320771108 Sel 900.000 $0.83 $737.98 09/16/2013 FIRST MARBLEHEAD CORP 320771108 Sel 8,999.000 $0.83 ,469.04 $7 09/18/2013 FIRST MARBLEHEAD CORP 320771108 Sel 9,999.000 $0.82 $8,189.04 10/18/2013 FIRST MARBLEHEAD CORP 320771108 Sel 5,053.000 $0.99 $4,992.39 02/13/2013 GLOBALOPTIONS GROUP INC 37946D209 Sel 15,500.000 $2.39 $37,034.18 03/04/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 2,500.000 $6.84 $17,098.12 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 200.000 $7.05 $1,410.46 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 1,300.000 $7.05 $9,171.29 04/15/2013 GRAFTECH INTERNATIONAL LTD 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 384313102 Sel 3,500.000 Set 400.000 $7.05 $6.96 $24,664.45 $2,784.33 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 1,943.000 $6.96 $13,512.98 04/18/2013 GRAFTECH INTERNATIONAL LTD 04/09/2013 GRAMERCY CAPITAL CORP 07/30/2013 GRAMERCY PROPERTY TRUST INC 08/06/2013 GRAMERCY PROPERTY TRUST INC 384313102 384871307 38489R209 38489R209 Sel 2,657.000 Sel 1,000.000 Sel 500.000 Sel 400.000 $6.95 $33.24 $33.80 $33.84 $18,465.73 $33,229.26 $16,889.71 $13,525.77 2013 INVESTMENT DETAILS CUSIP Transaction Description Quantity Price Amount THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Comments Page 15d 18 EFTA00315675 E'TRADE CLEARING LIC PO BOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: Account Executive No: ET1 CORRECTED: 03/19/2014 DETAILS OF 2013 PURCHASES AND SALES Date Security Description 03/04/2013 03/04/2013 HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC 404232100 404232100 Purchase 55.000 Purchase 100.000 $12.61 $12.63 $1,272.99 9553. 03/04/2013 03/04/2013 HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC 404232100 404232100 Purchase 225.000 Purchase 500.000 $12.01 $16.00 $2,712.24 $8,009.99 03/04/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 1,945.000 $12.65 $24,604.25 03/05/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 600.000 $15.30 $9,189.99 03/06/2013 03/06/2013 03/06/2013 HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC 404232100 404232100 404232100 Purchase 26.000 Purchase 938.000 Purchase 1,536.000 $14.42 $14.51 14 $$4:5011 $13$3 ,62704:3972 $22,287.36 10/01/2013 INTEGRATED ELECTRICAL 45811E301 Purchase 2,400.000 $9,633.99 04/15/2013 "'MCDERMOTT INTERNATIONAL INC 580037109 Sel 1,864.000 $ $19,002.38 04/15/2013 "'MCDERMOTT INTERNATIONAL INC 580037109 Sel 2,136.000 $10.20 10.20 $21,789.27 05/09/2013 ***MCDERMOTT INTERNATIONAL INC 580037109 Sel 5,000.000 $9.40 $46,992.95 08/06/2013 ***MCDERMOTT INTERNATIONAL INC 580037109 Sel 300.000 $7.25 $2,163.47 08/06/2013 08/06/2013 10/15/2013 "'MCDERMOTT INTERNATIONAL INC "'MCDERMOTT INTERNATIONAL INC MODEL N INC 580037109 580037109 607525102 Sel Sel Purchase 2,200.000 2,500.000 1,000.000 $7.24 $7.12 $9.41 $15,916.72 $17,793.20 $9,419.99 10/17/2013 MODEL N INC 607525102 Purchase 100.000 $9.60 $969.98 10/17/2013 10/23/2013 MODEL N INC MODEL N INC 607525102 607525102 Purchase 900.000 Purchase 400.000 $9.60 $9.26 $8,640.00 $3,713.99 10/25/2013 MODEL N INC 607525102 Purchase 1,000.000 $9.16 $9,169.99 11/04/2013 MODEL N INC 607525102 Purchase 1,000.000 $8.80 $8,809.99 11/07/2013 MODEL N INC 607525102 Purchase 1,000.000 $8.41 $8,419.99 12/13/2013 12/24/2013 MODEL N INC MODEL N INC 607525102 607525102 Sel Sel 900.000 1,000.000 $1101:4898 $9 $11,479.81 81 7 83 04/11/2013 PINNACLE ENTERTAINMENT INC 723456109 Sel 1,000.000 $16,429.64 05/29/2013 05/29/2013 05/29/2013 PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC 723456109 723456109 723456109 Sel Sel Sel 100.000 4,700.000 5,000.000 $196.5404 $19.49 $19.50 $1,939.47 $91,601.40 $97,488.31 06/21/2013 TRIAN ACQUISITION 895ESC994 Merger 5,000.000 02/28/2013 02/28/2013 03/14/2013 ***ALLOT COMMUNICATIONS LTD —ALLOT COMMUNICATIONS LTD —*PALADIN ENERGY LTD M08540105 M08540105 07264T104 Sel Sel Sel 400.000 1,100.000 7,500.000 $13.82 $13.80 $1.05 $5,58 5174..9887 $15,179.65 $7,864.83 04/10/2013 - REGIS RESOURCES NL 08059N120 Sel 5,000.000 $4.45 $22,240.01 04/10/2013 - *REGIS RESOURCES NL 08059N120 Sel 5,500.000 $4.43 $24,355.01 04/12/2013 —*REGIS RESOURCES NL 08059N120 Sel 100.000 $4.25 150 ONLY1 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES: 2013 INVESTMENT DETAILS CUSIP Transaction Description Quantity Price Amount Comments Page led 18 EFTA00315676 ETRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 073030484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number: --nisi Account Executive No: ET1 CORRECTED: 03/19/2014 DETAILS OF 2013 PURCHASES AND SALES Securi% Descript 2013 INVESTMENT DETAILS CUSIP Transaction Description Quantity Price Amount 0412312013 "'REGIS RESOURCES NL Q8059N120 Sel 2,500.000 $3.61 69,015.01 05/09/2013 "'REGIS RESOURCES NL 08059N120 Sel 1,0043000 $4.24 $4,230.01 05/21/2013 "'REGIS RESOURCES NL Q8059N120 Sel 9,600.000 $3.71 $35,605.21 05/31/2013 "'REGIS RESOURCES NL 08059N120 Sel 6,800.000 $3.84 $26,101.55 06/20/2013 "'REGIS RESOURCES NL Q8059N120 Sel 1,000.000 $3.05 $3,039.95 06/20/2013 "'REGIS RESOURCES NL 08059N120 Sel 10,000.000 $3.00 $29,989.48 09/12/2013 "'REGIS RESOURCES NL 08059N120 Sel 5,000.000 $3.81 $19,039.67 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Comments Pa9e lid 18 EFTA00315677 ETRADE CLEARING LLC PO SOX 484 JERSEY CITY, NJ 07303.0484 Account No: Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number:*- -- -' Account Executive No: ET1 CORRECTED: 03/19/2014 END OF 2013 DETAILS Page I 8 et 18 EFTA00315678