Case File
sd-10-EFTA01267639Dept. of JusticeOtherEFTA Document EFTA01267639
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 availa
Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01267639
Pages
632
Persons
0
Integrity
Loading PDF viewer...
Summary
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 availa
Ask AI About This Document
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
Technical Artifacts (23)
View in Artifacts BrowserEmail addresses, URLs, phone numbers, and other technical indicators extracted from this document.
Domain
amazon.comDomain
hummittirea.orgDomain
huswrotanta.orgDomain
www.tclametitracte.comGPS
0.2499
72.64238GPS
2.0001
94.00253Phone
1-800-237-8692Phone
13112014Phone
2952771Phone
3500000Phone
5500000Phone
600469-3900Phone
800-289.9999Phone
800-669-3900Phone
8004654900Phone
800489.9999Phone
802-1348SWIFT/BIC
PURCHASESWIFT/BIC
RICEBRANSWIFT/BIC
WIRELESSWire Ref
Transfer
SubtotalWire Ref
WIRE RECEIVEDWire Ref
reflectedLink to Specific Page
Share a direct link to a specific page in this document:
https://epsteinexposed.com/documents/sd-10-EFTA01267639?page=[page_number]Related Documents (6)
DOJ Data Set 10OtherUnknown
EFTA01682184
186p
DOJ Data Set 10OtherUnknown
EFTA01370863
1p
Dept. of JusticeOtherUnknown
Medical Record/Clinical Encounter: DOJ-OGR-00026334
This clinical encounter document from the Bureau of Prisons details a medical evaluation of Jeffrey Epstein on July 12, 2019. It covers his medical history, current complaints, and treatment, including discussions around his triglyceride levels, sleep apnea, and back pain. The document was generated by the treating physician at the Metropolitan Correctional Center in New York.
1p
DOJ Data Set 8CorrespondenceUnknown
EFTA00014087
0p
DOJ Data Set 11OtherUnknown
EFTA02367961
1p
DOJ Data Set 10OtherUnknown
EFTA01977826
2p
Forum Discussions
This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.
Annotations powered by Hypothesis. Select any text on this page to annotate or highlight it.