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C ACCT. For the Period 8/1/12 to 8/31/12 Price US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH DBL LONG ETN38 25154H-55-8 DAG Preferred Stocks BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% 06739H-36-2 BCS PDAA /P-2 CAPITAL ONE FINANCIAL CO PFD 6% 14040H-40-2 COF PP CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-2
e (223,035.51) Alternative Assets Detail Price Hard Assets BRT CALL OPTION USD PUT OPTION STRIKE 126.50 EXPIRING 11/12/2012 125,000 BARRELS OTCBDC-NA-W BRT CALL OPTION USD PUT OPTION STRIKE 119.50 EXPIRING 11/12/2012 100,000 BARRELS OTCBDC-NB-L BRT CALL OPTION USD PUT OPTION STRIKE 119.00 E
2 mentions1 same-page
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3.17 50,000.000 658,500.00 352,529.00 305,971.00 Emerging Market Equity P GRUPO FIN SANTANDER-ADR B 12.18 40053C-10-5 BSMX Preferred Stocks BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% 06739H-36-2 BCS PDAA /P-2 P CBL & ASSOCIATES PROP PFD 6 5/8% 124830-80-3 CBLA CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-
23560001 For the Period 9/1/12 to 9/30/12 Price Hard Assets BRT CALL OPTION USD PUT OPTION STRIKE 126.50 EXPIRING 11/12/2012 125,000 BARRELS OTCBDC-NA-W BRT CALL OPTION USD PUT OPTION STRIKE 119.50 EXPIRING 11/12/2012 100,000 BARRELS OTCBDC-NB-L BRT CALL OPTION USD PUT OPTION STRIKE 119.00 E
2 mentions1 same-page
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0 2,184,600.00 2,000,000.00 184,600.00 US Small/Mid Cap Equity DEUTSCHE BK AG LDN BRH 14.22 DBL LONG ETN38 25154H-55-8 DAG Preferred Stocks BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% 06739H-36-2 BCS PDAA /P-2 P CHESAPEAKE LODGING TRUST PFD 7 3/4% 165240-20-1 CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-20
RIKE 140.00 EXPIRING 08/13/2012 250,000 BARRELS OTCBDC-JZ-N BRT CALL OPTION USD PUT OPTION STRIKE 126.50 EXPIRING 11/12/2012 125,000 BARRELS OTCBDC-NA-W BRT CALL OPTION USD PUT OPTION STRIKE 119.50 EXPIRING 11/12/2012 100,000 BARRELS OTCBDC-NB-L 1,435.45 100.000 143,545.19 184,000.00 822.94
Sponsored
2 mentions1 same-page
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00 (ID: 05952H-BY-4) LEXICON PHARMACEUTICALS INC @ 2.24 44,800.00 BROKERAGE 800.00 TAX &/OR SEC 1.01 J.P. MORGAN SECURITIES LLC (ID: 528872-10-4) BARCLAYS BANK PLC PFD SHS SER 5 8 1/8% @ 25.86838 1,015,333.92 BROKERAGE 1,570.00 TAX &/OR SEC 22.75 J.P. MORGAN SECURITIES LLC (ID: 06739H-36-2) CITIGROUP CAPITAL
ield 0.00 2.98% Price Quantity Hard Assets BRT CALL OPTION USD PUT OPTION EFTA01540158 STRIKE 126.50 EXPIRING 11/12/2012 125,000 BARRELS OTCBDC-NA-W Estimated Value Cost 53.57 125.000 6,696.86 75,000.00 Account W23560001 Page 9 of 39 Consolidated Statement Page 12 EFTA01540159 FINANCIA
Sponsored
Mutual Connections (66)
Entities connected to both Barclays and OTCBDC-NA-W
Ghislaine Maxwell
PERSON102 w/ Barclays·6 w/ OTCBDC-NA-W
JPMorgan Chase
ORGANIZATION83 w/ Barclays·6 w/ OTCBDC-NA-W
Securities Investor Protection Corporation
ORGANIZATION53 w/ Barclays·4 w/ OTCBDC-NA-W
46 w/ Barclays·6 w/ OTCBDC-NA-W
CITIGROUP CAPITAL XIII
ORGANIZATION46 w/ Barclays·5 w/ OTCBDC-NA-W
the Internal Revenue Service
ORGANIZATION42 w/ Barclays·4 w/ OTCBDC-NA-W
Deutsche Bank
ORGANIZATION35 w/ Barclays·6 w/ OTCBDC-NA-W
Paul Morris
PERSON37 w/ Barclays·4 w/ OTCBDC-NA-W
Newark
LOCATION36 w/ Barclays·4 w/ OTCBDC-NA-W
Global Access Portfolios
ORGANIZATION32 w/ Barclays·4 w/ OTCBDC-NA-W
FDIC
ORGANIZATION30 w/ Barclays·6 w/ OTCBDC-NA-W
Bank of America
ORGANIZATION29 w/ Barclays·4 w/ OTCBDC-NA-W
GENERAL MOTORS CO
ORGANIZATION25 w/ Barclays·4 w/ OTCBDC-NA-W
Paul Barrett
PERSON22 w/ Barclays·6 w/ OTCBDC-NA-W
JPMorgan Fund
ORGANIZATION21 w/ Barclays·4 w/ OTCBDC-NA-W
US Small/Mid Cap Equity
ORGANIZATION20 w/ Barclays·4 w/ OTCBDC-NA-W
GENERAL MOTORS CO CV
ORGANIZATION19 w/ Barclays·2 w/ OTCBDC-NA-W
UNCAPPED
ORGANIZATION17 w/ Barclays·4 w/ OTCBDC-NA-W
Nassau
LOCATION14 w/ Barclays·4 w/ OTCBDC-NA-W
BIOGEN IDEC INC
ORGANIZATION11 w/ Barclays·6 w/ OTCBDC-NA-W