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S 08/07/12 25% CONTIN BARRIER- 13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21 09 2515A1-A7-6 SG MARKET PLUS SPX 6/20/12 74% CONTIN BARRIER-0%CPN ,UNCAPPED INITIAL LEVEL-03/16/11 SPX: 1256.88 78423A-L3-4 SG MARKET PLUS SPX 02/07/13 75% CONTIN BARRIER- 6.25%CPN ,UNCAPPED INITIAL LEVEL-08/03/11 SPX:1
of 24 Consolidated Statement Page 16 EFTA01539068 FINANCIAL TRUST COMPANY INC ACCT. For the Period 11/1/11 to 11/30/11 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 B+ /B2 BANK OF AMERICA CORP 8 1
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S 08/07/12 25% CONTIN BARRIER- 13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21 09 2515A1-A7-6 SG MARKET PLUS SPX 6/20/12 74% CONTIN BARRIER-0%CPN ,UNCAPPED INITIAL LEVEL-03/16/11 SPX: 1256.88 78423A-L3-4 SG MARKET PLUS SPX 02/07/13 75% CONTIN BARRIER- 6.25%CPN ,UNCAPPED INITIAL LEVEL-08/03/11 SPX:1
00 7.41% 6.08% 7.03% Page 12 of 29 EFTA01539282 FINANCIAL TRUST COMPANY INC ACCT. For the Period 12/1/11 to 12/31/11 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 B+ /B2 BANK OF AMERICA CORP 8 1
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S 08/07/12 25% CONTIN BARRIER- 13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21 09 2515A1-A7-6 SG MARKET PLUS SPX 6/20/12 74% CONTIN BARRIER-0%CPN ,UNCAPPED INITIAL LEVEL-03/16/11 SPX: 1256.88 78423A-L3-4 SG MARKET PLUS SPX 02/07/13 75% CONTIN BARRIER- 6.25%CPN ,UNCAPPED INITIAL LEVEL-08/03/11 SPX:1
00 7.41% 6.08% 7.03% Page 12 of 28 EFTA01539218 FINANCIAL TRUST COMPANY INC ACCT. For the Period 12/1/11 to 12/31/11 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 B+ /B2 BANK OF AMERICA CORP 8 1
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S 08/07/12 25% CONTIN BARRIER- 13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21 09 2515A1-A7-6 SG MARKET PLUS SPX 6/20/12 74% CONTIN BARRIER-0%CPN ,UNCAPPED INITIAL LEVEL-03/16/11 SPX: 1256.88 78423A-L3-4 SG MARKET PLUS SPX 02/07/13 75% CONTIN BARRIER- 6.25%CPN ,UNCAPPED INITIAL LEVEL-08/03/11 SPX:1
9,200.00 13,708.00 7.07% 5.25% 6.90% EFTA01539355 FINANCIAL TRUST COMPANY INC ACCT. For the Period 1/1/12 to 1/31/12 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 B+ /B2 BANK OF AMERICA CORP 8 1
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S 08/07/12 25% CONTIN BARRIER- 13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21 09 2515A1-A7-6 SG MARKET PLUS SPX 6/20/12 74% CONTIN BARRIER-0%CPN ,UNCAPPED INITIAL LEVEL-03/16/11 SPX: 1256.88 78423A-L3-4 SG MARKET PLUS SPX 02/07/13 75% CONTIN BARRIER- 6.25%CPN ,UNCAPPED INITIAL LEVEL-08/03/11 SPX:1
of 28 Consolidated Statement Page 15 EFTA01539143 FINANCIAL TRUST COMPANY INC ACCT. For the Period 12/1/11 to 12/31/11 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 B+ /B2 BANK OF AMERICA CORP 8 1
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S 08/07/12 25% CONTIN BARRIER- 13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21.09 2515A1-A7-6 HSBC MARKET PLUS SPX 05/17/13 72% KO BARRIER- 0%CPN ,UNCAPPED INITIAL LEVEL-02/14/12 SPX:1350 50 4042K1-XQ-1 SG MARKET PLUS SPX 02/07/13 75% CONTIN BARRIER- 6.25%CPN ,UNCAPPED INITIAL LEVEL-08/03/11 SPX:1,
of 26 Consolidated Statement Page 15 EFTA01539622 FINANCIAL TRUST COMPANY INC ACCT. • For the Period 4/1/12 to 4/30/12 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 BB- /B1 NRG ENERGY INC 7 5/8% J
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7/9/13 80% CONTIN BARRIER- 10.5%CPN 15% CAP INITIAL LEVEL-6/20/12 SPX:1355.69 38143U-Z9-5 HSBC MARKET PLUS SPX 05/17/13 72% KO BARRIER- 0%CPN ,UNCAPPED INITIAL LEVEL-02/14/12 SPX:1350.50 4042K1-XQ-1 Total US Large Cap Equity $9,162,450.65 $9,166,930.47 ($4,479.82) $0.00 0.00% 102.68 5,000,0
7-AP-6 BB+ /BA3 HCA INC 6 1/2% FEB 15 2016 DTD 2/8/2006 404119-AR-0 B- /B3 CIT GROUP INC 144A 7% MAY 02 2016 JUN 15 2011 125581-FZ-6 BB- /B1 AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 BB- /B1 Account Page 14 of 36
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13%CPN 30% CAP INITIAL LEVEL-07/15/11 MS:21.09 2515A1-A7-6 FACEBOOK INC-A 30303M-10-2 FB HSBC MARKET PLUS SPX 05/17/13 72% KO BARRIER- 0%CPN ,UNCAPPED INITIAL LEVEL-02/14/12 SPX:1350.50 4042K1-XQ-1 29.60 95.49 35,000.000 5,000,000.000 1,036,000.00 4,774,500.00 1,330,000.00 5,000,000.00 (2
7-AP-6 BB+ /BA2 HCA INC 6 1/2% FEB 15 2016 DTD 2/8/2006 404119-AR-0 B- /B3 CIT GROUP INC 144A 7% MAY 02 2016 JUN 15 2011 125581-FZ-6 BB- /B1 AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 Account Page 13 of 25 EFTA01539706 Consolidated Statement Page 16 102.88 2,500,000.00 2,
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EVEL-07/15/11 MS:21.09 2515A1-A7-6 P FIRST REPUBLIC BANK SAN FRAN HSBC MARKET PLUS SPX 05/17/13 33616C-10-0 FRC 100.03 72% KO BARRIER- 0%CPN ,UNCAPPED INITIAL LEVEL-02/14/12 SPX:1350.50 4042K1-XQ-1 P ONEOK PARTNERS L.P 68268N-10-3 OKS 58.20 0.00 4.19% 5,000,000.000 5,001,500.00 5,000,000.0
,075.49 269,025.00 9.56% 4.82% 6.96% EFTA01539433 FINANCIAL TRUST COMPANY INC ACCT. For the Period 2/1/12 to 2/29/12 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 B+ /B1 NRG ENERGY INC 7 5/8% JA
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7/9/13 80% CONTIN BARRIER- 10.5%CPN 15% CAP INITIAL LEVEL-6/20/12 SPX:1355.69 38143U-Z9-5 HSBC MARKET PLUS SPX 05/17/13 72% KO BARRIER- 0%CPN ,UNCAPPED INITIAL LEVEL-02/14/12 SPX:1350.50 4042K1-XQ-1 99.38 5,000,000.000 4,969,000.00 5,000,000.00 (31,000.00) 31.10 100.22 35,000.000 3,000,000
of 34 Consolidated Statement Page 18 EFTA01539791 FINANCIAL TRUST COMPANY INC ACCT. • For the Period 6/1/12 to 6/30/12 Price US Fixed Income AMERICAN AXLE & MFG INC 7 7/8% MAR 1 2017 DTD 2/27/2007 02406P-AF-7 B /B2 CIT GROUP INC 144A 7% MAY 02 2017 DTD 06/15/2011 125581-GA-0 BB- /B1 NRG ENERGY INC 7 5/8% J
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Mutual Connections (102)
Entities connected to both UNCAPPED and AMERICAN AXLE & MFG INC
JPMorgan Chase
ORGANIZATION56 w/ UNCAPPED·15 w/ AMERICAN
Newark
LOCATION50 w/ UNCAPPED·13 w/ AMERICAN
Deutsche Bank
ORGANIZATION49 w/ UNCAPPED·14 w/ AMERICAN
the Internal Revenue Service
ORGANIZATION48 w/ UNCAPPED·13 w/ AMERICAN
Securities Investor Protection Corporation
ORGANIZATION48 w/ UNCAPPED·13 w/ AMERICAN
CIT GROUP INC
ORGANIZATION44 w/ UNCAPPED·11 w/ AMERICAN
Paul Morris
PERSON44 w/ UNCAPPED·11 w/ AMERICAN
FORD MOTOR CREDIT CO LLC
ORGANIZATION39 w/ UNCAPPED·7 w/ AMERICAN
PETROLEOS DE VENEZUELA S
ORGANIZATION41 w/ UNCAPPED·3 w/ AMERICAN
FELCOR LODGING LP
ORGANIZATION37 w/ UNCAPPED·6 w/ AMERICAN
Paul Barrett
PERSON24 w/ UNCAPPED·15 w/ AMERICAN
FDIC
ORGANIZATION25 w/ UNCAPPED·13 w/ AMERICAN
Ghislaine Maxwell
PERSON20 w/ UNCAPPED·15 w/ AMERICAN
Bank of America
ORGANIZATION17 w/ UNCAPPED·13 w/ AMERICAN
CITIGROUP CAPITAL XIII
ORGANIZATION16 w/ UNCAPPED·12 w/ AMERICAN
Barclays
ORGANIZATION17 w/ UNCAPPED·10 w/ AMERICAN
FX Fwd Contract
ORGANIZATION15 w/ UNCAPPED·12 w/ AMERICAN
Global Access Portfolios
ORGANIZATION15 w/ UNCAPPED·12 w/ AMERICAN
JPMorgan Fund
ORGANIZATION15 w/ UNCAPPED·12 w/ AMERICAN
US Small/Mid Cap Equity
ORGANIZATION12 w/ UNCAPPED·12 w/ AMERICAN