Package-Performance & Holdings

Transcription

1 AS OF SEPTEMBER 30, 2016 VAN SIMPSON PORTFOLIO MANAGEMENT 255 Queens Avenue, Suite 2350, London, ON, Canada, N6A 5R Toll-Free: Fax: l Van Simpson Van M. Simpson CPA, CA, CFA, CFP Director, Wealth Management and Portfolio Manager van.simpson@scotiawealth.com Janice Evans CFA Senior Wealth Advisor, Portfolio Manager janice.evans@scotiawealth.com Sharon Pletsch-Wentzell Administrative Associate sharonpletsch.wentzell@scotiawealth.com Brian E. Lessard CPA, CA Investment Associate brian.lessard@scotiawealth.com Paul H. Miller Business Development Associate paulh.miller@scotiawealth.com Todd Hadley Administrative Associate todd.hadley@scotiawealth.com

2 Table Of Contents Report Title Performance Rate of return performance (benchmarks available) as of a specific period Holdings Summary Summary of investment holdings with asset classification as of a specific date Holdings Detail Detailed listing of investment holdings as of a specific date Glossary of Terms 6 Page Disclaimers 8 2 of 8

3 Performance As of September 30, 2016 Trailing Period Rates of Return As of September 30, Month 3 Month 6 Month 1 Year 2 Year 3 Year MTD YTD Since Inception (LGNT) Since Jan 01, S&P/TSX Comp (0.79) Where - is shown, data for this period was not available, please consult your investment advisor for further information. Rates of return are time weighted and values are net of fees. Note: All amounts are in CAD unless otherwise specified. Glossary of terms and disclaimers are found at the end of this report. 3 of 8

4 Holdings Summary As of September 30, 2016 CASH & CASH EQUIVALENTS % CASH (CA) CASH EQUIVALENTS (CE) FIXED INCOME % GUARANTEED INVESTMENT CERTIFICATES (GICS) (GC) Unrealized Gain/Loss Asset Class Description Book Value Market Value (%) % Of Portfolio CASH & CASH EQUIVALENTS CASH 2,067 2, CASH EQUIVALENTS 116, , Total CASH & CASH EQUIVALENTS $118,996 $120,930 $ FIXED INCOME GUARANTEED INVESTMENT CERTIFICATES (GICS) 350, , Total FIXED INCOME $350,000 $355,233 $ TOTAL PORTFOLIO (CAD) $468,996 $476,163 $ Note: All amounts are in CAD unless otherwise specified. Glossary of terms and disclaimers are found at the end of this report. 4 of 8

5 Holdings Detail As of September 30, 2016 Security Description CASH & CASH EQUIVALENTS CASH Symbol Security Currency Quantity Average Cost Book Value Price Market Value % Of Portfolio Unrealized Gain/Loss Accrued Interest (%) Canadian Dollar CASH-CAD CAD 2, , , Estimated Annual Income Total CASH $2,067 $2, $0 $0 0.0 $0 CASH EQUIVALENTS ICICI BANK CANADA ANNUAL INTEREST GIC 2.6% 11/18/16 PACIFIC & WESTERN BANK OF CAN ANNUAL INTEREST GIC 2.75% 04/03/17 RESMOR TRUST ANNUAL INTEREST GIC 2.7% 04/10/17 RESMOR TRUST ANNUAL INTEREST GIC 2.7% 12/22/16 5Q45540 CAD 27, , , VCFWX3 CAD 50, , , , VCFYP6 CAD 23, , , Q34305 CAD 15, , , Total CASH EQUIVALENTS $116,929 $118, $1,934 $0 0.0 $3,154 Total CASH & CASH EQUIVALENTS $118,996 $120, $1,934 $0 0.0 $3,154 FIXED INCOME GUARANTEED INVESTMENT CERTIFICATES (GICS) BANK OF NOVA SCOTIA ANNUAL INTEREST GIC 2.17% 01/02/18 BANK OF NOVA SCOTIA ANNUAL INTEREST GIC 2.35% 12/31/18 BANK OF NOVA SCOTIA ANNUAL INTEREST GIC 2.41% 02/27/19 BANK OF NOVA SCOTIA ANNUAL INTEREST GIC 2.57% 12/30/19 HSBC BANK CANADA ANNUAL INTEREST GIC 2.25% 05/22/18 ROYAL BANK OF CANADA ANNUAL INTEREST GIC 2.41% 03/06/19 5Q42542 CAD 50, , , , Q42612 CAD 50, , , , VDTYW6 CAD 79, , , , , Q42609 CAD 57, , , , , Q31074 CAD 47, , , , VDVBR8 CAD 67, , , , Total GUARANTEED INVESTMENT CERTIFICATES (GICS) $350,000 $355, $5,233 $0 0.0 $8,301 Total FIXED INCOME $350,000 $355, $5,233 $0 0.0 $8,301 TOTAL PORTFOLIO (CAD) $468,996 $476, $7,167 $0 0.0 $11,455 Yield (%) Note: All Amounts are in CAD with the exception of Price which is displayed in the security currency. Glossary of terms and disclaimers are found at the end of this report. 5 of 8

6 Glossary of Terms To assist your reviewing of this financial report, please refer to the following list of terms and definitions found within this document. Term Definition % of Portfolio The portion of your portfolio represented by a particular security, sector or asset class. Accrued Interest Asset Class Description Asset Currency Asset Mix Average Cost Book Cost Error Flag Book Value Cash & Cash Equivalents Currency Mix Dividend Yield Ending Market Value Equity Estimated Annual Income Fixed Income Market Value Maturity Period The amount of interest earned on a security from the last interest payment to the date of the report. Describes the broader classification of your holdings: Cash and Cash Equivalents; Fixed Income; Equities, etc. Representation of the various currencies that you may hold in your portfolio. Representation of the various types of securities that you hold in your portfolio. The average price paid for one unit of a security. Indicates a possible problem in a security's reported book value. The total cost of acquiring each of your security positions. Includes cash and securities that are either holding vehicles for cash, like Money Market Mutual Funds, Treasury Bills, etc., or securities that mature within a year, including Bonds and GICs. The currencies represented in your account expressed as a percentage of the market value of the account. The annual dividend paid on a security expressed as a percentage of the share price of the security. The value of your portfolio at the end of the reporting period. Ownership of shares of a corporate entity. The estimated annual income produced by a security held in your account. An investment that has a fixed term, a fixed interest rate and return of principal at the end of the term. The value of each investment held in your account based on the closing market price as of the report date. The number of years before a fixed-income investment matures and the principal is returned. Term MTD (month-to-date performance) Net Contribution Price QTD (quarter-to-date performance) Quantity Sector Security Currency Security Description Since <MMM, YYYY> Since Inception (performance) Stale Price Error Flag Symbol Unrealized Gain/Loss Yield (%) Definition The return on your portfolio from the beginning of the month up to the date of the report. The amount of money and/or value deposited in your account minus the withdrawals. The end-of-day price at which a security is trading. The return on your portfolio from the beginning of the quarter up to the date of the report. The number of shares or units in your account once the trade or transaction is completed. Describes a segment of the markets such as energy, utilities, financials and information technology, which groups within it similar securities of various industries. It also applies to categories of fixedincome securities such as government or corporate. The currency in which the security is denominated. Description of the security and/or the transaction entry. Date that your account was opened. (Note: for account opened prior to January 1, 2013, this date will be displayed as your current report performance will be taken from then due to our conversion to an industry mandated performance standards system). The return on your portfolio from the account inception date which is the most recent of either the date on which your account was opened or the beginning of January 2013 (the date of our conversion to an industry mandated performance standards system). The price of a security that has remained unchanged for a period of time. A unique identifying code: a ticker symbol indicates equities; a CUSIP number for fixed-income securities; a FundServ number for mutual funds. An estimate of the potential capital gain (or loss) on your security related to the value of the security on the date of the report. The annual income return on an investment expressed as a percentage. 6 of 8

7 Glossary of Terms To assist your reviewing of this financial report, please refer to the following list of terms and definitions found within this document. Term YTD (year-to-date performance) Definition The return on your portfolio from the beginning of the year up to the date of the report. 7 of 8

8 Disclaimers The information contained in this report is drawn from sources that Scotia Capital Inc. believes to be reliable; however, Scotia Capital Inc. does not guarantee its accuracy or completeness. Information contained within this report may differ from your Statement of Account since transactions pending settlements may be included within this report and not within the Statement of Account. In the event of a discrepancy between this portfolio report and your official Statement of Account, your Statement of Account takes precedence. All insurance products are sold through Scotia Wealth Insurance Services Inc., the insurance subsidiary of Scotia Capital Inc., a member of the Scotiabank group of companies. When discussing life insurance products, ScotiaMcLeod wealth advisors are acting as Life Underwriters (Financial Security Advisors in Quebec) representing Scotia Wealth Insurance Services Inc. This report has been prepared for information purposes only and is not an official tax document. The information contained does not constitute legal, accounting or tax advice. This information should not be solely relied upon when preparing your tax return, however, it can be used in conjunction with your trade confirmations and monthly account statements in order to assist you and your accountant in preparing your income tax return. Scotia Capital Inc. makes no warranties with respect to, and specifically disclaims any liability arising out of, your use of, or any tax position taken in reliance upon, the information included in this report. The user agrees that FTSE TMX Global Debt Capital Markets Inc., the parties from whom FTSE TMX Global Debt Capital Markets Inc. obtains data, Scotia Capital Inc. and Scotia Capital Inc. s affiliates do not have any liability for the accuracy or completeness of the data provided or for delays, interruptions or omissions therein or the results to be obtained through the use of this data. The user further agrees that neither FTSE TMX Global Debt Capital Markets Inc. or the parties from whom it obtains data, nor Scotia Capital Inc. or Scotia Capital Inc. s affiliates make any representation, warranty or condition, either express or implied, as to the results to be obtained from the use of the data, or as to the merchantable quality or fitness of the data for a particular purpose. Please contact your wealth advisor for further information. Portfolio performance can be calculated using two principal types of methodologies: Time-Weighted Rate of Return (TWROR) and Dollar-Weighted Rate of Return (DWROR - also referred to as "money-weighted rate of return"). Unless you are notified otherwise by your wealth advisor, the type of methodology used for the performance calculations in this report is TWROR. Please contact your wealth advisor for further information. Where the TWROR methodology is used for the performance data contained in this report, the rates of return are calculated using the Daily Valuation method which approximates the performance of your investment(s) on a time weighted basis, as per Global Investment Performance Standards. Where the DWROR methodology is used for the performance data contained in this report, the rates of return are calculated using the Internal Rate of Return method which approximates the performance of your account(s) on a dollar weighted basis. Past performance is not a guarantee of future performance. Scotia Wealth Management consists of a range of financial services provided by The Bank of Nova Scotia (Scotiabank); The Bank of Nova Scotia Trust Company (Scotiatrust); Private Investment Counsel, a service of 1832 Asset Management L.P.; 1832 Asset Management U.S. Inc.; Scotia Wealth Insurance Services Inc.; and ScotiaMcLeod, a division of Scotia Capital Inc. Wealth advisory and brokerage services are provided by ScotiaMcLeod, a division of Scotia Capital Inc. International investment advisory services are provided by Scotia Capital Inc. Scotia Capital Inc. is a member of the Canadian Investor Protection Fund and the Investment Industry Regulatory Organization of Canada. Registered trademark of The Bank of Nova Scotia, used by ScotiaMcLeod under licence. Trademark of The Bank of Nova Scotia, used under licence. 8 of 8