January 1, January 31, 2014

Transcription

1 APEX CLEARING CORPORATION 1700 PACIFIC AVENUE SUITE 1400 DALLAS, TX January 1, January 31, 2014 You r Re gi ster ed Rep re senta ti ve OPTIONSHOUSE LLC (877) OPENING BALANCE PAGE 1 OF 14 CLOSING BALANCE Margin account $0.00 $-1, NET BALANCE , Money Market funds Securities 4, , TOTAL PRICED PORTFOLIO 5, , Total Equity Holdings $5, $6, WESTMINSTER DR APT 203 NAPERVILLE IL Debit Balance % THIS PERIOD YEAR TO Taxable dividends $15.46 $15.46 Debit interest expense $1.70 $1.70 Equities % See Reverse Side for Important Tax Information. This statement shall be conclusive if not obected to in writing within ten days. Errors and omissions excepted. Please address all communications to the firm and not to individuals. Address changes or other material changes on your account should be directed to the office servicing your account. Kindly mention your account number. This statement should be retained for income tax purposes.

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3 DESCRIPTION E QUI T I E S / OPT I ON S SYMBOL/ CUSIP PAGE 2 OF 14 TYPE QUANTITY PRICE MARKET VALUE LAST PERIOD'S MARKET VALUE % CHANGE EST. ANNUAL INCOME ORAMED PHARMACEUTICALS INC ORMP M 380 $22.09 $8, N/A % % OF TOTAL PORTFOLIO Total Equities $8, % Total Cash (Net Portfolio Balance) $-1, % TOTAL PRICED PORTFOLIO $6, BUY / SELL T R ANS ACTION S BOUGHT 01/02/14 M PLUG POWER INC 100 $ $ BOUGHT 01/02/14 M SUNEDISON INC , CUSIP: 86732Y109 SOLD 01/03/14 M JINKOSOLAR HLDG CO LTD , CUSIP: 47759T100 SOLD 01/03/14 M SUNEDISON INC , CUSIP: 86732Y109 BOUGHT 01/06/14 M ORAMED PHARMACEUTICALS INC , BOUGHT 01/06/14 M ORAMED PHARMACEUTICALS INC ,125.95

4 ACTIVITY (CONTINUED) BUY / SEL L T R ANSACTION S (continued) PAGE 3 OF 14 SOLD 01/07/14 M PLUG POWER INC SOLD 01/07/14 M PLUG POWER INC , BOUGHT 01/08/14 M ATHERSYS INC CUSIP: 04744L106 BOUGHT 01/08/14 M TRINA SOLAR LTD , CUSIP: 89628E104 BOUGHT 01/08/14 M YINGLI GREEN ENERGY HLDG CO LTD ADR CUSIP: 98584B103 BOUGHT 01/13/14 M BIOLINERX LTD ADS CUSIP: 09071M106 BOUGHT 01/13/14 M IMMUNOMEDICS INC CUSIP: SOLD 01/13/14 M BIOLINERX LTD ADS CUSIP: 09071M106 SOLD 01/13/14 M TRINA SOLAR LTD , CUSIP: 89628E104 BOUGHT 01/14/14 M ORAMED PHARMACEUTICALS INC , SOLD 01/14/14 M IMMUNOMEDICS INC CUSIP:

5 ACTIVITY (CONTINUED) BUY / SEL L T R ANSACTION S (continued) PAGE 4 OF 14 SOLD 01/14/14 M YINGLI GREEN ENERGY HLDG CO LTD ADR CUSIP: 98584B103 BOUGHT 01/15/14 M CORNERSTONE PROGRESSIVE , RETURN FUND CUSIP: 21925C101 BOUGHT 01/15/14 M JINKOSOLAR HLDG CO LTD , CUSIP: 47759T100 BOUGHT 01/15/14 M PLUG POWER INC , BOUGHT 01/15/14 M REAL GOODS SOLAR INC , CL A CUSIP: 75601N104 BOUGHT 01/15/14 M SYNTA PHARMACEUTICALS CORP , CUSIP: 87162T206 SOLD 01/15/14 M ATHERSYS INC , CUSIP: 04744L106 SOLD 01/15/14 M ORAMED PHARMACEUTICALS INC , SOLD 01/15/14 M SYNTA PHARMACEUTICALS CORP , CUSIP: 87162T206 BOUGHT 01/17/14 M PLUG POWER INC BOUGHT 01/22/14 M PLUG POWER INC BOUGHT 01/22/14 M SUNEDISON INC , CUSIP: 86732Y109

6 ACTIVITY (CONTINUED) BUY / SEL L T R ANSACTION S (continued) PAGE 5 OF 14 SOLD 01/22/14 M CORNERSTONE PROGRESSIVE , RETURN FUND CUSIP: 21925C101 SOLD 01/22/14 M REAL GOODS SOLAR INC , CL A CUSIP: 75601N104 BOUGHT 01/23/14 M CANADIAN SOLAR INC , CUSIP: SOLD 01/23/14 M JINKOSOLAR HLDG CO LTD , CUSIP: 47759T100 SOLD 01/23/14 M PLUG POWER INC , SOLD 01/23/14 M SUNEDISON INC , CUSIP: 86732Y109 BOUGHT 01/24/14 M JINKOSOLAR HLDG CO LTD , CUSIP: 47759T100 BOUGHT 01/24/14 M PLUG POWER INC , SOLD 01/24/14 M CANADIAN SOLAR INC , CUSIP: SOLD 01/24/14 M PLUG POWER INC , BOUGHT 01/30/14 M APPLE INC , CUSIP: BOUGHT 01/30/14 M ORAMED PHARMACEUTICALS INC ,911.95

7 ACTIVITY (CONTINUED) BUY / SEL L T R ANSACTION S (continued) PAGE 6 OF 14 SOLD 01/30/14 M CANADIAN SOLAR INC , CUSIP: SOLD 01/30/14 M JINKOSOLAR HLDG CO LTD , CUSIP: 47759T100 BOUGHT 01/31/14 M ORAMED PHARMACEUTICALS INC , SOLD 01/31/14 M APPLE INC , CUSIP: Total Buy / Sell Transactions $69, $64, DI VI DEN DS AND I NT E RE ST DIVIDEND 01/31/14 M CORNERSTONE PROGRESSIVE $ $15.46 RETURN FUND CASH DIV ON 200 SHS REC 01/15/14 PAY 01/31/14 NON-QUALIFIED DIVIDEND CUSIP: 21925C101 Total Dividends And Interest $15.46 FUN DS PAI D AND RE CEI VED CSG 01/17/14 O MV FUNDS FROM T4 TO T2 $ CSG 01/24/14 O MV FUNDS FROM T4 TO T2 1, CSG 01/29/14 O MV FUNDS FROM T4 TO T2 1, ACH 01/15/14 O ACH DEPOSIT CTS( )

8 ACTIVITY (CONTINUED) FUN DS PAI D AND RE CEI VED (continued) PAGE 7 OF 14 CSG 01/17/14 M DEP A/O 01/15/2014 FR T ACH 01/22/14 O ACH DEPOSIT 1, CTS( ) CSG 01/24/14 M DEP A/O 01/22/2014 FR T4 1, ACH 01/27/14 O ACH DEPOSIT 1, CTS( ) CSG 01/29/14 M DEP A/O 01/27/2014 FR T4 1, Total Funds Paid And Received $2, $5, DE BI T I N T ER EST INTEREST 01/16/14 M FROM 01/01 THRU 4 % $1.70 BAL 762 AVBAL 1,094 Total Debit Interest $1.70 MISCE LL ANE OUS T R ANS ACTION S TRANSFER 01/02/14 C TFR CASH TO MARGIN $ TRANSFER 01/02/14 M TFR CASH TO MARGIN TRANSFER 01/03/14 M TFR MARGIN TO CASH 2, TRANSFER 01/03/14 C TFR MARGIN TO CASH 2, TRANSFER 01/06/14 C TFR CASH TO MARGIN 2, TRANSFER 01/06/14 M TFR CASH TO MARGIN 2, TRANSFER 01/07/14 M TFR MARGIN TO CASH TRANSFER 01/07/14 C TFR MARGIN TO CASH TRANSFER 01/08/14 C TFR CASH TO MARGIN

9 ACTIVITY (CONTINUED) MISCE LL ANE OUS T R ANS ACTION S (continued) PAGE 8 OF 14 TRANSFER 01/08/14 M TFR CASH TO MARGIN Total Miscellaneous Transactions $6, $6, TRADE SETTLEMENT BOUGHT 01/30/14 02/04/14 M FLEXTRONICS INTERNATIONAL LTD AVERAGE PRICE TRADE DETAILS AVAILABLE UPON REQUEST CUSIP: Y2573F102 SOLD 01/30/14 02/04/14 M FLEXTRONICS INTERNATIONAL LTD CUSIP: Y2573F102 BOUGHT 01/30/14 02/04/14 M GOOGLE INC CL A CUSIP: 38259P508 BOUGHT 01/30/14 02/04/14 M ORAMED PHARMACEUTICALS INC SOLD 01/30/14 02/04/14 M ORAMED PHARMACEUTICALS INC SOLD 01/30/14 02/04/14 M ORAMED PHARMACEUTICALS INC SOLD 01/31/14 02/05/14 M GOOGLE INC CL A CUSIP: 38259P $ $1, , , , , , , , ,703.45

10 EXECUTED TRADES PENDING SETTLEMENT (CONTINUED) TRADE SETTLEMENT PAGE 9 OF 14 BOUGHT 01/31/14 02/05/14 M JINKOSOLAR HLDG CO LTD CUSIP: 47759T100 BOUGHT 01/31/14 02/05/14 M JINKOSOLAR HLDG CO LTD CUSIP: 47759T , , Total Executed Trades Pending Settlement $31, $33, ACTIVITY DESCRIPTION DAILY INCOME FD MONEY MARKET AMOUNT IN SHARES DEBIT CREDIT BALANCE IN SHARES Opening Balance (Shares 1.000) /02/14 SWEEP DAILY INCOME FD MONEY MARKET PORTFOLIO RETAIL CL 01/03/14 SWEEP DAILY INCOME FD MONEY MARKET 2, , , PORTFOLIO RETAIL CL 01/06/14 SWEEP DAILY INCOME FD MONEY MARKET -2, , PORTFOLIO RETAIL CL 01/07/14 SWEEP DAILY INCOME FD MONEY MARKET PORTFOLIO RETAIL CL 01/08/14 SWEEP DAILY INCOME FD MONEY MARKET PORTFOLIO RETAIL CL Closing Balance (Shares 1.000) 0.00

11 IMPORTANT INFORMATION PAGE 10 OF 14 OptionsHouse is required to maintain accurate and complete customer account information. If your financial status, investment obectives, or employment information previously disclosed on your account application have recently changed, please to update your account information. Thank you for your cooperation. All notices, inquiries or customer complaints regarding your account or the activity therein should be directed to OptionsHouse, P.O. Box 812, Chicago, IL, 60690, Attention: Compliance Officer. You may also direct inquiries, or a complaint, to OptionsHouse Customer Service at (877) IMPORTANT INFORMATION: APEX CLEARING CORPORATION ANNUAL DISCLOSURE STATEMENT Apex Clearing Corporation ("Apex") recognizes the importance of providing information on an annual basis to the customers whose accounts are cleared through Apex. Your broker/dealer has designated Apex as its clearing firm. In accordance with industry rules and regulations, Apex is required to disclose on an annual basis certain important regulatory notices and disclosures. To comply with these requirements, Apex has published an Annual Disclosure Statement which is available on the Apex corporate web site, For customers who do not have access to the internet please call Apex at and a complete copy of the Annual Disclosure Statement will be mailed to your address of record. A brief summary of the content of the Annual Disclosure Statement is as follows: Anti-Money Laundering - Federal law requires all financial institutions to obtain, verify and record information that identifies each person who opens an account. Privacy Policy - The privacy of customers is a responsibility which Apex respects and protects for former customers as well as current customers. Margin Disclosure Statement: FINRA Rule The Information furnished provides basic facts about purchasing securities on margin and alerts customers of certain risks involved in trading securities in a margin account. Day-Trading Risk Disclosure Statement: FINRA Rule Information to be considered before engaging in a day-trading strategy. Business Continuity Plan: FINRA Rule A further summary of Apex's Disaster Recovery Plan to reasonably ensure business continuity. SEC Rule 606 and 607 (Payment for Order Flow and order routing information) -(Rule 606) Requires Apex to make public a quarterly report with regard to routing of non-directed orders and (Rule 607) requires Apex to disclose its payment for order flow practices. SEC Rule 10b-10 - Requires customers are provided with prior written notification of certain transactions that are not reported immediately through a trade confirmation.

12 ANNOUNCEMENTS (CONTINUED) IMPORTANT INFORMATION PAGE 11 OF 14 A copy of Apex Clearing Corporation's unaudited Statement of Financial Condition at June 30, 2013 is available on the website at and A copy may also be obtained at no cost by calling At June 30, 2013, Apex Clearing Corporation had unaudited net capital of $106,553,437 and was $91,580,972 in excess of its required net capital of $14,972,465. At July 31, 2013, Apex Clearing Corporation had unaudited net capital of $107,914,604 and was $94,963,960 in excess of its required net capital of $12,950,644.

13 ANNOUNCEMENTS (CONTINUED) IMPORTANT INFORMATION To our valued customers: PAGE 12 OF 14 FINRA Rule 2340 requires that we advise you to promptly report any inaccuracy or discrepancy in your account (within 10 days after available) to your brokerage firm and clearing firm (where these are different firms) and to re-confirm any oral communications in writing. Pursuant to SEC Rule 606, Apex Clearing Corporation is required to make publicly available a quarterly report with regard to its routing of non-directed orders. For the purpose of this Rule, we have entered into an agreement with Quantum5 Market Surveillance (a Division of S3 Matching Technologies) to disclose all required information pertaining to this rule. This information can be accessed on the internet at: ftp://public.s3.com/1lac1-6/pfsi, or a written copy will be furnished at no cost upon request via telephone to (214) or to cs@apexclearing.com SEC Rule 606 (b) requires a broker-dealer to disclose to its customers, upon request, "the identity of the venue to which the customer's orders were routed for execution in the six months prior to the request, whether the orders were directed orders or non-directed orders, and the time of the transactions, if any, that resulted from such orders." DPP and REIT securities are generally illiquid and the estimated value of these securities may not be realized upon liquidation of the security. The value of the security will differ from the purchase price. In the event valuations are provided, they will be based upon estimated values obtained from the issuer's annual report. However, in some cases accurate valuation information is not available and will not be provided. In accordance with the Emergency Economic Stabilization Act of 2008 broker dealers are required to track and report cost basis to the IRS in three phases over the next three years. 2011: Equity Securities 2012: Mutual funds and dividend reinvestment plan shares, 2013: Debt securities, options and all other financial instruments. Beginning this upcoming tax reporting season the cost basis of any covered equity security transaction (purchased after 12/31/10) that is required to be reported on a 1099-B will include its associated cost basis. If you have any questions about this important change to the IRS mandated reporting requirements, please contact your broker. When you provide a check as payment, you authorize us either to use information from your check to make a one-time electronic fund transfer from your account or to process the payment as a check transaction. Electronic fund transfers may be withdrawn from your account as soon as the same day your payment is received, and you will not receive your check back from your financial institution. Please contact your broker if you have questions about electronic check collection or do not want your payments collected electronically. FINRA REQUIRES THAT WE NOTIFY YOU IN WRITING OF THE AVAILABILITY OF AN INVESTOR BROCHURE THAT INCLUDES INFORMATION DESCRIBING THE FINRA'S PUBLIC DISCLOSURE PROGRAM ('PROGRAM'). TO OBTAIN A BROCHURE OR MORE INFORMATION ABOUT THE PROGRAM OR FINRA, CONTACT THE FINRA PROGRAM HOTLINE AT (800) OR ACCESS THE FINRA WEB SITE AT

14 PAGE 13 OF 14 ANNOUNCEMENTS (CONTINUED) IMPORTANT INFORMATION CONTINUED Please take note of the following description of Apex Clearing Corporation's excess SIPC coverage, which reflects certain changes made to the coverage effective August 8, The Securities Investor Protection Corporation ("SIPC") protects certain customer funds up to a ceiling of $500,000, including a maximum of $250,000 for cash claims. Please note SIPC does not cover commodity contracts and options on futures. For additional information regarding SIPC coverage, including a brochure, please contact SIPC at (202) or visit Apex has purchased an additional insurance policy to supplement SIPC protection. This additional insurance policy, widely known as "excess SIPC," becomes available to customers in the event that SIPC limits are exhausted. This additional insurance provides protection for securities and cash up to an aggregate limit of $150 million, subect to sub-limits for any one customer of $37.5 million for securities and $900,000 for cash. Similar to SIPC protection, this additional insurance does not protect against a loss in the market value of securities. For additional information, please contact your broker. SWEEP PROGRAM For customers with balances in a bank deposit account as part of the FDIC Sweep Program or shares of a money market mutual fund in which you have a beneficial interest, those balances or shares may be liquidated on your order and the proceeds returned to your account or remitted to you in accordance with the applicable prospectus and/or Terms and Conditions of the program. For customers participating in the FDIC Sweep Program, the FDIC Sweep Program allows your cash balance to be eligible for insurance protection through the FDIC up to the maximum applicable insurance limits. Customers may obtain information about FDIC, by contacting the FDIC at , (TDD) or by visiting Deposit Account balances in the FDIC Sweep Program are not protected by SIPC or any other excess coverage by Apex Clearing Corporation. Deposit Account balances are protected as established by current applicable laws regulated by the FDIC. Customers may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at or by visiting

15 PAGE 14 OF 14 ANNOUNCEMENTS (CONTINUED) IMPORTANT INFORMATION (CONTINUED) SIPC Information: FINRA Rule The Securities Investor Protection Corporation ("SIPC") requires that funds are available to meet customer claims up to a ceiling of $500,000, including a maximum of $250,000 for cash claims. For more information about SIPC coverage or to receive a brochure, please visit the SIPC website at or, call (202) Investor Education and Protection: FINRA Rule Requires Apex to provide information about FINRA's BrokerCheck program. The investor brochure may be obtained from FINRA BrokerCheck hotline number (800) or the FINRA web site address Joint NASD Industry Breakpoint Task Force - A further summary of a July 2003 report which recommends written disclosure regarding mutual fund breakpoints. Carrying Agreements: FINRA Rule The firm with which you have opened your securities account has retained Apex to provide certain record keeping, clearance, and settlement functions. A further summary of details is disclosed. Extended Hours Trading Risk Disclosure: FINRA Rule Risks to consider include lower liquidity, higher volatility, changing prices, unlinked markets, news announcements, wider spreads, and lack of calculation. Liens and Levies - Apex will abide by the directions of federal, state, or other levying authorities. Regulation E - Disclosure regarding certain electronic transfers is required under the provisions of this regulation as issued by the Board of Governors of the Federal Reserve System.