Stifel. Stifel Prestige Account Statement. Your Financial Advisor: RICK RUNYAN/JOE NALLY Telephone: (970)

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1 1 1 1 D SSNOO W 29TH ST GREELEY CO Your Financial Advisor: RICK RUNYAN/JOE NALLY Telephone: (970) Office Servicing Your Account: 2015 CLUBHOUSE DR SUITE 202 GREELEY, CO PRIMARY INVESTMENT OBJECTIVE: Growth & Income RISK TOLERANCE: Moderate Growth For a full definition of this objective and risk tolerance, including the use of margin, please see IMPORTANT DISCLOSURES, or contact your Financial Advisor. If you have any questions concerning your investment objective or risk tolerance, or wish to make a change, please contact your Financial Advisor or the Branch Manager for this office. TRADING TAX LOT RELIEF METHOD: First In, First Out INVESTOR UPDATE At December 31, 2015,, Nicolaus & Company, Incorporated had net capital of $310,073,341 or $279,326,485 in excess of the minimum requirement of $30,746,856. The December 31, 2015 Statement of Financial Condition is available at no charge by calling (800) or logging onto March 31, 2016 Page 1 of 14 YOUR STIFEL ACCOUNT SUMMARY March 31 February 29 Equivalents ** 5, , Net Portfolio Assets held at 275, , Net Portfolio Assets not held at Net Portfolio Value $280, $266, YOUR CHANGE IN PORTFOLIO VALUE March 31 February 29 Net Flow (Inflows/Outflows) 2 Securities Transferred In/Out Income and Distributions Change in Securities Value 13, , Net Change in Portfolio Value $14, $1, ** See Insured Bank Deposit Program Section for additional information. 2 Does not include cost or proceeds for buy or sell transactions. YOUR ASSET SUMMARY Prestige Account Statement A Value on Percentage of ACCOUNT PROTECTION March 31, 2016 ($) your account, Nicolaus & Company, Incorporated provides up to $150 million of coverage for A Net Equivalents 5, % securities held in client accounts, of which $1.15 million may be in cash deposits. Ask F Mutual Funds 275, % your Financial Advisor for more details. Total Assets $280, % F Thank you for allowing to serve you. In order to protect your rights, including rights under the Securities Investor Protection Act (SIPA), please promptly report, in writing, any inaccuracies or discrepancies in this account or statement to the Compliance Department of at the address below. If you have any questions regarding your account or this statement, please contact your Financial Advisor or the Branch Manager for this office. For additional information regarding your account, please refer to the current Account Agreement and Disclosure Booklet, which is available at and the enclosed Investment Strategist newsletter., Nicolaus & Company, Incorporated Member SIPC & NYSE One Financial Plaza 501 North Broadway St. Louis, Missouri 63102

2 March 31, 2016 Page 2 of 14 ASSET SUMMARY Value as of March 31, 2016 Gains/(-)Losses % of Realized At Not at Total assets * Unrealized This Period Year-to-date Money Market Funds 5, , % Margin Balance A. Net Equivalents $5, $5, % B. Equities C. Preferreds D. Municipal Bonds E. Corporate/Gov Bonds F. Mutual Funds 275, , % -15, G. Unit Investment Trusts H. Insurance Products I. Alternative Investments J. Other Investments Net Portfolio Assets $275, $0.00 $275, % -$15, $0.00 -$ Net Portfolio Value $280, $0.00 $280, % -$15, $0.00 -$ INCOME & DISTRIBUTION SUMMARY Dividends Tax-Exempt Taxable Interest Tax-Exempt Taxable Capital Gain Distributions Return of Principal Other Total Income & Distributions Security Type Year-to-date This period $1, $ INFORMATION SUMMARY Security Type Year-to-date This period Accrued Interest Paid Tax-Exempt Taxable Accrued Interest Tax-Exempt Received Taxable Gross Proceeds 6, Federal Withholding Foreign Taxes Paid Margin Interest Charged * Please note "% of assets" figures are shown gross of any amounts owed to and/or net short positions D SSNOO00701

3 March 31, 2016 Page 3 of 14 ASSET DETAILS This section shows the cash equivalents and/or securities in your account. Prices obtained from outside sources are considered reliable but are not guaranteed by. Actual prices may vary, and upon sale, you may receive more or less than your original purchase price. Contact your Financial Advisor for current price quotes. Gain/Loss is provided for informational purposes only. Cost basis may be adjusted for, but not limited to, amortization, accretion, principal paydowns, capital changes, listed option premiums, gifting rules, inheritance step-up, or wash sales. The Gain/Loss information should not be used for tax preparation without the assistance of your tax advisor. Lot detail quantity displayed is truncated to the one thousandth of a share. NET CASH EQUIVALENTS Annualized Income Current value Cost Basis INSURED BANK PROGRAM 5, , % Total Net Equivalents $5, $5, $ % Insured Bank Program deposits may be held at multiple banks. For information regarding specific banks visit IMPORTANT DISCLOSURES on The deposits are not covered by the Securities Investor Protection Act (SIPC). Balances in the Program are insured up to the FDIC limit in each bank. Balances in the Insured Bank Program or in any money market fund offered as an available fund for Investment Services at can be liquidated upon request and returned to your brokerage account or remitted directly to you. Yield % PORTFOLIO ASSETS - HELD AT STIFEL Mutual Funds Open-End Funds INVESCO INTL GROWTH CL Y CUSIP: AMCAP CUSIP: Symbol/ Type AIIYX AMCFX Quantity Current Price/ Current Value , , Average Unit Cost/ Cost Basis , , Original Investment 1 / Cumulative Return 2 13, , Unrealized Gain/(-)Loss* Annualized Income Yield % % N/A N/A D SSNOO00701

4 March 31, 2016 Page 4 of 14 ASSET DETAILS (continued) PORTFOLIO ASSETS - HELD AT STIFEL (continued) Mutual Funds Open-End Funds AMERICAN U S GOVT SECURITIES CUSIP: AMERICAN HIGH INCOME CUSIP: ARTISAN MID CAP VALUE INVESTOR CL CUSIP: 04314H709 BLACKROCK EQUITY DIVIDEND INSTL CL CUSIP: 09251M504 COLUMBIA CONTRARIAN CORE CL Z CUSIP: 19765P406 DODGE & COX INTL STOCK CUSIP: DODGE & COX INCOME CUSIP: Symbol/ Type GVTFX AHIFX ARTQX MADVX SMGIX DODFX DODIX Quantity Current Price/ Current Value 1, , , , , , , , , Average Unit Cost/ Cost Basis , , , , , , , Original Investment 1 / Cumulative Return 2 15, , , , , , , , , Unrealized Gain/(-)Loss* Annualized Income Yield % % % -1, % -1, % % -2, % % D SSNOO00701

5 March 31, 2016 Page 5 of 14 ASSET DETAILS (continued) PORTFOLIO ASSETS - HELD AT STIFEL (continued) Mutual Funds Open-End Funds EUROPACIFIC GROWTH CUSIP: 29875E100 FIDELITY ADVISOR NEW INSIGHTS CL I CUSIP: JPMORGAN MID CAP VALUE INSTL CL CUSIP: FRANKLIN U S GOVT SECS ADVISOR CL CUSIP: FUNDAMENTAL INVESTORS CUSIP: HARBOR BOND INSTL CL CUSIP: HEARTLAND GROUP VALUE PLUS INSTL CL CUSIP: Symbol/ Type AEPFX FINSX FLMVX FUSAX FINFX HABDX HNVIX Quantity Current Price/ Current Value , , , , , , , , , Average Unit Cost/ Cost Basis , , , , , , , Original Investment 1 / Cumulative Return 2 13, , , , , , , Unrealized Gain/(-)Loss* Annualized Income Yield % % N/A N/A % % % , % -1, % D SSNOO00701

6 March 31, 2016 Page 6 of 14 ASSET DETAILS (continued) PORTFOLIO ASSETS - HELD AT STIFEL (continued) Mutual Funds Open-End Funds OAK RIDGE SMALL CAP GROWTH CL I CUSIP: 46141P156 IVY MID CAP GROWTH CL I CUSIP: MFS INTL GROWTH CL I CUSIP: 55273E848 NATIONWIDE GENEVA MID CAP GROWTH INSTL SERVICE CL CUSIP: 63868B690 OPPENHEIMER DEVELOPING MARKETS CL Y CUSIP: PIMCO HIGH YIELD CL P CUSIP: 72201M735 RIDGEWORTH SMALL CAP VALUE EQUITY CL I CUSIP: 76628R474 Symbol/ Type ORIYX IYMIX MQGIX NWHYX ODVYX PHLPX SCETX Quantity Current Price/ Current Value , , , , , , , Average Unit Cost/ Cost Basis , , , , , , , Original Investment 1 / Cumulative Return 2 4, , , , , , , Unrealized Gain/(-)Loss* Annualized Income Yield % N/A N/A N/A N/A % N/A N/A % % % D SSNOO00701

7 March 31, 2016 Page 7 of 14 ASSET DETAILS (continued) PORTFOLIO ASSETS - HELD AT STIFEL (continued) Mutual Funds Open-End Funds SMALLCAP WORLD CUSIP: VIRTUS EMERGING MARKETS OPPTYS CL I CUSIP: 92828T889 Symbol/ Type SMCFX HIEMX Quantity Current Price/ Current Value , , Average Unit Cost/ Cost Basis , , Original Investment 1 / Cumulative Return 2 4, , Unrealized Gain/(-)Loss* Annualized Income Yield % N/A N/A % WASHINGTON MUTUAL WMFFX , % INVESTORS CUSIP: , , Total Mutual Funds $275, $290, $15, $5, % 454 Total Portfolio Assets - Held at $275, $290, $15, $5, % 454 Total Net Portfolio Value $280, $296, $15, $5, % ¹ Original Investment: Total amount invested in the purchased shares still held in the account. Does not include shares purchased through automatic reinvestment of capital gains and dividends. ² Cumulative Return: Current Value minus Original Investment. This is the capital appreciation (depreciation) of all shares purchased, including shares purchased through automatic reinvestment of capital gains and dividends. * Please note "Unrealized Gain/(-)Loss" does not equal the total current value minus the total cost if any value or cost amounts are missing. Unrealized gains or losses are provided for your information only and should not be used for tax purposes D SSNOO00701

8 March 31, 2016 Page 8 of 14 ACTIVITY SUMMARY CASH EQUIVALENTS Type of Activity Activity Year-to-date This period Money Market Margin Opening Balance - Net Equivalents $5, $0.00 $5, $0.00 Buy and Sell Transactions Assets Bought -41, Assets Sold/Redeemed 6, Deposits Deposits Made To Your Account 35, Withdrawals Withdrawals From Your Account Income and Distributions Income and Distributions 1, Money Market Activity Money Market Activity Margin Interest Margin Interest Charged Other Other Transactions Management Activity Card Activity ACH/ATM Activity Checkwriting Activity Checks You Wrote Closing Balance - Net Equivalents $5, $0.00 $5, $0.00 Securities Transferred Securities Transferred In/Out ACTIVITY DETAILS CASH EQUIVALENTS This period Money Market Margin Opening Balance - Net Equivalents $5, $0.00 $5, $0.00 Assets Bought Date Activity Quantity Price Description Total Money Market Margin 3/1/2016 Reinvest Div AMERICAN U S GOVT SECURITIES CUSIP: ****note**** REINVEST AT /1/2016 Reinvest Div AMERICAN HIGH INCOME CUSIP: ****note**** REINVEST AT D SSNOO00701

9 March 31, 2016 Page 9 of 14 ACTIVITY DETAILS continued CASH EQUIVALENTS continued Assets Bought continued Date Activity Quantity Price Description Total Money Market Margin 3/1/2016 Reinvest Div PIMCO HIGH YIELD CL P CUSIP: 72201M735 ****note**** REINVEST AT /2/2016 Reinvest Div FRANKLIN U S GOVT SECS ADVISOR CL CUSIP: ****note**** REINVEST AT /17/2016 Reinvest Div FUNDAMENTAL INVESTORS CUSIP: ****note**** REINVEST AT /21/2016 Reinvest Div WASHINGTON MUTUAL INVESTORS CUSIP: ****note**** REINVEST AT /24/2016 Reinvest Div DODGE & COX INCOME CUSIP: ****note**** REINVEST AT /24/2016 Reinvest Lt Cap Gain DODGE & COX INCOME CUSIP: ****note**** REINVEST AT /31/2016 Reinvest Div HARBOR BOND INSTL CL CUSIP: ****note**** REINVEST AT Total Assets Bought -$ $ D SSNOO00701

10 March 31, 2016 Page 10 of 14 ACTIVITY DETAILS continued CASH EQUIVALENTS continued Income and Distributions Date Activity Quantity Description Total Money Market Margin 3/1/2016 Dividend AMERICAN U S GOVT SECURITIES , CUSIP: /1/2016 Dividend AMERICAN HIGH INCOME CUSIP: /1/2016 Dividend PIMCO HIGH YIELD CL P CUSIP: 72201M735 3/2/2016 Dividend FRANKLIN U S GOVT SECS ADVISOR CL , CUSIP: /17/2016 Dividend FUNDAMENTAL INVESTORS CUSIP: /21/2016 Interest INSURED BANK PROGRAM MONEY MARKET FDIC INSD NOT INSURED BY SIPC ,297 CUSIP: /21/2016 Dividend WASHINGTON MUTUAL INVESTORS CUSIP: /24/2016 Dividend DODGE & COX INCOME , CUSIP: D SSNOO00701

11 March 31, 2016 Page 11 of 14 ACTIVITY DETAILS continued CASH EQUIVALENTS continued Income and Distributions continued Date Activity Quantity Description Total Money Market Margin 3/24/2016 Long Term Cap Gain DODGE & COX INCOME , CUSIP: /31/2016 Interest INSURED BANK PROGRAM MONEY MARKET FDIC INSD NOT INSURED BY SIPC ,297 CUSIP: /31/2016 Dividend HARBOR BOND INSTL CL , CUSIP: Total Income and Distributions $ $ Money Market Activity Date Activity Description Total Money Market Margin 3/21/2016 Purchase INSURED BANK PROGRAM MONEY MARKET FDIC INSD NOT INSURED BY SIPC 3/31/2016 Purchase INSURED BANK PROGRAM MONEY MARKET FDIC INSD NOT INSURED BY SIPC Total Money Market Activity $0.00 -$0.12 $0.12 This period Money Market Margin Closing Balance - Net Equivalents $5, $0.00 $5, $ D SSNOO00701

12 March 31, 2016 Page 12 of 14 REALIZED GAINS/(-)LOSSES This section provides estimated realized gains or losses for informational purposes only, and should not be used for tax preparation without the assistance of your tax advisor. Cost basis may be adjusted for, but not limited to, amortization, accretion, principal paydowns, capital changes, listed option premiums, gifting rules, inheritance step-up, or wash sales. To calculate gains or losses, the trading tax lot relief method indicated on the first page of this statement was used, unless another method was in effect at the time of the trade. We suggest you review this information for accuracy and contact your Financial Advisor with any questions. Mutual Funds Open-End Funds AMERICAN U S GOVT SECURITIES CUSIP: COLUMBIA CONTRARIAN CORE CUSIP: 19765P406 FRANKLIN U S GOVT SECS CUSIP: FUNDAMENTAL INVESTORS CUSIP: OPPENHEIMER DEVELOPING MARKETS CUSIP: PIMCO HIGH YIELD CL P CUSIP: 72201M735 VIRTUS EMERGING MARKETS OPPTYS CUSIP: 92828T889 Closing Transaction Date Acquired Date Sold Quantity Cost Basis Sale Proceeds Realized Gain/(-)Loss** 04/21/14 01/22/ (LT) 04/21/14 01/22/ , , (LT) 04/21/14 01/22/ (LT) 04/21/14 01/22/ , , (LT) 04/21/14 01/22/ , , (LT) 04/21/14 01/22/ (LT) 04/21/14 01/22/ , , (LT) Total Mutual Funds $7, $6, $ Total Realized Gains/(-)Losses $7, $6, $ Total Net Short-Term (ST) $0.00 $0.00 $0.00 Total Net Long-Term (LT) $7, $6, $ Total Net Other-Term (OT) $0.00 $0.00 $0.00 ** Please note "Realized Gain/(-)Loss" does not equal total sale proceeds minus total cost basis if any cost basis amounts are missing D SSNOO00701

13 March 31, 2016 Page 13 of 14 Insured Bank Deposit Program Amount(s) listed below include accrued interest in the amount of $0.12 at a rate of 0.03%. Description Location Previous Month Value Current Month Value Bank and Trust St. Louis, MO $1, $5, Associated Bank NA Green Bay, WI $3, $0.00 Closing Balance - Insured Bank Deposit $5, The FDIC Insured Bank Deposit Program (the "Program") deposits shown above are held at the respective banks listed above, not at, Nicolaus & Company, Incorporated (""). Effective June 11, 2012, the Program was expanded to provide maximum coverage available for joint accounts from $2.5 million to $5 million. As a result, for joint accounts the maximum amount placed in any one of the participating banks in this Program will increase from $246,500 to $493,000 and if applicable is reflected in the balances listed above. The Program seeks to make available up to $2.5 million of FDIC insurance coverage (or $ 5 million for joint accounts) subject to any limitations. The deposits are not covered by the Securities Investor Protection Act (SIPC) and are included on this statement solely as a service to our clients. Balances in the Program are insured up to the FDIC limit in each bank subject to the combined total of all your deposits at a specific bank including any amount(s) held outside this statement. Any other deposits that you maintain in the same capacity directly with a bank, or through an intermediary, will be aggregated with deposits in your Program Deposit Accounts at the bank for purposes of the maximum Applicable Deposit Insurance Amount. It is your obligation to monitor the total amount of funds you have on deposit in any of the banks in the Program to insure your deposits do not exceed the $2.5 million of FDIC insurance coverage (or $5 million for joint accounts) available through the Program. Please refer to the Program s Terms and Conditions for more details about FDIC insurance coverage. The Program s Terms and Conditions are available at or by contacting your Financial Advisor. Your Financial Advisor can assist you in understanding your brokerage account statement and can answer any questions you may have about your statement. Bank & Trust is an affiliate of. Bank & Trust is a wholly owned subsidiary of Financial Corp., the parent company of D SSNOO00701

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Stifel Prestige Account Statement

Stifel Prestige Account Statement 1 1 1 D380360 SSNOO00901 P O BOX 973 BISMARCK ND 58502-0973 Your Financial Advisor: NAGEL/REEDE TEAM THOMAS NAGEL & JANE REEDE Telephone: (701)255-4225 Office Servicing Your Account: 1400 W CENTURY AVE