SAMPLE U.S. ESPP Statement

Transcription

1 AMPLE U.S. ESPP Statement Envelope # xxxxxxxxxxxxx BBSTLMBBDZWWX April 1, 2016 xx- April 30, 2016 xx Your Portfolio Value: $691, KATHLEEN THERESE HOGAN John Sample NE 143RD ST 123 WOODINVILLE Any Street WA Any Town, MA Portfolio Change from Last Period: $1, This Period Year-to-Date Beginning Portfolio Value $690, $686, Additions 22, , Change in Investment Value * -21, , Ending Portfolio Value ** $691, $691, Accrued Interest (AI) - Ending Portfolio Value incl. AI $691, Contact Information Online Fidelity.com/epas FAST sm -Automated Telephone (800) Portfolio Advisory Services (800) am - 7pm ET, Mon - Fri Stock Plan Services (800) Sun 5pm - Sat 12am ET UNIQUE College Investing Plan (800) * Appreciation or depreciation of your holdings due to price changes plus any distribution and income earned during the statement period. ** Excludes unpriced securities. S 1 of 171 of 20

2 AMPLE Portfolio Summary April 1, 2016 xx -April 30, 2016 xx Accounts Included in This Report Page Account Type/Name Account Number Beginning Value Ending Value GENERAL INVESTMENTS FIDELITY ACCOUNT KATHLEEN JOHN T HOGAN - INDIVIDUAL X xxx-xxxxx $275, $272, EDUCATION (529) ACCOUNTS EDUCATION ACCOUNT KATHLEEN JOHN T HOGAN - PARTICIPANT TOD JAMES PATRICK JOHN BEAVER - BENEFICIARY xxx-xxxxx 342, , PERSONAL RETIREMENT FIDELITY TRADITIONAL IRA KATHLEEN JOHN T HOGAN - TRADITIONAL IRA - FIDELITY MANAGEMENT TRUST CO - CUSTODIAN xxx-xxxxx 72, , Ending Portfolio Value $690, $691, Other Holdings1 Page Account Type/Name Beginning Value Ending Value 10 STOCK PLAN Items shown under "Stock Plans" represent your interests under your company's stock plans, for which Fidelity Stock Plan Services LLC provides administrative and record keeping services. Items shown under "Stock Plans" are not assets held in your Fidelity brokerage account, and therefore are not carried by NFS and are not covered by SIPC. Fidelity Stock Plan Services LLC provides this statement to you as part of administrative and recordkeeping services it provides to the company. See the Participant Agreement for details. EMPLOYEE STOCK PURCHASE - MICROSOFT THETA ESPP PLAN $24, $0.00 v Total Including Other Holdings $714, $691, S 1 Other Holdings, including Assets Held Away, are provided for informational purposes only and may not be custodied at Fidelity Investments and may not reflect accurate values. See individual account listing for additional details. v Stock Plan values are an estimate of current value. See the Stock Plan Section below for a complete description of the values shown. Values may be unvested, and may not reflect with-drawable assets. This information is included on your statement solely as a service to you. It is derived from information provided by your company and Fidelity is not responsible for its accuracy. Total Portfolio Trades May 20XX - Apr 20XX: 0 2 of 172 of 20

3 AMPLE Portfolio Summary (continued) April 1, 2016 xx -April 30, 2016 xx Income Summary This Period Year-to-Date Taxable - $1, Dividends - 1, Tax-exempt Dividends Tax-deferred Total $2.82 $1, Top Holdings Value Percent of Portfolio Theta Nh Portfolio Corporation 2021 (Fidelity Funds) $346,594 50% Theta Microsoft Corporation 256, Fidelity Theta Corporation Government Cash Reserves 54,575 8 Victory Theta Corporation S & P 500 Index Cl A 17,612 3 Blackrock Theta Corporation Capital Appreciation Invt A 7,660 1 Total $682,526 99% S 3 of 173 of 20

4 Account Value: $272, April 1, 2016 xx- April 30, 2016 xx X KATHLEEN THERESE JOHN HOGAN - INDIVIDUAL Change in Account Value $2, This Period Year-to-Date Beginning Account Value $275, $275, Additions 22, , Other Activity In 22, , Change in Investment Value * -25, , Ending Account Value $272, $272, Accrued Interest (AI) 0.00 Ending Account Value Incl. AI $272, Total Account Trades May 2015 XX- Apr 2016 XX: 0 * Appreciation or depreciation of your holdings due to price changes plus any distribution and income earned during the statement period. Income Summary This Period Year-to-Date Taxable - $1, Dividends - 1, Tax-exempt Dividends Total $0.06 $1, of 174 of 20

5 Account Summary (continued) Account Holdings 3% Core Account 3% Mutual Funds April 1, 2016 xx - April 30, 2016 X KATHLEEN THERESE JOHN HOGAN - INDIVIDUAL Core Account and Credit Balance Cash Flow Core Account: FIDELITY Theta Corporation MUNICIPAL MONEY MARKET This Period Year-to-Date Beginning Balance $7, $5, xx Investment Activity Securities Bought -$22, $22, Dividends, Interest & Other Income D , Other Activity In 22, , Total Investment Activity $0.06 $1, % Stocks Ending Balance $7, $7, D Includes dividend reinvestments. Holding Type Value Percent of Account Stocks $256,083 94% Mutual Funds 9,147 3 Core Account 7,554 3 Ending of Holdings $272, % Please note that, due to rounding, percentages may not add to 100%. Top Holdings Value Percent of Account Microsoft Theta Corporation $256,083 94% Blackrock Theta Corporation Capital Appreciation Invt A 7,660 3 Fidelity Theta Corporation Municipal Money Market 7,554 3 John Theta Hancock Corporation Finc'L Industries Class A 1,487 1 Total $272, % 5 of 175 of 20

6 Holdings April 1, April 30, 2016 xx xx X KATHLEEN THERESE JOHN HOGAN - INDIVIDUAL Core Account THETA FIDELITY CORPORATION MUNICIPAL MONEY MARKET (XXXXX) (FTEXX) Total Core Account (3% of account holdings) Beginning Apr 1,2016 XX Quantity Price Per Unit Ending Total Cost Basis Unrealized Gain/Loss EAI ($) / EY (%) $7, , $1.000 $7, not applicable not applicable - - $7, $7, Mutual Funds Stock Funds THETA BLACKROCK CORPORATION CAPITAL APPRECIATION (XXXXX) INVT A (MDFGX) JOHN THETA HANCOCK CORPORATION FINC'L INDUSTRIES CLASS (XXXXX) A (FIDAX) Beginning Apr 1,2016 XX Quantity Price Per Unit Ending Total Cost Basis Unrealized Gain/Loss EAI ($) / EY (%) $7, $ $7, $9,289.08cx -$1, , , , Total Stock Funds (3% of account holdings) $9, $9, $10, $1, $14.39 Total Mutual Funds (3% of account holdings) $9, $9, $10, $1, $14.39 Stocks Beginning Apr 1,2016 XX Quantity Price Per Unit Ending Total Cost Basis Unrealized Gain/Loss Common Stock THETA MICROSOFT CORPORATION (MSFT)(XXXXX) $258, , $ $256, $156, $99, $7, % Total Common Stock (94% of account holdings) EAI ($) / EY (%) $258, $256, $156, $99, $7, of 176 of 20

7 Holdings (continued) April 1, 2016 xx - April 30, 2016 xx X KATHLEEN THERESE JOHN HOGAN - INDIVIDUAL Total Stocks (94% of account holdings) $258, $256, $156, $99, $7, Total Holdings $272, $166, $98, $7, All remaining positions held in cash account. EAI Estimated Annual Income (EAI) & Estimated Yield (EY)- EAI is an estimate of annual income for a specific security position over the next rolling 12 months. EY is calculated by dividing the & EY current EAI for a security position by its statement closing date market value. EY reflects only the income generated by an investment; it does not reflect changes in its price, which may fluctuate. For certain types of securities, EAI and EY could include the return of principal or capital gains which would render them overstated. EAI and EY are estimates provided for informational purposes only and should not be relied on for making investment, trading, or tax decisions. There is no guarantee that your investments will actually generate the EAI or EY presented. Actual income and yield might be higher or lower. EAI and EY should not be confused with a security's 30-day Yield or 7-day Yield, if provided, as such yield quotations reflect the actual historical performance of a security. For additional information, including calculation details, refer to the "Additional Information and Endnotes" section at the end of your statement. Total Cost Basis does not include the cost basis on core, money market or other positions where cost basis is unknown or not applicable. c Cost basis information (or proceeds from short sales) has been provided by you and has not been adjusted except as otherwise indicated. When positions are transferred between accounts, in certain cases, cost basis information may be automatically transferred and deemed to be customer-provided. r Please note that due to rounding, percentages may not add to 100%. 7 of 177 of 20

8 Activity April 1, 2016 xx- April 30, 2016 xx X KATHLEEN THERESE JOHN HOGAN - INDIVIDUAL Securities Bought & Sold Settlement Symbol/ Transaction Date Security Name CUSIP Quantity Price Cost Amount i 04/05 THETA MICROSOFT CORPORATION ESPP### xxxxxxxxx You Bought $ $22, Total Securities Bought - -$22, Net Securities Bought & Sold - -$22, Dividends, Interest & Other Income (Includes dividend reinvestment) Settlement Date Security Name Symbol/ CUSIP Quantity Price Amount 04/29 THETA FIDELITY CORPORATION MUNICIPAL MONEY MARKET xxxxxxxxx Dividend Received - - $0.06 Total Dividends, Interest & Other Income $0.06 Other Activity In Settlement Symbol/ Transaction Date Security Name CUSIP Quantity Price Cost Amount 04/05 SPP PURCHASE CREDIT Journaled $22, Total Other Activity In - $22, Daily Additions and Subtractions Date Total Additions Total Subtractions Net Activity Daily Balance Date Total Additions Total Subtractions Net Activity Daily Balance 04/29 $ $0.06 $7, i Purchase of stock through your company stock plan. Please see your purchase transaction confirmation and specific plan section of this statement for your total cost, tax withholding, and any applicable fees. 8 of 178 of 20

9 Estimated Cash Flow (Rolling as of April 30, 2016) XX April 1, 2016 xx - April 30, 2016 xx X KATHLEEN THERESE JOHN HOGAN - INDIVIDUAL Month Bond & CD Income Bond & CD Principal Stock Income Mutual Fund Income Total Est. Cash Flow May 2016 XX June , ,849 July August September , ,849 October November December , ,863 January 2017 XX February March , ,849 April Total $7,396 $14 $7,410 This table presents the estimated monthly interest and dividend income and return of principal that your current holdings may generate over the next rolling 12 months. The cash flows displayed are estimates provided for informational purposes only and there is no guarantee that you will actually receive any of the amounts displayed. These estimates should not be relied upon for making investment, trading or tax decisions. The estimates for fixed rate domestic bond and CD income are calculated using the security's coupon rate. The estimates for domestic common stock and mutual fund income are calculated using an indicated annual dividend (IAD). The IAD is an estimate of a security's dividend payments for the next 12 months calculated based on prior and/or declared dividends for that security. IADs are sourced from third party vendors believed to be reliable, but no assurance can be made as to accuracy. There are circumstances in which these estimates will not be presented for a specific security you hold. Please refer to Help/Glossary on Fidelity.com for additional information on these calculations. Bond & CD Income includes interest payments for fixed rate bonds and Certificates of Deposit (CDs). Bond & CD Principal includes maturing principal payments for CDs and the following bonds: fixed rate, floating rate, variable rate, discount, and zero coupon. Stock Income includes estimated dividend payments for common stock, ADR's, and REITs. Mutual Fund Income includes estimated dividend payments for Fidelity and non-fidelity mutual funds. This table does not include cash flow from the following securities: preferred stocks, international stocks, exchange trade products (ETF's & ETN's), UITs, variable rate bonds, and international bonds, but may be included in future enhancements. -- not available 9 of 179 of 20

10 Stock Plans April 1, 2016 xx - April 30, 2016 xx Items shown under "Stock Plans" represent your interests under your company's stock plans, for which Fidelity Stock Plan Services LLC provides administrative and record keeping services. Items shown under "Stock Plans" are not assets held in your Fidelity brokerage account, and therefore are not carried by NFS and are not covered by SIPC. Fidelity Stock Plan Services LLC provides this statement to you as part of administrative and recordkeeping services it provides to the company. See the Participant Agreement for details. Employee Stock Purchase - MICROSOFT THETA ESPP PLAN Employee Stock Purchase Contribution Summary Offering Period Plan Type Payroll Deduction Employee Contributions (less withdrawals And adjustments) Total Withdrawals Total Adjustments 01/01/2016 XX-03/31/2016 Section % $0.00 $1, $0.00 Qualified 04/01/2016 XX-06/30/2016 Section % Qualified Future Offering Periods % Total for all Offering Periods $ $1, $ Employee Stock Purchase Summary Purchase Purchase Date Shares Gain from Excess 15 Offering Period Date Purchase Price Fair Purchased Purchase Amount 01/01/2016 XX-03/31/2016 Employee Purchase 03/31/2016 XX $ $ $2, $1, Total for all Offering Periods $2, $1, Employee Contribution balance reflects accumulated cash amount of payroll deductions in Employee Stock Purchase. 8 Total withdrawal values include cumulative withdrawals taken during the offering period. 11 Adjustment reflects a correction to or change in the outstanding contribution balance. 15 Excess Amount includes an amount that exceeded the maximum allowable under your plan rules or IRS share purchase value limits. 10 of of 20

11 Account Value: $346, Change in Account Value $3, This Period Year-to-Date Beginning Account Value $342, $339, Change in Investment Value * 3, , Ending Account Value $346, $346, * Appreciation or depreciation of your holdings due to price changes plus any distribution and income earned during the statement period. April 1, 2016 xx - April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - PARTICIPANT TOD College Investment Details Year-to-date 20XX Plan Contribution Cap: $375, Total Contributions Over Life of Plan: $235, xx Remaining to Contribute: $28, College Contribution Elections Percent of Contributions NH THETA PORTFOLIO CORPORATION 2021 (FIDELITY FUNDS) 100% Total 100% Holdings Percent of Beginning Price Ending Total Value Quantity per Unit Apr 30,2016 xx Apr 1,2016 xx Apr 30,2016 xx Apr 30,2016 xx Apr 30,2016 xx NH THETA PORTFOLIO CORPORATION 2021 (FIDELITY FUNDS) 100% $342, , $19.84 $346, Total $342, $346, Please note that due to rounding, percentages may not add to 100% 11 of of 20

12 Account Value: $72, April 1, 2016 xx- April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - TRADITIONAL IRA Change in Account Value $55.07 This Period Year-to-Date Beginning Account Value $72, $71, Change in Investment Value * Ending Account Value $72, $72, Accrued Interest (AI) 0.00 Ending Account Value Incl. AI $72, Total Account Trades May 20XX- Apr 20XX: 0 * Appreciation or depreciation of your holdings due to price changes plus any distribution and income earned during the statement period. Income Summary This Period Year-to-Date Tax-deferred $2.76 $71.57 Total $2.76 $71.57 Account Holdings 24% Mutual Funds 76% Core Account Holding Type Value Percent of Account Core Account $54,575 76% Mutual Funds 17, Ending of Holdings $72, % Please note that, due to rounding, percentages may not add to 100%. 12 of of 20

13 Account Summary (continued) Top Holdings Value Percent of Account Fidelity Theta Corporation Government Cash Reserves $54,575 76% Theta Victory Corporation S & P 500 Index Cl A 17, Total $72, % April 1, 2016 xx - April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - TRADITIONAL IRA Core Account and Credit Balance Cash Flow Core Account: FIDELITY Theta Corporation GOVERNMENT CASH RESERVES This Period Year-to-Date Beginning Balance $54, $54, Investment Activity Dividends, Interest & Other Income D Total Investment Activity $2.76 $6.36 Ending Balance $54, $54, D Includes dividend reinvestments. 13 of of 20

14 Holdings April 1, 2016 xx- April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - TRADITIONAL IRA Core Account FIDELITY THETA CORPORATION GOVERNMENT CASH RESERVES (XXXXX) (FDRXX) Total Core Account (76% of account holdings) Beginning Price Ending Unrealized Quantity Per Unit Gain/Loss EAI ($) / Apr 1,2016 xx Apr 30,2016 xx Apr 30,2016 xx Apr 30,2016 xx Cost Apr 30,2016 xx EY (%) $54, , $1.000 $54, not applicable not applicable - - $54, $54, Mutual Funds Stock Funds THETA VICTORY CORPORATION S & P 500 INDEX CL A (MUXAX) (XXXXX) Total Stock Funds (24% of account holdings) Total Mutual Funds (24% of account holdings) Beginning Apr 1,2016 Quantity Apr 30,2016 Price Per Unit Apr 30,2016 xx xx xx Ending Apr 30,2016 Cost Unrealized Gain/Loss Apr 30,2016 EAI ($) / EY (%) $17, $ $17, unknown unknown $ % $17, $17, $ $17, $17, $ xx xx Total Holdings $72, $0.00 $0.00 $ All remaining positions held in cash account. EAI Estimated Annual Income (EAI) & Estimated Yield (EY)- EAI is an estimate of annual income for a specific security position over the next rolling 12 months. EY is calculated by dividing the & EY current EAI for a security position by its statement closing date market value. EY reflects only the income generated by an investment; it does not reflect changes in its price, which may fluctuate. For certain types of securities, EAI and EY could include the return of principal or capital gains which would render them overstated. EAI and EY are estimates provided for informational purposes only and should not be relied on for making investment, trading, or tax decisions. There is no guarantee that your investments will actually generate the EAI or EY presented. Actual income and yield might be higher or lower. EAI and EY should not be confused with a security's 30-day Yield or 7-day Yield, if provided, as such yield quotations reflect the actual historical performance of a security. For additional information, including calculation details, refer to the "Additional Information and Endnotes" section at the end of your statement. 14 of of 20

15 Holdings (continued) April 1, 2016 xx- April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - TRADITIONAL IRA Total Cost does not include the cost basis on core, money market or other positions where cost basis is unknown or not applicable. r Please note that due to rounding, percentages may not add to 100%. 15 of of 20

16 Activity April 1, 2016 xx- April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - TRADITIONAL IRA Dividends, Interest & Other Income (Includes dividend reinvestment) Settlement Date Security Name Symbol/ CUSIP Quantity Price Amount 04/29 THETA FIDELITY CORPORATION GOVERNMENT CASH RESERVES xxxxxxxxx Dividend Received - - $2.76 Total Dividends, Interest & Other Income $2.76 Daily Additions and Subtractions Date Total Additions Total Subtractions Net Activity Daily Balance Date Total Additions Total Subtractions Net Activity Daily Balance 04/29 $ $2.76 $54, of of 20

17 Estimated Cash Flow (Rolling as of April 30, 2016) April 1, 2016 xx - April 30, 2016 xx KATHLEEN THERESE JOHN HOGAN - TRADITIONAL IRA Month Bond & CD Income Bond & CD Principal Stock Income Mutual Fund Income Total Est. Cash Flow May 2016 xx June July August September October November December January 2017 xx February March April Total $304 $304 This table presents the estimated monthly interest and dividend income and return of principal that your current holdings may generate over the next rolling 12 months. The cash flows displayed are estimates provided for informational purposes only and there is no guarantee that you will actually receive any of the amounts displayed. These estimates should not be relied upon for making investment, trading or tax decisions. The estimates for fixed rate domestic bond and CD income are calculated using the security's coupon rate. The estimates for domestic common stock and mutual fund income are calculated using an indicated annual dividend (IAD). The IAD is an estimate of a security's dividend payments for the next 12 months calculated based on prior and/or declared dividends for that security. IADs are sourced from third party vendors believed to be reliable, but no assurance can be made as to accuracy. There are circumstances in which these estimates will not be presented for a specific security you hold. Please refer to Help/Glossary on Fidelity.com for additional information on these calculations. Bond & CD Income includes interest payments for fixed rate bonds and Certificates of Deposit (CDs). Bond & CD Principal includes maturing principal payments for CDs and the following bonds: fixed rate, floating rate, variable rate, discount, and zero coupon. Stock Income includes estimated dividend payments for common stock, ADR's, and REITs. Mutual Fund Income includes estimated dividend payments for Fidelity and non-fidelity mutual funds. This table does not include cash flow from the following securities: preferred stocks, international stocks, exchange trade products (ETF's & ETN's), UITs, variable rate bonds, and international bonds, but may be included in future enhancements. -- not available <Important Information Disclosures -TBD> 17 of 17 of 20