EFTA00315661

Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 FORMS 1099 & DETAILS LESLEY KATHERINE GROFF & DANIEL GROFF JTWROS YEAR-END MESSAGES CERTAIN EVENTS SUCH AS COST BASIS ADJUSTMENTS OR RECLASSIFICATIONS OF AN INCOME PAYMENT RECEIVED FROM A MUTUAL FUND, ETF, REIT, OR RIC MAY RESULT IN AN AMENDED 1099 FOR PRIOR OR CURRENT TAX YEARS. PLEASE SEE INSERT FOR DETAILS OR VISIT WWW.ETRADE.COM/COSTBASIS FOR ANY UPDATES. QUESTIONS PLEASE CALL 800-ETRADE-1 (800-387-2331) OR LOG ON TO YOUR ACCOUNT AND SEND US A SECURE MESSAGE BY CLICKING ON THE CUSTOMER SERVICE LINK AT THE TOP OF TABLE OF CONTENTS PAGE THE PAGE. Consolidated 1099 Sections: 1099 Dividends and Interest 2 1099 Gross Proceeds 4 Details: 1099 Dividend & Distribution Details 13 1099 Interest Income Details 14 Your Account did not receive the following Forms: 1099-OID Investment Details 15 1099-MISC 1099-C Page I of IS EFTA00315661 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number —rill PO BOX 484 JERSEY CITY, NJ 073030484 Account Executive No: ET1 CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, Stale. and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer's Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E'TRADE CLEARING LLC PO BOX 484 Copy B for recipient ED 2nd TIN Notice JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 CONSOLIDATED 1099 FORM 2013 FORM 1099-DIV: DIVIDENDS AND DISTRIBUTIONS (OMB NO. 1545-0110) 2013 FORM 1099-INT: INTEREST INCOME (OMB N0.1545-0112) la Total Ordinary Dividends 510,826.81 1 Interest Income not included in box 3 $1,261.61 1b Qualified Dividends 510,826.81 2 Early withdrawal penalty 2a Total Capital Gains Distribution 523,700 00 3 Interest on U.S. Savings Bonds 2b Unrecap Sec. 1250 gain 5791.58 and Treasury obligations 2c Section 1202 gain 4 Federal income tax withheld 2d Collectibles (28%) gain 5 Investment Expenses 3 Non dividend distributions 6 Foreign tax paid 4 Federal income tax withheld 7 Foreign country or US possession 5 Investment Expenses 8 Tax-Exempt Interest 6 Foreign tax paid 9 Specified private activity bond interest 7 Foreign country or US possession 10 Tax-exempt bond CUSIP no. 8 Cash liquidation distributions 11 State 9 Noncash liquidation distributions 12 State Identification no. 10 Exempt-interest dividends 13 State tax withheld 11 Specified Private Activity bond interest dividends 12 State 13 State identification no. 14 State tax withheld This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 2 el le EFTA00315662 1099-DIV Instructions for Recipient Recipient's dent',ication number. For tour protection, this form may snow only the last cost (or other basis). You must reduce your oost for other basis) by this amount for Sour digits of your social security number ISSN). indmdual taxpayer dertriesion venter flouring gain or lass when you sal your stock. But i you pet back al your met (ITN.) or adoption taxpayer identification number (ATP!) However the issuer has (or other basis). report tutee astibuticas as caudal pairs See Pub 550. Investment reported your complete idenuficanon number to the IRS and. whore *globe to state Income and E menses and load governments. Box 4. Shows backup withholdng. A payer must badap withhold on certain payments Account number.May show an accoum or other unique number the payer assigned to i you did not give your tavern identification number to the payer. See Form distinguish your account. W'9. Request for Taxpayer lientilianion Number and Ceitfication. for information Box I. Shows total ordinary dieWends that are taxable. Include this amount on km Oa on backup wthholdng. Include this amount on your inocene tax return as tax withheld. ri Form 1040 or 10404. tdso, report e on Schedule B (1040A or 1040). required. Box 5. Shows your share of *menses of a nonsubncle offered regulated investment Box 1b. Shows the portionof the amount in box laths may be &gbh for reduced company, generally a nonputricly offered mutualItmd If you fib Form 1040, you may capital gins rates. See Fan, 104O't040A instructive for ti0vi1O determine this deduct these expenses on the tther expenses line on Schedule A (Form t04O) saes% amount. Report the elieble amount on IS Bs. Form 1040 or I040A. to the mind. This amount n included in box la The amount shown may be dividends a corporation paid tinselly to you as a panSPern BOX 8.Shows the foreign tax that you may be able to claim as a deduction or a credit on (or beneficiary of a panictoam) in an employee stock ownership plan (ESOP). Report k Form 1010. See the Form HMO instructions as a dividend on your Form 1040'1040A but treat t as a plan distrbution, nor as Box 7. This box should be left btailt it investment company reported the investmem income. la any other Winos*. Ionian tax chasm in box 6 Box 25. Shows total capital gain di:phut:3ns from a regulated investment company or Boxes 8 end 9. Shows cash and nornash lquidation darbutionr. real estate investment trust. Neon the amounts shown in box 2a on Schedule D Box I 0.Shovn exerraintemet die deeds from a mutual fund a other regulated (Form 1040),Ine la Bit, 4 no amount is shown in boxes 2c-2d and your only capital iwestmem company paid to you during the calendar year. Include this amount on line fib gains and losses are capital gait dstributions. you may be able to repot the amounts of Form 1040 or 10404 as taxexemm interest. This amount maybe subject to backup sham a tom 2a on Ise 13 of Form 1040 (line 10 ot Form 0401) rather than withholding. See box 4. Schedule 0. Sea the Form 104O'1040A istmaions Box I I.Shows exempt-Worst dudends subject to the atematme minimum tax. This Box 2b. Shoes the portion of the amount in box 2a that is umeCanaued section 1250 amount is included in box 10. See the Instructions for Form 6251. gain Iran certain depreciable real property. Report this amount on the Unrecaptured Boxes 12.14. State acme tax withheld reposing boxes. Section 1250 Chain Worksheetline 19 in the Schedule D instructions (Form 1040) Nominees. If this form includes amount botoriging to another person, you are considered Box 2e Shows the portion of the amount in box 2a that S section 1202 gain from a nominee recipient You must file Form 1099.01Y (with a Form 1036) with the IRS certain smal business stock that may be subject to a 50% exclusion and certain for each of the other owners to show Mei share of the income, and you must furnish empowerment Ione business sock that may be subject to a 60% exclusion. See the a Form 1099.DIV to each A husband or wife is not required to file a nominee return Scheduie 0 (Form 1040) instructions. to show mounts tinned by the other. See the 2013 General bistro:bore for Certain Box 2d. Shoes 28% rate gain from sake or exchanges of colkrctbles. If required. use Information Returns. this amount when completing the 28% Rea Gain Worksheet-Line 18 in the instructions Future developments. For the latest information about the developments for Schedule D (Form 1040). raised to Form 1009-DIY and its instructive, such as legislation enacted after Box 3. Shows the pan of the detrbution that is nontaxable because it is a return of your they were pitted. go to nwntifs.gorefomil099c4r. 1099-INT Instructions for Recipient Recipient's klentilkation number.For your protection, this form may show only the last Box 5. Any arncum shovel is your share of investment ecenses et a sngle-dass REIAIC. tour digits of your social security number (SSN). individual taxpayer idattiotech number you No Form 1040, you may deduct these expenses on the 'Other *menses' knit of (ITN), or adoption taxpayer identification number (ATIN) However, the issuer has Schedule A (Form 1040f subject to the 2% limit The amount is included in bpi I repotted your complete identification number to the IRS and, where applcable. to suite Box 6.Shows forego lax paid. You may be able to claim this tax as a deduction or a credit andtt local governments. on your Form 1040. See your Form 1040 instruabra. Account number.May show an accoum or other unique number the payer assigned to Box 7. Shows the country or U.S. possession to which the foreign tax was paid dainguish your account Box 8. Shows lexeserra interest pail to you during the calendar yew by the payer. Report Box 1. Shows taxable interest pad to you during the calendar year by the payer This this amoum on line fib cd Rim 1040 or Form 1040A This amount may he subject to does not include interest shown in box 3. May also show the total amount of the credits backup wehtioldng See box 4. from clean renewable energy bonds, quaWied forestry conservation bonds, new dean Box 9. Shows taxexemot interest subject to the alternative minimum tax. This amount is renewable energy bonds. qualified energy conservation bonds, quaffed Ione academy inziuded it box 8. See the instructions for Form 6251. bonds. quoited school annual:in bonds, and build America bonds rat must be Box 10. Shows CUSIP numbens) fa tax-ex/apt bond(s) on which =exempt interest was ixtuded in your interest income. These amounts were treated as paid to you Outing paid to you during the calendar year and reported in box S If Nark. no CUSP number was 2013 on the trod: allowance does (March I5. June IS, September I5. and December issued for the bond(s). I5). For more information, see Form 8912, Credo to Hoiden of Tax Greet Bonds. Boxes 11.13. State tax withhold reporting boxes. Box 2. Shows interest or princtx9 Socketed beaus of early withdrawal of time savings. Nominate this form includes amounts belonging to another person(s), you NO considered You may deduct this nun to figure you adjusted (rots income on your insole tax a nominee recent Complete a Fam 1099.IS/T for each of the other owners showing the return See the ristructions for Form 1040 to see where to take the deduction. income savable to each. File Copy A of the form with the IRS. Furnish Copy B to each Box 3. Shows interest on U.S. Savings Bonds. Treasury bills. Treasury bonds. and owner. List yourself as the *payer and the other owner(s) as the 'recPiern.* Fie Form(s) Treasury notes. The may or may not all be taxable See Pub 560. This interest is 1O9PINT with Form 1096 cosh the Internal Revenue Service Center for your area. On exempt from state and local income taxes This interest is not included n box I. Form 1096 rat yoursef as the *filar.* A husband or wife is not required to tile a nominee Box 4. Shows backup wkhholdng. Generally. a payer must McKie withhold il you did return to show amounts owned by the other. rim furnish your Impanel identification number (TIN) or you did not fwish the correct Future developments. Footholds= informabn about developments related to Form TIN to the payer. See Fall W9 Include this amount on your income tax resit as tax 1009-INT and es instructions, such as legislation enacted afar they were published, go to withheld, mineits.gototom11030m. Page 3 ol 18 EFTA00315663 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number:- -- -Ill PO BOX 484 JERSEY CITY, NJ 07303O484 Account Executive No: ET1 CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, State. and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer's Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E'TRADE CLEARING LLC PO BOX 484 Copy B for recipient ED 2nd TIN Notice JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6: Noncovered Securities Report on Form 8949, in either Part I or Part II, as appropriate. (Box 1a) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax Tranz•an c or Exchange Sold 8 Option Premiums Withheld Type 03/04/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2500.00000 $17,098.12 PRICE: 6.84340 03/14/2013 - PALADIN ENERGY LTD PALAF 07264T104 5000.00000 $5,243.22 PRICE: 1.05000 03/14/2013 ***PALADIN ENERGY LTD PALAF 07264T104 2500.00000 $2,621.61 PRICE: 1.05000 04/10/2013 ***REGIS RESOURCES NL RGRNF 08059NI20 4500.00000 $20,016.01 PRICE: 4 45000 04/10/2013 - REGIS RESOURCES NL RGRNF 08059N120 500.00000 52,224.00 PRICE: 4 45000 04/10/2013 - REGIS RESOURCES NL RGRNF 08059N 120 5500.00000 $24,355.01 PRICE: 4.43000 04/11/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 1000.00000 516,429.64 PRICE: 16.44000 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 4 of 18 EFTA00315664 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number: - -- -IIII PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Noncovered Securities Report on Form 8949. in either Part I or Part II. as appropriate. (Box la) (Box 8) (Box Id) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax Tranz•atic or Exchange F Sold & Option Premiums Withheld Type 04/12/2013 - REGIS RESOURCES NL RGRNF O8059N120 100.00000 $415.01 PRICE: 4.25000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 200.00000 $1,410.46 PRICE: 7.05250 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1300.00000 $9,171.29 PRICE: 7.05500 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2000.00000 $14,093.97 PRICE: 7.05000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1200.00000 $8,456.38 PRICE: 7.05000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 300.00000 $2,114.10 PRICE: 7.05000 04/15/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 1864.00000 $19,002.38 PRICE: 10.20000 04/15/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 2136.00000 $21,789.27 PRICE: 10.20120 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 400.00000 $2,784.33 PRICE: 6.96100 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1943.00000 $13,512.98 PRICE: 6.96000 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2557.00000 $17,770.75 PRICE: 6.95000 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 100.00000 $694.98 PRICE: 6.95000 04/22/2013 CAMBREX CORP CBM 132011107 100.00000 $1,291.48 PRICE: 13.01500 04/22/2013 CAMBREX CORP CBM 132011107 900.00000 $11,708.73 PRICE: 13.01000 This Is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 5 of 18 EFTA00315665 Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LLC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Noncovered Securities Report on Form 8949. in either Part I or Part II, as appropriate. (Box la) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax or Exchange J Sold & Option Premiums Withheld Type 04/22/2013 DELL INC 24702R101 1000.00000 513,261.30 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 513,261.32 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 $13,261.30 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 $13,261.30 PRICE: 13.26360 04/22/2013 DELL INC 24702R101 1000.00000 513,261.30 PRICE: 13.26360 04/23/2013 "'REGIS RESOURCES NL RGRNF O8059N120 2500.00000 $9,015.01 PRICE: 3.61000 05/09/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 3000.00000 $28,195.77 PRICE: 9.40080 05/09/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 2000.00000 $18,797.18 PRICE: 9.40080 05/09/2013 "'REGIS RESOURCES NL RGRNF O8059N120 10O0.00000 54,230.01 PRICE: 4.24000 05/21/2013 "'REGIS RESOURCES NL RGRNF O8059N120 9600.00000 $35,605.21 PRICE: 3.71000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 100.00000 $1,939.47 PRICE: 19.49500 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 4700.00000 591,601.40 PRICE: 19.49000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 2700.00000 $52,643.69 PRICE: 19.50000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 700.00000 $13,648.36 PRICE: 19.50000 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 6 of 18 EFTA00315666 Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LIC Taxpayer Identification Number: - -- -IIII PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Noncovered Securities Report on Form 8949. in either Part I or Part II. as appropriate. (Box la) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 4) Sales Price Date of Sale Description Symbol Cusip Quantity Less Commissions Federal Income Tax Transaction or Exchange Sold & Option Premiums Withheld Type 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 100.00000 $1,949.77 PRICE: 19.50000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 200.00000 $3,899.53 PRICE: 19.50000 05/29/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 1300.00000 525,346.96 PRICE: 19.50000 05/31/2013 - REGIS RESOURCES NL RGRNF O8059N120 6800.00000 526,101.55 PRICE: 3.84000 06/20/2013 "'REGIS RESOURCES NL RGRNF O8059N120 1000.00000 $3,039.95 PRICE: 3.05000 06/20/2013 "'REGIS RESOURCES NL RGRNF O8059N120 10000.00000 $29,989.48 PRICE: 3.00000 06/21/2013 TRIAN ACQUISITION 895ESC994 5000.00000 $84.97 - MERGER 08/06/2013 "'MCDERMOTT INTERNATIONAL INC MDR 580037109 300.00000 $2,163.47 PRICE: 7.25000 08/0,6/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 2200.00000 $15,916.72 PRICE: 7.24000 08/06/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 500.00000 $3,558.64 PRICE: 7.12140 08/06/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 500.00000 $3,558.64 PRICE: 7.12140 08/06/2013 - MCDERMOTT INTERNATIONAL INC MDR 580037109 1500.00000 510,675.92 PRICE: 7.12140 09/12/2013 "'REGIS RESOURCES NL RGRNF O8059N120 5000.00000 519,039.67 PRICE: 3.81000 10/16/2013 CAMBREX CORP CBM 132011107 570.00000 $9,104.15 PRICE: 15.99000 49 ITEMS -Total 102870.00000 $688,615.76 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 7 of 18 EFTA00315667 Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LLC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303-0484 Account Executive No: ETI CORRECTED: 03/19/2014 RECIPIENTS Name, Street Address, City, State, and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer's Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E'TRADE CLEARING LLC PO BOX 484 Copy B for recipient C 2nd TIN Notice JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box lc): Short Term 'If box 2b checked, loss based on amount in box 2 is not allowed Report on Form 8949, Part I with box A, as appropriate. (Box la) (Box ib) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 5) (Box 4) ('Box 2b) Date of Sale Date of Sales Price Cost or Wash Sale Federal or Exchange Acquisition Description Symbol Cusip Quantity Less Commissions Other Basis Loss Income Tax Loss Not Sold & Option Premiums Disallowed Withheld I Allowed 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 100.00000 $83.00 $83.56 0 0.83010 PRICE: 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 900.00000 $737.98 5756.00 0 PRICE: 0.83110 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 100.00000 $83.00 $83.77 0 PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 400.00000 $331.99 $335.24 0 PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 7499.00000 $6,224.07 $6,299.16 O PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 400.00000 $331.99 $334.40 O PRICE: 0.83000 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 8 of 18 EFTA00315668 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number: -" PO BOX 484 JERSEY CITY, NJ 073030484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box lc): Short Term 'If box a checked. loss based on amount in box 2 is not allowed Report on Form 8949, Part I with box A, as appropriate. (Box la) (Box lb) (Box 8) (Box id) (Box 1e) (Box 2a) (Box 3) (Box 5) (Box 4) eBox 2b) Date of Sale Date of Sales Price Cost or Wash Sale Federal or Exchange I Acquisition Description Symbol Cuslp I Quantity Less Commissions Other Basis Loss Income Tax Loss Not old & Option Premium Disallowed Withheld Mowed 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 600.00000 $497.99 $511.53 () PRICE: 0.83000 09/18/2013 11/13/2012 FIRSTMARBLEHEADCORP 320771108 9999.00000 $8,189.04 $7,609.23 () PRICE: 0.82000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 4153.00000 $4,103.19 $2,824.04 () PRICE: 0.99000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 500.00000 $494.00 $339.50 () PRICE: 0.99000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 100.00000 $98.80 $67.88 O PRICE: 0.99000 10/18/2013 11/16/2012 FIRSTMARBLEHEADCORP 320771108 300 00000 $296.40 $213.78 () PRICE: 0.99000 11/13/2013 09/26/2013 DOLAN COMPANY DM 25659P402 1400.00000 $1,327.52 $3,080.00 () PRICE: 0.95110 11/13/2013 09/03/2013 DOLAN COMPANY DM 25659P402 1000.00000 $948.23 32,359.89 O PRICE: 0.95110 11/13/2013 09/26/2013 DOLAN COMPANY DM 25659P402 1100.00000 $1,043.05 $2,428.89 O PRICE: 0.95110 12/13/2013 10/17/2013 MODEL N INC MODN 607525102 900.00000 $9,781.83 $8,640.00 O PRICE: 10.88000 12/24/2013 10/15/2013 MODEL N INC MODN 607525102 1000.00000 $11,479.81 $9,419.99 O PRICE: 11.49000 17 ITEMS - Total 30451.00000 $46,051.89 $45,386.86 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported. Page 9 el 18 EFTA00315669 Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LLC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box le): Long Term 'If box 2b checked, loss based on amount in box 2 is not allowed Report on Form 8949, Part II with box D, as appropriate. (Box la) (Box lb) (Box 8) (Box 1d) (Box le) (Box 2a) (Box 3) (Box 5) (Box 4) ('Box 2b) Date of Sale Date of Sales Price Cost or Wash Sale Federal or Exchange Acquisition Description Symbol Cusip Quantity Less Cormtissions, Other Basis Loss Income Tax Loss Not Sold & Option Premiumti Disallowed Withheld Mowed 02/13/2013 11/16/2011 GLOBALOPTIONS GROUP INC 37946D209 15500.00000 $37,034.18 $38,759.99 () PRICE: 2.39000 02/28/2013 03/16/2011 "'ALLOT COMMUNICATIONS L ALLT M08540105 400.00000 $5,517.88 $4,942.00 () PRICE: 13.82000 02/28/2013 03/16/2011 "'ALLOT COMMUNICATIONS L ALLT M08540105 1100.00000 $15,179.65 $13,590.49 () PRICE: 13.80000 04/09/2013 05/11/2011 GRAMERCY CAPITAL CORP 384871307 1000.00000 $33,229.26 $23,005.00 () PRICE: 33.24000 07/30/2013 05/11/2011 GRAMERCY PROPERTY TRUST I GPTPRA 38489R209 500.00000 $16,889.71 $11,502.50 () PRICE: 33.80000 08/06/2013 05/11/2011 GRAMERCY PROPERTY TRUST I GPTPRA 38489R209 400.00000 $13,525.77 $9,202.00 () PRICE: 33.84000 6 ITEMS - Total 18900.00000 $121,376.45 $101,001.98 This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or other sanction may be Imposed on you if this income is taxable and the IRS determines that it has not been reported. Page lad la EFTA00315670 1099-B Instructions for Recipient Bev 3. SMeale. 00I a other Ma oteearlsre cola lee. MMebae0Dot 3.1., tee* Sos Me bans and bat< ictocrger orport;oxcerS eon trinracbonr to pow re Ow AS on Fain 1039.B Fain NO eelottlaess. Scheele 0 bratens. Co Rib 5501b del& Reporting It aloOrcroaree rte. you trOla IrOrot a NI MSC" TO Item Mal • 0GpOrinero el retell you Bga4.iro.t bathe viltInking Get&My la)* teal* SIWOtlt yau dd Ivrea., you con itodthoe had I repolatk Chance1,05MM Cr eaplal &Meta< fly My to rt.:Ural TO NOW** trorybytr 110411caDOO nether 10 Me payer See FoollIIMI bar Han=dy on bartinpArccidryi inalee gaertan tO r101131 a Cab. 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Meta Wit more ofr pots 2013 Form (011 :ante= D We bolo tale WM yeti a vary IMO' On O separate women Boxes 13-15.9vas itsleivane tax teeneid Page I I CI 18 EFTA00315671 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LIC Taxpayer Identification Number: - -- -IIII PO SOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 END OF 2013 CONSOLIDATED FORM 1099 EFTA00315672 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number —rill PO BOX 484 JERSEY CITY, NJ 07303O484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 DIVIDEND & DISTRIBUTION DETAILS DETAILS OF 2013 FORM 1099-DIV Date Security CUSIP Transaction Amount Income Tax Foreign Country Comments Description Description Withheld Tax Paid 03/12/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend $560.00 06/07/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend $560.00 09/10/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend $560.00 12/13/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend $700.00 01/04/2013 CONVERGYS CORP 212485106 Qualified Dividend $375.00 04/05/2013 CONVERGYS CORP 212485106 Qualified Dividend $450.00 07/05/2013 CONVERGYS CORP 212485106 Qualified Dividend $450.00 10/04/2013 CONVERGYS CORP 212485106 Qualified Dividend $450.00 01/23/2013 DELL INC 24702R101 Qualified Dividend $400.00 04/22/2013 DELL INC 24702R101 Qualified Dividend $400.00 01/0812013 MERCK & CO INC 58933Y105 Qualified Dividend $619.63 04/05/2013 MERCK & CO INC 58933Y105 Qualified Dividend $619.63 07/0812013 MERCK & CO INC 58933Y105 Qualified Dividend $619.63 10/07/2013 MERCK & CO INC 58933Y105 Qualified Dividend $619.63 10/28/2013 - REGIS RESOURCES NL US LISTED Q8059N120 Qualified Dividend $3,443.29 Total Qualified Dividends (Box lb included in Box la) $10,826.81 Total Ordinary Dividends (Box la) $10,826.81 11/08/2013 HMG COURTLAND PROPERTIES INC 404232100 Qualified Long Tenn Gain $22,908.42 Total Capital Gains Distributions Included in Box 2a $22,908.42 11/08/2013HMG COURTLAND PROPERTIES INC 404232100 Section 1250 Gain $791.58 Total Unrecap. Sec. 1250 Gain (Box 2b included in 2a) $791.58 Total Capital Gains (Box 2a) $23,700.00 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Pa 9e 3d EFTA00315673 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 INTEREST INCOME DETAILS DETAILS OF 2013 FORM 1099•INT Date Security CUSIP Transaction Amount Income Tax Foreign Country Comments Description Description Withheld Tax Paid 01/28/2013E TRADE BANK terest $123.59 02/26/2013E TRADE BANK terest 5128.82 03/26/2013E TRADE BANK terest $111.98 04/26/2013E TRADE BANK terest $73.48 05/28/2013E TRADE BANK terest $176.13 06/26/2013E TRADE BANK terest 5190.84 07/26/2013E TRADE BANK terest $67.60 08/26/2013E TRADE BANK terest 578.24 09/26/2013E TRADE BANK terest $91.89 10/28/2013 E TRADE BANK SWEEPMAX DEP ACCT (FD terest $86.63 11/26/2013 E TRADE BANK SWEEPMAX DEP ACCT (FD terest $81.51 12/26/2013 E TRADE BANK SWEEPMAX DEP ACCT (FD terest 550.90 Total Interest Income Not Included in Box 3 (Box 1) $1,261.61 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page led 18 EFTA00315674 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LIC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 INVESTMENT DETAILS DETAILS OF 2013 PURCHASES AND SALES Date Security CUSIP Transaction Quantity Price Amount Comments Description Description 04/22/2013 CAMBREX CORP 132011107 Sell 100.000 $13.02 51,291.48 04/22/2013 CAMBREX CORP 132011107 Sell 900.000 $11,708.73 10/16/2013 CAMBREX CORP 132011107 Sell 570.000 $15319 091 $9,104.15 04/22/2013 DELL INC 24702R101 Sell 5,000.000 $13.26 $66,306.52 09/03/2013 DOLAN COMPANY 25659P402 Purchase 1,000.000 52.35 $ 20 $2,359.89 09/26/2013 DOLAN COMPANY 25659P402 Purchase 1,100.000 $2,428.89 09/26/2013 DOLAN COMPANY 25659P402 Purchase 1,400.000 $2.20 $3,080.00 11/13/2013 DOLAN COMPANY 25659P402 Sell 3,500.000 $0.95 $3,318.80 09/18/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 700.000 $4.25 $2,984.92 09/18/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 1,300.000 $4.25 $5,520.84 09/26/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 2,500.000 $4.31 $10,784.74 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 400.000 $4.16 $1,673.63 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 500.000 $4.16 52,079.50 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 1,100.000 $4.16 $4,576.00 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.96 $96.39 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.97 $96.68 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.97 $96.70 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.97 $97.00 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 200.000 $0.96 $202.31 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 300.000 $0.96 $288.30 09/16/2013 FIRST MARBLEHEAD CORP 320771108 Sel 100.000 $0.83 $83.00 09/16/2013 FIRST MARBLEHEAD CORP 320771108 Sel 900.000 $0.83 $737.98 09/16/2013 FIRST MARBLEHEAD CORP 320771108 Sel 8,999.000 $0.83 $7,469.04 09/18/2013 FIRST MARBLEHEAD CORP 320771108 Sel 9,999.000 $0.82 $8,189.04 10/18/2013 FIRST MARBLEHEAD CORP 320771108 Sel 5,053.000 $0.99 $4,992.39 02/13/2013 GLOBALOPTIONS GROUP INC 37946D209 Sel 15,500.000 $2.39 $37,034.18 03/04/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 2,500.000 $6.84 $17,098.12 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 200.000 $7.05 $1,410.46 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 1,300.000 $7.05 $9,171.29 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 3,500.000 $7.05 $24,664.45 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 Set 400.000 $6.96 $2,784.33 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 1,943.000 $6.96 $13,512.98 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sel 2,657.000 $6.95 $18,465.73 04/09/2013 GRAMERCY CAPITAL CORP 384871307 Sel 1,000.000 $33.24 $33,229.26 07/30/2013 GRAMERCY PROPERTY TRUST INC 38489R209 Sel 500.000 $33.80 $16,889.71 08/06/2013 GRAMERCY PROPERTY TRUST INC 38489R209 Sel 400.000 $33.84 $13,525.77 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page 15d 18 EFTA00315675 Account No: Account Name: LESLEY KATHERINE GROFF & E'TRADE CLEARING LIC Taxpayer Identification Number: PO BOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 INVESTMENT DETAILS DETAILS OF 2013 PURCHASES AND SALES Date Security CUSIP Transaction Quantity Price Amount Comments Description Description 03/04/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 55.000 $12.61 03/04/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 100.000 $12.63 $1,272.99 9553. 03/04/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 225.000 $12.01 $2,712.24 03/04/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 500.000 $16.00 $8,009.99 03/04/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 1,945.000 $12.65 $24,604.25 03/05/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 600.000 $15.30 $9,189.99 03/06/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 26.000 $14.42 03/06/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 938.000 $14.51 $13$3 ,6270 4:3972 03/06/2013 HMG COURTLAND PROPERTIES INC 404232100 Purchase 1,536.000 14 01 $$4:5 $22,287.36 10/01/2013 INTEGRATED ELECTRICAL 45811E301 Purchase 2,400.000 $9,633.99 04/15/2013 "'MCDERMOTT INTERNATIONAL INC 580037109 Sel 1,864.000 $ $19,002.38 04/15/2013 "'MCDERMOTT INTERNATIONAL INC 580037109 Sel 2,136.000 $10.20 $21,789.27 05/09/2013 ***MCDERMOTT INTERNATIONAL INC 580037109 Sel 5,000.000 $9.40 $46,992.95 08/06/2013 ***MCDERMOTT INTERNATIONAL INC 580037109 Sel 300.000 $7.25 $2,163.47 08/06/2013 "'MCDERMOTT INTERNATIONAL INC 580037109 Sel 2,200.000 $7.24 $15,916.72 08/06/2013 "'MCDERMOTT INTERNATIONAL INC 580037109 Sel 2,500.000 $7.12 $17,793.20 10/15/2013 MODEL N INC 607525102 Purchase 1,000.000 $9.41 $9,419.99 10/17/2013 MODEL N INC 607525102 Purchase 100.000 $9.60 $969.98 10/17/2013 MODEL N INC 607525102 Purchase 900.000 $9.60 $8,640.00 10/23/2013 MODEL N INC 607525102 Purchase 400.000 $9.26 $3,713.99 10/25/2013 MODEL N INC 607525102 Purchase 1,000.000 $9.16 $9,169.99 11/04/2013 MODEL N INC 607525102 Purchase 1,000.000 $8.80 $8,809.99 11/07/2013 MODEL N INC 607525102 Purchase 1,000.000 $8.41 $8,419.99 12/13/2013 MODEL N INC 607525102 Sel 900.000 $10 1:4 889 $9 81 83 12/24/2013 MODEL N INC 607525102 Sel 1,000.000 $11,479.81 7 04/11/2013 PINNACLE ENTERTAINMENT INC 723456109 Sel 1,000.000 $16,429.64 05/29/2013 PINNACLE ENTERTAINMENT INC 723456109 Sel 100.000 $19 6.544 0 $1,939.47 05/29/2013 PINNACLE ENTERTAINMENT INC 723456109 Sel 4,700.000 $19.49 $91,601.40 05/29/2013 PINNACLE ENTERTAINMENT INC 723456109 Sel 5,000.000 $19.50 $97,488.31 06/21/2013 TRIAN ACQUISITION 895ESC994 Merger 5,000.000 5174.8987 $5,58 02/28/2013 ***ALLOT COMMUNICATIONS LTD M08540105 Sel 400.000 $13.82 02/28/2013 — ALLOT COMMUNICATIONS LTD M08540105 Sel 1,100.000 $13.80 $15,179.65 03/14/2013 —*PALADIN ENERGY LTD 07264T104 Sel 7,500.000 $1.05 $7,864.83 04/10/2013 - REGIS RESOURCES NL 08059N120 Sel 5,000.000 $4.45 $22,240.01 04/10/2013 - *REGIS RESOURCES NL 08059N120 Sel 5,500.000 $4.43 $24,355.01 04/12/2013 —*REGIS RESOURCES NL 08059N120 Sel 100.000 $4.25 150 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES: ONLY 1 Page led 18 EFTA00315676 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number: --nisi PO BOX 484 JERSEY CITY, NJ 073030484 Account Executive No: ET1 CORRECTED: 03/19/2014 2013 INVESTMENT DETAILS DETAILS OF 2013 PURCHASES AND SALES Securi% CUSIP Transaction Quantity Price Amount Comments Descript Description 0412312013 "'REGIS RESOURCES NL Q8059N120 Sel 2,500.000 $3.61 69,015.01 05/09/2013 "'REGIS RESOURCES NL 08059N120 Sel 1,0043000 $4.24 $4,230.01 05/21/2013 "'REGIS RESOURCES NL Q8059N120 Sel 9,600.000 $3.71 $35,605.21 05/31/2013 "'REGIS RESOURCES NL 08059N120 Sel 6,800.000 $3.84 $26,101.55 06/20/2013 "'REGIS RESOURCES NL Q8059N120 Sel 1,000.000 $3.05 $3,039.95 06/20/2013 "'REGIS RESOURCES NL 08059N120 Sel 10,000.000 $3.00 $29,989.48 09/12/2013 "'REGIS RESOURCES NL 08059N120 Sel 5,000.000 $3.81 $19,039.67 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Pa9e lid 18 EFTA00315677 Account No: Account Name: LESLEY KATHERINE GROFF & ETRADE CLEARING LLC Taxpayer Identification Number:*- -- -' PO SOX 484 JERSEY CITY, NJ 07303.0484 Account Executive No: ET1 CORRECTED: 03/19/2014 END OF 2013 DETAILS Page I 8 et 18 EFTA00315678