Default Summary

Default Summary for April 01, 2012 - April 30, 2012 Expand All | Contract All | Print

Account Information
Name Customer Name  
Master Account UXXXXXX  
Base Currency USD  

NAV Summary
Name Account Account Type Starting Net Asset Value Ending Net Asset Value
Customer Name UXXXXXX Advisor Client 315,406.03 314,044.02
Customer Name UXXXXXX Advisor Client 104,327.60 104,305.56
   Total in USD 419,733.63 418,349.58

Profit and Loss Summary
Name Account MTM Commissions Dividends Total
Customer Name UXXXXXX -1,482.81 -5.14 135.94 -1,352.01
Customer Name UXXXXXX -168.45 -4.00 154.51 -17.94
   Total in  -1,651.26 -9.14 290.45 -1,369.95

Account Details
Customer Name (UXXXXXX)
Symbol Asset Class Quantity Cost Basis Close Price
CVY Stocks 1,421 29,950.42 21.076999
DBE Stocks 500 13,812.50 27.6250
DEM Stocks 550 26,567.71 48.304927
DTN Stocks 577 29,931.30 51.8740
IAU Stocks 2,940 39,881.10 13.5650
TIP Stocks 470 54,617.85 116.208191
VQT Stocks 400 50,746.35 126.865875
VSPY Stocks 690 28,316.90 41.038986
XVZ Stocks 299 17,022.38 56.931037
   Total in USD 290,846.50
Symbol Asset Class Buy Quantity Avg. Buy Price Buy Proceeds Sell Quantity Avg. Sell Price Sell Proceeds
KMP Stocks 0 0.00 0.00 -285 82.07 23,389.95
TIP Stocks 50 119.20 -5,960.00 0 0.00 0.00
VSPY Stocks 190 42.36 -8,048.40 0 0.00 0.00
XVZ Stocks 299 56.92 -17,020.38 0 0.00 0.00
   Total in USD -31,028.78 23,389.95
Cash Report
Starting Cash 10,074.99
   Net Trades -7,638.83
   Dividends 135.94
   Other -15.14
Ending Cash 2,556.96
Ending Settled Cash 2,556.96
Customer Name (UXXXXXX)
Symbol Asset Class Quantity Cost Basis Close Price
DGP Stocks 219 12,462.18 56.904913
EEMV Stocks 90 5,017.60 55.751111
JNK Stocks 265 10,423.78 39.3350
LQD Stocks 85 9,899.25 116.461765
TIP Stocks 175 20,694.50 118.254286
VQT Stocks 184 23,514.12 127.79413
VSPY Stocks 365 14,981.06 41.0440
XVZ Stocks 88 5,022.28 57.071364
   Total in USD 102,014.76
Symbol Asset Class Buy Quantity Avg. Buy Price Buy Proceeds Sell Quantity Avg. Sell Price Sell Proceeds
EEMV Stocks 90 55.74 -5,016.60 0 0.00 0.00
SPHB Stocks 232 21.67 -5,027.42 -232 21.42 4,969.44
XVZ Stocks 88 57.06 -5,021.28 0 0.00 0.00
   Total in USD -15,065.30 4,969.44
Cash Report
Starting Cash 11,471.48
   Net Trades -10,095.86
   Dividends 154.51
   Other -8.10
Ending Cash 1,522.03
Ending Settled Cash 1,522.03

Notes/Legal Notes


1. Stock transactions settle on the trade date plus three days and securities options settle on the trade date plus one day. Ending settled cash reflects the cash which has actually settled.
2. Initial and maintenance margin requirements are available within the Account Window of the Trader Workstation.
3. Interactive Brokers LLC receives compensation from fund companies in connection with the purchase and holding of mutual fund shares by customers of Interactive Brokers LLC. Such compensation includes, but is not limited to, Rule 12b-1 fees which are paid out of the funds assets. The source and amount of any remuneration received by Interactive Brokers LLC in connection with a transaction will be furnished upon written request of the customer.
4. Quantities preceded by a "-" sign indicate sell transactions. Other transactions are purchases. The settlement date for stock transactions is trade date + 3 business days, except for transactions on XETRA, which settle on trade date + 2 business days. Option transactions and future transactions settle on trade date + 1 business day.
5. In case of partial executions, commissions are charged on the total quantity executed on the original order. The commission is displayed on the first partial execution only.
6. Each closed lot indicated above with a reference to note (6) was chosen by the end of the trading day to be sold versus the specific opening purchase identified in that row.
7. For clients whose accounts are being managed by an advisor, trades shown may be part of a larger trade that was allocated across multiple client accounts, based on an allocation algorithm specified by the advisor prior to execution of the trade. Times shown are times that trades were allocated to your account. Execution time on the relevant market center is available upon your request.
8. If you specified that your advisor is to receive a per-trade advisory fee, please note that the figures in the "Commiss" column in the transaction listings are gross amounts that include both IB's brokerage commission for the trade as well as the advisor's per-trade fee. IB receives its standard published brokerage commissions on your trades ( see ). To determine the advisor's per-trade fee for any trade, subtract IB's standard commission from the amount shown.
9. Borrow Fee Rate represents the cost to borrow stock expressed in percent per annum. It is applied to the cash collateral amount on the stock borrow contract and is separate from any interest earned on credit cash balances. Similarly, Loan Fee Rate represents the benefit to lend stock. A positive rate indicates a cost to the borrower/benefit to the lender and a negative rate indicates a benefit to the borrower/cost to the lender. In general, the fee rates for hard-to-borrow stocks are higher than for normal availability stocks.

Fixed Income Notes

1. Call features for bonds or preferred stocks may affect the yield. For zero coupon, compound interest and multiplier securities, there are no periodic payments and securities may be callable below maturity value without notice to holder unless registered. For asset-backed securities, the actual yield may vary depending on the speed at which the underlying note is pre-paid. For additional information regarding bond yield, please contact the IB Help Desk at: If this debt security is unrated by a nationally recognized statistical rating organization, it may pose a high risk of default. You should consult a financial advisor to determine whether unrated bonds are appropriate for your portfolio in light of your goals and your financial circumstances.

Legal Notes

1. Please promptly report any inaccuracy or discrepancy in this statement, or in your account. Contact the IB Customer Service Department in writing using the form available on the IB website. You may also contact IB by phone, but if you report an error by phone, you should re-confirm such oral communication in writing in order to protect your rights, including rights under the Securities Investor Protection Act (SIPA).

Interactive Brokers LLC,, 877-442-2757 (U.S.)

Interactive Brokers (UK) (Ltd),, 00800-42-276537 (Intl)

Interactive Brokers Canada Inc.,, 877-745-4222 (Can.)

2. Unless otherwise noted, Interactive Brokers acted as agent in the execution of the above transactions. For those exchanges where IB is not self-clearing, IB may use one of the following clearing agents: Interactive Brokers Securities Japan, Inc., Interactive Brokers (U.K.) Limited, Timber Hill Canada Company, Timber Hill Europe AG, Timber Hill LLC, Timber Hill Securities Hong Kong Limited, ABN Amro Clearing Singapore Pte. Ltd., ABN Amro Clearing Sydney Pty Ltd., BBVA Bancomer, S.A., BNP Paribas Commodity Futures, Inc., BNP Securities Services, Milan Branch, Citibank International plc, Euroclear Bank S.A./N.V., Shinhan Securities Co., Ltd., Skandinaviska Enskilda Banken AB, Société Générale Zurich branch.
3. IB acts as agent or riskless principal in foreign currency exchange transactions. Such transactions are executed against an IB affiliate or a third party, which acts as principal in such transactions and may have a long or short position and may have profited or lost in connection with the transaction. Foreign currency exchange transactions executed by Customer through IB are not regulated or overseen by the SEC or the CFTC.
4. Trades marked with the exchange indicator of TMBR were effected by IB as agent through a market making affiliate, which acted as principal in the transaction and may have a long or short position in the security and may have profited or lost in connection with the transaction.
5. All VWAP trades are effected pursuant to an average price formula based on a reference price provided by a third-party data provider. Additional information and reference prices are available upon request. IB, as agent, effects VWAP transactions through a market making affiliate, which acts as principal in such transactions and may have a long or short position in the security and may have profited or lost in connection with the transaction.
6. IB accepts liquidity rebates from Alternative Trading Systems and exchanges for certain orders. IB receives payment for some option orders pursuant to exchange-mandated marketing fee programs or other arrangements. IB does not generally accept payment for order flow for security futures orders. To the extent permissible under exchange rules, IB may direct customer stock, option, futures, or security futures orders to its market making affiliate Timber Hill LLC, or to another affiliate, for execution. In such cases IB's affiliate may act as principal in the resulting transaction and may earn a profit or incur a loss in connection with the transaction. The source and nature of any compensation received by IB in connection with any transaction is available upon written request of the customer. For further information, check the IB website or email
7. For security futures trades, if not already indicated on this statement, information about the time of any transaction, the identity of the counterparty to the transaction, and whether IB is acting as agent or principal, as agent for the counterparty, as agent for both parties to the contract, or as principal, and if acting as principal, whether the transaction was a block transaction or an exchange for physicals transaction, will be available upon written request of the customer.
8. Customer is requested to promptly advise Interactive Brokers of any material change in Customer's investment objectives or financial situation.
9. A financial statement of Interactive Brokers LLC is available for your personal inspection at or at its offices, or a copy of it will be mailed upon your written request.
10. For All Options Trades Executed on the Stock Exchange of Hong Kong ("SEHK"): (a) Options can involve a high degree of risk and may not be suitable for every investor. Investors should ensure they understand those risks before participating in the options market. (b) All options contracts executed on the SEHK were executed by Timber Hill Securities Hong Kong on behalf of Interactive Brokers LLC. (c) In the event of a default committed by Interactive Brokers LLC resulting in the client suffering any pecuniary loss, the client shall have a right to claim under the Investor Compensation Fund established under the Hong Kong Securities and Futures Ordinance, subject to the terms of the Investor Compensation Fund from time to time. (d) All Exchange Traded Options Business made for or on behalf of a client shall be subject to the relevant provisions of the constitution, Rules of The Stock Exchange of Hong Kong Limited ("SEHK Rules"), regulations, the Articles, customs and usages of SEHK, the Options Trading Rules, the Clearing Rules of SEOCH, the CCASS Rules and the laws of Hong Kong, which shall be binding on both Interactive Brokers LLC and the client.
11. Deposits held away from Interactive Brokers LLC may not qualify under SIPC protection.

SIPC Member

Generated at: 2012-05-14, 15:35:19 EDT