Activity Statement


Activity Statement for May 01, 2011 - May 31, 2011 Expand All | Contract All | Print

INTERACTIVE BROKERS LLC, Two Pickwick Plaza, Greenwich, CT 06830
Account Information
Name Customer Name  
Account UXXXXXX  
Account Type Institution Master  
Customer Type Partnership  
Account Capabilities Reg T Margin  
Trading Permissions Stocks,Options,Warrants,Forex  
Base Currency USD  

Net Asset Value (NAV) In Base Currency
  Current Period Prior Period  
  Total Long Short Total % Change
Cash 1,366,343.48 1,366,343.48 0.00 771,403.81 77.12%
Stock 0.00 0.00 0.00 676,811.34 -100.00%
   Total 1,366,343.48 1,366,343.48 0.00 1,448,215.15 -5.65%

Net Asset Value (NAV) Time Series
Net Asset Value (NAV) Distribution
  • 1.4M
  • 0
  • May 2
  • May 31
  • Cash
  • Stock

Mark-to-Market Performance Summary in Base
  Mark-to-Market P/L
Symbol   Prior Quantity Quantity   Prior Price Price   Transaction Prior Open Corp Action Commissions Dividends Total
Stocks
AAN   1,193 0   28.7900 --   -47.72 -1,622.48 0.00 -5.96 0.00 -1,676.16
ANF   529 0   70.8000 --   844.34 1,005.10 0.00 -2.64 0.00 1,846.80
BCR   0 0   -- --   -585.52 1,449.04 0.00 -4.72 0.00 858.80
CBST   967 0   33.8400 --   389.49 319.11 0.00 -4.84 0.00 703.76
DMND   683 0   65.6500 --   -491.53 1,891.91 0.00 -3.42 0.00 1,396.97
ERIC   2,228 0   15.2000 --   -73.21 -378.76 0.00 -11.14 0.00 -463.11
GENE   0 0   -- --   3,324.23 -2,258.52 0.00 -38.28 0.00 1,027.43
GLPW   0 0   -- --   -321.76 -871.18 0.00 -20.26 0.00 -1,213.20
GNOM   6,527 0   16.4800 --   -2,697.31 -15,012.10 0.00 -32.64 0.00 -17,742.04
HITK   1,202 0   27.6600 --   536.94 -2,800.66 0.00 -6.01 0.00 -2,269.73
HLF   0 0   -- --   427.45 2,089.99 0.00 -5.11 0.00 2,512.33
KAR   2,624 0   19.5000 --   433.89 -524.80 0.00 -13.12 0.00 -104.03
KUTV   0 0   -- --   -6,143.28 -4,906.71 0.00 -96.21 0.00 -11,146.20
MOBI   0 0   -- --   -13,442.92 0.00 0.00 -35.11 0.00 -13,478.03
NSM   3,056 0   24.1200 --   -98.04 1,039.04 0.00 -15.28 0.00 925.72
OLN   1,550 0   25.7400 --   102.00 -1,116.00 0.00 -7.75 0.00 -1,021.75
REDF   0 0   -- --   -1,889.16 0.00 0.00 -123.82 0.00 -2,012.98
SHOR   0 0   -- --   2,992.04 -3,366.54 0.00 -57.06 0.00 -431.56
SIFY   0 0   -- --   -5,251.88 -1,887.03 0.00 -69.89 0.00 -7,208.80
SPEC   0 0   -- --   -537.41 761.04 0.00 -63.42 0.00 160.21
STZ   0 0   -- --   -492.90 -284.08 0.00 -35.51 0.00 -812.49
UDRL   13,864 0   13.5600 --   6,007.31 -22,875.60 0.00 -69.32 0.00 -16,937.61
UIL   0 0   -- --   740.12 1,052.12 0.00 -18.14 0.00 1,774.10
USAT   0 0   -- --   -16,014.55 0.00 0.00 -603.52 0.00 -16,618.07
VTAL   0 0   -- --   57.98 25.06 0.00 -25.06 0.00 57.98
      Total (Stocks) -32,231.40 -48,272.05 0.00 -1,368.22 0.00 -81,871.67
   Total (All Asset Classes) -32,231.40 -48,272.05 0.00 -1,368.22 0.00 -81,871.67
   Total P/L for Statement Period -81,871.67
Time Weighted Rate of Return -5.65%

Realized & Unrealized Performance Summary in Base
    Realized   Unrealized    
Symbol   S/T Profit S/T Loss L/T Profit L/T Loss Total   S/T Profit S/T Loss L/T Profit L/T Loss Total   Total
Stocks
AAN   0.00 -2,028.38 0.00 0.00 -2,028.38   0.00 0.00 0.00 0.00 0.00   -2,028.38
ANF   1,552.27 0.00 0.00 0.00 1,552.27   0.00 0.00 0.00 0.00 0.00   1,552.27
BCR   858.80 0.00 0.00 0.00 858.80   0.00 0.00 0.00 0.00 0.00   858.80
CBST   299.81 -9.99 0.00 0.00 289.82   0.00 0.00 0.00 0.00 0.00   289.82
DMND   2,209.94 0.00 0.00 0.00 2,209.94   0.00 0.00 0.00 0.00 0.00   2,209.94
ERIC   3.01 -53.94 0.00 0.00 -50.93   0.00 0.00 0.00 0.00 0.00   -50.93
GENE   1,027.43 0.00 0.00 0.00 1,027.43   0.00 0.00 0.00 0.00 0.00   1,027.43
GLPW   0.00 -1,213.20 0.00 0.00 -1,213.20   0.00 0.00 0.00 0.00 0.00   -1,213.20
GNOM   0.00 -16,607.14 0.00 0.00 -16,607.14   0.00 0.00 0.00 0.00 0.00   -16,607.14
HITK   0.00 -2,154.06 0.00 0.00 -2,154.06   0.00 0.00 0.00 0.00 0.00   -2,154.06
HLF   2,512.33 0.00 0.00 0.00 2,512.33   0.00 0.00 0.00 0.00 0.00   2,512.33
KAR   2,210.25 0.00 0.00 0.00 2,210.25   0.00 0.00 0.00 0.00 0.00   2,210.25
KUTV   0.00 -11,146.20 0.00 0.00 -11,146.20   0.00 0.00 0.00 0.00 0.00   -11,146.20
MOBI   0.00 -13,478.03 0.00 0.00 -13,478.03   0.00 0.00 0.00 0.00 0.00   -13,478.03
NSM   721.01 0.00 0.00 0.00 721.01   0.00 0.00 0.00 0.00 0.00   721.01
OLN   0.00 -1,990.57 0.00 0.00 -1,990.57   0.00 0.00 0.00 0.00 0.00   -1,990.57
REDF   102.39 -2,115.37 0.00 0.00 -2,012.98   0.00 0.00 0.00 0.00 0.00   -2,012.98
SHOR   15.50 -447.06 0.00 0.00 -431.56   0.00 0.00 0.00 0.00 0.00   -431.56
SIFY   0.00 -7,208.80 0.00 0.00 -7,208.80   0.00 0.00 0.00 0.00 0.00   -7,208.80
SPEC   134.92 25.29 0.00 0.00 160.21   0.00 0.00 0.00 0.00 0.00   160.21
STZ   0.00 -812.49 0.00 0.00 -812.49   0.00 0.00 0.00 0.00 0.00   -812.49
UDRL   0.00 -19,611.79 0.00 0.00 -19,611.79   0.00 0.00 0.00 0.00 0.00   -19,611.79
UIL   1,774.19 -0.09 0.00 0.00 1,774.10   0.00 0.00 0.00 0.00 0.00   1,774.10
USAT   0.00 -16,618.07 0.00 0.00 -16,618.07   0.00 0.00 0.00 0.00 0.00   -16,618.07
VTAL   61.91 -3.93 0.00 0.00 57.98   0.00 0.00 0.00 0.00 0.00   57.98
      Total (Stocks)   13,483.76 -95,473.81 0.00 0.00 -81,990.06   0.00 0.00 0.00 0.00 0.00   -81,990.06
   Total (All Asset Classes)   13,483.76 -95,473.81 0.00 0.00 -81,990.06   0.00 0.00 0.00 0.00 0.00   -81,990.06

Cash Report
  Total Securities Futures      
Base Currency Summary
Starting Cash 771,403.81 771,403.81 0.00      
   Commissions -1,368.22 -1,368.22 0.00      
   Net Trades (Sales) 1,708,953.46 1,708,953.46 0.00      
   Net Trades (Purchase) -1,112,645.57 -1,112,645.57 0.00      
Ending Cash 1,366,343.48 1,366,343.48 0.00      
Ending Settled Cash 1,366,343.48 1,366,343.48 0.00      

Change In Position Value
Stocks
Base Currency Summary
Prior Period Value 676,811.34  
     Transactions -596,307.89  
     MTM P/L On Prior Period -48,272.05  
     MTM P/L On Transactions -32,231.40  
End Of Period Value 0.00  

Trades
Symbol Date/Time Exchange Quantity T. Price C. Price Proceeds Comm/Tax Basis Realized P/L MTM P/L Code
Stocks
USD
AAN 2011-05-06, 15:59:27 - -1,193 27.3900 27.4300 32,676.27 -5.96 -34,698.68 -2,028.38 -47.72 P;C
   Total AAN -1,193     32,676.27 -5.96 -34,698.68 -2,028.38 -47.72  
ANF 2011-05-16, 09:31:34 - -529 74.296106 72.7000 39,302.64 -2.64 -37,747.72 1,552.27 844.34 P;C
   Total ANF -529     39,302.64 -2.64 -37,747.72 1,552.27 844.34  
BCR 2011-05-04, 09:32:13 - 472 107.459407 106.2700 -50,720.84 -2.36 50,723.20 0.00 -561.40 P;O
BCR 2011-05-16, 09:37:17 - -472 109.288898 109.3400 51,584.36 -2.36 -50,723.20 858.80 -24.12 P;C
   Total BCR 0     863.52 -4.72 0.00 858.80 -585.52  
CBST 2011-05-16, 09:32:00 - -967 34.572782 34.1700 33,431.88 -4.84 -33,137.22 289.82 389.49 P;C
   Total CBST -967     33,431.88 -4.84 -33,137.22 289.82 389.49  
DMND 2011-05-16, 09:46:23 - -683 67.700337 68.4200 46,239.33 -3.42 -44,025.98 2,209.94 -491.53 P;C
   Total DMND -683     46,239.33 -3.42 -44,025.98 2,209.94 -491.53  
ERIC 2011-05-16, 09:30:27 - -2,228 14.997141 15.0300 33,413.63 -11.14 -33,453.42 -50.93 -73.21 P;C
   Total ERIC -2,228     33,413.63 -11.14 -33,453.42 -50.93 -73.21  
GENE 2011-05-05, 09:30:40 - 3,828 7.236638 7.5000 -27,701.85 -19.14 27,720.99 0.00 1,008.15 P;O
GENE 2011-05-16, 09:32:04 - -3,828 7.515037 6.9100 28,767.56 -19.14 -27,720.99 1,027.43 2,316.08 P;C
   Total GENE 0     1,065.71 -38.28 0.00 1,027.43 3,324.23  
GLPW 2011-05-04, 09:44:32 - 2,026 29.942004 29.6600 -60,662.50 -10.13 60,672.63 0.00 -571.34 P;O
GLPW 2011-05-16, 09:35:02 - -2,026 29.353189 29.2300 59,469.56 -10.13 -60,672.63 -1,213.20 249.58 P;C
   Total GLPW 0     -1,192.94 -20.26 0.00 -1,213.20 -321.76  
GNOM 2011-05-03, 11:16:55 - -6,527 13.766746 14.1800 89,855.55 -32.64 -106,430.06 -16,607.14 -2,697.31 P;C
   Total GNOM -6,527     89,855.55 -32.64 -106,430.06 -16,607.14 -2,697.31  
HITK 2011-05-03, 11:18:57 - -1,202 25.776705 25.3300 30,983.60 -6.01 -33,131.65 -2,154.06 536.94 P;C
   Total HITK -1,202     30,983.60 -6.01 -33,131.65 -2,154.06 536.94  
HLF 2011-05-04, 09:31:30 - 511 101.193757 100.2200 -51,710.01 -2.56 51,712.56 0.00 -497.59 P;O
HLF 2011-05-16, 09:33:00 - -511 106.120254 104.3100 54,227.45 -2.55 -51,712.56 2,512.33 925.04 P;C
   Total HLF 0     2,517.44 -5.11 0.00 2,512.33 427.45  
KAR 2011-05-02, 09:33:05 - -2,624 19.465354 19.3000 51,077.09 -13.12 -48,853.72 2,210.25 433.89 P;C
   Total KAR -2,624     51,077.09 -13.12 -48,853.72 2,210.25 433.89  
KUTV 2011-05-03, 09:30:23 - 9,621 7.406416 6.5200 -71,257.13 -48.10 71,305.24 0.00 -8,528.21 P;O
KUTV 2011-05-04, 09:59:24 - -9,621 6.257888 6.0100 60,207.14 -48.11 -71,305.23 -11,146.20 2,384.93 P;C
   Total KUTV 0     -11,049.99 -96.21 0.00 -11,146.20 -6,143.28  
MOBI 2011-05-02, 09:30:10 - 3,511 22.116522 17.0500 -77,651.11 -17.56 77,668.67 0.00 -17,788.56 P;O
MOBI 2011-05-02, 12:28:02 - -3,511 18.287721 17.0500 64,208.19 -17.56 -77,668.67 -13,478.03 4,345.64 P;C
   Total MOBI 0     -13,442.92 -35.11 0.00 -13,478.03 -13,442.92  
NSM 2011-05-16, 09:31:11 - -3,056 24.427919 24.4600 74,651.72 -15.28 -73,915.43 721.01 -98.04 P;C
   Total NSM -3,056     74,651.72 -15.28 -73,915.43 721.01 -98.04  
OLN 2011-05-03, 14:07:22 - -1,550 25.085806 25.0200 38,883.00 -7.75 -40,865.82 -1,990.57 102.00 P;C
   Total OLN -1,550     38,883.00 -7.75 -40,865.82 -1,990.57 102.00  
REDF 2011-05-03, 09:30:01 - 12,382 13.577801 13.0100 -168,120.33 -61.91 168,182.24 0.00 -7,030.51 P;O
REDF 2011-05-03, 09:30:05 - -1,600 13.3911 13.0100 21,425.76 -8.00 -21,610.35 -192.59 609.76 C
REDF 2011-05-03, 12:24:54 - -10,782 13.430292 13.0100 144,805.41 -53.91 -146,571.89 -1,820.39 4,531.59 P;C
   Total REDF 0     -1,889.16 -123.82 0.00 -2,012.98 -1,889.16  
SHOR 2011-05-12, 09:30:44 - 5,706 11.449886 11.6900 -65,333.05 -28.53 65,361.58 0.00 1,370.09 P;O
SHOR 2011-05-16, 09:31:26 - -5,706 11.384253 11.1000 64,958.55 -28.53 -65,361.58 -431.56 1,621.95 P;C
   Total SHOR 0     -374.50 -57.06 0.00 -431.56 2,992.04  
SIFY 2011-05-03, 09:30:02 - 6,989 6.357459 5.9000 -44,432.28 -34.94 44,467.22 0.00 -3,197.18 P;O
SIFY 2011-05-10, 09:51:00 - -6,989 5.336009 5.6300 37,293.37 -34.94 -44,467.22 -7,208.80 -2,054.70 P;C
   Total SIFY 0     -7,138.91 -69.89 0.00 -7,208.80 -5,251.88  
SPEC 2011-05-02, 09:47:42 - 6,342 19.886228 19.8300 -126,118.46 -31.71 126,150.17 65.69 -356.60 P;O
SPEC 2011-05-16, 09:52:02 - -6,342 19.92149 19.9500 126,342.09 -31.71 -126,215.86 94.52 -180.81 P;C
   Total SPEC 0     223.63 -63.42 -65.69 160.21 -537.41  
STZ 2011-05-04, 09:31:33 - 3,551 22.848595 22.6100 -81,135.36 -17.76 81,153.11 0.00 -847.25 P;O
STZ 2011-05-16, 09:32:15 - -3,551 22.629789 22.5300 80,358.38 -17.76 -81,153.12 -812.49 354.35 P;C
   Total STZ 0     -776.98 -35.51 0.00 -812.49 -492.90  
UDRL 2011-05-03, 10:22:24 - -13,864 12.343303 11.9100 171,127.55 -69.32 -190,670.02 -19,611.79 6,007.31 P;C
   Total UDRL -13,864     171,127.55 -69.32 -190,670.02 -19,611.79 6,007.31  
UIL 2011-05-09, 09:32:18 - 1,814 33.020717 33.2300 -59,899.58 -9.07 59,908.65 0.00 379.64 P;O
UIL 2011-05-16, 09:34:59 - -1,814 34.008721 33.8100 61,691.82 -9.07 -59,908.65 1,774.10 360.48 P;C
   Total UIL 0     1,792.24 -18.14 0.00 1,774.10 740.12  
USAT 2011-05-02, 09:30:02 - 60,352 3.001412 2.6300 -181,141.19 -301.76 181,442.95 0.00 -22,415.43 P;O
USAT 2011-05-02, 13:54:47 - -60,352 2.736059 2.6300 165,126.64 -301.76 -181,442.95 -16,618.07 6,400.88 P;C
   Total USAT 0     -16,014.55 -603.52 0.00 -16,618.07 -16,014.55  
VTAL 2011-05-04, 09:30:04 - 2,506 18.659968 18.6700 -46,761.88 -12.53 46,774.41 0.00 25.14 P;O
VTAL 2011-05-16, 09:30:12 - -2,506 18.693105 18.6800 46,844.92 -12.53 -46,774.41 57.98 32.84 P;C
   Total VTAL 0     83.04 -25.06 0.00 57.98 57.98  
   Total in USD     596,307.89 -1,368.22 -676,995.41 -81,990.06 -32,231.40  

Corporate Actions
Report Date Date/Time Description Quantity Proceeds Value Realized P/L Code
Stocks
USD
2011-05-18 2011-05-17, 20:25:00 HLF(KYG4412G1010) Split 2 for 1 (HLF, HERBALIFE LTD, KYG4412G1010) -511 0.00 0.00 0.00  
2011-05-18 2011-05-17, 20:25:00 HLF(KYG4412G1010) Split 2 for 1 (HLF, HERBALIFE LTD, KYG4412G1010) 511 0.00 0.00 0.00  
   Total in USD 0.00 0.00 0.00  

Security Information
Symbol Description   Multiplier Expiry Delivery Month Type Strike Issue Date Maturity
Stocks
AAN AARON'S INC   1 - - - - - -
ANF ABERCROMBIE & FITCH CO-CL A   1 - - - - - -
BCR BARD (C.R.) INC   1 - - - - - -
CBST CUBIST PHARMACEUTICALS INC   1 - - - - - -
DMND DIAMOND FOODS INC   1 - - - - - -
ERIC ERICSSON (LM) TEL-SP ADR   1 - - - - - -
GENE GENETIC TECH LTD-SP ADR   1 - - - - - -
GLPW GLOBAL POWER EQ GRP   1 - - - - - -
GNOM COMPLETE GENOMICS INC   1 - - - - - -
HITK HI-TECH PHARMACAL CO INC   1 - - - - - -
HLF HERBALIFE LTD   1 - - - - - -
KAR KAR AUCTION SERVICES INC   1 - - - - - -
KUTV KU6 MEDIA CO LTD   1 - - - - - -
MOBI SKY-MOBI LTD-SP ADR   1 - - - - - -
NSM NATIONAL SEMICONDUCTOR CORP   1 - - - - - -
OLN OLIN CORP   1 - - - - - -
REDF REDIFF.COM INDIA LIMITED-ADR   1 - - - - - -
SHOR SHORETEL INC   1 - - - - - -
SIFY SIFY TECHNOLOGIES LTD   1 - - - - - -
SPEC SPECTRUM CONTROL INC   1 - - - - - -
STZ CONSTELLATION BRANDS INC-A   1 - - - - - -
UDRL UNION DRILLING INC   1 - - - - - -
UIL UIL HOLDINGS CORP   1 - - - - - -
USAT USA TECHNOLOGIES INC   1 - - - - - -
VTAL VITAL IMAGES INC   1 - - - - - -

Codes
Code Meaning
A Assignment
Adj Adjustment
Aw Away Trade
B Automatic Buy-in
Bo Direct Borrow
C Closing Trade
CD Cash Delivery
Ca Cancelled
Cc Cancelled Corporate Action
Co Corrected Trade
E External Transfer
Ep Resulted from an Expired Position
Ex Exercise
G Trade in Guaranteed Account Segment
HFI Investment Transferred to Hedge Fund
HFR Redemption from Hedge Fund
I Internal Transfer
INV Investment Transfer from Investor
L Ordered by IB (Margin Violation)
LD Adjusted by Loss Disallowed from Wash Sale
LI Last In, First Out (LIFO) tax basis election
Lo Direct Loan
Lt Long Term P/L
M Entered manually by IB
ML Maximize Losses tax basis election
N Late Trade. Profit or Loss will be recognized on next day's statement
O Opening Trade
P Partial Execution
PI Price Improvement
Plc P/L affected by Corporate Action
Plt P/L affected by Transfer
Po Interest or Dividend Accrual Posting
R Dividend Reinvestment
RED Redemption to Investor
Re Interest or Dividend Accrual Reversal
St Short Term P/L
T Transfer

Notes/Legal Notes

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 at the time of order execution to be sold versus the specific opening purchase identified in that row.
7. Trade execution times are displayed in Eastern Time.
8. Applicable commodity Regulatory Fees for your transactions is available on the IB website at www.interactivebrokers.com/en/accounts/fees/exchangeAndRegulatoryFees.php.
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: help@interactivebrokers.com. 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, www.interactivebrokers.com, 877-442-2757 (U.S.)

Interactive Brokers (UK) (Ltd), www.interactivebrokers.co.uk, 00800-42-276537 (Intl)

Interactive Brokers Canada Inc., www.interactivebrokers.ca, 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 (U.K.) Limited, Timber Hill Canada Company, Timber Hill Europe AG, Timber Hill LLC, Timber Hill Securities Hong Kong Limited, BBVA Bancomer, S.A., BNP Paribas Commodity Futures, Inc., BNP Securities Services, Milan Branch, Citibank International plc, Euroclear Bank S.A./N.V., Fortis Clearing Singapore Pte. Ltd., Fortis Clearing Sydney Pty Limited, Newedge Group S.A., 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 help@interactivebrokers.com.
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 www.interactivebrokers.com 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: 2011-11-29, 17:43:11 EST