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Account number 4 ht 147973 -statement period 02012013 - 02282013

This statement summarizes Gary and Suzanne Saatcamp's joint investment account for the period of February 1-28, 2013. It shows beginning and ending account values of $151,990.50 and $151,840.96 respectively. During the period there was $500 in cash deposits, $1,700 in cash withdrawals, and the account balance increased by $639.17 due to dividends/interest of $411.29 and a change in the market value of holdings. The majority of the account (99%) is invested in mutual funds.

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Account Number: 4HT-147973 Statement Period: 02/01/2013 - 02/28/2013 Valuation at a Glance This Period GARY W SAATKAMP Beginning Account Value $151,990.50 Cash Deposits 500.00 SUZANNE C SAATKAMP JT TEN Cash Withdrawals -1,700.00 1243 ELIZABETH AVE Dividends/Interest 411.29 NAPERVILLE IL 60540-5719 Change in Account Value 639.17 Ending Account Value $151,840.96 Estimated Annual Income $5,991.93 WAYNE WALSCHOT (630) 778-6260 Commission Amount: $0.00 Asset Allocation Last Period This Period % Allocation Cash, Money Funds, and Bank Deposits1 1,691.60 902.89 1% Asset Allocation percentages are rounded to the nearest whole percentage. Mutual Funds 150,298.90 150,938.07 99% Account Total $151,990.50 $151,840.96 100% 1 The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities, and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Page 1 of 9 B0020313CSF30026
Client Service Information Identification Number: DMZ Contact Information WAYNE WALSCHOT Telephone Number: (630) 778-6260 608 S WASHINGTON ST STE 304 Fax Number: (630) 778-8535 NAPERVILLE IL 60540-6664 Default Tax Lot Disposition Method for Mutual Funds : FIRST IN FIRST OUT Default Tax Lot Disposition Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Tax Lot Disposition Method for All Other Securities: FIRST IN FIRST OUT Electronic Delivery E-mail notifications are delivered to the following e-mail address(es): You are currently enrolled to receive the following account communications via electronic delivery: s########@sbcglobal.net Statements and Reports The above e-mail address is partially masked for your security. Please log Trade Confirmations into your account to review the full e-mail address. Please log in to your account to make any changes to your electronic delivery preferences. Portfolio Holdings Activity Opening Closing Accrued Income 30-Day Current Quantity Opening Date Account Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 1.00% of Portfolio FDIC Insured Bank Deposits LIQUID INSURED DEPOSITS 902.890 02/01/13 4HT147973 02/28/13 1,691.60 902.89 0.00 0.06 N/A N/A Total FDIC Insured Bank Deposits $1,691.60 $902.89 $0.00 $0.06 Total Cash, Money Funds, and Bank Deposits $1,691.60 $902.89 $0.00 $0.06 Unrealized Estimated Estimated Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Mutual Funds 99.00% of Portfolio Mutual Funds AMERICAN MUTUAL FUND CLASS F-1 Security Identifier: AMFFX CUSIP: 027681402 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 120.085 01/11/11 * 25.4100 3,051.36 30.0300 3,606.15 554.79 74.50 2.06% 245.692 02/01/11 * 26.0000 6,388.00 30.0300 7,378.13 990.13 152.42 2.06% 365.777 Total Noncovered 9,439.36 10,984.28 1,544.92 226.92 365.777 Total $9,439.36 $10,984.28 $1,544.92 $226.92 Page 2 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
Statement Period: 02/01/2013 - 02/28/2013 Portfolio Holdings (continued) Unrealized Estimated Estimated Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Mutual Funds (continued) Mutual Funds (continued) JP MORGAN CORE BOND FUND CLASS A Security Identifier: PGBOX CUSIP: 4812C0357 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 2,057.857 10/04/11 * 11.8810 24,449.11 12.0200 24,735.44 286.33 650.28 2.62% OPPENHEIMER SENIOR FLOATING RATE FUND Security Identifier: OOSAX CLASS A CUSIP: 68381K101 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 3,017.710 12/30/11 * 8.0610 24,325.74 8.3600 25,228.06 902.32 1,286.04 5.09% OPPENHEIMER ROCHESTER MUNI Security Identifier: ORNAX NATIONAL FD CLASS A CUSIP: 683940308 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,773.533 05/07/12 7.3320 13,003.00 7.6800 13,620.73 617.73 884.99 6.49% OPPENHEIMER ROCHESTER LIMITED Security Identifier: OPITX TERM MUNICIPAL FUND CLASS A CUSIP: 683957104 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 932.009 12/08/11 * 14.5800 13,588.69 15.1600 14,129.26 540.57 571.32 4.04% PIMCO INVESTMENT GRADE CORPORATE Security Identifier: PBDAX BOND FUND CLASS A CUSIP: 722008307 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,545.946 01/03/13 11.1000 17,160.00 11.1400 17,221.84 61.84 655.85 3.80% Page 3 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
Portfolio Holdings (continued) Unrealized Estimated Estimated Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Mutual Funds (continued) Mutual Funds (continued) THE TAX-EXEMPT BOND FUND OF AMERICA Security Identifier: AFTFX CLASS F-1 CUSIP: 876902404 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,421.608 08/19/11 * 12.3100 17,500.00 13.2200 18,793.66 1,293.66 629.89 3.35% TEMPLETON GLOBAL BOND FUND CLASS A Security Identifier: TPINX CUSIP: 880208103 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,157.270 01/03/13 13.4800 15,600.00 13.4500 15,565.28 -34.72 872.81 5.60% WASHINGTON MUTUAL INVESTORS FUND Security Identifier: WSHFX CLASS F-1 CUSIP: 939330403 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 323.506 10/12/11 * 26.9860 8,730.20 32.9500 10,659.52 1,929.32 213.77 2.00% Total Mutual Funds $143,796.10 $150,938.07 $7,141.97 $5,991.87 Total Mutual Funds $143,796.10 $150,938.07 $7,141.97 $5,991.87 Unrealized Accrued Estimated Cost Basis Market Value Gain/Loss Interest Annual Income Total Portfolio Holdings $144,698.99 $151,840.96 $7,141.97 $0.00 $5,991.93 * Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (”IRC”) (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are ”covered” under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their ”applicable date(s)” at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. Disclosures and Other Information Pricing Page 4 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
Statement Period: 02/01/2013 - 02/28/2013 Portfolio Holdings (continued) This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from quotation services, which we believe to be reliable. Securities for which a price is not available are marked "N/A" and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. The Estimated Price as of Date only appears when the price date does not equal the statement date and the price indicated is estimated since it is not reflective of a last trade price on a recognized exchange. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Page 5 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
Activity Summary (All amounts shown are in base currency: USD) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 0.00 0.00 Securities Bought 0.00 -32,760.00 Securities Sold 0.00 31,000.00 Securities Sold 0.00 0.00 Total Securities $0.00 $31,000.00 Total Securities $0.00 -$32,760.00 Dividends and Interest $411.29 $757.26 Dividends and Interest $0.00 $0.00 Fees $0.00 $0.00 Fees $0.00 -$1,066.68 Cash Cash Withdrawals 0.00 0.00 Withdrawals -1,700.00 -3,400.00 Deposits 500.00 1,000.00 Deposits 0.00 0.00 Total Cash $500.00 $1,000.00 Total Cash -$1,700.00 -$3,400.00 FDIC Insured Bank Deposits $1,700.00 $6,226.68 FDIC Insured Bank Deposits -$911.29 -$1,978.57 Total Credits $2,611.29 $38,983.94 Total Debits -$2,611.29 -$39,205.25 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount CCY Dividends and Interest 02/01/13 CASH DIVIDEND RECEIVED JP MORGAN CORE BOND FUND CLASS A 2057.8570 SHRS 45.27 USD PGBOX RD 01/30 PD 02/01/13 02/01/13 CASH DIVIDEND RECEIVED OPPENHEIMER SENIOR FLOATING RATE FUND CLASS A FOR 108.15 USD OOSAX ACCRUAL PERIOD ENDING 01/31/13 02/01/13 CASH DIVIDEND RECEIVED PIMCO INVESTMENT GRADE CORPORATE BOND FUND 47.94 USD PBDAX CLASS A FOR ACCRUAL PERIOD ENDING 01/31/13 02/01/13 NON-TAXABLE DISTRIBUTION THE TAX-EXEMPT BOND FUND OF AMERICA CLASS F-1 FOR 48.90 USD RECEIVED ACCRUAL PERIOD ENDING 01/31/13 AFTFX 02/19/13 FDIC INSURED BANK LIQUID INS DEPOSITS INTEREST CREDITED 0.02 USD DEPOSITS INTEREST RECEIVED 761991108 02/20/13 NON-TAXABLE DISTRIBUTION OPPENHEIMER ROCHESTER MUNI NATIONAL FD CLASS A 72.76 USD RECEIVED FOR ACCRUAL PERIOD ENDING 02/19/13 ORNAX 02/20/13 NON-TAXABLE DISTRIBUTION OPPENHEIMER ROCHESTER LIMITED TERM MUNICIPAL 41.96 USD RECEIVED FUND CLASS A FOR ACCRUAL PERIOD ENDING 02/19/13 OPITX 02/20/13 CASH DIVIDEND RECEIVED TEMPLETON GLOBAL BOND FUND CLASS A 1157.2700 46.29 USD TPINX SHRS RD 02/14 PD 02/20/13 Total Dividends and Interest $0.00 $411.29 USD Page 6 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
Statement Period: 02/01/2013 - 02/28/2013 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount CCY Cash Withdrawals and Deposits 02/01/13 CUSTOMER AUTHORIZED PERIODIC DISTRIBUTN. RECEIVED FROM 4HT-217818 500.00 USD TRANSFER USD999997 02/15/13 ELECTRONIC TRANSACTION PRINCIPAL DISTRIBTN ACH 071000505 4048909 -1,700.00 USD USD999997 Total Cash Withdrawals and Deposits $0.00 -$1,200.00 USD FDIC Insured Bank Deposits 02/04/13 FDIC INSURED BANK DEPOSIT LIQUID INS DEPOSITS -750.26 USD USD999997 02/15/13 FDIC INSURED BANK LIQUID INS DEPOSITS 1,700.00 USD WITHDRAWAL USD999997 02/19/13 FDIC INSURED BANK LIQUID INS DEPOSITS INTEREST REINVESTED -0.02 USD DEPOSITS INTEREST REINVESTED 761991108 02/21/13 FDIC INSURED BANK DEPOSIT LIQUID INS DEPOSITS -161.01 USD USD999997 Total FDIC Insured Bank Deposits $0.00 $788.71 USD Total Value of Transactions $0.00 $0.00 The price and quantity displayed may have been rounded. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits LIQUID INSURED DEPOSITS Account Number: 4HT147973 Activity Ending: 02/28/13 02/01/13 Opening Balance 1,691.60 1,691.60 02/04/13 Deposit DEPOSIT 750.26 2,441.86 02/15/13 Withdrawal WITHDRAWAL -1,700.00 741.86 02/18/13 Deposit INTEREST CREDITED 0.02 741.88 02/19/13 YIELD .01% 741.88 Page 7 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
FDIC Insured Bank Deposits (continued) Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits (continued) LIQUID INSURED DEPOSITS (continued) FIRST BANK & TR - PIP A/O 02/19 $741.88 02/21/13 Deposit DEPOSIT 161.01 902.89 02/28/13 Closing Balance $902.89 Total FDIC Insured Bank Deposits $902.89 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Other Dividends 247.65 163.62 428.35 328.85 Interest Income FDIC Insured Bank Deposits 0.02 0.00 0.06 0.00 Total Dividends, Interest, Income and Expenses $247.67 $163.62 $428.41 $328.85 Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Please see the money market mutual fund's prospectus or contact your investment professional for additional information . FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC)-INSURED BANK DEPOSITS ARE NOT PROTECTED BY SECURITIES INVESTOR PROTECTION CORPORATION (SIPC). YOU MAY VIEW CURRENT MONEY MARKET FUND RATES BY VISITING WWW.PERSHING.COM AND SELECTING THE LINK AT THE BOTTOM OF THE PAGE TITLED "MONEY MARKET FUND AND FDIC INSURED BANK RATES AND BANK LISTS." PLEASE NOTE THAT WE MAY NOT OFFER ALL OF THE MONEY MARKET FUNDS LISTED ON THE PERSHING WEBSITE. If a debit balance appears in your Cetera Advisor Networks LLC. cash account and you have not already forwarded funds, please promptly remit payment in the amount of the debit to: Pershing LLC Pershing Money Desk One Pershing Plaza, Jersey City, NJ 07399 Please reference your account number in the memo section of your check. IMPORTANT NOTICE REGARDING FEES: Please be advised that beginning March 1, 2013, the termination fee for an IRA account will increase to $95 per account. This fee will be charged at account closing. Page 8 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
Statement Period: 02/01/2013 - 02/28/2013 Important Arbitration Disclosures and Important Arbitration Agreement Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page 9 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP

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Account number 4 ht 147973 -statement period 02012013 - 02282013

  • 1.
    Account Number: 4HT-147973 Statement Period: 02/01/2013 - 02/28/2013 Valuation at a Glance This Period GARY W SAATKAMP Beginning Account Value $151,990.50 Cash Deposits 500.00 SUZANNE C SAATKAMP JT TEN Cash Withdrawals -1,700.00 1243 ELIZABETH AVE Dividends/Interest 411.29 NAPERVILLE IL 60540-5719 Change in Account Value 639.17 Ending Account Value $151,840.96 Estimated Annual Income $5,991.93 WAYNE WALSCHOT (630) 778-6260 Commission Amount: $0.00 Asset Allocation Last Period This Period % Allocation Cash, Money Funds, and Bank Deposits1 1,691.60 902.89 1% Asset Allocation percentages are rounded to the nearest whole percentage. Mutual Funds 150,298.90 150,938.07 99% Account Total $151,990.50 $151,840.96 100% 1 The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities, and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Page 1 of 9 B0020313CSF30026
  • 2.
    Client Service Information Identification Number: DMZ Contact Information WAYNE WALSCHOT Telephone Number: (630) 778-6260 608 S WASHINGTON ST STE 304 Fax Number: (630) 778-8535 NAPERVILLE IL 60540-6664 Default Tax Lot Disposition Method for Mutual Funds : FIRST IN FIRST OUT Default Tax Lot Disposition Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Tax Lot Disposition Method for All Other Securities: FIRST IN FIRST OUT Electronic Delivery E-mail notifications are delivered to the following e-mail address(es): You are currently enrolled to receive the following account communications via electronic delivery: s########@sbcglobal.net Statements and Reports The above e-mail address is partially masked for your security. Please log Trade Confirmations into your account to review the full e-mail address. Please log in to your account to make any changes to your electronic delivery preferences. Portfolio Holdings Activity Opening Closing Accrued Income 30-Day Current Quantity Opening Date Account Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 1.00% of Portfolio FDIC Insured Bank Deposits LIQUID INSURED DEPOSITS 902.890 02/01/13 4HT147973 02/28/13 1,691.60 902.89 0.00 0.06 N/A N/A Total FDIC Insured Bank Deposits $1,691.60 $902.89 $0.00 $0.06 Total Cash, Money Funds, and Bank Deposits $1,691.60 $902.89 $0.00 $0.06 Unrealized Estimated Estimated Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Mutual Funds 99.00% of Portfolio Mutual Funds AMERICAN MUTUAL FUND CLASS F-1 Security Identifier: AMFFX CUSIP: 027681402 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 120.085 01/11/11 * 25.4100 3,051.36 30.0300 3,606.15 554.79 74.50 2.06% 245.692 02/01/11 * 26.0000 6,388.00 30.0300 7,378.13 990.13 152.42 2.06% 365.777 Total Noncovered 9,439.36 10,984.28 1,544.92 226.92 365.777 Total $9,439.36 $10,984.28 $1,544.92 $226.92 Page 2 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 3.
    Statement Period: 02/01/2013- 02/28/2013 Portfolio Holdings (continued) Unrealized Estimated Estimated Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Mutual Funds (continued) Mutual Funds (continued) JP MORGAN CORE BOND FUND CLASS A Security Identifier: PGBOX CUSIP: 4812C0357 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 2,057.857 10/04/11 * 11.8810 24,449.11 12.0200 24,735.44 286.33 650.28 2.62% OPPENHEIMER SENIOR FLOATING RATE FUND Security Identifier: OOSAX CLASS A CUSIP: 68381K101 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 3,017.710 12/30/11 * 8.0610 24,325.74 8.3600 25,228.06 902.32 1,286.04 5.09% OPPENHEIMER ROCHESTER MUNI Security Identifier: ORNAX NATIONAL FD CLASS A CUSIP: 683940308 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,773.533 05/07/12 7.3320 13,003.00 7.6800 13,620.73 617.73 884.99 6.49% OPPENHEIMER ROCHESTER LIMITED Security Identifier: OPITX TERM MUNICIPAL FUND CLASS A CUSIP: 683957104 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 932.009 12/08/11 * 14.5800 13,588.69 15.1600 14,129.26 540.57 571.32 4.04% PIMCO INVESTMENT GRADE CORPORATE Security Identifier: PBDAX BOND FUND CLASS A CUSIP: 722008307 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,545.946 01/03/13 11.1000 17,160.00 11.1400 17,221.84 61.84 655.85 3.80% Page 3 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 4.
    Portfolio Holdings (continued) Unrealized Estimated Estimated Quantity Acquisition Date Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Mutual Funds (continued) Mutual Funds (continued) THE TAX-EXEMPT BOND FUND OF AMERICA Security Identifier: AFTFX CLASS F-1 CUSIP: 876902404 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,421.608 08/19/11 * 12.3100 17,500.00 13.2200 18,793.66 1,293.66 629.89 3.35% TEMPLETON GLOBAL BOND FUND CLASS A Security Identifier: TPINX CUSIP: 880208103 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 1,157.270 01/03/13 13.4800 15,600.00 13.4500 15,565.28 -34.72 872.81 5.60% WASHINGTON MUTUAL INVESTORS FUND Security Identifier: WSHFX CLASS F-1 CUSIP: 939330403 Open End Fund Dividend Option: Cash; Capital Gains Option: Cash 323.506 10/12/11 * 26.9860 8,730.20 32.9500 10,659.52 1,929.32 213.77 2.00% Total Mutual Funds $143,796.10 $150,938.07 $7,141.97 $5,991.87 Total Mutual Funds $143,796.10 $150,938.07 $7,141.97 $5,991.87 Unrealized Accrued Estimated Cost Basis Market Value Gain/Loss Interest Annual Income Total Portfolio Holdings $144,698.99 $151,840.96 $7,141.97 $0.00 $5,991.93 * Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (”IRC”) (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are ”covered” under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their ”applicable date(s)” at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. Disclosures and Other Information Pricing Page 4 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 5.
    Statement Period: 02/01/2013- 02/28/2013 Portfolio Holdings (continued) This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from quotation services, which we believe to be reliable. Securities for which a price is not available are marked "N/A" and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. The Estimated Price as of Date only appears when the price date does not equal the statement date and the price indicated is estimated since it is not reflective of a last trade price on a recognized exchange. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your Statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Page 5 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 6.
    Activity Summary (Allamounts shown are in base currency: USD) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 0.00 0.00 Securities Bought 0.00 -32,760.00 Securities Sold 0.00 31,000.00 Securities Sold 0.00 0.00 Total Securities $0.00 $31,000.00 Total Securities $0.00 -$32,760.00 Dividends and Interest $411.29 $757.26 Dividends and Interest $0.00 $0.00 Fees $0.00 $0.00 Fees $0.00 -$1,066.68 Cash Cash Withdrawals 0.00 0.00 Withdrawals -1,700.00 -3,400.00 Deposits 500.00 1,000.00 Deposits 0.00 0.00 Total Cash $500.00 $1,000.00 Total Cash -$1,700.00 -$3,400.00 FDIC Insured Bank Deposits $1,700.00 $6,226.68 FDIC Insured Bank Deposits -$911.29 -$1,978.57 Total Credits $2,611.29 $38,983.94 Total Debits -$2,611.29 -$39,205.25 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount CCY Dividends and Interest 02/01/13 CASH DIVIDEND RECEIVED JP MORGAN CORE BOND FUND CLASS A 2057.8570 SHRS 45.27 USD PGBOX RD 01/30 PD 02/01/13 02/01/13 CASH DIVIDEND RECEIVED OPPENHEIMER SENIOR FLOATING RATE FUND CLASS A FOR 108.15 USD OOSAX ACCRUAL PERIOD ENDING 01/31/13 02/01/13 CASH DIVIDEND RECEIVED PIMCO INVESTMENT GRADE CORPORATE BOND FUND 47.94 USD PBDAX CLASS A FOR ACCRUAL PERIOD ENDING 01/31/13 02/01/13 NON-TAXABLE DISTRIBUTION THE TAX-EXEMPT BOND FUND OF AMERICA CLASS F-1 FOR 48.90 USD RECEIVED ACCRUAL PERIOD ENDING 01/31/13 AFTFX 02/19/13 FDIC INSURED BANK LIQUID INS DEPOSITS INTEREST CREDITED 0.02 USD DEPOSITS INTEREST RECEIVED 761991108 02/20/13 NON-TAXABLE DISTRIBUTION OPPENHEIMER ROCHESTER MUNI NATIONAL FD CLASS A 72.76 USD RECEIVED FOR ACCRUAL PERIOD ENDING 02/19/13 ORNAX 02/20/13 NON-TAXABLE DISTRIBUTION OPPENHEIMER ROCHESTER LIMITED TERM MUNICIPAL 41.96 USD RECEIVED FUND CLASS A FOR ACCRUAL PERIOD ENDING 02/19/13 OPITX 02/20/13 CASH DIVIDEND RECEIVED TEMPLETON GLOBAL BOND FUND CLASS A 1157.2700 46.29 USD TPINX SHRS RD 02/14 PD 02/20/13 Total Dividends and Interest $0.00 $411.29 USD Page 6 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 7.
    Statement Period: 02/01/2013- 02/28/2013 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount CCY Cash Withdrawals and Deposits 02/01/13 CUSTOMER AUTHORIZED PERIODIC DISTRIBUTN. RECEIVED FROM 4HT-217818 500.00 USD TRANSFER USD999997 02/15/13 ELECTRONIC TRANSACTION PRINCIPAL DISTRIBTN ACH 071000505 4048909 -1,700.00 USD USD999997 Total Cash Withdrawals and Deposits $0.00 -$1,200.00 USD FDIC Insured Bank Deposits 02/04/13 FDIC INSURED BANK DEPOSIT LIQUID INS DEPOSITS -750.26 USD USD999997 02/15/13 FDIC INSURED BANK LIQUID INS DEPOSITS 1,700.00 USD WITHDRAWAL USD999997 02/19/13 FDIC INSURED BANK LIQUID INS DEPOSITS INTEREST REINVESTED -0.02 USD DEPOSITS INTEREST REINVESTED 761991108 02/21/13 FDIC INSURED BANK DEPOSIT LIQUID INS DEPOSITS -161.01 USD USD999997 Total FDIC Insured Bank Deposits $0.00 $788.71 USD Total Value of Transactions $0.00 $0.00 The price and quantity displayed may have been rounded. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits LIQUID INSURED DEPOSITS Account Number: 4HT147973 Activity Ending: 02/28/13 02/01/13 Opening Balance 1,691.60 1,691.60 02/04/13 Deposit DEPOSIT 750.26 2,441.86 02/15/13 Withdrawal WITHDRAWAL -1,700.00 741.86 02/18/13 Deposit INTEREST CREDITED 0.02 741.88 02/19/13 YIELD .01% 741.88 Page 7 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 8.
    FDIC Insured BankDeposits (continued) Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits (continued) LIQUID INSURED DEPOSITS (continued) FIRST BANK & TR - PIP A/O 02/19 $741.88 02/21/13 Deposit DEPOSIT 161.01 902.89 02/28/13 Closing Balance $902.89 Total FDIC Insured Bank Deposits $902.89 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Other Dividends 247.65 163.62 428.35 328.85 Interest Income FDIC Insured Bank Deposits 0.02 0.00 0.06 0.00 Total Dividends, Interest, Income and Expenses $247.67 $163.62 $428.41 $328.85 Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Please see the money market mutual fund's prospectus or contact your investment professional for additional information . FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC)-INSURED BANK DEPOSITS ARE NOT PROTECTED BY SECURITIES INVESTOR PROTECTION CORPORATION (SIPC). YOU MAY VIEW CURRENT MONEY MARKET FUND RATES BY VISITING WWW.PERSHING.COM AND SELECTING THE LINK AT THE BOTTOM OF THE PAGE TITLED "MONEY MARKET FUND AND FDIC INSURED BANK RATES AND BANK LISTS." PLEASE NOTE THAT WE MAY NOT OFFER ALL OF THE MONEY MARKET FUNDS LISTED ON THE PERSHING WEBSITE. If a debit balance appears in your Cetera Advisor Networks LLC. cash account and you have not already forwarded funds, please promptly remit payment in the amount of the debit to: Pershing LLC Pershing Money Desk One Pershing Plaza, Jersey City, NJ 07399 Please reference your account number in the memo section of your check. IMPORTANT NOTICE REGARDING FEES: Please be advised that beginning March 1, 2013, the termination fee for an IRA account will increase to $95 per account. This fee will be charged at account closing. Page 8 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP
  • 9.
    Statement Period: 02/01/2013- 02/28/2013 Important Arbitration Disclosures and Important Arbitration Agreement Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page 9 of 9 B0020313CSF30026 Account Number: 4HT-147973 GARY W SAATKAMP