Sample
Reporting
  Catalog
Copyright Notice
The software described in this document is furnished under a license agreement
or non-disclosure statemen...
Table of Contents

      About FixQ Reporting                                 3
      Automated Packaging & Distribution  ...
Performance
 Performance Summary                                  33
 Performance TR Summary                              ...
About FixQ Reporting


A robust reporting system is key to any investment management system, because reports are the means...
Automated Packaging & Distribution


The creation of reports is but one step in sharing and acting on information. FixQ’s ...
Widget Gateway


Even though FixQ’s assortment of reports offer many avenues for investment analysis, sometimes you and yo...
Portfolio Composition                 Risk                                   User Preferences
• Visual analysis of a portf...
Portfolio Appraisal


The Portfolio Appraisal is the fundamental report in FixQ, providing per-position valuation as of a ...
Tax Lot Portfolio Appraisal


Like the regular Portfolio Appraisal, the Tax Lot Portfolio Appraisal provides a per-positio...
Portfolio Appraisal (Multicurrency)


The Multicurrency Portfolio Appraisal shows per position cost basis and valuation se...
Appraisal by Asset Class


The Appraisal by Asset Class report shows the cost, local price, FX rate, and value of position...
Appraisal by Security Type Summary


The Appraisal by Security Type Summary report shows the cost and value of positions i...
Liquidity Analysis


The Liquidity Analysis is used to rank holdings in a portfolio in terms of how many days it would tak...
Appraisal with CUSIP


The Appraisal with Cusip report shows the cost and value of positions in a portfolio as of the sele...
Maturity Alerts


The Maturity Alert reports provides analysis of time-sensitive instruments, like bonds and options, sort...
Appraisal by Sector and Industry


The Appraisal by Sector and Industry shows a per-position valuation as of a given date,...
Appraisal by Sectors and Industries
                                                     Grace Financial Group
           ...
Appraisal by Sector and Industry Summary


The Appraisal by Sectors and Industries summary shows portfolio valuation as of...
Appraisal Ranked by Market Value


The Appraisal Ranked by Market Value is an appraisal report that arranges the positions...
Appraisal Ranked by Market with Percent Gain/Loss


The Appraisal Ranked by Market Value with Percent G/L is an appraisal ...
Appraisal Ranked by Percent Gain/Loss


The Appraisal Ranked by Percent Gain/Loss ranks positions in a portfolio as of a g...
Appraisal by Underlying Security

The Appraisal by Underlying Security report shows the cost and value of positions in a p...
Fixed Income Segment Appraisal


The Fixed Income Segment Appraisal emphasizes analysis of fixed income securities, highli...
Transaction Summary


The Transaction Summary report provides a list of all transactions that occurred during a given peri...
Commission Transaction Summary


The Commission Transaction Summary report provides information on transactions, aggregate...
Commission Transaction Detail


The Commission Transaction Detail report displays commission information on a per-transact...
Income and Expenses


The Income and Expenses Report shows all income and expense transactions that occurred in a portfoli...
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
Sample Reports Grace
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Sample Reports Grace

  1. 1. Sample Reporting Catalog
  2. 2. Copyright Notice The software described in this document is furnished under a license agreement or non-disclosure statement. The software may be used or copied only in accordance with the terms of the agreement. It is against the law to copy the software on any medium except as specifically allowed in the license or non-disclosure agreement. No part of this manual may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying and recording, for any purpose without the expressed written permission from PortfolioShop Inc. Copyright © 2010 by PortfolioShop Inc. All Rights Reserved Disclaimer The information displayed in the sample reports contained herein is not indicative of any actual firm’s management. The data created was for sample use only.
  3. 3. Table of Contents About FixQ Reporting 3 Automated Packaging & Distribution 4 Widget Gateway 5 Appraisal Portfolio Appraisal 7 Tax Lot Portfolio Appraisal 8 Portfolio Appraisal (Multicurrency) 9 Appraisal by Asset Class 10 Appraisal by Security Type Summary 11 Liquidity Analysis 12 Appraisal with CUSIP 13 Maturity Alerts 14 Appraisal by Sector and Industry 15 Appraisal by Sector and Industry Summary 17 Appraisal Ranked by Market Value 18 Appraisal Ranked by Market with Percent Gain/Loss 19 Appraisal Ranked by Percent Gain/Loss 20 Appraisal by Underlying Security 21 Fixed Income Segment Appraisal 22 Transaction Transaction Summary 23 Commission Transaction Summary 24 Commission Transaction Detail 25 Income and Expenses 26 Purchases and Sales Recap 27 Contributions and Withdrawals 28 Dividend Accruals 29 Interest Accruals 30 Cash Ledger Cash Ledger 31 Cash Ledger (Multicurrency) 32 1
  4. 4. Performance Performance Summary 33 Performance TR Summary 34 Performance TR Management Summary 35 Performance Attribution by Sector and Industry 36 Performance Attribution by Sector/Industry Summary 37 Historical Performance Analytics 38 Year-to-Date Performance 39 Performance Snapshot 40 Profit & Loss Detail 41 Realized Gains & Losses by Security 42 Turnover 43 Management Client Billing 44 Security Cross Reference 45 Rebalance Rebalance to Source 46 Rebalance to Allocation Profile 47 Rebalance Trade Ticket 48 Fund Administrator Balance Sheet 49 Statement of Operations 50 Assets Under Management 52 Risk Risk Analysis - Market Driven Moves 53 Risk Analysis - Market Linear Moves 54 Option Analysis 55 Market Exposure Summary 56 2
  5. 5. About FixQ Reporting A robust reporting system is key to any investment management system, because reports are the means by which the voluminous amount of data maintained by the portfolio management system is organized and made available. Clear, structured reports provide the link between information and action. With a wide array of reports and many options for report dissemination, FixQ offers your firm an effective, uncomplicated business information platform. Broad Coverage Packaging & Distribution You and your clients demand In addition to on-demand reporting, financial information that is at once FixQ allows you to create Macros, comprehensive and comprehensible. groups of reports that can be FixQ’s diverse suite of reports gives combined into a single document, you myriad axes on which to analyze with a table of contents, and financial data. With over 200 reports, scheduled for automatic e-mail ranging from high-level performance distribution on a regular basis. overviews to in-depth risk simulations, Any report you run is also saved FixQ provides you the details you to the Recent section of the Easy need to effectively understand the Reporting tool for instant retrieval at status of investments. a later date. Ease of Use Real-Time Knowledge FixQ is designed to streamline the The Easy Reporting tool is the nexus for FixQ When you activate FixQ’s real-time reporting process. With the simple Reporting. Users can request any report, features, reports can be delivered create and schedule their own macros, or Easy Reporting tool, users can with up-to-the-minute accuracy, review reports that recently completed. generate any available report in just enabling you make the most of a few clicks. dynamic information. 3
  6. 6. Automated Packaging & Distribution The creation of reports is but one step in sharing and acting on information. FixQ’s Macros provide a powerful delivery mechanism, allowing you to schedule recurring operations and reports to take place smoothly in the background, and automatically send them via e-mail to any individuals. Your clients can receive appraisal and performance information regularly, managers can arrive in the morning to pertinent compliance data, and portfolio maintenance operations can be performed without any human intervention. Convenient Scheduling With a broad selection of scheduling options, you can ensure that your clients and staff have access to crucial information as soon as possible. You can schedule reports and similar tasks to run at any time and day, so you can share the day- to-day progress with your client, and automatically distribute period- end reports to managers quickly. You can schedule macros for any time interval, or add them to a queue for one-step scheduling. In addition to e-mailing macros, you can send them directly to any user’s Easy Reporting tool. Macros can also be executed as Packaged Documents Custom Macros part of queues, eliminating the need to select specific time intervals for Macros combine a group of reports Using the Easy Reporting tool, individual macros in favor of running into a single file, indexed with users can create and maintain their a large group of macros in a single bookmarks and a cover page, to own macros and schedule them into task at a time of your choosing. form a cohesive, readily consumable any available queues, which means document. increased flexibility for your clients. 4
  7. 7. Widget Gateway Even though FixQ’s assortment of reports offer many avenues for investment analysis, sometimes you and your clients want a quick, digestible snapshot of portfolio status. FixQ’s home page is designed to put all the information about a portfolio at your fingertips in a highly customizable console. The tools on the home page grant instant access to portfolio status and relevant news, as well as the ability to run any report, control account preferences, and assess risk and performance. Winners and Losers At a Glance Easy Reporting • Top and bottom five positions, • High-level portfolio overview • Generate any available report ranked by P&L • Account and security-level detail • Create and manage macros • View month-to-date, quarter-to- • Intraday results available • Review recently completed date, and year-to-date results reports Historical Performance • Compare long-term performance against four indexes • Uses linked rate of return or cumulative growth 5
  8. 8. Portfolio Composition Risk User Preferences • Visual analysis of a portfolio by • Analyze risk metrics for portfolio • Change user name, e-mail, type, currency, country, sector, and its individual holdings password, and other defaults. and industry • Break out VaR on three axes. • Select custom reporting logo • Test hedging strategies and assess impact on risk. News • Links to pertinent news, tailored to each portfolio’s holdings. 6
  9. 9. Portfolio Appraisal The Portfolio Appraisal is the fundamental report in FixQ, providing per-position valuation as of a given date. The information is sorted by security type and broken out by security. Appraisal Grace FinancialPortfolio General Sample Group 4/15/2010 Quantity Security Symbol Unit Cost Price Total Cost Market Value Unrealized % Port LONG COMMON STOCK 19,500 CLOROX CO CLX 50.681 64.730 988,271.40 1,262,235.00 273,963.60 37.67 2,046 JOHNSON & JOHNSON JNJ 61.902 64.900 126,652.00 132,785.40 6,133.40 3.96 1,114,923.40 1,395,020.40 280,097.00 41.63 SHORT COMMON STOCK -300 ISHARES DOW JONES DVY 43.000 46.220 -12,900.00 -13,866.00 -966.00 -0.41 SELECT DIVID -12,900.00 -13,866.00 -966.00 -0.41 LONG CORPORATE BONDS 138,000 CHESAPEAKE ENERGY 165167BU0 93.566 85.750 129,120.90 118,335.00 -10,785.90 3.65 CORPORATION 6.875% DUE 11-15-20 Accrued Interest 3,953.13 129,120.90 122,288.13 -10,785.90 3.65 SHORT EQUITY CALL OPTIONS -15 [CLX] CLX APR 10 50 C 189054DAR 9.191 11.300 -13,787.09 -16,950.00 -3,162.91 -0.51 -13,787.09 -16,950.00 -3,162.91 -0.51 CASH & EQUIVALENTS CASH - US DOLLARS CASH 1.000 1,745,555.24 1,745,555.24 0.00 52.10 1,745,555.24 1,745,555.24 0.00 52.10 LONG FUTURES 25 JUN 10 EMINI S&P 500 .PES0000010F 1,191.000 1,208.500 1,488,750.00 1,510,625.00 21,875.00 0.65 LONG FUTURES Total 1,488,750.00 1,510,625.00 21,875.00 0.65 ADDED TO GRAND TOTAL 0.00 21,875.00 LONG COMMON STOCK - GREAT BRITAIN 2,500 MOTHERCARE ORD GBP 0.50 MOTGBBF 11.202 11.763 28,004.82 29,407.49 1,402.67 0.88 5,000 NORSEMAN GOLD PLC NOGFF 6.114 9.262 30,571.19 46,311.00 15,739.81 1.38 58,576.01 75,718.49 17,142.48 2.26 CASH - GREAT BRITAIN 13,595 CASH - BRITISH POUNDS CASH 1.609 1.544 21,874.50 20,986.42 -888.08 0.63 21,874.50 20,986.42 -888.08 0.63 Total 67778 3,043,362.96 3,350,627.67 303,311.59 100.00 Summary: Long Securities 2,791,370.31 3,099,698.89 92.5 Short Securities -1,515,437.09 -1,519,566.00 -45.4 Net Cash Equivalents 1,767,429.74 1,766,541.66 52.7 Accrued Dividends 0.00 0.00 0.0 Accrued Interest 3,953.13 0.1 Total Account 3,043,362.96 3,350,627.67 100.0 67778 Run Date: 5/26/2010 10:46:59AM Page 1 of 2 (107) 7
  10. 10. Tax Lot Portfolio Appraisal Like the regular Portfolio Appraisal, the Tax Lot Portfolio Appraisal provides a per-position valuation as of a given date, however tax lots of each position are displayed individually. Appraisal Grace Financial Group General Sample Portfolio 4/15/2010 Quantity Security Date Symbol Lot Location Unit Total Price Days Market Unrealized Accr Pct Acquired Cost Cost LT Value Int Port LONG COMMON STOCK (csus) 18,000 CLOROX CO 02/20/09 CLX 1 gsec 50.026 900,464.40 64.730 1,165,140.00 264,675.60 0.00 34.8 1,500 CLOROX CO 09/10/09 CLX 2 gsec 58.538 87,807.00 64.730 149 97,095.00 9,288.00 0.00 2.9 19,500 CLOROX CO Total 50.681 988,271.40 64.730 1,262,235.00 273,963.60 0.00 37.7 100 JOHNSON & JOHNSON 02/24/10 JNJ 3 gsec 60.000 6,000.00 64.900 316 6,490.00 490.00 0.00 0.2 1,946 JOHNSON & JOHNSON 03/02/10 JNJ 4 gsec 62.000 120,652.00 64.900 322 126,295.40 5,643.40 0.00 3.8 2,046 JOHNSON & JOHNSON Total 61.902 126,652.00 64.900 132,785.40 6,133.40 0.00 4.0 LONG COMMON STOCK Total 1,114,923.40 1,395,020.40 280,097.00 0.00 41.6 SHORT COMMON STOCK (csus) -300 ISHARES DOW JONES 02/24/10 DVY 18 gsec 43.000 -12,900.00 46.220 316 -13,866.00 -966.00 0.00 -0.4 SELECT DIVID SHORT COMMON STOCK Total -12,900.00 -13,866.00 -966.00 0.00 -0.4 LONG CORPORATE BONDS (cbus) 138,000 CHESAPEAKE ENERGY 04/15/10 165167BU0 1 gsec 93.566 129,120.90 85.750 366 118,335.00 -10,785.90 3,953.13 3.6 CORPORATION 6.875% Due 11-15-20 LONG CORPORATE BONDS Total 129,120.90 118,335.00 -10,785.90 3,953.13 3.6 SHORT EQUITY CALL OPTIONS (clus) -1 CLX APR 10 50 C 09/10/09 189054DAR 1 gsec 9.191 -919.14 11.300 149 -1,130.00 -210.86 0.00 0.0 -14 CLX APR 10 50 C 09/10/09 189054DAR 2 gsec 9.191 -12,867.95 11.300 149 -15,820.00 -2,952.05 0.00 -0.5 67778 Run Date: 5/26/2010 10:47:14AM Page 1 of 3 (107) 8
  11. 11. Portfolio Appraisal (Multicurrency) The Multicurrency Portfolio Appraisal shows per position cost basis and valuation separated by currency as of a given date. The information is sorted by currency, security type and broken out by security. Appraisal ForeignFinancial Group Grace Assets 4/15/2010 Reporting Currency: US Dollar Local Currency Reporting Currency Pct. Quantity Security Symbol Unit Cost Total Cost Price Market Value Market Value Unrealized Port UK Pound (FX = 1.5437) LONG COMMON STOCK - GREAT BRITAIN 1,000 MONITISE PLC CMN MONIF 10.00 10,000.00 10.20 10,200.00 15,745.74 -344.36 2.18 10,000.00 10,200.00 15,745.74 -344.36 2.18 UK Pound Total 10,000.00 10,200.00 15,745.74 -344.36 2.18 European Monetary Unit (FX = 1.3541) LONG COMMON STOCK - EURO 1,200 ASM INTL NV ASMIZ 20.00 24,000.00 22.12 26,544.00 35,943.23 17,913.04 4.97 5,000 EUROFINS SCIENTIFIC EUFSF 67.00 335,000.00 69.25 346,250.00 468,857.13 13,817.73 64.90 359,000.00 372,794.00 504,800.36 31,730.77 69.87 CASH - EURO 141,000 CASH - EURO cash 1.00 141,000.00 1.00 141,000.00 190,927.56 -596.48 26.43 141,000.00 141,000.00 190,927.56 -596.48 26.43 European Monetary Unit Total 500,000.00 513,794.00 695,727.92 31,134.29 96.30 Japanese Yen (FX = 92.9060) LONG COMMON STOCK - JAPAN 1,000 TOSHIBA MACHINE tshmf 422.71 422,707.50 445.29 445,290.00 4,792.91 284.41 0.66 422,707.50 445,290.00 4,792.91 284.41 0.66 CASH - JAPAN 577,292.500 CASH - JAPAN cash 1.00 577,292.50 1.00 577,292.50 6,213.73 56.47 0.86 577,292.50 577,292.50 6,213.73 56.47 0.86 Japanese Yen Total 1,000,000.00 1,022,582.50 11,006.64 340.88 1.52 Total FGN789 722,480.29 31,130.82 100.00 FGN789 Run Date: 5/26/2010 10:46:45AM Page 1 of 2 (107) 9
  12. 12. Appraisal by Asset Class The Appraisal by Asset Class report shows the cost, local price, FX rate, and value of positions in a portfolio as of the selected date, sorted by asset class. Appraisal by Asset Class Foreign Assets Group Grace Financial 4/15/2010 Quantity Security Symbol Cusip Local Price Local Market Value USD Market Value FX Rate Long Equities 1,200 ASM INTL NV ASMIZ 5165294 22.12 26,544.00 35,943.23 1.3541 5,000 EUROFINS SCIENTIFIC EUFSF 5972643 69.25 346,250.00 468,857.13 1.3541 1,000 MONITISE PLC CMN MONIF B1YMRB8 10.20 10,200.00 15,745.74 1.5437 1,000 TOSHIBA MACHINE tshmf 6897262 445.29 445,290.00 4,792.91 92.9060 Total Long Equities 525,339.00 Total Equities 525,339.00 Long Cash and Equiv. 141,000 CASH - EURO cash 000000999 1.00 141,000.00 190,927.56 1.3541 577,292.500 CASH - JAPAN cash 1.00 577,292.50 6,213.73 92.9060 Total Long Cash and Equiv. 197,141.29 Total Cash and Equiv. 197,141.29 Total FGN789 722,480.29 FGN789 Run Date: 5/26/2010 10:49:37AM Page 1 of 1 (167) 10
  13. 13. Appraisal by Security Type Summary The Appraisal by Security Type Summary report shows the cost and value of positions in a portfolio as of the selected date, summarized and aggregated by security type. Appraisal by Security Type Summary GeneralFinancial Group Grace Sample Portfolio 4/15/2010 % Cur. Est. Annual Security Type Total Cost Market Value Unrealized Asset Yield Income LONG COMMON STOCK 1,114,923.40 1,395,020.40 280,097.00 41.63 0.00 0.00 SHORT COMMON STOCK -12,900.00 -13,866.00 -966.00 -0.41 0.00 0.00 LONG CORPORATE BONDS 129,120.90 122,288.13 -10,785.90 3.65 8.02 9,487.50 SHORT EQUITY CALL OPTIONS -13,787.09 -16,950.00 -3,162.91 -0.51 0.00 0.00 CASH & EQUIVALENTS 1,745,555.24 1,745,555.24 0.00 52.10 LONG FUTURES 1,488,750.00 1,510,625.00 21,875.00 0.65 LONG FUTURES Total ADDED 0.00 21,875.00 TO GRAND TOTAL LONG COMMON STOCK - GREAT BRITAIN 58,576.01 75,718.49 17,142.48 2.26 0.00 0.00 CASH - GREAT BRITAIN 21,874.50 20,986.42 -888.08 0.63 0.00 0.00 Total 67778 3,047,316.08 3,350,627.67 303,311.59 100.00 0.20 9,487.50 Summary: Long Securities 2,791,370.31 3,099,698.89 92.51 Short Securities -1,515,437.09 -1,519,566.00 -45.35 Net Cash Equivalents 1,767,429.74 1,766,541.66 52.75 Accrued Dividends 0.00 0.00 0.00 Accrued Interest 3,953.13 3,953.13 0.12 Total Account 3,047,316.08 3,350,627.67 100.00 67778 Run Date: 5/26/2010 10:49:51AM Page 1 of 1 (169) 11
  14. 14. Liquidity Analysis The Liquidity Analysis is used to rank holdings in a portfolio in terms of how many days it would take to liquidate each position, based on its 30, 60, and 90-day average daily trading volume. Liquidity Analysis Grace Financial Group Demonstration Portfolio 3/31/2010 Pct of 30 Day Pct of Days to Symbol Security Quantity Port Avg Volume Daily Volume Liquidate 50% Very Liquid - less than 3% SPY AMEX S & P DEPOSITARY RECEIPTS -1,000 -11.845 190,365,811 -0.001 0 ADP AUTOMATIC DATA PROCESSING INC 4,000 18.070 3,406,685 0.117 1 C CITIGROUP INC 3,000 1.237 409,234,943 0.001 1 CLX CLOROX CO 1,500 9.837 1,076,483 0.139 1 GIS GENERAL MLS INC 800 5.768 1,901,183 0.042 1 HON HONEYWELL INTL INC 2,100 9.744 4,897,052 0.043 1 TLT ISHARES 20+ YEAR TREASURY INDE 500 4.525 3,583,831 0.014 1 DVY ISHARES DOW JONES SELECT DIVID -300 -1.405 410,012 -0.073 0 JNJ JOHNSON & JOHNSON 100 0.657 11,035,954 0.001 1 LLY LILLY ELI & CO 2,000 7.274 6,160,902 0.032 1 MKC MCCORMICK & CO NON-VTG 1,500 5.819 633,218 0.237 1 MRK MERCK & CO INC 2,000 7.600 14,748,780 0.014 1 RTN RAYTHEON CO (NEW) 1,000 5.820 2,356,750 0.042 1 SO SOUTHERN CO 100 0.336 4,043,765 0.002 1 DIS THE WALT DISNEY COMPANY 2,000 7.112 12,647,424 0.016 1 XRX XEROX CORP 30,000 29.451 13,487,473 0.222 1 4VFT Run Date: 7/19/2010 1:05:20PM Page 1 of 1 (162) 12
  15. 15. Appraisal with CUSIP The Appraisal with Cusip report shows the cost and value of positions in a portfolio as of the selected date, with an emphasis on current yield. Appraisal with CUSIP Grace Financial Group Demonstration Portfolio 7/23/2010 Cur. Est. Annual Quantity Security Symbol CUSIP Unit Cost Price Total Cost Market Value Unrealized Yield Income % Port LONG COMMON STOCK 4,000 AUTOMATIC DATA ADP 053015103 37.944 41.840 151,775.20 167,360.00 15,584.80 3.23 5,400.00 48.59 PROCESSING INC 3,000 CITIGROUP INC C 172967101 3.000 4.020 9,000.00 12,060.00 3,060.00 0.00 0.00 3.50 1,500 CLOROX CO CLX 189054109 58.538 65.250 87,807.00 97,875.00 10,068.00 3.07 3,000.00 28.42 100 JOHNSON & JOHNSON JNJ 478160104 60.000 57.490 6,000.00 5,749.00 -251.00 3.50 201.00 1.67 2,000 LILLY ELI & CO LLY 532457108 33.953 35.050 67,905.00 70,100.00 2,195.00 5.59 3,920.00 20.35 322,487.20 353,144.00 30,656.80 3.55 12,521.00 102.53 SHORT EQUITY CALL OPTIONS -15 [CLX] CLX APR 10 50 C 189054DAR 189054DAR 9.191 0.050 -13,787.09 -75.00 13,712.09 0.00 0.00 -0.02 -10 [WMT] WMT JUN 10 45 C 931142FAJ 931142FAJ 6.544 8.650 -6,544.00 -8,650.00 -2,106.00 0.00 0.00 -2.51 -20,331.09 -8,725.00 11,606.09 0.00 0.00 -2.53 Total 4VFT 302,156.11 344,419.00 42,262.89 3.64 12,521.00 100.00 Summary: Long Securities 322,487.20 353,144.00 102.53 Short Securities -20,331.09 -8,725.00 -2.53 Net Cash Equivalents 0.00 0.00 0.00 Long Accrued Dividends 0.00 0.00 0.00 Short Accrued Dividends 0.00 0.00 0.00 Accrued Interest 0.00 0.00 Total Account 302,156.11 344,419.00 100.00 4VFT Run Date: 7/26/2010 4:02:39PM Page 1 of 1 (163) 13
  16. 16. Maturity Alerts The Maturity Alert reports provides analysis of time-sensitive instruments, like bonds and options, sorted by time remaining until expiration, facilitating action on those positions.  Grace Financial Group                                                                                                                                                  14
  17. 17. Appraisal by Sector and Industry The Appraisal by Sector and Industry shows a per-position valuation as of a given date, including sector and industry information. Appraisal by Sectors and Industries Grace FinancialPortfolio General Sample Group 4/15/2010 Quantity Security Symbol Unit Cost Price Total Cost Market Value Unrealized % Port CASH AND EQUIVALENTS CASH AND EQUIVALENTS 13,595 CASH - BRITISH POUNDS cash 1.609 1.544 21,874.50 20,986.42 -888.08 0.6 CASH - US DOLLARS cash 1.000 1,745,555.24 1,745,555.24 0.00 52.1 Total CASH AND EQUIVALENTS 1,767,429.74 1,766,541.66 -888.08 52.7 Total CASH AND EQUIVALENTS 1,767,429.74 1,766,541.66 -888.08 52.7 CONSUMER CYCLICAL Household Goods & Home Furnishings 2,500 MOTHERCARE ORD GBP MOTGBBF 11.202 11.763 28,004.82 29,407.49 1,402.67 0.9 0.50 5,000 NORSEMAN GOLD PLC nogff 6.114 9.262 30,571.19 46,311.00 15,739.81 1.4 Total Household Goods & Home Furnishings 58,576.01 75,718.49 17,142.48 2.3 Total CONSUMER CYCLICAL 58,576.01 75,718.49 17,142.48 2.3 CONSUMER NONCYCLICAL Drugs & Pharmaceuticals 2,046 JOHNSON & JOHNSON jnj 61.902 64.900 126,652.00 132,785.40 6,133.40 4.0 Total Drugs & Pharmaceuticals 126,652.00 132,785.40 6,133.40 4.0 Personal Care & Cosmetics 19,500 CLOROX CO CLX 50.681 64.730 988,271.40 1,262,235.00 273,963.60 37.7 -15 CLX APR 10 50 C 189054DA 9.191 11.300 -13,787.09 -16,950.00 -3,162.91 -0.5 R Total Personal Care & Cosmetics 974,484.31 1,245,285.00 270,800.69 37.2 Total CONSUMER NONCYCLICAL 1,101,136.31 1,378,070.40 276,934.09 41.1 FINANCIAL SERVICES Diversified Financial Services -300 ISHARES DOW JONES dvy 43.000 46.220 -12,900.00 -13,866.00 -966.00 -0.4 SELECT DIVID Total Diversified Financial Services -12,900.00 -13,866.00 -966.00 -0.4 67778 (130) Run Date: 5/26/2010 10:47:50AM Page 1 of 3 15
  18. 18. Appraisal by Sectors and Industries Grace Financial Group General Sample Portfolio 4/15/2010 Quantity Security Symbol Unit Cost Price Total Cost Market Value Unrealized % Port Summary: Long Securities 2,791,370.31 3,099,698.89 92.5 Short Securities -26,687.09 -30,816.00 -0.9 Net Cash Equivalents 1,767,429.74 1,766,541.66 52.7 Accrued Dividends 0.00 0.00 0.00 Accrued Interest 3,953.13 0.12 Total Account 3,043,362.96 3,350,627.67 100.0 Portfolio Composition by Market Value CASH AND EQUIVALENTS 1,766,542 27.9% CONSUMER CYCLICAL 75,718 1.2% CONSUMER NONCYCLICAL 1,378,070 21.8% FINANCIAL SERVICES 1,619,047 25.6% Unclassified Industry -1,488,750 (23.5)% Total: 6,328,128 100.0% 67778 (130) Run Date: 5/26/2010 10:47:50AM Page 3 of 3 16
  19. 19. Appraisal by Sector and Industry Summary The Appraisal by Sectors and Industries summary shows portfolio valuation as of a given date aggregated by sector and industry. Appraisal by Sectors and Industries Summary Grace Financial Group General Sample Portfolio 4/15/2010 Description Cost Market Value Unrealized % Port CASH AND EQUIVALENTS - CASH AND EQUIVALENTS 1,767,429.74 1,766,541.66 -888.08 52.7 CASH AND EQUIVALENTS Total 1,767,429.74 1,766,541.66 -888.08 52.7 CONSUMER CYCLICAL - Household Goods & Home Furnishings 58,576.01 75,718.49 17,142.48 2.3 CONSUMER CYCLICAL Total 58,576.01 75,718.49 17,142.48 2.3 CONSUMER NONCYCLICAL - Drugs & Pharmaceuticals 126,652.00 132,785.40 6,133.40 4.0 CONSUMER NONCYCLICAL - Personal Care & Cosmetics 974,484.31 1,245,285.00 270,800.69 37.2 CONSUMER NONCYCLICAL Total 1,101,136.31 1,378,070.40 276,934.09 41.1 FINANCIAL SERVICES - Diversified Financial Services -12,900.00 -13,866.00 -966.00 -0.4 FINANCIAL SERVICES - Other Financial Services 1,621,824.03 1,632,913.13 11,089.10 4.3 FINANCIAL SERVICES Total 1,608,924.03 1,619,047.13 10,123.10 3.9 Unclassified Industry - Unclassified Sector -1,488,750.00 -1,488,750.00 0.00 0.0 Unclassified Industry Total -1,488,750.00 -1,488,750.00 0.00 0.0 Total 67778 3,047,316.08 3,350,627.67 303,311.59 100.0 67778 Run Date: 5/26/2010 10:48:03AM (131) Page 1 of 2 17
  20. 20. Appraisal Ranked by Market Value The Appraisal Ranked by Market Value is an appraisal report that arranges the positions in a portfolio from highest to lowest market value, within asset class. Appraisal Ranked by Market Value GeneralFinancial Group Grace Sample Portfolio 4/15/2010 Quantity Security Symbol Unit Cost Price Total Cost Market Value Unrealized % Port Fixed Income 138,000 CHESAPEAKE ENERGY 165167BU0 93.566 85.750 129,120.90 118,335.00 -10,785.90 3.6 CORPORATION 6.875% Due 11-15-20 Accrued Interest 3,953.13 Total Fixed Income 133,074.03 122,288.13 -10,785.90 3.65 Equities 25 JUN 10 EMINI S&P 500 .pes0000010f 1,191.000 1,208.500 1,488,750.00 1,510,625.00 21,875.00 0.7 19,500 CLOROX CO CLX 50.681 64.730 X 988,271.40 1,262,235.00 273,963.60 37.7 2,046 JOHNSON & JOHNSON jnj 61.902 64.900 X 126,652.00 132,785.40 6,133.40 4.0 5,000 NORSEMAN GOLD PLC nogff 6.114 9.262 30,571.19 46,311.00 15,739.81 1.4 2,500 MOTHERCARE ORD GBP MOTGBBF 11.202 11.763 28,004.82 29,407.49 1,402.67 0.9 0.50 -300 ISHARES DOW JONES dvy 43.000 46.220 X -12,900.00 -13,866.00 -966.00 -0.4 SELECT DIVID -15 CLX APR 10 50 C 189054DAR 9.191 11.300 X -13,787.09 -16,950.00 -3,162.91 -0.5 LONG FUTURES Zero 0.000 0.000 -1,488,750.00 -1,488,750.00 0.00 0.0 Market Value Adjustment Total Equities 1,146,812.32 1,461,797.89 314,985.57 43.63 Cash and Equiv. CASH - US DOLLARS cash 1.000 1,745,555.24 1,745,555.24 0.00 52.1 13,595 CASH - BRITISH POUNDS cash 1.609 1.544 21,874.50 20,986.42 -888.08 0.6 Total Cash 1,767,429.74 1,766,541.66 -888.08 52.72 Total 67778 3,047,316.08 3,350,627.67 303,311.59 100.0 Summary: Long Securities 2,791,370.31 3,099,698.89 92.5 Short Securities -26,687.09 -30,816.00 -0.9 Net Cash Equivalents 1,767,429.74 1,767,429.74 52.7 Long Accrued Dividends 0.00 0.00 0.0 Short Accrued Dividends 0.00 0.00 0.00 Accrued Interest 3,953.13 3,953.13 0.12 Total Account 3,047,316.08 3,350,627.67 100.0 67778 Run Date: 5/26/2010 10:48:17AM (132) Page 1 of 1 18
  21. 21. Appraisal Ranked by Market with Percent Gain/Loss The Appraisal Ranked by Market Value with Percent G/L is an appraisal report that includes the Percentage Gain or Loss for each position in a portfolio by market value from highest to lowest. Appraisal Ranked by Market Value with Percent G/L General Sample Portfolio Grace Financial Group 4/15/2010 Security Symbol Quantity Unit Cost Price % Change Total Cost Market Value Unrealized % Port Fixed Income CHESAPEAKE ENERGY CORPORATION 6.875% 165167BU0 138,000 93.566 85.750 -8.35 129,120.90 118,335.00 -10,785.90 3.65 Due 11-15-20 Accrued Interest 3,953.13 -8.11 133,074.03 122,288.13 -10,785.90 3.65 Total Fixed Income Equities JUN 10 EMINI S&P 500 .PES0000010F 25 1,191.000 1,208.500 1.47 1,488,750.00 1,510,625.00 21,875.00 0.65 CLOROX CO CLX 19,500 50.681 64.730 27.72 988,271.40 1,262,235.00 273,963.60 37.67 JOHNSON & JOHNSON JNJ 2,046 61.902 64.900 4.84 126,652.00 132,785.40 6,133.40 3.96 NORSEMAN GOLD PLC NOGFF 5,000 6.114 9.262 51.49 30,571.19 46,311.00 15,739.81 1.38 MOTHERCARE ORD GBP 0.50 MOTGBBF 2,500 11.202 11.763 5.01 28,004.82 29,407.49 1,402.67 0.88 ISHARES DOW JONES SELECT DIVID DVY -300 43.000 46.220 -7.49 -12,900.00 -13,866.00 -966.00 -0.41 CLX APR 10 50 C 189054DAR -15 9.191 11.300 -22.94 -13,787.09 -16,950.00 -3,162.91 -0.51 LONG FUTURES Zero Market Value Adjustment 0.000 0.000 0.00 -1,488,750.00 -1,488,750.00 0.00 0.00 27.47 1,146,812.32 1,461,797.89 314,985.57 43.63 Total Equities Cash and Equiv. CASH - US DOLLARS CASH 1.000 1,745,555.24 1,745,555.24 0.00 52.10 CASH - BRITISH POUNDS CASH 13,595 1.609 1.544 -4.06 21,874.50 20,986.42 -888.08 0.63 -0.05 1,767,429.74 1,766,541.66 -888.08 52.72 Total Cash and Equiv. Total 67778 9.95 3,047,316.08 3,350,627.67 303,311.59 100.0 (157) 67778 Run Date: 5/26/2010 10:48:59AM Page 1 of 2 19
  22. 22. Appraisal Ranked by Percent Gain/Loss The Appraisal Ranked by Percent Gain/Loss ranks positions in a portfolio as of a given date by Percent Gain or loss. Appraisal Ranked by Percent Gain/Loss Grace FinancialPortfolio General Sample Group 4/15/2010 Quantity Security Symbol Unit Cost Price Total Cost Market Value % Unr % Port Fixed Income 138,000 CHESAPEAKE ENERGY 165167BU0 93.566 85.750 129,120.90 118,335.00 -8.35 3.6 CORPORATION 6.875% Due 11-15-20 Accrued Interest 3,953.13 Total Fixed Income 133,074.03 122,288.13 -8.35 3.65 Equities 5,000 NORSEMAN GOLD PLC nogff 6.114 9.262 30,571.19 46,311.00 51.49 1.4 19,500 CLOROX CO CLX 50.681 64.730 988,271.40 1,262,235.00 27.72 37.7 -15 CLX APR 10 50 C 189054DAR 9.191 11.300 -13,787.09 -16,950.00 22.94 -0.5 -300 ISHARES DOW JONES dvy 43.000 46.220 -12,900.00 -13,866.00 7.49 -0.4 SELECT DIVID 2,500 MOTHERCARE ORD GBP MOTGBBF 11.202 11.763 28,004.82 29,407.49 5.01 0.9 0.50 2,046 JOHNSON & JOHNSON jnj 61.902 64.900 126,652.00 132,785.40 4.84 4.0 25 JUN 10 EMINI S&P 500 .pes0000010f 1,191.000 1,208.500 1,488,750.00 1,510,625.00 1.47 0.7 LONG FUTURES Zero Market 0.000 0.000 -1,488,750.00 -1,488,750.00 0.00 0.0 Value Adjustment Total Equities 1,146,812.32 1,461,797.89 120.96 43.63 Cash and Equiv. CASH - US DOLLARS cash 1.000 1,745,555.24 1,745,555.24 0.00 52.1 13,595 CASH - BRITISH POUNDS cash 1.609 1.544 21,874.50 20,986.42 -4.06 0.6 Total Cash and Equiv. 1,767,429.74 1,766,541.66 -4.06 52.72 Total 67778 3,047,316.08 3,350,627.67 108.54 100.0 Summary: Long Securities 2,791,370.31 3,099,698.89 92.5 Short Securities -26,687.09 -30,816.00 -0.9 Net Cash Equivalents 1,767,429.74 1,767,429.74 52.7 Long Accrued Dividends 0.00 0.00 0.0 Short Accrued Dividends 0.00 0.00 0.00 Accrued Interest 3,953.13 3,953.13 0.12 Total Account 3,047,316.08 3,350,627.67 100.0 67778 Run Date: 5/26/2010 10:48:32AM (152) Page 1 of 1 20
  23. 23. Appraisal by Underlying Security The Appraisal by Underlying Security report shows the cost and value of positions in a portfolio grouped by underlying security. This report is useful for viewing hedged positions between options and their underlying security. Appraisal by Underlying Security Grace Financial Group Options Account 4/15/2010 Quantity Security Undl Sym Symbol Unit Cost Price Total Cost Market Value Unrealized % Port CASH - US DOLLARS CASH CASH 1.000 109,800.13 109,800.13 0.00 8.04 2,000 CLOROX CO CLX CLX 8.000 64.730 16,000.00 129,460.00 113,460.00 9.48 -15 CLX APR 10 50 C CLX 189054DAR 9.191 11.300 -13,787.09 -16,950.00 -3,162.91 -1.24 Total CLX 2,212.91 112,510.00 110,297.09 8.24 19,066 WISDOMTREE DREYFUS CHINESE YUA CYB CYB 25.220 25.220 480,844.52 480,844.52 0.00 35.21 -85 CYB JUL 17 2010 25.000 C CYB CYB 100717C00025000 0.482 0.000 -4,097.00 0.00 4,097.00 0.00 -101 CYB JUL 17 2010 26.000 C CYB CYB 100717C00026000 0.230 0.129 -2,323.00 -1,302.90 1,020.10 -0.10 Total CYB 474,424.52 479,541.62 5,117.10 35.11 19,400 CAL DIVE INTERNATIONAL, INC. DVR DVR 7.620 7.390 147,828.00 143,366.00 -4,462.00 10.50 -150 DVR MAY 22 2010 7.500C DVR DVR 100522C00007500 0.400 0.000 -6,000.00 0.00 6,000.00 0.00 Total DVR 141,828.00 143,366.00 1,538.00 10.50 500 COCA COLA CO KO KO 48.000 48.770 24,000.00 24,385.00 385.00 1.79 111 KO MAY 10 47 1/2 C KO 191216EAZ 7.550 7.500 83,805.00 83,250.00 -555.00 6.10 Total KO 107,805.00 107,635.00 -170.00 7.88 4,600 LOWES CORP L L 38.030 0.000 174,938.00 0.00 -174,938.00 0.00 -46 L 100522C00040000 @40 05-22-10 L L 100522C00040000 0.300 0.439 -1,380.00 -2,019.40 -639.40 -0.15 Total L 173,558.00 -2,019.40 -175,577.40 -0.15 16,037 NANOMETRICS INC NANO NANO 10.610 10.750 170,152.57 172,397.75 2,245.18 12.62 -90 NTQ MAY 22 2010 10000 C NANO NTQ 100522C00010000 1.100 1.120 -9,900.00 -10,080.00 -180.00 -0.74 Total NANO 160,252.57 162,317.75 2,065.18 11.88 3,700 EXXON MOBIL CORP. XOM XOM 68.560 69.150 253,672.00 255,855.00 2,183.00 18.73 -37 XOM 100522C00070000 @70 05-22-10 XOM XOM 100522C00070000 0.560 0.715 -2,072.00 -2,645.50 -573.50 -0.19 -10 XOM 100522P00065000 @65 05-22-10 XOM XOM 100522P00065000 0.290 0.621 -290.00 -621.00 -331.00 -0.05 Total XOM 251,310.00 252,588.50 1,278.50 18.49 Total OPT890 1,421,191.13 1,365,739.60 -55,451.53 100.00 Summary: Long Securities 1,351,240.09 1,289,558.27 94.4 OPT890 Run Date: 5/26/2010 10:48:45AM Page 1 of 2 (154) 21
  24. 24. Fixed Income Segment Appraisal The Fixed Income Segment Appraisal emphasizes analysis of fixed income securities, highlighting metrics like duration, yield to maturity, years to maturity, coupon and rating at individual position, security type, and portfolio levels. Fixed Income Segment Grace Income Portfolio Fixed Financial Group 4/15/2010 Quantity Security Symbol Rating Coupon Maturity Put Price Market Accrued YTM Years Mod Pct. Date Value Interest To Mat Dur. Asset LONG CORPORATE BONDS 10,000 XEROX CORPORATION 121bn2 A 6.875 08/15/11 103.250 10,325.00 114.58 4.33 1.33 1.258 1.27 138,000 CHESAPEAKE ENERGY CORPORATION 165167bu0 BB 6.875 11/15/20 85.750 118,335.00 3,953.13 8.99 10.58 6.877 14.92 148,000 Ba2 6.875 02/13/20 128,660.00 4,067.71 8.61 9.84 6.426 16.19 LONG TREASURY BONDS 100,000 FHLB 3133xkqx6 AAA 4.875 05/17/17 99.250 99,250.00 2,004.17 5.00 7.09 5.809 12.35 100,000 Aaa 4.875 05/15/17 99,250.00 2,004.17 5.00 7.09 5.809 12.35 LONG CONVERTIBLE BONDS 60,000 NII HOLDINGS, INC. 3.125% 06 62913faj1 A 3.125 06/15/12 01/15/11 103.000 61,800.00 625.00 0.00 0.75 .742 7.62 75,000 NOVAMED, INC. 66986waa6 A 1.000 06/15/12 103.950 77,962.50 250.00 0.00 2.17 2.142 9.54 135,000 A2 1.940 10/29/11 139,762.50 875.00 0.00 1.54 1.523 17.16 LONG MUNICIPAL BONDS 20,000 KANSAS CITY MO TAX INCREMENT 485107cr5 AAA 5.250 03/01/18 103.300 20,660.00 128.33 4.74 7.88 6.387 2.54 100,000 GLOUCESTER CNTY N J IMPT AUTH 37969ynm4 AAA 4.250 06/01/22 102.750 102,750.00 1,581.94 3.96 12.13 9.311 12.73 120,000 Aaa 4.417 09/10/21 123,410.00 1,710.28 4.09 11.42 8.822 15.26 CASH & EQUIVALENTS CASH - US DOLLARS cash 1.000 247,149.90 0.00 30.15 247,149.90 0.00 30.15 LONG FNMA 75,000 FNMA 31398adm1 AAA 5.375 06/12/17 97.000 72,750.00 33.59 5.89 7.16 5.736 8.88 75,000 Aaa 5.375 06/09/17 72,750.00 33.59 5.89 7.16 5.736 8.88 Total FXD123 A1 4.568 07/30/17 810,982.40 8,690.75 3.13 7.30 5.538 100.00 FXD123 Run Date: 5/26/2010 10:47:24AM Page 1 of 1 (125) 22
  25. 25. Transaction Summary The Transaction Summary report provides a list of all transactions that occurred during a given period. Transaction Summary Grace Financial Group General Sample Portfolio 1/1/2010 to 4/15/2010 Close Tr Type Symbol Description Trade Settle Quantity Meth Type Symbol Comm Other SEC Net Amount Lot by csgb nogff NORSEMAN GOLD PLC 1/11/10 1/14/10 5,000 cagb cash 1,609.01 0.00 0.00 30,571.19 1 by csgb MOTGBBF MOTHERCARE ORD GBP 1/11/10 1/14/10 2,500 cagb cash 48.27 0.00 0.00 28,004.82 1 0.50 dp cagb cash CASH - BRITISH POUNDS 1/11/10 1/11/10 awgb CLIENT 0.00 0.00 0.00 80,450.52 0 cs clus 053015aes ADP JAN 10 30 C 1/15/10 1/18/10 20 h caus cash 0.00 0.00 0.00 0.00 1 cs clus 532457abb LLY JAN 10 30 C 1/15/10 1/18/10 20 h caus cash 0.00 0.00 0.00 0.00 1 cs clus 589331afg MRK JAN 10 25 C 1/15/10 1/18/10 8 h caus cash 0.00 0.00 0.00 0.00 5 cs clus 589331afg MRK JAN 10 25 C 1/15/10 1/18/10 5 h caus cash 0.00 0.00 0.00 0.00 4 cs clus 589331afg MRK JAN 10 25 C 1/15/10 1/18/10 1 h caus cash 0.00 0.00 0.00 0.00 1 cs clus 589331afg MRK JAN 10 25 C 1/15/10 1/18/10 4 h caus cash 0.00 0.00 0.00 0.00 3 cs clus 589331afg MRK JAN 10 25 C 1/15/10 1/18/10 2 h caus cash 0.00 0.00 0.00 0.00 2 cs clus 755111aea RTN JAN 10 42 C 1/15/10 1/18/10 10 h caus cash 0.00 0.00 0.00 0.00 1 cs clus 842587abv SO JAN 10 25 C 1/15/10 1/18/10 1 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 189054mca CLX JAN 10 50 P 1/15/10 1/18/10 5 h caus cash 0.00 0.00 0.00 0.00 3 cs ptus 189054mca CLX JAN 10 50 P 1/15/10 1/18/10 4 h caus cash 0.00 0.00 0.00 0.00 2 cs ptus 189054mca CLX JAN 10 50 P 1/15/10 1/18/10 1 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 191216mds KO JAN 10 22 1/2 P 1/15/10 1/18/10 20 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 35671dmnr FPA JAN 10 20 P 1/15/10 1/18/10 10 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 532457mbj LLY JAN 10 25 P 1/15/10 1/18/10 15 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 4 h caus cash 0.00 0.00 0.00 0.00 6 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 8 h caus cash 0.00 0.00 0.00 0.00 7 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 2 h caus cash 0.00 0.00 0.00 0.00 4 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 3 h caus cash 0.00 0.00 0.00 0.00 5 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 1 h caus cash 0.00 0.00 0.00 0.00 3 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 1 h caus cash 0.00 0.00 0.00 0.00 2 cs ptus 589331mfj MRK JAN 10 22 1/2 P 1/15/10 1/18/10 1 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 755111mdn RTN JAN 10 40 P 1/15/10 1/18/10 5 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 842587mbu SO JAN 10 22 1/2 P 1/15/10 1/18/10 20 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 882508maf TXN JAN 10 07 1/2 P 1/15/10 1/18/10 50 h caus cash 0.00 0.00 0.00 0.00 1 in cbus marginint MARGIN INTEREST 0% 1/31/10 2/3/10 caus cash 0.00 0.00 0.00 128.25 0 Due 12-31-50 dp epus amex AMEX BILL 1/31/10 1/31/10 caus cash 0.00 0.00 0.00 63.00 0 dp epus BLOOMBERG BLOOMBERG 2/1/10 2/1/10 caus cash 0.00 0.00 0.00 84.00 0 dp caus cash CASH - US DOLLARS 2/2/10 2/2/10 awus client 0.00 0.00 0.00 250,000.00 0 cs clus 053015baq ADP FEB 10 33 C 2/15/10 2/16/10 20 h caus cash 0.00 0.00 0.00 0.00 1 cs ptus 053015nbk ADP FEB 10 30 P 2/15/10 2/16/10 9 h caus cash 0.00 0.00 0.00 0.00 3 cs ptus 053015nbk ADP FEB 10 30 P 2/15/10 2/16/10 8 h caus cash 0.00 0.00 0.00 0.00 2 cs ptus 053015nbk ADP FEB 10 30 P 2/15/10 2/16/10 3 h caus cash 0.00 0.00 0.00 0.00 1 67778 Run Date: 5/26/2010 10:53:37AM Page 1 of 2 (700) 23
  26. 26. Commission Transaction Summary The Commission Transaction Summary report provides information on transactions, aggregated by broker. Commission Transaction Summary Grace Financial Group General Sample Portfolio 1/1/2010 to 4/15/2010 Description Order Total Average Cents Flow Commission Per Share ANY BROKER USA 5,134 1,005.00 0.1958 GOLDMAN SACHS & COMPANY 142,621 7,131.05 0.0500 JOHN DURESITE 2,547 30.00 0.0118 MORGAN STANLEY & CO. 3,130 0.00 0.0000 153,432 8,166.05 0.0532 67778 Run Date: 5/25/2010 1:45:18PM Page 1 of 1 (703) 24
  27. 27. Commission Transaction Detail The Commission Transaction Detail report displays commission information on a per-transaction basis, organized by broker. Commission Transaction Details GeneralFinancial Group Grace Sample Portfolio 1/1/2010 to 4/15/2010 Trade Tran Type Symbol Description Order Flow Commission CPS ANY BROKER USA [7115] 01/11/10 by csgb NOGFF NORSEMAN GOLD PLC 5,000 1,000.00 0.1958 01/15/10 cs ptus 189054MCA CLX JAN 10 50 P 4 0.00 0.1958 01/15/10 cs ptus 189054MCA CLX JAN 10 50 P 5 0.00 0.1958 01/15/10 cs ptus 189054MCA CLX JAN 10 50 P 1 0.00 0.1958 01/15/10 cs clus 755111AEA RTN JAN 10 42 C 10 0.00 0.1958 01/15/10 cs clus 842587ABV SO JAN 10 25 C 1 0.00 0.1958 01/15/10 cs clus 589331AFG MRK JAN 10 25 C 5 0.00 0.1958 01/15/10 cs clus 589331AFG MRK JAN 10 25 C 8 0.00 0.1958 02/24/10 by csus JNJ JOHNSON & JOHNSON 100 5.00 0.1958 [ANY BROKER USA 9 TRANSACTIONS] 5,134 1,005.00 0.1958 GOLDMAN SACHS & COMPANY [0005] 03/02/10 by csus JNJ JOHNSON & JOHNSON 4,596 229.80 0.0500 04/15/10 by ftus .PES0000010F JUN 10 EMINI S&P 500 25 1.25 0.0500 04/15/10 by cbus 165167BU0 CHESAPEAKE ENERGY CORPORATION 138,000 6,900.00 0.0500 [GOLDMAN SACHS & COMPANY 3 TRANSACTIONS] 142,621 7,131.05 0.0500 JOHN DURESITE [1956] 01/11/10 by csgb MOTGBBF MOTHERCARE ORD GBP 0.50 2,500 30.00 0.0118 01/15/10 cs clus 589331AFG MRK JAN 10 25 C 2 0.00 0.0118 01/15/10 cs clus 589331AFG MRK JAN 10 25 C 1 0.00 0.0118 01/15/10 cs clus 589331AFG MRK JAN 10 25 C 4 0.00 0.0118 01/15/10 cs clus 532457ABB LLY JAN 10 30 C 20 0.00 0.0118 01/15/10 cs clus 053015AES ADP JAN 10 30 C 20 0.00 0.0118 [JOHN DURESITE 6 TRANSACTIONS] 2,547 30.00 0.0118 MORGAN STANLEY & CO. [0015] 01/15/10 cs ptus 882508MAF TXN JAN 10 07 1/2 P 50 0.00 0.0000 01/15/10 cs ptus 755111MDN RTN JAN 10 40 P 5 0.00 0.0000 01/15/10 cs ptus 842587MBU SO JAN 10 22 1/2 P 20 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 8 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 2 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 4 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 3 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 1 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 1 0.00 0.0000 01/15/10 cs ptus 589331MFJ MRK JAN 10 22 1/2 P 1 0.00 0.0000 01/15/10 cs ptus 532457MBJ LLY JAN 10 25 P 15 0.00 0.0000 01/15/10 cs ptus 35671DMNR FPA JAN 10 20 P 10 0.00 0.0000 01/15/10 cs ptus 191216MDS KO JAN 10 22 1/2 P 20 0.00 0.0000 02/15/10 cs ptus 053015NBK ADP FEB 10 30 P 8 0.00 0.0000 02/15/10 cs ptus 053015NBK ADP FEB 10 30 P 9 0.00 0.0000 02/15/10 cs ptus 053015NBK ADP FEB 10 30 P 3 0.00 0.0000 02/15/10 cs clus 053015BAQ ADP FEB 10 33 C 20 0.00 0.0000 02/24/10 ss csus DVY ISHARES DOW JONES SELECT DIVID 300 0.00 0.0000 67778 Run Date: 5/26/2010 10:54:29AM Page 1 of 2 (716) 25
  28. 28. Income and Expenses The Income and Expenses Report shows all income and expense transactions that occurred in a portfolio in a given period. Income and Expenses Grace FinancialPortfolio General Sample Group 1/1/2010 to 4/15/2010 Trade Settle Type Symbol Tran Description Symbol3 Type Amount COMMON STOCK 4/1/10 4/6/10 csus clx dv CLOROX CO clx Dividend 195.00 4/12/10 4/15/10 csus clx dv CLOROX CO clx Dividend 200.00 Total CLOROX CO 395.00 3/15/10 3/18/10 csus jnj dv JOHNSON & JOHNSON jnj Dividend 412.86 Total COMMON STOCK 807.86 CORPORATE BONDS 1/31/10 2/3/10 cbus marginint in MARGIN INTEREST 0% Due 12-31-50 marginint Interest 128.25 2/15/10 2/18/10 cbus MARGININT in MARGIN INTEREST 0% Due 12-31-50 MARGININT Interest 129.00 3/15/10 3/18/10 cbus MARGININT in MARGIN INTEREST 0% Due 12-31-50 MARGININT Interest 128.75 4/14/10 4/19/10 cbus MARGININT in MARGIN INTEREST 0% Due 12-31-50 MARGININT Interest 128.85 Total MARGIN INTEREST 0% Due 12-31-50 514.85 Total CORPORATE BONDS 514.85 AFTER FEE PERFORMANCE EXPENSES 1/31/10 1/31/10 epus amex dp AMEX BILL amex Deposit -63.00 2/1/10 2/1/10 epus BLOOMBER dp BLOOMBERG BLOOMBERG Deposit -84.00 G 4/1/10 4/1/10 epus FUTFEE dp FUTURES TRADING FEES FUTFEE Deposit -25.00 3/1/10 3/1/10 epus Reuters dp REUTERS Reuters Deposit -17.00 Total AFTER FEE PERFORMANCE EXPENSES -189.00 1,133.71 67778 Run Date: 5/26/2010 10:53:49AM Page 1 of 1 (702) 26

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