Account No: . Account Name: LESLEY KATHERINE GROFF & CO BARE CLEARING LLC Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 A nt Executive No: ET1 CORRECTED: 03/19/2014 2013 FORMS 1099 & DETAILS LESLEY KATHERINE GROFF & DANIEL GROFF JTWROS YEAR-END MESSAGES CERTAIN EVENTS SUCH AS COST BASIS ADJUSTMENTS OR RECLASSIFICATIONS OF AN INCOME PAYMENT RECEIVED FROM A MUTUAL FUND, ETF, REIT, OR RIC MAY RESULT IN AN AMENDED 1099 FOR PRIOR OR CURRENT TAX YEARS. PLEASE SEE INSERT FOR DETAILS OR VISIT WWW.ETRADE.COM/COSTBASIS FOR ANY UPDATES. QUESTIONS PLEASE CALL 800-ETRADE-1 (800-387-2331) OR LOG ON TO YOUR ACCOUNT AND SEND US A SECURE MESSAGE BY CLICKING ON THE CUSTOMER SERVICE LINK AT THE TOP OF THE PAGE Your Account did not receive the following Forms: 1099-OI1D Page 1 of 18 TABLE OF CONTENTS Consolidated 1099 Sections: 1099 Dividends and Interest 1099 Gross Proceeds Details: - 1099 Dividend & Distribution Details 1099 Interest Income Details Investment Details PAGE 13 15 EFTA00315661

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Account No: . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING uc Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, State, and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer’s Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E*TRADE CLEARING LLC PO BOX 484 Copy B for recipient [_] 2nd TIN Notice JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 CONSOLIDATED 1099 FORM 1a Total Ordinary Dividends $10,826.81 1 Interest Income not included in box 3 $1,261.61 1b Qualified Dividends $10,826.81 2 Early withdrawal penalty - 2a Total Capital Gains Distribution $23,700.00 3 Interest on U.S. Savings Bonds - 2b —- Unrecap Sec. 1250 gain $791.58 and Treasury obligations 2c Section 1202 gain - 4 Federal income tax withheld - 2d Collectibles (28%) gain - 5 Investment Expenses - 3 Non dividend distributions - 6 Foreign tax paid - 4 ‘Federal income tax withheld - 7 Foreign country or US possession - 5 Investment Expenses - 8 Tax-Exempt Interest - 6 Foreign tax paid - 9 — Specified private activity bond interest - 7 Foreign country or US possession - 10 Tax-exempt bond CUSIP no. - 8 — Cash liquidation distributions - 11 State - 9 _Noncash liquidation distributions - 12 State Identification no. - 10 Exempt-interest dividends - 13 State tax withheld - 11 Specified Private Activity bond interest dividends - 12 State - 13 State identification no. - 14 State tax withheld - This is mnpoitent tax anes saration any bo is being pee ihe hema one phe ping Ld — pene roe fied to tioay oh ele wa ponnaonce penalty Page 2 of 18 EFTA00315662

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1099-DIV Instructions for Recipient Recipient's identification number. For your protection, this form may show only the last four digits of your social security number (SSN), individual taxpayer identification number (ITIN,) or adaption taxpayer identification number (ATIN). However, the issuer has reported your complete identification number to the IRS and, where applicable, to state andor local governments. Account number. May show an account or other unique number the payer assigned to distinguish your account, Box 1a. Shows tctal ordinary dividends that are taxable. Include this amount on line 9a of Form 1040 or 10404, Also, report it on Schedule 8 (10404 or 1040), # required, Box 1b. Shows the portion of the amount in box 1a that may be eligible for reduced capital gains rates. See Form 1040/1040A instructions for how to determine this ‘amount. Report the eligible amount on line 96, Form 1040 or 1040A. The amount shown may be dividends a corporation paid directly to you as a participant {or beneficiary of a participant} in an employee stock ownership plan (ESOP), Report it ‘as a dividend on your Form 1040/1040 but treat ¢ as a plan distribution, not as investment income, for any other purpose. Box 2a. Shows total capital gain distributions from a regulated investment company or real estate investment trust. Report the amounts shown in box 2a on Schedule D (Form 1040},ine 13. But, if no amount is shown in boxes 2c-2d and your only capital gains and losses are capital gain distributions, you may be able to report the amounts ‘shown in box 2a on fine 13 of Form 1040 (line 10 of Form 10404) rather than Schedule D. See the Form 1040/1040 instructions. Box 2b. Shows the portion of the amount in box 2a that is unrecaptured section 1250 gain from certain depreciable real property. Report this amount on the Unrecaptured Section 1250 Gain Worksheet-Line 19 in the Schedule D instructions (Form 1040). Box 2c. Shows the portion of the amount in box 2a that is section 1202 gain from certain small business stock that may be subject to a 50% exclusion and certain ‘empowerment zone business stock that may be subject to a 60% exclusion, See the Schedule D (Form 1040) instructions. Box 2d. Shows 28% rate gain from sales or exchanges of collectbles, if required, use this amount when completing the 28% Fate Gain Worksheet-Line 18 in the instructions for Schedule D (Form 1040). Box 3. Shows the part of the distribution that is nontaxable because f is a retum of your 1099-INT Instructions for Recipient Recipient's identification number. For your protection, this form may show only the last four digits of your social security number (SSN), individual taxpayer identification number (ITIN), or adoption taxpayer identification number (ATIN). However, the issuer has reported your complete identification number to the IRS and, where applicable, to state andor local governments. Account number. May show an account or other unique number the payer assigned to distinguish your account, Box 1, Shows taxable interest paid to you during the calendar year by the payer. This does not include interest shown in box 3, May also show the total amount of the credits renewable energy bonds, qualified energy conservation bonds, qualified zone academy included in your interest income. These amounts were treated as paid to you during 2013 on the credit allowance dates (March 15, June 15, September 15, and December 15), For more information, see Form 8912, Credit to Holders of Tax Credit Bonds, Box 2. Shows interest or principal forfeted because of early withdrawal of time savings. You may deduct this amount to figure your adjusted gross income on your income tax return. See the instructions for Form 1040 to see where to take the deduction Box 3. Shows interest on U.S, Savings Bonds, Treasury bills, Treasury bonds, and Treasury notes. This may or may not all be taxable. See Pub. 550, This interest is ‘exempt from state and local income taxes. This interest is not included in box 1. Box 4, Shows backup withholding. Generally, a payer must backup withhold @ you did not furnish your taxpayer identification number (TIN) or you did not furnish the correct Tai fo Be payer ‘See Form W-8. Include this amount on your income tax return as tax cost (or other basis). You must reduce your cost (or other basis) by this amount for figuring gain or loss when you sell your stock, But # you get back all your cost (or other basis), report future distributions as capital gains. See Pub. 550, Investment income and Expenses. Box 4. Shows backup withholding. A payer must backup withhold on certain payments f you did not give your taxpayer identification number to the payer. See Form W-9, Request for Taxpayer identification Number and Certification, for information on backup withholding. Include this amount on your income tax retum as tax withheld, Box 5. Shows your share of expenses of a nonpublicly offered regulated investment company, generally a nonpublicly offered mutual fund. If you file Form 1040, you may deduct these expenses on the "Other expenses” line on Schedule A (Form 1040) subject t0 the 2% limit. This amount is included in box 1a. Box 6. Shows the foreign tax that you may be able to claim as a deduction or a credit on Form 1040. See the Form 1040 instructions. Box 7. This box should be left blank if a regulated investment company reported the foreign tax shown in box 6. Boxes 8 and 9, Shows cash and noncash liquidation distributions. Box 10, Shows exempt-interest dividends from a mutual fund or other reguiated investment company paid to you during the calendar year. Include this amount on line 6 of Form 1040 or 10404 as tax-exempt interest. This amount may be subject to backup withholding, See box 4. Box 11. Shows exempt-interest dividends subject 10 the alternative minimum tax. This amount is included in box 10. See the Instructions for Form 6251. Boxes 12-14, State income tax withheld reporting boxes. Nominees. # this form includes amounts belonging to ancther person, you are considered a nominee recipient. You must file Form 1099-DIV (with a Form 1096) with the IRS for each of the other owners to show their share of the income, and you must fumish a Form 1084-DIV to each. A husband or wife is not required to file a nominee return to show amounts owned by the other, See the 2013 General instructions for Certain Information Returns. Future developments, For the latest information about the developments related to Form 1099-DIV and its instructions, such as legislation enacted after they were published, go to www.irs.gowform 1089div. Box 5, Any amount shown is your share of investment expenses of a single-class REMIC. F you file Form 1040, you may deduct these expenses on the “Other expenses” line of ‘Schedule A (Form 1040} subject to the 2% limit, This amount is included in box 1 Box 6, Shows foreign tax paid. You may be able to claim this tax as a deduction or a credit ‘on your Form 1040. See your Form 1040 instructions. Box 7. Shows the country or U.S. possession to which the foreign tax was paid. Box 8, Shows tax-exempt interest paid to you during the calendar year by the payer. Report this amourt on line 8b of Form 1040 or Form 1040A. This amount may be subject to backup withholding. See box 4, Box 9, Shows tax-exempt interest subject to the altemative minimum tax, This amount is included in box 8. See the Instructions for Form 6251. Box 10. Shows CUSIP number(s) for tax-exempt bond(s) on which tax-exempt interest was paid to you during the calendar year and reported in box & If blank, no CUSIP number was issued for the bond(s). Boxes 11-13. State tax withheld reporting boxes. Nominees. # this form includes amounts belonging to another person(s), you are considered a nominee recipient. Complete a Form 1099-INT for each of the other owners showing the income alocable to each File Copy A of the form with the IRS, Furnish Copy 8 to each owner. List yourself as the “payer” and the other owner(s} as the “recipient.” File Form(s) 1099-INT with Form 1096 with the Internal Revenue Service Center for your area, On Form 1096 list yourself as the “filer.” A husband or wife is not required to file a nominee retum to show amounts owned by the other. Future developments, For the latest information about developments related to Form 1098-INT and its instructions, such as legislation enacted after they were published, go to www. irs. gowform 109Gint. Page 3 of 18 EFTA00315663

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Account No: . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING LLC Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 A nt Executive No: ET1 CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, State, and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer’s Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E*TRADE CLEARING LLC PO BOX 484 Copy B for recipient [_] 2nd TIN Notice JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6: Noncovered Securities Report on Form 89439, in either Part | or Part Il, as appropriate. (Box 1a) (Box 8) (Box 1d) (Box te) (Box 2a) (Box 4) _— Sales Price Date of Sale | Description | Symbol Cusip Quantity Less Commissions Federal Income Tax Transaction or Exchange | | j Sold & Option Premiums Withheld Type 03/04/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2500.00000 $17,098.12 - PRICE: 6.84340 03/14/2013 ***PALADIN ENERGY LTD PALAF Q7264T104 5000.00000 $5,243.22 - PRICE: 1.05000 03/14/2013 ***PALADIN ENERGY LTD PALAF Q7264T104 2500.00000 $2,621.61 - PRICE: 1.05000 04/10/2013 ***REGIS RESOURCES NL RGRNF Q8059N120 4500.00000 $20,016.01 - PRICE: 4.45000 04/10/2013 ***REGIS RESOURCES NL RGRNF Q8059N120 500.00000 $2,224.00 - PRICE: 4.45000 04/10/2013 ***REGIS RESOURCES NL RGRNF Q8059N120 5500.00000 $24,355.01 - PRICE: 4.43000 04/11/2013 PINNACLE ENTERTAINMENT INC PNK 723456109 1000.00000 $16,429.64 - PRICE: 16.44000 Tale Io Imipcrtant cx iormealion and te boing fusnlobed to the Internal Revenue Service, . If you are required to file a return, a sanction may be imposed on ‘on you if this income is taxable and the IRS determines that it has not been rt pone. penalty Page 4 of 18 EFTA00315664

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Account No: . Account Name: LESLEY KATHERINE GROFF & EO AOE ot EARING LLC Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 2013 GROSS PROCEEDS Box 6: Noncovered Securities Report on Form 89439, in either Part | or Part Il, as appropriate. (Box 1a) (Box 8) (Box 1d) (Box te) (Box 2a) (Box 4) : ' : i ; Sales Price : : Date of Sale | Description | Symbol | Cusip j Quantity ' Less Commissions Federal Income Tax — Transaction or Exchange Sold & Option Premiums Withheld Type 04/12/2013 ***REGIS RESOURCES NL RGRNF Q8059N120 100.0001 $415.01 - PRICE: 4. z500 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 200.000 $1,410.46 - PRICE: 7 08280 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 PRICE 1300) ad $9,171.29 - 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2000.00000 $14,093.97 - PRICE: 7.05000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 1200.00000 $8,456.38 - PRICE: 7.05000 04/15/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 300.00000 $2,114.10 - PRICE: 7.05000 04/15/2013 ***MCDERMOTT INTERNATIONAL INC MDR 580037 109 1864.00000 $19,002.38 - PRICE: 10.20000 04/15/2013 ***MCDERMOTT INTERNATIONAL INC MDR 580037 109 2136.00000 $21,789.27 - PRICE: a 20120 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 $2,784.33 - PRICE: “ 26100 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 PRICE: 1943, 99000 $13,512.98 - : 6.96000 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 2557.00000 $17,770.75 - PRICE: oe $so00 04/18/2013 GRAFTECH INTERNATIONAL LTD GTI 384313102 0000 $694.98 - PRICE: "3 $5000 04/22/2013 CAMBREX CORP CBM 132011107 $1,291.48 - PRICE: 3 o1800 04/22/2013 CAMBREX CORP CBM 132011107 $11,708.73 - PRICE: “3 1000 This ie important tx information and is being furnished to the Internal Revenue Service. you ae required to file a retur, a ‘other sanction may be imposed on you lf this income is taxable and the IRS determines that I has not fl aaa Page 5 of 18 EFTA00315665

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E*TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Account No: Account Name: Taxpayer Identification Number: ***-"* Account Executive No: CORRECTED: ET1 03/19/2014 LESLEY KATHERINE GROFF & 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) (Box 1a) Date of Sale | or Exchange Box 6: Noncovered Securities rt on Form 8949, in either Part | or Part Il, as appropriate. (Box 1d) Cusip (Box te) Quanti Sold (Box 2a) (Box 4) Sales Price Less Commissions | Federal Income Tax _ Withheld & Option Premiums Transaction Type 04/22/2013 04/22/2013 04/22/2013 04/22/2013 04/22/2013 04/23/2013 05/09/2013 05/09/2013 05/09/2013 05/21/2013 05/29/2013 05/29/2013 05/29/2013 05/29/2013 (Box 8) Description Symbol DELL INC DELL INC DELL INC DELL INC DELL INC "REGIS RESOURCES NL RGRNF ““MCDERMOTT INTERNATIONAL INC MDR *“MCDERMOTT INTERNATIONAL INC MDR “REGIS RESOURCES NL RGRNF ***REGIS RESOURCES NL RGRNF PINNACLE ENTERTAINMENT INC PNK PINNACLE ENTERTAINMENT INC PNK PINNACLE ENTERTAINMENT INC PNK PINNACLE ENTERTAINMENT INC PNK Tale fo Inportant tax iicconaton and fe boing femniened de ‘other sanction may be imposed on you if ~2a702R101 24702R101 24702R101 24702R101 24702R101 Q8059N120 580037 109 580037109 Q8059N120 Q8059N120 723456109 723456109 723456 109 723456109 PRICE: PRICE: PRICE: PRICE: ' PRICE: ' PRICE: PRICE: PRICE: PRICE: PRICE: PRICE: 4700. PRICE: 2700. PRICE: PRICE: Internal Revenue Service. If you this income is taxable and the IRS determines Page 6 of 18 000.00000 13.26360 000.00000 13.26360 00000 13.26360 00000 13.26360 000.00000 13.26360 3.61000 3000.00000 9.40080 2000.00000 oon, A080 “ 24000 9600.00000 3.71000 19.50000 are req $13,261.30 . $13,261.32 : $13,261.30 - $13,261.30 - $13,261.30 - $9,015.01 - $28,195.77 - $18,797.18 - $4,230.01 - $35,605.21 : $1,939.47 - $91,601.40 - $52,643.69 - $13,648.36 - eine thesn epee penalty EFTA00315666

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E*TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Account No: Account Name: Taxpayer Identification Number: ***-"* Account Executive No: CORRECTED: ET1 03/19/2014 LESLEY KATHERINE GROFF & 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) (continued) (Box 1a) Date of Sale | or Exchange Box 6: Noncovered Securities 2013 GROSS PROCEEDS rt on Form 8949, in either Part | or Part Il, as appropriate. (Box 1d) (Box 8) Description Symbol Cusip (Box te) Quanti Sold (Box 2a) (Box 4) Sales Price ' ' Less Commissions | Federal Income Tax — Transaction & Option Premiums Withheld Type 05/29/2013 05/29/2013 05/29/2013 05/31/2013 06/20/2013 06/20/2013 06/21/2013 08/06/2013 08/06/2013 08/06/2013 08/06/2013 08/06/2013 09/12/2013 10/16/2013 PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC ***REGIS RESOURCES NL “REGIS RESOURCES NL “REGIS RESOURCES NL TRIAN ACQUISITION **MCDERMOTT INTERNATIONAL INC **MCDERMOTT INTERNATIONAL INC **MCDERMOTT INTERNATIONAL INC **MCDERMOTT INTERNATIONAL INC ***MCDERMOTT INTERNATIONAL INC ***REGIS RESOURCES NL CAMBREX CORP 49 ITEMS - Total Tale fo Inportant tax iicconaton and fe boing femniened de ‘other sanction may be imposed on you if PNK PNK PNK RGRNF RGRNF RGRNF MDR MDR MDR MDR MDR RGRNF CBM "723456109 100.0001 PRICE: 19. £000 723456109 200.000 PRICE: 19. 50000 723456109 1300.00000 PRICE: 19.50000 Q8059N120 6800.00000 PRICE: 3.84000 Q8059N120 1000.00000 PRICE: 3.05000 Q8059N120 10000.00000 PRICE: 3.00000 895ESC994 5000.00000 580037 109 300.00000 PRICE: 7.25000 580037109 2200.00000 PRICE: 7.24000 580037 109 500.00000 PRICE: 7.12140 580037 109 500.00000 PRICE: 7.12140 580037 109 1500.00000 PRICE: 7.12140 Q8059N120 5000.00000 PRICE: 3.81000 132011107 570.00000 PRICE: 15,99000 102870.00000 Internal Revenue Service. It youre are req this income is taxable and the IRS determi Page 7 of 18 $1,949.77 - $3,899.53 - $25,346.96 - $26,101.55 - $3,039.95 - $29,989.48 - $84.97 - MERGER $2,163.47 - $15,916.72 - $3,558.64 - $3,558.64 - $10,675.92 - $19,039.67 - $9,104.15 - $688,615.76 juired to file a return, & ines that it has not robles ~ panama EFTA00315667

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Account No: | . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING LLC Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 A nt Executive No: ET1 CORRECTED: 03/19/2014 RECIPIENT'S Name, Street Address, City, State, and Zip Code Payer's Federal Identification Number: 32-0012683 LESLEY KATHERINE GROFF & Payer's Name, Street, City, State, Zip Code: DANIEL GROFF JTWROS E*TRADE CLEARING LLC PO BOX 484 Copy B for recipient [_] 2nd TIN Notice JERSEY CITY, NJ 07303-0484 Telephone Number: (800) 387- 2331 2013 GROSS PROCEEDS 2013 FORM 1099-B: PROCEEDS FROM BROKER & BARTER EXCHANGE TRANSACTIONS (OMB NO. 1545-0715) Box 6: Basis Reported to the IRS Type of Gain or Loss (Box 1c): Short Term “If box 2b checked, loss based on amount in box 2 is not allowed Report on Form 8949, Part | with box A, as appropriate. (Box 1a) (Box 1b) (Box 8) _ (Box td) | (Box te) (Box 2a) (Box 5) (Box 4) (Box 2b) Date of Sale’ Date of | | i i | Sales Price - Wash Sale or Exchange: Acquisition | Description | Symbol Cusip = Quantity Less Commissions Other Basis Loss noone’ Tax | Loss Not | Sold & Option Premiu Disallowed Withheld | Allowed 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 PRICE "09.00000 $83.00 $83.56 - - () : 0.83010 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 PRICE 900.00000 $737.98 $756.00 - - () : 0.83110 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 100. $83.00 $83.77 - - () : 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 400.00000 $331.99 $335.24 - - 8) PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 7499.00000 $6,224.07 $6,299.16 - - () PRICE: 0.83000 09/16/2013 11/09/2012 FIRST MARBLEHEAD CORP 320771108 400.00000 $331.99 $334.40 - - () PRICE: 0.83000 Tale Io Imipcrtant cx iormealion and te boing fusnlobed to the Internal Revenue Service, . If you are required to file a return, a sanction may be imposed on ‘on you if this income is taxable and the IRS determines that it has not been rt pone. penalty Page 8 of 18 EFTA00315668

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Account No: . Account Name: LESLEY KATHERINE GROFF & EO AOE ot EARING LLC Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 2013 GROSS PROCEEDS Box 6: Basis Reported to the IRS Type of Gain or Loss (Box ic): Short Term “If box 2b checked, loss based on amount in box 2 is not allowed Report on Form 8949, Part | with box A, as appropriate, Box Box 1 Box te} (Box 2 2a) (Box 3) (Box 5) Box *Box 2b (Gon ,f “ i 6 , i Sales Price Cost o Wash Sale | Feder ( ’ Description | Less Commissions) Other Basis Loss | Income Tax | Loss Not |& Option Premiums Disallowed Withheld | Allowed 09/16/2013 1109/2012 FIRST MARBLEHEAD CORP 320771108 PRICE 80009000 $497.99 $511.53 - - () : 0. 09/18/2013 11/13/2012 FIRST MARBLEHEAD CORP 320771108 9999.00000 $8,189.04 $7,609.23 - - {) PRICE: 0.82000 10/18/2013 11/16/2012 FIRST MARBLEHEAD CORP 320771108 PRICE 4153.00000 $4,103.19 $2,824.04 - - () : 0.99000 10/18/2013 11/16/2012 FIRST MARBLEHEAD CORP 320771108 500.00000 $494.00 $339.50 - - () PRICE: 0.99000 10/18/2013 11/16/2012 FIRST MARBLEHEAD CORP 320771108 100.00000 $98.80 $67.88 - - () ICE: 0.99000 10/18/2013 11/16/2012 FIRST MARBLEHEAD CORP 320771108 300.00000 $296.40 $213.78 - - () PRICE: 0.99000 11/13/2013 09/26/2013 DOLAN COMPANY DM 25659P402 1400.00000 $1,327.52 $3,080.00 - - () PRICE: 0.95110 11/13/2013 09/03/2013 DOLAN COMPANY DM 25659P402 1000.00000 $948.23 $2,359.89 - - ) PRICE: 0.95110 11/13/2013 09/26/2013 DOLAN COMPANY DM 25659P402 1100.00000 $1,043.05 $2,428.89 - - () PRICE: 0.95110 12/13/2013 10/17/2013 MODEL N INC MODN 607525102 900.00000 $9,781.83 $8,640.00 - - () PRICE: 10.88000 12/24/2013 10/15/2013 MODEL N INC MODN 607525102 1000.00000 $11,479.81 $9,419.99 - - ) PRICE: 11.49000 17 ITEMS - Total 30451.00000 $46,051.89 $45,386.86 Tale Io Inipertant x Informsaticn and te boing Basniohed to the Iniemal Revanse enue Service. If you are required to file a return, sanction may be imposed on you if i this income is taxable and the IRS determi ines that it has not robles ~ panama Page 9 of 18 EFTA00315669

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Account No: | . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING uc Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 2013 GROSS PROCEEDS Box 6: Basis Reported to the IRS Type of Gain or Loss (Box 1c): Long Term “If box 2b checked, loss based on amount in box 2 is not allowed Report on Form 8949, Part Il with box D, as appropriate. (Box 1a) (Box 1b) (Box 8) (Box 1d) (Box te) (Box 2a) (Box 3) (Box 5) (Box 4) = (*Box 2b) | Date of | H i i i is Price Cost o Wash Sale | ederal | or Exchang [Aeauistion Description Cusip = Quantity | Less Commissions) Other Basis Loss Income Tax | Loss Not | Sold |& Option Premiums Disallowed Withheld Allowed 02/13/2013 11/16/2011 GLOBALOPTIONS GROUP INC 37946D209 PRICE, 90000 $37,034.18 $38,759.99 - - ) : 2. 02/28/2013 03/16/2011 “*ALLOTCOMMUNICATIONSL = ALLT M0854Q105 400.00000 $5,517.88 $4,942.00 - - {) PRICE: 13.82000 02/28/2013 03/16/2011 ***ALLOT COMMUNICATIONSL = ALLT M0854Q105 1100.00000 $15,179.65 $13,590.49 - - () PRICE: 13.80000 04/09/2013 05/11/2011 GRAMERCY CAPITAL CORP 384871307 1000.00000 $33,229.26 $23,005.00 - - () PRICE: st, aa 07/30/2013 05/11/2011 GRAMERCY PROPERTY TRUST! GPTPRA 38489R209 $16,889.71 $11,502.50 - - () PRICE: 2 20000 08/06/2013 05/11/2011 GRAMERCY PROPERTY TRUST! GPTPRA 38489R209 $13,525.77 $9,202.00 - - () PRICE: “3 4000 6 ITEMS - Total 18900.00000 $121,376.45 — $101,001.98 Tale Io Inipertant x Informsaticn and te boing Basniohed to the Iniemal Revanse enue Service. If you are r Piles to io anol, 0 neg sanction may be imposed on you if i this income is taxable and the IRS determines that thas wa poamaence penalty Page 10 of 18 EFTA00315670

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1099-B Instructions for Recipient Brokers and barter exchanges must report proceeds om transactions to yOu and the IRS on Form 1090-8. Reporting is also required when your broker knows or has reascn to know that a corporation in which you ‘oem stock has had a reportable change in control or capital structure. You may be required to recognize gain trom the receipt of cash, stock, oF other property Phat was exchanged tor the corporation's stock, It your broker reported this type of trareaction to you. the corporation is entiied in box B Recipients identfication number. For your protection, ths form mary show onty the last four digits of your ‘sockal security number (SSN), individual taxpayer idenéfication number (ITIN). oF adoption taxpayer ‘idordfication number (ATIN), However, the issuer has reported your complete identification number to the IAS and, whore applicable, to state anvé'or local governments. ‘Account number. May show an account or offer unque mamber the payet asegred to Gstingssh your account (CUSIP number. For broker transactions, may show the CUSIP (Committee on Ueworm Securtty Identification Procedures} number or ote appicable identtying number cf the item reported Box 1a Shows the trade date of the sale oF exchange. For short sales, ie date shown ie the date te ‘security was Gelivered to cloee the short sale. For aggregate reporting in baxes 9 trough 12, no entry wil be present Box 1b. This box may be blank f box Baie checked or I the cocurlies sols wore acquired on a variety of dates. For short sales, the date shown is the date you acquired the socurty delivered to close the short sale. Box 2a Shows the aggregate cash proceeds from traxeactions Ivoling stocks, bonds, other debt cbiigations, commodities, or forward contracts, May show the proceeds bom the disposition of your ‘eerest(s) in a widely held feed investment trust May also chow the aggregate amount of cash and the fair market value of any stock or other property received in a reportable change in control or captal ‘structure arising from the corporate transler of property to a foreign corporation, Losses on forward contracts are shown in parentheses, This box does not include proceeds trom regulated futures contracts, ‘The broker must indicate wheter the sales price or the eas price lees Commissions (including transter ‘taxe6) and option premiums was reported to the IRS. Report this amount on Form 8849 or om ‘Schedule D (whichever ie applicable) as explained in the instructions tor Sched.se D. Box 2b.!! checked, you cannot take a loss on your tax retum based on gross proceeds from a reportable ‘change in control or capital structure reported in box 2a. Do not report tis lows on Form BOMB oF ‘Schedule D. The broker should advise you of any losses on a separate statement Box 3, Shows the cost or other basis of securities sold. box Sais checked, box 3 may be blank See the Form 8948 instructions, Schedule D instructions, or Pub. 550 for detais, Box 4, Shons backup withholding. Generally, a payer must backup withhold # you did not furnish your ‘taxpayer identification namber to the payer, See Form W-9 for information on backup wenhokding Include {is amount on your income tax retam as tax winnveld, Box 5. Shows the amount of nondeductibie loss in a wash sale transaction. For details on mash sales, see ‘Pe Schedule D (Form 1040) instructions and Pub, $50, Box Ga. It checked, the securities cok were noncovered securities and baxes 1, tc, 3, and Smay be lark Generally. a noncovered security means. a security other than stock, stock purchased before 2011, ‘stock in most matual funds and oer regulated Investment companies purchased belore 2012; and stock purchased in or wanslerred to a Ghidend reiewestment plan betore 2012 Box Gb. I checked, the basis in box 3 has been reported to the IRS. It bax &b ls checked on Form(s) 1099-8 and NO adjustment is required, ee the instructions for your Schedule D. Box 7. Shows the cash you received, te fair market valve of any property or services you received, and ‘Doe far market value of any trade credits oF scrip credited to your account by a barter exchange, See Pub. 525. Bax 8. Shows a brief description of the item or service for which the proceeds or bartering income is being feported. For regulated tutures contracts and foreard contracts, "AFC" or other appropriate description may be shown. For a comporation that had a reportable change in control or capital structure, is bax may stow the class of stock as C (common), P (preferred). of O (other) Reguated Futures Contracts (Boxes 9 Through 12 Bax 9, Shows the prof or (loss) reakzed on roguated futures or foreign currency contracts closed during 2013. Box 10. Shows any year-end adjustment to the profit or (Joss) shown in box 9 due to open contracts on December 31, 2012 Box 11. Shows the unreakzed profit or (loss) on open contracts held in your account on December 31, 2013. These are considered closed out as of that date. This wil become an adustment reported as unrealized profit or Joes) on open contracts-12'31/2013 in 2014 Box 12. Boxes 8, 10, and 11 are all used to figure the aggregate proft or (Joes) on requated kaures or foreign currency contracts for the year, Inckade this amount on your 2013 Form 6781 Boxes 13-15, Shows state income tax withheld Page 11 of 18 EFTA00315671

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E*TRADE CLEARING LLC PO BO JERSEY CITY, NJ 07303-0484 Account No: |] Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number:***-"* Account Executive No: ET1 CORRECTED: 03/19/2014 Page 12 of 18 EFTA00315672

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Account No: . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING uc Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 _ 2013 DIVIDEND & DISTRIBUTION DETAILS Date Secu cusiP Transaction ‘Income Tax | Foreign Country | Comments H Description i Description | Withheld Tax Paid | 03/12/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend - - 06/07/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend : - 09/10/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend - - 12/13/2013 BABCOCK & WILCOX CO 05615F102 Qualified Dividend - - 01/04/2013 CONVERGYS CORP 212485106 Qualified Dividend - - 04/05/2013 CONVERGYS CORP 212485106 Qualified Dividend - - 07/05/2013 CONVERGYS CORP 212485106 Qualified Dividend - - 10/04/2013 CONVERGYS CORP 212485106 Qualified Dividend - - 01/23/2013 DELL INC 24702R101 Qualified Dividend - - 04/22/2013 DELL INC 24702R101 Qualified Dividend - - 01/08/2013MERCK & CO INC 58933Y105 Qualified Dividend - - 04/05/2013MERCK & CO INC 58933Y105 Qualified Dividend - - 07/08/2013MERCK & CO INC 58933Y105 Qualified Dividend - - 10/07/2013MERCK & CO INC §8933Y105 Qualified Dividend - - 10/28/2013***REGIS RESOURCES NL US LISTED Q8059N120 Qualified Dividend - - Total Qualified Dividends (Box 1b included in Box 1a) Total Ordinary Dividends (Box 1a) $10,826.81 11/08/2013 HMG COURTLAND PROPERTIES INC 404232100 Qualified Long Term Gain $22,908.42 - - Total Capital Gains Distributions Included in Box 2a $22,908.42 11/08/2013 HMG COURTLAND PROPERTIES INC 404232100 Section 1250 Gain $791.58 - - Total Unrecap. Sec. 1250 Gain (Box 2b included in 2a) $791.58 Total Capital Gains (Box 2a) $23,700.00 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page 13 of 18 EFTA00315673

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Account No: |] . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING ule Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 2013 INTEREST INCOME DETAILS Date Security Income Tax | Foreign H Description | Withheld | Tax Paid 01/28/2013E TRADE BANK Interest $123.59 - - 02/26/2013E TRADE BANK Interest $128.82 : - 03/26/2013E TRADE BANK Interest $111.98 - - 04/26/2013E TRADE BANK Interest $73.48 - - 05/28/2013E TRADE BANK Interest $176.13 - - 06/26/2013E TRADE BANK Interest $190.84 : : 07/26/2013E TRADE BANK Interest $67.60 - - 08/26/2013E TRADE BANK Interest $78.24 : : 09/26/2013E TRADE BANK Interest $91.89 - - 10/28/2013E TRADE BANK SWEEPMAX DEP ACCT (FD Interest $86.63 : : 11/26/2013E TRADE BANK SWEEPMAX DEP ACCT (FD Interest $81.51 - - 12/26/2013E TRADE BANK SWEEPMAX DEP ACCT (FD Interest $50.90 : : Total Interest Income Not Included in Box 3 (Box 1) $1,261.61 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page 14 of 18 EFTA00315674

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Account No: |] . Account Name: LESLEY KATHERINE GROFF & EO RADE CLEARING ule Taxpayer Identification Number:***-"* JERSEY CITY, NJ 07303-0484 A nt Executive No: ET1 CORRECTED: 03/19/2014 2013 INVESTMENT DETAILS 04/22/2013 CAMBREX CORP 132011107 Sell 100.000 $13.02 $1,291.48 04/22/2013 CAMBREX CORP 132011107 Sell 900.000 $13.01 $11,708.73 10/16/2013 CAMBREX CORP 132011107 Sell 570.000 $15.99 $9,104.15 04/22/2013 DELL INC 24702R101 _— Sell 5,000.000 $13.26 $66,306.52 09/03/2013 DOLAN COMPANY 25659P402 Purchase 1,000.000 $2.35 $2,359.89 09/26/2013 DOLAN COMPANY 25659P402 Purchase 1,100.000 $2.20 $2,428.89 09/26/2013 DOLAN COMPANY 25659P402 Purchase 1,400.000 $2.20 $3,080.00 11/13/2013 DOLAN COMPANY 25659P402 — Sell 3,500.000 $0.95 $3,318.80 09/18/2013 ENTROPIC COMMUNICATIONS ING 29384R105 Purchase 700.000 $4.25 $2,984.92 09/18/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 1,300.000 $4.25 $5,520.84 09/26/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 2.500.000 $4.31 $10,784.74 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 400.000 $4.16 $1,673.63 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 500.000 $4.16 $2,079.50 10/09/2013 ENTROPIC COMMUNICATIONS INC 29384R105 Purchase 1,100.000 $4.16 $4,576.00 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.96 $96.39 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.97 $96.68 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.97 $96.70 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 100.000 $0.97 $97.00 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 200.000 $0.96 $202.31 02/07/2013 FIRST MARBLEHEAD CORP 320771108 Purchase 300.000 $0.96 $288.30 09/16/2013 FIRST MARBLEHEAD CORP 320771108 — Sell 100.000 $0.83 $83.00 09/16/2013 FIRST MARBLEHEAD CORP 320771108 — Sell 900.000 $0.83 $737.98 09/16/2013 FIRST MARBLEHEAD CORP 320771108 — Sell 8,999.000 $0.83 $7,469.04 09/18/2013 FIRST MARBLEHEAD CORP 320771108 — Sell 9.999.000 $0.82 $8,189.04 10/18/2013 FIRST MARBLEHEAD CORP 320771108 — Sell 5,053.000 $0.99 $4/992.39 02/13/2013 GLOBALOPTIONS GROUP ING 37946D209 —- Sell 15,500.000 $2.39 $37,034.18 03/04/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sell 2.500.000 $6.84 $17,098.12 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 — Sell 200.000 $7.05 $1,410.46 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sell 1,300.000 $7.05 $9,171.29 04/15/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sell 3,500.000 $7.05 $24,664.45 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sell 400.000 $6.96 $2,784.33 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 Sell 1,943.000 $6.96 $13,512.98 04/18/2013 GRAFTECH INTERNATIONAL LTD 384313102 —- Sell 2.657.000 $6.95 $18,465.73 04/09/2013 GRAMERCY CAPITAL CORP 384871307 Sell 1,000.000 $33.24 $33,229.26 07/30/2013 GRAMERCY PROPERTY TRUST INC 38489R209 — Sel 500.000 $33.80 $16,889.71 08/06/2013 GRAMERCY PROPERTY TRUST INC 38489R209 Sell 400.000 $33.84 $13,525.77 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page 15 of 18 EFTA00315675

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E*TRADE CLEARING LLC PO BOX 484 JERSEY CITY, NJ 07303-0484 Account No: |] Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number:***-"* Account Executive No: ET1 CORRECTED: 03/19/2014 2013 INVESTMENT DETAILS 03/04/2013 03/04/2013 03/04/2013 03/04/2013 03/04/2013 03/05/2013 03/06/2013 03/06/2013 03/06/2013 10/01/2013 04/15/2013 04/15/2013 05/09/2013 08/06/2013 08/06/2013 08/06/2013 10/15/2013 10/17/2013 10/17/2013 10/23/2013 10/25/2013 11/04/2013 11/07/2013 12/13/2013 12/24/2013 04/11/2013 05/29/2013 04/12/2013 IMG COURTLAND PROPERTIES INC tNG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC HMG COURTLAND PROPERTIES INC INTEGRATED ELECTRICAL **MCDERMOTT INTERNATIONAL INC **MCDERMOTT INTERNATIONAL INC *“MCDERMOTT INTERNATIONAL INC *“"MCDERMOTT INTERNATIONAL INC ***MCDERMOTT INTERNATIONAL INC *"MCDERMOTT INTERNATIONAL INC MODEL N INC MODEL N INC MODEL N INC MODEL N INC MODEL N INC MODEL N INC MODEL N INC PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC PINNACLE ENTERTAINMENT INC TRIAN ACQUISITION ***ALLOT COMMUNICATIONS LTD ***ALLOT COMMUNICATIONS LTD ***PALADIN ENERGY LTD ***REGIS RESOURCES NL “**REGIS RESOURCES NL “REGIS RESOURCES NL 404232100 Purchase 55.000 404232100 Purchase 100.000 404232100 Purchase 225.000 404232100 Purchase 500.000 404232100 Purchase 1,945.000 404232100 Purchase 600.000 404232100 Purchase 26.000 404232100 Purchase 938.000 404232100 Purchase 1,536.000 45811E301 Purchase 2,400.000 580037109 Sell 1,864.000 580037109 Sell 2,136.000 580037109 Sell 5,000.000 580037109 Sell 000 580037109 Sell 2,200.000 580037109 Sell 2,500.000 607525102 Purchase 1,000.000 607525102 Purchase 100.000 607525102 Purchase 900.000 607525102 Purchase 400.000 607525102 Purchase 1,000.000 607525102 Purchase 1,000.000 607525102 Purchase 1,000.000 607525102 Sell 000 607525102 Sell 1,000.000 723456109 Sell 1,000.000 723456109 Sell 100.000 723456109 Sell 4,700.000 723456109 Sell 5,000.000 895ESC994 = Merger 5,000.000 M0854Q105 Sell 400.000 M0854Q105 Sell 1,100.000 Q7264T104 Sell 7,500.000 Q8059N120 — Sell 5,000.000 Q8059N120 — Sell 5,500.000 Q8059N120 — Sell 100.000 $2,163.47 $15,916.72 $17,793.20 $9,419.99 $969.98 $8,640.00 $3,713.99 $9,169.99 $8,809.99 $8,419.99 $9,781.83 $11,479.81 $16,429.64 $1,939.47 $91,601.40 $97,488.31 $84.97 $5,517.88 $15,179.65 $7,864.83 $22,240.01 $24,355.01 $415.01 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page 16 of 18 EFTA00315676

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Account No: |] Account Name: LESLEY KATHERINE GROFF & EO AOE CLEARING LLC Taxpayer Identification Number:***-"* x JERSEY CITY, NJ 07303-0484 Account Executive No: ETt CORRECTED: 03/19/2014 2013 INVESTMENT DETAILS CUSIP | Transaction L__ Description 04/23/2013 ***REGIS RESOURCES NL Q8059N120 — Sell 2,500.000 $3.61 ; $9,015.01 05/09/2013 ***REGIS RESOURCES NL Q8059N120 Sell 1,000.000 $4.24 $4,230.01 05/21/2013 ***REGIS RESOURCES NL Q8059N120 Sell 9,600.000 $3.71 $35,605.21 05/31/2013 ***REGIS RESOURCES NL Q8059N120 Sell 6,800.000 $3.84 $26,101.55 06/20/2013 ***REGIS RESOURCES NL Q8059N120 Sell 1,000.000 $3.05 $3,039.95 06/20/2013 “**REGIS RESOURCES NL Q8059N120 _— Sell 10,000.000 $3.00 $29,989.48 09/12/2013 ***REGIS RESOURCES NL Q8059N120 Sell 000.000 $3.81 $19,039.67 THIS STATEMENT IS NOT A SUBSTITUTE FOR FORM 1099 AND IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY Page 17 of 18 EFTA00315677

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EO AOE CLEARING LLC JERSEY CITY, NJ 07303-0484 Account No: |] Account Name: LESLEY KATHERINE GROFF & Taxpayer Identification Number:***-"* Account Executive No: ET1 CORRECTED: 03/19/2014 Page 18 of 18 EFTA00315678