PORTFOLIO STATEMENT Report Guide
P O R T FO L I O S TAT E M E N T REPORT GUIDE Northern Trust expands the concept of information delivery with Management Reporting, a refined approach to delivering comprehensive portfolio information. The Portfolio Statement is the core of Management Reporting. A succinct package of reports, the Portfolio Statement is a complete reference to your asset and transaction information where income is reflected on an accrual basis and security purchases and sales are recognized as of trade date. Reports are identified by a recognized portfolio activity, such as investments, income and expense or foreign exchange. Northern Trust developed the Portfolio Statement through a collaborative effort with clients and accounting experts. Information in the Portfolio Statement starts at the summary level and then follows with detailed holdings and transactions. This flow of information enables individuals with different data requirements within your organization to find the reports they need — quickly and easily.
TABLE OF CONTENTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
C OV E R PAG E
C H A N G E I N B O O K A N D M A R K E T VA LU E
C H A N G E I N C A S H VA LU E
A S S E T S U M M A RY
A S S E T D E TA I L
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BASE CURRENCY
I N V E S T M E N T T R A N S AC T I O N S U M M A RY
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I N V E S T M E N T T R A N S AC T I O N C O S T
P E N D I N G T R A N S AC T I O N D E TA I L
INCOME
&
E X P E N S E S U M M A RY
INCOME
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E X P E N S E D E TA I L
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FUNDING
&
D I S B U R S E M E N T S U M M A RY
FUNDING
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D I S B U R S E M E N T D E TA I L
C A P I TA L C H A N G E D E TA I L
C A S H AC T I V I T Y D E TA I L
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I N V E S T M E N T T R A N S AC T I O N D E TA I L
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B R O K E R C O M M I S S I O N BY B R O K E R
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B R O K E R C O M M I S S I O N BY M A N AG E R
M A N AG E R M I X
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M A R K E T R E C O N C I L I AT I O N BY AC C O U N T
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P E N D I N G T R A N D E TA I L W / AC C R U E D I N T E R E S T
R E A L I Z E D GA I N / LO S S S U M M A RY
S T I F R E C O N C I L I AT I O N
TOP
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NORTHERN TRUST
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10 E Q U I T Y H O L D I N G S . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
COVER PAGE Portfolio Statement A ■
B ■
AC C O U N T N U M B E R A B C 01
Contents
1 J A N X X - 31 J A N X X
Change in Book and Market Value Change in Cash Value Asset Summary Asset Detail-Base Currency Investment Transaction Summary Investment Transaction Detail Pending Transactions Detail Income & Expense Summary Income & Expense Detail Funding & Disbursement Summary Funding & Disbursement Detail Capital Change Detail Cash Activity Detail
C ■
Broker Commission by Broker Broker Commission by Manager Manager Mix
E ■
Market Reconciliation by Account Pending Tran Detail w/ Accrued Interest Realized Gain/Loss Summary Top 10 Equity Holdings STIF Reconciliation
Account Name ABC Corporation
Account Number ABC01
A federal regulation allows certain clients to request Information regarding the time of day that investment activity occurred in their accounts. If you require such information, please call your Relationship Manager
Questions? If you have any questions about this report, call your Northern Trust account administrator. Mr. Anthony B. Clark ABC Corporation 500 East Monroe Chicago, IL 60606-0004
D ■
Northern =ust This page provides general client and account information and lists the reports provided for the reporting period.
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes reporting period.
B ■
Denotes reports included in the Portfolio Statement.
C ■
Denotes Account Name, Account Number, and recipient name and address.
D ■
Date report was generated.
E ■
This statement is derived from Section (d)(2)(iv) of Reg H of the Federal Reserve Board Regulations, which sets forth certain recordkeeping and notification requirements for state member banks who effect securities transactions for customers.
NORTHERN TRUST
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C H A N G E I N BO O K A N D M A R K E T VA LU E Portfolio Statement
AC C O U N T N U M B E R A B C 01
Change in Book and Market Value 1 D E C X X – 31 D E C X X
A ■
Opening balance Sponsor Contributions Interportfolio transfers in Benefit payment redeposits Total Receipts Interportfolio transfers out Benefit payments Total Disbursements Income received Expenses paid Unrealized gain/loss change Realized gain/loss Accrued income change Closing balance
B ■
Cost 2,001,300,300.53 419,212.99 19,000,199.50 29,812.25 19,449,224.74 -19,000,199.50 -14,952,166.63 -33,952,366.13 5,145,545.24 -335,939.80 0.00 -2,347,417.20 996,270.25 1,990,255,626.63
C ■
Northern =ust This report provides a reconciliation of the portfolio’s cost and market values between the previous and the current reporting periods. The report also refers the reader to additional schedules for more detailed information.
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NORTHERN TRUST
D ■
Market Value 2,160,500,398.70 419,212.99 19,000,199.50 29,812.25 19,449,224.74 - 19,000,199.50 - 14,952,166.63 -33,952,366.13 5,145,545.24 - 335,939.80 -35,593,177.31 -2,347,417.20 996,270.25 2,113,862,547.49
For more information See See See See See See See See See See See See
funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary income & expense summary income & expense summary asset summary realized gain/loss summary income & expense summary
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Summary descriptions of activity affecting the portfolio’s cost and market value for the reporting period.
B ■
Beginning and ending Cost value of the portfolio and the summary amounts affecting cost.
C ■
Denotes beginning and ending Market Value of the portfolio and a summary of activity affecting market value.
D ■
Summary schedules that can be referenced For More Information on the activity during the reporting period.
C H A N G E I N C A S H VA LU E Portfolio Statement
AC C O U N T N U M B E R A B C 01
Change in Cash Value 1 D E C X X – 31 D E C X X
A ■
Opening balance Miscellaneous cash receipts Inter-portfolio transfers in Benefit payment redeposits Total Receipts Benefit payments Inter-portfolio transfers out Total Disbursements Income received Expenses paid Capital changes Foreign currency bought Foreign currency sold Realized gain/loss
Mark-to-markets Securities bought Securities sold Principal paydowns Intra portfolio transfer Closing balance
B ■
C ■
D ■
Market Value 42,184,503.22 -580,787.01 19,000,199.50 29,812.25 18,449,224.74 -14,952,166.63 -19,000,199.50 -33,952,366.13 4,292,837.35 -335,930.80 13,010.17
Cost 42,184,503.22 -580,787.01 19,000,199.50 29,812.25 18,449,224.74 -14,952,166.63 -19,000,199.50 -33,952,366.13 4,292,837.35 -335,930.80 13,010.17
For more information
7,223,777.15 -7,223,777.15 -108,392.35
7,223,777.15 -7,223,77.15 -108,392.35
-775,609.07 -630,457,964.25 624,020,932.76 1,213,526.02 0.00
-775,609.07 -630,457,964.25 624,020,932.76 1.213,526.02 0.00
30,543,771.66
30,543,771.66
Northern =ust This report reconciles the cost and market value of cash balances between the previous and current reporting periods. The report also refers the reader to additional schedules for more detailed information. A ■
B ■
Summary descriptions of activity that affected the cost and market value of cash balances during the reporting period. Beginning and ending Market Value of the cash balance, and the summary of activity affecting market value.
See See See See See See See See See See
funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary funding & disbursement summary income & expense summary income & expense summary capital changes detail
See foreign exchange summary See foreign exchange summary See foreign exchange, investment transaction, funding and disbursement, and capital change templates See investment transaction summary See investment transaction summary See investment transaction summary See investment transaction summary
*Generated by Northern Trust from periodic data on 31 Jan XX
C ■
Beginning and ending Cost value of the cash balance, and the summary amounts of activity impacting cost. This is accounted for using one of two methods: 1) Maintaining the original cost of cash and realizing a gain or loss only when cash is disbursed. This method will result in differing cost and market values since market value will fluctuate as the exchange rates of the client’s nonbase currency cash balances change. A fluctuation in nonbase currency market value will result in an unrealized gain or loss reported in the CHANGE IN BOOK AND MARKET VALUE report.
2) Setting cost equal to market value by periodically revaluating cash cost and market value. This method will result in a realized gain or loss each period. This gain or loss measures the change in value of cash balances due to the fluctuations in exchange rates. The realized gain or loss in the client’s nonbase currency will be reported in the
CHANGE IN BOOK AND MARKET VALUE REPORT. D ■
Summary schedules that can be referenced For More Information on the activity for the reporting period.
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ASSET SUMMARY Portfolio Statement Asset Summary
AC C O U N T N U M B E R A B C 01
31 D E C X X
D ■
E ■
F ■
G ■
H ■
■I
Unrealized gain/loss Translation Total
J ■
K ■
Market value Incl. accurate
%
Country
Accrued Income/expense
Portugal-EUR Spain-EUR Total rights/warrants Total equities
0.00 0.00 0.00 0.00 664,889.63
366.16 34,283.61 3,083.40 37,733.17 1,970,006,991.15
0.00 0.00 0.00 0.00 1,803,470,624.77
366.16 34,283.61 3,083.40 37,733.17 202,517,493.76
0.00 0.00 0.00 0.0 -35,981,207.38
366.16 34,283.61 3,083.40 37,733.17 166,536,286.38
366.16 34,283.61 3,083.40 37,733.17 1,970,671,800.78
0.000% 0.001% 0.000% 0.001% 63.084%
22,045.73 195,564.33 23,049.33 15,994.50 7,835.79 317,821.78 582,311.45
750,750.00 8,325,57.60 815,750.00 791,017.50 0.00 50,557,192.49 61,240,367.59
793,213.50 8,883,105.90 968,293.00 811,875.00 0.00 49,363,230.47 60,819,717.87
-42,463.50 -557,448.30 -152,543.00 -20,857.50 0.00 1,193,962.02 420,649.72
0.00 0.00 0.00 0.00 0.00 0.00 0.00
-42,463.50 -557,448.30 -152,543.00 -20,857.50 0.00 1,193,962.02 420,469.72
772,795.73 8,521,221.93 838,799.33 807,012.00 7,835.79 50,875,014.27 61,822,679.04
0.025% 0.273% 0.027% 0.026% 0.000% 1.629% 1.979%
2,223,590,83 2,223,590,83
286,911,460.48 286,911,460.48
291,950.064.64 291,950.064.64
-5,038,604.16 -5,038,604.16
0.00 0.00
-5,038,604.16 -5,038,604.16
289,135,051.31 289,135,051.31
9.256% 9.256%
13,839.42 28,500.00 35,552.14 13,065.50 7,356.25
729,850.00 627,950.00 2,726,986.05 3,547,670.00 909,500.00
855,492.65 750,500.00 2,991,607.48 3,496,850.00 977,400.00
-125,642.65 -122,550.00 -264,621.43 50,820.00 -67,900.00
0.00 0.00 0.00 0.00 0.00
-125,642.65 -122,550.00 -264,621.43 50,820.00 -67,900.00
743,689.42 656,450.00 2,762,538.19 3,560,735.50 916,856.25
0.024% 0.021% 0.088% 0.114% 0.029%
A Equities ■ B Rights/warrants ■ C France-EUR ■
Fixed Income
Market Value
Cost
Market
Government bonds Brazil-USD Canada-USD Columbia-USD Mexico-USD Philippines-USD United States-USD Total government bonds
Government agencies
United States-USD Total government agencies
Corporate bonds
Argentina-USD Australia-USD Cayman Islands-USD Japan-USD Mexico-USD
Northern =ust This report summarizes the portfolio’s total market value, including accruals, as of the reporting date. It is sorted by asset type and country. Totals are provided for each asset type and for the portfolio.
■
Denotes asset category.
B ■
Denotes asset subcategory.
■
Denotes country of risk within the asset type.
A
C
D ■
■ E
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Denotes net Accrued Income or Expense within the country as of the reporting date. Denotes Market Value of the securities within each country as of the reporting date.
NORTHERN TRUST
*Generated by Northern Trust from periodic data on 31 Jan XX
F ■
Cost represents the base cost amount
calculated as the Market Value minus Cost, or as the Unrealized Gain or Loss Due to Market plus Unrealized Gain or Loss Due to Translation.
of the securities held in this country. G ■
Unrealized Gain or Loss Due to Market summarizes the change in the securities’ value due to the change in market prices from the purchase date to the reporting date.
H ■
Unrealized Gain or Loss Due to Translation summarizes the change in the securities’ value due to the change in exchange rates from the purchase date to the reporting date.
■I
Total Unrealized Gain or Loss measures the change in the securities’ value from purchase date to reporting date. Unrealized Gain or Loss is
■J
Total Market Value Including Accruals is calculated as Market Value plus Accrued Income or Expense.
K ■
Percentage is the market value including accruals expressed as a percentage of the total portfolio value. The percentage is calculated as Total Market Value Plus Accruals divided by the total market value plus accruals of the portfolio.
ASSET DETAIL — BASE CURRENCY Portfolio Statement
AC C O U N T N U M B E R A B C 01
Asset Detail – Base Currency 1 J A N X X – 31 J A N X X
D ■
Description/Asset ID Shares/PAR value
E ■
G ■
F ■
Accrued Local market price Income/expense
H ■
Market value
76.00
J ■
K ■
Unrealized gain/loss Market Translation
Cost
A Fixed Income ■ B Government bonds ■ Philippines-USD C ■ PHILIPPINES REP GLOBAL BD DTD 03/16/20xx 10.625 DUE 03-16-20XX CUSIP: 718286AB1 0.00
■I
Total
7,835.79 7,835.79 7,835.79
0.00 0.00 0.00
0.00 0.00 0.00
0.00 0.00 0.00
0.00 0.00 0.00
0.00 0.00 0.00
United States-USD U.S. TREAS INFLATION INDEX 3.625 NT DUE 04-15-20XX CUSIP: 912810AB2 102,569.24 14,817.40 8,200,000.00 US TREAS INFLATION INDEX 3.875 NT DUE 04-15-20XX CUSIP: 912810AB3 1,054,449.41 6,225.78 3,275,00.000
8,410,677.68
8,084,945.06
325,732.62
0.00
325,732.62
3.453,321.81
3,266,347.12
186,974.69
0.00
186,974.69
160,560.00
15,010,200.00
14,892,187.50
118,012.50
0.00
118,012.50
2,064.00
11,994,360.00
12,017,812.50
-23,452.50
0.00
-23,452.50
11,688,633.00 50,557,192.49 50,557,192.49
11,101,938.29 1,193,962.02 49,363,230.47
586,694.71 1,193,962.02 1,193,962.02
0.00 0.00 0.00
586,694.71 49,363,230.47 1,193,962.02
61,240,367.59
60,819,717.87
420,649.72
0.00
420,649.72
7,472,775.00
7,559,700.00
-86,925.00
0.00
-86,925.00
Total USD Total Philippines
US TREAS NTS 6.25 DUE 02-28-20XX CUSIP: 912827AB5 100,068 15,000,000.000 US TREAS NTS 6.25 DUE 04-30-20XX CUSIP: 912827AB6 99.953 12,000,000.000
US TREAS NTS INFLATION INDEX 3.875 DUE 01-15-20XX CUSIP: 912827AB4 105.303 134,154.60 11,100,.000.000 317,821.78 Total USD 317,821.78 Total United States Total government bonds 582,311.45 60,325,000.000
Government agencies
United States-USD FHLMC DEB DTD 11/22/19XX 6.75 09-15-20XX CUSIP: 3134A3AB7 7,500,000.000 99.637
64,687.50
Northern =ust This schedule details all holdings and their values as of the reporting date. Reported on a trade date basis, holdings are adjusted for pending purchases and sales. The report is sorted by asset type, subasset type, country of incorporation, country pricing currency, alphabetical and country order. Totals are provided for each country’s pricing currency, each country, each asset type, and for the entire portfolio.
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes asset category.
B ■
Denotes asset subcategory.
C ■
Denotes country of risk followed by the pricing currency symbol.
D ■
Denotes Description, Asset ID and the Shares or Par Value of the security.
E ■
Local Market Price: To report a market value for most financial instruments, Northern Trust first utilizes listed market prices, if available. If listed market prices are not available, the price utilized on your accounting statement may be from a counterparty or an investment manager.
F ■
Net Accrued Income or Expense is calculated as gross accrued income minus unrecoverable taxes minus expenses.
G ■
Base Market Value is calculated as (Shares or Par multiplied by Local Market Price) divided by the exchange rates as of the reporting date. Refer to the FOREIGN EXCHANGE RATES TO BASE CURRENCY report for exchange rates.
H ■
Cost represents the base cost amount of the security calculated as local currency cost divided by the exchange rate as of trade date minus one day.
continued on the next page
NORTHERN TRUST
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■I
■J
K ■
Unrealized Gain or Loss Due to Market is the change in the security’s value due to changes in the market price from the purchase date to the reporting date. It is calculated as (market value in local currency minus cost in local currency) divided by the exchange rate as of reporting date.
1. Northern Trust categorizes certain securities based on investment performance needs rather than accounting requirements. This categorization difference should be considered when preparing your financial reports.
Unrealized Gain or Loss Due to Translation is the change in the
2. Northern Trust does not provide hedge accounting.
security’s value due to changes in the exchange rate from the purchase date to the reporting date. It is calculated as (cost in local currency divided by the exchange rate as of reporting date) minus the cost in base currency.
3. Futures contract valuations:
Total Unrealized Gain or Loss is the change in the security’s value from the purchase date to the reporting date. It is calculated as Market Value minus Cost or as Unrealized Gain or Loss Due to Market plus the
Unrealized Gain or Loss Due to Translation.
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Notes:
NORTHERN TRUST
Exploded Value: Northern Trust’s
Fair Value of Futures Contracts: The fair value of a futures contract is represented by the change in open trade equity between the reporting date and the previous business date since futures contracts are marked to market daily. In Northern Trust’s month-end Management Reporting statements, the futures contract’s fair value is represented by the last day of the month’s mark-to-market and can be found on the month-end Investment Transaction Detail report.
4. Northern Trust does not bifurcate statements reflect an exploded value embedded derivative instruments and of a futures contract (calculated by value them separately on the Asset using the number of contracts times Detail Report. the closing price as of the reporting date times the appropriate multiplier) 5. Securities lending collateral values as an asset with an offsetting liability needed for your financial reporting (or a liability with an offsetting asset). purposes can be obtained from your The “exploded value” is not needed for securities lending reports. This inforSFAS 133 effectiveness measurement mation is generally not included in or reporting purposes. As a result, these the Asset Detail report. values net out to zero in Northern Trust’s Asset Detail report.
INVESTMENT TRANSACTION SUMMARY Portfolio Statement
Investment Transaction Summary
AC C O U N T N U M B E R A B C 01
01 S E P X X — 3 0 S E P X X
D ■
E ■
F ■
G ■
H ■
A ■ B ■ C ■
Northern =ust This report summarizes all purchases, sales, mark-to-markets, and currency revaluation gains or losses that occurred during the reporting period. Transactions are reported on a trade date basis. The report is sorted by transaction type and asset type. Totals are provided for each transaction and for all transaction types. A ■
Denotes type of transaction.
■
Denotes asset category.
B
C ■
Denotes asset subcategory.
*Generated by Northern Trust from periodic data on 25 Oct XX
D ■
Transaction Amount is the total
G ■
cost or proceeds for transactions of the asset type. E ■
F ■
in the securities local currency value versus the client’s base currency value from the purchase date to the sale trade date.
Cost represents the base cost amount of the securities transacted in this asset type calculated as local currency cost divided by the exchange rate as of trade date minus one day.
Realized Gain or Loss Due to Market summarizes the change in the securities market price from the purchase date to the sale trade date.
Realized Gain or Loss Due to Translation summarizes the change
H ■
Total Realized Gain or Loss is the Realized Gain or Loss Due to Market plus the Realized Gain or Loss Due to Translation as of the reporting date.
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INVESTMENT TRANSACTION DETAIL Portfolio Statement Investment Transaction Detail Custodial
AC C O U N T N U M B E R A B C 01
1 D E C X X – 31 D E C X X
The value totals
Trade date Security description Settle date Asset ID Trade status Broker/Commission
A Principal Paydowns ■ B Fixed Income ■ C Corporate bonds ■ A D Cayman Islands-USD ■
F ■
G ■
Shares/PAR Price
Transaction Amount
Risk category Accrued 31 Dec XX ABC PUR CO II B SR SECD NT SER A 144A 10.73 income/expense -29,801.31 31 Dec XX DUE 07-31-20XX BEO 0.00 C Market Value E Settled CUSIP: 67788AAB1 ■ Cost Total Cayman Islands-USD D United States-USD 2 Dec XX ABC WORLD FINL PPTYS TOWER 8 FIN CORP SER 19XX WFP-B 6.91 PASS THRU CTF 0-1-XX 2 Dec XX CUSIP: 981468ABL Settled Total United States-USD Total corporate bonds Government mortgage backed securities United States-USD 16 Dec XX FHLMC GOLD E62407 6.5 05-01-20XX 16 Dec XX CUSIP: 31280GAB3 Settled 16 Dec XX FHLMC GROUP G109116 12-01-XX 16 Dec XX CUSIP: 31283KAB4 Settled 16 Dec XX GNMA POOL #781026 SER 2008 8 DUE 05-15-20XX RE 16 Dec XX CUSIP: 36225BAB5 Settled 16 Dec XX GNMA POOL #781171 SER 20XX 7.95 DUE 09-15-20XX 16 Dec XX REG Settled CUSIP: 36225BAB6 25 Dec XX FNMA POOL #073449 6.85 DUE 04-01 20XX REG 25 Dec XX CUSIP: 31362WAB7 Settled
Northern =ust This schedule details information for all purchases, sales, mark-to-market, and currency revaluation gains or losses that occurred during the reporting period. Transactions are reported on a trade date basis. The report is sorted by transaction type, asset type, country of incorporation, pricing currency, trade date, and settlement date. Totals are provided for each pricing currency, each country, each transaction type, and for all transaction types. Please see next page for explanation.
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NORTHERN TRUST
H ■ Cost
Represents Represents 29,801.31 represents Represents 29,801.31
■I
J ■
K ■
Market
Realized gain/loss Translation
Total
-29,801.31
0.00
0.00
0.00
-29,801.31
0.00
0.00
0.00
4,316.55
-4,316.550
101.61
0.00
101.61
-4,214.94 -34,016.25
101.60 101.61
0.00 0.00
101.61 101.60
4,316.55 34,117.86
-119,898.160 0.00
119,898.16
-121,621.70
-1,723.54
0.00
-1,723.54
-81,424.000 0.00
81,424.00
-81,761.14
-337.14
0.00
-337.14
-138,683.480 0.00
138,683.48
-142,843.98
-4,160.50
0.00
-4,160.50
-74,199.130 0.00
74,199.13
-74,535.34
336.21
0.00
-336.21
-4,946.060 0.00
4,946.06
-4,812.94
133.12
0.00
133.12
-4,214.94 0.00
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes type of transaction.
B ■
Denotes asset category.
C ■
Denotes asset subcategory.
D ■
Denotes country of risk followed by the pricing currency symbol.
E ■
Denotes Trade Date, Settlement
■I
base market value from the purchase date to the sale date. It is calculated as proceeds in local currency minus book value in local currency divided by the exchange rate as of trade date minus one day.
■J
Date, Security Description, Asset ID, Broker and Broker Commission. F ■
Denotes Shares or Par Value and local market Price.
G ■
Transaction Amount is the proceeds from a sale or the cost of a purchase.
■ H
Cost represents the base cost amount of the security in this country calculated as local currency cost divided by the exchange rate as of trade date minus one day.
Realized Gain or Loss Due to Market is the change in the security’s
Notes: 1. Futures commissions are separately reported in the Investment Transaction Detail.
Realized Gain or Loss Due to Translation is the change in the security’s market value in local currency versus the client’s base currency. It is calculated as book value in local currency divided by the exchange rate as of trade date minus one day minus book value in base currency.
K ■
Total Realized Gain or Loss is the Realized Gain or Loss Due to Market plus the Realized Gain or Loss Due to Translation for the reporting period.
NORTHERN TRUST
|
INVESTMENT TRANSACTION COST Portfolio Statement
AC C O U N T N U M B E R A B C 01
01 JAN XX – 31 JAN XX
Investment Transaction Cost E ■
A ■ B ■ C ■ D ■
F ■
G ■
H ■
■I
J ■
K ■
xx xx
xx xx
L ■
Northern =ust This report summarizes transaction costs related to all purchases and sales that occurred during the reporting period. Transactions are reported on a tradedated basis, and include the trade-related expenses. The report is sorted by transaction type, asset type, country of incorporation, pricing currency and trade date. The report provides totals for these transaction costs by supercategory, subcategory and overall portfolio-level information.
|
NORTHERN TRUST
*Generated by Northern Trust from reviewed periodic data on 31 Jan XX
A ■
Denotes type of transaction.
H ■
Denotes the Broker Commission applicable to the transaction.
B ■
Denotes asset category.
■I
C ■
Denotes asset subcategory.
Denotes the Other Charges associated with the transaction.
■J
■
Denotes country of risk followed by the pricing currency symbol.
Denotes the Taxes associated with the transaction.
K ■
The Total Transaction Cost is the sum of broker commissions, other charges and taxes associated with the transaction.
■L
Total transactions provides an overall portfolio total of the transaction costs incurred during the reporting period.
D
■
This column provides the Trade Date and the Settlement Date for the transaction.
F ■
This column shows the Security Description, its Asset ID, the Broker and the Broker Commission.
G ■
Transaction Amount shows the proceeds from a sale or the cost of a purchase.
E
PENDING TRANSACTION DETAIL Portfolio Statement Pending Transaction Detail
AC C O U N T N U M B E R A B C 01
31 D E C X X
E ■
F ■
Trade date/ Settle date
Country
Trade Status
30 Dec XX
United States
2 Jan XX 31 Dec XX
United States
Cash pending CUSIP: 026351AB1 Shares not delivered Cash pending
A Purchases ■ B UNITED STATES DOLLARS ■ C Fixed Income ■ D Corporate bonds ■
3 Jan XX Total corporate bonds Total fixed income
Shares not delivered
G ■
H ■
Security description Asset ID
AMERN GEN CORP NT 7.5 DUE 08-11-2099BEO
■I
Shares/PAR
Amount Pending Base Market
J ■
K ■
Base Cost
Local Cost
1,275,000.00
-1,275,392.70
-1,275,392.70
-1,275,392.70
930,000.00
-868,108.50
-868,108.50
-868,108.50
-
-2,143,501.20 11,644,997.66
-2,143,501.20 11,644,997.66
-2,143,501.20 11,644,997.66
1.00
-1.00
-1.00
-1.00
-1.00 -1.00 -19,261,903.71 -22,717,851.79
-1.00 -1.00 -19,261,903.71 -22,716,445.15
-1.00 -1.00 -19,261,903.71
307,282.97
300,520.12
362,532.45
307,282.97 307,282.97 307,282.97
300,520.12 300,520.12 300,520.12
362,532.45 362,532.45 362,532.45
KROGER CO SR NT SER B DTD 06/25/1999 7.7DUE 06-01-2029 BED CUSIP: 501044AB2
Cash and Cash Equivalents Short term investment funds 31 Dec XX
United States
CF BARCLAYS MONEY MKT FD CUSIP: 066459AB3 8 Jan XX Shares not delivered Total short term investment funds Total cash and cash equivalents Total UNITED STATES DOLLARS Total purchases
Sales
Euro Equities Common stock 27 Dec XX
France
1 Jan XX Total common stock Total equities Total Euro
Cash pending SEDOL: 4163448 Shares not delivered
CAP GEMINI EURB
Northern =ust This schedule details information for all pending transactions as of the reporting date. Transactions are reported on a trade date basis. The report is sorted by transaction type, asset type, country of incorporation, pricing currency, trade date and settlement date. Totals are provided for each pricing currency, each country, each transaction type and for all transaction types.
-1,910.00
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes type of transaction pending.
B ■
Denotes settlement currency of pending transaction.
C ■
Denotes asset category.
D ■
Denotes asset subcategory.
E ■
Denotes Trade Date, Settlement Date, and Country of risk.
■F
Denotes Trade Status of pending transaction.
G ■
Denotes Security Description and Asset ID of the pending security.
H ■
Denotes number of Shares or Par Value of the pending transaction.
■I
For security transactions, Base Market is (Shares or Par multiplied by local market price) divided by the exchange rate as of the reporting date. Otherwise, the Base Market is calculated as local currency amount divided by the exchange rate as of reporting date. Refer to the FOREIGN EXCHANGE RATES TO BASE CURRENCY report for exchange rates.
■J
Base Currency Cost is the local currency cost divided by the exchange rate as of the trade date minus one day.
K ■
Denotes Local Currency Cost of the transaction pending settlement.
NORTHERN TRUST
|
INCOME & EXPENSE SUMMARY Portfolio Statement
AC C O U N T N U M B E R A B C 01
Income & Expense Summary 1 D E C – 31 D E C X X
D ■
E ■
F ■
H ■
■I
Amount received
Tax recoverable last period
Tax recoverable this period
Tax reclaims received
664,889.63 0.00 664,889.63
-323,890.98 1,093.58 -322,797.40
259,331.27 113.47 259,444.74
256,707.30 108.99 256,816.29
3,851.68 0.00 3,851.68
-722,861.29 120.38 -722,740.91
898,996.86 502,220.33 5,593,190.19
582,311.45 2,223,590.83 5,455,692.78
624,367.48 -71,402.95 3,861,669.53
0.00 0.00 0.00
0.00 0.00 0.00
0.00 0.00 0.00
307,682.07 1,649,967.55 3,724,172.12
754,040.39 58,883.82 57,354.57 7,864,686.16
748,673.25 139,856.26 61,523.03 9,211,647.60
754,040.41 20,572.29 45,757.55 5,235,004.31
0.00 0.00 0.00 0.00
0.00 0.00 0.00 0.00
0.00 0.00 0.00 0.00
748,673.27 101,544.73 49,926.01 6,581,965.75
0.00 0.00
0.00 0.00
81,550.62 81,550.62
0.00 0.00
0.00 0.00
0.00 0.00
81,550.62 81,550.62
116,707.24 34,448.43 151,155.67 9,081,898.19
164,322.04 39,937.63 204259.67 10,080,796.89
114,701.57 33,234.46 147,936.03 5,141,693.56
0.00 0.00 0.00 259,444.74
0.00 0.00 0.00 256,816.29
0.00 0.00 0.00 3,851.68
162,316.37 38,723.66 201,040.03 6,141,815.49
Receivables last period
Receivables this period
Total equities
1,065,087.64 968.72 1,066,056.36
Government bonds Government agencies Corporate bonds Government mortgage backed securities Asset backed securities Non-government backed c.m.o.s Total fixed income
A Income ■ B Equities ■ C Common stock ■ Preferred stock Type
Fixed income
Other assets
Miscellaneous Total other assets
Cash and cash equivalents
Short term investment funds Cash Total cash and cash equivalents Total income
G ■
Northern =ust This report summarizes income and expense accruals, income and expense receipts, expense disbursements, taxes recoverable, and taxes reclaimed during the reporting period. The report is sorted by asset type within the income and expense categories. Totals are provided for income and expense categories.
A ■
Denotes income or expense category.
B ■
Denotes asset category.
■
Denotes asset subcategory.
D ■
Denotes Receivable or Payable due the last reporting period.
E ■
Denotes Receivable or Payable due this reporting period.
■F
Denotes Amount Received or Paid during this period.
G ■
Denotes Tax Recoverable as of the
C
H ■
Denotes Tax Recoverable as of
This Period.
|
NORTHERN TRUST
Earned Income
*Generated by Northern Trust from periodic data on 31 Jan XX
Last Period.
J ■
■I
Denotes Tax Reclaims Received this period.
■J
Denotes Earned Income, Expenses Recognized during this reporting period. Earned Income is calculated as Receivables This Period plus Amount Received plus Taxes Recoverable This Period plus Tax Reclaims Received minus Receivable Last Period plus Taxes Recoverable Last Period. Expenses Recognized is calculated as Payable This Period plus Amount Paid minus Payables Last Period.
INCOME & EXPENSE DETAIL Portfolio Statement
AC C O U N T N U M B E R A B C 01
Income & Expense Detail – Base Currency 1 D E C X X — 31 D E C X X
Income
Description Asset ID / Dates
A Equities ■ Common stock B Austria - EUR ■ RHI AG NPV C ■
SEDOL: 4719920 Pay date: 30 MAY XX / Pay date: 14 AUG XX Belgium - EUR COLRUYT SA NPV (POST SPLIT) SEDOL: 5806220 Ex date: 12 OCT XX / Pay date: 12 OCT XX Bermuda - USD TYCO INTL LTD NEW COM CUSIP: 902124120 Ex date: 29 SEP XX / Pay date: 01 NOV XX TYCO INTL LTD NEW COM CUSIP: 902124120 Ex date: 29 SEP XX / Pay date: 01 NOV XX TYCO INTL LTD NEW COM CUSIP: 902124120 Ex date: 29 SEP XX / Pay date: 01 NOV XX TYCO INTL LTD NEW COM CUSIP: 902124120 Ex date: 29 SEP XX / Pay date: 01 NOV XX Canada - CAD CDN NATL RAILWAYS COM NPV SEDOL: 2180620 Pay date: 30 DEC XX / Pay date: 29 FEB XX CDN NATL RAILWAYS COM NPV SEDOL: 2180620 Pay date: 29 JUN XX /Pay date: 29 FEB XX CON NATL RAILWAYS COM NPV SEDOL: 2180620 Pay date: 25 MAR XX / Pay date: 29 FEB XX CON NATL RAILWAYS COM NPV SEDOL: 2180620 Pay date: 30 DEC XX / Pay date: 03 MAY XX OSHAWA GROUP LTD CL A COM
D ■
E ■
Shares/PAR
Rate Gross amount
F ■
G ■
Tax recoverable Tax withheld
H ■
■I
Net amount
Transaction type
.00 0.000
28.13
0.00
0.00
28.13
Tax reclaims received
.72 1,179.000
741.83
0.00
0.00
741.83
Received this period
.0125 8,000.000
100.00
0.00
0.00
100.00
Receivable last period
.0125 148,000.000
1,850.00
0.00
0.00
1,850.00
Receivable last period
.0125 146,100.000
1,826.25
0.00
0.00
1,826.25
Receivable this period
.0125 8,000.000
100.00
0.00
0.00
100.00
Receivable this period
.00 0.000
470.26
0.00
0.00
470.26
Tax recoverable last period
.00 0.000
493.49
0.00
0.00
493.49
Tax recoverable last period
.00 0.000
571.25
0.00
0.00
571.25
Tax recoverable last period
.00 0.000
491.39
0.00
0.00
491.39
Tax recoverable last period
.00 0.000
1,094.24
0.00
0.00
1,094.24
Tax recoverable last period
SEDOL: 2663320 Pay date: 10 JUN XX / Pay date: 29 FEB XX
Northern =ust This schedule details information of income and expense accruals, income receipts, expense disbursements, taxes recoverable, taxes unrecoverable, and taxes reclaimed during the reporting period. The report is sorted by asset type, payment currency and security description within the income and expense categories. Totals are provided for each category.
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes income or expense category.
■F
Amount of Tax Recoverable on the tax withheld from the gross amount.
B ■
Denotes country of risk and the pricing currency symbol.
G ■
Amount of Tax Withheld on the gross amount.
C ■
Denotes Security Description, Asset ID, ex date, and payable date of the transaction.
H ■
Net Amount of income received or receivable and the Net Amount of Tax Recoverable or Tax Reclaimed.
D ■
Number of Shares or Par and Rate used to calculate gross amount of income. The rate is reported in the local currency. For United Kingdom dividends, the net rate is provided.
■I
Denotes Transaction Type.
E ■
Gross Amount is calculated as Shares or Par multiplied by the Rate divided by the exchange rate.
NORTHERN TRUST
|
FUNDING & DISBURSEMENT SUMMARY Portfolio Statement
AC C O U N T N U M B E R A B C 01
Funding & Disbursement Summary 1 D E C X X — 31 D E C X X
A ■
Transaction type Redeposit of Refunds Lump Sum Redeposits Lump Sum Payments Intra Portfolio Transfers Out Intra Portfolio Transfers In Interportfolio Transfers Out Interportfolio Transfers In Sponsor Contributions Benefit Payments Benefit Payment Redeposits Total
B ■
C ■
Receipts
Transaction amount Disbursements
16,404.03 3,863.55 0.00 0.00 0.00 0.00 19,000,199.50 419,212.99 0.00 9,544.67 19,449,224.74
0.00 0.00 -7,144,234.46 0.00 0.00 -19,000,199.50 0.00 0.00 -7,807,932.17 0.00 -33,952,366.13
D ■
G ■
F ■
E ■
Realized gain/loss Cost on gain/loss Market
H ■
■I
Market value
Cost
Translation
Total
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00
0.00
0.00
0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00
0.00
Northern =ust This report summarizes all non-trade, non-income, and non-capital change transactions such as security deliveries or cash receipts that occurred during the reporting period. The report is sorted by transaction type. Totals are provided for funding and disbursement transactions.
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes Asset Category.
B ■
Denotes Receipts of cash during the period.
C ■
Denotes Disbursements of cash during the period.
D ■
Cost represents the total book value of all securities received or delivered during the reporting period.
F ■
Transaction Amount of nonsecurity transactions received or disbursed during the reporting period.
|
NORTHERN TRUST
Realized Gain or Loss Due to Market is the change in the securities’ base market value from the purchase date to the disbursement date.
H ■
Realized Gain or Loss Due to Translation is the change in the securities’ market value in local currency versus the client’s base currency.
Market Value represents the total market value of all securities received or delivered during the reporting period.
E ■
G ■
■I
Total Realized Gain or Loss is the Realized Gain or Loss Due to Market plus the Realized Gain or Loss Due to Translation.
FUNDING & DISBURSEMENT DETAIL Portfolio Statement
AC C O U N T N U M B E R A B C 01
Funding & Disbursement Detail 1 J A N X X — 31 J A N X X
A Redeposit of Refunds ■ Value date C ■ B Entry date Security description ■ Asset ID Transaction description 6 Dec XX 6 Dec XX
D ■
UNITED STATES DOLLARS RECEIVED FROM XYZ INSURANCE COMPANY REPRESENTING REIMBURSEMENT OF BENEFITS FOR ABC TRUST ACCOUNTS. UNITED STATES DOLLARS
6 Dec XX 6 Dec XX
RECEIVED FROM VARIABLE ANNUITY LIFE REPRESENTING REIMBURSEMENT OF BENEFITS FOR ABC TRUST ACCOUNTS. Total redeposit of refunds
Lump Sum Redeposits Value date Entry date
Asset ID
E ■
F ■
G ■
H ■
■I
Realized gain/loss Translation Total 0.00 0.00
Market value 0.00
Cost 0.00
Transaction amount 4,015.12
Market 0.00
0.00
0.00
12,388.91
0.00
0.00
0.00
0.00
0.00
16,404.03
0.00
0.00
0.00
Security description
—————Realized gain/loss————
Transaction description
REDEPOSIT CHECK #123 DATED ON BEHALF OF JOHN DOE 20XX-10-02 ABC PLAN Total lump sum redeposits
Market value
Cost
Transaction amount
Market
Translation
Total
0.00 0.00
0.00 0.00
3,863.55 3,863.55
0.00 0.00
Market value 0.00
Cost 0.00
Transaction amount -310,597.50
Market 0.00
0.00
0.00
-5,473.95
0.00
0.00
0.00
0.00
0.00
-6,816.18
0.00
0.00
0.00
23 Dec XX 23 Dec XX
Lump Sum Payments Value date Entry date Asset ID 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX
Security description
Northern =ust
■
Denotes type of transaction.
B ■
Value Date is the date the funds are
A
debited or credited to the portfolio. Entry Date is the date the transaction was entered in Northern Trust’s accounting system. Denotes Asset ID of the security.
0.00 0.00
—————Realized gain/loss————
Transaction description PAID JOHN DOE ABC RETIREMENT PLAN PAID JOHN DOE ABC RETIREMENT PLAN PAID JOHN DOE ABC RETIREMENT PLAN
This schedule details information of all nontrade, nonincome, and noncapital change transactions, such as security deliveries and cash receipts, that occurred during the reporting period. The report is sorted by transaction type, transaction date, and transaction or security description. Totals are provided for each transaction type and for all funding and disbursement transactions.
0.00 0.00
Translation 0.00
Total 0.00
*Generated by Northern Trust from periodic data on 31 Jan XX
C ■
■ D
A Security Description is provided if a security was received or disbursed, or a Transaction Description is provided if cash was received or disbursed.
minus book value in local currency divided by the exchange rate as of trade date minus one day. H ■
Market Value of the security received
rity’s market value in local currency versus the client’s base currency. It is calculated as book value in local currency divided by the exchange rate as of trade date minus one day minus book value in base currency.
or delivered on the security transaction. E ■
Cost is the book value received or delivered on the security transaction.
■F
Transaction Amount of the cash received or disbursed.
G ■
Realized Gain or Loss Due to Market is the change in the security’s base market value from the purchase date to the disbursement date. It is calculated as proceeds in local currency
Realized Gain or Loss Due to Translation is the change in the secu-
■I
Total Realized Gain or Loss is the Realized Gain or Loss Due to Market Value plus the Realized Gain or Loss Due to Translation for the reporting period.
NORTHERN TRUST
|
C APITAL C HANGE DETAIL Portfolio Statement
AC C O U N T N U M B E R A B C 01
1 D E C X X — 31 D E C X X
Capital Change Detail
A Equities ■ B Australia ■ ■ D C ■ Original security description / Asset ID Ex date Shares 23 Dec XX BHP LTD NPV SEDOL: 6144670 46,436.000
30 Dec XX TELSTRA CORP INS RECIPPD AUD4.75 2/11/00 SEDOL: 6181970 15,600.000 Total Australia
E ■ F ■ Original cost 534,632.29
48,016.80
Change description 1.000 for 4.000 SEPARATION
G ■ H ■ Payment amount 0.00
1.000 for 1.000 EXCHANGE
0.00
582,649.09
0.00
Original cost 0.00
Payment amount 0.00
■I
Realized gain/loss Resulting security description / Asset ID Resulting Shares cost BHP LTD NPV SEDOL: 6144690 527,575.14 46,436.000 ONESTEEL NPV 7,057.15 SEDOL: 6293729 11,609.000 TELSTRA CORP INST RECEIPTS - NO 48,016.80 LOYALTY SEDOL: 603396W 15600.000 582,649.09
J ■ Market Translation 0.00 0.00
0.00
0.00 0.00 0.00
Bermuda Original security description / Asset ID Ex date Shares 19 Dec XX TYCO INTL LTD NEW COM CUSIP: 902124120
19 Dec XX TYCO INTL LTD NEW COM CUSIP: 902124120
19 Dec XX TYCO INTL LTD NEW COM CUSIP: 902124120
Total Bermuda
0.00
0.00
Change description RECEIVED 2,627.52 PAR/SHARES IN EXCHANGE FOR 2,800.00 AT RATE OF 0.9384000000 FOR 1 EFFECTIVE 10/17/XX STOCK MERGER RECEIVED 2,533.68 PAR/SHARES IN EXCHANGE FOR 2,700.00 AT RATE OF 0.9384000000 FOR 1 EFFECTIVE 10/17/XX STOCK MERGER RECEIVED 6,287.28 PAR/SHARES IN EXCHANGE FOR 6,700.00 AT RATE OF 0.9384000000 FOR 1 EFFECTIVE 10/17/XX STOCK MERGER
0.00
0.00
0.00
Realized gain/loss Resulting security description / Asset ID Resulting Shares cost TYCO INTL LTD NEW COM CUSIP: 124,968.90 902124120 2,627.520
TYCO INTL LTD NEW COM CUSIP: 902124120 2,533.680
123,441.75
TYCO INTL LTD NEW COM CUSIP: 902124120 6,287.280
220,714.75
0.00
Northern =ust This schedule details the before and after image of capital change transactions, such as stock splits and stock dividends, that occurred during the reporting period. The report is sorted by asset type, country and ex date. Totals are provided for each country, each asset type and for all transactions.
|
NORTHERN TRUST
0.00
0.00 0.00
0.00 0.00
469,125.40
0.00 0.00
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
Denotes asset type.
B ■
Denotes country of risk.
C ■
Denotes Ex Date of the capital change transaction.
D ■
Denotes Original Security Description/Asset ID before the capital change and the number of Shares of the original security.
E ■
Denotes Original Cost of the original security.
■F
Denotes capital Change
Description.
Market Translation 0.00
G ■
Denotes Payment Amount required to complete the capital change transaction.
H ■
Resulting Security Description and Shares of the new security name.
■I
Resulting Cost of the new security.
■J
Realized Gain or Loss Due to Market resulting from changes in price and Realized Gain or Loss Due to Translation resulting from changes in exchange rate.
C ASH ACTIVIT Y DETAIL Portfolio Statement
AC C O U N T N U M B E R A B C 01
Cash Activity Detail Report 1 J A N X X — 31 J A N X X
A Income cash - USD This report ■ Total comC ■ B Value Date Transaction Narrative/ ■ The report Entry Date Security Description 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX 2 Dec XX
E ■
D ■ Local Receipt/ Disbursement
Report The report
Beginning cash balance $0.01 A SHARE ON 18,700 SHARES EX DATE 09-13-XX, RECORD DATE 09-15-XX° PMT IN LIEU OF INCOME-SECURITY ON LOAN ABC INDS INC COM CUSIP : 466210AB1 $0.04 A SHARE ON 4,300 SHARES EX DATE 09-15-XX, RECORD DATE 09-19-XX PEPSI COLA ENTERPRISES INC COM CUSIP : 191219104 $0.04 A SHARE ON 9,800 SHARES EX DATE 09-20-XX, RECORD DATE 09-22-XX XYZ CORP COM CUSIP : 745867000 $0.0425 A SHARE ON 3,900 SHARES EX DATE 08-30-XX, RECORD DATE 09-01-XX
Data A Broker REORG PE CORP N/C APPLERA CORP-APPLIED BIOSYS GRP 2023356 @1 69332SAB2 11/30/XX CUSIP : B Acount $0.06 A SHARE ON 8,000 SHARES EX DATE 08-30-XX, RECORD DATE 09-01-XX C Total MCKESSON HBOC INC COM CUSIP : 58155OAB3 Base $0.0625 A SHARED ON 2,100 SHARESNet EX DATE 08-29-XX, RECORD DATE 08-31-XX COASTAL CORP COM CUSIP : 190441AB4 E Local com$0.07 A SHARE ON 1,900 SHARES EX DATE 09-20-XX, RECORD DATE 09-22-XX F NEW CUSIP : 891490AB5 Base comTOSCO CORP COM $0.07 A S HARE ON DATE 09-06-XX, RECORD DATE 09-08-XX G 2,200 SHARES EX Commissio PROGRESSIVE CORP OH COM CUSIP : 743315AB6 H5,000 SHARES EXPercentage $0.07 A SHARE ON DATE 09-20-XX, RECORD DATE 09-22-XX
F ■
G ■
Base Receipt/ Disbursement
187.00
USD Balance 178,844,799.99 176,330,330.67
187.00
Balance 178,844,799.99 176,330,330.67
172.00
176,330,502.67
172.00
176,330,502.67
392.00
176,330,894.67
392.00
176,330,894.67
165.75
176,331,060.42
165.75
176,331,060.42
480.00
176,331,540.42
480.00
176,331,540.42
131.25
176,331,671.67
131.25
176,331,671.67
133.00
176,331,804.67 -
133.00
176,331,804.67
154.00
176,331,958.67
154.00
176,331,958.67
350.00
176,332,308.67
350.00
176,332,308.67
TOSCO CORP COM NEW CUSIP : 891490AB7
Northern =ust This schedule reconciles beginning and ending cash balances for all transactions that affected cash during the reporting period. This report is sorted by country currency, value date, entry date and transaction narrative.
*Generated by Northern Trust from periodic data on 31 Jan XX
A ■
B ■
Country currency and currency symbol in which the transaction was denominated.
D ■
F ■
Transaction Narrative/Security Description describes the transaction and the security.
Local Receipt or Disbursement represents the amount of the transaction in local currency.
Local Currency Balance remaining after the receipt or disbursement transaction. This is calculated as Local Currency Balance from previous row plus Local Receipt or Disbursement of current row.
Value Date is the date that funds are debited or credited to the portfolio. Entry Date is the date the transaction was entered into Northern Trust’s accounting system.
C ■
E ■
Base Receipt or Disbursement is calculated as Local Receipt or Disbursement divided by the exchange rate as of Value Date minus one day.
G ■
Base currency Balance remaining after the receipt or disbursement transaction. This is calculated as Base from previous row plus Base Receipt or minus Disbursement of current row.
NORTHERN TRUST
|
BROKER COMMISSION BY BROKER Portfolio Statement
AC C O U N T N U M B E R A B C 01
1 M AY X X — 31 M AY X X
◆
A ■ B ■
Broker Commission by Broker
C ■
LIQUIDNET INC ABC 01
Total USD
Total for Account ABC 01
MERRILL LYNCH INTL LTD EQUITIES Total LIQUIDNET INC
ABC01
Total GBP
ABC 01
Total for Account ABC 01
Total GBP Total for ABC 01
MERRILL LYNCH PIERCE FENNER & SMITH Total MERRILL LYNCH INTL LTD EQUITIES
ABC 01
Total USD
Total for Account ABC 01
MORGAN STANLEY AND CO NW YK DTC 050 Total MERRILL LYNCH PIERCE FENNER & SMITH
ABC01
Total USD
ABC01
Total for Account ABC 01
Total USD
D ■
|
Commission
Commission
Per Share
860.00
19,963.48
17.20
17.20
0.020
0.086%
860.00
19,963.48
n/a
17.20
0.020
0.086%
860.00
19,963.48
n/a
17.20
0.020
0.086%
24,840.00
86,465.70
63.68
116.00
0.005
0.134%
24,840.00
86,465.70
n/a
116.00
0.005
0.134%
14,590.00
50,786.40
37.40
68.13
0.005
0.134%
14,590.00
50,786.40
n/a
68.13
0.005
0.134%
39,430.00
137,252.10
n/a
184.13
0.005
0.134%
70.00
350.68
2.80
2.80
0.040
0.798%
70.00
350.68
n/a
2.80
0.040
0.798%
70.00
350.68
n/a
2.80
0.040
0.798%
6,590.00
152,911.14
0.00
0.00
0.000
0.000%
6,590.00
152,911.14
n/a
0.00
0.000
0.000%
3,410.00
81,383.96
0.000
0.000
0.000
0.000%
% Cost Of Trade
*Generated by Northern Trust from periodic data on 31 Oct XX
A ■
Clearing broker name.
B ■
Account number.
Total commissions paid are also shown on a commission per share basis and as a percentage of the total cost of the trade.
C ■
Total Shares held at that broker
NORTHERN TRUST
H ■
Net Base Amount
This report displays commission totals for each account in the consolidation over a given period.
The report is broken down by broker, account and country for each account in the consolidation.
G ■
Commission Information Base
Total Shares
Northern =ust
The report can be run for domestic and global accounts or consolidations.
F ■
E ■ Local
for the specified account. D ■
Net Base Amount (cost).
E ■
Local Commission amount.
F ■
Base Commission amount.
G ■
Commission amount calculated per Share of the total shares held at the broker for the account/country.
H ■
Percentage of Cost = Commission divided by Net Base Amount.
BROKER COMMISSION BY MANAGER Portfolio Statement
AC C O U N T N U M B E R A B C 01
Broker Commission by Manager 01 M AY X X — 31 M AY X X
◆
C ■
A ABC 01 ■ B UNASSIGNED BROKER ■
D ■
Total Shares
Total USD
INVESTMENT TECHNOLOGY GROUP INC
Total Unassigned Broker Total USD
Total INVESTMENT TECHNOLOGY GROUP INC
ABC 01
Total for Account ABC 01
JEFFERIES & COMPANY Total USD
STEPHENS INC
Total JEFFERIES & COMPANY
Total USD
UBS/WARBURG SECURITIES LLC NEW YORK\
Total STEPHENS INC Total USD
WELLS FARGO SECURITIES LLC
Total UBS/WARBURG SECURITIES LLC NEW YORK\
Total USD
Total WELLS FARGO SECURITIES LLC
ABC 01
Total for Account ABC 01
UNASSIGNED BROKER Total USD
Total Unassigned Broker
H ■
Commission
Per Share
% Cost Of Trade
Commission
1.77
139.59
0.00
0.00
0.000
0.000%
1.77
139.59
n/a
0.00
0.000
0.000%
16,710.00
522,570.05
167.10
167.10
0.010
0.032%
16,710.00
522,570.05
n/a
167.10
0.010
0.032%
16,711.77
522,709.64
n/a
167.10
0.010
0.032%
225.00
11,263.81
11.25
11.25
0.050
0.100%
225.00
11,263.81
n/a
11.25
0.050
0.100%
175.00
3,241.30
8.75
8.75
0.050
0.270%
175.00
3,241.30
n/a
8.75
0.050
0.270%
300.00
3,933.79
12.00
12.00
0.040
0.305%
300.00
3,933.79
n/a
12.00
0.040
0.305%
375.00
11,006.98
18.75
18.75
0.050
0.170%
375.00
11,006.98
n/a
18.75
0.050
0.170%
1,075.00
29,445.88
n/a
50.75
0.047
0.172%
1.06
107.24
0.00
0.00
0.000
0.000%
1.06
107.24
n/a
0.00
0.000
0.000%
*Generated by Northern Trust from periodic data on 31 Oct XX
This report displays commission totals for each account in the consolidation over a given period.
A ■
Account number.
B ■
Clearing broker name.
Total commissions paid are also shown on a commission per share basis and as a percentage of the total cost of the trade.
C ■
Total Shares held at that broker for the specified account.
D ■
Net Base Amount (cost).
E ■
Local Commission amount.
F ■
Base Commission amount.
The report is broken down by account, broker and country for each account in the consolidation.
G ■
Commission Information Base
Net Base Amount
Northern =ust
The report can be run for domestic and global accounts or consolidations.
F ■
E ■ Local
G ■
Commission amount calculated per Share of the total shares held at the broker for the account/country.
H ■
Percentage of Cost = Commission divided by Net Base Amount.
NORTHERN TRUST
|
MANAGER MIX Portfolio Statement Manager Mix
AC C O U N T N U M B E R A B C 01
31 M AY X X
◆
Account Name/
B ■
C ■
D ■
E ■
Short Term/
Equity/
Fixed/
R.E. and Other/
Pendings/
Total market value/
% of account
% of account
% of account
% of account
% of account
% of account
% of consolidation
Account Name ABC 01
0.00 0.00%
201,367.34 0.31%
64,826,486.13 99.69%
0.00 0.00%
0.00 0.00%
0.00 0.00%
65,027,853.47 27.94%
Account Name ABC 01
0.00 0.00%
77,662.18 0.21%
4,370,491.92 11.89%
0.00 0.00%
32,318,304.00 87.90%
0.00 0.00%
36,766,458.10 15.80%
Account Name ABC 01
0.00 0.00%
388,518.42 0.72%
0.00 0.00%
53,286,261.07 99.28%
0.00 0.00%
0.00 0.00%
53,674,779.49 23.06%
A Account Number ■
Account Name
0.00
8,615,885.12
10,295,959.97
0.00
1,000,000.00
0.00
19,911,845.09
ABC 01
0.00%
43.27%
51.71%
0.00%
5.02%
0.00%
8.55%
Account Name ABC 01
0.00 0.00%
9,591,016.87 48.04%
10,376,109.59 51.97%
0.00 0.00%
0.00 0.00%
-577.00 0.00%
19,966,549.46 8.58%
Account Name ABC 01
0.00 0.00%
35,130.77 0.19%
18,675,000.00 99.81%
0.00 0.00%
0.00 0.00%
0.00 0.00%
18,710,130.77 8.04%
Account Name ABC 01
0.00 0.00%
35,130.77 0.19%
18,675,000.00 99.81%
0.00 0.00%
0.00 0.00%
0.00 0.00%
18,710,130.77 8.04%
Total for consolidation % for consolidation
0.0 0.00%
18,944,711.47 8.14%
127,219,047.61 54.65%
53,286,261.07 22.89%
33,318,304.00 14.31%
-577.00 0.00%
232,767,747.15 100.00%
Northern =ust This report shows the breakdown of market value and percentage by asset categories in which the portfolio(s) is invested on the specified report date. The report can be run for global/domestic accounts or consolidations. It reflects the balance in each account of a consolidated as of the reporting date. The total balance of each account is divided between several asset categories and each account is shown as a percentage of the total consolidated. If run for an account, the market value and percentages of the asset categories will be displayed for that account.
|
H ■
G ■
F ■
Cash/
NORTHERN TRUST
*Generated by Northern Trust from periodic data on 31 Oct XX
If a consolidation is run then the breakdown will be displayed for each account in the consolidation.
E ■
Total market value and percentage of the total portfolio in which Fixed Assets are invested on as of date.
A ■
Account Name/Account Number
F ■
B ■
Total market value and percentage of the total portfolio in which Cash assets are invested on as of date.
Total market value and percentage of the total portfolio in which Real Estate and Other assets are invested on as of date.
G ■
Total market value and percentage of the total portfolio of Pending assets on as of date.
H ■
Total market value and percentage for all assets on as of date.
■ C
■ D
Total market value and percentage of the total portfolio in which Short Term assets are invested on as of date. Total market value and percentage of the total portfolio in whiach Equity assets are invested on as of date.
MARKET RECONCILIATION BY ACCOUNT Portfolio Statement
AC C O U N T N U M B E R A B C 01
1 J A N X X - 31 J A N X X
◆
Market Reconciliation by Account Account Name – ABC01
A ■
Beginning Market Value as of 01-Jan-XX
223,365,403.91
B Funding and Disbursement Activity ■ Sponsor Contributions Participant Contributions Other Receipts Non-Cash Security Rcpts at Market Net Benefits Paid Other Disbursements Non-Cash Security Disbs at Market
0.00 0.00 222,232,539.66 0.00 0.00 -222,232,539.66 0.00
Net Funding and Disbursement Change
0.00
C Net Investment Income ■ Dividends Interest Other Income Total Amortization Expense Total OID/MKT Accretion Income Non-cash Dividends Change in Accrued Income Income Reclass’d as Return of Capital Broker Commissions Recaptured
0.00 0.00 410,795.69 0.00 0.00 0.00 239,202.63 0.00 0.00
Total Net Investment Income
D Market Value Adjustment ■ Net Change in Unrealized Gain/Loss Realized Gain/Loss
Net Change in Unrealized Gain or Loss Ending Market Value as of 31-Jan-XX Ending Book Value as of 31-Jan-XX
210,354,645.95 193,445,854.65
Ending Unrealized G/L as of 31-Jan-XX
16,908,791.30
Less: Beginning Market Value as of 01-Jan-XX Beginning Book Value as of 01-Jan-XX Beginning Unrealized G/L as of 01-Jan-XX
223,365,403.91 192,072,451.07 31,292,952.84
Total Unrealized G/L Change
-14,384,161.54
Unrealized G/L of Security Movement Disbursements Less Receipts Net Change in Unrealized Gain/Loss Based on MV
Net Change in Accrued Income Accrued Net Income 31-Jan-XX
649,998.32
Total Market Value Adjustment
This report provides the change in the beginning and ending market value including investment and non-investment type income, unrealized gain/loss, and accrued income for the specified from/ to date of the report. Detailed information is provided on how unrealized gain/loss and accrued income amounts are derived. This report can be run for domestic/global portfolios and consolidations. Reports run for a consolidation will display aggregrate amounts.
■
293,202.63
Less: Accrued Net Income 01-Jan-XX
0.00
Net Change in Accrued Income
239,202.63
J ■
-13,660,756.28 0.00 -13,010,757.96 -13,010,757.96 210,354,645.95
Northern =ust
B
■I
-14,384,161.54 723,405.26
E Fees and Expenses ■ F Net Investment Change ■ G Total Account Change ■ H Ending Market Value as of 31-Jan-XX ■
A ■
0.00 -14,384,161.54
Denotes the beginning market value for the specified reporting period
Funding and Disbursement Activity information will be broken down and displayed in this section and a total will be provided for the overall category
*Generated by Northern Trust from daily data on 10 Sep XX
C ■
Net Investment Income information will be broken down and displayed in this section and a total will be provided for the overall category
■ D
G ■
Total Account Change sums Net Investment Change and total Net Non-Investment Change
H ■
Ending Market Value for the specified reporting period that includes Net
Market Value Adjustments for the
Non-Investment Change, Net Investment Income, Market Adjustments, and Fees/Expenses
portfolio/consolidation will be broken down and a total will be provided at the end of the section E ■
Fees and Expenses associated with
■I
F ■
Net Investment Change sums total Net Investment Income, Market Adjustments, and Fees/Expenses for
Denotes the Net Change in
Unrealized Gain/Loss Based on Market Value amount
the portfolio/consolidation will be summarized in this line item
■J
Denotes the Net Change in
Accrued Income
the specified reporting period
NORTHERN TRUST
|
PENDING TRAN DETAIL W/ ACCRUED INTEREST Portfolio Statement
AC C O U N T N U M B E R A B C 01
Pending Transaction Detail w/ Accrued Interest 31 M AY X X
◆
Trade date/ Settle date
F ■
A Purchases ■ B UNITED STATES DOLLARS ■ C Equities ■ D Common stock ■ E 05 May XX United States Cash pending ■ 10 May XX Shares not delivered Country
Trade Status
■I
G ■
Security description Asset ID
H ■ Shares/PAR
Total Local Cost Base Cost Base Market
200.00
-577.00 -577.00 -577.00
0.00 0.00 0.00
-577.00 -577.00 -577.00
Cash pending Shares not delivered
GA GULF CORP COM PAR $0.01 CUSIP: 373200XXX
120.00
-3,852.60 -3,852.60 -3,852.60
0.00 0.00 0.00
-3,852.60 -3,852.60 -3,852.60
Cash pending Shares not delivered
GA GULF CORP COM PAR $0.01 CUSIP: 373200XXX
140.00
-4,503.95 -4,503.95 -4,503.95
0.00 0.00 0.00
-4,503.95 -4,503.95 -4,503.95
Cash pending Shares not delivered
RALCORP HLDGS INC NEW COM CUSIP: 751028XXX
370.00
-14,042.68 -14,042.68 -14,042.68
0.00 0.00 0.00
-14,042.68 -14,042.68 -14,042.68
Cash pending Shares not delivered
RALCORP HLDGS INC NEW COM CUSIP: 751028XXX
50.00
-1,887.50 -1,887.50 -1,887.50
0.00 0.00 0.00
-1,887.50 -1,887.50 -1,887.50
-24,863.73 -24,863.73 -24,863.73
0.00 0.00 0.00
-24,863.73 -24,863.73 -24,863.73
-24,863.73 -24,863.73 -24,863.73
0.00 0.00 0.00
-24,863.73 -24,863.73 -24,863.73
Total UNITED STATES DOLLARS
-24,863.73 -24,863.73 -24,863.73
0.00 0.00 0.00
-24,863.73 -24,863.73 -24,863.73
Total purchases
N/A -24,863.73 -24,863.73
N/A 0.00 0.00
N/A -24,863.73 -24,863.73
27 May XX 02 Jun XX
United States
27 May XX 02 Jun XX
United States
27 May XX 02 Jun XX
United States
27 May XX 02 Jun XX
United States
Total equities
Northern =ust
*Generated by Northern Trust from daily data on 31 Oct XX
This report gives detailed information on all purchases and sales that are pending or partially settled as of the report date.
A ■
Type of transaction pending.
B ■
Currency of the pending transaction.
A row for each pending Purchase/Sale transaction is displayed and further broken down by currency, asset category, asset subcategory and the pending transaction.
C ■
Asset category.
D ■
Asset subcategory.
F ■
Trade Date, Settlement Date and Country of Risk.
Local/Base Proceeds and Base Market Value for Domestic Accounts. Local/Base Cost and Base Market Value for Global Accounts.
■J
Accrued Interest displayed in Local/
K ■
Total of Local/Base Proceeds plus Accrued Interest (Domestic).
Trade Status as of report date (Partially settled or Pending).
G ■
Description of security.
H ■
Shares pending or partially settled on as of date.
NORTHERN TRUST
■I
Base amounts. E ■
|
Accrued Interest Base Cost Market
VALENCE TECHNOLOGY INC COM CUSIP: 918914XXX
Total common stock
K ■
J ■
Cost/Market Local Cost Base Cost Base Market
Total of Local/Base Cost plus Accrued Interest (Global).
REALIZED GAIN/LOSS SUMMARY Portfolio Statement
AC C O U N T N U M B E R A B C 01
27 M AY X X — 31 M AY X X
◆
Realized Gain/Loss Summary
A Sales ■ B Equities ■ C ■ Common Stock D United States – USD ■
G ■ F ■
E ■ Transaction Amount
Cost
Market
H ■
■I
Realized gain/loss Translation
Total
59,902.39
-47,071.84
12,830.55
0.00
12,830.55
Total common stock
59,902.39
-47,071.84
12,830.55
0.00
12,830.55
Total equities
59,902.39
-47,071.84
12,830.55
0.00
12,830.55
Fixed income Municipal/provincial bonds United States – USD
4,000,000.00
-4,000,000.00
0.00
0.00
0.00
Total municipal/provincial bonds
4,000,000.00
-4,000,000.00
0.00
0.00
0.00
Total fixed income
4,000,000.00
-4,000,000.00
0.00
0.00
0.00
Total sales
4,059,902.39
-4,047,071.84
12,830.55
0.00
12,830.55
-1,639.20
1,616.62
0.00
-22.58
-22.58
1,616.62
-1,616.62
0.00
0.00
0.00
Total foreign exchange
-22.58
0.00
0.00
-22.58
-22.58
Total foreign exchange
-22.58
0.00
0.00
-22.58
-22.58
Total foreign exchange
-22.58
0.00
0.00
-22.58
-22.58
Total realized gain/loss
4,059,879.81
-4,047,071.84
12,830.55
-22.58
12,807.97
Foreign Exchange Foreign exchange Foreign exchange Euro sales - EUR United States dollar purchases - USD
Northern =ust This report summarizes the gain/loss of settled sales and purchases that occurred during the specified reporting period. This report can be run for global/domestic accounts or consolidation. This report is broken down by sales, purchases, foreign exchange (global only), asset category, asset subcategory and currency.
*Generated by Northern Trust from daily data on 31 Oct XX
A ■
Denotes Sale, Purchase, Foreign Exchange category
B ■
Asset category
C ■
Asset subcategory
D ■
Currency
E ■
Transaction Amount
■F
Cost
G ■
Realized Gain/Loss Market value
H ■
Realized Translation Gain/Loss on foreign exchange transactions due to changes in the exchange rate. (Transaction Amount less the Cost)
■I
Total Realized Gain/Loss (Market less Translation)
NORTHERN TRUST
|
STIF RECONCILIATION Portfolio Statement STIF Reconciliation
AC C O U N T N U M B E R A B C 01
27 M AY X X — 31 M AY X X
◆
Short Term Investment Fund
A ■ Value Date 27-May-XX
MFB NTHN CAL MUN MONEY MKT FD
C ■
B ■ Balance 502,857.03
E ■
D ■
Daily Rate 0.00618845723
Annual Rate 2.25878689
Interest 31.12
28-May-XX
502,857.03
0.00635233827
2.31860347
31.94
29-May-XX
502,857.03
0.00635233299
2.31860154
31.94
30-May-XX
502,857.03
0.00635234775
2.31860693
31.94
31-May-XX
387,638.12
0.00603099499
2.20131317
23.38
Total STIF Payment for the Period: Average Interest Rate for the Period: Average STIF Balance for the Period: Account Total of STIF Payment for the Period:
150.32 2.28318240000 479,813.25 150.32
Invested Cash figures include deposits received on the day reflected above. These deposits are invested on a day out basis, meaning they are not invested in the fund until the following business day. Thus, interest/income is earned on such invested deposits beginning the business day following receipt of the deposit and continues through the date of the withdrawal.
Northern =ust This report details the total invested cash balance in the given account on a daily basis. It also contains the daily interest rate for the invested cash balance, the annual interest rate and the amount of interest accrued for each night invested. The report totals all interest earned to provide the Total STIF Payment for the period. This report should be run on an individual account basis.
*Generated by Northern Trust from daily data on 30 Jun XX
A ■
Value Date
G ■
Interest rate averaged over the period
B ■
Balance – invested cash balance
H ■
Averaged STIF Balance
■I
Denotes the Account Total of STIF
for the value date
■
Daily interest Rate
D ■
Annual interest Rate
E ■
Interest accrued for the value date = daily Balance multiplied by Daily Rate
■F
Total interest earned for the period
C
The report is broken out by daily dates within the chosen report date range.
|
NORTHERN TRUST
Payment for the Period
F ■ G ■ H ■ ■I
TO P 10 E Q U I T Y H O L D I N G S Portfolio Statements Top 10 Equity Holdings
AC C O U N T N U M B E R A B C 01
31 M AY X X
◆
A ■
B ■
C ■
D ■
E ■
Country
Market value
% of Total
CUSIP: 30231G102
United States
2,040,060.00
3.152%
UNITED HEALTH GROUP INC COM
CUSIP: 91324P102
United States
1,931,540.80
2.984%
GEN ELEC CO COM
CUSIP: 369604103
United States
1,915,200.00
2.959%
CITIGROUP INC COM
CUSIP: 172967101
United States
1,136,293.20
1.756%
MICROSOFT CORP COM
CUSIP: 594918104
United States
1,119,978.00
1.730%
JOHNSON & JOHNSON COM
CUSIP: 478160104
United States
1,019,920.00
1.576%
BANK AMER CORP COM COM
CUSIP: 060505104
United States
942,704.64
1.456%
PFIZER INC COM STK $.11 1/9 PAR
CUSIP: 717081103
United States
934,371.00
1.444%
INTEL CORP COM
CUSIP: 458140100
United States
877,918.00
1.356%
CHEVRON CORP COM
CUSIP: 166764100
United States
720,652.00
1.113%
Total top 10 equities
12,638,637.64
19.527%
Total value of equities
64,724,162.77
Security Description
Asset
EXXON MOBIL CORP COM
Northern =ust The report displays the highest 10 equity holdings in the portfolio for the specified report date. It can be run for global or domestic accounts or consolidations. If a consolidation is run then all accounts within the consolidation will be rolled together and the top 10 holdings will be displayed for the entire consolidation.
*Generated by Northern Trust from daily data on 30 Jun XX
A ■
Security Description
B ■
Security identifier number
C ■
Country of incorporation
D ■
Market Value of the holding as of the specified report date
E ■
Percentage the holding represents in the Total portfolio
NORTHERN TRUST
|
NOTES
|
NORTHERN TRUST
If you have any questions regarding Portfolio Statement reporting, please contact your Northern Trust relationship manager.
© 2014 Northern Trust Corporation. Head Office: 50 South La Salle Street, Chicago, Illinois 60603 U.S.A. Incorporated with limited liability in the U.S. Products and services provided by subsidiaries of Northern Trust Corporation may vary in different markets and are offered in accordance with local regulation. This material is directed to professional clients only and is not intended for retail clients. For Asia-Pacific markets, it is directed to institutional investors, expert investors and professional investors only and should not be relied upon by retail investors. For legal and regulatory information about our offices and legal entities, visit northerntrust.com/disclosures. The following information is provided to comply with local disclosure requirements: The Northern Trust Company, London Branch; Northern Trust Global Services Limited; Northern Trust Global Investments Limited. The following information is provided to comply with Article 9(a) of The Central Bank of the UAE’s Board of Directors Resolution No 57/3/1996 Regarding the Regulation for Representative Offices: Northern Trust Global Services Limited, Abu Dhabi Representative Office. Northern Trust Global Services Limited Luxembourg Branch, 2 rue Albert Borschette, L-1246, Luxembourg, Succursale d’une société de droit étranger RCS B129936. Northern Trust Luxembourg Management Company S.A., 2 rue Albert Borschette, L-1246, Luxembourg, Société anonyme RCS B99167. Northern Trust (Guernsey) Limited (2651)/Northern Trust Fiduciary Services (Guernsey) Limited (29806)/Northern Trust International Fund Administration Services (Guernsey) Limited (15532) Registered Office: Trafalgar Court Les Banques, St Peter Port, Guernsey GY1 3DA.
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Q 1954 (3/14)