See files attached to this PDF for spreadsheet and summaries on ROBERT (HUNTER) BIDEN & BURISMA HOLDINGS LIMITED Morgan Stanley CLIEHTSTATEMENT I ferlhel1a:icc!~lllO, Wl4 r RI VAn w; .~u" ~~~~~· ~laM ' "' Pog&6 alB Ul~~- IIOLSbiloNI Sf.N£CA 80Hill, UC Account ~la il .,ll-0114 •.a.~ CIO OEliON AIICYER __ ACTIVllY CASH FLOW ACTTVITY B'f DArt: ,,.,_ Olla a.. lldl!!!J!)e _.,.- -., 9wl!l!! l'ob OI!!Jbl!)!l!b! C/9 "I'S -l~ 'ff,~FU'IDSS!M 8Eii£1!£VERlYH I LU~ 5l1.200.IJOO.OO) M:D. DXC6:!7 ._.,. 4114 Qlj'no T,_ fU_'«JS nw.tSI'fRSIID IXlllnAAUITI~ • l95il0065 (!Sl,IJOO.UO 10 ~16-1)11;-a~$ - -· - '~'Vi=)--,l-;:h'~'o-....,r,.,-:..,=.l"'i"'"'•"'iood=---~w"'ii=o~F"'IJ-=x"'r4::M<Iii"T.•~:r-=h'E.=o----~;:sm.1><:·i;>"llii."- .-,,,,.\l Al liU~I~A~ ·~ 1/t.$ l "" lltl 411& MIG 1...,.. R - W RID FU~OS RU;ENEO 1\5 PWIII-lUJ<'ill 211.42' liZ llUll!SMA lltl.DI!l!» IIISTID All& •nz ChOcil IJ,IM"tllN YDiTERtRAFI & MUIJ<E ClO.COOAXlJ A/22 ./22 FUIIIS Rwhod '11\RfD rtL~DS RECENEO H Z,JDO.QO t c Te ·-- <a9 41l9 ~STAN LEY &YC ~ NJ> 4tl9 . 12!1 '"'"""""'""' (-031~129) MOOCIM'ST.Vjl£YP!iWAT£!WjX ~ 4 30 ~0 h'ET CREDIISI(IlEBitSJ t.11,2:a4,943.88) DEBIT CARD 6 CHEClCING ACTIVITY - CI-IECllS WlUfTEN 'aWUn 4119 ..... P..t ..C/22 TaTAL CHECitS WIUfJEN et.a:ManW 102.6 S<JO,OOO,DO] FOCA Cocalidtr~lial Tn,.tmcnt Requt:.!l[dtl MS·USAO.OD1771S Morgan Stanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PRIVATE W EALTH MANAGEMENT STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 3/31/14) $2,436,115.00 ROSEMONT SENECA BOHAI. LLC Includes Accrued Interest C/0 DEVON ARCHER Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Barney LLC. Member SIPC. Your Private Wealth Advisor Team SCHATZ/MOYEIMARKEY/FINNEG 212-296-6000 Your Branch 522 FIFTH AVENUE NEW YORK. NY 10036 Telephone: 212-296-6000; Alt. Phone: 800-419-2861; Fax: 212-296-6320 #BWNJGWM ROSEMONT SENECA BOHAI , LLC C/0 DEVON ARCHER 152 W 57TH ST 47TH FL NEW YORK NY 10019 GOVERNMENT EXHIBIT 301 16 Cr. 371 (RA} Client Service Center (24 Hours a Day: 7 Days a Week) : 800-668-8168 + 1 201 -830-4 796 (lnt'l Collect) Access Your Account Online: www.morganstanley.com/PWM 876 - 018483 - 380 - 1 - 0 FOIA Confidential Treatment Requested MS-USA0-0017705 Morgan Stanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PR IVATE W EALTH MAN AGE M EN T Page 2 of 8 CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest) This Period This Year (3/1/1 4-3/31/1 4) (1/1 /14-3/31/1 4) TOTAL BEGINNING VALUE Credits 2,446,561 .00 2,446,561 .00 Debits (1 0.450.00) (10.450.00) Securi~ Transfers Net Credits/Debits/Transfers $2,436,111.00 $2,436,111.00 Change in Value 4.00 4.00 TOTAL ENDING VALUE $2,436,115.00 $2,436,115.00 ALLOCATION OF HOLDINGS Mari<et Value Percentage % Cash, BOP, MMFs• $2.436,115.00 1000 TOTAL VALUE $2,436,115.00 100.0% Cash. BOP, MMFs This allocation represents holdings on a trade date basis, and prqjected settled Cash/ BOP and MMF balances. These classifications are not intended to serve as a suitability analysis. • FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for S/PC coverage. See Expanded Disclosures. FOIA Confid ential Treatment Requested MS-USA0-001 7706 Morgan Stanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PR IVATE W EALTH MAN AGE M EN T Page 3 of 8 BALANCE SHEET (A includes accrued interest) CASH FLOW Last Period This Period This Period This Year (as of 2/28114) (as of 3131114) (3/1/14 -3/31/14) (1/1/1 4-3/31/1 4) Cash, BOP, MMFs - $2.436,115.00 OPENING CASH, BOP, MMFs Total Assets $2.436,115.00 Income 4.00 4.00 Total liabilities (outstanding balance) Total Investment Related Activity $4.00 $4.00 TOTAL VALUE $2.436,115.00 Electronic Transfers-Credits 2.446,561 .00 2.446,561 .00 Total Cash Related Activity $2,446,561.00 $2,446,561.00 Debit Card ATM/Cash Advances Checks Written (1 0.000.00) (10,000.00) Automated Payments {450.00) {450.00) Total Card/Check Activity $(10,450.00) $(10,450.00) CLOSING CASH, BOP, MMFs $2,436,115.00 $2,436,115.00 INCOME SUMMARY GAIN/(LOSS) SUMMARY This Period This Year Unrealized (311/14-3/31/14) (1/1/14-3131/14) Realized This Period Realized This Year Inception to Date Qualified Dividends (3/1/14 -3/31/14) (1/1114 -3/31/14) (as or 3/31/14) Other Dividends TOTAL GAINI(LOSS) Long Term Capital Gains Distributions Gaini(Loss) Summary information is provided for informational purposes only and should not be used fer Interest 4.00 4.00 tax preparation. This information may change due to basis aqjustments. Refer to the Gaini(Loss) Information in the Expanded Disclosures for additional information. Other Income Total Taxable Income $4.00 $4.00 Dividends Interest Other Income Total Tax-Exempt Income TOTAL INCOME $4.00 $4.00 Taxable and tax exempt income classifications are based on the characteristics of the underlying securities and not the taxable status of the account. PERSONAL RETIREMENT EDUCATION TRUST BUSINESS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS FOIA Confid ential Treatment Requested MS-USA0-001 7707 Morgan Stanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PRIVATE W EALTH MANAGEMENT Page 4 of 8 Investment Objectivesf: Capital Appreciation, Aggressive Income Brokerage Account t See the Expanded Disclosures for more information about Investment ol?}ect/ves. Please review for accuracy and Inform us ifyour Investment otyect/ves change. HOLDINGS This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value· and "Unrealized Gaini(Loss)" are representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non- US withholding taxes, if any. EAI for certain securities may Include retum of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, fAlls reflected only through maturity date. Actual income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, Identified in the Security Description column, appear in various statement product categories. Accrued Interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest. annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B, after the close of the tax year, your aqjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require that we make basis aqjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on statements for informational purposes and should not be used in the preparation of your Income tax returns. Refer to the Expanded Disclosures for additional information. CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS cash. Bank Deposit Program. and Money Market Funds are generally displayed on a settlement date basis. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully seWed positions. llescriation \falue Estimates! Annual Income 7 ·Pay CUrrent Yield % Aooual l'ercentaae Yield % MORCiAN STANLEY BANK N.A. # $2,191,115.00 $438.00 - 0.020 MORGAN STANLEY PRIVATE BANK NA # 245,000.00 49.00 - 0.020 Estimated Percentage Anooal lrpnne of Assets% Mml Vai!J! Accrued lntt~eSt CASH, BOP, AND MMFs 100.0% $2,436,115.00 $487.00 $0.00 #Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney UC, or (2) Citibank. N.A., each a national bank and FDIC member. Estimated Percentage Unraa!iz.ed Anmal IDC!HDft of Assets% Total Cost Marltet Value Gain/(loss) Accrued Interest Yield% 100.0% $0.00 $2,436,115.00 $487.00 0 .02% TOTAL MARKET VALUE $0.00 TOTAL VALUE (includes accrued interest) $2,436,115.00 Unrealized Gaini(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included. FOIA Confidential Treatment Requested MS-USA0-0017708 Morgan Stanley CLIENT STATEMENT I Forthe Period March 1 -31. 2014 PRIVATE W EALTH MANAGEMENT Page 5 of 8 ACTIVITY CASH FLOW ACTIVITY BY DATE Transaction Settlement Date Date Activity Type Description Comments Quantity Price Credits/(Debits) 3/14 3/14 Account Charge AAA ANNUAL SERVICE FEE $(150.00) 3/14 3/25 Check SEBASTIAN MONTAZI Check# 1001 (10,000.00) 3/20 3/20 Account Charge-Ad! AAA FEE REVERSAL 150.00 3/20 3/20 Cash Transfer FUNDS TRANSFERRED CONFIRMATION# 18025922 450.00 FROM 876·018484 3/20 3/20 Automated Payment AMEX EPayment AUTOMATIC BILL PAYMENT (450.00) 3/20 3/20 Service Fee ACH 000000 OVERLMT FEE {25.00) 3/25 3/25 Cash Transfer FUNDS TRANSFERRED CONFIRMATION# 18120704 2,246,111 .00 FROM 876-018484 3/25 3/25 Cash Transfer FUNDS TRANSFERRED CONFIRMATION # 18112092 200,000.00 FROM 876-018484 3/25 3/25 Service Fee Reversal REV OVERLMT ACH FEE 25.00 3/28 3/28 Interest Income MORGAN STANLEY BANK N.A. 3 .60 {Period 03/26·03/28) 3/28 3/28 Interest Income MORGAN STANLEY PRIVATE BANK NA 0 .40 ~ t ·· itr~t8iliQrtrtl:? 1r )1:)l"))31f ' t:S'l~edpd r~3/2 6'1:i0 3f28} fj(dl.lj ''MH -61lll''" l*£')18lllltll' ' l*lfX®" '! ·e ' "(f:[ ·e t n ·· i*iii<Ut t ·· 8l ·n llTU'" S: }!"WSX?S" '#lDi"iC!'W? ·· 0*1 NET CREDITSI(DEBITS) $2,436,115.00 DEBIT CARD & CHECKING ACTIVITY CHECKS WRITTEN Date Date Written Paid Check Number Activity Type Payee Ellleme Category Credits/(Debits) 3/14 3/25 1001 Check SEBASTIAN MONTAZI ${10.000.00) TOTAL CHECKS WRITTEN $(10,000.00) AUTOMATED PAYMENTS Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing. Date of Date Payment Paid Activity Type Payee Credits/(Debits) 3/20 3/20 Automated Payment AMEX EPayment $(450.00) TOTAL AUTOMATED PAYMENTS $(450.00) FOIA Confidential Treatment Requested MS-USA0-0017709 Morgan Stanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PRIVATE WEALTH MANAGEMENT Page 6 of 8 MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY Date Activity Type Description Creditsi(Debits) 3/26 Automatic Investment BANK DEPOSIT PROGRAM $2,436,111.00 3/28 Automatic Investment BANK DEPOSIT PROGRAM 3.60 3/28 Automatic Investment BANK DEPOSIT PROGRAM 0 .40 NET ACTIVITY FOR PERIOD $2,436,115.00 MESSAGES Consolidated Statement of Financial Condition (In Millions of Dollars) At December 31, 2013 Morgan Stanley Smith Barney LLC had net capital of $3,483 which exceeded the Securities and Exchange Commission's minimum requirement by $3,302. A copy of the Morgan Stanley Smith Barney LLC Consolidated Statement of Financial Condition at December 31, 2013 can be viewed online at: http://www.morganstanley.com/aboutlir/shareholder/morganstanley_smithbamey_llc.pdf or may be mailed to you at no cost by calling 1 (866) 825 -1675. after March 15. 2014. Make Your Annual IRA Contribution The deadline to make your 2013 IRA contribution is April15, 2014, so there is still time to contribute to a Traditional or Roth IRA, if eligible. The maximum contribution is $5,500 for 2013, or $6,500 if you are age 50 or older. Your Financial Advisor can help you open a new IRA or fund an existing one. You can even move funds from an existing Morgan Stanley non-retirement account if you have one. Speak with your Financial Advisor or Private Wealth Advisor about making an IRA contribution for 2014 at the same time and take advantage of a year of additional potential growth. FOIA Confidential Treatment Requested MS-USA0-001771 0 MorganStanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PRIVAT E W EALT H MANAGEMENT Page 7 of 8 Expanded Disclosures. which apply to all statements Morgan Stanley IRA contributions are subject to IRS eligibility rules and regulations. calendar year should be exclusively relied upon for the purpose of filing Smith Barney LLC (welus) sends to you. are provided with your first The 'Max. Individual Contributions Allowed (by SSN)' reflects the your tax return for the year. Under U.S. Internal Revenue Service statement and thereafter twice a year. annual limit on contributions that you can make to IRAs (Traditional, regulations, if you have not provided us with a certification of either Questions? Roth. SEP. and SARSEP). The limit applies on a per person basis. not U.S. or foreign status on an appropriate Form W-9 or W-8, your Questions regarding your account may be directed to either your per account The Contributions information included in this statement accounts may be subject to either 28% back-up withholding or 30% Financial Advisor or the Branch Manager for the branch office where pertains to a particular account, without reference to any other IRA. nonresident alien withholding, as applicable, on payments made to you maintain your account. If you require further assistance, call the You cannot make an individual contribution to a Traditional IRA for the your accounts. Client Service Center at (BOO) 869·3326 or for account-related year In which you reach age 70 112 or later. Other special rules may Investment Objectives concerns contact our Client Advocate at (866) 227-2256 or via U.S. apply; e.g.• in conversions or recharacterizations of Traditional to Roth. The following is an explanation of the investment objective alternatives mail at P.O. Box 95002, South Jordan, Utah 84095. Roth to Traditionai i RAs. Check with your tax advisor to verify how applicable to your account(s): Income - for investors seeking regular Errors and Inquiries much you can contribute, whether or not the contribution will be tax income with low to moderate risk to principal; Capital Appreciation - for it is your responsibility to review your statement promptly and to seek deductible, and whether other special rules may apply. The investors seeking capital appreciation with moderate to high risk to immediate clarification about entries that you do not understand or categorization of any deductibility is based upon Information provided principal; Aggressive Income - for Investors seeking higher returns either believe were made in error by contacting the Branch Manager of the by you and is included for your convenience. Contact your Financial as growth or as income with greater risk to principal; Speculation - for office where you maintain your account. Oral communications Advisor if this information is incorrect. The account value used for your investors seeking high profits or quick returns with considerable regarding any inaccuracy or discrepancy in this statement should be Required Minimum Distribution calculation is based on your account's possibility of losing most or all of their investment. re-confirmed in writing to further protect your rights, including rights prior December 31st Account Value. including accrued interest. This Listed Options under the Securities Investor Protection Act (SIPA). Your statement will information is not intended to constitute tax. legal or accounting advice. Information with respect to commissions and other charges related to be deemed correct unless we receive a written Inquiry of a suspected Availability of Free Credit Balances and Financial Statements the execution of options transactions has been included in error. See your account documentation for special rules regarding your Under the customer protection rules of the SEC [1 7 CFR §240.1 5c3·2 confirmations of such transactions previously furnished to you and such rights and responsibilities with respect to erroneous electronic fund & -3]. we may use funds comprising free credit balances carried for information will be made available to you promptly at your request. transfers. including a description of the transfers covered. customer accounts here. provided that these funds are payable to Promptly advise us of any material change in your investment Account Valuation customers on demand (i.e., are free of a lien or right of set-off in our objectives or financial situation. Account values are computed by adding (1) the market value of all favor or on behalf of some third party to whom you have given control). Important Information if you are a Margin Customer(not available for priced positions and (2) market values provided by pricing services A financial statement of this organization is available for your personal certain accounts such as I RAs or retirement accounts) andlor outside custodians, as applicable for other positions. and by inspection at its offices. or a copy will be mailed to you upon your If you have margin privileges. you may borrow money from us in adding any credit or subtracting any debit to your closing Cash. Money written request. exchange for pledging assets In your accounts as collateral. The amount Market Funds andlor Deposit balance. Cash, Deposits and Money Gain/(loss) Information you may borrow is based on the value of eligible securities in your Market Funds are displayed on a settlement date basis, and other Gaini(Loss) is provided for informational purposes . It is not a substitute margin accounts. If a security has eligible shares the number of shares positions are displayed in your account on a trade date basis. The for Internal Revenue Service (IRS) Form 1099 (on which we report rost pledged as collateral is indicated below the position. If you have a values of fixed income positions in summary displays include accrued basis for covered securities) or any other IRS tax form. It is not margin account, as permitted by law, we may use certain securities In interest in the totals. In the "Holdings• section. fixed Income market Intended to be, nor should be used for tax preparation. Unrealized your account for. among other things. settling short sales or lending the value and accrued interest are also d isplayed in separate columns. Gaini(Loss) provided on this statement are estimates. Contact your own securities for short sales. for which we may receive compensation. Accrued interest is the Interest earned but not yet paid on the bond independent legal or tax advisor to determine the appropriate use of the Margin Interest Charges since its last interest payment. In most cases. it is calculated from the Gaini(Loss) information on this statement. For more information, go to We calculate interest charges on margin loans as follows:(1) multiply date of the last coupon payment (or · dated date") through the www.morganstanley.comlweaith/disclosuresldisclosures.asp .or call the applicable margin interest rate by the daily close of business net closing date of the statement. Global Currency Deposits are renected in Client Service Center. settled debit balance, and (2) divide by 360 (days). Margin interest U.S. dollars as of the statement end date. The Annual Percentage Yield Tax Reporting accrues daily throughout the month and is added to your debit balance (APY) for deposits represents the applicable rate in effect for your Under Federal income Tax law, we are required to report the gross at month-end. The month-end interest charge is the sum of the daily deposits at the statement ending date. This APY may be different than proceeds of sales transactions (including entering into short sales) to accrued interest calculations for the month. We add the accrued the APY that was in effect during the statement period. For current you on Form 1099-B by February 15 of the year following the calendar interest to your debit balance and start a new calculation each time the Bank Deposit or Money Market Fund yields, go to year of the transaction for reportable (i.e. non-retirement) accounts. For applicable interest rate changes and at the close of every statement www.morganstanleyindividual.com!AccountOptions!ActiveAssetsllnvest the sale of certain securities acquired on or after January 1 201 1. we month. For current margin loan interest rates. go to mentFeatures are required to report additional transaction information on Form www.morganstanley.comloniineiMIRates Additional IRA Information 1099-B. The Information reported on your Form 1099-B for the Information regarding Special Memorandum Account CONTINUED FO IA Confidential Treatment Requested MS-USA0-0017711 Morgan Stanley CLIENT STATEMENT I Forthe Period March 1-31. 2014 PRIVATE W EALTH MANAGEMENT Page 8 of 8 If you have a margin account, this is a combined statement of your prices of transactions ex.ecuted in any secondary marl<.et that exists or explanatory SIPC brochure, contact SIPC at 1-202-371 -8300 or visit margin account and special memorandum account maintained for you may develop: and/or the prices at which issuer repurchases or www.sipc.org. under Section 220.6 of Regulation T issued by the Federal Reserve redemptions may occur. Certain Assets Not Held At Morgan Stanley Smith Bamey LLC Board. The permanent record of the special memorandum account as Special Considerations Regarding Structured Investments You may purchase certain assets through us that may be held at required by Reg T is available for your inspection at your request. Structured Investments are complex products and may be subject to another financial institution. Assets not held with us may not be Money Market Pricing special risks, which may Include, but are not limited to: loss of initial covered by SIPC protection. We may Include information about certain An investment in a MMF is neither insured nor guaranteed by the investment: issuer credit risk and price volatility resulting from any of these assets on this statement solely as a service to you and are not Federal Deposit Insurance Corporation (FDIC) or any other government actual or anticipated changes to issuer's andfor guarantor's credit responsible for any information provided by external sources. Generally. agency. Although MMFs seek to preserve the value of your investment ratings or credit spreads; limited or no appreciation and limits on any financial institution that holds securities is responsible for year-end at $1 .00 per share, there can be no assurance that will occur and it is participation in any appreciation of underlying asset(s); risks associated reporting (1099s) and separate periodic statements, which may vary possible to lose money should the fund value per share fall. In some with the underlying reference asset(s); no periodic payments: call prior from our information due to different tax reporting periods. In the case circumstances MMFs may cease operations when the value of a fund to maturity: early redemption fees for market linked deposits; lower of networked mutual funds. we perform all year-end tax reporting . drops below $1.00 per share. In that event. the fund's holdings would Interest rates and/or yield compared to conventional debt with Under certain circumstances, such as IRA accounts. we perform all tax be liquidated and distributed to the fund's shareholders. This process comparable maturity: unique tax Implications; limited or no secondary reporting. could take up to one month or more. During that time, these funds market; and conflicts of interest due to affiliation. compensation or Total Income would not be available to you to support purchases. withdrawals, and if other factors which could adversely affect market value or payout to Total income. as used in the income summaries. represents dividends applicable, check writing or ATM debits from your account. investors. Investors also should consider the concentration risk of andfor interest on securities we receive on your behalf and credit to Notice Regarding Investment Advisor Research owning the related security and their total exposure to any underlying your account(s) during the calendar year. We report dividend Morgan Stanley's Consulting Group Investment Advisor Research asset. Structured Investments may not perform in a manner consistent distributions and taxable bond Interest credited to your account to the conducts research on various mutual funds and exchange-traded funds with the statement product category where they appear and therefore Internal Revenue Service. The totals we report may differ from those for clients holding those funds in certain investment advisory programs. may not satisfy portfolio asset allocation needs for that category. indicated as "This Year" figures on the last statement for the calendar If you have invested in any of these funds in another type of account. Accrued interest. estimated annual income and estimated yield for year. In the case of Real Estate Investment Trusts (REITs). Master such as a brokerage account, you will not receive the same research Structured Investments with a contingent income feature. including Limited Partnerships. Regulated Investment Companies and Unit materials and status updates on the funds as we provide to investment Range Accrual Notes and Contingent Income Notes, assume optimal Investment Trusts, some sponsors may reclassify the distribution to a advisory clients (including instructions on selling fund shares). performance of the underlying asset(s) and payment in full of all different tax type for year-end reporting. Pricing of Securities contingent interest. However, contingent Interest is only paid If the Transaction Dates and Transaction Conditions The prices of securities are derived from various sources. and do not specified accrual conditions are met during the relevant observation Transactions display trade date and settlement date. Transactions are necessarily represent the prices at which those securities could have period. Actual accrued interest. annual income and yield will be included on this statement on trade date basis (excluding BOP and been bought or sold. Although we attempt to use reliable sources of dependent upon the performance of the underlying asset(s) and may be MMFs). Trades that have not settled as of statement month end will information. we can offer no assurance as to their accuracy. Prices of significantly lower than the estimates shown. For more information also be displayed in the · unsettled PurchasefSales Activity" section. securities not actively traded may not be available, and are indicated about the risks specific to your Structured Investments, you should Upon written request. we will give you the date and time of a by NIA (not available). For additional information on how we price contact your Financial Advisor. transaction and the name of the other party to a transaction. We and/or securities. go to Security Measures our affiliates may accept benefits that constitute payment for order www.morganstanley.comfwealthfdisclosuresfdlsclosures.asp This statement features several embedded security elements to flow. Details regarding these benefits and the source and amount of Important Information About Auction Rate Securities safeguard its authenticity. One is a unique security marl<.--a blue any other remuneration received or to be received by us in connection For certain Auction Rate Securities there is no or limited liquidity. rectangle printed in heat-sensitive ink on the back side of every page. with any transaction will be furnished upon written request. Therefore, the price(s) for any Auction Rate Securities shown may not When exposed to warmth, the blue rectangle will disappear, and then U.S. Treasury Circular 230 Disclosure reflect the price(s) you would receive upon a sale at auction or in a reappear. We do not render advice on tax and tax accounting matters to clients. secondary market transaction, and is not an Indication of any offer to SIPC Protection The information provided herein was not intended or written to be purchase at such price. There can be no assurance that a successful We are a member of Securities Investor Protection Corporation (SIPC). used, and it cannot be used, by any taxpayer, for the purpose of auction will occur or that a secondary marl<.et exists or will develop for which protects securities of its customers up to $500,000 (including avoiding penalties that may be imposed on the taxpayer under US a particu lar security. The prices of any Auction Rate Securities in most $250,000 for claims for cash) . An explanatory brochure is available federal tax laws. cases reflect par value, but may be derived from various sources. These upon request or at www.sipc.org. Losses due to marl<.et fluctuation are prices may differ from: prices provided to us or our affiliates by outside not protected by SIPC and assets not held with us may not be covered Revised 1212013 pricing services; our affiliates' own internal bookkeeping valuations: by SIPC protection. To obtain information about SIPC. including an FOIA Confidential Treatment Requested MS-USA0-0017712 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PRIVATE W EALTH MANAGEMENT STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 4/30114) $1,151,171.14 ROSEMONT SENECA BOHAI. LLC Includes Accrued Interest C/0 DEVON ARCHER Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Barney LLC. Member SIPC. Your Private Wealth Advisor Team SCHATZ/MOYEIMARKEY/FINNEG 212-296-6000 Your Branch 522 FIFTH AVENUE NEW YORK, NY 10036 Telephone: 212-296-6000; Alt. Phone: 800-419-2861; Fax: 212-296-6320 #BWNJGWM ROSEMONT SENECA BOHAI , LLC C/0 DEVON ARCHER 152 W 57TH ST 47TH FL NEW YORK NY 10019-3480 Client Service Center (24 Hours a Day: 7 Days a Week) : 800-668-8168 + 1 801 -617 -9179 (lnt'l Collect) Access Your Account Online: www.morganstanley.com/PWM 876 - 018483 - 380 - 1 - 0 FOIA Confidential Treatment Requested MS-USA0-0017713 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PRIVATE W EALTH MANAGEMENT Page 2 of 8 CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest) CHANGE IN VALUE OVER TIME This Period This Year The display of marl\et value (total account value) and net invested capital (total amount invested minus (41111 4-413011 4) (1/1 114-4130114) total withdrawn). derponstrates the Impact of deposits and withdrawals. TOTAL BEGINNING VALUE $2,436,115.00 2.50 Credits 255,058.15 2,701,619.15 j 2.00 Debits (1.540,031 .09) (1 . 550.481 .09) ~ Securi~ Transfers e 1.50 Net Credits/Debits/Transfers $(1 ,284,972.94) $1,151,138.06 1.00 Change in Value 29.08 33.08 MAR2014 APR2014 TOTAL ENDING VALUE $1,151,171.14 $1,151,171.14 - - Total Market Value - - - Net Invested Capital Since 02/28114 This graph does not reflect corrections to Net Invested Cspital or Market Value made subsequent to the dates depleted. It may also exclude transactions in Annuities or where we are net the custodian. which could delay the reporting of Market Value or affect the Net Invested Capital. ALLOCATION OF HOLDINGS Market Value Percentage % Cash. BOP, MMfs• $1 ,151 ,171 .14 100.0 TOTAL VALUE $1,151,171.14 100.0% Cash, BOP, MMFs This allocation represents holdings on a trade date basis. and prryected settled Cash/ BOP and MMF balances. These classifications are not intended to serve as a suitability analysis. • FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. FOIA Confidential Treatment Requested MS-USA0-0017714 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PR IVATE W EALTH MAN AGE M EN T Page 3 of 8 BALANCE SHEET (A includes accrued interest) CASH FLOW Last Period This Period This Period This Year (as of 3/31/14) (as of 4/30/14) (4/1/14-4/30/14) (1/1/1 4-4/30/1 4) Cash, BOP, MMFs $2.436,115.00 $1.151,171.14 OPENING CASH, BOP, MMFs $2,436,115.00 Total Assets $2,436,115.00 $1 ,151 ,171 .14 Income 29.08 33.08 Total liabilities (outstanding balance) Total Investment Related Activity $29.08 $33.08 TOTAL VALUE $2,436,115.00 $1,151 ,171 .14 Electronic Transfers-Credits 255,058.15 2.701.619.15 Electronic Transfers-Debits (1.492,300.00) (1 ,492.300.00) Total Cash Related Activity $(1,237,241 .85) $1 ,209,319.15 Debit Card ATM/Cash Advances Checks Written (30,000.00) {40,000.00) Automated Payments (17.731 .09) (18,181 .09) Total Card/Check Activity $(47,731.09) $(58, 181.09) CLOSING CASH, BOP, MMFs $1,151 ,171 .14 $1 ,151,171 .14 PERSONAL RETIREMENT EDUCATION TRUST BUSINESS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS FOIA Confid ential Treatment Requested MS-USA0-00177 15 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PRIVATE W EALTH MANAGEMENT Page 4 of 8 INCOME SUMMARY GAIN/(LOSS) SUMMARY This Period This Year Unrealized (411114·4130114) (1 11114-413011 4) Realized This Period Realized This Year Inception to Date Qualified Dividends (41111 4-4130114) (11111 4-413011 4) (as of 4130114) Other Dividends TOTAL GAINI(LOSS) Long Term Capital Gains Distributions Gaini(Loss) Summary information is provided for informational purposes only and should not be used fer Interest 29.08 33.08 tax preparation. This information may change due to basis aqjustments. Refer to the Gaini(Loss) Information in the Expanded Disclosures for additional informacion. Other Income Total Taxable Income $29.08 $33.08 Dividends Interest Other Income Tota.l Tax-Exempt Income TOTAL INCOME $29.08 $33.08 Taxable and tax exempt income classifications are based on the characteristics of the underlying securities and not the taxable status of the account. FOIA Confidential Treatment Requested MS-USA0-0017716 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PRIVATE W EALTH MANAGEMENT Page 5 of 8 Investment Objectivesf: Capital Appreciation, Aggressive Income Brokerage Account t See the Expanded Disclosures for more information about Investment ol?}ect/ves. Please review for accuracy and Inform us ifyour Investment ol?}ect/ves change. HOLDINGS This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value· and "Unrealized Gaini(Loss)" are representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for cenain securities may Include retum of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, fAlls reflected only through maturity date. Actual income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, Identified in the Security Description column, appear in various statement product categories. Accrued Interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities. the accrued interest. annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B, after the close of the tax year. your aqjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require that we make basis aqjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on statements for informational purposes and should not be used in the preparation of your Income tax returns. Refer to the Expanded Disclosures for additional information. CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS Cash, Bank Deposit Program. and Money Market Funds are generally displayed on a settlement date basis. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions. llescriation \falue Estimates! Annual Income 7 ·Pay CUrrent Yield % Aooual l'ercentaae Yield % MORCiAN STANLEY BANK N.A. # $906,171 .14 $181 .00 - 0 .020 MORGAN STANLEY PRIVATE BANK NA # 245,000.00 49.00 - 0.020 Estimated Percentage Anooal lrpnne of Assets% MjWW.Jl,al\1!! Accrued lnteteSt CASH, BOP. AND MMFs 100.0% $1,151,111 .14 $230.00 $0.00 # Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney UC, or (2) Citibank. N.A., each a national bank and FDIC member. Estimated Percentage Unraa!iz.ed Anmal IDC!HDft of Assets% Total Cost Marltet Value Gain/(loss) Accrued Interest Yield% 100.0% $0.00 $1,151,171.14 $230.00 0 .02% TOTAL MARKET VALUE $0.00 TOTAL VALUE (includes accrued interest) $1,151,171.14 Unrealized Gaini(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included. FOIA Confidential Treatment Requested MS-USA0-0017717 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PRIVATE W EALTH MANAGEMENT Page 6 of 8 ACTIVITY CASH FLOW ACTIVITY BY DATE Transaction Settlement Date Date Activity Type Description Comments Quantity Price Credits/(Debits) 4/9 4/9 Funds Transferred WIRED FUNDS SENT BENE: BEVERLY HILLS ESCROW TRU $(1.200,000.00) ACCT: XXXX3627 4/14 4/14 Online Transfer FUNDS TRANSFERRED CONFIRMATION# 18689065 (150,000.00) TO 876-018475 4/15 4/15 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83,333.33 BURISMA HOLDINGS LIMITED 4/15 4/15 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 29,424.82 BURISMA HOLDINGS LIMITED 4/19 4/22 Check HAMPTON WATERCRAFT & MARINE Check# 1026 (30,000.00) 4/22 4/22 Funds Received WIRED FUNDS RECEIVED ABLV BANK AS RIGA LATVIA 142,300.00 NOVATUS HOLDING PTE. LTD. 4/23 4/23 Automated Payment AMEX EPayment ACH PMT AUTOMATIC BILL PAYMENT (17. 731 .09) 4/2 3 4/23 Funds Transferred WIRED FUNDS SENT BENE: SCHNEIDER NELSON MOTOR C (142,300.00) ACCT: ~6760 4/29 4/29 Interest Income MORGAN STANLEY BANK N.A. 24.78 (Period 03/29-04/29) 4/29 4/29 Interest Income MORGAN STANLEY PRIVATE BANK NA 4.30 'Period 03/29-04/29} NET CREDITSI(DEBITS) $(1,284,943.86) DEBIT CARD & CHECKING ACTIVITY CHECKS WRITTEN Date Date Written Paid Check Number Activity Type Payee Expense CateaorY Creditsi(Debits) 4/19 4/22 1026 Check HAMPTON WATERCRAFT & MARINE $(30,000.00) TOTAL CHECKS WRITTEN $(30,000.00) FOIA Confidential Treatment Requested MS-USA0-0017718 Morgan Stanley CLIENT STATEMENT I For the Period April1 -30, 2014 PRIVATE W EALTH MANAGEMENT Page 7 of 8 DEBIT CARD & CHECKING ACTIVITY AUTOMATED PAYMENTS Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing. Date or Date Payment Paid Activity Type Payee Credits/(Debits) 4/23 4/23 Automated Payment AMEX EPayment ACH PMT $(17,731 .09} TOTAL AUTOMATED PAYMENTS $(17,731 .09) MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY Date Activity Type Descri~tion Credits/(Debits) 4/10 Automatic Redemption BANK DEPOSIT PROGRAM $(1.200,000.00) 4115 Automatic Redemption BANK DEPOSIT PROGRAM (1 50,000.00) 4/16 Automatic Investment BANK DEPOSIT PROGRAM 112.758.15 4/22 Automatic Redemption BANK DEPOSIT PROGRAM (30,000.00) 4/23 Automatic Investment BANK DEPOSIT PROGRAM 124,568.91 4/24 Automatic Redemption BANK DEPOSIT PROGRAM (142,300.00) 4129 Automatic Investment BANK DEPOSIT PROGRAM 24.78 4/29 Automatic Investment BANK DEPOSIT PROGRAM 4.30 NET ACTIVITY FOR PERIOD $(1,284,943.86) COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO: LOUIS PLUNG AND COMPANY. LLP FOIA Confidential Treatment Requested MS-USA0-0017719 Morgan Stanley CLIENT STATEMENT I For the Period April1-30, 2014 PRIVATE WEALTH MANAGEMENT Page 8 of 8 The following Disclosures are applicable to the enclosed statement(s). exchange for pledging assets in your accounts as collateral for any securities of its customers up to $500.000 (including $250,000 for Expanded Disclosures are attached to your most recent June and outstanding margin loan. The amount you may borrow is based on the claims for cash). An explanatory brochure is available upon nequest or December statement (or your first Statement if you have not received a value of the eligible securities in your margin accounts. If a security has at www.sipc.org. Losses due to market fluctuation are not protected by statement for those months). The Expanded Disclosures are also eligible shares, the number of shares pledged as collateral will be SIPC and assets not held at Morgan Stanley Smith Barney LLC may not available by selecting Account Documents when you log on to indicated below the position. be covered by SIPC protection. To obtain information about SIPC, www.morganstanley.com/online or, call 800-869-3326. Margin Interest Charges including the SIPC Brochure, contact SIPC at 1-202-371-8300 or visit Questions? We calculate interest charges on margin loans as follows: (1) Multiply www.sipc.org. Questions regarding your account may be directed to your Financial the applicable margin interest rate by the daily close of business net Transaction Dates and Transactio.n Conditions Advisor or the Branch Manager for the branch office where you settled debit balance, and {2) Divide by 360 {days). Margin interest Upon written request, we will fumish the date and time of a transaction maintain your account. If you requine further assistance, call Client accrues daily throughout the month and is added to your debit balance and the name of the other party to a transaction. We and/or our Service at (800) 869-3326 or for account-related concerns call our at month-end. The month-end interest charge is the sum of the daily affiliates may accept benefits that constitute payment for order flow. Client Advocate at (866) 227-2256. accrued interest calculations for the month. We add the accrued Details regarding these benefits and the source and amount of any Errors and Inquiries interest to your debit balance and start a new calculation each time the other remuneration received or to be received by us in connection with It is your responsibil ity to neview your statement promptly and to seek applicable intenest rate changes and at the close of every statement any transaction will be furnished upon written request. immediate clarification about entries that you do not understand or month. For current margin loan interest rates, go to Equity Research Ratings Definitions and Consulting Group Investment believe were made in error by contacting the Branch Manager of the www.morganstanley.com/onlineJMIRates Advisory Statuses office where you maintain your account. Oral communications Information regarding Special Memorandum Account Some equity securities may have research ratings from Morgan Stanley regarding any inaccuracy or discrepancy in this statement should be If you have a Margin Account. this Is a combined statement of your & Co. LLC or Standard & Poor's. Research ratings ane the research re-confirmed in writing to further protect your rights, including rights Margin Account and Special Memorandum Account maintained for you providers' opinions and not representations or guarantees of under the Securities Investor Protection Act (SIPA). Except as provided under Section 220.6 of Regulation T issued by the Board of Governors performance. For more information about each research providers' in your account documentation. your statement will be deemed correct of the Federal Reserve System. The permanent record of the Special rating systems. see the expanded disclosures on your quarter-end unless we receive your written inquiry of a suspected error within 10 Memorandum Account as required by Regulation T is available for your statemerrt, go to www.morganstanley.com/online or refer to the calendar days from the day you received your statement See your inspection at your request. research provider's research report . Research reports contain more account documentation for special rules regarding your rights and Structured Products complete information concerning the analyst's views and you should responsibilities with respect to erroneous electronic fund transfers, Structured Products are complex products and may be subject to read the entire research report and not infer its contents from the rating Including a description of the transfers covered. special risks. Investors should consider the concentration risk of alone. If your account contains an advisory component or is an advisory Availability of Free Credit Ba.lances and Financial Statements owning the related security and their total exposure to any underlying account CG IAR statuses apply. Under the customer protection rules of the SEC [17 CFR §240.15c3-2 asset. Structured Products may not perform in a manner consistent Credit Ratings from Moody's Investors Service and Standard & Poor's & -3], we may use funds comprising free credit balances carried for with the statement product category where they appear and therefore The cnedit rating from Moody's Investors Service and Standard & Poor's customer accounts here, provided that these funds are payable to may not satisfy portfolio asset allocation needs for that category. may be shown for certain securities. All credit ratings represent the customers on demand (i.e.• are free or a lien or right of set-off in our Important Information About Auction Rate Securities opinions of the provider and are not representations or guarantees of favor or on behalf of some third party to whom you have given control). Due to market conditions, certain Auction Rate Securities are performance. Your Financial Advisor will be pleased to provide you with A financial statement of this organization is available for your personal experiencing no or limited liquidity. Therefore. the price(s) for any further Information or assistance in interpreting these cnedit ratings. inspection at its offices, or a copy will be mailed to you upon your Auction Rate Securities shown on this statement may not reflect the written request. price(s) you would receive upon a sale at auction or in a secondary Revised 3/2014 listed Options market transaction. and are not an indication or any offer to purchase Information with respect to commissions and other charges nelated to at such price. the execution of options transactions has been included in Security Measures confirmations of such transactions previously furnished to you and such This statement features several embedded security elements to information will be made available to you promptly at your request. safeguard its authenticity. One is a unique security mark--a blue Promptly advise us of any material change in your investment rectangle printed in heat-sensitive ink on the back side of every page. objectives or financial situation. When exposed to warmth, the blue rectangle will disappear, and then Margin Privileges(not available for certain accounts such as IRAs or reappear. retirement accounts) SIPC Protection If you have margin privileges, you may borrow money from us in Morgan Stanley Smith Barney LLC is a member or SIPC. which protects FOIA Confidential Treatment Requested MS-USA0-0017720 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31 , 2014 PRIVATE W EALTH MANAGEMENT STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 5/31114) $906,653.57 ROSEMONT SENECA BOHAI. LLC Includes Accrued Interest C/0 DEVON ARCHER Your Private Wealth Advisor Team SCHATZ/MOYEIMARKEY/FINNEG Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Bamey LLC. 212-296-6000 Member SIPC. Your Branch 522 FIFTH AVENUE NEW YORK, NY 10036 Telephone: 212-296-6000; Alt. Phone: 800-419·2861; Fax: 212-296-6320 # BWNJGWM ROSEMONT SENECA BOHAI , LLC C/0 DEVON ARCHER 152 W 57TH ST 47TH FL NEW YORK NY 10019-3480 Client Service Center (24 Hours a Day: 7 Days a Week) : 800-668-8168 + 1 801 -617-9179 (lnt'l Collect) Access Your Account Online: www.morganstanley.com/PWM 876 - 018483 - 380 . 1 - 0 FOIA Confidential Treatment Requested MS-USA0-0017721 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 2 of 8 CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest) CHANGE IN VALUE OVER TIME This Period This Year The display of marl\et value (total account value) and net invested capital (total amount invested minus (51111 4-513111 4) (1/1 114-513111 4) total withdrawn), derponstrates the Impact of deposits and withdrawals. TOTAL BEGINNING VALUE $1,151,171.14 2.50 Credits 166,666.66 2,868,285.81 Debits (411.201 .26) (1 ,961 ,682.35) I:i 1.70 Securi~ Transfers e Net Credits/Debits/Transfers $(244,534.60) $906,603.46 0.90 Change in Value 17.03 50.11 MAR2014 APR 2014 MAY2014 TOTAL ENDING VALUE $906,653.57 $906,653.57 - - Total Market Value - - - Net Invested Capital Since 02/28114 This graph does not reflect corrections to Net Invested Cspital or Market Value made subsequent to the dates depleted. It may also exclude transactions in Annuities or where we are net the custodian, which could delay the reporting of Market Value or affect the Net Invested Capital. ALLOCATION OF HOLDINGS Market Value Percentage % Cash, BOP, MMfs• $906,653.57 100.0 TOTAL VALUE $906,653.57 100.0% Cash, BOP, MMFs This allocation represents holdings on a trade date basis, and prryected settled Cash/ BOP and MMF balances. These classifications are not intended to serve as a suitability analysis. • FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. FOIA Confidential Treatment Requested MS-USA0-0017722 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 3 of 8 BALANCE SHEET (A includes accrued interest) CASH FLOW Last Period This Period This Period This Year (as of 4/30/14) (as of 5131114) (5/1/14-5/31/14) (1/1/14·5/31/14) Cash, BOP, MMFs $1,151,171.14 $906,653.57 OPENING CASH, BOP, MMFs $1,151 ,171.14 Total Assets $1,151,171.14 $906,653.57 Income 17 .03 50.11 Total liabilities (outstanding balance) Total Investment Related Activity $17.03 $50.11 TOTAL VALUE $1,151,171.14 $906,653.57 Electronic Transfers-Credits 166,666.66 2,868,285.81 Electronic Transfers-Debits (399,040.00) (1,891,340.00) Total Cash Related Activity $(232,373.34) $976,945.81 Checks Written - (40,000.00) Automated Payments (12. 161 .26) (30,342.35) Total Ca.rd/Check Activity $(12,161 .26) $(70,342.35) CLOSING CASH, BOP, MMFs $906,653.57 $906,653.57 INCOME SUMMARY GAIN/(LOSS) SUMMARY This Period This Year Unrealized (511/14-5/31/14) (111/14-5/31/14) Realized This Period Realized This Year Inception to Date Interest $17.03 $50.11 (5/1/14-5/31/14) (1/1114-5/31/14) (as or 5/31/14) Total Taxable Income $17.03 $50.11 TOTAL GAINI(LOSS) Total Tax-Exempt Income Gaini(Loss) Summary Information Is provided for informational purposes only and should not be used for tax preparation. This information may change due to basis aqjustments. TOTAL INCOME $17.03 $50.11 Refer to the Gaini(Loss) Information in the Expanded Disclosures for additional information. Taxable and tax exempt income classifications are based on the characteristics of the underlying securities and not the taxable status of the account. PERSONAL RETIREMENT EDUCATION TRUST BUSINESS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS FOIA Confidential Treatment Requested MS-USA0-0017723 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 4 of 8 Investment Objectivesf: Capital Appreciation, Aggressive Income Brokerage Account t See the Expanded Disclosures for more information about Investment ol?}ect/ves. Please review for accuracy and Inform us ifyour Investment ol?}ect/ves change. HOLDINGS This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value· and "Unrealized Gaini(Loss)" are representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may Include retum of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, fAlls reflected only through maturity date. Actual income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, Identified in the Security Description column, appear in various statement product categories. Accrued Interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest. annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B, after the close of the tax year. your aqjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require that we make basis aqjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on statements for informational purposes and should not be used in the preparation of your Income tax returns. Refer to the Expanded Disclosures for additional information. CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS cash. Bank Deposit Program. and Money Market Funds are generally displayed on a settlement date basis. You have the right to Instruct us tD liquidate your bank deposit balance(s) or shares of any money market fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions. Qescriptjon Yalue Estimated Annual Income 7-DAY Current Yield% Annual Percentate Yield% MORGAN STA.NLEY BANK N.A. # $661,653.57 $66.00 - 0.010 MORGAN STANLEY PRIVATE BANK NA # 245,000.00 25.00 - 0.010 Estimated Percentage Anmtal trx;ome of Assets% Ar:ctllfNJ lntflffJSt CASH, BOP, AND MMFs 100.0% $91.00 $0.00 #Bank Deposits are held at either: {1) Morgan Stanley Bank, N.A.. and/or Morgan Stanley Private Bank, National Association. affiliates of Morgan Stanley Smith Barney LLC, or (2) Cit/bank, N.A., each a national bank and FDIC member. Estimated Percentage Unrealized Anooal 1nc:omc of Assets% Total Cost Marltet Value Gain/CLoss) Ar:ctllfNJ lntiii'IISt 'Cteld% 100.0% $0.00 $906,653.57 $91 .00 0 .01% TOTAL MARKET VALUE $0.00 TOTAL VALUE (includes accrued interest) $906,653.57 Unrealized Galni(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included. FOIA Confidential Treatment Requested MS-USA0-0017724 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 5 of 8 ACTIVITY CASH FLOW ACTIVITY BY DATE Transaction Settlement Date Date Activity Type Description Comments Quantity Price Credits/(Debits) 5/5 5/5 Online Transfer FUNDS TRANSFERRED CONFIRMATION# 19292378 $(50,000.00) TO 876-018475 5/13 5/13 Funds Transferred WIRED FUNDS SENT BENE: AMERICAN WELL CORPORATIO (50,040.00) ACCT:XXXXXXXX1545 5/15 5/15 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83,333.33 BURISMA HOLDINGS LIMITED 5/15 5/15 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83,333.33 BURISMA HOLDINGS LIMITED 5/20 5/20 Automated Payment AMEX EPayment ACH PMT AUTOMATIC BILL PAYMENT (11,022.26) 5/20 5/20 Funds Transferred WIRED FUNDS SENT BENE: DEVON ARCHER {99,000.00) ACCT:XXXXX2636 5/21 5/21 Automated Payment Maritime Sea Ins Insurance AUTOMATIC BILL PAYMENT (1, 139.00) 5/22 5/22 Funds Transferred WIRED FUNDS SENT BENE: DEVON ARCHER (200,000.00) ACCT: XXXX3683 5/29 5/29 Interest Income MORGAN STANLEY BANK N.A. 13.21 (Period 04/30-05/29) 5/29 5/29 Interest Income MORGAN STANLEY PRIVATE BANK NA 3.82 'Period 04/30·05/29} NET CREDITSI(DEBITS) $(244,517 .57) DEBIT CARD & CHECKING ACTIVITY AUTOMATED PAYMENTS Bill pay and other electronic activity, which may Include checks you wrote that were processed by Automated Clearing House processing. Date of Date Payment Paid Activity Type Payee Credits/(Debits) 5/20 5/20 Automated Payment AMEX EPayment ACH PMT $(11 ,022.26) 5/21 5/21 Automated Payment Maritime Sea Ins Insurance (1, 139.00) TOTAL AUTOMATED PAYMENTS $(12,161 .26) MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY Date Activity Type Description Credits/(Debits) 5/6 Automatic Redemption BANK DEPOSIT PROGRAM $(50,000.00) FOIA Confidential Treatment Requested MS-USA0-0017725 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 6 of 8 MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY (CONTINUED) Oatil Activity Type Oescri~tion CT&dits/(Oebits) 5114 Automatic Redemption BANK DEPOSIT PROGRAM (50,040.00) 5116 Automatic Investment BANK DEPOSIT PROGRAM 166,666.66 5/20 Automatic Redemption BANK DEPOSIT PROGRAM (11 .022.26) 5/21 Automatic Redemption BANK DEPOSIT PROGRAM (1 00,139.00) 5/23 Automatic Redemption BANK DEPOSIT PROGRAM (200,000.00) 5/29 Automatic Investment BANK DEPOSIT PROGRAM 13.21 5/29 Automatic Investment BANK DEPOSIT PROGRAM 3.82 NET ACTIVITY FOR PERIOD $(244,517.57) COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO: LOU IS PLUNG AND COMPANY, LLP FOIA Confidential Treatment Requested MS-USA0-0017726 Morgan Stanley CLIENT STATEMENT I Forthe Period May 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8 The following Disclosures are applicable to the enclosed statement(s). exchange for pledging assets in your accounts as collateral for any securities of its customers up to $500,000 (including $250,000 for Expanded Disclosures are attached to your most recent June and outstanding margin loan. The amount you may borrow is based on the claims for cash). An explanatory brochure is available upon nequest or December statement (or your first Statement if you have not received a value of the eligible securities in your margin accounts. If a security has at www.sipc.org. Losses due to market fluctuation are not protected by statement for those months). The Expanded Disclosures are also eligible shares, the number of shares pledged as collateral will be SIPC and assets not held at Morgan Stanley Smith Barney LLC may not available by selecting Account Documents when you log on to indicated below the position. be covered by SIPC protection. To obtain information about SIPC, www.morganstanley.com/online or, call 800-869-3326. Margin Interest Charges including the SIPC Brochure, contact SIPC at 1-202-371-8300 or visit Questions? We calculate interest charges on margin loans as follows: (1) Multiply www.sipc.org. Questions regarding your account may be directed to your Financial the applicable margin interest rate by the daily close of business net Transaction Dates and Transactio.n Conditions Advisor or the Branch Manager for the branch office where you settled debit balance, and {2) Divide by 360 (days). Margin interest Upon written request, we will furnish the date and time of a transaction maintain your account. If you requine further assistance, call Client accrues daily throughout the month and is added to your debit balance and the name of the other party to a transaction. We and/or our Service at (800) 869-3326 or for account-related concerns call our at month-end. The month-end interest charge is the sum of the daily affiliates may accept benefits that constitute payment for order flow. Client Advocate at (866) 227-2256. accrued interest calculations for the month. We add the accrued Details regarding these benefits and the source and amount of any Errors and Inquiries interest to your debit balance and start a new calculation each time the other remuneration received or to be received by us in connection with It is your responsibil ity to neview your statement promptly and to seek applicable intenest rate changes and at the close of every statement any transaction will be furnished upon written request. immediate clarification about entries that you do not understand or month. For current margin loan interest rates, go to Equity Research Ratings Definitions and Consulting Group Investment believe were made in error by contacting the Branch Manager of the www.morganstanley.com/onlineJMIRates Advisory Statuses office where you maintain your account. Oral communications Information regarding Special Memorandum Account Some equity securities may have research ratings from Morgan Stanley regarding any inaccuracy or discrepancy in this statement should be If you have a Margin Account. this Is a combined statement of your & Co. LLC or Standard & Poor's. Research ratings ane the research re-confirmed in writing to further protect your rights, including rights Margin Account and Special Memorandum Account maintained for you providers' opinions and not representations or guarantees of under the Securities Investor Protection Act (SIPA). Except as provided under Section 220.6 of Regulation T issued by the Board of Governors performance. For more information about each research providers' in your account documentation. your statement will be deemed correct of the Federal Reserve System. The permanent record of the Special rating systems, see the expanded disclosures on your quarter-end unless we receive your written inquiry of a suspected error within 10 Memorandum Account as required by Regulation T is available for your statemerrt, go to www.morganstanley.com/online or refer to the calendar days from the day you received your statement See your inspection at your request. research provider's research report . Research reports contain more account documentation for special rules regarding your rights and Structured Products complete information concerning the analyst's views and you should responsibilities with respect to erroneous electronic fund transfers, Structured Products are complex products and may be subject to read the entire research report and not infer its contents from the rating Including a description of the transfers covered. special risks. Investors should consider the concentration risk of alone. If your account contains an advisory component or is an advisory Availability of Free Credit Ba.lances and Financial Statements owning the related security and their total exposure to any underlying account. CG IAR statuses apply. Under the customer protection rules of the SEC [17 CFR §240.15c3-2 asset. Structured Products may not perform in a manner consistent Credit Ratings from Moody's Investors Service and Standard & Poor's & -3], we may use funds comprising free credit balances carried for with the statement product category where they appear and therefore The cnedit rating from Moody's Investors Service and Standard & Poor's customer accounts here, provided that these funds are payable to may not satisfy portfolio asset allocation needs for that category. may be shown for certain securities. All credit ratings represent the customers on demand (i.e., are free or a lien or right of set-off in our Important Information About Auction Rate Securities opinions of the provider and are not representations or guarantees of favor or on behalf of some third party to whom you have given control). Due to market conditions, certain Auction Rate Securities are performance. Your Financial Advisor will be pleased to provide you with A financial statement of this organization is available for your personal experiencing no or limited liquidity. Therefore, the price(s) for any further Information or assistance in interpreting these cnedit ratings. inspection at its offices, or a copy will be mailed to you upon your Auction Rate Securities shown on this statement may not reflect the written request. price(s) you would receive upon a sale at auction or in a secondary Revised 3/2014 listed Options market transaction. and are not an indication or any offer to purchase Information with respect to commissions and other charges nelated to at such price. the execution of options transactions has been included in Security Measures confirmations of such transactions previously furnished to you and such This statement features several embedded security elements to information will be made available to you promptly at your request. safeguard its authenticity. One is a unique security mark--a blue Promptly advise us of any material change in your investment rectangle printed in heat-sensitive ink on the back side of every page. objectives or financial situation. When exposed to warmth, the blue rectangle will disappear, and then Margin Privileges(not available for certain accounts such as IRAs or reappear. retirement accounts) SIPC Protection If you have margin privileges, you may borrow money from us In Morgan Stanley Smith Barney LLC is a member or SIPC, which protects FOIA Confidential Treatment Requested MS-USA0-0017727 Morgan Stanley PRIVATE W EALTH MANAGEMENT Page 8 of 8 This page intentionally left blank FOIA Confidential Treatment Requested MS-USA0-0017728 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE W EALTH MANAGEMENT STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 6/3011 4) $928,801.62 ROSEMONT SENECA BOHAI. LLC Includes Accrued Interest C/0 DEVON ARCHER Your Private Wealth Advisor Team SCHATZ/MOYEIMARKEY/FINNEG Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Bamey LLC. 212-296-6000 Member SIPC. Your Branch 522 FIFTH AVENUE NEW YORK, NY 10036 Telephone: 212-296-6000; Alt. Phone: 800-419-2861; Fax: 212-296-6320 #BWNJGWM ROSEMONT SENECA BOHAI , LLC C/0 DEVON ARCHER 152 W 57TH ST 47TH FL NEW YORK NY 10019-3480 Client Service Center (24 Hours a Day: 7 Days a Week) : 800-668-8168 + 1 801 -617 -9179 (lnt'l Collect) Access Your Account Online: www.morganstanley.com/PWM 876 - 018483 - 380 - 1 - 0 FOIA Confidential Treatment Requested MS-USA0-0017729 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE W EALTH MANAGEMENT Page 2 of 8 CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest) CHANGE IN VALUE OVER TIME This Period This Year The display of marl\et value (total account value) and net invested capital (total amount invested minus (61111 4-613011 4) (1/1 114-6/3011 4) total withdrawn). derponstrates the Impact of deposits and withdrawals. TOTAL BEGINNING VALUE $906,653.57 2.50 Credits 227,621 .20 3,095,907.01 Debits (205.480.15) (2.167.162.50) I:i 1.70 Securi~ Transfers e Net Credits/Debits/Transfers $22,141.05 $928,744.51 0.90 Change in Value 7 .00 57.11 MAR2014 APR2014 MAY2014 JUN 2014 TOTAL ENDING VALUE $928,801 .62 $928,801.62 - - Total Market Value - - - Net Invested Capital Since 02/28114 This graph does not reflect corrections to Net Invested Cspital or Market Value made subsequent to the dates depleted. It may also exclude transactions in Annuities or where we are net the custodian. which could delay the reporting of Market Value or affect the Net Invested Capital. ALLOCATION OF HOLDINGS Mari<et Value Percentage % Cash. BOP, MMfs• $928.801 .62 100.0 TOTAL VALUE $928,801.62 100.0 % Cash, BOP, MMFs This allocation represents holdings on a trade date basis. and prryected settled Cash/ BOP and MMF balances. These classifications are not intended to serve as a suitability analysis. • FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC coverage. See Expanded Disclosures. FOIA Confidential Treatment Requested MS-USA0-0017730 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PR IVAT E W EALTH MAN AGE M EN T Page 3 of 8 BALANCE SHEET ( A includes accrued interest) CASH FLOW Last Period This Period This Period This Year (as of 5/31114) (as of 613011 4) (6/1/14-6/30/1 4) (1 /1/1 4·6/30/1 4) Cash, BOP, MMFs $906,653.57 $928,801.6 2 OPENING CASH, BOP, MMFs $906,653.57 Total Assets $906,653.57 $928,801 .62 Income 7 .00 57.11 Total liabilities (outstanding balance) Total Investment Related Activity $7.00 $57.11 TOTAL VALUE $906,653.57 $928,801 .62 Electronic Transfers-Credits 2 27,621 .20 3,095,907 .01 Electronic Transfers-Debits (161,000.00) (2,052,340.00) Total Cash Related Activity $66,621 .20 $1 ,043,567.01 Checks Written (3,499.00) (4 3,499.00) Automated Payments (40. 981.1 5) (71.323.50) Total Ca.rd/Check Activity $(44,480.15) $(114,822.50) CLOSING CASH, BOP, MMFs $928,801 .62 $928,801 .62 INCOME SUMMARY GAIN/(LOSS) SUMMARY This Period This Year Unrealized (611/1 4-6130/14) (111/14-6/30/14) Realized This Period Realized This Year Inception to Date Interest $7 .00 $57.1 1 (6/1/14-6/30/14) (1/1114-6/30/1 4) (as or 6/30/1 4) Total Taxable Income $7.00 $57.11 TOTAL GAIN/(LOSS) Total Tax-Exempt Income Gaini(Loss) Summary Information is provided for informational purposes only and should not be used for tax preparation. This information may change due to basis aqjustments. TOTAL INCOME $7.00 $57.11 Refer to the Gaini(Loss) Information in the Expanded Disclosures for additional information. Taxable and tax exempt income classifications are based on the characteristics of the underlying securities and not the taxable status of the account. PERSONAL RETIREMENT EDUCATION TRUST BUSINESS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS FOIA Confid ential Treatment Requested MS-USA0-0017731 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE W EALTH MANAGEMENT Page 4 of 8 Investment Objectivesf: Capital Appreciation, Aggressive Income Brokerage Account t See the Expanded Disclosures for more information about Investment ol?}ect/ves. Please review for accuracy and Inform us ifyour Investment ol?}ect/ves change. HOLDINGS This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value· and "Unrealized Gaini(Loss)" are representative values as of the last business day of the statement period and may not reflect the value that could be obtained in the market Fixed Income securities are sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may Include retum of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, fAlls reflected only through maturity date. Actual income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes in its price. Structured products, Identified in the Security Description column, appear in various statement product categories. Accrued Interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities, the accrued interest. annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B, after the close of the tax year. your aqjusted cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require that we make basis aqjustments on covered securities due to wash sales, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on statements for informational purposes and should not be used in the preparation of your Income tax returns. Refer to the Expanded Disclosures for additional information. CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS cash, Bank Deposit Program. and Money Market Funds are generally displayed on a settlement date basis. You have the right to Instruct us tD liquidate your bank deposit balance(s) or shares of any money market fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions. Description Yalue Estimated Annual Income 7-DAY Current Yield% Annual Percentate Yield% MORGAN STA.NLEY BANK N.A. # $683,801 .62 $68.00 - 0.010 MORGAN STANLEY PRIVATE BANK NA # 245,000.00 25.00 - 0.010 Estimated Percentage Anmtal trx;ome of Assets% Ar:ctllfNJ lntflffJSt CASH, BOP, AND MMFs 100.0% $93.00 $0.00 #Bank Deposits are held at either: {1) Morgan Stanley Bank, N.A.. and/or Morgan Stanley Private Bank, National Association. affiliates of Morgan Stanley Smith Barney LLC. or (2) Cit/bank, N.A., each a national bank and FDIC member. Estimated Percentage Unrealized Anooal 1nc:omc of Assets% Total Cost Marltet Value Gain/CLoss) Ar:ctllfNJ lntiii'IISt Y"teld% 100.0% $0.00 $928,801.62 $93.00 0 .01% TOTAL MARKET VALUE $0.00 TOTAL VALUE (includes accrued interest) $928,801.62 Unrealized Galni(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included. FOIA Confidential Treatment Requested MS-USA0-0017732 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE W EALTH MANAGEMENT Page 5 of 8 ACTIVITY CASH FLOW ACTIVITY BY DATE Transaction Settlement Date Date Activity Type Description Comments Quantity Price Creditsi(Debits) 6/2 6/2 Online Transfer FUNDS TRANSFERRED CONFIRMATION# 19961898 $(6,000.00) TO 876-018475 6/5 6/5 Funds Transferred WIRED FUNDS SENT BENE: ROBERT BIDEN (15,000.00) ACCT:XXXXX0876 6/6 6/6 Automated Payment BankoltheWest BOWLOANPAY AUTOMATIC BILL PAYMENT (1,335.48) 6/9 6/9 Funds Transferred WIRED FUNDS SENT BENE: MECUM AUCTION INC (105,000.00) ACCT: XXXXX3448 6/10 6/16 Check THE WOLFF LAW FIRM Check# 1028 (3.499.00) 6/13 6/13 Funds Transferred WIRED FUNDS SENT BENE: ROBERT BIDEN (10,000.00) ACCT:XXX:XX0876 6/17 6/17 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83,333.33 BURISMA HOLDINGS LIMITED 6/17 6/17 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83.333.33 BURISMA HOLDINGS LIMITED 6/18 6/18 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 60,954.54 BURISMA HOLDINGS LIMITED 6/20 6/20 Automated Payment AMEX EPayment ACH PMT AUTOMATIC BILL PAYMENT (39.645.67) 6/23 6/23 Funds Transferred WIRED FUNDS SENT BENE: ROBERT BIDEN (25,000.00) ACCT:XXX:XX0876 6/27 6/27 Interest Income MORGAN STANLEY BANK N.A. 5.05 (Period 05/30-06/27) 6/27 6/27 Interest Income MORGAN STANLEY PRIVATE BANK NA 1.95 ·--~· (fS[iod 0.~30-06/m_._ _ _, NET CREDITSI(DEBITS) $22,148.05 DEBIT CARD & CHECKING ACTIVITY CHECKS WRITTEN Date Date Written Paid Check Number Activity Type Pavee Expense C&teaorv Creditsi(Debits) 6/10 6/16 1028 Check THE WOLFF LAW FIRM $(3,499.00) TOTAL CHECKS WRITIEN $(3,499.00) FOIA Confidential Treatment Requested MS-USA0-0017733 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE WEALTH MANAGEMENT Page 6 of 8 DEBIT CARD & CHECKING ACTIVITY AUTOMATED PAYMENTS Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing. Date or Date Payment Paid Activity Type Payee Credits/(Debits) 6/6 6/6 Automated Payment BankoftheWest BOWLOANPAY $(1,335.48) 6/20 6/20 Automated Payment AMEX EPayment ACH PMT (39,645.67) TOTAL AUTOMATED PAYMENTS $(40,981 .15) MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY Date Activity Type Descri~tion Cradits/(Oebits) 6/3 Automatic Redemption BANK DEPOSIT PROGRAM $(6,000.00) 6/6 Automatic Redemption BANK DEPOSIT PROGRAM (16,335.48) 6110 Automatic Redemption BANK DEPOSIT PROGRAM (1 05,000.00) 6/16 Automatic Redemption BANK DEPOSIT PROGRAM (13.499.00) 6/18 Automatic Investment BANK DEPOSIT PROGRAM 166,666.66 6119 Automatic Investment BANK DEPOSIT PROGRAM 60,954.54 6/20 Automatic Redemption BANK DEPOSIT PROGRAM (39,645.67) 6/24 Automatic Redemption BANK DEPOSIT PROGRAM (25,000.00) 6/27 Automatic Investment BANK DEPOSIT PROGRAM 5.05 6/27 Automatic Investment BANK DEPOSIT PROGRAM 1.95 NET ACTIVITY FOR PERIOD $22,148.05 COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO: LOUIS PLUNG AND COMPANY. LLP MESSAGES Important lnl'ormation Regarding the Bank Deposit Program The Bank Deposit Program ("BOP") currently credits interest on the second to last business day of the month. Beginning in September 2014, interest will be credited on the last business day of the month. There will be no change to your current eligible credited interest rate or any of the other terms and conditions of the program. For more information regarding BOP, please refer to the BOP disclosure document at: www.morganstanley.com/wealthlservlces/pdfs/BDP_disclosure.pdf Sign up for eDelivery of your Statements Today Would you like to receive your Statements and other documents faster. more securely and with the added benefit of reducing paper mail? Simply visit www.morganstanley.com/edelivery to set your eDelivery preferences today. Please note, if you have not already, you will first need to register for Morgan Stanley Online to make your eDelivery selections. FOIA Confidential Treatment Requested MS-USA0-0017734 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8 Expanded Disclosures. which apply to all statements Morgan Stanley IRA contributions are subject to IRS eligibility rules and regulations. calendar year should be exclusively relied upon for the purpose of filing Smith Barney LLC (welus) sends to you, are provided with your first The "Max. Individual Contributions Allowed (by SSN)' reflects the your tax return for the year. Under U.S. Internal Revenue Service statement and thereafter twice a year. annual limit on contributions that you can make to IRAs (Traditional, regulations, if you have not provided us with a certification of either Questions? Roth, SEP, and SARSEP). The limit applies on a per person basis. not U.S. or foreign status on an appropriate Form W-9 or W-8, your Questions regarding your account may be directed to either your per account. The Contributions information included in this statement accounts may be subject to either 28% back-up withholding or 30% Financial Advisor or the Branch Manager for the branch office where pertains to a particular account, without reference to any other IRA. nonresident alien withholding, as applicable, on payments made to you maintain your account. If you require further assistance, call the You cannot make an individual contribution to a Traditional IRA for the your accounts. Client Service Center at (800) 869·3326 or for account-related year In which you reach age 70 112 or later. Other special rules may Investment Objectives concerns contact our Client Advocate at (866) 227-2256 or via U.S. apply; e.g., in conversions or recharacterizations of Traditional to Roth, The following is an explanation of the investment objective alternatives mail at P.O. Box 95002, South Jordan, Utah 84095. Roth to Traditional IRAs. Check with your tax advisor to verify how applicable to your account(s): Income - for investors seeking regular Errors and Inquiries much you can contribute, whether or not the contribution will be tax income with low to moderate risk to principal; Capital Appreciation - for It is your responsibility to review your statement promptly and to seek deductible, and whether other special rules may apply. The investors seeking capital appreciation with moderate to high risk to Immediate clarification about entries that you do not understand or categorization of any deductibility is based upon Information provided principal; Aggressive Income - for Investors seeking higher returns either believe were made In error by contacting the Branch Manager of the by you and is included for your convenience. Contact your Financial as growth or as income with greater risk to principal; Speculation - for office where you maintain your account. Oral communications Advisor if this information is incorrect. The account value used for your investors seeking high profits or quick returns with considerable regarding any inaccuracy or discrepancy in this statement should be Required Minimum Distribution calculation is based on your account's possibility of losing most or all of their investment. re-confirmed in writing to further protect your rights, including rights prior December 31st Account Value, including accrued interest. This Listed Options under the Securities Investor Protection Act (SIPA). Your statement will information is not intended to constitute tax, legal or accounting advice. Information with respect to commissions and other charges related to be deemed correct unless we receive a written Inquiry of a suspected Availability of Free Credit Balances and Financial Statements the execution of options transactions has been included in error. See your account documentation for special rules regarding your Under the customer protection rules of the SEC [17 CFR confirmations of such transactions previously furnished to you and such rights and responsibilities with respect to erroneous electronic fund §240.15c3-3). we may use funds comprising free credit balances information will be made available to you promptly at your request. transfers. including a description of the transfers covered. carried for customer accounts here, provided that these funds are Promptly advise us of any material change in your investment Account Valuation payable to customers on demand (i.e., are free of a lien or right or objectives or financial situation. Account values are computed by adding (1) the market value of all set-off in our favor or on behalf of some third party to whom you have Important Information if you are a Margin Customer(not available for priced positions and (2) market values provided by pricing services given control). A financial statement of this organization is available for certain accounts such as IRAs or retirement accounts) andlor outside custodians. as applicable for other positions, and by your personal inspection at its offices, or a copy will be mailed to you If you have margin privileges. you may borrow money from us in adding any credit or subtracting any debit to your closing Cash. Money upon your written request. exchange for pledging assets In your accounts as collateral. The amount Market Funds andlor Deposit balance. Cash, Deposits and Money Gaini(Loss) Information you may borrow is based on the value of eligible securities in your Market Funds are displayed on a settlement date basis, and other Gaini(Loss) is provided for informational purposes. It is not a substitute margin accounts. If a security has eligible shares the number of shares positions are displayed in your account on a trade date basis. The for Internal Revenue Service (IRS) Form 1099 (on which we report cost pledged as collateral is indicated below the position. If you have a values of fixed income positions in summary displays include accrued basis for covered securities) or any other IRS tax form. It is not margin account, as permitted by law, we may use certain securities In Interest In the totals. In the "Holdings• section. fixed Income market Intended to be. nor should it be used for tax preparation. Unrealized your account for. among other things. settling short sales or lending the value and accrued interest are also displayed in separate columns. Gaini(Loss) provided on this statement is an estimate. Contact your securities for short sales. for which we may receive compensation. Accrued interest is the Interest earned but not yet paid on the bond own independent legal or tax advisor to determine the appropriate use Margin Interest Charges since its last interest payment. In most cases. it is calculated from the of the Gaini(Loss) information on this statement. For more information, We calculate interest charges on margin loans as follows: (1) multiply date of the last coupon payment (or · dated date") through the go to www.morganstanley.comtwealthldisclosuresldisclosures.asp, or the applicable margin interest rate by the daily close of business net closing date of the statement. Foreign Currency Deposits are reflected call Client Service Center. settled debit balance, and (2) divide by 360 (days). Margin interest in U.S. dollars as of the statement end date. The Annual Percentage Tax Reporting accrues daily throughout the month and Is added to your debit balance Yield (APY) for deposits represents the applicable rate In effect for your Under Federal income Tax law, we are required to report the gross at month·end. The month-end interest charge Is the sum of the daily deposits at the statement ending date. This APY may be different than proceeds of sales transactions (including entering into short sales) to accrued interest calculations for the month. We add the accrued the APY that was in effect during the statement period. For current you on Form 1099-B by February 15 of the year following the calendar interest to your debit balance and start a new calculation each time the Bank Deposit or Money Market Fund yields, go to year of the transaction for reportable (i.e. non-retirement) accounts. For applicable interest rate changes and at the close of every statement www.morganstanleyindividual.com!AccountOptions!ActiveAssetsllnvest the sale of certain securities acquired on or after January 1. 2011 we month. For current margin loan interest rates. go to mentfeatures. are required to report additional transaction information on Form www.morganstanley.comlonlineiMIRates. Additional IRA Information 1099-B. The Information reported on your Form 1099-B for the Information regarding Special Memorandum Account CONTINUED FOIA Confidential Treatment Requested MS-USA0-0017735 Morgan Stanley CLIENT STATEMENT I For the Period June 1-30, 2014 PRIVATE WEALTH MANAGEMENT Page 8 of 8 If you have a Margin Account, this is a combined statement of your pricing services: our affiliates' own internal bookkeeping valuations; by SIPC protection. To obtain Information about SIPC. including an Margin Account and Special Memorandum Account maintained for you prices of transactions executed in any secondary market that exists or explanatory SIPC brochure. contact SIPC at 1-202·371-8300 or visit under Section 220.5 of Regulation T issued by the Board of Governors may develop; and/or the prices at which issuer repurchases or www.sipc.org. of the Federal Reserve System. The permanent record of the Special redemptions may occur. Certain Assets Not Held at Morgan Stanley Smith Barney LLC Memorandum Account as required by Regulation T is available for your Special Considerations Regarding SIIUCtUred Investments You may purchase certain assets through us that may be held at inspection at your request. Structured Investments are complex products and may be subject to another financial institution. Assets not held with us may not be Money Market Fund (MMF) Pricing special risks, which may Include, but are not limited to: loss of initial covered by SIPC protection. We may Include information about certain An investment in a MMF is neither insured nor guaranteed by the Investment; issuer credit risk and price volatility resulting from any of these assets on this statement solely as a service to you and are not Federal Deposit Insurance Corporation (FDIC) or any other government actual or anticipated changes to issuer's andlor guarantor's credit responsible for any information provided by external sources. Generally. agency. Although MMFs seek to preserve the value of your investment ratings or credit spreads; limited or no appreciation and limits on any financial institution that holds securities is responsible for year-end at $1 .00 per share, there can be no assurance that will occur and it is participation in any appreciation or underlying asset(s); risks associated reporting (1099s) and separate periodic statements, which may vary possible to lose money should the fund value per share fall. In some with the underlying reference asset(s); no periodic payments; call prior from our information due to different tax reporting periods. In the case circumstances MMFs may cease operations when the value of a fund to maturity; early redemption fees for market linked deposits; lower of networked mutual funds, we perform all year-end tax reporting. drops below $1.00 per share. In that event. the fund's holdings would Interest rates and/or yield compared to conventional debt with Under certain circumstances. such as IRA accounts. we perform all tax be liquidated and distributed to the fund's shareholders. This process comparable maturity; unique tax implications; limited or no secondary reporting . could take up to one month or more. During that time, these funds market; and conflicts of interest due to affiliation, compensation or Total Income would not be available to you to support purchases. withdrawals. and if other factors which could adversely affect market value or payout to Total income. as used in the income summaries, represents dividends applicable, check writing or ATM debits from your account. investors. Investors also should consider the concentration risk of and/or Interest on securities we receive on your behalf and credit to Notice Regarding Investment Advisor Research owning the related security and their total exposure to any underlying your account(s) during the calendar year. We report dividend Morgan Stanley's Consulting Group Investment Advisor Research asset. Structured Investments may not perform in a manner consistent distributions and taxable bond interest credited to your account to the conducts research on various mutual funds and exchange-traded funds with the statement product category where they appear and therefore Internal Revenue Service. The totals we report may differ from those for clients holding those funds in certain investment advisory programs. may not satisfy portfolio asset allocation needs for that category. indicated as !his Year" figures on the last statement for the calendar If you have invested in any of these funds in another type of account. Accrued interest, estimated annual income and estimated yield for year. In the case of Real Estate Investment Trusts (REITs), Master such as a brokerage account, you will not receive the same research Structured Investments with a contingent income feature, including Limited Partnerships, Regulated Investment Companies and Unit materials and status updates on the funds as we provide to investment Range Accrual Notes and Contingent Income Notes, assume optimal Investment Tru.sts, some sponsors may reclassify the distribution to a advisory clients (including Instructions on selling fund shares). performance of the underlying asset(s) and payment in full of all different tax type for year-end reporting. Pricing of Securities contingent interest. However. contingent interest is only paid if the Transaction Dates and Conditions The prices of securities are derived from various sources, and do not specified accrual conditions are met during the relevant observation Transactions display trade date and settlement date. Transactions are necessarily represent the prices at which those securities could have period. Actual accrued interest, annual income and yield will be included on this statement on trade date basis (excluding BOP and been bought or sold. Although we attempt to use reliable sources of dependent upon the performance of the underlying asset(s) and may be MMFs). Trades that have not settled as of statement month end will information, we can offer no assurance as to their accuracy. Prices of significantly lower than the estimates shown. For more information also be displayed in the "Unsettled Purchases!Sales Activity• section. securities not actively traded may not be available. and are indicated about the risks specific to your Structured Investments. you should Upon written request. we will give you the date and time of a by N/A (not available). For additional information on how we price contact your Financial Advisor. transaction and the name of the other party to a transaction. We and/or securities, go to Security Measures our affiliates may accept benefits that constiMe payment for order www.morganstanley.com/wealthldisclosures/disclosures.asp. This statement features several embedded security elements to flow. Details regarding these benefits and the source and amount of Important Information About Auction Rate Securities safeguard its authenticity. One is a unique security mark--a blue any other remuneration received or to be received by us in connection For certain Auction Rate Securities there is no or limited liquidity. rectangle printed in heat-sensitive ink on the back side of every page. with any transaction will be furnished upon written request. Therefore, the price(s) for any Auction Rate Securities shown may not When exposed to warmth, the blue rectangle will disappear. and then U.S. Treasury Circular 230 Disclosure reflect the price(s) you would receive upon a sale at auction or in a reappear. We do not render advice on tax and tax accounting matters to clients. secondary market transaction, and is not an indication of any offer to SIPC Protection The information provided herein was not intended or written to be purchase at such price. There can be no assurance that a successful We are a member of Securities Investor Protection Corporation (SIPC). used, and it cannot be used, by any taxpayer. for the purpose of auction will occur or that a secondary market exists or will develop for which protects securities of its customers up to $500,000 (including avoiding penalties that may be imposed on the taxpayer under US a particular security. The prices of any Auction Rate Securities in most $250,000 for claims for cash) . An explanatory brochure is available federal tax laws. cases reflect par value, but may be derived from various sources. These upon request or at www.sipc.org. Losses due to market fluctuation are prices may differ from : prices provided to us or our affiliates by outside not protected by SIPC and assets not held with us may not be covered Revised 0612014 FOIA Confidential Treatment Requested MS-USA0-0017736 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PRIVATE W EALTH MANAGEMENT STATEMENT FOR: TOTAL VALUE OF YOUR ACCOUNT (as of 7/31/14) $882,357.71 ROSEMONT SENECA BOHAI. LLC Includes Accrued Interest C/0 DEVON ARCHER Your Private Wealth Advisor Team SCHATZ/MOYEIMARKEY/FINNEG Morgan Stanley Private Wealth Management, a division of Morgan Stanley Smith Bamey LLC. 212-296-6000 Member SIPC. Your Branch 522 FIFTH AVENUE NEW YORK, NY 10036 Telephone: 212-296-6000; Alt. Phone: 800-419-2861; Fax: 212-296-6320 #BWNJGWM ROSEMONT SENECA BOHAI , LLC C/0 DEVON ARCHER 152 W 57TH ST 47TH FL NEW YORK NY 10019-3480 Client Service Center (24 Hours a Day: 7 Days a Week) : 800-668-8168 + 1 801 -617-9179 (lnt'l Collect) Access Your Account Online: www.morganstanley.com/PWM 876 - 018483 - 380 - 1 - 0 FOIA Confidential Treatment Requested MS-USA0-0017737 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PR IVAT E W EALTH MAN AGE M EN T Page 2 of 8 CHANGE IN VALUE OF YOUR ACCOUNTS (includes accrued interest) CHANGE IN VALUE OVER TIME This Period This Year The display of marl\et value (total account value) and net invested capital (total amount invested minus (7/1/1 4-7/31/1 4) (1/1 /14-7/31/1 4) total withdrawn). derponstrates the Impact of deposits and withdrawals. TOTAL BEGINNING VALUE $ 928,801 .62 2.50 2.16 Credits 166,667.07 3,262,57 4.08 j 1.82 Debits (213. 11 9.25) (2. 380,281.7 5) ~ 1.48 Securi~ Transfers e Net Credits/Debits/Transfers $(46,452.18) $882,292.33 1.14 0.80 Change in Value 8.27 65.38 MAR2014 APR2014 MAY 2014 JUN 2014 JUL2014 TOTAL ENDING VALUE $882,357.71 $882,357.71 - - Total Market Value --- Net Invested Capital Since 02/28/14 This graph does not reflect corrections to Net Invested Cspital or Market Value made subsequent to the dates depleted. It may exclude transactions in Annuities or positions where we are not the custodian, which could delay the reporting of Market Value or affect the Net Invested Capital. ALLOCATION OF HOLDINGS Marl<et Value Percentage % Cash. BOP, MMfs• $882.357.71 100.0 TOTAL VALUE $882,357.71 100.0% Cash, BOP, MMFs This allocation represents holdings on a trade date basis. and prryected settled Cssh/ BOP and MMF balances. These classifications are not intended to serve as a suitability analysis. • FDIC rules apply and Bank Deposits are eligible for FDIC insurance but are not covered by SIPC. Cash and securities (including MMFs) are eligible for SIPC ccverage. See Expanded Disclosures. FOIA Confid ential Treatment Requested MS-USA0-0017738 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PR IVAT E W EALTH MAN AGE M EN T Page 3 of 8 BALANCE SHEET (" includes accrued interest) CASH FLOW Last Period This Period This Period This Year (as or 6/3011 4) (as or 7131114) (711114· 713111 4) (1/111 4· 7/31114) Cash, BOP, MMFs $928,801 .62 $882,357.71 OPENING CASH, BOP, MMFs $928,801.62 Total Assets $928,801 .62 $882,357.71 Income 8.27 65.38 Total liabilities (outstanding balance) Total Investment Related Activity $8.27 $65.38 TOTAL VALUE $928,801 .62 $882,357.71 Electronic Transfers-Credits 166,667.07 3,262,574.08 Electronic Transfers-Debits (156,710.36) (2,209,050.36) Total Cash Related Activity $9,956.71 $ 1,053,523.72 Checks Written - {43.499.00) Automated Pa~ments (56.408.89) (127.732.39) Total Card/Check Activity $(56,408.89) $(171,23 1.39) CLOSING CASH, BOP, MMFs $882,357.71 $882,357.71 INCOME SUMMARY GAl N/(LOSS) SUMMARY This Period This Year Unrealized (711/14·7131/14) (1/1114· 7/31/14) Realized This Period Realized This Year Inception to Date Interest $8.27 $ 65.38 (7/1/14-7/31/1 4) (1/1/14-7/31/1 4) (as or?/31/1 4) Total Taxable Income $8.27 $65.38 TOTAL GAIN/(LOSS) Total Tar-Exempt Income The Galni(Loss} Summary, which may change due to basis ac!}ustments, Is provided for Informational purposes and should not be used for tax preparation. Refer to Galn!(Loss} in the Expanded Disclosures. TOTAL INCOME $8.27 $65.38 Taxable and tax exempt Income classifications are based on the characteristics of the underlying securities and not the taxable status of the account. PERSONAL RETIREMENT EDUCATION TRUST BUSINESS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS ACCOUNTS FOIA Confid ential Treatment Requested MS-USA0-0017739 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 4 of 8 Investment Objectivesf: Capital Appreciation, Aggressive Income Brokerage Account t Inform us ifyour investment otyectives. as defined In the Expanded Disclosures. change. HOLDINGS This section reflects positions purchased/sold on a trade date basis, and includes positions purchased and omits positions sold in the current month. "Market Value" and "Unrealized Gaini(Loss)" are representative values as of the last business day of the statement period and may not reflect the value that could be obtained In the market. Fixed Income securities are sorted by maturity or pre-refunding date, and alphabetically within date. Estimated Annual Income (EAI) is calculated on a pre-tax basis and does not include any reduction for applicable non-US withholding taxes, if any. EAI for certain securities may include retum of principal or capital gains which could overstate such estimates. For securities that have a defined maturity date within the next 12 months, EAI is reflected only through maturity date. Actual Income or yield may be lower or higher than the estimates. Estimated yield reflects only the income generated by an investment, and does not reflect changes In its price. Structured products, identified In the Security Description column. appear in various statement product categories. Accrued interest, annual income and yield for structured products with a contingent income feature (such as Range Accrual Notes or Contingent Income Notes) are estimates and assume specified accrual conditions are met during the relevant period and payment in full of all contingent interest. For Floating Rate Securities. the accrued interest; annual income and yield are estimates based on the current floating coupon rate and may not reflect historic rates within the accrual period. New Treasury regulations require that we report on Form 1099-B, after the close of the tax year, your ar!justed cost basis on the sale of covered securities acquired on or after January 1, 2011, and classify the gain or loss as either long-term or short-term. These regulations also require that we make basis ar!justments on covered securities due to wash sates, certain corporate actions and transfers by gift or inheritance, which will be reflected on your Form 1099-B. Cost basis is reflected on statements for informational purposes and should not be used in the preparation ofyour income tax returns. Refer to the Expanded Disclosures for additional information. CASH, BANK DEPOSIT PROGRAM AND MONEY MARKET FUNDS Cash, Bank Deposit Program. and Money Market Funds are generally displayed on a settlement date basis. You have the right to Instruct us to liquidate your bank deposit balance(s) or shares of any money market fund balance(s) at any time and have the proceeds of such liquidation remitted to you. Estimated Annual Income, Accrued Interest, and APY% will only be displayed for fully settled positions. [)escriptjon Value Estimated Anooal Income 7 -Pax Current Yield % Aooual Percentage Yield % MORGAN STANLEY BANK N.A. # $637,357.71 $64 .00 - 0.010 MORGAN STANLEY PRIVATE BANK NA # 245,000.00 25.00 - 0,010 Estimated Perc:en.~ of A$sets% M~ An""' 1nspme ACCfWtllntllteSt CASH, BOP, AND MMFs 100.0% $882,357.71 $89.00 $0.00 #Bank Deposits are held at either: (1) Morgan Stanley Bank, N.A., and/or Morgan Stanley Private Bank, National Association, affiliates of Morgan Stanley Smith Barney UC, or (2) Cit/bank, N.A., each a national bank and FDIC member. Estimated Percentage Unrealized AnDIJal IDGQme of A$sets% Total Cost Market Value Gain/(Loss) Accrued lntenJSt Yield% TOTAL MARKET VALUE 100.0% $0.00 $882,357.71 $89.00 0.01% $0.00 TOTAL VALUE (includes accrued interest) $882,357.71 Unrealized Gaini(Loss) totals only reflect positions that have cost basis and/or market value information available. Cash, MMF, Deposits and positions stating 'Please Provide' are not included. FOIA Confidential Treatment Requested MS-USA0-0017740 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 5 of 8 ACTIVITY CASH FLOW ACTIVITY BY DATE Transaction Settlement Date Date Activity Type Description Comments Quantity Price Credits/(Debits) 7/8 7/8 Automated Payment Ba.nkoftheWest BOWLOANPAY AUTOMATIC BILL PAYMENT $(1,338.48) 7/10 7/10 Funds Transferred WIRED FUNDS SENT BENE: ROSEMONT SELECT OPPORTUN (83,500.00) ACCT: XXXXXX7736 7/11 7/11 Funds Transferred WIRED FUNDS SENT BENE: THOMAS M KNOLES IV (6,000.00) ACCT: XXXXXX2821 7/11 7/11 Funds Transferred WIRED FUNDS SENT BENE: ROBERT BID EN (5,000.00) ACCT: XXXXX5452 7/11 7/11 Funds Transferred WIRED FUNDS SENT BENE: DEANNE ADAMSON (4,500.00) ACCT: XXXXXX2356 7/14 7/14 Funds Transferred WIRED FUNDS SENT BENE: KEVIN J PETERSON INC (1 7, 71 0.36) ACCT: XXXXXX1992 7/15 7/15 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83,333.33 BURISMA HOLDINGS LIMITED 7/15 7/15 Funds Received WIRED FUNDS RECEIVED AS PRIVATBANK 83,333.33 BURISMA HOLDINGS LIMITED 7/18 7/18 Funds Transferred WIRED FUNDS SENT BENE: ROBERT BID EN (20,000.00) ACCT: XXXXX0876 7/21 7/21 Automated Payment AMEX EPayment ACH PMT AUTOMATIC BILL PAYMENT (49,481 .26) 7/23 7/23 Funds Received BANK OF AMERICA ACCT CNFRM 0.27 7/23 7/23 Funds Received BANK OF AMERICA ACCT CNFRM 0.14 7/23 7/23 Automated Payment BANK OF AMERICA ACCT CNFRM AUTOMATIC BILL PAYMENT (0.41) 7/24 7/24 Automated Payment BANK OF AMERICA ONLINE PMT AUTOMATIC BILL PAYMENT (5,588.74) 7/29 7/29 Funds Transferred WIRED FUNDS SENT BENE: ROBERT BIDEN (20,000.00) ACCT: XXXXX5452 7/30 7/30 Interest Income MORGAN STANLEY BANK N.A. 6.05 (Period 06/28-07/30) 7/30 7/30 Interest Income MORGAN STANLEY PRIVATE BANK NA 2.22 (Period 06/28-07/30) NET CREDITSI(DEBITS) $(46,443.91) FOIA Confidential Treatment Requested MS-USA0-0017741 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PRIVATE W EALTH MANAGEMENT Page 6 of 8 DEBIT CARD & CHECKING ACTIVITY AUTOMATED PAYMENTS Bill pay and other electronic activity, which may include checks you wrote that were processed by Automated Clearing House processing. Date or Date Payment Paid Activity Type Payee Credits/(Debits) 7/8 118 Automated Payment BankoftheWest BOWLOANPAY $(1,338.48) 7/21 7/21 Automated Payment AMEX EPayment ACH PMT (49.481 .26) 7/23 7123 Automated Payment BANK OF AMERICA ACCT CNFRM (0.41) 7/24 7124 Automated Payment BANK OF AMERICA ONLINE PMT (5.588.74) TOTAL AUTOMATED PAYMENTS ${56,408.89) MONEY MARKET FUND (MMF) AND BANK DEPOSIT PROGRAM ACTIVITY Date Activity Tl)!! Descril!tion Credits/(Debits) 7/8 Automatic Redemption BANK DEPOSIT PROGRAM $(1,338.48) 7111 Automatic Redemption BANK DEPOSIT PROGRAM (83,500.00) 7/14 Automatic Redemption BANK DEPOSIT PROGRAM (1 5,500.00) 7/15 Automatic Redemption BANK DEPOSIT PROGRAM (17,710.36) 7/16 Automatic Investment BANK DEPOSIT PROGRAM 166,666.66 7/21 Automatic Redemption BANK DEPOSIT PROGRAM (69.481 .26) 7/24 Automatic Redemption BANK DEPOSIT PROGRAM (5,588.74) 7/30 Automatic Investment BANK DEPOSIT PROGRAM 6.05 7/30 Automatic Investment BANK DEPOSIT PROGRAM 2.22 7/30 Automatic Redemption BANK DEPOSIT PROGRAM (20,000.00) NET ACTIVITY FOR PERIOD $(46,443.91) COPIES OF THIS STATEMENT HAVE ALSO BEEN SENT TO: LOU IS PLUNG AND COMPANY, LLP MESSAGES Morgan Stanley Debit Card Transaction.s Now Itemized by Individual Cardholder on Statement Beginning with this statement, you wil l see Morgan Stanley Debit Card transaction activity itemized by individual Cardholders under the "Debit Card Activity" section. Soon, transactions itemized by individual cardholder will also be available to view on Morgan Stanley Online at www.morganstanley.com/online. Please contact your Financial Advisor or Private Wealth Advisor if you have any questions regarding this update. FOIA Confidential Treatment Requested MS-USA0-0017742 Morgan Stanley CLIENT STATEMENT I Forthe Period July 1-31, 2014 PRIVATE WEALTH MANAGEMENT Page 7 of 8 The following Disclosures are applicable to the enclosed statement(s). value of the eligible securities in your margin accounts. If a security has upon request or at www.sipc.org. Losses due to market fluctuation are Expanded Disclosures are attached to your most recent June and eligible shares. the number of shares pledged as collateral will be not protected by SIPC and assets not held with us may not be covered December statement (or your first Statement if you have not received a indicated below the position. by SIPC protection. To obtain information about SIPC, Including an statement for those months). The Expanded Disclosures are also Margin Interest Charges explanatory SIPC brochure. contact SIPC at 1-202-371 -8300 or visit available by selecting Account Documents when you log on to We calculate interest charges on margin loans as follows: (1) multiply www.sipc.org. www.morganstanley.com/online or, call 800-869-3326. the applicable margin interest rate by the daily close of business net Transaction Dates and Conditions Questions? settled debit balance, and (2) divide by 360 (days). Margin intenest Upon written request. we wlll fumish the date and time of a transaction Questions regarding your account may be directed to your Financial accrues daily throughout the month and is added to your debit balance and the name of the other party to a transaction. We and/or our Advisor or the Branch Manager for the branch office where you at month-end. The month-end interest charge Is the sum of the daily affiliates may accept benefits that constitute payment for order flow. maintain your account. If you requine further assistance, call Client accrued interest calculations for the month. We add the accrued Details regarding these benefits and the source and amount of any Service Center at (800) 869·3326 or for account-related concerns call interest to your debit balance and start a new calculation each time the other remuneration received or to be received by us in connection with our Client Advocate at (866) 227-2256. applicable interest rate changes and at the close of every statement any transaction will be furnished upon written request. Errors and Inquiries month. For current margin loan interest rates, go to Equity Research Ratings Definitions and Consuhing Group Investment It is your responsibil ity to neview your statement promptly and to seek www.morganstanley.com/onlineJMIRates. Advisory Statuses immediate clarification about entries that you do not understand or lnfonnation regarding Special Memorandum .Acc;ount Some equity securities may have research ratings from Morgan Stanley believe were made in error by contacting the Branch Manager of the If you have a Margin Account, this is a combined statement of your & Co. LLC or Standard & Poor's. Research ratings ane the research office where you maintain your account. Oral communications Margin Account and Special Memorandum Account maintained for you provider's opinions and not representations or guarantees of regarding any inaccuracy or discrepancy in this statement should be under Section 220.5 of Regulation T Issued by the Board of Governors performance. For more information about each research provider's re-confirmed in writing to further protect your rights, including rights of the Federal Reserve System. The permanent record of the Special rating systems, see the Research Ratings and CG IAR Status Definitions under the Securities Investor Protection Act (SIPA). Your statement will Memorandum Account as required by Regulation T is available for your on your most recent June or December statement (or your first be deemed correct unless we receive a written inquiry of a suspected inspection at your request. statement if you have not received a statement for those months). go to error. See your account documentation for special rules regarding your Important lnfonnation About Auction Rate Securities www.morganstanley.com/online or refer to the nesearch provider's rights and responsibilities with respect to erroneous electronic fund Due to mar1\et conditions, certain Auction Rate Securities ane research report. Research reports contain more complete information transfers, including a description of the transfers covered. experiencing no or limited liquidity. Therefore, the price(s) for any concerning the analyst's views and you should read the entire research Availability of Free Credit Balances and Financial Statements Auction Rate Securities shown on this statement may not reflect the report and not infer its contents from the rating alone. If your account Under the customer protection rules of the SEC [17 CFR price(s) you would receive upon a sale at auction or in a secondary contains an advisory component or is an advisory account, CG IAR §240.15c3-3]. we may use funds comprising free credit balances mar1\et transaction. and are not an Indication of any offer to purchase statuses apply. carried for customer accounts here, provided that these funds are at such price. Credit Ratings from Moody's Investors Service and Standard & Poor's payable to customers on demand (i.e., are free or a lien or right of Structured Products The credit rating from Moody's Investors Service and Standard & Poor's set-off in our favor or on behalf of some third party to whom you have Structured Products are complex products and may be subject to may be shown for certain securities. All credit ratings represent the given control). A financial statement of this organization is available for special risks. Investors should consider the concentration risk of owning opinions of the provider and are not representations or guarantees of your personal Inspection at Its offices. or a copy will be mailed to you the related security and their tota l exposure to any underlying asset. performance. Your Financial Advisor will be pleased to provide you with upon your written request. Structured Products may not perform in a manner consistent with the further Information or assistance in interpreting these cnedit ratings. Usted Options statement product category where they appear and therefone may not Information with respect to commissions and other charges nelated to satisfy portfolio asset allocation needs for that category. Revised 07/2014 the execution of options transactions has been included in Security Measunes confirmations of such transactions previously furnished to you and such This statement features several embedded security elements to information will be made available to you promptly at your request. safeguard its authenticity. One is a unique security mar11--a blue Promptly advise us of any material change in your investment rectangle printed in heat-sensitive ink on the back side of every page. ol:!jectives or financial situation. When exposed to warmth. the blue nectangle will disappear. and then Important Information if you are a Margin Customer(not available for reappear. certain accounts such as IRAs or netiremenl accounts) SIPC Protection If you have margin privileges, you may borrow money from us in We are a member of Securities Investor Protection Corporation (SIPC), exchange for pledging assets in your accounts as collateral for any which protects securities of its customers up to $500,000 (including outstanding margin loan. The amount you may borrow is based on the $250,000 for claims for cash). An explanatory brochure Is available FOIA Confidential Treatment Requested MS-USA0-0017743
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