SCHEDULE 1 UNENCUMBERED CLIENT ASSETS - KPMG 2020-04-08آ  Col. 1 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7

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  • SCHEDULE 1

    UNENCUMBERED CLIENT ASSETS

  • Col. 1 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 12 Col. 13 Col. 14 Col. 15

    Schedule 1 Unencumbered Client Assets

    Col. 2 Col. 11Col. 1 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 10 Col. 12 Col. 13 Col. 14 Col. 15

    Grips R&N Shared Cost Specific Cost 3060324 AG9673 N/A /AU/VENTRUNL VENTUREAXESS CAPITAL D AU 37                  0 0.00 AUD 0.00 0.00 0.00 0.00 Delisted N/A Held

    AG9673 Total 0.00 0.00 0.00 0.00

    Date for  Return

    Retained  Client Assets

    StatusValue Sec Cur Value (GBP) Shortfall Share of costs (GBP)

    Return Procedure

    Col. 2 Col. 11

    CIS ID Account Code

    ISIN Sec Code Security Description Quantity Price

    AG9673 Total 0.00 0.00 0.00 0.00 5001226 37075 N/A COD COBALT USD 5                     29000 145,000.00 USD 89,833.34 0.00 6,088.48 TBNS TBNS 01/08/2012 Held

    37075 Total 89,833.34 6,088.48 TBNS TBNS 5007883 MCU2403 N/A US7170811035 PFIZER INC (GB) 180                0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

    MCU2403 Total 0.00 0.00 0.00 0.00MCU2403 Total 0.00 0.00 0.00 0.00 5007903 MCU2423 N/A GB0031383069 ALLIANZ DRES EURO IDX‐A 2,226             1.0977 2,443.48 GBP 2,443.48 0.00 165.61 50.00 Schedule 9 ‐ Part B 01/08/2012 Held

    MCU2423 Total 2,443.48 165.61 50.00 215.61 5009157 MCU3677 N/A GB0030913577 BT GROUP ORD 0.05 1,300             1.881 2,445.30 GBP 2,445.30 0.00 165.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5009157 MCU3677 N/A GB00B16GWD56 VODAFONE GROUP LN 21                  1.7285 36.30 GBP 36.30 0.00 2.46 1.00 Schedule 9 ‐ Part A 01/08/2012 Held/ / /

    MCU3677 Total 2,481.60 168.19 2.00 170.19 5009158 MCU3678 N/A CH0011075394 ZURICH FINL 16                  0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

    MCU3678 Total 0.00 0.00 0.00 0.00 5009378 MCU3898 N/A GB0034010081 PRESTBURY INVEST HOLD 1,666             0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held/ , /

    MCU3898 Total 0.00 0.00 0.00 0.00 5009486 MCU4006 N/A GB0004519541 YEOMAN INVEST 10,700           1 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

    MCU4006 Total 0.00 0.00 0.00 0.00 5010002 MCU4522 N/A GB0034010081 PRESTBURY INVEST HOLD 6,250             0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held 5010002 MCU4522 N/A SE0000869646 BOLIDEN AB (CAD) 250                14.52 3,630.00 CAD 2,264.08 0.00 153.45 35.00 Schedule 9 ‐ Part A 01/08/2012 Held 5010002 MCU4522 N/A US2935611069 ENRON (GB) 2,850             0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held 5010002 MCU4522 N/A US46625H1005 JPMORGAN CHASE & CO INC 435                34.76 15,120.60 USD 9,367.82 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held 5010002 MCU4522 N/A US912810FH69 TSY INFL IX 3.875% 04/29 40,000           2.1309525 85,238.10 USD 52,808.44 0.00 3,579.11 35.00 Schedule 9 ‐ Part A 01/08/2012 Held 5010002 MCU4522 N/A US9694571004 WILLIAMS COS INC 3,680             24.587 90,480.16 USD 56,056.11 0.00 3,799.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    MCU4522 Total 120,496.45 7,531.77 71.00 7,602.77 5010058 MCU4578 N/A US37944Y1064 GLOBAL MARINE LTD (GBP) 78                  0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

    MCU4578 Total 0.00 0.00 0.00 0.00 5010830 MCU5350 N/A CH0011075394 ZURICH FINL 20                  0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

    MCU5350 Total 0.00 0.00 0.00 0.00 5014111 AGCY087C N/A US1729674242 CITIGROUP INC US 12,500           31.59 394,875.00 USD 244,640.98 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

    AGCY087C Total 244,640.98 0.00 0.00 0.00 5016482 AG8678 N/A GB0007547838 ROYAL BANK OF SCOTLAND 120,000        0.2423 29,076.00 GBP 29,076.00 0.00 1,970.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5016482 AG8678 N/A GB0009252882 GLAXO SMITHKLINE 3                     14 42.00 GBP 42.00 0.00 2.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5016482 AG8678 N/A GB00B1722W11 DART GROUP PLC 199,957        0.69 137,970.33 GBP 137,970.33 0.00 9,350.98 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    AG8678 Total 167,088.33 11,324.46 3.00 11,327.46 5016649 MCU5379 N/A GB0004016704 SURGICAL INNOVATIONS GROU 40,000           0.09625 3,850.00 GBP 3,850.00 0.00 260.93 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    MCU5379 Total 3,850.00 260.93 1.00 261.93 5023658 MCU5829 N/A GB00B16GWD56 VODAFONE GROUP LN 437                1.7285 755.35 GBP 755.35 0.00 51.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    MCU5829 Total 755.35 51.19 1.00 52.19 5024760 44702 N/A AHD LME HI GD ALUMINIUM  USD 1                     54675 54,675.00 USD 33,873.37 0.00 2,295.78 TBNS TBNS 01/08/2012 Held

    44702 Total 33,873.37 2,295.78 TBNS TBNS 5025111 MCU5639 N/A GB0008433350 SILENCE THER. ORD 1P 17,700           0.02575 455.78 GBP 455.78 0.00 30.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5025111 MCU5639 N/A GB00B1VYCH82 THOMAS COOK GROU LN 1                     0.52 0.52 GBP 0.52 0.00 0.04 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5025111 MCU5639 N/A JE00B3DMTY01 WPP PLC LN 36                  6.46 232.56 GBP 232.56 0.00 15.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    MCU5639 Total 688.86 46.69 3.00 49.69 5026052 AG5728 N/A BMG3397M1091 FIBRECHEM TECH SP 5,935,000     0 0.00 SGD 0.00 0.00 0.00 0.00 Delisted N/A Held 5026052 AG5728 N/A GB00B068HW85 HARBINGER CAPITAL PLC 3,000,000     0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

    AG5728 Total 0.00 0.00 0.00 0.00 5026656 MCU5953 N/A XXXXXXXXXXNV ENECO HOLDING NV 6,666             0 0.00 EUR 0.00 0.00 0.00 0.00 Delisted N/A Held

    MCU5953 Total 0.00 0.00 0.00 0.00 5026914 MCU4709 N/A ES0177542018 INTERNATIONAL CONSOLID LN 327                1.667 545.11 GBP 545.11 0.00 36.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0002374006 DIAGEO 383                12.89 4,936.87 GBP 4,936.87 0.00 334.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0007188757 RIO TINTO 305                33.85 10,324.25 GBP 10,324.25 0.00 699.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0007908733 SSE PLC 683                13.44 9,179.52 GBP 9,179.52 0.00 622.14 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0008706128 LLOYDS BANKING GROUP PLC 1,444             0.32495 469.23 GBP 469.23 0.00 31.80 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    / / /5026914 MCU4709 N/A GB0008847096 TESCO 10,767           4.0175 43,256.42 GBP 43,256.42 0.00 2,931.72 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0009895292 ASTRAZENECA (UK LINE) 105                29.86 3,135.30 GBP 3,135.30 0.00 212.50 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    Page 1 of 16

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    Grips R&N Shared Cost Specific Cost Date for  Return

    Retained  Client Assets

    StatusValue Sec Cur Value (GBP) Shortfall Share of costs (GBP)

    Return Procedure

    Col. 2 Col. 11

    CIS ID Account Code

    ISIN Sec Code Security Description Quantity Price

    5026914 MCU4709 N/A GB0030913577 BT GROUP ORD 0.05 5,576             1.881 10,488.46 GBP 10,488.46 0.00 710.86 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0031274896 MARKS & SPENCER NEW ORD 1,238             3.219 3,985.12 GBP 3,985.12 0.00 270.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB0031348658 BARCLAYS PLC ORD SHARES 1,280             1.953 2,499.84 GBP 2,499.84 0.00 169.43 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB00B08SNH34 NATIONAL GRID PLC 754                6.175 4,655.95 GBP 4,655.95 0.00 315.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB00B19DVX61 INVENSYS PLC 150                2.255 338.25 GBP 338.25 0.00 22.92 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB00B39J2M42 UNITED UTILITIES LN 328                6.065 1,989.32 GBP 1,989.32 0.00 134.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB00B5KKT968 CABLE & WIRELESS LN 700                0.3624 253.68 GBP 253.68 0.00 17.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A GB00B5WB0X89 CABLE & WIRELESS WORLD LN 700                0.2796 195.72 GBP 195.72 0.00 13.26 1.00 Schedule 9 ‐ Part A 01/08/2012 Held 5026914 MCU4709 N/A US26138E1091 DR PEPPER SNAPPLE GROU US 240                37.45 8,988.00 USD 5,568.43 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held 5026914 MCU4709 N/A US50075N1046 KRAFT FOODS INC ‐ A 239                35.18 8,408.02 USD 5,209.11 0.00 353.05 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

    MCU4709 Total 107,030.57 6,876.62 16.00 6,892.62 5027842 MCU4477 N/A CH0014420878 UBS PRPRTY FD SW MIXD  SW 742                94.11 69,829.62 CHF 49,686.65 0.00 3,367.53 35.00 Schedule