Download pdf - SCHEDULE 1 UNENCUMBERED CLIENT ASSETS - KPMG · 2020-04-08 · 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

SCHEDULE 1

UNENCUMBERED CLIENT ASSETS

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Schedule 1Unencumbered Client Assets

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Grips R&N Shared Cost Specific Cost3060324 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) ShortfallShare of costs (GBP)

Return Procedure

Col. 2 Col. 11

CIS IDAccount Code

ISIN Sec Code Security Description Quantity Price

AG9673 Total 0.00 0.00 0.00 0.005001226 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 TBNS5007883 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 0.005007903 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 50.00 215.615009157 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 Held5009157 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 2.00 170.195009158 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 0.005009378 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 0.005009486 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 0.005010002 MCU4522 N/A GB0034010081 PRESTBURY INVEST HOLD 6,250 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held5010002 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 Held5010002 MCU4522 N/A US2935611069 ENRON (GB) 2,850 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held5010002 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‐Held5010002 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 Held5010002 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 7,602.775010058 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 0.005010830 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 0.005014111 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 0.005016482 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 Held5016482 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 Held5016482 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 11,327.465016649 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 1.00 261.935023658 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 52.195024760 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 TBNS5025111 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 Held5025111 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 Held5025111 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 49.695026052 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 Held5026052 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 0.005026656 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 0.005026914 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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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


Grips R&N Shared Cost Specific CostDate for Return



Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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 Held5026914 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‐Held5026914 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 6,892.625027842 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 9 ‐ Part A 01/08/2012 Held

MCU4477 Total 49,686.65 3,367.53 35.00 3,402.535027934 AG7011 N/A GB0002162385 AVIVA PLC 10,000 3.408 34,080.00 GBP 34,080.00 0.00 2,309.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5027934 AG7011 N/A GB00B3KSB238 LLOYDS LONDON LSE LLOY 85,000 0.7875 66,937.50 GBP 66,937.50 0.00 4,536.71 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5027934 AG7011 N/A IE00B59NXW72 IRISH LIFE & PER ID 874,221 0.033 28,849.29 EUR 28,849.29 0.00 1,955.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5027934 AG7011 N/A US74928P2074 ABNA NEW YORK 25,000 11.9 297,500.00 USD 184,313.24 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG7011 Total 314,180.03 8,801.76 3.00 8,804.765028100 PAM0002 N/A GB00B0DFPF10 EARTHPORT PLC 105 0.185 19.43 GBP 19.43 0.00 1.32 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

PAM0002 Total 19.43 1.32 1.00 2.325028100 PAM0004 N/A US16939U2042 CHINA HEALTH MAN US 8 0.001 0.01 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

PAM0004 Total 0.00 0.00 0.00 0.005028100 PAM0017 N/A US7170811035 PFIZER INC (US) 100 19.26 1,926.00 USD 1,193.23 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

PAM0017 Total 1,193.23 0.00 0.00 0.005028100 PAM0030 N/A SG1O53913362 STAMFORD TYRES CORP LTD 500,000 0.3 150,000.00 SGD 74,250.07 0.00 5,032.32 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

lPAM0030 Total 74,250.07 5,032.32 35.00 5,067.325028605 MCU6034 N/A CA58503R2090 MEDORO RES 2,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

MCU6034 Total 0.00 0.00 0.00 0.005028686 AG8750 N/A GB0008497975 MINOAN GROUP 50,000 0.0825 4,125.00 GBP 4,125.00 0.00 279.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5028686 AG8750 N/A GB0034386978 SBS GROUP PLC LN 792 978 0 0 00 GBP 0 00 0 00 0 00 0 00 D li d N/A H ld5028686 AG8750 N/A GB0034386978 SBS GROUP PLC LN 792,978 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held5028686 AG8750 N/A GB00B05LNF36 TERSUS ENER 134,344 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held5028686 AG8750 N/A GB00B1FNDK14 ADORIAN PLC LN 295,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

AG8750 Total 4,125.00 279.57 1.00 280.575037755 AG9193 N/A AU000000CUO8 COPPERCO LTD AU 152 020 0 0 00 AUD 0 00 0 00 0 00 0 00 D li t d N/A H ld5037755 AG9193 N/A AU000000CUO8 COPPERCO LTD AU 152,020 0 0.00 AUD 0.00 0.00 0.00 0.00 Delisted N/A Held5037755 AG9193 N/A BMG0620W2019 ASIAN CITRUS HOL LN 79 0.445 35.16 GBP 35.16 0.00 2.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5037755 AG9193 N/A ES0177542018 INTERNATIONAL CONSOLID LN 2 1.667 3.33 GBP 3.33 0.00 0.23 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5037755 AG9193 N/A GB0005405286 HSBC HOLDINGS PLC (GBP) 60 5.449 326.94 GBP 326.94 0.00 22.16 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5037755 AG9193 N/A GB0006616899 RSA INS ORD 27 5P 101 1 117 112 82 GBP 112 82 0 00 7 65 1 00 S h d l 9 P t A 01/08/2012 H ld5037755 AG9193 N/A GB0006616899 RSA INS. ORD 27.5P 101 1.117 112.82 GBP 112.82 0.00 7.65 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5037755 AG9193 N/A GB00B24CGK77 RECKITT BENCKISE LN 56 31.98 1,790.88 GBP 1,790.88 0.00 121.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5037755 AG9193 N/A US3723091043 GENMARK DIAGNOSTICS IN US 2 5.27 10.54 USD 6.53 0.00 0.44 50.00 Schedule 9 ‐ Part B 01/08/2012 Held5037755 AG9193 N/A USU529641008 LIFELINE SCIENTIFIC IN LN 7,500 1.725 12,937.50 GBP 12,937.50 0.00 876.84 50.00 Schedule 9 ‐ Part B 01/08/2012 Held

AG9193 Total 15 213 16 1 031 08 105 00 1 136 08AG9193 Total 15,213.16 1,031.08 105.00 1,136.085038129 AG5176 N/A AU000000ANZ3 AUST & NZ BANK 1,742 21.68 37,766.56 AUD 24,825.19 0.00 1,682.53 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A BE0003565737 KBC BANCASSURANC 260 16.23 4,219.80 EUR 3,646.88 0.00 247.17 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A BMG210821051 CHINA YUCHAI INTL LTD 1,000 15.2 15,200.00 USD 9,417.01 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A CA0679011084 BARRICK GOLD CRP (USD) 500 49 5 24 750 00 USD 15 333 62 0 00 0 00 0 00 Not Held No Return N/A Not Held5038129 AG5176 N/A CA0679011084 BARRICK GOLD CRP (USD) 500 49.5 24,750.00 USD 15,333.62 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A CA1535011011 CENTRAL FUND CANADA CL US 4,300 22.58 97,094.00 USD 60,153.65 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A CA46430D1042 ISHARES US HY BD CN 5,800 20.39 118,262.00 CAD 73,761.62 0.00 4,999.21 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A CA73755L1076 POTASH CORP OF SASKATC CN 116 47.18 5,472.88 CAD 3,413.51 0.00 231.35 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A CA85207K1075 SPROTT PHYSICAL SILVER US 1 950 15 54 30 303 00 USD 18 773 93 0 00 0 00 0 00 Not Held No Return N/A Not Held5038129 AG5176 N/A CA85207K1075 SPROTT PHYSICAL SILVER US 1,950 15.54 30,303.00 USD 18,773.93 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A CH0012138530 CREDIT SUISSE GROUP CHF3 1,600 25.6 40,960.00 CHF 29,144.73 0.00 1,975.29 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A CH0024899483 UBS AG‐REG US 11,584 12.62 146,190.08 USD 90,570.65 0.00 6,138.45 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A CH0102484968 JULIUS BAER GROU VX 1,200 33.34 40,008.00 CHF 28,467.34 0.00 1,929.38 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A CH0102659627 GAM HOLDING 1 200 10 55 12 660 00 CHF 9 008 11 0 00 610 53 35 00 Schedule 9 Part A 01/08/2012 Held5038129 AG5176 N/A CH0102659627 GAM HOLDING 1,200 10.55 12,660.00 CHF 9,008.11 0.00 610.53 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A DE0005140008 DEUTSCHE BK 2,460 30.345 74,648.70 EUR 64,513.61 0.00 4,372.43 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A DE0007100000 DAIMLERCHRYSLER ADR (USD) 75 50.84 3,813.00 USD 2,362.31 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A DE0008032004 COMMERZBANK AG 6,109 1.783 10,892.35 EUR 9,413.49 0.00 638.00 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A DE0008404005 ALLIANZ AG‐REG 400 81 21 32 484 00 EUR 28 073 63 0 00 1 902 70 35 00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A DE0008404005 ALLIANZ AG‐REG 400 81.21 32,484.00 EUR 28,073.63 0.00 1,902.70 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A ES0126775032 DISTRIBUIDORA IN SM 1,000 3.305 3,305.00 EUR 2,856.28 0.00 193.59 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 2 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


5038129 AG5176 N/A FR0000120172 CARREFOUR 800 19.23 15,384.00 EUR 13,295.31 0.00 901.09 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A FR0000120271 TOTAL S A 1,375 37.815 51,995.63 EUR 44,936.16 0.00 3,045.56 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A FR0000125007 ST GOBAIN 2,400 33.69 80,856.00 EUR 69,878.14 0.00 4,736.01 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A FR0000131104 BNP PARIBAS (FR) 440 32.85 14,454.00 EUR 12,491.57 0.00 846.62 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0000566504 BHP BILLITON PLC 2,000 19.675 39,350.00 GBP 39,350.00 0.00 2,666.96 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0002162385 AVIVA PLC 2,200 3.408 7,497.60 GBP 7,497.60 0.00 508.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0002748050 DOMINO PRINTING SCIENCES 1,000 5.74 5,740.00 GBP 5,740.00 0.00 389.03 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0005405286 HSBC HOLDINGS PLC (GBP) 102 5.449 555.80 GBP 555.80 0.00 37.67 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0005603997 LEGAL & GENERAL 5,520 1.105 6,099.60 GBP 6,099.60 0.00 413.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0007547838 ROYAL BANK OF SCOTLAND 2,685,257 0.2423 650,637.77 GBP 650,637.77 0.00 44,097.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0007980591 BP PLC 1,844 4.61 8,500.84 GBP 8,500.84 0.00 576.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0008706128 LLOYDS BANKING GROUP PLC 1,556,162 0.32495 505,674.84 GBP 505,674.84 0.00 34,272.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0009252882 GLAXO SMITHKLINE 485 14 6,790.00 GBP 6,790.00 0.00 460.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0009895292 ASTRAZENECA (UK LINE) 250 29.86 7,465.00 GBP 7,465.00 0.00 505.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0031348658 BARCLAYS PLC ORD SHARES 239,503 1.953 467,749.36 GBP 467,749.36 0.00 31,701.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0031411001 XSTRATA PLC LN 19,000 10.455 198,645.00 GBP 198,645.00 0.00 13,463.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB0031718066 YELL GROUP PLC 100,000 0.0361 3,610.00 GBP 3,610.00 0.00 244.67 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 56 22.06 1,235.36 GBP 1,235.36 0.00 83.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B03MM408 ROYAL DUTCH SHELL ‐ B SHS 2,260 22.355 50,522.30 GBP 50,522.30 0.00 3,424.16 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B08SNH34 NATIONAL GRID PLC 10,395 6.175 64,189.13 GBP 64,189.13 0.00 4,350.43 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B0LCW083 HIKMA PHARMACEUTICALS LN 600 6.745 4,047.00 GBP 4,047.00 0.00 274.29 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ / /5038129 AG5176 N/A GB00B16GWD56 VODAFONE GROUP LN 4,600 1.7285 7,951.10 GBP 7,951.10 0.00 538.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B19NKB76 HOME RETAIL LN 5,000 1.001 5,005.00 GBP 5,005.00 0.00 339.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B19NLV48 EXPERIAN PLC 3,369 8.105 27,305.75 GBP 27,305.75 0.00 1,850.65 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B24CGK77 RECKITT BENCKISE LN 192 31.98 6,140.16 GBP 6,140.16 0.00 416.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ h d l / / ld5038129 AG5176 N/A GB00B2823H99 E‐THERAPEUTICS PLC LN 25,000 0.2925 7,312.50 GBP 7,312.50 0.00 495.61 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B4JZFN18 DIGNITY PLC LN 500 8.165 4,082.50 GBP 4,082.50 0.00 276.69 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B61D2N63 AFRICAN BARRICK GOLD L LN 66,000 5.4 356,400.00 GBP 356,400.00 0.00 24,155.10 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A GB00B6774699 ABCAM PLC LN 1,325 3.7 4,902.50 GBP 4,902.50 0.00 332.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A IE0003072950 ELAN CORP (EURO) 2 000 8 52 17 040 00 EUR 14 726 47 0 00 998 09 1 00 S h d l 9 P A 01/08/2012 H ld5038129 AG5176 N/A IE0003072950 ELAN CORP (EURO) 2,000 8.52 17,040.00 EUR 14,726.47 0.00 998.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A IE0032895942 ISHARES MARKIT IBOXX US U 1,200 108 129,600.00 USD 80,292.42 0.00 5,441.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A MHY7388L1039 SAFE BULKERS INC US 2,000 6.84 13,680.00 USD 8,475.31 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A NL0000009132 AKZO NOBEL 400 38.215 15,286.00 EUR 13,210.61 0.00 895.35 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A US0047641065 ACME PACKET INC US 275 36 21 9 957 75 USD 6 169 23 0 00 0 00 0 00 N t H ld N R t N/A N t H ld5038129 AG5176 N/A US0047641065 ACME PACKET INC US 275 36.21 9,957.75 USD 6,169.23 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0079031078 ADVANCED MICRO DEVICE US 420 5.83 2,448.60 USD 1,517.01 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0258161092 AMER EXPRESS 125 50.62 6,327.50 USD 3,920.14 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US03485P2011 ANGLO AMER‐ADR US 1,600 18.35 29,360.00 USD 18,189.70 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0357104092 ANNALY MORTGAGE MGMNT 550 16 85 9 267 50 USD 5 741 59 0 00 0 00 0 00 N t H ld N R t N/A N t H ld5038129 AG5176 N/A US0357104092 ANNALY MORTGAGE MGMNT 550 16.85 9,267.50 USD 5,741.59 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0378331005 APPLE INC 413 404.78 167,174.14 USD 103,571.12 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0526601077 AUTHENTEC INC US 3,600 3.65 13,140.00 USD 8,140.76 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US05382A1043 AVIVA PLC ‐ SPON ADR US 465 10.95 5,091.75 USD 3,154.54 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0559211000 BMC SOFTWARE INC 1 108 34 76 38 514 08 USD 23 861 02 0 00 0 00 0 00 Not Held No Return N/A Not Held5038129 AG5176 N/A US0559211000 BMC SOFTWARE INC 1,108 34.76 38,514.08 USD 23,861.02 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0605051046 BANK OF AMERICA CORP (US) 62,040 6.83 423,733.20 USD 262,519.79 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US06738E2046 BARCLAYS PLC ADR 500 12.51 6,255.00 USD 3,875.22 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0846707026 BERKSHIRE HATH‐B US 145 77.86 11,289.70 USD 6,994.42 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0865161014 BEST BUY CO INC 2 000 26 23 52 460 00 USD 32 501 08 0 00 0 00 0 00 Not Held No Return N/A Not Held5038129 AG5176 N/A US0865161014 BEST BUY CO INC 2,000 26.23 52,460.00 USD 32,501.08 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US0886061086 BHP BILLITON LTD‐SPONS AD 14,000 78.08 1,093,120.00 USD 677,231.89 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US1651671075 CHESAPEAKE ENERGY CORP 1,000 28.12 28,120.00 USD 17,421.47 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US16939P1066 CHINA LIFE INSURANCE C US 4,000 38.75 155,000.00 USD 96,028.75 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US17275R1023 CISCO SYSTEMS (USD) 20 000 18 53 370 600 00 USD 229 601 64 0 00 0 00 0 00 Not Held No Return N/A Not Held5038129 AG5176 N/A US17275R1023 CISCO SYSTEMS (USD) 20,000 18.53 370,600.00 USD 229,601.64 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US1729674242 CITIGROUP INC US 20,215 31.59 638,591.85 USD 395,633.39 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US2254011081 CREDIT SUISSE GRP SPON AD 800 28.97 23,176.00 USD 14,358.47 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US23283K1051 CYTORI THERAPEUT US 3,030 3.03 9,180.90 USD 5,687.94 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US24702R1014 DELL INC COM 250 15 81 3 952 50 USD 2 448 73 0 00 0 00 0 00 Not Held No Return N/A Not Held5038129 AG5176 N/A US24702R1014 DELL INC COM 250 15.81 3,952.50 USD 2,448.73 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US2692464017 E*TRADE FINANCIA US 150 10.85 1,627.50 USD 1,008.30 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US3134003017 FREDDIE MAC 20,000 0.25 5,000.00 USD 3,097.70 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US3135861090 FANNIE MAE 20,000 0.247 4,940.00 USD 3,060.53 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US3453708600 FORD MOTOR COMPANY (US) 4 000 11 68 46 720 00 USD 28 944 92 0 00 0 00 0 00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US3453708600 FORD MOTOR COMPANY (US) 4,000 11.68 46,720.00 USD 28,944.92 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US3696041033 GENERAL ELECTRIC CO (US) 325 16.71 5,430.75 USD 3,364.57 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

Page 3 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


5038129 AG5176 N/A US37517Y1038 GIGOPTIX INC US 4,800 1.9 9,120.00 USD 5,650.21 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US38045R1077 GOL LINHAS AEREAS INTEL ‐ 1,500 8.02 12,030.00 USD 7,453.07 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US40124Q2084 GUARANTY TR‐GDR LI 6,250 4.6 28,750.00 USD 17,811.78 0.00 1,207.20 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG5176 N/A US40415F1012 HDFC BANK LTD‐ADR 1,080 31.66 34,192.80 USD 21,183.82 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US4282361033 HEWLETT‐PACKARD 1,500 26.61 39,915.00 USD 24,728.95 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US4581401001 INTEL CORP (US) 5,500 24.54 134,970.00 USD 83,619.35 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US4642864007 ISHARES MSCI BRAZIL 2,560 62.37 159,667.20 USD 98,920.27 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US4642868305 ISHARES MSCI MALAYSIA 1,063 13.88 14,754.44 USD 9,140.97 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US4642868719 ISHARES MSCI HONG KNG IND 1,000 16.19 16,190.00 USD 10,030.36 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US46428Q1094 ISHARES SILVER TRUST US 1,000 33.44 33,440.00 USD 20,717.43 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US46625H1005 JPMORGAN CHASE & CO INC 830 34.76 28,850.80 USD 17,874.23 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US48203R1041 JUNIPER NETWORKS INC 300 24.47 7,341.00 USD 4,548.05 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US5249011058 LEGG MASON INC 130 27.5 3,575.00 USD 2,214.86 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US5394391099 LLOYDS TSB GRP PLC ‐ SP A 2,625 2.06 5,407.50 USD 3,350.16 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US5609051017 MALAYSIA FUND INC US 15,200 10.23 155,496.00 USD 96,336.04 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US57060U3086 MARKET VECTORS STEEL I US 6,000 52.79 316,740.00 USD 196,233.19 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US57060U5891 MARKET VECTORS JR GOLD US 500 31.13 15,565.00 USD 9,643.14 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US57636Q1040 MASTERCARD INC‐A US 28 347.24 9,722.72 USD 6,023.62 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US58471A1051 MEDIDATA SOLUTIONS INC US 560 17.98 10,068.80 USD 6,238.03 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US5949181045 MICROSOFT CORP (USD) 985 26.63 26,230.55 USD 16,250.88 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US59509C1053 MICROMET INC US 14,062 6.57 92,387.34 USD 57,237.68 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

/ /5038129 AG5176 N/A US6174464486 MORGAN ST DEAN W 100 17.64 1,764.00 USD 1,092.87 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US61745C1053 MORGAN STANLEY INDIA I US 27,700 17.69 490,013.00 USD 303,582.80 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US6549022043 NOKIA ADR (USD) 2,500 6.73 16,825.00 USD 10,423.77 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US6778621044 LUKOIL ‐ SPON ADR (L INT) 160 58.2 9,312.00 USD 5,769.16 0.00 391.01 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ ld / ld5038129 AG5176 N/A US7134481081 PEPSICO INC 200 62.95 12,590.00 USD 7,800.01 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US7170811035 PFIZER INC (US) 5,000 19.26 96,300.00 USD 59,661.73 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US74347W8414 PROSHARES ULTRA SILVER US 400 67.37 26,948.00 USD 16,695.37 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US8552441094 STARBUCKS CORP 1,500 42.36 63,540.00 USD 39,365.59 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US89151E1091 TOTAL S A SPON A 7 000 52 3 366 100 00 USD 226 813 70 0 00 0 00 0 00 N H ld N R N/A N H ld5038129 AG5176 N/A US89151E1091 TOTAL S.A. ‐SPON A 7,000 52.3 366,100.00 USD 226,813.70 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US8923313071 TOYOTA MOTOR CORP SPON AD 40 66.71 2,668.40 USD 1,653.18 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US9029733048 US BANCORP INC 450 25.59 11,515.50 USD 7,134.32 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US90335C1009 US HOME SYSTEMS INC US 2,500 5.39 13,475.00 USD 8,348.31 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US9108734057 UNITED MICROELECTRON S US 700 2 23 1 561 00 USD 967 10 0 00 0 00 0 00 N t H ld N R t N/A N t H ld5038129 AG5176 N/A US9108734057 UNITED MICROELECTRON‐S US 700 2.23 1,561.00 USD 967.10 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US92826C8394 VISA INC‐CLASS A SHRS US 1,600 93.26 149,216.00 USD 92,445.33 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US9287081064 VOLTERRA SEMICONDUCTOR US 485 23.7 11,494.50 USD 7,121.31 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US9497461015 WELLS FARGO CO 1,920 25.91 49,747.20 USD 30,820.40 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A US9814751064 WORLD FUEL SERVICES CORP 1 000 39 85 39 850 00 USD 24 688 68 0 00 0 00 0 00 N t H ld N R t N/A N t H ld5038129 AG5176 N/A US9814751064 WORLD FUEL SERVICES CORP 1,000 39.85 39,850.00 USD 24,688.68 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5038129 AG5176 N/A CH0024899483 UBS AG‐REG VX 16,822 11.21 188,574.62 CHF 134,178.61 0.00 9,093.99 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5176 Total 6,830,262.90 218,351.18 727.00 219,078.185038129 AG6315 N/A CA0636711016 BANK MONTREAL (CAD) 405 58.89 23,850.45 CAD 14,875.85 0.00 1,008.21 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG6315 N/A CA1360691010 CAN IMPL BK COMM 405 75 1 30 415 50 CAD 18 970 56 0 00 1 285 73 35 00 Schedule 9 Part A 01/08/2012 Held5038129 AG6315 N/A CA1360691010 CAN IMPL BK COMM 405 75.1 30,415.50 CAD 18,970.56 0.00 1,285.73 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG6315 N/A CA2119061026 CONTL PRECIOUS MINERAL CN 64,310 0.29 18,649.90 CAD 11,632.20 0.00 788.38 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG6315 N/A CA58516W1041 MEGA URANIUM LTD CN 12,000 0.32 3,840.00 CAD 2,395.06 0.00 162.33 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG6315 N/A CA72765Y1097 PLATMIN LTD CN 55,000 0.28 15,400.00 CAD 9,605.19 0.00 650.99 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG6315 N/A CA8911605092 TORONTO DOMINION BK (CAD) 404 75 23 30 392 92 CAD 18 956 48 0 00 1 284 78 35 00 Schedule 9 Part A 01/08/2012 Held5038129 AG6315 N/A CA8911605092 TORONTO‐DOMINION BK (CAD) 404 75.23 30,392.92 CAD 18,956.48 0.00 1,284.78 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5038129 AG6315 N/A CA91701P1053 URANIUM ONE INC CN 5,000 3 15,000.00 CAD 9,355.70 0.00 634.09 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6315 Total 85,791.04 5,814.51 245.00 6,059.515039330 AG8175 N/A CA54928Q1081 LUCARA DIAMOND CORP CN 1,300 0.88 1,144.00 CAD 713.53 0.00 48.36 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5039330 AG8175 N/A GB00B09WLX62 CLONTARF ENERGY PLC LN 23 000 0 04125 948 75 GBP 948 75 0 00 64 30 1 00 Schedule 9 Part A 01/08/2012 Held5039330 AG8175 N/A GB00B09WLX62 CLONTARF ENERGY PLC LN 23,000 0.04125 948.75 GBP 948.75 0.00 64.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039330 AG8175 N/A GB00B28KQ186 MAN GROUP PLC LN 4,015 1.499 6,018.49 GBP 6,018.49 0.00 407.90 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039330 AG8175 N/A GB00B5TFC825 BOTSWANA DIA ORD LONDON 1,625 0.025 40.63 GBP 40.63 0.00 2.75 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039330 AG8175 N/A IE0003186172 PETROCELTIC INTERNATIONAL 4,800 0.0601 288.48 GBP 288.48 0.00 19.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039330 AG8175 N/A IE00B2357X72 CONNEMARA MINING COMPA LN 6 500 0 1275 828 75 GBP 828 75 0 00 56 17 1 00 Schedule 9 Part A 01/08/2012 Held5039330 AG8175 N/A IE00B2357X72 CONNEMARA MINING COMPA LN 6,500 0.1275 828.75 GBP 828.75 0.00 56.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8175 Total 8,838.62 599.04 40.00 639.045039740 AG8247 N/A CA74975F2017 RESIN SYSTEMS 28 0 0.00 CAD 0.00 0.00 0.00 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A GB0003450359 JPMORGAN INDIAN INV TRUST 6,000 3.802 22,812.00 GBP 22,812.00 0.00 1,546.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A GB00B00FHZ82 GOLD BULLION SEC LN 600 103 435 62 061 00 GBP 62 061 00 0 00 4 206 20 1 00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A GB00B00FHZ82 GOLD BULLION SEC LN 600 103.435 62,061.00 GBP 62,061.00 0.00 4,206.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A GB00B06QGC57 XTRACT ENERGY PLC 250,000 0.01725 4,312.50 GBP 4,312.50 0.00 292.28 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 4 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


5039740 AG8247 N/A GB00B16GWD56 VODAFONE GROUP LN 33,389 1.7285 57,712.89 GBP 57,712.89 0.00 3,911.51 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A GB00B2N7FW85 NORSEMAN GOLD PL LN 25,000 0.0725 1,812.50 GBP 1,812.50 0.00 122.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A JE00B1VS3333 ETFS PHYSICAL SILVER LN 870 33.41302 29,069.33 USD 18,009.62 0.00 1,220.61 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039740 AG8247 N/A US4254661097 HENDRX CORP US 4,500 0.001 4.50 USD 2.79 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039740 AG8247 N/A US55348A1025 MRU HOLDINGS INC US 2,500 0.0008 2.00 USD 1.24 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039740 AG8247 N/A US6516391066 NEWMONT MINING CORP HLD C 200 66.83 13,366.00 USD 8,280.78 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039740 AG8247 N/A US78347P1021 RX PROCES 69,630 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039740 AG8247 N/A US98385L1026 XSUNX INC US 3,000 0.056 168.00 USD 104.08 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG8247 Total 175,109.39 11,299.53 41.00 11,340.535039824 AG9004 N/A GB00B0RFL714 TREVERIA PLC 740,000 0.155 114,700.00 EUR 99,127.13 0.00 6,718.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039824 AG9004 N/A XS0247214264 GSHAM .000000 03/23/26 754,000 0 0.00 EUR 0.00 0.00 0.00 0.00 Delisted N/A Held

AG9004 Total 99,127.13 6,718.37 1.00 6,719.376000996 11086 N/A NID LME NICKEL (USD) 4 115350 461,400.00 USD 285,855.89 0.00 19,373.96 TBNS TBNS 01/08/2012 Held

11086 Total 285,855.89 19,373.96 TBNS TBNS6001049 AG6551 N/A US8964383066 TRINITY BIOTECH SPON ADR 120,000 10.28 1,233,600.00 USD 764,264.92 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG6551 Total 764,264.92 0.00 0.00 0.006006289 MCU5084 N/A XXXXXXXXXXXX CAPLAY PLC B WARRANT 6,000,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

MCU5084 Total 0.00 0.00 0.00 0.006009181 10510 N/A COD COBALT USD 2 29000 58,000.00 USD 35,933.34 0.00 2,435.39 TBNS TBNS 01/08/2012 Held

10510 Total 35,933.34 2,435.39 TBNS TBNS6013852 AG8951 N/A GB0000510312 BANK IREL13.375 13 3/8% U 160,000 0.486 77,760.00 GBP 77,760.00 0.00 5,270.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ / / /6013852 AG8951 N/A GB0000510312 BANK IREL13.375 13 3/8% U 90,000 0.486 43,740.00 GBP 43,740.00 0.00 2,964.49 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6013852 AG8951 N/A GB0002162385 AVIVA PLC 20,000 3.408 68,160.00 GBP 68,160.00 0.00 4,619.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6013852 AG8951 N/A GB00B3KS9W93 LLOYDS LONDON LSE LLOY LN 1,220,000 0.775 945,500.00 GBP 945,500.00 0.00 64,081.51 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6013852 AG8951 N/A GB00B3KSB238 LLOYDS LONDON LSE LLOY 180,000 0.7875 141,750.00 GBP 141,750.00 0.00 9,607.14 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ & l d / ld6013852 AG8951 N/A IE00B59NXW72 IRISH LIFE & PER 500,000 0 0.00 EUR 0.00 0.00 0.00 0.00 Delisted N/A HeldAG8951 Total 1,276,910.00 86,542.91 5.00 86,547.91

6019871 MCU5922 N/A GB0000811801 BARRATT 50,000 0.888 44,400.00 GBP 44,400.00 0.00 3,009.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6019871 MCU5922 N/A GB0008782301 TAYLOR WIMPEY PLC 100,000 0.3695 36,950.00 GBP 36,950.00 0.00 2,504.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6019871 MCU5922 N/A GB00B0H1P667 MAX PETROLEUM PL LN 200 000 0 1475 29 500 00 GBP 29 500 00 0 00 1 999 37 1 00 S h d l 9 P A 01/08/2012 H ld6019871 MCU5922 N/A GB00B0H1P667 MAX PETROLEUM PL LN 200,000 0.1475 29,500.00 GBP 29,500.00 0.00 1,999.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

MCU5922 Total 110,850.00 7,512.89 3.00 7,515.896021092 AGCY405C N/A AU000000BKY0 BERKELEY RESOURC AU 30,900 0.325 10,042.50 AUD 6,601.26 0.00 447.40 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY405C Total 6,601.26 447.40 35.00 482.406048834 AG6171 N/A CH0046417595 JCTRST 0 09/30/13 3 000 000 0 0 00 EUR 0 00 0 00 0 00 0 00 D li t d N/A H ld6048834 AG6171 N/A CH0046417595 JCTRST 0 09/30/13 3,000,000 0 0.00 EUR 0.00 0.00 0.00 0.00 Delisted N/A Held

AG6171 Total 0.00 0.00 0.00 0.006049462 AG5415 N/A CH0011037469 SYNGENTA AG 1,275 268.5 342,337.50 CHF 243,587.23 0.00 16,509.19 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A CH0012032048 ROCHE HLDS AG‐GENUS 1,000 144.7 144,700.00 CHF 102,960.01 0.00 6,978.14 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A CH0126881561 SWISS RE LTD VX 7 500 48 23 361 725 00 CHF 257 382 24 0 00 17 444 15 35 00 S h d l 9 P t A 01/08/2012 H ld6049462 AG5415 N/A CH0126881561 SWISS RE LTD VX 7,500 48.23 361,725.00 CHF 257,382.24 0.00 17,444.15 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A FR0000120578 SANOFI 5,830 51.96 302,926.80 EUR 261,798.29 0.00 17,743.45 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A GB0002162385 AVIVA PLC 55,455 3.408 188,990.64 GBP 188,990.64 0.00 12,808.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A GB00B0SJNV03 ELDERS‐SER 17B GU 3,000,000 0.9575 2,872,500.00 GBP 2,872,500.00 0.00 194,684.44 TBNS Redemption ‐ Bank Transfer 01/08/2012 Held6049462 AG5415 N/A GG00B1HQ2W32 FTSE CAP PROTECED III SHS 230 000 0 8375 192 625 00 GBP 192 625 00 0 00 13 055 21 1 00 Schedule 9 Part A 01/08/2012 Held6049462 AG5415 N/A GG00B1HQ2W32 FTSE CAP PROTECED III SHS 230,000 0.8375 192,625.00 GBP 192,625.00 0.00 13,055.21 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A GG00B1HQ3B93 EUROPE CAP PROTECTED II S 851,000 0.83 706,330.00 GBP 706,330.00 0.00 47,871.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A GG00B4PH8P49 ELDeRS Inv Co Class 16 LO 70,000 1.5425 107,975.00 GBP 107,975.00 0.00 7,318.03 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A HK0017000149 NEW WORLD DEV HK 318,055 8.33 2,649,398.15 HKD 211,393.77 0.00 14,327.27 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A NL0000303709 AEGON NV NA 102 100 3 475 354 797 50 EUR 306 626 48 0 00 20 781 69 35 00 Schedule 9 Part A 01/08/2012 Held6049462 AG5415 N/A NL0000303709 AEGON NV NA 102,100 3.475 354,797.50 EUR 306,626.48 0.00 20,781.69 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A SG1L01001701 DBS GROUP HLDGS SP 16,137 12.36 199,453.32 SGD 98,729.49 0.00 6,691.42 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6049462 AG5415 N/A US05382A1043 AVIVA PLC ‐ SPON ADR US 19,000 10.95 208,050.00 USD 128,895.36 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6049462 AG5415 N/A US0556221044 BP PLC ‐ SPONS ADR 5,300 44.18 234,154.00 USD 145,067.84 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6049462 AG5415 N/A US4642867729 ISHARES MSCI SOUTH KOREA 6 110 55 4 338 494 00 USD 209 710 67 0 00 0 00 0 00 Not Held No Return N/A Not Held6049462 AG5415 N/A US4642867729 ISHARES MSCI SOUTH KOREA 6,110 55.4 338,494.00 USD 209,710.67 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6049462 AG5415 N/A XS0453151184 BACR 0 10/02/14 370,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

AG5415 Total 6,034,572.03 376,213.58 TBNS TBNS6049892 GL234 N/A AHD LME HI GD ALUMINIUM USD 17 54675 929,475.00 USD 575,847.22 0.00 39,028.20 TBNS TBNS 01/08/2012 Held

GL234 Total 575 847 22 39 028 20 TBNS TBNSGL234 Total 575,847.22 39,028.20 TBNS TBNS6055165 10800 N/A FMD Med Steel Billet‐LME 274 35360 9,688,640.00 USD 6,002,502.94 0.00 406,821.21 TBNS Previously Returned N/A Previously Returned

10800 Total 6,002,502.94 406,821.21 TBNS TBNS6072973 AG5953 N/A DK0060083566 TRIGON AGRI A/S SS 96,349 8.7 838,236.30 SEK 80,323.92 0.00 5,443.97 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A FI0009000681 NOKIA OYJ FH 30 000 4 87 146 100 00 EUR 126 263 94 0 00 8 557 57 35 00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A FI0009000681 NOKIA OYJ FH 30,000 4.87 146,100.00 EUR 126,263.94 0.00 8,557.57 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A FR0000053225 M6‐METROPOLE TELEVISION 5,000 12.42 62,100.00 EUR 53,668.65 0.00 3,637.41 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 5 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6072973 AG5953 N/A FR0000120172 CARREFOUR 4,500 19.23 86,535.00 EUR 74,786.10 0.00 5,068.65 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A FR0000120578 SANOFI 2,000 51.96 103,920.00 EUR 89,810.73 0.00 6,086.95 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A FR0000125460 Societe d'Edition de Cana 10,000 4.408 44,080.00 EUR 38,095.24 0.00 2,581.91 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB0007980591 BP PLC 17,500 4.61 80,675.00 GBP 80,675.00 0.00 5,467.77 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB00B0351429 CERES POWER HOLDINGS PLC 159,301 0.1575 25,089.91 GBP 25,089.91 0.00 1,700.48 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB00B05NYM32 INVESCO LEVERAGED HIGH LN 400,000 0.54125 216,500.00 GBP 216,500.00 0.00 14,673.34 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB00B11SZ269 OXFORD CATALYSTS GROUP LN 65,000 0.5275 34,287.50 GBP 34,287.50 0.00 2,323.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB00B1F4K366 PLANT IMPACT PLC LN 350,000 0.225 78,750.00 GBP 78,750.00 0.00 5,337.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB00B1FMH067 FIBERWEB PLC LN 111,771 0.41 45,826.11 GBP 45,826.11 0.00 3,105.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GB00B1XF5X66 MODERN WATER PLC LN 45,000 0.52 23,400.00 GBP 23,400.00 0.00 1,585.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A GG00B1G3RS66 Phaunos Timber Fund Limit 70,000 0.70125 49,087.50 USD 30,411.68 0.00 2,061.16 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A IE0030606259 BANK OF IRELAND(SETS EURO 700,000 0.104 72,800.00 EUR 62,915.91 0.00 4,264.14 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A IM00B1HWL911 UNITECH CORPORATE PARK LN 149,543 0.2625 39,255.04 GBP 39,255.04 0.00 2,660.52 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A IM00B1W65B86 SPEYMILL DEUTSCH LN 480,000 0 0.00 EUR 0.00 0.00 0.00 0.00 Delisted N/A Held6072973 AG5953 N/A IM00B28QLQ61 LANDKOM INTERNATIONAL LN 4,600,000 0.03125 143,750.00 GBP 143,750.00 0.00 0.00 0.00 Delisted N/A Held6072973 AG5953 N/A JE00B2Q4TN56 HERITAGE OIL PLC LN 36,000 2.187 78,732.00 GBP 78,732.00 0.00 5,336.08 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A KYG2046Q1073 CHAODA MODERN HK 420,000 1.1 462,000.00 HKD 36,862.68 0.00 2,498.38 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A KYG6846J1067 PACIFIC ALLIANCE ASIA LN 65,800 1.075 70,735.00 USD 43,823.18 0.00 2,970.13 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A LU0269583422 GAGFAH SA GY 33,500 4.66 156,110.00 EUR 134,914.87 0.00 9,143.89 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A NL0000852549 CSM ‐CVA NA 4,000 10.75 43,000.00 EUR 37,161.87 0.00 2,518.66 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072973 AG5953 N/A US0605051046 BANK OF AMERICA CORP (US) 8,800 6.83 60,104.00 USD 37,236.85 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

/ /6072973 AG5953 N/A US1729674242 CITIGROUP INC US 2,700 31.59 85,293.00 USD 52,842.45 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6072973 AG5953 N/A US5949181045 MICROSOFT CORP (USD) 5,000 26.63 133,150.00 USD 82,491.79 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG5953 Total 1,747,875.43 97,023.97 361.00 97,384.976075243 AG6304 N/A US05574Y2090 DMY US05574Y2090 LONDON 2,930 0 0.00 USD 0.00 0.00 0.00 0.00 Delisted N/A Held

/ / / h d l / / ld6075243 AG6304 N/A XS0532988770 BTAS FR 07/01/18 605,444 0.595001 360,239.79 USD 223,183.07 0.00 15,126.29 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6075243 AG6304 N/A XS0532990677 BTAS 7.200000 07/01/25 137,183 0.284 38,959.97 USD 24,137.27 0.00 1,635.91 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6075243 AG6304 N/A XS0532995049 DMY XS0532995049 LONDON 1,250,788 0.05 62,539.40 USD 38,745.68 0.00 0.00 0.00 Delisted N/A Held

AG6304 Total 286,066.02 16,762.20 70.00 16,832.206077672 AG6040 N/A US5272991010 LEVEL VISION ELECTRONI US 600 000 0 0001 60 00 USD 37 17 0 00 0 00 0 00 N H ld N R N/A N H ld6077672 AG6040 N/A US5272991010 LEVEL VISION ELECTRONI US 600,000 0.0001 60.00 USD 37.17 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6077672 AG6040 N/A US54569N1090 LOTTA COAL INC US 1,200,000 0.011 13,200.00 USD 8,177.93 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG6040 Total 8,215.10 0.00 0.00 0.006078333 GERRKING N/A AU000000GGP5 GOLDEN GATE PETROLEUM 15 0.018 0.27 AUD 0.18 0.00 0.01 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

GERRKING T t l 0 18 0 01 35 00 0 18GERRKING Total 0.18 0.01 35.00 0.186087425 AG6327 N/A XS0473176658 HTC 9.500000 12/15/16 16,041,000 0.867087 13,908,942.57 EUR 12,020,519.03 0.00 814,693.84 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6327 Total 12,020,519.03 814,693.84 35.00 814,728.846087716 10506 N/A AHD LME HI GD ALUMINIUM USD 19 54675 1,038,825.00 USD 643,593.95 0.00 43,619.75 TBNS TBNS 01/08/2012 Held

10506 T t l 643 593 95 43 619 75 TBNS TBNS10506 Total 643,593.95 43,619.75 TBNS TBNS6095699 AG6476 N/A CA0372431027 ANTRIM ENERGY INC 60,000 0.67 40,200.00 GBP 40,200.00 0.00 2,724.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A CA8589151015 STERLING RESOURCES LTD 290,000 1.8 522,000.00 CAD 325,578.49 0.00 22,066.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB0033147751 BLOOMSBURY PUBLISHING 15,000 0.9825 14,737.50 GBP 14,737.50 0.00 998.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB0033359141 ECKOH PLC 200 000 0 09125 18 250 00 GBP 18 250 00 0 00 1 236 90 1 00 Schedule 9 Part A 01/08/2012 Held6095699 AG6476 N/A GB0033359141 ECKOH PLC 200,000 0.09125 18,250.00 GBP 18,250.00 0.00 1,236.90 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB0033869347 AVANTI CAPITAL PLC 187,500 0.785 147,187.50 GBP 147,187.50 0.00 9,975.67 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B0C18177 ANGLO ASIAN MINING PLC LN 190,000 0.38 72,200.00 GBP 72,200.00 0.00 4,893.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B0CY5V57 SERICA ENERGY PLC LN 348,000 0.1775 61,770.00 GBP 61,770.00 0.00 4,186.48 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B0H1P667 MAX PETROLEUM PL LN 800 000 0 13 104 000 00 GBP 104 000 00 0 00 7 048 63 1 00 Schedule 9 Part A 01/08/2012 Held6095699 AG6476 N/A GB00B0H1P667 MAX PETROLEUM PL LN 800,000 0.13 104,000.00 GBP 104,000.00 0.00 7,048.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B1FMH067 FIBERWEB PLC LN 40,000 0.5375 21,500.00 GBP 21,500.00 0.00 1,457.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B1KKCZ55 ASHLEY HOUSE PLC LN 1,250,000 0.1675 209,375.00 GBP 209,375.00 0.00 14,190.45 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B1TR0310 INLAND PLC LN 250,000 0.17625 44,062.50 GBP 44,062.50 0.00 2,986.35 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B1XFKR57 PRESSURE TECHNOLOGIES LN 10 000 1 1 11 000 00 GBP 11 000 00 0 00 745 53 1 00 Schedule 9 Part A 01/08/2012 Held6095699 AG6476 N/A GB00B1XFKR57 PRESSURE TECHNOLOGIES LN 10,000 1.1 11,000.00 GBP 11,000.00 0.00 745.53 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A GB00B64NSP76 Costain Group Plc LONDON 10,000 1.96 19,600.00 GBP 19,600.00 0.00 1,328.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A US56176Q1022 MANAS PETROLEUM CORP US 25,000 0.195 4,875.00 USD 3,020.26 0.00 204.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6095699 AG6476 N/A VGG729641024 PUBLIC SERVICE PROPERT LN 30,000 0.625 18,750.00 GBP 18,750.00 0.00 1,270.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6476 Total 1 111 231 25 75 313 99 15 00 75 328 99AG6476 Total 1,111,231.25 75,313.99 15.00 75,328.993061335 AG8037 CY3437 GB0007389926 OLD MUTUAL 14,959 1.1 16,454.90 GBP 16,454.90 0.00 0.00 0.00 Delisted N/A Held

AG8037 Total 16,454.90 0.00 0.00 0.003091247 AG8041 CY3426 GB00B04M1L91 CLUFF GOLD LTD 2,500 0.91 2,275.00 GBP 2,275.00 0.00 154.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3091247 AG8041 CY3426 GB00B5KKT968 CABLE & WIRELESS LN 2 000 0 3624 724 80 GBP 724 80 0 00 49 12 1 00 Schedule 9 ‐ Part A 01/08/2012 Held3091247 AG8041 CY3426 GB00B5KKT968 CABLE & WIRELESS LN 2,000 0.3624 724.80 GBP 724.80 0.00 49.12 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3091247 AG8041 CY3426 GB0009697037 BABCOCK INTNL PLC 29,312 7.045 206,503.04 GBP 206,503.04 0.00 13,995.80 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 6 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


3091247 AG8041 CY3426 GB0009252882 GLAXO SMITHKLINE 500 14 7,000.00 GBP 7,000.00 0.00 474.43 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3091247 AG8041 CY3426 GB0006043169 MORRISON 4,000 3.022 12,088.00 GBP 12,088.00 0.00 819.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3091247 AG8041 CY3426 GB0005603997 LEGAL & GENERAL 8,340 1.105 9,215.70 GBP 9,215.70 0.00 624.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3091247 AG8041 CY3426 GB00B5WB0X89 CABLE & WIRELESS WORLD LN 2,000 0.2796 559.20 GBP 559.20 0.00 37.90 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8041 Total 238,365.74 16,155.30 7.00 16,162.303101388 AG8323 CY4024 GB0030913577 BT GROUP ORD 0.05 1,252 1.881 2,355.01 GBP 2,355.01 0.00 159.61 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3101388 AG8323 CY4024 GB0008706128 LLOYDS BANKING GROUP PLC 3,318 0.32495 1,078.18 GBP 1,078.18 0.00 73.07 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8323 Total 3,433.20 232.69 2.00 234.695011768 AGCY5054 CY5054 US36846Q2030 GEEKNET INC US 1 19.47 19.47 USD 12.06 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY5054 Total 12.06 0.00 0.00 0.005011792 AGCY5061 CY5061 US00755F1030 ADVANCED TISSUE SCIENC US 400 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY5061 Total 0.00 0.00 0.00 0.005012708 AGCY5006 CY5006 US46612J5074 JDS UNIPHASE CORP US 38 12 456.00 USD 282.51 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5012708 AGCY5006 CY5006 US31787A5074 FINISAR CORPORATION US 62 20.49 1,270.38 USD 787.05 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY5006 Total 1,069.56 0.00 0.00 0.005016578 AGCY1278 CY1278 GB0030913577 BT GROUP ORD 0.05 10,000 1.881 18,810.00 GBP 18,810.00 0.00 1,274.85 TBNS Liquidated ‐ Bank Transfer 01/08/2012 Held5016578 AGCY1278 CY1278 GB0009895292 ASTRAZENECA (UK LINE) 3,000 29.86 89,580.00 GBP 89,580.00 0.00 6,071.31 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016578 AGCY1278 CY1278 GB0009252882 GLAXO SMITHKLINE 5,000 14 70,000.00 GBP 70,000.00 0.00 4,744.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016578 AGCY1278 CY1278 GB0009252882 GLAXO SMITHKLINE 2,000 14 28,000.00 GBP 28,000.00 0.00 1,897.71 TBNS Liquidated ‐ Bank Transfer 01/08/2012 Held5016578 AGCY1278 CY1278 GB0008847096 TESCO 25,000 4.0175 100,437.50 GBP 100,437.50 0.00 6,807.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016578 AGCY1278 CY1278 GB0002875804 BRIT AMER TOBACCO 4,000 28.645 114,580.00 GBP 114,580.00 0.00 7,765.69 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ /5016578 AGCY1278 CY1278 GB0008762899 BG GROUP PLC 14,000 13.565 189,910.00 GBP 189,910.00 0.00 12,871.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016578 AGCY1278 CY1278 GB0008762899 BG GROUP PLC 6,000 13.565 81,390.00 GBP 81,390.00 0.00 5,516.23 TBNS Liquidated ‐ Bank Transfer 01/08/2012 Held5016578 AGCY1278 CY1278 GB0002634946 BAE SYSTEMS PLC 11,287 2.766 31,219.84 GBP 31,219.84 0.00 2,115.93 TBNS Liquidated ‐ Bank Transfer 01/08/2012 Held5016578 AGCY1278 CY1278 GB0002374006 DIAGEO 8,022 12.89 103,403.58 GBP 103,403.58 0.00 7,008.20 TBNS Liquidated ‐ Bank Transfer 01/08/2012 Held

h d l / / ld5016578 AGCY1278 CY1278 GB0002374006 DIAGEO 2,000 12.89 25,780.00 GBP 25,780.00 0.00 1,747.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016578 AGCY1278 CY1278 GB0002162385 AVIVA PLC 10,000 3.408 34,080.00 GBP 34,080.00 0.00 2,309.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016578 AGCY1278 CY1278 GB0004544929 IMP TOBACCO 7,500 22.74 170,550.00 GBP 170,550.00 0.00 11,559.07 TBNS Liquidated ‐ Bank Transfer 01/08/2012 Held

AGCY1278 Total 1,057,740.92 71,688.67 TBNS TBNS5016857 AGCY2355 CY2355 GB0033195214 KINGFISHER PLC 3 249 2 589 8 411 66 GBP 8 411 66 0 00 570 10 1 00 S h d l 9 P A 01/08/2012 H ld5016857 AGCY2355 CY2355 GB0033195214 KINGFISHER PLC 3,249 2.589 8,411.66 GBP 8,411.66 0.00 570.10 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016857 AGCY2355 CY2355 GB0033986497 ITV PLC 1,262 0.6405 808.31 GBP 808.31 0.00 54.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016857 AGCY2355 CY2355 GB0007547838 ROYAL BANK OF SCOTLAND 14,863 0.2423 3,601.30 GBP 3,601.30 0.00 244.08 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5016857 AGCY2355 CY2355 GB0000496611 ARMOUR GROUP PLC 100,000 0.02875 2,875.00 GBP 2,875.00 0.00 194.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY2355 T t l 15 696 28 1 063 82 4 00 1 067 82AGCY2355 Total 15,696.28 1,063.82 4.00 1,067.825023078 AGCY3004 CY3004 GB0031348658 BARCLAYS PLC ORD SHARES 1,000 1.953 1,953.00 GBP 1,953.00 0.00 132.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB0008706128 LLOYDS BANKING GROUP PLC 15,500 0.32495 5,036.73 GBP 5,036.73 0.00 341.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB0007980591 BP PLC 1,000 4.61 4,610.00 GBP 4,610.00 0.00 312.44 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB0007547838 ROYAL BANK OF SCOTLAND 4 651 0 2423 1 126 94 GBP 1 126 94 0 00 76 38 1 00 S h d l 9 P t A 01/08/2012 H ld5023078 AGCY3004 CY3004 GB0007547838 ROYAL BANK OF SCOTLAND 4,651 0.2423 1,126.94 GBP 1,126.94 0.00 76.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB0005227086 LOGICA PLC (GBP) 2,000 0.939 1,878.00 GBP 1,878.00 0.00 127.28 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB00B19DVX61 INVENSYS PLC 32 2.255 72.16 GBP 72.16 0.00 4.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB00B3Y5L754 VERNALIS PLC LN 10 0.28875 2.89 GBP 2.89 0.00 0.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB0000472455 DSG INTERNATIONAL PLC 4 428 0 1185 524 72 GBP 524 72 0 00 35 56 1 00 Schedule 9 Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB0000472455 DSG INTERNATIONAL PLC 4,428 0.1185 524.72 GBP 524.72 0.00 35.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 GB00B16GWD56 VODAFONE GROUP LN 499 1.7285 862.52 GBP 862.52 0.00 58.46 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023078 AGCY3004 CY3004 US92769L1017 VIRGIN MEDIA 1 15.15 15.15 GBP 15.15 0.00 1.03 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY3004 Total 16,082.10 1,089.97 10.00 1,099.975023169 AGCY8326 CY8326 JE00B2QKY057 SHIRE PLC LN 2 000 19 51 39 020 00 GBP 39 020 00 0 00 2 644 59 1 00 Schedule 9 Part A 01/08/2012 Held5023169 AGCY8326 CY8326 JE00B2QKY057 SHIRE PLC LN 2,000 19.51 39,020.00 GBP 39,020.00 0.00 2,644.59 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023169 AGCY8326 CY8326 GB00B16GWD56 VODAFONE GROUP LN 35,000 1.7285 60,497.50 GBP 60,497.50 0.00 4,100.23 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5023169 AGCY8326 CY8326 GB0000595859 ARM HOLDINGS PLC 6,000 5.845 35,070.00 GBP 35,070.00 0.00 2,376.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8326 Total 134,587.50 9,121.70 3.00 9,124.705023937 AGCY5058 CY5058 IE0000360275 MAN AHL DIV PLC ID 11 594 92 97 1 077 894 18 USD 667 798 88 0 00 45 260 24 35 00 Schedule 9 Part A 01/08/2012 Held5023937 AGCY5058 CY5058 IE0000360275 MAN‐AHL DIV PLC ID 11,594 92.97 1,077,894.18 USD 667,798.88 0.00 45,260.24 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5023937 AGCY5058 CY5058 US9127952Y65 B 0 01/12/12 250,000 1.000005 250,001.25 USD 154,885.85 0.00 10,497.43 TBNS Redemption ‐ Bank Transfer 01/08/2012 Held

AGCY5058 Total 822,684.74 55,757.67 TBNS TBNS5024789 AGCYP073 CYP073 GB0009457366 DAILY MAIL&GENERAL NV 184 4.177 768.57 GBP 768.57 0.00 52.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB00B03MM408 ROYAL DUTCH SHELL B SHS 538 22 355 12 026 99 GBP 12 026 99 0 00 815 13 1 00 Schedule 9 Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB00B03MM408 ROYAL DUTCH SHELL ‐ B SHS 538 22.355 12,026.99 GBP 12,026.99 0.00 815.13 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB0030913577 BT GROUP ORD 0.05 447 1.881 840.81 GBP 840.81 0.00 56.99 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB0005227086 LOGICA PLC (GBP) 325 0.939 305.18 GBP 305.18 0.00 20.68 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB0002162385 AVIVA PLC 186 3.408 633.89 GBP 633.89 0.00 42.96 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 24 22 06 529 44 GBP 529 44 0 00 35 88 1 00 Schedule 9 ‐ Part A 01/08/2012 Held5024789 AGCYP073 CYP073 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 24 22.06 529.44 GBP 529.44 0.00 35.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYP073 Total 15,104.87 1,023.74 6.00 1,029.74

Page 7 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


5025473 AGCY5027 CY5027 US3453708600 FORD MOTOR COMPANY (US) 210 11.68 2,452.80 USD 1,519.61 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐HeldAGCY5027 Total 1,519.61 0.00 0.00 0.00

5026917 AGCY1653 CY1653 GB00B03MM408 ROYAL DUTCH SHELL ‐ B SHS 154 22.355 3,442.67 GBP 3,442.67 0.00 233.33 1.00 Schedule 9 ‐ Part A 01/08/2012 HeldAGCY1653 Total 3,442.67 233.33 1.00 234.33

5028721 AGCY1662 CY1662 US74347X8561 PROSH ULTRAPRO SHORT S US 100 14.36 1,436.00 USD 889.66 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5028721 AGCY1662 CY1662 US74347X1467 PROSHARES ULTRASHORT F US 50 61.15 3,057.50 USD 1,894.24 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5028721 AGCY1662 CY1662 US61747W2576 MARKET VECTORS‐RENMINB US 40 40.6765 1,627.06 USD 1,008.03 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY1662 Total 3,791.93 0.00 0.00 0.005029210 AGCY246C CY246C US6174464486 MORGAN ST DEAN W 6,902 17.64 121,751.28 USD 75,429.82 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5029210 AGCY246C CY246C US2547091080 DISCOVER FINANCI US 3,296 23.56 77,653.76 USD 48,109.63 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY246C Total 123,539.46 0.00 0.00 0.005030185 AGCY2196 CY2196 GB0008706128 LLOYDS BANKING GROUP PLC 15,000 0.32495 4,874.25 GBP 4,874.25 0.00 330.35 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB00B63H8491 ROLLS‐ROYCE HOLD LN 1,301 7.025 9,139.53 GBP 9,139.53 0.00 619.43 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB0007980591 BP PLC 1,000 4.61 4,610.00 GBP 4,610.00 0.00 312.44 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB00B59MW615 CAIRN ENERGY LN 2,000 2.946 5,892.00 GBP 5,892.00 0.00 399.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB00B1VYCH82 THOMAS COOK GROU LN 2,000 0.52 1,040.00 GBP 1,040.00 0.00 70.49 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB00B16GWD56 VODAFONE GROUP LN 4,000 1.7285 6,914.00 GBP 6,914.00 0.00 468.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB00B033F229 CENTRICA PLC 2,000 2.967 5,934.00 GBP 5,934.00 0.00 402.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB0031348658 BARCLAYS PLC ORD SHARES 3,000 1.953 5,859.00 GBP 5,859.00 0.00 397.10 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5030185 AGCY2196 CY2196 GB0008762899 BG GROUP PLC 500 13.565 6,782.50 GBP 6,782.50 0.00 459.69 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY2196 Total 51,045.28 3,459.61 9.00 3,468.61/ /5035762 AGCY1190 CY1190 GB00B19DVX61 INVENSYS PLC 300 2.255 676.50 GBP 676.50 0.00 45.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

5035762 AGCY1190 CY1190 GB0030913577 BT GROUP ORD 0.05 4,000 1.881 7,524.00 GBP 7,524.00 0.00 509.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5035762 AGCY1190 CY1190 GB0031348658 BARCLAYS PLC ORD SHARES 4 1.953 7.81 GBP 7.81 0.00 0.53 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY1190 Total 8,208.31 556.32 3.00 559.32h d l / / ld5036069 AGCY1513 CY1513 GB0008762899 BG GROUP PLC 2,000 13.565 27,130.00 GBP 27,130.00 0.00 1,838.74 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY1513 Total 27,130.00 1,838.74 1.00 1,839.745036179 AGCY2122 CY2122 GB0008706128 LLOYDS BANKING GROUP PLC 2,399 0.32495 779.56 GBP 779.56 0.00 52.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY2122 Total 779.56 52.83 1.00 53.835037403 AGCY1676 CY1676 CA9034151071 U308 CORP CN 3 154 0 325 1 025 05 CAD 639 34 0 00 43 33 35 00 S h d l 9 P A 01/08/2012 H ld5037403 AGCY1676 CY1676 CA9034151071 U308 CORP CN 3,154 0.325 1,025.05 CAD 639.34 0.00 43.33 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5037403 AGCY1676 CY1676 CA8946471064 TREASURY METALS INC CN 974 1.02 993.48 CAD 619.65 0.00 42.00 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5037403 AGCY1676 CY1676 CA0731742031 BAYSWATER URANIUM CORP CN 2,270 0.245 556.15 CAD 346.88 0.00 23.51 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5037403 AGCY1676 CY1676 CA7233301067 PINETREE CAPITAL LTD US 2,970 1.75 5,197.50 USD 3,220.06 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5037403 AGCY1676 CY1676 CA72154R1038 PILOT GOLD INC US 837 1 4935 1 250 06 USD 774 46 0 00 0 00 0 00 N t H ld N R t N/A N t H ld5037403 AGCY1676 CY1676 CA72154R1038 PILOT GOLD INC US 837 1.4935 1,250.06 USD 774.46 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5037403 AGCY1676 CY1676 CA58516W1041 MEGA URANIUM LTD US 25,400 0.316 8,026.40 USD 4,972.68 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5037403 AGCY1676 CY1676 CA51669T1012 LARAMIDE RESOURCES US 3,700 0.937 3,466.90 USD 2,147.88 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5037403 AGCY1676 CY1676 CA2119061026 CONTL PRECIOUS MINERAL US 14,000 0.281 3,934.00 USD 2,437.27 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY1676 T t l 15 158 22 108 84 105 00 213 84AGCY1676 Total 15,158.22 108.84 105.00 213.845037916 AGCY1104 CY1104 GB00B01QGH57 GOLD OIL PLC 13,000 0.0325 422.50 GBP 422.50 0.00 28.64 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5037916 AGCY1104 CY1104 GB0007547838 ROYAL BANK OF SCOTLAND 4,000 0.2423 969.20 GBP 969.20 0.00 65.69 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY1104 Total 1,391.70 94.32 2.00 96.325039341 AGCY2645 CY2645 GB0000496611 ARMOUR GROUP PLC 2 000 0 02875 57 50 GBP 57 50 0 00 3 90 1 00 Schedule 9 Part A 01/08/2012 Held5039341 AGCY2645 CY2645 GB0000496611 ARMOUR GROUP PLC 2,000 0.02875 57.50 GBP 57.50 0.00 3.90 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039341 AGCY2645 CY2645 US6405053017 NEOMEDIA TECH US 60 0.0126 0.76 USD 0.47 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 US8796041064 TELKONET INC US 1,120 0.1625 182.00 USD 112.76 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 US7034811015 PATTERSON‐UTI ENERGY INC 70 20.32 1,422.40 USD 881.23 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 US37958H1068 GLOBETRAC INC US 7 000 0 215 1 505 00 USD 932 41 0 00 0 00 0 00 Not Held No Return N/A Not Held5039341 AGCY2645 CY2645 US37958H1068 GLOBETRAC INC US 7,000 0.215 1,505.00 USD 932.41 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 CA76547T1066 RICHMONT MINES INC US 150 12.16 1,824.00 USD 1,130.04 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 CA55278T1057 MFC INDUSTRIAL L US 87 7.03 611.61 USD 378.92 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 BMG162521014 BROOKFIELD INFRASTRUCT US 2 25.09 50.18 USD 31.09 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5039341 AGCY2645 CY2645 US8784091014 TECHNICAL COMMUNICATIO US 90 7 942 714 78 USD 442 84 0 00 0 00 0 00 Not Held No Return N/A Not Held5039341 AGCY2645 CY2645 US8784091014 TECHNICAL COMMUNICATIO US 90 7.942 714.78 USD 442.84 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY2645 Total 3,967.25 3.90 1.00 4.905039605 AGCY8113 CY8113 PG0008526520 BOUGAINVILLE (AUT) 9,000 0.89 8,010.00 AUD 5,265.23 0.00 356.85 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5039605 AGCY8113 CY8113 KYG2943E1329 EGANAGOLDPFEIL HLDGS L GY 20,500 0 0.00 EUR 0.00 0.00 0.00 0.00 Delisted N/A Held5039605 AGCY8113 CY8113 GB0032654641 PLUS MARKETS GROUP PLC LN 15 000 0 012 180 00 GBP 180 00 0 00 12 20 1 00 Schedule 9 Part A 01/08/2012 Held5039605 AGCY8113 CY8113 GB0032654641 PLUS MARKETS GROUP PLC LN 15,000 0.012 180.00 GBP 180.00 0.00 12.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039605 AGCY8113 CY8113 GB0002568813 LONRHO AFRICA PLC 20,000 0.1375 2,750.00 GBP 2,750.00 0.00 186.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5039605 AGCY8113 CY8113 US0622692046 BANK OF GEORGIA‐REG S LI 500 12.75 6,375.00 USD 3,949.57 0.00 267.68 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5039605 AGCY8113 CY8113 KYG9361Y1026 VINACAPITAL VIET LN 3,000 1.324 3,972.00 USD 2,460.81 0.00 166.78 35.00 Schedule 9 ‐ Part A 01/08/2012 Held5039605 AGCY8113 CY8113 US48122U2042 AFK SISTEMA‐REG S SPONS G 350 17 14 5 999 00 USD 3 716 62 0 00 251 90 35 00 Schedule 9 ‐ Part A 01/08/2012 Held5039605 AGCY8113 CY8113 US48122U2042 AFK SISTEMA‐REG S SPONS G 350 17.14 5,999.00 USD 3,716.62 0.00 251.90 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8113 Total 18,322.24 1,241.79 142.00 1,383.79

Page 8 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


5039617 AG8148 CY3703 US6294911010 NYSE EURONEXT US 800 26.57 21,256.00 USD 13,168.95 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐HeldAG8148 Total 13,168.95 0.00 0.00 0.00

6002286 AG8385 CY4184 CA8759321059 TAPANGO RESOURCES LTD CN 5,500 0.075 412.50 CAD 257.28 0.00 17.44 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6002286 AG8385 CY4184 VGG930041022 NIGER URANIUM LT LN 5,000 0.07125 356.25 GBP 356.25 0.00 24.14 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6002286 AG8385 CY4184 VGG6844A1075 POLO RESOURCES LTD LN 200,000 0.0355 7,100.00 GBP 7,100.00 0.00 481.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6002286 AG8385 CY4184 GB00B50G1C14 CARLTON RES 1P LONDON 40,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6002286 AG8385 CY4184 GB0003915336 FIRESTONE DIAMONDS PLC 4,657 0.14125 657.80 GBP 657.80 0.00 44.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8385 Total 8,371.33 567.37 38.00 605.376008935 AG8460 CY4418 GB0002785516 TOUCH GROUP PLC 10,000 0.005 50.00 GBP 50.00 0.00 3.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 GB00B4WM8G33 BEACON HILL RESO LN 25,000 0.10875 2,718.75 GBP 2,718.75 0.00 184.26 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 GB00B3W8SN14 Reenergy group new LN 160 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6008935 AG8460 CY4418 GB00B0Y52T38 TARQUIN RES 1,333 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6008935 AG8460 CY4418 GB00B0GN3470 MWANA AFRICA PLC 4,000 0.03975 159.00 GBP 159.00 0.00 10.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 GB0006648157 OXFORD BIOMEDICA PLC 25,000 0.05285 1,321.25 GBP 1,321.25 0.00 89.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 KYG423181083 HAIKE CHEMICAL GROUP L LN 2,500 0.395 987.50 GBP 987.50 0.00 66.93 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 GB0003452173 FIRSTGROUP 1,500 3.34 5,010.00 GBP 5,010.00 0.00 339.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 BMG739271085 RCG HOLDINGS LTD 10,244 0.07975 816.96 GBP 816.96 0.00 55.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 290047ZDUMMY EBIOX LTD LN 67 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6008935 AG8460 CY4418 GB0006158686 RESOURCES IN INSURANCE GR 50,000 0.00425 212.50 GBP 212.50 0.00 14.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008935 AG8460 CY4418 IE0003186172 PETROCELTIC INTERNATIONAL 50,000 0.0601 3,005.00 GBP 3,005.00 0.00 203.66 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8460 Total 14,280.96 967.90 9.00 976.90/ /6009213 AG8451 CY4423 AU000000EUG0 EUROGOLD LTD AU 2,623 0.22 577.06 AUD 379.32 0.00 25.71 50.00 Schedule 9 ‐ Part B 01/08/2012 Held

AG8451 Total 379.32 25.71 50.00 75.716013024 AG8545 CY4606 DE0005108401 SOLARWORLD AG 270 3.552 959.04 EUR 828.83 0.00 56.17 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6013024 AG8545 CY4606 GB00B019KW72 J SAINSBURY 1,800 2.991 5,383.80 GBP 5,383.80 0.00 364.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

l d / ld6013024 AG8545 CY4606 GB00B669WX96 ROLLS ROYCE C JLY LONDON 163,488 0.001 163.49 GBP 163.49 0.00 0.00 0.00 Delisted N/A Held6013024 AG8545 CY4606 GB00B16GWD56 VODAFONE GROUP LN 3,685 1.7285 6,369.52 GBP 6,369.52 0.00 431.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6013024 AG8545 CY4606 GB0008706128 LLOYDS BANKING GROUP PLC 5,828 0.32495 1,893.81 GBP 1,893.81 0.00 128.35 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6013024 AG8545 CY4606 GB0007547838 ROYAL BANK OF SCOTLAND 2,476 0.2423 599.93 GBP 599.93 0.00 40.66 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6013024 AG8545 CY4606 FR0000133308 FRANCE TEL(d ) 175 0 0 00 GBP 0 00 0 00 0 00 0 00 D li d N/A H ld6013024 AG8545 CY4606 FR0000133308 FRANCE TEL(do not use) 175 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6013024 AG8545 CY4606 ES0113900J37 BANCO SANTANDER HISPANO S 1,037 5.148 5,338.48 GBP 5,338.48 0.00 361.82 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8545 Total 20,577.86 1,383.59 40.00 1,423.596014321 AGCY8362 CY8362 IE00B02KXH56 ISHARES MSCI JAPAN FUND ( 1,200 6.83 8,196.00 EUR 7,083.23 0.00 480.07 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8362 T t l 7 083 23 480 07 35 00 515 07AGCY8362 Total 7,083.23 480.07 35.00 515.076015406 AG8812 CY5201 US45865V1008 INTERCONTINENTALEXCHAN US 8 129.88 1,039.04 USD 643.73 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG8812 Total 643.73 0.00 0.00 0.006019986 AGCYR116 CYR116 IM00B1HYQS19 HIRCO PLC‐W/I LN 500 0.57 285.00 GBP 285.00 0.00 19.32 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6019986 AGCYR116 CYR116 JE00B2NFTQ41 ETFS LVRG NATURAL GAS LN 8 000 0 2085 1 668 00 USD 1 033 39 0 00 70 04 1 00 S h d l 9 P t A 01/08/2012 H ld6019986 AGCYR116 CYR116 JE00B2NFTQ41 ETFS LVRG NATURAL GAS LN 8,000 0.2085 1,668.00 USD 1,033.39 0.00 70.04 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6019986 AGCYR116 CYR116 US05356X1220 AVENTINE RENEW WARRANT NA 1 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6019986 AGCYR116 CYR116 US3373533047 FIRST TR ST HI 2 US 1 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6019986 AGCYR116 CYR116 USY5217N1183 LARSEN & TOUBRO (LI) 350 27.82 9,737.00 USD 6,032.46 0.00 408.85 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYR116 Total 7 350 86 498 21 37 00 535 21AGCYR116 Total 7,350.86 498.21 37.00 535.216022642 AGCYK562 CYK562 GB00B08NWV55 XINETIC BIOSCIENCES PLC 33,250 0.07125 2,369.06 GBP 2,369.06 0.00 160.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK562 Total 2,369.06 160.56 1.00 161.566022662 AG8696 CY5005 BMG319201049 GRIFFIN MINING LIMITED LN 7,810 0.415 3,241.15 GBP 3,241.15 0.00 219.67 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8696 Total 3 241 15 219 67 1 00 220 67AG8696 Total 3,241.15 219.67 1.00 220.676024185 AGCYK568 CYK568 GB00B08NWV55 XINETIC BIOSCIENCES PLC 608,700 0.07125 43,369.88 GBP 43,369.88 0.00 2,939.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK568 Total 43,369.88 2,939.40 1.00 2,940.406024512 AGCYK567 CYK567 GB00B08NWV55 XINETIC BIOSCIENCES PLC 35,700 0.07125 2,543.63 GBP 2,543.63 0.00 172.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK567 Total 2 543 63 172 39 1 00 173 39AGCYK567 Total 2,543.63 172.39 1.00 173.396026362 AGCYK569 CYK569 GB00B08NWV55 XINETIC BIOSCIENCES PLC 35,000 0.07125 2,493.75 GBP 2,493.75 0.00 169.01 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK569 Total 2,493.75 169.01 1.00 170.016026794 AG5306 CY5123 GB00B00FHZ82 GOLD BULLION SEC 345 166.865 57,568.43 USD 35,665.96 0.00 2,417.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5306 Total 35 665 96 2 417 27 1 00 2 418 27AG5306 Total 35,665.96 2,417.27 1.00 2,418.276029282 AGCY3241 CY3241 GB0006798424 PERPETUAL INCOME 7,400 2.501 18,507.40 GBP 18,507.40 0.00 1,254.34 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6029282 AGCY3241 CY3241 GB0009143271 JPMORGAN O/S IT PLC 4,400 7.27 31,988.00 GBP 31,988.00 0.00 2,168.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6029282 AGCY3241 CY3241 GB0002959582 STAND LIFE UK ORD 25P 8,400 2.075 17,430.00 GBP 17,430.00 0.00 1,181.32 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6029282 AGCY3241 CY3241 XS0678522490 NGGLN 1 250000 10/06/21 100 000 1 017936 101 793 60 GBP 101 793 60 0 00 6 899 09 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6029282 AGCY3241 CY3241 XS0678522490 NGGLN 1.250000 10/06/21 100,000 1.017936 101,793.60 GBP 101,793.60 0.00 6,899.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6029282 AGCY3241 CY3241 GB00B0LNG760 CITY MERCHANTS HIGH YI LN 5,700 1.53 8,721.00 GBP 8,721.00 0.00 591.07 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 9 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6029282 AGCY3241 CY3241 XS0301405832 EIB 1.250000 09/20/12 8,000,000 1.011186 8,089,488.00 JPY 64,278.09 0.00 4,356.46 35.00 Schedule 9 ‐ Part A 01/08/2012 HeldAGCY3241 Total 242,718.09 16,450.28 40.00 16,490.28

6032014 AG8879 CY5331 US9738121006 WINDSWEPT ENVIRO GROUP US 17,876 0.005 89.38 USD 55.37 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6032014 AG8879 CY5331 US4540841040 INDEX OIL & GAS INC US 200,000 0.0015 300.00 USD 185.86 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG8879 Total 241.24 0.00 0.00 0.006033771 AG8897 CY5397 US45865V1008 INTERCONTINENTALEXCHAN US 50 129.88 6,494.00 USD 4,023.29 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG8897 Total 4,023.29 0.00 0.00 0.006033779 AG8912 CY5429 GB00B282R334 CATALYST MEDIA G LN 6,100 0.625 3,812.50 GBP 3,812.50 0.00 258.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8912 Total 3,812.50 258.39 1.00 259.396034231 AGCY2706 CY2706 GB00B08SNH34 NATIONAL GRID PLC 1,400 6.175 8,645.00 GBP 8,645.00 0.00 585.92 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY2706 Total 8,645.00 585.92 1.00 586.926038163 AG5009 CY5543 GB00B28KQ186 MAN GROUP PLC LN 318 1.499 476.68 GBP 476.68 0.00 32.31 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5009 Total 476.68 32.31 1.00 33.316040766 AGCY1213 CY1213 GB00B01TND91 BOOKER GROUP PLC LN 50,000 0.7505 37,525.00 GBP 37,525.00 0.00 2,543.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY1213 Total 37,525.00 2,543.27 1.00 2,544.276044514 AGCYK584 CYK584 GB00B08NWV55 XINETIC BIOSCIENCES PLC 50,000 0.07125 3,562.50 GBP 3,562.50 0.00 241.45 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK584 Total 3,562.50 241.45 1.00 242.456044540 AGCYU455 CYU455 GB0008706128 LLOYDS BANKING GROUP PLC 3,000 0.32495 974.85 GBP 974.85 0.00 66.07 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYU455 Total 974.85 66.07 1.00 67.076044768 AGCYKR07 CYKR07 GB0009252882 GLAXO SMITHKLINE 21 14 294.00 GBP 294.00 0.00 19.93 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6044768 AGCYKR07 CYKR07 US46428Q1094 ISHARES SILVER TRUST US 800 33.44 26,752.00 USD 16,573.94 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCYKR07 Total 16,867.94 19.93 1.00 20.936045038 AGCYN531 CYN531 US74347X6334 ULTRA FINANCIALS ASE UYG 100 46.84 4,684.00 USD 2,901.93 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCYN531 Total 2,901.93 0.00 0.00 0.006045628 AGCY5362 CY5362 DE0001345908 EIB 0 11/05/26 17,000 0.613125 10,423.13 EUR 9,007.97 0.00 610.52 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

lAGCY5362 Total 9,007.97 610.52 35.00 645.526046488 AG5627 CY5818 US98508F1075 YARRAMAN W 28,620 0 0.00 USD 0.00 0.00 0.00 0.00 Delisted N/A Held

AG5627 Total 0.00 0.00 0.00 0.006048290 AG5727 CY5828 US23324Q2021 DNAPRINT GENOM COM 10,000 0.0002 2.00 USD 1.24 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6048290 AG5727 CY5828 US10501E1029 BRAINSTORM CELL THERAP US 9 000 0 279 2 511 00 USD 1 555 67 0 00 0 00 0 00 N H ld N R N/A N H ld6048290 AG5727 CY5828 US10501E1029 BRAINSTORM CELL THERAP US 9,000 0.279 2,511.00 USD 1,555.67 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6048290 AG5727 CY5828 US2435861040 DECODE GENETICS INC 4,000 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6048290 AG5727 CY5828 US00765H3057 ADVANCED LIFE SC US 33 0.04 1.32 USD 0.82 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6048290 AG5727 CY5828 US39571U2096 GREENSHIFT CORP US 2,500 0.0001 0.25 USD 0.15 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6048290 AG5727 CY5828 US53630P1012 LIPID SCIENCES INC US 12 000 0 001 12 00 USD 7 43 0 00 0 00 0 00 N t H ld N R t N/A N t H ld6048290 AG5727 CY5828 US53630P1012 LIPID SCIENCES INC US 12,000 0.001 12.00 USD 7.43 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6048290 AG5727 CY5828 US04648X1072 ASYST TECHNOLOGIES INC 10,000 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG5727 Total 1,565.31 0.00 0.00 0.006048824 AG5201 CY5853 GB00B0YG1K06 RESTAURANT GROUP LN 2,662 3 7,986.00 GBP 7,986.00 0.00 541.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6048824 AG5201 CY5853 GB00B4QHFM95 TANFIELD GROUP LN 6 000 0 39 2 340 00 GBP 2 340 00 0 00 158 59 1 00 S h d l 9 P t A 01/08/2012 H ld6048824 AG5201 CY5853 GB00B4QHFM95 TANFIELD GROUP LN 6,000 0.39 2,340.00 GBP 2,340.00 0.00 158.59 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6048824 AG5201 CY5853 GB0000282623 AMEC 500 9.255 4,627.50 GBP 4,627.50 0.00 313.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6048824 AG5201 CY5853 GB0033986497 ITV PLC 10,000 0.6405 6,405.00 GBP 6,405.00 0.00 434.10 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6048824 AG5201 CY5853 GB00B2PGSY66 OPTARE PLC LN 10,000 0.0175 175.00 GBP 175.00 0.00 11.86 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5201 Total 21 533 50 1 459 44 5 00 1 464 44AG5201 Total 21,533.50 1,459.44 5.00 1,464.446049771 AGCYK587 CYK587 US0268741560 AMERICAN IN‐CW21 US 333 7.0099 2,334.30 USD 1,446.19 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6049771 AGCYK587 CYK587 US1729674242 CITIGROUP INC US 570 31.59 18,006.30 USD 11,155.63 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6049771 AGCYK587 CYK587 US0268747849 AMERICAN INTERNA US 625 24.69 15,431.25 USD 9,560.28 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6049771 AGCYK587 CYK587 US0192288084 ALLIED IRISH ADR US 100 1 39 139 00 USD 86 12 0 00 0 00 0 00 Not Held No Return N/A Not Held6049771 AGCYK587 CYK587 US0192288084 ALLIED IRISH‐ADR US 100 1.39 139.00 USD 86.12 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCYK587 Total 22,248.22 0.00 0.00 0.006052681 AG5307 CY5992 GB00B012XW74 TECHCREATION PLC LN 350,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6052681 AG5307 CY5992 GB00B04C8N02 PINNACLE TELECOM GRP ORD 310,000 0.0031 961.00 GBP 961.00 0.00 65.13 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0033986497 ITV PLC 25 000 0 6405 16 012 50 GBP 16 012 50 0 00 1 085 25 1 00 Schedule 9 Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0033986497 ITV PLC 25,000 0.6405 16,012.50 GBP 16,012.50 0.00 1,085.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB00B05Q5S56 BLACK RAVEN 165,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6052681 AG5307 CY5992 GB00B0HZJ337 ANGEL BIOTECHNOLOGY HO LN 500,000 0.00245 1,225.00 GBP 1,225.00 0.00 83.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB00B16GWD56 VODAFONE GROUP LN 15,000 1.7285 25,927.50 GBP 25,927.50 0.00 1,757.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB00B28KQ186 MAN GROUP PLC LN 7 000 1 499 10 493 00 GBP 10 493 00 0 00 711 17 1 00 Schedule 9 Part A 01/08/2012 Held6052681 AG5307 CY5992 GB00B28KQ186 MAN GROUP PLC LN 7,000 1.499 10,493.00 GBP 10,493.00 0.00 711.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB00B39J2M42 UNITED UTILITIES LN 2,704 6.065 16,399.76 GBP 16,399.76 0.00 1,111.50 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0007188757 RIO TINTO 180 33.85 6,093.00 GBP 6,093.00 0.00 412.95 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0007099541 PRUDENTIAL 1,200 6.475 7,770.00 GBP 7,770.00 0.00 526.61 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0001641991 EASYJET PLC 2 000 3 56 7 120 00 GBP 7 120 00 0 00 482 56 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0001641991 EASYJET PLC 2,000 3.56 7,120.00 GBP 7,120.00 0.00 482.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6052681 AG5307 CY5992 GB0000904986 BELLWAY 5,500 7.1 39,050.00 GBP 39,050.00 0.00 2,646.62 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 10 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6052681 AG5307 CY5992 GB0008847096 TESCO 4,000 4.0175 16,070.00 GBP 16,070.00 0.00 1,089.15 1.00 Schedule 9 ‐ Part A 01/08/2012 HeldAG5307 Total 147,121.76 9,971.22 11.00 9,982.22

6054506 AG5431 CY5984 AU000000FSE6 FIRESTONE ENERGY AU 1,296,205 0.013 16,850.67 AUD 11,076.49 0.00 750.71 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6054506 AG5431 CY5984 CA9184711039 VAALDIAM MINING CN 2,400 0.08 192.00 CAD 119.75 0.00 8.12 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6054506 AG5431 CY5984 CA8249011021 SHORE GOLD INC CN 10,925 0.49 5,353.25 CAD 3,338.89 0.00 226.29 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6054506 AG5431 CY5984 BE0003801181 AGEAS NPV (BE) 6,000 1.46 8,760.00 EUR 7,570.65 0.00 513.10 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6054506 AG5431 CY5984 BMG2897M1064 DOMINION PETROLEUM LTD(do 450,000 0.05975 26,887.50 GBP 26,887.50 0.00 1,822.31 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054506 AG5431 CY5984 BMG0114P1005 AFRICAN MINERALS LN 250 4.4175 1,104.38 GBP 1,104.38 0.00 74.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054506 AG5431 CY5984 US0268741560 AMERICAN IN‐CW21 US 333 7.0099 2,334.30 USD 1,446.19 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6054506 AG5431 CY5984 US3135861090 FANNIE MAE 10,000 0.247 2,470.00 USD 1,530.26 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6054506 AG5431 CY5984 US8276921041 SILVER DRAGON RESOURCE US 89,300 0.055 4,911.50 USD 3,042.87 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6054506 AG5431 CY5984 US9393221034 WASH MUTUAL INC 1,000 0.069 69.00 USD 42.75 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG5431 Total 56,159.74 3,395.38 142.00 3,537.386054510 AG5309 CY5986 GB0009348862 ANGEL MINING PLC 250,000 0.0135 3,375.00 GBP 3,375.00 0.00 228.74 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054510 AG5309 CY5986 GB00B06GJT32 ALTONA RESOURCES LTD 623,634 0.05875 36,638.50 GBP 36,638.50 0.00 2,483.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054510 AG5309 CY5986 GB0030348352 NETPLAY TV PLC 10,000 0.09625 962.50 GBP 962.50 0.00 65.23 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054510 AG5309 CY5986 GB0004397567 Hiwave Technologies PLC 14,400 0.0295 424.80 GBP 424.80 0.00 28.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054510 AG5309 CY5986 GB0033278473 FUTURA MEDICAL PLC 6,445 0.67 4,318.15 GBP 4,318.15 0.00 292.66 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5309 Total 45,718.95 3,098.61 5.00 3,103.616054788 AG5343 CY6043 GB0008706128 LLOYDS BANKING GROUP PLC 27,400 0.32495 8,903.63 GBP 8,903.63 0.00 603.45 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054788 AG5343 CY6043 GB0006776081 PEARSON 850 11.45 9,732.50 GBP 9,732.50 0.00 659.62 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ /6054788 AG5343 CY6043 GB0030913577 BT GROUP ORD 0.05 5,500 1.881 10,345.50 GBP 10,345.50 0.00 701.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054788 AG5343 CY6043 GB00B033F229 CENTRICA PLC 3,380 2.967 10,028.46 GBP 10,028.46 0.00 679.68 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054788 AG5343 CY6043 GB0008847096 TESCO 2,490 4.0175 10,003.58 GBP 10,003.58 0.00 677.99 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054788 AG5343 CY6043 GB00B28KQ186 MAN GROUP PLC LN 10,420 1.499 15,619.58 GBP 15,619.58 0.00 1,058.62 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

lAG5343 Total 64,633.25 4,380.54 6.00 4,386.546055281 AGCY8880 CY8880 US55277J1088 MF GLOBAL HOLDIN US 725 1.2 870.00 USD 539.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8880 Total 539.00 0.00 0.00 0.006056760 AG5504 CY6326 GB0007188757 RIO TINTO 9,000 33.85 304,650.00 GBP 304,650.00 0.00 20,647.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5504 T l 304 650 00 20 647 73 1 00 20 648 73AG5504 Total 304,650.00 20,647.73 1.00 20,648.736057656 AGCY8861 CY8861 GB00B0CRWC45 TOLEDO MINING CORP PLC 14,500 0.255 3,697.50 GBP 3,697.50 0.00 250.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8861 Total 3,697.50 250.60 1.00 251.606057796 AGCY5451 CY5451 XS0164067836 GAZPRU 9.625000 03/01/13 10,000 1.104016 11,040.16 USD 6,839.82 0.00 463.57 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY5451 T t l 6 839 82 463 57 35 00 498 57AGCY5451 Total 6,839.82 463.57 35.00 498.576058188 AGCY1139 CY1139 GB0031348658 BARCLAYS PLC ORD SHARES 156 1.953 304.67 GBP 304.67 0.00 20.65 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058188 AGCY1139 CY1139 GB0030913577 BT GROUP ORD 0.05 1,020 1.881 1,918.62 GBP 1,918.62 0.00 130.03 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY1139 Total 2,223.29 150.68 2.00 152.686058754 AGCY5334 CY5334 GB0008762899 BG GROUP PLC 1 000 13 565 13 565 00 GBP 13 565 00 0 00 919 37 1 00 S h d l 9 P t A 01/08/2012 H ld6058754 AGCY5334 CY5334 GB0008762899 BG GROUP PLC 1,000 13.565 13,565.00 GBP 13,565.00 0.00 919.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058754 AGCY5334 CY5334 GB0008706128 LLOYDS BANKING GROUP PLC 60,007 0.32495 19,499.27 GBP 19,499.27 0.00 1,321.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058754 AGCY5334 CY5334 GB0007547838 ROYAL BANK OF SCOTLAND 42,000 0.2423 10,176.60 GBP 10,176.60 0.00 689.72 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY5334 Total 43,240.87 2,930.66 3.00 2,933.666058830 AG5528 CY6306 GB00B0DLKZ47 JARVIS NEW ORDINARY SHARE 10 000 0 0 00 GBP 0 00 0 00 0 00 0 00 Delisted N/A Held6058830 AG5528 CY6306 GB00B0DLKZ47 JARVIS NEW ORDINARY SHARE 10,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6058830 AG5528 CY6306 GB0031348658 BARCLAYS PLC ORD SHARES 1,000 1.953 1,953.00 GBP 1,953.00 0.00 132.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058830 AG5528 CY6306 GB0004658141 F&C ASSET MANAGEMENT PLC 200 0.7355 147.10 GBP 147.10 0.00 9.97 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058830 AG5528 CY6306 GG00B62W2327 RESOLUTION LN 60 2.75 165.00 GBP 165.00 0.00 11.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5528 Total 2 265 10 153 52 3 00 156 52AG5528 Total 2,265.10 153.52 3.00 156.526059091 AG5419 CY6175 GB0002162385 AVIVA PLC 21,900 3.408 74,635.20 GBP 74,635.20 0.00 5,058.42 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5419 Total 74,635.20 5,058.42 1.00 5,059.426059532 AG5527 CY463C BMG319201049 GRIFFIN MINING LIMITED LN 10,000 0.415 4,150.00 GBP 4,150.00 0.00 281.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5527 Total 4 150 00 281 27 1 00 282 27AG5527 Total 4,150.00 281.27 1.00 282.276059534 AGCYU547 CYU547 IE0000360275 MAN‐AHL DIV PLC ID 1,260 92.97 117,142.20 USD 72,574.31 0.00 4,918.74 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYU547 Total 72,574.31 4,918.74 35.00 4,953.746060224 AG5462 CY6244 GB0005603997 LEGAL & GENERAL 30,000 1.105 33,150.00 GBP 33,150.00 0.00 2,246.75 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0008782301 TAYLOR WIMPEY PLC 29 500 0 3695 10 900 25 GBP 10 900 25 0 00 738 77 1 00 Schedule 9 Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0008782301 TAYLOR WIMPEY PLC 29,500 0.3695 10,900.25 GBP 10,900.25 0.00 738.77 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0008706128 LLOYDS BANKING GROUP PLC 40,000 0.32495 12,998.00 GBP 12,998.00 0.00 880.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0007980591 BP PLC 12,000 4.61 55,320.00 GBP 55,320.00 0.00 3,749.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0007547838 ROYAL BANK OF SCOTLAND 18,750 0.2423 4,543.13 GBP 4,543.13 0.00 307.91 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0007188757 RIO TINTO 1 450 33 85 49 082 50 GBP 49 082 50 0 00 3 326 58 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0007188757 RIO TINTO 1,450 33.85 49,082.50 GBP 49,082.50 0.00 3,326.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0007099541 PRUDENTIAL 5,000 6.475 32,375.00 GBP 32,375.00 0.00 2,194.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 11 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6060224 AG5462 CY6244 GB0006616899 RSA INS. ORD 27.5P 15,000 1.117 16,755.00 GBP 16,755.00 0.00 1,135.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0033277061 VEDANTA RESOURCES PLC 1,000 12.78 12,780.00 GBP 12,780.00 0.00 866.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0002634946 BAE SYSTEMS PLC 9,000 2.766 24,894.00 GBP 24,894.00 0.00 1,687.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0006776081 PEARSON 2,000 11.45 22,900.00 GBP 22,900.00 0.00 1,552.05 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B59MW615 CAIRN ENERGY LN 3,500 2.946 10,311.00 GBP 10,311.00 0.00 698.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 JE00B2QKY057 SHIRE PLC LN 1,500 19.51 29,265.00 GBP 29,265.00 0.00 1,983.44 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B669WX96 ROLLS ROYCE C JLY LONDON 384,000 0.001 384.00 GBP 384.00 0.00 0.00 0.00 Delisted N/A Held6060224 AG5462 CY6244 GB0030913577 BT GROUP ORD 0.05 10,000 1.881 18,810.00 GBP 18,810.00 0.00 1,274.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B5KKT968 CABLE & WIRELESS LN 3,520 0.3624 1,275.65 GBP 1,275.65 0.00 86.46 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0031743007 BURBERRY GROUP PLC 2,000 13.41 26,820.00 GBP 26,820.00 0.00 1,817.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B2QPKJ12 FRESNILLO PLC‐W/I LN 700 16.98 11,886.00 GBP 11,886.00 0.00 805.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B28KQ186 MAN GROUP PLC LN 15,500 1.499 23,234.50 GBP 23,234.50 0.00 1,574.72 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B24CGK77 RECKITT BENCKISE LN 350 31.98 11,193.00 GBP 11,193.00 0.00 758.61 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B1VYCH82 THOMAS COOK GROU LN 15,000 0.52 7,800.00 GBP 7,800.00 0.00 528.65 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B07KD360 COBHAM PLC 8,000 1.8 14,400.00 GBP 14,400.00 0.00 975.96 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0033986497 ITV PLC 30,000 0.6405 19,215.00 GBP 19,215.00 0.00 1,302.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB00B5WB0X89 CABLE & WIRELESS WORLD LN 3,520 0.2796 984.19 GBP 984.19 0.00 66.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0005405286 HSBC HOLDINGS PLC (GBP) 3,500 5.449 19,071.50 GBP 19,071.50 0.00 1,292.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6060224 AG5462 CY6244 GB0002162385 AVIVA PLC 7,000 3.408 23,856.00 GBP 23,856.00 0.00 1,616.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5462 Total 494,203.72 33,468.76 25.00 33,493.766061766 AGCY8107 CY8107 GB0008706128 LLOYDS BANKING GROUP PLC 395 0.32495 128.36 GBP 128.36 0.00 8.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ /6061766 AGCY8107 CY8107 GB00B28KQ186 MAN GROUP PLC LN 146 1.499 218.85 GBP 218.85 0.00 14.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6061766 AGCY8107 CY8107 GB0031348658 BARCLAYS PLC ORD SHARES 157 1.953 306.62 GBP 306.62 0.00 20.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6061766 AGCY8107 CY8107 US55277J1088 MF GLOBAL HOLDIN US 473 1.2 567.60 USD 351.65 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8107 Total 1,005.48 44.31 3.00 47.31h d l / / ld6062210 AG5514 CY6327 GB00B28KQ186 MAN GROUP PLC LN 6,888 1.499 10,325.11 GBP 10,325.11 0.00 699.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

6062210 AG5514 CY6327 GB00B08SNH34 NATIONAL GRID PLC 4,200 6.175 25,935.00 GBP 25,935.00 0.00 1,757.75 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062210 AG5514 CY6327 GB0002162385 AVIVA PLC 2,000 3.408 6,816.00 GBP 6,816.00 0.00 461.96 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5514 Total 43,076.11 2,919.49 3.00 2,922.496062220 AGCY8869 CY8869 GB00B28KQ186 MAN GROUP PLC LN 466 1 499 698 53 GBP 698 53 0 00 47 34 1 00 S h d l 9 P A 01/08/2012 H ld6062220 AGCY8869 CY8869 GB00B28KQ186 MAN GROUP PLC LN 466 1.499 698.53 GBP 698.53 0.00 47.34 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062220 AGCY8869 CY8869 GB0007360158 GAME GROUP PLC 130 0.1925 25.03 GBP 25.03 0.00 1.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8869 Total 723.56 49.04 2.00 51.046062315 AGCY8866 CY8866 US55277J1088 MF GLOBAL HOLDIN US 600 1.2 720.00 USD 446.07 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8866 T t l 446 07 0 00 0 00 0 00AGCY8866 Total 446.07 0.00 0.00 0.006062388 AGCY0996 CY0996 IT0004644743 FIAT INDUSTRIAL IM 120 6.305 756.60 EUR 653.88 0.00 44.32 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6062388 AGCY0996 CY0996 IT0001976403 FIAT SPA (ITA) 120 4.44 532.80 EUR 460.46 0.00 31.21 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6062388 AGCY0996 CY0996 DE000PAH0038 PORSCHE AUTOMOBIL HLDG GY 90 42.385 3,814.65 EUR 3,296.73 0.00 223.44 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6062388 AGCY0996 CY0996 IT0000064482 BANCA POPOLARE DI MILANO 556 0 447 248 53 EUR 214 79 0 00 14 56 35 00 S h d l 9 P t A 01/08/2012 H ld6062388 AGCY0996 CY0996 IT0000064482 BANCA POPOLARE DI MILANO 556 0.447 248.53 EUR 214.79 0.00 14.56 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6062388 AGCY0996 CY0996 GB0001367019 BRITISH LAND 316 5.105 1,613.18 GBP 1,613.18 0.00 109.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062388 AGCY0996 CY0996 US55277J1088 MF GLOBAL HOLDIN US 1,580 1.2 1,896.00 USD 1,174.65 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6062388 AGCY0996 CY0996 US5249081002 LEHMAN BROS HLDG 235 0.035 8.23 USD 5.10 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY0996 Total 7 418 78 422 85 141 00 563 85AGCY0996 Total 7,418.78 422.85 141.00 563.856062437 AGCY8858 CY8858 US4566071001 INDYMAC BANC(DONOTUSE) 4,118 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6062437 AGCY8858 CY8858 US5249081002 LEHMAN BROS HLDG 100 0.035 3.50 USD 2.17 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8858 Total 2.17 0.00 0.00 0.006062717 AGCY8877 CY8877 GB00B28KQ186 MAN GROUP PLC LN 379 1 499 568 12 GBP 568 12 0 00 38 50 1 00 Schedule 9 Part A 01/08/2012 Held6062717 AGCY8877 CY8877 GB00B28KQ186 MAN GROUP PLC LN 379 1.499 568.12 GBP 568.12 0.00 38.50 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062717 AGCY8877 CY8877 GB0059337583 DELTEX MEDICAL GROUP PLC 2,500 0.18625 465.63 GBP 465.63 0.00 31.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8877 Total 1,033.75 70.06 2.00 72.066062782 AG5570 CY6360 AU000000RZR8 RAZOR RISK TECHNOLOGIES L 210,000 0.015 3,150.00 AUD 2,070.60 0.00 140.34 50.00 Schedule 9 ‐ Part B 01/08/2012 Held6062782 AG5570 CY6360 HK0000033065 UNIVISION ENGINEERING LN 900 000 0 005 4 500 00 GBP 4 500 00 0 00 304 99 1 00 Schedule 9 Part A 01/08/2012 Held6062782 AG5570 CY6360 HK0000033065 UNIVISION ENGINEERING LN 900,000 0.005 4,500.00 GBP 4,500.00 0.00 304.99 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062782 AG5570 CY6360 GB00B069DV22 HERENCIA RESOURCES PLC LN 1,550,000 0.02475 38,362.50 GBP 38,362.50 0.00 2,600.03 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5570 Total 44,933.10 3,045.35 52.00 3,097.356062817 AGCY8802 CY8802 US55277J1088 MF GLOBAL HOLDIN US 250 1.2 300.00 USD 185.86 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8802 Total 185 86 0 00 0 00 0 00AGCY8802 Total 185.86 0.00 0.00 0.006063402 AGCY8857 CY8857 US55277J1088 MF GLOBAL HOLDIN US 400 1.2 480.00 USD 297.38 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8857 Total 297.38 0.00 0.00 0.006063456 AG5573 CY6395 GB0004082847 STANDARD CHARTERED PLC 362 14.59 5,281.58 GBP 5,281.58 0.00 357.96 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB00B42CTW68 NEWWORLD RESOURCES PL LN 500 5 21 2 605 00 GBP 2 605 00 0 00 176 55 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB00B42CTW68 NEW WORLD RESOURCES PL LN 500 5.21 2,605.00 GBP 2,605.00 0.00 176.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB00B28KQ186 MAN GROUP PLC LN 2,726 1.499 4,086.27 GBP 4,086.27 0.00 276.95 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 12 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6063456 AG5573 CY6395 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 230 22.06 5,073.80 GBP 5,073.80 0.00 343.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB0033277061 VEDANTA RESOURCES PLC 620 12.78 7,923.60 GBP 7,923.60 0.00 537.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB0007980591 BP PLC 1,350 4.61 6,223.50 GBP 6,223.50 0.00 421.80 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB0007099541 PRUDENTIAL 700 6.475 4,532.50 GBP 4,532.50 0.00 307.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB0001500809 TULLOW OIL NEW 370 14.03 5,191.10 GBP 5,191.10 0.00 351.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063456 AG5573 CY6395 GB0007188757 RIO TINTO 125 33.85 4,231.25 GBP 4,231.25 0.00 286.77 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5573 Total 45,148.60 3,059.96 9.00 3,068.966063460 AG5571 CY6393 AU000000EPY3 E‐PAY ASIA LTD AU 2,500 0.15 375.00 AUD 246.50 0.00 16.71 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6063460 AG5571 CY6393 AU000000GIP1 GIPPSLAND LTD AU 100,000 0.026 2,600.00 AUD 1,709.06 0.00 115.83 50.00 Schedule 9 ‐ Part B 01/08/2012 Held6063460 AG5571 CY6393 GB00B0XQBS97 EIRX THERAPEUTICS PLC 500,000 0 0.00 GBP 0.00 0.00 0.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063460 AG5571 CY6393 DE000A0B65S3 PAION AG LN 586 0 0.00 GBP 0.00 0.00 0.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5571 Total 1,955.56 132.54 87.00 219.546063564 AGCY8852 CY8852 GB0007547838 ROYAL BANK OF SCOTLAND 2,000 0.2423 484.60 GBP 484.60 0.00 32.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063564 AGCY8852 CY8852 GB0008706128 LLOYDS BANKING GROUP PLC 3,300 0.32495 1,072.34 GBP 1,072.34 0.00 72.68 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063564 AGCY8852 CY8852 US55277J1088 MF GLOBAL HOLDIN US 750 1.2 900.00 USD 557.59 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8852 Total 2,114.52 105.52 2.00 107.526063708 AG5576 CY6398 GB0007099541 PRUDENTIAL 550 6.475 3,561.25 GBP 3,561.25 0.00 241.36 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063708 AG5576 CY6398 GB0007980591 BP PLC 670 4.61 3,088.70 GBP 3,088.70 0.00 209.34 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063708 AG5576 CY6398 GB0033277061 VEDANTA RESOURCES PLC 260 12.78 3,322.80 GBP 3,322.80 0.00 225.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063708 AG5576 CY6398 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 141 22.06 3,110.46 GBP 3,110.46 0.00 210.81 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063708 AG5576 CY6398 GB00B42CTW68 NEW WORLD RESOURCES PL LN 400 5.21 2,084.00 GBP 2,084.00 0.00 141.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5576 Total 15,167.21 1,027.96 5.00 1,032.966064177 AG5604 CY6411 GB0031348658 BARCLAYS PLC ORD SHARES 6,000 1.953 11,718.00 GBP 11,718.00 0.00 794.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5604 Total 11,718.00 794.19 1.00 795.196064343 AG5623 CY6447 DE000A0B65S3 PAION AG LN 586 0 0.00 GBP 0.00 0.00 0.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

lAG5623 Total 0.00 0.00 1.00 0.006064750 AG5743 CY6468 GB0031348658 BARCLAYS PLC ORD SHARES 514 1.953 1,003.84 GBP 1,003.84 0.00 68.04 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6064750 AG5743 CY6468 GB0008706128 LLOYDS BANKING GROUP PLC 1,132 0.32495 367.84 GBP 367.84 0.00 24.93 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6064750 AG5743 CY6468 GB0007547838 ROYAL BANK OF SCOTLAND 1,428 0.2423 346.00 GBP 346.00 0.00 23.45 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5743 T l 1 717 69 116 42 3 00 119 42AG5743 Total 1,717.69 116.42 3.00 119.426065337 AGCY5527 CY5527 GG00B3CTZB13 MAN‐DIV GUER =‐B GU 61,576 1.0685 65,793.96 EUR 56,861.08 0.00 3,853.77 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY5527 Total 56,861.08 3,853.77 35.00 3,888.776066067 AG6136 CY7199 GB00B18S7B29 AFC ENERGY PLC LN 200,000 0.3 60,000.00 GBP 60,000.00 0.00 4,066.52 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6136 T t l 60 000 00 4 066 52 1 00 4 067 52AG6136 Total 60,000.00 4,066.52 1.00 4,067.526066767 AG5753 CY520C GB00B03MM408 ROYAL DUTCH SHELL ‐ B SHS 341 22.355 7,623.06 GBP 7,623.06 0.00 516.65 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5753 Total 7,623.06 516.65 1.00 517.656067613 AGCY8849 CY8849 GB00B28KQ186 MAN GROUP PLC LN 1,500 1.499 2,248.50 GBP 2,248.50 0.00 152.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6067613 AGCY8849 CY8849 GB0007547838 ROYAL BANK OF SCOTLAND 2 000 0 2423 484 60 GBP 484 60 0 00 32 84 1 00 S h d l 9 P t A 01/08/2012 H ld6067613 AGCY8849 CY8849 GB0007547838 ROYAL BANK OF SCOTLAND 2,000 0.2423 484.60 GBP 484.60 0.00 32.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6067613 AGCY8849 CY8849 US55277J1088 MF GLOBAL HOLDIN US 1,000 1.2 1,200.00 USD 743.45 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8849 Total 3,476.55 185.24 2.00 187.246068266 AGCYK589 CYK589 US74347W7184 PRSH‐ULTSH GOLD US 80 16.85 1,348.00 USD 835.14 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6068266 AGCYK589 CYK589 US74347R8833 ULTRASHORT S&P50 US 700 20 25 14 175 00 USD 8 781 98 0 00 0 00 0 00 Not Held No Return N/A Not Held6068266 AGCYK589 CYK589 US74347R8833 ULTRASHORT S&P50 US 700 20.25 14,175.00 USD 8,781.98 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCYK589 Total 9,617.12 0.00 0.00 0.006068358 AGCYC678 CYC678 IE0002163354 CONROY GOLD & NAT RES PLC 11,600 0.03125 362.50 GBP 362.50 0.00 24.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6068358 AGCYC678 CYC678 GB0003230421 EURASIA GROUP PLC 20,000 0.00775 155.00 GBP 155.00 0.00 10.51 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYC678 Total 517 50 35 07 2 00 37 07AGCYC678 Total 517.50 35.07 2.00 37.076068540 AGCYU721 CYU721 XS0234333549 MAN‐IP 220‐INT‐= BH 50,000 1.1418 57,090.00 EUR 49,338.86 0.00 3,343.95 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYU721 Total 49,338.86 3,343.95 35.00 3,378.956068563 AG5754 CY523C GB0004250451 REXAM 2,555 3.461 8,842.86 GBP 8,842.86 0.00 599.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5754 Total 8 842 86 599 33 1 00 600 33AG5754 Total 8,842.86 599.33 1.00 600.336069172 AGCYC676 CYC676 GB0003230421 EURASIA GROUP PLC 20,000 0.00775 155.00 GBP 155.00 0.00 10.51 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6069172 AGCYC676 CYC676 IE0002163354 CONROY GOLD & NAT RES PLC 10,000 0.03125 312.50 GBP 312.50 0.00 21.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYC676 Total 467.50 31.68 2.00 33.686072288 AG6472 CY6861 USU890581080 TYRATECH INC LN 22 000 0 285 6 270 00 GBP 6 270 00 0 00 424 95 50 00 Schedule 9 Part B 01/08/2012 Held6072288 AG6472 CY6861 USU890581080 TYRATECH INC LN 22,000 0.285 6,270.00 GBP 6,270.00 0.00 424.95 50.00 Schedule 9 ‐ Part B 01/08/2012 Held

AG6472 Total 6,270.00 424.95 50.00 474.956073044 AGCYN811 CYN811 GB0031411001 XSTRATA PLC LN 10,001 10.455 104,560.46 GBP 104,560.46 0.00 7,086.61 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYN811 Total 104,560.46 7,086.61 1.00 7,087.616073076 AG5874 CY6829 GB00B01C3S32 RANDGOLD RESOURCES LTD 225 67 95 15 288 75 GBP 15 288 75 0 00 1 036 20 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6073076 AG5874 CY6829 GB00B01C3S32 RANDGOLD RESOURCES LTD 225 67.95 15,288.75 GBP 15,288.75 0.00 1,036.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6073076 AG5874 CY6829 GB0008847096 TESCO 2,000 4.0175 8,035.00 GBP 8,035.00 0.00 544.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 13 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6073076 AG5874 CY6829 GB00B08SNH34 NATIONAL GRID PLC 1,541 6.175 9,515.68 GBP 9,515.68 0.00 644.93 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6073076 AG5874 CY6829 GB0000595859 ARM HOLDINGS PLC 1,000 5.845 5,845.00 GBP 5,845.00 0.00 396.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6073076 AG5874 CY6829 GB0031348658 BARCLAYS PLC ORD SHARES 27 1.953 52.73 GBP 52.73 0.00 3.57 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6073076 AG5874 CY6829 US57060U1007 MARKET VECTORS GOLD MI US 150 58.83 8,824.50 USD 5,467.13 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6073076 AG5874 CY6829 AN8068571086 SCHLUMBERGER LTD 100 73.47 7,347.00 USD 4,551.76 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6073076 AG5874 CY6829 US78463V1070 SPDR GOLD TRUST US 150 167.34 25,101.00 USD 15,551.08 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG5874 Total 64,307.13 2,625.42 5.00 2,630.426073369 AG5840 CY6816 US35671D8570 FREEPORT‐MCMORON B 8 40.26 322.08 USD 199.54 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG5840 Total 199.54 0.00 0.00 0.006074000 AGCY5055 CY5055 US9123181102 US NAT GAS FD LP US 315 9.01 2,838.15 USD 1,758.35 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY5055 Total 1,758.35 0.00 0.00 0.006074527 AG5971 CY6941 GB0008782301 TAYLOR WIMPEY PLC 113,000 0.3695 41,753.50 GBP 41,753.50 0.00 2,829.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5971 Total 41,753.50 2,829.85 1.00 2,830.856075170 AGCY037C CY037C GB0001367019 BRITISH LAND 1,000 5.105 5,105.00 GBP 5,105.00 0.00 345.99 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY037C Total 5,105.00 345.99 1.00 346.996075597 AG5990 CY6934 GB0008706128 LLOYDS BANKING GROUP PLC 48,500 0.32495 15,760.08 GBP 15,760.08 0.00 1,068.14 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5990 Total 15,760.08 1,068.14 1.00 1,069.146076070 AG6092 CY6947 GB00B39QB067 RETHINK GROUP PLC/THE LN 20,000 0.0925 1,850.00 GBP 1,850.00 0.00 125.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6076070 AG6092 CY6947 GB00B15PVN63 WEATHERLEY INTL PLC 10,000 0.06125 612.50 GBP 612.50 0.00 41.51 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6076070 AG6092 CY6947 IE0006627891 ORMONDE MINING PLC LN 10,000 0.08375 837.50 GBP 837.50 0.00 56.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6076070 AG6092 CY6947 GB0031030819 ALLIANCE PHARMA PLC 34 0.3025 10.29 GBP 10.29 0.00 0.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6092 Total 3,310.29 224.36 4.00 228.366079071 AG6063 CY768C US06740C2614 IPATH‐S&P S/T FU US 7 40.11 280.77 USD 173.95 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6079071 AG6063 CY768C JE00B24DK645 ETFS SHORT COPPER LN 200 30.67 6,134.00 USD 3,800.26 0.00 257.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6063 Total 3,974.21 257.56 1.00 258.56h d l / / ld6079826 AGCYR041 CYR041 GB0008847096 TESCO 4,935 4.0175 19,826.36 GBP 19,826.36 0.00 1,343.74 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

6079826 AGCYR041 CYR041 GB00B1WBW239 BLINKX PLC LN 7,350 1.5025 11,043.38 GBP 11,043.38 0.00 748.47 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB00B16GWD56 VODAFONE GROUP LN 6,841 1.7285 11,824.67 GBP 11,824.67 0.00 801.42 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB0009252882 GLAXO SMITHKLINE 790 14 11,060.00 GBP 11,060.00 0.00 749.59 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB0007188757 RIO TINTO 267 33 85 9 037 95 GBP 9 037 95 0 00 612 55 1 00 S h d l 9 P A 01/08/2012 H ld6079826 AGCYR041 CYR041 GB0007188757 RIO TINTO 267 33.85 9,037.95 GBP 9,037.95 0.00 612.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB0005405286 HSBC HOLDINGS PLC (GBP) 3,125 5.449 17,028.13 GBP 17,028.13 0.00 1,154.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB0004082847 STANDARD CHARTERED PLC 641 14.59 9,352.19 GBP 9,352.19 0.00 633.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB0002374006 DIAGEO 1,837 12.89 23,678.93 GBP 23,678.93 0.00 1,604.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB0000566504 BHP BILLITON PLC 1 350 19 675 26 561 25 GBP 26 561 25 0 00 1 800 20 1 00 S h d l 9 P t A 01/08/2012 H ld6079826 AGCYR041 CYR041 GB0000566504 BHP BILLITON PLC 1,350 19.675 26,561.25 GBP 26,561.25 0.00 1,800.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 481 22.06 10,610.86 GBP 10,610.86 0.00 719.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6079826 AGCYR041 CYR041 US9311421039 WAL‐MART STORES 580 56.72 32,897.60 USD 20,381.39 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6079826 AGCYR041 CYR041 US38259P5089 GOOGLE INC CL A 50 592.64 29,632.00 USD 18,358.22 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6079826 AGCYR041 CYR041 US4540891037 INDIA FUND INC 780 24 89 19 414 20 USD 12 027 88 0 00 0 00 0 00 N t H ld N R t N/A N t H ld6079826 AGCYR041 CYR041 US4540891037 INDIA FUND INC 780 24.89 19,414.20 USD 12,027.88 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCYR041 Total 200,791.20 10,167.90 10.00 10,177.906080029 AG6130 CY575C GB0002162385 AVIVA PLC 59,500 3.408 202,776.00 GBP 202,776.00 0.00 13,743.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6080029 AG6130 CY575C GB0001482891 VISLINK PLC 810,000 0.1625 131,625.00 GBP 131,625.00 0.00 8,920.92 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6130 Total 334 401 00 22 664 12 2 00 22 666 12AG6130 Total 334,401.00 22,664.12 2.00 22,666.126080340 AG6127 CY7172 CA8284261069 SILVERMEX RESOURCES IN CN 15,000 0.49 7,350.00 CAD 4,584.29 0.00 310.70 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6080340 AG6127 CY7172 CA75382G1046 EAST ENERGY COR TOR RA 30,000 0.18 5,400.00 CAD 3,368.05 0.00 228.27 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6080340 AG6127 CY7172 CA3660441054 GARIBALDI RESOURCES CO CN 15,000 0.215 3,225.00 CAD 2,011.48 0.00 136.33 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6080340 AG6127 CY7172 CA2926011016 ENCORE RENAISSANCE RES CN 50 000 0 03 1 500 00 CAD 935 57 0 00 63 41 35 00 Schedule 9 Part A 01/08/2012 Held6080340 AG6127 CY7172 CA2926011016 ENCORE RENAISSANCE RES CN 50,000 0.03 1,500.00 CAD 935.57 0.00 63.41 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6080340 AG6127 CY7172 US26139C1027 DPOLLUTION INTERNATION US 7,000 0.07 490.00 USD 303.57 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6080340 AG6127 CY7172 US53121P1075 LIBERTY SILVER CORP US 15,000 0.65 9,750.00 USD 6,040.52 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6080340 AG6127 CY7172 US81932P1075 SHAMIKA 2 GOLD I US 10,000 0.005 50.00 USD 30.98 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG6127 Total 17 274 46 738 71 140 00 878 71AG6127 Total 17,274.46 738.71 140.00 878.716082218 AG6199 CYU39C GB0008706128 LLOYDS BANKING GROUP PLC 9,971 0.32495 3,240.08 GBP 3,240.08 0.00 219.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6082218 AG6199 CYU39C GB0002689494 DESIRE PETROLEUM PLC 27,500 0.1925 5,293.75 GBP 5,293.75 0.00 358.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6199 Total 8,533.83 578.38 2.00 580.386083217 AG9852 CY2848 GB00B5WB0X89 CABLE & WIRELESS WORLD LN 6 355 0 2796 1 776 86 GBP 1 776 86 0 00 120 43 1 00 Schedule 9 Part A 01/08/2012 Held6083217 AG9852 CY2848 GB00B5WB0X89 CABLE & WIRELESS WORLD LN 6,355 0.2796 1,776.86 GBP 1,776.86 0.00 120.43 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6083217 AG9852 CY2848 JE00B2Q4TN56 HERITAGE OIL PLC LN 2,500 2.187 5,467.50 GBP 5,467.50 0.00 370.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6083217 AG9852 CY2848 GB00B5KKT968 CABLE & WIRELESS LN 6,000 0.3624 2,174.40 GBP 2,174.40 0.00 147.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6083217 AG9852 CY2848 GB00B09MB366 HARDY OIL & GAS PLC 4,000 1.5375 6,150.00 GBP 6,150.00 0.00 416.82 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG9852 Total 15 568 76 1 055 18 4 00 1 059 18AG9852 Total 15,568.76 1,055.18 4.00 1,059.186085570 AGCY586C CY586C US75281W1018 RANGER GOLD CORP US 1,473,657 0.18 265,258.26 USD 164,338.18 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

Page 14 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6085570 AGCY586C CY586C US85512U2042 STAR GOLD CORP US 1,000 0.05 50.00 USD 30.98 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐HeldAGCY586C Total 164,369.16 0.00 0.00 0.00

6085571 AGCY582C CY582C US85512U2042 STAR GOLD CORP US 5,000 0.05 250.00 USD 154.89 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐HeldAGCY582C Total 154.89 0.00 0.00 0.00

6086188 AG6344 CY8614 GB00B16GWD56 VODAFONE GROUP LN 2,000 1.7285 3,457.00 GBP 3,457.00 0.00 234.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6086188 AG6344 CY8614 GB00B06VGC01 GULFSANDS PETROLEUM LTD 919 1.875 1,723.13 GBP 1,723.13 0.00 116.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6086188 AG6344 CY8614 GB0030913577 BT GROUP ORD 0.05 4,000 1.881 7,524.00 GBP 7,524.00 0.00 509.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6086188 AG6344 CY8614 GB0008021650 SAGE GROUP 1,000 2.781 2,781.00 GBP 2,781.00 0.00 188.48 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6086188 AG6344 CY8614 GB0004065016 HAMMERSON 2,000 4.071 8,142.00 GBP 8,142.00 0.00 551.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6086188 AG6344 CY8614 ES0177542018 INTERNATIONAL CONSOLID LN 1,000 1.667 1,667.00 GBP 1,667.00 0.00 112.98 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6086188 AG6344 CY8614 GI000A0MV757 BWIN.PARTY DIG ENT 2,000 1.097 2,194.00 GBP 2,194.00 0.00 148.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6344 Total 27,488.13 1,863.01 7.00 1,870.016087327 AG6255 CY097C GB0009895292 ASTRAZENECA (UK LINE) 1,000 29.86 29,860.00 GBP 29,860.00 0.00 2,023.77 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6255 Total 29,860.00 2,023.77 1.00 2,024.776087482 AG6305 CY861C GB00B067H256 NOSTRA TERRA OIL & GAS CO 400,000 0.00445 1,780.00 GBP 1,780.00 0.00 120.64 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087482 AG6305 CY861C IE00B4QNK008 ETFX FTSE 100 SUP SHRT LN 110 39.28 4,320.80 GBP 4,320.80 0.00 292.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087482 AG6305 CY861C JE00B2Q4TN56 HERITAGE OIL PLC LN 800 2.187 1,749.60 GBP 1,749.60 0.00 118.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087482 AG6305 CY861C IE00B3DKXJ73 KEDCO PLC LN 25,000 0.025 625.00 GBP 625.00 0.00 42.36 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087482 AG6305 CY861C IE00B3CLK236 SAN LEON ENERGY PLC LN 20,000 0.1375 2,750.00 GBP 2,750.00 0.00 186.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087482 AG6305 CY861C GB00B3CDXQ41 COMS PLC LN 16,250 0.01075 174.69 GBP 174.69 0.00 11.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087482 AG6305 CY861C GB00B23N9136 VALIRX PLC LN 250,000 0.0049 1,225.00 GBP 1,225.00 0.00 83.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

/ /6087482 AG6305 CY861C GB00B1TYBN97 SOLO OIL PLC LN 500,000 0.0068 3,400.00 GBP 3,400.00 0.00 230.44 1.00 Schedule 9 ‐ Part A 01/08/2012 HeldAG6305 Total 16,025.09 1,086.10 8.00 1,094.10

6087583 AG6301 CY608C GB00B57WD717 ERUMA PLC LN 6,250 0.105 656.25 GBP 656.25 0.00 44.48 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C GB00B54DP718 GREEN COMPLIANCE LN 450 0.605 272.25 GBP 272.25 0.00 18.45 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

(d ) h d l / / ld6087583 AG6301 CY608C GB00B4TF5D13 SPIRITEL PLC LN(donotuse) 70 0 0.00 GBP 0.00 0.00 0.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C GB00B29MWV51 U3O8 HOLDINGS PLC PZ 65,000 0.0095 617.50 GBP 617.50 0.00 41.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C GB00B067JC96 RARE EARTH MINERALS PLC 20,000 0.0026 52.00 GBP 52.00 0.00 3.52 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C IL0010958762 MTI WIRELESS EDGE LTD LN 6,320 0.0875 553.00 GBP 553.00 0.00 37.48 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C GB0003315628 FIDELITY SYSTEMS PLC OF 3 000 0 0688 206 40 GBP 206 40 0 00 13 99 1 00 S h d l 9 P A 01/08/2012 H ld6087583 AG6301 CY608C GB0003315628 FIDELITY SYSTEMS PLC OF 3,000 0.0688 206.40 GBP 206.40 0.00 13.99 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C GB00B5SGVL29 TISSUE REGENIX G LN 6,000 0.1225 735.00 GBP 735.00 0.00 49.81 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C IE00B3CLK236 SAN LEON ENERGY PLC LN 12,500 0.1375 1,718.75 GBP 1,718.75 0.00 116.49 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087583 AG6301 CY608C KYG0683D1088 ATHOL GOLD AND VALUE LTD 28,000 0.00415 116.20 GBP 116.20 0.00 7.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6301 T t l 4 927 35 333 95 10 00 343 95AG6301 Total 4,927.35 333.95 10.00 343.956087604 AG6295 CY865C IM00B3BDF367 SILVANUS ONE PLC PZ 40,000 0.0025 100.00 GBP 100.00 0.00 6.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087604 AG6295 CY865C GB00B3MH2362 ALPHA UNIVERSAL MANAGE PZ 1,400 0.0035 4.90 GBP 4.90 0.00 0.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087604 AG6295 CY865C GB00B29MWV51 U3O8 HOLDINGS PLC PZ 85,000 0.0095 807.50 GBP 807.50 0.00 54.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6087604 AG6295 CY865C GB00B1WPSV60 SURETRACK MONITORING P PZ 60 000 0 004 240 00 GBP 240 00 0 00 16 27 1 00 S h d l 9 P t A 01/08/2012 H ld6087604 AG6295 CY865C GB00B1WPSV60 SURETRACK MONITORING P PZ 60,000 0.004 240.00 GBP 240.00 0.00 16.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6295 Total 1,152.40 78.10 4.00 82.106088858 AG6491 CY7472 GB0006320161 INTERNATIONAL POWER 321 3.382 1,085.62 GBP 1,085.62 0.00 73.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088858 AG6491 CY7472 GB00B1YW4409 3I GROUP PLC LN 303 2.056 622.97 GBP 622.97 0.00 42.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088858 AG6491 CY7472 GB00B08SNH34 NATIONAL GRID PLC 240 6 175 1 482 00 GBP 1 482 00 0 00 100 44 1 00 Schedule 9 Part A 01/08/2012 Held6088858 AG6491 CY7472 GB00B08SNH34 NATIONAL GRID PLC 240 6.175 1,482.00 GBP 1,482.00 0.00 100.44 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088858 AG6491 CY7472 GB0008762899 BG GROUP PLC 425 13.565 5,765.13 GBP 5,765.13 0.00 390.73 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088858 AG6491 CY7472 GB0030913577 BT GROUP ORD 0.05 277 1.881 521.04 GBP 521.04 0.00 35.31 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6491 Total 9,476.75 642.29 5.00 647.296088960 AG6371 CY866C GB00B5WB0X89 CABLE & WIRELESS WORLD LN 3 000 0 2796 838 80 GBP 838 80 0 00 56 85 1 00 Schedule 9 Part A 01/08/2012 Held6088960 AG6371 CY866C GB00B5WB0X89 CABLE & WIRELESS WORLD LN 3,000 0.2796 838.80 GBP 838.80 0.00 56.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088960 AG6371 CY866C GB00B5KKT968 CABLE & WIRELESS LN 4,000 0.3624 1,449.60 GBP 1,449.60 0.00 98.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088960 AG6371 CY866C GB00B28KQ186 MAN GROUP PLC LN 2,205 1.499 3,305.30 GBP 3,305.30 0.00 224.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6088960 AG6371 CY866C GB00B1VNSX38 DRAX GROUP PLC LN 750 5.43 4,072.50 GBP 4,072.50 0.00 276.01 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6371 Total 9 666 20 655 13 4 00 659 13AG6371 Total 9,666.20 655.13 4.00 659.136089302 AGCY262C CY262C IE00B58JVZ52 SEAGATE TECHNOLO US 1,000 16.15 16,150.00 USD 10,005.58 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6089302 AGCY262C CY262C US5529531015 MGM RESORTS INTERNATIONAL 1,000 11.52 11,520.00 USD 7,137.10 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6089302 AGCY262C CY262C US25459W5168 FINL BULL 3X US(ISINChang 2,000 14.67 29,340.00 USD 18,177.31 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6089302 AGCY262C CY262C CA75381M1023 RARE ELEMENT RESOURCES US 1 000 6 53 6 530 00 USD 4 045 60 0 00 0 00 0 00 Not Held No Return N/A Not Held6089302 AGCY262C CY262C CA75381M1023 RARE ELEMENT RESOURCES US 1,000 6.53 6,530.00 USD 4,045.60 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6089302 AGCY262C CY262C US46612J5074 JDS UNIPHASE CORP US 1,000 12 12,000.00 USD 7,434.48 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY262C Total 46,800.07 0.00 0.00 0.006089305 AGCY281 CY281 US1729674242 CITIGROUP INC US 500 31.59 15,795.00 USD 9,785.64 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY281 Total 9 785 64 0 00 0 00 0 00AGCY281 Total 9,785.64 0.00 0.00 0.006089706 AG6372 CY622C GB00B019KW72 J SAINSBURY 67 2.991 200.40 GBP 200.40 0.00 13.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 15 of 16





Return Procedure

Col. 2 Col. 11

CIS IDAccount Code


6089706 AG6372 CY622C GB0034353531 COVE ENERGY PLC 4,500 0.925 4,162.50 GBP 4,162.50 0.00 282.11 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6089706 AG6372 CY622C GB0003049409 PATAGONIA GOLD PLC 14,000 0.495 6,930.00 GBP 6,930.00 0.00 469.68 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6372 Total 11,292.90 765.38 3.00 768.386090562 AG6382 CYU02C GB00B4YCDF59 TALKTALK TELECOM GROUP LN 8,000 1.298 10,384.00 GBP 10,384.00 0.00 703.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6090562 AG6382 CYU02C GB00B4Y7R145 NEW CARPHONE WAREHOUSE LN 4,000 3.51 14,040.00 GBP 14,040.00 0.00 951.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6090562 AG6382 CYU02C GB0007908733 SSE PLC 515 13.44 6,921.60 GBP 6,921.60 0.00 469.11 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6090562 AG6382 CYU02C GB0006320161 INTERNATIONAL POWER 186 3.382 629.05 GBP 629.05 0.00 42.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6382 Total 31,974.65 2,167.09 4.00 2,171.096092532 AG6400 CY788C GB0005405286 HSBC HOLDINGS PLC (GBP) 5,000 5.449 27,245.00 GBP 27,245.00 0.00 1,846.54 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB00B0WHW246 OPTOS PLC LN 5,000 2.0575 10,287.50 GBP 10,287.50 0.00 697.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB0031274896 MARKS & SPENCER NEW ORD 5,000 3.219 16,095.00 GBP 16,095.00 0.00 1,090.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB0009895292 ASTRAZENECA (UK LINE) 2,000 29.86 59,720.00 GBP 59,720.00 0.00 4,047.54 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB0008847096 TESCO 10,000 4.0175 40,175.00 GBP 40,175.00 0.00 2,722.87 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB0007547838 ROYAL BANK OF SCOTLAND 10,000 0.2423 2,423.00 GBP 2,423.00 0.00 164.22 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB0007980591 BP PLC 2,000 4.61 9,220.00 GBP 9,220.00 0.00 624.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6092532 AG6400 CY788C GB00B16GWD56 VODAFONE GROUP LN 5,000 1.7285 8,642.50 GBP 8,642.50 0.00 585.75 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6400 Total 173,808.00 11,779.88 8.00 11,787.886093976 AG6429 CY791C KYG2117P1037 CHINA METAL RES HK 1,500,000 0.072 108,000.00 HKD 8,617.25 0.00 584.04 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6429 Total 8,617.25 584.04 35.00 619.046094412 AG6475 CYP230 GB00B019KW72 J SAINSBURY 3,969 2.991 11,871.28 GBP 11,871.28 0.00 804.58 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6475 Total 11,871.28 804.58 1.00 805.58/ /6096915 AG6481 CY7459 GB00B28KQ186 MAN GROUP PLC LN 5,100 1.499 7,644.90 GBP 7,644.90 0.00 518.14 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

6096915 AG6481 CY7459 GB0009895292 ASTRAZENECA (UK LINE) 227 29.86 6,778.22 GBP 6,778.22 0.00 459.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6096915 AG6481 CY7459 GB0000811801 BARRATT 6,400 0.888 5,683.20 GBP 5,683.20 0.00 385.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6481 Total 20,106.32 1,362.71 3.00 1,365.71/ / h d l / / ld6097682 AG6508 CYC194 XS0260057285 AXASA FR 07/06/ LUXEMBOUR 75,000 0.799891 59,991.83 EUR 51,846.71 0.00 3,513.92 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

6097682 AG6508 CYC194 XS0397801357 BACR FR 06/15/49 50,000 1.225779 61,288.95 GBP 61,288.95 0.00 4,153.87 35.00 Schedule 9 ‐ Part A 01/08/2012 HeldAG6508 Total 113,135.66 7,667.80 70.00 7,737.80

6097783 AGCYU465 CYU465 GB00B3XPFJ68 EUROPEAN NICKEL LN 30,000 0.13875 4,162.50 GBP 4,162.50 0.00 282.11 1.00 Schedule 9 ‐ Part A 01/08/2012 HeldAGCYU465 T l 4 162 50 282 11 1 00 283 11AGCYU465 Total 4,162.50 282.11 1.00 283.11

6099005 AG6547 CYU502 BMG196F11004 CATLIN GROUP LTD 3,383 3.971 13,433.89 GBP 13,433.89 0.00 910.49 1.00 Schedule 9 ‐ Part A 01/08/2012 HeldAG6547 Total 13,433.89 910.49 1.00 911.49

6099006 AG6548 CYU501 BMG196F11004 CATLIN GROUP LTD 1,353 3.971 5,372.76 GBP 5,372.76 0.00 364.14 1.00 Schedule 9 ‐ Part A 01/08/2012 HeldAG6548 T t l 5 372 76 364 14 1 00 365 14AG6548 Total 5,372.76 364.14 1.00 365.14

45,692,378.87

- Column 2 - Grips refers to the Company's securities booking system, these are the account numbers that appeared in post-administration statements. R&N refers to the companies futures and options booking system, Rolphe & Nolan. For collateral accounts a mirror account of the Grips account was visible in R&N in order for margin to be applied to F&O positions. These are the account numbers that were visible through eMidas.g- Column 11, 12 and 14 - "TBNS" = To be notified separately.- Column 12 - "Delisted" stocks are generally considered non returnable by the Company. In certain cases, some form of return may be possible, please contact the Company if you are an Agreed Client Asset Claimant to a "Delisted" security and wish to ascertain whether this is possible.- Column 14 - sets out the Retained Client Assets for the purposes of Rule 144(2)(e). The figures in this Column assume (i) that the value of the Client Assets has not changed since the Administration Date and (ii) that the relevant Claimant requests for their Claimant’s Share of Costs to be paid by the Liquidation Option.

Page 16 of 16

SCHEDULE 2

ENCUMBERED CLIENT ASSETS

Col. 1 Col. 3 Col. 4 Col. 5 Col. 6 Col. 7 Col. 8 Col. 9 Col. 11 Col. 12 Col. 14 Col. 15 Col. 16 Col. 17

Schedule 2Encumbered Client Assets

Col. 2 Col. 10 Col. 13

A B Cby Company to Company to a third party

3078204 AG9902 CY2843 ES0113900J37 BANCO SANTANDER HISPANO S 431 5.1480 2,218.79 GBP 2,218.79 0.00 150.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0000536739 ASHTEAD 2,062 1.551 3,198.16 GBP 3,198.16 0.00 216.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held


StatusPrice Value Sec Cur Value (GBP)Liabilities owed (GBP)

QuantityGrips R&N Shared Cost Specific Cost

ShortfallShare of Costs (GBP)

Return ProcedureDate for Return

Net Asset Claim (GBP)CIS IDAccount Code

ISIN Sec Code Security Description

3078204 AG9902 CY2843 GB0001411924 BSKYB (GBP) 1,083 7.04 7,624.32 GBP 7,624.32 0.00 516.74 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0002162385 AVIVA PLC 1,934 3.408 6,591.07 GBP 6,591.07 0.00 446.71 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0002374006 DIAGEO 1,076 12.89 13,869.64 GBP 13,869.64 0.00 940.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0004250451 REXAM 167 3.461 577.99 GBP 577.99 0.00 39.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0004658141 F&C ASSET MANAGEMENT PLC 300 0.7355 220.65 GBP 220.65 0.00 14.95 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0005227086 LOGICA PLC (GBP) 1,500 0.939 1,408.50 GBP 1,408.50 0.00 95.46 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0006616899 RSA INS. ORD 27.5P 8,050 1.117 8,991.85 GBP 8,991.85 0.00 609.42 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0007389926 OLD MUTUAL 5,000 1.1 5,500.00 GBP 5,500.00 0.00 372.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0007547838 ROYAL BANK OF SCOTLAND 2,959 0.2423 716.97 GBP 716.97 0.00 48.59 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0008220112 DS SMITH PLC 2,000 1.4673 2,934.60 GBP 2,934.60 0.00 198.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0008847096 TESCO 2,134 4.0175 8,573.35 GBP 8,573.35 0.00 581.06 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0009516252 SPORTINGBET PLC 10,584 0.3575 3,783.78 GBP 3,783.78 0.00 256.45 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB0031348658 BARCLAYS PLC ORD SHARES 1,241 1.953 2,423.67 GBP 2,423.67 0.00 164.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB00B1CRLC47 MONDI PLC LN 136 4.75 646.00 GBP 646.00 0.00 43.78 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GB00B1XZS820 ANGLO AMER PLC LN 505 22.935 11,582.18 GBP 11,582.18 0.00 784.98 1.00 Schedule 9 ‐ Part A 01/08/2012 Held, , / /3078204 AG9902 CY2843 GB00B63H8491 ROLLS‐ROYCE HOLD LN 1,146 7.025 8,050.65 GBP 8,050.65 0.00 545.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 GG00B62W2327 RESOLUTION LN 1,732 2.75 4,763.00 GBP 4,763.00 0.00 322.81 1.00 Schedule 9 ‐ Part A 01/08/2012 Held3078204 AG9902 CY2843 JE00B3YWCQ29 WOLSELEY PLC LN 325 17.98 5,843.50 GBP 5,843.50 0.00 396.04 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG9902 Total 99,518.66 0.00 735.82 0.00 98,782.84 0.00 6,744.90 20.00 7,500.725013344 AGCY5070 CY5070 US30226D1063 EXTREME NETWORKS INC 180 2.95 531.00 USD 328.98 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5013344 AGCY5070 CY5070 US30226D1063 EXTREME NETWORKS INC 180 2.95 531.00 USD 328.98 0.00 0.00 0.00 Not Held No Return N/A Not Held5013344 AGCY5070 CY5070 US31787A5074 FINISAR CORPORATION US 37 20.49 758.13 USD 469.69 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5013344 AGCY5070 CY5070 US46612J5074 JDS UNIPHASE CORP US 75 12 900.00 USD 557.59 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5013344 AGCY5070 CY5070 US9123181102 US NAT GAS FD LP US 90 9.01 810.90 USD 502.39 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY5070 Total 1,858.64 0.00 31.53 0.00 1,827.11 0.00 0.00 0.00 31.535016725 AGCY2065 CY2065 US8284086092 SILVERLINE TECHNOLOGIE US 50 0 5 25 00 USD 15 49 0 00 0 00 0 00 Not‐Held ‐ No Return N/A Not‐Held5016725 AGCY2065 CY2065 US8284086092 SILVERLINE TECHNOLOGIE US 50 0.5 25.00 USD 15.49 0.00 0.00 0.00 Not Held No Return N/A Not Held

AGCY2065 Total 15.49 0.00 92.77 0.00 ‐77.28 0.00 0.00 0.00 15.495019180 AGCY501C CY501C US46612J5074 JDS UNIPHASE CORP US 38 12 456.00 USD 282.51 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5019180 AGCY501C CY501C US87651B1044 TASER INTERNATIONAL 320 4.97 1,590.40 USD 985.32 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY501C Total 1,267.83 0.00 30.11 0.00 1,237.72 0.00 0.00 0.00 30.115024865 AGCY8136 CY8136 ES0177542018 INTERNATIONAL CONSOLID LN 10 276 1 667 17 130 09 GBP 17 130 09 0 00 1 161 00 1 00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 ES0177542018 INTERNATIONAL CONSOLID LN 10,276 1.667 17,130.09 GBP 17,130.09 0.00 1,161.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0000472455 DSG INTERNATIONAL PLC 11,147 0.1185 1,320.92 GBP 1,320.92 0.00 89.53 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0000595859 ARM HOLDINGS PLC 1,000 5.845 5,845.00 GBP 5,845.00 0.00 396.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0000811801 BARRATT 1,150 0.888 1,021.20 GBP 1,021.20 0.00 69.21 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0002162385 AVIVA PLC 2,000 3.408 6,816.00 GBP 6,816.00 0.00 461.96 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0002634946 BAE SYSTEMS PLC 1 000 2 766 2 766 00 GBP 2 766 00 0 00 187 47 1 00 Schedule 9 Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0002634946 BAE SYSTEMS PLC 1,000 2.766 2,766.00 GBP 2,766.00 0.00 187.47 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0005603997 LEGAL & GENERAL 13,780 1.105 15,226.90 GBP 15,226.90 0.00 1,032.01 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0006616899 RSA INS. ORD 27.5P 9,290 1.117 10,376.93 GBP 10,376.93 0.00 703.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0007547838 ROYAL BANK OF SCOTLAND 24,000 0.2423 5,815.20 GBP 5,815.20 0.00 394.13 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0008706128 LLOYDS BANKING GROUP PLC 42,285 0.32495 13,740.51 GBP 13,740.51 0.00 931.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0030913577 BT GROUP ORD 0 05 7 609 1 881 14 312 53 GBP 14 312 53 0 00 970 04 1 00 Schedule 9 Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0030913577 BT GROUP ORD 0.05 7,609 1.881 14,312.53 GBP 14,312.53 0.00 970.04 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0031274896 MARKS & SPENCER NEW ORD 2,710 3.219 8,723.49 GBP 8,723.49 0.00 591.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB0031348658 BARCLAYS PLC ORD SHARES 2,044 1.953 3,991.93 GBP 3,991.93 0.00 270.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B033F229 CENTRICA PLC 1,000 2.967 2,967.00 GBP 2,967.00 0.00 201.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B0ZSH635 LADBROKES PLC LN 2,100 1.381 2,900.10 GBP 2,900.10 0.00 196.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B16GWD56 VODAFONE GROUP LN 2 636 1 7285 4 556 33 GBP 4 556 33 0 00 308 81 1 00 S h d l 9 P t A 01/08/2012 H ld5024865 AGCY8136 CY8136 GB00B16GWD56 VODAFONE GROUP LN 2,636 1.7285 4,556.33 GBP 4,556.33 0.00 308.81 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B16KPT44 STANDARD LIFE ASSURANC LN 1,563 2.158 3,372.95 GBP 3,372.95 0.00 228.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B19DVX61 INVENSYS PLC 162 2.255 365.31 GBP 365.31 0.00 24.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B28KQ186 MAN GROUP PLC LN 3,000 1.499 4,497.00 GBP 4,497.00 0.00 304.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B39J2M42 UNITED UTILITIES LN 3,318 6.065 20,123.67 GBP 20,123.67 0.00 1,363.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

& h d l / / ld5024865 AGCY8136 CY8136 GB00B5KKT968 CABLE & WIRELESS LN 15,328 0.3624 5,554.87 GBP 5,554.87 0.00 376.48 1.00 Schedule 9 ‐ Part A 01/08/2012 Held5024865 AGCY8136 CY8136 GB00B5WB0X89 CABLE & WIRELESS WORLD LN 14,328 0.2796 4,006.11 GBP 4,006.11 0.00 271.52 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY8136 Total 155,430.04 0.00 9,805.04 0.00 145,625.00 0.00 10,534.31 22.00 20,361.355025271 AGCY5026 CY5026 KYG2022L1142 CDC CORP‐CL A US 166 0.15 24.90 USD 15.43 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held5025271 AGCY5026 CY5026 US87651B1044 TASER INTERNATIONAL 340 4.97 1,689.80 USD 1,046.90 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY5026 Total 1,062.33 0.00 15.90 0.00 1,046.42 0.00 0.00 0.00 15.906004950 AGCYM214 CYM214 US2979031067 ETERNAL TECHNOLOGIES(dono 132,100 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6004950 AGCYM214 CYM214 US37364Q1040 GEOTEC INC 10,000 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6004950 AGCYM214 CYM214 US4373551005 HOME SOLUTIONS OF AMER US 12,900 0 0.00 USD 0.00 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6004950 AGCYM214 CYM214 US8617583088 STONEBRIDGE RESO US 200 0.0001 0.02 USD 0.01 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6004950 AGCYM214 CYM214 US8653781034 SULPHCO INC 8,500 0.0036 30.60 USD 18.96 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCYM214 Total 18.97 0.00 106.70 0.00 ‐87.73 0.00 0.00 0.00 18.976008933 AG8438 CY4379 AU000000OEX8 OILEX NL LN 300,000 0.17125 51,375.00 GBP 51,375.00 0.00 3,481.95 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 GB0031348658 BARCLAYS PLC (0.25P ORD SHARES) 10,065 1.953 19,656.95 GBP 19,656.95 0.00 1,332.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 GB0032302688 VOLVERE PLC LN 2,500 2.585 6,462.50 GBP 6,462.50 0.00 438.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 GB00B0Q5QP56 LOMBARD MEDICAL TECHNOLOGIES L 4,000,000 0.00575 23,000.00 GBP 23,000.00 0.00 1,558.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 GB00B4JV1B90 AEGIS GROUP PLC LN 5,909 1.372 8,107.15 GBP 8,107.15 0.00 549.46 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 1 of 4








Net Asset Claim (GBP)


CIS IDAccount Code


6008933 AG8438 CY4379 GB00B4WFW713 LONDON & STAMFORD PROPERTY P L 12,000 1.155 13,860.00 GBP 13,860.00 0.00 939.37 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 GB00B52ZLG09 Vatukoula Gold Mines plc 5p LONDON 2,000 0.765 1,530.00 GBP 1,530.00 0.00 103.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 IE0001340177 PETREL RESOURCES PLC 5,000 0.07 350.00 GBP 350.00 0.00 23.72 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6008933 AG8438 CY4379 JE00B2Q4TN56 HERITAGE OIL PLC LN 10,000 2.187 21,870.00 GBP 21,870.00 0.00 1,482.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8438 Total 146,211.59 0.00 3,174.93 0.00 143,036.67 0.00 9,909.53 9.00 13,093.466009776 37340 N/A NAD LME NASAAC (USD) 70 44900 3,143,000.00 USD 1,947,215.17 0.00 131,973.02 TBNS TBNS 01/08/2012 Held/ ( ) , , , , , / /

37340 Total 1,947,215.17 0.00 2,074,524.99 0.00 ‐127,309.82 0.00 131,973.02 TBNS TBNS6010657 AG8476 CY4464 GB00B03MM408 ROYAL DUTCH SHELL ‐ B SHS 1,422 22.355 31,788.81 GBP 31,788.81 0.00 2,154.49 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6010657 AG8476 CY4464 GB00B52ZLG09 Vatukoula Gold Mines p LO 1,500 0.765 1,147.50 GBP 1,147.50 0.00 77.77 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6010657 AG8476 CY4464 IE0001340177 PETREL RESOURCES PLC 2,250 0.07 157.50 GBP 157.50 0.00 10.67 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG8476 Total 33,093.81 0.00 7,347.00 0.00 25,746.81 0.00 2,242.94 3.00 9,592.94AG8476 Total 33,093.81 0.00 7,347.00 0.00 25,746.81 0.00 2,242.94 3.00 9,592.946017952 AG8634 CY4899 GB0000536739 ASHTEAD 745,833 1.551 1,156,786.98 GBP 1,156,786.98 0.00 78,401.54 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 GB0005576813 Howden Joinery Group PLC 420,000 1.177 494,340.00 GBP 494,340.00 0.00 33,504.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 GB0008021650 SAGE GROUP 100,000 2.781 278,100.00 GBP 278,100.00 0.00 18,848.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 GB0031411001 XSTRATA PLC LN 12,000 10.455 125,460.00 GBP 125,460.00 0.00 8,503.08 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 GB0033040113 KESA ELECTRICALS PLC 250 000 1 034 258 500 00 GBP 258 500 00 0 00 17 519 91 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 GB0033040113 KESA ELECTRICALS PLC 250,000 1.034 258,500.00 GBP 258,500.00 0.00 17,519.91 1.00 Schedule 9 Part A 01/08/2012 Held6017952 AG8634 CY4899 GB00B2QPKJ12 FRESNILLO PLC‐W/I LN 8,610 16.98 146,197.80 GBP 146,197.80 0.00 9,908.59 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 JE00B3DMTY01 WPP PLC LN 20,000 6.46 129,200.00 GBP 129,200.00 0.00 8,756.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 PG0009239032 NEW BRITAIN PALM OIL L LN 20,000 8.3 166,000.00 GBP 166,000.00 0.00 11,250.69 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6017952 AG8634 CY4899 US1729674242 CITIGROUP INC US 3,725 31.59 117,672.75 USD 72,903.01 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AG8634 Total 2 827 487 79 0 00 185 714 40 0 00 2 641 773 39 0 00 186 692 71 8 00 372 415 11AG8634 Total 2,827,487.79 0.00 185,714.40 0.00 2,641,773.39 0.00 186,692.71 8.00 372,415.116023480 AGCYK565 CYK565 GB00B08NWV55 XINETIC BIOSCIENCES PLC 46,500 0.07125 3,313.13 GBP 3,313.13 0.00 224.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK565 Total 3,313.13 0.00 11.75 0.00 3,301.37 0.00 224.55 1.00 237.306025614 AGCYK571 CYK571 GB00B08NWV55 XINETIC BIOSCIENCES PLC 19,500 0.07125 1,389.38 GBP 1,389.38 0.00 94.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCYK571 Total 1,389.38 0.00 105.01 0.00 1,284.37 0.00 94.17 1.00 200.176046204 AGCY024C CY024C GB0000566504 BHP BILLITON PLC 4 000 19 675 78 700 00 GBP 78 700 00 0 00 5 333 91 1 00 Schedule 9 Part A 01/08/2012 Held6046204 AGCY024C CY024C GB0000566504 BHP BILLITON PLC 4,000 19.675 78,700.00 GBP 78,700.00 0.00 5,333.91 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY024C Total 78,700.00 0.00 57,025.55 0.00 21,674.45 0.00 5,333.91 1.00 62,360.476053334 AGCY4105 CY4105 GB0008706128 LLOYDS BANKING GROUP PLC 8,309 0.32495 2,700.01 GBP 2,700.01 0.00 182.99 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY4105 Total 2,700.01 0.00 687.34 0.00 2,012.67 0.00 182.99 1.00 871.336053659 AG5339 CY6027 AU000000CZA6 COAL OF AFRICA L LN 2,250 0.55 1,237.50 GBP 1,237.50 0.00 83.87 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0001411924 BSKYB (GBP) 1 515 7 04 10 665 60 GBP 10 665 60 0 00 722 86 1 00 Schedule 9 Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0001411924 BSKYB (GBP) 1,515 7.04 10,665.60 GBP 10,665.60 0.00 722.86 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0001641991 EASYJET PLC 1,000 3.56 3,560.00 GBP 3,560.00 0.00 241.28 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0002162385 AVIVA PLC 1,300 3.408 4,430.40 GBP 4,430.40 0.00 300.27 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0007188757 RIO TINTO 312 33.85 10,561.20 GBP 10,561.20 0.00 715.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0007980591 BP PLC 7,000 4.61 32,270.00 GBP 32,270.00 0.00 2,187.11 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0031411001 XSTRATA PLC LN 425 10 455 4 443 38 GBP 4 443 38 0 00 301 15 1 00 S h d l 9 P t A 01/08/2012 H ld6053659 AG5339 CY6027 GB0031411001 XSTRATA PLC LN 425 10.455 4,443.38 GBP 4,443.38 0.00 301.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB0033986497 ITV PLC 7,000 0.6405 4,483.50 GBP 4,483.50 0.00 303.87 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB00B02J6398 ADMIRAL GROUP PLC 500 11.79 5,895.00 GBP 5,895.00 0.00 399.54 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB00B1VCNQ84 AVANTI COMMUNICATIONS LN 330 3.1025 1,023.83 GBP 1,023.83 0.00 69.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB00B28KQ186 MAN GROUP PLC LN 5,047 1.499 7,565.45 GBP 7,565.45 0.00 512.75 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

h d l / / ld6053659 AG5339 CY6027 GB00B29WFV68 MIRADA PLC LN 500 0.145 72.50 GBP 72.50 0.00 4.91 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB00B59MW615 CAIRN ENERGY LN 1,200 2.946 3,535.20 GBP 3,535.20 0.00 239.60 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6053659 AG5339 CY6027 GB00B669WX96 ROLLS ROYCE C JLY LONDON 96,000 0.001 96.00 GBP 96.00 0.00 6.51 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5339 Total 89,839.55 0.00 799.16 0.00 89,040.40 0.00 6,088.90 14.00 6,902.066054779 AG5345 CY6022 GB00B08SNH34 NATIONAL GRID PLC 3,732 6.175 23,045.10 GBP 23,045.10 0.00 1,561.89 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6054779 AG5345 CY6022 GB00B29WFV68 MIRADA PLC LN 500 0.145 72.50 GBP 72.50 0.00 4.91 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5345 Total 23,117.60 0.00 10,051.82 0.00 13,065.78 0.00 1,566.80 2.00 11,620.636058018 AG5480 CY6277 GB0002502036 DAEJAN HOLDINGS 1,000 27.58 27,580.00 GBP 27,580.00 0.00 1,869.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058018 AG5480 CY6277 GB00B1F4K366 PLANT IMPACT PLC LN 5,000 0.225 1,125.00 GBP 1,125.00 0.00 76.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6058018 AG5480 CY6277 GB00B29WFV68 MIRADA PLC LN 300 0.145 43.50 GBP 43.50 0.00 2.95 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5480 Total 28,748.50 0.00 4,366.79 0.00 24,381.71 0.00 1,948.44 3.00 6,318.226058731 AG5448 CY6206 GB00B1KMXM53 YELLOW CAT URANIUM 500,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6058731 AG5448 CY6206 GB00B4TF5D13 SPIRITEL PLC LN 250 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held

AG5448 Total 0.00 0.00 25.88 0.00 ‐25.88 0.00 0.00 0.00 0.006058938 AGCY1220 CY1220 US55277J1088 MF GLOBAL HOLDIN US 500 1.2 600.00 USD 371.72 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY1220 Total 371.72 0.00 7.50 0.00 364.22 0.00 0.00 0.00 7.506059953 AG5597 CY6364 GB0002875804 BRIT AMER TOBACCO 407 28.645 11,658.52 GBP 11,658.52 0.00 790.16 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6059953 AG5597 CY6364 GB0007908733 SSE PLC 485 13.44 6,518.40 GBP 6,518.40 0.00 441.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5597 Total 18,176.92 0.00 1,695.90 0.00 16,481.02 0.00 1,231.95 2.00 2,929.846061738 AG5529 CY6291 GB0001482891 VISLINK PLC 7,230 0.1625 1,174.88 GBP 1,174.88 0.00 79.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6061738 AG5529 CY6291 GB0002162385 AVIVA PLC 357 3.408 1,216.66 GBP 1,216.66 0.00 82.46 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6061738 AG5529 CY6291 GB0005227086 LOGICA PLC (GBP) 140 0.939 131.46 GBP 131.46 0.00 8.91 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6061738 AG5529 CY6291 GB00B16GWD56 VODAFONE GROUP LN 423 1.7285 731.16 GBP 731.16 0.00 49.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6061738 AG5529 CY6291 IE0003864109 GREENCORE GRP (SETS EURO) 2,167 0.72 1,560.24 EUR 1,348.41 0.00 91.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5529 Total 4,602.55 0.00 96.35 0.00 4,506.20 0.00 311.94 5.00 413.29, ,6062265 AGCY8856 CY8856 US55277J1088 MF GLOBAL HOLDIN US 850 1.2 1,020.00 USD 631.93 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8856 Total 631.93 0.00 111.94 0.00 519.99 0.00 0.00 0.00 111.946062333 AGCY8874 CY8874 US55277J1088 MF GLOBAL HOLDIN US 350 1.2 420.00 USD 260.21 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8874 Total 260.21 0.00 13.78 0.00 246.43 0.00 0.00 0.00 13.786062459 AGCY8800 CY8800 GB0007547838 ROYAL BANK OF SCOTLAND 600 0.2423 145.38 GBP 145.38 0.00 9.85 1.00 Schedule 9 ‐ Part A 01/08/2012 Held606 59 G 8800 8800 G 000 5 838 O O S O 600 0 3 5 38 G 5 38 0 00 9 85 00 Sc edu e 9 a t 0 /08/ 0 e d6062459 AGCY8800 CY8800 GB0008706128 LLOYDS BANKING GROUP PLC 500 0.32495 162.48 GBP 162.48 0.00 11.01 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 2 of 4










CIS IDAccount Code


AGCY8800 Total 307.86 0.00 160.48 0.00 147.38 0.00 20.86 2.00 183.346062777 AG5546 CY6349 GB0004082847 STANDARD CHARTERED PLC 290 14.59 4,231.10 GBP 4,231.10 0.00 286.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062777 AG5546 CY6349 GB0007188757 RIO TINTO 120 33.85 4,062.00 GBP 4,062.00 0.00 275.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062777 AG5546 CY6349 GB0007980591 BP PLC 1,800 4.61 8,298.00 GBP 8,298.00 0.00 562.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062777 AG5546 CY6349 GB0033277061 VEDANTA RESOURCES PLC 530 12.78 6,773.40 GBP 6,773.40 0.00 459.07 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062777 AG5546 CY6349 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 230 22.06 5,073.80 GBP 5,073.80 0.00 343.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held, , / /6062777 AG5546 CY6349 GB00B28KQ186 MAN GROUP PLC LN 1,684 1.499 2,524.32 GBP 2,524.32 0.00 171.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062777 AG5546 CY6349 GB00B42CTW68 NEW WORLD RESOURCES PL LN 500 5.21 2,605.00 GBP 2,605.00 0.00 176.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062777 AG5546 CY6349 GB00B4ZG0R74 PRIME PEOPLE PLC LN 2,000 0.68 1,360.00 GBP 1,360.00 0.00 92.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5546 Total 34,927.62 0.00 16,061.18 0.00 18,866.44 0.00 2,367.23 8.00 18,436.416062785 AG5558 CY6358 GB0033277061 VEDANTA RESOURCES PLC 1,000 12.78 12,780.00 GBP 12,780.00 0.00 866.17 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062785 AG5558 CY6358 GB0033277061 VEDANTA RESOURCES PLC 1,000 12.78 12,780.00 GBP 12,780.00 0.00 866.17 1.00 Schedule 9 Part A 01/08/2012 Held6062785 AG5558 CY6358 GB00B28KQ186 MAN GROUP PLC LN 3,447 1.499 5,167.05 GBP 5,167.05 0.00 350.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062785 AG5558 CY6358 GB00B42CTW68 NEW WORLD RESOURCES PL LN 500 5.21 2,605.00 GBP 2,605.00 0.00 176.55 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5558 Total 20,552.05 0.00 11,536.27 0.00 9,015.78 0.00 1,392.92 3.00 12,932.196062789 AG5545 CY6350 GB0000456144 ANTOFAGASTA HOLDINGS 500 11.67 5,835.00 GBP 5,835.00 0.00 395.47 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB0004082847 STANDARD CHARTERED PLC 509 14 59 7 426 31 GBP 7 426 31 0 00 503 32 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB0004082847 STANDARD CHARTERED PLC 509 14.59 7,426.31 GBP 7,426.31 0.00 503.32 1.00 Schedule 9 Part A 01/08/2012 Held6062789 AG5545 CY6350 GB0007188757 RIO TINTO 245 33.85 8,293.25 GBP 8,293.25 0.00 562.08 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB0007980591 BP PLC 2,240 4.61 10,326.40 GBP 10,326.40 0.00 699.87 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB0033277061 VEDANTA RESOURCES PLC 1,065 12.78 13,610.70 GBP 13,610.70 0.00 922.47 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB00B03MLX29 ROYAL DUTCH SHELL ‐ A SHS 460 22.06 10,147.60 GBP 10,147.60 0.00 687.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB00B23K0M20 CAPITA GROUP PLC LN 18 7 265 130 77 GBP 130 77 0 00 8 86 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB00B23K0M20 CAPITA GROUP PLC LN 18 7.265 130.77 GBP 130.77 0.00 8.86 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB00B28KQ186 MAN GROUP PLC LN 5,490 1.499 8,229.51 GBP 8,229.51 0.00 557.76 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062789 AG5545 CY6350 GB00B42CTW68 NEW WORLD RESOURCES PL LN 1,000 5.21 5,210.00 GBP 5,210.00 0.00 353.11 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5545 Total 69,209.54 0.00 38,242.61 0.00 30,966.93 0.00 4,690.69 9.00 42,942.316062790 AG5554 CY6369 GB0004082847 STANDARD CHARTERED PLC 1,451 14.59 21,170.09 GBP 21,170.09 0.00 1,434.81 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062790 AG5554 CY6369 GB0007099541 PRUDENTIAL 3 617 6 475 23 420 08 GBP 23 420 08 0 00 1 587 30 1 00 Schedule 9 Part A 01/08/2012 Held6062790 AG5554 CY6369 GB0007099541 PRUDENTIAL 3,617 6.475 23,420.08 GBP 23,420.08 0.00 1,587.30 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062790 AG5554 CY6369 GB0008706128 LLOYDS BANKING GROUP PLC 4,272 0.32495 1,388.19 GBP 1,388.19 0.00 94.08 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062790 AG5554 CY6369 GB0030913577 BT GROUP ORD 0.05 3,585 1.881 6,743.39 GBP 6,743.39 0.00 457.03 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5554 Total 52,721.74 0.00 24,068.58 0.00 28,653.15 0.00 3,573.23 4.00 27,645.816062857 AG5555 CY6357 GB0007980591 BP PLC 1,800 4.61 8,298.00 GBP 8,298.00 0.00 562.40 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062857 AG5555 CY6357 GB0008706128 LLOYDS BANKING GROUP PLC 399 0 32495 129 66 GBP 129 66 0 00 8 79 1 00 Schedule 9 Part A 01/08/2012 Held6062857 AG5555 CY6357 GB0008706128 LLOYDS BANKING GROUP PLC 399 0.32495 129.66 GBP 129.66 0.00 8.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062857 AG5555 CY6357 GB0030913577 BT GROUP ORD 0.05 656 1.881 1,233.94 GBP 1,233.94 0.00 83.63 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062857 AG5555 CY6357 GB0033277061 VEDANTA RESOURCES PLC 635 12.78 8,115.30 GBP 8,115.30 0.00 550.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062857 AG5555 CY6357 GB00B28KQ186 MAN GROUP PLC LN 1,506 1.499 2,257.49 GBP 2,257.49 0.00 153.00 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062857 AG5555 CY6357 GB00B39J2M42 UNITED UTILITIES LN 251 6.065 1,522.32 GBP 1,522.32 0.00 103.18 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6062857 AG5555 CY6357 GB00B42CTW68 NEWWORLD RESOURCES PL LN 1 070 5 21 5 574 70 GBP 5 574 70 0 00 377 83 1 00 S h d l 9 P t A 01/08/2012 H ld6062857 AG5555 CY6357 GB00B42CTW68 NEW WORLD RESOURCES PL LN 1,070 5.21 5,574.70 GBP 5,574.70 0.00 377.83 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5555 Total 27,131.40 0.00 15,880.61 0.00 11,250.79 0.00 1,838.84 7.00 17,726.456063382 AGCY8876 CY8876 US55277J1088 MF GLOBAL HOLDIN US 1,350 1.2 1,620.00 USD 1,003.66 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY8876 Total 1,003.66 0.00 48.84 0.00 954.81 0.00 0.00 0.00 48.846063419 AG5560 CY6374 GB0006616899 RSA INS. ORD 27.5P 37 1.117 41.33 GBP 41.33 0.00 2.80 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

lAG5560 Total 41.33 0.00 7.50 0.00 33.83 0.00 2.80 1.00 11.306063438 AG5559 CY6373 GB0033277061 VEDANTA RESOURCES PLC 363 12.78 4,639.14 GBP 4,639.14 0.00 314.42 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B01JC987 EXC PLC LN 25,000 0 0.00 GBP 0.00 0.00 0.00 50.00 Schedule 9 ‐ Part B 01/08/2012 Held6063438 AG5559 CY6373 GB00B1VNSX38 DRAX GROUP PLC LN 488 5.43 2,649.84 GBP 2,649.84 0.00 179.59 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B236LD89 ENERGY TECHNIQUE PLC LN 360 0.045 16.20 GBP 16.20 0.00 1.10 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B23K0M20 CAPITA GROUP PLC LN 315 7.265 2,288.48 GBP 2,288.48 0.00 155.10 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B28KQ186 MAN GROUP PLC LN 438 1.499 656.56 GBP 656.56 0.00 44.50 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B28XMY25 ALEXANDER DAVID INV 2,680 0.00135 3.62 GBP 3.62 0.00 0.25 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B29WFV68 MIRADA PLC LN 700 0.145 101.50 GBP 101.50 0.00 6.88 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B3FQ1669 SEVEN ARTS PI 100 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6063438 AG5559 CY6373 GB00B3PFSR32 WATER INTELLIGEN LN 83 0.33 27.39 GBP 27.39 0.00 1.86 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B42CTW68 NEW WORLD RESOURCES PL LN 400 5.21 2,084.00 GBP 2,084.00 0.00 141.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B45G4G41 Alexander David Invest LO 268 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6063438 AG5559 CY6373 GB00B474YB12 REGEN THERAPEUTICS LTD LN 2,680 0.135 361.80 GBP 361.80 0.00 24.52 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6063438 AG5559 CY6373 GB00B4TF5D13 SPIRITEL PLC LN 250 0 0.00 GBP 0.00 0.00 0.00 1.00 Delisted N/A Held6063438 AG5559 CY6373 GB00B4WM8G33 BEACON HILL RESO LN 2,000 0.10875 217.50 GBP 217.50 0.00 14.74 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5559 Total 13,046.03 0.00 2,843.55 0.00 10,202.48 0.00 884.20 62.00 3,789.756064011 AGCY267C CY267C GB0004082847 STANDARD CHARTERED PLC 2,000 14.59 29,180.00 GBP 29,180.00 0.00 1,977.68 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6064011 AGCY267C CY267C GB0031411001 XSTRATA PLC LN 4,000 10.455 41,820.00 GBP 41,820.00 0.00 2,834.36 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY267C Total 71,000.00 0.00 19,163.42 0.00 51,836.58 0.00 4,812.04 2.00 23,977.476064050 AG5635 CY6414 AU000000FND9 FINDERS RESOURCE LN 10,000 0 0.00 GBP 0.00 0.00 0.00 0.00 Delisted N/A Held6064050 AG5635 CY6414 GB0005603997 LEGAL & GENERAL 18,400 1.105 20,332.00 GBP 20,332.00 0.00 1,378.01 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6064050 AG5635 CY6414 GB0007980591 BP PLC 400 4.61 1,844.00 GBP 1,844.00 0.00 124.98 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6064050 AG5635 CY6414 GB0031348658 BARCLAYS PLC ORD SHARES 1,268 1.953 2,476.40 GBP 2,476.40 0.00 167.84 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6064050 AG5635 CY6414 GB0032654641 PLUS MARKETS GROUP PLC LN 25,000 0.012 300.00 GBP 300.00 0.00 20.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held, / /6064050 AG5635 CY6414 GB00B19NLV48 EXPERIAN PLC 500 8.105 4,052.50 GBP 4,052.50 0.00 274.66 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5635 Total 29,004.90 0.00 7,681.57 0.00 21,323.34 0.00 1,965.81 5.00 9,652.386064790 AGCY4482 CY4482 GB0007547838 ROYAL BANK OF SCOTLAND 1,692 0.2423 409.97 GBP 409.97 0.00 27.79 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY4482 Total 409.97 0.00 112.51 0.00 297.46 0.00 27.79 1.00 141.296065543 AG5654 CY6523 GB0008706128 LLOYDS BANKING GROUP PLC 19,443 0.32495 6,318.00 GBP 6,318.00 0.00 428.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held60655 3 G565 65 3 G 0008 06 8 O S G G OU 9, 3 0 3 95 6,3 8 00 G 6,3 8 00 0 00 8 0 00 Sc edu e 9 a t 0 /08/ 0 e d6065543 AG5654 CY6523 GB0030913577 BT GROUP ORD 0.05 39,000 1.881 73,359.00 GBP 73,359.00 0.00 4,971.93 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

Page 3 of 4










CIS IDAccount Code


AG5654 Total 79,677.00 0.00 1,971.44 0.00 77,705.56 0.00 5,400.13 2.00 7,373.576066639 AG5787 CY6562 GB0007980591 BP PLC 1,192 4.61 5,495.12 GBP 5,495.12 0.00 372.43 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG5787 Total 5,495.12 0.00 105.01 0.00 5,390.11 0.00 372.43 1.00 478.446068058 AGCYKR02 CYKR02 US74347R2307 PROSHARES SHORT FINANC US 55 37.62 2,069.10 USD 1,281.89 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6068058 AGCYKR02 CYKR02 US78463V1070 SPDR GOLD TRUST US 10 167.34 1,673.40 USD 1,036.74 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6068058 AGCYKR02 CYKR02 US8751001095 TAMM OIL AND GAS CORP US 8,500 0.205 1,742.50 USD 1,079.55 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held, , , /

AGCYKR02 Total 3,398.18 0.00 20.70 0.00 3,377.48 0.00 0.00 0.00 20.706070418 AGCY5583 CY5583 IE0000360275 MAN‐AHL DIV PLC ID 2,959 92.97 275,098.23 USD 170,434.44 0.00 11,551.24 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AGCY5583 Total 170,434.44 0.00 83,384.71 0.00 87,049.73 0.00 11,551.24 35.00 94,970.956072218 AGCY973C CY973C AU0000XINAK8 INTERNATIONAL FERRO ME LN 18,000 0.21 3,780.00 GBP 3,780.00 0.00 256.19 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C DE0005108401 SOLARWORLD AG 77 3.552 273.50 EUR 236.37 0.00 16.02 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C DE0005108401 SOLARWORLD AG 77 3.552 273.50 EUR 236.37 0.00 16.02 35.00 Schedule 9 Part A 01/08/2012 Held6072218 AGCY973C CY973C FR0011027143 AREVA FP 65 21.12 1,372.80 EUR 1,186.41 0.00 80.41 35.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB0004082847 STANDARD CHARTERED PLC 60 14.59 875.40 GBP 875.40 0.00 59.33 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB0031274896 MARKS & SPENCER NEW ORD 2,185 3.219 7,033.52 GBP 7,033.52 0.00 476.70 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB0033572867 REAL GOOD FOOD CO PLC 5,514 0.48 2,646.72 GBP 2,646.72 0.00 179.38 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB00B10RZP78 UNILEVER PLC LN 195 20 86 4 067 70 GBP 4 067 70 0 00 275 69 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB00B10RZP78 UNILEVER PLC LN 195 20.86 4,067.70 GBP 4,067.70 0.00 275.69 1.00 Schedule 9 Part A 01/08/2012 Held6072218 AGCY973C CY973C GB00B128J450 IP GROUP PLC LN 949 0.7 664.30 GBP 664.30 0.00 45.02 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB00B1XF5X66 MODERN WATER PLC LN 3,012 0.52 1,566.24 GBP 1,566.24 0.00 106.15 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB00B3WK5475 COOKSON GRP PLC LSE CKSN 95 4.806 456.57 GBP 456.57 0.00 30.94 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C GB00B63H8491 ROLLS‐ROYCE HOLD LN 660 7.025 4,636.50 GBP 4,636.50 0.00 314.24 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C JE00B2Q4TN56 HERITAGE OIL PLC LN 6 130 2 187 13 406 31 GBP 13 406 31 0 00 908 62 1 00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C JE00B2Q4TN56 HERITAGE OIL PLC LN 6,130 2.187 13,406.31 GBP 13,406.31 0.00 908.62 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6072218 AGCY973C CY973C US2910111044 EMERSON ELEC CO 1 48.12 48.12 USD 29.81 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6072218 AGCY973C CY973C US64110W1027 NETEASE.COM INC ‐ ADR 20 47.37 947.40 USD 586.95 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6072218 AGCY973C CY973C US74347W8828 PROSHARES ULTRASHORT E US 883 17.94 15,841.02 USD 9,814.15 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held

AGCY973C Total 50,986.95 0.00 194.53 0.00 50,792.43 0.00 2,748.70 80.00 3,023.236072576 10974 N/A AHD LME HI GD ALUMINIUM USD 45 54675 2 460 375 00 USD 1 524 301 47 0 00 103 309 93 TBNS TBNS 01/08/2012 Held6072576 10974 N/A AHD LME HI GD ALUMINIUM USD 45 54675 2,460,375.00 USD 1,524,301.47 0.00 103,309.93 TBNS TBNS 01/08/2012 Held

10974 Total 1,524,301.47 0.00 891,834.95 0.00 632,466.52 0.00 103,309.93 TBNS TBNS6074740 AG6341 CY6919 GB0002689494 DESIRE PETROLEUM PLC 40,500 0.1925 7,796.25 GBP 7,796.25 0.00 528.39 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6341 Total 7,796.25 0.00 68.97 0.00 7,727.28 0.00 528.39 1.00 598.376077257 AG6030 CY7044 CA58516W1041 MEGA URANIUM LTD US 6,000 0.316 1,896.00 USD 1,174.65 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6077257 AG6030 CY7044 CA7233301067 PINETREE CAPITAL LTD US 5 000 1 75 8 750 00 USD 5 420 98 0 00 0 00 0 00 Not Held No Return N/A Not Held6077257 AG6030 CY7044 CA7233301067 PINETREE CAPITAL LTD US 5,000 1.75 8,750.00 USD 5,420.98 0.00 0.00 0.00 Not‐Held ‐ No Return N/A Not‐Held6077257 AG6030 CY7044 CA9034151071 U308 CORP CN 745 0.325 242.13 CAD 151.02 0.00 10.24 35.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6030 Total 6,746.64 0.00 206.60 0.00 6,540.04 0.00 10.24 35.00 251.836082222 AG6198 CY317C GB0002689494 DESIRE PETROLEUM PLC 12,000 0.1925 2,310.00 GBP 2,310.00 0.00 156.56 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6082222 AG6198 CY317C GB0008706128 LLOYDS BANKING GROUP PLC 138 0.32495 44.84 GBP 44.84 0.00 3.04 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6082222 AG6198 CY317C GB00B0130H42 ITM POWER PLC 2 000 0 37125 742 50 GBP 742 50 0 00 50 32 1 00 S h d l 9 P t A 01/08/2012 H ld6082222 AG6198 CY317C GB00B0130H42 ITM POWER PLC 2,000 0.37125 742.50 GBP 742.50 0.00 50.32 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6082222 AG6198 CY317C GB00B0FVQX23 ROCKHOPPER EXPLORATION PL 5,000 2.14 10,700.00 GBP 10,700.00 0.00 725.20 1.00 Schedule 9 ‐ Part A 01/08/2012 Held6082222 AG6198 CY317C GB00B5BPX877 SYNCHRONICA PLC LN 6,000 0.08875 532.50 GBP 532.50 0.00 36.09 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

AG6198 Total 14,329.84 0.00 135.01 0.00 14,194.83 0.00 971.21 5.00 1,111.226090248 AG6359 CY7367 ES0113900J37 BANCO SANTANDER HISPANO S 42 5.1480 216.22 GBP 216.22 0.00 14.65 1.00 Schedule 9 ‐ Part A 01/08/2012 Held

lAG6359 Total 216.22 0.00 540.00 0.00 ‐323.78 0.00 14.65 1.00 216.22Grand Total 7,647,770.01

- Column 2 - Grips refers to the Company's securities booking system, these are the account numbers that appeared in post-administration statements. R&N refers to the companies futures and options booking system, Rolphe & Nolan. For collateral accounts a mirror account of the Grips account was visible in R&N in order for margin to be applied to F&O positions. These are the account numbers that were visible through eMidas.- Column 13, 14 and 16 - "TBNS" = To be notified separately.- Column 14 - "Delisted" stocks are generally considered non returnable by the Company. In certain cases, some form of return may be possible, please contact the Company if you are an Agreed Client Asset Claimant to a "Delisted" security and wish to ascertain whether this is possible.g y y p y y p p p y y g y p- Column 16 - sets out the Retained Client Assets for the purposes of Rule 144(2)(e). The figures in this Column assume (i) that the value of the Client Assets has not changed since the Administration Date and (ii) that the relevant Claimant requests for their Claimant’s Share of Costs to be paid by the Liquidation Option.

Page 4 of 4

SCHEDULE 3

ALLEGED CLIENT ASSETS

Col. 1 Col. 2 Col. 3 Col. 4CISID Claimant ID Client Asset Claim

Amount (GBP) Claim Rejected Yes/No

60661 104580 247,848 No

1003650 99343 657 No

1008383 99483 42,238 No

1047382 R2745 6,801 No

3078125 99365 3,495 No

3086394 99046 60 No

3094218 99294 32,118 No

3100018 99309 14,324 No

3100067 99310 38,916 No

5000266 98558 44,795 No

5000381 98474 19 No

5001226 37075 122,880 No

5001229 37073 5,120,551 No

5001236 37086 557 No

5001881 98014 396,920,255 No

5004325 G357 30,897 No

5013527 98507 324,289 No

5013748 104609 1,163 No

5014111 99419 264,445 No

5014572 37143 9,591 No

5016503 98920 30,094 No

5016560 98957 10,210 No

5016562 98959 1,613 No

5016579 71279 498,331 No

5016831 R2297 28,575 No

5023148 103978 38,575 No

5023392 99492 13,371 No

5023930 U4081D 24,036 No

Schedule 3Alleged Client Assets

This Schedule provides details of the values of all Client Asset Claims to Alleged Client Assets received by the Administrators with the exception of those Client Asset Claims that the Administrators have determined are: (i) to client money; or (ii) a general unsecured creditor claim against the Company (and not a claim to Client Assets). Such claims have not been included in this Schedule but will be dealt with by the Administrators, otherwise than under the Distribution Plan, as claims in respect of client money or as general creditor claims in the Special Administration, as appropriate. The Administrators have also identified in this Schedule those Client Asset Claims where they have notified the Claimants that their Client Asset Claims have been rejected.



5024447 100216 590,754 No

5024760 98896 654,139 No

5026685 100229 181,574 No

5026992 E3074 24,710 No

5027239 100239 206,030 No

5027319 100222 51,641 No

5027558 99441 2,001 No

5027702 3685 5,666,084 No

5027744 100223 8,497 No

5028040 N5243 25 No

5028471 98521 74,785 No

5028686 99353 121,660 No

5029274 104432 3,818,260 No

5029489 GL028 3,467 No

5029852 GI003 928,965 No

5030146 99366 20,981 No

5030195 99481 85,371 No

5030690 GG005 1,561 No

5031274 T0018 2,014 No

5031363 98160 469 No

5031370 99727 - No

5031812 103163 655,685 No

5032609 98899 1,259,525 No

5033549 U4134D 11,250 No

5033627 11064 2,199 No

5033794 99288 13,650 No

5034011 98164 13,310 No

5034027 104747 35,820 No

5034033 99784 20,662 No

5034670 100521 82,475 No

5035138 98317 834,466 No

5035610 99044 894,655 No

5035659 99388 - No

5035772 U4051D 5,583 No

5036037 99124 41,342 No

5036425 98350 102,234 No

5036699 99482 - No

5037582 99443 47,060 No

5037817 98996 199,576 No

5037857 D9082 23,224 No

5038500 99108 1,919,602 No

5038532 98711 33,325 No



5038866 99741 176,910 No

5039343 99289 186,449 No

5040453 99411 - No

5043189 99472 181,574 No

6000166 100214 67,173 No

6000254 99554 404,180 No

6000258 99555 576,613 No

6000996 11084 295,421 No

6001312 104437 369,012 No

6002115 99120 3,190,876 No

6004603 99920 90,414 No

6004693 GL156 17,390 No

6005206 99423 3,687 No

6005243 99490 9,654 No

6005766 102981 500 No

6006227 99418 671,220 No

6007817 99412 71,189 No

6008917 99339 725 No

6008931 99321 72,587 No

6009065 99323 702,879 No

6009181 10510 102,665 No

6009558 98993 2,953 No

6010859 99326 1,388,230 No

6010952 99089 17,151 No

6012185 99369 115,875 No

6014717 99334 8,345,058 No

6018569 S3023 3,995 No

6019592 37613 134,315 No

6019789 30820 570,087 No

6019862 99558 301,409 No

6019931 98997 474,759 No

6020599 99018 103,038 No

6020909 37394 930,248 No

6021044 99344 72,963 No

6021092 97836 1,395,806 No

6021387 TF218 6,658 No

6022358 99560 5,776,333 No

6023418 100234 52,340 No

6024497 99356 50,812 No

6024745 30838 820,122 No

6025349 AG8723 1,060,000 No

6026462 99354 538,667 No



6027098 98876 372,571 No

6027119 98994 818,863 No

6027533 99436 40,442 No

6028097 99546 1,727 No

6028266 99234 4,992 No

6028633 99088 1,863 No

6028720 99897 71,995 No

6029947 99374 676,715 No

6031509 99561 41,232 No

6031593 99051 8,992,000 No

6031634 TF698 65,490 No

6031638 S3046 4,088 No

6032113 ZM452 86,003 No

6034387 37160 267,524 No

6035099 ZM606 325,062 No

6035169 99527 7,909 No

6035546 99484 78,513 No

6036512 98927 1,379,462 No

6036587 99378 67,200 No

6036637 99524 2,603,078 No

6037096 99442 3,161 No

6037665 99000 3,282,939 No

6038565 99420 1,755,716 No

6038755 5821 27,318 No

6042032 KR004 43,647 No

6043214 99547 10,000 No

6044047 100278 7,458 No

6044738 N5319 8,417 No

6044800 99473 404,618 No

6046229 M2805 45,070 No

6048890 100343 1,842 No

6049349 U4453 1,105 No

6049788 97824 29,060 No

6049892 GL222 575,633 No

6050028 TG181 564 No

6052140 CLDAVY 12,589 No

6053757 97940 1,432,133 No

6054417 ZU429 1,235 No

6055238 99123 573,241 No

6055328 U3260D 4,786 No

6055409 30877 237,252 No

6057713 Z6160 24,981 No



6057992 DR001 1,500 No

6058437 102997 4,143 No

6059408 99291 317,585 No

6061615 106633 2,191,060 No

6063622 99107 38,874 No

6063623 DR016 465 No

6063748 U5529 1,117 No

6064285 99119 71,396 No

6065274 99121 646,181 No

6065556 100432 85,628 No

6065610 100276 1,035,600 No

6066868 99265 53,358 No

6067802 TG807 106,298 No

6068673 99159 73,110 No

6068851 GL233 737 No

6069036 100224 260,030 No

6069331 U5913 836 No

6069443 U3272D 33,254 No

6070584 2153 5,539 No

6071428 99170 144,486 No

6071528 98385 194,229 No

6072030 97867 164,586 No

6073262 99165 16,795 No

6073366 CD6814 71,594 No

6073506 99190 217,995 No

6073795 99432 364,840 No

6073951 100336 1,163,416 No

6074978 TP085 1,561 No

6075013 R2734 227 No

6075274 98387 1,405 No

6075607 40015D 16,160 No

6076358 10994 1,899 No

6076476 99212 14,272,908 No

6076783 U3292X 8,454 No

6076833 98205 3,814,950 No

6078468 44751 748,145 No

6078501 INCPTL 45,880 No

6078648 99211 95,186 No

6079219 40042F 182,543 No

6079493 99225 67,476 No

6079827 TM264 25,461 No

6080015 U4568D 14,250 No



6080073 100318 710,091 No

6080087 CD7096 78,100 No

6080160 98831 62,876 No

6080878 97847 147,975 No

6080880 97862 - No

6081190 36425 220,733 No

6081463 99245 3,297,021 No

6081943 KICSH 1,607 No

6082230 Z6536 316 No

6082546 98173 89,124 No

6082900 99037 185,734 No

6083255 98383 92,162 No

6083691 30866 26,675 No

6083726 4415 181,575 No

6084422 30610 11,754 No

6084643 U4585C 155 No

6084800 106512 4,870,845 No

6085022 107001 16,108 No

6085147 100370 32,850 No

6085713 99271 560,565 No

6086191 101881 937 No

6086626 GX661N 3,704 No

6086682 CD7285 7,591 No

6087080 S16796 500 No

6087615 37131 6,959 No

6087716 10506 665,135 No

6087964 103149 259,450 No

6088282 99383 1,996,004 No

6088557 CD7342 32,700 No

6088651 105240 663,382 No

6088920 100369 64,058 No

6089285 104660 64,807 No

6089304 104485 9,540 No

6089437 Z6664 150 No

6089455 106551 1,290,766 No

6089457 40131F 11,196 No

6089751 104573 5,308 No

6090357 ZA272 13,958 No

6090455 37319 149,121 No

6090867 TM805 11,196 No

6090944 102384 1,103,492 No

6091008 105973 5,080,325 No



6092066 TM800 34,240 No

6092183 TM885 913 No

6092373 TM886 1,826 No

6092567 Z6726 11,803 No

6092901 TM940 11,767 No

6093128 99531 164 No

6093130 99532 1,160 No

6093267 100408 3,026,869 No

6093765 TM932 913 No

6094089 U1789 5,700 No

6094166 30319 3,122,689 No

6094666 99559 640,503 No

6094725 99538 845 No

6094728 99537 1,492 No

6094894 S18428 179 No

6095466 E7506 6,137 No

6095620 37331 2,971 No

6095699 106739 1,521,070 No

6096510 10119 60,792 No

6097073 U5998 198 No

6097314 UD013 11,394 No

6097818 DM01 31 No

6097837 Z6840 274 No

6098167 99519 1,212 No

6098264 TD155 3,951 No

6098437 CD7491 345 No

N/A 23006 33,437 No

N/A 60043 159,741 Yes

N/A 106294 4,942 Yes

N/A 108220 510,176 Yes

N/A 108221 2,419,362 Yes

N/A 108861 4,290,886 Yes

N/A 108863 2,562 Yes

N/A 108879 20,244 Yes

N/A 108880 12,260 Yes

N/A 108881 72,663 Yes

N/A 108885 801,495 Yes

N/A 108886 663,390 Yes

N/A 108887 929,137 Yes

N/A 108888 1,386,992 Yes

N/A 108889 302,625 Yes

N/A 108890 526,646 Yes



N/A 108891 1,242,133 Yes

N/A 108901 1,209,278 Yes

N/A 108931 1,209,278 Yes

N/A 109028 58,609 Yes

N/A 109033 464,984 No

N/A 109035 118,961 Yes

N/A 109038 61,167 Yes

N/A 109041 216,057 Yes

N/A 109042 33 Yes

N/A 109044 962,789 Yes

N/A 109045 7,371 Yes

N/A 109056 821 Yes

N/A 108398 181,339,446 Yes

N/A 109672 23,598,347 Yes

N/A E 206 888 60010 11,120 Yes

N/A E 206 888 60015 10,972 Yes

N/A E RF3 RF301 70010 3,332,938 Yes

N/A E34 RTEMC 35684 39,052 Yes

N/A ER38N38636659 161,315 Yes

N/A F32 A430 801,460 Yes

N/A KZ000 28,792 No

Note that only Claimants recognised by the Company have a CIS ID. Claimants who are not recognised on the Company's system should contact the Company in order to receive their Claimant ID to identify their Client Asset Claim.

EUW_ACTIVE:\38278007\5\63238.0003

SCHEDULE 4

DISPUTE FORM

EUW_ACTIVE:\38278007\5\63238.0003

MF Global UK Limited (in special administration) Dispute Form (Distribution Plan for return of Client Assets)

IMPORTANT NOTE This Dispute Form should ONLY be used if you have an Accepted Client Asset Claim AND

you wish to dispute the Specific Costs in relation to your Distribution. Capitalised terms used but not defined herein shall have the same meaning given to them in the Distribution Plan. CLIENT ASSET CLAIMANT’S DETAILS: Client’s Name: Company registered number

(if applicable):

Client’s Address

Client’s contact details

Number:

Contact’s name:

Street:

Telephone number:

City:

Email address:

County:

Country:

Postcode:

Customer Reference Number:

SUBMISSION PROCEDURE: Please attach (i) a copy of your original Client Asset claim form and (ii) any additional correspondence/evidence relevant to your dispute to this Dispute Form and return to the documentation to the Administrators by:

• emailing a pdf copy of the Dispute Form (and relevant supporting documentation) to [email protected]; or

• posting it to MF Global UK Limited (in special administration), Client Asset Distribution Team, 5 Churchill Place, Canary Wharf, London, E14 5HU, England.

EUW_ACTIVE:\38278007\5\63238.0003

Please provide details of your dispute in the box below. If you require a continuation page, please append to this Dispute Form and check the box below, stating the number of additional pages used.

Continuation page used: □ Number of additional pages:

EUW_ACTIVE:\38278007\5\63238.0003

MF Global UK Limited (in special administration) Dispute Form (Distribution Plan for return of Client Assets) SIGNATURE PAGE

Signature

Name in CAPITAL LETTERS

Date

Address of Signatory (if required)

Authority of Signatory

EUW_ACTIVE:\38298504\6\63238.0003

SCHEDULE 5

CLAIMANT OPTIONS FORM

2 EUW_ACTIVE:\38298504\6\63238.0003

Address Address Address Address

Postcode

Date [ ] Dear Sir/Madam Client Code: [insert client reference number, so that Claimants will be able to identify their client assets in the Distribution Plan] Customer Name: Asset Category: [Unencumbered Client Assets / Encumbered Client Assets] MF Global UK Limited (in special administration) (“the Company”) Richard Heis, Michael Robert Pink and Richard Dixon Fleming as special administrators of the Company (the “Administrators”) Accepted Client Asset Claims – Claimant Options Form In accordance with The Investment Bank Special Administration (England and Wales) Rules 2011, Client Assets will be returned to the Company’s clients in accordance with a distribution plan (the “Distribution Plan”) which outlines (amongst other things) how and when Client Assets (including yours) are to be returned. Please note that unless otherwise indicated, capitalised terms defined in this letter and the enclosed form (the “Claimant Options Form”) shall have the same meaning as in the Distribution Plan. The Distribution Plan was approved by the Court on [ ]. A copy of the Distribution Plan approved by the Court is available online at www.kpmg.co.uk/mfglobaluk. You are being sent this letter because you have a Client Asset Claim that has been accepted by the Administrators. Accepted Client Asset Claims are set out in Schedule 1 (Unencumbered Client Assets) and Schedule 2 (Encumbered Client Assets) of the Distribution Plan. You will be able to identify your Client Assets via the Client Code, which is set out above. In order to receive a Distribution, you must, via the enclosed Claimant Option Form:

• pay your Claimant’s Share of Costs; • instruct the Administrators how you would like to have your Client Assets distributed

to you (a Distribution Option); and • where relevant, clear any Encumbrance in respect of your Client Assets;

Accordingly, please complete and return the Claimant Options Form enclosed with this letter to the Administrators as soon as possible. Yours faithfully

3 EUW_ACTIVE:\38298504\6\63238.0003

Richard Heis Administrator of MF Global UK Limited (in special administration) Richard Heis, Michael Robert Pink and Richard Dixon Fleming were appointed as Special Administrators of MF Global UK Limited. The affairs, business and property of MF Global UK Limited are being managed by the Special Administrators who contract as agents of MF Global UK Limited without personal liability. Richard Heis and Michael Robert Pink are authorised to act as insolvency practitioners by the Institute of Chartered Accountants in England and Wales. Richard Dixon Fleming is authorised to act as an insolvency practitioner by the Insolvency Practitioners Association

4 EUW_ACTIVE:\38298504\6\63238.0003

MF Global UK Limited (in special administration) Client Asset Distribution Plan Explanatory Notes to the Claimant Options Form Client Code: [ ] Claimant Name: [ ] Step 1: Payment of Claimant’s Share of Costs / Settlement of Encumbrances Before the Administrators can return your Client Assets, you must: (i) pay your Claimant’s Share of Costs and, (ii) where relevant, settle any Encumbrance over your Client Assets either through the Cash Option or the Liquidation Option. Details of your Claimant’s Share of Costs and any relevant Encumbrance are set out in Annex A. Cash Option: By electing the Cash Option, you agree to pay, in Sterling, by cheque (which must clear) or by bank transfer, your Claimant’s Share of Costs and, where relevant, the amount required to enable the Encumbrance set out at Annex A to be discharged.

Liquidation Option: By electing the Liquidation Option, you are instructing the Administrators to liquidate a sufficient amount of your Client Assets to enable your Claimant’s Share of Costs and, where relevant, the Encumbrance to be discharged. Note that if you elect the Liquidation Option to pay you Claimant’s Share of Costs or to settle any Encumbrance over your Client Assets, unless you give the Administrators express instructions (which are acceptable to the Administrators), the Administrators have absolute discretion as to the amount of and type of Client Assets liquidated, and the time and date at which those Client Assets are liquidated. Unless you give express instructions (which are acceptable to the Administrators) to the contrary, any amounts owing to the Company or payable by the Company which are denominated in a currency other than Sterling shall be converted into Sterling at the Official Exchange Rate prevailing on the day on which the transaction to liquidate the Client Asset settles. Further, where the Administrators have acted in good faith in liquidating all or part of a Claimant’s Client Assets, you will not have any claim against the Administrators or the Company arising out of, or in connection with, the liquidation of part or all of the Claimant’s Client Assets to meet your Claimant’s Share of Costs. Step 2: Method of Distribution For each Client Asset, you must specify how you would like your Client Asset returned to you (a Distribution Option), by selecting the appropriate box on the Claimant Option Form.

• Transfer Option: You may elect to have some, or all, of your Client Assets transferred to the custodian specified in Annex B.

• Liquidation Option: You may elect to have some, or all, of your Client Assets

liquidated and the resulting cash proceeds transferred to a GBP/USD/EUR cash account specified in Annex B.

• Physical Return: If your Client Assets were in materialised or bearer format as at the

Administration Date, you may elect to have those Client Assets returned directly to you at the address specified in Annex B.

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Further, where the Administrators have acted in good faith in carrying out a Distribution Option, the Claimant shall not have any claim against the Administrators or the Company arising out of, or in connection with, the carrying out of that Distribution Option.

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Step 3: Return of Claimant Option Form Cash Option, paying by bank transfer: If you have elected the Cash Option in relation to either or both of the payment of your Claimant’s Share of Costs and the settlement of your Encumbrance and wish to pay by bank transfer, please return (i) the signed Claimant Option Form and (ii) a confirmation of the bank transfer (referencing your Client Code) of the appropriate amount as set out in Annex A to the Administrators by:

• emailing such documents, to [email protected]; or • posting them to MF Global UK Limited (in special administration), Client Asset

Distribution Team, 5 Churchill Place, Canary Wharf, London, E14 5HU, England. Cash Option, paying by cheque: If you have elected the Cash Option in relation to either or both of the payment of your Claimant’s Share of Costs and the settlement of your Encumbrance and wish to pay by cheque, please return (i) the signed form and (ii) a cheque in the appropriate amount as set out in Annex A, made out to “MF Global UK Limited (in special administration)”, referencing your Client Code, to the Administrators by:

• posting it to MF Global UK Limited (in special administration), Client Asset Distribution Team, 5 Churchill Place, Canary Wharf, London, E14 5HU, England.

Liquidation Option: If you have elected the Liquidation Option in respect of either you payment of your Claimants Share of Costs or the settlement of your Encumbrance, please return the signed Claimant Option Form to the Administrators by:

• emailing the Claimant Option Form to [email protected]; or • posting them to MF Global UK Limited (in special administration), Client Asset

Distribution Team, 5 Churchill Place, Canary Wharf, London, E14 5HU, England.

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MF Global UK Limited (in special administration) Client Asset Distribution Plan Claimant Options Form Client Name: [ ] Client Code: [ ] PAYMENT OF COSTS AND SETTLEMENT OF ANY ENCUMBRANCE Details of your Claimant’s Share of Cost and any relevant Encumbrance are set out in Annex A. Please select how you would like to pay for your Claimant’s Share of Costs and where relevant, the Encumbrance.

Cash Option Liquidation Option

Claimant’s Share of Costs

□ □

Encumbrance (where relevant)

□ □

LIQUIDATION OPTION If you have elected to pay your Claimant’s Share of Costs and/or settle any relevant Encumbrance via the Liquidation Option and wish to provide express instructions to the Administrators as to the type or amount of your Client Assets you would like liquidated to settle those obligations, or the timing of the liquidation, please set out your instructions below:

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CASH OPTION If you have elected to pay your Claimant’s Share of Costs and/or settle any relevant Encumbrance via the Cash Option, please remit the funds via bank transfer or send a cheque to the Administrators as set out below. Bank Transfer Please remit the funds via bank transfer in GBP, referencing your Client Code to: Account name: MF Global UK Limited (in special administration) GBP Sort Code: 20-00-00 Account Number: 13321142 Bank: Barclays Bank SWIFT: BARCGB22 IBAN: GB83BARC20000013321142 Cheque Alternatively, funds may be remitted by forwarding a cheque with the payee details as “MF Global UK Limited (in special administration)”, referencing your Client Code, together with the completed form to: Client Asset Distribution Team MF Global UK Limited (in special administration) 5 Churchill Place Canary Wharf London E14 5HU

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DISTRIBUTION Please select how you would like your Client Assets returned by selecting the relevant D for each Client Asset. You must specify a return method (a Distribution Option) for each of the Client Assets listed below. Client Asset Transfer to

the Custodian Liquidate [Physical Return (for

bearer / materialised) Client Assets ONLY]

□ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ □ CONFIRMATION OF INSTRUCTIONS I hereby confirm that I instruct the Administrators as set out above in relation to a Distribution of my Client Assets and my Claimant’s Share of Costs. Full Name (CAPITALS) ……………………………………………………………… of authorised signatory* Signature ……………………………………………………………… Authority of signatory** ……………………………………………………………… Date ………………………………………. * Please note that this must either be signed by the customer directly if you are an individual or, if you are a corporate, it must be signed by an appropriately authorised person from within your organisation, which the Special Administrators will recognise as an authorised signatory for your accounts on the Company’s records. ** This is only applicable if you are signing on behalf of a corporate entity.

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Annex A Claimant’s Share of Costs and the Encumbrance

Summary of Claimant’s Share of Costs

Cash Option (GBP)

Liquidation Option (GBP)

Shared Costs:

Specific Costs:

TOTAL CLAIMANT’S SHARE OF COSTS:

Details of the Encumbrance

Liabilities owed to the Claimant:

Liabilities owed by the Claimant:

Net Liabilities to be deducted from Client Assets:

TOTAL ENCUMBRANCE

.

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Annex B Settlement Details

[As requested by the Administrators in previous correspondence, you have provided the following details in respect of your standard settlement instructions. If these details are incorrect, please provide the Administrator’s with the correct details.] Transfer Option [KPMG to prepopulate details of account in the Client’s own name at the new Custodian as provided in the SSI] Liquidation Option [KPMG to prepopulate details of the GBP/USD/EUR cash account where the Administrators have been instructed to remit the proceeds of any liquidation as provided in the SSI] Physical Return [KPMG to insert details of Claimant’s address as provided in the SSI] OR [You have not yet provided details in respect of your standard settlement instructions. Please provide the Administrator’s with the details requested in previous correspondence.

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SCHEDULE 6

CURRENCY CODES AND RATES OF EXCHANGE

Set out below are the official exchange rates for 31 October 2011, being the middle market (mean of spot buying and selling) rates as observed by the Bank of England’s Foreign Exchange Desk in the

London interbank market around 4pm on 31 October 2011.

Currency Foreign Exchange rate at 31 October 2011

Currency Code

Australian Dollar 1.5213 AUD

Cyprus Pound 0.6773 CYP

Czech Koruna 28.7388 CZK

Hungarian Forint 352.1536 HUF

Lithuanian Litas 3.9954 LTL

Latvian Lats 0.8142 LVL

Maltese Lira 0.4976 MTL

Polish Zloty 5.0411 PLN

Israeli Shekel 5.8301 ILS

Malaysian ringgit 4.9521 MYR

Russian Ruble 48.8435 RUB

Thai Baht 49.5932 THB

Chinese Yuan 10.2571 CNY

South Korean Won 1795.3634 KRW

Turkish Lira 2.8457 TRY

Indian Rupee 78.7358 INR

Canadian Dollar 1.6033 CAD

Danish Krone 8.61 DKK

Euro 1.1571 EUR

Hong Kong Dollar 12.533 HKD

Japanese Yen 125.8514 JPY

New Zealand Dollar 1.9878 NZD

Norwegian Krone 8.8999 NOK

Swiss Franc 1.4054 CHF

Singapore Dollar 2.0202 SGD

Swedish Krona 10.4357 SEK

Saudi Riyal 6.0535 SAR

Taiwan Dollar 48.2906 TWD

US Dollars 1.6141 USD

South African Rand 12.7419 ZAR

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SCHEDULE 7

CURRICULUM VITAE OF ADJUDICATOR

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Jamie Drummond Smith

The major part of my career has been as a restructuring professional, largely within the financial services industry with Deloitte LLP. Whilst I currently hold an insolvency practitioners licence, I no longer take on insolvency officeholder appointments. Since leaving Deloitte, I have taken on a number of roles within businesses seeking to achieve a financial restructuring. I currently serve as the Company’s creditors’ committee’s fee reviewer and am therefore familiar with this Special Administration. Employment History September 2011 – present Assisting a clearing bank with a company in financial difficulty in the asset based lending arena. April 2011 – July 2011 I acted as chief restructuring officer of a business with £600m of debt which arose from a private equity buy out in 2007. I helped restructure the balance sheet negotiating with senior lenders, mezzanine lenders, management, and a private equity house. We also negotiated with the HMRC. March 2009 – February 2011 Cattles PLC I acted as finance director of Cattles PLC (“Cattles”) and its main operating subsidiary, Welcome Financial Services Limited (“Welcome”). This followed the suspension of 7 senior executives in February 2009, including the finance directors of Cattles and Welcome following the discovery of a material overstatement of customer balances in the balance sheet. I was one of 3 executive directors of a business with 5000 people and led the finance team of 100. I then became the chief restructuring officer leading the financial restructuring of Cattles and its subsidiaries through 4 separate schemes of arrangement. I remain a non-executive director. December 2008 – February 2009 Newstar Asset Management I acted as the project manager of the debt for equity swap and sale processes. This involved working with the directors and staff at Newstar Asset Managment, investment bankers, accountants and lawyers. November 2007 – December 2008 Barbon Insurance Group Limited I acted as chief operating officer, financial director, and for a short period, chief executive for this FSA regulated insurance intermediary of a publicly quoted company. The company employed 700 people in six different locations. It is the largest tenant reference business for

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letting agencies in the UK and also provides insurance broking services to the property industry. I remain as a non-executive director. 1981 – 2007 Deloitte & Touche LLP I qualified as a chartered accountant with Spicer & Peglar in London which, following a number of name changes and mergers became Deloitte LLP. Following qualification, I joined the restructuring and insolvency team and became a licenced insolvency practitioner in 1990. In 1992 I moved to Crawley to set up a restructuring and insolvency team. I became a partner in 1995. The following year I moved to London to lead the financial services restructuring team and the solvent liquidation team. I left Deloitte in 2006, by which time the two teams comprised 35 people and had a combined turnover of in excess of £6 million. Professional Qualifications

• Fellow of The Institute of Chartered Accountants • Previous member of the General Technical Committee and the Education &

Conferences Committee of The Association of Business Recovery Professionals

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SCHEDULE 8

THE COURT ORDER

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IN THE HIGH COURT OF JUSTICE No 9527 of 2011

CHANCERY DIVISION

COMPANIES COURT

Before the Honourable Mr Justice David Richards

Wednesday the 18th day of July 2012

IN THE MATTER OF MF GLOBAL UK LIMITED (IN SPECIAL ADMINISTRATION)

AND IN THE MATTER OF THE INVESTMENT BANK SPECIAL ADMINISTRATION

REGULATIONS 2011

_________________________________

draft/ORDER _________________________________

UPON THE APPLICATION of Richard Fleming, Richard Heis and Mike Pink of KPMG LLP, 15

Canada Square, London E14 5GL (the “Administrators”), the joint administrators of MF Global UK

Limited (the “Company”), by Application dated 29 June 2012 (the “Application”), made pursuant to

rule 146(2) of the Investment Bank Special Administration (England and Wales) Rules 2011

AND UPON HEARING Leading Counsel for the Special Administrators

[AND UPON HEARING Counsel for the members of the Creditors’ Committee]

[AND UPON HEARING Counsel for the Financial Services Authority]

AND UPON READING the distribution plan proposed by the Administrators

AND UPON the Court being satisfied that[: (i) the Administrators have made the necessary

notifications in accordance with rules 143; and (ii)] the creditors’ committee has approved the

distribution plan exhibited to the witness statement of [INSERT NAME] dated [INSERT DATE] (the

“Distribution Plan”)

IT IS HEREBY ORDERED AND DIRECTED that:

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1 The Distribution Plan be approved without modification.

2 The costs of and incidental to this Application be paid as part of the Shared Costs, as that term

is defined in the Distribution Plan.

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No 9527 of 2011IN THE HIGH COURT OF JUSTICE

CHANCERY DIVISION

COMPANIES COURT

Before the Honourable Mr Justice David Richards

Wednesday the 18th day of July 2012

IN THE MATTER OF MF GLOBAL UK LIMITED (IN SPECIAL ADMINISTRATION)

AND IN THE MATTER OF THE INSOLVENCY ACT 1986

_________________________________

draft/ORDER _________________________________

Weil, Gotshal & Manges 110 Fetter Lane London EC4A 1AY Tel: 0207 903 1000 Fax: 0207 903 0990 Ref: AP/63238.0003 Solicitors for the Applicant

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SCHEDULE 9

RETURN PROCEDURE

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Part A – Electronically Held Securities Return Procedure

1 If the Claimant’s Client Assets were Electronically Held Securities as at the Administration Date, where the Claimant has elected that their Client Assets be transferred to a new custodian via the Claimants Option Form, the Administrators will contact the Claimant requesting a signed copy of their new custodian’s standard settlement instructions. This should include both instructions for the delivery of securities and cash payment instructions and contact details for the Claimant’s new custodian.

2 The Claimant must ensure that their Client Assets are being transferred to an account in their name at their new custodian. Securities will not be transferred to an account that is not in the Claimant’s name.

3 The Claimant’s new standard settlement instructions will be entered into the settlement system to be utilised by the Administrators for the return of Client Assets.

4 The Administrators will contact the Claimant to agree the details of the transfer and a trade and settlement date will be provided by the Administrators.

5 The new custodian of the Claimant will be contacted by the Administrators to agree the details of the transfer.

6 The Claimant must instruct their custodians and provide the custodians with details of the transfer including the trade and settlement date.

7 Instructions will be submitted to the custodians of the Company by the Administrators for the transfer of the Client Assets.

8 The Claimant will be notified by the Administrators if there are issues with the matching of the delivery instructions.

9 The Claimant will be notified by the Administrator of the settlement of the transfer to their new custodian.

Part B - Physically Held Securities Return Procedure

1 If the Claimant’s Client Assets were Physically Held Securities as at the Administration Date, and the Claimant has elected to have its Client Assets returned directly to it via the Claimant Options Form, if not already done so, the Administrators will contact the Claimant requesting full beneficiary details to re-register the stock certificate into the name of the beneficiary. Details must include name and address.

2 The certificate can only be returned to the Claimant in the Claimant’s own name or the nominee name of the Claimant’s new custodian.

3 The nominee company must confirm that the Client Assets will be credited to an account in the Claimant’s own name held with them.

4 Instructions will be submitted to the registrars to re-register the stock certificate into the requested beneficiary name.

5 Registrars will return the re-registered stock certificates to the Administrators.

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6 The Administrators will return the stock certificate by post to the address specified by the Claimant. This must be the Claimant’s own address or the address of the Claimant’s new custodian.

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SCHEDULE 10

COPY OF BAR DATE NOTICE

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SCHEDULE 11

RELEVANT STATUTORY PROVISIONS

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The Special Administration Regime For ease of reference, this Schedule sets out the sections of The Investment Bank Special Administration Regulations 2011 (the “Regulations”) and The Investment Bank Special Administration (England and Wales) Rules 2011 (the “Rules”) relevant to Client Assets and the Distribution Plan are set out below. They have been provided for ease of reference and information purposes only. The full text of the Rules can be found at www.legislation.gov.uk/uksi/2011/1301. The full text of the Regulations can be found at www.legislation.gov.uk/uksi/2011/245. Financial Collateral Regulations For ease of reference, this Schedule also sets out the definition “Title Transfer Financial Collateral Arrangement” as defined under Regulation 3 of the Financial Collateral Arrangements (No. 2) Regulations 2003. The full text of the Financial Collateral Arrangements (No. 2) Regulations 2003 can be found at http://www.legislation.gov.uk/uksi/2003/3226.

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2011 No. 245 FINANCIAL SERVICES AND MARKETS

The Investment Bank Special Administration Regulations 2011

Relevant Provisions

Application 5.(1) An application to the court for a special administration order may be made to the court by:

(a) the investment bank; (b) the directors of the investment bank; (c) one or more creditors of the investment bank; (d) the designated officer for a magistrates’ court in the exercise of the power conferred by section 87A of the Magistrates’ Courts Act 1980(a) (fines imposed on companies); (e) (subject to paragraph (7)), a contributory of the investment bank; (f) a combination of persons listed in sub-paragraphs (a) to (e); (g) the Secretary of State; or (h) the FSA.

(2) Where an application is made by a person other than the FSA, the FSA is entitled to be heard at:

(a) the hearing of the application for special administration; and (b) any other hearing of the court in relation to the investment bank under these Regulations.

(3) An application must nominate a person to be appointed as the administrator. (4) As soon as is reasonably practicable after making the application, the applicant shall notify:

(a) a person who gave notice to the FSA in accordance with Condition 1 of regulation 8; and (b) such other persons as may be prescribed.

(5) An application may not be withdrawn without the permission of the court. (6) In sub-paragraph (1)(c), “creditor” includes a contingent creditor and a prospective creditor. (7) A contributory (“C”) is not entitled to make an application for special administration unless either:

(a) the number of members is reduced below 2; or (b) the shares in respect of which C is a contributory, or some of them, either were originally allotted to C, or have been held by C and registered in C’s name, for at least 6 months during the 18 months before the commencement of the special administration, or have devolved on C through the death of a former holder.

Objective 1 – distribution of client assets 11.(1) If the administrator thinks it necessary in order to expedite the return of client assets, the administrator may set a bar date for the submission of:

(a) claims to the beneficial ownership, or other form of ownership, of the client assets; or (b) claims of persons in relation to a security interest asserted over, or other entitlement to, those assets.

(2) Claims under paragraph (1) include claims that are contingent or disputed. (3) In setting a bar date, the administrator must allow a reasonable time after notice of the special administration has been published (in accordance with insolvency rules) for persons to be able to calculate and submit their claims. (4) Where the administrator sets a bar date:

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(a) the administrator shall return client assets in accordance with the procedure set down by insolvency rules; but (b) no client assets shall be returned after the bar date has been set without the approval of the court in accordance with the procedure set down in insolvency rules.

(5) Where the administrator, after setting a bar date, has returned client assets, if the administrator then receives a late claim of a type described in paragraph (1) in respect of assets that have been returned:

(a) there shall be no disruption to those client assets that have already been returned; (b) the person to whom the assets have been returned acquires good title to them as against the late-claiming claimant, and insolvency rules shall prescribe how the late claim is to be treated by the administrator.

(6) The restrictions in paragraph (5) shall not apply where:

(a) the client assets were returned to a person (“P”) by the administrator in bad faith in which P was complicit; or (b) P is later found to have made a false claim to those assets.

(7) In this regulation, “bar date” means a date by which claims as described in paragraph (1) must be submitted. (8) This regulation does not apply to client assets received or held, or which should have been held, by the investment bank in accordance with rules made by virtue of section 139 of FSMA (clients’ money). Objective 1 - shortfall in client assets held in omnibus account 12.(1) This regulation applies if:

(a) the administrator becomes aware that there is a shortfall in the amount available for distribution of securities of a particular description held by the investment bank as client assets in a client omnibus account; (b) the shortfall cannot be remedied following the resolution of on-going disputes; and (c) the assets in question are not ones which are received or held, or should have been held, by the investment bank in accordance with rules made by virtue of section 139 of FSMA (clients’ money).

(2) The administrator, in making the distribution, shall ensure (subject to the treatment of late claims as described in regulation 11(5)) that the shortfall referred to in paragraph (1) be borne pro rata by all clients for whom the investment bank holds securities of that particular description in that same account in proportion to their beneficial interest in those securities. (3) A person (including the investment bank) (“a security holder”) with a security interest over securities held in the client omnibus account on behalf of a particular client shall be entitled to participate in distributions and shortfall claims in respect of those securities in accordance with their entitlement as against that client (subject to the treatment of late claims as described in regulation 11(5)). (4) Security holders shall not, at any time, be entitled to claim in aggregate in excess of the distribution which the client would have been entitled to if there had been no claim by that client. (5) Any reduction of the client’s beneficial interest as a result of the application of paragraph (2) shall limit correspondingly the rights of the security holder in respect of the distribution, (but this shall not affect the right of the security holder in respect of the client’s shortfall claim as described in paragraph (7)).

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(6) Where there is a dispute between persons as to their respective share of a distribution, the administrator may:

(a) make the distribution in accordance with an agreement drawn up between the parties in dispute; or (b) lodge the securities that are the subject of the dispute with the court, and if the administrator pursues either course of action, the administrator’s obligations in respect of Objective 1 with regard to these securities shall be deemed to be discharged.

(7) The shortfall borne by a client under paragraph (2) is that client’s shortfall claim against the investment bank (“shortfall claim”) and shall rank as an unsecured claim. (8) The value of a client’s shortfall claim shall be based on the market price for those securities to which the shortfall claim relates on the date the investment bank entered special administration or, if that is not a business day, on the last business day prior to the investment bank entering special administration. (9) In this regulation: “client omnibus account” means an account held by the investment bank, or another institution in the name of the investment bank, made up of multiple accounts of clients of the investment bank; “distribution ” means the return of client assets that are securities of a particular description; “market price” means: (a) the value of the securities on the day in question as determined by a reputable source used by the investment bank, immediately prior to the investment bank entering special administration, for valuing or reporting in respect of those securities; or (b) if this is not practicable, the value of those securities on the day in question as determined by the administrator which reflects, in the administrator’s opinion, a fair and reasonable price for those securities; and “securities of a particular description” means securities issued by the same issuer which are of the same class of shares or stock; or in the case of securities other than shares or stock, which are of the same currency and denomination and treated as forming part of the same issue. General powers, duties and effect 15.(1) Without prejudice to any specific powers conferred on an administrator by these Regulations, an administrator may do anything necessary or expedient for the pursuit of the special administration objectives. (2) The administrator is an officer of the court. (3) The following provisions of this regulation provide for:

(a) general powers and duties of administrators (by application of provisions about administrators in Schedule B1 administration); and (b) the general process and effect of special administration (by application of provisions about Schedule B1 administration).

(4) The provisions of Schedule B1 and other provisions of the Insolvency Act set out in the Tables apply in relation to special administration as in relation to other insolvency proceedings with the modifications set out:

(a) in paragraph (5) (in respect of the provisions listed in Table 1); (b) in paragraph (6) (in respect of the provisions listed in Table 2),

and any other modification specified in the Tables. (5) The modifications in respect of the provisions referred to in Table 1 are that:

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(a) a reference to the administrator is a reference to the administrator appointed under a special administration order; (b) a reference to administration is a reference to special administration; (c) a reference to an administration order is a reference to a special administration order; (d) a reference to a company is a reference to an investment bank; (e) a reference to the purpose of administration is a reference to the special administration objectives; and (f) a reference to a provision of the Insolvency Act is a reference to that provision as applied by this regulation.

(6) The modifications in respect of the provisions referred to in Table 2 are that:

(a) a reference to the liquidator is a reference to the administrator appointed under a special administration order; (b) a reference to winding up is a reference to special administration; (c) a reference to winding up by the court is a reference to the imposition of special administration by order of the court; (d) a reference to being wound up under Part 4 or 5 of the Insolvency Act is a reference to an investment bank being in special administration; (e) a reference to the commencement of winding up is a reference to the commencement of special administration; (f) a reference to going into liquidation is a reference to entering special administration; (g) a reference to liquidation or to insolvent liquidation is a reference to special administration; (h) a reference to a winding up order is a reference to a special administration order; (i) a reference to a company is a reference to an investment bank; and (j) a reference to a provision of the Insolvency Act is a reference to that provision as applied by this regulation.

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2011 No. 1301 FINANCIAL SERVICES AND MARKETS

INSOLVENCY The Investment Bank Special Administration (England and

Wales) Rules 2011

Relevant Provisions Calculation of voting rights (clients) 91.(1) For the purposes of this Chapter, a client’s voting rights are calculated according to the value of the client’s claim submitted under rule 90, taking into account any shortfall identified prior to the meeting. (2) Subject to paragraph (4), the chair is to value any securities making up the client’s claim under paragraph (1) by reference to the closing or settlement price for such securities of a particular description. (3) In paragraph (2): “closing or settlement price” means—

(a) in relation to securities traded on a relevant exchange, the closing or settlement price published by that exchange; and (b) in relation to securities traded elsewhere, the closing or settlement price published by an appropriate pricing source on the last business day before the date the investment bank entered special administration; but where such securities are traded outside the United Kingdom, the closing or settlement price shall be the most recent closing price before that date; and

“securities of a particular description” has the meaning set out in regulation 12(9); and in this paragraph: “appropriate pricing source” means a reputable source used by the investment bank immediately prior to the investment bank entering special administration for valuing or reporting in respect of those securities, unless the client asserts with good reason (and the chair agrees) that an alternative source should be used; and “ relevant exchange” means a recognised investment exchange or recognised overseas investment exchange used by the investment bank to trade such securities immediately prior to the investment bank entering special administration, unless the client asserts with good reason (and the chair agrees) that an alternative exchange should be used. (4) Where the chair considers that it is not practicable to value a client asset by reference to a closing or settlement price published by a relevant exchange or an appropriate pricing source, the chair may put upon the asset an estimated minimum value for the purposes of the entitlement to vote. (5) Where client assets are quoted in currencies other than sterling, in order to value the assets for the purposes of this chapter, the administrator shall convert the market price of the assets to sterling at the rate of exchange for that other currency as at the mean of the buying and selling spot rates prevailing in the London market as published at the close of business on the business day prior to the date the investment bank entered special administration or, in the absence of any such published rate, such rate as the court determines. Expenses of members 119.(1) Subject to paragraph (2), the administrator shall, out of the assets of the investment bank, defray, in the prescribed order of priority as set out in rule 134, any reasonable traveling expenses directly incurred by members of the creditors’ committee or their representatives in relation to their

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attendance at the committee’s meetings, or otherwise on the committee’s business, as an expense of the administration. (2) Any client members of the committee shall have their expenses referred to in paragraph (1) paid out of the client assets held by the investment bank. (3) Paragraph (1) does not apply to any meeting of the committee held within 6 weeks of a previous meeting, unless the meeting in question is summoned at the instance of the administrator. Expenses to be paid out of the investment bank’s assets 134.(1) Subject to rule 135, the expenses of the administration to be paid out of the assets of the investment bank are payable in the following order of priority:

(a) expenses properly incurred by the administrator in performing the administrator’s functions in the special administration; (b) the cost of any security provided by the administrator (and, in a special administration (bank insolvency) or a special administration (bank administration)), the cost of any security provided by a person appointed under rule 30 or 49 in accordance with the Regulations or the Rules; (c) in a special administration (bank insolvency) or a special administration (bank administration), the remuneration of a person appointed under rule 30 or 49; (d) in a special administration (bank insolvency) or a special administration (bank administration), any deposit lodged on the application for the appointment of a person appointed under rule 30 or 49; (e) where an administration order was made, the costs of the applicant and any person appearing on the hearing of the application; (f) any amount payable to a person employed or authorised, under Chapter 1 of Part 3 of the Rules, to assist in the preparation of a statement of affairs or statement of concurrence; (g) any allowance made, by order of the court, towards costs on an application for release from the obligation to submit a statement of affairs or statement of concurrence; (h) any necessary disbursements by the administrator in the course of the special administration (including any expenses incurred by members of the creditors’ committee or their representatives and allowed for by the administrator under rule 119, but not including any payment of corporation tax in circumstances referred to in sub-paragraph (k) below); (i) the remuneration or emoluments of any person who has been employed by the administrator to perform any services for the investment bank, as required or authorised under the Regulations or the Rules; (j) the administrator’s remuneration for services in pursuit of:

(i) Objective A in a special administration (bank insolvency), (ii) Objective A in a special administration (bank administration), and (iii) Objectives 2 and 3, the basis of which has been fixed under rules 29 or 48 or Chapter 2 of Part 7 of these Rules, and (iv) unpaid pre-administration costs approved under rule 136 for work done in pursuit of these objectives; and

(k) the amount of any corporation tax on chargeable gains accruing on the realisation of any asset of the investment bank (without regard to who the realisation is effected by).

(2) The priorities laid down by paragraph (1) of this rule are subject to the power of the court to make orders under paragraph (3) of this rule where the assets are insufficient to satisfy the liabilities. (3) The court may, in the event of the assets being insufficient to satisfy the liabilities, make an order as to the payment out of the assets of the expenses incurred in the administration in such order of priority as the court thinks just. (4) For the purposes of paragraph 99(3) and subject to rule 135, the former administrator’s remuneration and expenses shall comprise all those items set out in paragraph (1) of this rule.

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Expenses to be paid out of the client assets 135.(1) The expenses of the special administration to be paid out of the client assets held by the investment bank are payable in the following order of priority:

(a) subject to rule 136, expenses properly incurred by the administrator in pursuing Objective 1; (b) any necessary disbursements by the administrator in the course of the special administration specific to the achievement of Objective 1 (including any expenses incurred by client members of the creditors’ committee or their representatives and allowed for by the administrator under rule 119 but not including any payment of corporation tax in circumstances referred to in rule 134(1)(k)); (c) the remuneration or emoluments of any person who has been employed by the administrator to perform any services for the investment bank specific to the achievement of Objective 1, as required or authorised under the Regulations or the Rules; and (d) the administrator’s remuneration the basis of which has been fixed under rule 196 and unpaid pre-administration costs approved under rule 136 in respect of the work done in pursuance of Objective 1.

(2) The priorities laid down by paragraph (1) of this rule are subject to the power of the court to make orders under paragraph (3) of this rule where the client assets are insufficient to satisfy the liabilities. (3) The court may, in the event of the assets being insufficient to satisfy the liabilities, make an order as to the payment out of the assets of the expenses incurred in the administration in such order of priority as the court thinks just. (4) For the purposes of paragraph 99(3) the former administrator’s remuneration and expenses incurred in respect of the pursuit of Objective 1 shall comprise all those items set out in paragraph (1) of this rule. Pre-administration costs 136.(1) Where the administrator has made a statement of pre-administration costs under rule 59(2)(m), the creditors’ committee may determine whether and to what extent the unpaid preadministration costs set out in the statement are approved for payment. (2) But if:

(a) there is no creditors’ committee; or (b) there is but it does not make the necessary determination; or (c) it does do so but the administrator or other insolvency practitioner who has charged fees or incurred expenses as pre-administration costs considers the amount determined to be insufficient,

paragraph (3) applies. (3) When this paragraph applies, determination of whether and to what extent the unpaid preadministration costs are approved for payment shall be by resolution of:

(a) where the pre-administration costs were incurred in pursuance of Objective A, or Objectives 2 and 3, a meeting of creditors; (b) where the pre-administration costs were incurred wholly in pursuance of Objective 1, a meeting of clients; or (c) where the pre-administration costs were incurred in pursuance of Objective 1, Objective A and Objective 2 and 3, a meeting of creditors and clients.

(4) The administrator must call a meeting of the creditors’ committee or a meeting under paragraph (3) if so requested for the purposes of paragraphs (1) to (3) by another insolvency practitioner who

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has charged fees or incurred expenses as pre-administration costs; and the administrator must give notice of the meeting within 28 days of receipt of the request. (5) If:

(a) there is no determination under paragraph (1) or (3); or (b) there is such a determination but the administrator or other insolvency practitioner who has charged fees or incurred expenses as pre-administration costs considers the amount determined to be insufficient,

the administrator (where the fees were charged or expenses incurred by the administrator) or other insolvency practitioner (where the fees were charged or expenses incurred by that practitioner) may apply to the court for a determination of whether and to what extent the unpaid preadministration costs are approved for payment. (6) Paragraphs (2) to (4) of rule 200 apply to an application under paragraph (5) of this rule as they do to an application under paragraph (1) of that rule (references to the administrator being read as references to the insolvency practitioner who has charged fees or incurred expenses as preadministration costs). (7) Where the administrator fails to call a meeting of the creditors’ committee or a meeting under paragraph (3) in accordance with paragraph (4), the other insolvency practitioner may apply to the court for an order requiring the administrator to do so. Allocation of expenses to be paid from client assets 137.(1) The administrator shall set out, in the distribution plan under rule 146, how the administrator proposes that the expenses of the special administration, to be paid out of the client assets in accordance with this Chapter, are to be allocated between client assets. (2) Where paragraph (1) applies and, as a result of this, on the court approving the distribution plan in accordance with rule 146, there is a shortfall in the amount of assets to be returned to a client:

(a) that shortfall is to be treated as a debt owed to the client by the investment bank arising before the investment bank entered special administration; and (b) where those assets are securities, the claim is to be valued in accordance with rule 91 and for this purpose the references to “chair” in rule 91 shall be read as references to the administrator.

Setting a bar date

Notice of the bar date 138.(1) This Part applies where the administrator sets a bar date for the submission of claims as set out in regulation 11(1). (2) The administrator shall give notice of the bar date:

(a) to all clients of whose claim in respect of the client assets the administrator is aware; and (b) to all those persons whom the administrator believes have a right to assert a security interest or other entitlement over the client assets, and whom the administrator has a means of contacting.

(3) Notice of the bar date shall also be sent to:

(a) the FSA; and (b) in a special administration (bank administration) before the Bank of England has given an Objective A Achievement Notice, the Bank of England.

(4) Notice of the bar date:

(a) shall be gazetted; and (b) may be advertised in such other manner as the administrator thinks fit.

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(5) In advertising the date under paragraph (4), the administrator shall aim to ensure that the bar date comes to the attention of as many of those persons who are eligible to submit a claim under regulation 11(1) as the administrator considers practicable. (6) After setting a bar date, the administrator may agree a later date for the submission of a claim under regulation 11(1) if the potential claimant submits a request to administrator before the bar date. (7) The FSA may also submit a request to the administrator under paragraph (6) if the FSA considers that there are particular circumstances in respect of a claimant, or a class of claimants, that mean that those persons will have difficulty submitting their claim before the bar date. Content of claim for client assets 139.(1) This rule applies to the submission of claims as described in regulation 11(1)(a). (2) A person submitting a claim must submit that claim in writing to the administrator. (3) The claim must:

(a) be made out by, or under the direction of, the claimant and must be signed by the claimant or a person authorised in that behalf; and (b) state the following matters:

(i) the claimant’s name and address, (ii) the total amount of client assets held or believed to be held for that claimant by the investment bank as at the time that the investment bank entered administration, categorised into type and securities of a particular description, (iii) details as to the types of ownership the claimant asserts over those assets, (iv) details of all financial contracts the claimant has entered into under which, at the time the claim is submitted, liabilities are still owed from either the investment bank to the claimant or vice versa, and (v) details of any security granted by the claimant in respect of the client assets held by the investment bank; and

(c) state the name, address and authority of the person signing the claim, if not the claimant. (4) The claim shall specify details of any documents by reference to which the claim can be substantiated; but (subject to paragraph (5)), it is not essential that such documents be attached to the claim or submitted with it. (5) Where the administrator thinks it necessary for the purpose of substantiating the whole or any part of a claim submitted, the administrator may:

(a) call for any document or other evidence to be produced; or (b) send a request in writing for further information from the claimant.

(6) In this rule, “securities of a particular description” has the meaning set out in regulation 12(9). Content of claim in respect of security interest 140.(1) This rule applies to the submission of claims as described in regulation 11(1)(b). (2) A person submitting a claim must submit that claim in writing to the administrator. (3) The claim must:

(a) be made out by, or under the direction of, the claimant and must be signed by the claimant or a person authorised in that behalf; and (b) state the following matters:

(i) the claimant’s name and address,

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(ii) details of any security interest asserted by the claimant over any client assets held by the investment bank, including details of the client assets to which the security interest relates, the date on which the security interest was granted, conditions for the release of the security and the value which the claimant puts on the security interest, (iii) details of any other parties’ interest in the security interest that are known to the claimant, and (iv) any other information relating to the security interest that the claimant considers useful to the administrator in determining the rights attached to the client assets which are the subject of the claim; and

(c) state the name, address and authority of the person signing the claim. (4) The claim shall specify details of any documents by reference to which the claim can be substantiated; but (subject to paragraph (5)), it is not essential that such documents be attached to the claim or submitted with it. (5) Where the administrator thinks it necessary for the purpose of substantiating the whole or any part of a claim submitted, the administrator may:

(a) call for any document or other evidence to be produced; or (b) send a request in writing for further information from the claimant.

Costs of making a claim 141. Unless the court orders otherwise, every claimant under rules 139 and 140 bears the cost of making a claim, including costs incurred in providing documents or evidence or responding to requests for further information.

Further Notification Notifying potential claimants after bar date has passed 143.(1) This rule applies where, after the bar date has passed:

(a) there is evidence from either: (i) the records of the investment bank; or (ii) information received by the administrator under rule 139 or 140, that there is a person (“P”) who is eligible to make a claim under regulation 11(1) in respect of certain client assets, but that the administrator has not received a claim from P in respect of those clients assets; and

(b) the administrator has a means of contacting P. (2) The administrator shall send notice to P in writing stating that the administrator believes P would have been eligible to submit a claim under regulation 11(1). (3) Where P would have been eligible to submit a claim under rule 11(1)(a), the notice under paragraph (2) shall state that:

(a) the administrator believes that the investment bank holds client assets on behalf of P; and (b) in making the distribution plan under rule 144, the administrator intends to calculate the amount of assets to be returned to P according to the information available to the administrator, unless P submits a claim in accordance with rule 139 within 14 business days of receipt of the notice (or such longer period as may be agreed by the administrator).

(4) Where P would have been eligible to submit a claim under rule 11(1)(b), the notice under paragraph (2) shall state that:

(a) the administrator believes that P is able to assert a security interest over certain client assets held by the investment bank; and (b) in making the distribution plan under rule 144, the administrator intends to take into account the security interest according to the information available to the administrator, unless

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P submits a claim in accordance with rule 140 within 14 business days of receipt of the notice (or such longer period as may be agreed by the administrator).

Distribution plan

Distribution plan 144.(1) This rule applies where after setting a bar date and making the notification required by rule 143, the administrator proposes to return client assets. (2) The administrator shall draw up a distribution plan setting out:

(a) subject to paragraph (3), a schedule of dates on which the client assets are to be returned (“a distribution ”); (b) the unencumbered assets to be returned and to whom; (c) in respect of encumbered client assets, how the amount of client assets to be returned to a particular client is to be calculated (“the net asset claim”), taking into account:

(i) any liabilities owed by the client to the investment bank in respect of financial contracts; (ii) any liabilities owed to the client by the investment bank in respect of financial contracts; and (iii) any shortfall claim of the client (as defined under regulation 12);

(d) in respect of a client’s net assets claim, whether the administrator intends to pay the client money or money’s worth in lieu of returning the assets to the client (but a client cannot be paid money or money’s worth out of the investment bank’s estate in lieu of assets unless the estate is able to retain assets the value of which is equivalent to that paid out); and (e) the amount and identity of client assets that are to be retained by the administrator to pay the expenses of the special administration in accordance with rules 135 and 137 and how the retention of these assets will affect the amount of client assets to be returned to clients.

(3) In setting out the schedule of dates for the return of the client assets, no date shall be sooner than the date which is 3 months after the bar date. (4) In setting out the schedule for the return of encumbered client assets:

(a) where a person (“P”) notified under rule 143(2) has failed to respond to that notice, the administrator shall make provision in the distribution plan:

(i) for client assets to be returned to P according to the information available to the administrator in respect of the amount of client assets held for P by the investment bank; or (ii) to take into account any security interest that according to the information available to the administrator, P is entitled to assert over certain client assets held by the investment bank, as the case may be;

(b) the administrator shall make provision in respect of any security interest asserted over those assets by another person; and (c) the administrator shall set out the extent to which a proportion of securities are to be held back from the initial distributions and the reasons why.

(5) The distribution plan will also set out:

(a) where any liabilities under paragraph (2)(c) are contingent, how the administrator intends to value the liability; and (b) where any liabilities are disputed, whether the administrator intends to make an assumption as to the outcome of the dispute, for the purpose of calculating the client’s net asset claim so that the claim can be paid out (or partly paid out) or assets returned (or returned in part) before the contingency occurs or the dispute is resolved, and the arrangements by which the administrator may revise such valuations or assumptions when further information becomes known.

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(6) In this rule, “encumbered client assets” means client assets over which a third party or the investment bank exerts a security interest. Approval by the creditors’ committee 145.(1) Where there is a creditors’ committee, the administrator shall summon a meeting of that committee to approve the distribution plan. (2) The administrator shall send the proposed distribution plan to each member of the creditors’ committee when sending out notice of the meeting. (3) The creditors’ committee may approve the distribution plan with or without modification. Approval by the court 146.(1) This rule applies where a meeting of the creditors’ committee has taken place in accordance with rule 145 or where there is no creditors’ committee. (2) The administrator shall apply to the court for approval of the distribution plan. (3) The administrator shall send a copy of the distribution plan to:

(a) all persons who have submitted a claim of the type described in regulation 11(1); (b) all persons notified under rule 143; (c) in a special administration (bank administration), before the Bank of England has given an Objective A Achievement Notice, the Bank of England; and (d) the FSA,

and details as to how to find out the venue for the hearing shall be sent out with the copy of the distribution plan. (4) The court, on receiving an application under paragraph (2) shall fix the venue for the hearing and in fixing the venue shall have regard to the desirability of the application being heard as soon as is reasonably practicable subject to the persons notified under paragraph (3) and the members of the creditors’ committee being able to attend and make representations at the hearing. (5) On hearing the application under paragraph (2) the court may:

(a) make an order approving the distribution plan with or without modification if satisfied that: (i) where rule 143 applies, the administrator has made the necessary notifications in accordance with that rule; and (ii) where there is a creditors’ committee, either that the committee has approved the distribution plan with or without modification or where the committee has been unable to approve the plan, the court has heard from the members of the committee or has given them an opportunity to explain why the committee were unable to approve the plan;

(b) dismiss the application; (c) adjourn the hearing (generally or to a specified date); or (d) make any other order which the court thinks appropriate.

Treatment of late claimants 147.(1) This rule applies where after a distribution has taken place, the administrator receives a claim of the type described in regulation 11(1). (2) Where the claim is not submitted in accordance with rule 139 or, as the case may be, rule 140, the administrator shall notify the claimant accordingly and ask them to resubmit their claim in accordance with the relevant rule.

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(3) Where the claim is submitted in accordance with rule 139 or 140, if the administrator determines that, had the claim been submitted before the bar date, the claimant would have received client assets as part of the distribution:

(a) if enough of those assets amounting to what the client would have received in the distribution are still available to be distributed, they shall be returned to the client as soon as reasonably practicable and any remainder of the claimant’s claim shall be included in the distribution plan for further distributions; and (b) if there are insufficient assets, any assets that can be returned to the claimant shall be, but the claimant may submit a proof under rule 152 for the value of those client assets not returned.

(4) Where the claimant’s proof under paragraph (3)(b) is in respect of assets that are securities, the value of those securities is to be calculated in accordance with rule 91 and for this purpose the references to “chair” in rule 91 shall be read as references to the administrator. (5) The administrator may amend the distribution plan to reflect the return of client assets under this rule without need for the plan to be approved again by either the court or the creditors’ committee.

Proofs of debts Proving a debt 152.(1) A person claiming to be a creditor of the investment bank and wishing to recover their debt in whole or in part must (subject to any order of the court to the contrary) submit their claim in writing to the administrator. (2) A creditor who claims is referred to as “proving” for their debt and a document by which that creditor seeks to establish their claim is their “proof”. (3) Subject to the next paragraph, a proof must:

(a) be made out by, or under the direction of, the creditor and authenticated by the creditor or a person authorised in that behalf; and (b) state the following matters:

(i) the creditor’s name and address, (ii) if the creditor is a company, its registered number; (iii) the total amount of the creditor’s claim (including value added tax) as at the date on which the investment bank entered special administration, less any payments made after that date in respect of the claim, any deduction under rule 163 and any adjustment by way of set-off in accordance with rule 164 or, as the case may be, rule 165; (iv) whether or not the claim includes outstanding uncapitalised interest, (v) particulars of how and when the debt was incurred by the investment bank, (vi) particulars of any security held, the date on which it was given and the value which the creditor puts on it, (vii) details of any reservation of title in respect of goods to which the debt refers, and (viii) the name, address and authority of the person authenticating the proof (if not the creditor).

(4) There shall be specified in the proof details of any documents by reference to which the debt can be substantiated; but (subject as follows) it is not essential that such document be attached to the proof or submitted with it. (5) The administrator may call for any document or other evidence to be produced, where the administrator thinks it necessary for the purpose of substantiating the whole or any part of the claim made in the proof.

Quantification of claims

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Estimate of quantum 160.(1) The administrator shall estimate the value of any debt which, by reason of it being subject to any contingency or for any other reason, does not bear a certain value; and a previous estimation may be revised, if the administrator thinks fit, by reference to any change of circumstances or to information becoming available to the administrator. (2) The creditors shall be informed of the estimation and any revision of it. (3) Where the value of a debt is estimated under this rule, the amount provable in the administration in the case of that debt is that of the estimate for the time being.

Fixing of remuneration Fixing of remuneration 196.(1) The administrator is entitled to receive remuneration for services given in respect of:

(a) the pursuit of: (i) Objective A in a special administration (bank insolvency), (ii) Objective A in a special administration (bank administration), and (iii) Objectives 2 and 3,

to be paid out of the estate of the investment bank; and (b) the pursuit of Objective 1 to be paid out of the client assets held by the investment bank.

(2) The basis of remuneration in both cases in paragraph (1) shall be fixed:

(a) as a percentage of the value of the property with which the administrator has to deal; or (b) by reference to the time properly given by the insolvency practitioner (as administrator) and his staff in attending to matters arising in the special administration; or (c) as a set amount.

(3) The basis of remuneration may be fixed as any one or more of the bases set out in paragraph (2), and different bases may be fixed in respect of different things done by the administrator. (4) Where the basis of remuneration is fixed as set out in paragraph (2)(a), different percentages may be fixed in respect of different things done by the administrator. (5) It is for the creditors’ committee (if there is one) to determine for each case:

(a) which of the bases set out in paragraph (2) are to be fixed and (where appropriate) in what combination under paragraph (3), and (b) the percentage or percentages (if any) to be fixed under paragraphs (2)(a) and (4) and the amount (if any) to be set under paragraph (2)(c).

(6) In making the determinations, the committee shall have regard to the following matters:

(a) the complexity (or otherwise) of the case; (b) any respects in which, in connection with the pursuit of either Objective 1, or of Objectives A, 2 and 3, there falls on the administrator any responsibility of an exceptional kind or degree; (c) the effectiveness with which the administrator appears to be carrying out, or to have carried out, their duties as such; and (d) the value and nature in each case of the property with which the administrator has to deal.

(7) If there is no creditors’ committee, or the committee does not make the requisite determinations, the basis of the administrator’s remuneration in each case may be fixed (in accordance with paragraphs (2) to (5)) by resolutions of a meeting of creditors and clients, or in respect of the administrator’s remuneration for the purpose outlined in rule 196(1)(b), a meeting of clients and paragraph (6) applies to them as it does to the creditors’ committee.

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(8) If not fixed as above, the basis of the administrator’s remuneration in either case shall, on the administrator’s application, be fixed by the court and the provisions above apply as they do to the fixing of the basis of remuneration by the creditors’ committee; but such an application may not be made by the administrator unless the administrator has first sought fixing of the basis in accordance with paragraph (5) or (7), and in any event may not be made more than 18 months after the date of the administrator’s appointment. (9) Where there are joint administrators, it is for them to agree between themselves as to how the remuneration payable should be apportioned. Any dispute arising between them may be referred:

(a) to the court, for settlement by order; or (b) to the creditors’ committee or a meeting of creditors and clients, for settlement by resolution.

(10) If the administrator is a solicitor and employs their own firm, or any partner in it, to act on behalf of the investment bank, profit costs shall not be paid unless this is authorised by the creditors’ committee, the meeting of the creditors and clients, or the court.

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Regulation 3 of the Financial Collateral Arrangements (No. 2) Regulations 2003

“Title Transfer Financial Collateral Arrangement” means an agreement or arrangement, including a repurchase agreement, evidenced in writing, where:

(a) the purpose of the agreement or arrangement is to secure or otherwise cover the relevant financial obligations owed to the collateral-taker;

(b) the collateral-provider transfers legal and beneficial ownership in financial collateral to a collateral-taker on terms that when the relevant financial obligations are discharged the collateral-taker must transfer legal and beneficial ownership of equivalent financial collateral to the collateral-provider; and

(c) the collateral-provider and the collateral-taker are both non-natural persons.

For the purpose of the definition of Title Transfer Financial Collateral Arrangement above:

“ financial collateral” means either cash or financial instruments where:

• “cash” means money in any currency, credited to an account, or a similar claim for repayment of money and includes money market deposits and sums due or payable to, or received between the parties in connection with the operation of a financial collateral arrangement1 or a close-out netting provision2; and

• “ financial instruments” means:

(a) shares in companies and other securities equivalent to shares in companies;

(b) bonds and other forms of instruments giving rise to or acknowledging indebtedness if these are tradeable on the capital market; and

(c) any other securities which are normally dealt in and which give the right to acquire any such shares, bonds, instruments or other securities by subscription, purchase or exchange or which give rise to a cash settlement (excluding instruments of payment);

and includes units of a collective investment scheme within the meaning of the Financial Services and Markets Act 20003, eligible debt securities within the meaning of the

1“financial collateral arrangement” means a title transfer financial collateral arrangement or a security financial collateral arrangement, whether or not these are covered by a master agreement or general terms and conditions 2 “close-out netting provision” means a term of a financial collateral arrangement, or of an arrangement of which a financial collateral arrangement forms part, or any legislative provision under which on the occurrence of an enforcement event, whether through the operation of netting or set-off or otherwise:

(a) the obligations of the parties are accelerated to become immediately due and expressed as an obligation to pay an amount representing the original obligation’s estimated current value or replacement cost, or are terminated and replaced by an obligation to pay such an amount; or

(b) an account is taken of what is due from each party to the other in respect of such obligations and a net sum equal to the balance of the account is payable by the party from whom the larger amount is due to the other party.

3 S235 Financial Services and Markets Act 2000:“Collective Investment Schemes” means: (1) any arrangements with respect to property of any description, including money, the purpose or effect of which is to enable persons taking part in the arrangements (whether by becoming owners of the property or any part of it or otherwise) to participate in or receive profits or income arising from the acquisition, holding, management or disposal of the property or sums paid out of such profits or income. (2) The arrangements must be such that the persons who are to participate (“participants”) do not have day-to-day control over the management of the property, whether or not they have the right to be consulted or to give directions. (3) The arrangements must also have either or both of the following characteristics: (a) the contributions of the participants and the profits or income out of which payments are to be made to them are pooled;

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Uncertificated Securities Regulations 2001,4 money market instruments, claims relating to or rights in or in respect of any of the financial instruments included in this definition and any rights, privileges or benefits attached to or arising from any such financial instruments.

“non-natural person” means any corporate body, unincorporated firm, partnership or body with legal personality except an individual, including any such entity constituted under the law of a country or territory outside the United Kingdom or any such entity constituted under international law.

“ relevant financial obligations” means the obligations which are secured or otherwise covered by a financial collateral arrangement, and such obligations may consist of or include:

(a) present or future, actual or contingent or prospective obligations (including such obligations arising under a master agreement or similar arrangement);

(b) obligations owed to the collateral-taker by a person other than the collateral-provider;

(c) obligations of a specified class or kind arising from time to time.

(b) the property is managed as a whole by or on behalf of the operator of the scheme. (4) If arrangements provide for such pooling as is mentioned in subsection (3)(a) in relation to separate parts of the property, the arrangements are not to be regarded as constituting a single collective investment scheme unless the participants are entitled to exchange rights in one part for rights in another. (5) The Treasury may by order provide that arrangements do not amount to a collective investment scheme: (a) in specified circumstances; or (b) if the arrangements fall within a specified category of arrangement.

4 Uncertificated Securities Regulations 200:“Eligible Debt Security” means:

(a) a security that satisfies the following conditions: (i) the security is constituted by an order, promise, engagement or acknowledgement to pay on demand, or at a determinable future time, a sum in money to, or to the order of, the holder of one or more units of the security; and (ii) the current terms of issue of the security provide that its units may only be held in uncertificated form and title to them may only be transferred by means of a relevant system; (b) an eligible Northern Ireland Treasury Bill; or (c) an eligible Treasury bill; “eligible Northern Ireland Treasury Bill” means a security: (a) constituted by a Northern Ireland Treasury Bill issued in accordance with the Exchequer and Financial Provisions Act (Northern Ireland) 1950 as modified by Part 2 of Schedule 1 to the Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003; and (b) whose current terms of issue provide that its units may only be held in uncertificated form and title to them may only be transferred by means of a relevant system; “eligible Treasury bill” means a security: (a) constituted by a Treasury bill issued in accordance with the 1877 Act and the Treasury Bills Regulations 1968 as modified by Part 1 of Schedule 1 to the Uncertificated Securities (Amendment) (Eligible Debt Securities) Regulations 2003; and (b) whose current terms of issue provide that its units may only be held in uncertificated form and title to them may only be transferred by means of a relevant system.

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SCHEDULE 12

DELIVERY COSTS FOR THE RETURN OF CLIENT ASSETS

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MF Global UK Limited (in special administration)

Specific Costs Delivery Costs for the return of Client Assets

The charges set out below are based on the charges the Company are currently subject to in relation to the particular actions outlined. As a consequence, all charges set out below may be subject to change. Client Asset Claimants will be informed of any changes to the charges set out below prior to execution of any transfer or liquidation. Transfer Option Charges If a Claimant elects to have its Client Assets transferred to a different Custodian, the following charges will apply based on whether the Client Asset is an Electronically Held Security or a Physically Held Security. The charges set out below are based on the instructions to transfer Client Assets which require no amendments. If there is a change to the transfer instructions, further charges will apply.

• Electronically Held Securities: The charges for transferring Electronically Held Securities to another Custodian are as follows:

Location of Securities Cost in GBP Securities held at UK depository 1.00 per stock line1 Securities held in all other countries 35.00 per stock line2

• Physically Held Securities: For Physically Held Securities, there will be a charge to re-

register the relevant Securities in the name of the Claimant. This will be as follows:

Cost in GBP Re-registration charge for Physically Held Securities

50.00 per [ ]

Liquidation Option Charges If a Claimant elects to liquidate a Client Asset and have the proceeds of that liquidation returned to him/her, the Claimant will be charged a commission for the execution of the sale transaction(s). This will be a basis point charge based on the consideration of the transaction. The return of the proceeds of that liquidation to a Claimant will also incur wire transfer charges. An estimate of these charges is provided below. Please note that the final Specific Costs will vary per Claimant and per Client Asset. Final liquidation costs can only be determined once the Client Assets have been liquidated (as the

1 Please note that because the Company still maintains a membership to the depository and can submit automated instructions without incurring additional fees from settlement banks, the fee for returning Securities in the UK is significantly lower than the fee the Administrators must charge in respect of the settlement of Securities held outside of the UK.

2 Please note that this charge is based on the fact that the Company’s settlement agents are currently not accepting swift instructions from the Company as a result of the Company having entered into special administration. This means that, the Administrators will incur additional fees on top of the standard settlement charges. Please note that this figure also includes a provision to accommodate additional fees charged in instances where the instructions must be resubmitted.

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commission charge is based on the market value of the Client Asset at the point of liquidation). Wire transfer charge for the payment of funds to Claimants

£8.00

Commission charge by broker for the liquidation of Client Assets

5 Basis Points