HomeMy WebLinkAbout05-22-14 e
J 1505610140
REV-1500 EX �°,_,°>
OFFICIAL USE ONLY
PA Department of Revenue
Bureau of Individual Taxes County Code Year File Number
Po Box 2soso� INHERITANCE TAX RETURN I, / ���/�
Harrisbum PA 17128-0601 RESIDENT DECEDENT � `� Jl!'
ENTER DECEDENT INFORMATION BELOW
Social Security Number Date of Death MMDDYYYY Date of Birth MMDDYm�
0 3 0 5 2 0 1 4 1 0 1 3 1 9 1 5
DecedenYs Last Name Suffix DecedenYs First Name MI
U H L M A N N D 0 R 0 T H Y J
(If Applicable)Enter Surviving Spouse's Information Below
Spouse's Last Name Suffix Spouse's First Name MI
Spouse's Social Security Number
THIS RETURN MUST BE FILED IN DUPLICATE WITH THE
REGISTER OF WILLS
FILL IN APPROPRIATE OVALS BELOW
� 1.Original Return � 2.Supplemental Return � 3.Remainder Return(date of death
priorto 12-13-82)
� 4.Limited Estate � 4a.Future Interest Compromise(date of � 5.Federai Estate Tax Return Required
death after 12-12-82)
� 6.Decedent Died Testate � 7.Decedent Maintained a Living Trust _ 8.Total Number of Safe Deposit Boxes
- (Attach Copy of Will) (Attach Copy of Trust)
� 9.Litigation Proceeds Received � 10.Spousal PoveRy Credit(date of death � 11.Election to tax under Sec.9113(A)
between 12-31-91 and 1-1-95) (Attach Sch.O)
CORRESPONDENT-THIS SECTION MUST BE COMPLETED.ALL CORRESPONDENCE AND CONFIDENTIAL TAX INFORMATIQN SHOULD BE DIRECTED T0:
Name Daytime Telephone Number::_:� �
`=' -- �ry fTl
M A T T H E W A • M c K N I G H T 7 1 7 "."�c±�l 9 �3 s� ?�
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REGIS���t OfiWICLS USE ONLY ? ��
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First line of address : J ''~ �r'' `i
1 �:� �..` 'D •+
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I R W I N & M c K N I G H T , P • C • ' �' �T� � _
Second line of address `✓ � � r�"'
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6 0 W E S T P OM F R E T S T R E E T � �
City or Post Office StBt@ ZIP COde DATE FILED
C A R L I S L E P A 170 13
CorrespondenYs e-mail address:
Under penalties of perjury,I declare that I have examined this retum,including accompanying schedules and statements,and to the best of my knowledge and belief,
it is true,coRect and complete.Declaration of preparer other than the personal representative is based on all information of which preparer has any knowledge.
SIGNATU, fjf OF PERSON fj�SPONSIBLE F R FILING RETURN �ATE �/
oJ���;��•_ �' � �-�-� ��
ADORESS
PO BOX 935 SILVERTHORNE CO 80498
SIGNAT OF REP RER OTHER THAN REPRESENTATIVE
—.�?'�
ADDRESS ' `
60 WEST POMFRET STREET CARLISLE PA 17013
PLEASE USE ORIGINAL FORM ONLY
Side 1
� 1505610140 1505610140 J
� 1505610240
REV-1500 EX DecedenYs Social Security Number
DecedenYsName: DOROTHY J • UHLMANN
RECAPITULATION
1. Real Estate(Schedule A) �• '
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2. Stocks and Bonds(Schedule B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2• '
3. Closely Held Corporation,Partnership or Sole-Proprietorship(Schedule C) . . . . . 3. •
4. Mortgages and Notes Receivable(Schedule D) . . . . . .. . . . .. . . .. . . . . . . . . . . 4. •
5. Cash,Bank Deposits and Miscellaneous Personal Property(Schedule E). . . . . . . 5. '
6. Jointly Owned Property(Schedule F) ❑ Separate Billing Requested . . . . .. . 6. 3 5 9 3 4 . 4 4
7. Inter-Vivos Transfers&Miscellaneous Non-Probate Property 1 9 6 6 5 6 . 1 2
(Schedule G) � Separate Billing Requested . . . . .. . 7.
8. Total Gross Assets(total Lines 1 through 7) .. . . . . . . . . . . . . . . . . . . . . . . . . . 8. 2 3 2 5 9 � . 5 6
9. Funeral Expenses and Administrative Costs(Schedule H) .. . .. . . . . . . . . . . . . . 9• 6 � 3 4 . 5 3
10. Debts of Decedent,Mort a e Liabilities,and Liens Schedule I 10. 2 7 2 0 . 0 3
9 9 ( ) . . . . . . . . . . . ..
11. Total Deductions(total Lines 9 and 10) .. . . . . . .. . . . . . . . . . . . . . . . . . . . . . . 11. 8 7 5 4 . 5 6
12. Net Value of Estate(Line 8 minus Line 11) . . . . .. . . . . . . . . . . . . .. . . . . . . . . 12• 2 2 3 8 3 6 . � �
13. Charitable and Governmental BequestslSec 9113 Trusts for which
an election to tax has not been made(Schedule J) . . . . . . . .. . . . . . . . . . . . . . 13. .
14. Net Value Subject to Tax(Line 12 minus Line 13) .. . . . . . .. . . .. . . . . . .. . . 14. 2 2 3 8 3 6 . � �
TAX CALCULATION-SEE INSTRUCTIONS FOR APPLICABLE RATES
15. Amount of Line 14 taxab�e
at the spousal tax rate,or
transfers under Sec.9116
(a)(1.2)X.0 _ 0 . 0 0 15. 0 . 0 0
16. Amount of Line 14 taxable
at�inea�rate X.045 2 2 3 8 3 6 . 0 0 �g. 1 0 0 7 2 . 6 2
17. Amount of Line 14 taxable
at sibiing rate X.12 � . � � 17. 0 . � �
18. Amount of Line 14 taxable
at collateral rate X.15 0 • 0 0 1 g. � • 0 0
, 19. TAX DUE . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19. 1 0 0 7 2 . 6 2
20. FILL IN THE OVAL IF YOU ARE REQUESTING A REFUND OF AN OVERPAYMENT �
Side 2
� 1505610240 15�561024� J
REV-1500 EX Page 3 File Number
Decedent's Complete Address: o 0
DECEDENT'S NAME
DOROTHYJ. UHLMANN
STREET ADDRESS
210 BIG SPRING ROAD
GREEN RIDGE VILLAGE
CITY STATE ZIP
NEWVILLE PA 17241
Tax Payments and Credits:
1. Tax Due(Page 2,Line 19) (1) 10,072.62
2. Credits/Payments
A.Prior Payments
B.Discount 503.63
Total Credits(A+B) (2) 503.63
3. Interest
(3)
4. If Line 2 is greater than Line 1+Line 3,enter the difference.This is the OVERPAYMENT.
Fill in oval on Page 2,Line 20 to request a refund. (4) 0.00
5. If Line 1 +Line 3 is greater than Line 2,enter the difference.This is the TAX DUE. (5) 9,568.99
Make check payable to: REGISTER OF WILLS, AGENT
PLEASE ANSWER THE FOLLOWING QUESTIONS BY PLACING AN "X" IN THE APPROPRIATE BLOCKS
1. Did decedent make a transfer and: Yes No
a. retain the use or income of the property transferred: ...................................................................... ❑ ❑X
b. retain the right to designate who shall use the property transferred or its income; ............................... ❑ ❑X
c. retain a reversionary interest;or ................................................................................................ ❑ ❑X
d. receive the promise for life of either payments,benefits or care? ....................................................... ❑ �
2. If death occurred after December 12,1982,did decedent transfer property within one year of death
without receiving adequate consideration? ....................................................................................... ❑ 0
3. Did decedent own an"in trust for"or payable-upon-death bank account or security at his or her death? ......... ❑ �
4. Did decedent own an individual retirement account,annuity or other non-probate propeRy,which
contains a beneficiary designation?.................................................................................................. � ❑
IF THE ANSWER TO ANY OF THE ABOVE QUESTIONS IS YES,YOU MUST COMPLETE SCHEDULE G AND FILE IT AS PART OF THE RETURN.
For dates of death on or after July 1, 1994,and before Jan. 1, 1995,the tax rate imposed on the net value of transfers to or for the use of the surviving spouse is
3 percent[72 P.S.§9116(a)(1.1)(i)].
For dates of death on or after Jan. 1, 1995,the tax rate imposed on the net value of transfers to or for the use of the surviving spouse is 0 percent
[72 P.S.§9116(a)(1.1)(ii)].The statute does not exempt a transfer to a suroiving spouse from tax,and the statutory requirements for disclosure of assets and
filing a tax return are still applicable even if the surviving spouse is the only beneficiary.
For dates of death on or after July 1,2000:
• The tax rate imposed on the net value of transfers from a deceased child 21 years of age or younger at death to or for the use of a natural parent,an
adoptive parent or a stepparent of the child is 0 percent[72 P.S.§9116(a)(1.2)].
• The tax rate imposed on the net value of transfers to or for the use of the decedenYs lineal beneficiaries is 4.5 percent,except as noted in
72 P.S.§9116(1.2)[72 P.S.§9116(a)(1)].
• The tax rate imposed on the net value of transfers to or for the use of the decedenYs siblings is 12 percent[72 P.S.§9116(a)(1.3)].A sibling is defined,under
Section 9102,as an individual who has at least one parent in common with the decedent,whether by blood or adoption.
REV-1509 EX+(01-10)
pennsylvania SCHEDULE F
DEPARTMENT OF REVENUE �OINTLY-OWNED PROPERTY
INHERITANCE TAX RETURN
RESIDENT DECEDENT
ESTATE OF: FILE NUMBER:
DOROTHY J. UHLMANN 0 0
If an asset was made joinUy owned within one year of the decedenYs date of death,it must be reported on Schedule G.
SURVIVING JOINT TENANT(S)NAME(S) ADDRESS RELATIONSHIP TO DECEDENT
A. GENE C. UHLMANN PO BOX 935 SON
SILVERTHORNE, CO 80498
B:
C.
JOINTLY-OWNED PROPERTY:
LETTER DATE DESCRIPTION OF PROPERTY °k OF DATE OF DEATH
ITEM FOR JOINT MADE INCLUDE NAME OF FINANCIAL INSTITUTION AND BANK ACCOUNT NUMBER OR SIMILAR DATE OF DEATH DECEDENT'S VALUE OF
NUMBER TENANT JOINT IDENTIFYING NUMBER. ATTACH DEED FOR JOINTLY-HELD REAL ESTATE. VALUE OF ASSET �NTEREST DECEDENT'S INTEREST
1. A. 1 ST BAN K 71,868.87 50. 35,934.44
CHECKING ACCOUNT#4064568877
TOTAL(Also enter on Line 6,Recapitulation) $ 35 934.44
If more space is needed,use additional sheets of paper of the same size.
REV-1510 EX+(08-09)
pennsylvania SCHEDULE G
DEPARTMENT OF REVENUE INTER•VIVOS TRANSFERS AND
INHERITANCE TAX RETURN MISC. NON-PROBATE PROPERTY
RESIDENT DECEDENT
ESTATE OF FILE NUMBER
DOROTHYJ. UHLMANN 0 0
This schedule must be completed and filed if the answer to any of questions t through 4 on page three of the REV-1500 is yes.
DESCRIPTION OF PROPERTY DATE OF DEATH %OF DECD'S EXCLUSION TAXABLE
ITEM INCLUDE THE NAME OF THE TRANSFEREE,THEIR RELATIONSHIP TO DECEDENT AND
NUMBER THEDATEOFTRANSFER.ATTACHACOPYOFTHEDEEDFORREALESTATE. VALUEOFASSET INTEREST QFAPPLICABLE� VALUE
1. SPC FINANCIAL, INC. 196,656.12 100.00 196,656.12
RAYMOND JAMES
TOD ACCOUNT#19017982
BENEFICIARIES: KATHRYN U. O'BRYANT
GARY LEE UHLMANN
GENE C. UHLMANN
LYNN ALYCE UHLMANN
TOTAL (Also enter on Line 7,Recapitulation) $ 196 656.12
If more space is needed,use additional sheets of paper of the same size.
REV-1511 EX+(10-09)
pennsylvania SCHEDULE H
DEPARTMENT OF REVENUE FUNERAL EXPENSES AND
INHERITANCETAXRETURN ADMINISTRATIVE COSTS
RESIDENT DECEDENT
ESTATE OF FILE NUMBER
DOROTHYJ. UHLMANN 0 0
DecedenYs debts must be reported on Schedule l.
ITEM
NUMBER DESCRIPTION AMOUNT
A. FUNERAL EXPENSES:
1. EGGER FUNERAL HOME 2,163.00
B. ADMINISTRATIVE COSTS:
1. Personal Representative Commissions:
Name(s)of Personal Representative(s)
Street Address
City State ZIP
Year(s)Commission Paid:
2, AttomeyFees: IRWIN & McKNIGHT, P.C. 2,500.00
3. Family Exemption:(If decedenYs address is not the same as claimanYs,attach explanation.)
Claimant
Street Address
City State ZIP
Relationship of Claimant to Decedent
4• Probate Fees:
5 Accountant Fees:
6. TaxRetumPreparerFees: SELLA& MARTINIC 330.00
7. GENE C. UHLMANN - REIMBURSEMENT OF TRAVEL EXPENSES 1,041.53
TOTAL(Also enter on Line 9,Recapitulation) $ 6 034.53
If more space is needed,use additional sheets of paper of the same size.
REV-1512 EX+(12-12)
pennsylvania SCHEDULE I
DEPARTMENT OF REVENUE DEBTS OF DECEDENT�
INHERITANCETAXRETURN MORTGAGE LIABILITIES 8�LIENS
RESIDENT DECEDENT
ESTATE OF FILE NUMBER
DOROTHYJ. UHLMANN 0 0
Report debts incurred by the decedent prior to death that remained unpaid at the date of death,including unreimbursed medical expenses.
ITEM VALUE AT DATE
NUMBER DESCRIPTION OF DEATH
1. A&A STORAGE-STORAGE 95.40
2. CUMBERLAND GOODWILL FIRE RESCUE-AMBULANCE 70.40
3. GREEN RIDGE VILLAGE- NURSING 2,084.97
4. QUANTUM IMAGING- MEDICAL 10.90
5. MILLENNIUM PHARMACY SYSTEMS - MEDICAL 102.36
6. PA DEPARTMENT OF REVENUE - INCOME TAXES 356.00
TOTAL(Also enter on Line 10,Recapitulation) $ 2 720.03
If more space is needed, insert additional sheets of the same size.
REV-1513 EX+(01-10)
pennsylvania SCHEDULE J
DEPARTMENT OF REVENUE BENEFICIARIES
INHERITANCE TAX RETURN
RESIDENT DECEDENT
ESTATE OF: FILE NUMBER:
DOROTHY J. UHLMANN 0 0
RELATIONSHIP TO DECEDENT AMOUNT OR SHARE
NUMBER NAME AND ADDRESS OF PERSON(S)RECEIVING PROPERTY Do Not List Trustee(s) OF ESTATE
I TAXABLE DISTRIBUTIONS pnclude outright spousal distributions and transfers under
Sec.9116(a)(1.2).]
1. KATHRYN U. 0'BRYANT Lineal
1/4 RAYMOND JAMES
ACCOUNT
2. GARY LEE UHLMANN Lineal
1/4 RAYMOND JAMES
ACCOUNT
3. GENE C. UHLMANN Lineal
1/4 RAYMOND JAMES
ACCOUNT/JT. ACCT
4. LYNN ALYCE UHLMANN Lineal
1/4 RAYMOND JAMES
ACCOUNT
ENTER DOLLAR AMOUNTS FOR DISTRIBUTIONS SHOWN ABOVE ON LINES 15 THROUGH 18 OF REV-150G COVER SHEET,AS APPROPRIATE.
II. NON-TAXABLE DISTRIBUTIONS:
A.SPOUSAL DISTRIBUTIONS UNDER SECTION 9113 FOR WHICH AN ELECTION TO TAX IS NOT TAKEN:
1.
B.CHARITABLE AND GOVERNMENTAL DISTRIBUTIONS:
1.
TOTAL OF PART II-ENTER TOTAL NON-TAXABLE DISTRIBUTIONS ON LINE 13 OF REV-1500 COVER SHEET. $
If more space is needed,use additional sheets of paper of the same size.
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DOROTHY UHLMANN
PO BOX 935
SILVERTHORNE,CO 80498 DATE
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.J L� J ItAYMOND JAMES'
�'lyj�G1�-/ FINANCIAi, SERVICES, �N�. March 31 to April 30, 2014
ING� M�mhor FINIIA/817C Account#19017982
A Registered Irrves�ner�Advisor
E. GEOFFREY SELLA
Raymond James Financial Services, Inc.
3202 TOWER OAKS BLVD. � SUITE 400 � ROCKVILLE, MD 20852
(301) 7?0-2163
Edward.Sella�RaymondJames.com
��il��l�l�llii�ll��ll�l�liili������l�ll�l��ililii���l�lil��li����
00094821 01 AT 0.403 01 TR 00384 RJES3D06 000000
Raymond James Client Services
DOROTHY J UHLMANN 800-647-SERV(7378)
� PO BOX 935 Monday- Friday 8 a.m. to 6 p.m. ET
SILVERTHORNE CO 80498-0935356
Online Account Access
raymondjames.com/investoraccess
�. . �� � . • •1 • :
This Statement Year to Date
Value This Statement Beginning Balance $196,656.12� $214,206.70
Deposits $0.00 $0.00
$195,269.81 Income $9.06 $438.28
Withdrawals $0.00 $(21,Q00.00)
Expenses $(607.81) $(1,262.00)
Last Statement Prior Year-End Change in Value $(787.56) $2,866.83
$196,656.12 $214,206.70 Ending Balance $195,269.81 $195,269.81
• • . • -
• Your primary objective is Income, with a medium risk tolerance and a time horizon less than 5 years.
Your secondary objective is Growth, with a medium risk tolerance and a time horizon less than 5 years.
�Y yt Account carried by Raymond James 8�Associates, Inc�Member New York Stock Exchange/SIPC '
Page 1 of 6
•�� 1tAYMONDJAMES March 31 to A ril 30, 2014
�l��Cl�� FINANCIAL SERYICES, INC. �
NG' Yimeir FINR11/81P0 Account#19017962
A Registered Investmerrt Advisor
For more information,
• �' ' ' visit raymondjames.com/investoraccess
Estimated
Quantity Price Value Gain or(Loss)° Annual Income
Cash 8� Cash Alternatives
Raymond James Bank 58,45B.76 $0.84
DepositProgram �
0.01°h
Regions Bank $4,662.11
Raymond James Bank N.A. $3,774.65
Cash 8 Cash Alternatives Total $8,456.76 $U.84
Your bank priority state: CO
� Please See the Raymond James Bank Deposit Program on the Understanding Your Statement page.
Mutual Funds
ISHARES MSCI SZ CAP 150.000 $35.030 s5,254.50 $709.60 $90.60
ETF (EWL)
ISHARES MSCI SWEDEN 150.000 $36.870 ;5,530.50 $1,015.60 $186.30
ETF (EWD)
ISHARES MSCI 175.000 $31.680 55,544.00 $847.85 $76.13
GERMANY ETF (EWG)
�SHARES TIPS BD ETF 100.000 $113.580 s11,358.00 $(251.82) $118.10
(TIP)
ISHARES TRANS AVG 30.000 $137.180 ;4,115.40 $259.50 $37.02
ETF (IYT)
ISHARES S&P 500 GRWT 45.000 $100.000 s4,500.00 $2,104.52 $64.26
ETF (IVW)
ISHARES MSCI EAFE ETF 200.000 $68.320 s13,664.00 $2,109.50 $340.60
(EFA)
ISHARES CORE S&P MCP 50.000 $135.300 ;6,765.00 $2,780.36 $90.90
ETF (IJH)
ISHARES NA TEC-SFTWR 75.000 $79.330 $5,949.75 $1,489.80 $22.95
ETF (IGV)
ISHARES N AMER TECH 75.000 $89.550 56,716.25 $2,256.30 $56.93
ETF (IGM)
ISHARES U.S. CNSM SV 40.000 $118.750 54,750.00 $214.10 $40.08
ETF (IYC)
ISHARES S&P MC 400GR 25.000 $148.670 ;3,716.75 $1,908.01 $36.08
ETF (IJK)
ISHARES S&P MC 400VL 35.000 $120.150 54,205.25 $1,789.86 $62.51
ETF (IJJ)
ISHARES U.S. INDS ETF 50.000 $101.130 s5,056.50 $1,696.55 $69.05
(IYJ)
ISHARES U.S. F1N SVC SO.D00 $81.230 54,061.50 $348.21 $45.90
ETF (IYG)
Page 2 of 6
•�� RAYMONDJAMES' March 31 to Anril 30 2014
�'r�r�nc1,��N�. FINANCIAL SEttVICES, INC. ~ �
u.meo�FiNneia�va Account#19017882
A Registered InvEStmeiY Advisor
• • • • • • '•
Estimated
Quantity Price Value Gain or(Loss)° Annual Income
Mutual Funds (continued)
ISHARES U.S. CNSM GD 75.000 $96.810 $7,260.75 $2,275.80 $136.80
ETF (IYK)
ISHARES SP SMCP600VL 40.000 $110.850 $4,434.00 $2,104.68 $57.36
ETF (IJS)
ISHARES SP SMCP600GR 30.000 $114.840 $3,445.20 $1,878.21 $24.66
ETF (1JT)
ISHARES MRNGSTR 50.000 $82.920 $4,14B.00 $1,471.85 $102.70
LG-CP VL (JKF)
ISHARES U.S. BR-DEAL 110.000 $37.420 $4,116.20 $(90.47) $51.04
ETF (IAI)
ISHARES US HLTHCR PR 75.000 $94.790 $7,109.25 $1,956.85 $16.58
ETF {IHF)
ISHARES U.S. PHARMA 50.000 $129.280 $6,464.00 $3,179.17 $61.65
ETF (IHE)
POWERSHARES ETF 500.000 $26.400 $13,200.00 $665.45 $377.00
TRUST II DWA
DEVELOPED MKTS
TECHNICAL LEADERS
(PIZ)
GUGGENHEIM S&P 500 550.000 $73.270 $40,298.50 $9,063.64 $542.85
EQUAL WEIGHT ETF
(RSP)
WISDOMTREE TRUST 75.000 $68.690 $5,151.75 $787.79 $121.65
LARCAP DIVIDEND FUND
(DLN}
Mutual Funds Tofal $186,813.06 $42,590.91 $2,829.70
Portfolio Total $195,269.81 $42,590.91 $2,830.54
° Please see Cost Basis on the Understanding Your Statement page.
Date Activity Type Description Quantity Amount
Income
04/25/2014 Dividend- WISDOMTREE TRUST LARCAP $9.00
Taxable DIVIDEND FUND (DLN)
$.12000 per share x 75.000 shares
04/30/2014 Interest at RJ Raymond James Bank Deposit $0.06
Bank Deposit Program
Program
Income Total $9.06 '
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�l��n•�� RAYMONDJAN�ES' March 31 to A ril 30 2014
G1�� FINANCIAL SERVICES, INC. � '
► 9 ML, r.me..FINRI1/81V0 ACCOUnt#19017982
��
A Registered InvestmerdAdvisor
• � • '•
Date Activity Type Description Quantity Amount
Expenses
04/15/2014 Fee Cash $(607.81)
2Q Fees for 09l/365 Days at
1.24%on$196,656.15
Expenses Totai $(607.81 j
Purchases, Sales and Redemptions
04/10/2014 Sale ISHARES NASDQ BIOTEC ETF (15.000) $3,359.94
(IBB)
Cash Sweep Transfers
04/10/2014 Transfer To Raymond James Bank Deposit $(3,359.94)
Program
04/15/2014 Transfer From Raymond James Bank Deposit $607.81
Program
04/25/2014 Transfer To Raymond James Bank Deposit $(9.00)
Program
Page 4 of 6
.�� �oivn�s
�'in�ncicl� FINANCIAL SERVICES, �N�. March 31 to April 30, 2014
�,,�� Y�mh�r FINNR191P0 Account#19017982
A Registered Inveslme�Y Advisor
• ' • • •
Raymond James&Associates,Inc.(RJ&A),member New York Stock Exchange/SIPC,carries your account and acts as custodian for funds and
securities deposited with us,directly by you,through Raymond James Financial Services,Inc.(RJFS},or as a result of transactions we process for
your account.RJFS maintains written agreements with financial institutions.Unless otherwise specified,products purchased through RJFS or held
at RJ&A are not insured by the FDIC,NCUA,other financial institution insurance or government agencies,are not deposits or other obligations of
snd are not guaranteed by the financial institution,and are subject to investment risks,including possible loss of principal invested.Our independent
financial advisors may also be involved in other business entities,including their own registered investment advisor firms and/or independent
insurance relationships,unrelated to their association with RJFS.These entities are completely independent of Raymond James.RJFS serves as the
broker/dealer of record for your investment securities accounts only.Checks for the purchase of investment securities should be made payable to
Raymond James&Associates unless you are submitting your investment directly to a recognized mutual fund or insurance company.Information
about commissions,service fees and other charges related to your transactions is included on your transaction confirmations.All financial products
you hsve purchased or sold through your Raymond James financial advisor should appear on a trade confirmation and your account statements.
Please contact your financiai advisor and Raymond James Client Services at 800-647-7378 if you do not see any such purchase or sale reported on
your trade confirmation or account statements;if you have questions about the securities positions,balances and transactions in your account;or if
you note any other inaccuracy on your account statement.Any oral communications should be reconfirmed in writing to further protect your rights, .
inciuding rights under the Securities Investor Protection Act. Raymond James'financial statement is available for your inspection at its offices or at
raymondjames.com, or a copy will be mailed upon your written request.All other inquiries,including updates to your investment profile and
questions abaut the following information regarding the investments held in your account,should be directed to your financial advisor.
Raymond James International Headquarters�880 Csrillon Parkway�St.Petersburg,FL 33716�raymondjames.com
Securities Investor Protection Corporation-Raymond James& information only and shouid not be relied upon for tax reporting
Associates,inc.is a member of the Securities Investor Protection purpases.
Corporation(SIPC),which protects securities customers of its
members up to$500,000,including$250,000 for claims for cash.An A missing G/L calculation indicates that some or all of the tax lots for
explanatory brochure is available upon request by calling thst position are missing cost basis.Please contact your financial
202-371-8300 or visiting sipc.org.Raymond James&Associates,Inc. advisor to have missing cost basis information added to your account.
has purchased excess SIPC coverage through various syndicates of For securities classified as Grantor or Ro alt Trusts,Master Limited
Lloyd's,a London-based firm.Excess SIPC coverage is fully protected Partnerships or other widely held fixed income trusts,cost basis is not
by the Lloyd's trust funds and Lioyd's Central Fund.The additional
protection currently provided has an aggregate firm limit of$750 adjusted.These securities receive principai payments or distributions
million,including a sub-limit of$1.9 million per customer for cash above that are classified differently by the issuer at the end of the year.Clients
basic SIPC for the wrongful abstraction of customer funds.Account should continue to rely on the issuer information for both cost basis
protection applies when a SIPC-member firm fails financially and is adjustments as well as proceeds adjustments for these securities.For
unable to meet obligations to securities clients,but it does not protect this reason the gain/loss displayed will be unadjusted and is not a true
against market fluctuations. indicator of the investment return. Any adjustment to sales proceeds
will be reflected on your 1099.
Raymond James&Associates,Inc.and Raymond James Financial Effective Janusry 1,2011,Raymond James reports adjusted cost
Services,Inc.are affiliated with Raymond James Bank,Nationai
Association(N.A.),member FDIC.Unless otherwise specified,products basis for securities currently covered by the Emergency Economic
purchased from or held at Raymond James&Associates or purchased Stabilization Act of 2008 to the IRS on Form 1099-B. Raymond James
from Raymond James Financial Services are not insured by the FDIC, Will default to the first-in,first-out(FIFO}cost basis accounting method
are not deposits or other obligations of Raymond James Bank,N.A., for trades and transfers unless a different method has been selected.
are not guaranteed by Raymond James Bank,N.A.,and are subject to Adjustments made to your cost basis throughout the year may cause
investment risks,inciuding possible loss of the principal invested. the information displayed on the client statement to differ from what is
reported on the 1099-B which is provided to the IRS at the end of the
FINRA Disclosure-For additional background information on any firm
year.
or representative registered with the Financial Industry Regulatory For tax lots or securities that are not covered by the Emergency
Authority(FINRA},please contact FINRA at 500-289-9999 or finra.org Economic Stabilization Act of 2008,cost basis information may not be
and request the public disctosure program brochure. available,may have been estimated by you or your financial advisor,or
may have been obtained from third-party sources,and in these
Availability of Free Credit Balances -In accordance with applicable instances,Raymond James cannot guarantee its accuracy.
law,rules and regulations,your free credit balance is not segregsted Information for uncovered positions will not be reported to the IRS.
and we can use these funds in our business.You have the right to
receive,in the normal course of business,ftny free credit balance and Client Interest Program-The Client Interest Program(CIP}is a
any fully paid securities to which you are entitled,subject to any short-term alternative for funds awaiting investment.As required by the
obiigations you owe in any of your accounts. U.S.Securities and Exchange Commission,Raymond James
separates a significant portion of CIP funds held for the exclusive
Cost Basis-Investment gain or toss reflects the unrealized gain or benefit of clients from funds used in the company's business
loss using adjusted cost basis.Adjusted cost basis may or may not operations.This portion of CIP funds are,by regulation,required to be
reflect adjustments for return of principal/capital or plsced in overnight repurchase agreements that are fully collateralized
accretion/amortization. Reinvestments of dividends or capital gain by U.S.Treasury securities or deposited in qualifying trust and/or cash
distributions are included in the adjusted cost basis calculation of the accounts with major U.S.banks.The remaining balance is used in the
unrealized gain/loss with the exception of open end mutual funds.Cost company's business operations.CIP balances are included in the
basis for open end mutual funds does not include reinvested dividends coverage provided by the Securities Investor Protection Corporation
or capital gains for calculating unrealized gain or loss on this statement. (SIPC)and excess SIPC.
Ciients who have elected the average cost reporting method will have The Client Interest Program rate displayed in the Cash&Cash
the average cost per share of all ta�c lots applied to the cost basis used Alternatives section of your statement is the established rate for the
for caiculating the unrealized gein or loss.Realized gain/loss last business day of the reported month.Estimated Annual Income is
information found under the Important Messages section includes
reinvested dividend and capital gains in the calculation for all security
types.Gain or loss information is displayed on this statement for your
V: �
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Page 5 of 6
•�� /y RAYMONDJAMES' March 31 to Anril 30, 2014
�l��Cl�( fINANCIAL SERVICES, INC. ~
fN�, r.me.,FINRA/BIPG ACCOUnt#19017982
A Regislered Inve9merd Advisor
•• • • • •
calculated using this rate snd,therefore,is solely an estimated value for actual cash flows,investment yields or investment returns.Actual
the month and may not reflect your actual income. income or yield may be lower or higher than the estimated amounts.A
number of factors may'influence the actual income or yield that is
More information about CIP is available at raymondjames.com/cip. received. The amount or frequency of an issuer's dividend may
fluctuate or cease,which may cause the income and or yield of the
Raymond James Bank Deposit Program-The Raymond J.ames security to fluctuate.EIY refiects only the income generated by an
Bank Deposit Program is a multibank cash sweep program that investment. It dces not reflect changes in its price,which may
deposits available cash in your brokerage account into interest-bearing fluctuate.EAI and EIY for certain types of securities could include a
deposit accounts at one or more banks.Raymond James Bank return of principal or capital gains which could overstate the EAI and
Deposit Program balances are insured solely by the Federal Deposit EIY.Information used to caiculate Estimated Annual Income and or
Insurance Corporation(FDIC),subject to FDIC limitations and Estimated Income Yield may be obtained from third party sources and
guidelines,which are explained at fdic.gov. Raymond James cannot guarantee the accuracy of such information.
Estimated Annua�Income and or Estimated Income Yield amounts
The Raymond James Bank Deposit Program rate displayed in the shouid not be used as a financial planning tool.
Cash&Cash Alternatives section of your statement is the est:ablished
rate for the last business day of the reported month.Estimated Annual pricing-While sources used for pricing publicly traded securities are
Income is calculated using this rate and,therefore,is solely an considered reliable,the prices displayed on your statement may be
estimated value for the month and may not reflect your actual income. �sed on actual trades,bid/ask information or vendor evaluations.As
"Your bank priority state"indicates the corresponding Bank Priority List such,the prices displayed on your statement may or may not reflect
that applies to your account."RJBDP participating banks you actual trade prices you would receive in the current market.Pricing for
declined"displays the names of the banks you have designated as non-publicly traded securities is obtained from a variety of sources,
ineligible to receive your funds,which results in your funds being which may include issuer-provided information.Raymond James does
directed to the next bank on the Bank Priority List."Participating banks not guarantee the accuracy,reliability,completeness or attainability of
recently added"displays additional banks that have been added to the this information.Investment decisions should be made only after
program in the last 90 days.You have the right to designate any bank contacting your financi&I advisor.
in the program as ineligible to receive your funds by contacting your
financial advisor. Product Interest Rate Risk-Within certain packaged products(for
example,open-end mutual funds,closed-end mutual funds and
More information about the Bank Deposit Program,including the exchange traded funds),any fixed income security held in the product
current Bank Priority Lists,is available at raymondjames.comlrjbdp. portfolio is affected by several risks,including,without limitation,
interest rate,prepayment,and credit related risks. Any rise(fall)in
Estimated Annual Income and Estimated Income Yeld-The interest rates may reduce(increase)the value of the investment. An
Estimated Annual Income(EAI)and Estimated Income Yield(EIY) overview of these and other risks is available at raymondjames.com,
provided on this statement are an estimate of the income a security will finra.org,emma.msrb.org and investigatingbonds.com.
distribute during the year.These figures should not be confused with
t
Page 6 of 6