Activity Statement


Activity Statement for November 12, 2010 Expand All | Contract All | Print

INTERACTIVE BROKERS LLC, Two Pickwick Plaza, Greenwich, CT 06830
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Account Information
Name Customer LLC  
Account Alias ABCCustomer  
Account UXXXXXX  
Investment Advisor ABC Consulting Firm  
Account Type Advisor Client  
Customer Type Partnership  
Account Capabilities Portfolio Margin  
Trading Permissions SSF,Stocks,Options,Warrants,Bonds,Forex  
Base Currency USD  

Net Asset Value (NAV) In Base Currency ( November 12, 2010 )
  Current Period Prior Period  
  Total Long Short Total % Change
Cash -5,724.22 0.00 -5,724.22 7,904.43 -172.42%
Stock 991,633.50 991,633.50 0.00 1,003,488.75 -1.18%
Options 67,741.65 104,985.94 -37,244.29 50,781.56 33.40%
   Total 1,053,650.93 1,096,619.44 -42,968.51 1,062,174.74 -0.80%

Net Asset Value (NAV) Time Series ( November 12, 2010 )
Net Asset Value (NAV) Distribution
  • 1.1M
  • 0
  • 1.0M
  • 73.8K
  • 7.9K
  • 991.6K
  • 105.0K
  • -43.0K
  • -23.1K
  • -37.2K
  • -5.7K
  • Nov 11
  • Nov 12
  • Cash
  • Stock
  • Options

Mark-to-Market Performance Summary in Base ( November 12, 2010 )
    Quantity   Price   Mark-to-Market Profit and Loss
Symbol   Prev Close Close   Prev Close Close   Transaction Prior Open Corp Action Commissions Dividends Total
Stocks
SPY   8,250 8,250   121.6350 120.1980   0.00 -11,855.25 0.00 0.00 0.00 -11,855.25
      Total (Stocks) 0.00 -11,855.25 0.00 0.00 0.00 -11,855.25
Equity and Index Options
IYR 18DEC10 40 P   45 45   0.059198 0.062989   0.00 17.06 0.00 0.00 0.00 17.06
IYR 18DEC10 56 P   -9 -9   1.911637 2.146999   0.00 -211.83 0.00 0.00 0.00 -211.83
IYR 18DEC10 57 C   -10 -10   0.901852 0.64417   0.00 257.68 0.00 0.00 0.00 257.68
RUT 18DEC10 560 P   -7 -7   0.542291 0.953632   0.00 -287.94 0.00 0.00 0.00 -287.94
RUT 18DEC10 660 P   0 -3   -- 6.539919   48.02 0.00 0.00 -2.14 0.00 45.88
RUT 18DEC10 720 C   0 -7   -- 22.109593   768.60 0.00 0.00 -5.60 0.00 763.00
RUT 22JAN11 560 P   7 7   2.288353 3.349228   0.00 742.61 0.00 0.00 0.00 742.61
RUT 22JAN11 720 C   0 7   -- 31.989965   -835.54 0.00 0.00 -5.60 0.00 -841.14
SPX 17DEC11 1100 P   10 10   71.911404 79.965046   0.00 8,053.65 0.00 0.00 0.00 8,053.65
SPX 18DEC10 1075 P   -4 -4   2.671142 3.251406   0.00 -232.10 0.00 0.00 0.00 -232.10
SPX 18DEC10 1160 P   -8 -8   10.022837 15.458088   0.00 -4,348.20 0.00 0.00 0.00 -4,348.20
SPX 18DEC10 1260 C   -8 -8   5.712854 3.618187   0.00 1,675.73 0.00 0.00 0.00 1,675.73
SPX 18DEC10 850 P   20 0   0.028734 0.383436   -366.87 709.40 0.00 -21.27 0.00 321.26
SPX 20NOV10 1200 P   -5 0   6.145626 13.194446   -1,002.78 -3,524.41 0.00 -5.77 0.00 -4,532.96
SPX 20NOV10 1220 C   -5 0   6.647616 3.040775   195.39 1,803.42 0.00 -5.77 0.00 1,993.04
      Total (Equity and Index Options) -1,193.18 4,655.07 0.00 -46.14 0.00 3,415.75
   Total (All Asset Classes) -1,193.18 -7,200.18 0.00 -46.14 0.00 -8,439.50
Other Fees -84.30
   Total P/L for Statement Period -8,523.80
Time Weighted Rate of Return -0.80%

Realized & Unrealized Performance Summary in Base ( November 12, 2010 )
    Realized   Unrealized    
Symbol   S/T Profit S/T Loss L/T Profit L/T Loss Total   Profit Loss Total   Total
Stocks
SPY   0.00 0.00 0.00 0.00 0.00   288,003.85 0.00 288,003.85   288,003.85
      Total (Stocks)   0.00 0.00 0.00 0.00 0.00   288,003.85 0.00 288,003.85   288,003.85
Equity and Index Options
IYR 18DEC10 40 P   0.00 0.00 0.00 0.00 0.00   0.00 -9,390.50 -9,390.50   -9,390.50
IYR 18DEC10 56 P   0.00 0.00 0.00 0.00 0.00   0.00 -903.72 -903.72   -903.72
IYR 18DEC10 57 C   0.00 0.00 0.00 0.00 0.00   395.53 0.00 395.53   395.53
RUT 18DEC10 560 P   0.00 0.00 0.00 0.00 0.00   1,707.47 0.00 1,707.47   1,707.47
RUT 18DEC10 660 P   0.00 0.00 0.00 0.00 0.00   45.88 0.00 45.88   45.88
RUT 18DEC10 720 C   0.00 0.00 0.00 0.00 0.00   763.00 0.00 763.00   763.00
RUT 22JAN11 560 P   0.00 0.00 0.00 0.00 0.00   0.00 -2,980.53 -2,980.53   -2,980.53
RUT 22JAN11 720 C   0.00 0.00 0.00 0.00 0.00   0.00 -841.14 -841.14   -841.14
SPX 17DEC11 1100 P   0.00 0.00 0.00 0.00 0.00   0.00 -58,146.35 -58,146.35   -58,146.35
SPX 18DEC10 1075 P   0.00 0.00 0.00 0.00 0.00   2,214.83 0.00 2,214.83   2,214.83
SPX 18DEC10 1160 P   0.00 0.00 0.00 0.00 0.00   0.00 -4,135.70 -4,135.70   -4,135.70
SPX 18DEC10 1260 C   0.00 0.00 0.00 0.00 0.00   1,400.22 0.00 1,400.22   1,400.22
SPX 18DEC10 850 P   0.00 -12,324.34 0.00 0.00 -12,324.34   0.00 0.00 0.00   -12,324.34
SPX 20NOV10 1200 P   0.00 -4,921.54 0.00 0.00 -4,921.54   0.00 0.00 0.00   -4,921.54
SPX 20NOV10 1220 C   1,683.46 0.00 0.00 0.00 1,683.46   0.00 0.00 0.00   1,683.46
      Total (Equity and Index Options)   1,683.46 -17,245.88 0.00 0.00 -15,562.41   6,526.92 -76,397.94 -69,871.02   -85,433.43
   Total (All Asset Classes)   1,683.46 -17,245.88 0.00 0.00 -15,562.41   294,530.77 -76,397.94 218,132.82   202,570.41

Cash Report ( November 12, 2010 )
  Total Securities Commodities    
Base Currency Summary
Starting Cash 7,904.43 7,904.43 0.00    
   Commissions -46.14 -46.14 0.00    
   Net Trades (Sales) 18,655.32 18,655.32 0.00    
   Net Trades (Purchase) -32,153.52 -32,153.52 0.00    
   Other Fees -84.30 -84.30 0.00    
Ending Cash -5,724.22 -5,724.22 0.00    
Ending Settled Cash 7,773.98 7,773.98 0.00    
Average Debit Balance -5,724.22 -5,724.22 0.00    

Change In Position Value ( November 12, 2010 )
Stocks
Base Currency Summary
Prior Period Value 1,003,488.75  
     MTM P/L On Prior Period -11,855.25  
End Of Period Value 991,633.50  
Equity and Index Options
Base Currency Summary
Prior Period Value 50,781.56  
     Transactions 13,498.20  
     MTM P/L On Prior Period 4,655.07  
     MTM P/L On Transactions -1,193.18  
End Of Period Value 67,741.65  

Long Open Positions ( November 12, 2010 )
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Symbol Open Quantity Mult Cost Price Cost Basis Close Price Value Unrealized P/L % of NAV Code
Stocks
USD
SPY - 8,250 1 85.288443 703,629.65 120.1980 991,633.50 288,003.85 100.00  
      Total in USD   703,629.65   991,633.50 288,003.85 100.00  
   Total Stocks in USD   703,629.65   991,633.50 288,003.85    
Equity and Index Options
USD
IYR 18DEC10 40 P (Exp: 2010-12-18) - 45 100 2.149767 9,673.95 0.062989 283.45 -9,390.50 0.27  
RUT 22JAN11 560 P (Exp: 2011-01-22) - 7 100 7.607135 5,324.99 3.349228 2,344.46 -2,980.53 2.23  
RUT 22JAN11 720 C (Exp: 2011-01-22) - 7 100 33.191599 23,234.12 31.989965 22,392.98 -841.14 21.33  
SPX 17DEC11 1100 P (Exp: 2011-12-17) - 10 100 138.1114 138,111.40 79.965046 79,965.05 -58,146.35 76.17  
      Total in USD   176,344.46   104,985.94 -71,358.52 100.00  
   Total Equity and Index Options in USD   176,344.46   104,985.94 -71,358.52    

Short Open Positions ( November 12, 2010 )
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Symbol Open Quantity Mult Cost Price Cost Basis Close Price Value Unrealized P/L % of NAV Code
Equity and Index Options
USD
IYR 18DEC10 56 P (Exp: 2010-12-18) - -9 100 1.142865 -1,028.58 2.146999 -1,932.30 -903.72 5.19  
IYR 18DEC10 57 C (Exp: 2010-12-18) - -10 100 1.039698 -1,039.70 0.64417 -644.17 395.53 1.73  
RUT 18DEC10 560 P (Exp: 2010-12-18) - -7 100 3.392865 -2,375.01 0.953632 -667.54 1,707.47 1.79  
RUT 18DEC10 660 P (Exp: 2010-12-18) - -3 100 6.692865 -2,007.86 6.539919 -1,961.98 45.88 5.27  
RUT 18DEC10 720 C (Exp: 2010-12-18) - -7 100 23.199601 -16,239.72 22.109593 -15,476.72 763.00 41.55  
SPX 18DEC10 1075 P (Exp: 2010-12-18) - -4 100 8.788465 -3,515.39 3.251406 -1,300.56 2,214.83 3.49  
SPX 18DEC10 1160 P (Exp: 2010-12-18) - -8 100 10.288465 -8,230.77 15.458088 -12,366.47 -4,135.70 33.20  
SPX 18DEC10 1260 C (Exp: 2010-12-18) - -8 100 5.368465 -4,294.77 3.618187 -2,894.55 1,400.22 7.77  
      Total in USD   -38,731.79   -37,244.29 1,487.50 100.00  
   Total Equity and Index Options in USD   -38,731.79   -37,244.29 1,487.50    

Trades ( November 12, 2010 )
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Symbol Date/Time Exchange Quantity T. Price C. Price T. Amount Comm/Tax Basis Realized P/L MTM P/L Code
Equity and Index Options
USD
RUT 18DEC10 720 C 2010-11-12, 14:59:09 - -7 23.2076 22.109593 -16,245.32 -5.60 -16,239.72 0.00 768.60 P;O
   Total RUT 101218C00720000 -7     -16,245.32 -5.60 -16,239.72 0.00 768.60  
RUT 18DEC10 660 P 2010-11-12, 15:01:35 - -3 6.7000 6.539919 -2,010.00 -2.14 -2,007.86 0.00 48.02 O
   Total RUT 101218P00660000 -3     -2,010.00 -2.14 -2,007.86 0.00 48.02  
RUT 22JAN11 720 C 2010-11-12, 14:59:09 - 7 33.1836 31.989965 23,228.52 -5.60 23,234.12 0.00 -835.54 P;O
   Total RUT 110122C00720000 7     23,228.52 -5.60 23,234.12 0.00 -835.54  
SPX 20NOV10 1220 C 2010-11-12, 12:35:22 - 5 2.6500 3.040775 1,325.00 -5.77 3,014.23 1,683.46 195.39 C
   Total SPX 101120C01220000 5     1,325.00 -5.77 3,014.23 1,683.46 195.39  
SPX 20NOV10 1200 P 2010-11-12, 12:35:20 - 5 15.2000 13.194446 7,600.00 -5.77 2,684.23 -4,921.54 -1,002.78 C
   Total SPX 101120P01200000 5     7,600.00 -5.77 2,684.23 -4,921.54 -1,002.78  
SPX 18DEC10 850 P 2010-11-12, 10:32:45 - -20 0.2000 0.383436 -400.00 -21.27 -12,703.07 -12,324.34 -366.87 P;C
   Total SPX 101218P00850000 -20     -400.00 -21.27 -12,703.07 -12,324.34 -366.87  
   Total in USD     13,498.20 -46.14 -2,018.07 -15,562.41 -1,193.18  

Other Fees ( November 12, 2010 )
Date Description Amount
USD
2010-11-12, 18:00:00 FINADVISOR FEE: DAILY PORTION OF PERCENT OF EQUITY -84.30
   Total in USD -84.30

Security Information
Symbol Description Security ID Multiplier Expiry Type Strike Issue Date Maturity
Stocks
SPY SPDR S&P 500 ETF TRUST 78462F103 1 - - - - -
Symbol Description Security ID Multiplier Expiry Type Strike Issue Date Maturity
Equity and Index Options
IYR 101218C00057000 IYR 18DEC10 57 C - 100 2010-12-18 C 57 - -
IYR 101218P00040000 IYR 18DEC10 40 P - 100 2010-12-18 P 40 - -
IYR 101218P00056000 IYR 18DEC10 56 P - 100 2010-12-18 P 56 - -
RUT 101218C00720000 RUT 18DEC10 720 C - 100 2010-12-18 C 720 - -
RUT 101218P00560000 RUT 18DEC10 560 P - 100 2010-12-18 P 560 - -
RUT 101218P00660000 RUT 18DEC10 660 P - 100 2010-12-18 P 660 - -
RUT 110122C00720000 RUT 22JAN11 720 C - 100 2011-01-22 C 720 - -
RUT 110122P00560000 RUT 22JAN11 560 P - 100 2011-01-22 P 560 - -
SPX 101120C01220000 SPX 20NOV10 1220 C - 100 2010-11-20 C 1220 - -
SPX 101120P01200000 SPX 20NOV10 1200 P - 100 2010-11-20 P 1200 - -
SPX 101218C01260000 SPX 18DEC10 1260 C - 100 2010-12-18 C 1260 - -
SPX 101218P00850000 SPX 18DEC10 850 P - 100 2010-12-18 P 850 - -
SPX 101218P01075000 SPX 18DEC10 1075 P - 100 2010-12-18 P 1075 - -
SPX 101218P01160000 SPX 18DEC10 1160 P - 100 2010-12-18 P 1160 - -
SPX 111217P01100000 SPX 17DEC11 1100 P - 100 2011-12-17 P 1100 - -

Base Currency Exchange Rate ( November 12, 2010 )
AUD 0.986990  
BRL 0.580750  
CAD 0.991000  
CHF 1.020200  
DKK 0.183750  
EUR 1.369600  
GBP 1.613800  
HKD 0.129010  
ILS 0.271920  
INR 0.022331  
JPY 0.012131  
KRW 0.000887  
MXN 0.081009  
NOK 0.167820  
NZD 0.774650  
SEK 0.145630  
SGD 0.770360  

Codes
Code Meaning
A Assignment
Adj Adjustment
Aw Away Trade
B Automatic Buy-in
Bo Direct Borrow
C Closing Trade
CD Cash Delivery
Ca Cancelled
Cc Cancelled Corporate Action
Co Corrected Trade
E External Transfer
Ep Resulted from an Expired Position
Ex Exercise
G Trade in Guaranteed Account Segment
I Internal Transfer
L Ordered by IB (Margin Violation)
LD Adjusted by Loss Disallowed from Wash Sale
LI Last In, First Out (LIFO) tax basis election
Lo Direct Loan
Lt Long Term P/L
M Entered manually by IB
ML Maximize Losses tax basis election
N Late Trade. Profit or Loss will be recognized on next day's statement
O Opening Trade
P Partial Execution
PI Price Improvement
Plc P/L affected by Corporate Action
Plt P/L affected by Transfer
Po Interest or Dividend Accrual Posting
R Dividend Reinvestment
Re Interest or Dividend Accrual Reversal
St Short Term P/L
T Transfer

Notes/Legal Notes

Notes

  1. Stock transactions settle on the trade date plus three days and securities options settle on the trade date plus one day. Ending settled cash reflects the cash which has actually settled.
  2. Initial and maintenance margin requirements are available within the Account Window of the Trader Workstation.
  3. Interactive Brokers LLC receives compensation from fund companies in connection with the purchase and holding of mutual fund shares by customers of Interactive Brokers LLC. Such compensation includes, but is not limited to, Rule 12b-1 fees which are paid out of the funds assets. The source and amount of any remuneration received by Interactive Brokers LLC in connection with a transaction will be furnished upon written request of the customer.
  4. Quantities preceded by a "-" sign indicate sell transactions. Other transactions are purchases. The settlement date for stock transactions is trade date + 3 business days, except for transactions on XETRA, which settle on trade date + 2 business days. Option transactions settle on trade date + 1 business day.
  5. In case of partial executions, commissions are charged on the total quantity executed on the original order. The commission is displayed on the first partial execution only.
  6. Each closed lot indicated above with a reference to note (6) was chosen at the time of order execution to be sold versus the specific opening purchase identified in that row.
  7. For clients whose accounts are being managed by an advisor, trades shown may be part of a larger trade that was allocated across multiple client accounts, based on an allocation algorithm specified by the advisor prior to execution of the trade. Times shown are times that trades were allocated to your account. Execution time on the relevant market center is available upon your request.
  8. If you specified that your advisor is to receive a per-trade advisory fee, please note that the figures in the "Commiss" column in the transaction listings are gross amounts that include both IB's brokerage commission for the trade as well as the advisor's per-trade fee. IB receives its standard published brokerage commissions on your trades ( see www.interactivebrokers.com ). To determine the advisor's per-trade fee for any trade, subtract IB's standard commission from the amount shown.
  9. Borrow Fee Rate represents the cost to borrow stock expressed in percent per annum. It is applied to the cash collateral amount on the stock borrow contract and is separate from any interest earned on credit cash balances. Similarly, Loan Fee Rate represents the benefit to lend stock. A positive rate indicates a cost to the borrower/benefit to the lender and a negative rate indicates a benefit to the borrower/cost to the lender. In general, the fee rates for hard-to-borrow stocks are higher than for normal availability stocks.

Fixed Income Notes

  1. Call features for bonds or preferred stocks may affect the yield. For zero coupon, compound interest and multiplier securities, there are no periodic payments and securities may be callable below maturity value without notice to holder unless registered. For asset-backed securities, the actual yield may vary depending on the speed at which the underlying note is pre-paid. For additional information regarding bond yield, please contact the IB Help Desk at: help@interactivebrokers.com. If this debt security is unrated by a nationally recognized statistical rating organization, it may pose a high risk of default. You should consult a financial advisor to determine whether unrated bonds are appropriate for your portfolio in light of your goals and your financial circumstances.

Legal Notes

  1. Please promptly report any inaccuracy or discrepancy in this statement, or in your account. Contact the IB Customer Service Department in writing using the form available on the IB website. You may also contact IB by phone, but if you report an error by phone, you should re-confirm such oral communication in writing in order to protect your rights, including rights under the Securities Investor Protection Act (SIPA).

    Interactive Brokers LLC, www.interactivebrokers.com, 877-442-2757 (U.S.)

    Interactive Brokers (UK) (Ltd), www.interactivebrokers.co.uk, 00800-42-276537 (Intl)

    Interactive Brokers Canada Inc., www.interactivebrokers.ca, 877-745-4222 (Can.)

  2. Unless otherwise noted, Interactive Brokers acted as agent in the execution of the above transactions. For those exchanges where IB is not self-clearing, IB may use one of the following clearing agents: Interactive Brokers (U.K.) Limited, Timber Hill Canada Company, Timber Hill Europe AG, Timber Hill LLC, Timber Hill Securities Hong Kong Limited, BBVA Bancomer, S.A., BNP Paribas Commodity Futures, Inc., BNP Securities Services, Milan Branch, Citibank International plc, Euroclear Bank S.A./N.V., Fortis Clearing Singapore Pte. Ltd., Fortis Clearing Sydney Pty Limited, Newedge Group S.A., Shinhan Securities Co., Ltd., Skandinaviska Enskilda Banken AB, Société Générale Zurich branch.
  3. IB acts as agent or riskless principal in foreign currency exchange transactions. Such transactions are executed against an IB affiliate or a third party, which acts as principal in such transactions and may have a long or short position and may have profited or lost in connection with the transaction. Foreign currency exchange transactions executed by Customer through IB are not regulated or overseen by the SEC or the CFTC.
  4. Trades marked with the exchange indicator of TMBR were effected by IB as agent through a market making affiliate, which acted as principal in the transaction and may have a long or short position in the security and may have profited or lost in connection with the transaction.
  5. All VWAP trades are effected pursuant to an average price formula based on a reference price provided by a third-party data provider. Additional information and reference prices are available upon request. IB, as agent, effects VWAP transactions through a market making affiliate, which acts as principal in such transactions and may have a long or short position in the security and may have profited or lost in connection with the transaction.
  6. IB accepts liquidity rebates from Alternative Trading Systems and exchanges for certain orders. IB receives payment for some option orders pursuant to exchange-mandated marketing fee programs or other arrangements. IB does not generally accept payment for order flow for security futures orders. To the extent permissible under exchange rules, IB may direct customer stock, option, futures, or security futures orders to its market making affiliate Timber Hill LLC, or to another affiliate, for execution. In such cases IB's affiliate may act as principal in the resulting transaction and may earn a profit or incur a loss in connection with the transaction. The source and nature of any compensation received by IB in connection with any transaction is available upon written request of the customer. For further information, check the IB website or email help@interactivebrokers.com.
  7. For security futures trades, if not already indicated on this statement, information about the time of any transaction, the identity of the counterparty to the transaction, and whether IB is acting as agent or principal, as agent for the counterparty, as agent for both parties to the contract, or as principal, and if acting as principal, whether the transaction was a block transaction or an exchange for physicals transaction, will be available upon written request of the customer.
  8. Customer is requested to promptly advise Interactive Brokers of any material change in Customer's investment objectives or financial situation.
  9. A financial statement of Interactive Brokers LLC is available for your personal inspection at www.interactivebrokers.com or at its offices, or a copy of it will be mailed upon your written request.

SIPC Member




Generated at: 2010-11-16, 08:32:53 EST