Activity Statement


Activity Statement for October 01, 2011 - October 31, 2011 Expand All | Contract All | Print

INTERACTIVE BROKERS LLC, Two Pickwick Plaza, Greenwich, CT 06830
Account Information
Name Customer Name  
Account UXXXXXX  
Address of Account Holder(s)
 
Account Type Institution Master  
Customer Type Corporate  
Account Capabilities Reg T Margin  
Trading Permissions SSF,Stocks,Options,Warrants,Forex,Futures,Futures Options  
Base Currency USD  

Net Asset Value (NAV) In Base Currency
  Current Period Prior Period  
  Total Long Short Total % Change
Cash 2,587,875.16 2,587,875.16 0.00 4,932,024.06 -47.53%
Stock 15,273,673.61 17,188,965.91 -1,915,292.30 7,354,246.35 107.69%
Options -147,981.82 0.00 -147,981.82 -1,013,124.13 85.39%
Interest Accruals -1,068.57 0.00 -1,068.57 -1,029.78 -3.77%
   Total 17,712,498.37 19,776,841.06 -2,064,342.69 11,272,116.50 57.14%

Net Asset Value (NAV) Time Series
Net Asset Value (NAV) Distribution
  • 19.8M
  • 0
  • -3.4M
  • Oct 3
  • Oct 31
  • Cash
  • Stock
  • Options
  • Accruals

Mark-to-Market Performance Summary in Base
  Mark-to-Market P/L
Symbol   Prior Quantity Quantity   Prior Price Price   Transaction Prior Open Corp Action Commissions Dividends Total
Warrants
EDSWW   115,287 115,287   0.0290 0.0036   0.00 -2,928.29 0.00 0.00 0.00 -2,928.29
      Total (Warrants) 0.00 -2,928.29 0.00 0.00 0.00 -2,928.29
Stocks
103   2,282,000 2,282,000   0.3500 0.4150   0.00 19,097.26 0.00 0.00 0.00 19,097.26
569   326,000 326,000   1.9900 2.7400   0.00 31,474.52 0.00 0.00 0.00 31,474.52
ATM   12,000 12,000   4.4900 3.5000   0.00 -11,606.25 0.00 0.00 0.00 -11,606.25
CNTF   168,756 168,756   1.8300 2.4500   0.00 104,628.72 0.00 0.00 0.00 104,628.72
CTRP   -23,500 -23,500   32.1550 34.8600   0.00 -63,567.50 0.00 0.00 0.00 -63,567.50
EDS   37,400 37,400   4.0800 4.3300   0.00 9,350.00 0.00 0.00 0.00 9,350.00
EDU   18,000 38,000   22.9700 29.6400   -24,935.95 285,460.00 0.00 -77.33 0.00 260,446.72
FMCN   19,300 19,300   16.8350 27.1800   0.00 199,658.50 0.00 0.00 0.00 199,658.50
HMG   194,000 194,000   1.2200 1.6000   0.00 73,601.10 0.00 0.00 0.00 73,601.10
HML   58,750 58,750   0.2300 0.2350   0.00 388.94 0.00 0.00 0.00 388.94
HOLI   74,300 74,300   5.8400 8.7000   0.00 212,498.00 0.00 0.00 0.00 212,498.00
HRBN   230,515 481,843   20.6500 23.4900   710,052.80 778,966.12 0.00 -17.33 0.00 1,489,001.59
HTHT   49,600 49,600   13.6900 15.5300   0.00 91,264.00 0.00 0.00 0.00 91,264.00
JOBS   -23,735 -23,735   39.9700 46.1800   0.00 -147,394.35 0.00 0.00 0.00 -147,394.35
LIWA   111,500 102,500   4.3500 4.5500   -153.00 23,273.00 0.00 -19.50 0.00 23,100.50
RDA   7,470 7,470   8.4500 8.1000   0.00 -2,614.50 0.00 0.00 0.00 -2,614.50
SFUN   3,487 3,487   10.1800 12.7600   0.00 8,996.46 0.00 0.00 0.00 8,996.46
SINA   5,000 5,000   71.6100 81.2900   0.00 48,400.00 0.00 0.00 0.00 48,400.00
SOHU   7,000 7,000   48.2000 60.4000   0.00 85,400.00 0.00 0.00 0.00 85,400.00
WWIN   71,662 71,662   3.1700 3.1000   0.00 -5,016.34 0.00 0.00 0.00 -5,016.34
P/L on FX Translation (Stocks) 15,229.67
      Total (Stocks) 684,963.85 1,742,257.67 0.00 -114.16 0.00 2,442,337.04
Equity and Index Options
CTRP 22OCT11 42.0 C   -200 0   0.091403 --   0.00 1,828.06 0.00 0.00 0.00 1,828.06
HRBN 17DEC11 17.5 P   -100 -100   3.433189 0.406511   0.00 30,266.78 0.00 0.00 0.00 30,266.78
HRBN 17MAR12 20.0 P   -1,000 -1,000   4.525311 0.477621   0.00 404,769.00 0.00 0.00 0.00 404,769.00
HRBN 19NOV11 21.0 P   -100 -100   4.083081 0.332938   0.00 37,501.43 0.00 0.00 0.00 37,501.43
HRBN 19NOV11 22.0 P   -1,100 -1,100   4.396452 0.393878   0.00 440,283.14 0.00 0.00 0.00 440,283.14
HRBN 21JAN12 16.0 P   -1,500 -1,500   3.271754 0.329991   0.00 441,264.45 0.00 0.00 0.00 441,264.45
HRBN 22OCT11 18.0 C   598 0   3.403965 --   -299,000.00 95,442.89 0.00 0.00 0.00 -203,557.11
HRBN 22OCT11 20.0 C   500 0   1.726607 --   -150,000.00 63,669.65 0.00 0.00 0.00 -86,330.35
HRBN 22OCT11 21.0 C   2,000 0   1.006437 --   -245,936.93 177,649.53 0.00 -508.30 0.00 -68,795.70
JOBS 22OCT11 60.0 C   -117 0   0.034556 --   0.00 404.31 0.00 0.00 0.00 404.31
      Total (Equity and Index Options) -694,936.93 1,693,079.24 0.00 -508.30 0.00 997,634.01
   Total (All Asset Classes) -9,973.08 3,432,408.62 0.00 -622.46 0.00 3,437,042.75
Broker Interest Paid and Received -1,053.01
Other Fees -85.02
   Total P/L for Statement Period 3,435,904.73
Time Weighted Rate of Return 29.06%

Realized & Unrealized Performance Summary in Base
    Realized   Unrealized    
Symbol   S/T Profit S/T Loss L/T Profit L/T Loss Total   S/T Profit S/T Loss L/T Profit L/T Loss Total   Total
Warrants
EDSWW   0.00 0.00 0.00 0.00 0.00   0.00 0.00 86.80 -387,388.43 -387,301.63   -387,301.63
      Total (Warrants)   0.00 0.00 0.00 0.00 0.00   0.00 0.00 86.80 -387,388.43 -387,301.63   -387,301.63
Stocks
103   0.00 0.00 0.00 0.00 0.00   0.00 0.00 0.00 -172,875.07 -172,875.07   -172,875.07
569   0.00 0.00 0.00 0.00 0.00   0.00 0.00 0.00 -126,769.04 -126,769.04   -126,769.04
ATM   0.00 0.00 0.00 0.00 0.00   4,202.50 0.00 0.00 0.00 4,202.50   4,202.50
CNTF   0.00 0.00 0.00 0.00 0.00   0.00 -123,013.22 0.00 -59,602.48 -182,615.71   -182,615.71
CTRP   0.00 0.00 0.00 0.00 0.00   169,226.11 0.00 0.00 0.00 169,226.11   169,226.11
EDS   0.00 0.00 0.00 0.00 0.00   0.00 -19,768.32 0.00 -124,926.88 -144,695.20   -144,695.20
EDU   0.00 0.00 0.00 0.00 0.00   174,447.89 0.00 0.00 0.00 174,447.89   174,447.89
FMCN   0.00 0.00 0.00 0.00 0.00   0.00 0.00 240,386.48 0.00 240,386.48   240,386.48
HMG   0.00 0.00 0.00 0.00 0.00   0.00 0.00 0.00 -212,131.58 -212,131.58   -212,131.58
HML   0.00 0.00 0.00 0.00 0.00   0.00 0.00 0.00 -38,930.78 -38,930.78   -38,930.78
HOLI   0.00 0.00 0.00 0.00 0.00   0.00 -47,051.92 0.00 -138,802.15 -185,854.08   -185,854.08
HRBN   0.00 0.00 0.00 0.00 0.00   1,831,516.32 0.00 0.00 0.00 1,831,516.32   1,831,516.32
HTHT   0.00 0.00 0.00 0.00 0.00   0.00 -107,929.04 0.00 0.00 -107,929.04   -107,929.04
JOBS   0.00 0.00 0.00 0.00 0.00   253,894.54 0.00 0.00 0.00 253,894.54   253,894.54
LIWA   0.00 0.00 0.00 -40,308.69 -40,308.69   0.00 0.00 0.00 -429,420.46 -429,420.46   -469,729.15
RDA   0.00 0.00 0.00 0.00 0.00   0.00 -5,747.23 0.00 0.00 -5,747.23   -5,747.23
SFUN   0.00 0.00 0.00 0.00 0.00   0.00 -16,535.36 0.00 0.00 -16,535.36   -16,535.36
SINA   0.00 0.00 0.00 0.00 0.00   0.00 -83,413.06 0.00 0.00 -83,413.06   -83,413.06
SOHU   0.00 0.00 0.00 0.00 0.00   0.00 -153,019.57 0.00 0.00 -153,019.57   -153,019.57
WWIN   0.00 0.00 0.00 0.00 0.00   0.00 -110,898.63 0.00 0.00 -110,898.63   -110,898.63
      Total (Stocks)   0.00 0.00 0.00 -40,308.69 -40,308.69   2,433,287.37 -667,376.35 240,386.48 -1,303,458.45 702,839.04   662,530.36
Equity and Index Options
CTRP 22OCT11 42.0 C   30,802.01 0.00 0.00 0.00 30,802.01   0.00 0.00 0.00 0.00 0.00   30,802.01
HRBN 17DEC11 17.5 P   0.00 0.00 0.00 0.00 0.00   35,861.87 0.00 0.00 0.00 35,861.87   35,861.87
HRBN 17MAR12 20.0 P   0.00 0.00 0.00 0.00 0.00   561,662.31 0.00 0.00 0.00 561,662.31   561,662.31
HRBN 19NOV11 21.0 P   0.00 0.00 0.00 0.00 0.00   38,618.46 0.00 0.00 0.00 38,618.46   38,618.46
HRBN 19NOV11 22.0 P   0.00 0.00 0.00 0.00 0.00   603,963.58 0.00 0.00 0.00 603,963.58   603,963.58
HRBN 21JAN12 16.0 P   0.00 0.00 0.00 0.00 0.00   644,689.27 0.00 0.00 0.00 644,689.27   644,689.27
HRBN 22OCT11 21.0 C   37,090.23 0.00 0.00 0.00 37,090.23   0.00 0.00 0.00 0.00 0.00   37,090.23
JOBS 22OCT11 60.0 C   38,404.73 0.00 0.00 0.00 38,404.73   0.00 0.00 0.00 0.00 0.00   38,404.73
      Total (Equity and Index Options)   106,296.96 0.00 0.00 0.00 106,296.96   1,884,795.49 0.00 0.00 0.00 1,884,795.49   1,991,092.45
   Total (All Asset Classes)   106,296.96 0.00 0.00 -40,308.69 65,988.28   4,318,082.85 -667,376.35 240,473.28 -1,690,846.88 2,200,332.91   2,266,321.18

Cash Report
  Total Securities Futures      
Base Currency Summary
Starting Cash 4,932,024.06 4,932,024.06 0.00      
   Commissions -622.46 -622.46 0.00      
   Deposits 2,997,432.96 2,997,432.96 0.00      
   Broker Interest Paid and Received -1,053.01 -1,053.01 0.00      
   Net Trades (Sales) 174,770.00 174,770.00 0.00      
   Net Trades (Purchase) -5,521,674.35 -5,521,674.35 0.00      
   Other Fees -85.02 -85.02 0.00      
   Cash FX Translation Gain/Loss 7,082.97 7,082.97 0.00      
Ending Cash 2,587,875.16 2,587,875.16 0.00      
Ending Settled Cash 2,564,565.16 2,564,565.16 0.00      
CAD
Starting Cash 70,760.94 70,760.94 0.00      
   Broker Interest Paid and Received 12.37 12.37 0.00      
Ending Cash 70,773.31 70,773.31 0.00      
Ending Settled Cash 70,773.31 70,773.31 0.00      
HKD
Starting Cash 1,937,081.21 1,937,081.21 0.00      
   Deposits 23,310,000.00 23,310,000.00 0.00      
Ending Cash 25,247,081.21 25,247,081.21 0.00      
Ending Settled Cash 25,247,081.21 25,247,081.21 0.00      
USD
Starting Cash 4,615,740.73 4,615,740.73 0.00      
   Commissions -622.46 -622.46 0.00      
   Broker Interest Paid and Received -1,064.90 -1,064.90 0.00      
   Net Trades (Sales) 174,770.00 174,770.00 0.00      
   Net Trades (Purchase) -5,521,674.35 -5,521,674.35 0.00      
   Other Fees -85.02 -85.02 0.00      
Ending Cash -732,936.00 -732,936.00 0.00      
Ending Settled Cash -756,246.00 -756,246.00 0.00      

Change In Position Value
Warrants
Base Currency Summary
Prior Period Value 3,343.32  
     MTM P/L On Prior Period -2,928.29  
End Of Period Value 415.03  
Stocks
Base Currency Summary
Prior Period Value 7,350,903.03  
     Transactions 5,479,904.35  
     MTM P/L On Prior Period 1,742,257.67  
     MTM P/L On Transactions 684,963.85  
     Positions FX Translation P/L 15,229.67  
End Of Period Value 15,273,258.58  
CAD
Prior Period Value 304,072.50  
     MTM P/L On Prior Period 62,133.75  
End Of Period Value 366,206.25  
HKD
Prior Period Value 1,447,440.00  
     MTM P/L On Prior Period 392,830.00  
End Of Period Value 1,840,270.00  
USD
Prior Period Value 6,874,793.98  
     Transactions 5,479,904.35  
     MTM P/L On Prior Period 1,629,302.11  
     MTM P/L On Transactions 684,963.85  
End Of Period Value 14,668,964.29  
Equity and Index Options
Base Currency Summary
Prior Period Value -1,013,124.13  
     Transactions -133,000.00  
     MTM P/L On Prior Period 1,693,079.24  
     MTM P/L On Transactions -694,936.93  
End Of Period Value -147,981.82  

Long Open Positions
Symbol   Quantity Mult Cost Price Cost Basis Close Price Value Unrealized P/L % of NAV Code
Warrants
USD
EDSWW   115,287 1 3.363056 387,716.66 0.0036 415.03 -387,301.63 0.00  
      Total in USD   387,716.66   415.03 -387,301.63 0.00  
   Total Warrants in USD   387,716.66   415.03 -387,301.63    
Stocks
CAD
ATM   12,000 1 3.150943 37,811.32 3.5000 42,000.00 4,188.68 0.25  
HMG   194,000 1 2.689865 521,833.85 1.6000 310,400.00 -211,433.85 1.81  
HML   58,750 1 0.895472 52,608.99 0.2350 13,806.25 -38,802.74 0.08  
      Total in CAD   612,254.15   366,206.25 -246,047.90 2.14  
      Total in USD   614,274.59   367,414.73 -246,859.86    
HKD
103   2,282,000 1 1.003533 2,290,061.94 0.4150 947,030.00 -1,343,031.94 0.71  
569   326,000 1 5.760992 1,878,083.38 2.7400 893,240.00 -984,843.38 0.67  
      Total in HKD   4,168,145.31   1,840,270.00 -2,327,875.31 1.38  
      Total in USD   536,523.66   236,879.55 -299,644.11    
USD
CNTF   168,756 1 3.532129 596,067.91 2.4500 413,452.20 -182,615.71 2.41 SY
EDS   37,400 1 8.198856 306,637.20 4.3300 161,942.00 -144,695.20 0.94 SY
EDU   38,000 1 25.049266 951,872.11 29.6400 1,126,320.00 174,447.89 6.55  
FMCN   19,300 1 14.724742 284,187.52 27.1800 524,574.00 240,386.48 3.05 SY
HOLI   74,300 1 11.201401 832,264.08 8.7000 646,410.00 -185,854.08 3.76 SY
HRBN   481,843 1 19.688935 9,486,975.75 23.4900 11,318,492.07 1,831,516.32 65.85 SY
HTHT   49,600 1 17.705989 878,217.04 15.5300 770,288.00 -107,929.04 4.48 SY
LIWA   102,500 1 8.739468 895,795.46 4.5500 466,375.00 -429,420.46 2.71 SY
RDA   7,470 1 8.869375 66,254.23 8.1000 60,507.00 -5,747.23 0.35  
SFUN   3,487 1 17.502001 61,029.48 12.7600 44,494.12 -16,535.36 0.26 SY
SINA   5,000 1 97.972611 489,863.06 81.2900 406,450.00 -83,413.06 2.36 SY
SOHU   7,000 1 82.259939 575,819.57 60.4000 422,800.00 -153,019.57 2.46 SY
WWIN   71,662 1 4.647523 333,050.83 3.1000 222,152.20 -110,898.63 1.29 SY
      Total in USD   15,758,034.22   16,584,256.59 826,222.37 96.48  
   Total Stocks in USD   16,908,832.48   17,188,550.88 279,718.40    

Short Open Positions
Symbol   Quantity Mult Cost Price Cost Basis Close Price Value Unrealized P/L % of NAV Code
Stocks
USD
CTRP   -23,500 1 42.061111 -988,436.11 34.8600 -819,210.00 169,226.11 42.77  
JOBS   -23,735 1 56.877052 -1,349,976.84 46.1800 -1,096,082.30 253,894.54 57.23  
      Total in USD   -2,338,412.95   -1,915,292.30 423,120.65 100.00  
   Total Stocks in USD   -2,338,412.95   -1,915,292.30 423,120.65    
Equity and Index Options
USD
HRBN 17DEC11 17.5 P (Exp: 2011-12-17)   -100 100 3.992698 -39,926.98 0.406511 -4,065.11 35,861.87 2.75  
HRBN 17MAR12 20.0 P (Exp: 2012-03-17)   -1,000 100 6.094244 -609,424.41 0.477621 -47,762.10 561,662.31 32.28  
HRBN 19NOV11 21.0 P (Exp: 2011-11-19)   -100 100 4.194784 -41,947.84 0.332938 -3,329.38 38,618.46 2.25  
HRBN 19NOV11 22.0 P (Exp: 2011-11-19)   -1,100 100 5.884456 -647,290.16 0.393878 -43,326.58 603,963.58 29.28  
HRBN 21JAN12 16.0 P (Exp: 2012-01-21)   -1,500 100 4.627919 -694,187.92 0.329991 -49,498.65 644,689.27 33.45  
      Total in USD   -2,032,777.31   -147,981.82 1,884,795.49 100.00  
   Total Equity and Index Options in USD   -2,032,777.31   -147,981.82 1,884,795.49    

Trades
Symbol Date/Time Exchange Quantity T. Price C. Price Proceeds Comm/Tax Basis Realized P/L MTM P/L Code
Stocks
USD
EDU 2011-10-03, 11:53:39 - 500 22.67994 21.3700 -11,339.97 -2.35 11,342.32 0.00 -654.97 P;O
EDU 2011-10-03, 11:54:24 - 400 22.6400 21.3700 -9,056.00 -0.88 9,056.88 0.00 -508.00 O
EDU 2011-10-03, 11:55:08 - 300 22.6600 21.3700 -6,798.00 -0.66 6,798.66 0.00 -387.00 O
EDU 2011-10-03, 11:55:56 - 1,000 22.6800 21.3700 -22,680.00 -5.23 22,685.23 0.00 -1,310.00 P;O
EDU 2011-10-03, 11:56:03 - 300 22.6400 21.3700 -6,792.00 -0.66 6,792.66 0.00 -381.00 O
EDU 2011-10-03, 11:56:30 - 300 22.6200 21.3700 -6,786.00 -0.66 6,786.66 0.00 -375.00 P;O
EDU 2011-10-03, 11:56:44 - 300 22.6100 21.3700 -6,783.00 -0.66 6,783.66 0.00 -372.00 O
EDU 2011-10-03, 11:57:33 - 400 22.6000 21.3700 -9,040.00 -0.88 9,040.88 0.00 -492.00 O
EDU 2011-10-03, 11:58:11 - 1,000 22.6300 21.3700 -22,630.00 -4.70 22,634.70 0.00 -1,260.00 P;O
EDU 2011-10-03, 11:58:54 - 1,000 22.6300 21.3700 -22,630.00 -2.20 22,632.20 0.00 -1,260.00 P;O
EDU 2011-10-03, 11:59:29 - 1,000 22.6700 21.3700 -22,670.00 -4.90 22,674.90 0.00 -1,300.00 P;O
EDU 2011-10-03, 11:59:40 - 500 22.5800 21.3700 -11,290.00 -1.10 11,291.10 0.00 -605.00 P;O
EDU 2011-10-03, 11:59:59 - 1,000 22.58999 21.3700 -22,589.99 -2.83 22,592.82 0.00 -1,219.99 P;O
EDU 2011-10-03, 12:00:16 - 1,000 22.6100 21.3700 -22,610.00 -4.70 22,614.70 0.00 -1,240.00 P;O
EDU 2011-10-03, 12:00:44 - 1,000 22.6300 21.3700 -22,630.00 -4.95 22,634.95 0.00 -1,260.00 P;O
EDU 2011-10-03, 12:01:15 - 1,000 22.65999 21.3700 -22,659.99 -4.70 22,664.69 0.00 -1,289.99 P;O
EDU 2011-10-03, 12:01:16 - 500 22.6100 21.3700 -11,305.00 -1.10 11,306.10 0.00 -620.00 P;O
EDU 2011-10-03, 12:01:27 - 700 22.5500 21.3700 -15,785.00 -1.54 15,786.54 0.00 -826.00 P;O
EDU 2011-10-03, 12:01:45 - 1,000 22.5800 21.3700 -22,580.00 -4.70 22,584.70 0.00 -1,210.00 P;O
EDU 2011-10-03, 12:02:08 - 1,000 22.5700 21.3700 -22,570.00 -4.90 22,574.90 0.00 -1,200.00 P;O
EDU 2011-10-03, 12:02:11 - 500 22.5300 21.3700 -11,265.00 -1.10 11,266.10 0.00 -580.00 O
EDU 2011-10-03, 12:02:25 - 1,000 22.5600 21.3700 -22,560.00 -3.15 22,563.15 0.00 -1,190.00 P;O
EDU 2011-10-03, 12:02:37 - 1,000 22.6000 21.3700 -22,600.00 -5.10 22,605.10 0.00 -1,230.00 P;O
EDU 2011-10-03, 12:03:02 - 600 22.6000 21.3700 -13,560.00 -2.67 13,562.67 0.00 -738.00 P;O
EDU 2011-10-03, 12:03:27 - 800 22.6200 21.3700 -18,096.00 -3.11 18,099.11 0.00 -1,000.00 P;O
EDU 2011-10-03, 12:03:49 - 800 22.6500 21.3700 -18,120.00 -2.27 18,122.27 0.00 -1,024.00 P;O
EDU 2011-10-03, 12:04:32 - 900 22.657778 21.3700 -20,392.00 -4.63 20,396.63 0.00 -1,159.00 P;O
EDU 2011-10-03, 12:05:30 - 200 22.5900 21.3700 -4,518.00 -0.94 4,518.94 0.00 -244.00 O
   Total EDU 20,000     -452,335.95 -77.33 452,413.28 0.00 -24,935.95  
HRBN 2011-10-21, 16:20:00 - 59,800 18.0000 23.0000 -1,076,400.00 0.00 1,076,400.00 0.00 299,000.00 Ex;O
HRBN 2011-10-21, 16:20:00 - 50,000 20.0000 23.0000 -1,000,000.00 0.00 1,000,000.00 0.00 150,000.00 Ex;O
HRBN 2011-10-21, 16:20:00 - 130,000 21.0000 23.0000 -2,730,000.00 0.00 2,730,000.00 0.00 260,000.00 Ex;O
HRBN 2011-10-25, 12:02:09 - 10,000 22.8100 22.9000 -228,100.00 -15.03 228,115.03 0.00 900.00 P;O
HRBN 2011-10-25, 14:19:30 - 1,528 22.8000 22.9000 -34,838.40 -2.30 34,840.70 0.00 152.80 P;O
   Total HRBN 251,328     -5,069,338.40 -17.33 5,069,355.73 0.00 710,052.80  
LIWA 2011-10-26, 14:44:04 - -1,000 4.6000 4.6300 4,600.00 -1.59 -8,852.25 -4,253.84 -30.00 C
LIWA 2011-10-26, 15:08:20 - -1,000 4.6100 4.6300 4,610.00 -1.59 -9,082.01 -4,473.60 -20.00 C
LIWA 2011-10-26, 15:08:46 - -1,000 4.6200 4.6300 4,620.00 -1.59 -9,095.20 -4,476.79 -10.00 P;C
LIWA 2011-10-26, 15:09:41 - -1,000 4.6300 4.6300 4,630.00 -1.59 -9,195.13 -4,566.73 0.00 P;C
LIWA 2011-10-27, 09:30:00 - -1,000 4.6500 4.6400 4,650.00 -3.71 -9,201.20 -4,554.91 10.00 P;C
LIWA 2011-10-27, 09:30:01 - -1,000 4.6500 4.6400 4,650.00 -4.29 -9,201.20 -4,555.50 10.00 C
LIWA 2011-10-27, 10:21:19 - -100 4.6600 4.6400 466.00 -0.51 -918.66 -453.17 2.00 C
LIWA 2011-10-28, 10:24:07 - -900 4.6600 4.7100 4,194.00 -1.43 -8,266.92 -4,074.35 -45.00 C
LIWA 2011-10-28, 10:28:19 - -1,000 4.6700 4.7100 4,670.00 -1.59 -9,125.54 -4,457.13 -40.00 C
LIWA 2011-10-28, 10:29:38 - -1,000 4.6800 4.7100 4,680.00 -1.59 -9,121.07 -4,442.66 -30.00 C
   Total LIWA -9,000     41,770.00 -19.50 -82,059.19 -40,308.69 -153.00  
   Total in USD     -5,479,904.35 -114.16 5,439,709.82 -40,308.69 684,963.85  
Symbol Date/Time Exchange Quantity T. Price C. Price Proceeds Comm/Tax Basis Realized P/L MTM P/L Code
Equity and Index Options
USD
CTRP 22OCT11 42.0 C 2011-10-21, 16:20:00 - 200 0.0000 0.0000 0.00 0.00 30,802.01 30,802.01 0.00 Ep;C
   Total CTRP 111022C00042000 200     0.00 0.00 30,802.01 30,802.01 0.00  
HRBN 22OCT11 18.0 C 2011-10-21, 16:20:00 - -598 0.0000 5.0000 0.00 0.00 -149,363.13 0.00 -299,000.00 Ex;C
   Total HRBN 111022C00018000 -598     0.00 0.00 -149,363.13 0.00 -299,000.00  
HRBN 22OCT11 20.0 C 2011-10-21, 16:20:00 - -500 0.0000 3.0000 0.00 0.00 -65,361.25 0.00 -150,000.00 Ex;C
   Total HRBN 111022C00020000 -500     0.00 0.00 -65,361.25 0.00 -150,000.00  
HRBN 22OCT11 21.0 C 2011-10-17, 12:12:53 - -100 1.7500 1.614619 17,500.00 -72.59 -15,072.25 2,355.16 1,353.81 P;C
HRBN 22OCT11 21.0 C 2011-10-17, 13:45:03 - -100 1.8000 1.614619 18,000.00 -72.60 -15,072.25 2,855.15 1,853.81 C
HRBN 22OCT11 21.0 C 2011-10-17, 13:47:57 - -100 1.8500 1.614619 18,500.00 -72.61 -15,055.97 3,371.42 2,353.81 C
HRBN 22OCT11 21.0 C 2011-10-18, 10:46:17 - -200 1.9500 1.762459 39,000.00 -145.25 -30,100.50 8,754.25 3,750.82 C
HRBN 22OCT11 21.0 C 2011-10-18, 10:46:35 - -200 2.0000 1.762459 40,000.00 -145.27 -20,100.50 19,754.23 4,750.82 C
HRBN 22OCT11 21.0 C 2011-10-21, 16:20:00 - -1,300 0.0000 2.0000 0.00 0.00 -110,763.25 0.00 -260,000.00 Ex;C
   Total HRBN 111022C00021000 -2,000     133,000.00 -508.30 -206,164.72 37,090.23 -245,936.93  
JOBS 22OCT11 60.0 C 2011-10-21, 16:20:00 - 117 0.0000 0.0000 0.00 0.00 38,404.73 38,404.73 0.00 Ep;C
   Total JOBS 111022C00060000 117     0.00 0.00 38,404.73 38,404.73 0.00  
   Total in USD     133,000.00 -508.30 -351,682.37 106,296.96 -694,936.93  

Other Fees
Date Description Amount
USD
2011-10-05, 18:14:37 Hong Kong Derivatives (Futures) Level I -12.84
2011-10-05, 18:14:37 Hong Kong Securities Exchange (Stocks and Warrants) -25.68
2011-10-05, 18:14:37 NASDAQ Level I -20.00
2011-10-20, 20:20:00 Order Cancellation Fee -1.50
2011-10-05, 18:14:37 US Commodities Exchanges -10.00
2011-10-05, 18:14:37 US Commodities Exchanges 10.00
2011-10-05, 18:14:37 US Options Exchanges -25.00
   Total in USD -85.02

Deposits & Withdrawals
Settle Date Description Amount
HKD
2011-10-24 Electronic Fund Transfer 23,310,000.00
   Total in HKD 23,310,000.00
   Total in USD 2,997,432.90

Interest Accruals
Base Currency Summary
Starting Accrual Balance -1,029.78  
   Interest Accrued -1,091.80  
   Accrual Reversal 1,053.01  
Ending Accrual Balance -1,068.57  
CAD
Starting Accrual Balance 11.90  
   Interest Accrued 27.96  
   Accrual Reversal -12.37  
Ending Accrual Balance 27.49  
Ending Accrual Balance in USD 27.58  
USD
Starting Accrual Balance -1,041.14  
   Interest Accrued -1,119.91  
   Accrual Reversal 1,064.90  
Ending Accrual Balance -1,096.15  

Broker Interest Paid
Date Description Amount
USD
2011-10-05 USD Net Short Stock Interest for SEP-2011 -1,064.90
   Total in USD -1,064.90

Broker Interest Received
Date Description Amount
CAD
2011-10-05 CAD Credit Interest for SEP-2011 12.37
   Total in CAD 12.37
   Total in USD 11.89

Security Information
Symbol Description   Multiplier Expiry Delivery Month Type Strike Issue Date Maturity
Warrants
EDSWW EDS 08NOV11 5.25 C   1 2011-11-08 - - 5.25 - -
Symbol Description   Multiplier Expiry Delivery Month Type Strike Issue Date Maturity
Stocks
103 SHOUGANG CONCORD CENTURY HLD   1 - - - - - -
569 CHINA AUTOMATION GROUP   1 - - - - - -
ATM ATACAMA PACIFIC GOLD CORP   1 - - - - - -
CNTF CHINA TECHFAITH WIRELESS-ADR   1 - - - - - -
CTRP CTRIP.COM INTERNATIONAL-ADR   1 - - - - - -
EDS EXCEED CO LTD   1 - - - - - -
EDU NEW ORIENTAL EDUCATIO-SP ADR   1 - - - - - -
FMCN FOCUS MEDIA HOLDING-ADR   1 - - - - - -
HMG HANA MINING LTD   1 - - - - - -
HML NEW HANA COPPER MINING LTD   1 - - - - - -
HOLI HOLLYSYS AUTOMATION TECHNOLO   1 - - - - - -
HRBN HARBIN ELECTRIC INC   1 - - - - - -
HTHT CHINA LODGING GROUP-SPON ADS   1 - - - - - -
JOBS 51JOB INC-ADR   1 - - - - - -
LIWA LIHUA INTERNATIONAL INC   1 - - - - - -
RDA RDA MICROELECTRON-SPON ADR   1 - - - - - -
SFUN SOUFUN HOLDINGS LTD-ADR   1 - - - - - -
SINA SINA CORP   1 - - - - - -
SOHU SOHU.COM INC   1 - - - - - -
WWIN WINNER MEDICAL GROUP INC   1 - - - - - -
Symbol Description   Multiplier Expiry Delivery Month Type Strike Issue Date Maturity
Equity and Index Options
CTRP 111022C00042000 CTRP 22OCT11 42.0 C   100 2011-10-22 2011-10 C 42 - -
HRBN 111022C00018000 HRBN 22OCT11 18.0 C   100 2011-10-22 2011-10 C 18 - -
HRBN 111022C00020000 HRBN 22OCT11 20.0 C   100 2011-10-22 2011-10 C 20 - -
HRBN 111022C00021000 HRBN 22OCT11 21.0 C   100 2011-10-22 2011-10 C 21 - -
HRBN 111119P00021000 HRBN 19NOV11 21.0 P   100 2011-11-19 2011-11 P 21 - -
HRBN 111119P00022000 HRBN 19NOV11 22.0 P   100 2011-11-19 2011-11 P 22 - -
HRBN 111217P00017500 HRBN 17DEC11 17.5 P   100 2011-12-17 2011-12 P 17.5 - -
HRBN 120121P00016000 HRBN 21JAN12 16.0 P   100 2012-01-21 2012-01 P 16 - -
HRBN 120317P00020000 HRBN 17MAR12 20.0 P   100 2012-03-17 2012-03 P 20 - -
JOBS 111022C00060000 JOBS 22OCT11 60.0 C   100 2011-10-22 2011-10 C 60 - -

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
HFI Investment Transferred to Hedge Fund
HFR Redemption from Hedge Fund
I Internal Transfer
INV Investment Transfer from Investor
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
RED Redemption to Investor
Re Interest or Dividend Accrual Reversal
SY Positions that may be eligible for Stock Yield. Potential for additional annualized income of 5,053,435.20 USD
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 and future 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. Trade execution times are displayed in Eastern Time.
8. Applicable commodity Regulatory Fees for your transactions is available on the IB website at www.interactivebrokers.com/en/accounts/fees/exchangeAndRegulatoryFees.php.
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.
10. For All Options Trades Executed on the Stock Exchange of Hong Kong ("SEHK"): (a) Options can involve a high degree of risk and may not be suitable for every investor. Investors should ensure they understand those risks before participating in the options market. (b) All options contracts executed on the SEHK were executed by Timber Hill Securities Hong Kong on behalf of Interactive Brokers LLC. (c) In the event of a default committed by Interactive Brokers LLC resulting in the client suffering any pecuniary loss, the client shall have a right to claim under the Investor Compensation Fund established under the Hong Kong Securities and Futures Ordinance, subject to the terms of the Investor Compensation Fund from time to time. (d) All Exchange Traded Options Business made for or on behalf of a client shall be subject to the relevant provisions of the constitution, Rules of The Stock Exchange of Hong Kong Limited ("SEHK Rules"), regulations, the Articles, customs and usages of SEHK, the Options Trading Rules, the Clearing Rules of SEOCH, the CCASS Rules and the laws of Hong Kong, which shall be binding on both Interactive Brokers LLC and the client.
11. Deposits held away from Interactive Brokers LLC may not qualify under SIPC protection.

SIPC Member




Generated at: 2011-11-30, 10:12:39 EST