PDF A guide to understanding your Advantage statement

A guide to understanding your Advantage statement

Stifel is committed to providing you with the best investment service available. That's why we provide the option for unrealized and realized gain/loss information

for your holdings and transactions in one clear, easy-to-use statement.

1

Market Performance provides current month and year-to-date performance of key market

Stifel|Advantage

indices to compare with the changes in value of assets held at Stifel and assist in managing the

1 CONSOLIDATED STATEMENT

November 1 November 30 Account Number:

Page 1 of 44 XX99 9999-9999

portfolio.

MARKET PERFORMANCE

Percentage Change

Index

November 2016

Year to Date

Dow Jones Industrial Average Index

5.41%

9.75%

2

Market Summary and Recap provides a concise overview of the news and events that impacted

the market over the last month in an effort to

help evaluate the performance of the account.

1 1 1 D3982 ASNH05101

SUE CLIENT TTEE REVOCABLE TRUST U/A/D 03/17/1981 1234 SAMPLE ST TOWNVILLE MO 99999-9999

S&P 500 Index

3.42%

NASDAQ Composite Index

2.59%

Russell 3000 Index

4.23%

FTSE All-World ex US Index

-2.45%

(See reverse side for Market Performance Index Definitions)

November November

13Y0-ield

Treasury Rates

Nov 30A,c2c0ou1n6t Number:

13 Week Treasury Bill

0.490%

5 Year Treasury Note

1.835%

7.58% 6.32% 8.47% -1.34%

Page 2 of 44 Oct 31X,X2909196999-9999

0.310% 1.315%

2

10 Year Treasury Note 30 Year Treasury Bond

2.368% 3.018%

1.836% 2.588%

3 Account Summary and Change in Portfolio Value provides a snapshot of the current and previous

MARKET SUMMARY RECAP PROVIDED BY WSJ. CUSTOM STUDIOS

November 2016: True to Form

INVESTOR UPDATE

Don't let the hectic pace of the holiday season distract you from your financial goals.

It's been 226 years since the Philadelphia Stock Exchange was founded; the equity CmoanrtkaectsyohuarvSetihfealdFainalonncgialtiAmdevitsoorbtuoidldayantoddbisucrunsisshyothuerirfinreapnucitaalticoonncaesrninssbcerufotareblteheand

month-end values, along with cash flow and changes in securities value information for easy

unpredictable. Nothing happened in November to suggest that reputation will change ayenayrtimeneds.oon.

Aufunfttdueerrern-stihnmeea-rsraktrdeaatigrphhlutanlrogbseinidng,gesrstoe--csksfsioorsnosinl,dvtehoseftfoliornsn,Agaesnsiaty,wsauancydh--Ust.rSoef.auiknnvseeixnspctoeercs1te9bd8ra0bc,ueltlhdisehthbeteimdnicsnhegmlsv.eQCasBraUk.ullNtESySRUaaotSaUE/stuAunTEVr/rtDdOhIFaCOaeCli0Llnry3AINdaEE,/B1nNSl&beL7cTeE/ci1aAPitT9nTilooT8BgARnoE1UdOriEn'vNSssiUTsicg5oTrh0rut0otYanribOneSldwetUiefseaRxlnorCdfoSlasiuTeennRAptseTrSmpeeEudarbirMvctlilitcycaEeaboNsnlenaT,NNAPtt?cooUha(c8vver.oeet0SyummM0.n)bbstsoeew6Nhnrr7uead139mera0e--pby5se4tbrrr4:eao6fvs.oeerresineEdtlhetechtenioXenXwx9otDP9rtalra9dagy9,de,9it91nah-gneo9f94949 session, and investors haven't looked back as they bet on market-boosting increases in infrastructure spending and decreases in corporate and personal income taxes,

statement balancing and investment tracking.

including those on capital gains. As of mid-afternoon November 30, the benchmark indAeCx CwaOsUuNp T3.9P%RfOorTtEheCmToIOntNh, setting records along the way.

3 LFstoerusdtcskinimfitrihlsaetrilnmy tarhaeisilsseltardotemrsa,tterhosouw--nedvboeyfr,ttuhisge-ttohinfe-iweFsaetrd,oebfrumatlamRrogenisneestravfrreyom(pthoetlhiceFyeliosdw)s,etwisllthtoiocfhbleenvohewelsasr--deefromonmsSsFlyYeit.vnicOfteaeourUnlry,wictRNiliaeiakitscSlecoAThhlyldaeIeFvultdoqisEsuioLt&niirgticACefholistCoeremngCmntopOomaaricUnenoctyNnodo,eeuTIatntnaaSctsrisolyUis,xr.poM-pwofoMrwelaiechAtyekicRdthaaYpt$ilris1otsp.v1iinDd5.eemsAcNienulolmipovenbtxeoepmmr$aa1bn1y5s3e0ib-ro1enm34ai0inlrmlyioceanfeissothcifnadcgleo.ppvAoeolrsiyacietgysaOe.mrAcfaoastgrokyobyh,eoaturhvree31

4 Asset Summary provides a comprehensive view of the portfolio by investment type to allow for close monitoring of asset allocation for each

TtMAShhTaiCsanAnCaakcTgOceyEoBmorUuuMfoonoNnftrnoETdottrhhNraimTsslTtltooYoaawftTr2fPeikicnm.YEe3eget.P7:SnF%iEStntoiftT:vreobeaIlAtyFstdhoDdEtemoisLtVCrieiosdroAnAv-mahaeNDlpafytiTlVnveoiafAeuroAnn.rcGbomNIeneoEaTDoentiArenodNpneGdaorrriEevsttmogepAaepmlernrCdoabtiCtnsoeegfeOcrStdy3Uyot0iouafNe,urtlTruSatrphttiigeftefhhrlteopsamr,acoidcnsod1cpurl.ue8ends3tc,sint%pbgoleerafaliogtshwhetihtg.srIehefufeyeenorrdnuetidonrhfottalhhavfeeteOiocSaucnenrtcyroeuabqnrniuettdieerSssatCNNitinfiInoeaeentendlsttvAsrehPP1ecsroo.Eesct6orrogtqttr0uaffruooP%nraidllrtviitoiooeAnaategslgAAtec.rytnssethioTssoeteusheenmrette*eAssa*nnccyhntdtcieoeao(SoltnulddIfdnhPtaSeDoAotlend)irsS,pctpathttlhioleitfeseesmSaulsstbrtbieaefeeetpeBnrlrm.oco1ohmeknmpltet,altyp,rlwkreehap1isco0ehr-tc5,yiso932ienna,,,a669twvar423arciT786ittlia,,,nyr284beog876lau,e524rasa...nFu188tyirn269yian+nnaccoicatuel rAardcoviceisskoeortr5oed832rdi,,,ts659hcde695rue814Brp,,,ir487anan992gnc878cith...eh960se207in+

wYwowu.rstFif(eTiln.hceaomnS/cdtiaiasncldloAasruddrveis&s/aoPcrc:ooourn'ts-a5g0re0emInednet.x JOE ADVrisISeO, Rbond prices will fall.)

is

a OcaffpiictaeliSzaetriovnic-winegigYhoteudr iAndcecxouthnatt:

ADVISOR GROUP

is

generalNlyectoPnosritdfeorleiodVraelpureesentative of the U.S. large$-6c6a,p2i1ta2l,i6z2a2ti.o8n7 market. YOUR CHANGE IN PORTFOLIO VALUE November 30

As$6in5t,e2r1e5s,1t 2ra4t.e59s October 31

JJSIOMtiHfeNAl, DNAViDcoIVSlaOIuSRsO&R Company,

Incorporated

|

Member

SIPC

&

N4Y3S2E1| BwRwAw.NstCifHel.RcoOmA|DOne SUITE 765

Financial

Plaza

|

501

North

BroNadewtaCy a| Ssth. LFouloisw, M(iIsnsfolourwi 6s3/O10u2tflows)

2

-212,304.80

-43,229.35

Telephone: (999) 999-9999

TOWNVILLE, MO 99999-9999

Securities Transferred In/Out

-228,027.24

-419,300.00

individual account. Includes assets held at Stifel, and certain mutual funds and annuities not held at Stifel, to provide a complete picture

PRIM-ATRheYWIaNllVSEtrSeTetMJoEuNrnTalOnBewJsEoCrTgaInVizEa:tion was Speculation/Active Trading/Complex Strategies

not

involved

in

the

creation

of

this

coIntceonmt e and Distributions SChUaEngeCiLnISEeNcuTritiTesTVEaElue 3 RNeEt VChOaCngAeBinLPEoTrtfRolUioSVTalue

249,280.06 1,188,550.26

$997,498.28

118,081.07

Novemb-8e5r61,02-2.99 Nove-m$1b,2e0r03,4071.27

RISKMTAORLKEERTAPNECREF:OPRleMaAseNcCoEntIaNcDt yEoXurDFEiFnIaNnITciIaOlNASdvisor

U/A/D 03/17/1981

Account Number:

For a full definition of this objective and risk tolerance, including the use of margin,

** See Insured Bank Deposit Program Section for additional information.

pleaseDsoewe wJownwe.sstIinfedlu.csotrmia,lIAMvPeOraRgeTAInNdTexD: TIShCe LDOowSUJoRnEeSs,Inodrucsotrniatal ActvyeoraugreFIinndaenxc(iDalJIA) is a price+-wInecigluhdteds uinndperixcecdonsseicsutirnitgieosf. 30 blue chip U.S. stocks selected for their history of successful growth

Advisora.ndIfinyoteurehsat vaemoanngy iqnuveessttoiorsn.sTchoenpcreicren-iwnegigyhotuerdianrvitehsmtmeteicnat voebrajegcetivisecoarlcruislakted with the diviso1r aIdnjvuesstetmdetnotrienfloercmt astioocnkisspplriotsviadnedd ofocrciansfoiormnaaltisotnoaclkpsuwrpitocsheess oinnltyh;easinsdeetsx.are not covered by SIPC.

Page XX99 999

tolerance, or wish to make a change, please contact your Financial Advisor or the

2 Does not include cost or proceeds for buy or sell transactions.

5

BranchSM&aPn5a0g0eIrnfdoerxt:hiTshoeffSictaen.dard & Poor's 500 Index is a capitalization-weighted index of 500 widel3y hMealdy ilnacrgluedceaApsitsaelitzsaNtiont HsetoldckAst iSntitfheel. industrial, transportation, utility, and financial sectors.

oRfetphoertesnttoirtealpuonrrtefoalliiozeind oanned sretaatleizmedengta. ins and ASSET DETAILS Tmprhainisycsipreeacclteipoiavneysdmhoowowrnesso,thrcealepcsiatsastlhhcahenaqnuygoiveuasrle,onlrisitTN(gsCteiREUnadRATanRloDdEPNSRFfppNr/IOoTyAuoTuNtmsSsSirRtroAsEeGDctsemNnhTAAhleeDlTFQlsapl3cFt-PAOo0WsrTuCRc0eSXeEoLrok0mEiCmrtmIIplLiEndOGpeiaDrduOoelrisoeIkcmsxVNbxTeieiGtaU:tnAse,.lTRS1w,ELIhCy2nhEIqgenUodMiuocLideRuifhEOtnxetyuIriN:xitsEnnITa:nTascgFhTdHelccueelhSltdcrMxe,3NeuyoI0SFsFAlEo0ueeTSbA0ruSTnosDiVeIEtr,tnHAhsA.dFQAiId(OnePLGloilxCA-nhmEDrWiBoiaesIecS:mLosnrce)rEpito,lHictd)scomwaiiseaahgpnoixtniohelccbdUsheAIeetnsSfcoadtddorsIieIeonvvnntxifdegiee,tesrinhsspxFdoeca9-icror38ufocmsr,%fma0ptoopp0p,Ooamri0trfnaoiuscltilaehiertozursesagwu.rtelwriaotsaeorsntgrsni-Uleddwht.'aSesepni.sgidncrshaviomtocelemesieuddptsariacnq.cbnadlueTiepeeosxsmasttcbxoaaeoyYcrmkrsklYmOoees.pota,tUrSRUuccirpsCUkdE/aRhrAoeeopEVaedo/tnviDvOAttCciasoedsaCa0SlLfitisinpz3iAIadSelEgabi/slBt1cleatNEaciuL7solTraiorE/Ttzsn1oievtarT.i9ciTeeSdetsTT8kirRsoasEh1UnUmprmgeEle,MiSersairanolTtteoMieudapyfvdreriAdbniexobdegsRlnive.eeeseYtndhclbtoaaeinpludfcNgeoutjdaaurlaatpaistoepnerntreddaeoacxebldniAmahmossdeaesatrutdogecgcielonyiquang9ttuaitom8ohir%n,eraaeNNArobpkoncoofdrefucivvStcttoeeesthseeummeecenenaubbxtUdnocrceeNdi.lurrttSuibuet13dr.lomsy0iiie-tmntbaDqygSelueirrtti(e:JathteymitlefeudemrrUasnla.t.xSAmrokAi.ue,meTttctoth.hAmhutoeudemaiaontXeldfXlodooeg9pxQlfPi9elroaiuts9isecgo,w9deteb9naeio92tsn)rit-iohvo9genmef9r:dx49ea49aaclylmuvdoairntrigyz,araetinoindnv,euaspctoecndresttaaioxlen

4 5 Reinvested tax lots and acquisitions in eAxS6cS6,eE41sTt5ism,S6eoU00afMntdeMennAdwRoiYflldabye. aggregated. The unrealized gain/loss losses by investment type to deliver a quick displayed is truncated to the one thousan5d3,t1h3I2no,d4fi8cae0ssahreaurnem.anaged, are nVoat aluvaeilaabsleofofr dNiroecvteinmvebstemren3t,0a,n2d0in1cl6ude

is

the

provided for informational purposes oVnalluye aonnPderschenotaugledofnot beIrelied upon for

November 30, 2016 ($) your account

reinvestment oAf diNviedteCnadsshbEuqt udiovanleont tisncGludaeinasd/j3u(,s-6)t2mL8eo,8ns7ts2s.ef8o6sr brokera5g.4e8,%custodian, and advisory fees.

tax

purposes.

Lot detail quantit

39,849,360

look at performance and help with tax planning Classifications listed next

Stifel|Advantage C: Tax basis information

(available for accounts with cost basis elected N: Tax basis information

M: Tax basis information

and provided). W: The tax basis for this

sfftfooooerrrcTttuthhyhriipiisssteysss:heeeacccsuuurrrbCMMiiittteayyoay12esnrii36gihssnen,,i25nyc86cna36lMBooud,,12avtadj24uler0ca00eksronseetcvetdbeeFdo2rubN0edtnoy1hvdu5dIescRb2Do0yteS1voc5IerRw2reJ0eaSa1pnd6sorhrea2Ft0epnis1nb6odag3rl2neMt,0ri7-a1noe29ar6gnq593c,2,,cu1A85tr0Aoipie7221vrr6t3v55eqiSt...e890muy2Mtr3070iifae1raeey6eldsnm2tJtd0suae1en.6xnfit2lnsJo0Nue1.tl6osdt.2Aab0ut1yg6StIi2RfS0ee1Slp6

B

TotaCl -99,825.97 D

E 3,725,173.83 F

r2Oe0c1gt6u2lN0ao1tv6i3o,5n2s5..00 I

Equities

% of

Preferredsassets *

Municipal Bonds

Corp/Gov Bonds

Mutual Funds Alternative In0ve.0s1tm%ents

23,628,655.86

35.69%

1,268,593U.5n1realized1.92%

9,228,082.85

13.94%

2 1 14D,9390872,6A7S2N.H6095101 7.41%

14,083,699.15

21.27%

2,936,464.89

4.43%

F

Realized This Period

Year-to-dBate

G: Security position includes gifted shAar.eNse.t UCansrehaEliqzueidvagleanints/loss di$s3p,6la28y,e8d72m.86ay not be indicative of$3g,a62in8,8o7r2l.o86ssJTotthOaltahAtesrswIentovseusltdm5.e4bn8tes%realize$d666u,,52p3102o,,56n8212s..08a67le of10s90e..80c60u%%rity dueEto tax rules forCgifted stock.

B. Equities

23,628,655.86

23,628,655.86

35.69%

12,550,892.53

D

-114,464.07

6

Income and Distribution SummaNrEyTpCrAoSHviEdQeUIsVALENTS year-to-date and current period summaries for

C. Preferreds D. Municipal Bonds E. Corporate/Gov Bonds F. Mutual Funds

1,268,593.51

1,268,593.51

9,228,082.85

9,228,082.85

4,907,672.69

4,907,672.69

S14t,08i3f,69e9.l15|Advantag1e4,083,699.15

1.92% 13.94%

7.41% Curre2n1t.2v7a%lue

45,185.31 1,151,005.09 1,155,705.80 2,022,4C97o.s2t5 Basis

interest and dividends, includingCAwSHhether it is

G. Unit Investment Trusts H. Insurance Products

-99,825.9171 1 D3983 ASNH05101 -99,825.97

taxable or tax-exempt.

Information Summary MARGIN BALANCE INSURED BANK PROGRAM

I. Alternative Investments J. Other Investments

6,530,581.06

2,936,464.89

2,936,464.89 6,530,581.06

3,45.2435%.00 3,725,91.7863%.83

-23,0093.,65825.00 2,4534,,782535.2,1473.83

29,500.00 465,905.15

-3,744.05

Estimated Annualized E

Income

-7,700.34

2,980.14

includes the gross proceeds of aTsostael Ntset sold for Cash Equivalents Net Portfolio Assets

$59,647,285.12 $2,936,464.89 $62,583,750.01 $3,628,9847.522%.86

$1$93,3,5672,1829,.85472.86

$0.00

$369,496.69

$2,980.14

both year-to-date and current period. 6 5 Insured Bank Program deposits may bNethPeoldrtfaotliomVualtliupele banks. Fo$6r3in,2f7o6r,m15a7.t9io8n reg$2a,r9d3i6n,4g64s.p89ecific$b6a6,n2k12s,6v2i2s.i8t7IMPORTA1N00T.0D0%ISCLOSUR$1E9,S35o7,n12w9.w54w.. Th$e0.0d0eposits a$3r6e9,n4o96t .c69overed by the

Securities Investor Protection Act (SIPC). Balances in the Program are insured up to the FDIC limit in each bank.

INCOME & DISTRIBUTION SUMMARY

INFORMATION SUMMARY

Balances in the Insured Bank Program or in any money market fund offered as an available fund for Cash Investment Services at Stifel can be liquidated upon request and returned to your brokerage

account or remitted directly to you.

Security Type

Year-to-date

This period

Security Type

Year-to-date

This period

Dividends

Tax-Exempt

6,220.34

662.11 Accrued Interest Paid

Tax-Exempt

7

Asset Details highlight all assets classes and positions in the account to tracePtOhReTFdOLeItOaAiSlsSEtToS -

HELD

ATInSteTreIsFt EL

Capital Gain

DSisytmribbuotilo/ns

Taxable Tax-Exempt Taxable

summarize and reconcile the accEoquuitniets. Track

Return of PrincipTayl pe/ Other Classification

Quantity

932,301.19 362,360.88 110,843.73

56,906.87 51,004.17

241.83

629,45C0.u97rrent Price140,465.08

Accrued Interest Received

Gross Proceeds Federal Withholding ForeiCgnurTraexnetsVPaaliude

Taxable

32,134.70

Tax-Exempt

Taxable

7

3,732,826.14 Unrealized Gain/(-)Loss*/

Cost Basis 5,503.88

Term

Estimated Annualized E

Income

INC

Cost Basis and Unrealized GainesCUaSnIP:d023L1o35s10s6es by

Total Income & ADMistZriNbutions

$2,041,177.11

$249,280.06 Margin Interest Charged

* Please note "% of assets" figures are shown gross of any amounts owed to Stifel and/or net short positions.

56.94

3.46

Acquired: 01/04/16

Margin/C

200

750.5700

150,114.00

127,859.98

22,254.02 S

N/A

security and individual tax lots toANmTERoOrReEScOoURnCcEiSsCeOlRyP

AR Stifel|Advantage

CUSIP: 03674X106

2 1 1 D3983 ASNH05101

manage tax obligations (availableAcqfuoirerd:aUcncknoowunnts

Cash/N

13,319

24.4900

326,182.31

Incomplete

N/A

N/A

APPLE INC

with cost basis elected and providCUeSdIP:)0.37833100 Acquired: 07/22/15

AAPL Margin/C

1,000

110,520.00

123,333.00

-12,813.00 L

Acquired: 08/11/15

Margin/C

500

55,260.00

58,249.95

-2,989.95 L

Stifel|Advantage

3 2 1 D3983 ASNH05101

A guide to understanding

your Advantage statement

SUE CLIENT TTEE REVOCABLE TRUST U/A/D 03/17/1981

November 1 November 30 Account Number:

Page 26 of 44 XX99 9999-9999

8 9 10 11 12 13

Activity Summary details investment activity by type for an easy explanation of changes to the bottom line, both recent and year-to-date,

ACTIVITY SUMMARY

8

Type of Activity

Activity Opening Balance - Net Cash Equivalents

Buy and Sell Transactions

Deposits Withdrawals Income and Distributions Money Market Activity Margin Interest Other Cash Management Activity

Checkwriting Activity

Assets Bought Assets Sold/Redeemed Deposits Made To Your Account Withdrawals From Your Account Income and Distributions Money Market Activity Margin Interest Charged Other Transactions Card Activity ACH/ATM Activity Checks You Wrote

Closing Balance - Net Cash Equivalents

Securities Transferred

Securities Transferred In/Out

Year-to-date

-7,934,789.62 3,732,826.14 1,656,493.94 -5,704,207.40 2,033,180.55

-56.94 544,276.61

-1,094,595.00

-674,147.50

CASH EQUIVALENTS

This period $3,591,897.60

Cash -$65,014.28

Money Market $3,653,246.88

31,814.63 -102,295.97 249,280.06

-3.46

-141,820.00 $3,628,872.86

-228,027.24

31,814.63 -102,295.97

17,532.51 -71,926.95

231,884.09

71,926.95

-141,820.00 -$99,825.97

$3,725,173.83

Margin $3,665.00

231,747.55 -3.46

-231,884.09

$3,525.00

Activity Details provide activity information for tracking individual transactions during the

ACTIVITY DETAILS

9

Opening Balance - Net Cash Equivalents

CASH EQUIVALENTS

This period

Cash Money Market

$3,591,897.60

-$65,014.28

$3,653,246.88

Margin $3,665.00

month, including, when applicable, deposits, withdrawals, assets bought, assets sold and realized gains and losses.

Cash Management Activity includes check writing, debit card, eBill, ACH and other cash management account activity in one place. Expense categories are reported on check writing activity for budgeting convenience.

Realized Gains and Losses summarizes by short-term and long-term to provide a full picture of tax opportunities and liabilities for each account.

Your Liabilities Summary reports any current loan balance and current interest rate, along with information on how to access funding and contact information for servicing the loan.

Stifel Insured Bank Deposit Program Summary provides individual bank balances for easy

Deposits Made To Your Account

Date

Activity

11/3/2016 Deposit

Quantity

11/4/2016 Deposit

11/28/2016 Journal Total Deposits Made To Your Account

Description

FUNDS WIRED IN FROM JPMORGAN CHASE BANK LEHMAN BROTHERS

VENTURE

Total 24,584.68

FJTUPRNMIDLOASRNWGTIIARCNECDCAHIPNAITFSARELOBPMASRUANUE/RAKEVT/DONCC0L3AIE/B1NL7TE/1T9TT8RE1UEST

2,086.68

T12345678 F87654321

5,143.27

$31,814.63

Cash 24,584.68

Money Market

Margin

2,0N86o.v6e8mber 1 November 30 Account Number:

5,143.27

$31,814.63

Page 34 of 44 XX99 9999-9999

CASH MANAGEMENT ACTIVITY continued

To report a lost or stolen Visa? Debit Card, at any time, call toll-free (800) 382-4368 and select option 2.

Stifel|Advantage For all other questions, call (800) 679-5446 on any business day between 7:30 am and 5:00 pm CST.

Checkwriting Activity continued

Date Paid Check no. Payee

Expense Category

11/01/16

1009

HABITAT 4 HUMANITY

Client Defined

11/28/16

1010

STRAY RESCUE

Total Checkwriting Activity

Client Defined

10

ExpenSsUeECCodLeIENT TTEE 26 13 1 D3983 ASNH051A0m1 ount

REVOCABLE TRUST

0 U/A/D 03/17/1981

-75,000.00

0

-50,000.00

-$141,820.00

November 1 - Cash November 30 Account Nu-7m5b,0e0r:0.00

-50,000.00 -$141,820.00

Money Market Margin Page 35 of 44

XX99 9999-9999

SECURITIES TRANSFERRED

Securities Transferred In/Out Date Activity

Closing Balance - Net Cash Equivalents

Quantity

Description

This period $3,628,872.86

Total

Cash -$99,825.97

Money Market $3,725,173.83

Margin $3,525.00

1C1/H28E/2C01K6WTrRanIsTfeIrNOGf AEccXoPunEtNSE S-1U3M,24M2.0A0R0 Y

Expense Category

Expense Code

Client Defined

0

Expense S*u**m*nmotae*r*y**

NUVEEN SHORT DURATION CR

OPPTYS FUND CUSIP: 67074X107

TO 226; NATIONAL FINANCI AL

-228,027.24

This Period -141,820.00 -$141,820.00

Year-to-date -1,094,595.00 -$1,094,595.00

Pct. of total 100.00% 100.00%

Total Securities Transferred In/Out STIFEL AWARD POINT SUMMARY

-$228,027.24

11 FRoEr tAheLmIZosEtDupG-toA-dIaNteSi/n(f-o)rLmOatSioSnEaSbout your Stifel Awards, simply log on to Stifel Access at and click on the"Awards" link located under the "Accounts" tab. Conveniently access your current

award point balance, search available award options, redeem points, review complete program rules and much more! If you do not have access to a computer, simply call 1-877-784-3354 and select option "4" and

Tthheisn smeackteioynopurrosveildeectsioensfrtiommattheedprreoamlipztesdthgaat finolsloowr. losses for informational purposes only. Clients should rely on their Form 1099 as the official record for tax preparation. Cost

bTahsisissmtataeymbeentaindcjulusdteesdpdouinetstoth,abtuatrenodut elimtoiteexdpitroe,atthtehefoelnlodwoinf tgh:eacmurorertnizt acatiloenn,daarcqcureatritoenr.,Sptaritnecmipeantlspsaeyndtoinwansq,uacratepri-taenl dchmaonngthesre, flliesctet pdooinptstioenxppirrinegmaiut mthes,egnidftionfgthreunleesx,t icnahleenrditaarnqcuearter. Points will

scettahexlepcpiuc-ruealalpetth,enrodegarearwyiqneausasarhorstresfrrlaoo. lmPsesosteih.nsetsU.eannPuldelteosoamsfstaaheteincroaectalvlhylieeeenwrxdmpatihrreeiqtshuifiaonardnfteowarrmciancsaowtuiihnonictnehisfcfteathrcraeetnyfasuwfteleltyrrhreeefodfitrriosmart ceiescaocurnlfroeatshdce.eydR,.tareadndedeecm, otehndetaatcnratddyeoinxupgrirteFadixnpaloonitncrtiseallwieAilfldmbveiesbtoharoswedditihnodnaiacnayfitreqsdtu-ienos,ntfiiorthsnte-so.fuirtsptropcaegses.oGf itfhteedsptoaitnetsmweinll tewxpairseuosneedyetoar from the end of

Current Points

As of Date

Expiring Points

Classification Definitions:

ACw: arTdaPxobinatsSisuminmfoarrmy ation for this security is covered by IRS reporting requirements.

110,987

11/29/2016

0

N: Tax basis information for this security is not covered by IRS reporting requirements.

W: Tax basis information for this security has been adjusted due to wash sale activity.

D: Donor adjusted basis was used in the gain/(-)loss calculation due to gifting rules.

F: Gift fair market value was used in the gain/(-)loss calculation due to gifting rules.

I: Inherited security.

Original

Adjusted

Stifel REALIZED GAINS/(-)LOSSES SUMMARY

TOTAL NET SHORT-TERM GAINS/(-)LOSSES TOTAL NET LONG-TERM GAINS/(-)LOSSES

Cost Basis $1,160,594.86

$3,605,629.56

Cost Basis*** $1,160,594.86

$3,689,464.60

Stifel|Advantage TOTAL NET OTHER-TERM GAINS/(-)LOSSES

GRAND TOTAL REALIZED GAINS/(-)LOSSES

$0.00

$0.00

Consoli$d4,7a6t6,2e2d4.42Statem$4e,8n50t,059.46

34 17 1 D3983 ASNH05101

Sale Proceeds $859,807.04

$2,873D,e0c1e9m.1b0er 1 Dec$e0m.0b0er 31

$3,732A,c8c2o6u.n1t4Number:

Realized Gain/(-)Loss**

-$108,280.68

$477,777.37 $0.00Page 12 of 12 XX99 9999-9999

$369,496.69

monitoring of deposits at any program bank.

Stifel STIFEL BANK & TRUST

Our statements are designed to help you follow your portfolio and monitor your tax planning for easy

investment decision-making.

501 North Broadway | St. Louis, Missouri 63102 | (314) 342-2000 Stifel, Nicolaus & Company, Incorporated Member SIPC & NYSE |

YOUR LIABILITIES SUMMARY

Loan Number

Stifel|AdvanLotanaTygpe e

000000000000 - CLIENT, NAME 000000000000 - CLIENT, NAME 0000000000 - CLIENT, NAME 0000000000 - CLIENT, NAME

Stifel Pledged Asset (SPA) Loan Stifel Pledged Asset (SPA) Loan Mortgage Mortgage

Total Other Liabilities

Stifel Bank & Trust loan information as of MM/DD/YYYY

Current Principal Balance

35 18 1 D3983 ASNH05101

12

2,883,013.41 4,183,407.59

362,150.71

711,054.30

$8,139,626.01

Current Interest Rate 2.756% Variable 2.506% Variable 2.875% 2.875%

ABOUT YOUR STIFEL BANK LOAN:

SUE CLIENT TTEE

REVOCABLE TRUST U/A/D 03/17/1981

November 1 November 30 Account Number:

Page 39 of 44 XX99 9999-9999

TO ACCESS FUNDS FROM YOUR SPA LOAN please contact your Stifel Financial Advisor, or call the SPA Loan Team at (866) 590-0928.

Stifel Bank is committed to providing the highest level of customer service, convenience, and account functionality to our clients. If you have any questions regarding your SPA or Mortgage loan, please call (877) STIFEL-1 and we will be glad to assist you.

To review the details and activity of your loans, you may use our online portal through the Access Your Account page on . Additionally, you

13 SctiafnelaIcncseussreydouBraSnPkADLeopaonsiAtcPcroougnrtainmformation on Stifel Access through . Just look under the account(s) pledged to your SPA Loan for details. The summary of information is provided for your convenience. Please review your Stifel Bank & Trust billing statement for complete loan details.

AmRoefuenrte(nsc)elsisttoedSbtiefelol wmainycaluppdleyatcocpruaerednitncteormesptainnytShetifaeml Foiunnatnocfia$l1C0o6r.p7.5oartaanyraotef oitfs 0w.0h5o%lly. owned subsidiaries, including Stifel, Nicolaus & Company,

DescrIipnctoiorpnorated. Stifel Bank & Trust, member FDIC, EquLaol cHaotuiosinng Lender, NMLS#375103, is a wholly owned subsidiaPryreovf iSotuifeslMFionanntchiaVl Caolurpe. and Current Month Value

CAistsiboacniaiaankfntfsedNiudliraAaeBrtdeeansboukyfbNStjhetAecifteFtlDo, NIiCnivc, eoaslratemunseon&ttdrCeisopkmo,spiintascnloyur,doIinnthcgeoprrpooosbsrliaibgtelaedti,lSGooMinsroesseuemooxnffbFBtSehatareliylfSsep,I,lrWPiSBnCDIcain&pkaNl&.YTSrEu.stUonrleitsssaoftfhileirawteiss,easrpeencoiftigedu,arparnotdeuecdtsbypuSrtcihfealseBdanfrkom&$$22oT74rr16uh,,s55etl91do20rb..24iyt66sSatfiffeilliaatrees,not

$253,553.86 $246,510.46

Commonwealth Bank and Trust

Louisville, KY

$246,510.46

$246,510.46

The Camden National Bank

Camden, ME

$246,510.46

$246,510.46

State Bank of India

New York, NY

$246,510.46

$246,510.46

Kearny Bank

Kearny, NJ

$246,510.46

$246,510.46

The PrivateBank and Trust Co

Chicago, IL

$246,510.46

$246,510.46

Bank of Baroda

Yadkin Bank StateE-BMaanilekd&StTatreumsetnCt ompany

Stifel|ANStedawtesYvvoilralke,,nNNCYtage Greenwood, MS

$246,510.46 $246,510.46 $246,510.46

$246,510.46 $246,510.46 $246,510.46

Compass Bank

Birmingham, AL

$35,001.48

$35,002.96

Closing Balance - Insured Bank Deposit

$2,507,150.96

The FDIC Insured Bank Deposit Program (the "Program") deposits shown above are held at the respective banks listed above, not at Stifel, Nicolaus & Company, Incorporated ("Stifel"). Effective June 11, 2012, the Program was expanded to provide maximum coverage available for joint accounts from $2.5 million to $5 million. As a result, for joint accounts the maximum amount placed in any one of the participating banks in this Program will increase from $246,500 to $493,000 and if applicable is reflected in the balances listed above. The Program seeks to make available up to $2.5 million of FDIC insurance coverage (or $ 5 million for joint accounts) subject to any limitations. The deposits are not covered by the Securities Investor Protection Act (SIPC) and are included on this statement solely as a service to our clients. Balances in the Program are

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