Irving H. Picard v. Saul B. Katz et al

Filing 168

DECLARATION of Regina Griffin Continued With Exhibits 16 to 30 in Support re: 162 FIFTH MOTION in Limine To Deem Statements By Sterling Stamos Employees In The Course Of And In Connection With Their Employment By Sterling Stamos As Admissions of The Sterling Defendants.. Document filed by Irving H. Picard. (Attachments: # 1 Exhibit 16, # 2 Exhibit 17, # 3 Exhibit 18, # 4 Exhibit 19, # 5 Exhibit 20, # 6 Exhibit 21, # 7 Exhibit 22, # 8 Exhibit 23, # 9 Exhibit 24, # 10 Exhibit 25, # 11 Exhibit 26 - 1, # 12 Exhibit 26 - 2, # 13 Exhibit 27, # 14 Exhibit 28, # 15 Exhibit 29, # 16 Exhibit 30)(Sheehan, David)

Exhibit 27

From:
Sent:
To:
Subject:

Kevin Barcelona
Tuesday, August 30, 2005 3:31:04 PM
Saul B. Katz
Sterling Book 8-1-05x15

Attachments:

Sterling Book 8-1 -05.xIs

Sterling Book

8-1-05 xis
(289 kB)

CONFIDENTIAL

S5MT00037045

SSMSAA0037O45

Monthly Returns (Done)

12

4

3

5

8

7

8

9

10

11

2

3

sterling Stamos

4
5

Fund Performance
Nei of ail fees and expenses

8
7

Security Friends & Family Levered Growth Growth Off Liquidity

8
g

N/A
N/A
NIA
NIA
NIA

11

Oct
Nov
Dec

12

04

la

YTO

0.71%
1.04%
-0.19%
1.56%
1.56%

Jan
Feb
Mar
01

0.70%
0.59%
0.46%
1.76%

0.44%
0.33%
1.43%

N/A
N/A
N/A
NIA

22

Apr

23
24
25
26
27
28
29
30

May

1.19%
1.28%
0.52%
3.02%

1.05%
1.38%
0.53%
3.02%

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

0.44%

0.61%
0.32%
1.08%
2.02%

-0.23%
0.12%
1.85%
1.74%

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

1,11%
0.65%
1.12%
2.91%
9.70%

1.60%
0.95%
1.32%
3.92%
5.72%

1,41%
0,54%
0.86%
2.63%
2.83%

N/A
N/A
N/A
NIA
NIA

N/A
N/A
N/A
N/A
NIA

0.97%
0.31%
2.59%

0.99%
0.67%
0.51%
2.19%

1.63%
1.08%
0.35%
3.09%

1.32%
1.14%
0.56%
3.05%

1.09%
0.88%
0.38%
2.38%

N/A
N/A
N/A
N/A

0.41%
-0.29%
0.72%
0.84%

0.50%
-0.10%
0,58%
0.98%

0.80%
-1.14%
1.20%
0.84%

0.18%
.0.48%
0.97%
0.66%

0.64%
1.11%
1.27%

N/A
N/A
N/A
NIA

0.24%
0.49%
0.62%
1.36%

0.34%
0.50%
0.69%
1.84%

0.04%
0.33%
0.81%
1.18%

0.28%
0.45%
0.74%
1.46%

.0.16%
0.24%
0.44%
0.52%

0.19%
0.39%
0.28%
0.86%

Oct
Nov
Dea

0.43%

0.44%

0.54%

0.54%

0.74%

0.29%

04

0.43%
5.30%

0.44%
5.34%

0.64%
5.76%

0.54%
5.83%

0.74%
4.99%

0.29%
1.15%

17.42%
0.65%
8.01%
0,51%
1.77%
3.7

16.72%
0.82%
7.71%
0.43%
1.51%

11.81%
0.70%
8.74%
0.76%

4.0

2.62%
2.7

8.83%
0.65%
6.12%
0.49%
1.70%
3.6

I

4.99%
0.49%
6.01%
0.49%
1.71%
2.5

22

23

14

12

I

8

1.15%
0.29%
3.50%
0.07%
0.25%
8.0
4

2002

io

N/A
N/A
N/A
N/A
N/A

0.51%
1.24%

-0.73%
1.01%
1.01%

N/A
N/A
N/A
N/A
NIA

N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
NIA

N/A
N/A
N/A

N/A
N/A
'I/A
N/A

N/A
N/A
N/A
N/A

N/A
NIA

NIA

14

15

2003

16

17

Is
19

065%

N/A

20
21

Jun

02
Jul
Aug
Sep

03

31

0.46%
1.77%
1.79%

I

I

32
33
34

Oct
Nov
Dec

35
36
37
38

04
VTO

123%
0.75%
0.68%
2.89%
9.79%

39
40
2004

41

42

43

Jan
Feb
Mar

01

44
45
46

Apr
May
Jun

48
49
50

02
Jut
Aug
Sept

si
52
53
54

03

1.29%

55
56

57
58
59
60

VTO

.048%

61

62

63
64
65
66
67
68
69
70
71

Otliciai launch to non-affiliated investors

Return Since inception
Avq. Monthly Return
Annualized Return
Monthly Standard Deviation
Annuultzed Standard Deviation
Sherpa Ratio
Positive Months

CONFIDENTIAL

SSMT00037046

SSMSAA0037O46
SSMSAA0037O46

Monthly Returns (Done)

12

13

14

15

16

2
3
4
5
6
7

8
9
10

Acceteratton SecurIty Off
N/A
N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
NIA

N/A
N/A
N/A
N/A

N/A
N/A
NIA
N/A

N/A
N/A
N/A
NIA

N/A
N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
NIA

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

N/A
N/A
N/A
N/A

0.82%

0.55%

0.82%
0.82%

0.56%
0.55%

65
66
67
88
69
70

0.82%
0.82%
10.30%
0.00%
0.00%
N/A

0.55%
0.55%
6.80%
0.00%
0.00%
N/A

71

1

1

11

12

13
14
15
16
17
16
19
20
21

22
23
24
25
26
27
28
29
30
31

32

33
34

35
36

37
36
39
40
41

42
43
44
45
46
47
48
49
50
51

52

53
54
55
55
57
58
59
60
61

62
63
64

CONFIDENTIAL

S3MT00037047

SSMSAA0037O47
SSMSAA0037O47

Monthly Returns (Dane)

12
72
73
74
75
76
77

3
Negative Months
Total Months Reported
Percentaqe Positiva

CONFIDENTIAL

4

5

8
3

7

8
2

9

10

11

2

1

2

25

25

16

13

10

88%

92%

88%

92%

80%

0
4
100%

SSMT000S7O48

SSMS1AA0037O48
SSMSAA0037O48

Monthly Returns (Done)

12
72
73
74

13

0
1

1

100%

15

0

100%

14

16

75
76
77

CONFIDENTIAL

SSN1100037049

SSMSAA0037O49
SSMSAA0037O49

SSP AUM (Done)

3

2

FrIends & Family

2
.4

6
7
8
9

4

5

6

8

7

aecunlry Ford

Lever, a Fund (Norlonal)

9

12

11

1

Orowr)r Fund (onfsoiore(

Orowon Fund

13

14

LiquldityFunt

EndIng Balanceo

FIrst Quarter
2003 January
Febonunry
March

5
5

35.225319
36,363)07
31.065427

$

S

S

24.513,953
24,642,640
25,615,939

Io
11

Second Quarter

92

AprO

5

37,567,262

03

May
June

5

35.208760
39.214547

li

S

42483,645
44343,632
45,810,416

65
66

Third Quarter

17

July

5

27,369,981

$

18

AugurI
September

S

27,683224

$

20.299,592

S

69435 481
72,635,497
77,190,540

$
$

5

5
6

28.626.798
29,325,907
32,059,101

5
5

61.705.772
66,274,783

$

6)162,478

$
5
$

82,205,817
62,015,688

5

64,038139

5

31,714,367
32,019,603
33,767,200

$
5

5
$

5

96.987,549
102,147,888
135,421,052

148,410,602
156,964,777
170,128,236

5

$
$

180,100,869

$
5
$

210,703,070
244,575,4819

244,185,20)

66

S

64,055 590
64,330,602
71,556.811

20
21

Fourth Quarter

22
23

October
November
Dacambar

24

5

3

12.059.119
23,957,619
31,006,297

25
27
28
30
31

Beginning Bilance.
FIrst Quarter
2094 J890013#

5

32
33
34
35
35
37

Feburuary
March

Muy
June

$
5
$

34,778,646
30,102,104
38.541,302

$

3)
3)

$

170,825,031

42
43
44
48

Third Qianiner
July
AugurI
Snptemher

$
5
$

36.399,540
35.407.936
37,525.320

S

217,504,308
217.539.170
721,706,074

$

$
$

46
47
48
49

Fourth Quarter
Oclober
Novernobel

5
5

38,309,190
38,842,714

$
$

330,049,256
243,933,616

$

80
51

4,020,000
4,040.170

49,657,056
52,319,714
61,696,803

5

$

66,339,320

S

4S0,527

$
$

96,551295

S
S

4383,430

102.166.910

240.426.44)
246,507,789
247.889.838

5
5
5

135.611.076
135,594,099
940.204.002

5
S

27,394,079
27,370,398
31,463.145

242,594,511
242,160.914

9

143,666,054
145,760,054

5

38888.123

S

42,414,630

S

5
5

December

$

$

Second Quarter

p,e

165,574244

4083,144

4,257,293

40
49

$

$

$

5

S

$

39.672,700
39.672.700
32,689,131

IS

32,322,503
37,784,485

1
$

52

CONFIDENTIAL

3SMT00037050

SSMSAA0037O5O
SSMSAA0037O5O

SSPAUM (Done)

15
2

le

17

16

IS

20

21

22

23

24

Total

Security Fund (Offshore)

AcceleratiOn Fund

7

S

59739.271

8
9
Io

s

ei 005947

5

62.791398

12

S

80.071.227

IO

5

82552412

S

85.033.262

17

S

le

5

157,920940
164 652,223

19

5

177049943

5
5
5

205392506

5

330.809,514
347.392.073
405,316,435

Il

li

IS

lt

20
21

22
22
24
25

222,373877

238274012

27

28

-

-

20
31

S

22
23

5

34

05
26
37
28
39
40

5
5
S

494,172217
847.225,482
557.978.734

41

42
42
44
46
46
47
48
45

$
5
5

5

90 $

15,444 125
15.544.126

SI

9
5

6,455,926
28.458.926

706999,142
707.092079
711568,308

5
5

748,216,647
764,709,654

S

52

CONFIDENTIAL

SSMT00037O51

SSMSAA0037O51
SSMSAA0037O5I

SOPAUM (Don.)

II

2
Balanona lrom January 24 to prreont

3

4

5

5

7

reprenont ho Starling Slamoa eotirnnaln4
53

a

,r4

ii

12

3

14

I
I

boninnlnu haletons afilie tanda and
norronpond lathe alicantinas nommais.
-

CONFIDENTIAL

a

I

SSMT00037052

SSMSAA0037O52
SSMSAA0037O52

SOP AUM (Dons)

15

17

12

1g

20

21

22

23

24

53

CONFIDENTIAL

SSMT00037053

SSMSAA0037O53
SSMSAA0037O53

Sterling Fees (Dane)

1

I

Sterling Equities - Fees

2

July
Mgmt fee

3 Security Fund

7 Mr. Fred Wilpon
8 Mr. Fred Wilpun & Mr. Saul B. Katz (Pledged Account)
9 Fred Wilpon-Air Sterling (Pledged Account)
10 Mr. Saul B. Katz
11 Mrs. Elise C. Tepper
12 Mrs. (nsj. Katz (Pledged Account)
13 Mrs. Judith A. Wilpoo (Pledged Account)
14 Robbirisville Park LLC (Pledged Accotmt)
IS Saul B. Katz Family Trust (Pledged Account)
16 Saul B. Katz Frtmily Trust Tracing Account
17 Sterling Equities Associates
18 S-M, LP. Funding Account - Player ObligaUon
19 Saul B. Katz Family Trust #2
20 Fred Wilpon Family Trust #2
21 Metsll,LLC
22 Total

I

4

Web ID Number

2

14 Charles Sterling LLC (Pledged Account)
5 Estate of Leonard J. Schreier
6 Fred Wilpon Family Trust (Pledged Account)

3

19682-46853
19682-46880
19682-0014
19682-0021
19682-46852
19682-46877
19682-41730
19682-0012
19682-0023
19682-0022
19652-46854
19682-0011
19682-41833
19682-0024
19682-493 76

August
Mgrnt fee

(842)

(842)

(4.201)

(4,201)

23
24

26

July
Mgrnt fee

26

27 Friends and Family
28 Fred Wilpon Family Trust (Pledged Account)
29 Fred Wilpon Family Trust TracingAccount
30 Mr. Brendan O'Brien & Mrs. Natalie O'Brien
31 Mr. Fred Wilpon
32 Mr. Richard A. Wilpon
33 Mr. Saul B. Katz
34 Mrs. Doyle H. Katz
35 Mrs. Debra Wilpon
36 Mrs. Iris J. Katz
37 Mrs. Judith A. Wilpon
36 Gregory Katz

39 Howard Katz
40 Tudd Katz
41 Mrs. Phyllis Osterman
42 Mrs. Ruth Friedman
43 Red Valley Parthers (Pledged Account)
44 Seul B. Katz Family Trust (Pledged Account)
45 Saul 13. Katz Fantily Trust Tracing Account
46 Total

CONFIDENTIAL

19683-0016
19683-0031
19683-46895
19683-0015
19683-0018
19683-0011
19683-0020
19683-0019
19583-0013
19683-0017
19683-58350
19683-58332
19683-58351
19683-0021
19683-0032
19683-0014
19683-0012
19683-0030

August
Mgnit fee

(46311

(4,631)

14,8721

(4,8721

(421)

(421)

(2,554)

(2,554)

(842)

(842)

(219)

(219)

(3,226)

(3,226)

(2,527)

(2,527)

(84)

(84)

(168)

(168)

f L236)

(1,256)

(651)

(651)

(21,451)

(21,451)

SSMT000S7O54

SSMSAA0037O54
SSMSAA0037O54

S!er(ing Fees (Done)

5

I

G

I

8

7

I

9

I

io

I

Il

12

13

2002

1

2

September

3

Mgmt fee

October
Mgmt fee

November

December

Mgmt fee

Mgmt fee

Mgmt fee

Total
Incentive fee

4

Total

Jan.
Mgrnt fee

-

5

-

-

(421)

(1,250)

(1,250)

(1,125)

(337)

(337)

(337)

(1,377)

8

-

-

9

.

-

lo

-

-

(431)

(828)

(4,957)

(4,957)

(861)

12

(632)

(632)

(632)

(645)

13

(632)

(632)

(632)

(645)

(4,130)

(24724)

(24,724)

(4,563)

-

(1,025)

(1,685)

(1,719)

(421)

6

(408)

7

(815)

11

(828)

(802)

14

(4,065)

15

(4130)

(3,997)

16

(1,685)

17

(1,685)

18
-

19

20

-

-

21

(12,391)

(34,217)

22
24
24

2002

25
26

September

27

Mgmt fee

28

October
Mgmt fee
(4,518)

November
Mgmt fee
(5,192)

December
Mgmt fee

Mwnt fee

Totel
Incentive fee

Jan.
Total

Mgmt fee

(5,365)

(28,819)

(5,532)

(833)

(4,482)

29

(833)

(855)

(5,422)

30
31

(4,715)

(4,753)

(4,600)

(5,253)

(29,065)

32

(408)

(411)

(398)

(411)

(2,470)

(424)

33

(2,471)

(2,491)

(2,411)

(2,491)

(14,972)

(2,572)

34

(815)

(822)

(795)

(822)

(4,933)

(849)

35

(212)

(214)

(207)

(214)

(1,285)

(221)

36

(3,122)

(3,147)

(3,046)

(3,355)

(19,122)

(3,464)

37

(2,446)

(2,465)

(2,386)

(2,674)

(15,025)

(2,760)

38

-

39
40
41

-

(82)

(82)

(80)

(82)

-

(85)

(194)

42

(163)

(164)

(]59)

(164)

(986)

(170)

43

(1,216)

(1,361)

(1,317)

(1,361)

(7,767)

(1,406)

44

(630)

(1,057)

(1,022)

(1,057)

(5,068)

(1,091)

(820)

(2,514)

(3,334)

(22,433)

(26,596)

(134,178)

45
46

CONFIDENTIAL

(20,762)

(21,485)

(2,575)

'

-

(27,426)

SSMT00037055

SSMSM0037O55
SSMSAA0037O5S

Slerling Fees (Done)

14

I

15

I

is

I

17

I

18

j

19

I

20

21

3

22

I

23

2003

1

2

I

Feb.
Mgmt fee

Mar.
Mgmt fee

Apr.
Mgrnt fee

May.
Mgmt fee

Jun.
Mgmt fee

July

Aug.

11gmt fee

Mgmt fee

Sept.
Mgmt fee

Oct
Mgmt fee

Nov.
Mgmt fee

4

(833)

(833)

(833)

(849)

(851)

5

(1,042)

(1,043)

(1.041)

(1,061)

(1,064)

6

(1,016)

(1,325)

(1,096)

(1,133)

(3,097)

(1,144)

(1,143)

(1,143)

(124)

(124)

7

(1,244)

(1,378)

(1,342)

(1,387)

(1,342)

(3,484)

(3,482)

(4,648)

(4,736)

(4,752)

(1,250)

(1,250)

(1,250)

(1,273)

(1,277)

(2,576)

8
9

10

(389)

431

(420)

(434)

(420)

(2,521)

(2,521)

(2,521)

(2,568)

11

(777)

(861)

(839)

(867)

(839)

(875)

(875)

(875)

(892)

(894)

12

(582)

(645)

(2,688)

(2,778)

(2,688)

(2,804)

(2,804)

(2,804)

(2,858)

(2,856)

13

(582)

(645)

(2,688)

(2,778)

(2,688)

(2.804)

(2,804)

(2,804)

(2,858)

(2,866)

(833)

(833)

(833)

(849)

(851)

(4,444)

(4,638)

(4,630)

(4,629)

(3,849)

(3,691)

14
15

(4,122)

(4,561)

(4,444)

(4,593)

46

(926)

(1,025)

(999)

(1,032)

(999)

(1,042)

(1,042)

(1,042)

(1,062)

(3,065)

17

(1,552)

(1,719)

(1,719)

(1,719)

(1,675)

(1,748)

(1,747)

(1,747)

(1,780)

(1,786)

(11,190)

(11,528)

(16.235)

(16,721)

(16,192)

(25,018)

(25,005)

(26.170)

(24,759)

(24,663)

18
IO

20
21

22
23

w
2003

26
26

Mer.

Feb.

27 Mgmt fee

Mgnt fee

Apr.
M&rst fee

May.
Mgmt fee

Jun.
Mgmt fee

July
Mgmt fee

Aug.
Mgmt fee

Sept.

Oct

Mgmt fee

Mgmt-fee

Nov.
Mgmt fee

28

(4,998)

(5,333)

(5.371)

(5,550)

(5,371)

(5,605)

(5,604.00)

(5,604.00)

(5,722.00)

(5,723.00)

29

(772)

(855)

(830)

(855)

(830)

(866)

(866)

(866)

(884,00)

(884.00)

(42)

(42)

(42)

(4300)

(43.00)

(5,265)

(3,410)

(3.408.00)

(3,408.00)

(3,480.00)

(3,482.00)

30
(5,422)

(5,265)

(5,440)

31

(4,897)

32

(383)

(424)

(412)

(426)

(412)

(430)

(430)

(430)

(439.00)

(439.00)

33

(2.324)

(2,574)

(2,498)

(2,581)

(2,498)

(522)

(523.00)

(522)

(533.00)

(531.00)

(851)

(824)

(860)

(860)

(860)

878.00

878.00

34

(767)

(849)

(824)

35

(199)

(221)

(214)

(221)

(214)

(224)

(224)

(224)

(228.00)

(228.00)

36

(3.129)

(3,465)

(3.363)

(3,476)

(3.363)

(195)

(195)

(195)

(199.00)

(199.00)

37

(2,494)

(2,761)

(2,679)

(2,769)

(2.679)

(192)

(192)

(192)

(196.00)

(196.00)

38

39
40
41

(77)

(85)

(82)

(85)

(82)

(86)

(86)

(86)

(88.00)

(88.00)

42

(153)

(170)

(165)

(170)

(165)

(172)

(172)

(172)

(176.00)

(176.00)

43

(1,270)

(1,406)

(1,365)

(1,410)

(1,365)

(1,425)

(1,424.00)

(1,424.00)

(1,454.00)

(1,455.00)

44

(985)

(1,091)

(1,059)

(1,094)

(1,059)

(1,106)

(1,105)

(1,105)

(1,128.00(

(1,129.00)

45

(2,327)

(2,576)

(2,500)

(2,583)

(2.500)

(2,608)

(2,607.00)

(2,608.00)

(2,664.00)

(2,664.00)

46

(24,775)

(27,431)

(26,627)

(27,517)

(26,627)

(17,743)

(17,738)

(17,738)

(16,356)

(16,359)

CONFIDENTIAL

S3M100037056

SSMSAA0037O56
SSMSAADO37OS6

$Íerling Fees (Doris)

24

2
3

I

Dee,
Mgmt fee

25

26

I

I

Incentive Fees

Mgmt. Fees

27

28

-

29

I

Jan.
Mgmt fee

Total

18

-

19

-

20

-

row 229
row 236
row 186
row 193
row 228
row 240
row 203
row 184
row 194
row 195
row 230
row 183
row 199
row 196
row 266
row 280
row 273

-

30

I

Feb.
Mgmt fee

31

Mar.
Mgmt fee

row277

4

(852)

(5.051)

(2,361)

(7,412)

5

(1,065)

(6,314)

(2,952)

(9.266)

6

(124)

(10,394)

7

(4753)

(33,925)

8

(1,278)

(7,578)

(15,202)

(17,176)

(51.101)

(3.541)

(11,119)

.

-

9

lo

(4,808)

'

(2,578)

(16,948)

(8,411)

(25,359)

11

(895)

12

(2.867)

(10,350)

(4,994)

(15,344)

(27,029)

(13,728)

(40,757)

13
14

(2,867)

(27,029)

13.728)

(40,757)

(852)

(5,051)

(2,361)

(7,412)

15

(3,687)

(51,851)

(24,833)

(76,684)

16

(1,065)

(12,324)

(5.971)

(18,295)

17

(1,786)

(20.697)

(9,814)

(30,511)

2)
22

(24,669)

(234,540)

(114,678)

(873)

873)

(878)

(1,091)

(1,091)

(1,098)

(1,790)

(1,790)

(1,801)

(1368)

(2,368)

(2.382)

(1,309)

(1354)

(1,362)

(108)

(108)

(109)

(973)

(973)

(1,389)

(915)

(921)

(2,934)

(2,951)

(2,933)

(2,934)

(2,951)

(873)

(1,017)

(1,023)

(7,941)

(7,944)

(7,991)

(1,089)

(1,089)

(1,096)

(1,827)

(t827)

(1,833)

(2,500)

(2,501)

(2,515)

(29,523)

(349,218)

(915)
(2,933)

(29,718)

(30,305)

M
24

26
26

Dcc.

Mgmt. Fees

Incentive Fcos

Total

Jon.
Mgmt fee

27 Mgmt fee

(5,875)

(5,876)

(5,878)

(907)

(908)

(908)

(44)

(44)

(56)

(3,571)

(3,571)

(3,572)

(451)

453)

(451)

(546)

545

546

(901)

(901)

(902)

(3,757)

(234)

(234)

(235)

(28,593)

row 101

(199)

(200)

(200)

(23,135)

row 105
row 148
row 146
row 149
row 109
row 110
row 102
row 100
row 119

(197)

(197)

(197)

-

(54)

(54)

-

(54)

(54)

-

(54)

(54)

(90)

(90)

(90)

(180)

(180)

(180)

(1,493)

(1,493)

(1,494)

(1,158)

(1,158)

(1,159)

(5,73200)

(66,345)

(28,530)

(94,873)

29

(885.00)

(10,250)

(4,642)

(14,892)

30

(43.00)

(255)

(130)

(385)

31

(3,486.00)

(52,384)

(20,934)

(73,318)

32

(440.00)

(5,089)

(2,133)

(7,222)

33

(534.00)

(18,213)

(6,428)

(24641)

34

(879.00)

(6,667)

(4,253)

(10,920)

35

(229.00)

(2,648)

(1,109)

36

(200.00)

(21,443)

(7,150)

37

(197.00)

(17.307)

(5,828)

40

-

-

-

'

41

(88.00)

1,019)

(427)

(1,446)

42

(176.00)

2,037)

(851)

(2,885)

43

(1,457.00)

(16,861)

(7,182)

(24,043)

44

(1,130,00)

(13,082)

(5,847)

(18,929)

45

(2,667.00)

46

(18,143) -

CONFIDENTIAL

Mar.
Mgmt fee

row 104
row 120
row 132
row 103
row 106
row 99
row 108
row 107

28

38
39

Feb.
Mgmt fee

(30,880)

(14,359)

(45,339)

(264,480)

(109,803)

(374,283)

(2,733)

(2,734)

(2,735)

(18,579)

(17,654)

(17,673)

SSMT00037057

SSMSAA0037O57
SSMSAA0037O57

Slerling Fees (Done)

32

I

33

I

34

I

35

I

36

37

I

I

39

40

Oct

Nov.

Mgmt fee

Mgmt fee

Dec.
Mgmt fee

38

I

2004

1

May.

2

Apr.

3

Mgnit fee

Jun.

Mgmt fee

July

Mgmt fee

Mgmt fee

Sept.
Mgmt fee

Aug.

Mgmt fee

4

(896)

(897)

(897)

(904)

(904)

5

(1,120)

(1,121)

(1,121)

(1,131)

(1,131)

6

(1,837)

(1,839)

(1,839)

(1,854)

(1,854)

7

(4,096)

(4,101)

(4.101)

(4,133)

(4.134)

3

(1,390)

(1,391)

(1,391)

(1,402)

(1,402)

9

(111)

(111)

(111)

(112)

(112)

(2,250)

(2,252)

(2,252)

(2,271)

(2,271)

10
11

(939)

(940)

(940)

(948)

(948)

12

(3,011)

(3,014)

(3,014)

(3,038)

(3,038)

13

(3,011)

(3,014)

(3,014)

(3.038)

(3,038)

14

(1,044)

(1,045)

(1,045)

(1,053)

(1,053)

15

(8,151)

(8,159)

(8,160)

(8,228)

(8,231)

16

(1,118)

(1,119)

(1,119)

(1,128)

(1,128)

17

(1,875)

(1,877)

(1,876)

(1,892)

(3,033)

18

(2,566)

(2,569)

(2,568)

(2,589)

(2,390)

19

(1,250)

(1,251)

(1,251)

(1,261)

(1,261)

20

(1,250)

(1,251)

(1,251)

(1,261)

21

(417)

(417)

(417)

(420)

(420)

22

36,332)

(36,368)

(36,367)

(36,663)

(37,814)

1,261)

24
24

2004

25
26

Apr.

27

Mgmt fea

Mey.
Mgrnt fee

Jun.

July

Aus.

Sept.

Oct

Nov.

Dec.

Mgmt fee

Mgmt fee

Mgmt fee

MgnQ fee

Mgmt fee

Mgmt fee

Mgmt fee

28

(6,017)

(6,009)

(6,010)

(6,060)

(6,063)

29

(928)

(928)

(928)

(936)

(936)

30

(58)

(58)

(58)

(58)

(58)

31

(3,651)

(3,651)

(3,652)

(3,683)

(3,684)

32

(461)

(461)

(461)

(465)

(465)

33

(555)

(558)

(560)

(560)

(363)

34

(922)

(922)

(922)

(930)

(930)

35

(240)

(240)

(240)

(242)

(242)

36

(204)

(204)

(204)

(206)

(206)

37

(202)

(202)

(202)

(204)

(204)

38

(55)

(55)

(55)

(55)

(55)

39

(55)

(55)

(55)

(55)

(55)

40

(55)

(55)

(55)

(55)

(55)

41

(92)

(92)

(92)

(93)

(93)

42

(184)

-

-

43

(1,527)

(1,527)

(1,527)

(1,540)

(1,541)

44

(1,184)

(1,184)

(1,185)

(1,195)

(1,195)

45

(2.795)

(2,795)

(2.796)

(2,819)

(2,820)

46

(19.175)

(18.996)

(19,002)

(19,156)

(19,165)

CONFIDENTIAL

S3MT00037058

SSMSAA0037O58
SSIVISAA0037O5B

Slerling Fees

41

2

I

Mgnit. Fees

cne)

I

Incentive Fees

43

44

Total

42

Grand Total
Since inception

3

45

4

(7,122)

(1,987)

(9,109)

(16521)

£

(8,904)

2,505)

(11,409)

(20,675)

6

(14,604)

(4,075)

(18,679)

(35,131)

7

(27,683)

(5,390)

(33,073)

(84,511)

8

(11,001)

(3,050)

(14,051)

(25,170)

9

(882)

(247)

(1,129)

(1,129)

10

(14,631)

(2,215)

(16,846)

(42,205)

11

(7,466)

(2.100)

(9,566)

(29,867)

12

(23,933)

(6,677)

(30,610)

(71,999)

13

(23,933)

(6,677)

(30,610)

(71,999)

14

(8,153)

(1,987)

(10,140)

(17,552)

15

(64,805)

(2,052)

(66,857)

(168,265)
(27,462)

16

(8,886)

(281)

(9,167)

17

(16,050)

(6,677)

(22,727)

(54,923)

18

(20,398)

(5,691)

(26.089)

(26,089)

19

(6,274)

-

(6,274)

(6,274)

20

(6,274)

(6,274)

(6,274)

21

(2,091)

22

(273,090)

'
'
(51,611)

(2,091)

(2,091)

(324,701)

(708,136)

23
24

25
26

Mgait. Fees

Incentive Fees

Total

27
28

(47,778)

29

(7,379)

30

(434)

'
'
'

31

(29,035)

32

(3,666)

33

(2,251)

34

(7,330)

35

(1,907)

36

(1,623)

'
'
'

37

(1,605)

38

(383)

39

(383)

40

(383)

41

(732)

42

(724)

43

(12,142)

44

(22,227)

46

(149,400)

CONFIDENTIAL

(47,778)

(142,653)

(7,379)

(22,271)

(434)

(8)9)

-

(29,035)

(102,353)

'

(3,666)

(10,888)

(2,251)

(26,892)

(7,330)

(18,250)

(1,907)

(5.664)

(1,623)

(30.216)

-

(1,605)

(24,740)

-

(363)

(383)

'
'
'

(383)

(383)

(383)

(383)

(732)

(2,178)

(783)

(3,671)

'

(12,142)

(36,185)

(9,418)

(28,347)

'

(22,227)

(67,466)

(149,459)

(523,742)

(59)

(9,418)

45

Grand Total
Since inception

(59)

SSMT00037059

SSMSAAUO37O59
SSMSAA0037O59

Sieriirtg Fees (Dane)

2

1

3

4

47

48
49

50 Security (Levered)
51 Estate of Leonard J. Scherier
52 Saul B. Katz & Fred Wilpon (TIC)
63 Saul B. Katz Foundation
54 Saul B. Katz Family Trust- CW Tracing Account
55 Red Valley Farthers (David Katz, Heather Katz, & Nataline Katz)
55 PS Company LLC
57 Iris J. Katz
68 Marvin B. Tepper Tracing
59 Saul B. Katz
60 Judith A. Wilpon
61 Saul B. Katz (Jewelry)
62 Saul B. Katz (Pawling Refinancing)
63 Fred Wilpon Family Trust-CW Tracing Account
64 Saul B. Katz Family Trust
65 Michael Katz
66 Mrs. Dayle Katz
67 Mr. Fred Wilpon
68 Mr. Richard Wilpon
69 Mark Peskin & Alisan Peskiri
70 Mark Peskin
71 Mrs. Dayle Katz (IRA Account)
72 Mrs. Ruth Friedman

295
301
302
303
310
311
312
313
314
315
375

376
668
930

73

74 Total
75

76
77

78 Growth
79 Saul S. Katz Family Trust
80 Fred Wilpon Family Trust (Pledged Account)
81 SM LP. Fundraising Account-Flayer Obligation
82 Red Valley Painters (Fledged Account)
83 Mark Peskin

i9357-0019
19357-0018
19357-0014
19357-40875
19357-54931

84 Saul B. Katz
85 Judy Wilpon
86 Mets II, LLC
87

88 Total
89
90
91

92 Growth (Offshore)

CONFIDENTIAL

SSMT000S7O6O

SSMSAA0037O6O
SSMSAA0037O6O

Sterling Fees (Done)

5

6

7

8

9

10

11

12

13

47

48
4e

Jan.

50

Mgrnt fee

51

52

53
54
55
56
57
58
59
60
61

62

63
64
65
66

67
68
69
70
71
72

73
74
75

76
77

Jan.

78

Mgmt fee

7g

80
81

82
83
84
65
86
87
88
89

90
91

92

CONFIDENTIAL

SSMT00037O61

SSMSAA003TO61
SSMSAA0037O6I

Sinning Fees (Done)

14

16

is

I

17

I

I

18

19

20

21

22

23

47
I

2003

48
49

Feb.

50 Mgmi fee

Mar.

Apr.

May.

Jun.

July

Aug.

Sept.

Oct

Nov.

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

I

51

52

(6,347.00)

(5,377.00)

(5,336.00)

(6,590.00)

53

(3,574.00)

(3,028.00)

(3,005.00)

(3,711.00)

(3,583.00)

(3,083.00)

(3,060.00)

(3,778.00)

(3,648.00)

54

(6,361.00)

55

(799.00)

(677.00)

(672.00)

(829.00)

(801.00)

58

(1,452.00)

(1,230.00)

(1,221.00)

(1,508.00)

(1,456.00)

57

(5.774.00)

(4,892.00)

(4,854.00)

(5,995.00)

(5,787.00)

88

(362.00)

(308.00)

(305.00)

(377.00)

(364.00)

59

(1,089,00)

(923.00)

(916.00)

(1,131.00)

(1,092.00)

60

(4,537.00)

(5,077.00)

(5,033.00)

(6,222.00)

(6,006.00)

61

(934.00)

(792.00)

(786.00)

(970.00)

(936.00)

82

(754.00)

(639.00)

(634.00)

(783.00)

(756.00)

(1,850.00)

(1,836.00)

(2,267.00)

(1189.00)

(308.00)

(305.00)

(377.00)

(364.00)

63
64

(363.00)

.

65
65
67
68
69
70
71

72
73
74

75

2003

76
77

Feb.

78 Mgmt fee

Mar.

Apr.

May.

Jun.

July

Aug.

Sept.

Oct

Nov.

Mgmt fee

Mgznt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

79

(875.00)

(1,049.00)

80

(1,042.00)

(1,052.00)

81

(2,083.00)

(2,103.00)

82
83
84
85
86
87
88
89
90
91

92

CONFIDENTIAL

SSMT00037062

SSMSAA0037O62
SSMSAA0037O62

Slerling Fees (Dore)

24

25

Dec.
Mgrnt fee

Mgmt. Fees

I

26

27

Incentive Fees

Total

28

29

I

30

31

Feb.
Mgmt fee

Mar.
Mgmt fee

48
49
50

-

I

Jan.
Mgmt fee
(2.598)

(2.578)

(2.771)

(9.084)

(9.011)

(9.689)

.

-

(5,208)

(5,166)

(5,555)

(1,937)

(1,922)

(2066)

(2.079)

(2.062)

(2.217)

(8,264)

(8,199)

(8,815)

(520)

(516)

(554)

(8,204)

(8,538)

(9,179)

(6.493)

(6,442)

(6,926)

(9,090)

row 91
row 78
row 47
row 71
row 51
row 70
row 72
row 80

(1,337)

(1,327)

(1,426)

(2.931)

(7,335)

row 81,

(1,079)

(1,071)

(1,151)

(10.570)

(8,605)

(19,175)

(3,125)

(3,100)

(3333)

(2,121)

(1,412)

(3,533)

1520)

516)

(554)

786)

(1.834)

(1,972)

(1,474)

(1,463)

(1,573)

(6,094)

(6,140)

(6,602)

(2,949)

(2,926)

(3,145)

(197)

195)

(210)

.

.

-

(6194e)

(63,005)

(67.738)

51

-

52

(7.057.00)

(37.068)

(24.677)

(61,745)

53

(3,97500)

(20,876)

(13,898)

(34,774)

54

(4,046.00)

(17.615)

(14,341)

(31,956)

55

(888.00)

(4,666)

(3,106)

(7,772)

56

(1,615.00)

(8,482)

(5,647)

(14,129)

57

(6,421.00)

(33,723)

(22.451)

(56,174)

58

(404.00)

(2,121)

(1,412)

(3,533)

59

(1,211.00)

(6,362)

(4,235)

(10,597)

60

(6,664.00)

(33,544)

(23,376)

(56,920)

61

(1,039.00)

(5,457)

(3,633)

62

(838.00)

(4,404)

63

(2,428.00)

64

(404.00)

row 41
row 61

65

-

-

68

-

-

67

-

-

68

-

-

row 92
row 82
row 108
row 115
row 105
row 111

69

-

-

rowll4

70

-

-

rowlSS

..

71

.
-

72

rowl73

73

(187,009)

74

(129,724)

(316,733)

75

76

Dec.

77

Mgmt. Fees

Incentive Fees

Jan.
Mgmt fee

Total

78 Mgmt fee

.

row 138
row 137
row 134
row 151
row 158
row 176

85

.

Mar.
Mgmt fee

rowlS4

86

Feb.
Mgmt fee

row 180

79

(1,052.00)

(2,976)

(3,585)

(6,561)

80

(1,054.00)

(3,148)

(3,904)

(7,052)

61

(2,108.0e)

(6,294)

(7,807)

(14,101)

62

-

-

-

83
84

.

(1,069)

(1,072)

(2323)

(2,329)

(4,642)

(4,646)

(4,659)

(1,250)

(1,251)

(1,255)

(125)

-

(1,070)

(1321)

(125)

(247)
(407)

87
88

-

(9,407)

(9,415)

(9,969)

89
90
91

92

CONFIDENTIAL

Jan.
Mgmt fee

Feb.
Mgmt fee

Mar.
Mgmt fee

SSMT00037063

S3MSM0037063
SSMSAA0037O63

Sterling Fees (Done)

32

33

34

35

36

49

Apr.

May.

Jun.

July

Aug.

Sept.

60

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgm± fee

Mgmt fee

37

38

39

I

40

2004

48

51

(2,973)

(2,834)

(2,744)

(2,342)

(10,394)

(9,9DB)

(9.593)

(8.190)

(5,959)

(5,651)

(5,500)

(4,695)

(2,217)

(2,113)

(2,046)

(1,031)

(2,003)

56

(2,378)

(2,267)

(2,046)

(1,747)

(2.149)

57

(9,457)

(9,015)

(8,728)

(7,832)

(8,981)

58

(595)

(567)

(549)

(468)

(537)

59

(9,848)

(9,366)

(9.088)

(7,758)

(8,896)

60

(7,430)

(7,053)

(6,555)

(7,732)

(8,866)

61

(1,530)

(1,459)

(1,412)

(1,206)

(1,382)

62

(1,235)

(1,177)

(1,140)

(973)

(1,116)

63

(3,575)

(3,4)8)

(3,300)

(2,817)

(3,230)

64

(595)

(567)

(549)

468)

(537)

65

(2,115)

(2,017)

(1,952)

(1,667)

(1,911)

66

(1,687)

(16DB)

(1,557)

(1,329)

(1,524)

67

(7,082)

(6,751)

(6,536)

(5,580)

(6,398)

68

(3,374)

(3,217)

(3,114)

(2,659)

(3,049)

69

(225)

(214)

(208)

17?)

(203)

70

(218)

(413)

(201)

(341)

(392)

71

-

(452)

(438)

(376)

(433)

(70,137)

(67,559)

(59.388)

Dec.

Mgmt lee

(5,384)

55

Nov.
Mgni± fee

(9,391)

54

Oct

Mgmt fee

(2,686)

52

-

(69,063)

53

72

-

73
72,637)

75

2004

76
77

Apr.

May.

Jun.

July

Aug.

Sept.

Oct

Nov.

Dec.

78

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

MgnQ fee

Oct

Nov.
Mgmt fee

Mgmt fee

79

(1,105)

(1,1)5)

(1,104)

(1,095)

(1,115)

80

(2,399)

(2,4)0)

(2,399)

(2.379)

(2,421)

81

(4,798)

(4,799)

(4,797)

(4,757)

(4,842)

82

(1,292)

(1,293)

(1,292)

(1,281)

(1,304)

83

(255)

(255)

(255)

(335)

(340)

84

(419)

(419)

(419)

(416)

(423)

85

(1,230)

(1,250)

(1,250)

(1,239)

(1,261)

86

(3333)

(3,334)

(3.333)

(3,305)

(3,364)

(14,851)

(14,855)

(14,849)

(14,807)

(15,070)

87
88
89
90
91

Apr.

May.

Jun.

July

Aug.

92

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

Mgmt fee

CONFIDENTIAL

Sept.

Mt fee

Mgmt fee

Dec.

SSMT00037064

SSMSAA0037O64
SSMSAA0037O64

Slerlirig Fees (Dore)

41

42

43

44

45

Mgmt. Fees

Incentive Fees

Total

Grand Total Since inception

47

48
49
50
51

(21526)

(5.776)

(27;3o2)

(27,302)

52

(75,260)

(20,193)

(95,453)

(157,198)

53

-

-

(34,774)

54

(43,148)

(11,577)

(54,725)

(86,681)

55

(15,335)

(4,307)

(19,642)

(27,414)

56

(16,945)

(4,621)

(21,566)

(35,695)

57

(69,291)

(19,312)

(88,603)

(144,777)

58

(4,306)

(1,155)

(5,461)

(8,994)

59

(70,897)

(38,790)

(89,687)

(100,264)

60

(57,830)

(19,066)

(76,896)

(133,816)

61

(11,079)

(2,973)

(14052)

(23,142)

62

(8,942)

(2,399)

(11,341)

(18,676)

63

(25,888)

(6,946)

(32,834)

(52,009)

64

(4,306)

(1,155)

(5,46])

(8,994)

65
66
67

(14,254)

(3,209)

(17,463)

(17,463)

(12,215)

(3,278)

(15,493)

(15,493)

(51,183)

(13,678)

(64,861)

(64,861)

68

(24,433)

(6,556)

(30,989)

(30,989)

69

(1,629)

(437)

(2,066)

(2,066)

70

(1,565)

-

(1,565)

(1,565)

71

'

72

(1,699)

-

-

(1,699)

(1,699)

(677.159)

(993,892)

-

73

(531,731)

74

(145.428)

75

78
77

Mgmt. Fees

Incentive Fees

Total

78

Grand Tota)
Since inception

79

(8,735)

-

(8,735)

(15,296)

80

(18,971)

-

(18,97])

(26,023)

81

(37,940)

.

(37,940)

(52,041)

82

(10,218)

'

(10,218)

(10,218)

83

(3,937)

.

(),937)

(1,937)

84

(2,503)

'

(2,503)

(2,503)

85

(6,250)

-

(6,250)

(6.250)

85

(16,669)

.

(16,669)

(16,669)

87

(103,223)

88

-

(103,223)1

(130,937)

89

2,004

90
91

MgmL. Fees

92

CONFIDENTIAL

Incentive Fees

Total

Grand Total
Since inception

SSMT00037065

SSMSAA0037O65
SSMSAA0037O65

Sterling Fees (Done)

2

1

93 The Iris J. & Saul 3. Katz Family Foundation Inc.

3

4

19357-0019

94

95
95
97
95
99

loo
101

102

103
104
105
106
107
108
109
110
111

112
113
114
115
116

117

lia
119
120
121

CONFIDENTIAL

SSMT00037O6S

SSMSAA0037O6S
SSMSAA0037O66

Sterling Fees (Dune)

5

6

7

3

9

10

11

12

13

93
94
95
96
97
98
99

loo
101

102
103
104
105
106
107
1DB

109
110
111

112
113
114
115
116
117
118
119
120
121

CONFIDENTIAL

S6MT00037067

SSMSAA0037O67
SSMSAA0037O67

Sterling Fees (Done)

14

15

16

17

18

19

20

21

22

23

93
94

95
96
97
96
99

100
101

102
103
1D4

105
106
107
I 08
109
110
111

112
113
114
116
116
117
118
119
120
121

CONFIDENTIAL

SSMT00037068

SSMSAA0037O68
SSMSAA0037O6B

Sterling Pees (Done)

24
93

25

26

27

28

30

29
(2169)

31

(2168)

(2169)

94
95
96
97
98
99
100
101

102
103
104
105
106
107
108
109

lia

lii

112
113
114
115
116
117
118
119
120
121

CONFIDENTIAL

SSMT00037069

SSMSAA0037OG9
SSIVISAA0037O69

Slerling Fees pone)

32

93

34

33

(2,222)

(2222)

(2223)

35

(2248)

35

37

38

39

40

(2,248)

94

95
96
97
98
99
100
101

102
103
104
105
lOG

107

los
109
110
111

112
113
114
115
116
117

liS
119
120
121

CONFIDENTIAL

SSMT00037O7O

SSMSM0037O7O
SSMSAA0037O7O

Slerling Fees (Done)

42

41

93

(17,669)

43
-

17,669)

45

44

(17,669)

94
95
96
97
98
99
100
101

102
103
104
105
106
107
108
109
110
111

112
113
114

115
116
117
118
119

120
121

CONFIDENTIAL

3SMT00037071

SSMSAA0037O7I
SSMSAA0037O7I

Sterling Capital Accta (Dune)

I

Sterling Equities - Ending Balances

2

uidlty Fund
4 Sterling Sports Entertainement, LLC
3
5
6

7 Security Fund
& Charles Sterling LLO (Pledged Account)
9 Estate of Leonard J. Schreier
lo Fred Wilpon Family Trust (Pledged Account)
II Mr. Fred Wilpon (Pledge)
12 Mr. Fred Wilpon & Mr. Saul B. Katz (Pledged Account)
13 Fred VJilpon-Air Sterling (Pledged Account)
14 Mr. Saul B. Katz (Pledqe)
15 Mrs. EliseO. Topper
16 Mrs. Iris J. Katz (Pledged Account)
17 Mrs. Judith A. Wilpon (Pledged Account)
16 Robbinsville Park LLC (Pledged Account)
19 Saul B. Katz Family Trust (Pledged Account)
20 Saul B. Katz Family Trust Tracing Account
21 Sterling Eguities Associates
22 S-M. L.P. Funding Account - Player Obligation
23 Saul B. Katz Family Trust #2
24 Fred Wilpon Family Trust #2
25 Mets Il, LLO
26 Sterling Sports Entertainement, LLC
27 Saul B. Katz 2005
28 Fred Wilpcn 2005
29

30 Total
31

22

33 Friends and Famijy
34 Fred Wilpon Family Trust (Pledged Account)
35 Fred Wilpon Family Trust Tracing Account
36 Mr. Brendan O'Brien & Mrs. Natalie O'Brien
37 Mr. Fred Wilpon
38 Mr. Richard A. Wilpon
39 Mr. Saul B. Katz
40 Mrs. Dayle H. Katz
41 Mrs. Debra Wilpon
42 Mrs. Iris J. Katz
43 Mrs. Judith A. Wilpcn
44 Gregory Katz
45 Howard Katz
46 Todd Katz
47 Mrs. Phyllis Osterrnsn
48 Mrs. Ruth Friedman
49 Red Valley Partners (Pledged Account)
50 Saul B. Katz Family Trust (Pledged Account)
51 Saul B. Katz Family Trust Tracing Account
52 Andrew Katz
53 Katz Family Gift Trust
54

55 Total

CONFIDENTIAL

SSMT00037072

SSMSM0037O72
SSMSAA0037O72

Sterflng Capilal Mots (Done)

2

3

4

6

7

8

Jul-02

i Web ID Number

5

Aug-02

Sep-02

Oct-02

Nov-02

2

3
4
5
6
7

& 19682-46653
9 19582-46880
lo 19682-0014

$

502,203.79

$

507,243.33

991,090.06

$

1,001,599.19

11 19682-0021
12 19682-46652
13 19682-46877
14 19682-41730

IS 19682-0012
16 19582-0023
17 19682-0022
16 19682-46854

$

985,814.69

$

991,355.24

$

983,220.28

$

19 19682-0011
20 19682-41833
21 19682-0024
22 19682-49376

$

4,916,192.81

$

4,943,823.15

$

4,903,254.63

$

4,942,500.71

$

4,994,709.60

$

5,902,007.50

$

5,935,178.39

$

'5,586,474.91

$

6,435,794.56

$

6,503,552.12

8$

540,881.82

$

5,427,178.36

$

5,363,720.43

$

5,392,000.31

$

6,471,485.83

5,681,829.63
255,407.29
2,977,833.85
982,335.73
255,407.29
3,761,737.76
491,167.86

$

5,709,494.29
493,559,33
2,992,332.73
987,118.65
256,650.85
3,780,053.42
2,961,355.96

$

5,642,735.35
487,788.33
2,957,344.52
975,576.65
253,649.93
3,735,854.69
2,926,729.95

$

$
$

$
$

5,672,486.33
490,360.16
2,972,936.94
980,720.32
254,987.28
3,755,551.76
2,942.160.96

5,743,588.12
496,506.58
3,010,201.23
993,013.16
258,183.42
3,802,625.73
2,979,039.48

98,233.57

$

$
$

98,072,03

196l37.6I

$
$

$

97,557.67
195,115.33
1,455,027.70
754,236,80

$
$

$
$

98,711.87
197,423.73
1,472,242.06
7,631,162.16

$
$

1,624,366.39
1,260,287.35

$
$
$

99,301.32
198,593.00
1,644,592.20
1,275,665,75
1,011,699.48

17,465,875.08 I $

32,007,283.41

$

24845,339.35

$

25640,097.44

$

27,984,695.30

23

24
25
26
27
26
29
30
31

32
33

34 19683-0016
35 19883-0031
36 19683-46895
37 19683-0015
38 19683-0018
39 19683-0011
40 19683-0020
41 19683-0019
42 19683-0013
43 19683-0017
44 19683-58350
45 19683-58332
46 19663-58351
47 19683-0021
48 19683-0032
49 19683-0014
so 19683-0012
51 19683-0030

10
1

7$
IS $
#N/A $

2$
4$
13 $
14 $

17 $

21 $
18 $

5$

$
$
$
$
$
$

196,467th $
1,465,108.55
759,464.38

$

$
$

$
$
5

$

$
S

$
$

6

S

$
$
$
S

52

53
54

$

CONFIDENTIAL

SSMT00037073

SSMSAA0037O73
SSMSAA0037O73

Sterling Capital Acts (Done)

9

10

11

12

13

14

Dec-02

jan-03

Feb-03

Mar-03

Apr-03

May-03

1

I
2
3

4
5
6
7

8
9
10
11

$
$

1,315,353.55
1,610,344,49

5
$

1322,269.35
1,618,811,06

$
5

$

503,473.23
1,006,525.67
753,766.37
753,766.37

5
5
5
$

506,120.37
1,011,817.61
757,729.05
757,729.08

$
$

761,706,14
761 706.14

5

5

5
5
$

5,359,662,26
1,204,566,46
2,020,610.59

$
$
5

5,387795.52
1210,689.46
2,031,216,35

5

5
5

606,279.52
399,195.51

$
5
5

999,560.27
745,491.57
748,491.57

$

$

4984,741.09

$

1.329 210.17

1,627308.28

5
$

1,345039.28
1,646,666.85

5
5

1,362,225.74
1 ,667,72715

521 414.34
1,042,392.09
3,342,663.76
3,342,663.76

12
13
14

15
16
17

5
$

S

508777.09
1,017,128,71

514835.93

s

1,029,241.08
3,300,520.76
3,300,520.76

5
5
5
$

5

5,451,955,60
1,225 309,52
2,055,403.03

5

5,521,617.55
1,240,966,12
2,081,663.71

5
$
$

18

5

1995,977.53

$

5,331,630.50
1,196,266.30
2,010,043.65

30 5

10,382,737.06

$

14,483,170.13

5

14,559,316.21

s

14,635,737.89

5

19,569,512.81

$

20,123,334.22

6,424,198.79
992,592.62

$
$

6,452,450.69
996,992.19

5

35 $

6,468,121.76
1,000,317.03

5
5

6,516,402,15
1,006,951.12

$
$

6,567,326.83
1,017,096.18

$
5

6,677,628.53
1,031,511.06

36
37

5

6,298,63t66

6,324,540.86
495,016.04
3,001,164.44
969,983.48
257,408.34
4,040,458.08
3,219,344.29

6,339,682.44
496,666.86
3,008,349.52
993,121.15
258,266.77
4,050,131,34

5

6,457,241.08
505,444,62
3,064,390.44
1,010,672.62

5
5

3227 05171

5
5
$
$
$
$

6,387,716,60
499,960.75
3,031,143.02
999,707,22
259,979,59
4,080,818,15
3,251,502,26

$

492,531.61
2,987,920.77
985,797.00
256,272.44
4,022,528,15
3,205,137.83

$
$

$

38 5
39 5
40 5

99,003.21
197,987.09
1,639,753.14
1,272,140.80
3,003,236.68

5
5
5
$
$

99,333,37
196,461,32
1,643,714.97
1,275,296.25
3,010,652.00

$
$
5
5
5

99,992,15
199,964.72
1,656,051,46
1,284,596,17
3,032,736,03

5

31,989,481.31

5

32069,168.50

$

32,307 521.39

19

20
21

$

$

$

22
23
24
25

26
27
28
29
31

32
33
34

41

5

5

42 $
43 5

$

5
5
$
$

$

$
5
5
$
5
$

3,286,941,77

$
5

6,545,534.47
512,329.52
3,106,131.92
1,024,450,17
266,411.35
4,181,687.59
3,331,854.86

$
5
5

101,088.92
202,158.05
1,674,126.93
1,298,409.66
3,063,650.14

5
$
5
5
$

102,465.90
204,912,72
1,697,023.57
1,316,363,43
3,107,075,30

5

32,656,732,53

$

33,105,400.39

5

5
$
5
5
$

262631.20
4,125354,10

$
5

$

44
45
46
46

5
$

49

$

47

50 $
51

98,566.32
197,149.83
1,632,553.02

$
$

$

1266,638.36 $
2990207.62 $

5

62

53
54

55 5 31 849 126,04

CONFIDENTIAL

$

SSMT00037074

SSMSAA0037O74
SSMSAA0037O74

Sterling Capit& Accla (Done)

15

16

17

18

19

20

Jun-03

Jul-03

Aug-03

Sep-03

oct-03

NoV-03

2
3
4
5
6
7

9

IO $

il

$

12

13

14 $
15 $
16 $
17 $
18

19 $
20 $
21

$

$995,394.00
$1,244,256.00
1,369,243.85 $1,363,237.00
1,676,318.98 $4,157,448.00
$1,493,090.00
$123,429.00
524,100.63 $3,010,283.00
1,047762.33 $1,043,177.00
3,359,572.92 $3,345,145.00
3,359,872.92 $3,345,145.00
$995,394.00
5,550,063.96 $5,525,770.00
1,247,359.51 $1,241,888.00
2,092,367.29 $2,063,209.00

$I,000,21l.00
$1,250,278.00
$1,369,520.00
$4,177,182.00
$1,500,316.00
$124,027.00
$3.024 730.00
$1,047,984.00
$3,360,547.00
$3,360,547.00
$1,000,211.00
$5,551,238.00
$1,247,610.00
$2,092,806.00

$i3O17,816.00
$1,272,285.00
$1,393,700.00
$5,675,456.00
$1,526,725.00
$126,210.00

$3078081.00
$1,066,487.00
$3,419,838.00
$3,419,838.00
$1,017,816.00
$5,649,083.00
$1,269,637.00
$2,129,753.00

sl,o30,2eaoo

$1037,952.00

$1,287,880.00
$145,513.00
$5,745,076.00
$1,545,439.00
$127,757.00
$3,1 15745.00
$1,079,590.00
$3,461,828.00
$3,461,828.00
$1.030,293.00
$4,655,801.00
$1,285,237.00
$2,155,919.00

$1,297,454.00
$146,628.00
$5,787,812.00
$1,556 926.00
$128,706.00
$3,138 915.00
$1,087,635.00
$3,487,605.00
$3,487,605.00
$1,037,952.00
$4,489,035.00
$1,294,813.00
$2,171,960.00

22

23
24
25
26
27
28
29

so $

20,226,982.39

29,966,865.00

30,107,207.00

32,062,645.00

30,128,199.00

30,151,020,00

31

32

33

34 $
35 $
36

37 $
38 $
39 $
40 $
41

$

42 $
43 $

6,712,701.48 $6,748,907.00
1042,433,00
1,036,930,13 $
50,269,00
$
4,101,570.00
6,579,910.98 $
517,799,00
515,020.13 $
625,822,00
3,122,444.49 $
1,035,384.00
1,029,830.25 $
269,256.00
267,810.47 $
22891000
4,203,649.15 $
226,574,00
3,349,353,33 $

$6,775,674.00
$
$
$
$
$

$
$

$

$

1,046,569.00
50,456.00
4,117,855,00
519,852.00
628,317,00
1,039,489.00
270,323.00
229,842.00
227,492.00

$6,848,602.00

$6,923,963.00

$6,969,053.00

$1,057,835.00
$51,010.00
$4,162,214.00
$525,447.00
$635,037.00
$1,050,676.00
$273,232.00
$232,382.00
$229,993.00

$1,069,482.00
$51,569.00
$4,208,070.00
$531,227.00
$642,217.00
$1,062,235.00
$276,238.00
$235,007.00
$232,576.00

$1,076,448.00
$51,904.00
$4,235,495.00
$534,686.00
$646,427.00
$1,069,151.00
$278,038.00
$236,577.00
$234,124.00

$106,245.00
$212,454.00
$1,759,622.00
$1,364,950.00
$3,221,463.00

$106,937.00
$213,837.00
$1,771,080.00
$1,373,840.00
$3,242,448.00

44
45

46

47 $
46 $
49 $
50 $
si $

$
$

103,971.00 $105,089.00
207,904.00 $210,141.00

$
$
$

103,561.00
207,082.00
1,715,136.00
1,330,435.00
3,139,975.00

$
$
$

1,721,938.00 $1,740,470.00
1,335,712.00 $1,350,091.00
3,152,436.00 $3,186,378.00

$

21,343,113.00

$

103,004.03
205,988.96
1,705,936.51
1,323,298.65
3,123,400.36

$

33,279,278.62

$

52

53
54
55

$

CONFIDENTIAL

21,427,842,00

21,858 597.00

21,897,320,00

22,040,045,00

6SMT00037075
SSMS1AA0037O75
SSMSAA0037O75

Sterling Capital Aocts (Done)

j

21

22

23

24

25

26

27

Dec-03

Jan-04

Feb-04

Mar-04

Apr-04

May-04

Jun-04

$1047,109
$1308,902
io $147,961
$5836,915

$1,060,479
$1,325,639
$2,175,388
$2,675,165
$1,590,721
$131.499
$1,181,518
$1,111,284
$3,563,353
$3,563,353
$1,060,479
$9,650,638
$1,322,942
$2,219,167
$3,038,306

$1,071,027
$1,339,193
$2,197,027
$2,903,764
$1,661,043
$132,807
$1,193,271
$1,122,646
$3,598,798
$3,598,798
$1,247,649
$9,749,327

$1,074,347

$1,078,792

$1,343345

$1,348,851
$2,212,104

I
2

3
4
5
6
7

8
9

ii

14

$1,570,665
$129,841
$3 166 622

15

$1097,253

12

13

16 $3516,427
17
18
19

20
21

$3,518,427
$1,047,109
$4,528,793
$1,306,263
$2,191,168

22

$1,336,101
$2,241,242
$3,068.528

$2,202,989
$2,914,028
$1,656,200
$133,219
$1,699,441
$1,126,125
$3,609,950
$3,609,950
$1.251.548
$9,777,414
$1,340,243
$2,248,185
$3,076.764

23
24
25

$1,075,622
$1,344,600
$2,205,606
$4,920,025
$1,668,179
$133,343
$2,702,766
$1,127,462
$3,614,239
$3,614,239
$1.253.143
$9,789,034
$1,341,835
$2,250,856
$3,079,636
$1,501,498
$1,501,498
$500,499

$4,934,756
$1,673,093
$133,766
$2,710,906
$1,130,785
$3,624,886
$3,624,886
$1,256,725
$9,817,874
$1,345,788
$2,257,487
$3,089,374
$1,506,438
$1,506,438
$502,146

$1,083,352
$1,354,064
$2,221,456
$4,955,988
$1,680,166
$134,283
$2,722,647
$1,135,564
$3,640,211
$3,640,211
$1.262,202
$9,859,373
$1,351,477
$2,267,031
$3,101,312
$1.512,511
$1,512,511
$504,170

28
27

28
29
30

$30,417,475

$35,869,931

$36,461,221

$37,073,748

$43,755,095

$43,936,529

$43,624,082

31

32
33

$7,047,411

$7,117,454

$7,170,607

35 $1,088,555
36 $52,486
37 $4,283,159
38 $540,697
39 $653,739
40 $1,081,172

$1,099,356
$53,007
$4,325,661
$548,070
$660,233
$1,091,918
$283,958
$241,685

$1107,432

41

$281,163

42 $239,306
43 $236,811

$239,161

44
45
46

47 $108,139
48 $216,241
49 $1790,994
50 $1389,290
51

$3,278,919

$109,214
$218,387
$1,808,794
$1,403,096
$3,311,455

$53,404
$4,357,436
$550,146
$665,167
$1,100,072
$286,079
$243,490
$240,919
$55,439
$65,439
$65.439
$110,029
$219,992
$1,822,302
$1,413,576
$3,335,780

$7,204,023
$7,231,846
$7,239,942
$1,112,592
$1,118,294 $1,116,861
$68,733
$69,073 $68,987
$4,377,741
$4,400,172 $4,394,617
$555 466 $554,847
$552,713
$668,265
$671,599 $670,847
$1,105,290
$1,110,711 $1,109,466
$287,413
$288,845 $268,523
$244,626
$245,847 $245,570
$242,043
$243,283 $242,976
$65,114 $69,002
$65,792
$66,114 $88,002
$65,792
$65,792
$66,114 $66,002
$110,542
$111.092 $110,969
$222,147 $$221,018
$1,830,794
$1,839,923 $1,637,864
$1,420,164
$1,427,248 $1,425,650
$3,351,323
$1,427,248 $3,364,242

$7,273,511
$1,123,316
$69,383
$4,419,936
$558,043
$674,709
$1,115,860
$290,185
$246,985
$244,376
$66,382
$66,362
$66,382
$111,608

s$1,848,853
$1,433,863
$3,383,625

52
53
54
55

$22 288 082

CONFIDENTIAL

$22,509,451

$22,872,750

$22,994,564

$21,169,231

I

322 661,293 I

$22,993399

S6MT00037076

SSMSAA0037O76
SSMSAA0037O76

Sterling Capital Acote (Done)

26

30

31

32

33

34

Jul-04

i

29

Aug-04

Sep-04

Oct-04

Nov-04

Dec-04

Jan-05

2
a

$

4

14,531,900.00

$

14,584,842

$
$

1,132,683
1,416,263
2,322,571
4,097,621
1,756,642
140,451
#REF!

$
$

1,142,338
1,428,361
2,342,411
4,136,392
1,771,645
141,652
1,781,613
1,197,393
7,462,596
3,838,410

5
6
7
8

$1095,980

g

$

1,357,892.00

10 $2226,846
11
$4968,267
12 $1684,242
13 $134,662
14 $2729,443
15 $1138,320
16 $3649,042
17 $3649,042
IB $1,265,287
19 $9 883,293
20 $1,354,755
$2272,531
22 $3,110.082
23 $1,517,011
24 $1,517,011
25 $505,670
21

$
$
$
$
$
$
$
$
$
5
$
5
$
$
$
$
$
$

1,090,993 $
1,364,152 $
2,237,124 $
4,991,602 $
1,692,016 I $
135,284 $
2,742,345 $
1,143,573 $
3,665,684 $
3,665,884 $
1,271,163 $
9,928,908 $
1,361,009 $
2,283,020 $
3,124,436 $
1,524,316 $
1,524,316 5
508,105 $

1,097,757
1,372,617
2,250,994
5,022,550
1,702,506
136,123
2,759,348

$
$

1,150663
3,588,612
3,688,612

$

1.279,044
9,990,467
1.369,447
2,297,175
3,143,808
1,533,767
1,533,767
511,255

$

$
$
$
$

$
$
$
$
$
$

$
$
$

1,102,697
1,378,794
2,261,124
3,989,212
1,710,168
136,735
#REF!
1,155,841
3,705,211
3,705,211
1,284.800
10.035,424
1,375,610
2,307,512
3,157,955
1,540,669
1,540,669
513,556

$
$
$
$
$
$

$
5
5
$
$
$
$
$
$
$

$

1,120,450
1,400,992
2,297,528
4,053,439
1,737,701
138,937
#REFI
1,174,450
7,321,215
3,764,865
1,305,485
10,196,995
1,397,757
2,344,663
3,208,798
1,565,473
1,565;473
521,824

26

$
$
$
$
$
$
$

1187,252
7,401,016
3805,902

$

1,319,715
10,308,142
1,412,993
2,370,220
3,243.774
1,582,537
1,582,537
527,512
15,163,500

$
$
$
$
$
5
$
$

$
$
$
$

$
$
$
$
S

1330,748

$

10,396,198
1,425,062
2,048,662
3,271,479
1,594,832
1,594,832
531,610
15.271,621

$
$
$
$
$
$
$

27

s

28

$

-

29
30

$44,049377

$44,528,513

$44,254,137

#REFI

#REF!

$62,707,845

#REF!

31

32

33

$7,298,977

$

35 $1,127,250
as $69,626
37 $4,435,410
38 $559,997
39 $677,073
40 $1,119,766

$

$
$

$
$
$

$291,200

$

42 $247,850
43 $245,232
44 $65,615

$

41

5
$

$66,615

$

46566,615
47 $112,000

$
$

48

s

49 $1,854,925
50 $1,438,883

$
$
$

45

51

$3,395,472

7,342,577
1,133,984
70,042
4,461,905
563,342
681,117
1,126,455
292,939
249,330
246,697
67,913
67,013

$
$

$
$
$
$
$
$
$
$
$
$

-

$

112,669

$

-

$

1,866,005
1.447,478
3,415,755

$
$

$

7,393,241
1,141,808
70,525
4,492,692
567,229
685,817
1,134,228
294,960

251,050
248,399
67,475
67,475
-

113,446
-

1,878,680
1,457,466
3,439,324

$
$
$
$
$

$
$
$
5
5
$

$
$

7,425,771
1,146,832
70,836
4,512,480
569,725
688,834
1,139,218
296,253
252,155
249,492
67,772
67,772

-

$

113,945

$
$
$
$

1,887,148
1,483,878
3,454,457

-

$
$

$
$
$
$
$
$
s
$
$
$

7,529,732
1,162,888
71,827
4,575,634
577,701
698,478
1,155,167
303,406
255,685
252,985
68,721
68,721

$
5
$

-

115,541

$
$
$

1,913,568
1,484,373
3,502,819

-

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

7,609,547
1,175,215
72,589
4,624,136
583,825
705,882
1,167,412
303,590
258,395
255,657
69,450
69,450

116,766

-

$
$

$
$

$
$
$
$
$
$
$
$
$
$

5

1,933,851

$

1,500,107
3,539,949

$
$
$

62

7,660,054
1,183,024
73,077
4,654,857
587,700
710,563
819,698
305,606
260,112
257,364
69,644
69,644
-

1,946,688
1,510,064
3,563,470
-

53
54
55

$23,073,506

CONFIDENTIAL

$23,144,321

I

$23,304,017

$23,406,554

$23,734,246

$23,985,829

$23,671,565

SSMT00037077

SSMSAA0037O77
SSMSAA0037O77

Sterling Capani Acels (Done)

35

37

36

39

40

41

Feb-05

i

36

Mar-05

Apr-05

May-OS

Jun-OS

Jul-OS

Aug-05

2

3
4

$

14652743

$

7084,207

$

6,098,337

5

5,871,945

5

5,884,788

5

4,900.419

$

2090,419

$
$

1,151,266
1,439,524
2,360,718
4,168,712
1,785,492
142,759
1,795,538
1,206,752
7,520,923
3,668,410
1,341,149
10,477,455
1,436,201
2,064,674
3,297,048
1,607,297
1,607,297
535,765
15,390,964

$

1,156,909
1,446,581
2,372,289
4,189,145

$

1152,926

$

$

4,202,069
1,799,779
143,900
1809,905
1,216,407
7,561,107
3,899,366
1,351,882
12,071,118
1,447,694
68,099
3,323,432
1,620,158
1,620.158
540,052
23,176,787.

5

16260,148

s

1,814,097
145,045

$

s

$

1,177,079
1,471,601
7,518,362
16,362,587
1,625,526
145,959

$

$
$
$
$
$

1,169,710
1,462,567
7,471,293

5

1,441,599
2,364,119
4,174,719
1,788,065
142,964
1,798,125
1,208,490
7,531,762
3,873,985
1,343,082
10,492,554
1,438,271
2,067,651
3,301,800
1,609,613
1,609,613
536,537
23.026,173

¶160,479
¶451,044
7,412,352

$

$

$

14243021

5

14,332 752 $

5

1,226063

5

5

7,641,411
3,930,364
1,362,639
12,167,134
1,459,209
66,649
3,349,869
1,633,046
1,633,046
544,348
23,359,130
1,804,216
4,108,960

s

1,233,807
7,669,552
3,955,145
1,371.221
12,243,787
1,468,402

1,177,079
1,471,801
7,518,362
16,362,587
1,825,526
145,959
38,332,752
1,233,807
7,689,552
3,955,145
1.371.221
12,243,787
1,468,402

s
6
7
6
9

lo $

il

12

$
$

13 $
14 $
15 $
16 $
17 $
18 $
19 $
20 5
21

$

22 $
23

5.

24 5
25

5

26

5

s

-

$
$
5
$
5
$
$
$

-

27 $
28 $
29
30

$
$
$
$
$
$
5
5
$
5

$

$
5

1794,244 I $
143,460
1,804,339
1,212,666
7,557,786
3,897,371
1,347.723
10,528,611
1,443,241
2,074,795
3,313,209
1,615,176
1,615,176
538,391
23,103,576

$
$
$
5
$
5
$
$
$
$
$
$
$
$

-

S

-

$

$71,144,890

$63,197,964

-

$
$
$

5
S

5
5
5
$
$
$
$
$
$
$

$70,902,048

5

$
$
5
$
$

5
5
5
5
$

-

$

-

s

$
$
$

$
5
5
$
5

69,081

5

3,370,973
1,643,334
1,643,334
547,777
23,506,293
13,408,161
9,670,756

$
5
5
5
$

$

$
5
$
$
$
$
$
5
$
$
$
5
$
$

$124,855,690

$106,854,024

$75,895,788

$
$
$
$
$

69,061

3,370,973
1,643,334
1,643,334
547,777
23,506,293
1,408,161

9,870,756
$136,855,690

31

32
33

34 $
35 $
36 $
37

5

38 $
39 $
40 $
41

42

$
$

43 $
44 5
45 $

7,717,436
1,191,886
73,624
4,689,727
592,103
715,885
625,839
307,895
262,061
259,292
70,458
70,458

5
$

s
$
$

-

s

-

5
5
$
$
$

so $
si 5

3,590,164

52

5

$
$

1,961,271
1,521,376

$

$

-

46$
47$
48$
49

5
5
$
$

-

$

7,722,169
1,192,617
73,669
4,692,602
592,467
716,324
826,346
306,084
262,222
259,451
70,501
70,501
-

1,962,474
1,522,309
3,592,365
500,302

5
$
$
$
$
$
5
5

$
$
5
$
$

s
S

$
$
$
$

7,664,673
1,183,737
63,047
4,657,663
586,055
710,991
820,193
305,790
260,269
257,519
69,976
69,976
-

1,947,663
1,510,974
3,565,618
496,577

$
$
$
$
5

s
5
5
$
$
5
5
$
$
$
5
$
$
$

7,775,279
1,200,819
64,247
1,717,367
596,540

7,707,002
1,190,274
83,506
4,683,385
591,302
714,917
824,722
307,479
261,706

s

258,941

$

70,362
70,362

5

-

5

-

-

$

-

$
$

$
5

-

$

1,185,066
310,203
264,024
261,235
70,965
70,985

$

5
$

$

1,956,621
1.519,318

$

3,585,309
499,319

$

5
$

$

.

1,975,973
1,532,777
3,617,071
503,742

5
$

$
5
5
5
$
5
$
5
5

5
$
$
$
5
$
$
$

7,850.699
1,212,467
65,064
1,734,025
602,326
-

1,196,561

5
$
$
$
5
5
5
$
5
$

313,212
266,565
263,769
71,674 $
71,674 $
-

1,995,140
1,547,645
3,652,157
506,628

$
$

s
$
$
5
$
$

53

7,850,699
1,212,467
85,064

¶734,025
602,326
1,196,561
313,212
268,585

263769
71,674
71,674

-

1,995,140
1,547,845
3,652,157
508,626
106,000

54
55

$23,849475

CONFIDENTIAL

$24,364,403

$24192,921

524,326,5251

$21166,313

$21,371,626

$21,371,626

6SMT00037078

33M3AA0037078
SSMSAA0037O78

Sterling Capital Acct (Dcne)

42

i

44

43

45

47

46

Pledged Accounts

Subject to Lockup

46

Proposed Pledge

Loan

2

3
4

No

S

6
7
B

9

lo

il

12
13
14

is

No
No
No
No
No
No
No
No

16
17

No

16

row 203
row 210
row 160
row 167
row 202
row 214
row 177
row 156
row 168
row 169
row 204
row 157
row 173
row 170
row 240
row 254
row 247
row 251

No
No
No
No
No

19

20
21

22

No

24
25

Yes
Yes
Yes

2G

Pledged Account

Pledqed Account
Pledqed Account

Pledqed Account
Pledqed Account
Pledged Account
Proposed Pledge
Proposed Pledge

$

5623,00000 83750000.00

ProposedPledge

$

6,800,000E00

$

3500,03000

Proposed Pledge

$
$

1,700,000.00
1,350,000.00

$
$

1,500,000.00
1,250,000.00

Yes

23

27
28
29
30
31

32

33
34
35
36
37
36
39
40
41

42

43
44
45
46
47

48
49
50
51

No
No
No
No
No
No
No
No
No
No
Yes
Yes
No
No
No
No
No
No

row 95

rowlil
row 123
row 94
row 97

row90
row 99
row 98

row 92
raw 98
row 139

rowi37
rowi4o
-row 100
row 101
row 93
row 91

rowiio

Proosed Pledge

52
53

-

54
55

CONFIDENTIAL

SSMT0003YO79

SSMSAA0037U79
SSMSAA0037O79

Sterling Capital Aocts (Done)

49

I

50

53

52

51

Investments

2
3
4
5
6
7

Jul-04

e
9
10

li

NA
Free
Free

13

15
16
17

20
21

22

3,048,63200

$

7,238,088.00

Jul-04
Open
Open
Open
NA

Apr-05
Apr-05

23
24
25

$

Free
NA
NA
NA

18

19 $375 MM in Security

4,13945600

Jul-04
Jul-04

12

14

Apr-05 Total

Jul-04
$

NA

26
27
28

29
30
31
32

33

34 $2 MM in Sec & 51.5 MM in Growth

Total

$21,046,189

35
36

37
38
39
40
41

42
.43

44
45
46
47

48

49 $1.5 MM in Growth
50 $1.25 MM in Seourity
51

52

53
55

CONFIDENTIAL

SSMT00037O8O

SSMSAA0037O8O
SSMSAA0037O8O

Sterling Capita! Acds (Done)

54

55

56

57

66

59

60

61

62

2
3
4
5
6

7
8
9

Free
23,544,008.00

$

10
11

12
13

14
15
16
17
18
19
20

0.63%
0.63%
0.63%
0.63%
0.63%
0.63%
0.63%
0.63%
0.63%
0.63%
0.63%
0.63%

063%

21

0.63%

22
23
24

O.63°Jn

25
26

0.63%
0.63%
0.63%
-

27
28
29
30
31

32
33
34

35
36
37
38
40
41
42
43
44
45

46
47
48
49
50
51

0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%
0.64%

62
53
54
55

CONFIDENTIAL

SSMT00037O8I

SSMSM0037O81
SSMSAA0037O8I

Sterlinp Capila Acole (Done)

63

64

65

66

67

68

2

3
4

s
6
7
8
9

lo

li

12

13
14

15
16
17

18
19
20
21

22

23
24
25
26
27
28
29

30
31

32
33
34
35
36
37
38
39
40
41

42
43
44
45
46

47
48
49
SD

51

52

53
54
SS

CONFIDENTIAL

SSMT00037082

SSMSAA0037O82
SSMSAA0037O82

Sterling Capital Roots (Done)

55
57

56 SecurIty (Levered)
- EsMe of Leonard J. Scherier
.. Saul B. Katz & Fred Wilpon (TIC)

-

Saul B. Katz Foundation
Saul B. Katz Family Trust- CW Tracing Account
Red Valley Partners (David Katz, Heather Katz, & Nataline Katz)
F6 Company LLC

lrisJ.Katz
Marvin 5. Tepper Traoing
Saul B. Katz
Judith A. Wilpon
Saul B. Katz (Jewelry)
Saul B. Katz (Pawling Refinancing)
Fred Wilpon Family Trust-CW Tracing Account
Saut O. Katz Famify Trust
Michael Katz
Mrs. Dayle Katz
Mr. Fred Wilpon
Mr. Richard Wilpon
Mark Peskin & Alison Peskin
Mark Peskin
Mrs. Dayle Katz (IRA Account)
Mrs. Ruth Friedman
Mrs. Elise C. Tapper

Growth
¡

Saul B. Katz Family Trust
Fred Wilpon Family Trust (Pledged Account)
SM L.P. Fundraising Account-Pla er Obli.ation
Red Valley Partners (Pledged Account)
Mark Peskin

-

SaulB.Katz

-

Judy Wilpon
Mets Il, LLC
Mrs. Elise C. Topper
Phyllis Osterman

-

Total

Growth (Offshore)
loo The Iris J. & Saul B. Katz Family Foundaton Inc.

loi
102 Total
103

104 Acceleration
105 Mr. Saul B. Katz
lot Mr. Fred Wilpon
107 Red Valley Partners
ioa Total
log
110 PrIvate EquI
111 Sterling PE Investors, LLC
112 Total

CONFIDENTIAL

SSMT00037O8S

SSMSAA0037O83
SSMSAA0037O83

Sterling Capilal Acots (Done)

2

3

4

5

6

7

8

56
57
58

59295
60301
61302
62303
63 310

64311
65 312

66313
67 314

68315
69375
70 376

71668
72 930
73
74
75
76
77

78
79
80
81

82

83
84
85

86 19357-0019
87 19357-0018
88 19357-0014
89 19357-40875
90 19357-54931
01

92
93
94
95
96
97
98
99

lOO 19357-0019

l0l
102
103
104
105
106
107

108
109
110
111

112

CONFIDENTIAL

SSMT00037084

SSMSAA0037OB4
SSMSAA0037O84

Starling Capital Acots (Dona)

9

10

Il

12

13

14

56
57
58
59
60
61

62
63
64
65

66
67
66
69
70
71

72

73
74
75
76
77
78
79

60
81

82

83
64
65
86
87
88
89
90
91

92

93
94
95
96
97
98
99
100
101

102
103
104
105
106
107
108
I 09

110
111

112

CONFIDENTIAL

33MT00037085

SSMSAA0037O85
SSMSAA0037O85

Sterling Capilal Pools (Done)

Il

16

15

20

19

18

56
57
58

sg
60
61

$1,247,696.00
$4,362,053.00
$2,456,739.00

$1,249,690.00
$4,369,031.00
$2,460,670.00
$2,503,899.00
$549,664.00
$999,754.00
$3,975,027.00
$249,938.00
$749,615.00
$4,124,828.00
$643,213.00
$519,017.00
$1,502,400.00
$249,938.00

62

70

$548,986.00
$996,157.00
$3,968,673.00
$249,539.00
$748,618.00
$3118,241.00
$642,186.00
$518,188.00

71

$

72

$249,539.00

63
64
65
65
67
68

69

$1 292,116.00 $1,304,395.00
4,560,279.00
$4,517,348.00
2,566,381.00
$2,544,202.00
2614,240.00
$2,589,626.00
573,934.00
$568,531.00
1,043,516.00
$1,033,692.00
4,149,020.00
$4,109,960.98
260,879.00
$258,423.00
782,637.00
$775,269.00
4,305,640.00
$4265105.00
671,369.00
$665,049.00
541736.00
$536,636.00
$1553,775.00
1,566,544.00
260,879.00
$258,423.00

$1,271,754.00
$4,446,198.00
$2,504,130.00
$2,548,829.00
$559,576.00
$1,017,411.00
$4,045,227.00
$254,353.00
$763,058.00

$4197924.00
$654,574.00

$52616400
$1,529,297.00
$254,353.00

73
74
75
76
77
78
7g
80
81

82

24,147,184.00

19,108,615.00

83
84

24,574,878.00

85
86

$24,966,155.98

1,064,632
1,267,656
2,535,314

87
88
89
90

$25,205,449.00

$1,271,716.00
$1,274,462.00
$2,548,926.00

91

92
93
94
95
98
97
98

4,867,802.00

5,095,104.00

$

-

$

-

-

1$

-

$

-

-

-

-

$

-

$

-

-

-

-

$

-

$

-

-

-

-

99
100
101

102
103
104
105
106
107
108
109
110
111

112

CONFIDENTIAL

3SMT00037086

SSMSAA0037O86
SSMSAA0037O86

Sterling Capitel Aects (Done)

23

22

21

56

25

24

27

26

-

57
58

59 $1,321,606
60 $4,620,451
61

$1,343,140
$4,695,735

$1,357,709
$1,362,510
$4,746,668 $4,763,453

$1,373,355
$4,801,368

$1,357,727
$4,746,730

$1,373,949
$4,833,447

$2,692,078
$1,001,564
$1,074,512
$4,490,763
$268,628
$4,240,956
$4,433,607

$2,721,278 $2,730,901
$1,012,428 $1,016,008
$1,086,167 $1,090,008
$4,539,473 $4,555,525
$271,542 $272,502
$4,497,205 $4,513,106
$4,481,697 $4,497,545
$698,809 $701,281
$563,878 $565,872
$1,632.767 $1.638,541
$271,542 $272,502
$966,871 $970,266
$770,488 $773,212
$3,234,213 $3,245,649
$1,540,976 $1,546,425
$102,732 $103,095

$2,752,638
$1,024,095
$1,098,684
$4,591,785

$2,721,314
$1,012,441
$1,086,181
$4,539,533
$271,545
$4,497,264
$4,481,756
$696,819
$563,886
$1,632,788
$271,545
$966,883
$770,498
$3 234,255
$1,540,996
$102,733
$198;351
$93,428
$217,233

$2,753,835
$1,024,539
$1,099,159
$4,593,775
$274,789
$4,551,483
$4,535,307
$707,170
$570,623
$1,652,301
$274,789
$979,707
$779,705
$3,273,018
$1,559,412
$103,962
$200,968
$94,716
$220,100

$2,602,270

62 $2,648,918
63 $581,507
64 $1,057,285
65 $4,203,765
66 $264,321
67 $792,964
68 $4,362,525
69 $680,228
70 $548,884
71 $1589,351
72 $264,321
73
74
75
76
77
78

$691,311

$557,828
$1,615,247
$268,628
$406,517
$762 237
$3,150,510
$1,524,440
$101,629

$4,549,026
$4,533,343
$706,862
$570,376
$1,651,583
$274,671
$978,002
$779,367
$3,271,482
$1,558,734
$103,916
$100,794
$94,330

$92,900 $93,400

$90,119 $91,748

79

$274,671

80
81
82
83

$25,628,515

$34,589,343

$33,411,078

$34711,821

$35,089,082

$35,005,905

$35,206,654

84
85
86
87
88

$1,282,608
$1,285,477
$2,570,956

69
90

$1,313,883
$2,853,399
$5,706,797
$1,536,868
$153,686

$1,299,293
$2,821,713
$5,643,427
$1,519,561
$151,956

$$$-

91
92

93

$1,329,849
$2,888,492
$5,776,989
$1,555,963
$307,625
$506765
$1,510,998
$4,029,327

$1,317,450
$2,861,564
$5,723,133
$1,541,468
$304,165
$500,052
$1,490,984
$3,975,956

$1,323,653
$2,875,036
$5,750,074
$1,548,714
$306,117

$1,321,102
$2,869,496
$5,738,994
$1,545,730
$305,448
$502,917

$504,151
$1,503,207
$4,008,553

94
95
96
97

$5,139041

$11,435,950

$11,584,633

$17,819,505

$12,283,687

$17,714,792

$17,906,008

98
99

$2,630,640

100

$2,653,917

$2,668,407

$2,681,275

$2,664,107

$2,697,992

101

102

$-

$2,630,640

$2,653,917

$2,681,275

$2,664,107

$2,668,407

$2,697,992

103
104
105
106
107
108

$-

$-

$-

$-

$-

$-

$-

s,

$-

$-

$-

5'

$-

109
110
111

112

CONFIDENTIAL

I

SSMT00037087

SSMSAA0037O87
SSMSAA0037OB7

Sterling Qepital Acts (Done)

28

29

30

32

31

33

34

56
57

58

59 $1,374501
60

$
$
5
5
$
$
5

$4,605,374

61

62 $2,754,939

63 $1024,950
64 $1,099,600
65 $4,595,618
66 $274,900
67 $4553,314
68 $4,537,128
69 $707,453
70 $570,852

5
S

5
$

$

$1652,964
72 $274,900
73 $980,114
14 $790,019
75 $3,274,333
76 $1,560,037
77 $104,004
78 $201,054
79 594,899
80 $222,341

$

71

$
$
$
$

$
$
$
5
$

1,379,041

$
$
$
$
$
$
$

4,821,247
-

2,764,039
1,028,335
1,103,229
4,610,784
275,808
4,568,340
4,552,101
709,788
572,736
1,658,419
275,807
983,348
782,593
3,285,138
1,565,185
104,347
201,717
95,212
223,075

$
$
$

$
5
$
$
$
$

$
$

$
$
5
$

1,390,211

$

4,660,299

$

-

s

2,786428

$

1,036,665
1,112,165
4,648,131
278,042
4,605,343
4,588,973
715,537
577,375
1.671,852
278,041
991,313
768,932
3,311,748
1,577,863
105,192
203,351
95,983
224,882

$
$
5
5
5
$

$
$
5
$
$
$
$

$
5
5
$
$

1,398,831
4,890,433
-

2,803,704

1,119,060
4,676,949
279,766
3,627,697
4,617,424

$

$
s
$

5
$
5
5
$
$

719,973 $
580,955
1,682,217
279,765
997,460
793,823
2,326,081
1,587,646
105,845
204,612
96,578
226,276

5
$
$
$
$

5
5
5
$
5
$

1,433,242
5,010,738
-

2,872,675
-

1,146,599
4,792,002
286,648
3,716,938
4,731,013
737,685
595,246
1,723,600
286,647
1,021,997
813,352
2,383,302
1,626,702
108,448
209,646
98,954
231,842

$

s
5
$
$
$
$
$
$
$
$
$
5
5
5
$
5
$
$
$
$
5

1,454,310
5,084,395
-

2,914,803
-

1,163,444
4,862,445
290.862
3,771,577
4,800,559
748,529
603,996
1,748,937
290,861
1,037,021
825,308
2,418,337
1,650,614
110,043
212,727
100,409
235,250

S

$
$
$
$
$
$

$
$
$
$
$
5
5
$
$
$
$
$

$
$
$

$

81

1,466,824
5,128,143
-

2,938,979
-

1,173,459
4,904,296
293,365
3,803,442
4,841,877
754,971
609,195
1,763,987
293,365
1,044,485
678.821
2,438,973
1,664,819
110,988
214,408
102,566
237,200
213,554

82

83
84

$35,560,286

$35,220,953

$35,845,327

$34,675,716

$34,324,527

$33,827,266

$33,015,085

85

86 $1,333,545
87 $2,696,523
88 $5,793,050
89 $1,560,321
90 $407,761
91

$
$
$
$
$

$506,061

$

92 $1,508,199
93 $4,024,528

1,339,080
2,908,547
5,817,097
1,566,796
409,454
508,262
1,515,464
4,041,234

$

$
$
$
$

1,348,989
2,930,070
5,860,144
1,578,392
412,484
512,023

$

1,52a678

$

4,071,139

$
$

$
$

$

$

1,356,544
2,946,479
5,692,960

$

1,587,231

$

$

414,794
514,890
1,535,228
4,093,938

$

$

$

$
$

$

$

1,380,147
2,997,747
5,995,498
1,614,849
422,011
523,850
¶561,941
4,165,172

$
$
$
$
$
$

1,398,779
3,038,217
6,076,437
1,636,650
427,708
530,922
1,583,027
4,221,402

$
$
$
$
$
$

94

$
$
$

95

$

$
$

$

$
$

1,402,879
3,047,123
6,094,249
1,641,417
429,754
533,809
1,592,556
4,246,810
211,969
117,303

96

97
98

$18,105,936

$18,030,988

$18,239,920

$18 342,063

$18,913,142

$18,661,215

$19,317,869

99

100 $2,693,704

$

2,700,169

$

2,714,210

$

2,734,566

$

2,782,695

$

2,809,965

$

2,821,308

loi
102

$2,693,704

$2,714,210

$2,734,586

$2,782,695

$2,8099651

$2,821,308

$1,008,200
$1,008,200
$1,051,553
$3,067,953

$1,036,631
$1,036,631

$-

$2,700,169

$1,052,906
$1,052,906
$1,098,181
$3,203,994

$1,059,648
$1,059,648
$1,098,451
$3,217,747

$1,051,209
$1 051 209

$1,051,209
$1,051,209

$l,051,209

5-

$2,102,417
$2,102,417

103
104

los
106
107

108
109
110

5-

s-

5-

5-

111

112

CONFIDENTIAL

F

$1,081,206
$3,154,469

51,051,2091

SSMT00037OB8

SSMSAACQ37OBB
SSMSAA0037088

Sterling Capital Acota (Done)

36

35

37

38

40

39

41

56
57
58

$

1,483,981

$

60 $

5,188,126

$
$
$

59

61$
62

2,974,367

$

63$

-

04 $
65 $
66 $
87 $
68 $
69
70
71

72
73
74

1,167,185
4,961,661
296,796
3,847,930
4,898,511
763,801

$
$

616,321

1,784,620
296,796
1,056,702

$
$
$
$

686.761
2,467,501

75 $
76 $
77 $
78 $
79 $
80 $
81

1,684,292
112,286
216,916
104,026
239,975
216,052

$

1,485,912
5,194,878
-

2,978,238

$
$
$
$

$

$

-

$

1,188,730 $

$
$
$
$
$
$

4955,118

$

297.182
3,852,938
4,904,867
764,795
617,123
1,786,943
297,182
1,058,077
687,655
2,470,713
1,666,484
112,432
217,198
104,314
240,267
216,333

$
$
$
$
$

$

$
$
$
$
$
$
$
$
$
$

$
$
$
$
$
$
$
$
$
$
$

1,461,563
5,109,750
2,929,434
1,169,250
4,886,706
292,313
3,789,800
4,824,511
752 263
607,010
1,757,660
292,313
1,040,739
676,387
2,430,225
1,658,848
110,590
213,639
102,516
236,349
212.786

$
$

1,473,370
5,151,031

$

$
$
$
$
$

2,953,101
-

$

$
$
$
$
$
$
$
$
$

$
$
$
$
$
$

$

1,178,696
4,926,186
294,674
3,820,418
4,863,488
758,340
611,914
1,771,860
294,674
1,048,147
681,851
2,449,859
1,672,250
111,463
215,365
103,580
238.259
214,507

$
$

$
$
$
$
$
$
$
$
$
$
$

$
$
$
$
$
$

$
$

1,499,228
-

2,984,854
-

1,191,382
4,979,204
297,846
-

4,915,831
766,502
618,500
1,790,933
297,845
1,060,438
689,190

1,690,247
112,693
217,683
-

240,823
216,816

$

1,510,970

$

-

$

-

$

$.
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

3,028,453

1,208,776
5.051,900
302,194

-

$
$
$
$

$
$
$
$
$

4,967,602 $
777,693 $
627,530 $
1,817,078 $
302,194 $
1,075,921

699,252
-

1,714,925
114,328
220,861

-

$
$
$
$
$
$

$

244,339 $
219,981

$

1,510,970

3,028,463

1,208,776
5,051,900
302,194
-

4,987,602
777,693
627,530
1,817,078
302,194
1,075,921
699,252

1,714,925
114,328
220,861

244,339
219,981

82

$35,130,420

$35,084,605

83
84

$34,554,755

$34634,053

$23904,006

$23,904,008

$23,560,032

85

86 $
87 $
88 $
89 $
90 $
91

$

92 $
93 $
94 $
es $
96
97
98

1,420,277
3,084,914
6,169,834
1,661,774
435,064
540,430
1,612,309
4,299,481
214,598
118,758

$
$
$
$
$
$
$
$
$
$

$19 557,459

1,412,482
3,067,961
6,135,963
1,652,652
432,696
537,462
1,603,457
4,275,880
213,419
118,105

$
$
$
$
$
$
$
$
$
$

$19,450,097

1,393,864
3,027,541
6,055,385
1.630,869
426,992
530,378
1,582,322

4219520
210,606
116,549

$
$
$
$
$

$
$
$
$
$

$19,193,726

1,403.762
3,049,039
6,098,081
1,642,450
430,024
534,144
1,593,558
4,249,482

$

212,101

$

117,377

$

$
$
$

$
$
$
$

$19,330,018

1,419,465
3,083,145
6,166,294
1,660,823
434,832
540,119
1,611,384
4,297,017
214,473
118,690

$
$

$
$
$
$
$
$

$
$

1,449,558
3,146,508
6,297,019
1,696,032
444,050

$
$
$
$
$

551,570 $
1,645,545
4,368,114
219,020
121,206

$
$
$
$

$19,960,622

$19,960,622

$19,5-4$ 242

1,449,558
3,148,508
6,297,019
1,696,032
444,050
551,570
1,645,545
4,388,114
219,020
121,206

99

100 $

2,853,125

$

2,850,785

$

2,823,633

s

2,839,145

$

2,867,850

$

2,914,914

$

2,914,914

101

102
103
104

$2.853,128

$2.850.785

$2823,633

$Z839,1481

105

$1,082,077
$1,082,077
$1,121,701
$3,285,855

$1,073,073 $
$1,073,073 $
$1,112,366 $
$3,258,514

1,033,140 $
1,033,140 $
1,070,972 $
$3,137,252

1,058,986
1,058,986
1,097,764
$3,215,736

$2,102,417 $
$2,l02,417

2,102,417 $
$2,102,417

2,102,417 $
$2 102,417

106
107
108

$2,867,880

$

$
$

$2,914,914

$2,914,914

1,076,687 5
1,076,687 $
1,116,113 $
$3,269,487

1,111,249 $
1,111,249 $
1,151,940 $
$3,374,438

1,111,249
1,111,249
1,151,940
$3,374,438

2,102,417 $
$2.102,417

2,102,417 $
$2,102 417

$2 102417

109

110

iii

$2,102,417

112

$2,102417

CONFIDENTIAL

2,102,417

SSMT00037OB9

SSMSAA0037O89
SSMSAA0037OB9

Sterling Capital Acots (Done)

42

43

44

45

46

47

48

56
57
58
59
60
61

62
63
64
65
66

67
68
69
70
71

72
73
74
75
76
77
78
79

80

No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No
No

No
No
Yes
No
Yes

81

82
83

84
85
86
87
88
89

so
92

93

No
No
No
No
No
No
No
No

rowll2
rowIll
row 108
row 125
row 132

rowl5O
rowlSS
rowlS4

94
95
96
g7
98
99

loo

No

loi
102
103
104

los
106
107

Yes
Yes
Yes

108

log
110

Ill

Yes

112

CONFIDENTIAL

SSMT00037O9O

SSMSAA0037O9O
SSMSAA0037O9O

Sterling Capital Aorta (Done)

50

49

52

51

53

56
57

Jul-04

58
59

$

NA

12252061

$

Aug-04
4,422,458 $

Jan-05
6,616,265

12,549,236

$

Jul-04

60
61

Aug-04
Jul-04

62
63
64
65

NA
NA

Jul-04
Jul-04

66

67
68

NA

Jul-04
Jul-04
Auq-04
Jul-04
Jan-05
Jan-05
Jan-05
Jan-05
Apr-05

69
70
71

72

73
74
75
76
77
78
79

80

NA
NA

81

82
83
84
85

$

6,732,141

86
87
88
89
90
91

92
93
94
95
96

97
98
99

100
jOEl

102
103
104
105
106
107
108

109
110
111

112

CONFIDENTIAL

SSMT00037O91

SSMSAA0037O91
SSMSAA0037O9I

Slerliny Oupile! Accts (Done)

54

56

56

57

58

59

60

61

62

56
57

sa
59

$

60
61

62

63
64
65
66
67
68
69
70
71

72

73
74
75
76
77
78
79
80

Free
Apr-05 Total
0 0.67%
$ 23,395130

104,347

0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%
0.67%

81

82

83
84

65
85
87
88
89
90
91

92

93
94
95
96

0.76%
0.76%
0.76%
0.76%
0.76%
0.76%
0.76%
0.76%

97
98
99
100

0.50%

101

102
103
104
105
106
107
108
109
110
111

112

CONFIDENTIAL

3SMT00037092

SSMSAA0037O92
SSMSAA0037O92

Sterling Capital Acota (Done)

63

64

65

56

67

68

56
57
58
59
60
61

62
63
64
65
66
67
68
69
70
71

72
73
74
75

76
77
78
79
80

81
82
83
84
85
86
87

88
89
90
91
92

93
94
95
96
97
98

99
100

-

101

102
103
104

105
106
107

los
109
110
111

Needs to be updated

112

CONFIDENTIAL

SSMT00037093

SSMSAA0037O93
SSMSAA0037O93

Sterling Capital Mats (Done)

113
114

Grand Total

115
116

117

* June is based upon the estimated performance.
Entire Levered Fund account íncludin December appreciatIon will be transferred to the Growth (Offshore) Fund for a January 1 investment date.

118
120
121

122
123
124
125
126
127
128

129
130
131

132
133
134
135
136
137
138
139
140
141

142
143
144
145
146

CONFIDENTIAL

SSMT00037094

SSMSAA0037O94
SSMSAA003YO94

Sterling Capital Aorta (Done)

2

3

5

4

7

6

8

113
114

$

23,367,88258

$

37,942,461.60

$

30,731,814,26

$

32,075862.00 $

34488,247.42

115
116
117
118
119
120
121

122
123

124
125
126
127
128
129
130
131

132
133
134
135

136
137
138
139
140
141

142

143
144
145
145

CONFIDENTIAL

SS MT00037095

SSMSAA0037O95
SSMSAA0037O95

Sterling Capital Acots (Done)

9

10

11

14

13

12

113

114 $

42,231,863.10 I $

46,472,651.44

$

48,628,484.70

$

46,943,259.28

$

52,526245.34

$

53,228,734.61

115
116
117

¶18
119
120
121

122
123
124
125
126
127
128
129

130
131

132
133
134
135
136
137
138
139

140
141

142
143
144
145
146

CONFIDENTIAL

SSMT000S7O96

SSMSPAOD37O96
SSMSAA0037O96

Sterling Capital Mcta (Done)

16

15

17

20

19

18

lia
114 $

53506,26121

$

70,418,593.00

$

75,682,233.00

$

78,296,120.00

$

81,861,476.98

$

82,491,618.00

115
116
117
118

119
120
121

122
123
124
125
126
127
128
129
130
131

132

133
134

135
136
137
138
139
140
141

142
143
144

145
146

CONFIDENTIAL

SSMT00037097

SSMSAA0037O97
SSMSAA0037OB7

Sterling Capitel Aoots (Done)

24

23

22

21

26

25

27

113

114 $ 83,473,113

5

105,857,050

$

108,141,864

$

109,727,927

$

120,514,188

$

121,874,479

$

122,742,582

115
116
117
118
119
120
121

122
123
124
125
126
127
128
129
130
131

132
133
134
135
136
137

138
139
140
141

142
143
144
145
146

CONFIDENTIAL

SSMT00037098

SSMSAAOD37O98
SS M SAAO 037098

Sterling Capital Acots (Done)

29

28

31

30

32

33

#REF!

#REF!

#REF!

34

113

114 $

123,068,528

$

123,764,851

$

124,634,986

I

S

163,102,309

115
116

117
118
119
120
121

122
123

124
125
126

127
128
129
130
131

132
133
134
135
136

137
138
139
140
141

142
143
144
145
146

CONFIDENTiAL

SSMT00037099

SSMSAA0037O99
SSMSAA0037O99

Sterling Capital Acots (Dona)

36

35

37

40

39

35

41

113

114 $

164,583,646

$

165,385,733

$

163,005,089

S

168,415,631

$

185,251,183

$

203,384,135 I $

212,574,135

115
116
117
116
119
120
121

122
123

124
125

126
127
128
129
130
131

132
133
134

135
136

137
138
139
140
141

142
143
144
145
145

CONFIDENTIAL

SSMT000371 00

SSMSAA00371 00
SSMSAA0037I 00

Sterling Capitel Acots (Done)

42

43

44

45

46

47

48

113
114
115

116
117
118
119
120
121

122
123
124
125
126
127
128
129
130
131

132
133
134
135

136
137
138
139
140
141

142
143
144
145
146

CONFIDENTIAL

SSMT000371 01

SSMSAA00371O1
SSMSAA0037I 01

Slorling Capital Aoola (Dono)

49

50

51

52

53

113
114
115
116
117
118
119
120
121

122
123

124
126
126
127
128
129
130
131

132

133
134
135
136
137
138
139
140
141

142
143
144
145
146

CONFIDENTIAL

SSMT000371 02

SSMSAA00371 02
SSMSAA0037I 02

Sterling Capital Acots (Done)

54

55

56

57

58

59

60

61

62

113

114

116
116
117

Ils
119

120
121

122

123
124
125
126
127
128
129
130
131

132
133
134
136
136
137

138
139
140
141

142
143
144
145
146

CONFIDENTIAL

SSMT000371 03

SSMSAAQO37I 03
SSMSAA0037IO3

Slerling Capitel Acots (Done)

63

64

65

66

67

68

113
114
115
116
117
118
119
120
121
122
123

124

125
126
127
128
129
130
131

132

133
134

135
136
137
138
139
140
141

142

143
144
145
146

CONFIDENTIAL

3SMT000371 04

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SSMT000371 08

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Investment MocoSos (0000)

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14%
0.7%
1.2%
5.2%

07V,
2,1%
1.2%
6.6%
1.3%
0.3%
0.5%

I

I

I

I

Kenalco
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spOrowIh
sp Accnitrauon
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Gott,sm A286

2,036,545
6,006,947
172,016,505

0.5%
0.7%
1.0%
0.2%
0,5%
23.2%

Karnch CopInai
intrepId Capital
055 Copiosi
Magenta

5,764,629
5,002,002

0.5%
0,7%

Moors

5

$'

2009 177

04%

Fortress Macro

12,753,915

1,0%

4,150,125

0,6%
0,0%

6,055,075

0,0%
0,0%

5

5

61,9%

Tudor Rsptor

71

72
73
74
75

0
5
0
5

76
77

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70
00

5

01

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1,530.310
3,500,000
2,431 606

7,522014

4150135

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5

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2,5%
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1,500,000
477,401
1.977481

5
$
5

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5

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0,0%
4.1%
1,8%

54%

$
$
.
5

0.0%
0.0%

$
$

$

1,689029

9,156,121

1.2%
0,0%
5.2%
0,0%
6,4%

143,601.054

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-

7,457,112

$

-

3,568,943

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3,368.843

10,0%
2.0%
2.0%
2,0%
10.9%

5

36,526,123

100%

5

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$
5

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0.0%
6,0%
2,0%
2.0%

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3,444,125

.

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22.2%

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15,444,125

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5,0%

740,210,547

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16,427,074
21,202.543
$

S

-

91

JP Monsoni

sp Liquidity
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fl314

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05
56
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00
90

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100%

5

investments. Cash cot
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02
9:0

04
05
00
07
90
99

100

CONFIDENTIAL

SSMT000371 11

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tn64nlmeet P80050]on (Done)

03

52

51

-55

54

58

55

50

59

62

61

51

52
53

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5

55
55
57
50
59
60

(2,000,000)

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61

G 002,000

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-

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3,000,005

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0

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62
63

5

65
66
67
58
62
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2,000,000

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bi

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71

72
73
74
75
75
77
78
79

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10

82
83
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590F)

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5,500,000

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3ß00.000

(3536000]

5

650,000

$

5

(4.075,000)

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(4580 000)

(3264,504)

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(5 000.504)

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(4.501,795)
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00
87
08
09

80
91

92
93
94
95
90
07
50
09
100

CONFIDENTIAL

$

(0,245,857)

SSMT00037I 12

SSMSAA0037I 12
SSMSAA0037I 12

Ìnvnnlmenn Ajinontion (Done)

1

2

3

4

5

6

7

8

9

101

102
103
104
106
106
107

Ion
loe

lin
111
112

113
114

liS
116
117

lie
119
120

CONFIDENTIAL

SSMT000371 13

SSMSAA00371 13
SSMSAA0037I 13

Invesiment Allocation (Done)

10

11

13

IS

17

19

E

21

23

25

27

29

101

102

103
204
105
106
107

los
109
110
111

112

113
114
115

Ils

117
116
119
120

CONFIDENTIAL

SSMT000371 14

SSMSAA00371 14
SSMSAA0037I 14

In,001rneo1AÌIoocr. (Done)

31

32

33

35

37

39

4

41

43

45

4e474&4

90

101

102
103
104
105
109
107
109

loe
110
111
112

113
114
115
119
117
119
119
120

CONFIDENTIAL

SSMT000371 15

SSMSAA00371 15
SSMSAA0037I 15

IflbeslmenlMJ}ncnVon (Done)

51

101
102
103
104
105
106
107

92

53

54

55

55

58

59

50

51

62

375

105
10g
110

Ill

112
113
114
115

I le
117
118
11e
120

CONFIDENTIAL

SSMT000371 16

SSMSAA00371 16
SSMSAA0037I 16