ABC RETIREMENT PLAN Statement Period: March 1, 2001 through March 31, 2001 Your Retirement Plan Provider Personal Choice Retirement Account of INVESTMENT CORPORATION AND RETIREMENT SERVICES W E JOHNSON TTEE ABC RETIREMENT PLAN U/A DTD 01/01/96 FBO JOE SAMPLE 333 MARKET STREET SAN FRANCISCO CA 94104 FA MASTER ATTN THOMAS SMITH 1500 WILSHIRE BLVD LOS ANGELES CA 97890 (555) 555-5555 SAMPLE The custodian of your brokerage account is: Charles Schwab & Co., Inc. JOHNSON TTEE RETIREMENT PLAN DTD 01/01/96 JOE SAMPLE MARKET STREET FRANCISCO CA W E ABC U/A FBO 333 SAN 30/03-PSA000002-SML- 941040000002 1 94104 Schwab PCRA Customer Service 1-888-393-7272 Account Number: 1018-4643 Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. Terms and Conditions This Account statement is furnished solely by Charles Schwab & Co., Inc. ("Schwab") for your Account at Schwab ("Account"). Schwab is a registered broker-dealer and, other than an affiliated company that may act as an Investment Advisor for the Schwab Money Funds and any affiliates of U.S. Trust Corporation, is not affiliated with any retirement plan provider ("Retirement Plan Providers") or advisor whose name appears on this statement ("Advisors"). Retirement Plan Providers and/or Advisors are independently owned and operated. Schwab neither endorses nor recommends any particular Retirement Plan Provider or Advisor or investment strategy and has no responsibility to monitor trading by any Retirement Plan Provider or Advisor on your Account. Retirement Plan Providors and/or Advisors may provide recordkeeping and/or investment advisory services for your Account. Schwab provides brokerage and custody services for your Account and has agreements with Retirement Plan Providers and/or Advisors under which Schwab provides such entities with services related to your Account. GENERAL INFORMATIONAND KEY TERMS: If you receive any other communication from any source other than Schwab which purports to represent your holdings at Schwab you should verify its content with this statement. AIP (Automatic Investment Plan): Schwab receives remuneration in connection with certain transactions effected through Schwab. If you participate in a systematic investment program through Schwab the additional information normally detailed on a trade confirmation will be provided upon request. Balance Subject to Interest: Average daily composite of all cash balances that earn interest and all loans from Schwab that are charged interest. Interest cycles may differ from the statement cycles. Interest accrues from the second-to-last business day of the prior month and is posted on the second-to-last business day of the current month. Cash: Any free credit balance represents funds payable upon demand which, although properly accounted for on our books of record, are not segregated and may be used in the conduct of this firm's business. Dividend Reinvestment Customers: Dividend reinvestment transactions were effected by Schwab acting as a principal for its own account, except for the reinvestment of Schwab dividends for which an independent broker-dealer acted as the buying agent. The time of these transactions, the exchange upon which these transactions occurred and the name of the person from whom the security was purchased will be furnished upon written request. Fees and Charges: Includes Margin Interest, Retirement Plan Provider fees, and Management Fees that may be charged during the statement period. Contact your Retirement Plan Provider and/or your Investment Manager if you have questions about his or her fees. Margin Account Customers: This is a combined statement of your margin account and special memorandum account maintained for you under Section 4(1)(6) of Regulation T issued by the Board of Governors of the Federal Reserve System. The permanent record of the separate account as required by Regulation T is available for your inspection. Securities purchased on margin are Schwab's collateral for the loan to you. It is important that you fully understand the risks involved in trading securities on margin. These risks include: · You can lose more funds than you deposit in the margin account. · Schwab can force the sale of securities or other assets in any of your account(s) to maintain the required account equity without contacting you. · You are not entitled to choose which assets are liquidated nor are you entitled to an extension of time on a margin call. · Schwab can increase its "house" maintenance margin requirements at any time without advance written notice to you. Non-Standard Assets: All assets shown on this statement, other than certain direct investments which may be held by a third party, are held in your account. Values of certain non-standard assets may be SAMPLE furnished by a third party as provided in Schwab's Non-Standard Asset Custody Agreement. Schwab shall have no responsibility for the accuracy or timeliness of such valuations. Assets held by a third party are not covered by SIPC. Option Customers: Be aware of the following: 1) commissions and other charges related to the execution of option transactions have been included in confirmations of such transactions previously furnished to you and will be made available promptly upon request; 2) you should advise us promptly of any material changes in your investment objectives or financial situation; 3) exercise assignment notices for option contracts are allocated among customer short positions pursuant to an automated procedure which randomly selects from among all customer short option positions those contracts which are subject to exercise, including positions established on the day of assignment. Price: The most recent price evaluation available on the last business day of the statement period, normally the last trade price or bid. Unpriced Securities denotes that no market evaluation update is currently available. Price evaluations are obtained from outside vendors. Schwab does not guarantee the accuracy of such values and prices. Pricing of assets held by a third party are for informational purposes only. Rate Summary: The yield information for Sweep Funds is the current 7-day yield as of the statement period. Yields vary. Schwab and the Sweep Fund investment advisor may be voluntarily reducing a portion of a Sweep Fund's expenses. Without these reductions, yields would have been lower. Restricted Securities: See your Account Agreement for information regarding your responsibilities concerning sale or control of restricted securities. Short Positions: Securities sold short will be identified through an "S" in Investment Detail. The market value of these securities will be expressed as a debit and be netted against any long positions in Total Account Value. Sweep Funds: Includes the primary funds into which free credit balances may be automatically invested pursuant to your Account Agreement. IN CASE OF QUESTIONS OR ERRORS: If you have questions about this statement or about specific Schwab Account transactions, contact the Schwab Customer Service phone number listed on the front of this statement. Brokerage Transactions: If you find errors or omissions relating to your brokerage activity you must notify us within 10 days after this statement is sent or made available to you. If you do not so notify us, you agree that the statement activity and Account balance are correct for all purposes with respect to those brokerage transactions. Notify Schwab promptly in writing of any change of address or phone number. If you fail to notify us, you may not receive important notifications about your Account and trading or other restrictions might be placed on your Account. If this statement shows that we have mailed or delivered security certificate(s) that you have not received, notify Schwab immediately. Wire Transfers and Check Transactions: Promptly examine your statement upon receipt. If you find that your records and ours disagree, or if you suspect that a wire transfer is unauthorized, a check or endorsement is altered or forged or checks are missing or stolen, call us immediately at the Schwab Customer Service number listed on the front of this statement. If you do not notify us in writing of the suspected unauthorized wire transfer, forgery, alteration or fraudulent check transaction promptly, but in no event later than 10 days after we send, or make available, your statement, to you, you agree that the statement activity and Account balance are correct for all purposes with respect to those transactions. You agree to cooperate with us in the investigation of your claim, including giving us an affidavit containing whatever resonable information we require concerning your Account, the wire or the check transaction and the circumstances surrounding the loss. You agree that we have a reasonable period of time to investigate the facts and circumstances surrounding any claimed loss and that we have no obligation to provisionally credit your Account. Electronic Fund Transfers: In case of errors or questions about your electronic fund transfers, or if you think your statement or receipt is wrong or if you need more information about a transfer on the statement or receipt, call us toll-free as soon as you can at the Schwab Customer Service number on the front of this statement. Alternatively, you may write us at the following addresses: For MoneyLink transfer errors or questions, write to Charles Schwab & Co., Inc., MoneyLink Support Services, MS 345-7, 101 Montgomery St., San Francisco, CA 94104. For any other errors or questions regarding electronic fund transfers, please write to Charles Schwab & Co., Inc., Attention: Schwab One, MS 03-408, 9601 East Panorama Circle, Englewood, CO 80112. We must hear from you no later than 60 days after we sent you the first statement on which the error or problem appeared. If you tell us orally, we may still require you to send us your complaint or question in writing within 10 business days. We need the following information: your name and Account number; a description of the error or the transfer you are unsure about; a clear explanation of why you believe it is an error or why you need more information; and the dollar amount of the suspected error. We will tell you the results of our investigation within 10 business days after we hear from you and will correct any error promptly. If we need more time, we may take up to 45 days to investigate your complaint or question. If you are a new customer and the error or question concerns an electronic fund transfer that occurred within 30 days after the first deposit to the Account was made, we will tell you the results of our investigation within 20 business days after we hear from you. If we need more time, we may take up to 90 days to investigate. In addition, we may take up to 90 days to investigate if the error or question relates to an electronic fund transfer that was initiated outside of the United States or resulted from a point-of-sale debit card transaction. If we decide we need the additional time to investigate, we will provisionally credit your Account within 10 business days (or 20 business days for errors or questions relating to transactions that occurred within 30 days after the first deposit to the Account was made) for the amount you think is in error, so you will have the use of the money during our investigation. If we ask you to put your complaint or question in writing and we do not receive it within 10 business days (or 20 business days if applicable), we may not credit your Account. We will tell you the results within three business days after completing our investigation. If we decide that there was no error, we will send you a written explanation. You may ask for copies of the documents that we used in our investigation. Additional Information We may be required by law to report to the Internal Revenue Service certain plan disbursements issued under Schwab's Paying Agent Service during the calendar year. Schwab or an affliciate acts as the Investment Advisor, Transfer Agent, Shareholder Service Agent and Distributor for the Schwab Money Funds. Schwab or an affiliate is compensated by the Schwab Money Funds for acting in each of these capacities other than as Distributor. The amount of such compensation is disclosed in the prospectus. Additional information will be provided upon written requests. A financial statement for your inspection is available at Schwab's offices or a copy will be mailed to you upon written request. Any third party trademarks appearing herein are property of their respective owners. (001-14636)REG21926(10/01) Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Page 1 of 8 Account of W E JOHNSON TTEE Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Portfolio Composition Change in Account Value Amount Cash & Money Market Funds (MMFs): Money Market Fund (Sweep) Bond Funds Equities Other Total Account Value $ 3,019.21 39,292.65 93,121.25 11,745.00 $ 147,178.11 This Period Year to Date 03/01/01 to 03/31/01 $ 157,600.82 01/01/01 to 03/31/01 $ 163,068.22 Deposits Withdrawals Investments Received-In Investments Delivered-Out Fees & Charges Other Credits/Debits $ 0.00 0.00 0.00 0.00 0.00 0.00 $ 0.00 0.00 0.00 0.00 0.00 213.75 Total Contributions/(Withdrawals) $ 0.00 $ 213.75 % 2% 27% 63% 8% 100% Starting Account Value Dividends Interest and Misc. Income Capital Gain Distributions Income Reinvested Portfolio Composition MMFs (Sweep) 2% Bond Funds 27% Other 8% Equities 63% $ 406.82 0.00 0.00 (406.82) $ 870.41 0.00 0.00 (1,084.16) Change in Value of Investments $ (10,422.71) $ (15,890.11) Ending Account Value $ 147,178.11 $ 147,178.11 SAMPLE Noted for Your Account Investment income during this period was $406.82 Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Account of W E JOHNSON TTEE SAMPLE Page 2 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Investment Detail Cash and Money Market Funds (Sweep) Description SCHWAB MONEY MARKET FUND Quote Symbol SWMXX Quantity Long/Short 3,019.2100 L Latest Price $1 Total Market Value $ 3,019.21 $ 3,019.21 Total Market Value of Cash and Money Market Funds (Sweep) Investment Holdings Bond Funds VANGUARD GNMA FDà VFIIX 3,796.3910 L $ 10.3500 $ 39,292.65 $ 39,292.65 500 100 156.2516 150 16 L L L L L $ 8.5000 27.5400 21.3000 40.1500 13 $ 4,250.00 2,754.00 3,328.16 6,022.50 208.00 100 L 135.2564 L 15.8125 44.9800 1,581.25 6,083.83 35.6256 L 14.1700 504.81 Total Market Value of Bond Funds Equities A D C TELECOMMUNICATION ADCT A F L A C INCà AFL A T & T CORPà T AOL TIME WARNER INCà AOL AVAYA INC AV ODDLOT TENDER OFFER EXP:05/08/01 CISCO SYSTEMS INCà CSCO CITIGROUP INCà ODDLOT TENDER/PURCHASE EXP: 03/23/01 DELPHI AUTOMOTIVE SYSTEMà à C DPH Dividends paid on this security will be automatically reinvested Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Account of W E JOHNSON TTEE SAMPLE Page 3 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Investment Detail (continued) Investment Holdings Description Quote Symbol EXXON MOBIL CORPORATIONà XOM GENERAL ELECTRIC COMPANYà GE GENERAL MOTORS CORPà GM INTL BUSINESS MACHINESà IBM JOHNSON & JOHNSONà JNJ LILLY ELI & COMPANYà LLY LUCENT TECHNOLOGIES INCà LU PFIZER INCORPORATEDà PFE SCHERING PLOUGH CORPà SGP TARGET CORPORATIONà TGT WAL-MART STORES INCà WMT WORLDCOM INCà WCOM Quantity Long/Short 52.4266 310.1906 53.4400 50.2439 50.3396 102.8926 301.3927 205.2165 102.5805 201.7368 100.8190 200 L L L L L L L L L L L L Latest Price Total Market Value $ 81 41.8600 51.8500 96.1800 87.4700 76.6600 9.9700 40.9500 36.5300 36.0800 50.5000 18.6875 $ 4,246.55 12,984.58 2,770.86 4,832.46 4,403.20 7,887.75 3,004.89 8,403.62 3,747.27 7,278.66 5,091.36 3,737.50 $ 93,121.25 Total Market Value of Equities Other NASDAQ 100 SHARES UNIT SER 1 Total Market Value of Other à QQQ 300 L $ 39.1500 $ 11,745.00 $ 11,745.00 Dividends paid on this security will be automatically reinvested Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Account of W E JOHNSON TTEE SAMPLE Page 4 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Investment Detail (continued) Investment Holdings (continued) Total Account Value $ 147,178.11 Price is provided for informational purposes only and is the initial purchase price or the most recent price received from a third party, and, in either instance, may not represent the current market value. See the "Addendum to the Agreement Non-Standard Assets" for details on pricing policies. If you have sold or transferred this asset, please contact your Investment Advisor and Charles Schwab & Co., Inc. Transaction Detail Investments Purchased and Sold Settle Trade Date Date Transaction Description Bond Funds Activity 02/28 02/28 Reinvested Shares VANGUARD GNMA FD Total Bond Funds Activity Equities Activity 03/01 02/26 Bought 03/02 03/09 03/12 03/12 03/12 03/12 03/12 03/13 03/13 03/02 03/09 03/07 03/07 03/07 03/12 03/12 03/13 03/13 Reinvested Shares Reinvested Shares Bought Bought Bought Reinvested Shares Reinvested Shares Reinvested Shares Reinvested Shares A F L A C INC WITH STOCK SPLIT SHARES LUCENT TECHNOLOGIES INC PFIZER INCORPORATED CISCO SYSTEMS INC LUCENT TECHNOLOGIES INC WORLDCOM INC EXXON MOBIL CORPORATION LILLY ELI & COMPANY GENERAL MOTORS CORP INTL BUSINESS MACHINES Quote Symbol Quantity Unit Price Purchase/Debit VFIIX 20.6370 $ 10.3500 $ 213.59 $ 213.59 AFL LU PFE CSCO LU WCOM XOM LLY GM IBM 50 0.3413 0.5283 50 100 100 0.2706 0.3655 0.4668 0.0680 $ 59 11.7768 42.6246 24.9375 13.3500 17.8437 84.8097 78.5558 56.7500 95.8175 Sales/Credit $ 2,979.95 4.02 22.52 1,276.83 1,364.95 1,814.32 22.95 28.71 26.49 6.52 Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. SAMPLE ABC RETIREMENT PLAN Account of W E JOHNSON TTEE Page 5 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Transaction Detail (continued) Investments Purchased and Sold (continued) Settle Trade Date Date Transaction Equities Activity (continued) 03/13 03/14 03/14 03/14 03/15 03/13 03/09 03/14 03/14 03/15 Reinvested Shares Bought Reorganized Issue Reinvested Shares Reorganized Issue 03/19 03/26 03/16 03/21 Stock Split Bought Total Equities Activity Other Activity 03/07 03/02 Bought Description Quote Symbol Quantity 0.3099 50 16 0.0862 (16 ) TARGET CORPORATION AOL TIME WARNER INC AVAYA INC XXX JOHNSON & JOHNSON AVAYA INC XXX TEMPORARY POSITION A F L A C INC JOHNSON & JOHNSON TGT AOL AFL JNJ 50 25 NASDAQ 100 SHARES UNIT SER 1 QQQ 100 Total Other Activity JNJ Unit Price Purchase/Debit $ 35.7500 42.6600 $ 11.08 2,162.95 93.7803 8.08 89 $ 47.6100 Sales/Credit 2,254.95 $ 11,984.32 $ 4,790.95 $ 4,790.95 Less: Reinvested Share Purchases Total Investments Purchased and Sold $ (343.96) $ 16,644.90 Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Account of W E JOHNSON TTEE SAMPLE Page 6 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Transaction Detail (continued) Cash Activity Trans Process Date Date Transaction Description Investment Income Activity (including Money Market Fund dividends reinvested) 02/28 03/01 Div For Reinvest VANGUARD GNMA FD 03/01 03/01 Div For Reinvest LUCENT TECHNOLOGIES INC 03/08 03/08 Div For Reinvest PFIZER INCORPORATED 03/09 03/09 Div For Reinvest EXXON MOBIL CORPORATION 03/09 03/09 Div For Reinvest LILLY ELI & COMPANY 03/10 03/12 Div For Reinvest GENERAL MOTORS CORP 03/10 03/12 Div For Reinvest INTL BUSINESS MACHINES 03/10 03/12 Div For Reinvest TARGET CORPORATION 03/13 03/13 Div For Reinvest JOHNSON & JOHNSON 03/15 03/15 Dividend SCHWAB MONEY MARKET FUND Total Investment Income Activity Expense $ 213.59 4.02 22.52 22.95 28.71 26.49 6.52 11.08 8.08 62.86 $ 406.82 $ 406.82 Total Cash Activity Total Completed Transactions Income Subtractions from Account $ 16,988.86 Additions to Account $ 406.82 Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Account of W E JOHNSON TTEE SAMPLE Page 7 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Money Funds Detail Settlement Date Transaction Description Money Market Funds (Sweep) Activity SCHWAB MONEY MARKET FUND Activity Opening Shares of SCHWAB MONEY MARKET FUND were 19,601.2500 03/01 Redeemed 03/07 Redeemed 03/12 Redeemed 03/13 Redeemed 03/14 Redeemed 03/15 Redeemed 03/15 Dividend 03/26 Redeemed Closing Shares of SCHWAB MONEY MARKET FUND were 3,019.2100 Quantity 2,979.9500 4,790.9500 4,404.4400 7.5700 2,198.9600 8.0800 62.8600 2,254.9500 Unit Price $1 1 1 1 1 1 1 1 Total SCHWAB MONEY MARKET FUND Activity Total Money Market Funds (Sweep) Activity Purchase/Debit Sale/Credit $ 2,979.95 4,790.95 4,404.44 7.57 2,198.96 8.08 $ 62.86 2,254.95 $ 62.86 $ 16,644.90 $ 62.86 $ 16,644.90 Share Distribution Cash Distribution $ 7.06 2.49 49.63 SCHWAB MMF 5.190 % Dividends Pending Payable Date 04/09 04/16 04/25 Transaction Cash Dividend Cash Dividend Cash Dividend Description WAL-MART STORES INC DELPHI AUTOMOTIVE SYSTEM GENERAL ELECTRIC COMPANY Total Dividends Pending Quantity 100.8190 35.6256 310.1906 Rate per Share 0.0700 0.0700 0.1600 $ 59.18 Pending transactions are not included in account value Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions. ABC RETIREMENT PLAN Account of W E JOHNSON TTEE SAMPLE Page 8 of 8 Statement Period: March 1, 2001 through March 31, 2001 Account Number: 1018-4643 Investment Income Summary Description Cash and Money Market Activity Money Funds Dividends Securities Cash Dividends Total Investment Income This Period: Year to Date: $ 62.86 $ 214.34 $ 343.96 $ 656.07 $ 406.82 $ 870.41 Samples shown are for illustration purposes only. None of the information constitutes a recommendation by Schwab or a solicitation to buy or sell any securities. The information here is included for the sole purpose of demonstrating statement format. Prospectuses containing more complete information, including management fees, charges and expenses, are available from Schwab. Please read the prospectus carefully before investing or sending money. (0901-14699) Schwab Institutional is a division of Charles Schwab & Co., Inc. ("Schwab"), and provides back office and other services to investment advisors. This statement is furnished solely for your account at Schwab. Except as noted in this statement's Terms and Conditions, investment advisors whose names appear in this statement, are not affiliated with Schwab. Please see Terms and Conditions.
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