<> <>  3,633 —~ = —~ -~< ~uJ :~j....j —~ C =~~c -~ QUJ_W() Account Summary for August 1, 2001 - August 31,2001 Your Financial Advisor: ROCKY EMERY EMERY FiNANCIAL GROUP OF FIRST INON SECURITIES, INC 909 FANNIN STE2100 HOUSTON, IX 77010 11111101111 MI I~ First Un~n Secu~ties, Inc., Member NYSEISIPC. Brol~rage accounis are corned by First Clearing Corporation (FCC), Member NYSEJSIPC. EW~K2 ~)6411 244235538243 'YNNNN NN~NN NNNNNNNN oixtyji GJ 02261 Confidential Treatment Requested by K & L At a Glance If wu ha~e more than one a'x~unt with us, why not ~t them IinI~d? Your summary below will l~t them all. Contact YourFlnancial Advisor tothy. Accounts Account number Previous portiollo value Current porttoto value Invesimenr Account $0.00 $1,244,935.68 Total $0.00 $1,244,935.68 0)  <> <>  3,63.4 Regulatory Disclosure Estimated portfolio values Your portfolio value Is an estimate. The prices First Clearing Corporation uses to value certain securities are provided by outside services and do not aJways represent the exact market price. Pricing method Prices for listed and NASDAQ securities are as of the close of business on the last day of the period. Corporate and municipal bonds and othor fixed income securities are priced by a computerized pricing service or, for less actively traded securities, by uthizing a yield-based matrix system to arrive at an estimated market value. For current prices, call Your Financial Advisor. Effective September 30,2001, long.term certificates of deposit will be priced using a market value pricing model. The price shown may be dltlerent than the price received If the CD Is held to maturity. SIPC protection Coverage for cash and securities in protected client accounts Is provided from two sources. The Securities Investor Protection Corporation (SIPC) protects up to 1500,000, of which $100000 may be cash. First Union has obtained additional protection, at no cost to you, for the remaining net equity balance, Ii any, ot the cash and securities in your accounts. This coverage does not protect against losses from any change in marlwt values 01 investments. Margin aooount If you have a margin account, this is a combined statement at your general account and the Special Memorandum Account maintained for you under Section 220.6 of Regulation 1, Issued by the Board of Governors of the Federal Reserve system. The permanent record of the separate account Is avaflable for your inspection. Option intormation Information on commissions and other charges associated with option fransactions has been sent to you separately In transaction conlirmatlons. Copies are available upon request. Financial statements Twic. a year, First Clearing Corporation will update and have available, on-tine, a statement of the firm's financIal condition at www.fireIclearingcorp.com. The moat recent prinled statement is available upon requeet. Free credit balance Free credit balances and fully.peld securities are available to clients upon request. Free credit balances are not segregated and may be used by the firm, but only to the extent permitted by lederal regulations (Rule 15c3 on customer protection). Tax reporting If you we subject to 1099 reporting, we will provIde you wIth any applicable 1099 forms. Cost basis end unrealized gain/loss are provided br InformatIonal purposes orgy and should not be used for tax preparation without assistance from your tax advisor. In addition, separate purchases of the sane security may have been combined. To update your cost data or provide costs that are missing, contact Your Financial Advisor. Finencial situation You must inform Your Financial Advisor promptly of any material change in your Investment objective or ilnanclal situatIon so that they can meet your needs. Questions about your statement If you do not object to the Information reported on this statement wIthin 10 days, we consider it conclusIve. Inquiries concerning the positions and balances in your ~ount may be directed to: FCC Cient Services Department, P.O. Box 6500, Glen Aten, VA 23508. ftJI other inquiries regarding your account or the activities therein should be directed to the Branch Manager for the office listed on the tront ol this statement. ~IIIJ II N Ill I I~ liii 11111 liii 1111111 11111 Il I III 1111111 GJ 02262 Confidential Treatment Request~~ by K & L  <> <>  3,635 kcount Statement for KENNE1H I LAY & UNDA LAY kcountN~~ . • 1958 Mgust 2001 Page 1 of 10 EVEM2 036411 244235538243 YNF4HN NNNNN NNNNNN~IN (XXKYD2 GJ 02263 Confidential Treatment Requested by K & L Portfolio Summary Investment Account for KENNETH L LAY & LINDA LAY TEN IN COMM TCW MANAGED July 25 - August 31, 2001 Current Investhierit Ob~c1Ive~ Growth & Income + Moderate Message from First Union Securities PLANNING FOR A CHILD'S OR GRANDCHILD'S EDUCATION? A529 PLAN IS NOW A BEITER WAY TO FUND EDUCATION THAN EVER BEFORE. READ INVESTOR'S SPECTRUM TO LEARN MORE -- THEN CONTACT YOUR FINANCIAL ADVISOR TO IDENTIFY ThE STRATE~ES ThAN CAN ~A~)RK BEST FOR YOU. Value on June30 Value on Aug 31 Total portfolio value $0.00 $1,244,935.68 Change in value Portfolio assets This period $1,244,935.68 Value on June 30 Value on Aug 31 Parceni 01 total assets Cash and money market funds $0.00 $32,402.29 2.60 Stocks and options $0.00 $1,212,533.39 97.40 Total assets $0.00 $1,244,935.68 100% Total portfolio value $0.00 $1,244,935.68  <> <>  3,636 Income Summary Use this summary to keep track of your Income. if this account Is subject to tax reporting, do not use this summary for tax reporting purposes; the Forms 1099 we send you during the tax season will provide tax reporting Information. Money Market Income' Money market ~vIdends Total Money Market income $6.08 Tha ~conie can be ether taxable or tax-exempt. Pccount Statement for KENNETh I LAY & UNDA LAY ~unt ~~-1958 AugUst 2001 $0.00 $34,356.78 - $1,954.49 $32,402.29 Page 2 of 10 111111111111111111111111111111101111111111111111111 GJ 02264 Confidential Treatment Requested by K & L This period $6.08 Activity Summary Total cash arid money market funds on June 30 Additions to cash Deposits Year to date $6.08 $6.08 This Period $0.00 Year to Date Income and short term distributions Proceeds from securities cold and redeemed $27,072.17 $6.08 $5,324.04 $1,954.49 $34,356.78 $27,072.17 $6.08 $5,324.04 $1,954.49 $34,356.78 Other additions Total Additions to cash Subtractions from cash Other subtractions Total Subtractions from cash Total cash nnd money mark.t funds on Aug 31 Money Market Summary - $1,954.49 - $1,954.49 $32,402.29 - $1,954.49 • $1,954.49 Totai money market funds on June 30 Additions to money market Subtractions lrorn money market Total money market funds on Aug 31  <> <>  Portfolio Assets ftcount Statement for KENNETH I LAY & UN DA LAY 1958 August 2001 Page 3 of 10 Cash and money market funds Eel current Description Current market vaiue Est. ann. Income yietd(%) EVERGREEN CAT MONEY $32,402.29 $929.94 2.87 MARKET PORTFOLIO Interest Period 07/1 6/01 - 08/15/01 Total cash and money market funds $32,402.29 Stocks and options Stocks Description ABGENIX INC ALTERA CORPORATION AMAZON COM INC AMERICAN TOWER CORP CLA ANDAX GROUP APPLIED MICRO CIRCUITS CORP BED BATH & BEYOND INC CABLEVISION SYSTEMS NY G ROUP CL A CHECKFREE CORP CLEAR CHN'INEL COMM COX RADIO INC CLA EBAY INC Current share price $29.9700 $28.4000 $89400 $1 4.4700 Current market value $29,970.00 $21 .300.00 $8,046.00 $1 5.91 7.00 Eat. ann. Eel. ann. income ~ieId (%) N/A N/A N/A N/A N/A N/A N/A N/A EVENO2 COf.411 244235538243 ThNNNHNNNNNNNNNNNN O(XXX)3 N/A N/A GJ 02265 Confidential Treatment Requested by K & L Symbol ABGX ALTR AMZN AMT #ot shares 1,000 750 900 1,100 ADRX 900 $70.2900 $63,261.00 N/A N/A AMCC 900 $142700 $12,843.00 N/A N/A BBBY 1,900 $288500 $54,815.00 N/A N/A CVC 750 $46.7000 $35,025.00 N/A N/A CKFR 850 $21.9100 $18,623.50 N/A N/A OCU 500 $502700 $25,135.00 NIA CXR 800 $250100 $20,008.00 N/A N/A EBAY 1,150 $562300 $64,664.50  <> <>  3,638 ftcount Statement for KENNETH I LAY & UNDA LAY 1958 August 2001 Stocks and options Stocks (continued) Current Current Eel. ann. Eel. ann. Description Symbol # of sfwes share price market vah.je Income yield (%) ECI-IOSTAR COMMUNICATIONS DISH 1800 $281600 $50,688.00 N/A N/A CORP CL A NEW ELANTEC SEMICONDUCTOR ELNT 350 $380000 $13,300.00 N/A N/A INC EXPEDIA INC EXPE 250 $373600 $9,340.00 N/A N/A GENENTECH INC DNA 600 $459000 $27,540.00 N/A N/A GILEAD SCIENCES INC GILD 500 $60.7100 $30,355.00 N/A N/A GOTOCOMINC GOTO 950 $19.7500 $18,762.50 N/A N/A HISPANIC BROADCSTNG CORP HSP 800 $206400 $18,512.00 N/A N/A I-IOMESTORE COM INC HOMS 650 $1 6.5700 $10,770.50 N/A N/A HUMAN GENOME SCIENCES HGSI 800 $448800 $35,904.00 N/A N/A INC JUNIPER NETWORK INC JNPR 1,050 $140000 $14,700.00 N/A N/A LIBERATETECHNOLOGIES LBRT 1,750 $143200 $25,060.00 N/A N/A COM MAXIMINTEGRATEDPRODS MXIM 1,700 $462100 $78,557.00 N/A N/A INC MCLEODUSAINC MCLD 2,100 $12500 $2,625.00 N/A N/A MEDIACOMCOMMUNICATIONS MCCC 1,700 $172800 $29,376.00 N/A N/A CORP NETWORK APPLIANCE INC NTAP 750 $129600 $9,720.00 N/A N/A ONI SYSTEMS CORP ONIS 500 $139000 $6,950.00 N/A N/A OPENWAVESYSTEMSINC OPWV 600 $16,0400 $9,624.00 N/A N/A PAYCHEX INC PAYX 900 $370700 $33,363.00 $324.00 0.97 RAINBOWMEDI6,GPOUP RMG 450 $238000 $10,710.00 N/A N/A Ii~1I lit U iii III I ilI~ I~ 111111111111111111111 Hilt GJ 02266 Confidential Treatment Requested by K & L Page 4 of 10