Zecco

Page 1 of
1700 Pacific Avenue, Suite 1400

Dallas, TX 75201
Federal Identification No: 56-1673990
2009 1099-DIV*
Box
1a
1b
2a
2b
2c
2d
3
4
5
6
7
8
9
Box
8
9
10
11
SUNIL KUMAR BASETTI

84 VILLAGE GREEN NORTH
RIVERSIDE, RI 02915
Rep No:
EQ00
Rep Name:
ZECCO TRADING HOUSE REP
Rep Phone No: (877) 700-7862
Dividends and Distributions (OMB No. 1545-0110)
Description
Amount
Total Ordinary Dividends(Includes 1b)...................... 0.00
Qualified Dividends........................................ 0.00
Total Capital Gain Distr. (Includes 2b,2c,2d).............. 0.00
Unrecaptured Sec. 1250 Gain................................ 0.00
Section 1202 Gain.......................................... 0.00
Collectibles(28%) Gain..................................... 0.00
Nondividend Distributions.................................. 0.00
Federal Income Tax Withheld................................ 0.00
Investment Expenses........................................ 0.00
Foreign Tax Paid........................................... 0.00
Foreign Country or U.S. Possession.........................
Cash Liquidation Distributions............................. 0.00
Noncash Liquidation Distributions.......................... 0.00
2009 1099-B*
2009 Tax Information Statement For The Account Of:
Statement Date: 01/31/10

Taxpayer ID: 628-15-4799
Account No: 23577570
Penson Financial
Services Inc.
Regulated Futures Contract (OMB NO. 1545-0715)
Description
Amount
Profit(Loss) Realized in 2009.............................. 0.00
Unrealized Profit(Loss)-Open Contracts 12/31/08............ 0.00
Unrealized Profit(Loss)-Open Contracts 12/31/09............ 0.00
Aggregate Profit(Loss)..................................... 0.00
2009
Summary of Gross Proceeds Transactions
Report each sale individually (Details on following pages)
Box Description
Amount
2
Gross Proceeds Less Commissions.......................... 849.93
4
2009 1099-INT*
Box
1
2
3
4
5
6
7
8
9
Interest Income (OMB No. 1545-0112)
Description
Amount
Interest Income (Not Included in Box 3).................... 0.00
Early Withdrawal Penalty................................... 0.00
Interest on U.S. Savings Bonds and Treas. Obligations...... 0.00
Foreign Tax Paid........................................... 0.00
Foreign Country or U.S. Possession.........................
Tax-Exempt Interest (Includes Box 9)....................... 0.00
Specified Private Activity Bond Interest (AMT)............. 0.00
Boxes 8 and 9 include tax-exempt interest, tax-exempt dividends and tax-exempt original issue
discount
2009 1099-MISC*
Box
2
3
4
8
Miscellaneous Income (OMB No. 1545-0115)
Description
Amount
Royalties.................................................. 0.00
Other Income............................................... 0.00
Substitute Payments in Lieu of Dividends or Interest....... 0.00
2009
Summary of Original Issue Discount
Report OID for each investment separately (Details on following pages)
Box
1
2
4
6
7
Description
Amount
Original Issue Discount for 2009........................... 0.00
Other Periodic Interest.................................... 0.00
Original Issue Discount on U.S. Treasury Obligations....... 0.00
*This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty
or other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported.
Changes to dividend tax classifications processed after your original tax form is issued for 2009 may require an amended form 1099.
Customer Service:
Phone -
214-765-1009
Page 2 of
Penson Financial
Services Inc.
1700 Pacific Avenue, Suite 1400
Dallas, TX 75201
Federal Identification No: 56-1673990
Statement Date: 01/31/10

Taxpayer ID: 628-15-4799
2009 Tax Information Statement For The Account Of:

SUNIL KUMAR BASETTI
84 VILLAGE GREEN NORTH
RIVERSIDE, RI 02915
Rep No:
EQ00
Rep Name:
ZECCO TRADING HOUSE REP
Rep Phone No: (877) 700-7862
2009 Summary Of Supplemental Information *

Description
Amount
Amount
CAPITAL EXPENSES
INTEREST INCOME:
Taxable Accrued Interest Paid..............................
Tax-Exempt Accrued Interest Paid...........................
Tax-Exempt Accrued Interest AMT Paid.......................
Description
0.00
0.00
0.00
Securities Purchased...................................
2,801.93
Installment Payments.......................................
0.00
FEES AND PAYMENTS RECEIVED

ORIGINAL ISSUE DISCOUNT:
Taxable Accrued Interest Paid..............................
Taxable Non-Qualified Interest Received....................
Taxable Non-Qualified Interest Paid........................
Contingent Payment Shortfall...............................
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
OPTION SALES:
OTHER DISTRIBUTIONS:
Partnership Distributions..................................
Foreign Tax Paid - Partnership Distributions...............
Return of Principal Distributions..........................
Deemed Premium.............................................
Organizational Expense.....................................
Income Accrual - UIT.......................................
Miscellaneous Fees.........................................
Basis Adjustments..........................................
0.00
0.00
0.00
Sales......................................................
Short Sales................................................
Expirations................................................
Exercises..................................................
0.00
0.00
0.00
0.00
EXPENSES:
Margin Interest............................................
Dividend Paid - Short Position.............................
Interest Paid - Short Position.............................
Non-Reportable Distribution Expense........................
Other Expenses.............................................
*This information is not being furnished to the Internal Revenue Service.
0.00
0.00
0.00
0.00
0.00
OPTION PURCHASES:
Purchases................................................
Purchases to Close.........................................
995.58
0.00
Penson Financial Services Inc.

2009 1099-B*
2009 Tax Information Statement
Proceeds from Broker and Barter Exchange Transactions

09
CUSIP No.
Box 1b
Date of Sale
Box 1a
Quantity
Gross Proceeds
Box 2
CELL THERAPEUTICS INC

US1509345039
150934503
08/24/09
300.000
499.48
0.00
Sale
HYTHIAM INC.
44919F104
09/15/09
500.000
350.45
0.00
Sale
849.93
0.00
OMB No. 1545-0715
Security Description
Box 7
Total:
Page 3 of
Fed. Tax Withheld

Box 4
Transaction Type
This is important tax information and is being furnished to the Internal Revenue Service. If you are required to file a return, a negligence penalty or
other sanction may be imposed on you if this income is taxable and the IRS determines that it has not been reported.
2009
Page 4 of
Capital Expenses
CUSIP
Purchase Date
Quantity
Amount

US1509345039
150934503
07/10/09
300.000
415.50
Purchase
CONVERTED ORGANICS INC
21254S107
10/29/09
800.000
621.30
Purchase
DENARII RESOURCES INC

ISIN US2482311022
248231102
08/27/09
12/03/09
850.000
1,500.000
Sub-total:
496.65
171.00
667.65
Purchase
Purchase
HYTHIAM INC.
44919F104
07/24/09
09/24/09
10/29/09
500.000
580.000
600.000
Sub-total:
172.00
361.14
264.84
797.98
Purchase
Purchase
Purchase
MPHASE TECHNOLOGIES INC
62472C102
06/23/09
299.50
Purchase
10,000.000
Transaction Type
2009
Page 5 of
Option Purchases
CUSIP
Purchase Date
Quantity
Amount

JAN '10 @ 2.500 CALL
100 MULTIPLIER
150934FAZ
06/01/09
180.000
995.58
Transaction Type
Option Purchase - Call
Reference Description
09
Less commissions.
2009 End Notes
Page 6 of

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Page 1 of

1700 Pacific Avenue, Suite 1400

SUNIL KUMAR BASETTI

Dividends and Distributions (OMB No. 1545-0110)

2009 Tax Information Statement For The Account Of:

Statement Date: 01/31/10

Regulated Futures Contract (OMB NO. 1545-0715)

Interest Income (OMB No. 1545-0112)

Miscellaneous Income (OMB No. 1545-0115)

Statement Date: 01/31/10

2009 Tax Information Statement For The Account Of:

2009 Summary Of Supplemental Information *

FEES AND PAYMENTS RECEIVED

*This information is not being furnished to the Internal Revenue Service.

Penson Financial Services Inc.

Account No: 23577570

2009 Tax Information Statement

Proceeds from Broker and Barter Exchange Transactions

CELL THERAPEUTICS INC

OMB No. 1545-0715

Fed. Tax Withheld

Penson Financial Services Inc.

Account No: 23577570

2009 Tax Information Statement

CELL THERAPEUTICS INC

CONVERTED ORGANICS INC

DENARII RESOURCES INC

MPHASE TECHNOLOGIES INC

Penson Financial Services Inc.

Account No: 23577570

2009 Tax Information Statement

CELL THERAPEUTICS INC

Penson Financial Services Inc.

2009 End Notes

Account No: 23577570

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