EFTA01254572.pdf

Deutsche Asset & Wealth Management Gnaw, sin, PP...leW.1h Magatentm Mleatt ferry, C0IsP Myna* Mk Woo ori a. *Wart Once P.O. Bc. 177e, fialiinxire. MD 21203 Account Number: Statement Period: 12/01/2014 - 12/31/2014 Valuation at a Glance This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 3233,025.17 353,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,025.17 233,000.29 Dividends, Interest and Other Income 555 41 12 Total Taxes Withheld C CO '0 5? :nd Acccvit \la ue $233,030.72 $233,030.72 Estimated Annual Income Your Client Advisor: DANIEL SAHA Asset Allocation Prior Year-led Last Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 63.00029 233.025.17 233.03012 100.00% Please review y0ur vocation Account Total 363,000.29 3233,025.17 $233,03012 100.00% YouAmur is 100% invested in USD Cash. Money Funds. and Bank Deposits. I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Secuntes Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Deposit. Inuance Corporation (FDIC). up to 'towable limits. Page 1 o19 Rated excolla.nt ISAI4 RoL 80100620CSF10023 paperless "^", WW• 2007 OALSAR PIAUI) COMMUNICATIONS et a riwilie 'Asa van •••••••••La ••••••ree-A inn. oec CONFIDENTIAL MalleN01 SDNY_GM_00049523 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012347 EFTA_00160132 EFTA01254572  For Your Information On June 5. 2014, the European Central Bank (the 'ECI3') introduced 'negative interest rates'. This negative interest rate applied to an deposits held at the ECB and other credit institutions. Effective February 1. 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andfor 1042-5 for tax year 2015. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED PROGRM Accounl N um ber: Activity Ending: 12/31/14 11129/14 Opening Balance 233,025.17 233,025.17 12/15114 Dimwit INTEREST CREDITED 5.55 233,030.72 APY 0.03% 12/16114 Deutsche Bank Trsl Co 233,030.72 NO 12/16 S233030.72 12131111 Closing Balance 2233,030.71 Total FDIC Insured Bank Deposits $233,030.72 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 6250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Noa Taxable Interest Income FDIC Insured Bank Deposits 5.55 0.00 41.12 0.00 Total Dividends, Interest, Income and Expenses $5.55 $0.00 $41.12 $0.00 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,030.720 233,025.17 233,030.72 3.26 41.12 NM Total FDIC Insured Bank Deposits $233,025.17 $233,030.72 $3.26 $41.12 Page 2 of 9 Account um ber Rated IIIIC•Ilent !MAIL R. I Go paperless "WY Y....S . C. ?OW ma WA SOUTI- ERN LLC. OAS0AR RA TOD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENTIAL SDhif_GM_00049524 DB-SDNY-0012348 EFTA_00I60133 EFTA01254573  Deutsche Asset & Wealth Management Gnaw e Banc Pr nale YNYI, Magagentm Pewees CoreWOK.. Cettsche Sank Settanti PO. Boa 1776. Baltimore. MD 21203 Novo etn. aY 10114 Statement Period: 12/0112814 - 12131/2014 Portfolio Holdings (continued) Opening Closing Awued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits $233,025.17 $233,030.72 $3.26 $41.12 Awued Estimated Market Vain Interest Annual Income Total Portfolio Holdings $233,030.72 $0.00 $41.12 M essa es Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpsiNnwv.dws-investments.cornrEN/products/money-market4undslields.ysp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (B. DIV. INT. OlD and MISC): Your form 1099 will be deWered as early as possible, beginning January 31, 2015. By February 17. you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than Mara 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.combusiness_contmuity. You may also request a printed copy of this information by calling (888)367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer inflates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the Page 3 of 9 Account hum ber Rated (*collard .1% )l Go A. paperless , ?zealMa :4vr U ^ C• 2007 o COMMUNICATIONS :tan etsreal•rg,=••••• ,,er onftwou4 awl*. noRa Prow " S0UTFERA CtI3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDENTIAL SDNY_GM_00049525 DB-SDNY-0012349 EFTA_00I 60I 34 EFTA01254574  M essa es (continued) number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caled security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Client Account Par Value Number of Trading Unita ABC-123234 $100,000 4 DEF-325465 $76000 3 EOR567433 $150,000 6 EGT-876574 $50,000 2 EGT-888345 $25,000 1 FRT-435234 $25,000 1 FRI-658797 $75,000 3 u In brief, the donation process Solves the foloving steps: ' The number of trading units held in each account is identified. ' A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). ' A random number is generated that wil result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the alocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. • Men a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing caries and clears those accounts). No allocation will be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. Men a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. Page4 of 9 F,C1006219CSF300:.: tYlIA0 Account hum leer SO IF ERN ONO C F Go parerless am. .c:orgicrR#AT Rated [...Mont CD C200:47 MUNICATIONS SteIllamt SDNY_GA4_00049528 CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012350 EFTA_00160135 EFTA01254575  Deutsche Asset & Wealth Management bv,uae boa none WAIN Mamientm Await CommeCTAT MANN NM Settaom P.O. Dos 1776, Etahimare. MD 21203 lem ven.. IN ION Statement Period: 12/0112014 - 12/3112014 M essages (continued) • If the partial call is made at a price above the current market price as captured in Pershingils price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Penhing's price reporting system, Pershing WI generally categorize that call as one that is unfavorable to holders of the security. • Clients have the right to withdraw uncalled. fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. UCkents also have the right to withdraw excess margin securities. provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. u Activity Summary RIamounts shown are in base uarency) Credits This Period Year.to.Date Debits This Period Year.to-Date Dividends and Interest $5.55 $41.12 DIvIdendsand Interest $0.00 $0.00 TaxesWithheld $0.00 $0.00 Takes Withheld $0.00 -$10.69 Cash Cash Deposrs 000 170000.00 Deposits 0 00 0 00 Total Cash $0.00 1170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $10.69 FDIC Insured Bank Deposits .55.55 4170,041.12 Total Credits $5.55 5170,051.81 Total Debits 45.55 .5170,051.81 Transactions by Type of Activity Noma/ Settlement Date Activity Type Description Deantity Price Acased littered Amount Gauen, Dividendsami Interest 12115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 5.55 DSO DEPOSITS INTEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5.55 Page 5 of 9 Account Number Riled Cmollent " „v.on.. C.4,43 Pa,Perless tray Yam 1Ato 2007 EMAIT ROLL $WF ERN CAC I OAUTAA RATCO COMMUNICATIONS pas, ,...- CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 60) NIFIDENTIAL "auma SDNY_GM_00049527 DB-SDNY-0012351 EFTA_00160136 EFTA01254576  Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiptioa Cleantity Nice Accrued Interest Amount Currency FDIC Insured Bank Deposits 12115114 FDIC INSURED BANK IkSt, RED DEPOSITS INTEREST REINVESTED .5 55 USD D EPOSITS IA TEREST SID Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 435 Total Value of Transactions 0.00 0.00 USD The Nice and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST lk FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (COD): No Am olive premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless othenvise noted. have been obtained from eidependent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/As and are omitted hom the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at arty time, and may be affected by current and future Bennie, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position Page 6 of 9 „ten ROtt Account Number. Go paperless OAXxcilr:NRAcrOCOMMUNICATIOIIIS lt ,•1:17t:::.2OO7 d SIDLTHERZON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDArl\MAr SDNY_GM_00049528 DB-SDNY-0012352 EFTA_00160137 EFTA01254577  Deutsche Asset & Wealth Management Drvisrellant PrmaieWeith maatenan Prat, tonne Owp Cestuhe •M Mixon.% at. PO. Box 1776, Baltimore, MD 21203 Ms,* Pet 10114 Statement Period:12/0112014 - 12/31/2114 Important Information and Disclosures (continued) Estimated Annual Figures (continued) quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vriwv.pershing.corrsbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. wcurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation fri orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resue of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its atm operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit, vnwe.pershing.comlstrength_stability.html • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (nclude%) unauthorized trading) promptly, but no alter than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection AcL • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)1134330. Errors and Orrissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is lied. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very hinted. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. Pagel of9 Account Humber Rated (*.Mont e0100626CSF300_• UtlAtl 'KUL Go paperless :ran etsreasa tia Orstlan . MISINAlat Inl ,••••LA a...et/W. Wilt 'MIK SO UTI- ERN CFO ' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENTIAL bre'I' Ns atu'c2cmilmcAT* SOW_GM 00049529 DS-SONY-0012353 EFTA_00160138 EFTA01254578  Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The arbitrators do not have to explain the reason(s) for their award. unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wig typically include a minorAy of arbitrators who were or are affiliated with the securnes industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is inefigibee for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page lel 9 Account Aum tier Rated excollont MAO putt GO paperless Y."' Sk" 2007 °NAAR RATCD COMMUNICATIONS M a tt. etwerCalL