EFTA01288772.pdf

Deutsche Asset & Wealth Management Dpaisre Rant PnweWeein Paragenms Pdaterts Cisme 6.• ,. oestscry Pat %w ort +.c licenen Oikt PO Bon 1778. Beware. MO 2t203 Na Pant Ammo. Hal bet Account Number: Statement Period: 12/01/200 -1213112015 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 3106,248,127.78 8126,714,293.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -548.663.17 •18.2l6.493 88 ST THOMAS VI 00802 Net Securities InlOut of Account 060 .5.861,790.80 Adjusted Previous Account Value 105,097,404.59 102,630,000.34 Dividends, loftiest and Othet Income 555,11817 3.813,797 20 Total Taxes Withheld 0.00 -S561.18 Net Other Activity -1.00 -305.00 Your Client Advisor: Net Chan ,e in Portfolio -2.968.261.66 -3.152.321 56 DANIEL SABBA nding Account Value S103 284 617 80 3103 284 617 80 Accrued Interest $319.008 14 Estimated Annual Income 53.596.773 94 Asset Allocation Prior Year-fait Lad Period This Period % Allocation LSD Cash. Money Funds and Bank Deposits 44,273,98433 26,827,392.13 26,831,113.83 25.98% Please review your allocation LSD Axed Income 18,177,455.58 20,288,106.47 20142,233M 19.60% perockally wth you' Giant Advisor. Non-LSD Axed Income 7.150,052 50 5,335,220.00 5.196,705.00 5.03% LSD Equities 54,120,544 61 50,481,923.16 47,972,851.11 46.45% honSSO Equities 2.986.2543.00 3.335.480.00 3.038.824,00 2.94% Account Total (Pie Chart) 3126,714,293.02 3108,246,12116 3103,284,617.80 101.00% See the Asset Mutation Disclosure and Footnotes secton b- important information muesli" your Asset Mouton. Page 14020 osAli aQtt B00971111CSF30024 Go paperless (i t iLtiged nry Vira. sine. 2007 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTiA reaXCIALLCRAPDC°MMUNICAT°6 SDNY_GM_00045B00 DB-SDNY-0008624 EFTA_00156409 EFTA01288772  Asset Allocation Disclosure and Footnotes M values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2015 Exchange rates can vary. Equities contains Equity Mtrtual Funds. Summary of Gains and Losses Realized This Period Year-to-Date Utilesbred Short-Term Gain/Loss 0.00 100.107 03 -787.297.04 Lang•Term Gain/Loss 53.721 12 -111.674 91 3.112.278.66 Net GalnlLoss 53.721.42 -11,867.88 2,324081.82 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Amount Balm Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num ber 0000001490 Current Yield: 0.13% Activity Ending: 12/3tfl 5 12101115 Opening Balance 26,735.287.18 26,735,287.18 12/01115 Deposit MONEY FUND PURCHASE 92,104.95 26,827,392.13 12/02/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.827.388.13 12/04115 Withdrawal MONEY FUND REDEMPTION -596.777.26 26.230.610.87 12/07115 Deposit MONEY FUND PURCHASE 66,500.00 26,297,110.87 12/11/15 Depend MONEY FUND PURCHASE 24,996.00 26,322,106.87 12/16115 Deposd MONEY FUND PURCHASE 51,360.16 26,373,467.03 12/17/15 Deposit MONEY FUND PURCHASE 148,125.00 26.521.592.03 12/23/15 Withdrawal MONEY FUND REDEMPTION -0.08 26.521.591.95 12/29115 Deposit MONEY FUND PURCHASE 61,285.44 26,582,857.59 12/30115 Deposit MONEY FUND PURCHASE 168,540.60 26,751,398.19 12/31115 Deposit MONEY FUND PURCHASE 3.483.00 26,754,881.19 12131115 Deposit INCOMEREINVEST 1169.55 26.756.850.74 12131115 Closing Balance $26,756,650.74 Total All Money Market Funds $16,758,650.74 Income and Expense Summary Commit Period Year-to-Dale Taxable Mee Taxable Taxable No. Taxable Dividend Income Equities 93,035.16 0.00 1,134,818.48 000 Money Market 1.76955 0.00 15,077.58 000 Other Dividends 27,032.72 0.00 111,090.12 000 Page 2 of 20 Account Number: taamordi r007 BAN ROLL Go paperless etc Every Yoe, SOSO. DAL BAR RATED COMMUNICATIONS rxenurraer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67: HEIMCON FIDriTrIA SDNY_GM_00045801 DB-SDNY-0008625 EFTA_00156410 EFTA01288773  Deutsche Asset & Wealth Management (*On a na Pnyve wean im.ge-ian Pram tOdene4.0.4) DeNsche M Stao0e. at. Mar le t c P.O. &a 1778, Bahimore. MD 21203 Hs Pia Out/cm. Nth 007 Weer** NY 10IM Statement Period: 12101/2115 -1213112116 Income and Expense Summary (continued) Qinent Period Year-to-Bak Taxable Noe Taxable Taxable Non Taxable Interest Income Bond interest 300,14914 0.00 1,081,091.58 0.00 Other Interest 0.00 0.00 162,500.16 0.00 Expenses Withholding Taxes 0.00 0.00 -6,561.18 0.00 Fees(Foieign Securities) 0.00 0.00 -225.00 0.00 Total Dividends, Interest, Income and Expenses 1421,967.27 10.00 13,167,791.70 10.00 DlsUlbudons Long • Term Capital Gan Institutions 87,731.40 000 87,731.40 0.00 Short - Tem Capital Gan Distributions 45,70020 0.00 45.70020 0.00 Alternative Investments 0.00 0.00 0.00 515,78732 Other OistAbutions 0.00 0.00 0.00 89.616.40 Total Distributions 1133,431.60 10.00 $133,431.60 1605,404.12 Portfolio Holdings Amount Activity Opening Gahm nosed Income 39-Day Cement Opening Date Omanlity Number Ending Balance Balance Income Pas Year Yield Yield Cash, Money Funds, and Bank Deposits 26.00% of Portfolio Cash Balance 92,104.95 74,010.09 Margin Balance 0.00 3.483.00 Money Market DEUTSCHE GOVT CASH INSTL 12/01115 26.756.650.740 0000301490 12131115 26.735.287.18 26.756.650.74 0.00 15077.56 0.08% 013% Total Money M arket $16,736,287.18 321,766,850.74 116,077.66 Total Cash, Money Funds, and Bank Deposits 116,627,392.13 $20,934,143.83 $09..00 1 116,077.66 Page 3 of 20 Account Number: torellerigi 7007764)C5730 1 2: UBAO MOLL Ga paperless L very Yea. Lace 2007 DAMAN RATED COMMUNICATION6 rxenurraer SDNY_GM_00045802 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERIMI F D AMSITIA DB-SDNY-0008626 EFTA_GO [5641I EFTA01288774  Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Ouselity Urnit Cog Cod Basis Market Price Market Value Gain/ Lou Interest Annual Income Yield Fixed Income 2 5.0 0% of Portfolio (In Maluary Dee Sequence) ‘Asset Backed Securities WASHINGTON NUT NTG SECS CORP 2004-RA2 Security Identifier: 939338520 MTG PASSTHRU CTF CL C-B-1 VAR RATE 3.187% 07125133 WE DTO 06/01/04 S 8 P Rating 0 Factor. 0.53648940 Effects. Date:12[01/15 Current Face Value: 692.045 526 12113/13',3,12 1,290,000.000 76 5190 529 543 61 84.6460 585.788 86 56.24525 1.838 41 Original Cost Basil $838.906.71 Total Asset Birdied Securities $529,543.61 $585,788.88 $58,245.25 $1,836.41 $0.00 1,290,000.000 Total Current Face Value : 692,045.526 Corporate Bonds EARTHUNK INC GM SR NT FULLY EXCHANGED Security Identifier: 2103214C8 CUSP FROM 210321AB8 8.875% 05/15/19 WE DID 05117111 CALLABLE 12/31115 68 P Rating CCC. 10/22/12 ',LIT 146,000 000 102 6360 149.849.05 101.7500 148.555 00 .1.294.05 1.655.68 12.957 50 8.72% 0 nginal Cod Basic $151.110.00 10/23/12 ' •3.12 600.000 000 102 5550 615,332.25 101.7500 610.500 00 4.632 25 6.604.17 53.250 00 8.72% Original Cod Basic $819,500.00 Total Nononered 748,000.000 766,181.30 759,055.00 -8,126.30 8,459.65 86,207.50 Total 746,000.000 $785,181.30 $760,055.00 -$8,121.30 $8,459.65 $86,207.50 FRONTIER COM M UNICATIONS CORP Security Identifier: 35906AAHI SR KT 8.500% 04/15/20 WE DID 04112110 1ST CPN DTE 10/15/10 Moody Rating 13A3 S P Rating BB- 07106115 3,000,000.000 105.2140 3.156.430.37 100.2500 3.007.500.00 -148.930.37 53,833.33 255,000.00 8.47% Original Cost Basis. S3 171,006 00 LLOYDS TSB BK PLC EURO ISSUE M EOIUM Security Identifier: GISISPP48 TERM NOTES IUD XS0717735822 9.875% 12118/21 REG DTO 12/16111 Moody Rating Bat S8 P Rating BBB 12104113 'AM 1,500.000.000 1068300 1.602.454.90 106.8280 1,602,420.00 .34.90 5,760.42 148,125.00 9.24% Original Cosl Basic $1,627,500.00 BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISK 8U6067390403 7.750% 04/10123 B/E DID 04110113 CALLABLE 04110118 S8 P Rating BP. 04103/13 'AM 300,000.000 100.0000 300.00080 106.7500 320,250.00 20,250 00 5,231 25 23,250.00 7.25% Original Cost Basis: $300,000.00 Page 4 of 20 Account Number: Rasa Lawns rigi 01,09/843CSF3 .' OBAB 901.1. Go rless etsoi Cyr, V... Sims 2007 DAL BAR RATED COMMUMCATIONS Sa „En CO rxenurnser CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Li n FIDENTIA SDNY_GM_00045803 OB-SDNY-0006627 EFTA_00156412 EFTA01288775  Deutsche Asset & Wealth Management (*„cost 8.4 P0.1,0 W,41P.m...vie,. Mann. Comm< Gmap IXMUM Mk smeces4%. Na, *4 Olk• PO Boa 1778. Beware. MO21203 30770 Nowa lie01ice woe. *A NY 101W Statement Period: 12/01/2015 - 12131/2015 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired thiantity Unit Cost Cost Basis Market Price Market Value Gen/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46825HHA1 1110TH PFD SER 1 FD TO MG RT BO 1.900% 04129149 BlE DTD 04123108 Moody Rating BAA3 S P Rating BBB- 06115111 '.3,12 2,500,000.000 107.5000 2,687,500.00 101.8000 2,545,000.00 .142.500.00 32,916.67 197.500.00 7.76% Original Cost Basis: 52,687,500.00 06115111 ..3.12 2,500,000.000 107.0000 2,675,000.00 101.8000 2,545,000.00 -130.000.00 32,916.66 197.500.00 7.76% Original Coal Basis. 52,675,000.00 Total Noncovered 5,000,000.000 6,362,500.00 5,090,000.00 ,272,500.00 65,833.33 395,000.00 Total 5,000,000.000 $5,302,500.00 $5,090,000.00 .$272,500.00 $65,833.33 $395,000.00 BANK AMER CORP PERP NON CON ULATIVE DEP Security Identifier: 0605050 T8 SHS FIXED TO FLOAT 8.125% 04130158 B/E DTD 01130168 CALLABLE 05115/18 Moody Rating BA2 St P Rating Bei 01110111 '.3.12 2,000,000.000 1023500 2,055,000 00 101.7500 2,035,000.00 -20,00000 20,763.89 162 500 00 7.98% Original Cost Basis: 52.055,000.00 SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: I42400FU2 6.250% 01117/62 INE DTD 01117112 CALLABLE02/01122 Q 100.000 Moody Rating BAAt 58 P Rating BBB- 01130112'.3.12 3,000,000.000 99 8310 2,994,938.15 110 1750 3,305,250 00 310,313 85 78,125 00 187 500 00 5.67% Original Cost Basis $2 992.564 97 GENERAL SIC CO GTD FXD-TO•ELTG RT Security Identifier: 369604B114 NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12103/85 WE DTD 12/03/15 Moody Rating A3 58 P Rating AA- 12103115 2,469,000.000 88.0930 2,175,016.17 100.0000 2,169,000 00 293,983.83 4,389 33 98,760.00 IVO% Original Cost Basis: $2.175.016.17 Page 5 of 20 Account Num berms Rated tocellerdi =17 paperIess ',ay Vs. I 2007 DrarTAL OMAN 001.1 CALMAR RATED COMMUNICATIONS 93 ti TH ERA tUb LLC. 7XCILL774Ct CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) NF I SDNY_GM_00045804 OB-SDNY-0006626 EFIA_00 I 56413 EFTA01288776  Portfolio Holdings (continued) Adjusted Unrealized /teased Estimated Estimated Date Acquired Quantity Unit Cod Cost BM Market Price Market Value Gain! Lou Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725 5.950% 08115188 NE DID 08112115 CALLABLE 08115120 0 100000 Moody Rating BA2 S8 P Rating BB• 08/06115 3,000,000.000 100 0000 3.000.006.00 99.6880 2990.640 00 -9.366.00 68,920 83 1)&500.00 5.96% anginal Cost Basic 53.001006.00 LBG CAPITAL NO 1 PLC 144A Security Identifier: G543388G8 ISNOXS0173108283 8.000% 09115/88 REG DID 12115109 CALLABLE 06115/20 S8 P Rating BB* 12/04/13 'AM 1,200,000.000 108 2500 1,299,000.00 103.9500 1,247,400.00 -51.600 00 4.26-667 96.000 00 7.69% Original Cosl Basis: 51,299,000.00 'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 519439)104 ADDL TIER 1 SECS ISNOUS539439AG42 7.500% 09127188 BJE DID 0/107111 S 8 P Rating BB- Please Provide' 1.903.000.000 N/A Pease Provide 106 5000 2.026.695 00 N/A 1.565 83 112.725.00 7.04% Ong nal Cost Basis Please Provide Total Corporate Bonds 522,110,524.59 124,863,210.00 1115,990.11 1317,189.73 11,753,587.50 24,118,000.000 Total Fixed Income 523.240.068.50 126,438,998.80 1172,235.38 1311,008.14 11,753,587.50 25,408,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Lou Animal Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY ISIAAL0010831061 CUSP. 651488117 Dividend Option: Cash 0810111/ 800.000 25 0000 20,000.00 422800 33,824.00 13,824.00 AKORN INC COM Security Identifier: AKRX Dividend Option: Cash CUSP. 009728106 06110115 5.000.000 46 8410 234,206.00 37.3100 186.550.00 -47.656.00 AUBABA GROUP BLDG LTD SPONSORED ADS Security Identifier: BABA IS% OUS01609W1027 CUSP: 01609W102 Dividend Option: Cash 06f 10/15 5.000.000 88.9500 414,719.00 811700 406,350.00 -38,399.00 ALUANZ SE SPONS ADR REPSTG 1/10 SIIS Security Identifier: AZSEY Dividend Option: Cash CUSP: 018805101 Page 6 of 20 Account Number Rated ocellonfi IDOAN ROI Go paperless Ivory YawLace 2007 0ALOAR RATED COMMUNICATIONS aw.r. —a-no..., 'sync ore 9:THERA COL N' F IDAENTIAL rxOltL INC.' SDNY_GM_00045805 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 LC OB-SDNY-0008629 EFTA_OOI 56414 EFTA01288777  Deutsche Asset & Wealth Management Dralsoo Ic Pnvievieualaptagenes Weals Coon., Des4s0r4 ML Smolt. +a. lire len Oilt• P.O. Us 1778, Ba'lima*, MO 21203 In Pant Aneo. 160. I ter N.* Wet 10. 10114 Statement Period: 1210112015 • 12/31/2015 Portfolio Holdings (continued) Unrealized Estimated Estimated Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS ADR REPSTG 1110 SHS (continued) 04113115 5.000.000 18.0110 90.056 00 17 7660 88.830.00 4.226.00 283314 3.19% APOLLO GLOBAL M GM T LLC CL A SHS Security Identifier: APO Dividend Option: Cash CUSIP. 037612306 03129111 '.13 263.157,000 19 0000 4.999.983 00 15.1800 3.994.723 26 •1.005.259.74 515.787.72 12.91% APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSP 037833100 09/05114 110.180.000 98 9500 10.902.315 41 105 2600 11,597.546 80 695,231.39 229,174.40 1.97% ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CL SP. 04033A100 02114112'•13 7,535 000 15 2090 114,597 40 6.2500 47.093 75 -67,50365 01/24113 '.13 9 000 000 19 6000 176.400 00 6 2500 56.250 00 •120.15000 Total Noncovered 16,535.000 290.997.40 103,343.75 -167,653.65 Total 16,535.000 $290,997.40 3103,343.75 -1167,653.65 $0.00 ASCENA RETAIL GROUP INC CON Security Identifier: ASN A Dividend Option: Cash SIP 043510101 01/16/01 70.500.000 21 2770 1.500.000 00 9.8500 694.425 00 -805.57500 AVALANCHE 810 TECHNOLOGIES INC Security Identifier: AAVL COM CLSIP 053376107 Dividend Option: Cash 10.000 00 of these shares ate in your margin account 04120115 10.000 000 39.8610 398.606 00 9.5200 95.200 00 -303.40600 BASF SE SPONS ADR Security Identifier: BASFY !SUL60552625057 CUSIP 055262505 Dividend Option. Cash 04/13115 5.000.000 101.6110 508,056.00 76.8230 184,115 00 -123,941.00 11,276.50 2.93% BANK OF NEW YORK M ELLON CORP CON Security Identifier BK Dividend Option: Cash CUSP. 064058100 06/25114 250,000.000 36.3060 9,076,406.00 41.2200 10,305,000 00 1.228,594 00 170.000.00 1.64% Page 7 of 20 Account Num ber. Rated twaller4 USA° Roll Go paperless Every Year Lace 2007 DALOAR RATED COMMUNCATIONS =2:..».•=2:1,7= XCILLI'Ner CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)LTHERk 14/0 C F I DESITIAL SDNICGM_00045806 DB-SDNY-0008630 EFTA_00156415 EFTA01288778  Portfolio Holdings (continued) Unrealized Estimated Estimated Date ired Quill limit Cost Cal Basis Market Pria Market Value Gale/ Loss Annual Income Yield Equities (continued) Common Stocks (continued) BIOGEN ID EC INC COM Scanty Identifier: Bile Dividend Option: Cash CUSP: 09062X103 02/14112 '.13 2,095 000 119 5490 250.454.95 306.3500 641.803 25 391.348.30 DISH NETWORK CORP CL A Security identifier: DISH Dividend Option: Cash CUSP. 2547011109 06110115 5.000 000 72 9960 364.97000 57.1800 285.900 00 -79.078 00 FACEBOOK INC CL A Security Identifier: FB Dividend Option: Cash CUSP: 3030311102 05111112 '.13 17,500.000 38.0000 665,000.00 104.6600 1,831,550.00 1,166,550 00 FOUNDATION MEDICINE INC COM Security Identifier: FM I Dividend Option: Cash CUSP: 350465100 01113114 25,000.000 27.5070 687863.50 21.0600 526,500.00 .161,163 50 08105114 24,830.000 232530 577.37302 21.0600 522.919.80 -54,453.22 Total Covered 49,830.000 1,2115,036.52 1,049,41980 -215,614.72 Total 49,630.000 $1,206836.52 $1,049,419.80 -$216,618.72 $0.00 GENERAL ELECTRIC CO COM Security Identifier: GE Dividend Option: Cash CUSP: 369604103 04123113'.13 23.000 000 21 5700 498109.06 31.1500 716,450.00 220 340 92 21.160.00 2.95% GENERAL MTRS CO COM Security Identifier: GM Dividend Option: Cash CUSP: 37045V100 11118110 ' 10,988 200 36 4010 399,978.16 34.0100 373,708.69 -26,269.47 15,823.01 4.23% 12(09/10 ' 86,536.800 36 8160 3,185,969.22 34.0100 2,943,116.56 .242,85206 124,612.99 4.23% Total Monavered 97,625.000 3,556,947.38 3,316,826.26 -289,122.13 140,436.00 Total 97,525.000 $3,656,947.38 $3,316,626.26 -$269,122.13 9140,436.00 GILEAD SCIENCES INC Security Identifier: GILD Dividend Option: Cash CUSP: 375558103 02/05114 5,000.000 792810 396.407.00 101.1900 505.950.00 109.543 00 8.600.00 1.69% 03107114 3.100.000 79 6120 246,797.00 101.1900 313,689.00 66,892 00 5,332.00 1.69% Total Covered 8,100.000 643,204.00 419,639.10 176,436.00 13,932.00 Total 5,100.000 $643,204.00 $819,639.00 $176,435.00 $13,932.00 GLAXOSM1THKUNE PLC SPONS ADR Security Identifier: GSK Dividend Option: Cash CUSP: 37733W105 06110115 5,000.000 430010 215,006.00 40.3500 201,750.00 -13,256.00 12,128.20 6.01% GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU UNIT 1 CON 6 1 WT DIP CUSP: 37954X204 Dividend Option: Cash 07130/15 ' 2.000.000 10 0000 20.000.00