EFTA01288520.pdf

Deutsche Asset & Wealth Management Gnaw.< Rana Pnwale wren rearmenret Pdaele$ COMM,. Gro.t) Dettfor4 la% Settonenk PO Bon 1778. Bellmore. MO 21203 HI Put Annie. Ita I bet Account Number: Statement Period:12/01/2014 -1213112014 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $128,056,222.31 $90,573,050.28 6100 RED HOOK QUARTER B3 net Cash Deposits and Wilhdrawals 0 00 31.086.436 34 ST THOMAS VI 00802 Adjusted Previous Account Value 128,056,222.31 121,659,486.62 Dividends. Interest and Other Income 707.088 33 4,134,773.87 het Other Activity 0 00 -369.754 18 Net Chan e in Porllolio -2 049.017 62 I 289 786 71 nding Account Value $126.714 293.02 S126,714,293.02 Your Client Advisor: Estim ated Annual lncom e 53,853,190.64 CAMEL SABBA Asset Allocation Prior Year-End US Period This Period % Allocation USD Cash. Money Funds and Bank Deposits 18,295,949.71 43,562,095.04 14,273,984.33 34.94% P ease renew yo.• a iozeo- USD Axed Income 21,7313 72.38 18,308,152.94 18,177,455.58 14.35% l,, on-I, SD Axed Income 10,227,309.46 7.422228.50 7,150,052.50 5.64% USD Equities 30,410,519.65 55,404,667.83 54,126,544.61 42.71% hon-L SD Equities 3,137,192.74 3.359.080.00 2.988.256.00 2.36% Non-USD Cash, Money Funds. and Bank Deposits 102106.34 0.00 0.00 0.00% Other 363.000.00 0.00 0.00 0.00% Account Total (Pie Chart) $90,573,050.28 8128,066,222.31 $126,714,293.02 100.00% See the Asset Auxaton Dscbsure and Footnotes secton for Fmportant information regardiv yea Asset AlocatOn. Pate 1021 Bore [memos 8010 R1»23e30023 (very Vas. Woes 2007 OsAe Rota DALMR RATED COMMUNICATIONS rxciturner CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFl SDNCGM_00045548 DB-SDNY-0008372 EFTA_00 156157 EFTA01288520  Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data Al values are displayed in U.S. dollars based on interbank exchange rates as of 12/3112014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized This Period Year-to -Date Unrealized Short-Term Gain/Loss 000 558,368 41 2.914.886.15 Long-Term Gain/Loss 1.025 53 -8,900.250 31 3.812.149.65 Net Galn/Loss 1,025.53 -8,341,881.93 6,727,03510 This summary excludes transactions where cost basis information is not available. For Your Information On June 5. 2014, the European Central Bank (the ICI?) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the EC8 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-S 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. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund ()WSGOVERNMENTCASH INSTL Account Number Current Yield: 0.03% Activity Ending: 12/31/14 11129(14 Opening Balance 43,562.09504 13.562,095 04 12116114 Deposit MONEY FUND PURCHASE 119250.00 43.681.345.04 12117111 Deposit MONEY FUND PURCHASE 141125.00 13,829,170.04 12/24114 Deposit MONEY FUND PURCHASE 29,257.50 13,851727.54 12/29114 Deposit MONEY FUND PURCHASE 316.02822 44.174.755.76 12130(14 Deposit MONEY FUND PURCHASE 43.739.08 44.218.494.84 12131114 Deposit INCOME REINVEST 1.11419 44.219.609 33 1213111/ Closing Balance 541,219,609.33 Total All Money Market Funds 514,219,609.33 Page 2 of 21 Account Num ber. Rated tsallera (ISM, von Go paperless Lyon, Vs.Since 2007 DALBAR RATED COMMUNCATIONS SOUTHERIt1 LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDAENTIAL rxarturnaer SDNY GM 00045549 DB-SDNY-0008373 EFTA_00136138 EFTA01288521  Deutsche Asset & Wealth Management Oeviwv Si,, 7.mor 707.0.M.viam-tent Vinets C0/007 0,0‘P Deotem 94. s<4.-nei AC *A Mk* Pa &a 1778, Balamore, MO21203 lee 7.0 A n, kci. Statement Period: 1210112114 -1213112814 Income and Expense Summary Current Period Year•to•Date Taxable Non Taxable Taxable Non Taxable Dividend income Equities 83,632.50 0.00 828,19918 0.00 Money Market 1,114.49 0.00 7,312.02 0.00 Other Dividends 23.679.00 0.00 801,43420 0.00 Interest Income Bond Interest 312,014.14 0.00 1,227,570.19 0.00 FDIC Insured Bank Deposits 0.00 0.00 2,691.15 0.00 Other Interest 0.00 0.00 162,500.16 0.00 Total Dividends, Interest, Income and Expenses $420,440.13 $0.00 $3,029,707.40 $0.00 Distributions Long -Term Capital Gain Distributions 177.726.00 0.00 177,72600 000 Short • Term Capital Gin Distributions 108.922.20 0.00 108,92220 0.00 Alternative Investments 0.00 0.00 0.00 818.418.27 Other Distributions 0.00 4.800.96 0.00 584.143.35 Total Distributions $256,646.20 $4,800.96 $288,848.20 $1,382,581.82 Portfolio Holdings Account Activity Opening Ching Accrued Income 38•Day Cement Opening Date Quantity Number Ending Balance Balance Income This Year Ylec Yield Cash, Money Funds, and Bank Deposits 35.00% of Portfolio Cash Balance 0.00 54,375.00 Money Market DWS GOVERNMENT CASH INSTL 11129114 14.219.609.330 12131114 43.562.095.04 44,219,609.33 0.00 7.312.02 0.03% 0.03% Total Money Market $43,582,095.04 514,219,609.33 $0.00 $7,312.02 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11129114 1213111/ 0.00 0.00 0.00 2,691.15 NM NM Total FDIC insured Bank Deposits $0.00 $0.00 10.00 $2,891.15 Total Cash, Money Funds, and Bank Deposits $43,562,095.04 $44,273,914.33 10.00 $10,003.17 Page 3 021 Account Number: rr. it 7 ."• rr-trizt. , an_ tacellenti DPW" 90Ill Go papedess ty.,,Vat SW). 2007 DAL BAR RA702 COMMUNICATIONS SO 17 Matt exclurnaer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DrErriA SDNY_GM_00045550 OB-SDNY-0008374 EFTA_00I 56I 59 EFTA01288522  Portfolio Holdings (continued) Adjusted Unrealized Aomued Estimated Estimated Date ANL tred Quantity Usit Cost Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income 2 0.0 0% of Portfolio (In Meurity Dee Sequence) (Asset Backed Securities COUNTRYWIDE HOM E LOANS Security Identifier: 12669DY51 SER 03-1 CL 81 4.090% 03/25(33 WE DTD 01130103 Factor: 0.21613804 Effective Date:12/01/14 Current Face Value: 972.621.180 12113113'•x•12 4,500.000.000 93.3760 908.19805 83.3080 810,27125 .97,927.80 3.315.02 Onginal Cost Basis 51.111.573.07 WASHINGTON MUT M TG SECS CORP 3001•RA2 Security Identifier: 939336520 M TG PASSTHRU CTF CL C-B-1 VAR RATE 6.982% 07125133 BlE 010 06/01/04 S 8 P Rating 0 Factor. 0.56774322 Effective Date 12101/14 Current Face Value. 732.388 754 12113/13 '. 3.I 2 1,290,oao 000 76.5190 560.413.70 85.9290 629,334.33 68,920.63 4,261.35 Onginal Cost Basis $638.906.71 Total Asset Backed Securities 61,466,612.76 11,139,805.56 ,129,007.17 17,578.37 $0.00 6,790,000.000 Total Current Face Value : 1,706,009.931 Corporate Bonds PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2 NOTES SENIOR MA0=460546525 5.000% 10/28/15 REG D TO 10/28109 Sd P Rating By 12/04(13'.3•t2 2 500 000.000 95.3590 2,383,981.71 75.5000 1,887,500.00 .196,481 71 21,527.78 125,000.00 6.62% Original Cost Basis. 52.250.000.00 HEADWATERS INC GTD SR NT Security Identifier: 42210PAO5 7.625% 04101/19 GrE DID 03111111 CALLABLE 04/01115 0 103 813 Moody Riling 81 S 1 P Rating Ti+ 10122/12 '. 12. 13 1.000,000 000 101 9080 1,019,080.22 104 2500 1,042,500.00 23,419.78 19,062 50 76,250.00 7.31% Onginal Cost Basis $1.035.00.00 EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6 CUSP FROM 270321AB8 8.875% 05/15/19 WE DTD 05117/11 CALLABLE 05/15/15 S5 P Rating CCU 10/22/12 '. 3. 12 400,000.000 102 5300 410.121.26 98.7000 394,800.00 -15 321 26 4336.11 35,500.00 8.99% Onginal Cost Basis: $414,000.00 10/23112 '.7.17 600.000.000 102 3510 614.10822 98.7000 592,200.00 -21,908 22 6.804.17 53.250.00 8.99% Original Cod Basis: $619,500.00 Total Noncomod 1,000,000.000 1 021 229.18 987,000.00 -37,229.18 11,310.28 55,750.00 Total 1,000,000.000 $1,024,229.18 1987,000.00 -137,229.18 111,310.28 $58,750.00 Page< of 21 Account Num ber. Rated two-SYS 110100S3SCSTV ORAN Go paperless [very Vs. since 2007 DAL BAR RATEDCOMMUNICATIONS SOL THERIZ1 LW. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ONFIDENTIAL T %Ca L MICR SDNY_GM_00045551 OB-SDNY-00O8375 EFrA_00 I 56160 EFTA01288523  Deutsche Asset & Wealth Management Drallsre Rant Pnwile *Mahn &Waren Mu Caen., 6 ,0‘p Des-bOX la* SelloneraC Yoe bet Pik* P.O. Boa 1778, BaMimonx, MO 21203 la Put Annie. liver War Int Pet BMA Statement Period:12/01/2014 • 12/3112014 Portfolio Holdings (continued) Adjusted Unrealized Acaued Estimated Estimated Dale Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loss Meted Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) SERVICEM ASTER CO SR NT • CUSIP FULLY Security Identifier: 81760NAN9 EXCFANGED FROM OLD COP 81760kAL3 8.000% 02115120 BIE DTD 02113112 Moody Rating CAA' S 8 P Rating B- 01124/13 '.3.12 440.000.000 104 9300 461.692,79 105.2500 463.100.01 1.407.22 13.297 78 35,200.00 7.60% Original Cost Basis $468,050.00 02125/13 '.3.17 1,000,000.000 105 4560 1.054.555.77 105.2500 1.052.499.99 .2.055.78 30.222 22 80,000.00 7.60% Original Cosl Basis: 51,070,000.00 Total Maneuvered 1,440,000.000 1,516,218.56 1,515,600.00 .846.56 43,520.00 115,200.00 Total 1,140,000.000 $1,516,248.56 81,515,600.00 -8646.56 843,520.00 5115,200.00 LLOYDS 768 BK PLC EURO ISSUE MEDIUM Security Identifier: GIS1SPP18 TERM NOTES151NR XS0717735822 9.875% 12/16/21 RIG DTO 12/16/11 Moody Rating Bat SS P Rating BBB- 12/04113 '. 3.17 1,500.000 000 107 6770 1,615,162.18 114.7500 1 721 250 00 106,087 82 5,760.42 148.125.00 8.60% Original Cos' Basis: $1.627,500.00 BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISIA81.936739FFKO3 7.750% 04/10123 B/E DTD 04110113 CALLABLE 04110118 S 8 P Rating BB' 04/03/13 %UM 300.000.000 100 0000 300.000.00 109.0000 317.000 00 27.000 00 5.23125 23.250.00 7.11% Original Cosl Basis $300,000.00 RN ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HISA1 1110T1- FPO S2 1 FIXED TO FLTG RT 80 7.900% 04/29/49 B/E DTO 04/23/08 Moody Rating MI S P Rating BBB. 06/15/11 '.3,12 2.500.000.000 107 5000 2.687.500.00 107.6300 2.690.750.00 3.250.00 32.916 61 197.500.00 7.33% Original Cosl Bads' $2,687,500.00 06/15/11 '.3.12 2.500.000.000 107 0000 2.675.000.00 107.6300 2,690.750 00 15.750.00 32.91666 197.500.00 7.33% Original Cosl Basis 52,675,00000 Total Maneuvered 5,000,000.000 6,362,500.00 5,381,500.00 19,000.00 65,833.33 395,000.00 Total 5,000,000.000 55,362,500.00 $5,381,500.00 519,000.00 565,03.33 $395,000.00 Page 5 021 Account Num ber. Italia es:SYS titt&t• ROI t Go paperless beefy Year Siva 2007 SOUTHERN LLC. DAL BAR RATED COMMUN CATIONS rx.criurnser CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) N F I DESITIAL SDNY_GM_00045552 DB-SDNY-0008376 EFTA_00156161 EFTA01288524  Portfolio Holdings (continued) Adjusted Unrealized Mated Estimated Estimated Dore Acquired Quantity Uait Cosl Cod Basis Market Price Markel Value GaiN Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8 SFS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04/30/08 CALLABLE 05/15118 Moody Rating BA3 SE P Rating 813 01/10/11 %tit 2,000,000.000 1021500 2.055.000.00 107.8750 2,157,500.00 102,500.00 20,763 89 162,500.00 153% Original Cosl Basis: $2,055,000.00 SOUTHERN CAUF EDISON CO PREF SER E Stonily Identifier: 842400FU2 6150% 01/17/62 WE DID 01/17/12 CALLABLE 02/01/22 @ 100000 Moody Rating BAA1 SS P Rating BBB- 01130/12'.3.1: 3.000.000.000 99 8090 2,994,273.52 110 8750 3,326 250 00 331,97648 78,125 00 167,500.00 5.63% Original Cosl Basic $2.992.564.97 GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225746 A 7.125% 06/12/62 WE DID 06112/12 CALLABLE 06115/22 Moody Rating SAM S P Rating A+ 06127/12'.12.13 2,000,000.000 104 9450 2.098.907.53 116.3750 2,327.500 00 228,59247 6.33333 142.500 00 6.12% Original Cost Basis 52.122.916.67 LOG CAPITAL NO 1 PLC 144A Security Identifier: G5433B668 ISIN# X50473106283 8.000% 09115188 REG DTD 12i 15109 CALLABLE 06115/20 $8 P Rating BB 12104/13 '.3.12 1.200.000.000 108 2500 1.299.000.00 106.5000 1 278 000 00 41.000 00 4 000 00 96.000 00 7.51% Original Cosl Basis. 51.299.000.00 5LLOYDS BANKING GROUP PLC FXD RATE RESET Stonily identifier: 539439AG4 ADDL TIER 1 SECSISIAOUS539439AG42 7.500% 09/27/88 WE DTD 04107/14 S 8 P Rating II+ Please Provide' 1,903,000.000 N/A please Provide 1011500 1.936.302.50 1.189 38 142.725.00 7.37% 0 opal Cosl Basis Please Provide Total Corporate Bonds $21,668,383.20 323,881,902.60 $283,216.80 $282,687.16 31,702,800.00 22,843,000.000 Total Fixed Income 523,136,995.95 $25,327,508.08 $254,209.63 $290,263.53 $1,702,800.00 28,633,000.000 Page 6 of 21 Account Number: WIAti ROLL Go paperless (very Von Since 2007 CALMAR RATCOCOMMUMULTIONS rxciurmer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERM FiDrgiaiA SDNY_GM_00045553 DB-SDNY-0008377 EFTA 00156162 EFTA01288525  Deutsche Asset & Wealth Management Dean Boa P Wealth PADeaeenne Meals COveateGKe0 Derticre NM Seabee Mt. New Net Ma Boa 1770, Ba!ammo, MO 21203 HS Pen /base Melba , ferr Vat NY WIL Statement Period: 1210112114 -1213112114 Portfolio Holdings (continued) Unrealized Estimated Estimated Dale Acquired Quality Unit Cog Cog Basis Market Price Market Value Gain, Loss Mood Income Yield Equities 4 3.0 0% of Portfolio Common Stocks N OBILEYE NV AM STELVEEN ORD SHS Security Identifier: M BLY ISMAL0010831061 CL SIP k 51488117 Dividend Option: Cash 08101/14 800.000 25 0000 20,000.00 40.5700 32.456 00 12.456 00 APOLLO GLOBAL MGM' LLC CL A SHS Security Identifier: APO Dividend Option Cash CUSP: 037612306 03129/11 '.13 263,157.000 19 0000 1,999,983.00 23.5800 6,205,242.06 1,205,259 06 818,418.27 13.18% APPLE INC COM Security Identifier: AAPL Dividend Option. Cash CUSP. 037833100 10128113 14,000.000 75 5800 1,058,120.50 110.3800 1,545,319.93 187,199 13 26,320.00 1.70% 09105/14 150,000 000 98 9500 14,842.506 00 110 3800 16.557.000 07 1,711,194 07 282.000.00 1.70% Total Covered 164,000.000 15,900,626.50 16,102,320.00 2,201,893.50 308,320.00 Total 164,000.000 115,900,626.50 $16,102,320.00 $2,201,893.50 1308,320.00 MUD PHARN ACEUTICALS INC Security Idendller: ARIA Dividend Option: Cash CUSP 04033A100 02111/12 7,535 000 15 2090 114.597.10 6.8700 51,765.15 -62,631.95 01124113 . •13 9,000 000 19 6000 176.400.00 6.8700 61,830.00 -114,570.00 Total Noncovered 16,535.000 290,997.40 113,596.45 -171,401.96 Total 16,535.000 1290,997.40 1113,595.45 -1117,401.95 $0.00 ASCENA RETAIL GROUP INC COM Security Identifier: ASNA Dividend Option: Cash CUSP. 01351G101 01116101 '.3 70.500 000 212770 1,500,000.00 12.5600 885,480.00 •614,52000 BANK OF NEW YORK II ELLON CORP CON Security Identifier: BK Dividend Option Cash CUSP. 084058100 06125/14 250.000 000 36 3040 9.076.406 00 40.5700 10,142,500.00 1.066.094 00 170,000 00 1.67% BIOGEN IDEC INC CON Security Identifier: BilB Dividend Option Cash CUSP 09062%103 02114112••I3 2,095 000 119 5490 250.451.95 339.1500 711,147.75 460,692 80 Pagel of 21 tient. YOU( SOL THERA tit„ Account Num ber Go paperless Rated Cobb re Every year Lab 2007 DAL BAR RATED COMMUNICATIONS exam,NCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENT1AL SDNY_GM_00045554 DB-SDNY-0008378 EFTA_00156163 EFTA01288526  Portfolio Holdings (continued) Unrealized Estimated Estimated Date tied Quiet Limit Cod Cost Basis Market Price Market Value Gale/ Lou Anoual !name Yield Equities (continued) Common Stocks (continued) FACEBOOK INC CI. A Security Identifier: FB Dividend Option: Cash CUSP: 3030311102 05117/12'.13 17.501000 38.0000 665.000.00 78.0200 1.365 350 00 700,350 00 FOUNDATION MEDICINE INC COM Security Identifier: FM I Dividend Option: Cash CUSP: 350465100 01113/14 25,000100 27.5070 687,683.50 22.2200 555.500 00 -132.163 50 08105114 24,830.000 232530 577,373.02 22.2200 551,722.60 -25,65012 Total Covered 49,830.000 1 205 030.52 1,107,222.60 -151,813.92 Total 49130.000 $1,265,038.52 11,107,222.60 -$157,013.92 30.00 GENERAL ELECTRIC CO CON Security Identifier: GE Dividend Option: Cash CUSP: 369604103 04123113'.I3 23,000.000 21 5700 496,109.08 25.2700 581,210.00 85,100 92 21,180.00 3.61% GENERAL MTRS CO COM Security Identifier: GM Dividend Option: Cash CUSP: 37045V100 11118/10 10.988.200 36 4010 399.978.18 34.9100 383.598.07 -16.380 09 13,185.84 3.43% 12109/10' 88.536.800 38 8160 3,185,969.22 34.9100 3,020,999.68 -161,969 54 103,844.18 3.43% Total Hammered 97,525.000 3 585 947.38 3,404,597.76 -111,349.13 117,030.00 Total 97,525.000 63,515147.38 $3,404,597.75 -$111,349.13 $117,030.00 GILEAD SCIENCES INC Security Identifier: GILD Dividend Option: Cash CUSP: 375558103 02105/14 5,000.000 792810 396,407.00 942800 471,300.00 74,893.00 03107/14 3.100.000 796120 246.797.00 942600 292,208.00 45,409.00 Total Covered 8,100.000 643,204.00 763,506.00 120,302.00 Total 8,100.000 $843,204.00 $763,506.00 $120,302.00 $0.00 HEALTH NET INC COM Security Identifier: H NT Dividend Option: Cash CUSP 422226108 09108/14 250/0.000 16 9800 1171,506.00 53.5300 1,338,250.00 163.744 00 SANGAM 0 BIOSCIENCES INC CON Security Identifier: SGM 0 Dividend Option: Cash CUSP: 800677106 05/28113'•13 scioact000 8.4140 422,214.00 15.2100 760,500.00 338,286 00 SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC Dividend Option: Cash CUSP. 8028311101 01123/14 1.000.000 24 0000 21,000.00 19.6100 19,610.00 -4.390.00 TWITTER INC CON Security Identifier: 76VTR Dividend Option: Cash CUSP. 9018/1102 11107/13 1,500.000 26 0000 39,000.00 35.8700 53,805.00 14,805 00 Total Common Stocks $40,353,464.83 $46,581792.61 $5,233,307.78 $1,434,928.27 Page 8 021 Account Number. Matadi tacellenti :rat' "17=IC tara• OnOCS.SCSF!' 00A11 MOIL Go paperless Every Tom Same 2007 DAUM. RATED COMMUNICATIONS L THEM C4 rxerturraer SDNY_GM_0004555.5 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(eSO) O NFID AENTIA O13-SDNY-0008379 EFTA_00156164 EFTA01288527  Deutsche Asset