EFTA01288997.pdf

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 MP" Account Number: N40-023804 Statement Period: 12/0112016 -12/31/2016 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $114,618,198.25 8103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .3 278.060 93 ST THOMAS VI 00802 net Securities InlOut of Account 0 00 5 185,557.00 Adjusted Previous Account Value 114,618,198.2$ 105,192,113.87 Dividends, Interest and Other Income 311.998 62 3,882.558.30 Total Taxes Withheld 0 00 -5.558.07 Net Other Activity -2 00 -430.00 Your Client Adelson Net Chan e in Portfolio 2.139.761 39 8 001,272.18 .DSFLASHOSNAN ncling Account Value 5117,069 956 26 5117,069 956 26 Accrued Interest $250.76877 Estim ated Annual Income 83.121.344 91 Asset Summary Prior Year-End Lag Period Ibis Period % Allocation Cash. Money Funds. and Bank Deposits 26,834,143.83 14,052,449.32 15,864,145.94 14% Please review your allocation Fixed Income 25,438,998.88 20,831,839.41 19,233,099.80 16% perioclicalty wth your Clete Advisor. Equities 48,000375.11 76.982.109.52 79,000.010.52 Exchange-Traded Products 0.00 2,952,000.00 2,972,400 00 3% Mutual Funds 3.004.800,03 0.00 0.00 0% Account Total (PIe Chart) 8103,284,817.80 $111,818,198.26 $117,089,958.26 100% Page 14019 Ratedmail. nti 11, 8AO /1011 B009 9380CSF30024 Go paperless (very Vs.. E Since 2007 CALMAR RATO)COMMLIFOCATIONS CONFIDAENTIA rxesar NCI SDNY_GM_00046029 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008849 EFTA_00 156634 EFTA01288997  Summary of Gains and Losses Realized Ibis Period Year-to-Date Unrealised Short-Tenn Gain!Loss 0.00 3.039 76 1.201.993.80 Long-Term Gain/Loss -88,74809 1,147,088.09 5.338.614 20 Net GaIn/Loss -80,748.09 1,150,127.85 9,543,608.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported en your Forms 1099 andior 1042 S. 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 Adivity Type Desidiptioe Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130f18 12101116 Opening Balance 13,960,314.37 13.960.344.37 12101/16 Deposit MONEY RAD RiRCFASE 92.101.95 14,052,419.32 12/02116 Withdrawal MONEY FUND REDEMPTION -2.00 14,052,117.32 12/16(16 Deposit MONEY FUND FtiRCFASE 19,380.00 11.101,827 32 12/19116 Deposit MONEY FUND RACFASE 1,648,125.00 15.749,952.32 12/23116 Deposit MONEY FUND FURCFASE 37.059.50 15.787.011.82 12128116 Deposit MONEY FUND PURCFASE 39,11823 15,826,130.05 12130(16 Deposit MONEY FUND FtiRCFASE 3,807.00 15,829,937 05 12130(16 De 01 %COME REINVEST 4.774.69 15.834 711.74 12/30(16 Closing Balance $15,834,711.71 Total All Money Market Funds $15,831,711.71 Income and Expense Summary DIrrent Period Year-to-Dale Taxable Noe Taxable Taxable Noe Taxable Dividend Income Equities 40,866.50 0.00 1.628.229.19 0.00 Money Market 4.771 69 0.00 23,034 96 0.00 Other Dividends 29.734.20 0.00 1,033,201.69 0.00 Interest Income Bond Interest 236,623 23 0.00 730,160 43 0.00 Other Interest 000 0.00 139.146.88 0.00 Page 2 of 19 Account Number. N4G-023804 !loud [mallard, a or °HAT; +olk Go paperless (vary Voar Loco 2007 SOUTHERN LLC. DAL BAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDENTIAL rxOLLNCr SDNY_GM_00046026 DB-SDNY-0008850 EFTA_00 156635 EFTA01288998  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Statement Period: 12//112116 -1213112116 Income and Expense Summary (continued) Current Perkd Year4o-Date Taxable Noe Taxable Taxable Non Taxable Expenses Margin Mimed 000 0.00 0.00 -161.I0 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Foreign Securities] 0.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses 1311,998.62 10.00 13,547,915.08 4161.10 DIstrIbudons Alternative Investments 0.00 0.00 0.00 328146.25 Total Distributions 10.00 10.00 10.00 1320,946.26 Portfolio Holdings Account Activity Opening Codas Accrued Income 30-Day Cuirent Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 14.00% of Portfolio Cash Balance 92,104.95 0.00 Margin Balance 0.00 29,734.20 Money Market DEUTSCHE GOVT CASH INSTL 12/01116 15.834.711.740 NM 12/30/16 13.960.344.37 15,834,711.74 0.00 23.034.96 0.38% 0.43% Total Money Market $13,960,344.37 111834,711.74 123,034.96 Total Cash, Money Funds, and Bank Deposits 114,162,449.32 115,164,446.94 $00:00 0 1 123,034.96 Page 3 of 19 Account Number: N4G423804 Rated excellent, OLIALI ROLL GO paperless beery vs. Since 2007 DAL OAR RA TED COMMUNCATIONS SOUTHERN rxestimer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) K1 F I DrErriA SDNY_GM_00046027 DB-SONY-0008851 EFTA_00156636 EFTA01288999  Portfolio Holdings (continued) Adjusled Unrealized Accrued Estimated Estimated Date Acquired Quantity hit Con Cost Bads Market Price Markel Value GainI Loss Interest Annual Income Yield Fixed Income 16.00% of Portfolio (In Makin?), OM Sequence) 'Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2004-RA2 Security Identifier: 939333620 TG PASSTH RV CTF CL C-01 VAR RATE 6.693% 07125133 WE DTO 06/01/04 Factor. 0.47620036 Effective Date:12101/16 Current Face Value: 614.298 464 12113/13 1,290,000.000 76.5190 470.052.63 84.9500 521,846.55 51,793.92 3,426.37 Original Cost Basis: 5638.906.71 Total Asset Backed Securities $470,052.63 $521,846.55 $51,793.92 63,426.37 $0.00 1,290,000.000 Total Current Face Value : 614,296.461 Corporate Bonds EARTHUNK INC GTO SR NT FULLY EXCHANGED Security Identifier: 270321AC8 CUSP FROM 27032IAB8 8.875% 05/15/19 BIE DTD 05117/11 CALLABLE 01/29/17 10123/12 '.3.12 351.000 000 102 2970 359.061.88 102.3250 359,160 75 98 87 3.980 44 31,151.25 8.67% Original Cost Basis. 5362.407 50 BARCLAYS 8K PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISINPIS06739FEK03 7.750% 04/10123 B/E DTD 04110/13 CALLABLE 04/10118 38 P Rating 889 04103113 '32.13 300,000.000 100.0000 300.000.00 105.1400 315.420 00 15.420 00 5.231.25 23.250 00 7.37% Original Cosl Basis: 5300,000.00 1711 ORGAN CHASE & CO DEP SHS REPSTG Security identifier 48625111M1 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04129/49 B/E DTD 04/23/08 Moody Rating BAA3 S & P Rating BBB- 08/15/11 '.3.12 2.500.000 000 107 5000 2,687,500.00 103.5500 2,588,750.00 •98.750.00 32,916.67 197.500 00 7.62% Original COSI Bans: 52,687,500.00 06/15111 2.500.000 000 107 0000 2.675.000.00 103.5500 2,588,750.00 •86.250.00 32.916 66 197.500 00 7.62% Original Cosl Basis: 59675,000.00 Total Noncovered 5,000,000.000 5,362,500.00 5,177,500.00 -185,000.00 85,833.33 395,000.00 Total 5,000,000.000 85,362,500.00 $5,177,600.0 -$185,000.00 $65,833.33 $395,000.00 BANK AM ER CORP PERP NON COM ULAT1VE DEP Security Identifier: 0605050T8 SH S FIXED TO FLOAT 8125% 04/30/58 WE DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S d Rating BB* 01/10/11 '.3.12 2,000500.000 102.7500 2,055,000.00 103.8750 2,077 500 00 22,500 00 20,783 89 162.500.00 7.82% Original Cost Bank 52,055,000.00 Page 4 of 19 Account Number. N4G-023804 listed tacellordi rer:099350CSF30 mi..° vet Go paperless (very yes. Since 2'007 DAL BAR RATED COMMUNCAMN'S SOL THERA C5. LLC. rxertuNer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIliErnAL SDNY GM_00046028 DB-SDNY-0008852 EFTA_00 156637 EFTA01289000  PA Deutsche Bank 0ruisev Ram Pnwale WeanPAWItnall Pdanels Coon., 6 ,0‘P P.O. Box 1776, Baltimore, MD 21203 Statement Period: 1210112016 • 12/3112016 Portfolio Holdings (continued) Adjusted Unrealized Acaued Estimated Estimated Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E Security Identifier: 842400FU2 6.250% 01(17162 B/E DTD 01/17/12 CALLABLE 02/011221 100.000 Moody Rating BM1 S8 P Rating BLS 01/30!12'.3.12 3,000,000.000 991550 2.995.641.62 110.8750 3.326.250.00 330.608 38 78.125.00 187.500.00 5.63% Original Cost Basis: $2,992,564.97 GENERAL ELEC CO GTD FXD-TO-FLTG RT Security Identifier: 369604814 NONCUMULATIVE PERFETL AL PREFERRED 4.000% 12103/65 REG DTD 12/03)15 Moody Rating A3 S P Rating A 12/03115' 2.469.000.000 88.0930 2,115,016.17 99.2500 2 450.482 50 275,466.33 4,389.33 98,760.00 4.03% Original Cost Bair $2,175,016.17 'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADDL TIER 1 SECS13'5SL 6539439AG42 7.500% 04127/88 B/E DTD 04/07/14 S8 P Rating BB. Please Provide' 1,903,000.000 N/A Please Provide 103.0000 1 960,090 00 NIA 1,585 83 142,725.00 7.28% Original Cost Basis: Please Provide CITIGROUP INC FXO RT SR NT PERP DEP RECPT Security Identifier: 17296725 5.950% 08(15/88 B/E DTD 08/12/15 CALLABLE 08/151201 100.000 Moody Rating BA2 S8 P Rating BB" 08/06/15 3,000,000.000 100.0000 3,000,006.00 101.4950 3,044,850.00 44,844 00 67,433.33 178,500.00 5.86% Original Cost Basis: 53,000,006.00 Total Corporate Bonds 115,247,225.67 111,711,263.25 $503,937.58 $247,342.40 $1,219,386.25 18,023,000 000 Total Fixed Income $16,717,278.30 $19,233,099.90 $565,731.50 3250,768.77 81,219,386.26 10,313,000.000 Pate5019 Account Number: N46423804 ft...de-4k" .38..M ROLL Go paperless (very Year Sinew 2007 CALMAR RATED COMMUNICATIONS SOUTHERN rxenurraer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDrTriA SDNY_GM_00046029 DB-SDNY-0008853 EFTA_00 156635 EFTA01289001  Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired Gustily Usk Cost Cod Basis Market Price Markel Value Gadd Loss Annual Income Yield Equities 67.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD 5115 Security idendlier: M BLY ISKRA L0010831061 CUSP N51488117 Dividend Ophon Cash 08101114 800.000 25.0000 20,000.00 38.1200 30,496.00 10,496.00 MERU BIOTECHNOLOGIES INC Security Identifier: MN CON CUSP 00773U108 Dividend Option: Cash 10,000.00 of these shares are in your margin account 04120115 10,000.000 39.8610 398,606 00 2 9000 29,000 00 -369,606 00 AKORN INC COM Security Identifier: AKRX Dividend Option: Cash CUSP. 009728106 06110/15 5.000.000 46.8410 234,206.00 21.8300 109,150.00 •125,05800 AUBABA GROUP H LOG LTD SPONSORED ADS Security identiller BABA IS% OUS01609W1027 CUSP. 01609W102 Dividend Option: Cash 06110/15 5.000.000 88.9500 444,749.00 87.8100 439.050 00 -5.699.00 ALUANZ SE SPO NS ADR REPSTG 1110 StIS Security Identifier: AZSEY Dividend Option: Cash CUSP 018805101 04113/15 5,000.000 18.0110 90,056.00 16.4800 82.400 00 •7.656.00 3,059.77 3.71% APOLLO GLOBAL M GM T LLC CL A SIM Security Identifier: APO Dividend Option: Cab CUSP: 037612306 03129/11 ..I3 263,157.000 19.0000 4,999,983.00 19.3600 5,094,719.52 94,736.52 328,946.25 6.45% APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSP: 037833100 250.000.00 of these shares are in your margin account 10128/13 1 14.000.000 75.5800 1,058,120.50 115.8200 1,621,180.23 563,359.73 31,920.00 1.96% 09105/14 124.180.000 98 9500 12,287,815.97 115.8200 14,382,527.56 2,094,911.59 263.130.40 1.96% 09105/14 1 7.200.000 98 9500 712,440.29 115.8200 833.903.79 121,463.50 16,418.00 1.96% 09105/14 s 18.620.000 98 9500 1,842449.74 115.8200 2,156.568.62 314,118.81 42,453.60 1.96% 01111116 250,000.600 99 0000 24,750,006 00 115.8200 28,954,999.80 4,204,993.80 570,000.00 1.96% Total Covered 114,000.000 10,650,632.50 47,919,160.00 7,291,647.50 913,920.00 Total 414,000.000 140,660,832.50 147,949,460.00 17,298,847.50 8943,920.00 ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CL SIP 040334100 02114712'•13 7.535.000 15 2090 114.597 40 12 4400 93.73540 -20,862.00 01124113 9.000.000 19 8000 176.400 00 12 4400 111.980.00 -64,440.00 Page 6 of 19 01'099 3,0CSF!' . mm, voi Account Number: 1440-023804 SOUTHERN DriTriAr Go paperless s Rated tscerninti tn.) , Veer Since 2007 DAL BAR RAT CO COMMUNICATIONS rxerturraer CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) FI SDNY_GM_00046030 OB-SDNY-0008654 EFrA_00156639 EFTA01289002  Deutsche Bank Oevilm.e. Rana Nta Wean lAeaernais P.O Box 1776, Baltimore, MD 21203 Statement Period: 12/01/2016 - 12131/2016 Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired <hardy UaN Cost Cost Basis Market Price Market Value Gain! Loss Annual Income Yield Equities (continued) Common Stocks (continued) ARIAD PHARMACEUTICALSINC (continued) Total Noncovered 18,535.000 290,997.40 205,695.40 .15,302.00 Total 15,636.000 $290,997.40 1206,096.40 -$66,302.00 50.00 ASCENA RETAIL GROUP INC CON Security Identifier: ASNA Dividend Option: Cash CLSIP. 013510101 01116101 '.3 70,500 000 21 2770 1,500.000 00 6.1900 136,395 00 -1.063.605 00 BASF SE SPONS ADR Security Identifier: BASFY ISING L 50552625057 CUSIP 055262505 Dividend Option: Cash 04113115 5.000 000 101.6110 508,056.00 92.5700 462,850.00 -45,206.00 12,163.55 2.62% BANK OF NEW YORK M ELLON CORP COM Security Identifier: BK Dividend Option: Cash CUSIP. 064058100 06125/14 250.000.000 36 3060 9.076.406.00 17.3800 11.845.000.00 2,768,594.00 190.000.00 1.60% BIOGEN IDEC INC CON Security Identifier: BIIB Dividend Option: Cash CUSP: 09062X103 02/11112 '3 3 2.095.000 119.5490 250.151.95 283.5800 591,100.10 313,615.15 CENTENE CORP DEL CON Security Identifier: CNC Dividend Option: Cash CUSP: 151358101 09/08/14 15,550.000 63 6450 989,679.75 56.5100 878,730.53 -110,949.25 DISH NETWORK CORP CL A Security Identifier: DISH Dividend Option: Cash CUSP: 2517011109 06/10/15 5.000.000 72 9960 364.978.00 57.9300 289,650.00 .75,328.00 FACE800K INC CL A Security Identifier: FB Dividend Option: Cash CUSP 3030314102 05/17/12 '3 3 17.500.000 38 0000 665.000.00 115.0500 2,013,375.00 1,348,375.00 FOUNDATION MEDICINE INC CON Security Identifier: FM I Dividend Option: Cash CUSP 350165100 01/13/14 25,000 000 27 5070 687.663.50 17.7000 412,500 00 -215.163.50 08/05/14 24,830.000 23 2530 577,373.02 17.7000 439,491.00 ,137,882.02 Pa947 of 19 Go paperless L t, F DrffirTA Account Num her. MG-023804 Rapiscl tAalikerdi OPAI, 'IOU L vwy v s. 5~ 2007 SOLTHERA rDxei AlAttit me •ArTEOCOMMUNCATIONS SDNY_GM_00046031 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006855 EFIA_00156640 EFTA01289003  Portfolio Holdings (continued) Serialized Estimated Estimated Dale Availed Quality Uait Cosi Cod Bads Martel Price Markel Vale* Geld Lose Annual Income Yield Equities (continued) Common Stocks (continued) FOUNDATION MEDICINE INC COM (continued) Total Covered 49,830.000 1,285,038.52 811,911.10 -383,015.52 Total 49,830.000 11,215,036.52 $881,991.00 -$383,015.52 WOO GENERAL ELECTRIC CO COM Security identifier: GE Dividend Option: Cash CUSP: 369604103 04123113'.1) 23,000 000 21 5700 496,109.08 31 6000 726.800 00 230.690 92 22,080.00 3.03% GENERAL M TFtS CO COM Security Identifier: GM Dividend Option. Cash CU SIP 37045V100 11/18110 ' 10.988.200 36.1010 399.978.16 31.8400 382.828 90 -17,11926 16,702.06 4.36% 12/09(10' 86.636.800 36.8160 3,185,969.22 34 8400 3.014.942 10 ,171,027.12 131.535.91 4.36% Total Noncovered 97,525.000 3,515,947.31 3,397,771.00 -188,171.38 148,238.00 Total 97,525.000 03,515,917.38 03,397,771.00 -$188,178.38 $148,238.00 GILEAO SCIENCES INC Security Identifier: GILD Dividend Option: Cash CUSP: 376558103 02105/11 5.000.000 79 2810 396.407.00 71.6100 358.050.00 -38.357.00 9.400.00 2.62% 03/07114 3,100.000 79 6120 246 797.00 71.6100 221.991.00 .24,806 00 5,828.00 2.62% Total Covered 8,100.000 843 204 00 580,011.00 -63,163.00 15,228.00 Total 8,100.000 1643,204.00 $580,041.00 ,163,103.00 315,220.00 GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK Dividend Option: Cash CUSP 37733W105 06/10115 5,000.000 43 0010 215.006.00 38.5100 192.550 00 -22.156.00 10.335 20 5.36% GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU UNIT 1 COM 8 1 WT EXP CL SIR 37954X204 Dividend Option: Cash 07/30115' 2.000.000 10.0000 20,000.00 10.0500 20,100.00 100.00 GODADDY INC CL A Security Identifier: GDDY Dividend Option: Cash CL.SIP: 380237107 04101115 700.000 20 0000 11.000 00 31.9500 24,465.00 10.465.00 MATCH GROUP INC COM Security Identifier: M TCH Dividend Option Cash CUSIR 57665R106 11118115 200.000 12 0000 2,100.00 17.1000 3,420.00 1,020.00 SANGAM 0 BIOSCIENCES INC CON Security Identifier: SGM 0 Dividend Option: Cash CUSP. 800677106 05128113 '.13 50,000.000 8.4440 422,211.00 3.0500 152.500.00 -269,71400 SANTANDER CONSUMER USA MIMS INC COM Security Identifier: SC Dividend Option Cash CUSP. 80283M101 01123/14 1.000 000 24 0000 21.000.00 13 5000 13.500.00 -10.500.00 Page 8 019 Account Number. N46.023804 Rated [wallas l}tt W011 Cio paperless Um". Vow Woo:m.2007 DAL OAR RAT COMMUNCATIONS SO t, TH ERN ttri LLC. rxestimer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) N F IDAENTEAL GCNY_GeA_00046032 DB-SDNY-0008856 EFTA_00156641 EFTA01289004  Deutsche Bank Ordisov Ram Pnnle Weahn Atragenmt Pdanet$ CedrateG,O‘p P.O. Box 1776, Baltimore, MD 21203 Statement Period: 12/01/2016 • 12/31/2016 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) SQUARE INC CL A Security Identifier: SQ Dividend Option: Cash CUSIP 852234103 11/19115 200.000 9.0000 1.800.00 13 6300 2 726 CO 926 00 TERRAFORM GLOBAL INC CL A Security Identifier: GLBL Dividend Option. Cad) CUSIP 88I04M101 07/31115 400.000 14 6300 5.931 84 3.9500 1.580.00 -4,351.81 440 00 2784% TWITTER INC COM Security Identifier: TW TR Dividend Option: Cash CUSIP. 901841102 11/07113 1 500 000 26 0000 39,000.00 16.3000 24.450 00 .11,550.00 VIACOM INC NEW CL B Security Identifier: VIAB Dividend Option: Cash CUSIP. 92553P201 06/10/15 5.000.000 67 7490 338.745 00 35.1000 175.500.00 ,163,215.00