EFTA01291899.pdf

x.all, m.noteinen Deutsche Bank DeutHhe Mullett (nuptt 00u; Drench, s.,.. P.O.Box 17 76, Baltimore, MD 212O3 New it, WY 103%4 December 1, 2017 - December 31, 2017 Account Number: SOUTHERN FINANCIAL LLC ST THOMAS VI 00802 Portfolio at a Glance ThisPeriod Yew-to-Ciale Your Investment Specialist: BEGINNING ACCOUNT VALUE $17,248,000.00 $0.00 JOSHUA SHOSHAN Nel Securdies In/0ul al Account 0.00 17,588,000.00 Adjusted Previous Account Value 17,248,000.00 17,588,000.00 Dividends.IMeresi and Other Income 1.10 63,001.40 Net Change in Portfolio' •291.123.66 -694.123.66 ENDINGACCOUNT VALUn $16,956,877.74 $16,956,877.4 Estimated Annual Income 0252.001 40 1Net Change in Portfolio lathe difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Prier Vess-Eed Led Period This Period 1% Cash, Money Funds, and Bank Deposits 0.00 63,000.00 33,877.74 99% Equities 0.00 17,185,000.00 16,923,000.00 100% Account Total $0.00 $17,248,000.00 $16,956,877.74 Please review your allocation periodically with your Investment Specialist. Page 1of l' Apion5115FID * Ratedhitt Evay Yes Since 2007 DAIJAR PATO) COMMUNCATIONS Owing throughRana ue..rM owned subsidiary SIM brat W New York Melba Ccnaatim (OW Meta) CONFIDENTIAL — PURSUANT TO FED. R CFO M. P. 6(e) AL- EX([t(ENCC Pe he LIX. muftis FIIIRAINSUGM_00042819 DB-SDNY-0012643 EFTA_OO16O428 EFTA01291899  Summary of Gains and Losses Raked This Period Yes-It:Dale Unteanzed Short-Term Gain! Loss 0.00 0 00 -58.416 00 Long-Term Gain! Loss 7.055.488.92 7.055.488.92 0 00 Net Gain! Loss 7,055,488.92 7,055,488.92 -58,416.00 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 on your Forms 10 99 and/ or 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. FDIC Insured Bank Deposits Date Atha). Type Desaiption Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 12129! 17 12/01/I7 Opening Balance 63.000.00 83.000.00 12/11/17 Withdrawal WITHDRAWAL 43001.24 -1.24 12/11117 Deposit INTEREST POSTED 1.24 0.00 12/12(17 Deposit DEPOSIT 33.877.58 33.877.58 12/15(17 Deposit INTEREST CREDITED 0.16 33077.74 APY 0 03% 12/18/17 Citibank N A. 33,877.74 A/ 012! 18 $33877.74 1229/17 Closing Balance $33,877.74 Total FDIC Insured Bank Deposits $33,877.74 The FDIC Insured Bank Deposits are no1 securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250.0 0 0 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 Perla Yeetto-DMe Tenable Non habit Trtable Non Taxable Dividend Income Equities 0.00 0.00 63.000 00 0.00 Page 2 of " Rated Excellent °wringIMO. holing LI.C, a wholly owned A0101111. 25 Every Vex Since 2007 subsidiary as bake. New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALSAR WED COMMJNCATICOS EXC0AENCt Carponthan (MY Mellon) Penme. LIX. merrtt, F liRn.44tiYU:PM—00049820 DEt-SDNY-0012644 EFTA_OO I 60429 EFTA01291900  Deutsche Bank P.O.Box 17 76, Baltimore, MD 21203 December 1, 2017 - December 31,2017 SOUTHERN FINA NCIA L LLC ncome and Exoense Summa'y (continued) Oment Period Yealo-Dde Tootle Non Tenable Talkie Non Tea* Interest Income FDIC Insured Bank Deposits 1.40 0.00 1.40 0.00 Total Dividends, Interest, Income and Expenses $1.40 $0.00 $63,001.40 $0.00 Portfolio Holdings Account AcOrIty Opening Doing Acaved llama 30Sey Onrent °peeing Ode Pantile IlemSr Ending Bina Bina Income This Year Mid Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED OEPOSTSPROGRMI 12701/17 33.877.740 NIA 12729/17 83.000 00 33.877.74 0 41 140 NM NIA Total FDIC Insured Bank Deposits $63,000.00 $33,877.74 50.41 51.40 TOTAL CASH, M ONEY FUNDS, AND BANK DEPOSITS $63,000.00 $33,877.74 $0.41 51.40 Unrealized Estimated Estimated DateAcquired Ottailly Udt Cod Cost Bads Market Price Market VS. Gar loss Annual income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA Security 'daddies4API Dividend Option: Cash CUSP:03183390 12107/17 100,000.000 169.8140 16,981,416.00 169.2300 16,923,000.00 .68,416.00 252.000.00 1.48% Total Common Stocks $16,961,416.00 $16,923,000.00 458,416.00 $252,000.00 TOTAL EQUITIES $16,981,416.00 $16,923,000.00 458,416.00 $252,000.00 Unedited Moved Estimated Coll Beds Markel Wee Odenon interest Annutocome TOTAL PORTFOLIO HOLDINGS $17,015,293.74 $16,956,877.14 458,418.00 $0.00 5252,001.40 Page 3 of t• AO 10 0 2C95CSF3O00 25 Rated Cacellent Every 'few Shwa 2007 DAUMRAlID CONVOCATIONS Owing tlwonsh ',entity PIC a walla craned subsidiary a 11w Bonita New York Mete CerPontim (MY Mellon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) NFIDO. AL- EXCLUDa Pente. LIX. 'newt*,Filactrea DB-SDNY-0012645 00049821 EFTA_00160430 EFTA01291901  or t fOlt0 Holdings (continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form V99-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Portfolio Holdings 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 close of the statement period. The market prices, unless otherwise noted, have been obtained from independent 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/A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATBA ENT DATE Estimated Annual Figures The estimated annual income ( EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. 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 any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position 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 www.pershing.comf disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will 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 196, 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, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 4 of 11 Rated(Kart Owing tlwachpentingaCetthallymned AO 101 1..025 Every Vex Sect 2007 DAUM, RAT ED COMNARCATIONS subsidiary a me brat a New York Mellon CA•Pontim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCIAL CNC t Penne. MC. intrita Aliaktrea DB-SDNY-OO12646 00042822 EFTA_00160431 EFTA01291902  Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31, 2017 SOUTHERN FINANCIAL LLC Portfolio Holdings Disclosures (continued) 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. Schedule of Realized Gains and L sses Current Period Date Date Realized Desorption Disposed Acquired Designation Disposition Method/ Traotadion Quantity Proceeds Cod Bads Delwin; Long Term APPLE INCCOM 12107/17 09105114 Covered First In First Out / SELL 38,180 000 8,472,385.22 3,777,912.53 2,694.472 69 Security Identifier:037833130 12107117 09105/14 Covered First In First Out 1SBA 7,200 000 1,220,565.05 712,440.29 508.124 76 12107/17 09105/14 Covered First In First Out / SELL 18,620 000 3,158,516.83 1,842,449.74 1,314,067.09 12107117 01111/18 Covered First In First Out I Sat 38,000 000 8,102,825.24 3,584,000.86 2,538,824.38 Total 100,000.000 18,952,292.34 9,898,803.42 7,055,488.92 Total Long Term 16,952,292.34 9,896,803.12 7,055,468.92 Total Short and Long Term 16,952,292.34 9,896,803.42 7,055,488.92 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, es amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you. Page 5 of 11 Rated(Kant Owing tlwonshPatti PIC • Slay craned AO 10029 00 25 Every Yaw Since 2007 subsidiary SIMUnita New York Melba DAWN MIED COMMUNCATIM Colnatkie (MY Meta) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL4- EXCULENCC Penhas 4C. wow**, FitiRAAWYMPA_00049823 DB-SDNY-0012647 EFTA_00160432 EFTA01291903  Schedule of Realized Gains and Losses Current Period (continued) W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at https:/ / www.dws-investments.comi EN/ products/ moneymarket-funds-yieldslsp Please note that all money market funds listed on the website may not be offered through us. Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC. Your 1099 will be delivered as early as possible, beginning January 31,2018. By February 15, you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 151099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 w ill be mailed no later then M arch 15, 2018. For more information please visit mytaxhandbook.com. Customer Collateral Account Under Securities Account Control Agreement M UN ICIPA L SECURITIESRULEM AKING BOA RDS(M SRB®) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, FIN RA, and NYSE Although a money market mutual fund seeks to preserve the value of your investment at $1per 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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5,2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a T+2 settlement cycle provides faster access to sale proceeds, but it also means that funds are due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up e-delivery. DISCLOSURE By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, I! we authorize the named Financial Institution and Pershing LLC ("Pershing") and their affiliates to share my nonpublic personal information' held at Financial Institution and Pershing with the named trusted contact person(s) (the "Trusted Contact Person(s)s) identified as such. Additionally, IF we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of Financial Institution and Pershing. This authorization includes, but is not limited to. sharing or disclosing any information regarding securities, insurance, bank related. financial planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information l/ we may have provided to Financial Institution and Pershing. If we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my whereabouts or health status (i.e., if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone Page 6 of 11 Rated(Kant Deering Once.holingPIC • Sway owned AO 100295CSF30025 Every Vow Since 2007 DAIJAR MUD CONVOCATIONS sobeielNy elIN Boatel New VGA Melon Ceeponthal (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- MEUCCI Penh...* MC. 'newt*, FilinAttAtilioPM_00049824 DB-SDNY-0012648 EFTA_00160433 EFTA01291904  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31,2017 SOUTHERN FINANCIAL LLD M es sag es (continued) authorized to transact business on the account, or who is already otherwise able to receive the information described above. Account owners should contact their Financial Institution or financial representative with additional questions. Account owners may also contact FINRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments. CALL: 844.57-HELPS(844.574.3577) MONDAY - FRIDAY; 9 - 5 P.M . ET • "Nonpublic personal information" includes. but is not limited to: financial account information and balances. information regarding the purchase of a security or insurance product. and any other personally identifiable financial information: (i) provided by a me/ us to my/ our Financial Institution: (ii) resulting from any transaction in my/our account or any service performed on behalf of met us by the Financial Institution, or (iii) otherwise obtained from met us by the Financial Institution. Activity Summary (.1 sn,“ n are n one —rren.y) °edits Tat Period Debits TaMPerlod Net ThtsPniod Credits Yeal-to-Date Debits Yem4o-Date Net Yew-to-Date Securities Securities Bough' 0.00 16,981,416.00 .16,981,416.00 0.00 -16,981,416.00 .16.981,416.00 Securities Sold 16,952,292.34 0.00 16.952.292 34 16.952.292.34 0.00 16.952.292.34 Securities Deposits 0.00 0.00 0.00 17.588.000 00 0.00 17.588.000.00 Total Securities $16.952.292.34 416.981.416.00 429,123.66 631.540.292.34 416.981.416.00 $17,558.876.34 Dividends and Interest $1.40 $000 $1.40 $63,001.40 $0.00 $63.001.40 FDIC Insured Bank Deposits $63,000.00 433.877.74 $29,122 26 $63.000.00 496.877 74 433.877.74 Totals $17.015,293.74 417.015.293.71 $0.00 $34,666,293.74 417,078,293.74 $17.588.000.00 Transactions by Type of Activity Nomad Trade/ Settkment Nananalon Date Dale Aaiun), Type Desaiption Quantity Price Aocyved lateral Amount Currency Securities Bought and Sold 12/11/17 12/07117 SOLD APPLE INCCOM UNSOLICITED ORDER AVERAGE UNIT PRICE -100.000.000 169 5469 16,952,292 31 USD AAPL TRANSACTION YOUR BROKER ACTED AS AGENT 12/11117 12/07/17 PURCHASED APPLE INC COM UNSOL AVERAGE UNIT PRICE TRANSACTION 100.000.000 169.7941 -16.981,416.00 USD AAPL YOUR BROKER ACTED ASAGENT Total Securities Bought and Sold - U.S. DOLLARS 0.00 -29.123.66 Page 7 of " A0100 C6F3OKI 5F ID0 Rated Emedlont Every Yaw Saxe 2007 Owing Sae. Penbeg LI.C, a -holly owned subscharft el The cab of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) L DALIAR MI ED C0MMUMCATIM EXC0.LENC( Corponthm OW Melon) Penne. LIX.rren-ter EitiRnAcklireM_00049825 DB-SDNY-0012649 EFTA_0016043,1 EFTA01291905  Transactions by Type of Activity (continued) Process Trade Setttuner! Transaction Date Dote Activity Type Oesuiption Quantity Price Acaved intend Amount Diming Dividends and Interest 12111/17 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 1.24 USD DEPOSITS INTEREST RECEIVED 458997998 12115117 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 0.16 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest - U.S. DOLLARS 0 00 140 FDIC Insured Bank Deposits 12111117 FDIC INSURED BANK INSURED DEPOSTS PROGRAM FULL PRINCIPAL REDEEM BD 63.000 00 USD WITHDRAWAL US0999991 12112117 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 43.877 58 USD U93999997 12115117 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .0.15 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 29,122.26 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. P Client Service Information Your inventmeet Spedalid Em Canted inotmation JOSHUA SH OSHA N Telephone Number IPINP.R. Page 8 of 11 Rated C.cereefit OwingIMOPent/insIlt. a Sally owned AO 10 0295CSF300 25 Every Yaw Since2007 subsidiary of The brat ar New York Melba DALBAR RA TED COMMUNCATIONS Con, on)im (MY Mellon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCIALINC( Penme.U.C. nowt,.Fililltaakkaat