EFTA01289887.pdf

Deutsche Asset & Wealth Management 08.8o< was n maNw.n, n, heron Gto.p DestlAhl Smori eic Yee *A Oat* P.O. Oat 1778, Sahimore. M021203 Handl ATMS. Ha•cl'ASr Is. Teri m Account Number: 4G-023812 Statement Period: 12;01;2015 - 12(3112015 Portfolio at a Glance This Period Yea r.to.Date SOUTHERN TRUST COMPANY INC Beginning Account Value 68,206,752.73 $7,449,267.22 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 8,206,752.73 7,449,267.22 ST THOMAS VI 00802 Dividends, Interest and Other Income 102.611.72 433.450.15 Net Other Adivity •2.00 •52.00 et Chan in Portfolio -102,58978 324 107 00 nchng Account Value $8 206 772 67 88,206,772.67 Accrued Interest $6 090 09 Your Client Advisor: Estimated Annual Income $324.495.93 DANIEL SAMBA Asset Allocation Prior Year-Esd Lad Period This Period %AIM:lotion LSD Cash. Money Funds. and Bank Deposits 1.196003.71 3617,587.81 3,117,813.92 41.64% Pease review your allocation h on-U SD Cash, Money Funds, and Bank Deposits 168,688.28 261,115.97 380,23123 1.39% , cercificaity wth you' Cleft Advisor, A on.l. SD Axed Income 4.551,115 20 3,051,118.92 2,961,517.52 3609% LSD Equities 1,532,160 00 1,170,600.00 1,167,180 00 1788% [-' Account Total (Pie Chart) $7,449,267.22 08,206,752.73 08,200,772.07 100.00% See the Asset Allocabon Disclosure and Footnotes seeton lor important intorrnaton regardrig your Asset notation. Page 1of 9 kilted Excellent, 8009TSIICSF30024 GO (very Vee same 2007 ML BBB RATED COMMUNICATIONS ••••= rxenurtraer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIErn Plai deisAL SDNY_GM_00046915 OB-SDNY-0009739 EFTA_00157524 EFTA01289887  Asset Allocation Disclosure and Footnotes M values are displayed m U.S. dollars based on interbank exchange rates as of 12/31015 Exchange rates can vary. Summary of Gains and Losses Realized Ibis Period Year•to-Date Unrealized long•Term Gan/Loss 0 00 000 31.762 50 Net Gain/Loss 0.00 0.00 37,782.50 This summary excludes transactions where cost basis information is rot available. Exchange Rate Table Global Cash Currency Posing Mount In Currency USD Equivaleat per USD Currency Balance Base Currency USD BUIS- POLK() 1 4737 0.6785 BRITISF POUND 244.440 00 360 231 23 Total Global Cash Balance $360,231.23 Exchange rates are based on interbank exchange rates as of 12/31/2015. Exchange rates can vary. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Number 0000001489 Current Yield: 0.13% Advil,/ Ending: 12131/15 12101115 Opening Balance 3.417.587.84 3,417,587.84 12/02/15 Withdrawal MONEY MAD REDEMPTION .2.00 3,417,585.84 12/31115 Deposit INCOME REINVEST 228.08 3,417,813.92 12131/1$ Closing Balance 11417,813.92 Total All Money Market Funds $3,411,813.92 Income and Expense Summary Current Period Year•to•Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equines 000 0.00 121,125.00 0.00 Money Market n808 0.00 737.18 0.00 Interest Income Bond Interest 102.38181 0.00 311,588.27 0.00 Total Dividends, Interest, Income and Expenses 1102,611.72 $0.00 $433,410.45 $0.00 Page 2 of 9 Account Number: NG-023812 et:), (very Rated tacellenti DRABROLL Go paperless Vs.. Siva 2007 DAL BAR RA TEO COMMUNICATIONS rxesurwer GDmv_PM_00046916 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6; THERh Onn DrwriA DB-SDNY-0009740 EFTA_00157525 EFTA01289888  Deutsche Asset & Wealth Management Devilwe wan PAaminntat Mwoets Ontia De.,,0 INw kW'''. n< Vin brit Mc* P.O. Box 1778, Ballimore. MD 21203 Annw. 10tit Icce Statement Period: 12101/2015 - 12131/2015 Portfolio Holdings U.S. DOLLARS Accent Activity Opening Closing Accrued Income 304lay Carrent Opening Date C.:a roily I/umber &ding Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits Money m ark e t DEUTSCHE GOVT CASH INSTL 12101115 3,117,813.920 0000001/89 12131115 3 417 587 84 3,117,813.92 0.00 737.18 0.08% 0.13% Total Money Market 13,417,58724 13,417,813.92 $0.00 1737.18 Total Cash, Money Funds, and Bank Deposits $3,417,587.84 13,417,813.92 $0.00 1737.11 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield Equities Preferred Stocks (Listed by expiration date) ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRB DIV•8.50% FRECI•OTRLY CALLABLE0 25.00 USW 02005h308 ON A INKY BASIS AFTER 05/1512016 Dividend Oplion: Cath 06111113'.13 57,000.000 25.0780 1,129,417.50 257400 1 167,180 00 37,762.50 121,125.00 8.25% Total Preferred Soda $1,129,117.60 11,167 110.00 $37,762.50 1121,126.00 Total Equities $1,129,117.60 ft 467,180.00 $37,762.50 1121,125.00 Unrealized kaued Estimated Cod Bads Market Value Dein/ Loss Interest Masai Income Total U.S. DOLLARS 1,117,231.12 14,884,993 92 37,762.50 0.00 121,8112.18 BRITISH POUND Opening Closing Accrued 30-Day C eStr ption Quantity Balance Balance Currency b031011 Yield Cash, Ai oney Funds, and Bank Deposits Global Cash Balance 17500.00 241,440.00 GBP 360.231.23 USD Total Cash, Money Funds, and Bank Deposits 115,880.00 244,440.00 GBP 0.00 360.231 23 USD 0.00 Page3 of 9 Account Number. N4G-023812 Italia excellent, ORAlt Q0.1k Go ASS Lyon, Van since 2.007 exact DusicenA DAL OAR RATED COMMUNICATIONS r wer SDNY_GM_00046917 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6706THERh cONn OB-SDNY-0009741 EFTA_00I 57526 EFTA01289889  Portfolio Holdings (continued) BRITISH POUND (continued) Accrued Estimated Estimated Description Quantity Market Price Market Value Currency Interest Annual Income Yield Fixed Income (In Maturity OM. Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 1,000,000.000 100.4800 2,009,600.00 GBP 4,132.61 137,600.00 6.64% CONVGBPISIMIXS1043181269 2161.54732 USD 6,090 09 202,633.75 6.875% 09/20188 REG DTO 03111114 St P Baling BB+ Secudty Identifier G83980111(3 Total Corporate Bonds : 2,000,000.000 2,009,600.00 GBP 4,132.61 137,500.00 2.961.547.52 USD 6,010.09 202.633.75 Total Fixed Income: 2,000,000.000 2,009,600.00 GBP 4,132.51 137,500.00 2,961,547.52 USD 6,090.09 202,633.75 kneed Estimated Market Value Currency Interest Maul Income Total BRITISH POUND 2,254,040.00 GBP 4,132.61 137,500.00 3 321 77875 LSO 6 090 09 102,633 75 Unrealized Accrued Estimated Cost Basis Market Value GairilLoss Interest Annual Income Total Portfolio Holdings - U.S. 34,647,231.42 60,106,77117 237,762.50 96,090.09 9324,495.93 DOLLARS Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired helm 2011 or n retirement accounts we generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended (-IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or alter their 'applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple lured payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 13 The cost basis of this security has been provided to us by the delmenng km or transferring agent and Pershing makes no representation as to the accuracy of this information. Pap 4 of 9 Account Number 1446423 12 toted tacellend GO paperiess nriprwriAL Evert Vs. Siva 2007 on...n Rol I DAL OAR RATED COMMUNICATIONS SOUTHERN OSTO rxarturmer SDNY_GM_00046918 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009742 EFTA_00157527 EFTA01289890  Deutsche Asset & Wealth Management Gnaw.< Rana Pn.a. wean imaigenas 17.070 I 240.6,7.7 De.00,7 Sank Smola. "0. Peevert 000, PO Boa 1770 Balamore. MO21203 HI Part Ratak Ita I ter Statement Period: 12/01/2015 • 12/31/2015 Holdings Summary by Currency Currency Cash Fixed lame Equities Total by Currency US. DOLLARS 3,417.813 0 1,462,180 4.884.99 LSD BRITIgi POUND 244,440 2,009,600 0 2254.040 GBP Total ITSD Equivalent 3,778,045 2,961,547 1,487,180 8,208372 OD % of Alloallon 48.03% 38.09% 17.88% 100.00% Messages Although a money market mutual fund seeks to preserve the value of your investment at 91 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 !atoning information for Pershing's 2M5 IRS Forms 1099 (B, DIV, INT, O1O end MISC ): Your form 1099 will be deivered as early as posstle, beginning January 31, 2016. By February 16, you wall be mated either your 1099 form or a 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 *16 inform you of the securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form Your 1099 wit be mailed no later than March 17. 2016. Activity Summary our amounts shown are in base currency) Credits This Period Debits This Period Net lilt Period Credits Year-to -Date Debits Year-to-Date Net Year-to -Date Dividends and Interest $102,611.72 10.00 1102,811.72 1433,450.45 10.00 1433,450.45 Distributions 10.00 $0.00 10.00 $2,000,000.00 10.00 12,000,000.00 Fees 10.00 -12.00 -12.00 $0.00 -152.00 -152.00 Money Market Funds $0.00 $0.00 $0.00 124.00 -380,408.52 .$80,384.52 Totals $102,611.72 -$2.00 $102,609.72 $2,433,474.45 -$80,460.52 $2,353,013.93 Pap5 of 9 Account Number: N4G-023 12 Rated taceiss Go paperless Lsrery V.A. Lau 2007 DrismAL VRAO ROLL 074070 RATED COMMUNICATIONS CST en rxesamier SDNY_GM_00046919 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 693(E)UTHERk DB-SDNY-0009743 EFTA 00157525 EFTA01289891  Transactions by Type of Activity Process/ Trader Settlement Transaction Date Date Activity Type Desaiption Quantity Price Accrued Interest Amount Currency Dividends and Interest 12/22/15 12120115 FOREIGN BOND INTEREST 2000000.00 SHARES NATIONWIDE BUILDING SOCIETY EURO 68.760 00 GBP 663980UK3 ISSUE CONY GBP ISM/ XS1043181269 6.875% 09120188 102.363 64 USO REG DID 03111114 CLB FOREIGN BOND INTEREST RD 121815 PD 122015 AS OF 12/18115 12/31/15 MONEY MARKET FUND DEUTSCHE GO VT CASH 228.08 USD INCOME RECEIVED 233993682 Total Dividends and Interest BRITISH POUND 0.00 68,760.00 GBP TOTAL USD EQUIVALENT 0.00 102.38364 USO UNITED STATES DOLLAR 0.00 228.08 USD Fees 12101115 FORBGN CUSTODY FEE Fgn Safekeeping NOV 2015 CUSP G639804, K.3 .2.00 USD G6381011K3 Total Fees • UNITED STATES DOLLAR 0.00 .2.00 Total Accrued Interest Total Amount Transaction Summary Total Accrued Named Total Mount Currency USD Equivalent USD Equivalent BRITISH POUND 000 68 760 00 GBP 000 102.383 64 UNITED STATES DOLLAR 0 00 226 08 USO 000 226 08 The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10151.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Secedes: FIRST IN FIRST OUT Bond Amortization Elections: Amortize pram ium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Faye 6 of 9 Account Number. N4G-023 12 Rasa Rao-SYS UBAJ ROLL Go paperless L win Veer Some 2'007 SOUTHERN OSTON DAL BAR RATED COMMUNICATIONS exammer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DrNT1AL SDNY_GM_00046920 DB-SDNY-0009744 EFTA_00157529 EFTA01289892  Deutsche Asset & Wealth Management Device e x... won,. MW•leS Ww' ,•0.p De.tic he Nom qr. istli 0110, PO, Bat 1770, Balamore, MD 21203 Pant Annw. Ittit kw Statement Period: 1210112015 - 12/31/2015 Your Account Information (continued) I Electronic Delivery You have not selected any account corn m unications 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 shod 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. THE AS OF PRICE DATE ONLY APPEARS W-IEN 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 any time, and may be affected by current and future economic, political, and business condtions, 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 wmv.pershing.com/busiiess_continuity.html for specific details as to formulas used to calculate the bgures. Accrued interest represents interest eamed 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. Options 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 maintairing 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. 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 light 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 automaticaly 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, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distnbuting any information received from Standard & Poors is not penrtted without prior written authorization from Standard & Poor's. Standard & Pooes does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pooes is not responsige for any errors or Page 7 of 9 Account Number: N46423812 Rai tscollerigi MOM, ROIL Go paperless Lnry Year Since 2CKL7 DAUM. RATED COMMUNICATIONS SOL THEM Ostyr 414, ) rxerturraer CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) FIDAL1SITIAL SDNY_GM_00046921 OB-SDNY-0009745 EFrA_00157530 EFTA01289893  Important Information and Disclosures (continued) Ratings (continued) omissions. regardless of the cause. cr for the results of using such content. 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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 kinds and securities you may deposit with it directly or through your financial institution or that it receives as the result 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 mil 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 eneral 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 AI 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. 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