EFTA01291389.pdf

Deutsche Asset & Wealth Management Dralsre Banc Prmale Wall" Maatenmil hlaealsCOnfaleG.MP CeettOw IS* SeCteen New1M Orloo PO. Box 1776, Balbmoro, MD 21203 341Par% MY, 26th I by lieslat. PM 10111 inneA -MOL WM M4091. Account Number: Statement Period: 12/01/2014 - 12/3112014 Valuation at a Glance This Period Year-to-Dale JEFFREY EPSTEIN Beginning Account Value 6667,111.04 $0.00 6100 RED HOOK QTRS STE B- 3 ket Cash Deposits and Withdrawals 000 667 055 45 ST THOMAS VI 00802- 1348 Adjusted Previous Account Value 667,111.01 667,056.15 Dividends. Interest and Other Income 530 60 89 ncl ing Account Value $667.116.34 $667.116.34 Estimated Annual Income 560 89 Your Client Advisor: DANIEL SAW Asset Allocation Prior Year•Ead Last Period This Period % Alloation I., SO Cash. Money Funds, and Bank Decimate 0.00 667.111.04 667.116.34 100.00% Please review your allocation Account Total $0.00 5657,111.04 $651,11534 100.00% YouA=0W is 100% Divested in USD Casn, Money Funds. and Bank Deposits. I The Sank Deposes In your account are FCC insured bank deposes. FDIC insured bank deposits are not secunt es and are not covered by the Sectreies Invests Protection Corporation (SIPC). These bank defrosts are covered by the Federal Depose Inuance Corporation (FDIC). up to allowable limits. Page 1 of9 Riled IL...Hat L>KAO Roll B0100500CSF10023 CfO paperless on twey TED• c20m Yeam• 5.1•K eAn 00744uNicAnows MTh= avow.lotre Orsaeon "" u4 avow •••••in Mat =PC illoit*Sa f)terl CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL SDNY_Cat000491313 DIEt-SDNY-0011960 EF1'A_00159745 EFTA01291389  For Your Information On June 5. 2014, the European Central Bank (the 'ECF3') introduced 'negative interest rates'. This negative interest rate applied to an deposits held at the ECB 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. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber Activity Ending 12/31/14 11)29/14 Opening Balance 667,111 04 667,111 04 12/15/14 Deposit INTEREST CREDITED 5.30 667,116.34 APT 0.01% 12/16114 8B8T 667.116 34 NO 12/16 5237500.00 Deutsche Bank Trst Co NO 12116 5237500.00 NYCommunity Bank N0 12116 $192116.34 12131114 Closing Balance $667,116.34 Total FDIC Insured Bank Deposits $667,116.34 The FDIC Insured Bank Deposits are not 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 $250,000 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 Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 5 30 000 60.89 0.00 Total Dividends, Interest, Income and Expenses $5.30 $0.00 TOM $0.00 Page 2 of 9 Account Number Rated Excellent OilA14 ROL Go paperless /very Yoe, since 2007 OA/ean D COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67er TONFIDENTIAL rxer""'" SDNY_GM_00049137 DB-SDNY-0011961 EFTA_00159746 EFTA01291390  Deutsche Asset & Wealth Management Gnaw, e ion. Prmaie Wn10 Maatenmi Ma's CoremeCoMP Devisthe Sank S((t *We bet OR,. P.O.Boa 1776, Baltimore, MD 21203 Hann ed•Inver. !falter Ion, vest. nr 10IW In CA.7184. IISS1214409S Statement Period: 12/0112014 - 12/31/2014 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 667,116.310 667.111.01 667.116.31 3.12 60.89 N/A Total FDIC Insured Bank Deposits 3647,111.01 3667,116.31 33.12 360.89 Total Cash, Money Funds, and Bank Deposits 3667,111.01 3667,116.31 33.12 360.89 Accrued Estimated Market Valve Interest Annual Income Total Portfolio Holdings 3667,116.31 30.00 $60.89 M essa a es Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Secunties Investor Protection Corporation1SIPC). For disclosure of rates for DWS money market hinds, please visit the DINS Investments website at https:/Nrivw.dws-investments.corNEN/products/moneyrnarket-funds-yields.jsp. Please note that all money market hinds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hand. 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 products disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (a DIV, INT. O/D and 411SC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form ors 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 will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.canibusiness_coctinuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial. computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because OTC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. Page 3 of 9 Account Number a DIAL listed Cncellent 11µA14 Go paperless vay xerst i vint re 2007 Otrlaill••••=riktr COOPPLIM " I Th ilertfillikli0 OW*, ILA aWiel /MA NOW !WC CD COMMUNICATIONS SDNY_GM_00049138 CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. Z EUPSC ONFI DB-SDNY-0011962 EFTA_00159747 EFTA01291391  M essa es (continued) When Pershing is notified that it received an alocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities n the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the clients name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caled security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Client Account Par Value Number of Trading Units ABC-123234 5100.000 4 DEF-325465 575,000 EDR-567433 5150.000 EGT-876574 550,000 EGT-888345 $25,000 FRT-435234 525,000 FRT-658797 $75.080 3 U In brief, the allocation process involves the following steps: The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g.. account EDR-567433 would be assigned six numbers). • A random number is generated that oil result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the alocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information ' The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a ful or partial redemption of shares held. Conversely. it is also possible that a client may not have any securities selected for redemption at all. 'When a partial call is deemed favorable to the holders of the caled security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carves and clears those accounts). No allocation will be made to these proprietary and employee accounts until Page4 of 9 Account Number _au k Rated exclillent Go paperless tray Year WK.. 2007 rriSterm=litters.L"""...= _yr MegNiticocommuttioknons DKAO ROIL SDNY_GIN 00049139 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:7 "S CONFID ArTni AL DEI-SDNY-0011963 EFTA_00159748 EFTA01291392  Deutsche Asset & Wealth Management Draisot Banc .,,tile Rea* Pt vegatentel I Natal, Connate E, Isp Paste W Mclean ,a. Nee Wadi Cad P.O.Box 1776, Baltimore, MD 21203 MFRS MY, ]NB Hew Reslat. PM 10144 1/10451-1116.117161716-400 Statement Period: 1210112114 - 1213112111 M essages (continued) all other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market price as captured in Pershingtis price reporting system, Pershing will generally categorize the partial cal as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Pershing's price repotting system. Pershing will generally categorize that call as one that is unfavorable to holders of the security. ' Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. fiChents also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. u Activity Sum m ary (All amounts shown ere on base currency) Credits This Period Year.M.Date Debits Ibis Period Yearsto•Date Dividends and Interest $5.30 $60.89 DIvidendsand Interest $0.00 $0.00 Cash Cash Deposits 000 667 055 45 Deposits 0.00 0.00 Total Cash $0.00 $667,055.45 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -55.30 -5667,116.31 Total Credits $5.30 $667,116.34 Total Debits -$5.30 -$667,115.34 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiption Quantity Price Panted litres! Amami Cirrenq Dividends and Interest 12115/1/ FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 5.30 US0 DEPOSITSINTEREST Total Dividends and Interest - UNITED STATES DOLLAR 0.00 5.30 Page of 9 Account Number: Rated Excellent 1>NAll .1( )l I Go paperless Every Yeas Since 2007 DAUM* RATED COMMUNICATIONS et a riels• et werCalsitit raeareteen Powwow> awe. red* Prow ea,' . IOW tesalmi EXCEIIENtrf SDNY_GM_00040140 HEREUPS C ONFI DriSITIAEt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011964 EFTA_00159749 EFTA01291393  Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaiptioa Quantity Price Accrued Interest Amount Currency FDIC Inwred Bank Deposits 12115114 FDIC INSURED BANK INSLREDDEPOSITSINTERESTREINVESTED •5.30 LSD NVi p DEPOSITS INTEREST Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 4.30 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have teen rourded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 26Th FLOOR NEW VOW AY 10151 Your Account Information Investment Objective Investment Objective: GROWTF Investment Objective: INCOME Risk Exposure: NONE SPECIFIED Please review your investment objective. It you wish to make a change or have any questions please contact your Client Advisor. Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortisation BectIOnS: Treat all interest as original issue discount (DID): No Am mkt premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unicalions for electronic delivery. To register and turn off paper corn m unications, log in to your account or canted your Client Advisor for m ore 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 short positions. at the dose 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 ?Mich a price is Page 6 of 9 Account Number Rated excellent DOAK ROLL GO paperless I s Litit.•?Terr; COMMUNICATIONS :taw ONZtalsl i t rearlin " Slott MS* TONFIDAENTIAL 2007 Xeril INC/ SDW_GM_00049141 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 e)FREY DB-SDNY-0011965 EFTA_(()159750 EFTA01291394  Deutsche Asset & Wealth Management Gnaw ie Sam PF.IC Wea*P. Ma.zgenan Wrests town* G,C,P CestsOw Is* Moon. ,•[. Nar* Mar PO. Box 1776, Balbmoro, MD 21203 HI floass.1•Oultcr Persia( PM 10114 0 0) 451-7101. nn Wt Statement Period: 1210112114 - 1213112114 Important Inform ation and Disclosures (continued) Pricing (conMued) rot available are marked "N/A' and are omitted from the Total. THE AS CF PRICE DATE ONLY APPEARS WHEN 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 ate 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 WAY.pershing.comlbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. 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. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars 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. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) orders for the purchase and sale of securities and other property and (a) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. 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 funds 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 own 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 suitabiity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, 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 at (201)413.3333. All 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. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation In addition to SIPC protection, Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit iwm.pershing.corn/strength_stability.Mml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, raiding your rights under the Securities Investor Protection Act. Paget of 9 Account Num tier Raged tray, Hoot ...., Go paperless v.. Unto 2007 PAMPA RAT(0 COMMUNICATIOhtS :tan ...."• etwerCaat 414 ................ a t r...... -- . 0C I'Mt71IINCJI SDNY_GM_00049142 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6:F eF: EY EPSC 0 N F I D an cTIA L. DB-SDNY-0011966 EFTA_0015975 I EFTA01291395  Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to