EFTA01291697.pdf

Deutsche Asset & Wealth Management Gnaw e Banc Ponie Wall" Maarnmi Pewees CoV•00.4,1,P CestsOw Ye* Moo Now Wart Mar P.O. Box 1776, Baltimore, MD 21203 345 Par% MY ,]MB liter lieslat. PM 10114 0 0 ) 451-7101. n•-•091. Account Number: Statement Period:12/01/2015 - 12/31/2015 Portfolio at a Glance Ibis Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 111,775,501.12 9233,030.73 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73 ST THOMAS VI 00802 het Securities InlOut of Account 0.00 5,867,790.80 Adjusted Previous Account Value 1,715,501.12 8,20,035.25 Dividends. Interest and Other Income 59 42 60.410.09 het Chan e in Portfolio •701812.80 .202 697 60 nclrnd Account Value SS 073,747 74 58,073 747 71 Your Client Advisor: Estim ated Annual Income $112,357.29 DANIEL SAW Asset Allocation Prior Year-End Last Period This Period % Allocation LSD Cash. Money Funds and Bank Deposts1 233.030.72 2.408.595.12 2,408,654.54 29.83% Please rev eo yea allxa:ter LSD Equities 0.00 8.366,906 00 5,665,09320 70.17% per05ca y w tr ye.r C ter: Advisor Amount Total (Pie Chart) 1233,030.12 98,775,501.13 98,073,717.71 100.00% I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured back deposits are not setuates and are not covered by the Seountres Investor Protection Corporation (SIPC). These bank deposes are covered trr the Federal Depose Insurance Corporation (FDIC), up to allowable limbs. Pagri of9 ,npaperiess/AL ONIFIDGO Rated (..illont 1)0A0 ,ROLL c B0097909C5F30024 csr 'ant* 2007 0^10/ka RAW:. COMMUNICATIONS )0:71 /NCI ...- SDNY_GM_00049602 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012426 EFTA_00I 602 I I EFTA01291697  Summary of Gains and Losses Realized This Period Year-tmDate Unrealized long-Term Gain/Loss 0 00 COO 666 782 11 Net Galnlioss 0.00 0.00 666,782.11 This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Adivit pt Demi• Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46028161 Activity Ending: 12131/15 12/01115 Opening Balance 2,408,595.12 2,408,595.12 12/15115 Delimit INTEREST CREDITED 59.42 2,408,854.54 AN 0.03% 12116115 BUT 2808,854.54 NO 12116 $198137.09 Citibank N.A. NO 12116 $231500.00 Compass Bank NO 12116 $237500.00 Deutsche Bank NI Co NO 12/16 $237500.00 East West Bank NO 12116 $237500.00 FSB of Tennessee NO 12116 $231500.00 Huntington National B NO 12/16 $73017.45 RBS Citizens PA NO 12116 $237500.00 Texas Capital Bank NO 12116 $237500.00 TriState Capital Bank NO 12116 $231500.00 Um aqua Bank NO 12116 $237500.00 12131115 Closing Balance $2,408864.64 Total FDIC Insured Bank Deposits 12,408,664.54 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. Page 2 of 9 Account A umber: N4G-026161 Rated Euel4nt 1>itAlt ,,;,,I Aso paperless 7"." 7 "' 2°° 7 114.13AR RATED COMUNICATIOh1S M a rlamaidastreiti Lit e des84.111•EVII04, F IDAENTIAL ..CE, SDNY_GM_00049603 6: IF ERN CO CONFIDENTIAL —PURSUANT TO FED. R. GRIM. P. 67 DB-SDNY-0012427 EFTA 001602 I 2 EFTA01291698  Deutsche Asset & Wealth Management Gnaw e Sam 1.•••• Wok,. P•s•••entm Wises Corei4eComP Cesisch• Ma N0.•••• Mrs bet ON,* PO. Box 1776, Baltimore, MD 21203 .145Poli Mae, 111h I ter 11.v. week PM 10154 4142talt1S121•409S Statement Period: 1210112015 • 12/3112115 Income and Expense Summary Current Period Year-to-Dale Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 59.998.00 0.00 Interest Income FDIC Insured Bank Deposits 59.42 0.00 411.69 0.00 Total Dividends, nterest, Income and Expenses 559.42 10.00 160,410.09 $0.00 Portfolio Holdings Account Activity Opening Ocala Heaved Income 30-Day Current Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 30.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 12101115 2.408.854.540 N40028181 12131115 2.408.595.12 2.408.654.54 37.61 411.69 N/A NIA Total FDIC Insured Bank Deposits 12,408,595.12 12,408,554.54 $37.61 1411.89 Total Cash, Money Funds, and Bank Deposits $2,408,595.12 $2,408,654.54 337.61 1411.69 Unrealized Estimated Intimated Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gain( Loss Mutual Income Yield Equities 70.00% of Portfolio Common Stocks APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSP 037833100 10128113 3 14.000.000 75.5800 958.120.50 105.2600 1,473,640.02 415,519.52 29.120.00 1.97% 0910511/ 3 7,200 000 98.9500 712,440.29 105.2600 757,871.98 45,431.69 14,976.00 1.97% 09/05114 3 32.820.000 98.9500 3,227,750.30 105.2600 3,433,581.20 205.830.00 67,849.60 1.97% Total Covered 53,620.000 1,098,311.09 5,665,093.20 666,782.11 111,945.60 Total 53,820.000 $4,998,311.09 95,665,093.20 1668,782.11 5111,945.60 Total Common Stocks 14,995,311.09 95,665,093.20 1566382.11 5111,945.60 Total Equities $4,998,311.09 $5,685,093.20 6668,782.11 5111,94510 Page 3 of 9 D97909CSF3C t ()OA° IK>t Account Number. N404326161 Go paperless rt,Itznal • 2007 0AlliAn RAUL, COMMUNICATIONS -,- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 670‘"ERN F ID^ENTIAr 1)0:2110NOI SDNY_GM_00049604 DB-SDNY-0012428 EFTA 00160213 EFTA01291699  Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Valve Gain! Loss Interest Annual Income Total Portfolio Holdings $1,006,965.63 $8,073,747.74 6666,781.11 $0.00 $112,357.29 Footnotes Securities acquired before 2011 or in retirement accounts are 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 P1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered lioncovered," 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-rehrement, US taxpayers securities which have been acquired on or after their "applicable dates)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally wit be phased in over a three-year period, as follows: • Stock II a corporation acquired on or after January 1, 2911 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/rynwr.dws-investments.coriVENfproducts/money-market-funds-yieks.jsp Please note that all money market funds fisted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement 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 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 produces disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2015 IRS Forms 1099 (B, DIV, INT, 010 and MSC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice MI 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 Mardi 17, 2016. Page 4 of 9 Account Number. N40.026161 Rated luellent MOAB ROLL Go paperless Ls,* Vas Slows 2007 rOxcr AlOitnier AR RATED COMMUNICATIONS :tan etsetratir O•gets.. esso•La air few.* Prow " ...,- SOUTHERN CP Lt. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) F IDAERTIAL SDNY_GM_00049605 DB-SDNY-0012429 EFTA_GOI 602 I 4 EFTA01291700  Deutsche Asset & Wealth Management DralsOe Sam Pootle wean Ma.zigentvd minim Iv., , G.O.P Cevische Sank Senn, vt *vs bet ORor PO. Boa 1776. Balbmoro. MD 21203 .115 Pan .,,Sp. 20th lbw' Mew %A PIT 10VA OtH CA.2184. MSS, 211.4M4 Statement Period:121011915 - 1213112115 Activity Summary /an amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year•to•Clate Debits Year-to.Date Net Year•to•Date Secunues Securities Depos,tel 0.00 0.00 0.00 3.383.998.80 0.00 3.383,99840 Total Securities $0.00 $0.00 $0.00 $3,383,990.50 $0.00 $3,383,998.80 Dividends and Interest $59.42 $0.00 $59.42 $60,410.09 $0.00 $10,410.09 Cash Deposts 0.00 0.00 0.00 2,115,21313 0.00 2,115,213/3 Total Cash $0.00 $0.00 $0.00 $2,115,213.73 $0.00 $2,111213.73 FDIC Insured Bank Deposits $0.00 -$59.42 •$59.42 $0.00 42,175,82312 42,17512182 Totals $59.42 459.42 $0.00 55,559,622.62 42,175,82312 $3,383,99180 Transactions by Type of Activity Process/ Settler eat Date ActWT tir Desc ti e Acaved inters Amount Onest Dividends and Interest 12/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 59.42 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest- UNITED STATES DOLLAR 0.00 69.42 FDIC Insured Bank Deposits 12/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -59.42 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 49.42 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 5 o19 MIA0 ROll SO UTF ERN CZ"KIFID"...„,. Account Number. N40426161 GO PaPerless t r Jiirunti;c2°°7 IOU 1Oh6 et a ntrZa tas wet Isal..114 amt. FS . c a t...... . ....v..... Wilt =Pc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AENTIAL f XCII I MCI SDW_GA4_00049606 DB-SDNY-0012430 EFTA_00160215 EFTA01291701  Client Service Information Your Client Advisor: DAN DANIEL SABRA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all OtheiSecurilies FIRST IN FIRST OUT Bond Amortization Elections: Am 0320 premium 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 Electronic Delivery You have not selected any account coin n unications for electronic delivery To register and turn off paper comm unications, log in to your account or contact 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 close of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Marital 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 "NM' arid are omitted from the Total. THE AS OF 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 are not considered to be a forecast or guarantee of future resuks. These figures are computed using intonation from providers believed to be rekable; 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, arid prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to VNAY.pershing.conbusiness_tontinuilyhtml 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 wig 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 Now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this information is evadable 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. 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 Page 6 of 9 B0097909CSF300 4 DBAB.1.OO. criNFI Account Number. N4O126161 GO paperless * R---y i-OnSout l" d•ft—'1RM:. 5.- - "t•COMMUNICATIONS 2007 :ran enZtana ttcle t '" eon MEV Ida* DancTIAL ......•••La ••••••• now •••••• •••c SOUTHERN En/ail/No , SDNY_GM_00049607 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012431 EFTA_OO16O216 EFTA01291702  Deutsche Asset & Wealth Management Orals° e Rana Pr.le wean TAAtenme weans ConranDAR PAIRSIN TATA,. RA Ma RAT Mar P.O.Box 1776, Balbmora, TAD 21203 345 PMAsst. l•thilkst lees Wet PM 10114 1/01447/114. MSS) 211409S Statement Period: 1210112016 - 12/31(2015 Important Information and Disclosures (continued) Foreign Currency Transactions (continued) 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 a investigation 0) orders for the purchase and sale of securities and other property and In 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 controling 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 are 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 ciders; the assessment of the suitability 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 limits. For more detailed information please visit: wnw.pershing.corniabout/strength-and-stability. • 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, including your rights under the Securities Investor Protection Act • 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 sue each other in court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abikty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitr