EFTA01291885.pdf

Deutsche Asset & Wealth Management Davis( , e Ran. PinwaleW.11m maagental mantis I WPM* Comp (*.nit* Oa Setwari k. Mr. Vert Mar PO. Box 1776, Balemoro, MD 21203 11,Psti Ass. 30thIlya Y Account Number: Statement Period: 0210112016 -12129I2118 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $7,647,680.67 68,073,747.74 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -2,408,751.59 -2,408,751.59 ST THOMAS VI 00802 het Securities IniOut of Account -5,185,557.00 -5,185,557.00 Adjusted Previous Account Value 53,252.08 479,439.16 Dividends, Interest and Other Income 29.72 97.05 Net Chan ie in Portfolio •53.281.80 479 538.20 zridirg Account Value SC GO S Your Client Advisor: Estim Wed Annual Income 697.05 DANIEL SAW Asset Allocation Prior Yesrad Last Period This Period % Allocation LSD Cash. Money Funds and Bank Deposits' 2,408,854.51 2,408.721 87 0.00 0.00% Please review your allocation cencocaily will your Client Advisor LSD Equities 5.665.093.20 5.238.838 80 0.00 0.00% Account Total $8,073,747.74 67,647,560.87 $0.00 0.00% I The Bank Deposes in your account are FDIC insured bank deposits. FDIC insured bar* deposits are net secuntes and are not covered by me Securities Investor Protect on Corporation (SIPC). These bank deposts are covered by the Federal Depose Inmate Corporabon (FDIC). up to allowable limits. Page 1 of 8 Riled excollent OSA° ROll A0100546CSF1001, Go paperless t 2007 rw eta=si tittemeen 111011VINAm. OALSAR RATED COMMUNICATIOhtS CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) CONFIDrwrIAL SDNY_GM_00049790 DB-SDNY-0012614 EFTA_00160399 EFTA01291885  For Your Information The European Central Bank (the 'ECEI') 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 veil be reported on your Forms 1099 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 Adivity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number k1G026161 Activity Ending: 02/21/16 01130116 Opening Balance 2,408,721.87 2.108.721.87 02703/16 Withdrawal WITHDRAWAL -2,108.751.59 -29.72 02)03/16 DepoSl INTEREST POSTED 29.72 0.00 02129/18 Closing Balance $0.00 Total FDIC Insured Bank Deposits $0.00 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 CO trent Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 29.72 0.00 97 05 000 Total Dividends, Interest, Income and Expenses 129.72 $0.00 $97.05 $0.00 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 0.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPORTS PROGRAM 2,108,721.87 0.00 0.00 97.05 N/A Total FDIC insured Bank Deposits 12,108,721.87 $0.00 $0.00 $97.05 Total Cash, Money Funds, and Bank Deposits $2,108,721.87 10.00 $0.00 $97.05 Page 2 018 Account Kum berms Riled Emollent •as=r4:..=...1=irts: 1,11A it ROL, Go paperless tray VAN Sloss 2007 OAUMR MUD COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. : THEW' FIDAr ranAL SONY_GM_00049791 DB-SDNY-0012615 EFTA_00I60400 EFTA01291886  Deutsche Asset & Wealth Management Pullet Um ;MuleWidth Ma.ziental Mayan CM. 6 ,C,P oftews see Set...W.1,X. Net %ft Me P.O.Elm 1776. Baltimore. MD 21203 MS Pia Ammo. Hallow' MOM Statement Period: 02/0112016 • 02/2912016 Portfolio Holdings (continued) Accrued Estimated Market Value Interest Annual Income Total Portfolio Holdings $0.00 O.00 $97.05 M essages 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 product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule l Ob-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Federal Deposit Insurance Corporation (FDIC) -Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DVVS money market kinds, please visit the DINS Investments website al https:/hwfw.dws•investments.corn/EN/productshnoney•market•hindslields.jsp Please note that all money market funds listed on the webske may not be offered through us. Customer Collateral Aoccunt Under Securities Account Control Agreement Activity Summary (At: amounts sham, are in base cunency) Credits This Period Debits This Period Net This Period Credits Year.to.Date Debits Year.to.Date Mel Year-to-Date Securities 0.00 •5.185.557.00 .5.185.551.00 0.00 4.185,557.00 -5.185,557.00 Total Securities $0.00 .S5,185,557.00 .85,185,557.00 80.00 -65,186,657.00 -66,186,667.00 Dividends and Interest $29.72 $0.00 $29.72 $97.05 $0.00 $97.05 Cash Withdrawals 0.00 .2,408,751.59 .2,108,751.59 0.00 -2.408.751.59 -2,408,751.59 Total Cask $0.00 42,401,761.59 42,408,751.59 80.00 -$2.408,751.59 -$2,408,751.59 FDIC Insured Bank Deposits $2,401,721.17 $0.00 62,401,721.87 $2,408,721.17 467.33 $2,408,654.51 Totals $2,108,751.69 47,694,308.69 46,185,567.00 62,408,818.92 47,591,376.92 .16,186,667.00 Page 3 o16 Account hum ber Rated excellent Minn Hatt Go paryerless t 'ea r ,anc• 2007 OMSAR RATED COMMUNICATIONS M a t me etNeetrahr• .C.Z•e 4." Sin NS S0UTF ERN at , I.LC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF IDAENTIAL SDNY_GM_00049792 DB-SDNY-0012616 EFTA_00160401 EFTA01291887  Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quell Prim Atrzued Interest MINIM Curren Securities Withdrawals and Deposits 02103116 CUSTOMER AUTFORIZED APPLE INC COM TRANS TO NIG-023804 13.820 000 1.185,557.00 USD TRANSFER AAPL Total Securities Withdrawals and Deposits • U.S. DOLLARS 0.00 .5,186,557.00 Dividends and Interest 02/03116 FDIC INSURED BANK INSt RED DEPOSITS INTEREST CREDITED INCOME 29.72 USD DEPOSITSINTEREST REDEEMED RECEIVED 458997996 Total Dividends and interest • U.S. DOLLARS 0.00 29.72 Cash Withdrawals and Deposits 02/03/16 CUSTOMER kW 0 RIZED TRANS TO N4G-023804 .2.401751.59 USD TRANSFER USD999997 Total Cash Withdrawals and Deposits • U.S. DOLLARS 0.00 .2,408,75119 FDIC Insured Bank Deposits 02/03/I6 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEMED 2,401,72117 USD WITHDRAWAL USD999997 Total FDIC Insured Bank Deposits • U.S. DOLLARS 0.00 2,408,72117 Total Value of Transactions o.00 1,115,557.00 USD The mice and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 26TH FLOOR NEW YORK NY 10154-0003 Page 4 ol6 Account Number Rated lbocvliont ora.......-traZtLT." weva...., '100i4GCSF31' OSA° ROIL Go paperless V..' S.." 2007 OALOAR RATCD COMMUNICATIOhtS ..,- SOUTF ERN LLC. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) NF IDAERTIAL EXCYI INCI SDNY_GM_00049793 DB-SDNY-0012617 EFTA_OOI 60402 EFTA01291888  Deutsche Asset & Wealth Management Orals' c San. Ponievftan Ma•etenddi htitatt CeretdeC0C,P • Ma Ilank Senn, Ht. Mrs bet Once PO. Boa 1776, Baltimore, MD 21203 315 Pot /week ltd. Hew Mew vett nr 10114 Statement Period: 02/01/2016 - 02/29/2016 Your Account Information Tax Lot Default Disposition M ethod Default Method for Mutual Funds: FIRST lh FIRST OUT Default Method for Stocks in a Dividend Reinvestm eat Man: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Amortize 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: ho Electronic Delivery You hare not selected any account comm umcations 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 bases, 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 evadable are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual Iquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account$). Prices for marketable securities are received from various pricing services thought to be reliable: however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the pace provider, the updated pace wit be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be rehable. For certain securities, including thinly-traded securities, debt securities in default securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing wit be Isted. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price wit purge and WA will be placed in the price field in the statement. The pricing of listed options takes into account the last dosing price, as well as the current bid and offer prices. 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 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 retied on for making kivestment 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 wriw.pershing.com/business_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 smaler number of shares entitled to vote than the number of shares in your margin account Page 5 of 6 I nu% CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) nott Account Number SOW+ ERN CONF I DrvriAL_ 4 Go paperless Riled Excellent =A V; RA # TEC7C20° :imutiicanohe EXCIIIENa SDNY_GM_00049794 DB-SDNY-0012616 EFTA_00160403 EFTA01291889  Important Information and Disclosures (continued) 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 (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerting 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 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 (SIPC1. 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 knits, For more detailed information please visit vowdpershing.com/aboutrstrength-and-stabiMy. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includitg unauthorized trading) promptly, but no later than ten days alter receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed 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 Ned. • Arbitration awards are generaty final and binding; a party's ability 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 arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a wordy of arbdrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be Nought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page 6 of 6 solITI-cheiKi Account hum her ERN risii , TriejsAs L, rOxaAXlri:l Riled Cm.ollent t very Ym• Mm• 2007 IMUD COMMUNICATIONS M a ras ONeetal=0•Tmem MEV SM. Immeu0 memo MaN. Wm ti c CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) F IDcs? SDNY_GM_00049795 DB-SDNY-0012619 EFTA_00160404 EFTA01291890  Deutsche Asset & Wealth Management Draisre Banc Prmaie Wealth Maar,. harem Gwent* GtO.I. Dtetscht BM Settanci Ht. Mew Vert lq PO. Boa 1776, Baltimore, MD 21203 nifi Agee. l•thMir Account Number: Statement Period: 0 1:01:2016 - 01)31;2016 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $8.073.747.71 $8,073,717.74 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 8,073,747.71 8,073,747.71 ST THOMAS VI 00802 Dividends. Interest and Other Income 67 33 57 33 Net Chan •e in Portfolio -126.251.10 426 2E4 ncling Account Value $7 647 560 67 $7,647,560.67 Estimated Annual Income 1112.012 93 Your Client Advisor: DANIEL SAM Asset Allocation Prior Year-ES Last Period This Period % Alloation LSO Cash Money Funds and Bank Deposits' 2.408.654.54 2 408.654 54 2.408.721 87 3150% a Please renew your aliccation LSO Equities 5.665.093 20 5..665.093 20 5 238.838 80 68 50% proctor)/ wan your Cant Advisor. Account Total (Pie Chart) 58,073,717.74 18,0 73,747.71 $7,647,560.67 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposts are not secunt es and are not covered by the Secuntes Investor Protection Corporator (SIPC). These bank deposts are covered by the Federal Depose Instance Corporation (FDIC). up to alOwabie (inside Rated excellent A009521 =30010 GO paper tess tray Year lance 2007 OALIMA RATED COMMUNICATIO116 Mrialsaetweer.7101 teteea. See. SDNY_GM_00049796 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012620 EF1'A_OO16O4O5 EFTA01291891  Summary of Gains and Losses Realized ills Period Year-to-Date Unrealized long-Term Gain/loss 0 00 0.00 240.527.71 Net Galn/Loss 0.00 0.00 240,527.71 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 wit be reported on your Forms 1099 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 Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 Activity Ending: 01129116 01/01/16 Opening Balance 2,406,654.54 2,408,854.54 01/15/16 Deposit INTEREST CREDITED 67.33 2,408,721.87 APT 0.03% 01/19/16 Associated Bank NA 2,408,721.87 NO 01/19 S237500.00 Androscoggin Bank