EFTA01290105.pdf

15I Deutsche Bank uteche Bank Securities inc Baltimore, MD 212O3 M arch 1,2019 - M a 31 2019 Account Number: SOUTHERN TRUST COMPANY INC ST THOM ASVI 00802 Portfolio at a Glance ThisPerIod Year-lo-Dale Your Investment Specialist. BEGINNINGACCOUNT VALUE $0.00 $5,205,298.67 Alta. Net Cash Deposits and Withdrawals 459.18 4,290,057.99 Adjusted Previous Account Value 450.18 44,759.32 Dividends. Interest and Other Income 850.18 36,016.51 Net Change in Portfolio' 0.00 48342.15 tf4DINGACCOUNT VAWn $0.01n $0110 Estimated Annual Income 53.491 43 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Ansel Type Prior Year-End Last Period llds Period 0% Cash, Money Funds, and Bank Deposits 4,392,828.67 0.00 0.00 0% Fixed Income 812,470.00 0.00 0.00 0% Account Total $5,205,298.67 $0.00 $0.00 Please review your allocation periodically with your Investment Specialist Summary of Gains and Losses Raked ThisPerkd Year4mDde traresized Long-Term Gain! Loss 0.00 -161.230.36 0.00 Net Gain! Loss 0.00 -161,230.36 0.00 This summary excludes transactions where cost basis information is not available. Page 1 of 7 Rated Emarnt Owing enoYD. ',entity PIC a Sally owned Every Vex Sae. 2007 subsidiary aT e Bonita New York Mellon OMAR RATED COMMUNCATIONS CS (MY Melon) EXCUIUKt Penme. LIX arta MiFlatikiterAt 00041348 CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0010172 EFTA_OO157957 EFTA01290105  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 1099 and/ or 142 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. 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 1099 and/ or 142 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. Money Market Fund Detail Date Activity Type Deseription Amount Biwa Sweep Money Market Fund CASH AC TRDWSGOVT & AG INSTL Current Yield: 2.29% Activity Ending: 05/13/19 05101/19 Opening Balance 0.00 0.00 05/13/19 Deposit MONEY FUND PURCHASE 650.14 650.14 05/14/19 Withdrawal MONEY FUND REDEMPTION 150.14 0.00 05/14/19 Withdrawal SHARES REDEEM ED 41.04 .0.04 05/14/19 Deposit ACCRUED DIVIDEND CREDIT 0.04 0.00 05113/19 Closing Balance 50.00 Total All Money Market Funds 50.00 Income and Expense Summary Current Period Year-to-Csale Trade Non Toll* Retitle Non Taxable Dividend Income Money Market 0.04 0.00 3,491.43 0.00 Interest Income Bond Interest 650.14 0.00 32 52514 0.00 Total Dividends, Interest, Income and Expenses 5650.18 50.00 $36,018.57 50.00 Page 2 of 7 Account Number. Med Cacellent Owing Sough penting ac a wally owned A: crt c:a) Every Year Shwa 2007 subsidiary e4 The brat a New York Mellon DALIAlt RAIID COMMUNICATIONS CAS (OW Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. EXCLUDICE LIX.rnerrter FIllaktiaGM_ 00047349 DB-SDNY-0010173 EFTA_00157958 EFTA01290106  Deutsche Bank Baltimore, MD 21203 M arch 1,2019 - M ay 31,2019 SOUTHERN TRUST COMPANY INC Portfolio Holdings Opening posing Acauecl Income 30•Day Description Quantify Balance Balance Income Tittles Yield CASH. MONEY FUN DS.AND BANK DEPOSITS 0 00% of Portfolio Money Market CASH AC TR 911/SCTOVT & AG INSTL 0.00 0.00 0.00 3,491.43 2.31% Total Money Market $0.00 $0.00 $0.00 $3,491.43 TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS $0.00 $0.00 $0.00 $3,491.43 Aimed &imaled Mania Value Were* Annuallecome Total Portfolio Holdings $000 $0.00 $3,491.43 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. w hich 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 "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EA!) 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 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.com/ 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. Page 3 of 7 Amount Number Rateamant Mat dwout.Pelbeg LIC, a wholly armed At 0(1:3X:20 Every Vex dice 2007 va+:ifna The lock of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAIJAR MUD COMMUMCATIONS EXCOAD.Ct Conmeathm OINY Man) ElliRAg*IYULGMJ)0047350 DB-SDNY-0010174 EFTA_00I 57959 EFTA01290107  Portfolio Holdings Disciosures (contsnued) 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 w ill 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. 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1per 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 10 b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (to arn,un,s sno“n are .n case CreditsThis Perk4 Debits ThIsPerk4 Net TbisPeried CreelternMeate DetitsYeateci-Dete Net Year-le-Date Securities Securities Sold 0.00 6.00 0.00 861.21215 0.00 861.212.75 Total Securities $0.00 $0.00 $0.00 $861.212.75 $0.00 $861,212.75 Dividends and Interest $650.18 $0.00 $650.18 $36 016 57 $0.00 $36,016.57 Cash Withdrawals 0.00 450.18 450.18 0.00 4.290.057.99 -5 290 057 99 Total Cash $0.00 5650.18 4650.18 $0.00 45.290.057.99 45.290.057.99 Totals $650.18 4650.18 $0.00 $891229.32 45,290,057.99 44,392,828.67 Page 4 of - Account Number Medhallent OwingIMO. Pegging LIC. a.lgpy owned A/CM:Mt:20 Every Yew Shwa 2007 subsidiary*.Ille &onkel New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DRUMItAlID COMMLINICATICNS EXCIMENCC CAMmatim (MY Mellon) Penan LIX. note,F liRA.4041 DEt-SDNY-0010175 00047$51 EFTA_00I57960 EFTA01290108  Deutsche Bank Baltimore, MD 21203 March 1, 2019 - May 31, 2019 SOUTHERN TRUST COMPANY INC Transactions by Type of Activity Process Settlement Date Ai:flyby Type Description OuentIty Price Accrued Interest Amount Currency Dividends and Interest 05/10119 FOREIGN BOND INTRUST ROYAL BK SCOTLAND GROUP PLC ADR SERU REPSTG PREP U 4,000,000.000 650.14 UST) 780097AUS SITS 7 640% 1310 4/88 BIE RD 06/28 PD 06129113 RATE ADS 05114119 MONEY MARKET WND CASH AC TR DWSGOVT d AGENCY INSIL INCOME REDEEM ED 044 US0 INCOME RECEWED PER232045 Total Dividends end Interest - U.S. DOLLARS 0.00 650.18 Cash Withdrawals and Deposits 05114119 FEDERAL FUNDS SENT PMORGAN CHASE BANK, 450.18 USD 993999997 Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 450.18 Total Value of Transactions 0.00 0.00 UST) The price and quantity displayed may have been rounded. Client Service Information Your Invetiment Specialist: ABR Contact Infoimition Telephone Number: NEW YORK NY 10154.0003 Your Account Informal' n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual 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 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: No Page 5 of 7 Assault Number Rated (scant Owing throughMetingLLC • Mealy owned EtfU li:25 [very Vex Sect 2007 subsidiary ollbe brad New York ~ha DALUR RAT ED COMIWAICATIONS CaPonth20 (IIMY MOM CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDg AL- ExCULENCt Penh... MC. imnter latagritePA DB-SDNY-0010176 00047352 EFTA_00157961 EFTA01290109  Your Account Information (continued) ELECTRONIC D ELIVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication • Slaternents and Reports O Trade Confirmations O Tax Comments O Notifications • Prospectus • Proxy/Sliareholder Communications You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences. Important Information and Disclosures 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 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 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) 113-3333. 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 (aPct. 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: www.pershing.comi about/ 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. • Yur fin ni l r nization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, Jersey City, New Jersey 07399; . 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 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. Page 6 of 7 Account Number Rated fire ant Owing throughholingIIC.• Sally owned A: crtat:::?3 Every Ye• Shwa 2007 subsidiary e4 TMBonita New York Mao OMANIRAIID CONVOCATIONS CoPoratim (MY Melba) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO AL- CO:WM( Penhal; MC. rrenkar m,Rng4;fCaCat00047353 DB-SDNY-0010177 EFTA_00157962 EFTA01290110  Deutsche Bank Baltimore, MD 21203 M arch 1,2019 - M ay 31,2019 SOUTHERN TRUST COM PA NY INC Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 minority of arbitratorswho 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 brought 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 LW 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 w ith 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, Jersey City, New Jersey 07399; Page.' of Account Number RaleamearM °wring Sae. Paging LIC, a Mlolly armed Every Vex Site1007 subekharft et The km of New York Mellon DAL/MtMUD COMMUNICATIONS Ceeponthm (111a Mellon) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L4- EXCIMENC( PerItre. . Ell4RA 1;:SYY42LCAl_0004 7354 DB-SDNY-0010178 EFTA_00157963 EFTA01290111  DeutwTheNn1P6saireittikMNI4e..... Deutsche Bank Malets“veratt Ow, Dretcheihodnewmeinc. Baltimore, MD 21203 ToU'rtie Cirtc: February 1,2019 - Februar 28 2019 Account Number: SOUTHERN TRUST COMPANY INC ST THOM ASVI 008 02 Portfolio at a Glance thisPerlod Yew-to-Ciete Your Investment Specialist BEGINNINGACCOUNT VALUE $1,297,789.90 $5,205,298.67 M ialid ln i AN Net Cash Deposits and Withdrawals 4,289,40711 4,289,407.81 Adjusted Previous Account Value 8,382.09 44,109.14 Dividends, lathiest and Other Income 405.16 35,366.39 Net Change in Portfolio' -8.787.25 48,742.75 hi t Ir i,S;t~UI III i_tl: $0.00 Estimated Annual Income 53.491 39 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Prom Type Prior Trim-Bid Last Period Tills Period 0% Cash, Money Funds, and Bank Deposits 4,392,828.67 127.769.90 0.00 0% Fixed Income 812,470.00 870.000.00 0.00 0% Account Total $5,205,298.67 $1.297.789.90 $0.00 Please review your allocation periodically with your Investment Specialist. Summary of Gains and Losses Rafted This Period Year4otinte Umeslized Long-Term Gain! Loss -161,230.36 -161.230.36 0.00 Net Gain/ Loss -161,230.36 -161,230.36 0.00 This summary excludes transactions where cost basis information is not available. Page 1 of 8 ANNAssalint Owing Swab holingLit.• Sally owned I . Every Vox Since 2007 subsItliNy e4 The Bonita New York WON DAIJAR MUD CONVOCATIONS CielnatiNI (MY NAN) Penn.'s U.C.myna,FilatagtreaGM_CICI047355 E UNFID P CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-OO1O179 EFTA_OO157964 EFTA01290112  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 1399 and/ or 1342 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. Money Market Fund Detail Date Adivity Type Desatlion Amount Blom Sweep Money Market Fund CASH AC TR DWSGOVT 8 AG INSTL Current Yield: 2.31% Activity Ending: 02/ 13119 02101/19 Opening Balance 427,789.90 427,789.90 02113/19 Deposit MONEY FUND PURCHASE 861,212.75 1,289,002.65 02/14/19 Withdrawal MONEY FUND REDEMPTION 4,289,002.65 0.00 02/14119 Withdrawal SHARES REDEEM ED 405.16 405.16 02/14/19 Deposit ACCRUED DIVIDEND CREDIT 405.16 0.00 02/13/19 Closing Balance $0.00 Total All Money Market Funds $0.00 Income and Expense Summary Current Period Yeer4o.Date Taxable Non Taut* Tootle Non Usable Dividend Income Money Market 405.16 0.00 3,491.39 0.00 Interest Income Bond Interest 0.00 0.00 31,87500 0.00 Total Dividends, Interest, Income and Expenses $405.18 50.00 535,388.39 50.00 Portfolio Holdings 0 Going Awned IMMO 30.0ay Description Duality Bins Bans Income This Yon Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio Money Market CASH AC TR DWS GOVT S AGPM 427,789.90 0.00 0.00 3,491.39 2.31% Total Money Market $427,789.90 $0.00 $0.00 $3,491.39 Page 2 of 8 Account Number Rattassant Owing tinge,. holingIlt. a wholly craned Every Vex Since 2007 subsidiary e4 TMBonita New York Melba CONFIDENTIAL — PURSUANT TO FED. R CRI AA. P. 6(e) CONFIDO. L DALIIM WED COMMUNCATIONS EX( CILDrC