EFTA01290563.pdf

Deutsche Asset & Wealth Management Deuiv.v Ram Pon. Wealth Mantrent Mweets Cowan Gtap Deotem MM Sewlei AC Maw brk Pik* P.O. Boa 1776, Ballimore, MD 21203 SI, Part Mtgs. AM' kci. Account Num berms Statement Period: 12/01/2014 -1213112014 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & Valuation at a Glance This Period Year-to-Date DARREN K INDYICE TIMES Beginning Account Value 962,350,593.99 $22,994,662.96 6100 RED HOOK QUARTER B3 Nei Casa Deposits and Withdrawals 000 38,193,547.84 ST THOMAS VI 00802 Adjusted Previous Account Value 62,350,592.99 61,486,210.79 Dividends. Interest and Other Income 24.116.12 916.905.76 Tots Taxes Withheld 0 00 410 het Charlie in Portfolio -72,363.20 -132,444.74 riding Account Value 562 302 676 21 562 302 676 21 Your Client Advisor: Estim ated Annual Morn e 51.111.295.52 DANIEL &MBA Asset Allocation Prior Year-End lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposits 7,589,036.35 43,913,182.65 43,922,655.69 70.50% P ease re. le.‘yov a lozea- LSD Fixed Income 15,405,626.60 11,434,280.34 11,400,200.52 18.30% j_ LSD Equities 000 7,003,130,00 6.979.820 00 1120% Amount Total {Pie Chart) 122,994,662.95 $62,350,592.99 $62,302,678.21 100.00% See the Asset flocabon Disclosure and Footnotes secton lor important informaton renewing your Asset flotation. Page 1015 Rated tmellonl DRAB ROLL B0100378CSP30023 Go I)aP€rless r ok ; Ever/ VAN. Sims 21)07 DAL BAR RATED COMMUNICATIONS CONFIDENTIAL `,calumet SDNY_GM_00047926 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010750 EFTA_00158535 EFTA01290563  Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term Gain/Loss 0.00 -146.09 126.41713 Long-Term Gain/Loss 73 87 2.095.36 -384213.17 Net Galn/Lou 73.87 1,119.27 -267,79161 This summary excludes transactions where cost basis information is not available. For Your Information Cn June 5, 2014, the European Central Bank (the -ECB') introduced 'negative interest rates'. This negative interest rate applied to all 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 and/or 1042-S fa 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. Money Market Fund Detail Date Activity Type Desaiption Amount Babette Sweep Money Market Fund MSGOVERNMENT CASH INSTL Account Number: 0000001492 Current Yield: 0.03% Activity Ending: 12131/14 1112911/ Opening Balance 43,913,182.65 13,913,182.65 12/3011/ Deposit MONEY FUND PURCHASE 8,354.03 13,921,536.68 12131/11 Deport INCOME REINVEST 1119.01 13.922.655.69 1213111/ Closing Balance $13,922,655.69 Total All Money Market Funds 143,922,655.69 Income and Expense Summary Carrot Period Year-to-Date Taxable Nos Taxable Taxable Noo Taxable Dividend Income Equities 0.00 0.00 101,836.05 0.00 Money Market 1,119.01 0.00 4,534.22 000 Other Dividends 17,591.35 0.00 593,971.58 0 00 Pap 2015 Account Number. Italled excellent ox avon Go paperless Ivory Year Since 2007 DAL BAR RATED COMMUNCATIONS THE FAZE Trd-sTO N F I D AENTI AL rxesurnaer SDNY_GM_00047927 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) e DB-SDNY-0010751 EFTA_00158536 EFTA01290564  Deutsche Asset & Wealth Management DraIst.< Rana Prmair Wean &Waren Pdatert$ Caen., 6 ,0‘p Des-bOx Mk Settonei'M P.O. Boa 1776. Beiimore. MO 2t203 HI Put Annus. 160. Met War int nr,mw Statement Period: 12//112114 -12/3112114 Income and Expense Summary (continued) Current Period Tear-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income Bond Interest 5,736.06 0.00 245,681.66 0.00 FDIC Insured Bank Deposts 0.00 0.00 882.26 0.00 Total Dividends, Interest, Income and Expenses $24,446.42 1010 $046,005.16 $0.00 Distributions Other Distributions 0.00 2,617.97 0.00 30,081.73 Total Distributions $0.00 $2,617.07 $0.00 $30,081.13 Portfolio Holdings Account Adivity Opening Closing Awned lawn 31.Oay Omit Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 7 1.0 0% of Portfolio M oney M arket CMS GOVERN M ENT CASH Mk 11129114 43.922.655 690 0000001492 12/31114 43.913.182.85 43.922.655.69 0.00 4.534.22 0.03% 0.03% Total Money Market $43,013,162.65 $43,022,655.69 $0.00 $4,634.22 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11/29114 40024943 12131114 0.00 0.00 0.00 882.25 NM NM Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $882.25 Total Cash, M oney Funds, and Bank Deposits $43,913,15215 $43,922,655.69 $0.00 $5,416.41 Page 3 of IS Account Number listed Excellent (very Year Sera 2'007 IIRA.1t .011 DAUBS. BATED COMMUNICAMN'S TI-E FAZE T rxeseirtraer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFl dEiVisAL SDNY_GM_00047928 DB-SDNY-0010752 EFTA_00 I 58537 EFTA01290565  Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Aott:ted Guaet6Y UmNCod Cod Basis Market Price Markel Value Gain, Loss Interest Annual Income Yield Fixed Income 15.0 0% of Portfolio (In Maturity Dee Sequence) 'Asset Backed Securities OS M TO SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X6 CTF CL 81 VAR 5.752% 06/25/35 WE DID 05101/05 S 8 P Rating B. Factor: 0.79603595 Effective Date:12101111 Current Face Value: 1,194,053925 12/13/13 '•1.11 1,500.000100 97.1780 1,160,355.99 97 0240 1,158,518.88 .1,837.11 5,723.51 Original Cost Be 51.189.588.80 Total Asset Backed Securities $1,160,355.99 91,150118.88 -$1,837.11 $5,723.61 $0.00 1,500,000.000 Total Current Face Value : 1,194,053.925 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 1.315% 11101118 WE DTD 10112106 MULTIPLE GUARANTORS 1ST CPN DTE 05/01/07 Moody Rating BA3 S t P Rating BB- 05110/11 1,200,000.000 104.9590 1259,504.58 102.7500 1,233,000.00 .26,504.58 14,750 00 88,500.00 7.17% Onginal Cod BaSit 51.363.500.00 IPAYM ENT INC GTO SR NT Security Identifier: 46262EAB 10.250% 05115/18 WE DID 11115111 CALLABLE 05115/15 Q 105.125 Moody Rating CAA3 S& P Rating CCC 10102112 %UM 500,000.000 92.4590 162,295.37 89.0000 445,000.00 .17,295.37 6,548.61 51,250.00 11.51% Onginal Cost Basis: 5445.000.00 FM ORGAN CHASE & CO DEP SHS REPSTG Staidly Identifier: 18625HHA1 1/10Th PFD SER I FIXED TO FLTG RT BO 7.900% 04/29/49 WE DTD 04/23/08 Moody Rating BM St P Rating BBB- 05/10/11 3,000,000.000 111.2650 3,337,958.33 107.6300 3,228,900.00 •109,058.33 39,500 00 237,000.00 7.33% Original Cost Basis. 53.337.958.33 BANK AM ER CORP PERP NON CON ULADVE DEP Security Identifier: 060505018 StiS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04/30/08 CALLABLE 05/15118 Moody /Wing 8A3 St P Rating BB 05110111 '.12,13 3,000,000.000 112 9870 3,389 620.83 107 8750 3,236,250 00 -153,370.83 31,145 83 213,750.00 7.53% Page 4of1S Account Number T1- E I-AZE 7 Go Rasa [salient Every Year since 2'007 DAUM. RAT rxenurtaer COMMUNICATIONS L.a CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ONFl AL SDNY_GM_00047929 OB-SDNY-0010753 EFrA_00158538 EFTA01290566  Deutsche Asset & Wealth Management ()nacre. Bana Pnur. YhyIr m7mgental Mains CO•ene GK.." Otrisch7 Secteftes New brir011t• P.O. Om 1778, fla!ammo, MD 21203 34% Far% Mora MOO ter Statement Period: 12/01/2014 • 12/31/2014 Portfolio Holdings (continued) Adjuded Umealized Acuued Estimated Estimated Dale Acquired Ormetity limit Cod Cat Bads Market Price Market Vann Gals/ Loss Merest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON COM ULATIVE DEP (continued) Original Cosl Basic $3,389.620.83 Total Corporate Bonds $8,449,371.11 9,143,150.00 -1308,221.11 391,944.44 $620,500.00 7,700,000.000 Total Fixed Income 19,606,735.10 $9,301,661.86 -1301,066.22 $17,667.15 $620,500.00 1,200,000.000 Unrealized Estimated Estimated Dale Acquired Quantity Veit Cod Cod Bads Market Price Markel Value Gala( Loss Anneal Income Yield Equities 11.00% of Portfolio Preferred Stocks (Lasted by expiration dais) CITIGROUP INC DEP SHS REMO 111000TH Security Identifier: C PRK PM SER K DIV 6.875% PERPETUAL MATY CUSP: 172967341 PERPETUAL CALL 11/15123(1 25.00 Dividend Option: Cash 02103/14 79.000.000 252090 1.999.418,90 26.5800 2,099,820.00 100,401.10 135,781.25 6.46% CITIGROUP INC DEP SITS REPSTG 111000 Security Idendfler: C PRC PFD SER C DIY 5.8% PERPETUAL MATY CUSP. 172967366 PERPETUAL CALL 04/22118025.00 Dividend Option: Cash 10/28/14 49.033.000 24.0810 1,180.73916 24.4000 1,196,405.20 15.866.04 71,097.85 5.94% 10129/14 150,967.000 24.3130 3,670,430.48 24.4000 3,683,594.80 13,184.32 218,902.15 5.94% Total Covered 200,000.000 1,851,111.04 4,880,000.00 28,830.36 200,000.00 Total 200,000.000 $4,651,169.14 $4,680,000.00 $26,830.36 1210,000.00 Total Preferred Stocks 16,650,518.54 16.179.620.00 $121,231.48 $425,161.25 Total Equities $6,650,581.54 16,979,620.00 1129,231.46 $425,761.25 Page 5 of 15 Account Number listed taconenti (very Vo.7. Slate 2007 menu you DAUM. MUD COMMUNICATIONS ThE FAZE T rxesartraer CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) ONF I lia())1(HisAL SDNY_GM_OM34n3G OB-SDNY-0010754 EFrA_00158539 EFTA01290567  Portfolio Holdings (continued) Unrealized Estimated Estimated Dale Asgeired Ouaitity Unit Cost Cost Basis Market Prim Markel Valle Gain! Loss Annual Income Yield Mutual Funds 3.00% of Portfolio R M ORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX SELECT SFARES CUSP. 181211510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 01122113'.3 198,216.056 10.0900 2,000.000.00 9.1200 1,926,660.01 -13,339.93 82,259.66 1.26% 02101113'.3 630.057 10.0670 6,342.92 9.1200 6,124.14 -218.78 261.47 4.26% 03101113'.3 711.578 10.0600 7,158.18 9.7200 6,916.53 -24195 295.30 1.26% 04101113'.3 789.547 10.1100 7,982.33 9.1200 7,674.39 -307.94 327.66 4.26% 05101113'•3 751.550 10.1300 7,613.21 9.7200 7.305.07 -308.14 31119 4.26% 06103113'.3 757.360 10.0900 7,641.77 9.1200 7,361.54 •280.23 314.30 4.26% 07101113'.3 668.131 9.9700 6,661.27 9.7200 6,494.24 -167.03 277.27 1.26% 08101113'.3 104.609 10.0600 7,088.37 9.7200 8,848.81 .239.58 292.41 4.26% 09103113'.3 709.175 10.0300 7,113.03 9.7200 6,893.17 -219.86 291.31 1.26% 10101113'.3 712.100 10.0240 7,137.85 9.7200 6,921.61 •21624 295.52 4.26% Total Mono:meted 204,660.163 2,084,739.23 1,989,91.57 -75,539.66 54,929.19 Reinveslm ants to 11,248.154 10 0210 112,75319 9.7200 109,332.07 -3421.12 4,668.01 1.26% Date Total Covered 11,218.154 112 753.19 119,332.07 -3,421.12 4,561.01 Total 215.898.317 52,177,492,42 22,096,531.64 478,960.78 289,597.9 Total Mutual Funds $2,177,492.42 22,098,631.84 -378,960.76 $89,597.80 Unrealized Awned Estimated Cod Bade Market Value Gain! Loss hayed Anneal Income Total Portfolio Holdings $52,560,471.75 $62.302,676.21 -$257,79511 $97,867.95 $1,141,295.52 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 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 P.1.110-343, 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 securdies which have been acquired on or after 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 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • 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 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 6 of 15 Account Number.WM Deno ,“>1 Cio paperless L roxa V•45.= 2007 aLlIer litArTEOCOAVAUNICATDONS TFE FAZE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) O N FonTIAL SDNY_GM_00047931 OM-SDNY-0010755 EFTA_00158540 EFTA01290568  Deutsche Asset & Wealth Management DraIsov Rant P".!" wean &Warne* Peals Caen., Gnat) Dettsag lar* Sew on +IL lire bet Cillict P.O. Bat 1778, Bahimore, MO 21203 in Put An~. Ita be, Statement Period: 12/01/2014 • 12/3112014 Portfolio Holdings (continued) 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. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is detemined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 17 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering tin or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Dispositior Acquisition Disposition Realized Gain/ Loss/ Date Date Transaction Description Ouaotity Cost 8asis Proceeds Disallowance Long Term 12126114 12/13113' PPP GS LI TG SECSCOPP 200 ASSN RU CTF CL 81 VAR 5.752% 1.500.000.000 2.544 09 2617.96 73 87 06125135 8/E OTD 05101105 Security Identifier 3624207X5 0rioinal Cost Basis 2 544 09 Total long Term $2,544.00 $2,617.96 973.67 Total Short Term and Long Term 92,544.09 $2,617.96 973.87 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 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 P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered,- under the new cost basis reporting rules, and masked or denoted as such. AI 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 securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after yearend, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have availaWe to you. Page? of 15 Account Number Rated t acelkini . OAS ROLL Go paperless bray V... sine. 2.007 CAL BAR RATED COmmuroCalsOnS it7r... It a =yr THE 'Kammer SDNY_GM_00047932 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FAZE Te r O N F I DIAL DB-SDNY-0010756 EFTA_00158541 EFTA01290569  Schedule of Realized Gains and Losses Current Period (continued) When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, thee may be other adjustments which you need to make, but are not requited to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reiance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method winch you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation,(SIPC) For disclosure of rates for DINS money market funds, please visa the DWS Investments website at haps Mom dws-investments.comtENI1productstrroney-market-funds-yields.jsp, Please rote that all money market funds listed on We website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 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 following information for Pershing's 2014 IRS Forms 1099 DIV, INT OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their real 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.com/business_continuity. 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 DTC's lottery is random and imparhat participants may or may not receive an allocation of securities select