EFTA01290974.pdf

F2 Deutsche Bank Onewhe Sank Pointe Mann Minnemet4 144,14.13 Coarcut &out Pew,m. Sank Secw4i4t 3,4 New York Me P.O.Box 1776, Baltimore, MD 21203 345 Part An,... no 0004 New Volk NY 10154 UN Free /164.447.5305 4i0 51141 THE HAZE T RUST February 1, 2019 - February 28, 2019 UAD 02109i 99 Account Number: N4G-O24943 JEFFREY EPSTEIN & DARREN K INDYKETTEES 6100 RED HOOK QUARTER B3 ST THOM AS VI 00802 Portfolio at a Glance This Period Year4o-Lile Your Investment Specialist BEGINNINGACCOUNT VALUE 814,354,547.04 819,756,141.88 MARTIN ZEM AN Net Casb Deposits and Withdrawals 4,114,207.73 40,112,637.45 Net Securities In/Out of Amid 40,204830.00 40,204,630.00 Adjusted Previous Account Value 35,709.31 -561,125.57 Dividends. Interest and Other Income 35,530.69 79,955.57 Net Change in Portfolio' .71,240.00 481,170.00 ENDINGACCO M Estimated Annual Income 312,942.78 Net Change in Portfolio is the difference between the ending account value and beginning account value alter activity. Asset Summary Percent And Type Prior Thar-BM tut Period This Period 0% Cash, Money Funds, and Bank Deposits 10,032,681.88 4,078,677.04 0.00 0% Fixed Income 2,130,300.00 2,172,960.00 0.00 0% Equities 7,593,160.00 8,102,910.00 0.00 0% Account Total 819,756,141.88 $14,354,547.04 80.00 Please rev eve your allocation periodically with your Investment Specialist. 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 10 99 and/ or 104 2 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. Page 1 of 7 RatedEns vet Owing ems* PagingIIC a sear owed Every Vex Since 1007 subsidiady as Santa New York Meta DAUM!, RAIEDCOMMUNCATIONS Cc•Ponthm (MY Mellor° EXCILL CNC t Penh... MC. mrte FitatAtiatlYieLGM_000443620 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-OO11444 EFTA_00159229 EFTA01290974  Money Market Fund Detail Deis inanity Type Desaiplion Mount Bain Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.31% Activity Ending: 02/ 151 19 02101119 Opening Balance 4.078.677.04 4,078,677.04 02107/19 Withdrawal MONEY FUND REDEMPTION -4,078,677.04 0.00 02107/19 Withdrawal SHARES REDEEM ED -1,551.88 -1,551.68 02107/19 Deposit ACCRUED DIVIDEND CREDIT 1,551.88 0.00 02/15/19 Deposit MONEY FUND PURCHASE 133,435.60 133,435.80 02119/19 Withdraw al MONEY FUND REDEMPTION -133.435.60 0.00 02/19/19 Withdraw al SHARES REDEEM ED -33.66 33.66 02/19/19 Deposit ACCRUED DIVIDEND CREDIT 33.66 0.00 02/15/19 Closing Balance $0.00 Total All Money Market Funds $0.00 Income and Expense Summary Cuuenl Period Year4a0ale ladle Non Taxable Tactile Nom kW* Dividend Income Equities 33,945.35 0.00 33,945.35 0.00 Money Market 1,585.34 0.00 12.94238 0.00 Other Dividends 0.00 0.00 33,067.44 0.00 Total Dividends, Interest. Income and Expenses $35,530.69 $0.00 $79,955.57 $0.00 Portfolio Holdings 0 Wog Acaued Income 30•Day Desalption Waft Bina Una Income This Vim Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio Money Market CASH AC TR DWSGOVT 8 AG INSTL 4,078,877.04 0.00 0.00 12,942.78 2.31% Total Money Market $4,078,677.04 $0.00 $0.00 $12,942.78 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $4,078,677.04 $0.00 $0.00 $12,942.78 Page 2 of 7 Account Number: N4G-024943 RalwAssant Owing tIvonet PastinguC a Sally owned ACCMCSZOS Every Vex Since 2007 subsidNy or IN INNof New York Melon DAIJAR MILD CONVOCATIONS ONPontIN (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. IC CI Pentw. 4C. newt*, FiliMAIWYger-at000413621 DB-SDNY-0011445 EFTA_00159230 EFTA01290975  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 February 1,2019 - February 28,2019 MEHAZETRUST Portfolio Holdings (continued) Accrued EstrinMed hlarket Voice Inleast Annuli Income Total Portfolio Holdings $0 00 $0.00 $12.942.78 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, 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 w hich a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARSW HEN THE PRICEDATEDOES NOT EQUAL THE STATEM ENT 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 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. 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. Page 3 of 7 Account Number: N4G-024943 Rated hcedlent OaringIMO. Paging LI.C, a wholly owned At OMCS))01 Every Vex Since 1007 subsidiary*. The Simko. New Yak Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAIJAR RAT ED COMMUNCATIM EXCOAD.Ct Cennatim (MY Mellon) Penne. LIX. merrdy f 1- a a a, 1.0PM_U0040644 DEt-SDNY-0011446 EFTA 00159231 EFTA01290976  M essages 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 1D b-10 ( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are tn base currency) Credits This Period Debits This Period Net ThisPeried Credits Year-to-Date Debits YeatimOnte Net YeemtoDde Securities Securities Withdurrn 0.00 -10,204,630.00 -10,204,630.00 0.00 -10.204630.00 -10.204,630.00 Total Securities $0.00 410,204,630.00 410,204,630.00 $0.00 410,204,630.00 410,204,630.00 Dividends and Interest $35,530.69 $0.00 $35,530.69 $79,955.57 $0.00 $79,955.57 Cash Witlidroals 0.00 4,247,643.33 4,247,643.33 0.00 -10247443.33 40.247443.33 Deposits 133,435.60 0.00 133,435.60 135,005.88 0.00 135,005.88 Total Cash 1133,435.60 44,247,643.33 44.114.207.73 $135,005.88 410,247,643.33 410,112,637.45 Totals $168,966.29 414,452,273.33 414,283,307.04 $214,961.45 420,452,273.33 420,237,311.80 Transactions by Type of Activity Ron Settlement Ode Activity Type Disaiption Ouiellty Pike Awved letued Meant CUrtellty Securities Withdrawals and Deposits 02/07119 CUSTOMER AUTHORIZED ALPHABET INC CAP STK Cl. C TRANS TO 114G-023804 -3,000.000 -3,296,130.00 USD TRANSFER GOOG 02/07/19 CUSTOMER AUTHORIZED CARVANA COD. A TRANS TO N46-023804 -25400.000 425,500.00 USD TRANSFER CYNA 02/07/19 CUSTOMER AUTHORIZED CITIGROUP INC DEP SHSREPSTG 9900TH PFD SER K DN -79.000.000 4,101,400.00 USD TRANSFER 6175% PERPETUAL KATY PERPETUAL CAU. rib/230250 0 C PM( TRANS TO NIG-023804 02107/19 CUSTOMERAUTHORIZED SUORGANCHASE& CO DEP SKS REPSTG 89TH RFD SER 1 -2,160,000.000 -2470,800.00 USD TRANSFER FIXED TO FLTG RT BD 5400% 04/23/58 WE DTD 04/23/08 CLB 46625HHA1 TRANS TO N4G-023804 02/07119 CUSTOMER AUTHORIZED UNITED TECHNOLOGIESCORP CON TRANS TO N46-023804 .15,000.000 .1,810,800.00 USD TRANSFER UTX Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 -10,204.630.00 Page 4 of 7 Account Number: N46-024943 Rated (warm OwingIMO Petit PIC. • whey owned ACC:M. Every Yaw Since 2007 subsidiary a The brat a New York Maori DAUM WED commumcimats CorPontim (MY Melba) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. M ExCULENCt Pe hat 4C.'sent.FilialctlYIELGM_00048623 DB-SDNY-0011447 EF1'A_00159232 EFTA01290977  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 February 1,2019 - February 28, 2019 THF HA 7F TRIIST Transactions by Type of Activity (continued) Routs Settlement Dote Activity Type Deuription guanlity Price Raved lateral Amount Currency Dividends and Interest 02107119 MONEY MARKET FUND CASH AC TR DWSGOVT 8 AGENCY INSTL INCOME REDEEM ED 1,551.68 USD INCOME RECEIVED PER232045 02/15119 CASH DIVIDEND RECEIVED 79000 SHRS OTIGROUP RC DEP SHSR9STG/1)00TH PR) 33,945.35 USD C PRK SER K DIV 6 875% PERPETUAL MATT PERPETUAL CALL WS/2302500 RD 02/01PD 02/6/1 02119119 MONEY MARKET FUND CASH AC TR OWSGOVT3 AGENCY INSTL !ROOM E REDEEM ED 33.66 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 35,530.69 Cash Withdrawals and Deposits 02/07 /19 CUSTOMER AUTHORIZED TRANS TO N4G-023804 4,080,228.72 USD TRANSFER USD999997 02114/19 FEDERAL FUNDS RECEIVED HSBC BANK USA.NATIO 3996 133,435.60 USD US0999997 02119119 FEDERAL FUNDS SB4T DEUTSCHE SANK TRUST -167.41411 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -4.114.207.73 Total Value of Transactions 0.00 44,283,307.04 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Scented: zai Contad [donation MARTIN ZEMAN Telephone Number 345 PARK AVENUE NEW YORK NY 13 154 Page 5 of Account Number: N46-024943 Ratecameeent OaringSae.Penbm LIC, a Mlolly owned At ON6CS3)0 Every Yew Sam1007 subedury of The kmof New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALIAN WED C0MNiuMCATI0NS EXCLUENCl Cmperatim (MY Melon) penhaz c irenta, FthenAc§in uf-Ai_00048624 DB-SDNY-0011448 EFTA_00159233 EFTA01290978  Your Account Information 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 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 ELECTRONIC DEUVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication • Statements and Reports • Trade Confirmations • Tax Doodah • Notifications • Prospectus • Proxy/Slareholder 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 Disci sures 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 ads 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 (SIPCO). 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.comf 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 Page 6 of 7 Account Number: N4G-024943 RatedEadw•t Owing tinge,. PagingIlt. a• Sally owned Every Ye• Since 2007 subsidiary elIlle km of New York Mellon C0MMLINICATICNS Cannatko(MY Melon) CONFIDENTAL — PURSUANT TO FED. R GRIM. P. 6(e) CONFIDO. AL- EXCLUDICt 00048625 P•st.nt LIX, •vn.c.• FINItalkrea8M- DB-SDNY-0011449 EFTA_00159234 EFTA01290979  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 February 1,2019 - February 28,2019 l'HE HA ZE TRUST Important Information and Disclosures (continued) The Role of Pershing (continued) 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 ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain docum ants, w itness 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 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 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 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, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page of Account Number n146424943 rested Carelent Omit.Some Panting LI.C, a ebony owned M 01A6CS))01 Every Year Since 2007 subsidiary ogles enrol New York Mellon DAMAR IM1ID COMMUMCATICMS Corporate. (MY Mellon) nm . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID I EXCLUENCIE Penman 4E. nerdy F liRoetioeel YU:PM-00048626 DB-SDNY-0011450 EFTA_00159235 EFTA01290980  F2 Deutsche Bank Detrtethe Sank Melee iNeal4h kleneetareal Wrens ce.wagerame tintrelve Dank Seeerrnien New Yore Pike P.O.Box 1776, Baltimore, MD 21203 HS Part Anne*. Mt few iletil14 / 0, KY 10154 Ta tree /1“-611-5105 Direct 410 BIS S1141 THE HAZE TRUST January 1,2019 - January 31,2019 UAD 02109/ 99 Account Number: N4G-024943 JEFFREY EPSTEIN & DARREN K INDYKETTEES 6130 RED HOOK QUARTER 83 ST THOM ASVI 00802 Portfolio at a Glance TeisPerlod Yew-to-Date Your Investment Specialist: BEGINNINGACCOUNT VALUE 819,756,141.88 $19,756,141.88 MARTIN ZEMAN Net Cash Deposits and Withdrartab 4,998,429.72 4,998,429.72 Adjusted Previous Account Value 13,757,712.16 13,757,712.16 Dividends. Interest and Other Income 44,424.88 44,424.88 Net Change in Portfolio' 552,410.00 552,410.00 ENO ING ACCOUNT VALU Accnied Inteml $359.42 Estimated Annual Income $320,630.96 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. 1 Asset Summary Parent Asset Type Prior Yearad Lag Period Tith Period In 28% Cash, Money Funds, and Bank Deposits 10.032.681.88 10,032,681.88 4,078,677.04 15% Fixed Income 2,130,300.00 2,130,300.00 2,172,980.00 • 57% Equities 7,593.160.00 7.593.100.00 8,102,910.00 100% Account Total (Pie Chart) 819,758,141.88 $19,756,141.88 814,354,547.04 Please review your allocation periodically with your Investment Specialist. Page 1 of 9 Rated(Kant Clewing Sae. Platy PIC a mond (my Yaw Since 2007 sal:oldie) elIlwa &MO New York MS... DAUM WED COMMUNCATIONS DAPPonD20 aimmeta) EX( WOK t Penteee; ac. newt*/ FIIIRAWa Gliet 00048627 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0011451 EFTA_00159236 EFTA01290981  Summary of Gains and Losses Reeked ThisPeriod Yes to•Date Unreal* Short-Term Gain! Loss 0.00 9.00 458979.37 Long-Term Gain! Loss 0.00 9.00 44,845.09 Net Gain! Loss 0.00 0.00 423,524.48 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 will be reported on your Forms 1099 and/ or /342 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 ar