EFTA01290318.pdf

15I Deutsche Bank Otulkelke Sant Pointe Ilealkh Msnagemen laarlatk Cpaaerag< 6 , w; Opaktche Omit Semeilies ne wave Peek Me P.O.Box 1776, Baltimore, MD 212O3 3AS fart Avenue. fib F Ace New 'leek Na 10114 Teti • enigma' Direct December 1,2017 - Decemb r 1, 2017 Account Number: JEERERS IN C 6 100 RED HOOK QUARTER B3 ST THOM ASVI 00802 Portfolio at a Glance Thishrtod Yew4o-Date your Investment Specialist BEGINNINGACCOUNT VALUE 63,236,312.13 $3,149,809.19 JOSHUA SHOSHAN Net Cash Deposits and W dhdrawah 0.00 31,276.11 Adjusted Previous Account Value 3,236,372.13 3,181,085.30 Dividends, Interest and Other Income 7,489.95 75,453.63 Net Change in Portfoliol 0.00 .12.676.85 lz $3,243,862.08 $3,243,8620 Estimated Anneal Income 576.759 78 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. ao Asset Summary Patent Asset Type PrlorYemad Lal Period ThisPeriod 47% Cash, Money Funds, and Bank Deposits 1,479,787.72 1,521,384.75 1,522,837.51 n 53% Mutual Funds 1,670,021.47 1,714,987.38 1,721,024.57 100% Account Total (Pie Chart) $3,149,809.19 $3,236,372.13 $3,243,862.08 Please review your allocation periodically with your Investment Specialist. Page 1 of 9 RaltaacaNnt OwingIlittnIthrsiingLI.C. • Sally owned A0130270CSF30025 6%9"OG./ Since 2007 DALIAR ItAlED COMMIRCATICOS sibMWya TMBordtel New York Mellon Corponthal (SW Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCULENC( 047681 Pen/vett U.C.inerrtel allIPAtikriker344—°° DE!-SDNY-0010505 EFTA_OO15829O EFTA01290318  Summary of Gains and Losses Realized This Pedod Yette•Dale Wee* Short-Term Gain! Loss 0.00 9.00 -306.32 Long-Term Gain! Loss 0.00 9.00 -111,498.55 Net Gain! Loss 0.00 0.00 -111,804.87 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Dale AdlvNy Type Cescsiplion Amount Biome Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 120% Activity Ending: 12/ 29117 12101117 Opening Balance 1.521.384.75 1,521,384.7$ 12729/17 Deposit INCOM ERBNVEST 1,452.76 1,522,837.51 12/29117 Closing Balance $1 522 837.51 Total All Money Market Funds $1,522,837.51 Income and Expense Summary Qmont Period Yetto•Cale iaeble Non Taxable WAN Noe habit Dividend Income Money Market 1,452.76 0.00 11,773.68 0.00 Other Dividends 6,037.19 0.00 63,679.95 0.00 Total Dividends, Interest. Income and Expenses 67.489.95 $0.00 $75,453.63 $0.00 Page 2 of 9 Rated(Kart Owing tlnovW hatingIlt. a Sally craned AO 100270 C SF30025 Every Vex Since 2007 DALBAR MUD COMMUNCATICNS 'maw:Wry elIlwa &onkel New York Mellon CciPontim aim meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCIA CNC t Penn. LK. ritterte Filactia DB-SDNY-0010506 00047682 EFTA_00158291 EFTA01290319  Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31, 2017 JEEPERS INC Portfolio Holdings Account Adivity Opening Gating Accrued Mame 30-Coy Current Opening Dale Ottanttly Number Ending Nance Balance Income ThleYeet Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 47.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTI. 12101/17 1,522,837.510 NIA 12/29/17 1,521,38415 1,522,837.51 0.00 11,773.68 1.10% 120% Total Money Market $1,521,384.75 $1,522,837.51 $0.00 $11,773.68 TOTAL CASH, M ONEY FUNDS, AND BANK DEPOSITS $1.521,384.75 $1,522.837.51 $0.00 $11,773.88 Unrealized Estimated Estimated Date Acqdred Quantity Mt Cut Cod Bap Market Price Market Value Coin. Loss Annual income Yield MUTUAL FUNDS 53.0 0% of Portfolio SY ORGAN FLOATING RATE INOUE RIND Security Identifier PHU CLASSI 0.19P. 482t513 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13/13 * 148,957.299 10.0700 1,500,000.00 9.3800 1,397,219.46 102,780.54 52.759.18 3.77% 03/01/13 0 533.047 10.0800 5,362.46 9.3800 4,999.99 -362.47 188.80 377% 04/01/13 * 591.454 10.1100 5,979.61 9.3800 5,541.84 431.17 209.49 377% 05101/13 u 562.992 10.1300 5,703.11 9.3800 5,280.86 422.25 199.41 377% 08103/13 ° 581.343 10.0900 5,724.50 9.3800 5,321.68 402.82 200.95 3.77% 07/01/13 13 500.501 9.9700 4,990.00 9.3800 4494.70 495.30 177.27 3.77% 08101/13 ° 527.827 10.0600 5,309.94 9.3800 4,951.01 458.93 188.95 317% 09/03/13 0 531.248 10.0300 5,328.42 9.3800 4,983.11 445.31 188.16 317% Reinvestments to Date 30,706.388 9.5890 294,431.40 9.3800 288,025.92 4,405.48 10,875.89 3.77% Total Covered 183,478.099 1,832,829.44 1,721,024.57 ,111,804.87 64,986.10 Total 183.478 099 $1 832 829 44 $1 721 024 57 4111 804 87 $64 986 10 TOTAL M UTUAL FUNDS $1,832,829.44 $1,721,024.57 4111,804.87 $64,986.10 Wreaked Acaued Estimated Cod Buis Merkel Value Oak/ Lone Interest Annual lacome TOTAL PORTFOLIO HOLDINGS $3,355,666.95 $3,243,862.08 4111,804.87 $0.00 $76,759.78 Page 3 of 9 RAS Carelent Oaring SalemPottingIIC a May owned AO 10 0 27005P30 0 26 l`P'S (my Yew Same 2007 DAUM Caren COMMUMCATICMS subodury of The Osaka New Yost Melon Camocathm (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) CONFIDKITTAL EXCatENCE Ont."' VA.,rote, maktiketukbm_00047683 DB-SDNY-0010507 EFTA_0015 8292 EFTA01290320  portfolio Holdings (continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form V99-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. " The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Portfolio Holdings Disclosjres 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 which a price is not available are marked "Ni A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) 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 com puted 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 pershingcom/ 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. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you prom ptly 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. 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 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 196, 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. Page 4 of 9 Rated Emarnt Chains tlwonglihnbingPIC a Sally owned AO 100 270CSF30025 (wry Veit Snce 2007 MAAR RAT ED COMMUNICATICNS subsidiary e4 TMbrit W New York Mellon Calwatim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) C O NFIDO. AL- EXCIA CNC t Penn.'s MC. 'sent. FilatalikreaGM_00047684 DB-SDNY-0010508 EFTA_00158293 EFTA01290321  15I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1,2017 - December 31,2017 JEEPERS INC Portfolio Holdings Disclosures (continued) 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 Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC, Your 1099 will be delivered as early as possible, beginning January 31, 2018. By February 15, you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15,2018. For more information please visit mytaxhandbook com. MUNICIPAL SECURITIES RULEM AKING BOA RDO(M SRN) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite, msrborg. Pershing LLC is registered with the Securities and Exchange Commission (SEC). M SRB. FINRA. and NYSE Although a money market mutual fund seeks to preserve the value of your investment at $1per 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 10b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a T+2 settlement cycle provides faster access to sale proceeds. but it also means that funds are due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up e-delivery. DISCLOSURE By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, It we authorize the named Financial Institution and Pershing LLC ("Pershing") and their affiliates to share my nonpublic personal information' held at Financial Institution and Pershing with the named trusted contact person(s)(the"Trusted Contact Person(s)*) identified as such. Additionally. I/ we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of Financial Institution and Pershing. This authorization includes. but is not limited to. sharing or disclosing any information regarding securities. insurance, bank related. financial planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information IF we may have provided to Financial Institution and Pershing. I/ we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my w hereabouts or health status (i.e.. if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone authorized to transact business on the account, or who is already otherwise able to receive the information described above. Account owners Should contact their Financial Institution or financial representative with additional questions. Account owners may also contact FINRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments. Page 5 of 9 AO 1006350,15 F D Raleamant Every Vox Sea 2007 DALY& Gl ED COMMUMCATIONS MULE/4C( Clarinda...hang LLC, a ally armed mbar/ of The Sonli of New York Mellon Carponthm (Illa Man) Pentmg LIX. more-ter tiRIAIAIY4S-Al_0004 7685 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) L- - DB-SDNY-0010509 EFTA 00158294 EFTA01290322  M essag s (continued) CALL 844.57.FIELPS(844.574.3577) M ONDAY - FRIDAY; 9 - 5 P.M . ET •'Nonpublic personal information' Includes, but Is not limited to: financial account information and balances, Information regarding the purchase of a security or insurance product, and any other personally identifiable financial information: (i) provided by a me/ us to my/ our Financial Institution; (ii) resulting from any transaction in my/ our account or any service performed on behalf of me/ us by the Financial Institution; or (iii) otherwise obtained from me/ us by the Financial Institution. Activity Summary (All amounts shown are in base currency) Credits This Period DaksThisPerial 1kt ThilPeriod Credits Year-to. Date Debits Yeerio.OMe Net Yeaio•DMe Securities Securities Bough] 0.00 43137.19 .6137.19 0.00 13.67915 63,679.95 Total Securities $0.00 16,037.19 16,031.19 $0.00 163179.95 163179.95 Dividends end Interest $1,489.95 $0.00 $7,489.95 $75,453.63 $0.00 $75,453.63 Cash Withdrawals 0.00 0.00 0.00 0.00 46,853.96 -56,853.96 Deposits 0.00 0.00 0.00 88,130.07 0.00 88,130.07 Total Cash $0.00 $0.00 $0.00 $88,130.07 156,853.96 $31,276.11 Totals $7,489.95 16,037.19 $1,452.76 $163,583.70 1120,533.91 143,049.79 Transactions by Type of Activity MN:UV Sather:kat Dote Activity Type Desaiption OtierAlly Prim Aimed letued Amount annoy Securities Bought and Sold 12/28117 RERIVESTCASH INCOM E JPHORGAN ROATII4GRATE INCOME FUND CLASS] 643.624 1,037.19 USD .PHSX 12834.4750 SIRS SHRSPURCH.AT $9.38000 R012/26 PO 1212011 Total Securities Bought and Sold -U.S. DOLLARS 0.00 4,037.19 Dividends and Interest 12128117 CASHDIVIDEND RECEIVED AlORGAN ROADNG RATE INCOME END CLASS] 6,037.19 USD .PHSX 12834.4750 SHRSRO 4/26 PD 12128117 12129117 MONEY MARKETFUND DEUTSCHE GOVT CASH 1,452.76 USD INCOME RECBVEO PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 7,489.95 Page 6 of 9 bledEa llet Owing engemPentonISC. • wholly MVOS AO 100270CSP30025 s • 1.44 Every Year Shwa 2007 DAYAlt RMID COMMUNICATIONS subsidiary a The brat elNew York Mellon CoPontim (MY Melba) CONFIDENTAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. ALA ExCatOCI Penn.'s MC. rnerrte.Filatagtiterat DB-SDNY-0010510 00047686 EF1'A_00158295 EFTA01290323  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31,2017 JEEPERS INC Transactions by Type of Activity (continued) Process SeWerner! Dote Adhely Type Description Gummy Price Accrued !stunt Amount ()mem Total Value of Transactions 0.00 1,452.76 USD The price and quantity displayed may have been rounded. Client Service Information Your InvestmentSeediest:DU Contact rolormstion JOSHUA SHOSHAN Telephone Number: 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information 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 ELECTRONIC DELIVERY You have not selected any account corn munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Page 7 of 9 Rated Cictart Owing tiwough Penting PIC • sadly wooed AO 100 270CSF30025 Every Yea, Since2007 OMAR RA TED COMMUNCATIONS subsidiary The Bonita New York Make Ompontim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) C O NFIDO. AL- EXCIAL CNC( Penh.** LIX. 'sent. FildtkfickneLGM_00047687 DB-SDNY-0010511 EFTA_00158296 EFTA01290324  Important Information and Disclosures The Role of Pershing • Pershing carries your account asclearing 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, 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 coml 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. • 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 itn ess 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 arbitrators 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 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 ( Ill) 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.