EFTA01289441.pdf

0.1616116 Lint Miser II/n1, li.111.411•11 Deutsche Bank <poet.it 61111: 0•6111/111111111:6, 41•1 111 Yen ma P.O. Box 17 76, Baltimore, MD 21203 Pot AM,TVP.1611114.3, 315 nn Now Ton i.e__________________ Cote December 1,2018 - December 31 2018 Account Number: SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUAKER B3 ST THOMASVI 00802 Portfolio at a Glance ThIsPerlo4 Yer4o-DWr Your Investment Specialist. BEGINNINGACCOUNT VALUE 8102,820,779.67 897,272,547.37 MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.00 4,193,223.91 Adjusted Previous Account Value 102,820,779.87 101,465,771.28 Dividends. Interest and Other Income 124,445.80 3,367,640.57 Total Taxes Withheld 488.03 -7,288.40 Other Transactions 428.11 -1,483.76 Net Change in Portfolio' -8,540,158.22 -10,409,988.58 ENDINGACCOUNTVAla $94,404,553.11 894,404,553.11 Accrued Interest 5478.778 13 Estimated Annual Income 33.328.412 86 'Net Change in Portfolio lathe difference between the ending account value and beginning account value after activity. Asset Summary Prato Asset Type Prior Yeac•Ead Last Period TbisPerlo1 9% Cash. Money Funds, and Bank Deposits 823,820.96 6,566,510.08 8,127,337.23 26% Fixed Income 26,083,479.22 25,363,588.19 24,993,470.70 65% Equities 60,899,388.97 70,890,681.40 61,283,745.18 0% M utual Funds 3,020,938.22 0.00 0.00 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) 397,272,547.37 8102,820,779.87 894,404,553.11 Please review your allocation periodically with your Investment Specialist. Page 1 of 18 Rated Eaceilent Clain,liner ParalsinIIC eulogy mama OWNF DMIAL- Every Yes, Since 20O7 sabildlay a The Zak a New Yak Mellon DALIAR RATED COMMUNICATIONS Melee) ()tall MCC Ca era 11.C.ma—ba la.tta.atWaigNm_00046469 Panama CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009293 EFTA_00I57078 EFTA01289441  Summary of Gains and Losses Realized Ms Period Yemen-Dale Unrealized Short-Term Gain! Loss 460,690.96 1,096,814.37 4,404,099.37 Long-Term Gain/ Loss 0.00 2,471,580.94 414,069.43 Net Gain! Loss 480,690.96 3,588,395.31 4,218,188.80 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEP ) 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. Exchange Rate Table G ooa Casa Currency Posing Amount in Currency USD EquIveleM per US3 Pinery Balm Base Currency USD EURO 1.1430 0.8748 HONG KONG DOLLAR 183,242.25 23,405.17 HONG KONG DOLLAR 0.1277 7.8291 JAPANESE YEN 49.00 4.45 JAPANESE YEN 0.0091 109.7000 Total Global Cash Balance $23,404.72 &change rates are based on interbank exchange rates as of 12/ 3V 2018. Exchange rates can vary. Money Market Fund Detail Date /Welty Type Oomph'. Amount Mena Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.28% Activity Ending: 32/ 3V 18 12101118 Opening Balance 6,422,115 67 6,422,115.67 12103118 Deposit MONEY FUND PURCHASE 121,052 22 6,543,167.89 12104/18 Deposit MONEY FUND PURCHASE 24,371.00 6,567,538.89 12118/18 Deposit MONEY FUND PURCHASE 49,380.00 6,616,918.89 12/19118 Deposit MONEY FUND PURCHASE 1,357.50 6,618,278.39 12121/18 Deposit MONEY FUND PURCHASE 522.885 93 7,141,182.32 12724/18 Deposit MONEY FUND PURCHASE 913,947.03 8.055.109.35 12/28/18 Deposit MONEY FUND PURCHASE 35,681.25 8,090,790.60 12/31118 Deposit INCOMERBNVEST 13,141.91 8,103,932.51 12/31/18 Closing Balance $8,103,932.51 Total All Money Market Funds $8 103 932 51 Page 2 of 18 Account FlumAIM Rated timeliest Cleary/through PershingLLC•aapronwel CONFID trey Year Since 2007 L . sabsittiary of The Beak col Met Yalt Melba DALIAR ItA TED COMMUNKATI0NS Ono-sten (ONY Melba) uauencr 46470 Per,hnx 11.C. mentn• 1inatAAR4VELOSI-000 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0009294 EV1:4_00157079 EFTA01289442  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 December 1, 2018 - December 31, 2018 SOUTHERN FlNA NCIAL LLC I Income and Expense Summary °stint Paled Yea-to-Dane Taxable Non Tenth Taxable Non Taxable Dividend Income Equities 1,867.64 0.00 792,654 57 0.00 Money Market 13,141.91 0.00 72,242 66 0.00 Other Dividends 49,380.00 0.00 954,190 91 0.00 Interest Income Bond Interest 80,056.25 0.00 873,125.66 0.00 Other Interest 0.00 0.00 157,433.76 0.00 Expenses W ithholding Taxes -286.03 0.00 -7,286.40 0.00 Fees( Foreign Securities) -224.11 0.00 -1,124.11 0.00 Total Dividends, Interest, Income and Expenses $123,935.66 $0.00 $2,841,237.05 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 507,893.01 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $0.00 477.65 $538,988.10 Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Awued Income 30-Day Current Opining Dale Quantity Number Fading Belau* Balance Income Mb Year Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 121,052.22 0.00 Money Market CASH AC TR 0W5 GOVT & AG INSTI. 12101/18 8.103.932.510 N/A 12131118 6,422115,87 8,103.932 51 0 00 72,242.66 2.19% 226% Total Money Market $6,422,115.87 $8,103,932.51 $0.00 $72,242.68 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $6,543,167.89 $8,103,932.51 $0.00 $72,242.88 Page 3 of 18 Account Numb Rated LotIlent Clewing through Pagel% 11C•wholy evened Every Year Since 2007 Malaita" of The kelt alNew Yak Meta CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID DALIAR RATIO COMMUNICATIONS LICILLINCI Carpotabon(ONY Mellon) risotocAtVlioiceM-00046471 Periling U.C.nitrber DB-SDNY-0009295 EFIA_00157080 EFTA01289443  Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Wheeled Dale Acquired Quantity Unit Cosa Cost Bale Market Price Market Value Colorless mere. Annual Income Yield FIXED INCOM E (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM M UNICATIONS CO SR Security Walther: 17453BAW1 NT FULLY EXCHANGED FROM 174538AX9 7.45% 031EIS 13/E DTD 03/23/0714 oody Rating CAA1St P Rating CCCii 10103117 1.000.000.000 100.0150 1.000.154.73 97.2500 972.500.00 -27.654.73 20.919.17 71,250.00 7.32% Original Cosl Basis: $1001006.00 EXELA INTER LLC EXELA RN INC GTD Scanty Identifier 30E2RAA9 FIRST PRIORITY SR SECD NT 144A 1)600% 0716/23K DID 07/17/17C14Moody Rating 83 5 P Rating B 10/24117 2100,000100 971250 1,940,506.00 95.5000 1,910,000.01 -30,505.99 92222.22 200,000.00 10.47% Original Cosl Basis: S1940,506 00 07109/18 1,000,000.000 102.6590 1,026,591.39 95.5000 954,999.99 -71,591.40 46,111.11 100,000.00 10.47% Original Cosl Basis:51028356.00 Total Covered 3,000,000 000 2.967.097.39 2,865,000.00 -102,097.39 138,333.33 300,000 00 Total 3.000.000.000 52.967.097.39 52.865.000 00 4102,097.39 5138.333.33 $300600.00 ..BSINVTS GM BH GTD SR NT Security Identifier:0,29866AM REG S !SINS USA29866AB53 7250% 04(03/24 BJE DTD 04/03(515 6 P Rating BB- 10/31/17 2,000,000.000 99.0650 1.981.300.00 100.8010 161662060 34,720.00 35,041.67 145,000.00 7.19% Original Oast Basis:5198130000 DEUTSCHE BANK AG NTS ISMS US25625033 Sederity Identifier 25525AM 3 I 296% 05/24/28 EVE DID 05124/0 FORBGN SECURITY 1ST CPN DTE 1/24/13M oody Rating Ba2 S 6 P Rating BEr• 06/01118 1,000,000.000 91.7780 917.776.00 84.5800 845.800.00 41,976.00 4,415.33 42,960.00 5.07% Original Cost Basis: $917.776 00 DEUTSCHE BK AG N Y BRH VAR Security Identifier: 256268N8 ISMS US24526BN89 4.875% 210 132 B/E DM 2/0117 CALLABLE 2/0127 06/01118 1.000.000.000 86.8260 868.256.00 77.7540 777,540.00 -90.716 00 4,062.50 48250.00 6 26% Original Cosl Basis: 5868256.00 Page 4 of '8 Account Number Rabid tactile* Clewing through Pealwag U.C. a %l a7 owned monism-x:2i trey Year Since 2007 Maid's." of TM Bonk Ott. York Mellon OMAR PAITO COMMUNICATIONS CaveratIon (OM Wilco) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID UCtLIINCI PerOing literitetty IthRA.PknflieM-00046472 DB-SDNY-0009296 EFTA_00 I 5708 I EFTA01289444  Deutsche Bank P.O. Box 17 76, Baltimore, MD 21203 December 1,2018 - December 31.2018 SOUTHERN FINANCIAL LLC Portfolio Holdings (continued) U.S. DOLLARS (continued) AdjuMed Unrealized Awned Estimated Eslimaled Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Cain Lon Interest Annual Income Yield FIXED INCOM E (continued) Corporate Bonds (continued) ASSURANT INC FXC TO RIG SUB NT Security Identifier. 0462UAK4 7.000% 03/27/48 WE DID 031271E CALLABLE03/2T128A 130 000Moody Raling 03/29/18 2,000,000.000 101.9840 2.039.689.71 95.0000 1.900.000.00 -139.689.71 36.555.56 140,000.00 7.36% Original Cost Basis: $2040,005.00 YMORGAN CHASE& CO DEP SHSREPSTG Security Identifier. 46625HHA1 'V VTR PFC SER 'FIXED TO FLTG RT BD 5.990% 04/23/58 B/E DID 04123108M cod y Rating BAA3 S & P Rating BBB- 06115111',JQ 1,100,000.000 107.2550 1,179,799.94 98.6250 1.084.875.02 -94,924.92 11,348.44 65.894.18 6.07% Original Cost Basis: 51132.500.00 06/15/11 . '3-12 2.500.000.000 1061730 2,669,316.47 98.6250 2.46542418 -203,691.49 25,791.92 149,759.50 6.07% Original Cost Basis: 52,675,000.00 Total Noncovered 3,600,000.000 3,849,116.41 3,550,500.00 -298,616.41 37,140.36 215,653.68 Total 3,600,000.000 $3.849,116.41 53,550,500.00 4298.616.41 $37.140.36 5215.653.68 SOUTHERN CALIF EDISON CO PREF SER E Securely Identifier 842400FU2 6.250%0117162 BIEDTO 0f17!12 CALLABLE ON t22 Q DO 000M oody Rating BAA1S& P Rat mg BBB- 01/30/12 . '312 3.000.000.000 99.9060 2,997,192.40 95.2500 2,857,500.00 -139.692.40 78,125.00 187,500.00 6.56% Original Cost Basis: 52.992.564.97 GENERAL ELEC CO GTD FXD-TO.FLTGRT Securely Identifier 3696048514 NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2/03/65REGOTD1103P6Moody Rating A3 Sri P Rating BBB- 12/03/15 2.469.000.000 88.0930 2,175,016.17 63.9000 1,577,691.00 497.325.17 4,389.33 98,760.00 6.25% Original Cost Basis: 52,25.011 Page 5 of 18 Account tiuna Rated Earellent Clewing through Penang LLC, a allay owned troussmx:28 Every Year Since 2007 satsidiary of The Bank el New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DA MR RATED COMMUNICATIONS EXCELLENCE Ceeporaban (IINY &SW) Nosaitat I,LC. meting rieee.PkiKepM_00046473 DB-SDNY-0009297 EFTA_00 157082 EFTA01289445  Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Whaled Cate Acquired Quality Una Cost Cod Bads Market Price Market Value Gain Lon intetest Annual Income Yield FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FM RATE RESET Swirly Identifier: 539439AG4 ADDL TIER 1SECS ISM VS539439442 7.500% 04/27188 B/E0TD 0410711166 P Rating BB- 04/10114 . '"2 1,903,000.000 102.3910 1,948,500.00 96.4800 1.836.014 40 .112A85 60 1.585.83 147.715.00 7.77% Original Cost Basis: 51948,500 00 CITIGROUP INC FXD RT SR NT PERP DEP RB;PT Security Identdier: 4196/25 5.950% 08/1/88 WE DM 0814/1 CALLABLE0816/20 (j 130.000M oody Rating BA2 56 P Rating 88• 08/06/15 3,000,000.000 100.0000 3,000,005.99 96.5000 2,895,000.00 -105,005.99 67,433.33 178,500.00 6.t6% Original Cost Us S3.000,006.00 Tot al Corporate Bonds $23,744,104.80 $22,093,565.40 41,650,539.40 $428,061.41 $1,571,098.68 23,972,000.000 TOTAL FIXED INCOME 523,744,104.80 $22,093,565.40 41,650,539.40 $428,061.41 $1,571,098.68 23,972,000.000 Unrealized Estimated Estknated Oat. Acquired Noddy Unit Cod Cod Bats Market Pik Market Value Geldloss Annual Income Yield EQUITIES Common Stocks ALIBABA GROUP HOG LTD SPONSORED RDR Security Identifier MBA IS1Nt USO SUWON CUSP:8609W 92 Dividend Option: Cash 06/10115 5,000.000 88.9500 444,749.00 137.0700 685,350.00 240,601 00 AMAZON COM INC Security Identifier:MADI Dividend Option: Cash CUSP. 02313566 03129118 500.000 1,423.8620 711,930.80 1,501.9700 750,985.00 39,054 20 04/01/18 500.000 1.367.0210 683,510.38 1,501.9700 750,985.00 67.474.61 Total Covered 1.000.000 1,395,441.18 1,501,970.00 106,528.82 Total 1.000 000 51,395,441.18 $1,501,970.00 $106,528.82 50 00 APOLLO GLOBAL MGM T LLCCL A StiS Security Identifier: APO Dividend Oplion: Cash CUSH? 03762306 263.67.00 of these shares are in your margin account 03/29/11 ' • ° 263,157.000 19.0000 4,999,983.00 24.5400 6,451,872.18 1,457,889.78 507.893.01 7 86% Page 6 of 18 Account Nunn Rated Eacelitnt Clewingnear FeeblyIX nib* evened Every Year Since 2007 eatable., of The Malmo** Veda Mellon CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) CONFIDO. L DALIAR RATIO COMMUNICATIONS VICtll Cerporatton(My Mellon) Pe„ tins LIC.,nn'tat FINRAAVVELGM-00046474 DS-SDNY-0009298 EFTA_00157083 EFTA01289446  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 December 1,201S - December 31.2018 SOUTHERN FINANCIAL LLC Portfolio Holdings (continued) U.S. DOLLARS (continued) Unhanded Estimated alim aled Clete Acquired Quantity Link Cost Cod Bois Merkel Prise Minket Value Gainfloss Annual Income Yield EQUITIES (continued) Common Stocks (continued) APPLE INC COM Security Identilid:AAPL Dividend Oplion: Cash CUSIP. 03783300 12107117 214,000.000 36.340.223.40 157.7400 33,756,360.08 -2,583,863.32 624,880.00 185% 06120118 50,000.000 186.7940 9,339,697.00 157.7400 7,886,999.80 -1,452,697.20 146.000.00 185% 10/15/18 40.000.000 219.0180 8,780,702.00 157.7400 6,309,600.12 -2,451,101.88 116,800.00 185% Total Covered 304,000 000 54140.622.40 47,952.960.00 -6,487,662.40 887 680 00 Total 304.000 MI 554.440.622.40 $47.952.960.00 -56 487 662 40 5887 680.00 MOGEN IDEC INC COM Seedily Meat Wier: BOB Dividend Option: Cash CUSP. 09062XV3 02/14/12 " 2,095.000 110.2720 231,019.65 300.9200 630,427.40 399,407.75 CENTENE CORP DEL COM Security Identifier CNC Dividend Oplion: Cash CUSIP:111581)1 09108114 15,550.000 63.6450 989,679.75 115.3000 1 792 915 00 803.235 25 KARYOPHAR14 THERAPEUTICS INCCOM Security Identifier: KPTI Dividend Oplion: Cash CUSP. 48576U16 07112118 25.000.000 18.6840 467,106.00 9.3700 234.250 00 -232.856 00 Total Common Stocks $62,968,600.98 $59,255,745.18 -$3,712,855.80 $1,395,573.01 Preferred Stocks (Listed by expiration date) GMAC CAP TR IMO TR PFD SECS SER2 CPI). Security Identifies: ALLY PRA 8.25% FRED DRYLY MATY42/15/2040 CALL CUSP. 36160208 ANYTIME.25 W/30 DAYS BEGINS02/1/1 Dividend Option: Cosh 02/22/12 *-11 80,000.000 23.5350 1,882,773.60 25.3500 2.028,00100 145,226.40 183,568.48 806% Total Preferred Stocks $1,882,773.60 $2,026,000.00 $145,228.40 $163,568.48 TOTAL EQUITIES $64,851,374.58 $61,283,745.18 43,567,629.40 $1,559,141.49 Unmated Awued Wooded Cod Bads Mired Value OSHA. Interest Arnaud Income TOTAL U.S. DOLLARS 196199.411 89 $91,481,243.09 45,218,18810 $428,081.41 $3,202,482.83 Page 7 of 18 Account ?Ante; Rated ticollent Clewing through Pagan IIC a aloe/ evened EC a trey Yew Since 2007 sobsidiari of The lank a New Yak Mellon CONFIDENTIAL - PURSUANT TO FED. R CRINI, P. 6(e) CONFIDO. L DALIAR WED COMMUNICATIONS exassetla Carpotatkon MAW ii Per Ihnx 11.C. morto SRVVELoftoontsais DS-SDNY-0009299 EFTA_00 I 57084 EFTA01289447  Portfolio Holdings (continued) EURO C9441019 Coda Acaued 30-04 Macho Overlay Baas Selena Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 0.00 EUR 0.00 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 14.80 0.00 SIR 0 00 0.00 USD 0 00 Acaued Estimated Eslimaled Descsalloa Nuttily Merkel Pilot Make Value Canna Waal Annul Income Yield FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO,GUICHARD-PERRACHON 7.500.000 000 101.4840 2,537,100.00 EUR 44,371.85 110,115.00 424% SA ISMFR00030%80 2,899,905.30 USD 50)11.02 125,930.03 4.407%08106/V REG 0130810312 Moody Rating BASS PRoting BB Security Identifier. F1413LCN4 Total Corporate Bonds: 2,500,000.000 2,537,100.00 SIR 44,371.85 110,175.00 2,899,905.30 USD 50,717.02 125,930.03 TOTAL FIXED INCOME 2,500,000.000 2,537,100.00 SIR 44,371.85 110,175.00 2,699,905.30 USD 50,717.02 125,930.03 Acaved Eillaeled Market Value Canna lateral Maul Income TOTAL EURO 2,537,100.00 EUR 44,371.85 110,175.00 2,899,905.30 USD 50,717.02 125,930.03 HONGKONG DOLLAR OPerdla Gala Armed 30-Day Description Garay Dance Bina Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242.25 183,24225 RIM 23,405.17 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HIM 0.00 23,405.17 USD 000 Accrued Markel Vela Currency Infant TOTAL HONG KONG DOLLAR 183,242.25 HIM 0.00 23,405.17 USD 0.00 Page 8 of 18 Account ?Arnim Rated (0141ent Clewing through Pealing11C. a wlay evened (very Year Since 2007 Maid's." of The Mak elNevi Yak Mellon DALBAR RATED COMMUNICATIONS CarporatIon(ONY WNW CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. (XCIlltria PeriPrix 11.C. m0-00 inatA.StRtliaseit00046476