EFTA01290854.pdf

Deutsche Bank (*.iv.< Rant Pnnie Wean. stragenan Weals Codrage 6,0. p Oftisov las SetteOes P.O. Box 1776, Baltimore, MD 21203 lire von Cali., In Pan Anis.. 260. I to Na leek 7tt 1011A IIul 454.71114.1115178114,9S Account Number: N4G-024943 Statement Period: 12101/2016 - 1213112016 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & Portfolio at a Glance This Period Year-to-Date DARREN K INDYKE TTEES Beginning Account Value 146,626,753.25 $63,642,992.78 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 -17.742.141.25 ST THOMAS VI 00802 Adjusted Previous Account Value 46,626,753.25 45,900,85113 Dividends. Interest and Other Income 22.174 41 1.018,37727 Net Chan Portfolio 2" 334 Cr .58 966 20 nding Account Value $46,860,262.60 $46,860,262.60 Accrued Interest Your Client Advisor: Estimated Annual Income 5699 826 98 JOSHUA SHOSHAN Asset Summary Prior Year-Ead Lad Period This Period %Allocation Cash. Money Funds. and Bank Deposits 47,601,124.92 33,960,724.05 33,971,632.06 72% P ease review your allocabon Fixed Incom e 8,800,250.00 3,474,000.00 3.538,83000 8% cer cthaa y wth you' Clent Acosor. Equities 7.390,940 00 6,988,040.00 7.122,650 00 15% ututd Funds 2 050,677 86 2,203,989 20 2,229,350 54 5% Account Total (Pie Chart) $63,842,992.78 140,825,763.25 148,880,282.00 100% Page lot 10 Rita. [mailer. 5009 94 09CSF30024 [very V... Since 2007 VOALI Rol DAL BAR RAT (0 COMMUNICATIONS rxesurNer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIErEgN aP i A s L SDNCGM_00048217 DB-SDNY-0011041 EFTA_00 158826 EFTA01290854  Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term GamlLoss 000 0 00 2,196 59 Long-Term Gain/Loss 0 00 303.370 83 -150.382 96 Net GaIn/Loss 0.00 403,37013 ,146,166.37 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 andior 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 Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130116 12101116 Opening Balance 33,960,724.05 33.960.724.05 12130116 Deposit INCOME REINVEST 10.908 01 33.971.632 06 12130(16 Closing Balance $33,971,632.06 Total All Money Market Funds $33,971,632.06 Income and Expense Summary Current Period Year-lo-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 425,781.32 000 Money Market 10.908.01 0.00 85,769.85 0.00 Other Dividends 11,268.40 0.00 456,478.88 000 Interest Income Bond Interest 000 0.00 51.250.00 000 Credit Interest 0.00 0.00 0.00 -902.78 Total Dividends, Interest, Income and Expenses 122,174.41 $0.00 11,019,280.05 -1902.78 Page 2 of 10 Account Number. N4G-024943 Rai Excelle Go paperless (very Vs. since 2007 NF D anAL VOlt DAL BAR RATED COMMUNICATIONS ThE I-AZ rxarturmer SDNY_GM_00048218 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E TE CO DB-SDNY-0011042 EFTA_DO 158827 EFTA01290855  Deutsche Bank Isre Mn. 00.410 Vona nmanapnad hlvetts Iowa,. Goo.p Devito* Ma * i Sew nes AC P.O Box 1776, Baltimore, MD 21203 Mrs A Mcir HI Pan eis~. Ikh War wet 1,tt 1011.4 Inn 4544114. mar 78114MS Statement Period: 12/0112016 • 12131/2 016 Portfolio Holdings Acto.:-; *dishy Opening Accrued Ino3me 30•Day Current Opening Date Quantity 'lumber Ending Balance Balance Cllig Income This Year Yield Yield Cash, M oney Funds, and Bank Deposits 7 2.0 0% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 12/01116 33,971,632.060 NM 12130/16 33,960,714.05 33,971,632.06 0.00 85,769.85 0.38% 0.13% Total M on ey Market 933,960,724.05 933,971,632.06 $0.00 985,769.85 Total Cash, M oney Funds, and Bank Deposits $33,960,724.05 $33,971,632.06 $0.00 $65,769.55 Adjusted Unre ed Accrued Estimated Estimated Date Acquired Quantity Veit Cod Cost Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income 8.00% of Portfolio (In Matunty Date Sequence) Corporate Bonds IPAYM ENT INC GTD SR NT Security Identifier: 46262EAE5 10.250% 05/15/18 WE DM 11115111 Price Estimated as of: 12128116 CALLABLE 01/29117 fa 102.563 Moody Rating CAS d P Rating CC 10/02112'.12.13 500,000.000 96.5270 482,633.22 86.0260 130,130.00 •52,50322 6,54861 51.250 00 11 91% Original Cost Bass: 5445.000.00 PM ORGAN CHASE 8 CO DEP SKS REPSTG Security Identifier: 46625HHA1 1/10Th PFD SER I FIXED TO FLTG RT BO 7.900% 01119/19 WE DTD 04123/08 Moody Rating DAM S P Rating BBB- 05/1D111 '.11,13 3,000,000.000 111.2650 3,337,958.33 103.5500 3,106,500.00 -231,158.33 39,500.00 237,000.00 7.62% Original Cog Basis: 53.337.958.33 Total Corporate Bonds $3,820,591.55 63,538,630.00 -9263,901.55 $48,048.61 $1011,250.00 3,500,000.000 Total Fixed Income 03,820,591.55 93,538,830.00 -$263,961.55 $46,048.61 9188,250.00 3,500,000.000 Page 3°110 Account Number N4G-014943 Maid excellent, ORAN Go paperless L very low Unto 2007 CALMAR PA TED COMMUNICATIONS TYE H HAZE traer CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) TU FLISTO NFIDriTriA rxcrur SDNY_GM_00048219 OB-SDNY-0011043 EFrA_00158828 EFTA01290856  Portfolio Holdings (continued) Unrealized Estimated Estimated Date Aoadred Ouaetlty Usit Cod Cod Bads Market Price Markel Value Gale/ Loss Annual Income Yield Equities 15.00% of Portfolio Preferred Stocks (Listed by expiration dale) CITIGROUP INC DEP SKS REPSTG 111000TH Security Identifier: C PRK PFO SER K DIV 6.875% PERPETUAL MATT CUSP. 1729673/1 PERPETUAL CALL 111151230 25.00 Dividend Option: Cash 02/03114 79,000.000 25.3090 1,999,416.90 27.3500 2,160,650.00 161,231.10 135,781.25 6.28% CITIGROUP INC DEP SKS REPSTG 111000 Security Identifier: C PRC PFD SER C OIV 5.8% PERPETUAL M CUSP. 172967366 PERPETUAL CALL 04/22/16025.00 Dividend Option: Cash 10128114 19,033.000 24.0810 1,180,739.18 24.8100 1,218,508.73 35,769.57 71,097.85 5.84% 10129114 150,967.000 24.3130 3,670,430.48 21.8100 3,745,491.27 75,060.79 218,902.15 5.84% Total Covered 200,000.000 4,851069.84 4,982,000.00 110,830.38 290,000.00 Total 200,000.000 $1,861,169.81 $4,982,000.00 3110,830.38 $290,000.00 Total Preferred Stocks $8,850,588.54 37,122,850.00 3272,081.48 $425,181.25 Total Equities $8,850,608.54 37,122150.00 3272,081.18 9426,181.25 Unrealized Estimated Estimated Dale Acquired Quantity Ualt Cod Cod Basis Market Pro Market Value Gale! Loss Annual Income Yield Mutual Funds 5.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND Security Identifier: PHSX SELECT SPARES CUSP 481211510 Open End Fund Dividend Option: Relive Capital Gains Option: Reinvest 01122113'•3 198,216.058 100900 2,000.000.00 9.4600 1,873,141.72 •126,85828 84,013.60 4.48% 02101113'•3 630.057 10 0670 6.342.92 9.4509 5.954.04 488.88 267.14 4.48% 03101/13 '.3 711.578 10.0600 7,158.48 9.1500 6,724.41 -434.07 301.71 4.48% 04101113 '.3 789.547 10.1100 7,982.33 9.4500 7,461.21 -521.12 334.77 4.48% 05101/13 '.3 751.550 10.1300 7,613.21 9.4500 7,102.15 •511.08 318.68 4.48% 06103/13 757.360 10 0900 7,641.77 9.4500 7,157.06 -481.71 321.12 4.48% 07101113 '.3 668.131 9.9700 6,661.27 9.4500 6,313.83 .347.41 283.29 4.48% 06101113'•3 704.609 10 0600 7.088.37 9.4500 6.658.56 .42911 29175 4.48% 09103/13 '.3 709.175 10.0300 7,113.03 9.4500 8,701.70 .41133 300.69 4.48% 10101113'.3 712.100 10 0240 7.13715 9 4500 6.729.31 .408.51 30113 4.48% Total Noncovered 204150.183 2,084,739.23 1,933,944.02 -130,795.21 81771.86 Reinvestments to 31,259.947 9.6260 300,897.59 9.4500 295.406.52 .5.491.07 13,254.22 4.48% Date Total Covered 31,259.947 300,897.59 295,408.52 -5,491.07 13,254.22 Total 236,910.110 $2,385138.82 32,229,350.54 -3138,288.29 6100,025.88 Total Mutual Funds $2,386,638.82 32,229,350.54 -$138,288.28 $100,025.88 Page 4 of 10 Account Num Der. N4G-024943 Rated excellent, 80099409CSF30024 °env v, THE HAZE TrdSTO NF I DAGo paperless Every V.A. Lace Z007 DAUM. MUD COMMUNCATIONS rxemmer CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) e" ENTIAL SDNY_GM_00048220 OB-SDNY-0011044 EFIA_00158829 EFTA01290857  PA Deutsche Bank ()PASO( Pnwair Wea•n•Aptagenmt Min. Cisme GKM) Deetich• Sank SecteOes P.O. Box 1776, Baltimore, MD 21203 Mar M Oat* SO Pan As. s 26ffil ber Mew** NY 1011.4 'WI 491MM 78114,9S Statement Period: 12/0112016 .1213112016 Portfolio Holdings (continued) Unrealized Accrued Estimated Cod Basis Market Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $17,008,418.97 $46,860,262.60 -$148,186.37 $46,045.61 $899,826.96 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are genially not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (VC) (incorporating amendments enacted by P.L.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. Al other securities in this section are securities which are scovered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, 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 cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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. 12 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 firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your Investment at $1 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 heed 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 =tact 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. will adopt a shortened settlement timeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds, and unit investment trusts. Movng from a 7.3 to a 7+2 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delWery of your account documents-including trade confirmations, account statements and more. Ask your advisor about how you can set up e-delivery. Page of 10 Account A um ber N4G-024943 Rated tacellera UNA!, ROI( Go paperless L very Year Since 2'007 DALBAR RATED COMMUNICATIONS TFE FAZE rRGSr rxentrwer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDranAL SDNCGM_00048221 DB-SDNY-0011045 EFTA_00 158830 EFTA01290858  Activity Summary ,air' amounts shown are in base currency) Credits This Period Debits This Period Net Ibis Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Securities Bought 0.00 -11.266.40 -11,266.40 0.00 .97 603 88 .97,603.88 Securities Sold 0 00 0 00 000 3,191,875.00 0 00 3,191,875.00 Total Securities $0.00 -$11,266.40 -$11,288.40 $3,191,175.00 -$97,603.86 $3,094,271.12 Dividends and Interest $22,174.41 $0.00 $22,174.41 11,010,280.06 .$902.78 11,011377.27 Cash Withdrawals 0.00 0.00 0.00 0.00 19,000,000.00 .59,000,000.00 Deposits 0.00 0.00 0.00 41,257,858.75 0.00 41,257,858.75 Total Cash $0.00 $0.00 $0.00 111,257168.75 469,000,00010 -$17,742,141.26 Totals $22,114.41 -$11,268.40 $10101.01 $46,469A 13.80 469,098,60616 413,629,49216 Transactions by Type of Activity Process Settlement Date Activity Type Description Quantity Price Maud Merest Mont Carew Securities Bought and Sold 12129116 RDA VEST CAS1- INCOME P MORGAN FLOATING RATE INCOME FUND SELECT 1,193.475 .11,268.40 USD $1-SX SHARES 234716.6350 SHRS SR RS PLRCH. AT 19.44000 RD 12127 FO 12/29116 Total Securities Bought and Sold - US DOLLARS 0.00 41,28610 Dividends and Interest 12129/16 CASH DIVIDEND RECEIVED ,P MORGAN FLOATING RATE INCOME FUND SELECT 11,268.40 USD .PH SX SHARES 234716 6350 SHRS RD 12127 PD 12/29/16 12130116 MONEY MARKET FUND DEUTSCHE GOUT CASH 10,908.01 DM INCOME RECEIVED 233993682 Total Dividends and Interest- U.S. DOLLARS 0.00 22,174.41 Total Value of Transactions 0.00 10,906.01 USD The price and quantity displayed may have been rounded. Client Service Inform ation Your Client Advisor: ENJ Contact Information JOSHUA SHOSHAN Telephone Number: (212) 454.4433 280 PARK AVE • 3R0 FL NEW YORK NY 10017 Page 6 of 10 01,09917007F.!!' Account Kum Der. N4G-024943 Itotacl tacellenti belny Year Since 2007 DRAB BOU TF E FAZE T DALBAR RATEOCOMMUNCATIONS v.-meow, •irc rxnurnaer CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) IONFID4V3h)cserleis r AL SDNY_GM_00048222 OB-SDNY-0011046 EFT:4_00158831 EFTA01290859  a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Dralat elm PrIftle VrOtal PI Ma nalune. Marais Cowan Comp Deaulv Sank Smoot, Ac Mow b4 Olt to HS Pen Ass, 260. I ter Wm.** WY 10114 I1V14914,18. OM) 711114,9S Statement Period: 1210112016 • 12/31/2016 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond AraortizatIon 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 corm unications for electronic delivery. To register and turn off paper communications, log in lo your account or tented your Client Advisor for more information. Important Information and 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 which a price is riot available are marked WA' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS VVHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. Mien the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly4raded securities. debt securities in default. securities that do not have a valid pricing source, and certain third-party structured products. the last available pricing win be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 condnions, they should not be retied 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to wiwr.pershing.conVbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The doter 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 vriU 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 Page 7 of 10 Account Num ben. N4G-024943 Rasa tacollenti 1.)•Alf 901.1 ME Go paperless "At DALBAVIIRATEDC2rOALUNICATIONS rvtir ris=af-t=- - /abr. MC mans.. OS WON. WV "Ii= NFIDIAL r %Ca LI'NC, SDNY_GM_00048223 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) I-AZE Ito DB-SDNY-0011047 EFTA_00158832 EFTA01290860  Important Inform ation and Disclosures (continued) Reinvestment (continued) whom your security was purchased, may be obtained. In cwideno reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confamations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial intonation 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 Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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. Foreign Currency Transactions Pershing may 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 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. Ratings This statement may contain credit rating information obtained from Standard & Pooes. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or avaiability of any information. Standard & Pools is not responsible for any eras or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pool's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as clearing broker pursuant to