EFTA01290526.pdf

Gnaws flam,re Mwgentrd MweettCONWN,C.mli NviscM Sank Sett. don m. Mew verb Mcv PO &a Ills. 841t rm.* MD 2 I N3 Ma nn. Account Num ber: N4G-024935 Statement Period: 12/01/2013 - 12/31/2013 Valuation at a Glance This Period Year-to-Date Beginning Account Value $36,429,453.85 $0.00 et Cash Deposits and Withdrawals 9,273.026 65 44,145,594.02 JEEPERS INC Net Securities In/Out of Account 0.00 1,538,411.13 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 46,702,480.60 46,884,005.16 ST THOMAS VI 00802 Dividends, Interest and Other Income 1,326.85 19,643.37 Net Chan•e in Portfolio .1.546 24 4 612 59 ndrng Account Value 545.708.261 11 $45,708,261.11 Estimated Annual Incom e $70,841 59 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-Fad Lad Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 0.00 34,874,17121 44,148,000.42 96.59% Pie Chart allocation only includes products that are of positive value. USD Fixed Income 0.00 1,555,282.64 1,560,260.69 3.41% Account Total (Pie Chart) $0.00 330,429,453.85 845,708,201.1I 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposits are not securities and are rot covered by the Securities Investor Protection Cogitation (SIPC). These bank deposes are covered by tet Federal Deposit Insurance Corporation (FDIC). up to abrade See page 2 of this statement tor imponam information regarding the Asset Alocation section. Pagel of 10 * Railed Fmcollo.t awls. Omagh PereSeLL0. • radar segmalliwr B0105 MOST 300 22 GA.o *p , ,,tperiess , ,‘ Stan YedIS in A Row GIALLO, *AIM COMMUNICATIONS na....••••• rya. vets orreasoismis. set aro" ,t<wesestame. VC CONFIDEN 1AL liEC 'UDC{ SDW_GIA_000478439 l a CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010713 EFTA_00158498 EFTA01290526  Asset Allocation Disclosure and Footnotes Fixed Income ccrtains Fixed Income Mutual Furds. Summary of Gains and Losses Realized This Period Year•to-Date Unrealized ShorbTerm Glasses 0.00 0.00 4.625 68 Net Gain/Loss 0.00 0.00 4,625.68 This summary excludes transactions where cost basis intonation is not amiable For Your Information Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the *Messages' section at the end of this statement for details. FDIC Insured Bank Deposits (late Activity Type Desorption Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G024935 Activity Ending: 12131113 11130113 Opening Balance 34,874,171.21 34,874,171.21 12113113 Deposit INTEREST CREDITED 802.58 34,874,97317 AM 0.03% 12116113 Deposit DEPOST 11,128,369.64 46,003,343.41 Associated Bank NA NO 12/16 525000010 BUT NO 12/16 $25100010 Bank of America NO 12116 5250000.00 Olibank NA NO 12116 525000010 Deutsche Bank NO 12116 $43753343. East West Bank NO 12/18 5250000.00 NY Community Bank NO 12116 5250000.00 Texas Capital Bank NO 12116 5250000.00 Union Bank of CA Paget of 10 P.C.ICISISICSF30022 Account Number Go I kgyer less Raged I Ae Rant Sty en Yeats In A Row Olowlso•••••••• Pers•SRLI.C. • ••••••• SAW ••••~, clan of einnen•••••• ['sea larna•••• M.S( /vase. oast f ft. A on IS UPC DALBA• RATED COMMUNICATIONS SONY GM_00O47890 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P.67 INCCONFIDENTIAL DB-SDNY-0010714 EFTA_OCII 58499 EFTA01290527  Draisre Bin, Finnic Wtsith Magatentm Wiens /Weft* CoWP ChM.. Sank Settanti *re van OR,. PC. B,M 1776, Bat rrow MO 2'2..n 315 Pot Air,m. Halter Mew etA ItY IOVA PM CA .21$4. MSS, 211. 409S Statement Period: 12/0112013 - 12/3112013 FDIC Insured Bank Deposits (continued) Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) NO 12116 $250000.00 Corn enity Bank NO 12116 $250000.00 12120113 Withdrawal WITHDRAWAL -1.855312.99 11.118,000 12 12131113 Closing Balance $44,148,000.42 Total FDIC Insured Bank Deposits 914,118,000.42 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership kicluding individual retirement accounts and certain other self diected retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Priest Period Year•to•Date Taxable Non Taxable Taxable Not Taxable Dividend Income Other Dividends 5,076.59 0.00 15,789.27 0.00 Interest Income FDIC Insured Bank Decorate 802.58 0.00 2,406.40 0.00 Total Dividends, Interest, Income and Expenses $5,819.15 $0.00 $18,195.17 $0.00 Distributions Long - Tenn Capital Gain Distributions 756.26 0.00 756 26 0.00 Short • Term Capital Gain Distributions 691.44 0.00 691 44 0.00 Total Distributions $1,447.70 $0.00 $1,447.70 $0.00 Page 3 of 10 Account Number: N46-024935 Go paperless [Wed rm<ollont 01•0010. Lit. • VOWS/ •••••••••• "----- P*10SISICSF30022 Seven Yeas In A Pow et AlOWN•••• •••enu,-SIS ,Sew •WISO „C ••••••• • MA A Pe•III ,nn LIFERS INC CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) CONF IDA5NTIAL ' v." SONY GM_00047891 DB-S6NY-0010715 EFTA_00158500 EFTA01290528  Portfol io Holdings Activity Opening Closing Accrued Income 30.Day Current Owing Date Quantity Account Humber BaMnce Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 9 7.0 0% of Portfolio Ending FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11130113 44,148,000.420 N4G024935 12/31113 34674,17121 44,148.00042 622.93 2.406 40 N/A MA Total FDIC Insured Bank Deposits 634 874 171.21 144 141 000.42 6622.93 $2,406.40 Total Cash, Money Funds, and Bank Deposits $34,874,171.21 644,146,000.42 $622.93 $2,406.40 Unrealized Estimated Estimated Date Acquired Quantity Unit Coll Cod Balls Market Price Market Value Dalai loss Annual Income Yield Mutual Funds 3.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND Security Identifier: PHU SELECT SHARES CUSP: 48121L510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13/13 13 148.957.299 0.0700 1,506000.00 10.1000 1,504,468.72 4,468.72 65,988.08 4.38% 03101/13 13 533.047 0.0600 5,362.46 10.1000 5,383.77 21.31 238.14 4.38% 04/01/13 13 591.454 0.1100 5,979.61 10.1000 5,97369 -5.92 282.01 4.38% 05/01/13 13 562.992 0.1300 5,703.11 10.1000 5,68621 -16.90 249.41 4.38% 06103/13 13 567.343 0.0900 5,721.50 10.1000 5,730.17 5.67 251.33 4.38% 07/01/13 13 500.501 9.9700 4,990.00 10.1000 5.055.06 65.08 221.72 4.38% 08101/13 13 527.827 0.0600 5,309.94 10.1000 5,331.05 21.11 233.83 4.38% 09/03/13 13 531.248 0.0300 5,328.42 10.1000 5,365.61 37.19 235.34 4.38% Reinvestments to 1,709.545 0.0830 17,236.97 10.1000 17266.41 29.14 757.33 4.38% Dale Total Covered 154,481.256 1 655 635.01 1,560,260.69 4,625.66 66,435.19 Total 164,481.266 61,655,635.01 61,560,260.69 64,625.61 669,435.19 Total Mutual Funds 61,565,635.01 91680,26019 64,625.66 668,435.19 Unrealized /weed Estimated Cost Basis Market Value Gain/ loss Interest Annual Income Total Portfolio Holdings $45,703,635.43 $45 708 261 11 $4,625.68 $0.00 $70,841.59 Footnotes 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.L110-343, 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 wtich 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 v4 be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Page 4 of 10 Account Num ber t 12•4•41 I x<ollent 01401144 Weal. 0•11111•4 Ile. • IMMO/ 04••••ISIS, ......................,............... B01051SICSFI 0 02: LEPERS INC Go paperless A WA TIAL r Seven Yeas In A Row (MIAMI PAIM COMMUNICATiONS EXCELLING{ 40 .......oatc gesso sse. eves sec SDW_GA4_00047892 CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) CONFID5N DB-SDNY-0010716 EFTA_00158501 EFTA01290529  Dmisre San, Pootle wean ma-utentne Pestor0 CoorneGwp Ce.tsche Sank Sectenek Mw verb 011os 0 *kw 1776, BA welt MD 2110.1 315 Pot earne.3011. I locr Statement Period: 12/0112013 - 12131/2013 Portfol io Holdings (continued) 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 cc after January 1. 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delvering firm or transferrrg agent and Pershing makes no representation as to the accuracy of this information. M essages Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Coryoration.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:Mwm.dws-investments.conVEN/products/money-market-funds-yields.fsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at ft 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 investment professional for additional information, Effective January 1, 2014, service and account-related fees wit be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded secunty and $25 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a kst of Program Banks, please visit hfitx/Awywnwm.db.conVemerieaSienrCashSweePOPbons.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. 5 of 10 Account Number * Rated 0.collont Mee tall. • wear awed inils~ir BOIOSIS3aF30022 DILAS.0 II I GO WW1"ieSS. Seven Yeas Inn Pow OW'Scaw es Tim rs vas •••••••:•••••Se ..,.e.. can sees new rase sec vas" SUERS INCC • - • . . , I C. .. y .... &natal *AIM COmmunsiCATtONS 1XCII.104CC SDNY_GIA 00047893 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0010717 EFTA_00158502 EFTA01290530  Activity Summary (All amounts shown are in base currency: USD) Credits This Period Year-to-Dale Debits This Period Year-to-Date Securities Securities Secunbes Bought 000 000 Secunbes Bought -6.524.29 .17 236 97 Total Securities $0.00 $0.00 Total Securities .16,524.29 ,117,236.97 Dividends and Interest 15,879.15 $18,195.87 Dividends and Interest 10.00 $0.00 Distributions 11,447.70 $1,447.70 Distributions 10.00 10.00 Cash Cash Withdrawals 0 00 0.00 Withdrawals -2.000.000.00 .7.005.173 24 Deposits 11.273.026 65 51 150.767 26 Deposits 0.00 0 00 Total Cash 01,273,026.85 01,150,767.28 Total Cash -12,000,000.00 -$7,005,173.24 FDIC Insured Bank Deposits 0,855,342.98 $6,885,689.47 FDIC Insured Bank Deposits ,111,129,172.20 -01,013,689.89 Total Credits 113,135,698.49 158,036,100.10 Total Debits .03,135,896.49 ,158,036,100.10 Transactions by Type of Activity Process/ Settlement Date Activity Type Decriptios Quantity Price Acaued Interest Amour OCT Securities Bought and Sold 12102/13 REINVEST CASH INCOME ,P MORGAN FLOATING RATE INCOME PAD SELECT SNARES 502.136 -5,076 59 USD ,PhSX 153836 0670 *RS SHRS PURCH. AT 510 11000 RD 11127 PD 12/02/13 12/13/13 REINVEST CASH INCOME .P MORGAN, FLOATING RATE INCOME FUND SELECT SHARES 68.324 -691.44 USD .1314SX 154338 2030 S -RS SHRS PORCH. AT 510 12000 RD 12111 PD 12/13113 12/13/13 REINVEST CA* INCOME MORGAN FLOATING RATE INCOME FUND SELECT *ARES 74.729 •756.26 USD PFSX 154338.2030 S -PS *RS PURCH. AT 510.12000 RD 12111 PD 12/13/13 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .6,624.29 Dividends and Interest 12/02/13 CASH DIVIDEND RECEIVED MORGAN FLOATING RATE INCOME FUND SELECT *ARES 5.07659 USD .P+SX 153836 0670 SF RS RD 11127 PD 12102113 12/13113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 802.56 USD DEPOSITSINTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,879.15 Page 6 of 10 Account Numbe Rased 1.<•ilont OlisloravemphOeniglo• LLC. • wade. son., •••••St Go paperless Sean Yeas In A Pow OALSAA PAID COMAAUNICATIONS •• manager ti Mw „ C Tea user, wrangle,caw eras sea sin LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDE\MAL SONY GM_00047894 DB-S6NY-0010718 EFTA_00158503 EFTA01290531  DnitiOs Wu ionic W..11. Ma.zienen Mann Corey, G,C,P Dimly he Sank Sefton. mc Nee *45k. Pa em )771 Eamon MD 21203 US PM Mom. nib MC, PM 10114 (1141Wan NW 2104014 Statement Period: 12/0112013 - 12/31/2013 Transactions by Type of Activity (continued) Process' %pitmen; Date Adivih Tvoe Decal ion Quant Price Accrued littered Amount Ca DIstributiors 12/13/13 LONG TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FliN 0 SELECT SHARES 756.26 USD DISTRIBUTION 1513312030 S-RS RD 12111 PD 12113/13 .PtiSX 12/13/13 SHORT TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FUND SELECT *ARES 691.11 USD DISTRIBUTION 154338.2030 ShRS RD 12/11 PD 12/13/13 PHSX Total Distributions • UNITED STATES DOLLAR 0.00 1,447.70 Cash Withdrawals and Deposits 12/13/13 FEDERAL FUNDS RECBVED BANK OF AM ERICA N.A. 20777 11,128,369.64 USD USO999997 12/19/13 FEDERAL FUN DS RECBVED P MORGAN CHASE BANK 24003 141.657.01 USD USO999997 12/20/13 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .2,000.00100 USD LSO999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 9,273,026.65 FDIC Insured Bank Deposits 12/13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .802.56 USD DEPOSITS INTEREST REINVESTED 458997996 12/16/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .11.128.369.64 USD USD999997 12/20/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1,855,342.99 USD WITHDRAWAL USO999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -9,273,829.21 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Page 7 of 10 Account Number RsAed mcolkont r oomer.. •••••••miLLC. • 'Away sonie••••••Sr 1,11AP-Cti I Go paperless Seven YeiS In A Pow OALSAA ItAltO COMMUNICATIONS LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRim. P. 6(e) CONFIDECITIAL SDW_GA4_00047895 DS-SDNY-0010719 EFTA_OO1585O4 EFTA01290532  Client Service Information Your Client Advisor: TDS Contact Information TARA SMITH Telephone Number: 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 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 01ST Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m u