EFTA01290231.pdf

15I Deutsche Bank Draisre Ban, PoomeWealh Mamtenan Mitarts I OrecIVC, IsP Cettsche Sank Saloon nc, P.O.Box 1776, Baltimore, MD 212O3 Mrs bri Olk• in Anew. 20th Hoer Mew eett.M. IOVA Account Num ber: Statement Period: 12/0112016 - 12/3112016 Portfolio at a Glance This Period Year-to-Date JEEPERS INC Beginning Account Value 53,130,335.71 $1,712,138.17 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 0.00 1,285,318.70 ST THOMAS VI 00802 Adjusted Previous Account Value 3,130,335.71 3,007,117.17 Dividends, Interest and Other Income 8,914 88 81,592.85 Net Chan ,e in Portfolio 10.558 60 60129.17 7nd rg AcccL.ntVa ue $3,149,809.19 3,1 4 9 8 0E. 19 Estimated Annual Income $83,407 18 Your Client Advisor: JOSHUA *IOWAN Asset Summary Prior Year-End Last Period This Period %Mlocation Cash, Money Funds, and Bank Deposits 205,961.90 1,419,312.57 1,479,787.72 47% n r Please rev e,v1,0.,r alicca:Foe Mutual Funds 1,538,176.57 1,651,023.14 1,670,021.17 pro° ca 7 ')C/ C ee:Ach so• Account Total (Pie Chart) $1,742,138.47 $3,130,336.71 $3,110,1011.19 10503% Page 1 dB Rated [...Hat A0099000CSF10024 Go paperless 2007 one*a PATO) COMMUNICATI0h6 M a tt. shwa veva 111:stlettrin 1.0.•••••LA 0..61 FINNY Mat .PC " SIV WIN* CONFIDENTIAL ?Mal IINOI SDNY_GM_00047594 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0010418 EF1'A_OO1582O3 EFTA01290231  Summary of Gains and Losses Realized This Period Year-to-Date Berealited Short-Term Gain/Loss 000 000 1,845.48 Long-Term Gain/Loss 0 00 000 -100,773.41 Net Gain/Loss 0.00 0.00 .19,126.02 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the tECE1') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest wil 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 Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130116 12/01116 Opening Balance 1,479,312.57 1,479,312.57 12130116 Deposit INCOME REIN VEST 475.15 1,479,717.72 12130116 Closing Balance 11,479,78732 Total All Money Market Funds $1,479,767.72 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 415.15 0.00 6,477.12 0 00 Other Dividends 1.43913 0.00 73,115.73 0 00 Total Dividends, Interest, Income and Expenses 36,914.86 30.00 $81,892.65 90.00 Page 2 ol 8 Account Number Riled Exc•Ilent 1>liAll it: IL paperless tray 'fan Sint* 2007 CIASBAR RATCD COMMUNICATIONS LEPERS INC XCII CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENTIAL SDNY_GM_00047595 DES-SDNY-0010419 EFTA 00158204 EFTA01290232  Deutsche Bank Dralsre Ban, Ponle Wei11. Ma.ziented Weals UMW* G.MP Dettfthe lank Seven .4 P.O. Box 1776, Baltimore, MD 21203 11•• %A Oita. Hf POI AMMO nth Met Mew etA Ire 10154 Statement Period: 1210112016 -12/31/2016 Portfolio Holdings Awns)! Addy ()peeing Chasing Accrued Income 30-Day Carrent °peeing Date Quantity Nurrber Emile labia Bahia Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 4 7.0 0% of Portfolio Money Market DEUTSCHE GOVT CASH IN STL 12101116 1.479.787.720 N/A 12130/16 1.479.312.57 1.479.787.72 000 8.477.12 0 38% 0.43% Total Money M arket 11,479,312.57 31,479,787.72 $0.00 $8,477.12 Total Cash, M oney Funds, and Bank Deposits $1,470,312.57 31,479,787.72 $0.00 0,477.12 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cod Basis Market Price Market Valet Gain! loss Annual Income Yield Mutual Funds 5 3.0 0% of Portfolio P MORGAN FLOATING RATE IN COME FUN D Security Weedier: PHSX SELECT SHARES CUSP: 481211510 Open End Fund Dividend Option: Reinvest, Capital Gains Option: Reinvest 02/13/13 13 148,957.299 10.0700 1,500,000.00 9.4500 1,407,648.47 -92.353.53 63,157.89 4.48% 03101/13 13 533.047 10.0600 5,362.46 9.4500 5.037.30 -325 16 226.01 4.48% 04/01113 13 591.454 10.1100 5,979.61 9.4500 5,589.24 390.37 250.78 4.48% 05/01/13 13 562.992 10.1300 5,703.11 9.4500 5.320.27 382.84 238.71 4.48% 016/03/13 13 937.343 10.0900 5,724.50 9.4500 5.361.39 363.11 240.55 4.48% 07/01/13 13 500.501 9.9700 4,990.00 9.4500 4,729.73 -260.27 21221 4.48% 08/01/13 13 527.827 10.0600 5,309.94 9.4500 4,987.97 321.97 223.80 4.48% 09/03/13 13 531.248 10.0300 5,328.42 9.4500 5,020.30 308.12 225.25 4.48% Reinvestments to 23.950.138 9.6350 230,751.45 9.4500 226,328.80 -4.422 65 10,154.86 4.48% Date Total Covered 176,721.849 1,769,149.49 1,870,021.47 -99,128.02 74,930.06 Total 176,721.849 $1,769,149.49 $1,670,021.47 -$99,128.02 374,930.06 Total Mutual Funds 61,769,149.49 $1,670,021.47 -$99,128.02 374,930.06 Unrealized Darned Estimated Cod Bade Market Valle Gait/ Lose Interest Annual Income l Total Portfolio Holdings 63,248,937.21 $3,149,809.19 -$99,128.02 30.00 183,407.18 Footnotes Page 3 of 8 Account Number Riled excellent DINO W.)11.1. G CEO pa «y RA " Tac 2°°7 'CATIONS M a ras edam Van a:, r ••••••••LC anis•••••. war se NS Si* LEPERS INC SDW_GA4_00047596 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010420 EFTA_00158205 EFTA01290233  Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts 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.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. All other securities in this section are securities which are "covered' 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(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 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 acquied 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. 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 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. will adopt a shortened settlement timeframe beginning with trade date September 6 2017. for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to ail-2 settlement cycle will provide faster access to sale proceeds, but it also means that funds wil be 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 about how you can set up e-delivery. Activity Sum m a ry oviamounrs shown am in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Yeas-to-Date Securities Secunbes Bought 000 .8439.73 -8.439.73 0.00 -73.11573 -73,115.73 Total Securities $0.00 -$8,439.73 -$8,439.73 $0.00 -$13,115.13 -$73,115.73 Dividends and Interest 0,914.81 WOO 8,914.81 $81,592.15 30.00 81,592.15 Cash Withdrawals 0.00 0.00 0.00 0.00 -4,420,200.85 -1,420,200.85 Deposits 0.00 0.00 0.00 5,685,549.55 0.00 5,685,549.55 Total Cash $0.00 $0.00 $0.00 $5,885,549.55 -$4,420,200.85 $1,285,348.70 Totals $8,914.88 -$8,439.73 $475.16 $5,787,142.40 -$4,493,318.68 $1,273,825.82 Piga 4 of 8 Account Number Road Cranford 1),IAll paperless Lay Vat aa 2007 O,LOAR RATED COMMUNICATIONS M a r.% LEPERS INC Ian IIIYKY SDNY_GM_00007597 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO N F D ArNTIAL DB-SDNY-0010421 EFTA_00158206 EFTA01290234  15I Deutsche Bank Orals° e Ban, Ponle wean Ma.zientni Mitatt COottIVG, WP Chische Ilank Senn, vt P.O.Box 1776, Baltimore, MD 212O3 Mw bet Once .145 •••re. 20th incer Mew verk. nr 10114 Statement Period: 1210112016 - 12/31/2011 Transactions by Type of Activity Process/ Settlement Dale Activity T Desdidion Deantity Price Starred Interest Amount Curren Securities Bought and Sold 12129/16 REIS. VEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT 894 039 .8.439.73 USD PH SX SHARES 175827.8100 SH RS SHRS PURCh. AT 59.44000 RD 12127 PD 12129/16 Total SOCUrItIOS Bought and Sold • U.S. DOLLARS 0.00 .5,439.73 Dividends and Interest 12/29116 CASH DMDEND RECBVED PM ORGAN FLOATING RATE INCOME FUND SELECT 8,439.73 USD PH SX SHARES115827 8100 SHRS RD 12121 PD 12129116 12/30116 MONEY MARKET FUND DEUTSCHE GOVT CASH 475.15 USD INCOME RECBVED 233993682 Total Dividends and Interest- U.S. DOLLARS 0.00 8,914.88 Total Value of Transactions 0.00 476.16 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: Ski Contact Information .O9.1.,ASPOSHAN Telephone Number: 280 PARK AYE - 3RD FL NEW YORK NY 10017 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent 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 m arket discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Page 5 of 8 Account Num her Rited[licoMM . >NAB nOtt Go paperless 0..,“"Perme ." .. RASZIC;C201 MW ,AMUNICATION6 aetrnets atria velt=tromein " OWN"• L Oa.* I •••••IA. ran =Pc LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL "Cr" na SDW_GA4_00042598 DB-SDNY-OO1O422 EFTA_OO1582O7 EFTA01290235  Your Account Information (continued) Electronic Delivery You have not selected any account con unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact 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 dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market ohms do not constitute a bid or an offer, and may differ from the actual sale price. Securities for Mich a price is not available are marked "N/A' and are omitted hom the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN 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 guile 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 pricir g 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. When 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 thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing vnll 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 (EAl) 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 Dustless 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to ..wnv.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 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 wil 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. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please prorriptty 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 km. 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 othenvise. 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, Moored a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page& of 8 Account Number Rated excellaint it it Cio paperless trimly Yen SUN. 2007 0A10Alt RAW:, COMMUNICATIONS M a rian ottriatalioCiiiiiZoiiiIS SAW OARS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO NF I DAENTTAL SDNY_GM_00047599 DB-SDNY-0010423 EF1'A_00158208 EFTA01290236  Deutsche Bank Dralsre Ilan, Poo/lewean Ma.ziental Mitatt CO•erIVG.MP Ch4fO,4 Saionfl P.0 Box 1776, Baltimore, MD 21203 Mw verb Once Joniell AMMO. leth I ter Mew eett. IVY 10114 Statement Period: 1210112016 - 12/31/2016 Important Inform ation and Disclosures (continued) 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 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, n certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appficable; 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 (SIPC'). 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: WfM.pershing.corniabouttstrength-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) 4134330. 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 parry's abibty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness 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 vAll 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 with respect to any claim 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 Raze, Jersey City, New Jersey 07399; (201)413.3330. Page? o18 Account Number. Go papedess Kited evoollent tray Vat Unto 2007 LEPERS INC OALOMt RAT( COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFID^ENTIAr"annla SDW_Ca4_00047600