EFTA01291029.pdf

Deutsche Asset & Wealth Management Draisee Sam PoeticW.1M Maatenmil Mitatt CO•MICIG.MP Dt•ISIN Sank Setioneint Mr. *A Once PO. Boa 1778. Baltimore. MD 21203 La Pet ASS,. Halbet Fern RAM IP14 )1.14:91, Account Number: Statement Period: 12/0112014 - 12/31/2014 J EPSTEIN VIRGIN ISLANDS Valuation at a Glance This Period Year-to-Dale FOUNDATION INC Beginning Account Value $1,865,040.12 $0.00 6100 RED HOOK QUARTER 53 el Cash Deposits and Withdrawals 000 1.864.730 29 ST THOMAS VI 00802 Adjusted Previous Account Value 1,865,040.12 1,884,730.29 Dividends, Interest and Other Income 46 82 515.29 Tots Taxes Withheld 0.00 .137.57 het Other Activity .27.615.04 .27.615.04 het Change in Portfolio 121.16 100.09 Your Client Advisor: nding Account Value 51.837,593 06 51,837,593.06 DAhlEt. Mean Estim aled Annual Income 5551 80 Asset Allocation Prior Year-&d Last Period This Period % Allocation LSD Cash, Money Funds and Bank Oeposits 0.00 1.837.546 24 1.837.593.06 100 00% Please revrtnv your allocation kon4.• SD Cash. Money Funds. and Bank Deposits 0.00 27.493 88 0.00 0.00% Your Account is 100% invested in USD Cash. Money Funds, and Bank Deposits. Account Total $0.00 $1,865,040.12 $1,837,593.06 100.00% See the Asset Allocation Declasses and Footnotes section for important information regarding your Asset Mocation. Page 1of 10 Rated excellent ()PA0 Will B0100579CSF30023 GO paperless ', v.." 'ear 5.,,W• 2007 oar...1..Ora wait:. rets... .. sty row OALSAR RAT(D COMMUNICATIOhtS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDE1SITIAL "a"`"`i SDNY_GM_00048675 DB-SDNY-0011499 EFTA_00159284 EFTA01291029  Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2014. Exchange rates can vary. For Your Information On June 5, 2014, the European Central Bank (the ICS') introduced 'negative interest rates'. This negative interest rate applied to a deposits held at the ECB and other credit institutions. Effective February 1. 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and nil reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S for tax year 2015. These rates are subject to change n 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 Currency Currency USD Equivalent per USD BRITIS/- POt,ND 1.5590 0.6414 Exchange rates are based on interbank exchange rates as of 12/31/2014. Exchange rates can vary. Money Market Fund Detail Date Activity Type Desaiption Amount Balance Sweep Money Market Fund DWS GOYERNM ENT CASH INSTL Account h um bet. 0000001493 Current Yield 003% Activity Ending 12/31114 11129114 Opening Balance 1,837,546.24 1.837.546 24 12/31114 Deposit IkCOME RBAVEST 46.82 1 837.593 06 12131114 Closing Balance 11,537,593.05 Total All Money Market Funds $1,537,593.08 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 46.82 0.00 479.05 0.00 Interest Income Credit Interest 0.00 0.00 0.00 -36.51 FDIC Insured Bank Deposits 000 000 72.75 0.00 Total Dividends, Interest, Income and Expenses $46.82 $0.00 $561.80 -$36.61 Page 2 of 10 Account Aumber: tray • Go paperless tray Yara•Sv.to 2007 PALMA RATED COMMUNICATIONS . ESTEI"Cb CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ifi F I DAENTTAL SONv_Okt_00048676 DB-SDNY-0011500 EFTA_00159285 EFTA01291030  Deutsche Asset & Wealth Management DralsOe Ban, Poo/lewean roanenan reran Coottate4,“P Dettsche INN Sawn..[. Mrs bri Oita. PO Bca 1778, Balumore, MD 21203 Pan Si,..,. I•thlIer Mew In Ire 10114 0111,12.&4I9S Statement Period: 12/0112014 - 12/3112014 Portfolio Holdings BRITISH POUND Openleg Closing Accrued 30-Day Description Quantity Balance Balance Curing Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 17,659.00 0.00 GBP 0.00 USD Total Cash, Money Funds, and Bank Deposits 17,659.00 0.00 GBP 0.00 0.00 USD 007 Ao:rued Markel Value Currency Interest I Total BRITISH POUND 0.00 GBP 0.00 LSD 0.00 003 U.S. DOLLARS Opening Closing Acaued Income 31-Day Dew lotion Plaudit), Balana Balms Income This Year Yield Cash, Money Funds, and Bank Deposits Money Market DWS GOVERN M ENT CASH INSTL 1,837,693.060 1,037,546.24 1,537,593.06 0.00 479.06 0.03% Total Money Markel $1,037.546.24 $1,537,593.06 $0.00 $479.05 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0.00 0.00 0.00 72.75 N/A Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $72.75 Total Cash, Money Funds, and Bank Deposits $1,137,546.24 11,537,593.06 $0.00 1551.10 Ataued Estimated Markel Valle Interest Maul lame Total U.S. DOLLARS 61,137,593.06 $0.00 MHO Accrued Estimated Market Value Interest Annual Income Total Portfolio Holdings - U.S. $1,937,593.06 $0.00 $551.80 DOLLARS Page 3 of 10 Account hum ber Rated tsy V... a l Go paperless WK. 2007 et a riaLWartn.7..1.%7 .11...... " ••••••••••••••• Wet. IWO J EPSTEIN VDTS. ?Va t: PAM, COMMUNICATIONS SDW_GM 00048677 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) N F DEMIAL DB-SDNY-00115O1 EFTA_00159286 EFTA01291031  Holdings Summary by Currency Canary Cash Total by Currency BRITISh POUND 0 0 GBP U.S. DOLLARS 1 837.593 1.837.593 LSO Total USD Equivalent 1,837,693 1,837,593 USD % of Allocation 100.00% 100.00% M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DVVS Investments website at httpsiNnwrdws-investrnents.corNENfpioducts/money-market-funds-yieldsjsp. 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 $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. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, VD andMC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 fomi on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.ccaVbusiness_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. Vvhen a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial can of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial participants may or may not receive an allocation of securities selected for redemption. Wien Pershing is notified that it received an allocation of called securities. Pershing conducts a similar. computer-generated random lottery. The lottery determines the accounts that vnll be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name. either in transit or held SI custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = $25,000): Client Account Par Value Number of Trading Units ABC-123234 5100,000 4 DEF-325465 575.000 3 Page 4 elle Account umbe Rated Cmollont lrwY Go paperless Tom Nam 2007 DRUMS. RATED COMMUNICATIONS M a rIWIL. t et wee wet taa. Vita" ie.. PINNY lAlle eve MEV SIN* J CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6•; e" ,"El" C F ID'ENTIAL SDW_Cat00048678 DB-SDNY-0011502 EFTA_00159287 EFTA01291032  Deutsche Asset & Wealth Management Draisre San. Poo/,[wean roanenan Mica's CoottleIG,C,P Cesisthe M Savona. xw bet Mar P.O. Box 1776, Baltimore, MD 21203 .115 Pit .1.P Nth I Ice! Mrs ettk. M WIN ISIS,7844091. Statement Period: 12/0112014 - 12/3112014 M essa es (continued) EDR-567433 6150,000 6 EGT4376574 $50,000 2 EGT-886345 525,000 1 FRT-435234 525,000 1 FRT-656797 375 0C3 3 In brief, the alocation process involves the following steps: • The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). 'A random number is generated that will result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the alocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information ' The allocation of called securities is not made on a pro-rata basis. Therefore, 4 is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. • When a partial call is deemed favorable to the holders of the called security, Pershing veil exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as wet as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts/ No allocation will be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market price as captured in Pershinglis price reporting system, Pershing will generally categorize the partial can as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing me generally categorize that call as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. haieMs also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. Page 5 of 10 DRAG RUtt J EPSTEIN VIC isIN Account A umber: lllllllllllllllllllllllll Go paperless Riled Emyllord trolly Ym• Wm* 2007 OAS0AR RATED COMMUNICATIONS =Ian NieZtaloll Uttreeem " F I DAENTTAL (Rai IONC1 SDNY_GM_00048879 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0011503 EF1'A_00159288 EFTA01291033  M essages (continued) I Activity Sum m ary (All amounts sham are in base currency) Credits This Period Year-to-Date Debits This Period Year-to -Dale Securities Securities Secunbes Bought 000 0.00 Secunhes Bought 000 .27 514 95 Total Securities $0.00 $0.00 Total Securities 10.00 -127514.95 Dividends and Interest $46.82 $551.80 Dividends and Interest $0.00 -$36.51 Taxes Withheld $0.00 $0.00 Taxes Withheld 10.00 -$137.57 Other $0.00 $0.00 Other -$27,815.04 -127515.04 Cash Cash Withdrawals 000 0.00 Withdrawals 0.00 -1 152 093 97 Deposits 000 3,016 824 26 Deposits 0.00 000 Total Cash $0.00 $3,016,824.26 Total Cash 10.00 -$1,152,093.97 FDIC Insured Bank Deposits $0.00 $3,016,892.48 FDIC Insured Bank Deposits $0.00 -$3,016,892.18 Money Market Funds $0.00 1925644.14 Money Market Funds -$46.82 .$2,763,237.20 Total Credits $46.82 $6,959,912.88 Total Debits .127,66126 -$5987527.72 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amoval Currency Dividends and Interest 12131114 MONEY MARKET FUND DWSGOVT CASh INSTL 46.82 USD INCOME RECEIVED 233993882 Total Dividends and interest • UNITED STATES DOLLAR 0.00 4622 Other Transactions 12117114 OUTGOING ADA USD CURRENCY OUTGOING KOK USD CURRENCY WIRE BRMSh POUND -1755900 GBP WIRE STERLING -27.61504 USD 68P999991 Exchange Rate. 1.5727 Total Other Transactions • BRITISH POUND 0.00 .17559.00 Total USD Equivalent 0.00 -27515.04 Page 6 of 10 LINFIDrismAL Account Number Rated Excellent oxen ROL Go paperless Leery Year Since 2007 CIALOAR RATED COMMLIPOCATIOhe ar et ietia et wee ir tnt7L Act::teen " Sae 6(Q J STEIN VI EXCEIIENCIE SONY_GM_00048680 CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. ) ' DB-SDNY-0011504 EFTA_00159289 EFTA01291034  Deutsche Asset & Wealth Management Onillu'e Rana Prmale Weal. kinagentne MYftsl Doerate 4,C,P DtsiSIM IllarA Setter Nes WI OR,. P.O. Box 1776. 8aleinwiro, MD 21203 MINA ASIIIMP. /VIM= Nerve Wet SY 1014 IIISSI MIMS Statement Period: 12/0112014 - 121311201/ Transactions by Type of Activity (continued) Process, Settlement Date Activity Type Description Quantity Price Accrued liters Amami Currency Money Market Funds 12/31/14 MONEY M *WET FUND DWS GO VT CASK INS% INCOME REINVESTED .46 82 LSD REIN VESTM ENT 133993681 Total Money Market Funds • UNITED STATES DOLLAR 0.00 -16.82 Total Accrued Interest Total Amount Transaction Semmary Total Accrued liters Total Amount Curren USD Equivalent USD Equivalent BRITISF POUND 0.00 .17.559.00 GBP 0.00 •27.61504 UNITED STATES DOLLAR 0.00 0.00 USD 0.00 0.00 The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PAM( AVENUE 26Th FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FAST IA 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: Treat all interest as original issue discount (CIO): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account coma unit:Mantic,' electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for m ore information. Pagel of 10 Account Number: rtm F lidtedincoMM Vann ROLL Go paperless Erin e dm: a ra Y."SiMe il grier 2°°7 RA T CD COMMUNICAT10116 IPOWOILA a•••1••••••.10/We —C J EPSTEIN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DENT/All'`ff SDW_GIN 00048681 DEt-SONY-0011505 EFTA_00159290 EFTA01291035  Important Information and Disclosures Pricing This section includes the ret 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 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 "Ms and are omitted horn the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EA') and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures ate 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. Snce 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. R