EFTA01254068.pdf

DABlute Ram Footle M111.14,Ntentel levelsComm G.o.p Chita. NM Sen,lei AC liew IRA 0TIc• PG ea 1771.0eleinalentiV203 345 Pull MONK Me I /cc! D ESE-MIL PM 7814091. Account Number: N4G-023112 Statement Period: 1210112013 -1213112113 Valuation at a Glance this Period YeeMeDate Beginning Account Value $4,828,234.42 10.00 Net Cash Deposits and Withdrawals 0.00 1.665.414.47 SOUTHERN TRUST COMPANY INC Net Securities InlOut of Account 1 585 000 00 3,106,900.00 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 6,413,234.42 1,772,311.17 ST THOMAS VI 00802 Dividends, Interest and Other Income 13 00 30 313 45 ne rrar Net Chan e in Portfolio r iti til mi it ää Esta ated Annual Income $221.157 20 Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-End Last Period This Period % Meath» USD Cash. Money Funds, and Bank Deposits! 000 1,695,714.92 1,695,727.92 2626% Pie Chart alOcat on only nciudes products that are al positive value. USD Fixed Income 0.00 1,607,000.00 1,581,400.00 24.49% Non-USD Faced Income 0.00 0.00 1,650,000.00 25.55% USD Equities 000 1.525.519.50 1.530.450.00 23.70% A unt Total (Pie Chart) $0.00 $4,828,234.42 $6,457,617.92 100.00% I The Ben t Deposits in your account are FDIC insured Dana deposits. FDIC insured bark deposes are not securities and are rot covered by the Secuntes Investor Fraction Corpteatian (SIPC). These bank deposes are covered ty the Federal @Quart Insurance Coroorat on (FDIC). up to Mint* hints. See page 2 of this statement for important information regaMmg the Asset Alocaten section. Pagel 0410 Rated (lets...AI. arms sire. Neese -C. • WM% MIMIISSI B-0105i10CSF30022 Go papertess Yeas M A Row or name. Naas.. cwpwrilmMIT »MN CALM" ä RATED COMMUNICATIONS ..,....,.c Ma. I.• reel d. • I 11. CONF IDEN TAL VICKILoci SDNY_GA1 00007371 CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) DB-SDNY-0010195 EFTA_00157980 EFTA01254068  Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 12/31f2013. Exchange rates can vary. Summary of Gains and Losses Realized This Period Year.to-Date Unrealized She1.7m Gain/Loss 0 00 0.00 .378.130 00 Net Galnl Loss 0.00 0.00 -378,130.00 This summary excludes transactions where cost basis information is not available. 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 Date Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet N46023812 Activity Ending: 12131/13 11130/13 Opening Balance 1,695.714 92 1.695.714.92 12113113 Deposit INTEREST CREDITED 13.00 1.695.727 92 APT 0.01% 12/16113 BUT 1,695,727.92 NO 12116 $231500.00 Bank of Am erica NO 12116 5237500.00 Citibank N A NO 12116 5237500 00 Deutsche Bank NO 12116 S237500,00 East West Bank NO 12/16 5237500.00 AY Comm unity Bank NO 12/16 $3322792 Texas Capital Bank NO 12/16 5237500.00 Page 2 of 10 Account Number. NIG-023 12 ReAledfm<ON.t 01400. 10 Way. 0.1.01•10.1.6 • Meat OWNS •••••••••• Go paperlesS SovenYemskvAPow OALANARAltOCCNONWHICATHIONIS 40 Tim Mai Mt •Ner•Ca••••••••••••••••• Pea. ILC •••••••a•Ila ••••• EXCillENCIE SONY GM_00047372 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e)6THERN nrIDENTIAL DB-S6NY-0010196 EFTA_00157981 EFTA01254069  Draisre Wm. Prmaie W..*', 14.atenmil Weals CON.ft re Comp CVIANN lelltSenorlel Nes Wart Moo HI Fa, Sae. 1411. I keg lieslat. PM 10114 P 12)4544110.Mil M4015 Statement Period: 12/0112113 - 1213112113 FDIC Insured Bank Deposits (continued) Date Adivity Type Description Amount Belau* Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Com enity Bank NO 12/16 5237500 00 12131113 Closing Balance 11,695,727.92 Total FDIC Insured Bank Deposits 11,695,727.92 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 including individual retirement accounts and certain other setf directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year.to•Date Taxable Non Taxable Taxable Noe Taxable Dividend Inc°m e Equities 0.00 0.00 30,281 25 0 00 Interest Income FDIC Insured Bank Deposits 13.00 0.00 32.20 0 00 Total Dividends, Interest, Income and Expenses $13.00 30.00 $30,313.45 $0.00 Portfolio Holdings Activity Opeteieg Closing Ao:reed Income 30.Day Current Opening Date Quantity Account Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 26.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11130/13 1.695.727 920 A4023812 12/31113 1,695.714 92 1,695,727.92 7.92 32.20 N/A N/A Total FDIC Insured Bank Deposits $1,695,714.92 $1,695,727.92 $7.92 $32.20 Total Cash, Money Funds, and Bank Deposits 11,695,714.92 31,695,727.92 Met $32.20 Page 3 of 10 Account hum ber NIG-023 12 Ravel F.c•114.1 01.400••••91. wePeralant1.0. • *Oar ••••• yeast e*I0SII0CSF300:2 GO paperless Seven Yeas In A Pow OA LIIPA ItaltOCOMMUNICAllONS re name ve.....e.•••••••ave•Ner0 CACMINCE SONY GM_00047373 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67: "N C STOnn Dr N ITIAL DB-S6NY-0010197 EFTA_00157982 EFTA01254070  Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Dale A sed Quantit Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Mnual Income Yield Fixed Income 5 0.0 0% of Portfolio (in Matunty Dale Sequence) Corporate Bonds HSBC USA INC MEDIUM TERM NTS Security Identifier: 404727077 BRAZILIAN REAL RELATIVE TO USG 0.000% 03/27/14 NE DE0 03/20/13 03/13/13'.12.11 1,000,000.000 100.0000 1.000.000.00 77.5900 775.900 00 -224,100.00 0.00 Original Cost Bails: $1,000,000.00 HSBC USA INC MEDIUM TERM NTS Security Identifier: 10432XES6 BRAZILIAN REAL RELATIVE TO USD 0.000% 04121114 81E DTO 04112113 04105113'.12.13 (.000.000.000 100.0000 1.000.000.00 80.5500 805,500 00 -194.500.00 0.00 Origins Cost Baits $1.000,00000 IPETROLEGS DE VENEZUELA Security Identifier: P7807HAF2 NOTES SENIOR lake XS0160516525 5.000% 10/28/15 REG DTO 10/28109 S8 P Rating 8+ Please Provide' 2,000,000.000 N/A Please Provide 82.5000 1.650.000.00 NIA 17.222.22 100.000 00 606% Originai Cost Bass: Reese Provide Total Corporate Bonds $2,000,000.00 $3,231,400.00 -9418,800.00 $17,222.22 $100,000.00 4 000 000.000 Total Fixed Income $2,000,000.00 $3,231,400.00 -$116,800.00 $17,222.22 $100,000.00 4,000,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Valle Gain/ Loss Mnual Income Yield Equities 24.00% of Portfolio Preferred Stocks Sind by expiration dale) ALLY F1NL INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB SERA CALLABLE CUSP 0200514308 Dividend Option: Cash 08111113 1.11 57.000.000 26.1400 1 489.980 00 26.8500 1.530.150.00 40.170.00 121.125.00 7.91% Total Preferred Stocks $1 489 980 00 $1 530 450 00 $40 170 00 $121 126 00 Total Equities $1,489,980.00 $1,530,450.00 $40,470.00 $121,125.00 Unrealized Accrued Estimated Cost Basis Market Value Gain/ Loss laterep Animal Income Total Portfolio Holdings 35,185,707.92 16,457,577.92 -$378,130.00 $17,222.22 $221,157.20 Footnotes Noncovered under the cost basis rules as defined below. 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 ('iRt) (incorporating amendments enacted by P.L110-313, 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 Page 4 of 10 PC10$410CSFI002: OR% (til Account Number. 1146-023 12 Go powerless a Seven I xt Silent RaKcl DAEILA Yeaas In A Rove tx van.c itRIED COMMUNICATIONS OlowSre ei name twos. i“ MS, LW- • wapay elipao• ••••••••• owe •••••••••• ass ivaranNA tow ..< care maws SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) O SO T "I nn DrRITIA L". " SONY GM_00047374 DB-S6NY-0010198 EFTA_00157983 EFTA01254071  Oralute li no Prmale wean Pia-utenme warats CanoeGPp DMUS Yr* Seto°. MC Naar\ Cake PO Sc, Irns, RAMO. MO 21M) 345 Parli Mist !Uhl/cc Ms Wet PM 101,4 PO) 451-211111.poonnon Statement Period: 12/0112013 -1213112013 Portfol io Holdings (continued) this section are securities which are covered under the new cost basis reporting rules. Secunbes Much are'covered" under the new cost basis reporting rules are defined as securities wench 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-B 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 afterJanuary 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. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of (cod 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 portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 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 deivering firm or transferring 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 Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at hrips://wmv.dvis-investments.corNEN/products/money-market-funds-yields.jsp. 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 S1 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 will be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: 595 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security 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 Page S of 10 Account hum ber NIG-023812 It•Mcl rx<oll•nt Olowleg anwelt•••••••,110. • ~Pt asionells~r BOI 1005F300:2 Go paperless Soren Yeas In A Row OALSMI I maasm.Nowteni rame••••••••••••••• made Par* tLc orem FS MSS VC SDW_GM_00047375 SCUTFIERt CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ST Ovripriv i riAr txcliwcnin)ce.m icAT"Dns DB-SDNY-0010199 EFTA_00157984 EFTA01254072  M essages (continued) For a list of Program Banks, please visit http://nwricovandb.corrdamericasieniCashSweepeobons.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. Activity Sum m a ry (All amounts shown are in base currency: USD) Credits This Period Yeardo.Date Debits This Period Year-to-Date Dividends and Interest $13.00 $30,313.15 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 000 1,665,414.47 Deposits 000 000 Total Cash $0.00 $1,665,414.47 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$13.00 -$1,695,727.92 Total Credits $13.00 $1,605,727.92 Total Debits -$13.00 .$1,695.727.92 Transactions by Type of Activity Neese/ Trade/ Settlement Transaction Date Date Activity Type Desalpllos Otiantit Price Accrued Interest Amount CCY Securities Withdrawals and Deposits 12104113 12103113 SECURITY RECEIVE.) PETRO LEOS DE evEZUELA NOTES SENIOR 2,000,000.000 0.00 USD P7807HAF2 ISINOXS0460546525 5.000% 10128/15 FIG DTD 10/28109 Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 Dividends and Interest 12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 13.00 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 13.00 FDIC Insured Bank Deposits 12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST RBN VESTED -1300 USD DEPOSITSINTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 -13.00 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Page 6 of 10 Account Number NIG-023 12 RanNI r...,,..,, Sywisear , Ameolo• LUI • Most wad *SS/4 0SII0CSF30022 IIMAR•C Go paperless Srven Yr.ws In A Row DALSA• RATED COMMUNICATIONS Ans. itC one ~IA ram SDNY_GM_00047376 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DES-SDNY-0010200 EFTA_00157985 EFTA01254073  bar's Sam Pule WNW. Ha.. ental Weans CiNene 0 ,CM/ Deell4N Oak Senn, 'AL Now RDA Dam HI Fa, Messli, Nth I kw' lers'eat. 10114 0 D) ESE411R, Rin17.84095 Statement Period: 12/0112013 - 12/31/2013 Client Service Inform ation Your Client Advisor: IDS Contact Information TAZIA SMITH Telephone Number: 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10151 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Mods In a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications, log in to your account or C011186 your Oienl Advisor for m ore 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 have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. 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 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. Refer to Wifitpershing.com/businesscontinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 will 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. 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 in contimations previously furnished to you. A summary of this information is evadable 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 information concerning your option accounts, please prornptty 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 Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page 1of 0 Account Aumber N46-023 12 sg-en Raked I Acoliont arose ante. MS...LC. • wear ••••• Go paperless -- In A aew 40 man as vett raw. cammemiscanv arm. DrNETTAL. B0105110CSF300:2 DALA• RATED COMMUNICATIONS tome. itC saranolm. MSS VC ST LXCELLINCE SDNY_GM_00O47377 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 67:FERN DB-SDNY-0010201 EFFA_OO157986 EFTA01254074  Important Information and Disclosures (continued) Proxy Vote Secunties 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 act