EFTA01290724.pdf

Deutsche Asset & Wealth Management Orriu•e PAM Mweets Ontia °sap Devileht kn. Mee ISA 011, P.O. Boy 1776, Banimore. MD 21203 ltfrant Ann*. 10th,lccr *no WA, JIY ICIVA P1,)4M7S13.0111/114:11 Account Number: Statement Period:1211112015 - 1213112015 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & Portfolio at a Glance This Period Year-to-Date DARREN K INDYICE TIMES Beginning Account Value $63,511,037.61 $02,302,676.21 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 41,812.57 151,909.90 ST THOMAS VI 00802 Adjusted Previous Account Value 63,626,450.08 62,467,586.11 Dividends. Interest and Other Income 12,818.20 1,124,687.70 het Change in Portfolio 3,724.50 60,718.97 ncl ino Account Value S63.642 ^ S63 .342 992 72 Accrued Interest 577,194 44 Your Client Advisor: Estim ated Annual hewn e 51.069.317.68 DANIEL SABBA Asset Allocation Prior Year-End LW Period This Period % Allocation USD Cash. Money Funds and Bank Deposits 43,922,855.89 17,556,338.54 17,601,124.92 74.80% P ease review your allocation LSD Fixed Income 11,100,200.52 8,778,908.91 8,650,927.88 13.59% cer coca y wth your Client Adviser. L SD Equities 6 979 820 00 7,251,590.00 7,390,940 00 1161% Account Total (Pie Chart) 962,302,676.21 $63,6111,837.61 563,642,902.711 100.00% See the Asset Alocabon Disclosure and Footnotes secton for trnponant informatonregartimgyotrAsset Abortion. Page lof 10 Railed excellent, B0097580CSF30024 Lvery v«. Late 2007 OSAN 'IOU DAL BAR RA TED COMMUNICATIONS a...8,A= —.flak MR. ,.< rxesturtaer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFlErOrfisAL SDNY_GM_00048087 DB-SDNY-0010911 EFrA_00158696 EFTA01290724  Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Ibis Period Year.to•Date Unrealized Shon•Term Gain/Loss 0.00 0.00 -5.208.74 Long-Term Gain/Loss 0.00 36,988.03 -270.930.88 Net GoIn/Lou 0.00 36,988.03 ,276,130.40 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Descriptioe Amend Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Number: 0000001492 Current Yield: 0.13% Activity Ending: 12131/15 12/01115 Opening Balance 47,558.338 54 47,556,338 54 12/31115 Depotit INCOME RBN VEST 3,173.81 47,559.512 35 12131115 Closing Balance $41,569,512.35 Total All Money Market Funds $41,559,512.35 Income and Expense Summary DJrrent Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 425)81.40 0.00 Money Market 3,173.81 0.00 Matins 0.00 Other Dividends 9,644.39 0.00 571,222.51 0.00 Interest Income Bond Interest 0 00 0.00 108,897.67 0.00 Total Dividends, Interest, Income and Expenses 412,818.20 $0.00 11,124,619.69 $0.00 Distributions Long • Term Capital Gain Distributions 0 00 0.00 68.01 0.00 Other Distributions 0.00 0.00 0.00 8.097.09 Total Distributions 40.00 $0.00 $60.01 48,097.09 Page 2 of 10 Account Nun be !Mud Ramollenti °RAS ROLL Go paperless Even. V... Lowe 2007 DALBAR RATED COMMUNICATIONS Tr- E rxenurner CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE TO RLST NF I Ora/1AL SDNY_Gfut_00048088 DB-SDNY-0010912 EFTA_00158697 EFTA01290725  Deutsche Asset & Wealth Management 0nto< Ram Pr'ftle *mall PI Manapnad Wnets Cowan Gto.p Dettscht la* Sewnes ',-c Mn Mt* Oat 1770, Balamore, MD 21203 14,PIA Mist lkh I ber Newlin* we 1011.4 aln 454.711119. (MI 78/...M. Statement Period: 1210112015 • 12131/2015 Portfolio Holdings Sccs.-1 Wray Opening Closing Acaued hose 31.Day Current Opening Date Daintily `lumber Endes Balance Balance Income nis Year Yield Yield Cash, M oney Funds, and Bank Deposits 75.00% of Portfolio Cash Balance 0.00 11,812.57 Money Market DEUTSCHE GOVT CASH INSTL 12101115 17,559,512.350 0000001/92 12131115 47856.338.51 47,559,512.35 0.00 18,918.11 0.08% 0.13% Total M oney Market 117 556 338.51 $47 569 612.36 $0.00 $18,918.11 Total Cash, M oney Funds, and Bank Deposits 541,556,336.61 $47,101,121.92 $0.00 $18,918.11 kfiuded Unrealized kaued Estimated Edimated Date Acquired Ountity Uait Cod Cod BMA Market Nice Mullet Value Gainlloss Interest kneel Income Yield Fixed Income 10.00% of Portfolio (In Melutity Date Sequence) Corporate Bonds IPAYMENT INC GTD SR NT Security Identifier: 4$382EAE5 10.250% 05115/18 B/E DID 11115/11 CALLABLE 12/31115 Q 105.125 Moody Rating CAA3 S & P Rating CCC 10/02/12 ',12,13 500,000.000 94.3810 471,806.62 98.7500 493,750.00 21,943.38 6,518.81 5t,250.00 10.31% Original Cost Bans: 5445.000.00 PM ORGAN CHASE & CO DEP SHS REPSTG Security Identifier: 46625HHA1 1110TH FED SER 1 FIXED TO FLTG RT BO 7.900% 0/1291/9 B/E DID 04/23/08 Moody Rating BAA3 S P Haling BBEI- 05/10/11 '.12,13 3,000,000.000 111.2650 3,337,958.33 101.8000 3,051,000.00 ,283,958.33 39,500.00 237,000.00 7.76% Original Cost Bator 53,337,958.33 BANK AMER CORP PERP NON COM ULMIVE DEP Security Identifier: 060605DT8 SHS FIXED TO FLOAT 8.125% 04/30/58 8/E DTD 0/130108 CALLABLE 05/15/18 Moody Rating BA2 Sb P Rating BB+ 05/10/11 3,000,000.000 112.9870 3,389,620.83 101.7500 3,052,500.00 -337,120.83 31,145.83 243,750.00 7.98% Page 3 of 10 !mos:Incur- : Account Num be IM ed tscolleria .11:7=7:6====rd= MIAS 9Oll paperless (very Year Woo. 2007 DALBAR RATED COMMUNICATIONS re...rum —.-••••••orynn ThE FAZE Tb I)(mune, CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) STO NF IDAENTIAL SDNY_GM_00048089 OB-SDNY-001O913 EFTA_00158698 EFTA01290726  Portfolio Holdings (continued) Adjusted Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Basis Market Price Martel Valve Gail Loa Interestd Acuue Mnual Income Yield Fixed Income (conunued) Corporate Bonds (continued) BANK AM ER CORP PERP NON COM ULADVE DEP (continued) Original Cod Basis: 53,389,620.83 Total Corporate Bonds $7,199,385.78 $8,800,250.00 -$599,135.78 $77,194.44 $532,000.00 8,500,000.000 Total Fixed Income $7,199,385.78 $6,600,250.00 -$599,135.78 $77,194.44 $532,000.00 8,500,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gall Loss Mnual Income Yield Equities 12.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SKS REPSTG 1/1000TH Security Identifier C PRK PFD SER K DIV CM% PERPETUAL MATT CUSP:172967341 PERPETUAL CALL 11/15/24 25.00 Dividend Option: Cash 02103114 79,000.000 25.3090 1.999.418.90 27.8800 2,200,940.00 201,521.10 135,781.25 6.16% CITIGROUP INC DEP MS REPSTG 111000 Seomity Identifier: C PRC PFD SER C DIV 5.8% PERPETUAL MATT CUSP: 172967366 PERPETUAL CALL 04/22/182)25.00 Dividend Option: Cash 10/28114 49.033.000 24.0810 1,180,739.16 25.9500 1,272,408.35 91,667.19 71,097.85 5.58% 10/29114 150,967.000 24.3130 3,670,430.48 25.9500 3,917,593.65 247,163.17 218,902.15 5.58% Total Covered 200,000.000 4,851,169.04 5,190,000.00 338,830.38 290,000.00 Total 200,000.000 $4,851,169.84 $5,190,000.00 $338,830.36 $290,000.00 Total Preferred Stocks $8 850 688.54 $7,390,940.00 $540,351.46 $425,781.25 Total Equities $8,850,688.54 $7,390.940.00 $540,351.48 $425,781.25 Unrealized Estimated Estimated Date Acquired Quantity Usk Oast Cost Basis Market Price Market Value Gall Loss Mnual Income Yield Mutual Funds 3.00% of Portfolio M ORGAN FLOATING RATE IN COME FUND Security Identifier: PHSX SELECT SI-ARES CUSP: 481211510 Open End Fund Dividend Option: Reinvest, Capital Gains Option: Reinvest 01/22113 198,216.056 10.0900 2,000,000.00 9.1000 1,803,788.12 -196,233.88 81.466,79 4.51% 02101113 630.057 10 0670 6.342.92 9.1000 5.733.51 -609.41 258 95 4.51% 03101/13 'ra 711.578 10.0600 7,158.48 9.1000 6,475.36 -683.12 292.46 4.51% 04/01/13 789.547 10.1100 7,982.33 9 1000 7.184.88 -797.45 324.50 4.51% 05/01/13 er3 751.550 10.1300 7,613.21 9 1000 6.839.11 -774.10 308.89 4.51% Page < of 10 B0097 8007 F ()SAN ROI I CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Mum be HAZE TeO i NF I:YEN-NAL Go paperleSS 14100 taceliora Veer laws 2007 DAL BAR RATED COMPAUPOCATIONS rxesturrier SDNY_GM_OOO48O9O OB-SDNY-0010914 EFIA_00158699 EFTA01290727  Deutsche Asset & Wealth Management Orals.. Rant Pnwair vieunalWernall Pdaeals CodrageGnat) Dettsch4 WA Smoot, %lc Mee yen Mar P.O. Ban 1776, Skidmore, MD 21203 HI Part 4..y.Ita I ter War RA 101E 01114:44414. MAI 7144,91, Statement Period: 12/01/2015 - 12131/2015 Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gainfloss Annual Income Yield Mutual Funds (continued) P MORGAN FLOATING RATE INCON E FUND (continued) 06103/13 '. 3 757.380 10 0900 7,641.77 9.1000 6,891.98 •749.79 311.28 4.51% 07101113 t 3 668.131 9.9700 6.661.27 9.1000 6.07919 -581 28 274.60 4.51% 08101113 '. 3 704109 10 0600 7,08137 9.1000 6,411.94 476.43 289.59 4.51% 09103113 1,3 109.175 10 0300 7,11103 9.1000 6,453.48 459.55 291.47 4.51% 10101113 712.100 10 0210 7.137.85 9.1000 6,480.10 457.75 292.67 4.51% Total Noncovered 201,660.163 2,061,739.23 1,552,315.17 412,422.75 11,111.20 Reinvestments to 2%689.052 91210 203,293.71 9.1000 188,361.39 -14,932.32 8,507.32 4.51% Date Total Covered 20,699.062 203 293.71 118,361.39 41,932.32 8,507.32 Total 226,319.216 12,268,032.91 $2,060177.85 4217,355.08 $92,818.52 Total Mutual Funds 12,268,032.94 12,060177.55 4217,356.08 192,618.52 Unrealized Accrued Estimated Cost Basis Markel Value Gain/ Loss Interest Annual Income l Total Portfolio Holdings $63,919,132.18 $63,542,992.15 4276,139.10 177,194.44 11,069,317.88 Footnotes • Noncovered under the cost basis rules as defined below. 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.110-34 3, 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 %filch are 'covered under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting Ivies are defined as nonretnement, US taxpayers securities which have been acquired on or after their 'applicable date(sF at which they are subject to the cost basis repelling rules and the adjusted basis will be reported to the IRS on form 109943 for the appbcable 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 unti the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking 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. Page 5 of 10 NI F IDA Account Number Rawl tacollone aut paperless t very Vs. Siva 2007 n cti,‘L ROI 1 DAUM. RATED COMMUNICATIONS Th FAZE TbsTO rxatL,Ncr 6(e) SDNv_GM_00048O91 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0010915 EFTA_00158700 EFTA01290728  Portfolio Holdings (continued) 3 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 transfening 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. Please note the foVoi4ing information for Pershing's 2015 IRS Forms 1099 03, Dill INT, 010 and WC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16. you will be mailed either your 1099 form ore 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 nil be mailed no later than March 17, 2016. Activity Sum m a ry (All amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year•to•Date Securities Secunbes Bought 000 .9.64439 -9.644.39 0.00 4.256.852.04 .1 256 852 04 Secunties Sold 0.00 0.00 000 2.329 942 58 000 2.329 942.58 Total Securities $0.00 -99,644.39 -$9,644.39 $2,329,942.58 -$1,256,852.04 $1,073,090.54 Dividends and Interest $12,818.20 $0.00 $12,818.20 $1,124,619.69 $0.00 $1,124,619.69 Distributions $0.00 $0.00 $0.00 $1,325,849.10 $0.00 $1,325,849.10 Cash Deposits 4I 612 57 000 ll 612 57 154 909 90 0 00 154 909 90 Total Cash $41,612.57 $0.00 $41,612.57 $154,909.90 $0.00 $154,900.00 Money Market Funds $0.00 $0.00 $0.00 $0.00 •$2,843,785.83 •$2,843,785.83 Totals $54,430.77 •$9,644.39 $44,786.38 $4,935,321.27 -$4,100,637.87 $834,883.40 Transactions by Type of Activity Process! Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 12(30115 REIN VEST CAS1- IN CO ME YM °RCM FLOATIAG RATE INCOME FLA D SELECT SPARES 1,060149 9.644.39 LSO PH SX 224288,2260 SFRS SFRSKRCH. AT 59.09000 RD 12128 PO 12130115 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -9,644.39 Page 6 of 10 Account Number. Rasa tacelbra liilAtt .0II co paperless (very Vow' Siva 2007 DALBAR RATED COMMUNCATIONS ME I-AZ rxournser CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) E TC F4TO NFIDarrIAL SDNY_GM_00048092 DB-SDNY-0010916 EFTA_00i5870 I EFTA01290729  Deutsche Asset & Wealth Management ONIN Manair-wan Maroets Ww 4.0.p De.tic la eau Yin bete Mar P.O. Boa 1778, Babimore, MD21203 iiltatit Itnit noct tine tn.. nr IOVA I) 1,14M-.7.13. lilt I >arc's Statement Period: 12101/2015 - 12/31/2015 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Carrency Dividends and Interest 12130115 CASH DIVIDEND RECBVED PM ORGAN FLOATING RATE INCOME FUND SELECT SHARES 9.644.39 USD .PF SX 224288.2260 SHRS RD 12128 PD 12130115 12131(15 MONEY MARKET FUND DEL TSCFE GOVT CASH 3,173.81 USO INCOME RECBVED 233993682 Total Dividends and Interest. UNITED STATES DOLLAR 0.00 12,818.20 Cash Withdrawals and Deposits 12131(15 FEDERAL FLNDS FECEIVED FSBC BANK USA. NATIO 47744 41,612 57 USD L S0999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 41,812.57 Total Value of Transactions 0.00 44,788.38 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154.0003 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 Flan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Am culla premium on taxable bonds based on Constanl Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Pape 7 of 10 Account Number. Raked Excellent, ie .:4=7= Go paperless Unn Ven Slab 2007 THE FAZE DAL BAR RAT ED COmmuNCATIONS Te ra°ONFIDrwriAL rxciumer SEIY_GM_00048093 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010917 EFrA_00158702 EFTA01290730  Your Account Inform ation (continued) Electronic Delivery You have not selected any account corn in unications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more inform alion. Important Information and Disclosures Pricing This section indudes 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 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 NIA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 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 YAW pershing.cornibusiness_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 in confirmations previously famished 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 information 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 Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Sec