EFTA01190526.pdf

Pulse xlheti hoer Wwlei Nsurnror, Manes (aerate Geve Deovne lank Woo we Ma vett Ca. PO Bat 1776. II:Armee MD 21233 345Pek /WOW. 20h NOV It,. Yeric t ICVA 001154.1214. OSS)71$ 403S Account Number: Statement Period: 08/01/2014 - 08/31/2014 Valuation at a Glance This Pedod Year-lOste SOUTHERN FINANCIAL LW Beginning Account Value $103,635,665.44 $90,573,050.28 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -273,000.00 9,837,54215 ST THOMAS VI 00802 Adjusted Previous Account Value 103,362665.44 100,410,592.43 Dividends. Interest and Other Income 439.623.39 2,417,791.02 Net Other Activity 0.00 -54.00 Net Chan e in Portfolio 417.409.86 1.391.369.24 Ending Account Value 5104,219,698.69 $104,219,698.6 Your Client Advisor. Estimated Annual Income $3,646,365.03 TAZIA SMITH Asset Allocation Prior Year-EM Last Period This Paled % Allocation USD Cash, Money Funds, and Bank Deposits 18,295,949.71 30,329,970.74 34,850,094.30 33.44% Please review your allocation. USD Fixed Income 27,736,972.38 23,923,01.06 19,591,460.64 18.80% Assets of less than 1% of holdings Non-USD Fixed Income 10227,309.46 7,759,787.00 7,722,321.25 7.41% era not &splay on this pie man. USD Equities 30,410,519.65 41,232,354.98 38,644,087.25 37.08% I Non-USD Equities 3,137,192.74 0.00 3,027,344.00 2.90% Non-USD Cash, Money Funds, and Bank Deposits 402,106.34 390,461.66 384,391.25 027% Other 363 000.00 0.00 0.00 0.00% Account Total (Pte Chart) $90,573,050.26 $103,635,665.44 $104,219,698.69 100.00% See the Asset Alocalion Disclosure and Footnotes section for important information regarding your Asset Alocalion. Page 1of 20 4 it s, RMY0 EvulleM cowry oreveurewoo u0. • Wee Ina wiry/Woe COMES.R011 8009 72S2CSP30015 Go p.aperless AV MOOT C.00IPMY Every Voor Uwe 2007 DAMAO RATED COMMUNICATIONS ef The Gra MMus Yogi Maim Cora. eons. U.C. MIS/ maw titSt PK Sara EXCELLENCE EFTA01190526 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data All values are displayed in U.S. dollars based on interbank exchange rates as of 08131/2014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term Gain/Loss 1580.38 18,212.90 2,733,326.04 Lone-Term GairVLoss -2.611.813.65 -7.029.061.12 2.717.691.59 Net Gain/Loss -2,609,833.27 -7,010,848.22 5,451,017.63 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Global Cash Currency Closing Amount in Currency USD Equivalent per USD Currency Balance Base Currency USD EURO 1.3171 0.7592 EURO 291,846.67 384,39125 Total Global Cash Balance $384,391.25 Exchange rates are based on interbank exchange rates as of 08/31/2014. Exchange rates can vary. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Amount Number: 0000001490 Current Yield: 0.03% Activity Encing: 08/29/14 08/01/14 Opening Balance 30,324,16934 30,324,169.54 08101/14 Deposit MONEY FUND PURCHASE 5,801.20 30329.970.74 08/05/14 Deposit MONEY FUND PURCHASE 2,098750.00 32,423,720.74 08/06/14 Deposit MONEY FUND PURCHASE 261,889.92 32.685.610.66 08/08/14 Withdrawal MONEY FUND REDEMPTION -534,873.02 32,150,737.64 08/12/14 Deposit MONEY FUND PURCHASE 82,091.18 32,232,828.82 08/14/14 Withdrawal MONEY FUND REDEMPTION -266,420.00 31,966,408.82 08/18/14 Deposit MONEY FUND PURCHASE 165,48129 32,131,890.11 08/19/14 Deposit MONEY FUND PURCHASE 82,431.92 32,214,32203 08/22/14 Deposit MONEY FUND PURCHASE 83.418.63 32,297,740.66 08/26/14 Deposit MONEY FUND PURCHASE 30,618.92 32,328,359.58 08/29/14 Deposit MONEY FUND PURCHASE 86,404.83 32,414,764.41 08/29/14 Deposit INCOME REINVEST 815.62 32.415.580.03 08/29/14 Closing Balance $32,415,580.03 Total All Money Market Funds $32,415,580.03 Page 2 of 20 Account Number: Rated EL ccKent Ow.. Ms.. Owe.. WI nOtOly and estelel 110097252CSF30015 011A6iR011 Go paperless (very Veer Since 2007 DALIN., RATED COMMUNICATiONS el Tie Ora el lime Von. leikeen Corns, Poesy ti.C. mimeo/ masa MIK SVC IOW NS) SOUTHERN FINANCIAL LLC Ali MOUT 14X4IVIRY EXCELLENCE EFTA01190527  duher En, ',wile WWI MN minnow MVatt (aerate Groo onion. sank stare' into Noe Yee MOM PO Box 1776. Bat IrICe0 MO21233 345Patb Mettin. Nth Ma Ilinefeet, MT 10114 4544801. MSS) 211L4C9S Statement Period: 08/01/2014 - 08/31/2014 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 116,33625 aoo 468,457.23 0.00 Money Market 815.62 0.00 3,587.45 0.00 Other Dividends 93,750.00 0.00 499,005.20 0.00 Interest Income Bond Interest 67,04426 0.00 695,861.21 0.00 FDIC Insured Bank Deposits 0.00 0.00 1691.15 0.00 Other Interest 40,625.04 0.00 121,875.12 0.00 Total Dividends, Interest, Income and Expenses $318,571.17 $0.00 $1,791,477.36 $0.00 Distributions Alternative Investments 0.00 121,05122 0.00 626,313.66 Other Distributions 0.00 21,174.66 0.00 488,230.19 Total Distributions $0.00 $142,226.88 $0.00 $1,114,543.85 Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Accrued Income 30-Day Current Opening Date Quantity Number Ending Balsa biro bcome This Year Yield Yield Cash, Money Funds, and Bank Deposits Cash Balance 5,80120 2,434,51427 Money Market DWS GOVERNMENT CASH INSTL 08/01/14 32,415,580.030 0000001490 08/29/14 30,324,169.54 32,415,580.03 26.65 3,587.45 0.03% 0.03% Total Money Market $30,324,169.54 $32,415,580.03 $26.65 $3,587.45 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08/01/14 N4G023804 08/29/14 0.00 0.00 0.00 2.691.15 N/A N/A Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $2,691.15 Total Cash, Money Funds, and Bank Deposits $30,329,970.74 $34,850,094.30 $26.65 $6,278.60 Page 3 of 20 Account Number: Riled Emallent army sore u.C. • tame, and ••••••••••i 800972S2C3P30015 OBAB.ROLL Go paperless Every Year Since 2007 OAL XXX RATED COMMUNICATIONS M In •• New". 'Aron Cents. Pea. ti.0 arta+ m.o.. utsc VC Sore SOUTHERN FINANCIAL LLC Aga AlquIr 'Canny EXCELLENCE EFTA01190528 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estlmaled Date •.wired Cuantit Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income (In Maturity Date Sequence) 6Asset Backed Securities COUNTRYWIDE HOME LOANS Security Identifier: 12669DYS1 SEA 03-1 CL B14.090%03/25/33 B/E DTD 01/30/03 Factor:023181744 Effective Date:08101/14 Current Face Value: 1,043,178.480 12/13/13 .,3.12 4.500.000.000 933760 974.082.95 86.1950 899,167.69 -74,915.26 3,555.50 Original Cost Basis: $1.111.573.07 WASHINGTON MUT MTG SECS CORP 2004-RA2 Security Identifier: 939336S20 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972%07/25/33 B/E DTD 06/01/04 S & P Rating Factor: 0.57776879 Effective Date:08/01/14 Current Face Value: 745,321.739 12/13/13 ',3,12 1,290,000.000 765190 570,309.83 87.0420 648,742.95 78,433.12 4,330.58 Original Cost Basis: $638,906.71 Total Asset Backed Securities $1,544,392.78 $1,547,910.64 $3,517.86 67,886.08 $0.00 5,790,000.000 Total Current Face Value: 1,788,500.219 Corporate Bonds JPMORGAN CHASE & CO MEDIUM TERM NTS Security Identifier: 48126NVE4 CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 10/16/14 B/E DTD 09/27/13 12/05/13 .,3,12 1,000,000.000 100.0000 1.000.000.00 105.0400 1.050.400.00 50.400.00 0.00 Original Cosl Basis: $1.000.000.00 PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2 NOTES SENIOR ISINAS0460546525 5.000%10/28/15 REG DTD 10/28/09 S & P Rating B+ 12/04/13',3,12 2.500.000.000 93.6050 2,340,116.28 93.0000 2.325.000.00 15.116.28 42.361.11 125.000.00 537% Original Cost Basis: $2,250,000.00 HEADWATERS INC GTD SR NT Security identifier: 422109E/5 7.625%04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ',I2,13 1.000.000.000 102.1670 1.021.666.69 105.5000 1,055,000.00 33,33331 31,770.83 76.250.00 7.22% Original Cosl Basis: $1.035.000.00 EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 2703214C6 CUSIP FROM 270321/68 8.875% 05/15/19 EVE DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 .,3;12 400,000.000 102.6890 410,756.48 102.2500 409,000.00 -1,756.48 10,452.78 35.500.00 8.67% Page 4 of 20 Account Number: Rated E.aeINM camas. einey• /emirate Lan nee, 110097252CSF30015 OBA6.ROLL Go paperless Every Year Since 2007 0Atfiali RATED COMMUNICATIONS et Tee •••• ee Nes Yen lassen Ceelereece en PoiliSigt“ Feu mak MSC SOY Oen ••••••..., SOUTHERN FINANCIAL LLC EXCELLENCE EFTA01190529  °MIX X Min. Venn. Wnkh Manemai Mann I orerae. 6,0.0 oNtww EW few sec M,. Vert at. PC Boc 1776. Elan Nov *d1) 21233 145,PafI /MOW. 26th ItW It.. Vert t IC .4 12121154.1811. OSS) 4035 Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimated Date abed Quantil Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) EARTHLINK INC GTD SR NT FULLY EXCHANGED (continued) Original Cost Basis: $414,000.00 10123112 600.000.000 102.4990 614,992.62 102.2500 613,500.00 -1.492.62 15,679.16 53,250.00 8.67% Original Cost Basis: $619,500.00 Total Noncovered 1,000,000.000 1,025,749.10 1,022,500.00 -3,249.10 26,131.94 88,750.00 Total 1,000,000.000 $1,025,749.10 $1,022,500.00 -$3,249.10 $26,131.94 $88,750.00 SERVICEMASTER CO SR NT - CUSIP FULLY Security Identifier: 81760NAN9 EXCHANGED FROM OLD CUSIP 81760NAL3 8.000%02/15/20 B/E DTD 02/13/12 Moody Rating CAA1 S & P Rating B- 01/24/13 440,000.000 104.5910 460,19663 107.2500 471.9C0.01 11,700.38 1,564.44 35,200.00 7.45% Original Cost Basis: $468,050.00 02/25/13 .,I2,13 1,000,000.000 105.1020 1,051,018.62 107.2500 1.072.499.99 21,481.37 3,555.56 80,000.00 7.45% Original Cost Basis: $1,070,000.00 Total Noncovered 1,440,000.000 1,511,218.25 1,544,400.00 33,181.75 5,120.00 115,200.00 Total 1,440,000.000 $1,511,218.25 $1,544,400.00 $33,181.75 ;5,120.00 $115,200.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: 64615PP48 TERM NOTES ISINNS0717735822 9.875%12/16/21 REG DTD 12/16/11 Moody Rating Bat S & P Rating BBB 12/04/13 .,3,12 1,500,000.000 107.9440 1,619,166.62 117.0000 1,755,000.00 135,833.38 104,510.42 148,125.00 8.44% Original Cost Basis: $1,627,500.00 SOUTHERN CALIF EDISON CO Security Identifier: 842400F112 PREF SER E 6.250%02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB- 01/30/12 .,3,12 3,000,000.000 99.8020 2,994,061.72 108.7500 3,262,500.00 268,43828 15,625.00 187,500.00 5.74% Original Cost Basis: $2,992,564.97 Page 5 of 20 Account Number: ILI400 °Maly 0,04•40. 0••••••• LW. • tibia, <awl •••••••••• 2009'1252CSF30015 DBAB.ROLL. GoA•OuTtelLVERY paperless Every vow since 2007 0.410AR RATED COMMUNICATIONS Ile Ora et Mos Vrii Weal*. tLC sea. maw MSC SPC Con•••••.• 10~0 SOUTHERN FINANCIAL LLC EXCELLENCE EFTA01190530 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISIN#US06739FHK03 7.750% 04/10/23 WE DTD 04/10/13 CALLABLE 04/10/18 S & P Rating BB+ 04/03/13 ',12,13 300,000.000 100.0000 300.000.00 111.2500 333.750.00 33,750.00 9.10625 23,250.00 6.96% Original Cost Basis: 5300.000.00 JPMORGAN CHASE 8 CO DEP SHS REPSTG Security Identifier: 46625HHA1 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900%04/29/49 B/E DTD 04/23/08 Moody Rang BA1 S & P Rating BBB 06/15/11 *Al2 2,500,000.000 107.5000 2,687,500.00 110.6250 2,765,625.00 78,12&00 65.833.34 197,500.00 7.14% Original Cost Basis: $2,687,500.00 06/15/11 e,3,12 2,500,000.000 107.0000 2,675,000.00 110.6250 2,765,625.00 90,62&00 65,833.33 197.500.00 7.14% Original Cost Basis: $2,675,000.00 Total Noncovered 5,000,000.000 5,362,500 00 5,531,250.00 168,750.00 131,666.67 395.000.00 Total 5,000,000.000 $5,362,500.00 $5,531,250.00 $168,750.00 5131.666.67 5395.000.00 BANK AMER CORP PERP NON COMULATIVE DEP Security Identifier: 060505DT8 SHS FIXED TO FLOAT 8.125% 04/30/58 8/E DTD 04/30/08 CALLABLE 05/15/18 Moody Rating BA3 S & P Rating BB+ 01/10/11 e,3,12 2,000,000.000 102.7500 2.055.000.00 111.0000 2,220,000.00 165,000.00 47,847.22 162,500.00 7.31% Original Cost Basis: $2.055.000.00 GENERAL ELEC CAP CORP NON CUM PFD SER Security identif ler: 3696223N6 A 7.125%06/12/62 B/E DTD 06/12/12 CALLABLE 06/15/22 Moody Rating BAA1 S P Rating AA- 06/27/12 ',I2,13 2,000,000.000 105.5300 2,110,605.12 117.8750 2,357,500.00 246,894.88 30,083.33 142,500.00 6.04% Original Cost Basis: $2,122.916.67 LBG CAPITAL N01 PLC 144A Security Identifier: G5433BBG8 ISINMS0473106283 8.000%09/15/88 REG DTD 12/15/09 CALLABLE 06/15/20 S & P Rating BB 12/04/13 '•3,12 1,200,000.000 108.2500 1,299,000.00 109.4000 1,312,800.00 13,800.00 0.00 96.000.00 7.31% Original Cost Basis: $1.299.000.00 LLOYDS BANKING GROUP PLC FXD RATE RESET Security identifier: 539439AG4 ADDL TIER 1 SECS ISIN#US539439AG42 7.500%09/27/88 B/E DTD 04/07/14 S & P Rating BB- Please Provide • 1,903,000.000 N/A Please Provide 104.8750 1.995.771 25 N/A 24.976.88 142,725.00 7.15% Page 6 of 20 Account Number: Rated ExaMenk Orly -•••••••• WM • So, end ....doh 110097252CSF30015 DBAS.ROll Go paperless et ) IDAL —vv.-Svc* 2007 BAR RATED COMMUNICATIONS One M el lawyer% MISR - Lit. asset MS. Wit IOC IIISY Oron) SOUTHERN FINANCIAL LC E.Or t 'yoe AMC MOOT EXCELLENCE EFTA01190531  Multi Lon. Fmk, Wealth Mann Co,.'a. GINO Deutmke NM Seca 7r. sec Mat NAME, PC en 1776. CIA two MD 21233 345770 *Nom 26th 100. It,. Yak, rer 1704 212104.1814. (*SS) fi t 409$ Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET (continued) Original Cost Basis: Please Provide Total Corporate Bonds $22,639,083.78 $25,765,871.25 $1,131,016.22 $469,199.65 $1,702,800.00 23 843 000.000 Total Fixed Income $24,183,476.56 $27,313,781.89 $1,134,534.08 $477,085.73 $1,702,800.00 29,633,000.000 Unrealized Estimated Estimated Date ired 0uantit Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Equities Common Stocks MOBILEYE NV AMSTELVEEN ORD SHS Security Identifier: MBLY ISIN#NL0010831061 CUSIP: N51488117 Dividend Option: Cash 08/01/14 600.000 25.0000 20,000.00 43.1800 34,544.00 14,544.00 APOLLO GLOBAL MGMT LLC CL A SHS Security Identifier: APO Dividend Option: Cash CUSIP: 037612306 03/29/11 263,157.000 19.0000 4,999,983.00 24.4000 6,421,030.80 1,421,04710 892,102.23 13.89% APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSP: 037833100 10/28/13 14,000.000 785800 1,058,120.50 102.5000 1,435,000.00 376,87850 26,320.00 1.83% ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CUSIP: 04033A100 02/14/12 •,I3 7,535.000 152090 114,597.40 6.2200 46.867.70 -67,729.70 01/24/13 9,000.000 19.6000 176,400.00 6.2200 55880.00 -120,420.00 Total Noncovered 16,535.000 290,997.40 102,847.70 -188,14930 Total 16,535.000 $290,997.40 $102,847.70 $188,149.70 $0.00 ASCENA RETAIL GROUP INC COM Security Identifier: ASNA Dividend Option: Cash CUSIP: 043516101 01/16/01 70,500.000 212770 1,500,000.00 17.3900 1225,995.00 -274,005.00 Page 7 of 20 Account Number: It000 EmatHent (t)E..ry Oros one vens*NLin •NNiN and suesideor 800972S2C3P30015 DBA60042 Go paperless V**. Since 2007 [ALBAN RATED COMMUNICATIONS ok mg ems go Na. venom ca.~ P.n.. LIG. ovaeet 'S MSC La StY 114.0 SOUTHERN FINANCIAL LLC Ala Align I.Ottivnty EXCELLENCE EFTA01190532 Portfolio Holdings (continued) U.S. DOLLARS (continued) Unrealized Estimated Estimated Date ired Quantity Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual Income Yield Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP COM Security Identifier: BK Dividend Option: Cash CUSIP: 064058100 06/25/14 250,000.000 362060 9,076,406.00 39.1800 9,795,000.00 718,594.00 170,000.00 1.73% BIOGEN IDEC INC COM Security Identifier: BIIB Dividend Option: Cash CUSIP: 09062%103 02/14/12 2,095.000 119.5490 250,45495 343.0400 718,668.80 468,21325 FACEBOOK INC CL A Security Identifier: FB Dividend Option: Cash CUSIP: 30303M102 05/17/12 %a 17.500.000 38.0000 665,000.00 74.8200 1,309,350.00 644,350.00 FOUNDATION MEDICINE INC COM Security Identifier: FMI Dividend Option: Cash CUSIP: 350465100 01/13/14 25,000.000 27.5070 687,663.50 232700 581750.00 -105,913.50 08/05/14 24.830.000 23.2530 577.373.02 232700 577,794.10 421.08 Total Covered 49,830.000 1,265,036.52 1,159,544.10 -105,492.42 Total 49,830.000 $1,265.036.52 51,159,544.10 4105,492.42 $0.00 GENERAL ELECTRIC CO COM Security Identifier: GE Dividend Option: Cash CUSIP: 369604103 04/23/13',13 23,000.000 21.5700 496,109.08 25.9800 597,540.00 101,430.92 20,240.00 3.38% GENERAL MIAS CO COM Security Identifier: GM Dividend Option: Cash CUSIP: 37045V100 11/18/10 • 10.988200 36.4010 399,978.16 348000 382,389.37 -17,588.79 13,185.84 3.44% 12/09/10 86.536 800 36.8160 3,185.969.22 348000 3,011,480.63 -174,488.59 103.844 16 3.44% Total Noncovered 97,525.000 3,585,947.38 3,393,870.00 -192,077.38 117.030.00 Total 97,525.000 $3,585,947.38 $3,393,870.00 4192,077.38 8117.030.00 GILEAD SCIENCES INC Security Identifier: GILD Dividend Option: Cash