EFTA01289724.pdf

Deutsche Bank Dtv1W.he Flfit MI,M, Neatth WIMIlemeti mains (Ornate Gma; °vetch, nark Setwites Sic 1.14w net MO P.O. Box 1776, Baltimore, MD 212O3 3.114 Pol. Awing+. MI Moe New hr IS Toll live Cirt(t. January 1, 2019 - Januar 31 2019 Account Number: SOUTHERN FINANCIAL LLC 6'130 RED HOOK QUARTER B3 ST THOM ASVI00 802 Portfolio at a Glance ThisPerled Year4o-Dale Your Investment Specialist. BEGINNINGACCOUNT VALUE 394,404,553.11 394,404,553.11 Net Cash Deposits and Withdrawals -0,000,000.00 -0,000,000.00 Adjusted Previous Account Value 86,404,553.11 88,404,553.11 Dividends, Interest and Other Income 210,317.04 210,317.04 Other Transactions 50 .38 50.38 Net Change in Portfolio' 5 268.838 69 5.268.838 69 ENDINGACCOUNTVAt858.48 SB13,858.4(3 Accrued Interest 6416.117 33 Estimated Annual Income 33,235.282 89 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Ass Type Ma Yawed Lae Period ThIshrlod • 1% Cash, Money Funds, and Bank Deposits 8,127,337 23 8,127,337.23 337,551.57 • 28% Fixed Income 24,993,470.70 24,993,470.70 25,651,747.33 • 71% 100% Equities Account Total (Pie Chart) 81283,745.18 394,404,553.11 81,283,745.18 $94,404,553.11 85,894,359.56 $91,883,858.48 Please review your allocation periodically with your Investment Specialist. Page ' of '5 Rated “cdent Owing throughMain LIC, a wbolly owned Every Vex Sice 2007 subsidiary el The Sank of New York Mellon DAISAR RAIEDCOMM.RACATICMS Corpontim (MY Mellon) nm . CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 65 1\1F ID fff IFAL-4- EXCIALLNa Perstwe 11C, nverrter illiRAAIARIYUPA_00046752 DB-SONY-OOO9576 EFTA_OO I 57361 EFTA01289724  Summary of Gains and Losses Reeked ThieFeriod Yetto•Date Unrelated Short-Term Gain! Loss 0.00 0.00 -3,243009.11 Long-Term Gain/ Loss 0.00 0.00 3,337,948.06 Net Gainf Loss 0.00 0.00 94,138.95 This summary excludes transactions where cost basis information is not available —or Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will 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. :xchange Rate Table G ooar Casn Offing 00 Amount in Oarency 050Equieitsnt per US) Omen" Balance Bare Carew USD EURO t.1473 0.8716 EURO -42.57 -48.84 HONG KONG DOLLAR 0.1274 7.8465 HONG KONG COLLAR 183,242,25 23,353.31 APANESE YEN 0.0091 108.8100 ,APANESE YEN .49.00 -0.45 Exchange rates are based on interbank exchange rates as of 0 V 311 20 19 Exchange Total Global Cash Balance 523,304.02 rates can vary. M ney Market Fund Detail Dote AdIvity Type Dwaiption Amount NINO Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.30% Activity Ending:0V 311 89 01/01119 Opening Balance 8,103,932.51 8,103,932.51 01103/19 Withdrawal MONEY FUND REDEMPTION -2.00 8,103,930.51 01110/19 Withdrawal MONEY FUND REDEMPTION 4,000,000.00 103,930.51 01116/19 Deposit MONEY FUND PURCHASE 150,000.00 253,930.51 01128/19 Deposit MONEY FUND PURCHASE 250.00 254,180.51 0141119 Deposit MONEY FUND PURCHASE 55,112.40 309,292.91 01/31/19 Deposit INCOM EREMY EST 4.954.64 314 247.55 01131/19 Closing Balance $314,247.55 Total All Money Market Funds $314,247.56 Page 2 of 15 8:CS,3,1:020 Account Number. Rated Entilent Evay Yaw Since 2007 DAUM WED commumcAnats Owing throughPiningPIC. oplally mend mbar/ aT e Bonk of New York Makin Cannatim MY Meta) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. ExCULENC Penile.; MC. iSIMber Antall:1142Po 00046253 DB-SDNY-00O9577 EFTA_00157362 EFTA01289725  Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 January 1, 2019 - January 31, 2019 SOUTHERN FINA N CIA L LLC Income and Expense Summary Current Period Year-to-Dale Taxable Non Taxable Taal* Non Unable Dividend Income Equities 250.00 0.00 250.00 0.00 Money M arket 4,954.84 0.00 4,954.84 0.00 Other Dividends 55,112.40 0.00 55.112.40 0.00 Interest Income Bond Interest 150,000.00 0.00 150,000.00 0.00 Total Dividends, Interest, Income and Expenses $210,311.04 S0.00 $210,317.04 S0.00 Distributions Other Distributions 48.38 0.00 48.38 0.00 Total Distributions 448.38 $0.00 448.38 $0.00 Portfolio Holdings U.S. DOLLARS Account Atria), OParil49 Going Ataved 110:11110 30•Day Current Opening Dale Ouentily Number Biding Benno Sluice lame DIY= Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Money Market CASH AC TR DWSGOYT 8 AG INSTL 01101/19 314247.550 NM 01131119 8,103,932.51 314,247.55 0.00 4,954.64 2.30% 2.30% Total Money Market $8,103,932.51 $314,247.55 $0.00 $4,954.84 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $8,103,932.51 $314,247.55 80.00 $4,954.64 Alluded Laireanized 'Seated Estimated Estimated DeteAoivired Quantity Unit Cad Coot Baia Merkel Price Merkel Wee Guirlos !funnel Annual Income Yield FIXED INCOM E On Maturity Date Sequence) Corporate Bonds CITIZENSC011M 1.INICATIONSCO SR Securely Identifier: 17453BAW1 NT FULLY EXCHANGED FROM 17453BAX9 7.45% 031L19 WE DTD03/231071loody Rating CAMS 6 P Rating CCC• 10/03f17 1,000,000.000 100.0090 1,000,094.64 98.5000 985,000.00 -15.094.64 26,916 67 71.250 00 7 23% Original Cosl Basis:S*1001006.00 Page 3 of 15 Account Number Medhallent Owing tinge,. ,mks'.PC. • wholly owned Every Yew Shwa 2007 subsidiary SIM Bordtel New York Mellon DAYAR RAIID COMMLNICATICMS Colnatim (OW Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) C ONIFIDO. AL- EX.:MD.10E Penn.'s MC. 'wan FiliitAVAWAPM_00048754 DB-SDNY-0009578 EFTA_00157363 EFTA01289726  Portfolio Holdings (continued) U .S. D OLLA RS (continued) Adjusted Unrealized Accrued Whaled alined Date Aquila Quantify Unit Out Cot Basis Market Price Market Value Gallons Interest AnnualIncome Yield FIXED INCOM E (continued) Corporate Bonds (continued) DELA INTER LLC I DELA RN INC GM Sedulity Id enl Wier 30 S2RAA9 FIRST PRIORITY SR SECO NT 514A 13.000% 07/15123 B/E DTD 07/214 Clef/ oody Rating B3 5b P Rating 10/24/17 2,000,000.000 97.0250 1,940,506.00 100.0000 2,000,000.01 59.494 01 8,888.89 200,000.00 10.00% Original Cosl Basis: $1940,506.00 07/09/18 1.000.000.000 102.6200 1,026,197.29 100.0000 999.999.99 -26.197.30 4,444.44 100.000.00 10.00% Original Cosl Basis: $1028,758.00 Total Covered 3,000,000.000 2,966,703.29 3,000,000.00 33,296.11 13,333.33 300,000.00 Total 3,000,000.000 52,966,703 29 53,000,000.00 533,296.71 $13,333.33 5300,000.00 SS INVTS GM BR GTD SR NT Security Identifier: A29866A95 REG S INNS USA29866AB53 7.250%04/03/24 B/E DTD 04103/MS& P Rating BB 10/31/17 2.000.000.000 99.0650 1.981.300.00 103 4070 2,088,140.00 86.840.00 47,125.00 145.00900 701% Original Cosl Basis: 51981300.00 DEUTSCHE BANK AG NTSI9Ht US25'625AM 33 Security Idenlifiec 251525AM 3 4296%05/24/28 B/E DTO 05/24113 FOREIGN SECURITY 1ST CPN DTE 41124/43M oody Riling Ba2 S8 P Rating BB- 06/01/18 1.000.000.000 91.7780 917,776.00 88.7940 887.940.00 -29.836.00 7.995.33 42,960.00 483% Original Cost Basis:599,776.00 DEUTSCHE BK AG N Y BRH VAR Security Identifier: 255268118 MN* LIS25%26BN89 4 875% 2/0132 WE DTD 12/0117 CALLABLE 2/0127 06/01/18 1,000.000 000 86.8260 868,256.00 84.3000 843.000 00 -25.256.00 8.125 00 46.750 00 5 78% Original Cosl Basis 5868255.00 ASSURANT INC FXD TO FLTG WO NT Security Identifies. 0462%AK4 7.000% 03/27148 WE DTD 03/27/S CALLABLE 03/27128@ 130.000M oody Rating BA1 03/29/18 2,000,000.000 101.9830 2,039,653.55 96.5000 1,930,000.00 -109,653.55 48,222 22 140,000.00 7 25% Original Cosl Basis: 52,040,006.00 Page 4 of Account Number Raleaweilent ClewingIMO. hating LIC, a wbolly owned BIC:535=02C Every Vex Since 1007 subsidiary 011ie en of New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAUMMUD COMMLINICATICOS EXCIMENCE Cannatim (MY Mellon) n a... a a Perlhe. MC. intryta fitiRnAlAftl 04- -1M—U0040755 DB-SDNY-0009579 EFTA_00157364 EFTA01289727  FA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 January 1,2019 - January 31,2019 SOUTHERN FINANCIAL LLC Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Metaled Blinded Date kilted Ouantily Unit Cod Cost Betts Market Price arV:el yak e Gain Loss Interest Annuli Income Yield FIXED INCOME (continued) Corporate Bonds (continued) ORGAN CHASES CO DEP SHS REPSTG Security Identifiet 46625HHA1 18TH PFD SER 'FIXED TO FLTG RT BD 5.990% 04123/58 B/E DID 04/23/08M oody Rating Baa3 S 8 P Rating BB8- 06/15/11 ..3,t2 1,100100.000 101.2500 1,179,750.41 100.6000 1,106,600.02 -73,150.39 18314 65,894 .18 595% Original Cosl Basis: 51182.500 00 06/15/11 .." 2.500.000.000 106.7680 2.669.212.15 100.6000 2.51499998 -154.212.17 416.00 149.759.50 5 95% Original Cosl Basis:52,675100.00 Total Nonoovered 3,600100.000 3,848,962 56 3,621,600.00 -227,362.56 59914 215,653.68 Total 3.600100.000 $3,848,962.56 53,621,600 00 4227,362.56 5599.04 5215,653.68 SOUTHERN CALIF EDISON CO PREF SER E Security Identifier 842400 FU2 6250% Of1/62 TMEDTO 0117/12 CALLABLEOMJ0122Q 130.000Moody Rating Baal S8 P Rating 01/30/12 ••112 3100.000100 991090 2,997,261.33 94.0000 2,820.000 00 -177.261.33 93,750 00 187,500.00 6 64% Original Cosl Bee: $2.992.564.97 GENERAL REC CO GTD FXBTO•RTG RT Security Identifier: 369604BM 4 NON-CUMULATIVE PERPETUAL PREFERRED 4000% 2/03/64 REG DID 11J03/tAloody Raling A3 S 8 P Rating BBB 12/03115' 2,469.000 000 88.0930 2,175,016.17 671000 1.676.451.00 498,565.17 12,619.33 98,760.00 5.89% Original Cosl Basis:52,175.01 17 LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADM. TIER 'SECS ISOM US539439AG42 7.500% 04/27/88 B/E DID 04/07/515 8 P Raliry BET 04/10/14 '1,12 1.903.000.000 102.3910 1,948,500.00 101.7500 1136.302.50 -12,197.50 13.479 58 142.725 00 7 37% Original Cosl Basis: $1,948.500 00 Page 5 of '5 Account Number: Riled Emellent Owing Sae. holes LLC. a Mlolly owned BMS9501$1:0/C Every Vex Saco 2007 sobledEmy of The UM, of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAMN, MUD COMMWICATICMS EXCIMENC( Comonthm (WIT Mellon) Pertre.U.C.Illet,ttlEll4RAAWIIYULGMJ)0046756 DB-SDNY-0009580 EFTA_00157365 EFTA01289728  Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Uffealited Acased E9imaled Estimated Date Applied Quantity Unit Out Cost Bois Merkel Price Merkel Valve Oninnese haunt Mimi Income Yield FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP INC RD RT SR NT PERP DEP RECPT Sturdy Identifier 17296745 5.950% 08/6/88 B/E DID 081415 CALLABLE 0876120 0.00011oody Rating BA2 S8 P Rating 0 88+ 08106/15 3,000,000.000 100.0000 3,000,005.99 100.8750 3,026250.00 26,244.01 82,308.33 178,500.00 5 89% Oe loaf Cosl Basis: $3900,00600 Total Corporate Bonds $23,743,529.53 $22,794,683.50 4948,846.03 $354,473.83 $1,571,098.68 23,972,000.000 TOTAL FIXED INCOM E $23,743,529.53 $22,794,683.50 4948,848.03 $354,473.83 $1,571,098.68 23,972,000.000 Unrested Estimated Estimated DeleAcqdred Quantity Unit Cod Cod Bads Market Pram Matt Veen Gelation Annual Income Yield EQUITIES Common Stocks ALIBABA GROUP ROG LTC SPONSORED ADR Securely Idylltiler MBA istit USO SO9W 1)27 CUSP. 0409W 1)2 Dividend Option Cash 06/10115 5.000.000 86.9500 444,749.00 168.4900 842,450.00 397.70110 AMAZON COM INC Security Identifier: AUDI Dividend Option: Cash CUSP. 0234646 03129/18 500.000 1,423.8620 711,930 80 1,718.7300 859,365.00 147,434.20 04/02118 500.000 1,367.0210 683,510.38 1,718.7300 859,365.00 175,854.62 Total Covered 1,000.000 1,395,441.18 1,718,730.00 323,288.82 Total 1,000.000 $1,395,441.18 $1,718,730.00 $323,288.82 $0.00 APOLLO GLOBAL MGM T LLC CL A SKS %curdy Identifier: APO Dividend Option: Cash CUSP 03764306 263,67.00 of these shares are in your margin acconnl 03/29/11 .13 263157.000 19.0000 4,999,983.00 29.2800 7,705,236.96 2,705,253.96 481477.31 8.25% APPLE INCCOM Security Identifier: AAPL Dividend Option: Cash CUSP:037833TO 12107/17 214,000.000 169.8140 36,340,223.40 166.4400 35,618,160.08 422,063.32 624,880.00 1.75% 06/20/18 50,000.000 186.1940 9,339,691.00 166.4400 8,321,999.19 1,017,691.21 146,000.00 1.15% 10/15/18 40.000.000 219 0180 8,760,702.00 166 4400 6.657.600.13 4,103,101.87 116,800.00 1.75% Total Covered 304,000.000 54.440.622 40 50 597,760 00 -3 842,882.40 887,680 00 Total 304.000.000 $54,440.622 40 $50.597,760.00 43,842,862.40 6887.680 00 Page 6 of 15 Account Number. RstaleadleM cow tinge,. Penton. Ilt. a Sally craned EmyYerSme2007 subsidiary The Baia New York Mellon DMAARLMEDCOMMLWATICN5 Cal:anti:a (MY Mellott) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. MUM( U.C.ITterfter fliactlYaGM_ DB-SDNY-0009581 00046757 EFTA_00157366 EFTA01289729  Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 January 1, 2019 - January 31, 2019 SOUTHERN FINA NCIA L LLC Dort folio Holdings (continued) U.S. DOLLARS (continued) Unrealized &haled Estimated DeleAcquired Duality Unit Cost Cot Beds Marker Pin Market Value OW: Loss Annual Income Yield EQUITIES (continued) Common Stocks (continued) AlOGEN DEC INC COM Security Identifier: DID Dividend Option: Cab CUSP 09062X133 02114112 ' •4 2.095.000 110.2720 231.019.65 333.7800 699.269 10 468 249 45 7CENTENECOW Da 031 Security Identifier CNC Dividend Option: Cab CUSIR151355111 09106/14 15,550.000 63.6450 989.67915 130.5700 2,030,363.50 1,040,683 75 KARYOPHARM THERAPEUTICSINC COM Security Idealdim: KPTI Dividend Option: Cab COW. 48576U136 07112/18 25.000.000 18.6840 481106.00 8.4700 211.750.00 455.356.00 Total Common Stocks $62,968,600.98 $83,805,559.56 $836,958.58 $1,369,257.31 Preferred Stocks (Listed by expiration date) GMAC CAP TR I GTO TR PFD SECSSER 2CPN- Seardy IdeetilletALLY PRA SIM FREOORTLY MATY•02/6/2040 CALL CUSIP.361380208 ANYTIME02511730 DAYS BEGINS02/15/13 Dividend Option: Cub 02/22/12 80.000.000 23.5350 1,882,773.60 28.1100 2.088.800.00 206.028.40 163.588.48 7A3% Total Preferred Stocks 51,882173.60 52,088,800.00 $206,026.40 $163,568.48 TOTAL EQUITIES 564,851,374.58 365,694,359.56 31,042,984.98 81,532,825.79 Unrealized licatied Estimated Cost Beds MEW Vine GrinGas 'Merest Annul Income TOTAL U.S. DOLLARS $88,909,151.66 $89,003,290.61 $94,138.95 $354,473.83 53,108,879.11 EURO Opening Mang Acaued 30-Day Description Quantity Balance Balance Canemy name Yield CASH, MONEY FUNDS. AND BANK DEPOSITS Global Cash Balance 0.00 42.57 EUR -4814 USD Page 7 of 15 Account Number Rated(want caw throw* Peakingla. a near aimed Every Yaw Since 2007 subsidiarft *Me DEMO New York Macon DAUM WED COMMUMCATIONS CorMatkol (MY mann) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. EX(MD< t Pentint 11C.ritterter fildlactiterytt DB-SDNY-0009582 00046758 EFTA_00157367 EFTA01289730  Portfolio Holdings (continued) EURO (continued) Opening Oosing Acerved 30 tri Desolation Dernly Balance Briscoe Caning Isom Yieei CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00 A2.57 EUR 0.00 48.84 USD 0.00 Awned Estimated Estimated Destripthn Ouantrty Market Pra Market Value Currency Interest Annual Income ?IS FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO. 6UIDIARO-PERRACHON 2,500,000.000 99 6100 2,490,250.00 EUR 53,729.18 110,175.00 4.42% SA ISOM FROO 1001180 2,857,063.83 USD 61,643.49 126,403.78 4.407% 0810611REG DTD 08/0312 Moody Raliag Balsa PRatiog 88 Scarily Idestilier.F111310I4 Total Corporate Bonds: 2,500,000.000 2,490,250.00 EUR 53,729.18 110,175.00 2,857,083.83 USD 61,643.49 126,403.78 TOTAL FIXED INCOME 2,500,000.000 2,490,250.00 EUR 53,729.18 110,175.00 2,857,063 83 USD 61,643.49 126,403.78 Atoned Estimated Market Value Currency Unlaced AnnualIncome TOTAL EURO 2,490,207.43 EUR 53,729.18 110,175.00 2,857,014.99 USD 81,843.49 128,403.78 HONGKONG D 0LLA R Opening Goring Mated May Description Quantity Balance Mince Oaten, lame Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242 25 183,242.25 liKD 23,353.31 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 NW 0.00 23,353.31 USD 0.00 Accrued Market Vohs Oren, Interest TOTAL HONG KONG DOLLAR 183,242.25 HKO 0.00 23,353.31 USD 0.00 Page 8 of 15 Account Number Rated (wart Owing Swab ',fl ing ELL a slay MVOS t 5,, M.020 Every Vex Soo 2007 subsidNy a IN UK of New York Melba DALIAR RATED CONVOCATIONS ONTINATIN (IINY NANO CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CNFIDO. O AL- EXCELLENCE Penne. Etc. nwrter FitatiklYEEPM_000443759 DB-SDNY-0009583 EFTA_00157368 EFTA01289731  Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 January 1,2019 - January 31,2019 SOUTHERN FINANCIAL LLC Portfolio Holdings (continued) JA PANESE Y EN