EFTA01289201.pdf

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Otutt.tkr Lint PtIsair Ohre°. kg4.16(met' Mulch (pt/art 610,4 Ow Niche east Mw Yon Oke 346 POI *verge. 3611• How Nnw 'mil l „If Clue December 1,2017 - December 31,20 f7 Account Number: SOUTHERN FINANCIALUS 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 Portfolio at a Glance This Period Year4wCialt Your Investment Specialist: BEGINNINGACCOUNT VALUE 391,289,150.11 3117,089,958.26 JOSHUA SHOSHAN Net Cash Deposits aid Withdrawals 60,000.00 -1,213,731.96 Net Securities lo/Out of Account 0.00 42,061,215.50 Adjusted Previous Account Value 97,349,150.71 63,795,008.80 Dividends, Interest and Other Income 216,609.63 3,240,411.59 Total Taxes Withheld 0.00 447649 Other Transactions -2,36 .402.36 Net Change in Portfolio' ,293,210.61 30,243,605.43 Armed 'Meted 5450,463.82 Estimated Annual Income 33,439,222.33 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Awl Type Prior Year-End tax Period %%Period 1% Cash, Money Funds, and Bank Deposits 15,864,445.94 4,375,270.63 823,820.96 p 27% Fixed Income 19.233.099.80 26,286,422.71 26,063,479.22 62% Equities 19,000,010.52 51,189,396.32 60,899,388.91 3% Mutual Funds 0.00 3.010.341.05 3,020,938.22 7% Exchange-Traded Products 2,972,400.00 6,427,720.00 8,444,920.00 100% Account Total (Pie Chart) $117,069,956.26 397,289,150.71 $97,272,547.37 Please review your allocation periodically with your Investment Specialist. Page 1 of 3 4 Rated EXCIIiiefit °awns thsougt NeatenI.LC. atalayievaned BO $302i6r530O 25 (my Yew Same 2007 WfrOdialy of The Bank o4 New Yea Mellon CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) NFIDO. L MAAR WM COMMUNICATIONS EXCILSOICE Corporation (INY Malian) PerOinXII.C.rmtnto ItteRA.filV4PM_00046229 DEMSDNY-0009053 EFIA_00156838 EFTA01289201  Summary of Gains and Losses %abed This Period Vora-Dale Unrealized Short-Term Gain! Loss 10,129.02 636,964.83 477,336 29 Long-Term Gain! Loss 15492.384.19 14,372,697.77 8.786.895.62 Net Gain! Loss 15.162.513.21 15.009.662.60 8,409,559.33 This summary excludes transactions where cost basis information is not available. For 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 10 99 and/ or 104 2 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. Exchange Rate Table Global Cash Olirenry Closing Amount in Currency USD Equivalent per U99 Oarency Nesse Base DA rent,/ U80 BRITISH POUND 1.3525 0.7393 APANESE YEN -267.90 -2.37 HONG KONG DOLLAR 0.1279 7.8170 Total Global Cash Balance 42.37 APANESE YEN 0.0088 112.6300 RANG 0.0808 12.3760 Exchange rates are based on interbank exchange rates as of 12/ 29/ 2017. Exchange rates can vary. Money Market Fund Detail Dale Activity Type Desalption Amount Bahia Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 120% Activity Ending 12/ 29/ 17 12/01/17 Opening Balance 4.272.639.40 4.272130.40 11/01117 Deposit MONEY FUND PURCHASE 102.631.23 4.375.270 53 12/04/17 Withdrawal MONEY FUND REDEMPTION -158,500.00 4,216,770.63 11/05/17 Deposit MONEY FUND PURCHASE 156.714.76 4,373,485.39 12106117 Withdrawal MONEY FUND REDEMPTION -2,625,890.03 1,747,595.36 12/07/17 Deposit MONEY FUND PURCHASE 21.493.49 1.769.088.85 12108117 Deposit MONEY FUND PURCHASE 31989.68 1.801.978.53 11)11/17 Withdrawal MONEY FUND REDEMPTION -1.801.97893 0 00 12/11/17 Withdrawal SHARES REDEEM ED -86904 -866.04 11/11/17 Deposit ACCRUED DIVIDEND CREDIT 866.04 0.00 12112117 Deposit MONEY FUND PURCHASE 1,477,717.63 1,477,727.53 Page 2 of 3 . 901002t6C630K5F ID Wed banal bery vex Since 2007 DALIARPATEDCOMMUNICATIONS EXCELLENCE Clewing through PenhinglIC• awe, owned seteldlary a The Pak @thew Y.* Mellon Caporalon(ltly Mem) Pt,hat tLC.mente onen.%4qa.GM-00046230 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009054 EFTA_00 156839 EFTA01289202  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 )ecember 1,2017 - December 31,2017 SOUTHERN F1NA NCIAL LLC Money Market Fund Detail (continued) Date Activity Type Desaiptioi Amount Una Sweep M oney Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 12113/17 Withdraw al MONEY FUND REDEMPTION 416.860 04 960.867.59 12116/17 Deposit MONEY FUND PURCHASE 49,698 32 1810,565.91 12119/17 Withdraw al MONEY FUND REDEMPTION -346,682 85 663,883.06 12120/17 Deposit MONEY FUND PURCHASE 470.00 664,353.06 12127117 Deposit MONEY FUND PURCHASE 61A95 89 725,848.95 12128/17 Deposit MONEY FUND PURCHASE 35.681 25 781,530.20 12129/17 Deposit MONEY FUND PURCHASE 25,228.03 786,758.23 12129/17 Deposit INCOM EREINV EST 525.30 767,283.53 12/29117 Closing Balance $787,283.53 Total All Money Market Funds $787,283.53 Income and Expense Summary °Merl Peilod Yetloale 'ramble Non Taxable Teti Se Taxable Dividend Income Equities 13,500.00 0.00 1,018,015.34 0.00 Money Market 1,391.34 0.00 103,941.83 0.00 Other Dividends 163,027.71 0.00 1,065,223.52 0.00 Interest Income Bond Interest 38,690.58 0.00 426,560.60 0.00 Other Interest 0.00 0.00 139,834.48 0.00 Expenses Margin Interest 0.00 0.00 0.00 4.63 Withholding Taxes 0.00 0.00 4,076.09 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $216,609.63 $0.00 $2,747,199.68 44.63 Distributions Alternative Investments 0.00 0.00 0.00 486,840.45 Other Distributions -2.36 222.19 4.36 23,618.30 Total Distributions 42.36 $222.19 42.36 $510,458.75 Page 3 of 31 Rated ElOillent Covina through PenbngIIC nib./ evened BO 10 0 24 2CSF300 25 (my Teat Santo 2007 subsidiary of The Mak eiller Vat Mellon CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. L DMIAR ItATV3 COMMUNICATIONS !ACRID<E CarpontIon (OM Melba) Perihnx it 00046231 FMAAR; YLELGM- DB-SDNY-0009055 EFIA_00 856840 EFTA01289203  Portfolio Holdings U.S. DOLLARS Account Adivity Opening Chip Accrued Income 30-Day Current Opening Dale Nastily Number Ending Balance Wince Income This Yes Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance 102,631.23 7,000.00 Margin Balance 0.00 29,539.80 Money Market DEUTSCHE GOVT CASH INSTL 12/01/17 787,283.530 N/A 12/29117 4272.639.40 787283.53 0.00 103.941,83 1.10% 120% Total Money Market $4,272,639.40 $787,283.53 $0.00 $103,941.83 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $4,375,270.63 $823,823.33 $0.00 $103,941.83 Adjusted lamesized Acctued Estimated EstSled Oile Acquired Ordatey Una Cal Coil Bath Market Prke Market Vslue %Mass lateral Annual Income Yield FIXED INCOME (fit Maturity Date Sequence) °Asset Backed Securities WASHINGTON M LIT IITGSECSCORP 2004•RA2 Security Idatifier-939336S20 TG PASSTHRU CTFCLC-8-1VARRATE 6.997%07/251338/E DTO 0510104 Factor 0.39847927 Effective Dele:12/0/11 Current Face Value: 56,038258 12/13113 . " 2 1,290,000.000 76.5190 393,334.91 91.8780 472288.07 78,953.18 2,997.49 Original Cost Basis: $638,906.71 Total Asset Backed Securities $393,334.91 $472,288.07 $78,953.16 $2,997.49 $0.00 1,290,000.000 Total Current Face Value: 514,038.258 Corporate Bonds CITIZENSCOM lAUNiCATIONSCO SR Security Identifier: 17453BAW1 NT FULLY EXCHANGED FROM 174538AX9 7.25%03,SIS DTD 03/23107M oody Rating 8358 P Rating 8 10103117 1,000,000.000 100.0850 1,000,849.05 96.0000 960.000.00 40.849 05 20,979.17 71.250.00 742% Original Cost Basis: VW 01006.00 FRONTIERCOMMUNICATIONSCORP Security Identifier: 35906AAH1 SR NT FULLY EXCHANGED FROM CUSP 8500%04/V20 WE DID 04/4/13Moody Rating 83 S$ P Rating 8 10/11/17 1,000,000.000 98.7510 987,506.00 83.0000 830.00000 •157.506.00 17.944.44 85.000.00 10.24% Original Cost Basis: 6987.50680 Page 4 of 3' Rated tactile.% Cleanng through PershingLC. a *lay evened 90100242CSF3002 trey Yew Since 2007 stall." a The Bank elNew Yak Meta DALIARIATI0 COMMUNICATIONS CancatIonMa Mao) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON5FIDOP (XCILUNCI ormA.SCAt4XatelL00046232 Per 91.inx 11.C. menbt• DE1-SDNY-0009056 EFTA_00 56841 EFTA01289204  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1,2017 - December 31,2017 SOUTHERN FlNA N CIA L LLC Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Jntealized hayed Estimated Estimated Date Acquired Quantity Unit Cod Cud Basis Market Price Market Value Gair Loss totem( Annual Income Yield FIXED INCOM E (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT Security Identilie4:06739FFIKO 'SINS US06739AIK03 1.750% 04110123 8/E DID 04/9/13CALLABLE04/DISSS P Rating 81. 04/03/13 T2-13 300.000.000 100.0000 300.000.00 101.5000 304,500.00 4,500.00 5231.25 23250.00 7.63% Original Cost Basis: $300.000.00 EXELA INTER LLC I EXELA FIN INC GTO Security Identifier 30 S2RAA9 FIRST PRIORITY SR SECO NT 144A D.000% 071$/23 8/E DID 07/12/17 CA.BMoody Rating 83 55 P Rating B 10/24/17 2,000,000.000 97.0250 1,940,506.00 97.2500 1,945,000.00 4,494.00 93,688.89 200,000.00 10.28% Original Cost Basis:61940306.00 DS INVTS GM BH GT0 SR NT Security Identifier: A2986645 REG S 'SINS U5429866453 7250% 04103124 BIE DID 04/03/515 5 P Rating B 10131/17 2,000,000.000 99.0650 1,981,300.00 98.2500 1.965.000.00 .16,300.00 35,041.67 145,000.00 7.37% Original Cost Basis: $198t300.00 SERVICEMASTER CO NT 7250%03/05'38 B/E Security Identifier: 817601185 DID 03102/98 ET CPN DTE 09/0198 CPN PY T Sall ANNUAL ON IMPOUND SEPO%loody leafing 02 $6 P Rating B 10/18/17 1,000,000.000 103.9830 1,039,829.52 102.2500 1,022,500.01 -17,329.51 24,166.67 72,500.00 7.09% Original Cost Basis: $1040,006.00 10/19/17 350,000.000 103.9850 363,946.84 102.2500 357,874.99 1,071.85 8,458 33 25,375.00 7.09% Original Cost Basis: $364,00600 10/20II 7 80,000.000 103.9910 83.192.66 102.2500 81.799.99 -1.392.67 1.933.33 5,800.00 7.09% Original Cost Basis: 58320600 10/31/17 70,000.000 103.9940 72.795.72 102.2500 71.575.01 -1.220.71 1.69117 5,075.00 709% Original Cost Basis: $72,806.00 Total Covered 1,500.000 000 1,559,764.74 1,533,750.00 -26,014.74 36,250 00 108,750.00 Total 1,500,000.000 $1,559,764.74 $1,533,750.00 426,0104 $36,250.00 $108.750.00 Page 5 or 3' BO 10 663 2. (NSF ID Rated [smitten trey Year Since 2007 DAMIARMITO COMMUNICATIONS Clewing Heater halms1SC a vAok owned sobsidiary of The Bank a New Yorlg Mellon CarporatIon (MY Mellon) EXCLIAINCI Periling 11C. tar ot,RA.W.. s q2t.GM-00046233 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009057 EFTA 00156842 EFTA01289205  Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Acaued Estimated EstInsaled Date Acquired Clarity Unit Cost Cost Pals Market Rice Market Value Oainiloss Interest Annual name Yield FIXED INCOME (continued) Corporate Bonds (continued) ,PM ORGAN CHASE& CO DEP SHSREPSTG Security Identifier: 46625HHA1 PATH PFD SER 1FIXED TO RIG RT BD 7900%04/29/49 MOTO 04123/08M oody Rating 8AA3 S P Rating BBB- 08115111 " 12 2.500.000.000 107.5000 2.687.500.00 101.2500 2.531.250 00 -156.250.00 32.916.67 197.500.00 7.80% Original Cost Basis: $2687,500.00 06/15/11 " 12 2,500,000.000 107.0000 2,675,000.00 101.2500 2,531,250.00 -143,750.00 32,916.66 197,500.00 7.80% Original Cost Basis: $2675.000 00 Total Noncovered 5,000,000 000 5.362.500.00 5.062.500.00 -300,000.00 65.833 31 395,000 00 Total 5,000,000.000 $5,362,500.00 $5,062,500.00 4300,000.00 $65.833.33 3395.000.00 BANK AM ER CORP PERP NON CAM ULATIV E DEP Security Identifier: 0605050T8 SUS FIXED TO FLOAT 8.25% 04130/58 BJE DID 04130108 CALLABLE05/VMM oody Rating BA2 St P Rating BBB- 01/10111 '.3-52 2.000.000.000 102.7500 2.055.000.00 102.0000 2.040.000.00 -15.000.00 20.763.89 162.500.00 7.96% Original Cost Basis: $2055000.00 SOUTHERN CAUF EDISON CO PREF SER E Security Identifier: 842400 FU2 6.250% 0117162 WE DID 01'1712 CALLABLE 0210122 © AO 000 M oody Rating BAA1S8 P Rating BBB- 01130112 ',3 ° 3,000,000.000 99.8800 2,996,392.72 109.2600 3,277,800.00 281,407.28 78,125.00 187,500.00 5.72% Original Cost Basis: $2.992.564.97 GENERAL ELEC CO GTD FXD-TO-R.TGRT Security Identifier:3696046144 NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG OTD 2/03P6Moody Rating A3 S8 P Rating BBEP 12103115' 2.489.000.000 88.0930 2,175,016.17 97.2100 2.400.114.90 225,098.73 4,389.33 98,760.00 4.11% Original Cost Basis: $2.05.01.4 5LLOYDS8ANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04 ADDI TIER1SC-CS 'NO V55394398642 7.500% 04127/88 BIE DM 04107/1458 P Rating 08- Please Provide • 1,903,000.000 N/A Please Provide 113.3750 2.157.526.25 N/A 1,585.83 142.725.00 6.61% Original Cost Basis: Please Provide Page 6 of 3' BO /3 0 62 C630K5 FID Rated Ene4lent (my Year Since 2007 DAMAR RATIO COMMUNICATIONS EXCIILLINCE Glenn& tivough Pershing LW. a .holy owned subudiary of The lank a New York Mellon Corporation (SNY Mellon) ‘II•libeay6)(2Nero _00 0004960234 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D Bs ym 58 EFTA_00156843 EFTA01289206  Deutsche Bank P.O. Box 1776, Baltimore. MD 2 12)3 December t 2017 - December 31, 2017 SOUTHERN FINANCIAL LLC Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Awued Estimated F9imaled DateAcquired Outstay Unk Cost Cost Basis Market Price Murat VS. Gain Loss Interest Annual Income Yield FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUPIK FAD RT SR NT PERP DEP RECPT Security Identifier 17296725 5950% 001646 BfE D7006112/6 CALLABLE0815/20 4) 130.0001400dy Rating BA2 SI P Raling 8B• 08/08/15 3.000.000.000 100.0000 3.000.005.99 104.5000 3,135,000.00 134,994.01 67,433.33 178,500.00 589% Original Cost Basis: $3,000,006.00 Total Corporate Bonds $23,358,840.67 $25,611,191.15 $94,824.23 $447,466.13 $1,798,235.00 25,172,000 000 TOTAL FIXED INCOME $23,752,175.58 $26,083,479.22 $173,777.39 $450,483.82 $1,798,235.00 26,482,000 000 Unmixed Stied NSW CiateAcquind Quantity Unit Cod Cod Bads Market Pike Mutat Value alarms Animal Income Yield EQUITIES Common Stocks BROADCOM LTD SHSISINO SC999908823 Security Identifier: AVG° Dividend Option: Cash CUSP: Y09827119 09129/17 2,0001 485,814.78 256.9000 513.800 00 27 985 22 14,000.00 2.72% 10113117 2,000 499,916.68 256.9000 513.800 00 1382332 14,000.00 2.72% Total Covered 4,000 000 985,791.46 1.027.600 00 41,808.54 28.000 00 Total 4.000 000 5985,791.46 $1.027,600 00 $41,808.54 528.000 00 ADVANCED M ICRO DEVICES INC COM Searcy Identifier: AND Dividend Option: Cash CUSP 007903'07 50900,00 of these shares are in your margin account 00/15/17 20,000.000 12.2810 245,812.36 10 2800 205.600.00 40,012.36 12115117 30,000.000 12.2300 366,912.57 10 2800 300.400.00 48,512.57 Total Covered 50.000 000 612.524 93 514,000 00 48,524.93 Total 50.000 000 5612 524 93 $514,000.00 498,524.93 $0.00 Page 7 of 31 Rated Eacelient Clewing through ltreldis arc wady evened SO 13 0 242 C SP3 0 Every Year Since 20O7 sateldiacy a me Mak a New Yea* Mellon CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON0 25FIDO. L DAUIAR RATED COMMUNICATIONS LRCMMCC CerpontIon(atlY Mellon) Perfhnx 11.C.rnott• iineisiONEAGM-00046235 D13-SDNY-0009059 EFrA_00156844 EFTA01289207  Portfolio Holdings (continued) U.S. DOLLARS (continued) Unrealized Estimated Estimated Dale Acquired Quantity Unit Cog Cost Basis Market Price Market Value °Silos Annual Income Yield EQUITIES {continued) Common Stocks (continued) ALIBABA GROUP HLDG LTD SPONSORED ADS Security Identifier. BABA 'SINS US0109W1327 CUSP. 0 809W 1:12 Dividend Oplion. Cash 06110115 5.000.000 88.9500 444.749.00 172.4300 862.150.00 417.401.00 APOLLO GLOBAL M GM T Lie CL A SHS Sturdy Idenlifier: APO Dividend Oplion: Cash CUSIP 03762306 03/29/11'm 263.157.000 19.0000 4,999.983 00 33.4700 8,807,864.79 3,807,881.79 486.840.45 5.52% APPLE INC ODM Security Ideatifier. AAPL Dividend Oplion: Cash CUSP: 037833100 12/07/17 214,000.000 169.8140 36,340,223 40 169.2300 36,215,220.00 -125,003.40 539,280.00 1.48% BASF SE SPONSADR Securily Identifier: BASFY ISINI US0552625057 CUSIP 055262505 Dividend Oplion: Cash 04/13/15 20.000.000 25.4030 508.056.00 27.4700 549.400.00 41,344.00 12.092.12 2 20% BARRETT BILL CORP COM Security Identifier. BBG Dividend Oplion: Cash CUSP: 06846ND4 12/06/17 3,400.000 5.0000 17,000 00 5.1300 17.442.00 442.00 MOGEN IDEC INC COM Security Identifier- BOB Dividend Oplion: Cash CUSP 09062X133 02114112 ' •3 231.019 65 318.5700 667.404.15 436,384.50 GEN/ENECORP DEL COM Security Identifier. CNC Dividend Oplion: Cash CUSIP.15151131 09108114 15,550.000 63.6450 989,679 75 100.8800 1.568.684.00 579,004.25 FACEBOOK INC CL A Security Idenlifiet FB Dividend Oplion: Cash CUSP. 30303M 1:12 05/17/12 " 3 11.500.000 38.0000 665,000 00 176.4600 3.088.050.00 2.423.050.00 GILEAD SCIENCES INC Security Identifier. GILD Dividend Oplion: Cash CUSP: 37555893 02105114 5.000.000 79.2810 396.407 00 71.6400 358.200 00 -38,207.00 10,400.00 290% 03107114 3.100.000 79.6120 246,797 00 71.6400 222,084.00 -24,713.00 6,448.00 2.90% 10124117 4,400.000 80.0900 352,395 71 71.6400 315,216.00 -37,179.71 9,152.00 2.90% Total Covered 12,500 000 995,599 71 895.500.00 -100,099.71 26,000 00 Total 12,500.000 $995,599.71 $895,500.00 4100,099.71 $26,000.00 Page 3 of 3' B010 02t6C630K5F ID0 Rated Galls. bay yew Since 2007