EFTA01547907.pdf

SOUTHERN TRUST COMPANY, INC 6100 RED HOOK QUARTER, B3 ST. THOMAS 00802 VIRGIN ISLANDS (U.S.) EFTA01547907 EFTA01547908 For the Period 10/1/13 to 10/31/13 Account Summary Account Number Investment Account(s) SOUTHERN TRUST COMPANY, INC SOUTHERN TRUST COMPANY, INC Total Value 1 2 Beginning Net Market Value 4,860,273.12 0.00 $4,860,273.12 Ending Net Market Value 0.00 0.00 $0.00 This account summary is provided for informational purposes and includes assets at different entities. (1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit Insurance Corporation ("FDIC"), except for exchangelisted options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions are generally cleared through JPMCC, a wholly owned subsidiary of 3PMS. Please see "Additional Information About Your Accounts" at the end of the Asset Account Statement. (2) Assets held in Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS, see "Portfolio Activity Detail". Such transactions are cleared and carried through JPMCC. Please see disclosures located at the end of this statement package for important information relating to each 3.P.Morgan account(s). Change In Value (4,860,273.12) 0.00 ($4,860,273.12) Start on Page 4 9 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before EFTA01547909 December 1, 2013. This will allow us to process your request before year-end and meet the deadline for tax filing purposes. 0000007656.15.0.15.00001.SOUTHAF.20131104 Consolidated Statement Page 1 EFTA01547910 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01547911 For the Period 10/1/13 to 10/31/13 Consolidated Summary INVESTMENT ACCOUNTS Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 1,526,460.00 3,333,804.05 $4,860,264.05 9.07 $4,860,273.12 Ending Market Value 0.00 0.00 $0.00 0.00 $0.00 Change In Value (1,526,460.00) (3,333,804.05) ($4,860,264.05) (9.07) ($4,860,273.12) $0.00 Estimated Current Annual Income Allocation Current Portfolio Activity Beginning Market Value Net Contributions/Withdrawals Income & Distributions Change in Investment Value Ending Market Value Period Value 4,860,264.05 (4,991,024.47) 10.42 130,750.00 $0.00 Year-to-Date Value 0.00 188,975.53 EFTA01547912 81,111.00 (270,086.53) $0.00 This Consolidated Summary shows all of your investments at J.P. Morgan other than investments we hold in trust for you. These investments may be held in custody or investment management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC"). Brokerage and margin accounts are non-discretionary and all investment decisions are made by the client. J.P. Morgan Securities LLC ("JPMS") does not provide advice on asset allocation or investment management services, nor do its personnel take discretion over any client accounts. Such advice and services are provided exclusively by the Bank. Consolidated Statement Page 2 EFTA01547913 For the Period 10/1/13 to 10/31/13 Consolidated Summary INVESTMENT ACCOUNT(S) YEAR-TO-DATE Portfolio Activity SOUTHERN TRUST COMPANY, INC Income Summary SOUTHERN TRUST COMPANY, INC Account Number Beginning Market Value 0.00 Account Number Net Contributions/ Withdrawals 188,975.53 Income 81,111.00 'Unrealized Gain/Loss represents data from the time of account inception to the current statement period. Income Other Income & Receipts Income & Distributions 81,111.00 Change in Investment Value (270,086.53) Realized Gain/Loss Short-term (125,716.53) Long-term Ending Market Value with Accruals 0.00 Unrealized Gain/Loss' CONTINUED Consolidated Statement Page 3 EFTA01547914 JPMorgan Chase Bank, N.A. 270 Park Avenue, New York, NY 10017-2014 SOUTHERN TRUST COMPANY, INC ACCT. For the Period 10/1/13 to 10/31/13 Asset Account J.P. Morgan Team William Sheridan Justin Nelson Janet Young Gina Magliocco Jason Grosse Online access Banker Banker Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). 212/464-1321 203/629-3124 800/634-1318 Table of Contents Account Summary Portfolio Activity Page 2 3 Account Page 1 of 5 Consolidated Statement Page 4 EFTA01547915 SOUTHERN TRUST COMPANY, INC ACCT. For the Period 10/1/13 to 10/31/13 Account Summary Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 1,526,460.00 3,333,804.05 $4,860,264.05 9.07 $4,860,273.12 Current Portfolio Activity Beginning Market Value Contributions Withdrawals & Fees Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Income Summary Domestic Dividends/Distributions Interest Income Accrued Interest Current Year Income (1,665,414.47) (3,325,610.00) ($4,991,024.47) 10.42 130,750.00 $0.00 Current Period Value 10.42 $10.42 Period Value 4,860,264.05 Ending Market Value 0.00 0.00 $0.00 0.00 $0.00 Change EFTA01547916 In Value (1,526,460.00) (3,333,804.05) ($4,860,264.05) (9.07) ($4,860,273.12) Year-to-Date Value 0.00 7,200,000.00 (1,865,414.47) (5,145,610.00) $188,975.53 81,111.00 (270,086.53) $0.00 Year-to-Date Value 30,281.25 150,246.42 (99,416.67) $81,111.00 ST Realized Gain/Loss Realized Gain/Loss Current Period Value Year-to-Date Value (125,716.53) ($125,716.53) $0.00 Estimated Current Annual Income Allocation Account Page 2 of 5 Consolidated Statement Page 5 EFTA01547917 SOUTHERN TRUST COMPANY, INC ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Total Outflows Withdrawals TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance $0.00 $0.00 * Year to date information is calculated on a calendar year basis. ** Your account's standing instructions use a HIGH COST method for relieving assets from your position 4,511,368.47 (9,927,065.00) ($5,415,696.53) -Current Period Value 1,665,404.05 10.42 $10.42 (1,665,414.47) ($1,665,414.47) Year-To-Date Value* -81,111.00 7,200,000.00 $7,281,111.00 (1,865,414.47) ($1,865,414.47) Current Securities Transferred In/Out Securities Transferred Out Period Value (3,325,610.00) Year-To-Date Value* (5,145,610.00) Account Page 3 of 5 EFTA01547918 Consolidated Statement Page 6 EFTA01547919 SOUTHERN TRUST COMPANY, INC ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 10/1 10/15 Interest Income Interest Income Total Income Type Settle Date Selection Method Withdrawals 10/7 10/15 10/21 Description Misc Disbursement TRANSFER TO PERSHING & COMPANY Misc Disbursement TRANSFER TO PERSHING & COMPANY Misc Disbursement TRANSFER TO PERSHING & COMPANY Total Withdrawals Quantity Cost Description DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $1,107,946.63 AS OF 10/01/13 INTEREST FOR 10/01/13 THRU 10/14/13 @ 0.010% ON NET AVERAGE COLLECTED BALANCE OF 388,172.25 0.01 1.35 $10.42 Quantity Cost Per Unit Amount Amount 9.07 Amount (1,660,413.12) (5,000.00) (1.35) ($1,665,414.47) Account Page 4 of 5 Consolidated Statement Page 7 EFTA01547920 SOUTHERN TRUST COMPANY, INC ACCT. For the Period 10/1/13 to 10/31/13 SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred Out 10/7 Free Delivery 10/16 Free Delivery Description ALLY FINANCIAL INC 8 1/2% PFD TRANSFER TO PERSHING & COMPANY TRADE DATE 10/04/13 (ID: 02005N-30-8) HSBC BRL STEP UP NOTE 3/27/14 LNKD TO BRL VS USD 85%BARRIER- 5%CPN-28.5% MXRTRN 3/13/13; INITIAL STRIKE: 1.9619 TRANSFER TO PERSHING & COMPANY TRADE DATE 10/04/13 (ID: 40432X-D3-2) 10/17 Free Delivery HSBC BRL STEP UP NOTE 4/21/14 LNKD TO BRL VS USD 85%BARRIER- 5%CPN-28.5% MXRTRN 4/5/13 INITIAL STRIKE: 2.0035 TRANSFER TO PERSHING & COMPANY TRADE DATE 10/14/13 (ID: 40432X-E5-6) Total Securities Transferred Out ($3,325,610.00) (1,000,000.000 ) 1,000,000.00 (918,700.00) (1,000,000.000 ) 1,000,000.00 (883,300.00) * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Quantity Cost (57,000.000) 1,489,980.00 Transaction Market Value * (1,523,610.00) Account Page 5 of 5 Consolidated Statement Page 8 EFTA01547921 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01547922 J.P. Morgan Securities LLC SOUTHERN TRUST COMPANY, INC 383 Madison Avenue, New York, NY 10179 ACCT. For the Period 10/1/13 to 10/31/13 Margin Account J.P. Morgan Team William Sheridan Justin Nelson Janet Young Gina Magliocco Jason Grosse Online access Banker Banker Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Transactions cleared and carried through J.P. Morgan Clearing Corp. Three Chase Metrotech Center, Brooklyn, NY 11245-0001, (347) 643-2578 No market value or activity to report during this period Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). 212/464-1321 203/629-3124 800/634-1318 Account Page 1 of 1 Consolidated Statement Page 9 EFTA01547923 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01547924 For the Period 10/1/13 to 10/31/13 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in one package. Below are important disclosures relating to these different accounts. These statements may relate to various account types. Some of the disclosures are applicable to all of your accounts. For ease of reference the disclosures applicable to a particular type of account have been grouped together by descriptive headers. IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S) Important Information about Pricing ,Valuations, Estimated Annual Income, and Estimated Yield Market value information (including without limitation, prices, exchange rates, accrued income and bond ratings) furnished herein, some of which has been provided by pricing sources that J.P. Morgan believes to be reliable, is not guaranteed for accuracy but provided for informational purposes and is furnished for the exclusive use of the client. The current price is the value of the financial asset share, unit or contract as priced at the close of the market on the last day of the statement period or the last available price. All values provided for structured yield deposits (for example, JPMorgan London Time Deposits) reflect the original deposit amount only. The value for Real Estate, Mineral Interests and Miscellaneous Assets may not reflect the most current value of the asset. Important information regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically in an auction. Although there may be daily, weekly and monthly resets, there is no guarantee that there will be liquidity. If there are not enough bids at an auction to redeem the securities available for sale, the result may be a failed auction. In the event of a failed auction, there is no assurance that a secondary market will develop or that the security will trade at par or any other price reflected on statements and online. Accordingly, investors should not rely on pricing information appearing in their statements or online with respect to ARS. When J.P. Morgan is unable to obtain a price from an internal or outside source for a particular ARS, the price column on your statement will indicate "unpriced". Valuations of over-the-counter derivative transactions, including certain derivatives-related deposit products, have been prepared on a mid-market basis. These valuations are sourced from the various issuers of the securities or they are sourced from a third party valuation provider. J.P. Morgan expressly disclaims any responsibility for (1) the accuracy of the models or estimates used in deriving the valuations, (2) any errors or omissions in computing or disseminating the valuations, and (3) any uses to which the valuations are put. Valuations are provided for information purposes only and are intended solely for your own use. Please refer to the trade confirmation for details of each transaction. Certain assets, including but not limited to, pooled and private investments, non-publicly traded and infrequently traded securities, derivatives, partnership interests and tangible assets are generally illiquid, the value of such asset may have been provided to us by third EFTA01547925 parties who may or may not be independent of the issuer or manager. Such information is reflected as of the last date provided to us, and is not independently verified. In cases where we are unable to obtain a current market value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". Although such securities may have value, please note that the value of a security indicated as "unpriced" will not be included in your overall current market value as reflected on the statement. J.P. Morgan makes no representation, warranty or guarantee, express or implied, that any quoted value represents the actual terms at which securities could be bought or sold or new transactions could be entered into, or the actual terms on which existing transactions or securities could be liquidated. Such values may only be indicative. When we are unable to obtain a current value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". If a partial call is made with respect to an issue of securities included in your Accounts we will allocate the call by a method we deem fair and equitable. To the extent applicable, please note the following regarding estimated annual income (EAI) and estimated yield (EY): EAI and EY for certain types of securities could include a return of principal or capital gains in which case the EAI and EY would be overstated. EAI and EY are estimates and the actual income and yield might be lower or higher than the estimated amounts. EY reflects only the income generated by an investment. It does not reflect changes in its price, which may fluctuate. Offshore Deposits - London and Nassau Disclosures Page 1 of 3 EFTA01547926 For the Period 10/1/13 to 10/31/13 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Government; amounts in such foreign accounts do not have the benefit of any domestic preference applicable to U.S Banks; certain Foreign accounts are considered reportable to the Internal Revenue Service on a Report of Foreign Bank and Financial Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan Securities LLC ("JPMS") and, to the extent noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC"). Neither JPMS, nor JPMCC is a bank and are each separate legal entities from its bank or thrift affiliates. Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Fund manager disclosure information available upon request If you have an investment account that is managed by an SEC-Registered Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form ADV II or brochure upon written request. These statements are not official documents for income tax reporting purposes and should not be relied upon for such purposes, including determination of income, cost basis, amortization or accretion, or gain/loss. Such information, which may be inaccurate, incomplete or subject to updating, should be confirmed with your records and your tax advisor. Please take the steps indicated below if you think statement(s) are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR ASSET ACCOUNT(S) (LINKED TO JPMS) Your Asset Account consists of a bank account that custodies assets linked to a brokerage account through which securities transactions are executed. As a result, the Asset Account statement(s) reflect brokerage transactions executed through JPMS but (except for exchange listed options) held in custody at JPMCB. Securities purchased or sold through JPMS in U.S. markets (other then mutual funds) are cleared through an affiliate of JPMS, in non-U.S. markets securities are cleared through JPMS. Positions in exchange-listed options are held by JPMCC. For your convenience, however, positions in exchange-listed options are presented in Asset Account statement(s) together with other assets held in such account(s). All pertinent information about your settled and pending purchases and sales effected through your JPMS account during the period covered by these statement(s), is summarized in the "Trade Activity" portion of the statement(s). In Case of Other Errors or Questions About Your Asset Account Statement(s) Please review your statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, EFTA01547927 improper payments or transfers in writing to both the introducing broker, JPMS and the clearing firm, JPMCC at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act (SIPA). If you have any questions please contact your J.P.Morgan team. In your written communication, please provide the following information: (1) your name and account number; (2) the dollar amount of the suspected error; and (3) a description of the error and explanation, if you can, why you believe there is an error. If you need more information, you must describe the item you are unsure about. We must receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. JPMCC and JPMS are members of the Securities Investor Protection Corp ("SIPC"), a not-for-profit membership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer at JPMCC are protected by SIPC up to $500,000 per customer, which includes up to $250,000 of protection for cash. SIPC does not protect against losses from fluctuations in the value of the securities. Assets held in custody by JPMCB are not subject to SIPC. You may obtain information about SIPC, including the SIPC Brochure, on their website, at "www.sipc.org" or by contacting them at (202) 371-8300. In Case of Errors or Questions About Your Electronic Transfers. Disclosures Page 2 of 3 EFTA01547928 For the Period 10/1/13 to 10/31/13 Contact your J.P. Morgan Team at one of the telephone numbers on the front of your statements or write us at J.P. Morgan, 500 Stanton Christiana Road, 1/OPS3, Newark, DE 19713-2107 as soon as you can, if you think your statement is wrong or if you need more information about a transfer on the statement. We must hear from you no later than 60 days after we sent you the FIRST statement on which the error or problem appeared. (1) Tell us your name and account number. (2) Describe the error or the transfer you are unsure about, and explain as clearly as you can why you believe it is an error or why you need more information. (3) Tell us the dollar amount of the suspected error. We will investigate your complaint and will correct any error promptly. If we take more than 10 business days (or 20 business days for new accounts) to do this, we will credit your account for the amount you think is in error, so that you will have the use of the money during the time it takes us to complete our investigation. In Case of Errors or Questions About Non-Electronic Transfers (Checks or Deposits) Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a statement is incorrect or if you need more information about any non- electronic transactions (checks or deposits) on this statement. If any such error appears, you must notify the bank in writing as soon as possible after your statement was made available to you. For more complete details, see the applicable account agreements and appendices that govern your account. Deposit products and services are offered by JPMCB Member FDIC. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. With reference to JPMS and JPMCC: A financial statement of this organization is available to you for personal inspection at its offices, or a copy will be mailed to you upon written request. You should have received (or have made available to you) separate confirmations for each securities transaction. All transactions are subject to the terms and conditions stated on the reverse side of such confirmations and are subject to the constitution, by-laws, customs and interpretations of the marketplace where executed and governed by and construed in accordance with the laws of the State of New York and all applicable federal laws and regulations. Further information with respect to commissions and other charges related to the execution of transactions, including options transactions, has been included in confirmations that were previously furnished or have made available to you. Upon written request, JPMS will promptly supply you with the latest information. IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR MARGIN ACCOUNT(S) All positions in your Margin Account Portfolio(s) are held in custody at J.P. Morgan Clearing Corp. ("JPMCC"), Three Chase Metrotech Center, Brooklyn, NY 11245-001, (347) 643-2578. EFTA01547929 If you have a margin account as permitted by law we may use certain securities in such account for, among other things, settling short sales and lending the securities for short sales, and as a result may receive compensation in connection therewith. Please keep the following in mind when using a statement to track your brokerage activity in a margin account: The statement combines your general margin account with the special memorandum account required by Section 220.6 Regulation T. As required by Regulation T, a permanent record of your separate account is available upon your request. Free credit balances in your margin account(s) are not segregated and may be used in the operation of JPMCCs business, subject to the limitations of SEC Rule 15c3-3. Unless otherwise noted, JPMCC or its agents and depositories will hold your securities. Upon your demand, JPMCC will pay to you the amount of your free credit balance, and will deliver to you fully-paid securities held on your behalf. Interest will be charged on any debit balance; the method of calculating interest is described in a letter sent to all margin customers. Disclosures Page 3 of 3 EFTA01547930 EFTA01547931