EFTA01290128.pdf

Deutsche Asset & Wealth Management OraIsre Ram go...W.4iPIMamie,. Pdvects °siege 4.p.p Dettuht Mai sewn.. Ac lir. %A Oat* P.O. Box 1778, Balamer*. MD 21203 Part Anne,. 160. I to 14,. vest 10. 1011.4 Ilul 4,44,821. Ins) 7.114,11S Account Number: Statement Period:1210112014 - 12131/2114 Valuation at a Glance This Period Year-to-Oate JEEPERS INC Beginning Account Value $28,0114,881.62 $45,708,211.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 168,911.94 -19,498,214.84 ST THOMAS VI 00802 Adjusted Previous Account Value 18,251,600.46 21,211,041.27 Dividends. Interest and Other Income 13,801.95 81,982.97 Net Change in Portfolio -32,183 94 *810.77 ncling Account Value $26 233 218 47 S26,233 2'3 4" Eslcm ated Annual Income 576 527 05 Your Client Advisor: DANIEL SABBA Asset Allocation Prior Year-hd Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 44,148,000.42 24,493,658.23 24,651,191.32 94.01% P ease RI ioza! o- LSD Fixed Income 1.560.280 69 1.591.030.29 1 572.024 15 5.99% r Account Total (Pie Chart) $45,708,261.11 128,084,618.62 $26,233,218.47 100.00% See the Asset Mocation Disclosure and Footnotes secton for mportant informaton regarding your Asset Alscateso Page 1011 Rated Excellenti soloimicsr3m3 L....my year Sine. 2007 a otarre=rro..7.Z.rt," DALBAR RATED COMMUNICATIONS rxenurrder CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID('DEPAt fisAL SDNY_GM_00047398 OB-SDNY-0010222 EFTA_00158007 EFTA01290128  Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized This Period Year4o-Date Unrealized Short-Term Gain/Loss 000 0 00 2.10788 Long-Term Gain/loss 000 0 00 -54.077.21 Net Gain/Lou 0.00 0.00 -59,185.09 This summary excludes transactions where cost basis information is not available. For Your Information Cr June 5, 2014, the European Central Bank (the -BCE) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECG and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as Tree Credit Balance Interest Charge. The interest will be reported on your Forms 1099 and/or 1042S for tax year 2015. 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. Money Market Fund Detail Date Adivity Type Description Amount Balance Sweep Money Market Fund DWS GOVERNII ENT CASH INSTL Account Number: 0000001491 Current Yield 0.03% Activity Ending: 1213f114 11129114 Opening Balance 24,493,65823 24 493,858 23 12/31114 Deposit INCOME REIN VEST 624.15 24 494,282 38 12131114 Closing Balance $24,494,282.38 Total All Money Market Funds $24,494,282.38 ncome and Expense Summary DJrrent Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 624.15 0.00 5,356.54 0.00 Other Dividends 13,177.80 0.00 72,57423 0.00 Interest Income FIX Insured Bank Deposits 080 0.00 4,052.20 0.00 Total Dividends, Interest, Income and Expenses 813,801.96 60.00 $81,982.97 60.00 Page 2 011 Account Number Rabid Lao-SYS 1,(iAi paperless Event Year Sava 2007 DAL BAR RATED COMMUNCATIONS JEEPERS INC 8,m:tunic? CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFlDrIcTIAL SDNY_GM_00047399 DB-SDNY-0010223 EFTA_00I 58008 EFTA01290129  Deutsche Asset & Wealth Management O Onto< Ram Ionle w,Y n Manapnern Went, Cpetrar Gtcs.p Des-b04 ML SCIA,lei Nyev.40st* P.O. Box 1778, Bahimore. MD 21203 Na PiA 4.1/409. MTh I ber New** M' 10114 454.71119.1115178•471S Statement Period: 1210112114 • 12/3112014 Portfolio Holdings Account Activity Opening Closing Accrued Income 30-Day Carrell Opening Date Quantity 'lumber Ending Balance Bataace Income IbisYear Yield Yield Cash, Money Funds, and Bank Deposits 9 4.0 0% of Portfolio Cash Balance 0.00 166,911.94 Money Market DWS GOVERN M BIT CASH INSTL 11129114 24,494,282.380 000000t491 12131/14 24,193,658.23 24,494,282.38 0.00 5,356.54 0.03% 0.03% Total Money Market $24,493,658.23 524,494,262.38 $0.00 55,356.54 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11129114 N4G024935 12(31114 0.00 0.00 0.00 4.052.20 NM NM Total FDIC Insured Bank Deposits 60.00 30.00 6100 54,052.20 Total Cash, Money Funds, and Bank Deposits 524,493,658.23 $24,661,194.32 $0.00 $9,408.74 thirealited Estimated Estimated Date Acquired Chastity Unit Cost Cost Basis Market Price Markel Valle Gait! Loss Annual Income Yield Mutual Funds 6.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND Security Identifier: .PHSX SELECT STARES USW- 481211510 Open End Fund Dividend Option: Reinvest. Capital Gains Option: Reinvest 02113113 13 148,957.299 10 0700 1.500.000.00 9 7200 1,447,664.94 -52,135.06 61,817.27 4.26% 03101113 13 533.047 10 0600 5,362.46 9 7200 5,181.22 -181.24 221.21 4.26% 04101113 13 591.454 10.1100 5,979.61 9 7200 5,748.94 -230.67 245.45 4.26% 05101/13 13 562.992 10.1300 5,703.11 9 7200 5,472.28 .230.83 233.64 4.26% 06103113 13 567.343 10 0900 5,724.50 9.7200 5.514.57 .209.93 235.45 4.26% 01101/13 13 500.501 9.9700 1,990.00 9.7200 4,864.86 •125.14 201.11 4.26% 08101113 13 527.821 10.0600 5,309.94 9.7200 5,130.47 .179.47 219.05 4.26% 09103113 13 531.248 10.0300 5,328.42 9.7200 5163.74 464.68 220.47 4.26% Reinveslments to 8.959.169 10.0250 89.811.20 9.7200 87,083.13 -2.728.07 3.718.06 4.26% Date Total Covered 161,730.880 1 626 209 24 1,572,024.16 -66,186.09 67,118.31 Total 161,730.880 $1,626,209.24 $1,572,024.16 -$56,165.09 $67,118.31 Total Mutual Funds $1,626,209.24 51,572,024.16 -256,185.09 $67,118.31 Page 3 of t1 Account Num be, listed enrolls rdi 80100117CSF3 BAH ROLL Go paperless (very Vs., Lace 2007 .EEPERS INC DAL BAR RA TED COMMUNCATIONS rxesturner CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6() CONFIDAENTIAL SDNY_GM_00047400 OB-SDNY-0010224 EFTA_00 I 58009 EFTA01290130  Portfolio Holdings (continued) Unrealized Accrued Estimated Cod Basis Markel Valve Gain( loss Interest Annual Income Total Portfolio Holdings 126,289,403.56 126,233,218.47 • $56,185.09 10.00 116,577.05 Footnotes Securities acquired before 2011 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.110-343, 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. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 10994 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • 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 • Cotter securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa•es Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection ComorationtSIPC). For disclosure of rates for DWS money market funds, please vise the DWS Investments website at https:friwter.dvesinvestments.conVEN(productsimoney-market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. 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 products disclosure document or contact your advisor for additional information. Please note the toclowng information for Pershmg's 20f4 IRS Forms 1099 (8. DIV. INT O/D and MISC): Your form 1099 AA be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of sect rities you hold have not yet provided their final tax information. It will inform you of the securities that are pending Mal reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.cornibusiness_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Alocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers Whose introduced accounts have received an allocation. Securities registered in the clients name, either in transit or held in custody, are Page < of 11 OftAit Account Number LEPERS INC a t‘rcrVirrArtro"°7 GO paper-less Rau iA ,L YMCA T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFI DriScrii14/L a "a SDNY_GM_00047401 OB-SDNY-0010225 EFrA_00 I 58010 EFTA01290131  Deutsche Asset & Wealth Management (Misr* Ram Vona nmanalunnd Pent% Iowa,. Gtcs.p Des-b1h4 la* Sel•nlei Mr Mt* PO, Box 1778, Bahimore, MD 21203 Na Part Asere••. Ikh I bgr Neve RA 1,tt 10114 01114:44414.11151704,91, Statement Period: 1210112114 -1213112114 M essa • es (continued) excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security. the total par value of the called securities held. and the trading unit of the security. Example (unit of trade r 525.000): Clknt Account Par Value Number of Trading Units ABC-123234 $100,000 4 CEF-325465 575,000 3 EDR-567433 5150,000 6 EGT-876574 $50.000 2 RG7468345 525.060 1 FRT-435234 525000 1 FRT.658797 575,000 3 u In brief, the allocation process involves the following steps: • The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). • A random number is generated that will result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. Page 5 of 11 Account Nun ber lila. 4..000 MarAq GO paperleSS Every Vow' Woes 2007 ..W.L."-ree..t.tgr4r =r CONFIDnetrAL °PAN MOI DALBAR RATED COMMUNCATIONS ..EEPERS INC rxerturnaer SDNY_GM_00047402 CONFIDENTIAL — PURSUANT TO FED. R CRII1,1. P. 6(e) OB-SDNY-0010226 EFrA_0015801 I EFTA01290132  M essages (continued) ' When a partial call is deemed favorable to the holders of the called security. Pershing will exclude certain accounts horn the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing taffies and clears those accounts). No allocation eel be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market pike as captured in Pershing's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one that is unfavorable to holders of the security. ' Clients have the right to withdraw uncaled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cat iiCtierns also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation Tor that such withdrawal will not cause an under-margined condition. Activity Sum m ary (Alf amounts show) are in base currency) °red Is This Period YearitoiDate Debits This Period Year-to-Date Securities Securities SecuAbes Bought 0.00 C: Secunties Bought -13.177.60 -72,574.23 Total Securities 10.00 $0.00 Total Securities -$13,177.80 -$72,514.23 Dividends and Interest $13,801.95 111,982.97 Dividends and Interest WOO 10.00 Cash Cash Withdrawals 000 000 Withdrawals 0.00 -26.563,460.12 Deposits 166 911 94 7.067 245.28 Deposits 0.00 0.00 Total Cash 5166,911.94 $7,067,245.28 Total Cash 00.00 421,663,480.12 FDIC Insured Bank Deposits $0.00 046,246,022.60 FDIC Insured Bank Deposits 00.00 -$2,000,022.11 Money Market Funds $0.00 112,011,513.28 Money Market Funds 4624.11 -031,665,195.06 Total Credits 6180,713.89 066,460,761.13 Total Debits -013,801.95 -$65,299,152.19 Pape 60 II Account A un ber Rated tacolleril r o..=... 1-=... MIAI1 Go paperiess Only V... Some 2007 DAL OAR RATED COMMUNICATIONS LEPERS INC rxciurrder CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F I ID-ENTEAL SDNY_GM_00047403 DB-SDNY-0010227 EFIA_00158012 EFTA01290133  Deutsche Asset & Wealth Management (Misr< Rana Ponti weanIANI•eentIll Nyf6CPMIp4MY0 Dettlffil M sec.e*es lire *A Cali* P.O. Box 1778, Bahimore, MD 21203 IIIbnAnneklkhilber Neve vett. M . 1011.4 vuI 41:441188.111517M4M. Statement Period: 12/01/2014 • 12/3112014 Transactions by Type of Activity Proceed Setthoed Data Activity Type Desaiotion Quid Price Awned littered Moult CUrrenq Securities Bought and Sold 12101114 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME RAD SELECT SHARES 533 542 -5,292.74 USD PH SX 180386.1180 SHRS SPAS PURCH. AT 69.92000 RD 11126 PD 12101111 12/31/14 REINVEST CAB- INCOME ?MORGAN R.OATING RATE INCOME FUND SELECT SHARES 811 220 -7,885.06 USD ,PI-SX 180919/800 SIRS SI- RS PURCH. AT $9.12000 RD 12129 PO 12131114 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -13,177.80 Dividends and Interest 12/01114 CASH DIVIDEND REEVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,292.74 USD PISX 160386 1180 SHRS RD 11126 PD 12101/14 12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL 621.15 USD INCOME RECEIVED 233993882 12/31/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 1,886.06 USD Pr SX 180919.6600 SHRS RD 12129 PD 12131/14 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 13,801.05 Cash Withdrawals and Deposits 12/31/14 FEDERAL RADS RECEIVED P MORGAN CHASE BANK 27809 166,911 94 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 186,911.04 Money Market Funds 12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL INCOME REINVESTED -624.15 USD REN VESTM EN T 233993682 Total M oney M a rket Fund s • UNITED STATES DOLLAR 0.00 424.15 Total Value of Transactions 0.00 166,911.04 USD The pace and quantity displayed may have been rounded. Page/ of 11 Account Number: Go paper excellent, beery Vas. Lace 2'007 et a rlarlat von is:wc .. %ear.. OW Ms* OMAN ROLL EEPERS ,DxA tA RArTEDCOMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAriTriA aLO SDNY GM 00047404 DB-SDNY-0010228 EFTA_00 158013 EFTA01290134  Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AMEN LE 267F FLOOR NEW YORK AY 10l54 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original issue discount (OID): No Amortize pram ium on taxable bonds based on Constant Yield Method: Yes ACCIUS market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Client Advisor for more inform anon. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close 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 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN 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 Isom 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 tine, 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 wiwrpershing.corNbusiness_continuity.htril 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 vii not receive confirmation of these reinvestments. Upon vntten 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 furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. 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 fmancial 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 Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account.