EFTA01291178.pdf

Deutsche Bank OtutWhe Nisi... Nal 1. kt.nottaorr4 Markt. /pent< C4Goi [meta, UM Se:Le It,, vs( 'kW Yeti eace P.O. Box 1776, Baltimore, MD 212O3 34$ Pot Awnse. )40 Frew Nero 'kik IMY 10154 Tell give sec t it t.10: 0vect 130 835 5843 December 1, 2017 - December 31, 2017 Account Number: N4G-024950 JEPSTBN VIRGIN ISLANDS FOUNDATION INC 6130 RED HOOK QUARTER B3 ST THOM ASVI00 802 Portfolio at a Glance ThisPerlad Tear4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE 5588,451.87 81,128,490.91 SH A SHOSHAN Nei Cash Deposits and Withdrawals 0.40 695,030.00 Adjusted Previous Account Value 588,451.87 533,460.91 Dividends. Interest and Other Income 9.98 17,340.28 Net Change in Portfolio' .2.825.00 34135.66 ENDINGACCOUNT VALUn85,1338.8a$585,638.lq Estimated Annual Income 512.422 28 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Arne Type Prior Yeet-End Last Period ThIsPerled 2% Cash, Money Funds, and Bank Deposits 56,026.91 10,451.87 10,481.85 98% Equities 1.077.484.00 578.000.00 575,175.00 100% Account Total $1,128,490.91 5588 451.87 $585,838.85 Please review your allocation periodically with your Investment Specialist. Summary of Gains and Losses Rearmed TbIsPedod Year4o•Date Unrealized Long-Term Gain! Loss 0.00 .0.825.81 44,57310 Net Gain/ Loss 0.00 0.825.81 -44,573.30 This summary excludes transactions where cost basis information is not available. Paget of 9 ke n it Owing tlwonsh Amiens Ilt. a Sally owned A0130272CSF30025 Every Yaw Siva 2007 subsidiary aimSari of New York Mellon DAWN ItAl ED C0MMISCA110.15 Carpontim (SW Mellon) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONF ID KITIFAL--- EXCII WC( Penne. MC. nver-ter EiliRnAcW4Y4S.M_00048925 DB-SDNY-OO11749 EFTA_OO I 59534 EFTA01291178  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 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. Money Market Fund Detail Date Adivity Type Dedellion Ardent Bin Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 1.20% Activity Ending: 12/ 29/ 17 12/01/17 Opening Balance 10,45117 10,451.87 12/29/17 Deposit INCOM EREINV EST 9.98 10,461.85 12129/17 Closing Balance 610,461.85 Total All Money Market Funds 610,461.85 Income and Exoeise Sj lens, y Went Period Yeat-te-Dde Trade Non Tattle Troth Non Tattle Dividend Income Equities 0.00 0.00 17,118.00 0.00 Money Market 9.98 0.00 222.28 0.00 Total Dividends, Interest, Income and Expenses 19.98 80.00 617,340.28 80.00 Portfolio Holdings Accusal Activity Opening doing Maud Marne 30-Dry Current Opening Dale Ottantily Number Ending Beim Balance Income ThisTed Yield 'Odd CASH, MONEY FUNDS, AND BANK DEPOSITS 2.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 12101/17 10,461.850 WA 12129117 10,451.87 10,461.85 0.00 22228 1.10% 120% Total Money Market 110,451.87 110,461.85 60.00 1222.28 TOTAL CASH. MONEY FUNDS, AND BANK DEPOSITS $10,451.87 $10,461.85 60.00 6222.28 Page 2 of 9 NIG-024950 RAW Emarnt Owing tinge.Penton.Ilt. a Sally owned AO 130272CSF30 025 Every Vex S.Ke 2007 DALIIAR RATED CONVOCATIONS subsidiary el The &onkel New York Melon Ccneatim (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCIA CNC t Penhe. LK...tertee fllactreaGM_ DB-SDNY-0011750 000443926 EFTA_00159535 EFTA01291179  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1,2017 - December 31,2017 I EPSTBN VIRGIN ISLANDS Portfolio Holdings (continued) Unrealized &nailed Estimated Date Aonsiled Quantity Unit Cost Col Bads Merkel Price Market Vake W6 Loss AnnualIncome Yield EQUITIES 9 8.0 0% of Portfolio Common Stocks BRISTOL M YERS SQUIBB CO COM Security Identifier:BM Y Dividend Option: Cash CUSIP.19122138 10/30/15 5.000.000 66.9420 334.712.00 61.2800 306.400 00 -28.312.00 8,000 00 281% DISNEY WALT CO DISNEY COM Security Identdiet CIS Dividend Option: Cash CUS1P: 25468796 10130/15 2.500.000 114.0150 285,036.30 107.5100 268.775.00 -16.261.30 4,200.00 1.56% Total Common Stocks $619,748.30 5575,175.00 -$44,573.30 $12,200.00 TOTAL EQUITIES $619,748.30 $575,175.00 -$44,573.30 $12,200.00 Wreaked Awned Estimated Col Basis Market Value Gain, toss Interest Annual Income TOTAL PORTFOLIO HOLDINGS $630,210.15 $585,636.85 444,573.30 $0.00 $12,422.28 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended by the Emergency Economic Stabilization Act of 20 0 8. and are marked as "noncovered" Securities marked as "covered". were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1399-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Portfolio Holdings 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, w hich 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 w hich a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT 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 from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest Page 3 of 9 N4G-024950 AO 10 OEC630(15F ID Rated Caceilent Every Vex Since2007 ClearingIMO. hatingISC. • %Sony owned subsidiarni The Sordid New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) L DAIJAR ltAlED COMMUNICATIONS EXCLUDa CerPontim (MY melon) Pen...tux. munta motrak it aGM_00048927 DB-SDNY-0011751 EFTA_00159536 EFTA01291180  Portfolio Holdings Disclosures (continued) Estimated Annual Figures (continued) and dividend rates are subject to change at any time, 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 www pershing corn/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned 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 will not receive confirmation of these reinvestments. Upon written 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. Option Disclosure 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 firm. 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 financial 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. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. 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. Messages Please note the following information for Pershing's 2017 Form 1099 tax statement (1099)' The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC. Your 1099 will be delivered as early as possible, beginning January 31 2018. By February 15. you will be mailed either your 1399 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1/./99 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15.2018. For more information please visit mytaxhandbook.com M UNICIPAL SECURITIES RULEM AKINS BOA RDS(M SRB®) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB. F1NRA, and NYSE Although a money market mutual fund seeks to preserve the value of your investment at $1per share, it is possible to lose money by investing in a money market mutual Page 4 of 9 N4G-024950 Raleamant ClangiThelPtabeg LLC, a ally armed A0100272CSF30025 Every Vex Sate2007 mbar/ a The Ilardi of Na, York Mellon DAISMI WED COMMUMCATICMS Comonthm (MY Man) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- EXCMENC( Penne. LLC. meter EIHRIAINALGM_00048928 DB-SDNY-0011752 EFTA_(()159537 EFTA01291181  Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31, 2017 I EPSTBN VIRGIN ISLANDS Messages (continued) 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 seethe money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5,2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a T+2 settlement cycle provides faster access to sale proceeds, but it also means that funds are due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up e-delivery. DISCLOSURE By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, If we authorize the named Financial Institution and Pershing LLC (-Pershing") and their affiliates to share my nonpublic personal information* held at Financial Institution and Pershing with the named trusted contact person(s) (the "Trusted Contact Person(s)") identified as such. Additionally, II we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of Financial Institution and Pershing. This authorization includes, but is not limited to, sharing or disclosing any information regarding securities, insurance, bank related, financial planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information I! we may have provided to Financial Institution and Pershing. If we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my whereabouts or health status (i.e., if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone authorized to transact business on the account, or who is already otherwise able to receive the information described above. Account owners should contact their Financial Institution or financial representative with additional questions. Account owners may also contact FINRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments. CALL 844-57-HELPS(844.574.3577) MONDAY - FRIDAY;9 - 5 P.M. ET • "Nonpublic personal information' includes, but is not limited to: financial account information and balances, information regarding the purchase of a security or insurance product, and any other personally identifiable financial information: (I) provided by a me/ us to my/ our Financial Institution: (ii) resulting from any transaction in my/ our account or any service performed on behalf of me/ us by the Financial Institution: or (iii) otherwise obtained from me/ us by the Financial Institution. Activity Summary (All amounts shown are in base currency) ()edits This Period Debits ThisPerlod Net ThisPetiod Meats Year-go-Date Debits Yeatio-Date Net Yes-to-Date Securities Securities Sold 0.00 0.00 0.00 532,124.68 0.00 532,124.86 Total Securities $0.00 $0.00 $0.00 $532,124.66 $0.00 $532,124.66 Dividends and Interest $9.98 $0.00 $9.98 $17,340.28 $0.00 $17,340.28 Cash Withdrawals 0 00 0.00 0.00 0.00 420,000 00 420,000.00 Deposes 0.00 0.00 0.00 24,970.00 0.00 24,970.00 Page 5 of 9 NIG-024950 Rated (Keirnt Owing tiwonsh ',enlists PIC a Si* owned A0130272CSF30025 Every Vex Since 2007 subsidiary a tae New York Mellon OMAR PAIEDCOMMUNICATIONS Cannatim (MY MONO CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. L- EXCIAL WC( Parma* MC. merran FilialWaat DB-SDNY-0011753 00048929 EFTA_00159538 EFTA01291182  Activity Summary (continued) Credits This Period Debits ThisPerlod Net TM:Period CredanYorio-Dale DebtleYeauto-Cate Net Year-to-Dale Total Cash $0.00 $0.00 $0.00 $24,970.00 4620,000.00 4595.030.00 Totals $9.98 $0.00 $9.98 $574,434.94 4620,000.90 445,565.06 Transactions by Type of Activity Process Sett kment Date Adivily Type Description Quantity Price named Intued Amount Currency Dividends and Interest 12/29/17 MONEY MARKET FUND DEUTSCHE GOVT CASH 9.98 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 9.98 Total Value of Transactions 0.00 9.98 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Dire Payabk Cute Cluentily Held Rite Waked Option Amount of Fragment Dividends DISNEY WALT CO DISNEY COM 12111117 01111118 2,500.000 0.840000 Cash 2,100 00 Total Cash Not Yet Received $2,100.00 Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable Pershing does not guarantee the accuracy of the information. Client Service Information Your !madman Specials: Conted Information JOSHUA SHOSHAN Telephone Number: 280 PARK AVE- 3R0 FL NEW YORK NY 13017 Page 6 of 9 CCSF3O00 N40-024950 A 130272 25 Medhr llent Every Yew Shwa 2007 DAYAR RAIID COMMLNICATIONS Owing through ewes PIC. • Sally owned subsidiary SIM brat a New York Mellon Cigna , (OW Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) NFIDO. AL- EXCLUENCIE 00048930 Pen e. LI.C.inerfter FIlltatiAtiterai DB-SDNY-0011754 EFTA_00159539 EFTA01291183  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31, 2017 I EPSTEIN VIRGIN ISLANDS Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Met hod for Stocks in a Dividend Reinvestment Plan: First In First Out Default Met hod for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account corn munications for electronic delivery. To register and turn off paper corn m unicatIons, log in to your account or contact your Investment Specialist for more information. Important Information and Disci sures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders: the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC19). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comi about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed In writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page 7 of 9 1MG-024950 Rated ballet Owing tlwonsh ',enlists PIC • wholly owned A010272CSF30025 Every Yew Shwa 2007 DAYAlt RA1ID COMMUNICATIONS subsidiary e4 The Banta New York Mellon Colneatimi (MY Meta) I CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFID O. EXCLUDICE u.c. newt.,nitakftWiatat000443931 DB-SDNY-0011755 EFTA_00159540 EFTA01291184  Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain docum ants, w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless. in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until; (I) the classcertification is denied; (II) the class is decertified, or ( Ill) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Paged of 9 N4G•024950 Med baked OaringIMO. hakes LLC, a wholly owned AO 100272CSF30025 V. Every Year Age 1007 subsidiary elIlie Sank.. New York Mellon DAUMRAIID COMMLINCATICOS Carponthan (SW Mellon) •U CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- EXCWENCIE Penn. ir erenterFiliRnA14 1Y2PIO_00048932 DB-SDNY-0011756 EFTA_00159541 EFTA01291185  TERMS AND CONDITIONS TRANSACTIONS PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSRIONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECU