EFTA01119309.pdf

0•Yhett W. Myer venahltnarnes wan Coecrate 0.0 oe.dicne Bank Staimilet Inc %mita OPRe• PO Bca 1776. Ilatercee MO 21203 345Parb knew. Clxi Iwo verh. UnI7 012,45422$1.05S)218409S Statement Period: 08/01/2014 - 08/31/2014 Valuation at a Glance This Period Yeamo-Dale SOUTHERN FINANCIAL LW Beginning Account Value $103,635,665.44 $90,573,050.28 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -273,000.00 9,837,54215 ST THOMAS VI 00802 Adjusted Previous Account Value 103,362,665.44 100,410,592.43 Dividends, Interest and Other Income 439,62339 2,417,791.02 Net Other Activity 0.00 -54.00 Net Chan,e in Portfolio 417.409.86 1.391.369.24 Ending Account Value 5104,219,698.69 $104,219,698.6 Your Client Advisor: Estimated Annual Income $3,646,365.03 Asset Allocation Prior Year-EM Last Period This Period %Allocation USD Cash, Money Funds, and Bank Deposits 18,295,949.71 30,329,970.74 34,850,094.30 33.447. Please review your allocation. USD Fixed Income 27,736,972.38 23,923,001.06 19,591,460.64 18.80% Assets of less than 1% of holdings Non-USD Fixed Income 10227,309.46 7,759,787.00 7,722,321.25 7.41% wl not &splay on this pie chart. USD Equities 30,410,519.65 41,232,354.98 38,644,087.25 37.08% l Non-USD Equities 3,137,192.74 0.00 3,027,344.00 2.90% Non-USD Cash, Money Funds, and Bank Deposits 402,106.34 390,461.66 384,391.25 0.37% Other 363,000.00 0.00 0.00 0.00% Account Total (Pie Chart) $90,573,050.28 $103,635,665.44 $104,219,698.69 100.00% See the Asset Alocalion Disclosure and footnotes section for important information regarding your Asset Allocation. Pape 1of 20 Ital Emalleal Oista. Mae ANS. U.C. • e.red worth D0A5.1700. 200972S2CSP30015 Go paperless Ali MOUT 4011IVERY ry V. Uwe 2007 Evee0 0AlltAR RATED COMMUNICATIONS of ne Swab ei Num Verb MS Ccager~1•01Y elbow° ovsnot maw MSC set f.x0ELLEmCE EFTA01119309 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data All values are &played in U.S. dollars based on interbank exchange rates as of 08/3112014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term Gain/Loss 1380 38 18,212.90 2,733,326.04 Lone-Term GairVLoss -2.611.813.65 -7.029.061.12 2.717.691.59 Net Gain/Loss -2,609,833.27 -7,010,848.22 5,451,017.63 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Global Cash Currency Closing Amount in Currency USD EguivaleM per USD Currency Balance Base Currency USD I EURO 1.3171 0.7592 EURO 291.846.67 38439125 Total Global Cash Balance $384,391.25 Exchange rates are based on interbank exchange rates as of 08/3112014. Exchange rates can vary. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Account Number: 0000001490 Current Yield: 0.03% Activity Encing: 08/29/14 08/01/14 Opening Balance 30,324,16934 30,324,16934 08/01/14 Deposit MONEY FUND PURCHASE 5,801.20 30.329.970.74 08/05/14 Deposit MONEY FUND PURCHASE 2,093750.00 32.423.72&74 08/06/14 Deposit MONEY FUND PURCHASE 261,889.92 32.685.610.66 08/08/14 Withdrawal MONEY FUND REDEMPTION -534,873.02 32,150,737M 08/12/14 Deposit MONEY FUND PURCHASE 82,091.18 32,232,828.82 08/14/14 Withdrawal MONEY FUND REDEMPTION -266,420.00 31,966,408.82 08/18/14 Deposit MONEY FUND PURCHASE 165,48129 32,131,890.11 08/19/14 Deposit MONEY FUND PURCHASE 82,431.92 32,214,322.03 08/22/14 Deposit MONEY FUND PURCHASE 83.418.63 32,297,740.66 08/26/14 Deposit MONEY FUND PURCHASE 30,618.92 32,328,35938 08/29/14 Deposit MONEY FUND PURCHASE 86,404.83 32,414,764A1 08/29/14 Deposit INCOME REINVEST 815.62 32415080.03 08/29/14 Closing Balance $32 415 580.03 Total All Money Market Funds $32,415,580.03 Page 2 of 20 Rated Ekoillell Mono LI.O. • vel.11, emn.“ 110097252CSF30015 EMAIL.ROLL Go paperless Every Vose Sand 2007 CLAMS* RATED COMMUNICATIONS el The Ono lam %WA Wien Cemorne. env ••••Pee IS' naiad meta Milt SOY SOUTHERN FINANCIAL LLC -On ASK MOOT ii IN Ay EXCELLENCE EFTA01119310  duper Lin• hen,. WnIth MN minnow Mitats CoreNe G/010 OnaiwN NM Secure.Inc No VertCam PO ea. 1776. B,R Mae WAD 21233 345Patb Metrove. NthMa Ilineferik Wf 10134 0121454-2812.4ISS)211t4CIS Statement Period: 08/01/2014 - 08/31/2014 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 116,33625 aoo 468,457.23 0.00 Money Market 815.62 0.00 3,587.45 0.00 Other Dividends 93,750.00 0.00 499,005.20 0.00 Interest Income Bond Interest 67,04426 0.00 605,861.21 0.00 FDIC Insured Bank Deposits 0.00 0.00 2,691.15 0.00 Other Interest 40,625.04 0.00 121,875.12 0.00 Total Dividends, Interest, Income and Expenses $318,571.17 $0.00 $1,791,477.36 $0.00 Distributions Alternative Investments 0.00 121,05222 0.00 626,313.66 Other Distributions 0.00 21,174.66 0.00 488,230.19 Total Distributions $0.00 $142,226.88 $0.00 $1,114,543.85 Portfolio Holdings U.S. DOLLARS Account Activity Opening Closing Acaued Income 30-Day Current Opening Date Quantity Number Ending Bab= Belma bcome This Year Yield Yield Cash, Money Funds, and Bank Deposits Cash Balance 5,80120 2,434,514.27 Money Market DWS GOVERNMENT CASH INSTL 08/01/14 32,415,580.030 0000001490 08/29/14 30,324,169.54 32,415,580.03 26.65 3,587.46 0.03% 0.03% Total Money Market $30,324,169.54 $32,415,580.03 $26.65 $3,587.45 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08/01/14 N4G023804 08/29/14 0.00 0.00 0.00 2.691.15 N/A N/A Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $2,691.15 Total Cash, Money Funds, and Bank Deposits $30,329,970.74 $34,850,094.30 $26.65 $6,278.60 Page 3 of 20 Rated t Cisme any. Slaty WI •abeiry ...Jew', 200972S2C3F30015 Go paper less !Ivey Yea. Sonar 2007 of no s. ei Xs• Ywu Y,n cover~rn own ii/S0 DBAB.ROLL SOUIHtHN HNANUAL AMC A BOU TEirtuvillv DAtBAR Junco COMMUNICATIONS Me. 1.44. -OS maw 'Inc set EXCELLENCE EFTA01119311 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimided Date aired Cuantit Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual income Yield Fixed Income fin Maturity Date Sequence) 6Asset Backed Securities COUNTRYWIDE HOME LOANS Security Identifier: 12669DYS1 SER 03-1 CL B1 4.090%03/25/33 EVE DTD 01/30/03 Factor:023181744 Effective Date:08101/14 Current Face Value: 1,043,178.480 12/13/13',x,12 4.500.000.000 93.3760 974,08295 86.1950 899,167.69 -74,91526 3,555.50 Original Cost Basis: $1,111.573.07 WASHINGTON MUT MTG SECS CORP 2004-RA2 Security Identifier: 939336320 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972%07/25/33 B/E DTD 06/01/04 S & P Rating Factor: 0.57776879 Effective Date:08/01/14 Current Face Value: 745,321.739 12/13/13 .•3,12 1,290,000.000 763190 570,309.83 87.0420 648.74285 78,43112 4,330.58 Original Cost Basis: $638,906.71 Total Asset Backed Securities $1,544,392.78 $1,547,910.64 ;3,517.86 $7,886.08 $0.00 5,790,000.000 Total Current Face Value: 1,788,500.219 Corporate Bonds JPMORGAN CHASE & CO MEDIUM TERM NTS Security identifier: 48126NVE4 CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 10/16/14 B/E DTD 09/27/13 12/05/13 'AM 1,000,000.000 100.0000 1.000.000.00 105.0400 1.050.400.00 50,400.00 0.00 Original Cosl Basis: $1,000.000.00 PETROLEOS DE VENEZUELA Security identifier: P7807HAF2 NOTES SENIOR ISINAS0460546525 5.000%10/28/15 REG DTD 10/28/09 S & P Rating B+ 12/04/13 ',SA 2.500.000.000 93.6050 2,340,116.28 920000 2.325.000.00 15.11628 42.361.11 125.00000 537% Original Cost Basis: $2,250,000.00 HEADWATERS INC GTD SR NT Security identifier: 42210PAGS 7.625%04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 ' ,12,13 1.003000.030 102.1670 1.021.666.69 105.5000 1,055,000.00 33,333.31 31,770.83 76.25000 7.22% Original Cosl Basis: $1835.000.00 EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6 CUSIP FROM 270321AB8 8.875% 05/15/19 EVE DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 . ,3,12 400,000.000 102.6890 410,756.48 102.2500 409,000.00 -1,756.48 10,452.78 35,500.00 8.67% Page 4 of 20 R*40 EmatIkent 0101AlleditadlOIOISSIOLLIS • ••••••,•••••• oulinkamM1 110097252CSF30015 DEA..R011 Go paperless Every 'tsar Uwe 2007 OALEUUt RATED COMMUNICATIONS el Tie ••••• Nay Yet% nCemoraet OM'S. tLe emigre maw MPC. VC Sore SOUTHERN FINANCIAL LLC AMC ASCOT 4011IWAY EXCELLENCE EFTA01119312  °NW". Bal. Myer wealth IlAinencal Minn Coono ONO INvisthe Bank hoomiet NaNIN.0110 PC Pex 1776. CIA two MD 21233 345 Pad. Merva. 260 fixr Mrslick IN MN 4544812. 050118-409S Statement Period: 08/01/2014.08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimated Date kc, uried Quantit Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) EARTHLINK INC GTD SR NT FULLY EXCHANGED (continued) Original Cost Basis: $414,000.00 10/23.12 ',3,12 ECO.X2 ECE 102.4990 614,992.62 102.2500 613,500.00 -1.492.62 15,679.16 53,250.00 8.67% Original Cost Basis: $619,500.00 Total Noncovered 1,000,000.000 1,625,749.10 1,022,500.00 4,249.10 26,131.94 88,750.00 Total 1,000,000.000 $1,025,749.10 $1,022,500.00 43,249.10 $26,131.94 $88,750.00 SERVICEMASTER CO SR NT - CUSIP FULLY Security Identifier: 81760NAN9 EXCHANGED FROM OLD CUSIP 81760NAL3 8.000%02/15/20 B/E DTD 02/13/12 Moody Rating CAA1 S & P Rating B- 01/24/13 ',12,13 440,000.000 104.5910 460,199.63 1072500 471.900.01 11,700.38 1,564.44 35,200.00 7.45% Original Cost Basis: $468,050.00 02/25/13 ',12,13 1,000,000.000 105.1020 1,051,018.62 1072500 1.072.499.99 21,481.37 3,555.56 80,000.00 7.45% Original Cost Basis: $1,070,000.00 Total Noncovered 1,440,000.000 1,511,218.25 1,544,400.00 33,18135 5,120.00 115,200.00 Total 1,440,000.000 $1,511,218.25 $1,544,400.00 $33,18t75 $5,120.00 $115,200.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G4S15P1248 TERM NOTES ISINNS0717735822 9.875%12/16/21 REG DTD 12/16/11 Moody Rating Ba1 S & P Rating BBB 12/04/13 'An 1,500,000.000 107.9440 1,619,166.62 117.0000 1,755,000.00 135,83328 104,510A2 148,125.00 8.44% Original Cost Basis: $1,627,500.00 SOUTHERN CALIF EDISON CO Security Identifier: 842400FU2 PREF SER E 6.250%02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB- 01/30/12 .,342 3,000,000.000 99.8020 2094,061.72 108.7500 3,262,500.00 268,43828 15,625.00 187,500.00 5.74% Original Cost Basis: $2,992,564.97 Page 5 of 20 4 0 R7400 Excellent arse one Niniraa • .0.07 ad • wean SOO97252CMP30015 OBAOR011 Go paperiess Fey Year Since 2007 OAL OAR RATED COMMUNICATIONS el llama el NSW VW% MISR C•••••Soi Mao U.C. AV IS Mit VC 0•40 SOUTHERN FINANCIAL LLC AMC MOOT 40CLIVERY EXCELLENCE EFTA01119313 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Quantity Una Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISINeUS06739FHK03 7.750%04/10/23 B/E DTD 04/10/13 CALLABLE 04/10/18 S & P Rating BB+ 04/03/13 .,I2,13 300,000.000 100.0000 300,000.00 1112500 333,750.00 33,75300 9.10625 23.250.00 6.96% Original Cost Basis: $300,000.00 JPMORGAN CHASE 8 CO DEP SHS REPSTG Security Identifier: 46625HHA1 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900%04/29/49 B/E DTD 04/23/08 Moody Rating BA1 S & P Rating BBB 06/15/11 .,3,12 2,500,000.000 107.5000 2,687,500.00 110.6250 2,765,625.00 78,125.00 65.83134 197,500.00 7.14% Original Cost Basis: $2,687,500.00 06/15/11 *•3,I2 2,500,000.000 107.0000 2,675,000.00 110.6250 2,765,625.00 90,625.00 65,833.33 197,500.00 7.14% Original Cost Basis: $2,675,000.00 Total Noncovered 5,000,000.000 5,364500 00 5,531,250.00 168,750.00 131,666.67 395,000.00 Total 5,000,000.000 $5,362,500.00 $5,531,250.00 $188,760.00 $131,666.67 $395,000.00 BANK AMER CORP PERP NON COMULATIVE DEP Security Identifier: 060505DT8 SHS FIXED TO FLOAT 8.125% 04/30/58 8/E DTD 04/30/08 CALLABLE 05/15/18 Moody Rating BA3 S & P Rating BB+ 01/10/11 *•3,I2 2,000,000.000 102.7500 2.055.000.00 111.0000 2,220,000.00 165,000.00 47,847.22 162,500.00 7.31% Original Cosl Basis: $2.055.000.00 GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 369622SN6 A 7.125%06/12/62 8/E DTD 06/12/12 CALLABLE 06/15/22 Moody Rating BAA1 S & P Rating AA- 06/27/12 ',I2,13 2,000,000.000 105.5300 2,110,606.12 117.8750 2,357,500.00 246.89488 30,083.33 142,500.00 6.04% Original Cost Basis: $2,122.916.67 LBG CAPITAL N01 PLC 144A Security Identifier: G5433BBG8 ISINMXS0473106283 8.000%09/15/88 REG DTD 12/15/09 CALLABLE 06/15/20 S & P Rating BB 12/04/13 *•3,I2 1,200,000.000 108.25® 1,299,000.00 109.4000 1.312.800.00 13,800.00 0.00 96.00800 7.31% Original Cost Basis: $1299.000.00 LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADDL TIER 1 SECS ISINeUS539439AG42 7.500%09/27/88 B/E DTD 04/07/14 S & P Rating BB- Please Provide • 1,903,000.000 N/A Please Provide 104 8750 1.995.771 25 N/A 24.97688 142,725.00 7.15% Pap 6 of 20 110097252CSF30015 OBAIL.ROll Go paperless rt "y,:=1-4. 2007 OAL BAR RATED COMMUNICATIONS 01••••• dyad.. w LIA • ensile, amored earl." 11.• Monte/New Verb tallemoriCemS• Peal*. tit MOW., mat& wow *a SOUTHERN FINANCIAL LLC Ali MOUT 6.Or1iVf EXCELLENCE EFTA01119314  Oruher Bin, ;MAW Wnkh Iltnarneal Weeks Contest Gxx oe.owN. e.g scare' Inc Nes v., COIN PC Ba4 1778. &aura* PAD 21233 MS Pot Anort. 2(41. Wm Ye rk. la 10114 1717145421lit 055)218409S Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquaed Quantity Unit Cost Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET (continued) Original Cost Basis: Please Provide Total Corporate Bonds $22,639,083.78 $25,765,871.25 81,131,016.22 8469,199.65 $1,702,800.00 23 843 000.000 Total Fixed Income $24,113,476.56 $27,313,781.89 81,134,534.08 $477,085.73 $1,702,800.00 29,633,000.000 Unrealized Estimated Estimated Date ired drantit Unit Cost Cost Basis Market Price Market Value Gain/Loss Annual income Yield Equities Common Stocks MOBILEYE NV AMSTELVEEN ORD SHS Security Identifier: MBLY ISIN#NL0010831061 CUSIP: N51488117 Dividend Option: Cash 08/01/14 800.000 25.0000 20,000.00 43.1800 34,544.00 14,59400 APOLLO GLOBAL MGMT LLC CL A SHS Security Identifier: APO Dividend Option: Cash CUSIP: 037612306 03/29/11 263,157.000 19.0000 4,999,983.00 24.4000 6,421,030.80 1,421,04710 892,102.23 13.89% APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSIP: 037833100 10/28/13 14,000.000 755800 1,058,120.50 102.5000 1,435,000.00 376,87950 26,320.00 1.83% ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CUSIP: 04033AI 00 02/14/12 •,I3 7,535.000 152090 114,597.40 6.2200 46.867.70 47,729.70 01/24/13 9,000.000 19.6000 176,400.00 6.2200 55,98600 -120,420.00 Total Noncovered 16,535.000 290,997.40 102,847.70 -188,149.70 Total 16,535.000 $290,997.40 $102,847.70 4188,149.70 $0.00 ASCENA RETAIL GROUP INC COM Security Identifier: ASNA Dividend Option: Cash CUSIP: 04351G101 01/16/01 70.500.000 212770 1,500,000.00 17.3900 1,225,995.00 -274,005.00 Page? of 20 M00M00 Em0.110,14 0OssinellnugOlindnaLLIS•taelry....ni.asidel 200972S2C3P30015 1211A6.004.1. Go paperless (t) Every Vat Since 2007 DALLIAR RATED COMMUNICATIONS 011•••••••Nw•VerbillOwlran~ noose 440 mos Mao. sc se.< owe its.) SOUTHERN FINANCIAL LLC AIX MOUT Ceti MIRY EXCELLENCE EFTA01119315 Portfolio Holdings (continued) U.S. DOLLARS (continued) Unrealized Estimated Estimated Date ired Quantity Una Cost Cost Bash Ibiket Price Market Value Gain/Loss Annual Income Yield Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP COM Security Identifier: BK Dividend Option: Cash CUSIP: 064058100 06/25/14 250,000.000 363060 9,076,406.00 39.1800 9,795,000.00 718.594.00 170,000.00 1.73% BIOGEN IDEC INC COM Security Identifier: BUB Dividend Option: Cash CUSIP: 09062%103 02/14/12',13 2.095.000 119.5490 250.454.95 343.0400 718,668.80 468.213 85 FACEBOOK INC CL A Security Identifier: FB Dividend Option: Cash CUSIP: 3030314102 05/17/12 ',13 17.500.000 38.0000 665.000.00 74.8200 1,309,350.00 644.350.00 FOUNDATION MEDICINE INC COM Security Identifier: FMI Dividend Option: Cash CUSIP: 350465100 01/13/14 25.000.000 27.5070 687,663.50 232700 581,750.00 -105,91350 08/05/14 24,830.000 23.2530 577.373.02 232700 577.794.10 421.08 Total Covered 49,830.000 1,265,036.52 1,159,544.10 -105,492.42 Total 49,830.000 81,265,036.52 51,159,544.10 4105,492.42 $0.00 GENERAL ELECTRIC CO COM Security Identifier: GE Dividend Option: Cash CUSIP: 369604103 04/23/13',13 23,000.000 21.5700 496,109.08 25.9800 597,540.00 101,430.92 20,240.00 3.38% GENERAL MIAS CO COM Security Identifier: GM Dividend Option: Cash CUSIP: 37045V100 11/18/10 ' 10,988200 36.4010 399,978.16 34.8000 382,389.37 -17,588/9 13,185.84 3.44% 12/09/10 86,536.800 36.8160 3,185,969.22 34.8000 3,011,480.63 -174,488.59 103,844.16 3.44% Total Noncovered 97,525.000 3,585,947.38 3,393,870.00 -192,077.38 117,030.00 Total 97,525.000 $3,585,947.38 $3,393,870.00 4192,077.38 $117,030.00 GILEAD SCIENCES INC Security !dent',ler: GILD Dividend Option: Cash CUSIP: 375558103 02/05/14 5.000.000 79.2810 396,407.00 107.5600 537,800.00 141,393.00 03/07/14 3.100.000 79.6120 246,797.00 107.5600 333,436.00 86,639.00 Total Covered 8,100.000 643,204.00 871,236.00 228,032.00 Total 8,100.000 $643,204.00 $671,236.00 $228,032.00 $0.00 P MORGAN CHASE & CO COM Security Identifier: JPM ISIN8US46625H1005 CUSIP: 46625H100 Dividend Option: Cash 07/14/05 4.353.000 488.4840 2,126,372.76 59.4500 258,785.85 -1,867,586.91 6,96429 2.69% SANGAMO BIOSCIENCES INC COM Security Identifier: SGMO Dividend Option: Cash CUSIP: 800677106 Page 8 of 20