EFTA01254095.pdf

Deutsche Asset & Wealth Management Dralsre lima Pr.le wean mamtenme Patens Coreno G.C,P Cesb4 he Silk Setiori Now brit OPlor PO. Box 1776. Balbmora. MD 21203 NI Fait ASS. l•th I *cc! Ms Vat. Na 10114 P VI 4514101. WO)n•-•09S Account Number: N4G-024935 Statement Period: 12/0112015 -12/31/2015 Portfolio at a Glance This Period Year-to-Date JEEPERS INC Beginning Account Value 11,761,773.39 126,233,218.47 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 000 -24,458,743.30 ST THOMAS VI 00802 Adjusted Previous Account Value 1,781,773.39 1,774,476.17 Dividends, Interest and Other Income 7.239 66 71,335.10 Net Chan e in Portfolio .26.874.58 -103872.10 :nd rg Acccvit \la ue $ 1,7 4 2.1 3 8 4 7 $1 "22 Estimated Annual Income $72,907 55 Your Client Advisor: DANIEL SAM Asset Allocation Prior Yesr-bd Last Period This Period % Allocation LSD Cash, Money Funds and Bank Deposits 24,661,194.32 205,916.92 205,961.90 11.82% Please renew your allocation LSD Fixed Income 1,572,021.15 1,555,828.47 1536,178.57 88.18% I perlocticaltp WO your Gent Ws. Account Total (Pie Chart) 126,233,210.47 11,761,773.39 11,712,138.47 100.00% See the Asset Allocation Disclosure and Footnotes section for important information regartling your Asset Allocation. Page 1 of 8 Riled Excellent OPAO ROIt A009, 019C5F30024 Go paperiess ,t ) OASPAR RATED UM. 2007 COMMONiCaTiOneS M rc. tantres *WS, *La •••••••IPOMA, Pet- OlOC sort us* f xero MCP CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL SDW_GM_00047501 DB-SDNY-0010325 EFTA_00158110 EFTA01254095  Asset Allocation Disclosure and Footnotes Fixed Income certain& Fixed Income Mutual Furls Summary of Gains and Losses Realized This Period Year-lo•Date Unrealized Short-Term Gain/Loss 0.00 0.00 -3,901.92 Long-Term Gain/Loss 0.00 0.00 -155.95527 Met GaInkoss 0.00 0.00 -150,862.10 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Mount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH ill STL Accounl hum ber: 0000001491 Current Yield: 0.13% Activity Ending: 12131/15 12/01115 Opening Balance 205.946 92 205,946.92 12/14115 Deposit MONEY FUND PURCHASE 183.753 77 389,700.69 12/18115 Withdrawal MONEY FUND REDEMPTION .183.753.71 205,946.92 12131115 Deposit INCOM E Rek VEST 14.98 205,961.90 1031/15 Closing Balance $205,961.90 Total All Money Market Funds 3205,961.90 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 14.98 000 3,528.39 0.00 Other Dividends 7,224.68 000 67,773 57 000 Interest Income Credit Interest 000 000 0.00 -15.51 Total Dividends, Interest, Income and Expenses 07,239.66 10.00 $71,299.96 -815.51 Distributions Long • Term Capital Gain Distributions 0.00 0.00 50.95 0.00 Total Distributions 30.00 $0.00 050.95 30.00 Page 2 of 8 Accounl number. N40-024935 Rot.. Exc•Ilat OMB ROLL Go paperless lararRATLC 7ISILUNICATIO116 LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIErENTIAL "a"`"" GDNY_GM_OOO475O2 DB-SDNY-0010326 EFTA_001581 I I EFTA01254096  Deutsche Asset & Wealth Management Draisre San, Poo/lewean Ma.igental Weals COretWeC0C,P Ceenthe SW Senn, vt Miro bet Once PO. Boa 1776. Baltimore. MD 21203 315 Pot Aire. Italica Mew InItY 10IW (I 1?) MSS, 211.409S Statement Period: 1210112015 - 12/31/2015 Portfolio Holdings Ao:cont Activity Opening Going Accrued Income 30-Day torrent Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 12.00% of Portfolio Money Market DEUTSCHE GOVT CASH IN ST1 12101/15 205.961 900 0000001491 12131/15 205146.92 205161.90 000 3.526.39 008% 0.13% Total Money Market $205,946.9 2 $205,961.90 $0.00 $3,526.39 Total Cash, Money Funds, and Bank Deposits 6205,945.92 $205,961.90 $0.00 $3,526.39 Unrealized Estimated Estimated Date Masked Quantity Unit Cost Cost Basis Markel Prim Market Valve Gals/ Loss Annual Income Yield Mutual Funds 88.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND Security !doodler: PHSX SELECT SHARES CLISIP: 48121L510 Open End Fund Dividend Option: Reinvest; CaMtal Gains Option: Reinvest 02/13/13 13 148,957.299 10.0700 1,500,000.00 9.1000 1,355,511.42 -144,488.58 61,221.45 4.51% 03/01/13 13 533.047 10.0600 5,382.46 9.1000 4,850.72 -511.74 219.08 4.51% 04101113 13 591.454 10.1100 5,979.61 9.1000 5,38223 -597.38 243.09 4.51% 05101113 13 562.992 10.1300 5,703.11 9.1000 5.123.23 -579.88 231.39 4.51% 06103113 13 567.343 10.0900 5,724.50 9.1000 5.162.83 -561.67 233.18 4.51% 07/01/13 13 500.501 9.9700 4,99010 9.1000 4,554.56 435.44 205.71 4.51% 08101113 13 527.827 10.0600 5,309.94 9.1000 4,803.22 :450964:0762 216.94 4.51% 09103113 13 531.248 10.0300 5,328.42 9.1000 4,834.36 218.34 4.51% Reinveslm ents to 16,038.901 9.8280 157,635.72 9.1000 145,954.00 -11.681.72 6,591.98 4.51% Date Total Covered 166110.612 1,696,033.76 1136,178.57 -159,867.19 69,381.10 Total 166110.612 $1196,033.76 51,636,170.67 .$159,857.19 $69,381.16 Total Mutual Funds $1,596,033.76 $1,536,171.51 -5159,857.19 $69,381.16 Unrealized Accrued Estimated Cost Basis Market Valee Gain/ Loss Interest Annual Income I Total Portfolio Holdings 31,901,995.66 61,742,135.47 -$169,857.19 $0.00 $72,907.55 Footnotes Page 3 ot Account Number: N46-024935 DPAO RCM Go paperless , . t Lbw,/ .1••• WW• 2007 M a rian et wettaillot ' I:MOM " aliniall••• O•alMa RAT(D COMMUNICATIONS ......oun awan.....n. ac LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONF ID^ENTIAL "a"`"ti SDW_GM_OOO475O3 DB-SDNY-0010327 EFTA_00158112 EFTA01254097  Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts 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 non-retirement, US taxpayers 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 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows. • 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. IS 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. Messages 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 product's disclosure document or contact your advisor for additional information. Please note the blowing information for Pershing's 2015 IRS Forms 1099(8, DIV. INT, OlD and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16. you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice WI be sent if issuers of securities you hold have not yet provided their final tax information. It MI inform you of the securities that are pending final reporting, and will provide the anticipated mad date of your 1099 form. Your 1099 will be mailed no later than March 17, 2016. Activity Summary (AR amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Secunbes Bought 000 .7 224 68 -7,22468 000 -67,82452 -67.824.52 Total Securities $0.00 -$7,224.68 -$7,224.68 $0.00 .$67,824.52 -$67,824.52 Dividends and Interest $7,239.66 $0.00 $7,239.68 $71,299.95 -$15.51 571,284.45 Distributions $0.00 $0.00 10.00 $50.95 $0.00 950.95 Cash Withdrawals 000 -183,75377 -183.75377 0.00 .24.887 275 41 -21.887.275.11 Deposits 183.753.77 0.00 183.753 77 428 532 11 0.00 428,532.11 Total Cash $183,753.77 -$183,753.77 $0.00 $428,532.11 -$24,867,275.41 -124,458,743.30 Money Market Funds $0.00 $0.00 $0.00 $10,666,911.94 .$168,884.64 $10,498,027.30 Totals $190,993.43 -9190,970.45 $14.98 $11,188,794.98 -$25,124,000.08 -$13,967,205.12 Page 4 of 8 Account Number: N40-024935 Rated excvliont MOAB ROLL Go paperless lora; eiacc7c207,7mowic...nows LEPERS INC ?Mall/NCI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONF IDEunAL SDNY_GM_00047504 DB-SDNY-0010328 EFTA_001581113 EFTA01254098  Deutsche Asset & Wealth Management Dmisre Banc Pr.levftanku.nenan heratsCoveaseGmm. CtelsOw Is Maori New Ibrt OPlor PO. Box 1776. BalbmorojAD 21203 341Pia Mist liithotcr Ms Vat. PM 10114 0 I') 4$141111. COSSIM-4091. Statement Period: 1210112115 - 1213112115 Transactions by Type of Activity Process' Sett Dale Activity Type Desolation Ouant Price Awued Merest Mount Curren Searrilles Bought and Sold 12/30115 REINVEST CASH INCOME .I; MORGAN FLOATING RATE INCOME FL AD SELECT SI-ARES 794 794 .7,224.88 USD PH SX 168015.8180 SHRS SH RS PIACI- AT $909000 RD 12128 PO 12130115 Total SODOM'S Bought and Sold • UNITED STATES DOLLAR 0.00 4,224.68 Dividends and Interest 12/30115 CASH DMDEND RECEIVED "MORGAN FLOATING RATE INCOME FUND J.ECT SHARES 7224.68 USD PH SX 168015.8180 SHRS RD 12128 Ft 12130115 12/31115 MONEYMARKETRAD DEUTSCHE60W CASH 14.98 USD INCOME RECEIVED 233993682 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 1,239.66 Cash Withdrawals and Deposits 12/11115 FEDERAL FUNDS RECEIVED BANK OF AMERICAN A. 16886 183.753.77 USD USD99999T 12/18115 FEDERAL FUNDS SENT .PMORCAN CHASE BANK, -183.753.77 USD USD999991 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 Total Value of Transactions 0.00 14.98 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABSA 345 PARK AVENUE. 26TH FLOOR NEW YORK NY 10154-0003 Rage 5 of 8 Account Number: N4G-024935 Rated [...lent tniAl4 Ran Go paperless Ey" , Ya r 5." 2007 OALOAR PATCD COMMUNICATIONS JEERERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENTIAL "a"`"" SDNY_GM_00047505 DB-SDNY-0010329 EF1'A_00158114 EFTA01254099  Your Account Information Tax Lot Default Disposition M ethod Default Method Nu Mutual Funds FIRST IN FIRST OUT Default Method for Mocks in a Dividend Reinvestm enl Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Am orate 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 in unications for electronic delivery. To register and turn off paper tom m unications, log in to your account or contact your Client Advisor for m ore information. 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 pnce 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 intonational 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. Shoe interest and dividend rates are subject to change at any time, and may be affected by curtent 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 v•vm.pershing.comfbusiness_continuity.html 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 distitutions, 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. 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 fum in maintaining current background and financial information concerning your option accounts, please prornptty 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. 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 vole than the number of shares in your margin account. Foreign Currency Transactions Pershing may 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 will 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, named a charge, or received a credit. Transactions converted by agents (such as depositories) will be tilled at the rates such agents use. Paged ol 8 Account Number. N46-024935 Rated Excelleol DIN0 ROO. Go paperiess twoy Yen1V.00 2007 ae=ome et ' =a 147,...74: '" *-- c...:.4.../IMVIMI4* LEPERS INC OAL0AR RATIO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEN" riAL SDW_GM_00047506 DB-SDNY-0010330 EF1'A_00158115 EFTA01254100  Deutsche Asset & Wealth Management Draisre Banc Prmaie Weal, Maagenten Marats GenfMe C.O.P Dettscht lot %%noon ‘ic Mow 4.1 Olio. P.O. Om 1776, E1Minpre, MD 21203 345 Plifi Anew, nthlice! Mew vett. Ire 10114 (I 1?) 4544,14.11111,17.&4I9S Statement Period: 12/0112015 - 12/3112015 Important Information and Disclosures (continued) 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)113-3333. 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 copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). 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: iwnv.pershing.comfabouttstrengthand-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) 4134330. Errors and Omissions excepted. 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 • The ability of the parties to obtain documents, witness 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, fl 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 %A typically include a mina* 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 medispute 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 with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) 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. Paget of 8 t,„A„,„„, Account Number: N46-024935 LEPERS INC Go paredess i.«rcocohrauMiuraras `i a etirwlionetwerta7L Paws. AZ treesen .. ••••••tawk wee mc