EFTA01290001.pdf

PA Deutsche Bank NMI:Iv .. nl Ncelh.....gtmest Marini <petal< C404 O.M,1M IlardiSr:wiDei Inc ryed a P.O. Box 1776, Baltimore, MD 21203 )45 Po Nt Att %v. )60 Ficxx Nerd 'CM% 10154 ROM. *GC 14, SIAS Cote 164455 5641 December 1,2017 - December 31, 2017 Account Number SOUTHERN TRUST COMPANY INC 610 0 RED HOOK QUARTER B3 ST THOMASVI 0 0 BO 2 Portfolio a: a Glance This Period YeaMotolo Your Investment Specialist. BEGINNINGACCOUNT VALUE $3,584,810.33 87,865,268.31 JOSHUA SHOSHAN No Cash Deposes and Withdrawals 0.00 4,786,525.39 Nel Securities In/Out of Account 4,918,750.00 4,918,750.00 Adjusted Previous Account Value 8,503,560.33 7,097,492.92 Dividends. Interest and (Mho Income 140048.40 233,644.76 Other Transactions -2.00 -24.00 Net Change in Portfolio' 693.99 413,187.12 ENDINGACCOUNT VALUE Esturnaled Annual Income $190,306.62 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Panel Asset Typo Prior Year-End Lad Puled ThisPernne • 43% Cash, Money Funds, and Bank Deposits 5,388,291.31 746,730.53 3,681,800.80 II 67% Fixed Income 2,476,977.00 2,836,079.80 4,962,500.00 100% Account Total (Pie Chart) 87,865,268.31 $3,584,810.33 $8,644,300.80 Please review your allocation periodically with your Investment Specialist. Page 1 of 13 (Wed ESC011ent Clewing liner ;kli% I1C sub./yew" B010 0243CSF30025 s (rely Year Sane 2007 DMIAR RATFO COMMUNICATIONS istaldlan of Ilts lank N Nero Yak Melba Caponeon (IINY Melon) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDNIIAL4 EXCILIANCE Pe„Ora Ilk. mente. Finitn.g41U.GM-00047132 DB-SDNY-0009956 EFTA_00157741 EFTA01290001  Summary of Gains and Losses Realized This Period Year4o-Dele Unreelined Short-Term Gain! Loss 4,384.86 4,384.86 0.00 Long-Term Gain! Loss 470,554.35 470,554.35 436.069.68 Net Gain! Loss 466,169.49 466,169.49 -336,069.68 This summary excludes transactions where cost basis information is not available. 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 1399 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. Exchange Rate Table Global Cash Currency doing Amount in currency USD Equivalent per lit Omen Mace Base Carting USD BRITISH POUND 1.3525 0.7393 BRITISH POUND 68 760.00 92,997.90 Exchange rates are based on interbank exchange rates as of t2/ 29/ 2017. Exchange Total Global Cash Balance $92,997.90 rates can vary. Money Market Fund Detail Oste Activity Type Description Amount Bina Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 120% Activity Ending:12/2W T/ 12101/17 Opening Balance 136,726.08 136,726.08 12104/17 Withdrawal MONEY FUND REDEM PTION '2.00 136,724.08 12127/17 Deposit MONEY FUND PURCHASE 3,404,196.24 3,540,920.32 12129117 Deposit INCOM E REIN VEST 791.08 3,541,621.40 12/29/17 Closing Balance 43041021.40 Total All Money Market Funds $3,541,621.40 Income and Expense Summary Quint Period Year4ototo Taxable Nan Taxable Tirade Non Taxable Dividend Income Money Market 70108 0.00 7,556.62 0.00 Page 2 of 13 Rated Eacelitnt Clain liner PetaldaglIC. eulogy evened 0243CSF3002 Event Year Since 2007 sabildianr of lite Beek a New Yak Man CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)8010 CONFIDO. 5 L DALIAR RATIO COMMUNICATIONS LXCILLINCI Ceeporialan Man) nono.fic;IVYTGM_00047133 PerIhnx 11.C. mentan DB-SDNY-0009957 EFric00157742 EFTA01290002  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 December 1,2017 - December 31,2017 SOUTHERN TRUST COM PANY INC Income and Expense Summary (continued) Cement Railed Yea 40-OM. Taxable Non T**Ie Taxable Non Taxable Interest Income Bond Interest 139347 40 010 226,088 14 0.00 Total Dividends, Interest, Income end Expenses $140.048 48 10.00 1233,644.78 1090 Portfolio Holdings U.S. DOLLARS Account Activity Opebg Ceding Accrued Income 30 -Day Wren! Opening Date aumitky Number Ending Balsa Silence Income Gib Yew Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance 0.00 47,181.50 Money Market DEUTSCHE GOVT CASH 'NM 12/01/17 3.511.621.400 N/A 12/29/17 136.726.08 3.541.821.40 0.00 7.556.62 1.10% 120% Total Money Market 1138,726.08 $3,541,621.40 30.00 17,556.62 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 1136,726.08 $3,586,802.90 $0.00 17,556.82 Adjoined Unseated Aimed Estimated Estimated Otte Acquired Quantey (M Coil Cost Bans Merkel Price Market Venn Ceinflos Menet Annual Income Yield FIXED INCOME (In Maturity Date Sequence) Corporate Bonds ROYAL BK SCOTLAND GROUP PLC ADR SER U Seaway Identifier 780 097AU5 REPSTG PRE: U 9418010 U5780097AU54 3165% 17/04/88 8/E DID 10104/075 8 P Rating 8, 11/10/15'•R13 5,000,000.000 105.9710 5,298,569.88 992500 4,962,500.00 436,069.88 0.00 182,750.00 318% Original Cost Basis: 85298,8911 Total Corporate Bonds 15,298,569.68 $4,962,500.00 4336,069.68 80.00 $182,750.00 5,000,000.000 TOTAL FIXED INCOME 15,298,589.88 14,982,500.00 4336,069.88 10.00 1182,750.00 5,000,000.000 Unmated Accrued Estimated Oast Bads MOS Wm Gain' Loss Irate at Annual Income TOTAL U.S. DOLLARS $8,887,372.58 18,551,302.90 4336,069 68 80.00 $190,306.62 Page 3of13 BO 10 0 dCe 2a : .p )3K0ISFID Rated Unlit.? bey Year Since 2007 Cures through Fenian11c a whayevened AL- sobildiary a The tae a Near Yak Mellon DMIAR RATED COMMUNCATIONS CavoratIon (SHY Mellon) uautoct Perfhnx 11.C. rix,tatt FINIIAAVVELGM-0004 7134 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CB-SONY-0009958 EFTA_00157743 EFTA01290003  Portfolio Holdings (continued) BRITISH POUND C911119 Cluing Acaved 30-Dey Deunplion °sanely Balance Bin Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 450320.00 58,750.00 GBP 92,997.90 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 150,720.00 68,780.00 CV 0.00 92,997.90 USD 0.00 Awned Market Wee Currency Interest TOTAL BRITISH POUND 68,760.00 GBP 0.00 92,997.90 USD 0.00 Unceakred Accrued Strafed Cost Bath Make Value Winton Intend Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. 88.887.372.58 88,611,300.80 4336,069.88 $0.00 8190.30612 DOLLARS Noncovered under the cost basis rules as defined below. 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 2008, and are marked as 'noncoverede. 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 1099-B 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. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed , there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds Issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 12 Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page 4 of 13 cip Rated Eaceilent Every Yet Since 2007 Clewing through Paoli% I1C nob* wend a saitidiary me Malt a New Vat Mde* CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDff L DALIAR RATED COMMUMCAT iONS (JtallINCI CarporatIon (MY Man) Per, Per oratAXAVVELGIt00047135 11.C( nwntat• DB-SDNY-0009959 EFTA_00 157744 EFTA01290004  Deutsche Bank P.O Box 1776, Baltimore, M0 21203 December 1,2017 - December 31,2017 SOUTHERN TRUST COMPANY INC Holdings Summary by Currency untidy Ceti Fixed Meow Toll by Mreoq U.S. DOLLARS 3,588,802 4,962,500 8,551,302 USD BRITISH POUND 88,780 0 68,760 GBP Total USD Equivalent 3,681,800 4,962,500 8,644,300 USD % of Allocation 43% 57% 1009E Portfolio Holdings iscl sues 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 "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THE PRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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 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.com/ 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 ads 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 Page 5 of 13 Rated Excellent Clewing through PeesNngLC.**lay evened 100243CSF3002 trey Year Since 2007 sobeldiary a me task a New YM Mellen CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) BO CONFIDOP 5 L DMIAR WM COMMUNICATIONS EXCILLINCE Carponalan Sly Melee) Perglira U.C.ntente. raelAAR4YeteM-00047136 DS-SDNY-0009960 EFTA_00I 57745 EFTA01290005  Portfolio Holdings Disclosures (continued) Foreign Currency Transact ions (continued) 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, 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts: are not recommendations to purchase. hold or sell securities. and do not addresssuitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Date Dale Realized Description Disposed Acquked Designation Disposition Method/ Tsansuilon Gunnies Proceeds Cog Basis Gat Loss Short Term BRITISH POUND STERU 12121117 06/19/17 Norayeree First In First Out! saL 68,760 000 91.798.04 86,740.74 5.057.30 Security Identifier G8P999997 12121/17 12/19/17 Noncovereil First In First Out! SELL 68,760 000 91,798.04 92.165.90 .367.86 12/2I /17 12121117 Noncoyeree First In First Out! SELL 2,030,384 230 2,710,664.45 2/10,969.03 -304.58 Total 2.167.904 230 2.894.260.53 2.889.875.67 4.384.86 Total Short Term 2,894,160.53 2.889,875 67 4,384 86 Long Term BRITISH POUND STERU 12/21/17 06119114 Noncoyered* Fist In First Out! SELL 38.160 000 50.945.51 64.933.06 -13.987.55 Security Identifier 689999991 12121111 12119114 Noncoveref First In First Out! SRI 68.160 000 91198.04 107.499.38 .15,101.34 12/21/11 06119115 Nonoayered. First In First Out SELL 68.760 000 91.79864 109.204.63 .17.406.59 12/21/11 12118115 Noncoveref First In First Out SELL 68.760 000 91.798.04 102.383.64 •10.585.60 12121/17 06/17/16 Noncosereds First In First Out! SBA 68.760 000 91.798.04 98,278 67 -6,480.63 12/21/17 12119116 Noncom( First In First Out SELL 68,760.000 91.798.04 84.925.48 6,872.56 Total 381,960.000 509,935.71 561,224.86 47.289.15 Page 6 of 13 Rated Galls. Cleanng through Perrin11C • Waal owned berg Yaw Since1007 setaldiary of The Bask a Mew Vat Mellon DALIARIATIDCOMMUNICATIONS CorporatfonaltlY Melon) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) " Q2 6conFID L4 LXCGAINC( firstigattACanertarf iNRA.IIViqq[Et IVI—OulA 7137 DB-SDNY-0009961 EFTA_00 157746 EFTA01290006  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 December 1,2017 - December 31,2017 SOUTHERN TRUST COMPANY INC Schedule of Realized Gains and Losses Current Period (continued) Dale Date Realized Description Despond Acquked Designation Disposition Method/ Tianadlon Precut Cod Burs Gain Lou Long Term (continued) NATIONWIDE BUILDING 12121/17 04/15/14 Noncovered' Rat In First Out / Sal 2.900.900.000 2,799,246.80 3,412,512.00 413,265.20 RO ISSUE CONY GBP 'SNP XS9431 Original Cost Basis: 3,42,5210 8269 6.875%09120188 REG DTD Security Identifier 663980UK3 Total Long Term 3,309,182.51 3,919,736.86 4370,554.35 Total Short and Long Term 6,203,443.04 6,869,612.53 466,169.49 ' Noncovered under the cost basis rules as defined below. 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 2008, 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 1099-B 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 This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1299-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Page 7 of 13 Rated hoellent Citron through Peahen LLC nub* evanad 0243CSF3002 Erect Year Since 2007 sotaldiacy a me lank a New Yen Mellon CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) BO 10 CONFIDO. 5 L PAIRAR RATED COMMUNICATIONS EXCELLING( Carpotaban Malan) Pe rite 11C. erter-bn FINRAVOYRELGM-00047138 DB-SDNY-0009962 EFTA_00 I 57747 EFTA01290007  M essages Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form 8, 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 1099 or a special Pending 1099 Notice. T he 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 1099 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 willbe mailed no later than M arch 15.2011. For more information please visit mytaxhandbook.corn. M UN ICIPAL SECUFUTIESRULEM AKING BOARDS( M SR9S) 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 SRB website, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, FIN RA, 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 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. Pursuant to SEC Rule 13b-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