EFTA01254471.pdf

P4 Deutsche Bank (Misr< Rana Prmair Weida &Warm.% Weals t wrap Gro.p Devisch4 ML Smolt. Lac P.O. Box 1776, Baltimore, MD 21203 lire Wn Onto HI Pan Anneo. y. )(eater Account Number: Statement Period: 1210112016 -1213112016 J EPSTEIN VIRGIN ISLANDS Portfolio at a Glance This Period Year-to-Date FOUNDATION INC Beginning Account Value $1,116,838.00 $1,438,785.58 6100 RED HOOK QUARTER B3 het Cash Deports and WilhdralvMs -30.000 00 .310.000.00 ST THOMAS VI 00802 Adjusted Previous Account Value 1,086,838.00 1,128,185.58 Dividends. Interest and Other Income 1.83011 27.492,13 het Other Activity 0 00 -2 90 het Chan in Portfolio 39.822 00 .27.783 90 ncl ino Account Value S1.128 490 91 $1,128 490 91 Your Client Advisor: Estimated Annual Income 524.165,22 J3SFLA SFOSPAK Asset Summary Prior Year-End Last Period This Period % Allocation Cash. Money Funds. and Bank Deposits 137.499.78 84,196.00 56,026 91 5% Please review your allocation Equities 1 301.285 80 1.032.642,00 1.072.464 00 95% senor:holy wth your Clent Anima. Account Total (Pie Chart) $1,438,785.58 $1,118,038.00 $1,128,490.91 100% Page lot 9 Rated tarollordi B0099410CSF30024 Every Vw Woo, 2007 USA° ROI I 0ALOAR RATED COMMUNICATIONS rxertimer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFlrekr edeisAL SDNY_GM_00048824 DB-SDNY-0011648 EFTA_00 159433 EFTA01254471  Summary of Gains and Losses Realized This Period Yearto-Date Unrealized Short-Tern Gain/Loss 0.00 761 52 0.00 Long-Term Gain/Loss 000 000 49.23117 Net GalnlLoss 0.00 761.52 -69,234.77 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 d you have a deposit of foreign currency. The interest will be reported cc your Forms 1099 and/or 1042 S. These rates are subject to charge in response to market changes. and we may, in the future and based on cur normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130/16 12/01116 Opening Balance 84,196.00 84.1913.00 12/02116 Deposit MONEY FUND PURCHASE 1,260.00 85,456.00 12/05116 Deposit MONEY FUND PURCHASE 545.00 86,001.00 12/27116 Withdrawal MONEY FUND REDEMPTION -30,000.00 56,001 00 12130116 Deposit INCOME REINVEST 25.91 56.026.91 12130118 Closing Balance $58,026.91 Total All Money Market Funds $66,025.91 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 1,805.00 0.00 27,184.19 0.00 M oney Market 25.91 0.00 327.94 0.00 Expenses Feei(Foreign Securities) 000 0.00 -2.90 0.00 Total Dividends, Interest, Income and Expenses $1,830.91 $0.00 $27,489.23 30.00 Page 2 offi Account Nun berms hater tscollooll rt.X.,tra—=. 11 47,...°1 1.0.0 2014 Go paperless Lvery Vni , M 2007 DAL OAR RATED COMMUNICATIONS J EPSTEIN VIC On rxentmer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENTIAL SDNY_GM_00048826 DB-SDNY-0011649 EFTA_00159434 EFTA01254472  PA Deutsche Bank Omisre Rant Pn.a. Werkbrawienms Pdaeals Codrage Gnat) DeAsev lath Salons W. P.O. Box 1776, Baltimore, MD 21203 Pa.von Olk• Na Pant Ammo. Ha I ter won yeRr ,rev Statement Period: 12/01/2016 • 12/3112016 Portfolio Holdings Arxount Adivity Opening Closing Awned Income 31•Day Carrent Opening Date Quantity Number Ending Betake Balance Inume Dis Year Yield Yield Cash, Money Funds and Bank Deposits 5.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 12/01116 56,028.910 NIA 12130/16 84,198.00 58,026.91 0.00 327.94 0.38% 0.43% Total Money Market 514,196.00 668,026.91 0.00 632734 Total Cash, Money Funds, and Bank Deposits 04,196.00 358,026.91 $0.00 5327.94 Unrealned Estimated Estimated Dale Acquired Quantity Veit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield Equities 9 5.0 0% of Portfolio Common Stocks BOEING CO CON Security IdentInerflA Dividend Option: Cash CUSP 097023105 10/30115 500.000 148.1280 74,063.75 155.6800 77.840 00 3,776,25 2.840.00 3.64% BRISTOL M YERS SQUIBB CO COM Security Identifier: BM Y Dividend Option: Cash CUSIR. 110122108 10/30115 5.000.000 66 9420 334,712.00 58.4400 292.200 00 .42,512.00 7.800.00 2.66% DISNEY WALT CO DISNEY CON Security Identifier: 01S Dividend Option: Cash CUSP 254687106 10/30115 5.000 000 114 0150 570.072.60 104 2200 521.100 00 -48,972 60 7.800 00 1.49% PFIZER INC COM Security Identifier: PFE Dividend Option: Cash CUSP 717081103 10/30115 4,200.000 34 5300 145.027 72 32.4800 136,416 00 -8,511.72 5,376.00 3.94% TDICENT HLDGS LTD AOR Security Identifier: TCEHY IMO115880320109d CUSP 880320109 Dividend Option: Cash 10/30115 400.000 19 0180 1,607.00 24.2200 9,888.00 2,081.00 2128 0.21% Page 3 of 9 °C099110CSFSO:,::: °BAH 4011 Account Number 6(e)STEIN J EP Vic. .colN Go paperless Mad tacollenvi (very Va. Sento 2007 DALBAR RATED COMMUNICATIONS ratttru..nr—ra, F IDAENTIAL rxenur NCI SDNY_GM_00048826 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. DB-SDNY-0011650 EFTA_001594135 EFTA01254473  Portfolio Holdings (continued) Unrealized Estimated Estimated Dale Acqeited Clusetfty Uait Cosi Cod Bass Market Prim Markel Value Gals( Loss Annual Income Yield Equities (continued) Common Stocks (continued) UBISOFT EN TM T SA ADR Security Identifier: UBSFY 1SW0LS9034881023 CLSIP 903488102 Dividend Option: Cash 10130115 5.000.000 6.0430 30.21530 7 0440 35.22010 5.004.30 Total Common Sods $1,161,690.71 $1,072,464.00 -$86,234.77 $23,837.28 Total Equities $1,161,690.77 $1,072,464.00 -$89,234.77 $23,837.28 Unrealized Accrued Estimated Cost Basis Market Value Gal LOU Interest Annual Income Total Portfolio Holdings 61,217,725.66 $1,128,490.91 -$89,234.77 $0.00 $24,165.22 Securities acquired before 2011 or ri retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered," 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 deiced 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 vn0 be reported to the IRS on form 1099-B 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 rued payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014. 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 products 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. will adopt 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 Tt2 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be 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 about how you can set up e-delivery. Page 4 of 9 Account Number Mud Cmollonl fume well Go paperless LANy Ve4 Some 2'007 DALBAR RATED COMMUNICATIONS J EPSTEIN VIC stn fACOU1NCI CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) F IDrailAL SONY_GM_00048827 OB-SDNY-0011651 EFTA_00 59436 EFTA01254474  Deutsche Bank Deshre 00 Pr,00 WeMP lAymgenan Margin Con0014.0.0 DerbOv Sank Starts W. P.O. Box 1776, Baltimore, MD 21203 Mao *4 00c• HS 0.0 Oise* liodber 00r We( NY 101M Statement Period: 12/01/2016 • 12/31/2016 Activity Sum m a ry(MamouMs shown are in base cumancy) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Securities Sold 000 000 000 201.037 90 000 201.037.90 Total Securities $0.00 10.00 $0.00 $201,037.90 $0.00 9201,037.90 Dividends and Interest $1,830.91 $0.00 $1,630.91 $27,492.13 $0.00 $21,192.13 Fees $0.00 $0.00 $0.00 $0.00 -82.90 -82.90 Cash Wand rana's 000 -30.000.00 -30,00000 0.00 .362,500.00 -362,500.00 Deposts 000 0.00 000 52.500 00 0.00 52,500.00 Total Cash $0.00 -$30,000.00 -$30,000.00 $52,500.00 -$362,500.00 -$310,000.00 Totals $1,830.91 -$30,000.00 -$20,169.09 $281,030.03 -$362,502.90 -$61,412.91 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiptkie Quantity Price Atoned Interest Meat Comity Dividends and Interest 12101116 CASH DIVIDEND REC8VED 1200 SHRS EfIZER INC COM RD 11/11 PO 12101116 1,260.00 USO PFE 12102116 CASH DIVIDEND RECEIVED 500 SH RS BOEING CO COM RD 11111 PD 12/02116 515.00 USO BA 12130116 MONEY MARKET FUND DEUTSCHE GOVT CASH 25.91 USO INCOME RECEIVED 23399 3682 Total Dividends and Interest. U.S. DOLLARS 0.00 1,830.01 Cash Withdrawals and Deposits 12127116 FEDERAL FUNDS SEAT HSEIC RAM( USA, NA •10,00000 USD US0999997 12127116 FEDERAL FUNDS SEAT EASTERN CORP ECU -20.00000 LSO US0999997 Total Cash Withdrawalsand Deposits- U.S. DOLLARS 0.00 -30,000.00 Page 5 on Account Number: limed excelleria VSAki RC)LL Go paperless (very Vsr Since 2007 0ALOAR RATED COMMUNICATIONS VIA F I=IA rxaratrwer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:TEIN L SDNY_GM_00048828 DB-SDNY-0011652 EFTA_00159437 EFTA01254475  Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accrued littered Amount Currency Total Value of Transactions 0.00 -28,169.09 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends DISNEY WALT CO DIShEY COM 12/12/16 01111117 5.000.000 0.780000 Cash 3.900.00 Total Cash Not Yet Received $3,900.00 Client Service Information Your Client Advisor: EAJ Contact Information JOSHUA SHOShAti Telephone Number: 280 PARK AYE 3RD FL KEY/YORK hY 10017 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm eM Ran: RRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method. Yes Acme' market discount method lot all other bond types. Constant Yield Method Include market dimwit in income annually. No Electronic Delivery You have not selected any account corn m unctions for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more 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 price is not available are marked WA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. Wien the updated price is received from the price provider, the updated price will Page 6 of 9 E.:cones IL)BALI ROLL Account Nun ber Clio Parrless 4 -* Railed L very Van taLa2007 rs LIMANWIt SW Ma* "CC% F IDAENTIALt-- DAL BAR RATED COMMUNICATIONS rxesturtraer SDNY_GA4_000484329 jEFST CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011653 EFTA_OO I 5943S EFTA01254476  Deutsche Bank 0.41.0e Vossil n PAanair,tat Mtioets (Inger G.0., 0...tic la Bar S.W.... n< P.O Box 1776, Baltimore, MD 212O3 ISA Me JI,Pant Anne.. Itytk loci la Ian. Statement Period: 12/01/2016 - 12/31/2016 Important Inform ation and Disclosures (continued) Pricing (cantnueCj be used in the release of the current month's statement. Prior statements viol not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an cider. Deutsche Bank proprietary iwestrnents and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default. securities that do not have a valid pricing source. and certain third-party structured products, the last available pricing will be fisted. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and N/A kill be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 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/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The doter 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. Options Information with respect to commissions and other charges incised in connection with the execution of option transactions has been included in confimmtims 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. 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 smiler number of shares entitled to vote 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, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Cash Not Yet Received 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. pm? of Account Number Rated bray Excellent, rrel,=== ..-"nt= MOM, MOIL Go paperless vac. 2007 [ALIO& RA TED CO..VALINICAMONS Ice Jusrepi vica N nS - rxesurner CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FIDAMSITIA SDNY_GM_00048830 OB-SDNY-OO11654 EFEri_00 59439 EFTA01254477  Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a cleanng agreement we 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 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 n general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI 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. II 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 (SIPCI. 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: iintnv.pershing.comfaboutfstrength-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 reconfirmed 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. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n 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 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, in an eligible case. a joint request for an explained decision has been submitted by all parties to