EFTA01254188.pdf

I!II Deutsche Bank 041Avh• 6.int PtIsair Obrallt.141.n.etmest mantis contact 6, w: Owhiche Oar* Stem, 0w Yoe, C'ke P.O. Box 17 76, Baltimore, MD 21203 34S Put Avervva.)611• Flow Nero VW.. N11015.1 Tonne N,(017 SI-05 Clue , roan 5641 THE HAZE TRUST December 1,2017- December 31,2017 UAD 02/09/99 Account Number: JEFFREY EPSTBN DARREN K IN DYKE TTEES 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio at a Glance TelePerlod Year4o4lett Your Investment Specialist. BEGINNINGACCOUNT VALUE $18,387,759.83 $46,880,282.80 JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 0.00 .20,580,845.83 Adjusted Previous Account Value 18,387,759.83 17,290,416.77 Dividends. Interest and Diner Income 1200.38 840,892.57 Net Change in Portfolio' -29,595.20 239,515.65 ffl DINGACCOUNT VALUE Accrued Interest 839,500.00 Estimated Annual Income 8817,011.02 'Net Change in Portfolio is the difference between the ending account value and beginning account value alter activity. Asset Summary Percent Asset Type Prim Year-BM Lad Period ThisPeriod El 25% Cash, Money Funds, and Bank Deposits 33,971,632.06 5.653.033 25 4,643,819.22 • 17% Fixed Income 3,538,830.00 3,037,280.00 3,037,500.00 46% Equities 7,122,850.00 7,408,090.00 8,392,270.00 Ej 12% Mutual Funds 2,229,350.54 2,289,370.58 2,291,435.11 100% Account Total (Pie Chart) 346,860,282.80 018,387,759.83 518,370,824.99 Please review your allocation periodically with your Investment Specialist. Page 1of t# Rated Escollent Clewing through Pealing11C.invidy evened AD130 271CSF30025 (rely Year Since 2(x07 DMIARmno COMMUNICATIONS sabsklianr et The Mak el New Yak Melba Catontlan meNoo) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID6411AL- EXCWANCE PeelFin; 11.C.wel• itioio.PkrniaiLM-00048337 DB-SDNY-0011161 EFTA 00158946 EFTA01254188  Summary of Gains and Losses Realized ThisPerlod Year-In-Die Untiefind Short-Term Gain! Loss 0.00 0.00 31,975.91 Long-Term Gain/ Loss 0.00 12,929.96 42,023.11 Net Gain! Loss 0.00 12,929.96 73,999.02 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECG( ) 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. Money Market Fund Detail Dote Activity Typo Description Amount WNW Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 120% Activity Ending: 2/29/ 17 12/01/17 Opening Balance 5,653,033.25 5,653,033.25 12107/17 withdrawal MONEY FUND REDEMPTION 4014,015.20 4,639,018.05 12129/17 Deposit INCOMERBNVEST 401.17 4,043,81922 12/29/17 Closing Balance $4,643,619.22 Total All Money Market Funds $4,843,619.22 income and Expense SJrnmary Curie] Period Year-N.0M Taxed. Non Truett Tante Noe Taxable Dividend Income Equities 0.00 0.00 425,781.40 0.00 Money Market 4,601.17 0.00 67,478.31 0.00 Other Dividends 8,059.19 0.00 322,007.86 0.00 Interest Income Bond Interest 0.00 0.00 25,625.00 0.00 Total Dividends, Interest, Income and Expenses 112,660.36 10.00 1840,892.57 $0.00 Page 2 of 1' Rated Eltilikelt Clewing through PushingIIC a *bay evened A0130 2710S-30025 trey Yew Since 2007 sataldlery of The Usk a Ne Yak Mellon CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) CONFIDO. L DAtRAR MTFO COMMUNICATIONS LaCtattla Ceeponelan Mae) seeive_00048338 ParteinglIC.met-bn FRAIkatilet DE1-SDNY-0011162 EFTA_00I 58947 EFTA01254189  Deutsche Bank P.O Box 17 76, Baltimore, MD 21203 December 1,2017 - December 31,2017 THE HAZE TRU ST Portfolio Holdings Axont Adivity Opening Clown; acaued Income 30-Day Carrot Opening Dale Quaky Number Ending Balance Balance Income ThisYem Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 25.00% of Portfolio Money Market DEUTSCHE GOVT CASH 'NUL 12/01117 4,643,619.220 N/A 12129717 5.653.033.25 4,643,619.22 0.00 87,478.31 1.10% 120% Total Money Market 55,653,033.25 $4,643,619.22 $0.00 $67,478.31 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $5,653,033.25 $4,643,619.22 $0.00 $61,418.31 Minted Unnoticed Acased Banded Estimated Dote Applied Qealky Unk Oad Cott Beds Paul Pilo Muth Vibe GINtlienSt MKS MaulIncome Yield FIXED INCOME 17.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds SilORGAN CHASE& CO DEP SHSREPSIG Sea* Identifier 46625HHA1 110TH PFD SER1FIXED TO FLTG RT 80 7 900%04/29/49 BfEDTD 04/23/08M oody Rating 8AA3 S t P Rating BBB- 05/10111 ?as 3,000,000.000 111.2650 3,337,958.33 101.2500 3,031,500.00 300,458.33 39,500.00 237,000.00 7.80% Original Cost Basis: 53,337,950.33 Total Corporate Bonds $3,337,958.33 $3,037,500.00 4300,458.33 $39,500.00 $237,000.00 3,000,000.000 TOTAL FIXED INCOME $3,337,958.33 $3,037,500.00 4300,458.33 $39,500.00 $237,000.00 3,000,000.000 Unnelzed EAlirnal ed ESIIRMed Oat, At:nuked Quantity Unit CoM Cott Beds Mated Rice Market Value Gokilless Annual Income Yield EQUITIES 46.00% of Portfolio Common Stocks ALPHABET INC CAP STK CL C Securely Beatific GOOG Dividend Oplion: Cash CUSP 0207910)7 12/05/17 1.000.000 1.014.0150 1.014.015.20 1,046 4000 1,046,400.00 32,384.80 Total Common Stocks $1,014,015.20 $1,046,400.00 $32,384.80 $0 OD Page 3 of 1' AO 130 C2710ONS-30 025 Rated hareem trey Yew Since 2007 Clewing Omagh PealskylIC auk*, evened Maid/pry of The kek a New Yak Mellon CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) FIDO. L OMAR RATIO COMMUNICATIONS UMIAK( Ceeponesain Amnon) 00048339 PerIhnx 11.C. nwristre FINRAAVYThielt DE1-SDNY-0011163 EFIA_00158948 EFTA01254190  Portfolio Holdings (continued) Untie'laid Estkoated Estkoaled Date At:gutted Quantity Unit Cod Cod Bads Market Prix dulcet Value Coinrless Annul Income Yield EQU ITIES {continued) Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SKS REPSTG1100TH Security Identifier: C PRK PFD SER K DIV 6.875% PERPETUAL MATT CUSP: 82967341 PERPETUAL CALL 1Vt/2302500 Dividend Oplion' Cash 02103114 71000.000 25.3090 1.999.118.90 28 5300 2.253.870.00 251.451 10 135.781 25 662% CITIGROUP INC DEP MIS REPSTG 1100 Security Idenlifier:C PRC PFD SER C DIY 5.8% PERPETUAL MATT CUSIP. 0967366 PERPETUAL CALI. 04/22/$T25.00 Dividend Option: Cash 10/28/14 49,033.000 24.0810 1,180,739.16 25.4600 1 248,380.18 67,641.02 71,097.85 5.69% 10/29/14 150.967.000 24.3130 3.670.430.48 254600 3.843.619.82 173,16934 218.902.15 5.69% Total Covered 200,000.000 4,851,169.61 5192,000.00 240.830.36 290,000.00 Total 200,000.000 64,851,169.61 85192,000.00 E240.830.36 5290.000.00 Total Preferred Stocks $6,850188.54 87,345170.00 8495,281.46 5425.781.25 TOTAL EQUITIES $7,864,603.74 $8,392,270.00 8527,666.26 5425.781.25 Unrealized Estimated Estimated Dale Acquired Quantity Unit Cod Cod Bads Market Price Market Value Colorless Annual Income Yield MUTUAL FUNDS 12.00% of Portfolio Ill ORGAN FLOATING RATE INCOME FUND Security Wentifir ..PHSX CLASS I CLIP 4012111 Open End Fund Dividend Oplion Reinvest: Capital Gales Option: Reinvest 01/22/13'.3 198,216.056 10.0900 2,000,000.00 9.3800 1159,266.59 -140,733.41 70.206.14 3.77% 02101/13 ' •3 630.057 10.0670 6.342.92 9.3800 5,909.92 ♦3300 223.16 3.77% 03/01/13 " 711.578 10.0600 7.158.48 9.3800 6.674.60 -483.88 252.03 3.77% 04/01/13 " 789.547 10.1100 7,982.33 9.3800 7,405.95 -576.38 279.65 3.77% 05/01/13 " 751.550 10.1300 7.613.21 9.3800 7.049.54 463.67 266.19 3.77% 06/03/13'° 757.360 10.0900 7.641.77 9.3800 7.104.04 -537.73 268.25 3.77% 07/01/13'3 668.131 9.9700 6.661.27 9.3800 6.267.06 -394.21 236.64 3.77% 08/01/13 . '3 704.609 10.0600 7,088.37 9.3800 6.609/4 479.13 249.57 3.77% 09/03/13'3 709.175 10.0300 7.11303 9.3800 6.65206 -460.97 251.18 3.77% 10/01/13' 3 712.100 10.0240 7.137.8$ 9.3800 6.679.50 -458.35 252.22 3.77% Total Noncovered 204,650.163 2,064,73913 1,919,618.50 -145,120.73 72,485.03 Reinvestments to Date 40.279.024 9.5810 385.905.45 9.3800 377.817.27 -8.088.18 11.266.13 3.77% Page 4 of 1' AO 10 066104 F D Rated banal En-4.Oex SInce2007 DALIARPATILDCOINAUNICATIONS Clewing %MVO PenhinglIC.aurlayevmed seteldlarrof Tie Bank ether. Vat Mellor. CorporatfonaNY maw ___, ,„, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ~AL4 LICalltNa ontrmuc.rerecat rimtA. twis4cia9ivi_00048340 DB-SDNY-0011164 EFTA 00155949 EFTA01254191  lril Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1,2017 - Decem ber 31,2017 HE HAZE TRUST Portfolio Holdings (continued) Untested Sheeted Metaled Dale Acquired Quanlily Unit Cost Cost Bass Market Prim Market Value dales Maud lekerne Yield MUTUAL FUNDS (continued) .PM ORGAN FLOATING RATE INCOME FUND (continued) Total Covered 40.279 024 385.905 45 377,817.27 -8.088.18 14,266.43 Total 244,929 187 82,450,644.68 $2,297A35.77 4153,208 91 $86,751.46 TOTAL MUTUAL FUNDS $2,450,644.68 $2,297,435.77 4153208.91 $86,751.46 Unrealized Accrued alienated Cost Beals Market Value Gainr Loss Interest Annual Mom TOTAL PORTFOLIO HOLDINGS 518,296,825.97 $18,370,824.99 $73,999.02 $39,500.00 $817,011.02 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201t 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. 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. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as to fhe accuracy of this information. v Pershing has received updated cost basis information, 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 Misinformation. 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 which a price is not available are marked "N/ A" and are omitted from the Total. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUALTHESTATEMENT DATE Page 5 of AO 13061750g15F D 4 Rated Wallin, tray Vex Since 2007 0MJXl£ATE0C0MMMNICATI0NS EXCELLENCE Owing through halms11C • 11.1•3./ owned IS0M.,of The Bask a Mew Vat Mellon Corporatfon(Ely Melba) ..... n A FirOint UK.rreentw Fih-RA., tleM1 hIt9m-00048341 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011165 EFTA_00158950 EFTA01254192  Portfolio Holdings Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) 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.coml 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 w hich 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 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 securitiess, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. M essages Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, CIO and MISC. Your 1099 will be delivered as early as possible, beginning January 31.2018 By February t5.you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent it we have Page 6 of 1' AO 10066104 FID Rated ticellent fray Year Since 2007 OMAR MITO COMMUNICATONT Uallttla Clewing through Patin 11C. • Say anal sobsidiary of The Illok NNew Ytelt Melba CarporatIon (OM Melba) na an Oing 11.C.nw-ter IthitA.Wilha91"- 01-" 400'44 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011166 EFTA_00 I 5895 I EFTA01254193  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 December 1, 2017 - December 31, 2017 THE HA 7F TRUST Messages (continued) not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1199 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 UN ICIPAL SECURITIESRULEM AKING BOARDO(M SRB/a) 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, RN 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 10 b-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 7+2 settlement cycle provides fester 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, Uwe 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, I/ 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. I/ 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. Page 7 of 1' Rated Excelient Clewing through Pealtin LLC **bay evanad 130271CSF30025 Emmy Year Since 2007 a sobeldiary Me Mak a New Yak Mellon CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)AO CONFIDO. L DAtIlAR RATED COMMUNICATIONS CJICILL CanceatIon (MY MAW 00048343 PerI hnx 11.C. mento tuRAAR4 YLOM- DE1-SDNY-0011167 EFTA_00158952 EFTA01254194  Activity Summary (All amounts shown are m base currency) Credits TNsPeriod DebileThisPerled Net IbisPeriod CreditsYewtoDate DotesThar-to-Dote Net Yew-to-Dale Securities Securities Bought 0.00 .1,022,074.39 -1,022,074.39 0.00 4,115,123.60 4,115,123.60 Total Securities $0.00 41,022,074.39 41,022,074.39 $0.00 41,115,123.60 41,115,123.60 Dividends and Interest $12,660.36 $0.00 $12,660.36 $840,892.57 $0.00 $840.892 57 Distributions $0.00 $0.00 $0.00 $500,000.00 $0.00 $500,000.00 Cash Witidrawa