EFTA01254310.pdf

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 NIA•41,0 AIM INI•ein Menh hisaletmen Must tOnnie Clew 0evillhe "ffi Se“.90. 1 Toll 'tee 74141iS NW: Itt5 THE HAZE TRUST December 1,2018 - December 31, 2018 UAD 02/09/99 Account Number: JEFFREY EPSTBN DARREN K INDYKETTEES 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio at a Glance This Wind Yeem1mDele Your Investment Specialist. BEGINNINGACCOUNT VALUE 820,342,069.33 818,370,824.99 MARTIN ZEMAN Net Cash Deno:06nd Withdrawah 80,115.87 1,795,110.72 Adjusted Previous Account Value 20,422,175.00 20,188,235.71 Dividends. Interest and Olher Income 29,898.88 782,724.13 Total Taxes Withheld 0.00 -782.24 Other Transactions 0.00 40.00 Net Change in Portfolio' 695,730.00 -1,172,015.72 Accrued Interest $22,284.21 Estimated Annual Income 8379,682.94 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Pineal Asset Type Mon Year-Eod List Period ThisPerlod IM 51% Cash, Money Funds, and Bank Deposits 4,843,819.22 9,922,889.33 10,032,881.88 a 11% Fixed Income 3,037,500.00 2,188,100.00 2,130,300.00 38% Equities 8,392,270.00 8,251,090.00 7,593.180.00 0% M utual Funds 2,297,435.77 0.00 0.00 100% Account Total (Pie Chart) $18,370,824.99 820,342,059.33 $19.758,141.88 Please review your allocation periodically with your Investment Specialist. Page ' of '3 Rated Excellent C1,.ng thsough Pent vAtolly owned Every Yew Since 2007 eubstelvaty of The Bank a Mellon DALIAR RATED COMMUNICATIONS CorporationMY Mellen) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ErYN F ID FFPFAL LXCIILLINCI 00048459 entente RC.nw-own WARA.gt!itEt.GM DB-SDNY:0011283 EFTA_00 l59068 EFTA01254310  Summary of Gains and Losses Rented This Period Tear-to-Die Urea Short-Term Gain! Loss 0.00 45,938.55 -705,049.37 Long-Term Gain/ Loss 0.00 -114,222.32 47193813 Net Gain! Loss 0.00 -190,160.87 476,088.10 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEr ) 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 104 2 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 Date Mikity Type Dexriptkio Amount 8U1a Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.26% Activity Ending: W 3916 12101/18 Opening Balance 9,922,869.33 9,922,889.33 12111118 Deposit MONEY FUND PURCHASE 11,025.00 9,933,894.33 12114118 Deposit MONEY FUND PURCHASE 80,115.67 10,014,010.00 11/31/18 Deposit INCOMERBNVEST 18,671.88 10,032,681.88 12r31118 Closing Balance 110,031,681.88 Total All Money Market Funds $10,032,681.88 Income and Expense Summary oluent Period Yewdo•Cele Tull* Hooters& Table Noe Taxable Dividend Income Equities 11,025.00 0.00 315,521.79 0.00 Money Market 18,671.88 0.00 70,389.41 0.00 Other Dividends 0.00 0.00 299,147.46 0.00 Interest Income Bond Interest 0.00 0.00 77,930.55 0.00 Credit Interest 0.00 0.00 0.00 -285.09 Expenses Withholding Taxes 0.00 0.00 •762.24 0.00 Total Dividends, Interest, Income and Expenses $29,696.88 $0.00 $762,226.98 4265.09 Page 2 of 10 Account Number: Rated Czottlent Cleanng through Italliesey owned • t tl .ZS Every Yea, Since 2007 sobsidiary of The WE al Melba DALIAR RATED COMMUNCATIONS oratIonatly Maw) CONFIDOP AL CaP ("allINCE Peroinx 11.C.mtett, ONRAVVVELGM_00048460 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0011284 EFTA_00159069 EFTA01254311  Deutsche Bank P.O Box 1776, Baltimore, MD 21203 December 1,2018 - December 31,2018 THE HAZE TRUST Portfolio Holdings Account Unity OF*0109 Posing Awed Income 30.0ay Current Opening Cote *Islay Number Biding Bates Balance Income Males Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 51.00% of Portfolio Money Market CASH AC TR DWSG0VT8 AGINSIL 12/01/18 10,032,681.880 N/A 12131118 9,922,869.33 10,032,681.88 0.00 70.389.42 219% 226% Total Money Market $9.922,869.33 210,032,681.88 $0 00 $70,389.42 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $9,922,869.33 210,032,681.88 $0.00 $70,389.42 Adjusted Unrealized Mimed Blinded Blended Date Molted Ciumtky Unit Cad Coal Basis Merkel ark, Market Vibe Selfless Meted MaulImmo Yield FIXED INCOME 11.00% of Portfolio (In Maturity Data Sequence) Corporate Bonds MORGAN CHASE& CO DEP SHSREPSTO Severity Ideotilier:46225HHA1 /10TH PFD SMIRKED TO RIG RT 80 5990% 04/23/58 W E DTD 04123/08M oody Rating BAA3S8 P Rating BBB- 05110/11 ' •x12 2,160,000.000 110.8750 2,394,894.62 98.6250 2,130,300.00 264,594.62 22,284.21 129,392.20 607% Original Cost Basis: $2A03,330.00 Total Corporate Bonds $2,394,894.62 $2,130,300.00 4264,594.62 $22,284.21 $129,392.20 2,160,000 000 TOTAL FIXED INCOME $2,394,694.62 $2,130,300.00 4264,594.62 $22,284.21 $129,392.20 2,160,000.000 Unrealized Estimated Estimated Date Acquired Nudity Unit Col Col Bale Nark/ Price Market Value Geln/Less Annul Income Yield EQUITIES 38.00% of Portfolio Common Stocks ALPHABET INC CAP STK CL C Seco* Identifiet 6006 Dividend Option: Cash CUSP. 02079K1)7 12/05/17 1,000.000 1,014.0150 1,014,015.20 1,035.6100 1,035,609.99 21,594.79 02/02/16 1,000.000 1,116.1660 1,116,166.00 1,035.6100 1,035,609.99 40,556.01 02105/18 1.000.000 1,106.0070 1106.006.60 1.035.6100 1,035,610.02 -70.396.78 Total Covered 3,000.000 3,236,168.00 3106,830.00 -129.358.00 Total 3,000-000 53.236,188.00 93,106,830.00 4129 358 00 $0 00 Page 3 of 10 Account Numberi Rated ticellent Clewing through PenhVat) owned EttlYSIC.3 bey Year Since 2007 subsidiary of De Make/ Melba OMARRAM COMMUNICATIONS CarpontIon(MY Mellon) CONFIDENTIAL - PURSUANT TO FED. R CRIPA P. 6(e) CONFIDOP UCILLUICC Perghng U.C.mete FINRAVVVELGM- 0°°48461 DD-SDNY-0011285 EFrA_00159070 EFTA01254312  Portfolio Holdings (continued) UneeeNzed Eslirnaled Eslirraled Dale Acqiied OusatIty UnN Coal Cod Wes market Prke Market Value Pin.= Annual income Yiel! EQUITIES (continued) Common Stooks (continued) CARVANA CO CL A Security Identifier: CVNA Dividend °plies:Cash CUSP. N6869132 06118118 2,500.000 42.7900 106,975.00 32.7100 81,775.00 -25,200.00 08118/18 5,000.000 44.3400 221,699.15 32.7100 163,550.00 -58,149.15 08118116 5,000.000 44.0100 220,200.00 32.7100 163,550.00 -56,650.00 08118118 2,500.000 43.5400 108,850.00 32.7100 81,775.00 .27,075.00 08119118 2,500.000 42.6140 106,686.00 321100 81,775.00 -24,911.00 06119116 2,500.000 43.0850 107,712.93 32.7100 81,775.00 -25,937.93 08119/18 2,500.000 42.7520 106,879.20 32/100 81,775.00 -25,104.20 06119118 2.500100 42.8400 107,100.00 32.7100 81.775 00 -25.325 00 Total Covered 25.000 000 1,086,102.28 817,750 00 -268.352 28 Total 25,000 000 $1,088,102.28 $817,750.00 -3268.352.28 $0.00 UNITED TECHNOLOGIESCORP COM &curdy Matter:UT% Dividend Option: Cash CUSP:913017119 06120/18 15,000.000 125.5300 1,882,944.30 106.4800 1,597,200.00 -285,744.30 44,100.00 2.76% Total Common Stocks $8,205,234.58 55,521,780.00 4683,454.58 $44,100.00 Preferred Stocks (listed by expiration date) CITIGROUP INC DEP SHS REPSTG /MOTH Security Identifier: C PRK PFD KR K DIV 6.8759E PERPETUAL NI ATY CUSIP: 172967341 PERPETUAL CALL 11%/23025.00 Dividend Option: Cash 02103114 79,000.000 25.3090 1,999,418.90 282200 2,071,380.00 71,961.10 135,781.32 655% Total Preferred Stocks $1,999,418.90 $2,071,380.00 $71,981.10 $135,781.32 TOTAL EQUITIES $8,204,653.48 57,593,180.00 4611,493.48 $179,881.32 WINS Accrued Estimated Cat Beds MEW Value Galen.** 'Mad Annual Income TOTAL PORTFOLIO HOLDINGS $20,632,229.98 $19,758,141.88 4878,088.10 $22,284.21 $379,662.94 • 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 1086, as amended by the Emergency Economic Stabilization Ad 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 93 99--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 noncovered. 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 Page 4 of 10 Account Number' Rated ticellent ClewingIMO Pno t yaelos^"/ • ttC1IX .:5 An bey Year Since 2007 DALIARRAM COMMUNICATIONS sataldiary of The kalcolalelloa CalpontfonatlY Melloo) eat it, ,,,, CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) CONFIDOP4-41. L_- UCtattia Sozerit-00048462 Perclirtx U.C.rnenrber FINRA.ROM DB-SDNY-0011286 EFTA_00159071 EFTA01254313  Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 December 1,2018 - December 31,2018 THE HAZE TRUST Portfolio Holdings (continued) 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 to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 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. 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, 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 THEPRICEDATEDOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EM) 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 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. Page 5 of '0 Account Number' Rated Gana. Clewing through Persh LI.0 a %lag owned IttI M SS.25 Eery Yea Slme 2007 setoldisey of The Banked Mellon DALIMIMATILDCCMMUNKATIONS Caporabon(MY /Mika) CONFIDO ,,.. EXCILLINCE Pennine llg.ererrte FihRA.WcilliZiolVl-00048463 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0011287 EFTA 00159072 EFTA01254314  Portfolio Holdings Disclosures (continued) 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 securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Messages Please note the following information for Pershing's 20 18 IRS Form 1099 (B, DIV. INT, M ISC and OID): Your Form 1099 will be delivered as early as possible. beginning January 31, 2019. By February 15. you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that 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. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15. 2019. Although a money market mutual fund seeks to preserve the value of your investment at S1per 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 1,00( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (A ar,o.nts st:ow. e ,n base currency) Oman ThisPedor Dabs TbisPerlod Net IbisPetiod Credits Yen-to-Date DebilsYear4o-Date Net Year-to-Date Securities Securities Bought 0.00 0.00 0.00 0.00 .14,084,179.51 .14,084,179.54 Securities Sold 0.00 0.00 0.00 13,820,590.90 0.00 13,820,590.90 Total Securities $0.00 $0.00 $0.00 $13,820.590.90 414.084.179.54 4263,588.64 Dividends and Interest $29,696.88 $0.00 $29,696.88 $762,989.22 4265.09 $762,724 13 Distributions $0.00 $0.00 $0 .00 $2.878.760.00 $0.00 $2,878.760.00 Page 6 of '0 Account Number: Rated balls. Clewing through Pena LI.0 ,%Rory owned berg Yew Slate 2007 sttoldisey of The Bonk a Mellon DAteAR PATILDCPMMUNICATIONS Caporabon(MY Wilco) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID uautNa Posliat t LC. mente. Fir.RA.M4lEgEilt!"—Ouv4840`. DB-SDNY-0011288 EFTA_00159073 EFTA01254315  Deutsche Bank -A P.O Box 1776, Baltimore, MD 21203 )ecember 1,2018 - December 31,2018 rHEHA ZE TRUST Activity Summary (continued) £mdits7NsPerbd Mks ThisPerlod Net ThisPotiod Cre011eYeaute-Dde DetelsYear4o-Dete lid Yew-to-Ste Fees $0.00 $0.00 $0.00 $0.00 440.00 440.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 4782.24 4782.24 Cash Deposits 80.115.67 0.00 80115 67 1,795,410.72 0.00 1,794410.72 Total Cash $80.115.67 $0.00 $80,115.67 $1,705,410.72 $0.00 $1,795,410.72 Totals $109,812.55 $0.00 $109,812.55 $19,257,750.84 414 085 246 87 $4172503.97 Transactions by Type of Activity Roces SetSmenl Date Mikity Type Description aurally Ake Acaued [Meted Amount Omen°, Dividends and Interest 12110/18 CASH DIVIDEND RECEIVED 6000 SHRS UNITED TECHNOLOGIESCORP COY RD 119 PD 11,025.00 USD VU 12/13111 12131118 MONEY MARKET FUND CASH AC TR DW SGOVT 18,671.88 USD INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 29498.88 Cash Withdrawals and Deposits 12113/18 FEDERAL FUNDS RECBVED 'OCEANIC USA. NMIO 46284 80,115 67 USD USY899997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 80,115.87 Total Value of Transactions 0.00 104812.55 USD The price and quantity displayed may have been rounded. Page 7 of 10 Account Numberi Rated [smitten Clewing through Perttli milay evened ACL OY:5'2.Z, hely Yew Since 2007 istaldiary of The Mak enAelke CONFIDENTIAL — PURSUANT TO FED. R CRIAA P. 6(e) CONFIDO. L DMIAR WED COMMUNICATIONS Ualttlia Canceabon (MY Mellon) iimikficitlYstett000tates Peening U.C.nitetere DEl-SDNY-0011289 EFTA_00I 59074 EFTA01254316  Client Service Information Your Inrettmeal Spedaid:ZEM Canted Imforisation MARTIN ZSIAN im Telephone Number: NY Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First 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 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 communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant toe 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, w here 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) 413.3333. 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 copies of the Disclosure Statement, please contact your financial Institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). 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: www.pershing.com/ about! strength-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 re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 8 of 10 Account Number:I Rated Careatnt Clewing through PenhitlayU ~ad lettIM C.25