EFTA01291114.pdf

Deutsche Asset & Wealth Management DIANN Rana TRAIT weaM Mmuenme Mann Congo OAP WARN earit Stamm W. Baltimore. MD 21203 Account Number: Statement Period: 12/0112015 - 12/3112015 J EPSTEIN VIRGIN ISLANDS Portfolio at a Glance This Period Year.to.Date FOUNDATION INC Beginning Account Value 81,873,002.01 81,837,593.06 Net Cash Deposits and Withdrawals ,200,000.00 ,308,895.00 ST THOMAS VI 00802 Adjusted Previous Account Value 1,473,002.01 1,530,198.06 Dividends, Interest and Other Income 3,274.77 3,829.37 Net Other Activity 0.00 -35.190.14 Net Chu Panlalio 37 491.20 Your Client Advisor: Estimated Annual Income 529,470 71 DANIEL SABBA Asset Allocation Prior Year•End Last Period This Period %Ancona L SO Cash Money Funds and Bank Deposits 1.837.593 06 334.225 01 137.49978 9.56% Please review your allocation LSD Equities 0 00 1 338 777 00 1 301.285 80 9044% perlodicalk Mgt your Cier4 Advisor. Account Total (Pie Chart) $1,637.593.06 11,673,002.01 $1,438,785.58 100.00% Page 1 o18 Rated Excellent A0097081CSF30024 Go paperless bser 'Am° skw. 2007 OALBAR RATED COMMUNICATIONS Mrla. etantrbr lsirOwiteem NAV IMME f RCN I ENCT CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) CONFIDENTIAL SDNY_GA4 000487130 DS-SDNY-0011584 EF1'A_00159369 EFTA01291114  Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term Gain/Loss 0.00 0.00 -60.689.35 Net Galn/Loss 0.00 0.00 -60,689.35 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Desuiption Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num ber: Current Yield: 0.13% Activity Ending: 12/31/15 12/01115 Opening Balance 334,225.01 334,225.01 12/02115 Deposit MONEY FUND PURCHASE 2,800.00 337,025.01 12/07115 Deposit MONEY FUND PURCHASE 455.00 337,480.01 12128115 Withdrawal MONEY FUND REDEMPTION -200.000.00 137,480.01 12/31115 Deposit INCOME Rah VEST 19.77 137,499.78 12131/15 Closing Balance $137,499.71 Total All Money Market Funds $137,499.78 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 3,255.00 0.00 3,255.00 0.00 Money Market 19.77 0.00 574.37 0.00 Total Dividends, Interest, Income and Expenses 33,274.77 $0.00 $3,829.37 $0.00 Portfolio Holdings Account Activity Opening Closing Accrued Income 30-Day Current Opening Date Quantity Member Ending Balance Balance Home This Year Yield Yield Cash, Money Funds, and Bank Deposits 10.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 12/01115 137 499.780 12131115 334.225.01 137.499 78 0.00 574.37 0.08% 0.13% Total Money Market $334,225.01 $137,499.78 $0.00 $574.37 Total Cash, Money Funds, and Bank Deposits $334,225.01 $137,499.78 $0.00 5574.37 Page 2 018 Account A um her: ODAla ROIL Go paperless Mt/ %rt .:* 2007 J EPSTEIN VICCDS. O.4113Aft RAUL, COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENTIAL SDNY_GM_00048761 DB-SDNY-0011585 EFTA_00159370 EFTA01291115  Deutsche Asset & Wealth Management DrdisOe gam, Pootle wean Ma.zigental Matt COonget, C,P Dtsisthe Sant Sewn. MC. Baltimore, MD 21203 cure Wyk. nY 10,t4 Statement Period: 12/0112015 -1213112015 Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Ode Loss Annual Income Yield Equities 90.00% of Portfolio Corn mon Stocks BOEING CO COM Security Identifier: BA Dividend Option- Cash CUSP: 091023105 10130115 500.000 148 1280 71,063.75 144.5900 72,295.00 .1.768.75 2180 00 3.01% BRISTOL MYERS SQUIBB CO COM Suavity Identifier: BM Y Dividend Option' Cash CUSP: 110122108 10130115 5.000.000 66.9420 334.712.00 68.7900 343,950.00 9.238.00 7.60000 2.20% DISNEY WALT CO DISNEY CON Security Identifier: DIS Dividend Option. Cash CUSP: 254687106 10130115 5,000000 114 0150 570,072.60 105.0800 525,400.00 44.672.60 7.100 00 1.35% PFIZER INC COM Security Identifier: PFE Dividend Option: Cash CUSP: 717081103 10/30115 10.000.000 31.5300 315.304.10 322800 322.800.00 -22.504.10 12.000 00 3.71% TDICENT HLDOS LTD ADR Security Identifier: TCENY ISMS US880320 1091 CUSP: 880320109 Dividend Option: Cash 10130115 400.000 19.0180 7.607 00 19.6770 7,870.80 263.80 16.34 0.20% UBISOFT EN TM T SA ADR Security Identifier: UBSFY Mid LiS90348R1023 CUSP. 90318R102 Dividend Option: Cash 10/30115 5.000.000 6.0430 30.215.70 5.7940 28.970.00 •1.24570 Total Common Socks $1,361,975.15 $1.301,285.80 460.689.35 $21,191.34 Total Equities $1,361,975.15 51,301,285.80 -$60,689.35 $28,896.34 Unrealized Accrued Estimated Cod Basis Markel Value Gail Loss lalered AllUillIncome Total Portfolio Holdings *1,499,474.93 $1,138,785.56 -$60,689.35 $0.00 129,170.71 Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("RC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Page 3 of 8 Account h umber: F DAENTI Rated Excellent Go paperless tvory yew Since 2007 et a rian eerreareass aCttameen " Met MrW °NAAR RATED COMMUNICATIOhtS •••••••.~.... N... 000 JEPSTEllk VIC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AL SDNY_GM_00048762 DB-SDNY-0011586 EF1'A_0015937t EFTA01291116  Portfolio Holdings (continued) All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their -applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally v.11 be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January", 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 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 hind. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the blowing information for Pershing's 2015 IRS Forms 1099 (8, DIV, INT, OIL) and MISC ): Your form 1099 will be deldered as early as possible, beginning January 31, 2016. By February 16, you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice veil be sent if issuers of securities you hold have not yet provided their foal tax information. t wit inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 MI be mailed no later than Mardi 17, 2016. Activity Sum m a ry (All amounts shoat, are in base currency) kedits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to -Date Securities Secunbes Bought 000 0.00 0.00 0.00 -1.397.02765 .1.397.027 65 Total Securities $0.00 $0.00 10.00 10.00 -$1,397,021.65 -$1,391,027.65 Dividends and Interest 13,274.77 $0.00 $3,274.77 $3,829.37 $0.00 13,829.37 Other $0.00 $0.00 $0.00 $0.00 -$35,190.14 -$35,190.14 Cash Withdrawals 000 -200 000 03 -200.000.00 0.00 -306.89500 -306.69500 Total Cash $0.00 -$200,000.00 -$200,000.00 $0.00 -$306,895.00 -9306,995.00 Money Market Funds $0.00 $0.00 $0.00 673,227.50 4188.16 173,039.36 Totals 93,27437 -$200,000.00 -1196,725.23 977,058.117 41,739,300.94 41,852,244.07 Page 4 of 8 Account Kum her Road Enceisent 011AIL W. I Go papefleSS Every Vat Since 2007 °MBAR RATCD COMMUNICATIONS :ran erroal; C ' Z' "s J EPSTEIN VI FIDAENTIAL EXt7I Ma SDNY_GM_00048763 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) U V DB-SONY-0011587 EFTA_00159372 EFTA01291117  Deutsche Asset & Wealth Management 0...awe gam, Pootie wean Ma.zigenan Mats I err/4e 4,C,P Dtsischt Sant Sewn. mc Baltimore. MD 21203 Statement Period: 12/0112015 -1213112015 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Mount Como/ Dividends and Interest 12101/15 CASH DIVIDEND RECEIVED 10000 SI- RS PFIZER INC COM RD 11106 PD 12101715 2,800.00 USD FfE 12/04115 CASH DIVIDEND RECEIVED 500 Sh RS BOEING CO COM RD 11106 PD 12104115 455.00 USD BA 12/31115 MONEY MARKET FUND DEUTSCHE GOVT CASH 19.77 USD 1St CBVE0 Total Dividends and interest • UNITED STATES DOLLAR 0.00 3,274.77 Cash Withdrawals and Deposits 12128/15 FEDERAL FUNDS SENT FIRETEAK PUERTO 76C -200.000 00 1.,S0 USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -200,000.00 Total Value of Transactions 0.00 -115,725.23 USD The price and quantity displayed may have been rounded. Cash Not Yet Received &amity Record Date Payable Oats Quantity Held Rate Dividend Option Amount of Payment Dividends DISNEY WALT CO DISNEY COM 12/14/15 01/11116 5.000 000 0 710000 Cash 3.550.00 Total Cash Not Yet Received $3,550.00 Client Service Information Your Client Advisor: DAN rANIEL SABEM NEW YORK NY 101544003 Page 5 of 8 Account Num ber Riled DBA0 R011 GO paperless vat Senc. 2007 0AlOAR RATED COMMUNICATIONS M a as shwa van11:1:.Omeges•n '" " ••••••••Lc, mere nay xi- .Pc SW Ida* F IDAENTIAL IXt71 IINCI SDW_GIA 00048764 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6.; e" )"El" CURI DB-SDNY-0011588 EFTA_00159373 EFTA01291118  Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IA FIRST OUT Default Method for socks in a Dividend Reinvestm enl Plan: FIRST lk FIRST OUT Default Method for all Other Securities FIRST Ik FIRST OUT Bond Amortization Sections: Am mime premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn rnunications for electronic delivery To register and turn off paper communications, 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. Maiket prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a pnce is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EA') 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 resugs. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Silos 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 v•vm.pershing.conVbusiness_confinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund 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 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 Sm. 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 luny 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 relied a smaller 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. dolars 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, Maimed 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. Page 6 of li Account hum ber Rated wc•Ilent It: IL I Go pzperless tray Yon Unto 2007 et a tiwitie et wee Van= retesn ma roe* vs. an m.o. now mat =Pc !EPSTEIN D OAl0AR RA TM COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) F IDAENTIAL rxeriliNa SDW_GM_00048765 DB-SONY-0011589 EFTA_00159374 EFTA01291119  Deutsche Asset & Wealth Management DrdisOe gam, Ponle wean Ma.ziental Mateett COnfirpCoMP DtanOlt Ma Settonet Balbmora, MD 21203 Ms.& NY IMO Statement Period:12/0112015 - 12/31/2015 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses round 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 drectly or through your financial institution or that it receives as the result of securities transactions 4 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 ciders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice. if any, to you and in eneral 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 . 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: winv.pershing.com/aboultstrengthand-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly. but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, Jersey City, New Jersey 07399; la Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abibty to have a court reverse or modify an arbitration award is very • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do nor 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 the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, Jersey City, New Jersey 07399; Page7of8 OIIAIl RCM Account A umber: J EPSTEIN VIC cm Go paperless Riled Ibtoollikint Unsay Yea, Since 2007 OAL0AR RAT(D COMMUNICATIONS FXCIII ONC7 •••••••••u0. avow ~IA IPS" Mae 00.0 MOM. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTIAL SDW_GM 00048766 DB-SONY-OO1159O EF'FA_OO159375 EFTA01291120  TERMS AND CONDITIONS TRANSACTORS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL SE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES. REGULATIONS. CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLET