EFTA01253965.pdf

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Orviwe PAM .Pflid, VOtalOOMMIP, 114 Ma-4e• Ontia C•ccp De.ticht Bw Ncv,t, M. brit Mar 1.,Pant Annw. !Nit Account Number., Statement Period:12/011201 - Portfolio at a Glance This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value $7,714,548.35 18,208,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,714,648.35 1,208,772.67 ST THOMAS VI 00802 Doti/ends. Interest and Other Income 86.504.10 256,832.16 Net Other Activity •2.00 •24.00 Net Chu e Portfolio Accrued Interest 15.133.36 Your Chant Advisor: Estim ated Annual Income $182,933.01 MAN Asset Summary Prior Year-Ead Lad Period This Period % Allocation Casn. Money Funds. and Bank Deposits 3,778,045.15 5,306,090.75 5,388,291.31 69% P ease renew your allocation Fixed income 2,961,547.52 2,408,457.60 2476,977.00 31% j net wth yott Clent Advisee. Equities 1,467,180.00 0.00 0.00 0% Account Total (Pie Chart) 66,208,772.67 $7,714,548.35 0,665,268.31 100% Pap' of 9 i t ; Rated tamIlordi B0099381CSF30024 Go paperless (very M.P. Sims 2007 Went, ROI I DAUM. RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID=iA SDNY_GM_00047029 OB-SDNY-0009853 EFrA_00157638 EFTA01253965  Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Long-Term Gainlloss 0.00 -4,417.50 0.00 Net GaIn/Lou 0.00 -4,417.50 0.00 This summary excludes transactions where cost basis information is rot 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 vAN be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes. and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Curreacy Posing Mount in Currency USO Equivalent per USD Currency Balance Base Currency USD BRITISH POIAD 1 2354 0.8094 BRITISH POUND 381.96010 471 873.38 Total Global Cash Balance $411,813.38 Exchange rates are based on interbank exchange rates as of 12/30/2016 Exchange rates can vary Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130116 12101/18 Opening Balance 4,914,841.31 4,914,841.31 12/02/16 Withdrawal MONEY FUND REDEMPTION -2.00 1,914,839.31 12/30/16 Deposit IN CON E REINVEST 1,578.62 1,916,117.93 12/30116 Closing Balance 64,918,417.93 Total All Money Market Funds 84,916,117.93 Income and Expense Summary Current Period Year-to-Dale Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 000 0.00 60.562 50 0.00 Money Market 1,578.62 0.00 13,065 51 0.00 Interest Income Bond Interest 84,92548 0.00 183,204 15 0.00 Total Dividends, Interest, Income and Expenses 588,504.10 50.00 $258,832.18 50.00 Page 2 09 inmw OsTaNyrciD.ricrnA Account Number SOUTHERN Go paperless Maid tacenordi [very V... Late 2007 DALOAR RATED COMMUNICATIONS 7XCALL7NC7 .r .S.,:"7"...Z.'.1133= SDNY_GM_00047030 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009854 EFrA_00157639 EFTA01253966  a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (*.awe Ran. Pnwair *Main Paragenait Mantis CodwateGKM, De.ncht Wcynersc Yew. *A Mo. Pant Mask /60. I %v. Statement Period:12/01/2016 • 12/3112016 Portfolio Holdings BRITISH POUND Opening Closing kaued 30-Day Description Quantity Belem Balance Crrrenq Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 313,100.00 381,960.00 GBP 471.873 38 USD Total Cash, Money Funds, and Bank Deposits 313,200.00 301,960.00 GBP 0.00 471,873.38 USD 0.00 Acaued Estimated Estimated Description Quantity Market Price Markel Value Currency Interest Annual Income Yield Fixed Income (In Maturity Da:e Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 100.2500 2,005,000.00 GBP 4,155.22 137,500.00 6.85% CORY GBP 191JXS1043181269 2,476,977 00 USD 5,133.36 169 867 50 8.875% 09120/88 REG DID 03/11/14 S 8 P Rating 130+ Security Identifier G63980UK3 Total Corporate Bonds : 2,000,000.000 2,005,000.00 GBP 4,155.22 137,500.00 1.476.977 00 USD 5.133 36 169 867 50 Total Fixed Income: 2,000,000.000 2,005,000.00 GBP 1,155.22 137,500.00 2,476,977 00 USD 5.133 36 169 867 50 Accrued Estimated Market Value Currency Interest Annual Income Total BRITISH POUND 2,386,960.00 GBP 4,155.11 131,500.00 2.918.850 38 USD 5,133 36 169 867.50 U.S. DOLLARS Opening Closing kaued Income 30-Day Description Quantity Balance Balance Income Ibis Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL 4,916,417.930 4,914,841.31 4,916,417.93 0.00 13,085.51 0.38% Total Money Market 34,914,841.31 34,916,417.93 30.00 $13,065.51 Page 3 o19 Account Num bet Rsd tocellenti Go paperless (very Vs.. Slate 2007 IDAENTIAL OttAkl ROLI DALBAR RATED COMMUNCATIONS SOL 7r ERR rxesurner OSTO,,,,ANYr SDNY_GM_00047031 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0009855 EFTA_00 157640 EFTA01253967  Portfolio Holdings (continued) U.S. DOLLARS (continued) Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits $4,914,841.31 54,916,417.93 $0.00 $13,065.51 Accrued Estimated Market Value Interest Annual Income Total U.S. DOLLARS $4,916,417.93 $0.00 $13,065.51 Accrued Estimated Market Value Interest Annual Income Total Portfolio Holdings - U.S. $7,865,268.31 $5,133.36 $182,933.01 DOLLARS Holdings Summary by Currency Currency Cash Fixed Income Total by Currency BRITISH P0unD 381.960 2.005.000 2.386.960 GBP L.S. DOLLARS 4.916.417 0 4.916.417 I, SD Total USD Equivalent 5,388,291 2,476,977 7,865,268 USD % of Allocation 69% 31% 100% Messages Although a money market mutual fund seeks to preserve the value of your investment at SI 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 hinds processed on the sweep platform. The U.S. will adopt a shortened settlement Umeframe beginning with trade date September 5. 2017. for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a Ti.2 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-delivesy of your account documents-including trade confirmations, account statements and more. Ask your advisor about how you can set up e-delivery. Activity Summary (Alt amounts shown are in base currency) Credits his Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $86,504.10 $0.00 $86,504.10 $256,832.16 $0.00 $256,132.16 Distributions $0.00 $0.00 $0.00 $1,426,000.00 $0.00 $1,425,000.00 Fees $0.00 -$2.00 -$2.00 $0.00 -$24.00 -$24.00 Totals $86,504.10 -$2.00 $86,502.10 $1,681,832.16 -924.00 $1,681,808.16 Page< of 9 Account Number. Rated t•C011efie OSAS ROtt Go paperless Every V.A. Slate 7007 DALOAR RATED COMMUNCATIONS SOL THERA rxesturtraer SDNY_GM_00047032 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) COT enN YE CI D ADSMAL DB-SDNY-0009856 EFTA_00157641 EFTA01253968  a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Oeuiv.v Ram Pon. \Wan Ma %rent M s orn Cott Otoem brk Comp Selynts t. Ma Part Aortae. IM I to Nave wet AY 10154 Statement Period:12/01/2016 • 12/31/2016 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Activity Type Description Quantity Prim Accrued Interest Amount Currency Dividends and Interest 12121116 12/20116 FOREIGN BONO INTEREST 2000000 00 SHARES NATIONWIDE BUILDING SOCIETY 68.760 00 GBP G63980UK3 EURO ISSUE CO NV GBP ISINIXS1043181269 6875% 84.925 48 USD 09120/88 REG DTO 03/11114 CLB FOREIGN BOND INTEREST RD 121916 PD 122016 AS OF 12119116 12130116 IA OK EY MARKET FLN D DEUTSCHE GOVT CASH 1.578.62 USD INCOME RECEIVED 233993682 Total Dividends and Interest BRITISH POUND 000 68,760 00 GBP TOTAL USD EQUIVALENT 000 84.925 48 USO L S DOLLARS 0.00 1,578.62 USD Fees 12101116 FOREIGN CUSTODY FEE Fyn Safekeeping NOV 2016 CUSIP. 663980-UK-3 -2.00 USO G63980UK3 Total Fees • U.S. DOLLARS 0.00 4.00 Total Accrued Interest Total Amount Transactions Summary Total Acaued Interest Total Amount Currency USO Equivalent USD Equivalent BRITISH POUND 0.00 68.760.00 GBP 0.00 8492548 U.S. DOLLARS 0.00 1.57662 1.50 000 1,576 62 The price and quantity displayed may have been rounded Client Service Information Your Client Advisor: ENJ Contact Information !OSHA SHOShAN Telephone Number: (212) 454.4433 280 PARK AVE • 3R0 FL NEW YORK NY 10017 Page509 Account Number Rated taceibra Go paperless t very. Van Siva 2007 DAL OAR RATED COMMUNCATIONS Arieve. .....ittaterra reueran moos os rent mot SO THERM rXeffill'Net CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) COrenNYEIDarnAL SDNY_GM_00047033 OB-SDNY-0009857 EFrA_00157642 EFTA01253969  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 ent Ran: 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 Weld Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation. 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 '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. 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 accounts). Prices for marketable securities are received from various pricing services thought to be reliable; however, liking services are sometimes unable to provide timely information. Where pricing sources are not readily available. estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments 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 listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price will purge and NIA will 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 intonational 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 De 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, potitical, 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 vrompershing.corrybusiness_continuity.htni 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 firm. In order to assist your introducing firm in maintaining current background and financial intonation 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 Cleating Corporation. Additional intonation regarding this procedure is available upon written request to your introducing firm. Page 6 of 9 Account Num ber Ratml tacollmi I INA,' tt()fl Go paperless Defy VAN M•O7 2007 CAESAR RA TED COMMUNICATIONS Ramey u0 Ream NARA Met MIC L TM ERN OSTCLPAL Vat rxararner CONFIDENTIAL - PURSUANT TO FED. R DRINA, P. 6(e) NFIDENTIAL SDNY_GM_00047034 OB-SDNY-0009858 EFM_00157643 EFTA01253970  Deutsche Bank Or.lsot Ram Prsair WeanDANIrMIll Marais tonne 6,0.1) DeAsche ML SecteOes P.O Box 17 76, Baltimore, MD 21203 lira wan Mt* Na Pant Ass.. MOO ter Statement Period: 12/01/2016 • 1213112016 Important Inform ation and Disclosures (continued) Proxy Vote Securities not hilly 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. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly 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, intuited a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. 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 pennitted without prior written authorization from Standard 8 Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pool's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools 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 sea securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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 wilt 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. II 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 awl 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 in 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. 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 (SIPC"). 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 vrivw.pershing.com/aboulfstrength-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 igniting 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. pap 7 of 9 100A0 ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Oscipm. NYr'DAENTIAL Account Num her L ERN Go paperless Rated [salient (very Vs. Lace 2007 DALBAR RATED COMMUNICATIONS rxesurner SDNY_GM_00047035 OB-SDNY-0009859 EFrA_OO157644 EFTA01253971  Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other ri court. including the right to a trial by pry. 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 join 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 WI typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time lim