Text extracted via OCR from the original document. May contain errors from the scanning process.
15 I Deutsche Bank
Baltimore, MD 212O3
ST THOM ASVI 00802
uteche Bank Securities inc
M arch 1,2019 - M a 31 2019
Account Number:
Portfolio at a Glance
ThisPerIod
Year-lo-Dale
Your Investment Specialist.
Net Cash Deposits and Withdrawals
Alta.
$0.00
459.18
$5,205,298.67
4,290,057.99
Adjusted Previous Account Value
450.18
44,759.32
Dividends. Interest and Other Income
850.18
36,016.51
Net Change in Portfolio'
0.00
48342.15
tf4DINGACCOUNT VAWn
$0.01n
$0110
Estimated Annual Income
53.491 43
Asset Summary
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Percent
Ansel Type
Prior Year-End
Last Period
llds Period
0%
Cash, Money Funds, and Bank Deposits
4,392,828.67
0.00
0.00
0%
Fixed Income
812,470.00
0.00
0.00
0%
Account Total
$5,205,298.67
$0.00
$0.00
Please review your allocation periodically with your Investment Specialist
Summary of Gains and Losses
This Perkd
Raked
Year4mDde
traresized
Long-Term Gain! Loss
0.00
-161.230.36
0.00
Net Gain! Loss
This summary excludes transactions where cost basis information is not available.
0.00
-161,230.36
0.00
Page 1 of 7
Rated Emarnt
Every Vex Sae. 2007
EXCUIUKt
CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e)
Owing enoYD. ',entity PIC a Sally owned
subsidiary aT e Bonita New York Mellon
CS
(MY Melon)
Penme. LIX arta
MiFlatikiterAt
00041348
DB-SDNY-0010172
EFTA_OO157957
EFTA01290105
For Your Information
The European Central Bank (the' ECB' ) and other credit institutions introduced negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 142 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.
The European Central Bank (the' ECB' ) 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 1099 and/ or 142 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
Activity Type
Deseription
Amount
Biwa
Sweep Money Market Fund
Current Yield: 2.29% Activity Ending: 05/13/19
05101/19
Opening Balance
0.00
0.00
05/13/19
Deposit
650.14
650.14
05/14/19
Withdrawal
150.14
0.00
05/14/19
Withdrawal
41.04
.0.04
05/14/19
Deposit
0.04
0.00
05113/19
Closing Balance
50.00
Total All Money Market Funds
50.00
Income and Expense Summary
Current Period
Trade
Non Toll*
Year-to-Csale
Retitle
Non Taxable
Dividend Income
Money Market
0.04
0.00
3,491.43
0.00
Interest Income
Bond Interest
650.14
0.00
32 52514
0.00
Total Dividends, Interest, Income and Expenses
5650.18
50.00
$36,018.57
50.00
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 2 of 7
Account Number.
CONFIDO.
A: crt
c:a)
Med Cacellent
Every Year Shwa 2007
DALIAlt RAI ID COMMUNICATIONS
EXCLUDICE
Owing Sough penting ac a wally owned
subsidiary e4 The brat a New York Mellon
CAS
(OW Mellon)
LIX.rnerrter FIllaktiaGM_
00047349
DB-SDNY-0010173
EFTA_00157958
EFTA01290106
Deutsche Bank
Baltimore, MD 21203
Portfolio Holdings
M arch 1,2019 - M ay 31,2019
Opening
posing
Acauecl
Description
Quantify
Balance
Balance
Income
CASH. MONEY FUN DS.AND BANK DEPOSITS 0 00% of Portfolio
Money Market
CASH AC TR 911/SCTOVT & AG INSTL
Total Money Market
$0.00
$0.00
$0.00
$3,491.43
Income
30•Day
Tittles
Yield
0.00
0.00
0.00
3,491.43
2.31%
Total Portfolio Holdings
Portfolio Holdings Disclosures
$0.00
$0.00
$0.00
$3,491.43
Mania Value
$000
Aimed
&imaled
Were*
Annuallecome
$0.00
$3,491.43
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 "NI A" and are omitted from the Total.
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 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.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
Amount Number
CONFID
At 0(1:3X:20
L
Rateamant
Every Vex dice 2007
EXCOAD.Ct
Page 3 of 7
Mat
dwout. Pelbeg LIC, a wholly armed
va+:ifna The lock of New York Mellon
Conmeathm OINY Man)
ElliRAg*IYULGMJ)0047350
DB-SDNY-0010174
EFTA_00 I 57959
EFTA01290107
Portfolio Holdings Disciosures (contsnued)
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 w ill 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.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at S1 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 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.
Activity Summary (to arn,un,s sno“n are .n case
CreditsThis Perk4
Debits ThIsPerk4
Net TbisPeried
CreelternMeate
DetitsYeateci-Dete
Net Year-le-Date
Securities
Securities Sold
0.00
6.00
0.00
861.21215
0.00
861.212.75
Total Securities
$0.00
$0.00
$0.00
$861.212.75
$0.00
$861,212.75
Dividends and Interest
$650.18
$0.00
$650.18
$36 016 57
$0.00
$36,016.57
Cash
Withdrawals
0.00
450.18
450.18
0.00
4.290.057.99
-5 290 057 99
Total Cash
$0.00
5650.18
4650.18
$0.00
45.290.057.99
45.290.057.99
Totals
$650.18
4650.18
$0.00
$891229.32
45,290,057.99
44,392,828.67
Page 4 of -
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
Account Number
A/CM:Mt:20
CONFIDO.
L
Med hallent
Every Yew Shwa 2007
DRUM ItAl ID COMMLINICATICNS
EXCIMENCC
Owing IMO. Pegging LIC. a.lgpy owned
subsidiary*. Ille &onkel New York Mellon
CAMmatim (MY Mellon)
Penan LIX. note,F liRA.4041
00047$51
DEt-SDNY-0010175
EFTA_00I57960
EFTA01290108
Deutsche Bank
Baltimore, MD 21203
Transactions by Type of Activity
Process
Settlement
Date
Ai:flyby Type
March 1, 2019 - May 31, 2019
Description
OuentIty
Dividends and Interest
05/10119
780097AUS
05114119
INCOME RECEWED
PER232045
Total Dividends end Interest - U.S. DOLLARS
Cash Withdrawals and Deposits
05114119
993999997
Total Cash Withdrawals and Deposits -U.S. DOLLARS
4,000,000.000
SITS 7 640% 1310 4/88 BIE RD 06/28 PD 06129113 RATE ADS
CASH AC TR DWSGOVT d AGENCY INSIL INCOME REDEEM ED
Price
Accrued Interest
Amount Currency
650.14
UST)
044
US0
Total Value of Transactions
The price and quantity displayed may have been rounded.
Client Service Information
0.00
650.18
450.18
USD
0.00
450.18
0.00
0.00
UST)
Your Invetiment Specialist: ABR
Contact Infoimition
NEW YORK
NY 10154.0003
Your Account Informal' n
Telephone Number:
Default Method for M utual Funds:
Default Method for Stocks in a Dividend Reinvestment Plan
Default Method for all Other Securities:
Amortize premium on taxable bonds based on Constant Yield Method:
Accrual market discount method for all other bond types:
Include market discount in income annually:
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
First In First Out
First In First Out
First In First Out
Yes
Constant Yield Method
No
Page 5 of 7
Assault Number
EtfU
li:25
CONFIDg
AL-
Rated (scant
[very Vex Sect 2007
ExCULENCt
Owing through Meting LLC • Mealy owned
subsidiary ollbe brad New York ~ha
CaPonth20 (IIMY MOM
Penh... MC. imnter latagritePA
00047352
DB-SDNY-0010176
EFTA_00157961
EFTA01290109
Your Account Information (continued)
Your electronic delivery selections for account communications are listed below:
Electronic Delivery
Enrollment Communication
•
Slaternents and Reports
O
Trade Confirmations
O
Tax Comments
O
Notifications
•
Prospectus
•
Proxy/Sliareholder Communications
You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences.
Important Information and Disclosures
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 incurred by you.
•
Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
•
Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any, to you and 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) 113-3333. 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 (aPct. 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.comi 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.
•
Yur fin ni l r nization'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;
. 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 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.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 6 of 7
Account Number
A: crtat:::?3
CONFIDO
AL-
Rated fire ant
Every Ye• Shwa 2007
CO:WM(
Owing through holing IIC.• Sally owned
subsidiary e4 TM Bonita New York Mao
CoPoratim (MY Melba)
Penhal; MC. rrenkar m,Rng4;fCaCat00047353
DB-SDNY-0010177
EFTA_00157962
EFTA01290110
Deutsche Bank
Baltimore, MD 21203
Important Information and Disclosures (continued)
M arch 1,2019 - M ay 31,2019
Important Arbitration Disclosures (continued)
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date
•
The panel of arbitrators will typically include a minority of arbitratorswho 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 LW 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 w ith 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;
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
Account Number
CONFID
L4-
RaleamearM
Every Vex Site 1007
DAL/MtMUD COMMUNICATIONS
EXCIMENC(
Page.' of
°wring Sae. Paging LIC, a Mlolly armed
subekharft et The km of New York Mellon
Ceeponthm (111a Mellon)
PerItre.
.
Ell4RA 1;:SYY42LCAl_0004 7354
DB-SDNY-0010178
EFTA_00 157963
EFTA01290111
Deutsche Bank
Baltimore, MD 21203
ST THOM ASVI 008 02
DeutwTheNn1P6saireittikMNI4e.....
Malets“veratt Ow,
Dretcheihodnewmeinc.
ToU'rtie
Cirtc:
February 1,2019 - Februar 28 2019
Account Number:
Portfolio at a Glance
thisPerlod
Yew-to-Ciete
Your Investment Specialist
$1,297,789.90
$5,205,298.67
Mialid
i
ln
AN
Net Cash Deposits and Withdrawals
4,289,40711
4,289,407.81
Adjusted Previous Account Value
8,382.09
44,109.14
Dividends, lathiest and Other Income
405.16
35,366.39
Net Change in Portfolio'
-8.787.25
48,742.75
hi t Ir
i,S;t~UI III
i_tl:
$0.00
Estimated Annual Income
53.491 39
Asset Summary
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Percent
Prom Type
Prior Trim-Bid
Last Period
Tills Period
0%
Cash, Money Funds, and Bank Deposits
4,392,828.67
127.769.90
0.00
0%
Fixed Income
812,470.00
870.000.00
0.00
0%
Account Total
$5,205,298.67
$1.297.789.90
$0.00
Please review your allocation periodically with your Investment Specialist.
Summary of Gains and Losses
This Period
Rafted
Year4otinte
Umeslized
Long-Term Gain! Loss
-161,230.36
-161.230.36
0.00
Net Gain/ Loss
This summary excludes transactions where cost basis information is not available.
-161,230.36
-161,230.36
0.00
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 1 of 8
E
PUNFID
I .
ANNAssalint
Every Vox Since 2007
Owing Swab holing Li t.• Sally owned
subsItliNy e4 The Bonita New York WON
CielnatiNI (MY NAN)
Penn.'s U.C. myna, FilatagtreaGM_CICI047355
DB-SDNY-OO1O179
EFTA_OO157964
EFTA01290112
For Your Information
The European Central Bank (the ECB' ) and other credit institutions introduced • negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1399 and/ or 1342 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
Adivity Type
Desatlion
Amount
Blom
Sweep Money Market Fund
CASH AC TR DWSGOVT 8 AG INSTL
Current Yield: 2.31% Activity Ending: 02/ 13119
02101/19
Opening Balance
427,789.90
427,789.90
02113/19
Deposit
861,212.75
1,289,002.65
02/14/19
Withdrawal
4,289,002.65
0.00
02/14119
Withdrawal
405.16
405.16
02/14/19
Deposit
405.16
0.00
02/13/19
Closing Balance
$0.00
Total All Money Market Funds
$0.00
Income and Expense Summary
Current Period
Yeer4o.Date
Taxable
Non Taut*
Tootle
Non Usable
Dividend Income
Money Market
405.16
0.00
3,491.39
0.00
Interest Income
Bond Interest
0.00
0.00
31,87500
0.00
Total Dividends, Interest, Income and Expenses
$405.18
50.00
535,388.39
50.00
Portfolio Holdings
0
Going
Awned
IMMO
30.0ay
Description
Duality
Bins
Bans
Income
This Yon
Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio
Money Market
Total Money Market
CONFIDENTIAL — PURSUANT TO FED. R CRI AA. P. 6(e)
427,789.90
$427,789.90
0.00
$0.00
0.00
3,491.39
2.31%
$0.00
$3,491.39
Page 2 of 8
Account Number
CONFIDO.
L
Rattassant
Every Vex Since 2007
EX( CIL DrC
Owing tinge,. holing Ilt. a wholly craned
subsidiary e4 TM Bonita New York Melba
Cannatim (MY Melba)
Penne.* MC. 'smite. ninfiakkaat00047356
DB-SDNY-0010180
EFTA_00157965
EFTA01290113
Deutsche Bank
Baltimore, MD 21203
Portfolio Holdings (continued)
February 1,2019 - February 28, 2019
Description
Quantity
CASH, MONEY FUNDS, AND BANK DEPOSITS (continued)
Opening
Closing
Balance
Balance
$427,789.90
00.00
Market Value
Austad
looms
locome
30-Day
TidsYear
Yield
00.00
83,491.30
Accrued
Estimated
IMerest
Annuid Income
Total Portfolio Holdings
so 00
90.00
83.491.39
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. M arket 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.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THESTATEM 84T DATE
Estimated Annual Figures
The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or
guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest
and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making
investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal
may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.corni disclosures for specific details as to formulas used to calcu late 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.
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 196, unless a particular rate is required by applicable law. Your financial
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Account Number:
AiOnt:6
CONFIDO.
AL-
Page 3 of 8
bled baked
Every Year Age 2007
EXCWINCIE
Owing engemPent/in. Ilt. a Sally craned
subsidiary a The Bonita New York Melee
Colneatim (OW Meta)
Ptnhet; LI.C.inernte. FIIIRactlYIELCat00041357
DB-SDNY-0010181
EFTA_00157966
EFTA01290114
Portfolio Holdings Disclosures (continued)
Foreign Currency Transactions (continued)
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.
Schedule of Realized Gains and Losses Current Period
gate
Description
Dispowl
Date
Acquired
Designation
Deposition Method r Tiamadion
Quantity
Proceeds
Cod Basis
Realized
Debates
Long Term
02111119
FLTG RATE NT 6.375%0122/78
B/E DID 0122/1 CLB
Security Identifier: 11230A50
Total Long Term
Total Short and Long Term
01125118
Covered
Rrst In First Out I sat
Original Cost Basis: 1013.756.00
1,000,000.000
857.494 00
857.494.00
857.494.00
1,018,724.36
1,018,724.36
1,018.724 36
-161,230.36
,161,230.36
,161,230.36
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 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 1099-8 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.
This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior
income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital
information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable.
Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments. but may also include adjustments for corporate action events. Therefore there may be
differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-8 or online displays you may have available to
you.
When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not
required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be
responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims
any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting.
Page 4 of 8
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
Account Number:
At OWW))19
CONFIDO
L
Rated (want
Every Vex Sine 2007
Cita/ANC(
Owing tlarartim
LI.C, a -holly owned
subsay or The Ilardi or Net York Mellon
Conmeathm OW Man)
Pentmg MC. rren-ter miRAAcklguLGM_OOO47358
DB-SDNY-0010182
EFTA_00 I 57967
EFTA01290115
Deutsche Bank
Baltimore, MD 21203
Schedule of Realized Gains and Losses Current Period (continued)
February 1,2019 - February 28, 2019
Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments. or principal payd owns 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.
Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which
you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your
account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may
be reported on the IRSForm 1099-B.
Messages
Although a money market mutual fund seeks to preserve the value of your investment at 51 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 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.
Activity Summary (Au an'our:s sitvirn are))) one ...„%y)
Cr edits TNs Period
Debits TillsPerkid
Net TIOsPeriod
Credits Yesio..Date
DealtsYearimaate
Net Year.to.Date
Securities
Securities Sold
861,212.75
0.00
861.212 75
861.212.75
0.00
861,212.75
Total Securities
$861.212.75
$0.00
$861,212.75
8861,212.75
50.00
$861,212.75
Dividends and Interest
$405.16
$0.00
5405.16
$35.366.39
$0.00
$35.366.39
Cash
Withdrawals
0.00
.1,289,407.81
1,289,407.81
0.00
4,289,407.81
5.289.407.81
Total Cash
$0.00
41,289,107.81
41,289,407.81
$0.00
45,289,107.81
45,289,107.81
Totals
$861.617.91
41.289.107.81
4427.789.90
$896,579.14
45.289.407 81
41.392.828.67
Account Number
At 0W'S)) IS
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFID
L
Mcd baked
Every Yew Age 2007
EXCIUNCIE
Page 5 of 8
aerie Sae. Pathan Ltd, a wholly owned
subekhady or Ilya UM of NeveYork Menon
¬ation (MY Mellon)
ucnwritafilien
StlYGM_00047359
DB-SDNY-0010183
EFTA_00157968
EFTA01290116
Transactions by Type of Activity
Process
Trade
Settlernerl
Transaction
Date
Date
Acrid)* Type
Description
Quantity
Price
Maud Interest
Anus' Currinq
Securities Bought and Sold
02/13/19 02111/19 SOLD
BUCKEYE PARTNERSL P AXED TO FLTG RATE NT 8.375%
4,000,000.000
85.7500
3,718.75
861,212.75
USD
BPL4588115
0122/78 WEND 0 /MB CUI VARIABLERATE
Total Securities Bought and Sold -U.S. DOLLARS
3,718.75
861,212.75
Dividends and Interest
02114/19
CASH AC TR DWSGOVT 8 AGENCY INSTL INCOM E REDEEMED
405.16
U50
INCOME RECBVED
PER232045
Total Dividends and Interest - U.S. DOLLARS
0.00
405.18
Cash Withdrawals and Deposits
02114/19
4,289,407.81 USD
USD999197
Total Cash Withdrawals and Deposits - U.S. DOLLARS
0.00
-1,289,407.81
Total Value of Transactions
3,718.75
427,789.90 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Seedalitt: ZEN
NEW YORK
NY 10154
Your Account Information
Caned inrommion
Telephone Number:
Default Method for M utual Funds:
Default Method for Stocks in a Dividend Reinvestment Plan
Default Method for all Other Securities:
Amortize premium on taxable bonds based on Constant Yield Method:
Accrual market discount method for all other bond types:
Include market discount in income annually:
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e)
First In First Out
First In First Out
First In First Out
Yes
Constant Yield Method
No
Page 6 of 8
Account Number:
CONFID
At ODE/CMS
Paled (wart
Levy Yaw Since 2007
EX( MENU
Owing through Posting PSC. nob* mond
suboldiarft time Bonita New York Malan
CoMatimi (MY Meta)
Penne. MC. intrite Alitatikkur- 40 00041360
DB-SDNY-0010184
EFTA_00157969
EFTA01290117
Deutsche Bank
Baltimore, MD 21203
Your Account Information (continued)
February 1,2019 - February 28,201
Your electronic delivery selections for account communications are listed below:
Electronic Delivery
Enrollment Communication
O
Statements aid Reports
•
Trade Confirmations
O
Tax Documents
O
Notifications
O
Prospectus
O
Proxy/Shareholder Communications
You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences.
Important I nformat ion and Disclosures
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 incurred by you.
•
Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
•
Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders: the assessment of the suitability of those transactions, where applicable: the rendering of investment advice,
if any, to you and 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 (SIKES) 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 perching corn/ 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.
•
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,
Account Number
At OPFS))1.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDO.
L
Rated (want
Every Yaw Slate 2007
DAISMI MI ED commumcAncres
EXCIILENCt
Page 7 of 8
Clang tlaraang
LIC, a ally armed
Smear/ of The ear or New Yak Mellon
Camonthm (MY Man)
Pentmg
Emen.g4nuf-Al_00047361
DB-SONY-0010185
EFTA_00 I 57970
EFTA01290118
Important Information and Disclosures (continued)
The
I f P rhin
ntinued)
Jersey City, New Jersey 07399;
. 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 ability to have a court reverse or modify an arbitration award is very limited.
•
The ability of the parties to obtain docum ants. w itness statements and other discovery is generally more limited in arbitration than in court proceedings.
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to 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 LW 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 w ith 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 U_C, Legal Department,
Jersey City, New Jersey 07399;
Page 3 of 8
Account Number:
AMMONS
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDO.
L
Rated heternt
Oeming Swot. Pining LI.C, a wholly owned
Every Yew Saxe 1007
sunshine/ aline &onkel New Yon; Mellon
Comonthen (SHY Mellon) nm
EXCELLENCE
Pr,an LIX. merott. Filien3OWql2P10-00047362
DB-SDNY-0010186
EFTA_00157971
EFTA01290119
I 5
I Deutsche Bank
Baltimore, MD 21203
ST THOM ASV100802
Otunelve Sank Private Neagh litonsgenen4
Mulct Coaratt &owe
0vatsclw Sank Secy.'s.. Inc
Frn
Illrecl
January 1,2019 -
n r
19
Account Number:
Portfolio at a Glance
ThisPerlad
Yeur4o-Date
Your Investment Specialist:
85,205,298.67
$5,205,298.67
MARTIN ZEMAN
Net Cash Deposits and Withdrawals
4,000,909.00
4,000,000.00
Adjusted Previous Account Value
1,205,298.67
1,205,298.67
Dividends. Interest and Other Income
34,961.23
34,961.23
Net Change in Portfolio'
57,530.00
57,530.00
:12: I 4c
.1.;:t..ro; LI I!:
Accrued Interest
$1,593.75
Estimated Anneal Income
368,838.23
Asset Summary
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
IN
El
Permit
Asset Type
Arlie Yem-End
Lad Period
Ills Purled
33%
Cash, Money Funds, and Bank Deposits
4.392.828 67
4,392,828.67
427,789.90
87%
Fixed Income
812,470.00
812,470.00
870,000.00
100%
Account Total (Pie Chart)
95,205,29887
$5,205,298.67
$1,297,789.90
Please review your allocation periodically with your Investment Specialist.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON
At
D
FA L4-
Rated Cmollent
(way Yew Slme 2007
DALIAR ft/411D COMMLIMCATIOM5
EICallENU
Page ' of S
Owing themeliPenlong LI.C, a Mlolly armed
soboldiady oiTM UM, of New York Mellon
Comeabm (IMY
in
MC. rremter inRIAINALGM_0004 7363
DB-SONY-0010187
EFTA_00 157972
EFTA01290120
Summary of Gains and Losses
Realized
Long-Term Gain! Loss
Net Gain/ Loss
This summary excludes transactions where cost basis information is not available.
For Your Information
This Period
Yetto•Dale
Urealized
0.00
0.00
0.00
-141,725.42
0.00
-148,725.42
The European Central Bank (the' ECB' ) 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 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.
Money Market Fund Detail
Date
Adivity Type
Dosaiplkol
Amount
Uwe
Sweep Money Market Fund
CASH AC TR DWSGOVT 8 AG INSTL
Current Yield: 2.30% Activity Ending: 0 V 311 S
01/01119
Opening Balance
01/10/19
Withdrawal
01/23/19
Deposit
01/31119
Deposit
4,392,828.67
-4,000,000.00
31,875.00
3,086.23
4,392,828.67
392,828.67
424,703.67
427,769.90
01131/19
Closing Balance
$427,789.90
Total All Money Market Funds
$427,789.90
Income and Expense Summary
Untie
0.1111111 Period
Non Taxable
Taxable
Yes-le-Date
Non Taxable
Dividend Income
Money Market
Interest Income
Bond Interest
3,086.23
31,875.00
0.00
0.00
3,088.23
31,875.00
0.00
0.00
Total Dividends, Interest, Income and Expenses
534,961.23
$0.00
$34,961.23
$0.00
Page 2 of 8
CONFIDENTAL - PURSUANT TO FED. R CRIM. P. 6(e)
Account Number:
ACC:Want:21
CONFIDO.
AL-
Mal balks*
Every Yew Shwa 2007
0ALSAR RAI ED COMMJNICATIONS
exattma
twin: through holing Ilt. • Salk owned
subsidiary SIMUnita New York Mellon
Cal:anti:a (MY Mellon)
Penne. MC. newt*, FilitallAWALGIA 00047364
DB-SDNY-0010188
EFTA_00157973
EFTA01290121
Deutsche Bank
Baltimore, MD 21203
Portfolio Holdings
January 1, 2019 - January 31, 2019
I
flown'
Adivity
clown Date
Ouantiy
Number
Siding
CASH, MONEY FUNDS, AND BANK DEPOSITS 33.00% of Portfolio
Money Market
CAM AC TR DWSGOYT 8 AG INSTI.
01101/19
427,789100
WA
01131119
Total Money Market
Aquaria
Dote Acscrked
neatly
Wit coal
Cod eat
FIXED INCOME 67.00% of Portfolio (In Maturity Date Sequence)
Corporate Bonds
TO RIG RATE
NT 6.375% 0122/78 WE
OTD0122113CALLA8110122/23Moody Rating Elatsla P Rating
BB
01125/18
1,000,000.000
101.8730
1,018,725.42
87.0000
Original Cost Basis: St01,75000
870,000.00
-148,725.42
1,593.75
63,750.00
Total Corporate Bonds
1,000,000.000
31,018,725.42
3870,000.00
4148,725.42
31,593.75
363,750.00
1,000,000.000
31,018,725.42
$870,000.00
4148,725.42
31,593.75
363,750.00
Opening
Nance
Closing
Baknce
Acaued
Income
income
nitsZeie
30-Day
Current
Yield
Yield
4,392,828.67
427,789.90
0.00
3,088.23
2.30%
34,392,828.67
$427,789.90
30.00
$3,086.23
34,392,828.67
3427,78990
30.00
93,086.23
Mulud Rice
Market Value
Security Identifier 18230893
2.30%
Unrealized
Accrued
EshmMed Estimated
Gan!' Loss
Interest
Annual income
Yield
Codes*
MarkelWS
llarealized
Gilt/Loss
Total Portfolio Holdings
31,446,515.32
31,297,789.90
4148,725.42
Acaued
Voted
$1,593.75
7.32%
Ediented
Annual locum
366,836.23
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
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 noncovered. However, if the account does not receive a 1099B, 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
Page 3 of a
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Account Number:
ecomessem
CONFIDO.
AL-
Rated (wart
Every Vex Since 2007
DAUM WED commumcAncres
EX( CIL
t
Owing tinge. Pasting Ilt, a wholly craned
subsidiary a The Unit a New York Mellon
Cannatim (MY Maw)
Penne. LIX.inerrte, F ilitactlYIELGM_000473135
DB-SDNY-0010189
EFTA_00157974
EFTA01290122
Portfolio Holdings (continued)
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.
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 w hich a price is not available are marked "NI A" and are omitted from the Total.
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.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 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.
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 w ill 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 convened 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.
Page 4 of 8
Account Number:
At 0:53WS10:21
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDg
L
eateameamt
Every Vex Sect 1007
CICOAD.Ct
Oaring iThel habeg LIC, a wholly owned
subekhady el Ilie Snake. New York Mellon
Ceeponthal (SPO' Mellon)
Penh...* u.c.neirta tatetAlAtlY42PM_00°47366
DB-SDNY-0010190
EFTA_(( )157975
EFTA01290123
Deutsche Bank
Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
January 1,2019 - January 31,2019
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
Important Reminder for Pershing's 2018 IRS Form 1099 (3, DIV, INT, M ISC and DID): As a reminder, by February 15, 2019, 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 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 10 99 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 $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares
of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage
account. Please see the money market mutual fund's prospectus or the bank deposit 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.
Activity Summary (Au amoun,ssnon n are.n case ...erren_y)
(Neils TN; Period
Debits This Peilod
Net ThisPeriorl
Credits Yemeo-Date
Debits Year4o-Date
Net Year-to-Date
Dividends and Interest
$34.961.23
$0.00
$34.961.23
$34.961.23
$ 0 00
$34,961.23
Cash
Withdrawals
0.00
4.000.000.00
4,000,000.00
0.00
4.000.000.00
-4.000.000.00
Total Cash
$0.00
44.000.000.00
44.000,000,00
$0.00
44.000.000 00
44.000.000.00
Totals
$34.961.23
44,000,000.00
43,965,038.77
$34.961.23
44,000,000.00
43,965,038.77
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
Account Number
At 0:5)!CS10:2)
CONFID
L
Rated Emeeent
Every YON Axe 2007
DMJARRMEDC0MMUMCATICMS
EXCIEILENCl
Page 5 of 8
Meng Sae. Penbeg LIC, a wholly armed
subekhady ol The km of New Yeti; Mellon
CemontSi OW Melon)
Penh,*
mete, f iliRIANItar-Al_ 0004 7367
DB-SDNY-0010191
EFTA_00 157976
EFTA01290124
Transactions by Type of Activity
Process,
setiement
Chute
Activity Type
Dividends and Interest
01122/19
1000000 BUCKEYE PARTNERS L PH= TO FUG RATENT
19230ASO
8376%0122178 EVE DTD 0122/11 CL8 RD 0111 P00922/1
01/31/19
INCOME RECEIVED
PER232045
Total Dividends and Interest - U.S. DOLLARS
0.00
34,901.23
Cash Withdrawals and Deposits
01110119
4,000,000.00
USD
US0999997
Total Cash Withdrawals and Deposits -U.S. DOLLARS
0.00
4,000,000.00
Description
Quantity
Price
AoQued lateral
Amount ClIMIllq
31,815.00
USD
3,086.23
USD
Total Value of Transactions
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Specialist ZEM
NEW YORK
NY 10 154
Your Account Information
0.00
4,966,038.77
USD
Contact Information
Telephone Number:
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 B_ECTIONS
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
Page 6 of 8
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Account Number:
At 0:531WX:21
CONFID
AL-
Med Exam
Every Yew Shwa 2007
DALIAlt ItAl ID COMMUNICATIONS
EXCLUENCl
Owing tinge,. hating LLC. • Way owned
subsidiary el Ilwa &onkel New York Mellon
Cannatim (MY moon)
Penhnt LLC. intetar f I lillactlYASIM_00047368
DB-SDNY-0010192
EFTA_00157977
EFTA01290125
Deutsche Bank
Baltimore, MD 21203
Your Account Information (continued)
January t 2019 - January 31, 2019
Your electronic delivery selections for account communications are listed below:
Electronic Delivery
Enrollment Communication
O
Statements and Reports
•
Trade Confirmations
O
Tax Documents
•
Notifications
•
Prospectus
O
Proxy/ShareholderCommunication,
You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences.
Important Information and Disclosures
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 incurred by you.
•
Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
•
Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice,
if any. to you and 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) 4134333. 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 (SIPC11). 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.cornt 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.
•
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,
Page 7 of 8
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Account Number:
ACC:SW:SIMI
CONFIDO.
AL-
RAW t•eawn
(wry Veit since 2007
EXCIA INC t
Oaring tn# •ants ISC. • wholly owned
Smear/ el The Simko. New York Mellon
Omponthal (MY Meta)
Penh...*
nwrter Filatikkeyeat
00047369
DB-SDNY-0010193
EFTA_00157978
EFTA01290126
Important Information and Disclosures (continued)
The
l
fPrhin
ntinued)
Jersey City, New Jersey 07399;
. 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 ability to have a court reverse or modify an arbitration award is very limited.
•
The ability of the parties to obtain docum ants. w itn ess statements and other discovery is generally more limited in arbitration than in court proceedings.
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to 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 LW 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 w ith 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 U_C, Legal Department,
Jersey City, New Jersey 07399;
Page8 of
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
Account Number
Ate:Si:MOM
CONFIDOWAL4
Rated (meet
Every Vex Sine Mel
DAIL& ItAl ED COMMUNICATIONS
EXCOAENC(
Owing IMO. Mains LI.C, a wholly ...toed
subsidiary*. Ilie &onkel Haw York Mellon
CciPontim (MY Mellon)
aaa
a a
Pemba* 4C. note
itS-le
l —uuv"707u
DB-SDNY-0010194
EFTA_00 I 57979
EFTA01290127