EFTA Document EFTA01290974

F2 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 THE HAZE T RUST UAD 02109i 99 JEFFREY EPSTEIN & DARREN K INDYKETTEES 6100 RED HOOK QUARTER B3 ST THOM AS VI 00802 Onewhe Sank Pointe Mann Minnemet4 144,14.13 Coarcut &out Pew ,m. Sank Secw4i4t 3,4 New York Me 345 Part An,... no 0004 New Volk NY 10154 UN Free /164.447.5305 4i0 51141 February 1, 2019 - February 28, 2019 Account Number: N4G-O24943 Portfolio at a Glance This Period Year4o-Lile Your Investment Specialist BEGINNINGACCOUNT VALUE 814,354,547.04 819,756,141.88 MARTIN ZEM AN Net Casb Deposits and Withdrawals 4,114,207.73 40,112,637.45 Net Securities In/Out of Amid 40,204830.00 40,204,630.00 Adjusted Previous Account Value 35,709.31 -561,125.57 Dividends. Interest and Other Income 35,530.69 79,955.57 Net Change in Portfolio' .71,240.00 481,170.00 EN DINGACCO M Estimated Annual Income 312,942.78 Asset Summary Net Change in Portfolio is the difference between the ending account value and beginning account value alter activity. Percent And Type Prior Thar-BM tut Period This Period 0% Cash, Money Funds, and Bank Deposits 10,032,681.88 4,078,677.04 0.00 0% Fixed Income 2,130,300.00 2,172,960.00 0.00 0% Equities 7,593,160.00 8,102,910.00 0.00 0% Account Total 819,756,141.88 $14,354,547.04 80.00 Please rev eve your allocation periodically with your Investment Specialist. 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 10 99 and/ or 104 2 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 1 of 7 Rated Ens vet Every Vex Since 1007 DAUM!, RAIEDCOMMUNCATIONS EXCILL CNC t Owing ems* Paging IIC a sear owed subsidiady as Santa New York Meta Cc•Ponthm (MY Mellor° Penh... MC. mrte FitatAtiatlYieLGM_000443620 DB-SDNY-OO11444 EFTA_00159229 EFTA01290974 Money Market Fund Detail Deis inanity Type Desaiplion Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.31% Activity Ending: 02/ 151 19 02101119 Opening Balance 02107/19 Withdrawal MONEY FUND REDEMPTION 02107/19 Withdrawal SHARES REDEEM ED 02107/19 Deposit ACCRUED DIVIDEND CREDIT 02/15/19 Deposit MONEY FUND PURCHASE 02119/19 Withdraw al MONEY FUND REDEMPTION 02/19/19 Withdraw al SHARES REDEEM ED 02/19/19 Deposit ACCRUED DIVIDEND CREDIT 02/15/19 Closing Balance Mount Bain 4.078.677.04 -4,078,677.04 -1,551.88 1,551.88 133,435.60 -133.435.60 -33.66 33.66 Total All Money Market Funds Income and Expense Summary ladle Dividend Income Equities 33,945.35 Money Market 1,585.34 Other Dividends 0.00 Total Dividends, Interest. Income and Expenses $35,530.69 Portfolio Holdings Desalption Waft 0Bina CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio Money Market CASH AC TR DWSGOVT 8 AG INSTL Total Money Market TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 4,078,877.04 $4,078,677.04 $4,078,677.04 4,078,677.04 0.00 -1,551.68 0.00 133,435.80 0.00 33.66 0.00 $0.00 $0.00 Cuuenl Period Non Taxable Year4a0ale Tactile Nom kW* 0.00 0.00 0.00 33,945.35 12.94238 33,067.44 0.00 0.00 0.00 $0.00 $79,955.57 $0.00 Wog Una Acaued Income Income 30•Day This Vim Yield 0.00 $0.00 $0.00 0.00 $0.00 $0.00 12,942.78 2.31% $12,942.78 $12,942.78 Page 2 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N4G-024943 CONFIDO. ACCMCSZOS RalwAssant Every Vex Since 2007 DAIJAR MILD CONVOCATIONS IC CI Owing tIvonet PastinguC a Sally owned subsidNy or IN INN of New York Melon ONPontIN (MY Melon) Pentw. 4C. newt*, FiliMAIWYger-at000413621 DB-SDNY-0011445 EFTA_00159230 EFTA01290975 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Total Portfolio Holdings Portfolio Holdings Disclosures February 1,2019 - February 28,2019 MEHAZETRUST Accrued EstrinMed hlarket Voice Inleast Annuli Income $0 00 $0.00 $12.942.78 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. THEAS OF PRICE DATEONLY APPEARSW HEN THE PRICEDATEDOES NOT EQUAL THE STATEM ENT 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.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. 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. Account Number: N4G-024943 At OMCS))01 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated hcedlent Every Vex Since 1007 DAIJAR RAT ED COMMUNCATIM EXCOAD.Ct Page 3 of 7 Oaring IMO. Paging LI.C, a wholly owned subsidiary*. The Simko. New Yak Mellon Cennatim (MY Mellon) a a a, Penne. LIX. merrdy f PM_ 1- 1.0 U0040644 DEt-SDNY-0011446 EFTA 00159231 EFTA01290976 M essages 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 1D b-10 ( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are tn base currency) Credits This Period Debits This Period Securities Securities Withdurrn 0.00 -10,204,630.00 Total Securities $0.00 410,204,630.00 Dividends and Interest $35,530.69 $0.00 Cash Witlidroals 0.00 4,247,643.33 Deposits 133,435.60 0.00 Total Cash 1133,435.60 44,247,643.33 Totals $168,966.29 414,452,273.33 Transactions by Type of Activity Ron Settlement Ode Activity Type Securities Withdrawals and Deposits 02/07119 CUSTOMER AUTHORIZED TRANSFER GOOG 02/07/19 CUSTOMER AUTHORIZED TRANSFER CYNA 02/07/19 CUSTOMER AUTHORIZED TRANSFER C PM( 02107/19 CUSTOMERAUTHORIZED TRANSFER 46625HHA1 02/07119 CUSTOMER AUTHORIZED TRANSFER UTX Total Securities Withdrawals and Deposits - U.S. DOLLARS Net This Peried -10,204,630.00 410,204,630.00 $35,530.69 4,247,643.33 133,435.60 44.114.207.73 414,283,307.04 Credits Year-to-Date Debits YeatimOnte Net YeemtoDde 0.00 -10.204630.00 -10.204,630.00 $0.00 410,204,630.00 410,204,630.00 $79,955.57 $0.00 $79,955.57 0.00 -10247443.33 40.247443.33 135,005.88 0.00 135,005.88 $135,005.88 410,247,643.33 410,112,637.45 $214,961.45 420,452,273.33 420,237,311.80 Disaiption Ouiellty Pike Awved letued Meant CUrtellty ALPHABET INC CAP STK Cl. C TRANS TO 114G-023804 CARVANA COD. A TRANS TO N46-023804 CITIGROUP INC DEP SHSREPSTG 9900TH PFD SER K DN 6175% PERPETUAL KATY PERPETUAL CAU. rib/230250 0 TRANS TO NIG-023804 SUORGANCHASE& CO DEP SKS REPSTG 89TH RFD SER 1 FIXED TO FLTG RT BD 5400% 04/23/58 WE DTD 04/23/08 CLB TRANS TO N4G-023804 UNITED TECHNOLOGIESCORP CON TRANS TO N46-023804 -3,000.000 -25400.000 -79.000.000 -2,160,000.000 .15,000.000 -3,296,130.00 USD 425,500.00 USD 4,101,400.00 USD -2470,800.00 USD .1,810,800.00 USD 0.00 -10,204.630.00 Page 4 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N46-024943 CMONFIDO. ACC:M. Rated (warm Every Yaw Since 2007 DAUM WED commumcimats ExCULENCt Owing IMO Petit PIC. • whey owned subsidiary a The brat a New York Maori CorPontim (MY Melba) Pe hat 4C. 'sent. FilialctlYIELGM_00048623 DB-SDNY-0011447 EF1'A_00159232 EFTA01290977 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) February 1,2019 - February 28, 2019 THF HA 7F TRIIST Routs Settlement Dote Activity Type Deuription guanlity Price Raved lateral Amount Currency Dividends and Interest 02107119 MONEY MARKET FUND CASH AC TR DWSGOVT 8 AGENCY INSTL INCOME REDEEM ED 1,551.68 USD INCOME RECEIVED PER232045 02/15119 CASH DIVIDEND RECEIVED 79000 SHRS OTIGROUP RC DEP SHSR9STG/1)00TH PR) 33,945.35 USD C PRK SER K DIV 6 875% PERPETUAL MATT PERPETUAL CALL WS/2302500 RD 02/01PD 02/6/1 02119119 MONEY MARKET FUND CASH AC TR OWSGOVT3 AGENCY INSTL !ROOM E REDEEM ED 33.66 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 35,530.69 Cash Withdrawals and Deposits 02/07/19 CUSTOMER AUTHORIZED TRANS TO N4G-023804 4,080,228.72 USD TRANSFER USD999997 02114/19 FEDERAL FUNDS RECEIVED HSBC BANK USA.NATIO 3996 133,435.60 USD US0999997 02119119 FEDERAL FUNDS SB4T DEUTSCHE SANK TRUST -167.41411 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -4.114.207.73 Total Value of Transactions 0.00 44,283,307.04 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Scented: zai MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 13 154 Contad [donation Telephone Number Account Number: N46-024943 At ON 6CS3)0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Ratecameeent Every Yew Sam 1007 DALIAN WED C0MNiuMCATI0NS EXCLUENCl Page 5 of Oaring Sae. Penbm LIC, a Mlolly owned subedury of The km of New York Mellon Cmperatim (MY Melon) penhaz c irenta, FthenAc§in uf-Ai_00048624 DB-SDNY-0011448 EFTA_00 159233 EFTA01290978 Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types. Constant Yield Method Include market discount in income annually: No ELECTRONIC DEUVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication • Statements and Reports • Trade Confirmations • Tax Doodah • Notifications • Prospectus • Proxy/Slareholder 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 Disci sures 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 ads 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comf 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 Page 6 of 7 CONFIDENTAL — PURSUANT TO FED. R GRIM. P. 6(e) Account Number: N4G-024943 CONFIDO. AL- Rated Eadw•t Every Ye• Since 2007 C0MMLINICATICNS EXCLUDICt Owing tinge,. Paging Ilt. a• Sally owned subsidiary el Ille km of New York Mellon Cannatko(MY Melon) P•st.nt LIX, •vn.c.• FINItalkrea8M- 00048625 DB-SDNY-0011449 EFTA_00159234 EFTA01290979 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) February 1,2019 - February 28,2019 l'HE HA ZE TRUST The Role of Pershing (continued) 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. 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 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 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 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, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number n146424943 CONFID I M 01A6CS))01 Page of rested Carelent Omit. Some Panting LI.C, a ebony owned Every Year Since 2007 subsidiary ogles enrol New York Mellon DAMAR IM1 ID COMMUMCATICMS Corporate. (MY Mellon) nm . EXCLUENCIE Penman 4E. nerdy F liRoetioeel YU:PM-00048626 DB-SDNY-0011450 EFTA_00 159235 EFTA01290980 F2 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 THE HAZE TRUST UAD 02109/ 99 JEFFREY EPSTEIN & DARREN K INDYKETTEES 6130 RED HOOK QUARTER 83 ST THOM ASVI 00802 Detrtethe Sank Melee iNeal4h kleneetareal Wrens ce.wagerame tintrelve Dank Seeerrnien New Yore Pike HS Part Anne*. Mt few iletil1/40, KY 10154 Ta tree /1“-611-5105 Direct 410 BIS S1141 January 1,2019 - January 31,2019 Account Number: N4G-024943 Portfolio at a Glance TeisPerlod Yew-to-Date Your Investment Specialist: BEGINNINGACCOUNT VALUE MARTIN ZEMAN Net Cash Deposits and Withdrartab 819,756,141.88 4,998,429.72 $19,756,141.88 4,998,429.72 Adjusted Previous Account Value 13,757,712.16 13,757,712.16 Dividends. Interest and Other Income 44,424.88 44,424.88 Net Change in Portfolio' 552,410.00 552,410.00 ENO ING ACCOUNT VALU Accnied Inteml $359.42 Estimated Annual Income $320,630.96 1 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. In • Parent Asset Type Prior Yearad Lag Period Tith Period 28% Cash, Money Funds, and Bank Deposits 10.032.681.88 10,032,681.88 4,078,677.04 15% Fixed Income 2,130,300.00 2,130,300.00 2,172,980.00 57% Equities 7,593.160.00 7.593.100.00 8,102,910.00 100% Account Total (Pie Chart) 819,758,141.88 $19,756,141.88 814,354,547.04 Please review your allocation periodically with your Investment Specialist. Page 1 of 9 Rated (Kant (my Yaw Since 2007 DAUM WED COMMUNCATIONS EX( WOK t CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Clewing Sae. Platy PIC a mond sal:oldie) el Ilwa &MO New York MS... DAPPonD20 aim meta) Penteee; ac. newt*/ FIIIRAWa Gliet 00048627 DB-SDNY-0011451 EFTA_00159236 EFTA01290981 Summary of Gains and Losses Reeked This Period Yes to•Date Unreal* Short-Term Gain! Loss 0.00 9.00 458979.37 Long-Term Gain! Loss 0.00 9.00 44,845.09 Net Gain! Loss 0.00 0.00 423,524.48 This summary excludes transactions where cost basis information is not available. 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 /342 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 AdirDy Type Desatlion Amount Bin Sweep Money Market Fund CASH AC TR DWSGOVT .1 AG INSTL Current Yield: 2.30% Activity Ending:0V 31199 01101/19 Opening Balance 10,032,681.88 10,032,681.88 01110/19 Withdrawal MONEY FUND REDEMPTION 4,000,000.00 4,032,681.88 01114/19 Deposit MONEY FUND PURCHASE 1,570.28 4,034,252.16 01/31/19 Deposit MONEY FUND PURCHASE 33,067.44 4,067,319.60 01131119 Deposit INCOM ERSNVEST 11,357.44 4,078,677.04 01/31119 Closing Balance $4,078,677.04 Total All Money Market Funds $4,078,677.04 Income and Expense Summary 0.merl Period Yetto•Dato Taxable Non Disable Teta Non Taxable Dividend Income Money Market 11,357.44 0.00 11,357.44 0.00 Other Dividends 33,067.44 _0 00 33 007 44 _0 00 Total Dividends, Interest, Income and Expenses 144,424.88 $0.00 $44,424.88 $0.00 Page 2 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N46-024943 CONFIDO. AtC:IIM'At20 Rated Cacellent Every Year Shwa 2007 PAW Ml ID COMMUNICATIONS EXCLUDICt Owing tiwonsh Penn LC. emboli/owned subsidiary SIM brat ar New York Mellon CoMontim (MY Mellon) POnhal; tic. 'newts. fitimActlyirpt000443628 DB-SDNY-00 11452 EFTA_00159237 EFTA01290982 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Opening Dale Otiantly Number Endo° CASH, MONEY FUNDS, AND BANK DEPOSITS 28.00% of Portfolio Money Market CAM AC TR DWSGOTT 8 AG IBM 01101/19 4,078,877.040 WA 01131/19 10,032,681.88 4,078,877.04 0.00 11,357.44 Total Money Market $10,032,681.88 $4,076,677.04 $0.00 311,357.44 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $10,032,681.88 $4,078,677.04 $0.00 $11,357.44 Mulled Wedded Acaued Cloadily Unit Cod Cod Bat Markel Prior Minkel Value Gin toss want January 1,2019 - January 31,2019 THE HAZE TRUST Accent Auden Opining Ching Acaued Items 30-De Cornet Nana Bence Income TbloYear Yield Yield Date Acquired FIXED INCOME 15.00% of Portfolio (In M aturify Date Sequence) Corporate Bonds alORGANCHASE & CO DE SIS REPSTG Sedulity Identifier 46625111141 /13TH PFD SER1FIXED TO FLTG RT 8D 5.990% 04123/58 WE DTD 04/23/08Il oody Ratios Elaa33 8 P Ratios BB6 05/10/11 '•3,T2 2,160,000.000 110.8680 2,394,740.98 100.6000 2,172,960.00 421,780.98 359.42 129,392.20 5.95% 0• Hal Cost Basis: $2403 00 $2,394,740.98 $2,172,960.00 4221,780.98 3359.42 $129,392.20 2.30% 2.30% Estimated Estimated Annual Income Yield Total Corporate Bonds 2,160,000.000 TOTAL FIXED INCOME 2,160,000.000 $2,394,740.98 $2,172,960.00 4221,760.98 $359.42 $129,392.20 Udenlized Dale Ace ine Cluatily Unit Cod Cod Ben Market Prim Market Viva Celn/Loss EQUITIES 5 7.0 0% of Portfolio Common Stocks ALPHABET INC CAP STK O. C Seamy Identifier: GOOG Dividend Option: Cub MR 0207951)7 12/05/17 1.000.000 1.014.0150 1,014,015.20 1,116.3700 1,118,369.99 102,354.79 02/02/18 1.000.000 1.116.1660 1,116,166.00 1,116.3700 1,118,369.99 203.99 02/05/18 1,000.000 1.106 0070 1.106.006.80 1,116 3700 1,116,370.02 10263.22 Total Covered 3,000.000 3.236.188 00 3,349,110.00 112,922.00 Total 3,000.000 53,236,188 00 $3.349,110.00 $112,922.00 Estimated alluded Annual income Yield $0.00 Page 3 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: HQ-024943 ACE:IMM0 CONFIDO. AL- Rated (learnt Every Yaw Site 2007 DAUM WED commumcimats ExCULINCt Owing engem Penting PIC. • %okay owned subsidiary SIMUnita New York Mellon Cannatim (1111Y Meta) Penhat MC. 'avian FitiRAVkYteat000443629 DB-SDNY-00 11453 EFTA_00159238 EFTA01290983 Portfolio Holdings (continued) Dote Acquired 0=64 Unit Dust Cost Bat Market Prim Security Identifier. CM CUSIP:11686962 Market Value Uareated Gain= Estimated Estimated Annual Immme Yield EQUITIES (continued) Common Stocks (continued) CARVANA CO CL A Dividend Option: Cash 08/18/18 2.500.000 42.7900 106.975.00 37.1500 92.875 00 -14,100.00 06118/18 5,000.000 44.3400 221,699.15 37.1500 185,750.00 45,949.15 08/18/18 5.000.000 44.0400 220.200.00 37.1500 185.750.00 -34.450.00 06118/18 2.500.000 43.5400 108,850.00 37.1500 92,875 00 -15,975.00 06/19/18 2.500.000 42.6740 106,686.00 37.1500 92,875.00 43,811.00 06119/18 2,500.000 43.0850 107,711.93 31.1500 91,875.00 -14,837.93 06119/18 2.500.000 42.7520 106,879.20 37.1500 92,875.00 -14,004.20 06119/18 2,500.000 41.8400 107,100.00 31.1500 92,875.00 -14,225.00 Total Covered 25,000.000 1,086,102.28 928,150.00 -157,352.28 Total 25,000.000 $1,086,102.28 $928,750.00 4157,352.28 $0.00 UNITED TECHNOLOGIESCORPCOM Security Identifier UTX Dividend Option:Cesb CUSP. 9001789 08120/18 15.000.000 125.5300 1,882,944.30 118.0700 1,771,050.00 -111,894.30 44,100.00 2.49% Total Common Stocks $6,205,234.58 $6,048,910.00 4156,324.58 $44,100.00 Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SHSREPST6 VtlOOTH Security Identifier: C PRK PFD SER X DIV 6.875% PERPETUAL UM CUSP:1/2967341 PERPETUAL CALL WS/23015.00 Dividend Option: Cab 02103/14 79,000.000 25.3090 1,999,418.90 26.0000 2,054,000.00 54,581.10 135,781.32 861% Total Preferred Stocks $1,999,418.90 $2,054,000.00 $54,581.10 $135,781.32 TOTAL EQUITIES $8,204,653.48 $8,102,910.00 4101,743.48 6179,881.32 %Maid Accrued Waited Cod Bads Markel Value GaIWLoss Intend Annuliloom Total Portfolio Holdings $14,878,071.50 $14,354,547.04 4323,524.46 $359.42 $320,630.96 ' Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 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 10 99 8. the cost basis will not be reported to the IRS. Page 4 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N46424943 Att):!IMAt20 CONFIDO. AL- Paled (learnt Every Yaw Since 2007 DAUM WED commutecAncen EXCQ((NCC Owing tinge,. holing Ilt. a Sally owned subsidiary e4 The Bonita New York Mellon Cortaatim (MY Melon) Penn.'s MC. 'newt« FilitactlYEEPM_000443630 DB-SDNY-0011454 EFTA_00159239 EFTA01290984 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) January 1,2019 - January 31,2019 THE HAZE TRUST 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. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 72 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. Portfolio Holdings Disclosures Pricing This section includesthe net market value of the securities in your account on asettlement 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 w hich a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY A PPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE 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. Account Number: N46-024943 At 00 IlIMI)n) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated hernent Every Vox Sine 2007 DA UM ltAl ED COMMUMCATICMS EXttILENC( Page 5 of 9 Meng iThel hake( 1.1.C, a wholly armed subeelMy of The bake. New Yeti; Mellon emponthee (MY Mellon) Penterg LLC. must. fiketANIY ageM_00048631 DB-SDNY-0011455 EFTA 00159240 EFTA01290985 Portfolio Holdings Disclosures (c ntinued) 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 organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase. hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. M essages Important Reminder for Pershing's 2018 IRS Form 1099 (B, 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 1099 will be mailed no later than March 15, 2019. 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 seethe 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 10b-10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Acto, ity Summary (Ail amounts shown are m base currency) Csedits This Period Oaks ThisPerkid Net ThisPuiod troditsYarioate DbasYeatio•Oate Net Yettoate Dividends and Interest 544.424 88 $0.00 $44,424.88 $44,424.88 $0.00 $44,424.88 Cash Withdrawals 0.00 4,000,000.00 4,000,000.00 0.00 4,000,000.00 8,000,000.00 Deposits 1,570.28 0.00 1,570.28 1,570.28 0.00 1,570.28 Total Cash $1,570.28 48,000,000.00 45,998,429.72 $1,570.28 48,000,000.00 45,998,429.72 Totals $45,995.16 46,000,000.00 45,954,004.84 $45,995.16 46,000,000.00 45,954,004.84 Page 6 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) Amount Number: N46424943 Att):IIMMO CONFIDO. AL- Rated hcaent Every Veit Sac. 2007 OMAR RATED COMMUMCATIONS EXCUALsa Owing Smith Penbog LIC.• Away mooed sobsidianft ol The UM el New York Mellon CeePembm OW Melon) Penne. 11C...ter-tee finillgitctreaast 000443632 DB-SDNY-0011456 EFTA_00159241 EFTA01290986 15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Transactions by Typeof Activity January t 2019 - January 31,2019 l'HE HAZE TRUST Process Settlement Date MI* Type Description OueMity Prim Accrued Interest Amount Curling Dividends and Interest 01130119 CASH DIVIDEND RECEIVED IM ORGAN CHASES CO DEP SHS REPSTG 99TH PR1 S921 4,160,000.000 33,067.44 USD 46625HIM1 5.990% 04123158 WE RD 0929 PD 013011INT PAID AT 15309 2160000 01131/19 MONEY MARKET FUND CASH AC TR DWSGOVT 11.357.44 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 44,424.88 Cash Withdrawals and Deposits 01110119 FEDERAL FUNDSSENT DEUTSCHE BANK TRUST 4,000,000.00 USD USD999997 01/11/19 FEDERAL FUNDS RECEIVED HSBC BANK USA.NATIO4on 1,570.28 UW USD999991 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 4,998,129.72 Total Value of Transactions 0.00 4,954,004.84 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Spedalist- MARTIN ZBA AN 345 PARKAVENUE NEW YORK NY 13154 Contact Information Telephone Number CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N46424943 CONFIDO. AL A CC: :IMM0 Page 7 of 9 Rated C.4ellent (very Yaw SEnct 2007 DALBAR RAT ED COMMLNICATICNS EXCIAL DK( Owing through holing Ilt. a Sally owned subsidiary of TM Bonita New York Make Cannatim (1111Y Mellon) Penn.'s MC. 'newts. fitatatcaMYEEPM_000413633 DB-SDNY-0011457 EFTA_00159242 EFTA01290987 Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DEUVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication • Statements and Reports la Trade Confirmations • Tax Decimals • Notifications • Prospectus • Proxy/Skereholder 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 ads 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comf 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 Page 8 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number N4G-024943 ACCatSS0t2e CONFIDO. AL- Rated (learnt Every Yaw Since 2007 DAISAR WED COMMUNCA110.4 EXC[ALENCC Owing IMO. hating Lit. • Slob owned Smear/ el Ilwa Bonk of New York Melon Cc•Pontim my rot haeMaLA0.„wnte. FIIIRkUtteaM 48634 DB-SDNY-0011458 EFTA_00159243 EFTA01290988 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1,2019 - January 31, 20 19 THE HAZE TRUST The Role of Pershing (continued) rights, including your rights under the Securities Investor Protection Ad. • 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. 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 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 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, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Montt Number: N46.024943 AttnItMit?) d CONFID I • lij to. L- Rated (want Every Yaw Saxe 2007 DALIN, !MUD C0MMUNICATICMS EXCELLENCE Page 9 of 9 Owing tlaragang LLC, a ally armed submilady of The Sordi of New Yotk Mellon Camonbm (SY Man) Penn...* U.C. EmR,ARitirCePm_o0046635 DB-SDNY-0011459 EFTA 00159244 EFTA01290989