Case File
sd-10-EFTA01290318Dept. of JusticeOtherEFTA Document EFTA01290318
15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 212O3 JEERERS IN C 6 100 RED HOOK QUARTER B3 ST THOM ASVI 00802 Otulkelke Sant Pointe Ilealkh Msnagemen laarlatk Cpaaerag< 6, w; Opaktche Omit Semeilies ne wave Peek Me 3AS fart Avenue. fib F Ace New 'leek Na 10114 Teti • enigma' Direct December 1,2017 - Decemb r 1, 2017 Account Number: Portfolio at a Glance Thishrtod Yew4o-Date your Investment Specialist BEGINNINGACCOUNT VALUE 63,236,312.13 $3,149,809.19 JOSHUA SHOSHAN Net C
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Dept. of Justice
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sd-10-EFTA01290318
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15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 212O3 JEERERS IN C 6 100 RED HOOK QUARTER B3 ST THOM ASVI 00802 Otulkelke Sant Pointe Ilealkh Msnagemen laarlatk Cpaaerag< 6, w; Opaktche Omit Semeilies ne wave Peek Me 3AS fart Avenue. fib F Ace New 'leek Na 10114 Teti • enigma' Direct December 1,2017 - Decemb r 1, 2017 Account Number: Portfolio at a Glance Thishrtod Yew4o-Date your Investment Specialist BEGINNINGACCOUNT VALUE 63,236,312.13 $3,149,809.19 JOSHUA SHOSHAN Net C
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15 I Deutsche Bank
P.O.Box 1776, Baltimore, MD 212O3
JEERERS IN C
6 100 RED HOOK QUARTER B3
ST THOM ASVI 00802
Otulkelke Sant Pointe Ilealkh Msnagemen
laarlatk Cpaaerag< 6, w;
Opaktche Omit Semeilies ne
wave Peek Me
3AS fart Avenue. fib
F Ace
New 'leek Na 10114
Teti • enigma'
Direct
December 1,2017 - Decemb r 1, 2017
Account Number:
Portfolio at a Glance
Thishrtod
Yew4o-Date
your Investment Specialist
BEGINNINGACCOUNT VALUE
63,236,312.13
$3,149,809.19
JOSHUA SHOSHAN
Net Cash Deposits and W dhdrawah
0.00
31,276.11
Adjusted Previous Account Value
3,236,372.13
3,181,085.30
Dividends, Interest and Other Income
7,489.95
75,453.63
Net Change in Portfoliol
0.00
.12.676.85
lz
$3,243,862.08
$3,243,8620
Estimated Anneal Income
576.759 78
Asset Summary
ao
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
n
Patent
Asset Type
PrlorYemad
Lal Period
ThisPeriod
47%
Cash, Money Funds, and Bank Deposits
1,479,787.72
1,521,384.75
1,522,837.51
53%
Mutual Funds
1,670,021.47
1,714,987.38
1,721,024.57
100%
Account Total (Pie Chart)
$3,149,809.19
$3,236,372.13
$3,243,862.08
Please review your allocation periodically with your Investment Specialist.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 1 of 9
A0130270CSF30025
CONFIDO.
AL-
RaltaacaNnt
Owing IlittnIthrsiing LI.C. • Sally owned
6%9"OG./ Since 2007
sibMWya TM Bordtel New York Mellon
DALIAR ItAl ED COMMIRCATICOS
Corponthal (SW Meta)
EXCULENC(
Pen/vett U.C.inerrtel allIPAtikriker344—°°
047681
DE!-SDNY-0010505
EFTA_OO15829O
EFTA01290318
Summary of Gains and Losses
Realized
This Pedod
Yette•Dale
Wee*
Short-Term Gain! Loss
0.00
9.00
-306.32
Long-Term Gain! Loss
0.00
9.00
-111,498.55
Net Gain! Loss
0.00
0.00
-111,804.87
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a
deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the
future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Dale
AdlvNy Type
Cescsiplion
Amount
Biome
Sweep Money Market Fund
DEUTSCHEGOVT CASH INSTL
Current Yield: 120% Activity Ending: 12/ 29117
12101117
Opening Balance
1.521.384.75
1,521,384.7$
12729/17
Deposit
INCOM ERBNVEST
1,452.76
1,522,837.51
12/29117
Closing Balance
$1 522 837.51
Total All Money Market Funds
$1,522,837.51
Income and Expense Summary
Qmont Period
Yetto•Cale
iaeble
Non Taxable
WAN
Noe habit
Dividend Income
Money Market
1,452.76
0.00
11,773.68
0.00
Other Dividends
6,037.19
0.00
63,679.95
0.00
Total Dividends, Interest. Income and Expenses
67.489.95
$0.00
$75,453.63
$0.00
Page 2 of 9
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
AO 100270 C SF30025
CONFIDO.
AL-
Rated (Kart
Every Vex Since 2007
DALBAR MUD COMMUNCATICNS
EXCIA CNC t
Owing tlnov W hating Ilt. a Sally craned
'maw:Wry el Ilwa &onkel New York Mellon
CciPontim aim meta)
Penn. LK. ritterte Filactia
00047682
DB-SDNY-0010506
EFTA_00158291
EFTA01290319
Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
Portfolio Holdings
Opening Dale
CASH, MONEY FUNDS, AND BANK DEPOSITS 47.00% of Portfolio
Money Market
DEUTSCHE GOVT CASH INSTI.
December 1, 2017 - December 31, 2017
JEEPERS INC
Account
Adivity
Opening
Gating
Accrued
Mame
30-Coy
Current
Ottanttly
Number
Ending
Nance
Balance
Income
ThleYeet
Yield
Yield
12101/17
1,522,837.510
NIA
12/29/17
1,521,38415
1,522,837.51
0.00
11,773.68
1.10%
120%
Total Money Market
$1,521,384.75
$1,522,837.51
$0.00
$11,773.68
Estimated
Yield
TOTAL CASH, M ONEY FUNDS, AND BANK DEPOSITS
Date Acqdred
Quantity
Mt Cut
Cod Bap
$1.521,384.75
Market Price
$1,522.837.51
Market Value
$0.00
$11,773.88
Unrealized
Coin. Loss
Estimated
Annual income
MUTUAL FUNDS 53.0 0% of Portfolio
SY ORGAN FLOATING RATE INOUE RIND
Security Identifier PHU
CLASS I
0.19P. 482t513
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02/13/13 *
148,957.299
10.0700
1,500,000.00
9.3800
1,397,219.46
102,780.54
52.759.18
3.77%
03/01/13 0
533.047
10.0800
5,362.46
9.3800
4,999.99
-362.47
188.80
377%
04/01/13 *
591.454
10.1100
5,979.61
9.3800
5,541.84
431.17
209.49
377%
05101/13 u
562.992
10.1300
5,703.11
9.3800
5,280.86
422.25
199.41
377%
08103/13 °
581.343
10.0900
5,724.50
9.3800
5,321.68
402.82
200.95
3.77%
07/01/13 13
500.501
9.9700
4,990.00
9.3800
4494.70
495.30
177.27
3.77%
08101/13 °
527.827
10.0600
5,309.94
9.3800
4,951.01
458.93
188.95
317%
09/03/13 0
531.248
10.0300
5,328.42
9.3800
4,983.11
445.31
188.16
317%
Reinvestments to Date
30,706.388
9.5890
294,431.40
9.3800
288,025.92
4,405.48
10,875.89
3.77%
Total Covered
183,478.099
1,832,829.44
1,721,024.57
,111,804.87
64,986.10
Total
183.478 099
$1 832 829 44
$1 721 024 57
4111 804 87
$64 986 10
TOTAL M UTUAL FUNDS
$1,832,829.44
$1,721,024.57
4111,804.87
$64,986.10
TOTAL PORTFOLIO HOLDINGS
Wreaked
Acaued
Estimated
Cod Buis
Merkel Value
Oak/ Lone
Interest
Annual lacome
$3,355,666.95
$3,243,862.08
4111,804.87
$0.00
$76,759.78
Page 3 of 9
RAS Carelent
Oaring Salem Potting IIC a May owned
AO 10 0 27005P30
(my Yew Same 2007
0 26
l`P'S
DAUM Caren COMMUMCATICMS
subodury of The Osaka New Yost Melon
Camocathm (MY Melon)
CONFIDKITTAL
EXCatENCE
Ont."' VA. ,rote, maktiketukbm_00047683
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e)
DB-SDNY-0010507
EFTA_0015 8292
EFTA01290320
portfolio Holdings (continued)
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 V99-8 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 covered. However, if the account does not receive a 10998, the cost
basis will not be reported to the IRS.
" The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Portfolio Holdings Disclosjres
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
from the actual sale price. Securities for which a price is not available are marked "Ni A" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT 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 com puted 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 pershingcom/ 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 prom ptly 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 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.
Page 4 of 9
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
AO 100C
270CSF3
O
0025
NFIDO.
AL-
Rated Emarnt
(wry Veit Snce 2007
MAAR RAT ED COMMUNICATICNS
EXCIA CNC t
Chains tlwonglihnbing PIC a Sally owned
subsidiary e4 TM brit W New York Mellon
Calwatim (MY Mellon)
Penn.'s MC. 'sent. FilatalikreaGM_00047684
DB-SDNY-0010508
EFTA_00158293
EFTA01290321
15 I Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
December 1,2017 - December 31,2017
JEEPERS INC
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
Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC, Your 1099 will be delivered
as early as possible, beginning January 31, 2018. By February 15, you will be mailed either your 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. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099
will be mailed no later than M arch 15,2018. For more information please visit mytaxhandbook com.
MUNICIPAL SECURITIES RULEM AKING BOA RDO(M SRN)
INVESTOR EDUCATION AND PROTECTION
An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on
the M SRBwebsite, msrborg.
Pershing LLC is registered with the Securities and Exchange Commission (SEC). M SRB. FINRA. and NYSE
Although a money market mutual fund seeks to preserve the value of your investment at $1per 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 10b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
The U.S. adopted a shortened settlement timeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving
from a T+3 to a T+2 settlement cycle provides faster access to sale proceeds. but it also means that funds are due on purchase transactions earlier. This may be a good time to
consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up
e-delivery.
DISCLOSURE
By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, It we authorize the named Financial
Institution and Pershing LLC ("Pershing") and their affiliates to share my nonpublic personal information' held at Financial Institution and Pershing with the named trusted contact
person(s)(the"Trusted Contact Person(s)*) identified as such. Additionally. I/ we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of
Financial Institution and Pershing. This authorization includes. but is not limited to. sharing or disclosing any information regarding securities. insurance, bank related. financial
planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information IF we may have provided to Financial Institution
and Pershing. I/ we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my w hereabouts
or health status (i.e.. if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and
Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone
authorized to transact business on the account, or who is already otherwise able to receive the information described above.
Account owners Should contact their Financial Institution or financial representative with additional questions.
Account owners may also contact FINRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
AO 1006350,15F D
L- -
Raleamant
Every Vox Sea 2007
DALY& Gl ED COMMUMCATIONS
MULE/4C(
Page 5 of 9
Clarinda...hang LLC, a ally armed
mbar/ of The Sonli of New York Mellon
Carponthm (Illa Man)
Pentmg LIX. more-ter tiRIAIAIY4S-Al_0004 7685
DB-SDNY-00 10509
EFTA 00158294
EFTA01290322
M essag s (continued)
CALL 844.57.FIELPS(844.574.3577)
M ONDAY - FRIDAY; 9 - 5 P.M . ET
•'Nonpublic personal information' Includes, but Is not limited to: financial account information and balances, Information regarding the purchase of a security or insurance product,
and any other personally identifiable financial information: (i) provided by a me/ us to my/ our Financial Institution; (ii) resulting from any transaction in my/ our account or any service
performed on behalf of me/ us by the Financial Institution; or (iii) otherwise obtained from me/ us by the Financial Institution.
Activity Summary (All amounts shown are in base currency)
Credits This Period
DaksThisPerial
1kt ThilPeriod
Credits Year-to. Date
Debits Yeerio.OMe
Net Yeaio•DMe
Securities
Securities Bough]
0.00
43137.19
.6137.19
0.00
13.67915
63,679.95
Total Securities
$0.00
16,037.19
16,031.19
$0.00
163179.95
163179.95
Dividends end Interest
$1,489.95
$0.00
$7,489.95
$75,453.63
$0.00
$75,453.63
Cash
Withdrawals
0.00
0.00
0.00
0.00
46,853.96
-56,853.96
Deposits
0.00
0.00
0.00
88,130.07
0.00
88,130.07
Total Cash
$0.00
$0.00
$0.00
$88,130.07
156,853.96
$31,276.11
Totals
$7,489.95
16,037.19
$1,452.76
$163,583.70
1120,533.91
143,049.79
Transactions by Type of Activity
MN:UV
Sather:kat
Dote
Activity Type
Desaiption
OtierAlly
Prim
Aimed letued
Amount annoy
Securities Bought and Sold
12/28117
RERIVESTCASH INCOM E
JPHORGAN ROATII4GRATE INCOME FUND CLASS]
643.624
1,037.19
USD
.PHSX
12834.4750 SIRS SHRSPURCH.AT $9.38000 R012/26 PO
1212011
Total Securities Bought and Sold -U.S. DOLLARS
0.00
4,037.19
Dividends and Interest
12128117
CASHDIVIDEND RECEIVED
Al ORGAN ROAD NG RATE INCOM E END CLASS]
6,037.19
USD
.PHSX
12834.4750 SHRSRO 4/26 PD 12128117
12129117
MONEY MARKETFUND
DEUTSCHE GOVT CASH
1,452.76
USD
INCOME RECBVEO
PER232045
Total Dividends and Interest - U.S. DOLLARS
0.00
7,489.95
Page 6 of 9
CONFIDENTAL - PURSUANT TO FED. R CRIM. P. 6(e)
AO 100270CSP30025
s • 1.44
CONFIDO.
ALA
bled Ea llet
Every Year Shwa 2007
DAYAlt RMID COMMUNICATIONS
ExCatOCI
Owing engemPenton ISC. • wholly MVOS
subsidiary a The brat el New York Mellon
CoPontim (MY Melba)
Penn.'s MC. rnerrte. Filatagtiterat
00047686
DB-SDNY-0010510
EF1'A_00158295
EFTA01290323
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Transactions by Type of Activity (continued)
Process
SeWerner!
Dote
Adhely Type
December 1, 2017 - December 31,2017
JEEPERS INC
Description
Total Value of Transactions
The price and quantity displayed may have been rounded.
Client Service Information
Gummy
Price
Accrued !stunt
Amount ()mem
0.00
1,452.76 USD
Your InvestmentSeediest:DU
Contact rolormstion
JOSHUA SHOSHAN
280 PARK AVE- 3RD FL
NEW YORK
NY 10017
Your Account Information
Telephone Number:
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual Funds:
First in First Out
Default Method for Stocks in a Dividend Reinvestment Plan:
First in First Out
Default Method for all Other Securities:
First In First Out
BOND AMORTIZATION ELECTIONS
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types:
Constant Yield Method
include market discount in income annually:
No
ELECTRONIC DELIVERY
You have not selected any account corn mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e)
AO 100 C
270CSF3
O
0025
NFIDO.
AL-
Page 7 of 9
Rated Cictart
Every Yea, Since2007
OMAR RA TED COMMUNCATIONS
EXCIAL CNC(
Owing tiwough Penting PIC • sadly wooed
subsidiary
The Bonita New York Make
Ompontim (MY Mellon)
Penh.** LIX. 'sent. FildtkfickneLGM_00047687
DB-SDNY-0010511
EFTA_00158296
EFTA01290324
Important Information and Disclosures
The Role of Pershing
•
Pershing carries your account asclearing 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,
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 coml 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.
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 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 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
( Ill) 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.
Page S of 9
A01006/C5N5FID
0
CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e)
L
IIMeamearnt
(my Vox Sine M07
DAIJAR WED COMMUNICATIONS
(XCOAD.C(
Oaring Sae. hakes LLC, a wbolly armed
subsidiary as
WS of New VO4 Mellon
Pentw,
Ceeponthal (SPO' Mellon)
C, 'newt,
ANIY4jeLGM_0004 7688
DB-SDNY-00 10512
EFTA_D0 158297
EFTA01290325
TERMS AND CONDITIONS
TRANSACTIONS
• ALL ORDERS AND TRANSACTIONS SHALL SE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. F ANY. WHERE
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS.
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN
WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT
DATE. WHICHEVER IS LATER.
• YOU MAY HAVE RECEIVED COWRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR
STATEMENT. IF SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH
TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT.
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE
FROM TIME TO TME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES.
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR
NSPECTION UPON REQUEST.
TAX INFORMATION
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL
PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMATION STATEMENT TO YOU: USE THAT
STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL
INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS.
• DWDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED
AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
AF.F.nrIATEID WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO
DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ARE INDEBTED TO PERSHING LLC ('PERSHING') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOLIT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU.
• WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
• PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER,
BLOCK POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
• IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS
AVAILABLE UPON REQUEST.
• A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT
PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
VIEW IT ONLINE AT WWW.PERSHING.COM.
• FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING COINDISCLOSURES
• THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATOR NMS-
RULE 607(A)(1)4211
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS ANC/ FEES ARE AVAILABLE UPON
WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION
ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL.
COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
BEST OCECIMON: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN
THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED
MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY
CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH
QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROME
OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY
REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
NNW THE ROVE TERMS AND CCNOITONS ARE UNACCEPTABLE TO YOU, PLEASE MOTET PERON° IISNEDIATELY IN WRITING
CERTFED INK TO ONE PERRINO PLATA JERSEY CITY. NJ OM. ATM LEGAL DEPT
A0100650KI 5F ID
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
L
Rated ht
Every TN Orme 2007
DAISM RAI ED COMNiuNICATIONS
EXCMENC
Page 9 of 9
Oaring Away. Pelbeg LLC, a .1,01y owned
NINON a The ON a New York Mellon
Copmothm (NY Man)
Pent, LLC nrerter EllatAckklYteM_00047689
DB-SDNY-00 10513
EFTA_00 158298
EFTA01290326
Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
JEEPERS INC
6100 RED HOOK QUARTER B3
ST THOM AS VI 00802
Otutwhe ROM Pthain N,a11, MlnOtemen
mans (wen .< (+oar
Drenthe Wit Setwities Mc.
Mw TEO Pince
3.43. Pot Ater... MO, MCI
New Yob, NY MIS4
avec
Novem ber t 2017 - November 30,2017
Account Number:
Portfolio at a Glance
Mended
Teat-la•Date
Y our Investment Specialist
BEGINNINGACCOUNT VALUE
33,238,417.02
$3,149,809 19
JOSHUA SHOSHAN
Belfast' Deposits and Withdrawals
0.00
31.276 11
Adjusted Previous Account Value
3,238,417.02
3,181,085 30
Dividends, Interest and Other Income
7,069.43
67,963 68
Net Chan
in Portfolio)
-9.104.32
-12.676.85
$3,236,312.13
33,238,312.13
Estimated Annual Income
517.817 92
1 Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Asset Summary
Percent
Awl Type
PrIwYswais
LW Period
This Period
47%
Cash, M oney Funds, and Bank Deposits
1,479,787.72
1.520.165.19
1,621,384.75
fl
53%
Mutual Funds
1,870,021.47
1)18,261.83
1,714,987.38
100%
Account Total (Pie Chart)
$3,149,809.19
33,238,417.02
$3.236,372.13
Please review your allocation periodically with your Investment Specialist.
Page 1 of 8
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
AO 0994 12CSF300 18
CONFID
AL-
bud [Min
&ay Ite• since 1007
DAUM MUD COMMIJNICATONS
EXCUISCE
Oaring throw* habit(
Ilt. a array owned
subsidiary el Ilwa Sank of New York Mellon
CA•Pontim (MY Maw)
Penh... 11C. nwrter Filitalikkaat
00047690
DB-SDNY-0010514
EFTA_00158299
EFTA01290327
Summary of Gains and Losses
Realized
ThisPeriod
YeakcoDale
UsteAzad
Short-Term Gain! Loss
0.00
9.00
-359.93
Long-Term Gain! Loss
0.00
9.00
-111A44.94
Net Gain! Loss
0.90
0.00
-111,804.87
This summary excludes transactions where cost basis information is not available
—or Your Information
The European Central Bank (the ECB' ) and other credit institutions Introduced' negatNe 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 104 2 S These rates are subject to change in response to market changes. and we may. in the
future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances.
Money Market Fund Detail
Date
AdIvIly Type
Description
Amount
1.520.165.19
1,219.56
Balance
Sweep Money Market Fund
DEUTSCHEGOVT CASH INSTL
Current Yield: 0.99% Activity Ending: 11/30/ 17
11101117
Opening Balance
11130/17
Deposit
IN COM E REINVEST
1,520,165.19
1,521,384.75
11/30/17
Closing Balance
11,521,384.75
Total All Money Market Funds
$1,521,384.75
Income and Expense Summary
Texan
Current Pedal
Non Tenable
WAN
TetteeDde
Non Taxable
Dividend Income
Money Market
Other Dividends
1,219.56
5,839.87
0.00
0.00
10,320.92
57,642.76
0.00
0.00
Total Dividends, Interest. Income and Expenses
57.059.43
$0.00
567,963.68
50.00
Page 2 of 8
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
A0099412CSF30018
CONFIDO.
AL-
Ratedhearnt
EmmyvemS4K.2007
DAUMRRAMDCOAVAUNCATICN5
EXCUMNa
Owing Swab Ambit. PIC. • %AA. owned
subsidiary SIM Bonita New York Melba
Cannatim (MY Mellon)
POnhal; uE.jtwebe. FIIIRAUttearltet00047691
DB-SDNY-0010515
EFTA_00158300
EFTA01290328
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings
ovem ber 1,2017 - November 30, 2017
EEPERS INC
Accent
AdMly
Opening
Closing
Accrued
Income
30-Day
Ontimt
Opening Date
Quantity
Number
Ending
Biwa
Mime
Income
ThisYeat
VW
Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 47.00% of Portfolio
Money Market
DEUTSCHE GOVT CASH Ilan
11101/11
1,521,384.750
WA
11130117
1,520,165.19
1,521,384.75
0.00
10,32912
0.97%
099%
Total Money Market
$1,520,165.19
$1,521,381.75
$0.00
$10,320.92
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS
$1,520,165.19
$1,521,384.75
$0.00
$10,320.92
Dale Acquired
Quantity
Unit Out
Cod Beds
Mute l Price
Ilaiket Value
Unrealized
Gain' loss
Estimated Estimated
Annual income
Yield
MUTUAL FUNDS 53.00% of Portfolio
Al ORGAN FLOATINGRATEINCOMEFUND
CLASS'
Open End Fund
Dividend Option: Reim:A; Capilal Gains °pilot Reinvest
Security Identifier:YRS%
CUSP. 482111
02113/13 4
148,957.299
10.0700
1,500,000.00
9.3800
1,391,219.46
102380.54
54,990.56
3.93%
03101/13 0
533.047
10.0600
5,362.46
9.3800
4,999.98
-362.48
116.78
313%
04/01/13 °
591.454
10.1100
5,979.61
9.3800
5,547.85
431.16
218.35
3.93%
05/01/13 0
562.992
10.1300
5,703.11
9.3800
5,280.86
-422.25
207.84
3 93%
06/03/13 r3
567.343
10.0900
5,724.50
9.3800
5,321.67
402.83
209.45
3.93%
07101/13 0
500.501
99700
4,990.00
9.3800
4.894.89
-295.31
184.77
3.93%
08101/13 *
527.827
10.0600
5,309.94
9.3800
4,951.01
458.93
194.86
3.93%
09/03/13 0
531.248
10.0300
5,328.42
9.3800
4,983.10
445.32
196.12
3.93%
Reinvestments to Date
30,082.784
9.5930
288,394.21
9.3800
281.988.76
4,405.45
11,098.27
3.93%
Total Covered
182,834.476
1,826,792.25
1,714,981.38
111,804.87
67,497.00
Total
182 834.475
$14326.792 25
$1.714,987.38
4111,804.87
$67,497.00
TOTAL MUTUAL RADS
$1426,792 25
$1.714,987.38
-$111,804.87
$67,497.00
resilzed
Atoned
Estimated
Cosi Basis
Nadel Value
MAW Logi
Interest
Annual Income
TOTAL PORTFOLIO HOLDINGS
$3,348,177.00
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
$3,236,372.13
4111,804.87
50 .00
$77,817.92
Page 3 of 8
A0099412CSF30018
CON F
AL-
Rosana/6rd
Every Yew Shwa 2007
DALJAR MUD COMMUMCATICMS
EX( ULM (
Owing Salem Penton Lit. • %Molly owned
subpolar/ of The Soaks New York Melina
Onnownthm (MY Melon)
Pentwe 11C. meet., ,,,,FLAMAkruott00047692
DB-SDNY-0010516
EFTA_00158301
EFTA01290329
Portfolio Holdings (continued) H
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 V99-8 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 covered. However, if the account does not receive a 10998, the cost
basis will not be reported to the IRS.
13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
P rtfolio Holdings Disclosjres
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT 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.comf 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 M utuat 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 will not exceed the highest interbank conversion rate
identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial
organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, Incurred a charge, or
received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 4 of 8
A0099412CSF30018
CON F I DO.
AL-
Rated (Kant
Levy Vex Since 2007
DAUM WED COMMUMCATIONS
LAC CEL NC(
Owing through Posing E.C. • Ma* owned
subsidiady albs DEMO New York Mellon
Capoestim(MV Melon)
Penh...x11C. ,,rote,filiaiAWYDPA 00047690
DB-SDNY-0010517
EFTA_00158302
EFTA01290330
151 Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
November t 2017 - November 30,2017
SOS
INC
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 $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 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Please note the following information for Pershing's 2017 Form 1099 tax statement (1099). The 1099 includes IRS1099 Form B, DIV. INT. OID and M ISC. Your 1099 will be delivered
as early as possible. beginning January 31 2018. By February 15. you will be mailed either your 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. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099
will be mailed no later than M arch 15,20
2018. For more information please visit mytaxhandbook.com.
M UNICIPAL SECURITIES RULEM AKINS 80A ROO(M SRB®)
INVESTOR EDUCATION AND PROTECTION
An investor brochure that describes the protections available under M SRS rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on
the MSR8website, msrb.org.
Pershing LLC is registered with the Securities and Exchange Commission (SEC). M SRB. FINRA. and NYSE
Activity Summary ?Ai , amour's
n are.n oase-“,- -1)
DebkeThisPeriod
Net ThisPeriod
*edits Year4o4ate
DebiteYear4o.Date
Net Year-to-Date
Credits ThisPeriod
Securities
Securities Bought
0.00
4,839.87
5.839.87
0.00
47.642.76
37.642.76
Total Securities
$0.00
45.839 87
45,839 87
$0.00
457.642.76
457.642.76
Dividends and Interest
$7,059.43
$0.00
$7,059.43
$67.963.68
$0.00
$67,963.68
Cash
Withdrawals
0.00
0 00
0 00
0.00
48.853.96
-56.853.98
Deposits
0.00
0.00
0.00
88,130.07
0.00
88,130.07
Total Cash
$0.00
$000
$0.00
$88,130.07
456,853.96
$31,276.11
Totals
$7.059.43
45,839 87
$1.219.56
$156.093.75
4114.496.72
$41,597.03
Page 5 of 8
AO 099,
Co
i
°fl
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DaFIDO
L
Reed hafted
Every Year Shea 2007
DAYMR RATED C0MMACATI066
EXCISING
Owing Uteud. Pathan. LLC, a wholly owned
subpolar/011n en of New York Mellon
Cmyerathm (MY Melon)
PanhrxeuCaente FilduARYYuLem_00°47694
DB-SDNY-00 10518
EFTA_00 158303
EFTA01290331
Transactions by Type of Activity
Noose
Settlement
Dote
Adivily Type
Deossiction
Quantity
Price
Moved Interest
Moot Currency
Securities Bought and Sold
11729117
REINVESTCASHINCONE
-MORGAN FLOATING RATE INCOME RIND CUSS I 17/1L2230
623.252
4,83917
USD
.PHSX
SHRSSHRSFURCH.AT 89.3/000 RD 1127 PD1/29/17
Total Securities Bought and Sold -U.S. DOLLARS
0.00
-5,839.87
Dividends and Interest
11129/17
CABIDIVIDEND RECBTED
"DORGAN FLOATING RATE INCOME RIND CLASS1 822112230
5139 87
USD
RIISX
SHNSFID 1127 PD 112907
11130/17
MONEY MARKET FUND
DEUTSCHE GO VT CASH
1219.56
USD
INCOME RECBVED
PER232045
Total Dividends and Interest - U.S. DOLLARS
0.00
7,059.43
Total Value of Transactions
0.00
1,219.56 USD
The priceand quantity displayed may have been rounded.
Client Service Information
Your Investment Specialig. ENJ
Contad Information
JOSHUA SHOSHAN
Telephone Number:
280 PARK AVE- 3RD FL
NEW YORK
NY 13017
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default M ethod for M utual Funds:
First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan:
First In First Out
Default Method for all Other Securities:
First In First Out
BOND AMORTIZATION ELECTIONS
Amortize prom ium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types:
Constant Yield Method
Include market discount in income annually:
No
ELECTRONIC DELIVERY
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist (or more information.
Page 6 of 8
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
A0 0994 12CSF30 0 18
CONFIDO.
AL-
Rated Cacellent
Every Yew Shwa 2007
DAYAlt RAID C0MMUNICATICNS
EXCLUDICI
Owing tinge. ',enlists TIC. • wholly owned
subsidiary .Lae Bonita New York Melba
Calwatim (MY Mellon)
Penne.* LIX. 'sent. Filitata
00041695
DB-SDNY-0010519
EFTA_00158304
EFTA01290332
Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
Important I nf or mat ion and Disci sores
ovem ber 1,2017 - November 30,2017
EEPERS INC
The Role of Pershing
•
Pershing carries your account es 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 (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
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 LLO 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 documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the
panel at least 20 days prior to the first scheduled hearing date.
•
The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry.
•
The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court.
•
The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement.
Important Arbitration Agreement
Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class
action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative
class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 7 of 8
A0099412CSF30018
CONFIDO.
AL-
Rated Etcaornt
Every Vex Since 2007
OMAR RA1ED CONVOCATIONS
EXCIAL CNC(
Owing tlwonsh Peaking PIC a wholly owned
subsidiary el Ille Sank of New York Mellon
CAnnatim (MY Mellen)
Pe,,tw, 11e...tertee filiFlateaat
00047696
DB-SDNY-0010520
EFTA_00158305
EFTA01290333
Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(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.
Page 3 of 3
A009952conoKiF ID
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
L
bled Excellent
Oaring MenemPining M. a wholly owned
Every Vex Since 2007
subjoin, el Th eWS of New York Mellon
DALIAR WED COMMANICATICttS
Cenneatine (OW Mellon) nm
EXCELLENCE
Proven LLC. newt., FiliRAAWASA- 0004 7697
DB-SDNY-00 10521
EFTA_00 158306
EFTA01290334
15 I Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
JEEPERS INC
6100 RED HOOK QUARTER B3
ST THOM AS VI 00802
DeutHhe
Na, In 14...mgelner4
Menet, Cenral< 6104
Oreiche Unit Se:u. itei tic
'kW Yeti C4ke
34$ P4(1 Avenue. MS1'401
Nom 'kik Mt 10154
Tell give MI 1111, 40:
Direct
October 1.2017 -
ctober 31 2017
Account Number
Portfolio at a Glance
Thishrlod
Yew4o-Dele
your Investment Specialist
BEGINNINGACCOUNT VALUE
JOSHUA SHOSHAN
Net Cash Deposits and Withdrawals
$3,186,774.87
41,276.11
$3,149,809.19
31,278.11
Adjusted Previous Account Value
3,228,050.98
3,181,085.30
Dividends. Merest and Other Income
6,733.54
80,904.25
Net Change in Portfolio'
3.632 50
-3.572,53
ENO INGACCOUNT VALUE
$3,238,417.02
$3,238,417.02
Estimated Annual Income
575.994 74
' Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Asset Summary
Asset Type
PrlorYnarad
Lae Period
Ids Period
Permit
47%
53%
Cash, Money Funds, and Bank Deposits
M utual Funds
1,479,787.72
1,870,021.47
1,477,878.77
1,709,098.10
1,520,165.19
1,718,251.83
100%
Account Total (Pie Chart)
Please review your allocation periodically with your Investment Specialist.
$3,149,809.19
$3,188,774.87
$3,238,417.02
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
Page 1 of 8
A0101343CSF30020
CONFIDO.
AL-
Rated blast
Every Yes Since 2007
DALJAR too> C0MMUNCATIMS
EXCULENCC
Ow& Swish Mtn Ilt. • Sally owned
MlaNwya The Santa New York Melba
Cerintatim Mr Melon)
Penhesit I.V.Ireterter FiusaXYLITaxest000smos
DB-SDNY-0010522
EFTA_00158307
EFTA01290335
Summary of Gains and Losses
Reeked
Mt Period
Yetto•Dale
Untested
Short-Term Gain! Loss
0.00
0.00
-19.03
Long-Term Gain! Loss
0.00
0.00
402,881.52
Net Gain! Loss
0.00
0.00
-102,700.55
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 10 99 and/ or 10 42 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
Delo
AdIvIly Type
Desalpllon
Amount
Balance
Sweep Money Market Fund
DOJTSCHEGOVT CASH INSTL
Current Yield: 0.95% Activity Ending: 10131/ 17
09130/17
Opening Balance
1.477.678.77
1,477,678.77
10/10/17
Deposit
MONEY FUND PURCHASE
41276.11
1,518,954.86
10131117
Deposit
INCOM EREDIVEST
1,210.31
1,520,165.19
10131/17
Closing Balance
$1,520,165.10
Total All Money Market Funds
$1,520,165.19
Income and Expense Summary
Cuttenl Period
Yeat.lo-DSe
Tootle
Non Toot*
Taxable
Hon Taxable
Dividend Income
Money Market
1,210.31
0.00
9,101.36
0.00
Other Dividends
5,523.23
0.00
51,802.89
0.00
Total Dividends, Interest, Income and Expenses
66.733.54
$0.00
$60,904.25
$0.00
Page 2 of 8
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
AO 10 134 3CSF30 0 2 0
CONFIDO.
AL-
Rated C.caent
Every Vex Sac. 2007
OMAR RATED CONVOCATIONS
Exail CNC t
Owing IMO Patti UC. • Whet MVOS
subsidiary albs Bonita New York Melba
CciPontim (MY Maw)
Penhe. utirwrte FititaliklYIELGM_00047699
DB-SDNY-0010523
EFTA_00158308
EFTA01290336
Deutsche Bank
P.O.Box 1 7 76, Baltimore, MD 21203
Portfolio Holdings
October 1,2017 - October 31,2017
JEEPESIN C
Amount
Manly
Opening
Cooing
Accrued
Income
30 -ply
DJtrent
Opening Dale
Ottantily
Prober
&Ming
Bsmce
Balance
income
ploYeat
Yield
Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 47.00% of Portfolio
Money M arket
DEUTSCHE GOVT CASH INTL
0B/30/I7
1,520,165.190
WA
10/31/17
1,477,678.77
1,520,165.19
0.00
9,101.36
0.94%
095%
Total Money Market
91,477,678.77
$1,520,165.19
$0.00
$9,101.36
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS
51,477,678.77
$1,520,165.19
30.00
$9,101.36
Unrealized
Estimated Estimated
Date Acquired
Onontly
UP Cat
Cs Bub
Merkel Price
Market Vise
Gallo loss
Annual Income
Yield
MUTUAL FUNDS 5 3.0 0% of Portfolio
Al ORGAN FLOATING RATE INCOME RIND
CLASS I
Open End Fund
Dividend Option: Reinvest; Capital Gains DOH: Reinvest
Security Identifier: JP1ISX
CUSIP. 482t517
02/13/13 0
118,957.299
10.0700
1,500,000.00
9.4300
1,401,667.33
45,332.67
51,685.20
3.89%
03101/13 0
533.047
10.0600
5.36246
9.4300
5.026.63
-335.83
195.69
3.89%
04/01/13 °
591.454
10.1100
5,919.61
9.4300
5,577.41
402.20
217.13
3.89%
05/01/13 0
562.992
10.1300
5,703.11
9.4300
5.309.02
-394.09
206.69
3 89%
06/03/13 0
567.343
10.0900
5,724.50
9.4300
5,350.05
474.45
208.28
3.89%
07101/13 0
500.501
99700
4,990.00
9.4300
4,719.73
-270.27
183.74
3 89%
06/01/13 0
527.827
10.0600
5,309.94
9.4300
4,977.41
432.53
193.78
3.89%
09/03/13 0
531.248
10.0300
5,328.42
9.4300
5,009.67
418.75
195.03
3.89%
Reinvestments to Date
29,439.512
9.5980
282,554.34
9.4300
277,614.58
-4,939.76
10.807.64
3.89%
Total Covered
182,211.223
1,820,952.38
1,718,251.83
,102,700.55
66,893.38
Total
182,211 223
$1,820,952.38
$1,718,251.83
4102,700.55
$66,893.38
TOTAL MUTUAL FUNDS
$1,820,952.38
$1,718,251.83
4102,700.55
866,893.38
Wreaked
Accrued
Estimated
Cod Bea
Merkel Value
GainrLow
Interest
Annual Mcome
TOTAL PORTFOLIO HOLDINGS
$3,341,117.57
83,238,417.02
4102,700.55
$0.00
$75,994.74
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
Page 3 of 8
AO 101343CSF30020
CONFIDO.
AL-
RattaKelint
Every Vex Since 2007
DAIJAR WED COMMUNCATIONS
E%CULDCI
cow tinge,. Penton. lit. a Slay craned
subsidiary el The Santa New York Mete
Ccinaatim (MY Meta)
Pente. U.C. 'newt*, FititalptlYEEPM_00047700
DB-SDNY-0010524
EFTA_00158309
EFTA01290337
portfolio Holdings (continued)
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 :1399-8 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 covered. However, if the account does not receive a 10998, the cost
basis will not be reported to the IRS.
The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
Portfolio Holdings Disclosures
Pricing
This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market
prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ
from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total.
THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT 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 com puted 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.comf 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 prom ptly upon your written request directed to your introducing firm. In order to assist your introducing lirm 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 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 Si, 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.
Page 4 of 8
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
A0101343CSF30020
CONFIDO.
AL-
Rated EacaNnt
Every Vex Since 2007
DALBAR RATED CONVOCATIONS
EXCIA
t
Owing IMO, Peaking Ilt. a web craned
smaller/ as
&onkel New York Mellon
Ccnaatim (MY meta)
Peen. LK ...wt.., FiliRAVSEPM_00047701
DB-SDNY-0010525
EFTA_00158310
EFTA01290338
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
October 1,2017 - October 31,2017
JEEPERS INC
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
M UNICIPAL SECURITIES RULEM AKING BOARDO(M SRB®)
INVESTOR EDUCATION AND PROTECTION
An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on
the MSRBwebsite, msrb.org.
Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB. F1NRA. and NYSE
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 10b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary l.11r amoun-ssnonn avert, riase.urr,
CreditsThisPeriod
Debits ThisPerkid
Net %%Period
CreditsYeardotiste
DebitsTeerdoate
Net Yew-to-We
Securities
Securities Bought
0.00
.5,523.23
4,523.23
0.00
41,802.89
11,802.89
Total Securities
$0.00
45,523.23
$5,523.23
$0.00
451,802.89
451,802.89
Dividends and Interest
$6.73354
$0.00
$6,733.54
$60,904 25
$0.00
$60.904.25
Cash
Withdrawals
0.00
0.00
0.00
0.00
46.853.96
46,853.96
Deposits
41276.11
0.00
41.276 11
88.130 07
0.00
08.130.07
Total Cash
$41,276.11
$0.00
$41,276.11
$88.130.07
456.853.96
$31,276.11
Totals
$48.009.65
-$5,523.23
$42.486.42
$149,034.32
$108,656.85
$40,377.47
AO E136C$6301I4F ID
CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. 6(e)
L
Raid heard
Every Year Since 2007
DALIMA RATED COMMUNICATICOS
EXCLUDICt
Page 5 of 8,
Owing iThel habeg LLC, a wholly armed
subscharft of The UM, of New Yeti; Mellon
Comonthm (MY Mellon)
Penne. LK. nverrter EitiRnAckklY‘SIM_0004 7702
DB-SDNY-00 10526
EFTA_OO1583 I I
EFTA01290339
Transactions by Type of Activity
Process/
Settlement
Date
Adhrity Type
Desolation
Quantity
Prim
Annindieteret1
Amount Coming
Securities Bought and Sold
10/30117
REINVESTCAS1INCOME
PMORGAN FLOATING RATE INCOME FUND CLASS I 11E25.540
585.708
.PHSX
SHRSSHRSIRJRCH.AT 59.43000 RD 10/26 PD D/30/fi
4,523.23
USO
Total Securities Bought and Sold -U.S. DOLLARS
0.00
4,523.23
Dividends and Interest
10130/17
CASH DIVIDEND RECBVED
"MORGAN FLOATING RATE INCOME FUND CLASS I 11E25 5/60
5,523.23 UW
1/ISX
SIRS RD 1)126 PO 111301V
10131/17
MONEY MARKET FUND
DEUTSCHEGOUT CASH
1,210.31
USD
INCOMERC-COVET;
PER2320 4 5
Total Dividends and Interest - U.S. DOLLARS
0.00
6,733.54
Cash Withdrawals and Deposits
10106/17
FEDERAL FUNDS REPAIVED
BANK OF AMERICA NA. 3998
41,276.11
USO
USDAG0997
Total Cash Withdrawals and Deposits - U S. DOLLARS
0.00
41,276.11
Total Value of Transactions
0.00
42,486.42 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment SacialitENJ
Contad Information
JOSHUA SHOSHAN
280 PARK AVE- 3RD FL
NEW YORK
NY 1:1017
Your Account Information
Telephone Number:
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds:
Default Method for Stocks in a Dividend Reinvestment Plan:
Default Method for all Other Securities:
BOND AMORTIZATION ELECTIONS
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:
First In First Out
First In First Out
First In First Out
Yes
Constant Yield Method
No
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 6 of 8
A0101343CSF30020
CONFIDO.
Rated bale.
Every Yee Sea 2007
DAIJAR WED C0MMUNICATICNS
MIMI:NC(
Owing Omsk ',mks'. PIC. • wildly owned
subsidiary ally/ Bonita New York Maori
CASs
(OW Meta)
Penn.'s 4G
Filditatter-
4 .4_00047703
DB-SDNY-0010527
EFTA 00158312
EFTA01290340
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Your Account I nfOr Mat n (c ntInued)
11.11
1
October 1,2017 - October 31,2017
JEEPERS INC
ELECTRONIC DELIVERY
You have not selected any account corn munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist for more information.
Important Inf
n and Discl 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 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 (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.comr 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 shoutd 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 LW, 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 documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings.
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a 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.
Page 7 of 8
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
A0101343CON
SF30020
C
FIDO.
AL-
Mad hair*
Every Yew Since2007
DAUMRATED COMMLNICAllONS
EXCWINCE
Owing tlwongli ',enlists PIC a Sally owned
subsidiary aT e Bonita New York Melba
Cc•Pontim (MY Meta)
Penne. MC. rnerwarc FilitatAteaPit
00047704
DB-SDNY-0010526
EFTA_00158313
EFTA01290341
Important Information and Disclosures (continued)
Important Arbitration Disclosures (continued)
•
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 w ho 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.
Page a of 8
A010136CS630
1IF ID
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
L
Rated Emelent
Oaring Sae. holing LI.C, a wholly owned
Every Vest Since 2007
subsidiary Mlles &onkel New V.
Mellon
DAMMI WED COMMUMCATICOM
Concerti:a (MY Mellon)
n
.
aal LEW t
Vents 4C. nowt.. F
YU:PIO-0004 7705
DEt-SDNY-00 10529
EFTA_00158314
EFTA01290342
15 I Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
JEEPERS INC
6 10 0 RED HOOK QUARTER B3
ST THOM ASVI 00802
Otryttake Sank Pervade Plealak Msnapemen
WHIM COValit Word
OPMIChe Uri SO:Vain •C..
(kw Yeti MOS
HS Park Ammo. MO, raor
Now Yyrk. NY 10114
Pa Prat SSP 1.124935
Dirac;
Septem ber 1,2017 -
temb r30,2017
Account Number:
Portfolio at a Glance
Thierriod
Yeeto-Dete
Your Investment Specialist
BEGINNINGACCOUNT VALUE
$3,180,635.38
$3,149,809.19
JOSHUA SHOSHAN
Net Casb Deposits and Withdrawals
0.00
-10,000.00
Adjusted Previous Account Value
3,180,835.38
3,139,809.19
Oividends. Merest artd Other Income
6,139.49
54,170.71
Net Change in Portfolio'
0.00
-7,205.03
EN DINGACCOUNT VAS
$3.186,774.87
$3,186,774.81
Estimated Annul Income
575.766 32
Asset Summary
I Net Change in Portfolio is the difference between the ending account value and
beginning account value after act wty
Permit
Meet Type
RIM Year-End
Lest Period
ThisPeriod
48%
Cash, Money Funds, and Bank Deposits
1,479,787.72
1,478,548.32
1,477,878.77
54%
Mutual Funds
1,870,021.47
1,704,087.06
1,709,098.10
100%
Account Total (Pie Chart)
$3,149,809.19
$3,180,635.38
$3,186,774.87
Pt
iew your allocation periodically with your Investment Specialist.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page lof9
CONFIDE
AL-
Rated Eactlknl
Envy Yew Saw 2O0/
DAMN MILD COMMUNICATIONS
EC DANCE
Cle.ving Ilveugh Penliiillt a tly
sad
subsidiary of the ignitor New York Magi,
Corm-Ann (MY Mellon)
Penh:n*11C nwitie FitinSagyagit000477ae
DB-SDNY-0010530
EFTA_00158315
EFTA01290343
Summary of Gains and Losses
Meted
Min Period
YettesDale
Unrealized
Short-Term Gain! Loss
0.00
0.00
-153.04
Long-Term Gain! Loss
0.00
0.00
-106,180.01
Net Gain! Loss
0.00
0.00
-106,333.05
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 10 42 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
Dote
AelivNy Type
Sweep Money Market Fund
DEUTSCHEGOVT CASH INSTL
Current Yield: 0.93% Activity Ending:09/ 29! 17
09101/17
Opening Balance
1,416,548.32
1,4/6,548.32
09/29/17
Deposit
INCOM E REINVEST
1,130.45
1,4/7,678.77
0929117
Closing Balance
$1,477,678.77
Total All Money Market Funds
$1,477,678.77
Description
Amount
Silence
Income and Expense Summary
Onset Pedal
Ttestle
Non Taal,
TetteeDele
Texan
Non Taxable
Dividend Income
Money Market
1,130.45
0.00
7,891.05
0.00
Other Dividends
5,009.04
0.00
46,279.66
0.00
Total Dividends, Interest. Income and Expenses
$6,139.49
$0.00
$54,170.71
$0.00
CONFIDENTAL - PURSUANT TO FED. R CRIM. P. 6(e)
Page 2 of 9
CONFID
L-
listed bedlam
hers Yea Since 200'
DALIARISAIEO COIAMLIPICAT 1066
ocaurece
Clewing Inty, Penning MC • Salesmen
subsiding el the (flee Pim York /Seiko
Commas% CON Mellon)
Pens:* 11C..neYmbei IlisskalaiYaGIA 00007707
DB-SDNY-0010531
EFTA_OO158316
EFTA01290344
Deutsche Bank
P.O.Box 1 7 76, Baltimore, MD 21203
Portfolio Holdings
Opening Dale
Wordily
Number
&Ong
CASH, MONEY FUNDS, AND BANK DEPOSITS 46.0 0% of Portfolio
Money Market
OEUTSCHE GOVT CASH INSTL
09/011I7
1,477,878170
NIA
09729/17
1,476,548.32
1,477,878.77
37.84
7,891.05
Total Money Market
81,476,548.32
$1,477,678.77
$37.84
87,891.05
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS
$1,476,548.32
81,477,678.77
$37.64
$7,891.05
Unrealized
Dote Acquired
NNW
Wit Ceit
Cost Bads
Merkel Price
Market Valve
Gainless
MUTUAL FUNDS 54.00% of Portfolio
Al ORGAN FLOATING RATE INCOME RIND
Security Identifier: SHSX
CLASS I
CUSP. 4812t51)
Open End Fund
Dividend Option: Reinvest Capilal Gains DOH: Reinvest
02113/13 °
118,957.299
10.0700
1,500,000.00
9.4100
1,101,688.18
.98,311.82
55,666.83
397%
03101113°
533.047
10.0600
5,362.46
9.4100
5,015.97
446.49
199.21
397%
04/01/13 °
591.454
10.1100
5,979.61
9.4100
5,565.59
414.02
221.03
3.97%
05/01/13 0
562992
10.1300
5,703.11
9.4100
5,29735
405.36
210.40
3 97%
06103/13 a
567.343
10.0900
5,724.50
9.4100
5,33810
485.80
=
3.97%
07101/13 0
500.501
99700
4,990.00
9.4100
1309.72
-280.28
187.04
3.97%
08101/13 *
527.827
10.0600
5,309.94
9.4100
4.966.86
-343.08
197.25
3.97%
09103/13 *
531.248
10.0300
5,328.42
9.4100
1,999.01
-329.38
198.53
3.97%
Reinvestments to Date
28,853.801
9.6010
277,031.11
9.4100
271,514.29
5,516.82
10.78496
3,97%
Total Covered
181,625.515
1,815,429.15
1,709,096.10
-106,333.05
67,876.27
Total
181,625.515
$1,815,429.15
41,709,096.10
4106,333 05
$67,87527
TOTAL M UTUAL FUNDS
$1,815,429.15
$1,709,096.10
4106,333 05
567,875 27
Unrealized
Acceued
Estimated
Cost WI
Markel Value
Gain, Loss
Interest
Annual income
September 1, 2017 - September 30, 2017
JEEPERS INC
Account
Activity
09•169
Closing
acaued
boas
30-Day
tarreet
Nance
Balance
Income
Meant
Yield
Yield
0.93%
093%
Eslimaied Estimated
Annual Income
Yield
TOTAL PORTFOLIO HOLDINGS
33,293,107.92
$3,186,774.87
4106,333.05
30.00
375,786.32
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1386, as amended
("UM') (incorporating amendments enacted by P.L.110 -34 3, the Ern ergency Economic Stabilization Act of 20 0 8) and are, therefore, considered 'noncovered," under the new cost basis
reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are
Page 3 of 9
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
CONFID
L-A
Rated Capital
Envy Yea Sax 2007
DALIARRAILD COMMUNICATIONS
OCCIUDOCE
Cle.ving Ilveugh Pea.' MC • Sally sad
subsidiary of the Smite New York MeNon
Corm-Ann CONY Mellon)
Pero:ft11C. membe fillakievit00047708
DB-SDNY-0010532
EFTA_00158317
EFTA01290345
Portfolio Holdings (continued)
"covered* under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)" at which they
are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRSon form 1099-B for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows.
•
Stock in a corporation acquired on or after January 1 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or alter January 1, 20 Q
•
Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014
t3 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of Misinformation.
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. 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 PRICEDATEONLY APPEARSW 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.
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.
Page 4 of 9
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDOI
••••••
RAS builem
Envy Yew Smut 2O0'
['ALMA MILD COMMUNICATIONS
EC DANCE
CIeeW IlveughPerginglAC. Stay owned
sutnidlay of the Sank of New York Mellon
Commit'', (MY Mace)
Pectin LLC nwmte filiRAUWYMPM_00047709
DB-SDNY-OO 1O533
EFTA_OO1583IS
EFTA01290346
15 I Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
September 1,2017 - September 30,2017
JEEPERS INC
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
Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing). a BNY Mellon company, provides individual investors with certain financial information on a semi-annual
basis.
Pershing's June Statement of Financial Condition is now available. On June 30, 2017, Pershing's net capital of 52 28 billion was 13 79% of aggregate debit balances and exceeded the
minimum requirements by $1.95 billion.
Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance w ith this requirement, note that on July 31. 2017. Pershing's net
capital of S2.47 billion was 15.12% of aggregate debit balances and exceeded the minimum requirement by S2.14 billion.
A copy of the June 30, 2017, Statement of Financial Condition is available at pershing.com/ statement_of_financial_condition.html. You may also request a free, printed copy by calling
(888) 860-8510 or (201) 413-4200. option 5.
The U.S. adopted a shortened settlement timeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving
from a T+3 to a T+2 settlement cycle provides faster access to sale proceeds, but it also means that funds are due on purchase transactions earlier. This may be a good time to
consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up
e-delivery.
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 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary (An amounts sno,%n are ,n case ,,urren...y)
Credits TNe Period
Debits ThisPeited
Net tbisPerioa
Credits Yesi4o•Oete
Debits Yesrecitiste
Net Yeer•to•Date
Securities
Securities Bought
0.00
.5,009 04
4,009 04
0.00
46,279 66
46.279.66
Total Securities
$0.00
45.009.04
45,009.04
$0.00
446,279.68
446.279 66
Dividends and Interest
$6,139.49
$0.00
$6,139.49
$54,170.71
$0.00
$54.170.71
Page 5 of 9
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOIWAL
••••••
PAS Ended
Every You Saxe 20O'
['ALMA MILD COP.WAiniCATIONS
ECDAME
CleatinglIveughPerginglAC. Stay owned
sublidlay Oft Sank of New York Mellon
Commit'', (MY Meta)
Pensna
match !URA c".kiel.i,em_00047710
DB-SDNY-00 10534
EFTA_00158319
EFTA01290347
Activity Summary (continued)
Credits This Period
Debits ThNPerlod
Net ThisPeriod
Cash
Withdrawals
0.00
0.00
0.00
Depolas
0.00
0.00
0.00
Total Cash
$0.00
$0.00
$0.00
Totals
$6,139.49
45,009.04
$1,130.45
Transactions by Type of Activity
Process
Selllernerl
Date
Activity Type
Securities Bought and Sold
09128117
REINVESTCASH INCOME
.PHSX
treditsTaN4o-Date
Debits 'folio-Date
Net YeN4o-Date
0.00
46,853.96
46153.96
46,653.96
0.00
46,85316
$46,853.96
-$56,853.96
410,000.00
$101,024.67
4103,133.62
42,108.95
Description
Quantity
Price
Awned lateral
Amount Coning
PMORGAN FLOATINGRATEINCOMEFUND CUSS I
532.310
4,009.04
USD
0932050 SHRS SHRSPURCH. AT S9A 100 RD09/26PQ
09128/17
Total Securities Bought and Sold -U.S. DOLLARS
Dividends and Interest
09f28117
CASH DIVIDEND RECEIVED
SY ORGAN ROATING RATE INCOME FUND CUSS I
.PIISX
0932050 SHRS RD 09126 PD 09/28117
09129117
MONEY MARKET FUND
DEUTSCHE GOUT CASH
INCOME RECEIVE)
PER232045
Total Dividends and Interest - U.S. DOLLARS
0.00
-5.009 04
5 009 04
USD
1,130.45
USD
0.00
6,139.49
Total Value of Transactions
The price and quantity displayed may have been rounded.
Client Service Information
0.00
1,130.45
USD
Your Investment *Paid: ENJ
COMM lotomation
JOSHUA SHOSHAN
Telephone Number:
280 PARK ME- 3RD FL
NEW YORK
NY 10017
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 6 of 9
CONFID
L-A
PAS builom
Every Yew Saxe 200'
DAMN MILD COMMUNICATIONS
ECCLIME
Cleats Ilveugh Penal% MC • Sally sad
subsidiary of the Switof New York MeNon
Corporatio. (II(Y Wien)
Pent:N*4C neon FINR/Saitagit00047711
DB-SDNY-0010535
EFTA_00158320
EFTA01290348
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Vox Account Information
September 1, 2017 - September 30,2017
JEEPERS INC
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual Funds:
First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan:
First In First Out
Default Method for all Other Securities:
First In First Out
BOND AMORTIZATION ELECTIONS
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types:
Constant Yield Method
Include market discount in income annually:
No
ELECTRONIC D ELI V ERY
You have not selected any account corn mu nIcations for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment
Specialist for more information.
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 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 (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.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 reconfirmed In writing to further protect your
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 U_C, Legal Department.
One Pershing Plaza, Jersey City. New Jersey 07399; (201) 413-3330. Errors and Omissions excepted.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 7 of 9
CONFID
AL-
aloe Capitol
Envy Year SIAM 2007
DALIN, RAI ED COMMUNIC.ATIONS
INCOADOCC
Opting Into Renting MC a Sally woad
whether/ el Pt Sank of Peed Vert Melon
Comma's CONY Mellen)
Pergamt LIC nenbe
rr
YIEL
DN
GA
B-SI-00
536
°° 707712
EFTA_00158321
EFTA01290349
Important Information and Disclosures (continued)
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 classcertification 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.
Page 8 of 9
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDOI
••••••
•
builem
Envy Yew Scott 200'
DAMP MILD COMMUNICATIONS
EC DANCE
Owing IlveughPerginglAC Stay owned
sublidlay a the Sank of New York Mellon
Commit'', (MY Mace)
Perstint uc mawa nriakUWYtePM_00047713
DB-SDNY-00 10537
EFTA_00 I 58327
EFTA01290350
TERMS AND CONDITIONS
TRANSACTIONS
• ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE
SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND
INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE
THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL
INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS.
• TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN
WITH PFSM-IING UNTIL THE ENTRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT
DATE. WHICHEVER IS LATER.
• YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR
STATEMENT. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH
TRANSACTIONS MIST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT.
THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED.
FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS
FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S
BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS.
DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE
STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE
FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS
COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR
FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES.
MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBNED STATEMENT OF
YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER
REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT
RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR
NSPECTION UPON REQUEST.
TAX INFORMATION
• AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL
REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL
PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU: USE THAT
STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL
INFORMATION TO ASSIST IN ACCUMULATNG THE DATA TO PREPARE YOUR TM RETURNS.
• DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED
AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION
DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS
GENERAL INFORMATION.
• PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE
ARBrIrIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY
SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO
DETERMINE THE APPROPRIATE TM TREATMENT OF TIER BUSINESS.
GENERAL INFORMATION
• WHENEVER YOU ME INDEBTED TO PERSHING LLC ('PERSHNG') FOR ANY AMOUNT. ALL SECURITIES
HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR
LIABILITIES TO PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT TENDER.
DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR
PR NATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS;
ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU.
• WHENEVER YOU ARE INDEBTED TO PERSHNG FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR
YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY
PERSHING. EITHER SEPARATELY OR UNDER CRCUMSTANCES WHICH WILL PERMIT THE
COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, EQUAL TO OR
GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CRCUMSTANCES FOR AN AMOUNT
PROHIBITED BY LAW.
• PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST. ODD LOT DEALER,
BLOCK POSITIONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY
TRANSACTION YOU MAY MAKE, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES. WHICH
POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED.
• IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR
FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS
AVAILABLE UPON REQUEST.
• A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT
PERSHING'S OFFICES. A COPY OF IT W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN
VIEW IT ONLINE AT WWW.PERSHING.COM.
• FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING COINDISCLOSURES
• THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS.
PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION WAS-
RULE 007(AX1)-(2))
PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION
NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED
TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE
ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY
SUBSEQUENT EXECUTION. THE DETALS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON
WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW
TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION
ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL
COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT.
BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER
FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE-
COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS.
TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SEE, AND TO EXECUTE THEM AT OR BETTER THAN
THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTA/N LARGER ORDERS. OR F THE DESIGNATED
MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DRECTLY
CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO
WHICH ORDERS ARE AUTOMATICALLY ROUTED ME SELECTED BASED ON THE CONSISTENT HIGH
QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE
OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY
REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES.
F ANY Of THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTFYPERS-ING IMMEDIATELY IN WRITING8Y CERTIFED MAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ MN. ATTN. LEGAL GMT
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
CONFIDP
Page 9 of 9
Rath CHOW',
fiery Yost Since 2007
DALSAR RATED COMmuNICATIONS
EXCRUNCE
Owing *nigh halm 1141 Aber sad
suboxIlary a the Ifl of We York Magi
Coma-Ann CORY Mame)
Penh.* liC nenbe FINRA.WAITIELGM
B-SDNY: 071538
107714
D
EFTA_00158323
EFTA01290351
15 I Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
JEEPERS IN C
6 C 0 RED HOOK QUARTER B3
ST THOM ASVI 00802
Deutyche Mn. Poirot, xes0h Min temett
14Ilet$ (At Cafe 6, cvs
o.e., he liar* SetWitlet Nc
Mew *It Me
3.4i nn Nenva. nth 11cor
Now Yak PO' 10114
MI:riTte 44-11 1 4 14
O
August 1,2017 - August 3 2017
Account Number:
Portfolio at a Glance
ThisPeried
Ifeer4o-Dele
Your Investment Specialist
BEGINNINGACCOUNT VALUE
$3,183,072.19
$3,149,809.19
Net Case Deposits and Withdrawals
0.00
-10,000.00
Adjusted Previous Account Value
3,183,072.19
3,139,809.19
Dividends. IMerest and Other Income
6,588.95
48,031.22
Net Change in Portfolio'
-9,025 76
-7,205.03
EN DINGACCOUNT VALUn
$3,180,835.38
$3,18u
Estimated Annual Income
$74.860 69
Asset Summary
'Net Change in Portfolio is the difference between the ending account value and
beginning account value after activity
Pestamt
Meet Type
NWYear-End
Last Period
This Period
IN 46%
Cash, Money Funds, and Bank Deposits
1,479,787.72
1,475,398.29
1,476,548.32
54%
Mutual Funds
1,670,021.47
1,707,673.90
1,704,087.06
100%
Account Total (Pie Chart)
$3,149,809.19
83,183,072.19
83,180,635.38
Please review your allocation periodically with your Investment Specialist.
CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e)
Pagel of 8
CONFID
Rated EMtlknl
Eery Yea Since 2001
DALIARRAILD COMMISICAI IONS
DICEIDICE
Cleats Ilmigh Penalmillt. • tar weed
subsidiary Oft Sant of New York MO.'.
Ccepotation (WY
an
11C. rnembe FINRAVielfe-at 00%7715
DB-SDNY-0010539
EFTA_00158324
EFTA01290352
Summary of Gains and Losses
Realized
This Period
Yes tn•Dale
Unrealized
Short-Term Gain! Loss
0.00
9.00
-130.73
Long-Term Gain! Loss
0.00
9.00
-106,202.32
Net Gain! Loss
0.00
0.00
408,333.0S
This summary excludes transactions where cost basis information is not available
- Or 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 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
Dote
AdloNy Type
Desalplion
Meant
Bine
Sweep Money Market Fund
DELITSCHEGCNT CASH INSTL
Current Yield: 0.93% Activity Ending:08! 3117
08/01/17
Opening Balance
08/31/17
Deposit
INCOM EREINVEST
1,475,398.29
1,150.03
1,475,398.29
1,478,548.32
08/31/17
Closing Balance
91,478,548.32
Total All Money Market Funds
91,478,548.32
Income and Expense Summary
TES.
Cisrent Pried
Non Taal,
WAN
Yeer•to•Cele
Non Taxable
Dividend Income
Money Market
Other Dividends
1,150.03
5,438.92
0.00
0.00
8,780 80
41270 82
0.00
0.00
Total Dividends, Interest, Income and Expenses
98,588.95
80.00
$48,031.22
$0.00
Page 2 of a
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
CONFID
L4
Rated builem
(wry Yew Saxe 2001
DALIAN UM COMIALINICAT 1066
ECDAME
(*.Wolin/0 Persling
shellyeamd
subsdlary of the Sank of New York Mellon
Ccepotabm (taly WM)
Pent"tliC
nide
ttlYAILGM
EI-SDNI-0;410754
7160
EFTA_00158325
EFTA01290353
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings
August 1, 2017 - August 31, 2017
JEEPERS INC
Amount
Aditily
Opening
Mang
Accrued
Income
30-Day
Cement
Opening Dale
Quantity
Number
Wing
Balance
alma
Income
TbaYem
Yield
Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 46.00% of Portfolio
Money Market
DEUTSCHE GOVT CASH INSTL
08101/17
1,476,548.320
NM
08131117
1,476,398.29
1,476,548.32
0.00
6,160.60
0.92%
093%
Total Money Market
51,475,398.29
$1,476,548.32
30.00
66,760.60
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS
11,475,398.29
$1,476,548.32
30.00
$6,760.60
Unrealized
alimaled Estimated
Date Acquired
NNW
Uail CS
Cod Bats
Market Price
Mattel Valve
Gan! loss
Annual Income
Yield
MUTUAL FUNDS 54.00% of Portfolio
8M ORGAN FLOATING RATE INCOME RIND
CLASS'
Open End Fund
Dividend Option: Reinvest; Caplet Gains Option: Reinvest
Securely Identifier: JPHSX
CUSIP. 482351
02113/13'
118,957.299
10.0700
1,500,000.00
9A100
1,401,688.19
98,311 81
56,015.38
399%
03/01/13 13
533.047
10.0600
5,362.46
9.4100
5,015.98
416 48
200.45
3 99%
04/01/13 n
591.454
10.1100
5,979.61
9.4100
5,565.58
-414.03
222.42
3.99%
05/01/13 13
562.992
10.1300
5,703.11
9.4100
5297.75
405.36
211.71
399%
06103/13 n
567.343
10.0900
6,724.60
9.4100
5,338.70
485.80
213.35
399%
07/01113"
500.501
9.9700
4,990.00
9.4100
4.709.72
-280.28
188.21
3 99%
0810103 n
527.827
10.0600
5,309.94
9.4100
4,968.85
443.09
198.49
3 99%
09103/13 13
531.248
10.0300
5,328.42
9.4100
4,999.04
429.38
199.78
3 99%
Reinvestments to Date
28,321.494
9.6050
272,022.07
9.4100
266,505.25
4,516.82
10.65030
3 99%
Total Covered
181,093.205
1,810,420.11
1,704,087.06
-106433.05
68,100.09
Total
181 093.205
31 810 420 11
41 704 087 06
4106,333.05
$68,100.09
TOTAL M UTUAL FUNDS
$1,810,420.11
$1,704,087.06
4106,333.05
$68,100.09
Umreeked
Accrued
Fri Waded
OM Baas
Merkel Value
ain/Low
Serest
Annuallocoing
TOTAL PORTFOLIO HOLDINGS
33,286,968.43
33,180,635.38
4106,333.05
30.00
374,860.69
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 12186, as amended
("IRC") (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) and are, therefore, considered 'noncovered," under the new cost basis
reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are
Page 3 of 8
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)
I • LAI ta.
CONFID
L-
Rated (meant
array Yea Sax 2001
DALIMPAIED COMMUNICATIONS
oatuas
Clewing 'Sough Pea.' MC • ter sad
we
ol the Sank of New York Mellon
Cap:taboo (MY Mace)
Penh:etLit member
ReSipkillegik00%7717
DB-SDNY-0010541
EFTA_0015 8326
EFTA01290354
Portfolio Holdings (continued)
"covered* under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they
are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRSon form 1099-B for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows.
•
Stock in a corporation acquired on or after January 1.2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or alter January 1, 2012
•
Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014
t3 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
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. 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 PRICEDATEONLY APPEARSW 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.
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.
Page 4 of 8
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDRWAL
••••••
Mtd builom
Every Yew Snot XX,/
DALIAN MILD COMMUNCATIONS
EXCILI DK(
Ilveugh P
LLC. a wholly tweed
subsidiary Oft Sank of New York Mellon
Corporate. (MY Melee)
Pent** ac.,ffiesnriRkg4klYtePhl_00047718
DB-SDNY-OO1O542
EFTA_00 I 58327
EFTA01290355
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
August 1, 2017 - August 312017
JE
TS IN C
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 $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 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary (Au amouNssnown atom case cirren...y)
()edits This Period
Debits TlesPerlod
Nei ThisPeried
CreditsYear-to-Date
DealteYear-to-Date
Net Year-to-Date
Securities
Securities Bought
0.00
-5,438.92
-5,438.92
0.00
-41270.62
-41,270.62
Total Securities
$0.00
45.438.92
45,438.92
$0.00
441,270.62
441,270.62
Dividends and Interest
66.588.95
$0.00
68,58815
648.031.22
$0.00
648.031.22
Cash
Withdrawals
0.00
0.00
0.00
0.00
46.853.98
-56.853.96
Deposes
0.00
0.00
000
46.853.98
0.00
46.853.96
Total Cash
$0.00
$0.00
$0.00
$46.853.96
-556.853.96
410.000.00
Totals
$6,588.95
45,438.92
$1,150.03
$94,885.18
498,124.58
43,239.40
Page 5 of 5
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDOI cAL
Rated Endow
Envy Veer Snot XX,/
DAMP MILD COMMUNICATIONS
°CCDANC(
Clewing Ilveugh PerginglIC. a Stay owned
subledlay of the ems of New York Mellon
Commit'', (MY Mellen)
Pent...11C nelgilbs
Rkg4itlYteM_00047719
DB-SDNY-0010543
EFTA_00 158328
EFTA01290356
Transactions by Type of Activity
Noe%
Settlement
Date
Manly Type
Descfiption
Quantity
Price
Maned interest
Anus' WHO,
Securities Bought and Sold
08/30117
REINYESTCASHINC011E
PIA ORGAN FLOATINGRATEINCOMEFUND CUSS111056210
577.994
4,438.92
USD
PLISX
SHRSSIIRSFURCILAT 89.4100 RD 08/28 PD 0130/1
Total Securities Bought and Sold -U.S. DOLLARS
0.00
4,438.92
Dividends and Interest
08130117
CASH DIVIDEND RECEIVED
,PMORGAN FLOATING RATE INCOME FUND PASS 14055210
5,438.92
USD
SHRS RD 08/28 PC 0813019
08/31/17
MONEY MARKET RIND
CEO ISCHE GOVT CASH
1,150.03
USD
INCOME RC-CBVED
PER232045
Total Dividends and Interest - U.S. DOLLARS
0.00
6,588.95
Total Value of Transactions
0.00
1,1 50.03 USD
The price and quantity displayed may have been rounded.
Client Service Information
Your Investment Specialitt. ENJ
JOSHUA SHOSHAN
Telephone Number:
280 PARK AVE- 3RD FL
NEW YORK
NY 1017
Contact information
Your Account Information
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for M utual Funds:
First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan:
First In First Out
Default Method for all Other Securities:
First In First Out
BOND AMORTIZATION ELECTIONS
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types:
Constant Yield Method
Include market discount in income annually:
No
ELECTRONIC DELIVERY
You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment
Specialist (or more information.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 6 of 8
CONFID
L-
PAS bullom
Envy Yea Since 200i
DALBARMIED COINAUNICAT IONS
DIOILDKE
Owing Ilveugh Persling LLC. • Sway evomil
subsdlary of the Sank of New York Mete
Comma's CONY /Mike)
Perstwmt 11C ...onto FINRAtilailiegM_00047720
DB-SDNY-0010544
EFTA_00158329
EFTA01290357
15 I Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Important Information and Disclosures
August 1.2017 - August 31,2017
JEEPERS INC
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 (u) 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 (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 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.
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 documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings.
•
The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a 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
Page 7 of 8
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDOI
L-
Rated ballenl
bey Yon Saxe 200/
DALIAN MILD COMMUNICATIONS
EXCILIDKE
Owing Ilveugh PersainglAC. Stay owned
subsidiary of the Sank of New York Mellon
Corporate. (MY Mace)
Pentint ac...ffies nriakUWYteM_00047721
DB-SDNY-0010545
EFTA_00 158330
EFTA01290358
Important Information and Disclosures (continued)
Important Arbitration Agreement (continued)
(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.
Page 8 of 8
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDOI
••••••
Rated tgelleni
Ewe" Yaw Space 200/
OALBAR RMIEO COMMuniCATIONS
ECDAME
Owing Ilveugh halm 11C. Stotts/owned
subsidiary Oft Sank of New York Mellon
Corporate,. (MY Melee)
Pentint LAC nmatlas nriRkg4igteM_00047722
DB-SDNY-0010546
EFTA_00 158331
EFTA01290359
15 I Deutsche Bank
P.O.Box 1776, Baltimore, MD 212O3
JEERERS INC
6100 RED HOOK QUARTER B3
ST THOM ASVW0802
your Investment Specialist
J
HUA SHOSHAN
(MI
Asset Summary
Ottetune Meg Private oVeSth lasnmemesit
Marten Ceeirrage &ow*
0ntmlw Sank SearlOwi Inc
Mee York Once
HS Pet Annul. 74th Mot
New WA, '7 10134
tree
W
dialir
eal
July 1, 2017 - July 31
17
Account Number:
Portfolio at a Glance
Thishrted
TememDate
BEGINNINGACCOUNT VALUE
Nei Cash Deposits and Withdrawah
$3,168,194.62
0.00
$3,149,809.19
-10,000.00
Adjusted Previous Account Value
3,168,194.62
3,139,809.19
Dividends. Interest and Other Income
5,876.92
11,442.27
Net Change in Portfolio'
9.000 65
1.820.73
ENO INGACCOUNT VALUE
$3,183,012.19
63,183,072.
Estimated Annual Income
$74.191 90
i Ner Change in Portfolio is the difference between the ending account value and
beginning account value after activity.
Percent
Asset Type
PrlorYearad
Last Period
ThisPeriod
M 46%
Cash, Money Funds, and Bank Deposits
1,479,787.72
1,474,271.91
1,475,398.29
54%
Mutual Funds
1,670,021.47
1,693,922.71
1,707,613.90
100%
Account Total (Pie Chart)
$3,149,809.19
$3,168,194.62
$3,183,072.19
Please review your allocation periodically with your Investment Specialist.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 1 of 8
CONFID
L-
Rated Cadent
(wry Yea Sect 2007
DAUM ta.103 COMMUNICATIONS
OCCOA PIC
Cawing Omagh Saito MC a ~flowed
subsidiary of the eat d New York Molko
Corporation ONY Waco)
Persona 11C
C
mento FINRAticiitlYtoPM_00047723
DB-SDNY-OO1O547
EFTA_OO158332
EFTA01290360
Summary of Gains and Losses
Reined
This Won
Muir4o•Date
thiresizad
Short-Term Gain! Loss
0.00
9.00
256.78
Long-Term Gain! Loss
0.00
9.00
47,564.07
Net Gain! Loss
0.00
0.00
47,307.29
This summary excludes transactions where cost basis information is not available.
For Your Information
The European Central Bank (the EC8' ) 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.
Money Market Fund Detail
Dale
AdIvIly Type
Desalplien
Amount
Balsa
Sweep Money Market Fund
DOJTSCHEGOVT CASH INSTL
Current Yield: 0.91% Activity Ending. 07/ 3V 17
07101117
Opening Balance
07/10/17
Deposit
07/12117
Withdrawal
07/31/17
Deposit
MONEY FUND PURCHASE
MONEY FUND REDEMPTION
INCOM EREINVEST
1,474,27141
46.853.96
46,853.96
1,126.38
1,474,271.91
1,521,125.87
1,474,271.91
1,475,398.29
07r31117
Closing Balance
$1,475,398.29
Total All Money Market Funds
$1,475,398.29
Income and Expense Summary
Taxed.
Omenl Puled
ton Taxable
Taxable
Yttlo-Date
Non Taxable
Dividend Income
Money Market
Other Dividends
1,128.38
4,750.54
0.00
0.00
5,610.57
35 831.70
0.00
0.00
Total Dividends, Interest, Income and Expenses
$5,876.92
$0.00
$41,442.27
$0.00
Page 2 of 8
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
CONFID
Paten (gaol
Envy Year Since 200/
DAUMMUD COMMUNICATIONS
otaupece
Owing Into ti lling LPL a Sally sad
subsidiary of the lank of Now York Melon
Corporation CONY Mellon) „„mtryiepit00047724
DB-SDNY-OO1O548
EFTA_OO158333
EFTA01290361
I 5 I Deutsche Bank
P.O.Box 1776, Baltimore, MD 21203
Portfolio Holdings
July 1, 2017 - July 31, 2017
JEEPERS INC
Actoent
Adinty
*SO
Doing
Accrued
Marne
30-Day
Ciattent
Opening Dale
Quandly
Number
&Ong
Mace
Balance
Income
TMsYear
Yield
Yield
CASH, MONEY FUNDS, AND BANK DEPOSITS 46.00% of Portfolio
Money Market
DEUTSCHE GOVT CASH IBM
07101/17
1,475,398.290
NIA
07131111
1,474,271.91
1475,398.29
0.00
5,810.57
0.90%
091%
Total Money Market
$1,474,271.91
$1:475,398.29
$0.00
$5,610.57
TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS
$1,474,271.91
$1.475.398.29
$0.00
$5,610.57
Date Acquired
MUTUAL FUNDS 54.00% of Portfolio
AI ORGAN FLOATING RATE INCOME RIND
Security Identifier YRS%
CLASS I
CUSIP. Mtn
Open End Fund
Dividend Option: Reinvest; Capital Gains Option: Reinvest
02/13/13 /3
148,957.299
10.0700
1,500,000.00
9.4600
1,109,136.04
.00,863.96
58,591.85
1.01%
03/01/13 /3
533.047
10.0600
5,362.46
9.4600
5,042.62
-319.84
202.52
4.01%
04/01/13'
591.454
10.1100
5,919.61
9.4600
5,595.16
484.45
224.71
4.01%
05/01/13 0
562.992
10.1300
5,703.11
9.4600
5,325.91
-377.20
213.89
4.01%
06/03/13 0
567.343
10.0900
5,724.50
9.4600
5,367.07
451.43
215.54
4.01%
07/01/13 0
500.501
9.9700
4,990.00
9.4600
4,734.75
-255.25
190.15
4.01%
08101/13 13
527.827
10.0600
5,309.94
9.4600
4,993.24
416.70
200.53
4.01%
09/03113'
531.248
10.0300
5,328.42
9.4600
5,025.60
402.82
201.83
4.01%
Reinvestments to Date
27,743.500
9.6090
266,583.15
9.4600
262,453.51
4,129.64
10,540.31
4.01%
Total Covered
180,515.211
1,804,981.19
1,707,673.90
47,307.29
68,581.33
Total
180,515 211
$1 804 981 19
it 707 673 90
497 307 29
$68.581.33
TOTAL MUTUAL FUNDS
$1,804,981.19
$1,707,673.90
497,307.29
$68,581.33
Unrealized
Amen
Estimated
cost Bids
Market Value
Glint Loon
Interest
Annual Income
Unrealized
Cloantly
WI Cad
Cod Dada
Musket Price
Market Value
Gad, loss
Estimated Estimated
Annual income
Yield
TOTAL POFt7FOLIO HOLDINGS
$3,280,379.18
$3,183,072.19
497,307.29
$0.00
$74,191.90
Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended
("IRV') (incorporating amendments enacted by P.L.110 -34 3, the Ern ergency Economic Stabilization Act of 20 0 8) and are, therefore, considered 'noncovered," under the new cost basis
reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are
Page 3 of 8
CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDFIVAL4-
Rated Eacellent
Envy Yeas Sax 2007
['MBAR PAM COMMUNICATIO16
OCC DANCE
Clewing Imo Pena.' LIC • slwenoned
subsidiary ol the eat of New York Mao
Ccepotabm CONY Mellon)
Pen'hait I1C nenbe FINRke
t"ELGM
B-SDNY-470140154
7259
EFTA_0015 8334
EFTA01290362
Portfolio Holdings (continued)
"covered* under the new cost basis reporting rules are defined as non•retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they
are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRSon form 1099•B for the applicable tax year in which the security is disposed.
Reporting requirements generally will be phased in over a three-year period, as follows:
•
Stock in a corporation acquired on or after January 1 2011
• Mutual funds and dividend reinvestment plan (ORP) shares acquired on or alter January 1, 2012
•
Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014
• The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information.
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. 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 PRICEDATEONLY APPEARSW 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.
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 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.
Page 4 of 8
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFID
••••••
Rated builom
Every Yew Snot XX,/
DAMP, MILD COMMUNCATI0NS
EXCILIDKE
Owing Ilveugh Pertains U.C. Stotts/owned
subsidiary Oft Sank of New York Mellon
Corporate. (MY Mete)
Persheell.C. moron nuRkg*Iiieg ,M_00047726
DB-SDNY-OO 1O55O
EFTA_OO 158335
EFTA01290363
15 I Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Portfolio Holdings Disclosures (continued)
July 1,2017 -July 31,2017
JEEP ERS INC
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 $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 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform.
Activity Summary (All amounts shown vein ease —;rren...y)
()edits ThisPoled
Debits ThIsPeilod
Net ThisPeried
Credits Yea4o-Date
Debits Yeat4o.Date
Net Vette-Date
Securities
Securities Bought
0.00
4,750.54
4,750.54
0.00
-35,831.70
-35,831.70
Total Securities
50.00
44.750.54
44,750.54
50.00
435.831.70
435,831.70
Dividends and Interest
$5.876.92
$0.00
$5.876.92
$41,442.27
$0.00
$41.442.27
Cash
Withdrawals
0.00
-46,853.96
.46,853.96
0.00
46.853.96
46.853.96
Deposes
46.853.96
0.00
46.853 96
46.853.96
0.00
46.853.96
Total Cash
546.853.96
446,853.96
50.00
$46.853.96
456.853.96
410.000.00
Totals
$52,730.88
$51,604.50
$1,126.38
588,296.23
$92,685.66
$4,389.43
Page 5 of 8.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
CONFID
RAM EICOCIII
(wry Yew Snot 20O'
DAMP MOLD COMMUNICATIONS
°CCDANCE
Onvingivcogh PesM LI.C. a wholly 'awl
subsidiary ol the MA of New York Mellon
Comma's (MY MOW)
Penhot ll.C.nmate
YIELGM_0004 7727
DB-SDNY-00 10551
EFTA_00 158336
EFTA01290364
Transactions by Type of Activity
nroness,
Settlement
Date
Addis, Type
Description
Quantity
Rice
Amsted Intered
Mood Oaring
Securities Bought and Sold
Innen 7
REINVESTCASH INCOME
PLIORGANFLOATINGRATEINCOMEFUNDCLASSI
502.171
,PREY
80013.0400 SHRS SHRSPURCH. AT NA6000 RD 07/26 PO
07/28/17
4,750.54
USD
Total Securities Bought and Sold - U.S. DOLLARS
Dividends and Interest
07128117
CASH DIVIDEND RECEIVED
3' MORGAN ROATING RATE INCOM E FUND CLASS I
PHU
8008.0400 MRS RD 07/26 PO 0712819
07131/17
MONEY MARKET FUND
DEUTSCHE GOVT CASH
INCOME RECEIVE
PER232045
0.00
4,750.54
4,750.54
1,126.38
USD
USD
Total Dividends and Interest - U.S. DOLLARS
Cash Withdrawals and Deposits
07/07/17
FEDERAL FUNDS RECEIVED
BANK OF AMERICA NA. 4415
USD999197
07/12/17
FEDERAL FUNDS SENT
SM ORGAN CHASE BANK,
US99995.97
0.00
000
5,876.92
46.853 96
46.853 96
050
USD
USD
Total Cash Withdrawals and Deposits - U.S. DOLLARS
Total Value of Transactions
The price and quantity displayed may have been rounded.
0.00
1,126.38 USD
Client Service Information
You Investment Spedatist: B4J
Conted Intormation
JOSHUA SHOSHAN
Telephone Number:
280 PARK AVE- 3RD FL
NEW YORK
NY 13017
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 6 of 8
CONFIDP
L4
Raid
Envy Yea Since 200'
DALIARIATIDCOIAMIRICATIONS
DIOILDICE
Clewing Iva. Lanus MC • Sway sad
subsidiary Oft Sant of New York Mellon
Corm-Ann CONY Mellen)
Penti"tliC
FINRe
ttlY5LGM
B-SDNI-0°°070755
7282
EFTA_00158337
EFTA01290365
Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
Yox Account Informati n
July 1,2017 - July 31,2017
JEEPERS INC
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for AI utual Funds:
First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan:
First In First Out
Default Method for all Other Securities:
First In First Out
BOND AMORTIZATION ELECTIONS
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types:
Constant Yield Method
Include market discount in income annually:
No
ELECTRONIC D ELI V ERY
You have not selected any account corn mu nications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Investment
Specialist for more information.
Important I nformation 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 (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.corni 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 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.
CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)
Page 7 of 8
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EFTA01290366
Important Information and Disclosures (continued)
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 tiled, 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.
Page 8 of 8
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOIWAL
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EFTA_00 158339
EFTA01290367
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Domain
msrb.orgDomain
mytaxhandbook.comDomain
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