EPSTEIN
page 1 / 457 . OCR, unverified
Dataset10 040
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Transactions by Type of Activity (continued)
Process
Settlement
Date
Activity Type
Description
Total Value of Transactions
The price and quantity displayed may have been rounded
Client Service Information
Your Investment Specialist ZEN
MARTIN ZEMAN
345 PARK AVENUE
NEW YORK
NY 10154
Quantity
Price
Accrued Interest
Amount Canny
0.00
4.801.85
USD
Canted Information
Telephone Number:
TAX LOT DEFAULT DISPOSITION METHOD
Default Method for Mutual Funds
First In First Out
Default Method for Stocks in a Dividend Reinvestment Plan:
First In First Out
Default Method for all Other Securities:
First In First Out
BOND AMORTIZATION ELECTIONS
Amortize premium on taxable bonds based on Constant Yield Method: Yes
Accrual market discount method for all other bond types'
Constant Yield Method
Include market discount in income annually:
No
ELECTRONIC 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 for more information.
Important Information and Disclosures
The Role of Pershing
•
Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without
inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or
liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the
suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under
common control with it liable for any investment losses incurred by you
•
Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your
financial institution or that it receives as the result of securities transactions it processes.
•
Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your
account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the
acceptance and. in certain instances. execution of securities orders. the assessment of the suitability of those transactions. where applicable. the rendering of investment advice.
Account Number:
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EFTA01371969
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Deutsche Bank
P.O. Box 1776, Baltimore, MD 21203
mportant Information and D SC OSJ'ES (continued)
December 1, 2018 - December 31,2018
J EPSTEIN VIRGIN ISLANDS
The Role of Pershing (continued)
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.com/ 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