document_description: Instructions for investors interested in purchasing a limited partner interest in Glendower Access Secondary Opportunities IV (U.S.), L.P. The document outlines the steps for completing the Subscription Agreement, including sections for individuals and entities, and the requirement for initial capital contributions. It also details the client identification documents needed, such as IRS Form W-9, and provides a secure method for document submission via iCapital Network.

document_subtype: Investment Instructions


source: doj

document_description: This document outlines the terms and conditions of an investment agreement between Southern Financial LLC and its investors. It details the discretion of the General Partner in committing funds to the Underlying Fund, the representations and warranties of the investor, and the restrictions on transfer of interests. The investor acknowledges understanding the offering materials and the risks involved, and agrees to bear the economic risk of the investment.

key_people:
General Partner
Investor

document_type: legal

document_subtype: Investment Agreement

key_organizations:
Southern Financial LLC
Underlying Fund


document_description: The document outlines the representations, warranties, and acknowledgments made by an investor in a partnership managed by Southern Financial LLC. It includes details about the investor's qualified purchaser status, conflicts of interest, and additional risk factors associated with the investment.

document_type: financial


document_description: This document outlines the terms and conditions for an investor, which could be a corporation, trust, partnership, limited liability company, or other entity, in relation to the Securities Exchange Act of 1934. It specifies that the investor has not been formed to circumvent securities laws and must provide additional documentation if requested. The document also covers the investor's power and authority, ensuring no conflicts with existing agreements, and confirms the due execution and binding nature of the agreement.

document_subtype: investment agreement


document_description: This document outlines the terms and conditions of an agreement between an Investor and Southern Financial LLC. It includes clauses on the enforceability of the agreement, the Investor's knowledge and experience in financial matters, tax considerations, and the Investor's status in relation to U.S. Treasury Regulations. The document also addresses the Investor's consents and authorizations required for the execution of the agreement.

document_subtype: Partnership Agreement


document_description: This document outlines the terms and conditions related to the financial and legal structure of Southern Financial LLC's involvement in a partnership. It specifies the tax classification of the entity, restrictions on transferring interests, and the role of legal counsel. It also includes a privacy notice regarding the handling of financial information.

document_subtype: partnership agreement

key_organizations: Glendower Access Secondary Opportunities IV (International), L.P.


document_description: The document outlines compliance requirements for investors in Southern Financial LLC, focusing on prohibitions related to sanctioned parties, non-cooperative jurisdictions, senior foreign political figures, and foreign shell banks. It specifies that investors must not be associated with these entities or derive funds from prohibited sources.

document_subtype: legal compliance document

key_organizations:
Southern Financial LLC
U.S. Treasury Department
Financial Action Task Force


document_description: This document outlines the representations and warranties made by an investor in Southern Financial LLC regarding compliance with anti-money laundering laws and sanctions. It specifies that the investor's funds are not derived from illegal activities and that the investor has conducted due diligence on its beneficial owners. The document also details the investor's obligation to inform the General Partner of any inaccuracies in these representations and the potential actions the General Partner may take to ensure compliance with applicable laws.

key_locations:
United States
UK

document_subtype: Subscription Agreement


document_description: This document outlines the confidentiality obligations of an investor in Southern Financial LLC. It specifies the conditions under which Non-Public Information can be disclosed, the definition of Non-Public Information, and the potential consequences of unauthorized disclosure. It also addresses the investor's obligations under the Freedom of Information Act (FOIA) and similar laws.

document_subtype: confidentiality agreement


document_description: The document outlines the terms and conditions for an investor in Glendower Capital Secondary Opportunities IV, LP, an English private fund limited partnership. It specifies that the investor will not be a limited partner of the fund, will have no direct interest or voting rights, and waives any recourse against the fund or its managers. It also details the fees and expenses the investor will be subject to and includes representations for 'Plan Investors' under ERISA.


document_description: This document outlines the fiduciary responsibilities and conditions under which an Investor Fiduciary can make a proposed purchase of an Interest in a partnership. It includes clauses related to ERISA compliance, discretionary authority, and prohibited transaction exemptions.

key_organizations:
Southern Financial LLC
iCapital


document_description: This document outlines the terms and conditions for investors acquiring interests in a financial entity, specifically addressing individual retirement accounts, insurance company general accounts, and non-U.S. employee benefit plans. It includes representations and covenants by investors regarding compliance with ERISA and other regulations.


document_description: This document outlines the terms and conditions for the closing and capital contributions related to the sale and purchase of interests in a partnership. It includes agreements with other limited partners, representations and warranties of the partnership and the general partner, and details on governmental and regulatory approvals required for the transaction.


document_description: This document is an investment agreement between an investor and Southern Financial LLC, outlining the terms and conditions for purchasing an interest in a partnership. It includes representations and warranties by the investor, requirements for additional information, indemnity clauses, and conditions related to compliance with Rule 506 under the Securities Act.

key_people:
Investor
General Partner
Investment Manager

key_organizations:
Southern Financial LLC
Partnership


document_description: The document outlines the obligations of the Investor in providing necessary tax forms and information to the Partnership, as well as the consent to receive Schedule K-I electronically. It includes compliance with FATCA and CRS regulations and the consequences of failing to provide required information.

key_organizations:
Southern Financial LLC
Partnership
General Partner
IRS
U.S. Treasury


document_description: This document outlines the terms and conditions of a partnership agreement between an investor and Southern Financial LLC. It includes details on the withdrawal of consent, contact information updates, access requirements for Schedule K-1, and general legal obligations. The agreement is governed by the laws of the State of Delaware and subject to the jurisdiction of New York courts.

key_locations: 60 East 42nd Street, 26th Floor, New York, NY, 10165

key_organizations:
Southern Financial LLC
iCapital Network


document_description: This document is a fee acknowledgement form related to an investment in a partnership through Southern Financial LLC. It includes details about an upfront placement fee and requires the investor's signature to acknowledge receipt and review of the fee information.

title: Fee Acknowledgement for Southern Financial LLC

document_subtype: Fee Acknowledgement


document_description: A financial document from Southern Financial LLC with missing advisor and account number details. It is marked as proprietary and confidential, and is subject to Federal Rule of Criminal Procedure 6(e).

document_subtype: financial statement


document_description: A financial document related to Southern Financial LLC, containing sections on employment status, tax year end, employer, FOIA Partner status, and occupation. The document is marked as proprietary and confidential.

document_subtype: financial agreement


document_description: This document is a signature page for the General Partner of Southern Financial LLC, related to a subscription agreement. It outlines the acceptance of a subscription for an amount of interest, which can be equal to or less than the amount offered by the Limited Partner. The document is marked as proprietary and confidential.

document_subtype: General Partner Signature Page

key_organizations: Glendower Access Secondary Opportunities IV GP LLC


document_description: A form for investors to provide contact information for their financial advisor and additional individuals to receive correspondence related to their investment in Southern Financial LLC.

document_subtype: investment communication


document_description: This document is an investment questionnaire from Southern Financial LLC, asking investors to disclose if they are investing assets from retirement or employee benefit plans subject to Section 4975 of the Internal Revenue Code. It also inquires about the percentage of such assets and whether the investor is subject to other laws that could affect the partnership's asset treatment.

document_subtype: investment questionnaire


document_description: This document is an exhibit outlining the representations required under the Investment Company Act for entities such as partnerships, trusts, and corporations. It specifies the criteria for an investor to be considered a 'qualified purchaser' under Section 2(a)(51)(A) of the Act. The document includes checkboxes for different qualifications, such as owning a certain amount in investments or being a qualified institutional buyer.

title: Exhibit D - Investment Company Act Representations for Entities

document_subtype: Investment Company Act Representations


document_description: This document is a financial questionnaire for Southern Financial LLC, focusing on investment commitments and beneficiary details. It includes questions about the investor's asset allocation, ultimate beneficiaries, and whether the investor or beneficiaries are publicly traded or regulated entities.


document_description: This document outlines the representations and warranties required from Plan Investors, which include U.S. pension or employee benefit plans subject to ERISA, plans subject to Section 4975 of the Internal Revenue Code, entities holding plan assets, and fiduciaries managing such assets. It includes a checklist for Plan Investors to confirm their status and obligations under ERISA and the Code.

title: Exhibit E - Plan Investor Representations

document_subtype: Plan Investor Representations


document_description: This document is an investment agreement for Southern Financial LLC, outlining conditions for Plan Investors, particularly those acting on behalf of employee benefit plans organized outside the United States. It includes representations and warranties required from the Investor if certain conditions are met, such as independent fiduciary decision-making and compliance with governing instruments and laws.


document_description: This document is a privacy notice provided by Institutional Capital Network, Inc. and its affiliates, iCapital Advisors, LLC and iCapital Securities, LLC, in compliance with Regulation P, 12 C.F.R. 1016. It outlines the types of nonpublic personal information collected from investors and the circumstances under which this information may be disclosed to third parties. The notice emphasizes the confidentiality obligations and the limited disclosure of information to affiliates, service providers, and other entities as permitted by law.

title: NOTICE REGARDING PRIVACY OF FINANCIAL INFORMATION

document_subtype: Privacy Notice

key_organizations:
Institutional Capital Network, Inc.
iCapital Advisors, LLC
iCapital Securities, LLC
Consumer Financial Protection Bureau


document_description: Glendower Capital is forming the Secondary Opportunities Fund IV, LP, targeting US$1.75 billion in commitments. The fund aims to build a globally diversified portfolio of seasoned funds, GP-led transactions, and co-investments in the secondary market. The document outlines the fund's strategy, performance metrics, and key terms.

title: Glendower Capital Secondary Opportunities Fund IV, LP Offering

key_people:
Cario Pirzio-Biroli
Charles Smith
Joshua C. Glaser

key_locations:
London
New York

document_subtype: Investment Offering

key_organizations:
Glendower Capital
Deutsche Asset Management


document_description: The document outlines the investment strategy of Glendower Capital SOF IV, LP, focusing on Fund Secondaries, GP-led Secondaries, and Single Asset Deals. It describes the opportunistic barbell approach to portfolio construction, emphasizing discounted fund secondaries during market corrections and less competitive GP-led secondaries during normalized conditions. The document also highlights the team's experience and the firm's focus on efficient portfolio construction without leverage at the transaction level.

key_people:
Carlo Pirzio-Biroli
Charles Smith
Adam Graev
Chi Cheung
Deirdre Davies
Joshua Glaser
Emilio Olmos
Francesco Rigamonti

document_subtype: investment strategy document

key_organizations:
Glendower Capital
Deutsche Bank
Pomona
Lehman Brothers
Chatterjee/Soros
Cowen
ABN Amro
KPMG
Paul Capital
Forum Capital
CIBC Oppenheimer
ADIA
UBS
Credit Suisse
Gallo & Co.


document_description: This confidential presentation by Glendower Capital, LLP provides summary information about existing and future funds managed by Glendower, specifically the Glendower Capital Secondary Opportunities Fund IV, LP. It is intended for sophisticated investors and includes disclaimers about the non-binding nature of the information, risks involved, and the need for independent legal and financial advice. The presentation is not an offer to sell or a solicitation to buy any securities.

title: Glendower Capital SOF IV, L.P. Presentation

key_people:
Glendower Capital, LLP
Mirabella Advisers LLP
Credit Suisse Asset Management Limited

document_subtype: confidential presentation

key_organizations:
Glendower Capital
Mirabella Advisers LLP
Credit Suisse


document_description: This document contains legal disclaimers for the distribution of marketing material related to GLENDOWER CAPITAL SOF IV, L.P. in various countries including Colombia, France, Guernsey, Haiti, Hong Kong, Israel, and Japan. It outlines the legal restrictions and requirements for offering financial products in these jurisdictions.

key_locations:
Colombia
France
Guernsey
Haiti
Hong Kong
Israel
Japan

document_subtype: legal disclaimer

key_organizations: Securities and Futures Commission of Hong Kong

key_organizations: Credit Suisse Securities (Japan) Limited

key_organizations: Type II Financial Instruments Firms Association


document_description: This document is a confidential presentation related to Glendower Capital SOF IV, L.P., distributed with legal disclaimers for various countries including Malaysia, Mexico, Monaco, New Zealand, Oman, Qatar, Saudi Arabia, Singapore, South Korea, and Switzerland. It outlines the legal restrictions and conditions under which the document can be distributed and the securities offered.

title: Glendower Capital SOF IV, L.P. Confidential Document

document_type: correspondence

key_locations:
Malaysia
Mexico
Monaco
New Zealand
Sultanate of Oman
Qatar
Saudi Arabia
Singapore
South Korea
Switzerland

document_subtype: confidential document

key_organizations:
Glendower Capital
Southern Financial LLC
Credit Suisse
Hugo Fund Services SA
Banque Cantonale de Genève


document_description: The document is a confidential investment presentation for Glendower Capital SOF IV, L.P. 9, with disclaimers for investors in St. Kitts and Nevis, UAE, and the USA. It outlines the legal and regulatory considerations for investing in the fund, emphasizing the lack of registration with regulatory authorities and the associated risks.

key_locations:
St. Kitts and Nevis
UAE
Abu Dhabi
Dubai
United States of America

document_subtype: investment presentation

key_organizations:
Glendower Capital
Southern Financial LLC


document_description: This document is a supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It outlines the nature of the information provided, the risks involved in transactions, and the lack of guarantees on securities. It also clarifies that Deutsche Bank does not provide accounting, tax, or legal advice and authorizes the disclosure of transaction structure and tax aspects.

title: Deutsche Bank Wealth Management Important Information

document_subtype: Supplemental Disclosure

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank


document_description: Supplemental disclosure by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas regarding investment risks and considerations for transactions. The document emphasizes the importance of independent assessment and investigation before entering transactions and clarifies that securities are not insured or guaranteed by Deutsche Bank or its affiliates. It also mentions potential compensation arrangements and the non-provision of accounting, tax, or legal advice by Deutsche Bank.

document_subtype: disclosure


document_description: This document is a confidential investment overview for Glendower Access Secondary Opportunities IV (U.S.), L.P., intended for investment professionals and qualified investors.

title: Glendower Access Secondary Opportunities IV (U.S.), L.P. Overview

document_date: April 2018

document_subtype: investment overview


document_description: This document is a confidential investment presentation for Glendower Capital Secondary Opportunities Fund IV, LP and Glendower Access Secondary Opportunities IV (U.S.), L.P. It outlines the terms, risks, and conditions of investing in these funds, emphasizing the high risk and potential for capital loss. The presentation is not an offer to sell or a solicitation to buy interests in the funds, which are only available through a Private Placement Memorandum. It highlights the differences between the Access Fund and the Underlying Fund, and warns of potential conflicts of interest and high fees that may reduce returns.

key_organizations:
Glendower Capital
Southern Financial LLC
iCapital Network


document_description: The document provides important information about the Access Fund managed by Southern Financial LLC. It highlights that historical returns do not include fees and expenses, which would lower net returns. Benchmarks and indices are for illustrative purposes and may not be directly investable. The document warns about the speculative nature and high risks of alternative investments, including potential loss of investment, lack of liquidity, volatility, and higher fees. It clarifies that purchasers of interests in the Access Fund will not have direct interests or rights in the Underlying Fund. The document also mentions that iCapital Advisors, LLC is registered with the SEC, but this does not imply endorsement.

key_people:
General Partner
Manager of the Underlying Fund

document_subtype: investment information

key_organizations:
Southern Financial LLC
Access Fund
Underlying Fund
iCapital Advisors, LLC
Institutional Capital Network, Inc.
iCapital Network


document_description: This confidential presentation by Glendower Capital LLP provides information about existing and future funds managed by Glendower, specifically the Glendower Capital Secondary Opportunities Fund IV, LP. It is intended for sophisticated investors and is not an offer to sell or a solicitation to purchase any interests. The presentation includes disclaimers about past performance and legal considerations for potential investors.

title: Glendower Capital Secondary Opportunities Fund IV, LP Presentation

key_organizations: United Kingdom Financial Conduct Authority


document_description: The document provides an overview of secondary private equity investments, explaining the differences between primary and secondary private equity investments. It describes secondary PE investments as investments into existing PE-backed companies, typically through the purchase of fund interests. The document also outlines the development of the secondary private equity market as a liquidity tool and its expansion to include various transactions and solutions.


document_description: The document discusses the strength of the secondary private equity market, highlighting a deal volume of US$58 billion in 2017 and a primary private equity NAV of US$2.8 trillion. It notes the stability and differentiation in fund pricing, the growth of GP-led deals, and the steady supply of tail-end funds. The document is part of a presentation by Glendower Capital.

title: Why invest in secondary private equity today?

document_type: tabular

document_subtype: presentation slide


document_description: Glendower Capital is an independent partnership that spun off from Deutsche Bank in 2017. The firm has a seasoned team with extensive experience in the secondary market, managing US$3 billion in client assets. The team has a history of restructuring Deutsche Bank's PE portfolio and raising significant funds over the years.

title: Glendower Capital Overview

key_people:
Carlo Pirzio-Biroli
Charles Smith
Chi Cheung
Deirdre Davies
Francesco Rigamonti
Adam Graev

key_organizations:
Glendower Capital
Deutsche Bank


document_description: The document provides a detailed performance report of various SOF funds managed by Glendower Capital as of September 30, 2017. It includes information on fund vintage, size, number of transactions, gross and net multiples, IRR, and peak net contributed capital. The report also notes that performance figures are unaudited and provides a disclaimer about past performance not being indicative of future results.

title: SOF Funds Performance as of September 30, 2017

document_subtype: financial report


document_description: The document provides a financial performance report of SOF Funds, comparing their returns to the Cambridge Associates buyout top-quartile benchmark. It includes metrics such as TVPI, DPI, and Net IRR for various vintage years, highlighting the performance of SOF, SOF D, SOF II, and SOF III. The report emphasizes the compelling risk/reward profile of these funds.

document_subtype: financial performance report

key_organizations:
Southern Financial LLC
Cambridge Associates
Glendower


document_description: The document provides a performance overview of SOF, SOF II, and SOF III funds, showing consistent performance across different fund sizes, vintages, and economic cycles. It includes metrics such as Net Contributed Capital, Net IRR, DPI, and TVPI over various quarters from inception. The performance figures are based on unaudited results as of September 30, 2017.

title: SOF Funds Performance Overview

key_organizations:
Southern Financial LLC
Glendower Capital


document_description: This document is a confidential investment report from Glendower Capital, detailing their investment strategy, secondary market updates, and key terms for their Secondary Opportunities Fund IV.

title: Glendower Capital Investment Report

document_subtype: Investment Report


document_description: The document provides an analysis of the market segmentation for secondary funds raised or in fundraising from 1996 to 2018. It categorizes funds based on strategy level, characteristics, and number of players. The chart included displays fund size over time, with key funds labeled such as SOF, SOF D, SOF II, SOF III, and SOF IV. The analysis is based on data from the Preqin database and Glendower Capital's own market intelligence as of November 2017.

title: Glendower Capital Market Segmentation Analysis

document_subtype: investment analysis


document_description: Glendower Capital outlines its distinctive investment strategy focusing on disciplined bottom-up underwriting of attractive assets managed by quality managers. The strategy includes sourcing less competitive deals globally, pursuing a selective value approach, buying with a margin of safety, and focusing on efficient portfolio construction.

title: Glendower Investment Strategy


document_description: The document outlines a disciplined barbell approach by Southern Financial LLC, adjusting to market cycles by dialing up or down deal types relative to segment attractiveness. It includes descriptions of fund secondaries, GP-led secondaries, and single asset deals, along with market estimates and deal performance metrics.


document_description: The document discusses GP-led transactions and their evolution over the past five years, highlighting the advantages and strategies employed by Glendower Capital in this space. It emphasizes the benefits of GP-led opportunities over traditional LP interest acquisitions, including in-depth due diligence, bespoke fund design, and limited use of leverage. The document also notes Glendower's track record and performance metrics as of September 30, 2017.

document_subtype: memo


document_description: The document provides an overview of Southern Financial LLC's sourcing and deal selection process, industry network, and investment experience. It highlights the company's proactive approach in engaging with potential sellers and its track record in GP-led and single asset deals. The document includes a table summarizing the company's experience, transactions, investments, portfolio management, deal approach, specialization, and outcomes.

title: Southern Financial LLC Deal and Investment Overview

key_organizations:
Southern Financial LLC
DB Wealth Management
Raymond James
Alex Brown
Glendower Capital


document_description: This document provides a table of illustrative case studies for fund secondaries transactions by Southern Financial LLC. It includes details on various projects/funds, deal sizes, discounts, regions, sellers, and descriptions of the transactions.

title: Fund Secondaries Transactions - Illustrative Case Studies

document_subtype: financial


document_description: The document provides illustrative case studies of GP-led transactions and single asset deals by Southern Financial LLC. It includes details on various projects/funds, deal sizes, regions, sellers, and descriptions of the deals.


document_description: This document contains an introduction, details on Glendower's investment strategy, a secondary market update, updates on SOF III and IV, and key terms for the Glendower Capital Secondary Opportunities Fund IV. It is marked as strictly confidential and is related to financial matters.

title: Glendower Capital Financial Document


document_description: The document provides an analysis of secondary market volumes from 2006 to 2018, with a forecast for 2018. It highlights that secondary market volume remains at record levels, with GP-led transactions representing 25% of the volume. The forecast for 2018 is over US$60 billion.

title: Secondary Market Volume Analysis

document_subtype: financial analysis

key_organizations:
Southern Financial LLC
Glendower Capital
Greenhill


document_description: The document provides an analysis of secondary market pricing for private equity fund interests, highlighting stable pricing trends from 2011 to 2017. It includes a table showing secondary market volume and pricing from 2005 to 2017, indicating a bubble phase in 2005-2007, a crisis phase in 2008-2010, and a normalized phase from 2011 onwards.

key_organizations:
Glendower Capital
Greenhill
Cogent Partners
Dow Jones Private Equity Analyst


document_description: The document provides an analysis of the secondary market capitalization, highlighting a balanced capital supply with specific figures for dry powder and annual deal volume. It includes graphical data on dry powder and deal volume ratios.

key_organizations:
Southern Financial LLC
Glendower Capital
Greenhill
Bain & Company


document_description: The document provides an analysis of significant unrealized private equity value locked in tail-end funds, with a focus on pre-crisis vintages amounting to US$600bn. It includes a breakdown of seller composition and unrealized PE value by year from 2004 to 2016.

title: Southern Financial LLC - Unrealized PE Value and Seller Composition

key_organizations:
Southern Financial LLC
Glendower Capital
Preqin
Greenhill


document_description: The document provides an analysis of GP-led transactions in the secondary market, highlighting their growth as a source of supply and liquidity solutions. It includes a table showing the annual GP-led secondaries in US$bn and their percentage of the total market from 2006 to 2017.


document_description: The document outlines an investment opportunity led by Southern Financial LLC, focusing on a GP-led secondary deal expected to close in April 2018. The investment involves mid-market buyouts in the US consumer industry, including franchisees of dining brands and a fitness brand. Key investment data includes a $100m invested capital at close, a 7% discount to NAV, and a 1.1x gross multiple. The strategy emphasizes a conservative capital structure and strong free cash flow.

title: SOF IV - Project Sunrise

document_subtype: Investment Summary


document_description: Key terms for Glendower Capital Secondary Opportunities Fund IV, LP, including target size, structure, investment period, term, minimum commitment, team commitment, general partner share, carried interest, hurdle rate, and clawback provisions.

title: SOF IV - Master Fund Key Terms

document_subtype: fund terms


document_description: The document is a scorecard for SOF IV, evaluating alignment of interest, governance, and transparency based on ILPA 2 principles. It includes best practices such as the all-contribution-plus-preferred-return-back-first model, LP favorable clawback provision, and comprehensive financial reporting.

title: SOF IV - ILPA 2 Scorecard

document_subtype: scorecard

key_organizations: Institutional Limited Partner Association


document_description: This document is a confidential investment report from Glendower Capital, detailing their investment strategy, secondary market updates, and key terms for their Secondary Opportunities Fund IV.

title: Glendower Capital Investment Report

document_subtype: investment report


document_description: Team bios for Southern Financial LLC, detailing the professional backgrounds and responsibilities of key team members including Rikesh Mohandoss, Devrup Banerjee, Aldrich Chan, and Philippe Ferneini. The document outlines their previous work experience, educational background, and current roles in origination, valuation, execution, and monitoring of secondary investments.

key_people:
Rikesh Mohandoss
Devrup Banerjee
Aldrich Chan
Philippe Ferneini

key_locations:
New York
London

document_subtype: team bios

key_organizations:
Southern Financial LLC
Deutsche Bank
Bank of America
Freddie Mac
Goldman Sachs
UBS
Credit Suisse
Booz & Company
Glendower Capital


document_description: This document provides a summary of the SOF III fund, including its first and final closing date, fund size, investor regions, types, and sizes of individual commitments. The fund closed on October 20, 2014, with a size of US$1.65 billion and 92 investors. It includes a breakdown of investor regions and types, as well as the size of individual commitments.

title: SOF III — Investor base

document_subtype: financial summary

key_organizations:
Southern Financial LLC
Deutsche Bank
Glendower Capital


document_description: This document provides a detailed summary of various financial transactions managed by Southern Financial LLC as of September 30, 2017. It includes information on project names, sourcing, seller types, deal types, funds, invested and funded capital, initial closing dates, gross multiples, and portfolio details.

title: Overall transaction summary as of September 30, 2017


document_description: The document provides a breakdown of the gross invested capital for Southern Financial LLC's SOF II portfolio as of September 30, 2017. It includes details on fund size, capital called, distributions, remaining NAV, and total net return. The document also outlines the sector composition, asset geography, and vintage year distribution of investments.

title: SOF II — Portfolio construction


document_description: This document provides a summary of transactions for Southern Financial LLC's SOF II as of September 30, 2017. It includes details on various projects, their sourcing, seller types, deal types, funds, companies involved, invested and funded capital, initial closing dates, gross multiples, and portfolio details.


document_description: The document provides an overview of the remaining portfolio construction by FMV1 for Southern Financial LLC as of September 30, 2017. It includes details on fund size, invested capital, capital called, distributions, remaining NAV, and total net return. It also outlines asset geography, investment strategy, vintage year distribution, and sector composition.

title: Remaining portfolio construction by FMV1 as of September 30, 2017


document_description: This document provides a detailed financial summary of various investment projects managed by Southern Financial LLC as of September 30, 2017. It includes information on project names, sourcing, seller types, deal types, funds, companies, invested and funded capital, initial closing dates, gross multiples, and portfolio details. The document also includes notes on invested and funded capital, performance figures, and specific details about Hoover transactions.


document_description: This confidential presentation by Glendower Capital, LLP provides summary information about existing and future funds managed by Glendower, specifically the Glendower Capital Secondary Opportunities Fund IV, LP. It outlines the risks, terms, and conditions of investing in the Fund, emphasizing that it is not an offer to sell or a solicitation to buy any security. The presentation also discusses potential conflicts of interest with Credit Suisse Asset Management Limited, the Fund's placement agent.

key_people:
Glendower Capital, LLP
Credit Suisse Asset Management Limited

document_subtype: investment presentation


document_description: This document is a presentation by Glendower Capital regarding a fund managed by Southern Financial LLC. It outlines the fund's investment strategy, potential risks, and disclaimers about forward-looking statements. The presentation emphasizes that past performance is not indicative of future results and that the fund's strategy may differ from previous ones. It also highlights the high risks and lack of liquidity associated with investing in the fund, making it suitable only for sophisticated investors.

key_organizations:
Southern Financial LLC
Glendower Capital
Credit Suisse


document_description: This document provides key definitions related to investment terms used by Southern Financial LLC, including 'Single Asset Deal', 'Fund Secondary', 'GP-led Secondary', and various fund names such as SOFF, SOF D, SOF II, and SOF III. It also defines financial indices like the Russell 2000 Index, MSCI World Index, and Thomson Reuters Private Equity Buyout Index.

title: Key Definitions for Southern Financial LLC

key_organizations:
Southern Financial LLC
Glendower Capital
FTSE Russell
London Stock Exchange Group
Thomson Reuters


document_description: The document provides important information on the track record and investment performance of the Glendower SOF Team, which spun off from Deutsche Bank in August 2017 to form Glendower Capital LLP. It includes details on the investment committee members, performance metrics such as Gross IRR and Net IRR, and valuation methodologies for unrealized investments. The document also discusses target returns and the assumptions underlying them, emphasizing that actual returns may differ from projections.

title: Notes to Investment Performance

key_people:
Carlo Pirzio-Biroli
Charles Smith
Chi Cheung
Francesco Rigamonti
Adam Graev

document_subtype: Investment Performance Notes

key_organizations: Deutsche Alternative Asset Management (Global) Limited


document_description: This document is an investment presentation for Southern Financial LLC, providing important information for recipients in various jurisdictions including the European Economic Area, Australia, Bahrain, and Brazil. It outlines the legal and regulatory considerations for offering or selling interests in the fund in these regions, emphasizing that the presentation is not a prospectus or an offer to the public.

key_locations:
European Economic Area
Australia
Bahrain
Brazil

key_organizations:
Southern Financial LLC
Credit Suisse Group
Credit Suisse AG
Central Bank of Bahrain
Brazilian Securities Commission


document_description: This document is an investment presentation by Southern Financial LLC, providing important information for recipients in Hong Kong and Israel. It outlines the legal restrictions and conditions under which investment interests or securities can be offered or sold in these jurisdictions. The presentation emphasizes that it is not approved by the respective securities authorities in Hong Kong and Israel and is intended for 'professional investors' or 'sophisticated investors' only. It also includes disclaimers about the reproduction and distribution of the presentation and advises potential investors to seek competent investment counseling.

key_locations:
Hong Kong
Israel

key_organizations: Securities and Futures Commission of Hong Kong


document_description: This document is a presentation by Southern Financial LLC, providing important information for recipients in certain jurisdictions regarding investment in a fund. It outlines the legal and regulatory considerations for investors in St. Kitts and Nevis, UAE/Abu Dhabi/Dubai, and the United States. The presentation emphasizes that the fund is not registered with any regulatory authority in these regions and highlights the risks involved in investing.

key_locations:
St. Kitts and Nevis
UAE
Abu Dhabi
Dubai
United States

document_subtype: presentation

key_organizations: Financial Services Regulatory Commission


document_description: Supplemental disclosure document by Deutsche Bank Securities Inc. and Deutsche Bank Trust Company Americas, acting as a solicitation agent for a fund. It outlines the nature of the securities, associated risks, and disclaimers regarding the accuracy of the information. It also clarifies that the securities are not insured by the FDIC and are subject to investment risks.

document_subtype: Supplemental Disclosure

key_organizations:
Deutsche Bank Securities Inc.
Deutsche Bank Trust Company Americas
Deutsche Bank


document_description: A letter from Deutsche Bank requesting consent to share personal information with iCapital Parties for a fund investment managed by iCapital Advisors, LLC. The letter outlines the types of information required from natural persons and corporate structures or trusts.

title: Letter of Authorization for Fund Investment

document_subtype: Letter of Authorization

key_organizations:
Deutsche Bank
iCapital Advisors, LLC
Southern Financial LLC


document_description: Authorization form for Deutsche Bank to provide information and transfer funds related to an investment in Glendower Access Secondary Opportunities IV (U.S.), L.P. The form includes options for Deutsche Bank to receive information from iCapital Parties and acknowledges that fund interests will not be held at Deutsche Bank.

document_subtype: authorization form


document_description: A financial document related to Southern Financial LLC with placeholders for placement fee, initial capital contribution amount, and Deutsche Bank account number. The document is marked confidential and is subject to Federal Rule of Criminal Procedure 6(e).

document_subtype: financial record

key_organizations:
Southern Financial LLC
Deutsche Bank


document_description: This document is a supplement to the Confidential Private Placement Memorandum dated January 2018, related to the offering of limited partnership interests in Glendower Access Secondary Opportunities IV (US), L.P. It is intended for investors referred by Deutsche Bank Securities Inc.

title: Supplement to the Confidential Private Placement Memorandum

document_subtype: Private Placement Memorandum Supplement

key_organizations:
Southern Financial LLC
Glendower Capital
Deutsche Bank Securities Inc.


document_description: This document is a supplement to the Confidential Private Placement Memorandum of Glendower Access Secondary Opportunities IV (U.S.), L.P., intended to update information regarding Deutsche Bank Securities Inc.'s role as Placement Agent and related compensation. It outlines the investment strategy involving Glendower Capital Secondary Opportunities Fund IV, LP, and provides disclosure permissions related to tax treatment and structure.

title: Glendower Access Secondary Opportunities IV (U.S.), L.P. Supplement


document_description: Amendment to the 'Summary of Principal Terms of the Access Fund' in the Memorandum, detailing the Servicing Fee arrangement with Deutsche Bank Securities Inc. as a Placement Agent. The Servicing Fee is calculated based on the subscription amount of DB Introduced Persons to the Access Fund, with different rates applied during and after the investment period of the Underlying Fund.

document_subtype: Memorandum Amendment

key_organizations:
Southern Financial LLC
Deutsche Bank Securities Inc.
Access Funds


document_description: The document outlines the placement fee structure for Deutsche Bank in relation to the Access Fund and Underlying Fund. It details the DB Placement Fee rates based on investment levels and the Direct Investor Placement Fees for Deutsche Bank's role as a placement agent. It also mentions risk factors and potential conflicts of interest for DB Introduced Persons.

document_subtype: Fee Schedule

key_organizations:
Deutsche Bank
Southern Financial LLC
Glendower GP
Glendower Capital LLC


document_description: DBSI reached a settlement agreement with the SEC, the National Association of Securities Dealers, the New York Stock Exchange, the New York Attorney General, and other state regulators regarding research analyst independence. DBSI agreed to pay $87.5 million. Additionally, on June 3, 2009, DBSI settled proceedings related to auction rate securities, agreeing to buy back ARS from certain customers and compensate those who sold below par value.

document_subtype: settlement agreement


document_description: Form W-9 is used to request a taxpayer identification number (TIN) and certification from individuals or entities required to file an information return with the IRS. It includes sections for providing personal or business information, tax classification, and certification under penalties of perjury.

title: Form W-9 (Rev. November 2017)

document_subtype: tax form


document_description: Instructions for completing Form W-9, including penalties for falsifying information, misuse of TINs, and specific instructions for different types of entities. It also includes information on exemptions from backup withholding and FATCA reporting.

title: Form W-9 Instructions

document_subtype: tax form instructions


document_description: This document provides instructions for completing Form W-9, including information on exempt payees, FATCA exemption codes, and how to obtain a Taxpayer Identification Number (TIN). It also outlines the certification process for U.S. persons and resident aliens.

title: Form W-9 Instructions

document_subtype: tax document

key_organizations: IRS SSA

reference_numbers:
Form W-9
Form 1099-MISC
Form SS-5
Form W-7
Form SS-4


document_description: Instructions for completing Form W-9, including details on providing TINs for various account types and guidance on identity theft prevention.

title: Form W-9 Instructions

document_type: other

key_organizations:
IRS
Taxpayer Advocate Service


document_description: Liam O'Sullivan from Deutsche Bank confirms the purchase of 50,000 shares of AMD at a price of 14.92886 per share. The communication includes disclaimers about the reliability of the information and confidentiality notices.

key_organizations:
Deutsche Bank Securities Inc
Pershing NetX 360


document_description: A table listing various companies with their stock prices as of June 1, 2015, along with Deutsche Bank Global Market Research ratings and target prices.

key_people:
Ari
Daniel Sabba
Paul Morris
Vahe Stepanian
Ariane Dwyer

document_subtype: financial report

key_organizations:
DB Global Market Research
Deutsche Bank


document_description: This document is a confidential communication that may contain privileged information. It includes a disclaimer about unauthorized use, disclosure, or copying being strictly prohibited and potentially unlawful. The communication is intended only for the addressee and is the property of JEE. It also mentions that Deutsche Bank does not provide legal or tax advice.

key_organizations:
Deutsche Bank
JEE


document_description: A memo discussing rejection points on KYC Case#01946825 for Prvtanee, LLC, with requests for assistance in resolving specific issues related to address discrepancies, email chains, SOW information, and other KYC documentation requirements.

key_people:
Jeffrey Epstein
Caroline
Richard Kahn
Darren Indyke

key_locations:
US Virgin Islands
Royal Palms Professional Building

document_subtype: memo

key_organizations: Department of Licensing and Consumer Affairs


document_description: A note from Vijay Sawant, a KYC Case Representative at Deutsche Bank Group Wealth Management, indicating ongoing work on certain points.


document_description: A wire transfer transaction for Jeffrey E. Epstein was rejected. The transaction was processed through Deutsche Bank's Business Internet Banking system.

key_people:
Jeffrey E. Epstein
Halina Laczny

document_subtype: Wire Transfer


document_description: Financial data related to Steward Oldfield and Southern Financial, including FY18 actuals, Apr19 YTD, and FY19 targets. The document includes revenue and NNA figures for both Steward Oldfield and Southern Financial House Account.

key_people:
Steward Oldfield
Rob Frohlich

key_organizations:
Deutsche Bank AG
Southern Financial


document_description: This document is a communication related to a securities offering, listing the bookrunners and co-managers involved. It advises potential investors to read the prospectus filed with the SEC for more information and provides contact details for obtaining the prospectus.

key_locations: 60 Wall Street, New York, New York 10016

key_organizations:
JPMorgan
Deutsche Bank
UBS
Needham
Oppenheimer
SEC


document_description: Passcon will monitor and track progress, delivering updates on individual client portfolios every two weeks and higher-level reports to the KYC SteerCo more frequently. Recipients are requested to review their client portfolios and provide feedback. A call will be scheduled to discuss further details and next steps.

key_organizations:
passcon LLC
KYC SteerCo


document_description: This document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It is produced in native format and is subject to Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: This document is a daily deposit report listing account numbers, names, categories, balances, and overdraft amounts for various entities, including Jeffrey Epstein. It highlights large, zero, and negative balances as of January 4, 2019.

title: M10082289 Daily Deposit Report 20190105

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Ali Rashid
Rahul Vaid

key_organizations:
The Jockey Club
The Grayson Jockey Club
Equibase Company
Southern Financial LLC
Neptune, LLC
Hyperion Air, LLC
Plan D, LLC
JEGE, LLC
HBRK Associates, Inc
NES, LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Keyhole Partners, LLC
Third Lake Partners, LLC
Addison at Millenia Holdings, LLC
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
The Haze Trust
SSW 2007 LLC
KWF 2007 LLC
CRW 2007 LLC
GEW 2007 LLC
Wanek Trust of 2000
CRW 2009 LLC
GEW 2009 LLC
The 2017 Caterpillar Trust


document_description: The document contains a list of financial accounts and their balances, including trusts and LLCs associated with various individuals and entities. It also includes a table of large, zero, and negative balances for specific accounts.

key_people:
Shari Wagner
Laura A Forsythe
Kati Wanek-Forsythe
Todd R Wanek
Ronald & Joyce Wanek
Rahul Vaid
Ali Rashid
Steven D. Forsythe
Caitlin A. Forsythe
Cameron Wanek
Travis Wagner

key_organizations:
Ashley Holdings Inc
Keyhole Partners, LLC
Third Lake Partners, LLC
Addison at Millenia Holdings, LLC
CRW 2007 LLC
GEW 2007 LLC
KWF 2007 LLC
SSW 2007 LLC
Wanek Trust of 2000
CRW 2009 LLC
GEW 2009 LLC


document_description: The document lists various trusts and holdings with associated amounts, indicating financial transactions or holdings. It includes multiple entries for trusts associated with individuals such as Shari Wagner, Robert S. Forsythe, Laura A. Forsythe, Kati Wanek-Forsythe, Todd R. Wanek, and Ronald & Joyce Wanek, as well as Ashley Holdings Inc. The amounts range from $100,000 to $50,000,000.

key_people:
Shari Wagner
Robert S. Forsythe
Laura A. Forsythe
Kati Wanek-Forsythe
Todd R. Wanek
Ronald Wanek
Joyce Wanek


document_description: The document is a daily deposit report listing large, zero, and negative balances for various accounts as of January 23, 2019. It includes account names, categories, and balances.

title: M10082289 Daily Deposit Report 20190124

key_people:
Jeffrey Epstein
Nancy DeVane
Michael DeVane
Ali Rashid
Rahul Vaid
Mara Wagner
Leah Kubis
Darren K. Indyke

key_organizations:
The Jockey Club
The Jockey Club Safety Net Foundation
The Grayson Jockey Club
Equibase Company
Incompass Solutions Inc
Southern Financial LLC
Neptune, LLC
Plan D, LLC
HBRK Associates, Inc
NES, LLC
LSJE, LLC
Gratitude America, Ltd
Blood-Horse LLC
Zorro Management, LLC
Prytanee, LLC
The Haze Trust
Kati Wanek-Forsythe 2015 GRAT
Shari Wagner 2015 GRAT
Todd R Wanek 2015 GRAT Trust
Ronald & Joyce Wanek Irrevocable Trust
Keyhole Partners, LLC
Third Lake Partners, LLC
Addison at Millenia Holdings, LLC
Axcis Information Network Inc
Southern Trust Company, Inc.
Butterfly Trust
SSW 2007 LLC
KWF 2007 LLC
CRW 2007 LLC
GEW 2007 LLC
Shari Wagner 2014 GRAT
Wanek Trust of 2000
CRW 2009 LLC
GEW 2009 LLC
The 2017 Caterpillar Trust


document_description: The document contains financial data, including account balances and transactions for various individuals and trusts. It lists large, zero, and negative balances for accounts associated with names like Steven D. Forsythe, Caitlin A. Forsythe, Kati Wanek-Forsythe, Cameron Wanek, Travis Wagner, and Shari Wagner. The data includes account categories and balance amounts, with some accounts having significant balances.


document_description: The document lists various trusts and holdings associated with individuals such as Shari Wagner, Robert S. Forsythe, Laura A. Forsythe, Kati Wanek-Forsythe, Todd R. Wanek, and Ronald & Joyce Wanek. It also mentions Ashley Holdings Inc. The document includes several monetary amounts, possibly indicating financial transactions or valuations related to these trusts and holdings.

key_people:
Shari Wagner
Robert S. Forsythe
Laura A. Forsythe
Kati Wanek-Forsythe
Todd R. Wanek
Ronald Wanek
Joyce Wanek
Mara Wagner
Leah Kubis


document_description: This document is a portfolio alert for Ghislaine Maxwell, indicating a risk priority due to involvement in people trafficking and organ trafficking. The alert references a suit filed against Maxwell for supplying Epstein with underage women, as reported by the New York Daily News.

title: Portfolio Alert for Ghislaine Maxwell

document_subtype: Portfolio Alert

key_organizations:
Deutsche Bank Private Bank
New York Daily News


document_description: A confidential communication from Deutsche Bank, possibly related to legal or regulatory matters. The message includes a disclaimer about the confidentiality and privileged nature of the information, and a link to EU corporate and regulatory disclosures.

key_people: Bella Shuliak


document_description: A memorandum from Karyna Shuliak requesting a wire transfer of $13,370.68 from a specified debit account to her account at JPMorgan Chase, with instructions to close the account after the transfer.

key_people:
Karyna Shuliak
Brigid Liam

document_subtype: wire transfer request


document_description: The document is marked as confidential and is related to a legal matter, likely involving the Southern District of New York (SDNY). It references Federal Rule of Criminal Procedure 6(e), which pertains to grand jury secrecy.


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, covering the period from February 1, 2019, to February 28, 2019. It details the account's beginning and ending values, cash deposits and withdrawals, securities transactions, and income. The statement also includes an asset summary and mentions FDIC insurance for bank deposits.

title: Deutsche Bank Account Statement

key_locations:
Baltimore, MD
New York, NY
St Thomas, VI

document_subtype: bank statement

key_organizations:
Deutsche Bank
Southern Financial LLC
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document provides a financial statement detailing FDIC insured bank deposits and income and expense summary for the period ending February 28, 2019. It includes information on negative interest rates, account activities, and income from dividends and interest.

document_subtype: financial statement

key_organizations: Securities Investor Protection Corporation


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, detailing portfolio holdings for February 2019. It includes information on cash, money funds, bank deposits, and estimated annual income. The document also provides disclosures on pricing, estimated annual figures, and foreign currency transactions.

title: Deutsche Bank Portfolio Holdings

document_date: February 1, 2019 - February 28, 2019


document_description: The document is a financial statement detailing portfolio holdings, proxy voting rights, and an activity summary of securities and cash transactions. It includes information on FDIC-insured bank deposits, money market funds, and a detailed activity summary table showing credits, debits, and net amounts for securities and cash.


document_description: This document is a bank statement from Deutsche Bank for Southern Financial LLC, detailing transactions from February 1, 2019, to February 28, 2019. It includes securities withdrawals and deposits, dividends and interest, cash withdrawals and deposits, and FDIC insured bank deposits.

title: Deutsche Bank Transactions for Southern Financial LLC

document_subtype: Bank Statement


document_description: This document is a financial account statement detailing transactions, client service information, account information, and electronic delivery preferences. It includes a transaction with an amount of -17,042,000.00 USD and outlines default tax lot disposition methods and bond amortization elections.

document_subtype: account statement

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
BNY Mellon


document_description: This document is a financial statement from Deutsche Bank, detailing the role of Pershing as a clearing broker, important information and disclosures, and arbitration agreements. It outlines the responsibilities of Pershing and the financial institution, contact information, and arbitration procedures.

document_date: February 1, 2019 to February 28, 2019

key_locations:
Baltimore, MD
Jersey City, New Jersey


document_description: The document outlines an arbitration agreement governed by the laws of the State of New York. It includes contact information for Pershing LLC's Legal Department and mentions the option for paperless communication. It also highlights Pershing LLC's clearing services through BNY Mellon and its membership in FINRA, NYSE, and SIPC.

title: Important Arbitration Agreement

document_subtype: Arbitration Agreement

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, covering the period from January 1, 2019, to January 31, 2019. It provides an overview of the account's performance, including beginning and ending account values, dividends, interest, and net changes in the portfolio. The statement also includes an asset summary and mentions FDIC insurance for bank deposits.

document_date: January 1, 2019 - January 31, 2019

key_locations:
Baltimore, MD
New York, NY
St. Thomas, VI


document_description: The document is a financial statement summarizing realized and unrealized gains and losses, FDIC insured bank deposits, and income and expense summary for the period ending January 31, 2019. It includes details on long-term gains/losses, net gains/losses, and interest income from FDIC insured bank deposits.

key_organizations:
European Central Bank
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
FDIC


document_description: This document is a portfolio holdings statement from Deutsche Bank for Southern Financial LLC, covering the period from January 1, 2019, to January 31, 2019. It includes details of cash, money funds, bank deposits, and equities, with specific information on FDIC insured bank deposits and common stocks, particularly Apple Inc. The statement provides opening and closing balances, accrued income, and yields, along with a summary of total portfolio holdings and disclosures regarding securities pricing and tax reporting.

title: Deutsche Bank Portfolio Holdings for Southern Financial LLC

document_subtype: Portfolio Holdings Statement


document_description: The document provides detailed information on portfolio holdings, including pricing, estimated annual figures, reinvestment details, option disclosures, foreign currency transactions, proxy voting, and IRS Form 1099 reminders. It also includes information about FDIC-insured bank deposits and the clearing process through Pershing LLC.

document_subtype: Portfolio Holdings Disclosure

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
Options Clearing Corporation
Federal Deposit Insurance Corporation


document_description: This document is a financial statement from Deutsche Bank for the period of January 1, 2019 to January 31, 2019. It includes information about money market funds, dividends, and interest activities. The statement shows a total of $33.01 in dividends and interest credited and the same amount debited as FDIC insured bank deposits interest reinvested, resulting in a net of $0.00 for the period.

title: Deutsche Bank Financial Statement

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document provides client service information for an investment account managed by Martin Zeman at 345 Park Avenue, New York. It includes details on tax lot default disposition methods, bond amortization elections, and electronic delivery preferences. Pershing LLC is identified as the clearing broker, with responsibilities outlined for both Pershing and the financial institution. The document emphasizes the role of Pershing as a custodian and clearing agent, and clarifies that Pershing does not provide investment advice.

document_subtype: Account Information


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, covering the period from January 1, 2019, to January 31, 2019. It includes important information and disclosures about the role of Pershing, arbitration disclosures, and agreements. It also provides contact information for Pershing and mentions the Securities Investor Protection Corporation (SIPC) coverage.


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, detailing account activity for December 2018. It includes beginning and ending account values, net cash deposits and withdrawals, dividends, interest, and other income, as well as a net change in portfolio value. The statement also provides an asset summary and mentions FDIC insurance for bank deposits.


document_description: The document provides a summary of gains and losses, FDIC insured bank deposits, and income and expense summary for the period ending December 31, 2018. It includes realized and unrealized gains/losses, details of negative interest rates, and a breakdown of taxable and non-taxable income.

document_subtype: financial summary

key_organizations:
European Central Bank
Citibank N.A.
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a portfolio holdings statement from Deutsche Bank for Southern Financial LLC, covering the period from December 1, 2018, to December 31, 2018. It details cash, money funds, bank deposits, and equities, including specific holdings in Apple Inc. The statement provides opening and closing balances, accrued income, and yields. It also includes disclosures about cost basis reporting rules and pricing information.

title: Deutsche Bank Portfolio Holdings Statement for Southern Financial LLC


document_description: The document provides information on portfolio holdings, including pricing, estimated annual figures, reinvestment details, option disclosures, foreign currency transactions, proxy voting, and IRS Form 1099 delivery information. It includes disclaimers about the accuracy of estimated figures and the reinvestment process, as well as details on foreign currency conversion rates and proxy voting rights for margin accounts.

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
Options Clearing Corporation


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, covering the period from December 1, 2018, to December 31, 2018. It includes information about money market mutual funds, FDIC-insured bank deposits, and a summary of financial activities including dividends, interest, and withdrawals.

title: Deutsche Bank Financial Statement

document_date: December 1, 2018 - December 31, 2018


document_description: This document contains financial transaction details related to FDIC insured bank deposits and other securities. It includes information on process and settlement dates, activity types, descriptions, quantities, prices, accrued interest, and amounts in USD. The document also provides client service information and account details, including tax lot default disposition methods and bond amortization elections.

key_organizations:
FDIC
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement from Deutsche Bank for Southern Financial LLC, detailing the role of Pershing as a clearing broker, important information and disclosures, and arbitration agreements. It includes contact information for Pershing and outlines the responsibilities of the financial institution and Pershing in managing the account.

title: Deutsche Bank Financial Statement

key_organizations: Securities Investor Protection Corporation (SIPC)

key_organizations: Financial Industry Regulatory Authority (FINRA)


document_description: Continuation of an important arbitration agreement and disclosure information. It includes details about arbitration exclusions, governing laws, and contact information for Pershing LLC. It also mentions the option for e-delivery and a rating by DALBAR.

document_subtype: disclosure

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
DALBAR


document_description: This document outlines the terms and conditions for transactions and account management with Pershing LLC. It covers topics such as transaction execution, title to securities, free credit balances, debit balances, margin information, tax information, and general account information. It also includes disclosures about payment for order flow and order routing policies.

key_locations: One Pershing Plaza, Jersey City, NJ 07399

document_subtype: terms and conditions

key_organizations:
Pershing LLC
Financial Industry Regulatory Authority
Federal Reserve System
BNY Mellon Capital Markets LLC
The Bank of New York Mellon Corporation


document_description: This document is a bank statement from Deutsche Bank for Jeffrey Epstein, covering the period from January 1, 2019, to January 31, 2019. The statement shows a beginning account value of $669,802.96, with net cash deposits and withdrawals amounting to -$670,009.42, resulting in an ending account value of $0.00. The statement also includes information about FDIC insurance and potential negative interest rates on foreign currency deposits.

key_people:
Jeffrey Epstein
Martin Zeman

key_organizations:
Deutsche Bank
Deutsche Bank Private Wealth Management
Deutsche Bank Securities Inc.
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC
Federal Deposit Insurance Corporation


document_description: This document is a bank statement detailing FDIC insured bank deposits and activities for the period ending January 14, 2019. It includes information on opening and closing balances, withdrawals, deposits, and interest income.

key_organizations:
FDIC
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a portfolio holdings disclosure for Jeffrey Epstein from Deutsche Bank, covering the period from January 1, 2019, to January 31, 2019. It includes information on pricing, estimated annual figures, foreign currency transactions, proxy voting, and messages related to IRS Form 1099 and money market funds.


document_description: This document is a financial statement detailing account activity, including dividends, interest, cash withdrawals, and FDIC insured bank deposits. It includes a detailed activity summary and transactions by type of activity.

key_organizations:
Deutsche Bank Trust
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is an investment statement from Deutsche Bank for Jeffrey Epstein, covering the period from January 1, 2019 to January 31, 2019. It includes information about the client's investment objectives, tax lot default disposition methods, bond amortization elections, and electronic delivery preferences. The document also mentions the account is cleared through Pershing LLC, a subsidiary of BNY Mellon.

key_locations:
Baltimore, MD
New York, NY

document_subtype: Investment Statement

key_organizations:
Deutsche Bank
Pershing LLC
BNY Mellon


document_description: The document outlines the role of Pershing LLC as a clearing broker, its responsibilities, and the arbitration agreement related to disputes. It emphasizes that Pershing acts as an agent for financial institutions, does not provide investment advice, and is not liable for the actions of financial institutions. The document also includes important arbitration disclosures and agreements, highlighting the limitations and conditions of arbitration proceedings.

document_subtype: disclosure statement

key_organizations: Securities Investor Protection Corporation


document_description: This document is a financial statement from Deutsche Bank for the JEPSTEIN VIRGIN ISLANDS FOUNDATION INC, covering the period from February 1, 2019, to February 28, 2019. It includes details on account values, cash deposits and withdrawals, dividends, interest, and gains/losses.

title: Deutsche Bank Account Statement for JEPSTEIN VIRGIN ISLANDS FOUNDATION INC

key_organizations:
Deutsche Bank
JEPSTEIN VIRGIN ISLANDS FOUNDATION INC
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document provides details on negative interest rates introduced by the ECB and other institutions, a money market fund activity report, income and expense summary, and portfolio holdings. It includes transactions such as deposits, withdrawals, and accrued dividends, with a focus on a sweep money market fund.

key_organizations:
European Central Bank
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a financial statement from Deutsche Bank for Jeffrey Epstein's Virgin Islands account, detailing portfolio holdings, cash, money funds, and bank deposits for February 2019. It includes information on accrued income, estimated annual income, and disclosures about pricing, reinvestment, and foreign currency transactions.

title: Deutsche Bank Portfolio Holdings

key_locations:
Virgin Islands
Baltimore, MD

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document contains a schedule of realized gains and losses for a current period, detailing transactions involving securities such as Bristol Myers Squibb and Disney Walt Co. It includes information on foreign currency transactions, proxy voting, and cost basis reporting rules. The document advises on tax reporting and cost basis adjustments, emphasizing the importance of consulting a tax advisor.

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement from Deutsche Bank for the account of Jeffrey Epstein for the period of February 1, 2019 to February 28, 2019. It includes an activity summary of securities sold, dividends and interest, and cash withdrawals. The statement details transactions such as the sale of Bristol Myers Squibb and Disney Walt Co shares.

key_organizations:
Deutsche Bank
Bristol Myers Squibb
Disney Walt Co
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document contains a financial statement detailing transactions by type of activity, including dividends, interest, cash withdrawals, and deposits. It includes specific transaction details such as dates, activity types, descriptions, amounts, and currencies. Additionally, it provides client service information and account details.

key_organizations:
Bristol Myers Squibb Co
FirstBank Puerto Rico
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a bank statement from Deutsche Bank for Jeffrey Epstein's account in the Virgin Islands, covering the period from February 1, 2019, to February 28, 2019. It includes information about electronic delivery preferences, the role of Pershing as a clearing broker, and important disclosures regarding account management and protection.

title: Deutsche Bank Account Statement

document_date: February 2019


document_description: This document outlines the arbitration agreement between the parties and Pershing LLC, highlighting the waiver of the right to sue in court, the finality of arbitration awards, and the limited discovery process in arbitration. It also specifies that arbitration will be conducted before the Financial Industry Regulatory Authority and includes contact information for Pershing LLC.

title: Important Arbitration Disclosures and Agreement

key_locations: One Pershing Plaza, Jersey City, New Jersey

key_organizations:
Pershing LLC
Financial Industry Regulatory Authority
The Bank of New York Mellon Corporation


document_description: This document is a financial statement from Deutsche Bank for the account of JEPSTEIN VIRGIN ISLANDS FOUNDATION INC, covering the period from January 1, 2019, to January 31, 2019. It includes details on the beginning and ending account values, net cash deposits and withdrawals, dividends, interest, and other income, as well as realized and unrealized gains and losses.


document_description: The document provides information on negative interest rates introduced by the European Central Bank and other credit institutions, which may affect foreign currency deposits. It includes a detailed table of money market fund activities for January 2019, showing deposits, withdrawals, and balances. Additionally, it summarizes income and expenses, including dividend income from equities and money market funds.


document_description: This document is a portfolio holdings statement from Deutsche Bank for Jeffrey Epstein, covering the period from January 1, 2019, to January 31, 2019. It details the equities in the portfolio, including common stocks like Bristol Myers Squibb Co and Disney Walt Co, with information on quantities, unit costs, cost basis, market prices, market values, unrealized gains/losses, estimated annual income, and estimated yield. The document also includes disclosures about cost basis reporting rules and pricing.

title: Deutsche Bank Portfolio Holdings Statement for Jeffrey Epstein


document_description: The document provides disclosures related to portfolio holdings, including estimated annual figures, reinvestment details, option disclosures, foreign currency transactions, and proxy voting. It includes a schedule of realized gains and losses for the current period, detailing transactions for Bristol Myers Squibb.

title: Portfolio Holdings Disclosures

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
Options Clearing Corporation


document_description: The document is a financial statement from Deutsche Bank for Jeffrey Epstein's Virgin Islands account, detailing the schedule of realized gains and losses for the period of January 1, 2019, to January 31, 2019. It discusses the cost basis reporting rules, adjustments for tax reporting, and the importance of consulting a tax advisor for accurate reporting. It also includes a reminder about the IRS Form 1099 mailing and information about money market mutual funds.

document_subtype: Schedule of Realized Gains and Losses

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement summarizing securities transactions, dividends, interest, and cash withdrawals for a specific period. It includes details of securities sold, dividends received, and a significant cash withdrawal. The net result for the period is a negative balance.

key_organizations:
BRISTOL MYERS SQUIBB CO
DISNEY WALT CO
FIRSTBANK PUERTO RIC
Pershing LLC
The Bank of New York Mellon Corporation


document_description: Deutsche Bank account statement for Jeffrey Epstein's Virgin Islands account for January 2019. Includes account information, tax lot default disposition methods, bond amortization elections, and electronic delivery preferences.

key_people:
Jeffrey Epstein
Martin Zehl


document_description: The document outlines the role of Pershing LLC as a clearing broker, its responsibilities, and the arbitration agreement related to disputes. It emphasizes that Pershing acts as an agent for financial institutions, does not provide investment advice, and is not liable for the actions of financial institutions. The document also includes important arbitration disclosures and agreements, stating that disputes will be resolved through arbitration under the Financial Industry Regulatory Authority. It provides contact information for Pershing and mentions additional SIPC protection.


document_description: This document is a financial statement from Deutsche Bank for the JEPSTEIN VIRGIN ISLANDS FOUNDATION INC, covering the period from December 1, 2018, to December 31, 2018. It includes details of the account's beginning and ending values, net cash deposits and withdrawals, dividends, interest, and other income, as well as a summary of asset types and their values.


document_description: This document is a financial statement summarizing gains and losses, money market fund details, and income and expense summary for a specific account. It includes information on long-term gains/losses, net gains/losses, and details of money market fund activities such as withdrawals and deposits. The document also discusses the impact of negative interest rates introduced by the European Central Bank and other institutions.

key_organizations:
European Central Bank
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a portfolio holdings statement from Deutsche Bank for Jeffrey Epstein, covering the period from December 1, 2018, to December 31, 2018. It details cash, money funds, bank deposits, and equities, including specific holdings in Bristol Myers Squibb and Disney. The statement includes opening and closing balances, accrued income, and yields. It also notes the cost basis reporting rules for securities.

key_locations:
Baltimore, MD
Virgin Islands


document_description: This document provides information on the net market value of securities, estimated annual income and yield figures, reinvestment details, option disclosure, foreign currency transactions, proxy voting, and IRS Form 1099 delivery for a financial account. It includes details on pricing, reinvestment, option transactions, foreign currency conversion, and proxy voting rights.


document_description: This document is a financial statement from Deutsche Bank for the account associated with JEPSTEIN VIRGIN ISLANDS, covering the period from December 1, 2018, to December 31, 2018. It includes an activity summary with credits, debits, and net amounts for securities and cash, as well as detailed transactions for dividends, interest, and cash withdrawals.

title: Deutsche Bank Statement for JEPSTEIN VIRGIN ISLANDS

key_organizations:
Deutsche Bank
JPMorgan Chase Bank
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a financial account statement detailing transactions, client service information, account information, and disclosures related to the role of Pershing as a clearing broker. It includes transaction details such as process/settlement date, activity type, description, quantity, price, accrued interest, amount, and currency. The document also provides contact information for the investment specialist and outlines default methods for tax lot disposition and bond amortization elections.


document_description: This document is a financial statement from Deutsche Bank for the account 'JEPSTEIN VIRGIN ISLANDS' covering the period from December 1, 2018 to December 31, 2018. It includes important information and disclosures about the role of Pershing, arbitration agreements, and contact information for inquiries. The document emphasizes the importance of reporting inaccuracies promptly and outlines the arbitration process.


document_description: The document outlines the terms and conditions for transactions and account management with Pershing LLC. It covers topics such as transaction execution, title to securities, free credit balances, debit balances, margin information, tax information, and general account information. It also includes disclosures about payment for order flow and order routing policies.

key_organizations:
Pershing LLC
Financial Industry Regulatory Authority
Federal Reserve System
BNY Mellon Capital Markets LLC
The Bank of New York Mellon Corporation


document_description: This document is a financial statement from Deutsche Bank for THE HAZE TRUST, covering the period from February 1, 2019, to February 28, 2019. It includes details of account values, cash deposits, withdrawals, and asset summaries. The statement also mentions the potential for negative interest rates on foreign currency deposits.

title: Deutsche Bank Statement for THE HAZE TRUST

key_people:
Jeffrey Epstein
Darren K. Indyke
Martin Zeman

key_organizations:
Deutsche Bank
Deutsche Bank Private Wealth Management
Deutsche Bank Securities Inc.
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document provides a detailed account of money market fund activities, income and expense summary, and portfolio holdings for a specific period. It includes transactions such as withdrawals, deposits, and accrued dividend credits, along with income from equities and money markets.

title: Money Market Fund Detail

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a financial statement from Deutsche Bank for THEHAZETRUST, detailing portfolio holdings, market value, accrued interest, and estimated annual income for the period of February 1, 2019 to February 28, 2019. It includes disclosures on pricing, estimated annual figures, reinvestment, foreign currency transactions, and proxy voting.

title: Deutsche Bank Portfolio Holdings Statement


document_description: This document is a financial activity summary detailing securities and cash transactions, including withdrawals and deposits, for a specific account. It includes a table summarizing credits, debits, and net amounts for the period and year-to-date. Specific transactions are listed with details such as date, activity type, description, quantity, and amount in USD. The document also mentions the account number and provides information about going paperless and the clearing entity, Pershing LLC.

key_organizations:
Alphabet Inc
Carvana Co
Citigroup Inc
JPMorgan Chase & Co
United Technologies Corp
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a financial statement from Deutsche Bank for The Haze Trust, detailing transactions by type of activity for February 2019. It includes dividends and interest, cash withdrawals and deposits, and total transaction values in USD.

title: Deutsche Bank Financial Statement for The Haze Trust

key_organizations:
Deutsche Bank
DWS Govt & Agency Instl Income
Citigroup Inc
HSBC Bank USA
Deutsche Bank Trust
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document provides account information related to tax lot default disposition methods, bond amortization elections, and electronic delivery preferences. It also includes important disclosures about the role of Pershing as a clearing broker and custodian, and provides contact information for inquiries.

document_subtype: account information

key_organizations: Securities Investor Protection Corporation (SIPC)


document_description: This document is a financial statement from Deutsche Bank for THE HAZE TRUST covering the period from February 1, 2019, to February 28, 2019. It includes important information and disclosures about the role of Pershing LLC, arbitration disclosures, and agreements. The document also provides contact information for Pershing LLC and mentions the account number N4G-024943.

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
Financial Industry Regulatory Authority


document_description: This document is a financial statement from Deutsche Bank for THE HAZE TRUST, covering the period from January 1, 2019, to January 31, 2019. It details the account's beginning and ending values, net cash deposits and withdrawals, dividends, interest, and other income, as well as the net change in the portfolio. The statement also provides a breakdown of asset types and their values for the period.

title: Deutsche Bank Account Statement for THE HAZE TRUST

key_people:
Jeffrey Epstein
Darren Kinde
Martin Zeman


document_description: This document is a financial statement summarizing gains and losses, money market fund details, and income and expense summary for the period ending January 31, 2019. It includes short-term and long-term gains/losses, money market fund transactions, and dividend income details.


document_description: This document is a portfolio holdings statement from Deutsche Bank for THE HAZE TRUST, covering the period from January 1, 2019, to January 31, 2019. It includes details on cash, money funds, bank deposits, fixed income, and equities, with specific information on quantities, account numbers, balances, yields, and gains/losses.

title: Deutsche Bank Portfolio Holdings for THE HAZE TRUST

key_organizations:
Deutsche Bank
THE HAZE TRUST
JPMorgan Chase & Co
Alphabet Inc
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document provides a detailed account of portfolio holdings, including equities and preferred stocks, with information on acquisition dates, quantities, unit costs, cost basis, market prices, market values, unrealized gains/losses, and estimated annual income. It also includes notes on cost basis rules and noncovered securities.

document_subtype: Portfolio Holdings

key_organizations:
Carvana Co
United Technologies Corp
Citigroup Inc
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a portfolio holdings statement for THE HA ZE TRUST from Deutsche Bank, covering the period from January 1, 2019, to January 31, 2019. It includes information on cost basis adjustments, pricing, estimated annual figures, reinvestment details, and option disclosures. The statement also mentions the involvement of Pershing LLC for clearing services.

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
Options Clearing Corporation


document_description: The document outlines foreign currency transactions, proxy voting rights, credit ratings, and important reminders for IRS Form 1099. It includes an activity summary table showing credits, debits, and net amounts for dividends, interest, withdrawals, and deposits.

key_organizations:
Pershing LLC
Standard & Poor's
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement from Deutsche Bank for THE HAZE TRUST, covering transactions from January 1, 2019, to January 31, 2019. It includes details of dividends, interest, cash withdrawals, and deposits.

key_organizations:
Deutsche Bank
JPMorgan Chase & Co
HSBC Bank USA
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document provides account information including tax lot default disposition methods, bond amortization elections, and electronic delivery preferences. It also outlines the role of Pershing as a clearing broker and provides important disclosures related to account management and protection.


document_description: This document is a financial statement from Deutsche Bank for the HA ZE Trust, covering the period from January 1, 2019 to January 31, 2019. It includes important information and disclosures about the role of Pershing LLC, arbitration agreements, and contact information for Pershing LLC. The document also mentions the option for e-delivery and highlights Pershing LLC's affiliation with The Bank of New York Mellon Corporation.


document_description: This document is a financial statement from Deutsche Bank for THE HAZE TRUST, covering the period from December 1, 2018, to December 31, 2018. It includes details of account values, cash deposits and withdrawals, dividends, interest, and asset summary.

key_people:
Jeffrey Epstein
Darren Kindyke
Martin Zeman


document_description: This document is a financial statement summarizing gains and losses, money market fund details, and income and expense summary for a specific period. It includes short-term and long-term gains/losses, money market fund transactions, and income from dividends and interest. The document also mentions the potential for negative interest rates on foreign currency deposits.


document_description: This document is a portfolio holdings statement from Deutsche Bank for THE HAZE TRUST, covering the period from December 1, 2018, to December 31, 2018. It includes details on cash, money funds, bank deposits, fixed income, and equities, with specific information on quantities, account numbers, balances, yields, and gains/losses.

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document provides a detailed account of portfolio holdings, including equities and preferred stocks, with information on acquisition dates, quantities, unit costs, cost basis, market prices, market values, unrealized gains/losses, and estimated annual income. It also discusses cost basis rules and reporting requirements.


document_description: This document is a financial statement from Deutsche Bank for THE HAZETRUST, covering the period from December 1, 2018, to December 31, 2018. It includes information on portfolio holdings, pricing, estimated annual figures, reinvestment, and option disclosures. The document provides details on cost basis, market value, and reinvestment of dividends, among other financial details.

title: Portfolio Holdings


document_description: The document provides information on foreign currency transactions, proxy voting, credit ratings, and IRS Form 1099 delivery for 2018. It includes an activity summary table showing credits, debits, and net amounts for securities, dividends, interest, and distributions.


document_description: This document is a financial statement from Deutsche Bank for THE HA ZE TRUST, covering the period from December 1, 2018, to December 31, 2018. It includes a summary of credits, debits, and net amounts for the period and year-to-date, as well as detailed transactions by type of activity, such as dividends, interest, and cash transactions.

title: Deutsche Bank Activity Summary for THE HA ZE TRUST

key_organizations:
Deutsche Bank
HSBC Bank USA
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document provides client service information for an investment account managed by Martin Zeman. It includes contact information, account details, and important disclosures related to the role of Pershing as a clearing broker. The document outlines default methods for handling mutual funds, stocks, and bonds, and provides information on electronic delivery options. It also includes a disclaimer about Pershing's responsibilities and liabilities.


document_description: This document is a financial statement from Deutsche Bank for The Haze Trust, covering the period from December 1, 2018, to December 31, 2018. It includes important information and disclosures about the role of Pershing LLC, arbitration disclosures, and agreements. The document also provides contact information for Pershing LLC and mentions the account number associated with The Haze Trust.

key_organizations:
Deutsche Bank
The Haze Trust
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: The document outlines the terms and conditions for transactions and account management with Pershing LLC. It covers topics such as transaction execution, title to securities, free credit and debit balances, margin information, tax information, general account information, payment for order flow, and order routing policies. It also includes information on Pershing's role as a market maker and the availability of financial statements.

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
BNY Mellon
Financial Industry Regulatory Authority


document_description: This document is a financial statement from Deutsche Bank for the account of JEEPERS INC, covering the period from February 1, 2019, to February 28, 2019. It includes details of the beginning and ending account values, net cash deposits and withdrawals, dividends, interest, and other income. The statement also provides an asset summary and information about potential negative interest rates on foreign currency deposits.

key_organizations:
Deutsche Bank
Deutsche Bank Private Wealth Management
Deutsche Bank Securities Inc.
JEEPERS INC
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document provides details of a Money Market Fund, including transactions, income and expense summary, and portfolio holdings. It includes a sweep money market fund with a current yield of 2.31% as of 02/06/19. The document lists transactions such as withdrawals and deposits, and provides a summary of income and expenses for the current period and year-to-date.

key_organizations:
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement from Deutsche Bank for JEEPERS INC, covering the period from February 1, 2019, to February 28, 2019. It includes information on portfolio holdings, pricing, estimated annual figures, reinvestment, foreign currency transactions, proxy voting, and messages related to money market mutual funds.

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
JEEPERS INC


document_description: This document is a financial statement detailing activity summary and transactions by type of activity. It includes credits and debits for dividends, interest, and cash withdrawals for a specific period and year-to-date. The document also provides client service information and contact details for the investment specialist.

key_organizations:
Deutsche Bank Trust
Pershing LLC
The Bank of New York Mellon Corporation
BNY Mellon


document_description: Deutsche Bank account statement for Jeepers Inc. covering February 2019. Includes tax lot disposition methods, bond amortization elections, and electronic delivery preferences. Pershing LLC acts as the clearing broker.

key_organizations:
Deutsche Bank
Jeepers Inc.
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document provides important information and disclosures related to Pershing LLC, including its role, arbitration disclosures, and agreement. It highlights the protection offered by SIPC and additional coverage by Pershing, the process for reporting inaccuracies, and the arbitration process governed by the Financial Industry Regulatory Authority.

key_organizations: Securities Investor Protection Corporation


document_description: This document is a financial statement from Deutsche Bank for JEEPERS INC, covering the period from January 1, 2019, to January 31, 2019. It provides an overview of the account's beginning and ending values, dividends, interest, and other income, as well as an asset summary indicating a 100% investment in cash, money funds, and bank deposits.

key_organizations:
Deutsche Bank
Deutsche Bank Private Wealth Management
Deutsche Bank Securities Inc.
Pershing LLC
The Bank of New York Mellon Corporation


document_description: This document is a financial statement detailing the Money Market Fund activities for the period ending January 31, 2019. It includes details on the opening and closing balances, deposits, and income from dividends. The statement also provides a summary of income and expenses, portfolio holdings, and disclosures about pricing and market value.


document_description: This document is a financial statement from Deutsche Bank for Jeepers Inc, covering portfolio holdings, pricing, estimated annual figures, reinvestment, foreign currency transactions, and proxy voting. It includes important reminders about IRS Form 1099 and the potential risks of money market mutual funds.

title: Deutsche Bank Portfolio Holdings Disclosures

key_organizations:
Deutsche Bank
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a financial statement detailing activity in a money market mutual fund account. It includes an activity summary with credits and debits for the period and year-to-date, as well as specific transaction details for dividends and interest received.


document_description: This document is a financial account statement from Deutsche Bank for JEERERS INC, covering the period from January 1, 2019, to January 31, 2019. It includes information on tax lot default disposition methods, bond amortization elections, and electronic delivery preferences. The role of Pershing as a clearing broker is also described.

title: Deutsche Bank Account Statement


document_description: The document provides important information and disclosures related to Pershing LLC, including its membership in SIPC, arbitration disclosures, and contact information. It outlines the arbitration agreement and the rights of parties involved in disputes with Pershing LLC.


document_description: This document is a financial statement from Deutsche Bank for the account of JEEPERS INC, covering the period from December 1, 2018, to December 31, 2018. It provides a summary of the account's performance, including beginning and ending account values, net cash deposits and withdrawals, dividends, interest, and other income. The account is 100% invested in cash, money funds, and bank deposits.


document_description: This document is a financial statement summarizing gains and losses, money market fund details, and income and expense summary for the period ending December 31, 2018. It includes short-term and long-term gains/losses, money market fund activities, and dividend income details.

key_organizations:
European Central Bank
Pershing LLC
The Bank of New York Mellon Corporation
FINRA
NYSE
SIPC


document_description: This document is a portfolio holdings statement for JEEPERS INC from Deutsche Bank, covering the period from December 1, 2018, to December 31, 2018. It details the cash, money funds, and bank deposits, specifically focusing on the money market and cash account transactions. The statement includes information on accrued income, income for the year, and 30-day yield. It also provides disclosures on pricing, estimated annual figures, and reinvestment policies.

title: JEEPERS INC Portfolio Holdings

key_organizations:
Deutsche Bank
JEEPERS INC
Pershing LLC
The Bank of New York Mellon Corporation


document_description: The document provides information on foreign currency transactions, proxy voting, and IRS Form 1099 delivery for 2018. It includes an activity summary table showing credits, debits, and net amounts for securities and cash transactions for the period and year-to-date.