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009589.0024\4985997. I STANDARDIZED FI,JND ACCOUNTING REPORT 3:17-CV-00223-RS

Elizabeth Berke-Dreyfuss (Bar No. 114651)

\ryENDEL, ROSEN, BLACK & DEAN LLP

I I I 1 Broadway, 24tn Floor

Oakland, California 94607 -4036

Telephone: (510) 834-6600

Fax: (510) 834-1928

Email : edreyfuss@wendel.com

Attorneys for Susan L. Uecker, Receiver

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO DIVISION

SECURITIES AND EXCHANGE

COMMISSION,

Plaintiff,

vs.

SAN FRANCISCO REGIONAL CENTER, LLC;

THOMAS M. HENDERSON; CALIFORNIA

GOLD MEDAL, L.P.; CALLSOCKET, L.P.;

CALLSOCKET II, L.P.; CALLSOCKET III,

L.P.; COMPREHENSIVE CARE OF

OAKLAND, L.P.;NA3PL, L.P.; WEST

OAKLAND PLAZA, L.P.; CALLSOCKET,

LLC; CALLSOCKET II, LLC; CALLSOCKET

III, LLC; COMPREHENSIVE CARE OF

CALIFORNIA, LLC; IMMEDIA, LLC; ANd

NORTH AMERICA 3PL, LLC,

Defendants,

-andCALLSOCKET HOLDING COMPANY, LLC;

CALLSOCKET III HOLDING COMPANY,

LLC; BERKELEY HEALTHCARE

DYNAMICS, LLC; CENTRAL CALIFORNIA

FARMS, LLC; ANd JL GATEWAY, LLC,

Relief Defendants.

Case No. 3: 17-CV-00223-RS

STANDARDIZED FUND ACCOUNTING

REPORT FOR CONSOLIDATED SEC VS.

SFRC RECEIVERSHIP ENTITIES FOR

REPORTING PERIOD: OCTOBER I,

2017 TO DECEMBER 31,2017

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 1 of 55
4,675,266.84

26r938,7.95,70

92,30€,00

'49rO63.26

4,860,46

ol,rzob,io4.34

1,0J2i607.58

6,130,4C5.2õ

4:075;258:8ð

11236;61

32.338.09

49,059,26

4,880t6

1,1ß4r¿6¿9

'!,01a,607,ã8

'3,,130,495:25

û,143,042ß3

,6U,ã05r688.¡f0

2

3

4

;õ

6

7,

I

t0t

los

.,t 1b

Llne l3

Llns

't2b

10

1.0a

10b

10c

1od.

.l0e

t1

11a

12

12a

Belance (As ol Ostobs. it ZO,l7l

Fand Balance:

Incomo

Gash Otrd Secur.Itles,Tranefe¡¡ snd'TurnovpÍ

A¡3ot Llquict¡rlon

- Other

Tot¡l Fünals At ¡rlláblâ fUne¡: El:

Dêcæaseg in Fund Batance:

Diob'u¡¡ement! to t nvastors

fôr Reaelveñrhip OBeJ¡üons

to Røc?¡lwr.or Otftar noîèsslonals

Expenses

Persoaa, Asse, Exne¡ses

'lnvêstment E)rpenses

[iT/galior Enpenses

l. AttÕmey Fees

2. Lltigâtlon Expdr|s€s

r.p!p!T4&ES-ü¿¡þailon-äpp-¡¡qc-_

7¡x, Actm ln t stnto¡ Foos snd Bo¡ds

ãndSt¡lo I€x

Dlsburiemonts ìfor Dþtrlbuüon ExpenSer F6¡d by.ths

Dlsttib utlon Plan, Devctopmer¡l Expolrse s:

l. Feog:

Fund,ÀdrnlnÌstrator.,. .,...,,,..,., ..,,..,,.

lnd8pendBnl Dlslrtbutìon Consuttant (tDC).

Disblbuflsn Agent,,,,,...,, ",.....,..,.,

Consu¡lants... ....

Legal ,Adv¡bãrE..,.

ïaX Advis€rs.,........ .,..

2,,Adminl8tråtive Fxpgnses

9: Mlscellaneous

Tpþt-E!.|L1gvgþplret1l_Erpo_öcå_

Dífr bulton Flan. I mplømentation Expanoø r:

1, Fees:

Fund AdmhigÛator.,. ....,.,.... ...... ...

lDç.-.............,,

Dístributlo¡| A9on1..,,...,.,,...,,...,,..

Consuttâñts..

Legal Advis€rs....

TaxAdvlsers...,.. ,,,,,.,.,,....,.........

2.,Aclmînistralivo Ëxpen ges

,3. tnv¡stor ldentÍñcãüôn:

Nðfc€/puöti3htng ¡pproved ptan..,.......,....,,,,.........

Clslmânt ldent¡noaüon.,...,,.......-

Cldlms ProcÞssing

Wèb 8itô ûtalaþnanêslcall Centor:..

¡1. Fund,qdmhirlrator Sond

5. MisGell¡lneoUÊ

6. Fçctor¿l Acco.unt.for hvestor Restf tufl on (FAIR)

Reportlng Ëxp-enaes

Dlsbursomontg to Court/other:

I nw atme nt Expen'ssgico¿rt Reg¡stry lnwstment

fCRrq Fees

Federal lþx pd}.tø¡fents

Tq¡tål Dlsb.uragmÐnlr,tTrrticfûrt Eotyd¿n Enlltlcr

Fundc DliõurË6d ,(LlnËr 9- l1):

gâþnca (åe ôf Dè€omber

Ì(¡t¡l

tt lot7)¡

¿F,93r,659.09

8,14¡:042.S9 6;143¡042;03 q,f43,04Zj8S

STANDARDIZEÐ FUND

RecÈ¡ver¡hlp Civtl.Cou¡t

AccouNTtNc REpoRT fþr consûtidated.sEc v¡,;sFRt Recelvership EnfiUee,cash Bssls. Case No, 3:1?-cv-0022g-R$

3't v

1

tt4a I Equlvalonts 44,s62$42.67 46;382,842:57

7 /t0llJ8

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 2 of 55
l4b

l4c.

tnvañîants _

Onrór¿ssdts or Ltnãlearcd Funds

Total Endlng Balancc of Fund - Net As¡otB 46,36?.6.f2r67 46,362,042.57

It

t5e

15b

læ

10

l6a

t6b

Consullanus........

Lêg8l AdvÍEors..".

ïax Adv¡seÍs,...,.

2. Admlnletratlve Epenqes

3. Mlscellãnepus

Plan lmplenentdt¡on Exponsos /Vol'pald'by.the Fund:

1. Fees:

Fund Adinh¡sirslor....,,...,.,,......,..._

tDç_. 

,...........,,.

Distrlbution 49ent.,.,,.........,.,...,..

by the Fund:

çlrimg

Weþ

Fiocessing,... ... ....-..

Sité Mãlnlenânoe/Cdll Genter.

Feos & Bonds Nof

I nv€ slm e nf E x pe n $osÆFrs.

FedaÊlTa( Pay.''//ônLi

to Cou rt/Other ìlot Pald by tño. Fdndr

Feas

for'Plån Admlnlõlrt¡fion Exponcg¡,I{ol

,Ptaì Dswlopmont E¡ponscs:ÀIof Pald þytlie Fund:

øl ltsmt Notr To Be pafil by thc'Fund:

Legal,Advisers,,,.

Consullånts.,. ,.,.,

2. Administrâtlvs Exponsð8

3, lnvestor fdônüncåtlon;

Noùce/Publishing,4ppror¡ç6 rp¡¡¡,,

Tsx.Advlsers,.,.

4. Fuñd,AdmhlstratoÍ Eond

S. MiscelfEneous

6. FAIR Reportlng Expenses

Fees;

Fund Admhistr¡tor

roc,,,,..-.. ....,.".

Dlótribuuori Ag€nt..

'Llna

t8

18d

1þb

ls

tgE

rgb

of Olalme¡

# oî Clalms Received Thls Rapañng perfod...,. 

... ,... ,.- .,, .r,rr,,, !.,ì¡, ¡¡; ¡¡;,,.

# of Crsims Rccrlvad Ð¡hcelnct¿pl¡on of Fund,,-.......,.

l,¡o. of Cl¡lmånùrrlnvostolti

# oi Clalmants/tnvÞslors F?¡id Th'ls R6porting Fcrtod:

af df Fund.

# It6m l{Òlbs

2

3

Total DisbursemÊnts to cûur{

I Disbursements to Receiver or'Other prolèssionsls

lfota ending Éafûnce of Fund , ñet Asset8

26,938,7S5, 70 Totat lransfered bstwoen, enities <

$26,gBe,ggg.0gi tumsver from Tribunê Tavern.=

$ì,230.61.

1,0J2.607.58 Thls n¡mbEr is reflected tn th€ SPRO,report.

46,382,842:17 reeerves of $l 6,882,4tì9.28.

i2

7 /J0/08

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 3 of 55
STANDARDIUED FUND

Recelvershlp Cìvll Gourt

ACCOUNTING RÊPORT for Calt Socket Lp Rec€lysrshlÞqash Basts

Case No. 3:17+v.00223-RS

26'17

Detsll RoÍ9Þno9,

t6l.l 2

-2S4.50

415.t2

7,000,00

1,S{3.20

8:943:20

ror,r2

.2&ó,50

41'6,62

7;000.00,

1i943.20

Ofqnd Tlotal

690,968.37',

69tiflpr4g

Uno i3

tl

9

11b

Llne

12

12a

tzb

Llne 3

2

4

5

6

7

I

tl

l'la

10

10a

lAb

lQc

10d

1'0a

1:0f

lag

Beglnnlng Bãlanco iA¡.ot,OcloUer l, :101i)

ln Fùnd Ealancø:

lncoma

tnd S€our¡llot-Sec Dep Refu ndflwlner

lnlorûltttlvldàûd f noo¡ne

Pei¡en¡l

Toþl Funde Av¡illablÈ (Unes I - B)!

ln Fund Ealançe;

lnvestors

lo

¿ssel Expol,sos

Experses

1..Aïorney

a LNgaüon.Expens€s

Iofel f¿¡d.Pa¡tt¿, ¿rügqtion. Expsnsês,__ *

Tax. Adniaistrator Faai¡ and.Sonds

.andr$falç TaxPÊl!,irÍÆ,nls

fo¡ Olstrlbullon Erpenser Pald bi 'the Fund¡

Dtst//tbut¡ôn. Plân' D 6 v6lë pm.è at EN pe nses :

1 Fèes;

Fund Adinlûisffãtor.r,.,,,,......¡,,"...,,

tndependent Dlstrthution oonsullsnt (ltto)...,.,. _,.

Dlslributlon Ag6ñt.,..,.....,......

Oonsu'l.ts¡tq;...,,,.

Legal Advlse.ß,,..

ïex'AdytsÞrs..,.,,,

2. Adrnfnislråtive. Ëxpenees

3, Mlgaêllaneous

Ïax.^dvlsoag......

2.,Admlní$tratív6 Expenses,

0. lnveslor ldentlff callonr

NoÜca/Publ¡shhg Approved p|an.,..... 

.

Cla¡mant tde¡tlrrcatlon...,,.............. .

Clairns ProcesslnS,.,,,,,,,,,,.,....,,,,

Web S¡te MstnlÞnanc€/Cäll Centêr...........,,,........

4ì Funö Admhiistigtor Bond,

ç, Mlscelfans.ous

6, Federat Account lor tnvestor Regtitut¡on

(FÂlR): Expeneee

to Cdurt/Othgr:

Ealanoe {As ol Decembsr 31, 201?):

84t809.62

8i943¡0,

84;803.61

8¡943r0i 93,t45.0¡

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 4 of 55
I

:Í4e.

14þ

14e

,nl€sfrnenfg

Ot rer Assots ol1 Uttõlþarcd. Funds

Tot¡l Endlng Bðtrn€6,oJ Fund - ilet,À¡¡ee

t tas/r Êqulvalents 597,382.67'

ã9T,s8!;67

597.382:07

697,382:67

f'5

16e

t'5b

t50

It

f6e

i6it

ol-Items ll@l to 8c P.an.Dy uto: Fttndi

Lqal Adv¡sèfq.., ,

T¿x ÀdVbers....,,

2:. Adrn lnldtrative : Expenìsas,

Ptan lmplenentetìon Expeäseo Nof pa td þ.ythè

f ,, Fees:

Legaf Advl¡ers,..-

3" lnve¡to¡ ldBntlllo¡rtton:

t'loti.o9/P,vbüsntng.AÞproved Ftan.....;,r..,...o,,,.,,..

Clãlms Pr,qqrlsihg

Web Slt€ Malntçnsñcþ/Cå¡l Cbnt¡rr... ... ... .........,...

¡l Fund Adrninlsttrto"r Bónd

5. Mlècellanesus

Dl8b'urûomenþ, ro.Gourt/Orhor Not pátd by th.erFund..

I nwslrßnt ExpansBqlCRJS ¡bps

Faden|îax Fajrnants

Tax

PlEn AdmlnlStr¿üon El¡pen¡es Irlot Pald by the Fund:

Flan Ð. o wla pmo¡i ¡, E¡xW n sc e NarPekl, by lh:à tuno:'

1. .Feesi

8. FAIR Repor.fing Expensas,

Fee¡ I Fund

0onsultanh.,,.

ctaimsnt ídenüÍcn¡üon..

MlscriÍangOus:

TaxiAdvís€roi.....

2, Adminlsti¿tjve Exponses.

.-

Llne 18

Llne 18a

Unq !8b

Llùô lt

LInø 19a

Ltno lSb

Thls

* al Gtalms Roèè¡uod Slnoe h@ptfon of'Fund,.

of Cl¡¡mantE lnVestolg¡

* ol êl a ln ant sltnvp go rs

#,

1 lford Endin! Bälbnce of Fund:- Net,Asòets s97,382.67' IncludEs sisaro\^¡ rsre¡.ûo of ,$SiÍg,02S.001

with accrued lnte¡ãst of $ð59.0i.

t q

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 5 of 55
I

]

Ourrsnt Assoß

ebeclsj¡g e0 X 7 - :Bqston,

Esar,ow' ùüd - Þqstpn ltivate

T,bt¡l Ç¡rlr$rt *s ge-tr

Prope4y and Equl'pment

T.cital' Frg p_erty rnd Squ iþmort'

Othsr,{sseßr

Bcoeivaþtp from Fed Rcc

'lìçte[ Ottier'As¡6ßi.

total Rs¡ets

O¡¡mpnt l¡iobllitles

F'undiirg ffsrn GS Itr

Totsl CIuftent Li{ibil,irisg

Lon gilorni Liabi lill e6

Tote,[ Long,Term t i lbttitíes

Tstal Lia!¡ilhÍe*

Capiiat

Ro¡ained Ëart¡ì¡isâ:

fi¡i,bsvpr Funds

Tt¡mriver of n0:vt¡-tor Funds

'Tu¡novor',m $!tRc

Ngt lroo¡ne

lotøTÈàpirdl.

total tiabi tìtlar rk CaplÍll

Cotl Soaka.LF

$ usen ¡r, [¡Þoker;. Rsoefvtf

Bota{rse sbcpt

Eooemb,ry3L.?0,1?

As,gDTS

ß: 47'4ry,66

697382.6r.

7,200.00,

7.:i200,00'

|$ ,ço4,E*t*çt'

IJ AÐ.[Llf I'Esr'etrVD .d:¡i ÐIrAL,

$ s4t.2j,giö9

54t,¿59.6Ð

54[,252169,

(2ioå5,0q-5..8?)

935i189.68

5,¡+9,p75:00

(84,898,621

68'8ü7,3.99.

63;âi919.S

$ 604,5,82,6rt

+

0-00

0.CIOr

-.:|

!.:.

:-

Uil¿udlted - For Mpnagemsm:Purpo8éE OUly

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 6 of 55
Prgp I

.RcrvcOr¡çp

RunwayRent*l fticônre

lnto-¡pgt luco¡ne

:[ot¿l &eúsnì86

Tst¿lE¡trêfitos

Net.lneor¡re

Ëx¡leirlÈos

Eank:ehar,gcs

Ev-cnt¡ &xpç¡tsei'EW

Payrot t'SeV,r.ger Charges

Insurance - Vfoùenltomp

Fensltircs and Fine* Exp

.U,titiiie$ Expense-RW

T\¡rnove;r to. Nerv Ovmdr

Gall'$oekstÍ.P

Susan L, Upeker' Rgr;Bivor

Iosq¡¡Egtats$lant

Frorrlkr Fourtùier¡¡nqf ,¿dl?

öurrtnt suarler

(.54,5r1,

'415*6?

1i6il.Ì¿l

45;00,

(300.90)

35"00i

(5,3¿[6;0t]

w.,ug

(lroû3;o){}

ü,543.19

s

l;9.43,?0

$ (r,782iot)

I

J

I

I

i'

,

rÌ

I

tt

:;

I

ll

1

ì

i

ii

,l:

::

i.!

9;

f:

!;

i:,j

tj.

.:.

ì

t:

t:

For tvneg"agement Ptrrpos.w' Orily

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 7 of 55
Llne 3

Unq,4

Line 5

Llne I

9,

Line 10

'Llne lAa

2

6

STANDARDIZËÞ FUNO ACçOIJNTING REPORT lor Call Spckpt ll LP Regeivershtp-Cash ðasJs

Rscs¡versh ip CIv¡|. Court'Oase l!lo. 3: 1 7-ov.00Z2g.RS

Perlodi 17

Ealance (Ae of October 1.,201VJ

in Fund:Ealance:

Businsss lncomg

Cash and Socurltles

hicome

Asse! Uquldatlon/Reclass,Rent Dopostt

FerÊohal Arset f,lquldatlon

Thhd;Party Llugaüon lnoome

- Refunds

lolal Fundg: Arrsiiable,{LÍnee :l - E);

ln Fund Balanae:

lnvostorrs

for, RocelvgËhlp Operatlons

lo. Recr, lve r o r Otf,or Ptorþsstor€rs

r4ssef Expenses

,Assof Expensos

Expenses

T.h i rd-P art¡r Lîf þ ati on Expenses

1. Attomey Fees

2. Utfgatloq Expenses

10f

lag edeml and State lax

Admlnlsttaþr Fees and Eonds

10b

1æ

1N:

10e

Llna f I

I 1,9

DlsÞursements for Dlstrlbutfon Expsnsss pã¡d by

,ülslríbutlon. Flan Dovelopment fuponceor

l. Fees:

Fund Adrnih¡gfator.,

Fundr

11þ

lndepêndentiDlst¡ibutjon Consultant (lDC).,, .., ... ..

Distribut¡on 49ent. ..... ,.. ...... ...,..

Consultants... .,,

LegâlAdiilr¡rrs.,. .,....,.:..,,,...,,..,,.,,.

fa)r AdMs€rs,,.,.

2: Aclmihisträtiv€ EXpônseE

3. Misc€llâneous

Dislrlbutíon Flan lmplementatlon E rpsnsgs,'

1r. Fees:

.Fund Ai:lministraior.-. ..,.....,.,....

rDc

Gon¡ultane:.. ,,.

1,2

128

Tåx Adv¡sors,,..,

2. Adrnf nistrattve E_xpenses

3¡ lnvestor ldentlfiþatìon:

NotlcerPubllshhg Approvad ptân...,.,.,...,.....-...,...

Claimañt ldendñcstlon....,.,..,,,,.,.

Clâims Pmcæsing.......,.,,..,.....

Wåb Site fiiláintenanodcall Cenle¡..,,,, ..............,

4. Fund Administrator Bond

6; Mlsoellenequs

6;. Fedefal;Account for lnveslor Restitution

Repor:ting Expenses

to Couit/Othcri

I nvestment Ex pense.sÆourt Regts;tty ln vø stme nl

.9yslerntfCR/Ð F,i¡es

Federal:fâx Paynents

213,951.64

5,150:00

5,186.76

3t,587.96

l97,g5

24,053,e5

.64

rg7.g5

24,053.25

5,196,76

3{,687,9ô

213;95f .64

.5,1õ0;00

8i097,667,89

:8,132¡266.85.

LIne 12h

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 8 of 55
unå t4

LI¡w 14e

Une 14b

L¡nê í1a

Oâså ¿ Câsr? EQutvatents

lnvasïtßnts

olt¡prÁs6rfe or Unà¡aaraa funas

Total Endlng B¡lance of Fund - Net Asssts

21 ;858.68

21.868;68.

21,856.6S

21.858,68 ?t¡858.68

OTHÊR SUPPLE!$ENTAL INFORMAjÍþN:

Llne f 6

linÐ l:5a

Lhte læ

Llne, l 6r

Llna l6a

Llne 16b

Llne 17

Lin:e l5b

otrlêlns Ngf fo 8e Pald by the,Fund:

Ptdn

Pald bythe

1. Fe.es;

Fund,Adrälhi6trâtor,.".¡¡..,, ...

tDc,

Consultants,,,

[ggal Ndvisers.,

'Tå$ ¡qdvis€rs... .

2. Administrative Erçenses

3. Mlâcellenêous

;Plan lnplementatlon Ejßarr¡ras lvol

't,. Fees:

Fuad AdminiEtratorl..,.. .:,.,,..,, .,,,, r,¡.. ¡

|Dc,,...., ,.,

Dlstrihrt¡on Agênt,,,..,,,,.,..,,,,,..

Conçultgntg:,.,,, .,..i.i,..!¡¡¡ ¡r¡ ...!.,ü

Legsl Advisers,.

Tâx Adviserb,...,.

2. A¡dmlnistfatlve Expgnses

3. I nveStor ldentlfication:

Nbtlpe/Ftrb[Þhingr Approved ;Ftän..

Cleimanl ldenüficatfon..,.., ,... ,, ..

Clelms. FrùCds3ing,,,...,............,

W6b Sitè Mâ¡ntdnenoe/Cell Cenþr,,. ...,,..,...,...,.,

4, Fur{d AdmlnlotratolrBond

5' Miscellgneous

6. FAIR F-xpenges

Pald

far õ Not Pakl by

to CsurtlOthsr Not Faid by ûre

I n vg slrne n l' Ex Fensel!€R/S,Foos

F edêrÊl' Tax,Pay.m e î ts

I

Llne 18

Une 1:8a,

Une'78b

Ltne 19

L¡no'19a

Line l9b

No- ol Clalme:.

#ofAÞ/r4r,sRoëelvêd'ThlsRapofing'Pëilad .,,...-;.,¡r!ry....

# of .Crairn,s Rece ivsd Since' //r,Êe puon of F u nd,..,.. . ....

No, ot Clålmantlllnveetoæ:

#' of Cla I ma nts/l n v estors Pald trhrb Reparllng,Peñod

# of CldÍmants/htu¿,etarc Peìd Sírtbâ rhcÉDlfôñ : of Fu nd.

,|3

Tstâl Ol¡bur€emÞnElfÞñf6r to $FRC

fotel Fund¡ Þl5bun¡sd {Unc¡ S - 1l)ì

B¿lrtÈo (As ol Decønber 31, 2017):

7.896.445.53

213.í s1,64

7,696;416.53

2f Q,051.¿S{. &rf030r7.f 7

I' ç

:Jb

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 9 of 55
ì

I

i

,Çerrçnt Asspts

Checlttng r Eostp¡ PrJVotb

Totisl,Cunrrnt Aüûèús

Pro¡crty and Eqpipment

Totri fioperly, and -Eqrr.iprnom

Ofter Assets

C^A.Gold Mcdtil Recejvgblo.

Dcposits

Trirt¿l.Othpr dgsot¡

Tor¿l .{ssçts

Cqr'çnt ülabilities,

Tetd,Crr¡'rent,Li!¡btlilie¡¡

LorrgîËrrl Li¡bl Utl'es,

Tstal Lons-Tenn, LirbÍiírÍc¡

Tsral Líáb¡l¡rlþþ

dap¡çr¡ .

Eeginnmg nq¡ri¡-y

T$.rnovþr $'i¡¡rds.

Turnrtvor ¡CI8f,RG

Net lnqofto:

Total'Cqpital

T.þtBl L.labJlitiÈs & ü¡pi[al

Callr$ooltø II,I"P

8u¡ani L Uactor, Retriver

Bnli¡¡æ'Shest

Decsmber 3ii,20u

AggiBTß

$: 2'XJ85&.6s

21rt5816.8

:0100

3i''i50'00

tl10r50

33i960'50

$ f-ú,Ely"$ì +L

IJTAEILITIËS .{ÑÞ'CAflTAt.

0.00

0r0O

9.."3i02j918;86

90,t1?Jg

(7¡t96;446,.531

(,1.381,ló6.54)

55j8.l.9,1 8

$ 5$-$rìl9f tü

0.CICI

$

Llrr¿sdireril - F'qrMsna€Fnrent Ftrposee Onþ

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 10 of 55
¡

:

ì

,P¡¡¡¡oi l.

e¿íll'Socket [tlif

:Susan. L. ,U'èçIci, :Rcoolvm,

I¡rçp,ne:Slnt¡ment

Fo¡ the Íor¡r.tþ: QuErtEr' 20ll'7

R.e.yçnups

I¡ite¡ost Inói)tric

C$ I{: Call Ce¡¡tcr Incômq

Refunds'

Total,Rsvenues

.ËxpenOes

ÊueincssMe¿ls

CSII Çonsulrsnt

lnguranec Ex,penue

Di6[er Ê;ipe¡¡q

LeEd¡,Exnense

Fayrotf

Pny-rolt Taxed

Poyrol,lSorvi'æ Fes*

Operaülng Expensos'

Enponsos Pd by Eolipsc-Duñvin

iRêÉt:or Leáse Expsgss

iSecurÌty Exgcncc

SIorage

IleJEphone Exps.nse

Travol

Supplira'Expense

'l'otðl FJ$oiìsìóS

Npf Insone:

.el¡Êont:ebûftbf

,l,97igã

5;t50.oo

5;l:8.6:76

r0É34.71

sli$9,

55r0ô0.0t

,5,0n01.:0.0

83150;84

,6pþ.6.3,3,'

$:

u7.?0.3'.8ì

4rt2i.,:4lI

,41'¡t'Ât

3',541.73

,(7t0.00)

+.8,106;10

13r10

?!9.45

6¡8f.t.113

13.00,

tn,26

2;13;95i.6+

$'----=g9.,l,l1l6;e,xì'

!

I

I

:l

4

ç

!:

a.;

tì

a

:

:

-

,ì

:

I

Fot M anagomoot Þu¡Bo"sçsr 0nly,

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 11 of 55
SÍANDARDIZED FUND ACCOUNTING REpORT,fsr Csll socket:lll LP Recs¡vershlp-'Cash Bas¡s

Receivershìp Clvll Court.Case Nq. 81 1 7iov"00223.Rs

lto 3l 7

Subtôtâl

0,00

0.00

x14,88

0.00

2:t{¡¡ 8Jl8,t¡5,20

2

5

11b

t0

,t0e

1,0b

10c

10d

lOe

10f

1og

12

f2a

fzb

13

¡11

I1a

B¡l¿nc¿ (Âr oloctobor 1,2017t

ln Fund Balaneøt

lncomo 0,00

0,00

2:l.r{.8Ê

Cssntanld Sgor¡rlt¡ea-TÞn3lel'116rÍ cgrRuowây

ncoñtg

Ässet Llqrildatlon

Peponal Ar¡ât l¡lguld¡tlon

Thld,Pgrty Lltrgat¡on, lncomã

Itlscôllanoous . sale, Refu¡ld

lotâl FuÍda Avâlleble (l,lner I - 8)l

Decreaces ln Fund, Êalancs;

0.0û

2itß8

to lnúêiÊtor¡

Á8sét Experõãs

Erpensee

T h i d - P a ny Li t i gþllon Expensos

1, ,Altornoy Feçs

2. Lltlgatlon Expenses

Adrfl ¡nistrdf oir Fess a n d Bon d s

lá,(:Paymehfs

lar Dleldbutlon Exponeor Peld Ëund:

Distriþution Plan, Devølopmenl E{psns6s:

:1. Fsesi

Fund Adm¡nírlrator..,..,........,,.......

lndÞÞendônt Dlqlilþùtion Conrultant,(lOC);,....,...

Dlrtribntlon Aggn[

Consultanlg.,....,...

Legal Advlære,..

Tãx,Advlgsrs.,.,.

2; Adrñinlstretlvo Exponees

9. Miscellaneo.r¡s

Ai$tribuilon. Plen ¡mplementellan Erpçnoas.:

1. Fsss:

Fund 4dm1nfs1rat0r..,.....,.........,..,....

tDG...,....-.,.

,DiBtibuüon Agent..-....

.Cþnsdltånt!.,....,....,....

,Lþgal Advi¡€¡s...,-...

T,âx Advlsê1.¡.,. .,,

2. Ad minislralivo'Eçsnees

;3, lnvestor ldentification:

Notioe/Pulillshlng Approvsd P|an....,..,..,,,...,.....

Clalnìant.1derl111c41on,...,.,.,...,.,",,,.,..,

Cl¡Ímg PrÐcsss¡nS.,,...........

WrtÞ Eite Mrintanancdlcsll Ôenterr .........,.,.,..

4, Fund Adminlstr¡¡lor Bond

'6. Mlscqllånoou9

8. Federal Ac.count for.hvastoi Restítr¡tion

(FAIR) Reportlng ExDenses,

to Court/Othon

lnve sknøn f Ex pe nse¡¿Courl Regisf{f lnvÞSûrnênt

Fe€s

Fgda¿al Tax Pa:ø¡.r,ents

To|¡l

Totä¡

Dirbu r.rerhenblTra¡rfoi to SFRC

Fund¡ Dl¡buaed (Ll¡lås I - fi.¡:,

Balrnce (Ar of DocËmbãT 3l;ãtX?)r

fl,719,t3õ.20

0.00

8;71i9r835.20

0^00 8,719.806,20 :---õão--

Llnê 14s :ûash: ô Caså E{u:lvatent* 0.00 0.00

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 12 of 55
l4:b

l4c

ilrryêstrnerrts

Oft er Aesete or Unclaarod Funds

lol,el Endlng Bal¡nca of Fund - Nêt Aslots 0.00 0.06

15b

ttu

16

16a

16b

l7

16

15a

Feporf,ofllanr N@l îo ¡le'Fãltt,by,Iho Fn¡{I

1D0.......,,.,,,,t,.,

D¡eùibutlon Ageni

Cqnóultar¡t3,.,......

Legel Advlser¡.,..

Tax Ady¡tsfb...,..

?, Admlnlsrat¡Vå,ExponÉ€g

3. Mfacellaneous

Pl¿tnt I nplernentafiôn Eiþensee.No I Paid by thø

l. Fees:

Fund Admlhi¡rrÞt0r....,,,,..,..,.. ......,.

rDc...,.,.,..,-

Ol¡hlbution Agpnt.,...... .......,....

Consultgntr,.. .,...,

Lâgal Advisers.,.,

Tr*,tdulgêó......

2,. Admin,sr¡$vq Exp6nsês.

3. f nvoslor ldentiîc?tlon::

NbficelPublishlng lipFroved Flâni...

Clalmånt lderitilicát¡on.......

0hlm*: Procassing,.....".,...........

Wêli 8lt€ MälntênìEncdcált'Oontcr.,. ......,," ;... -....

4. Fund AdmlnlÈtiåtöi Boôd

6. Misoallanooua

6. F¡NR Repor{ing Expontes

&

oc

EtpênsËs/CR/S Fess,

Fund¡ ,to OoirllOther t¡ot:P¿ld bY,tho

It vesmenl

Fedêrol Tax Fayrnpnts

tor Plln Atlmlrilslr¡llon Exp¡nts¡ ilqt Pald by rhã

Pla:n tlivo/opøenlÊxpenses Not Paid öy lhe,Funcl:

t. Fees:

t8

18a.

i.ab,

Í9a

No. ot Clâ¡ms:

# of C/arns Recervad This.Røpaftjng pañod,...,.....,

ol,Fund,.

Þdr¡ad,

t.

>ç v

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 13 of 55
Crqrrçnf Ássçtþ

lgtql Gunent Asserg

ProÞo.IÞ and Eqrrþrent

loteJ Fnipeny,aad EquiprnÞrrt

,GthprAæç.t¡'

'TUtal Qtlier,Acsets

Tstirl Ascats

Crnsnt Llahi{ltte¡

Total Or¡nont t"i¿bilitto¡,

L,oug'Te*t¡annttt,*

Total. Long.Ttrnn t'i abili.tiOs

ToT¡¡i U¿bìliriee;

e¡flir$sçlrctUI LLC

Si¡sari L, Uss&¡& R*celv,ø

Salnwo thcet

Dooombur 3i,z0lt;

Áü$Ers

o.CI0

0.ü0.

:$

¡{Ilttsf UtrIES. Ä}trÞ. CAP.ÌrAf ,.

0.00

O;00

'56'tl9'4'2N

:il.,z20;3ü

%t94044i9CI

(f4r,3åc"d9)

(8,7'!,q,83J"?q)

gnzg,zg.

û0û

$'

o.oo

'&00,

0iû0

Gaptta{

B.cgjnr¡,ing Equity

'Tur.nöVgr: Frude-Oenerpf

'fuffisvor Eilnds-Magñfh

F-ùndi-ng. PerCoun,Ondt¡r.-e$

türsove¡tESF&C

NGt trnoornÞ

Tb(ð1. Gbfitd¡:

Tot'âl l,ieii¡ùties, & C-apifel

$:

0;ü0

l

I

i

I

J

r

l

r

Í

¡

f

'J

I

I

'I

!

.q

i.

:.

;:

:.t'

t

tl

Û¡i¡¡ditEd,. Fb¡ Muiagsrnp.i¡tf uçoscs Orrly

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 14 of 55
Ëagc: I

Revédueg

IntcrÈst incorne

Total Revonuos

Expenses

Total Expenses

Net Insome

$

Call $ocJ<.et Ut LLC

Susån L., Ussker, Recelvcr

IncotrJÊ. Siateniênr

Fo¡ ther Fourth Qua¡tsr â0 I 7

Curro.nt,Quarter

214"88

21;4.8t

0.00

$ 2¡4.88

For Management Purposes Only

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 15 of 55
1

ST'A¡IDARDIZED FUND ACCOUNIING REPORT for Cdll Socket hlgtding Recelvenhtp-Gedh Bssts

Recslvershíp Clvll Court Case No. 3:17-cv-0022&RS

to Decembgr 31 20117

Ealance (As of öctsber l,2ol7)

ln Fund Ealancet

Buslness lncome

and Securitlos 0.00

lncomg æ8,04

Per¡onal Aaset

Lltlgatlon lncome

Mlscell¡neoug -.Other

lrotal Functs Avalablð (t¡n6 1 - 8l:

Llne 2

3

4

5

6

7

I

9.

10

10a

lAh

Ll¡e

În Fund Balattce:

to lnre8to¡s

fof Recê¡v€ählp Operatlons

tô Rècclvar or Other Prolesslondls

/qsset Ëxp€nsgs

Po,tsona, Assgl Expenses.

iExlcêt?.r.-êq

Th:lrcl - P a ñ y : | ¡ l¡gst I on. E X p.e n s I I

l. Atüorney Firos

2. Litigatiod ExpensEe

Tax Adminitlnbr Fees and.8o¡¡ds

Federal'and Sfale T¿x Paymenta

lqr Dlstflbufion Expenses Pald by lhe'Fund:

DlslÍìbuîlon'FIãn Dôvelþpmenl Expenses;

r0c... ......,"....

Ð¡stribution Agent

ConsultenlE..,.,,.

Logál Advls€rs...

TaxAdvisers.. ..

I Admlnistrative Êxpênses

3; lnvestor f d€rntif lcation :

Nôtlco/Publ iåhingrþproved Ptan.,. ... .. ;r. . 

-. . -..,. ..

Glaf maÍrt tdorÉ¡ lTcålion,,. .,. .., .., .,.. ..,,

C-tãlm$,PÍitcosslng,,. .

Web.S¡te Md¡ntênanc€r'çâlf Cenhr,,.,,....,,.., .,. .,.

4, FundAdmin¡strator Bond

5. Mlsoellaneoue

6,,Federd Account lbr investor Restitutisn

(F,AtR) Expenees,

tó Court/Ot{rer;

lnveêtihent ExpønsesÊ,ouû Regtgùy. lnvosïnenÍ

Sfsþrl lCRlS,l Fees

F.ederal Tax Paymenls

238jô¡l

0.00

rS;6tô'4f¡[;ñ

10c

't0d

1Aê

t0f

rw

1,1

lla

2" i¡idminiêtiative Expen$eie,

3, Mlscðllanegus

TStEt PJÛS Dew!_opgg ntEIß9.!gCt--

11b Dlstñbutiøn Pldn lmptemenfatlon €rpenges;

1. Fe€s':

Ft¡rd.Admlhistrator..

Ltne l2

12a

13tiû,f

0100

,0r00

206.64

t2b

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 16 of 55
lotdl

Tot¡t

9;ô38,47a;71

0.00

I,s86,474,71

0.00 9;88G¡f74.?l

Llhe,lS

Fl¡ndt Þlübun¡ed 0- 'lllr

(Ar

of Clàfihs:

#'of €/ai¡ne Recsiræd'Iåls,Repo¡f¡hg Fenod.. 

" , .. . .

# ol'Cnms Fecelved Since I ncs ptlan of F und."..... .,.,.,,. .,. .

No:, of Clalmant¡/lnvertorr:

# of Çlalmailertnvesto,$,P€¡d, trh is Rewftlng"Feñod..

SIneø

CasñdCast Equlvalefitg

ftrveclrnonls

odref Asset$ ot ¿Jnclearùd¡u nd'

Totnl.Endlno Balanoe of Fund - l,lst Assets

i4a

,t4b

14e

0,00

o.oo

0.00

0,00

15

l5a

18

1'88

18b.

19

19a

r9ô

16b

læ

Llne l6

l6a

i6b

l7

Report of ltsms ,V'of fo 8g,Fa¡d þy the Fund:

DËbursementã fo¡ Plan Admlnlstratlon Expenses

PIan Dèvêlopment Ëxpsneos.Nol På¡ö by tÌte Fund

1. Fàes;

Fund Adfilln'istrebf..,.... ... ..........,..,

tD6'..,.,...........,

Dlstribr¡tion, 496nt.,,....,.....,...

C,oniúltânfs,.....

L€g.sl Advlssrs-.

Tsx Advisers,,...

2. ÁdmhisirÈlive ExpÈrises

$. Mlscelieneous

Not Pald þ the

Fund

Fund:

Funcl

Fund Adm¡n¡strrstor... ..........,.. -.

tDC..,.,......,,",,..

Oigtributisn Ag€rlt..,... .,,... .,.... ,,

öonsullente,.,,,,

L€i¡dl'Advlûers,,

fäx.¡dvis€rÊ..,,.

2: AdminisfrAtJve E)çenses

3. lnveetor ldentlficatlon:

Noticer/Fubllehlng Approvad Plan......,...,..,....,,..,

Ghirnant ldqntiñÐaiion.., ...,,......, ...

olãlms Proo9sdho.........,,........

Wêü, $ltÊ.Mãiat€nsñeô/CÈll gåinter..: 

.,,.,... ..... . ...,.

4,. Fûnö Aörifnistrstor iBond

, Mlgcellsneoqs

6, FAIR Roportlirg Expensss

Fees & Eonds

'Plan,lmplemenfafior Erpenseg Not FatþW lho

1. Fees:

to CourtlOthar Not P¡ld by rhb Fundl:

lnvestmønl ErpensesrtiR/g fuss

Fêrlgral fax Payments

I

a

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 17 of 55
CunputAs¡ùtc

Total Cuffgrrt .årstiots

.Proprlr|¡/ nnd Eq¡þment

'trot¿l Fioirsrf ,y en d Bqu í,pm s¡t

OthgiAsgstp.

Total l0.ther Assorl

Tstril.,{i¡$d.b

,9r¡rrçnl liiabllitissj

Total, Cr¡¡r¡om Lir¡billti ç-¡

Ir,oilg;-Ts¡¡¡¡, ¡isb-iHtios

Tofail t o¡g'Tsrm Liabllitiee,

Ïouil LíaÈilltte¡

Capitll

Eçgt.nningEgui$

fl¡rîove¡TUfidE

Iuraovsr,m SFRC

Ne't lnsoøe

Tot¿iGspitôl

TçtaI Llsbllitic¡' & Cnplml

,-C.Ell Sqsld Hold,tng Coutþ¿rny Lf"Ç

,$¡¡¡-en L, Uqckcr,. RËcÈlvar

POlansç Sbsct

E"óèáùbdr gür,20! ?

.{.'Êgss

0i(xl,

CIþ0

û

Î,IÄ8tr-ITWS rkl[Ð õ¡FITlq¡1"

0,00,

û.:00.

0"00'

9.,642,328169

'6- s'S03;40

.{9;6$.6j,4-f4"7lf

(?4J5ri38i

0;00

$.

0roo

0,tó

$:

0¡CIO

.i

¡tü

[:

li;

il

i

Ètlnauditcd.-FO¡Mp¡agernnr$Purp'oses-.Orily

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 18 of 55
P¡gcr I

Reyçnues.

itrtçrest lncomc

Total Revenuec

Expenees

Total Expenoes

Nét lricomo,

$

Call Socket ïtolding Cbrnpany LLC

Susan L. Ueokor, Reeeiver

InËg¡t¡c Stalcmerrt

För the Fo¡r¡hrQuartcr 20X7

Cunç¡t Quartsr

238,64

238.64

Q.0o

$ 238.64

For Managoment Purposos,Only :

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 19 of 55
STANDARDIZED FUND AooouNTlNG REpoRT fo¡ JL Geteway Rscsivershlp-cæh Basi8

Receivership Clrril Court Case No. 3:17-cv-00213,RS

Ferlod: to Dscembei 3l v

1 Balanoo (As ofoctobe¡ 1,l0l¡Ì

,ocregsés ln Fund Balance¡

'lncoma

ond Seouritle¡

lnôome

Asset Llquldatlon

A.æet Llquldation

Lltlgatlon lncome

Less Tl Crcd¡t

Totål Fuhdr Ar,äliatle {Unor f - 8}:

Ín Fund Ealance:

Dlsbursements to investor¡

Dlsbursements, for Recelvsrshlp Operallons

to Re ee iu e r of @fñe¡ PmÞssfu r¡als

Eusiness,4ssrf Expenses

Porson€, Assgl ãxpenses,

Exþonses

l.h bú P a üy Lil ¡ galion Êxponses

l. Attorne¡¡ Fees

Llfld

2

3

4

Llne 5

Llne 6

Llns 7

Llne I

g

10

lAa

t,0b

10c

t,0d

1'0s

1Af

log

ne

11

Ila

2.

Ad ni n i st ra to r' Fçes, ånd Sotds

andstâtg far Pa}4/,ents.

for Oi¡trlbutlon Expenses.Fald Þy'the Fund¡

Dlstributlon Pl¿n Development Expensêü,

1. Feeg¡

Fund Admlni$trator,.,.....,,.,.........

lndepðndsñt Dlstributlofi Consullant (lDC.Ì....,.....,,..,,".

Dlstribution Agent... .....,

ConÐ)rrltantg,, . ..,

Legâl Adv¡s6rs...

Ta¡ Aduisers,.

2. Adminlshative Expenses

3, Mls.collaneous

Distrlbuuon Plan tnplernentalton E*penses :

'1. Feeg:

Fund Administrat¡0r.,,.,...",......,...-

tDC.."...........

Disûlbu¡'ron Agént"

Coñsultants, .,.,.,. ,

[-êgal AalvlsorÊ,,

Tax Aìdv¡sêrË,..., .. ... :

2, Aiiministralive. Expenses

3. lnvestor ldontificetion;

No.dce/Publishlng Appro\red F|an.,..,.

Qlaimant ldentlfi cation.....

Çlakns Processing.,..,...."...,.....,

Wob Sitd Malntenance/C¡ll Center..,....,...

4, Fund,Administrator Bond

6. lV!iscellaneous

6. Federal Account for lnvestor Rsstitution (FAIR)

Reporting Expenses

to çouÉ,fother;'

lnvegtmenl Ex pensa etC,ou rt Segisky lnvectment

Syslem fCRlS/ Fêes

Fede"al Tax Paymonts

ltb

12.

l2a

131,697.96 :l 31,5S7.95,

Eô,1180.0s 86i1 90,09

-1,000i00

ll30,597jg5

-1.000:00

{30,5t?:96.

Grand lotal

,t87.219i04

3t7"8lt;99

12b

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 20 of 55
Totel DlsbuËotilsnþ1Tiallsfor to SFRG

Tðtãl F¡¡r¡d$ Blrburced (Llnei s - l1):

Endlng Bal¡nce (As of Dgcembsr 31, 2017)!

100d00û:00

îs0,,t80;08

I00r000.00

1ô6,f 80.18, 't8q,ilE0.0a

13

14,a

t4b

l4a

Casl, & Oasl, Equìvaloats

/nveslmenb

Otfior Ási¡ofs or Uncleared'Fands

Totel: Endlng Bålanca of Fund - l,lst, AssOtå

131,636.91

'13,r,63S.91

1r31,636,91

'131.636,91

TION:

Llns 15,

Une 16b

1âb

,tæ

17

t5a

1rð

't6a

Røpott ol ¡teme rVOf fo Ba.Píild by ttte n/øl,d¡

D[$burssments'for Flan Admlnl¡tratlon Expgnies

Plan Dë,vèloprnenf ExpensesÂlof'Pald by the Fund:

1. Feqe;

oigtributiqn Agsnt

,Coñ$Jtantg.., 

,..

lggal Advlsofs.,

Tax Advirõrþ...,.

2. Admln¡srallve Ëx.Bqnses,

L Miscellaneous

.Flan lmplementafron Expensâs fiot Paid bylhe,F.und:

1. Feeç:

Fr¡nd Admlnlslratof

lDô..,..

Distrlbütlqn,AgQnt.,.,.,.,,......,, ....,,

Con$Ultsntst,..,,.

Lggãl,Ad\¡lsêfs..

Tåx.Advlserb....,

2. A'dm¡njsrãtlve Expenee¡

t3. lnvestor ldentification :

Notiß€/Publghlng Approvad, Plan

Olälmânl ldÊnðffo€$on.....

Clãims. P,,roÇess¡ng...,.,.,.,.,,....,

Web Site Målnténãnc€/Cåll Oent6r.......,.,,

4. Fund Adminlst¡ator,Bond

5, Miscellaneous

by the Fund:

8. FAIR Expenses

I,âx Admlnlslratar FoBs. & Bonds Nol

,&.State Tax

Fund Adrninlstrator

to GourU0ther Not Pald by the Fund:

Tot€tl Plan

I n ve st m e n t Ex WnsetlõRl$ F¡as

Fedaral Tsx Paj/¡,ênts

18

18a

1,8b

l9

f9å

19å

ot Claims!

# of Õlalms Receìved Thts Røporling Fetiod.......,..,.

# of Clafms Rect,tusd.Slnce lnæptlon of Fund....., "....

No of Clalrnants/lnyesior*:

# of Aþfuantslnveslors Psid Ì?r¡s Raprtlng,Períod, ,...

¡. ¡,.r t !a...,'¡.'t t¡..,.

I

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 21 of 55
CumentAssstð

Chooking-Boston:'Pdvaw' B'anle

itrófs¡ .c'uiñfit Àssnt8

Fno¡erly and Equ iprtrcnt

Total,Fro¡orry, art d üçipnrent

Otl¡erAgeets

TotBl CIlhör Asßets

Tutal Ässets.

Gurrcot Liahiiitips

ToteI Cr¡r¡cnt Liab,i.litie*

Long-Term Liqbililiop.

f otal Lo ng-Ter,rn .Liabllitics

Total LiebìlÍties

Oapi¡el.

Turnsver i?.i¡nds

llxFl Rdil TI Crdtu

Ti¡¡nsvor'to. SFR€

N:et Ine,s¡i¿

'1is¡al espftÀl

TûtÊl tr iabitltics &,Capital

I-,1'S4"TBIVAY LLC

Susan f:. Uesl¿a#, ßecg!1ig¡

BalanoeSheet

ÞþæÍùer3Leüil7

A$88iS

$ l3l,696;91

l3l,é.36..?t

s 13t,6369t

blát Bi&rnEs Al{D CAPITÁ,L

010.0

0-00

0.pq

$ 5Ð,9,*g.l I

o,00

0,¡0

,(

(7i000.00)

0o,o0o,oo)

l8lÚe4.ûü

l3l;63ú,911:

$ 131,r636.9f

U¡audütsd - For Managem¿nt Ftr¡lssosc¡aiy

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 22 of 55
Fagir I

L O,AÎEWAY LLC

Susân L.. Uðglidr. &ec$vcr

IaÈórritÊ SlåtÊùriGitt

F's¡.ü¡o Fourlh QunrüËr g0I 7r

Rsrrenuas

Rç¡tsltr¡rusJnr

CAùflIns/Ntg¡t/LaF

Ts.tal Rovcl¡t¡e*

Bxporlser

Insutance Ë.xpcnæ

Toa[Þxpeoses

Ne.t ltcorr¡e

$

Cr¡rrpntQt¡4.Ìe¡

t0û"d9'9,l9

zglgg,û,?ó

Ihçe¡ueç PeM by Eolipse

Ti¡xss - gtâE,a¡d Local

l3rJ97e5

2#;84.1.38

6.1'?28il0

I:1iÕr.00

86,tS0.09

s 4s,4,17.87

I

$

ir

r

\

ï

{

¡

.rj

i.r

.{fi ti

$

!,!

t:

i;.

i

t'

r'

For Man4gernonl'Prgp, osç¡ Oh Iy

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 23 of 55
1la

14b,

1.4ç

ST.ANDARD{ZED FUND,ACCOUNTTNG BEFORT for CA Gold l\redet Rl csiv€rshtp.Câsh,Eatir

Rgosiv rship:Civ¡l Couñ ease No, 3:l7,.ovro022lRÊ

ëgsh & Cegh Eguive,ênts

,nvsslinents,

Othdr Assete or Unctaa¡ed Fundç

1 Bofanoe (hn of octobâr 1" 2o{7)

lncre¡s-es ln Funcl Belanaù;

2

3

lneome 0.00

0r00

1 1rgf9:83

2õ,ooo-oo

0r00

O:0û

11,s19.83

25,000;00

and lrom qs il

lnèonrê

6

Aaool Llquldatlon

Assol llquldatlon

Lltlgotlon lncome.

Othpr/Refundr 4s1.78 451.78

Tôtå¡ Funds Ãvallablo (Llnas I - 8): s¡,37'!.6t: '3t,37t.ô'l lõr808,81S"{ç

Decreases, ln F u n d Ba løn ce :

I

't0

l.Aa

rÐô

it00

1N

10e

10f

rag

to lnvgstor8

for Rrcetvcroh¡F OperatlonË

to RacÉ.iugr or. Othar Prþfegsl'onãrs

AssÞf,Erpengé$

,Assel 6,rpen9o¡

33i277.65 34,277,65

Expanses

Lll&Èttrpn:.ExpenEss

L Attorney Feee

2. Litigauon Expènses

Tota I T li i rd:Pp rtl A tLo at¡ W E x oò n qeS:

Fees a¿ri Sonds

Bnd:Sfátþ Tax Pdøents

ll

1''a

Dlsburtements for Dist¡lbut¡on Expomes Fpjd þy

Dl stdb.iti on Pl an Dsyelop¡nenf Exp.e¿ses;

l. Fi¡ÊS:

Fund;

Fund Admlñ¡3tràtor,

lndbpendent Þktrlbuïon Con5ulråil (lDC),....,,..

Dldribuüon AgÊnt:...,..,,,........,,,.,.,.

GbneqftanG..,,.,.....r

Lag6l ACvlsÈrâ...,.

Tar A¡vlr.a¡s....,.,,

2. rMrñi nistrati\rg ÞrpenseJ

L Mìscellaneous

Tpþ18te.4.grye./9pæ!lg0ea€es:_

1lb D¡etrìb-ulÌø n, P tan m pl ëneîtadan Ëxpen$esl

l, Fees:

Fund ¡\dmiriiötnitcr

Ioc.",.,...,,...... -..

Dl3.täbution Ag6nt.

Oonsultante... ,.....

Lagal Advllarer."..

Tax Advis€rs....,,"....,,,....

2. AdminiFüEtive Expenses

3. lnvestor ldonlinc4t¡on;

NotiÈe/Frrb{ishing Approved plah..,....

rolâimant ld€ntifc¡tion,...,,....,...-...

CÞimr Proceadlng

Wob Site tlilainlenanc€/Csll GGinl.r,.....

4 Fur¡d Adr¡ln(Strator.Bond

'5. MisilÊllsn€ous

6; Fcderâl Account tor Investor Restitution

to Còurtl0ther:

l:ine 12a ,nuo.sl¡ront gxpÞns€s/oo t¡ ti. Reg ¡ sW I nv e st n ê nt

(e&8J Fees

12b .F*loþl ?:sx Payniønla

lotsl DldburË€mÊnti to Oburt/Othen

Totil'Funds Olsbuned',(tlner I - l1): 3X477.65 33,277,65

IB Btlanos {Ar of Þeoerrber 3't,20,17)'

33'2,7¡.8t,

Une

10,775,335:8ì1 1,5,776,33.6,81

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 24 of 55
lot¡l Endlng Bal¡nce oftFund - ñ¡ot As3et¡ 15,775,336.81 15,?75,335.81

esorow rêô6rvg

'€9crued interest qf $26¡469.91.

Lhe 15a

t5

158

15b

tô

l6s.

t6b

,7

pi6tfÍþution Agoñt:

Conedhents...... ..,

LegalAdvlòerc,,.. .,

TorÂdviser¡.,. ,,. ,

2. Adrhinibtt:ativb,Expanses

.3. lnve$ot ldeñtincåüon:

Notioo/Fuölishho ÀpÞmv¡}ctiptan.,......

Glalñänt.ldbntifiasüoñ,,...,.r._......,,...

Ct¡¡Íhs Proceasino,...........,.;. .. ...

Wcb Sikt ltilaintcnrânqÊ/Csll.Ceilår....

{. Fund Àdrnlnlstrator Eond

L Miscéllãneous

6, FAIR Rsporthg Expênsêõ

2. Admínislætlv.e Er(pensÞs

3. MlEceltsneous

itirc...

Bo/¡óls lfvol

N0t Påld by tR€

Plan

'/VOf Io Ee F¡id hy.the Fund:

fuda/al Tax Peyrñgils

Plan lmplementelion.Expen¡¡es,Nol pa id by he

1. Fees:.

L Fecs:

Fund Adm¡nlsmor,.. ......, .....

the.Fund:

t

lga

f8

l8å

t0ô

ot Clâ¡msi

# of öla ime Rece,iyêd llrls Reporlihg.Fetfsd, ..,.,,.-. ..,, ... ..

#:af Alaims Raælved,Sins.6 /n(rpfroo, ot,Fund,...,

:of Clsf mants/lnvestorr j-

*

t4 rhts 'Pald Peiad.

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 25 of 55
Cuffent,Assefs'

ohepking,- Bosron, ËrivdtQ:

Ïvf ooqy Ì-vl. a¡kvt . Borfoa Fr.lv,atu

Totql CutrcÈrl,,A'ågêts,

Frqp-orty and EQuipm ont

Total Ffoperty anid Eqlriprnent

otlicr AsséT,s 

.

'Totd Other Assþts

'foal Asse.ts

Cu¡rsnt Liabílitltis

ßçr¡frpl E¡cro. v Funds

CS lt Funding (Co¡xnrunþ tsenlQ

Pr'epaid Sucurity

îoøl, Gqrtent: Li,abil itiçs

Lo ng.Tor,rn; Llahri li¡tss.

Tota:l Loi'igrTe¡rrr Lj abl{itles

Tst¡al LisÞit{tíes

c,spltsl

'Îi¡rnovgr,Fu¡rdþ

'Turnovor'- Crysttil Golile¡l

Ì,ts.t hçorrc

ToþlÛapjtsl

TÒ!a,l Líbbllitias & cepìfsl

cALr$oRNrd, çor"Dt IdEDAL

8us¡n' L. Ueöhóq Rèecíver

Eetnuue:$h€ot

D¿oç¡ir.beigl¡ 30 t 7

ASSEfS

3"6d5,96

l5'7?t'6,+Ð;9'l

| 5'7?'!,135,E I

0i00

0i00

S 15o7'75;335:.8[

LmBiIr!,T-.-rES AND e,Ap¡TA,L

S l5r7'4ú,:t89.0,0r

3:¡,¡t0..0CI

,5?s.3i0

15n78:l[3.U3.3iI

'0.0,0

15,780,309"30r

403e26:

5;502.40

('t4,502"15)

(4,964t.491

:$

I

t

!

!

¡

\;

:

¡

a

.:

i

i

!:

I

Unstlditçd - Eer.ManagerrÈ¡tt Purpoqæ O¡ly.

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 26 of 55
Pege,l

RgWnuas,

$alo 0f¡!rqöç,tb.'

.Inte¡est incon¡g

Rcfl¡nds

lot'¿il its.venuçs

Ë*ppqp*

Ii¡suranoe,

Fostr¡g& Expsn¡e

Socufity Expousc

Etor.qge

Ütll:¡tïes Exgonsç

'Total Expenses

Nêtltrdrtihe,

,$

E TTSBÑEAO-O&D.MEDÂL,

:Sr¡san, L. Uook¡¡r, &$setVet

lncomestatement

FÞr ttxt Fo-urth Quartø 20I 7

Currnrt Qtrrlor

1íro0.Q0

rlgt9,8B'

45t.78

9?;37t.út

t,S25;5U

219,03,

21,69?.t&

1"065,40

å"960,54

33;1,77'ß5.

$ 4i093i96

FP r' \4lnqgerment PUrposes,On ty

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 27 of 55
STANDARDIZËD FlrNÐ ACCOUNTING REFORÍ'for Borkelery Healhcare Dynamlcg Recelvershlp-Cqsh Ba$is

RecsivorÊh¡p Civil Court C6SB, No. 3:1 7-oç00220-R$

Octob€r 1 'to December 20:'17

FUND

1 Balanco (As of0ctober l, 201?l

ín Fund Balancþ:

+16.697:17

2

0

4

5

lncome 210,000.00 210,000.00

ûash ond 9ocufltlos,

lflteresuDlvldend. |ncornê

Bu8lnees ÂFrot L¡quld¡üon

LIne 6

Llne 7

Assel Uquldatlon

Ullgdtlon lnçome I Othêr

Ttt¡l Fundc Av¡tlabl'ti (Lfnea I - B)r l{O,û00;00 2{q;0ooioo û26,90t.l?

ln Fund Bqlqnca:

9

t0

l0a

10b

10c

10d

l0.o

to lnvætorl¡

Þisburêsmo¡ts lor Reca¡volrhlp O¡er.aüone

D {sb u t* fi e nt,s tp Rocelyer. or Olftor profsssionals

Expenses 200;250.60 200;?5¡.60

LIne

Llne

Linø

Assat Ex¡renses

/avesfrrenl Expehsos

Eipënses

1.

2, Utfgatlon €xpenoss

t0f

1W

Admlnìslntgr Faos and Eonds

ãrd Sl¡le trex Påymentt

Llns I I

Line l:la

lor Dirtrlbutlon Exponso¡ Fald by tho Fund:

Distrlbution Flap Development Expenøs

l.Fees,:

Fund Adminl6lralor

lndèp€nr,€nt Disbibutíon iConsullsnl (lÞC)....

Dli$iþution Ag6i1t.

.Col¡B.uttanþì,.,...

Leþai Advissr¡..,.

Tax Adv¡sêrB.,..,,

2. Adñrrlnlstratlve, E¡(penqesl

t. Mlscêllaneous

To(¡'l Pl¿n .Exoenses

ltb

DiÉtlbutton,Aqent

Consullån|s....,. .

LEgal Advisers.,.,

Tai Adviser8,.,,.,

2. Aclmlnlslîativs Expenses

:3, lñv€stor ldentlficåüon:

Plan

Clålms P(ocssshS.,.,,,.,,,..,.,,.,...,.

Wab SAs Matntensnco/Call ConÞr...,.

4. Fund Mrnlnlçt¡:ato¡ Bond

5, Micêellsnèoue

6. F€d6rdl Accor¡r!! for'lnvo$tor Reslildt¡on

(FAIR) Ropo{ing Expon$es

l2

128

tzh

to Court/Othar:

lhve stm 6rit Ex Nnsê€pourl:Regis tryt I nvestme nt

Fê€s

.Fadera| Tsx.P.Wents

Tota¡ DlsburEernent3 to CouruothoË

ÏotEl;Funds Þbburssd (Llnq3 9 - l,lr)i

Bdänce (As of Eecemü€r 3tr zol?lt

20q,250.60 200t260.60, idq,25d.s0

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 28 of 55
Llnå f¡t

l;ine 14a

Lina 14b

LJnc 14c

Endlng,E¡¡tñðg ol Frind - Nel As9e{ifi

ôasñ& Cadñ'EgøÅrabnfs

tnvestmenß

OlåorAs¡efs a( UnalêaÊd Fu¡ds

Totst E ldlrc Bsl¡nçe,ot'Fund - Ne! Asqgts

426i44:â,8'l

426'¡¡4€.67

426.446,67

426A4ø.67 426;¡t4õ.õ7

OTHERSU PPLEttlEt{TAL lN FORMATIOH¡

Llne 15

LJnø 1.àa

L¡ne 1.5h

Une 15c

Llhe 16

Llnd 1:6a

l:lne't,6b

Llna 17

I Dôtâll I SrÌbtoùal

ol ltenÉ:Notr ro'Ûe Pald by lha Funclt lt

lor.Plan Admlnlrbatlon by úo Fr.¡nall

Plan Dcvelopmont FxpcnsËs Nol Pald þy thaFunÆl:,

1, Fees:

'Fund Adminisfsù)rr,,. .... ...,

Lêgår Advi!8rs.

Ïàx Advlsèrs.,.

;2, Admlnlitralive Exp6nsês

.3. Mlsce[enoous

Êlâd lmplqimantaffòr,,6xpon¡csr/Vot Fd:td by thê Fund;

I. FêêS:

Fund Adminiôtrilor,,..,,,,

tDc

Dlst lþutlon'Ao€n!

ConsultarTb,

.L.egal Adviser¡,-,.,. ._ ..: :_...._- ..,... .

Tax Advis€rs......

2. Admlnlstfative Ëxpen¡es

'3;, lnveslor lds.dtifl csüon:

Nof c{t/Publish¡ng {pproved Plân..,, ....,., ............ ..

Cþlrnant,l6e¡it1f10fttibn,,.........,........

Clâlms Proöes8ho.,....,.....,.,.,......

Wob Sito MalntenBncð/çäll C€nt6r...,..... ......,,,...

4, Fund Adm,nletrator g!-nd

6, Mlsoellaneous

6. FAIR Reporüng Expense8

Fatd by the Fuad

Dlebu,rrementb to Cour,t Other Not;Fald by tlrêi Fund.

,nvasÍî9nf Expe/,sec,40Â/8 Feas

.Fedenl'Tax Paymcnts

DC t.Staþ Tax Påymont!

G'r¡lnd Tptal

Llne lt

Llne tÛa:

An6 18þ

Llne l9

[,no tga

Llne 19b

No. od Glalñ¡¡:

# af Cþms Recelved This Repding Pertod..........

I cil e/ø/ns RÞctttugd Slnce lnceplîon ol Fund.,..., ...,, ,

t{o, ol Cf âtmantsrlnyerto?31

# Ol C|altn antsttnild/ støß Pa¡cl Thls Re Bo|dng Pe dod,. ... . ....... ....

# af Ah fu antsll nwston, Pà ¡d. 9¡nca tncë ptlo h of F und. ... ... -... .

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 29 of 55
Beikeley Healthear,e tlyhamiË, LLe

General Ledger

As ol lÞcember31,201.7

Dab Nuryr

1073r076107410761t77

fo78

t{Ð€

Alarne@ County T...Alarneda GourÊy f ..

Alam.éda County T...

Françh¡se Ta¡ BqardFãnêh¡si Tâxts¡lardFraRcir'lse Tax tsoãrd

ONA lnzurance

Split

88100 'Acco..-

Odglnal A¡qu¡!

,3,30?.40

416i697.17

{16,697.17

413,394-77185,084.4{¡455,084-46ç55,084.46

t55,084.ee455.04n 46

+,.56,084.4S

r55,084,4€+51.89s.60

{24,%ßA {fi,æ9.8O

+93.¡'2650qt2187130{49,685,95

{2'1,631.0S361,154-64358i040.79

¡56.446.57

+29,44857

BdãnGe

-70i{þ0.0o

63Ð00 . lrÌters,,.

,$PLIT12009. Unde...

60000. Prope*

6:m00. FrcFe.^.60000. Prope...89000'Ta:<es

890O0. Tl¡xes

63000. lr¡tere..

-sPLtllz0trl .Unöe.-.

39000. Tâe€

53000' lnsur,,.

09000' ¡ntere*. .gPLIT28100Q -Aecs.-2O000 - Acco...

20000'Asæ-..

120,00. Unde-..

1?000. Unare..

12000. Unde.-.

12000 ' Unde... 12000' Und€-..1æ00. Und€...12000, Uilde.".

Illemo Debll CrÞdll

3,302-40

28,31031

70.000.00

70"900-00

3,190.86

27,656-80

800.00

40,55t00

3i185.-85

?8,0s.86

60i476.(5

3,113_85

1:594.n

70,000;00

210,000.00 200,-250.60210;00O.0O .2O0t250.60

70,000-o0

7û"000.0070,000.û07ô.000.û0

210,000.00 210,000.00

5,320.00

+æ,4Æ.57

0.000.00

[t6i446.57

-7O,000.00-70,000.00

?0,000.0o

-70,m0.00 -zo.ooo.o0-7o,Qq0.00Ì0,000.00.70,00(t00

-5,320.00

0.00

7,600.007;500.0û

2,1E0.00

2,'t80¡00

0,000.00

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70,000.00

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2016 FTBfor,-.Funds Trar-rsle¡DÈÐós¡t

-3,190.8ô

r27,668¡80

70,000.00

-s00.ûã

-40555.00

-3¡185-85

-28 03L8ô-60,476.45

€"t't3.85

.1,594;2

70,000.00

læ'Mo81 W17 1.09U 

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70,000.0070,000.00

0.000.00

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0,00 5,320.00

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Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 30 of 55
Llhe

Llno

Llne

STANDARÐ|ZED FUND,ACCOUNTING REPORT for Comprihensive ôere of Oakland Rgcelvêrship-cãóh Basis

Glvll Court Oa$e No, 3:17.cv-00223:RS

o9tobsr 1 to De.eernb€r 31 2017

B¡l¡nc9 (Ar of Octobrr lt, aÛllvl

lncrugses ln Fund Balanca;

Bu¡lno¡o lnoomo 3,0ô4.79ô.97

0-00

3{.53

SÞcuritle!.^dru3tment¡ to À/R end OrS

Buslnesl AaE€t Llguldatlon

Asset L¡quldåtloñ

LlHgation lncorne

- Otho¡

Tótil Fund¡ Àvalf¡Þlô;(Utpt t - tl:

Elecrsases,ln Fund Eelance:

DlsbulËcmênt' to lirv€storB,

3it8d828.80

E{pürrsôs, 3,610,101;33

Po¡sonal Asse'f A(pensrs

fnvosløell Fxpe4scg

T h hd. F a ûy,' Ll tlg a:tion Exporsûs

1. Attorriey Fees

,ExDtt sùs

fax Aúty7r,h,strafor Facs and Bsndt.

Fedenl ancl Slare fax PÊy,monts

.for Dl¡tribution Expenaee Pald by the

Line 11a Dlet¡¡butlon Pta n teve:lopmonl: Éxprn:r6s..

1. Fo€.s:

Fund Adrilinlrtftrtor:

lndependenl Djiblbution ,6ongu[ant (lOC)". -. .,..,.,

Distribution Ag€nt..........,...........

Gonsr¡ltanb,...,.., ,

Legal. Advlsers... .

Tax A¿h¡lsêrs. .. . ,.

¿. Aatrn¡nistîatív6 ExÞenses

3; Mldcsllanèous.

Llne. 11.b D¡9trlbutlon Pldn lñ pletnêntaliön &gense&'

1. Feesr

Fuûd,AdmlliiÈ¡ra-tor,,..,,.., ....,....,.,.

tÐc.,....,.,.,",.,,..

D¡strtbuüoñ A99nt,,.,.,......-.,...,,,..

Consu{iants,..,.,,

Legal Aclvlúêrs,.. ,

Taf Mvlsers...",.

2, Adrn lnÍstreTive Expensas

3, lnvsstor ldentlffcstion:

Plen,., ,.....,...

Clåirng ProossFlnS,,...,,,.,... ......,...,

W€b Si.lS. Malntênancs/taü Oênter.,,..,...,,........,,.,,, -

4, Fuod Admlnislfatof 'Bond '5. Mlgc€llaneous,

6. Fôdorâl Account for lnvestor Reslitutlon (FAIR)

Rqpor{ng Expsnses

2

3,

¡t

$:

6

7

8,

lnoome

to Couruotho¡:

I nw stmen: t, Expnsa slcou ñ Roçiislry I nvf, strn ønì

fCRÐ Feês

FsdoF,l TaxPamients.

Ïotal Dlcbur.tol¡entc to CourUóther¡

Tote¡ Fundo Etðburred,(Llneo g - I't):,

I

l0

lQa

t0b.

10c

fid

t0e

1'0f

log

11

1Z

t'2a

tzb

3.604,706.97

0.00

3r'qg

q;6ot,8¡8,50:

'8.810.101.33

0,308,090.0t

3,ô10,101.38

f3 Ealtnbó (¡ls of Decernbor 31,2O171:

3J610,10r1,30 0,0r0,101t33

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 31 of 55
Ltng 14

Lina 14a

Lhe 14b

Une lúc

gnülng g8l¡nÈs of F¡¡nd - Not,ÀÈr9.tt!

Aash & êask Equivalanls

,nvostmorts

Olfierlssefs or Uneleand Funds

Totsl Endfng Bbl¡noe .ot'Fund - NotAs¡et¡

e,788,558,74

e7ås¡558..74

2J84,q58.?4

2J8g.S6å,74

OTHER SUPPI-ETIEifÍAL INFORMATION J

l6

l5a

Llne

Una

Llna 15b

Llne f56

[ihe 18

Llnø 16a

Lino 16b

l,,rlno 17

told,by'the:

Rþþotl ol ltømûf/ol 1o 8o Potd by tha Fund:

DlsbuÉementr for Plan Admlnbhat¡on Erpentes i.lot

Plan Devolom¡antÊxponsos Not Paid þythø Fund:

1.. Feei:

Fuñd Admiríistâtor.,,,.,........,.....,,,

lDc'......,..",,..".,.,,

OlstrlþtJl¡.on Agsnt.

Lpgal:Advlg6r8r.-.. ..-

Tax.Advlsers.,....

2..Adrnhlstratívs .EÏpênse.s

3: Miscollaneoue

lhs

Legal.Advlitfif3;,,. ,

faxl{dvlÈins..,,.,

z,.AdmÌnistratlve Expsnses

3i lnvestor ldenfincaüorù:

NotluoiFuuliohii,lg Approved , Flan , . , .

oHm¡üulftl¡fÌçetlon:......,..,,,,,,.,,,.,,,,.,

çlålma PrppEt$ng,,.

Wob Slb- ¡rTrlntónÊr'rô€10â!i tènþr.,,

4, Fund Adrnlnlçtr6tor'Bond

5i Miscsla!ìqous

6. FAIR Roporling Exponsee

.Adm ln I ÈEãto i F èes 8. 8ond,c IVof by Fund

ElsbußcmenB to Gsurt/Othe¡ iNot.p¡¡d b!r'tþ Fundj

. I we stme n t F¿<pen¡es¡tRtS Fses

Fede¡sl 7.ax Faymoqts

cfând fbt¡l

Llne f8

Ana l.8a

Une 18þ.

Llne lÉ

Llno lga

Una l9b

No. of'olalms;

# cif ,Abims Sagerved f,hiS Fapqrtlng:Førl{,,....

#ofQl¡rimsRec€/vedSlasc tnæplionîjf Fund,¡.,.,....,!;¡::¡,r.¡j,À1*,;.,,.,....i...

l{o. of Glalmant¡/lnve¡tol¡:

# Af Claímantsy'lrwcs;tørs Paid Tlits Reþrlìnþ'Peri@,

# of'O/eiùnan&lByesto,rs Paü! glnôa: lnoðøllori ol Fund. . ..

f Item t{obr

over

êhanggd qffgr a e.¡{smal rev¡ow rêvo¿lêd that

accou¡ls rocoivablo and bank roconclllaf¡one

needed to be updgted.

I

t * ty

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 32 of 55
Coûprehensive Carc of Oakland, [P dba BayArea ]lealthc¡re Car¡ter

Sumnilt.Banh . Piyroll Actount 10472

09t48/¡7 Çl9d(

lilllthdrar¡ûal

1010ðr17

1U1At17

1gl11r1X

1At11117

1O/11t17

10t11r17

10t12t17

7 1410

1121

1422

1125

1429

1424

Employs6

iranslsl

Dlrec,t Dqposit Payroll

Ernptoye.Ë

Empiôyee

Employe€

Employee

??2.502{D

1,¡145'58

215,51 1 .41

'1,152.62

't,102.30

1;012.22

385.05

u46,91

130.tî ,s4

47,032.38

269,591.36

õ4;082.95

'ð2;930,S0

õ1,767.94

50,766.72

.30,370.67

Pâyrôll Check

ûånsfqrûprn: DDA f20!g00l L

6COO PR 804044044 CCOO

Fayroll Ohsc¡k

Påyroll Chêck

Payroll Chect

Payroll Cteck

Ê¡n,( Þate Ret ¡, I

ÂrllOUñt l\mouna 0olance

Çh€dk

Cheok

Payroll ChÊok

Fayroll Oheok

Payroll Chsot

Payrcill Gheck

Trån8ler hoir DDA 120038Ð11

ccoo PR to-û844044 CCOO

Fayroll Dhec*

Psyroll Check

Payroll Çheck

Payroll Check

Payroll Check.

Payro¡l Check

Påyroll Chsck

Poyroll Chock

ccooPR,80"0644044 CCOO

Fayroll Check

ccoo pR80-0644041 COOO

¿3.7S

10t1;8t17

10/16n7

1U1gl17

1ßt1gt17

10/19/17

10t2gt1?

10t25t17

10t28:/17

10126/17

10t26t17

10tz:il17

1,Ot2Vt17

10t2711:t

1U27t17

1012il17

ßmn7

r0/30/l 7

10t30t17

10/31/17

14.1s

f426

141 1

1423

1427

1¿130

1432

1438

1420

14e8

f433

1434

1436

l4s7

Employs€

Employee

Employ€e

Employee

Employe€

TrartslÞt

Dlrêct Deposil Payroll'

Employeè

EmÞloye€

Emplqyêg

Employee

Employs€

Ër¡ployee

Employso

EmplDyBe

,Dlrsct Deporit,Payroll

Employ€e

Diroel Fj€pos¡t Pãyroll

229,067.00

1,426.14

146,32

1 ,130.91

445,:44

218,756.72

1;182,39

1,470180

5S,l ,14

"'t ,241,73

1,241 ,73

76S.40

1.,912.22

1',241.73

f.i{7e,90

1,517.E4

ø62.?8

47,594.56

47 i4,48.28

46,317.36

45,871.S1

274t038.91

.68,182.19

5S;019.80

53,540.00'

€2;967.86

6t,716.'13

50.474.40

4e,705,00

,t8,692.78

4?¡45'1.06

46.278.46

.¡f4,760.6'2

44,.10?,84

1 42;976.

1 431

1 I't7 1435 EmplÞy6€

Trancfer'

Direet gepoeit'Payroll

Employee

Employse

Employee

Employee

ErnplDyôo

1 1/09/17

11t40117

'11t13t1'l

11t13ti7

11/f 3/1,7

1'111.4117

11114117

11.t16t17

Payroll Ghûck

TrâßËr trom, DDA 12009S013

ccoo PR 80-0644044 ccoo

Payrotl Gheck

Payrollcheck

Payiqll Chodk

Payroll Gheck

Payroll Cäeõk

'250;000.00

1,415.11 ¡t1,561;82

294,561.82

481290,38

47,260,48

46,556.30

45i544.08,

¡1,4i381.60

43,û20.€0

42i880.5S

1t441

1443

14i&

f440

1442

14.{6

243,271.44

1.029.92

7W.16

1,Q1222

1,102,39

1,36r ,18

1 39191

'17t20t17

11.122t17

fi,na1t7

11t24t11

11t27t17

11t2Ìt1I

11t27t17

1'1tL't117

11t25117

11t28117

't1t50t17

14'45

1462

1451

1459

14â1

1447

1456

1449

Employee

Dlreot Oepostl Pâyloll

Tr'e.nefer

Employoe

Employee

Employee

Employ€€

Dlroet Doposi! Payroll

Ernplòyoe

Employoe

CCOOPR:80-06440¡14 CCOÔ

Tranete¡ ftsm DDA 120038013

Payr!'ll Chech

Fayroll Chack

Payroll Chêck

Fãyrpll Check

ccooPR 80'06440fi cooo

Payroll Check

Payroll Ghook

96û,000.00

1,:21i1.73

237,561.1A

928.64

1.652.76

788,96

1i071.62

1,200.15

1,28ð:13

'1,173,25

*1,638.86

(1i9ü;922.26)

54,0n.72

53,119.08

5l,496.32

50,707;36

4S,635.74.

48,435.3S

47,147..46

45,*74.21

12tA1n7

12tMt17

1?J07n7

121ÛNj7

12108t17

12108147.

12111t17

,lzt11l't7

12t11t17.

1A1tu17

12t12t17

12t12/17

1il19J17

1

Employee

Ernployoe

Dlrêct Depo$h Påyroil

Qireot Qøposit Payroll

EmFloyas

Emptùyêo

Employee,

Empþy€€

Employos

Employ6e,

Empiôyeâ

Chêck

Peyroll Check

Payrqll Check

ocoo FR 80-06140á4 CCOO

ccoo PR 0G0644044 ccoo

Transfårf¡qm DDA f S003¡sit 3

Payroll Check

Payroll Ched(

Päyrolf Chack

PaYroll Cltocl(

Fayroli Check

Payroll ChÐc¡(

Payroll Checlr

270,000,00

1,2õ0.81

868.56

1.,170,40

251,289,1:l

1p82.87

1.018,13

8Ë6.50

1t005.80

,t,102.39

265,20

1,0ã6i34

1,130;26

¡14,?60;15

€,39-9.,5S

42'¿29,19

(209,06e.9s)

(21i0;312,86)

õ9i657,,r 5:

58:639.02

6r.,712,46

5Ê,676-86

5'5r514.27

55,24S.07

5¡,18e.7t

63;052,48

1460

1¡139

1462

1405

1466

1469

1483

14VO

1172

Summ¡t gsrtk - Psyroll Account ¡r@72

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 33 of 55
B.il¡k O¡ltc ßef å Pe Aûiortrll Arnot¡n¡ $al¿nce

19.11*ll7

sinñrnlt Banh. Fryroll Aorount'¡(0472

SorE

738.26

' 388,?ð8.73

- 1,0311¡65 381'753'10

- 323,4f 2,90 64,,840,20

- 1,e00,f5 60''140;0$

- :t ,6¡t8i63 Elïõgit ,42

- 78E.9ð :80,802.46

- 1,692.95 5C.¿09rS1

- 1.192 ?O 58,0f 6.75

- 1,þ.12,22 t7;004:53

- 090;77 æ,alo;70

. 1'41;,4,78 641898:98

- 94434' 5'A,95tl'64

' 1.7S2.0q 52'102;55

(736:?5)

1,65€,629,00

1u2u17

12tmfi

r2t2ü17

12i2ç117

1U26t17

12t2ßt17

1A2øt17

12f'f,117

1zEAt17

vrztst17

12125t17

flnsn7

14ö't

1456

14t4

1rt68'

147ö

147õ

ß7A

1460

1461

1460

1414

Employee

Dlrect Dcporll Payrsll

EmFloygo

Empleyeê

Ernplôye6

Emplqyse

EmÞioyae

Etnplpyqo

Êmployoe

Employee

Ëmplolce

Ëmployse

ccoo PR 8Õ'06*4044

Payroll.ohoclt

Pay,dlOheck

Pey'fþtl:chsôk

Peyrolt Cfi€aK

Feyroll Qhecl(

P¡yrqll.Ohsçk

Fayroll Ghook

Fa'yröll Check

Paymil Cnech

FayTollÇheÊh

Payr'oll

oo00

Guirsnt Porlod Subtot¡lt

.Summlt Bãnß - Pðyrdjl Àccount x0,472.

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 34 of 55
mprêhGngye Cåre of Oafland, LP:dbe Eay Area lleslthc¡re.C¿nter

Sq.rnmlt Etnlf - SaViñSF.Ac6ount x/tt97

ßank D¿te Bef il P¡yÉil üelcri¡rtìorl Arlìcur't Anìount tl.r¡ôncc

lñtèr€ft Deporlt

Çurren! Pstlod S ublot¡ls

3t".53: 250]'210i3¿

3¡-5û ¿50¿i0.¡'?

Summlt Bânlt - Savlngi Ac0ount:x¿ü¡g?

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 35 of 55
'€omprehentlys,€arasl;ôakl¡nd, ll db¡ B¡y,Are¡ He¡hhc¡re Ccntcr

Sumtillt Eark ' OpenÜng Aloount r801t

Sarlk nefÊ Ër.t ll Þ;ryee f Payar f)r,scrll)tlor1 A¡¡tf,rtn I Affounl B.ì lirnrr.

0st29117 CA DHC,S MEOI'CAL TRNI'Ð606$6S93'1 880217

G'.&rS Fl¡ê ProtèG{lon, lrit. Gheak

G'& sl Fire P¡otee;tlejn* lnc, Ch€iel

IR8 IRg USATAXPYMT 27070728032t3S7 OOMPREHEN

EDD EMPLOYMENT IIEVËL.EDÞ EFTPMT TOIO1OI 12

Êlonds HoNDAPMT8002058235 7010¿i59S36Sg' sH¡

D€posit MERCHAÑT BANKCDDËPOSITU660052S5883

Shirley Ma chedk

Flenry,ç. ¡"n, Check-20't7.18u,nsecproptax

D6po8it. Regulsr D€Pos¡t

Fess; I\iIERCHANT BANKCD FÊ8,296005295883 BAY

Deposit Regular Depoßlt

Feos MERCHANT8ANKCD DISÛOUNT266005295883

Dpposll KAISER FSlilNOArlO TRN'l*00000e9000490r10t1

Fèês MERCHANT BANKOD INTERçHNG'266006295&83

Deþosir MERCHANTBAÑKCD DEPOS|Í268O05296889

Fees, AUTHNË-r GATEWAYEILLING Ú8440849

ÞATASAFE, lhc, Cheok:

Notwofi Thomp¡csi lnc,. Chêck

IRS IRS UEATAXPYMT 2707ûTN'Ë1406?7 COMPREHEN

lRS IRS USAT¡"VPYMT 2?q767730616357 COI4PREt{EN

Þepo¡lt NORIOIANJEA TRNï1r8FT8640621.146017

EDD EMPLOYMEI{T DËVEL EDO EFTPMT2026913664

Airgas USA, LLC Ch€ck

Krlsor Permanontg Checx

PG'&E GheS<

EDD, EMPLOYMENTDS/ELEDDEFTFMT 1922432896

Bay Janltori¡ii SupplY, inc. Chèsk

Blue shlêld of Galifomla ohock

Cs.mmunity Mobile Qlagnostics l! Check

,DiãgnoitldLsb¡il'stôrlesSL Çneck

DnEcrV :Chéék

GiobatOapadly Check

Hoâtth. Net Ino ÇhQPk

LardB Nböls sr. rcheok - rnueia 091617

Mãrlna Mèchanlcal Check',repslls,

Schrador's lradii¡al Sr¡pply lnc Ohecft

Smaúlinx Soluf¡ons LLC ,Choc*

Ka¡ser Pðrmanente Oheck

Kai8o¡ Êermanente ohÊck

.Amsrioan Heqllhleoh,, lnc: Ghgdl

Kâlsor Pèrmtnente rohgsk

Sysco San Frshcísos, lnc. Cheûk

SUSAN L UECKER, RECEIVEF GhEeK.ìFEES.& COSIS, FOT OTdET

Ttcnsfsr Trã¡sf€ñhÐD¡,l2tÚ1Ð412

'Ddposit NORIÞ|AN JEA TRNb1rEFT8842E06'146017

AllKlsen Solutlons, LLC :Chsck

Elisa Mar Ohesk

JO-S [4edWaste Mgmt Check

Mlch¡el Chau 0hsok

'Rosl8 Wallin Chagk "?ÛlS medlcars RepQrte Prep

SlmpleLlQ,.hc, Check

YP Chçck

Ëlisa Ms 0hech

Deposlt I(AISER FOTJNOATIQ ÍRN'1!9001)0250005004ã'1

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Deposit NOR|1DAN JEA TRN'1tEFTS6j2g42ri46O1V

Feês PAYMENÏõERVI EBILLINGfEECKF218443508P

Dapl of Heglth,Oare 9orvloes Oheck

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1ollu17

10t02117

10t02117

10to9117

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l0/03117

10t9cl.1v

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10f03/17

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10/0¡t17

1'0/!5/17

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10106/T7

10/00/17

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1,0/06/17

1ol0gl17

10/00717

10t06t."17

1 0/oi|117

10/66117

10/06/17

10/0ry17

10/06/17

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10/06/1,7

10/06/17

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2,632;0?

273,186,eT

2,438,7Q

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850.00

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93,00

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13,717;¿8

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143.00

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32,678;86

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2;992,9{t.29

2;{lÍ11;861åi

2;334.493.30

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9,3.01,439.&3

2',814;829,10

2,574¡674,89

2,574,676.89

2,6t4i5ã1.47

2i57-8;99-0117

2i576i965,31

2i578.284.31

2,578,2783A

?;578,:192.38

2,523;77gi64

2,523i371 :80

:2,523.06f.,46

:2,625¿69.46

2,525',239i90

:?,524,463:92

;2.523,19:l:49

2,6'12i186:,80

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ti,5o9¡163:34

2.508,735.12

r2,509,92s.7E

2,02,4523;8

2,502.945;04

2iõ02:,2]48,02

;2,501,F29,78

e,501,7?9:tg

2''499;035r6{

2,493i211 ."*3

2,4C2"0*59;83

2:r4þ1,92f ,47

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'?.490,,566.70

à,+90.+so.zo

2,485,082,29

2,482,838:2S

.2,24OP76,29

,2,240i911;48

:2,239,687,31,

2,239:,253r26

2,3.37;353:26

2.236,826.98

2f¿30i9¿6.98

2,270,244.s8

2.290,2A7.M

2,229,8û3:97

2,3â6rG49.97

2,328.499.9?

?'3'.q.5v2.?s

2i326i907.04

2&61,21.9,*

2,287j,Oil6,A

,5e01

6331

5070

s980

5352'

5368

õ34C

636?

6384

P.00

58¡t8

634S

s85r

5364

õ355

sssr

5358

6363

5304

6376

537'8

s380

6381

538¿

53831

53S5

t390

50¡17

6366

5359

5€65

5373

6377

537S

6421

õ963

5370

Sr¡mmlt lanl - opersÍng Accaunt f8013

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 36 of 55
Sümñ¡t Btñk - OÞeroüng AúoÚntx8ol3,

Barlk Þûtr-. nef H Arnrounl /ìnlor¡Ùt B¡laltce

Irvlthdr¡uãl

1.0111/17 6374 Samlr Ss¡râm MD, lno ehsak - Sept 2017 1,000.00 2.28â,078,94

1Ot11/1V 53Eg WENDELROSEN ;Check-Foês,&.Cost¡,F€rorder 24,510.40 ¿,261,.666'5¡¡

fi111t17 8408 Shidey Ma Check - 2017-18 unsec prop 0,307.88 2,268,268.66

1CIt\1t17' ö4'13 ShirlsyrMa Chect¡ 6;600,31 8,e5t.664.C6

1O!11t17 Deposlt MEROHANT BANKGD DEPO9IT 266006¿0688S 1'1600'00' 2,25 ,152.05

1l0t12t11 5369 PNG EqulBmsnt Finanõ€ï LLC, Oheok ..20'17 po.rsonal prop ,tax - 693'91 2,252,488,44

10t12t17 5371 RÐs for Þtgulthasr€ Cheet 07,00 2,¿69,361.44

1,O11U17 5400 llarbor Esyclub ChEõk '.OB-0f t 7,0901 1 7 - 252.00 2,2á2,)04:.44.

i}tlU1? 5422 PETTY CASH Choclt - 2;A27.38 2,26a,o77.O6:

1;.0t12t17 DÊposit Regular Deþo¡it 91,A91,72 2,941,70õ'78

1W12t17 Depostr NpRIOTAN JËA ÏRM1"EF[E646155'145017 59,062,2e - 2,400,821,00

$t1gt1V' 5SB? ,Omege Pâct Corttrs!, lno. Chgçk - 71,00 2,400,746'00

1;Ol1Ct17 5372 Rodney M. Fukurnltsu GheS¡( - 450ì00 2,400,296,00

10113¡17 5414 À¡nerloan Expr€ss x1t006 Oheck 81,383,0& 2,319,9;:12$2

l}/jgll? IRS IRS U'SATÆ(FYMT a?0708681898770 COMFREHEN - 80'908,87' 2,238i004'Q5

10fi3117 EDD EivlFtQyMENT DE\ÍÉL EDD EFTPMT 1ô93124224 

. 

" 12,133.2S 4225,8?0.79 

,

1016t1V .S107 

- Schradof s Mseflcal Supply lnc Gheck - :339;00 e'?25t531.?9

't}l'16t17 54Og Wàste ManÉgpment of Alamedq Check - S,p61.Bg 2,220,1ô9.91

10116117 &23 Max Huang Cheak. Retlremêht - 690.00 2'¿19r860i9'l

1};t1gt1? Deposit CA DHCS MÉDI-CAL TRN'1'0505'/3757'1ô8021? 190,852.00 - 2,440,521.91

10/16/17 Deposft NORIDTAN JEA TRN"f 'EFT8647361'145017 13,832.55 - 2,424:3ã4.46

10t17t17 5398 Chubþ & Son Chsck - PoJlcy Jul 15, 201,7'to Jul 16, 2018 - f ,8 0.75 2,41t9;467 .V j

1OIM1V 6309 EBMUO Cheak . 6;942,80 2í1:3,1614,91

'1ol1i?t17 s01 lnPm Corporation Gheok ' 142'14 2,4118,37e'17

10t.17/17 5402 .JUdyWongRN Oheck-9/2/17"9i10/l726125hrs;9/i6/174/30i1?'36h - 3,112:50 2;41O;28O.27

10117t1v 5406 SËn Francisoo Chronlclo, Oheçk - 171,90 2,410,088.67

10n'n17 5411 S,yrcorsan Franalsgicù, lno. Chock.Sspt &Oct20{7 - 4¡968'33 2i40ã,120,34

1Ot18117 5415 Necifünds Byhleopost Cheqk . 43;37 ¿f06,078.97

10/18/f 7 Depot¡l NORIÐIAN.JEA IRN'1'8FT8649228'14õ0'17 41.i{16.71 - 2,4461493,68

10t1glt7 oêporìt MERqFTAÑT BANKôD'DEFO$IT ¿66005?958S3 2.020:00 - 2i¡t¡t8,513.68,

ßt19l1v 6121 OENTÕNS US LIP Check -Fees I qo¡t$. PerQ¡der 2?;93€:00 2,42þþv7.e8

1Ol2Ot17 6404 O¡rrrqga Pesl Cqnlrol, lnc. Chec.lr - Jan ¿nd Ma¡qh12017 - 160.00 2,420,427.68

ßn1n7 642ã Advance Texttlês Chèct( - 2,193.50 2,+lgl2&r.1.8

l1tz}tlV 5435 l-ftll.Ron ChedK - l;042;97 2;417,221.21

10120t17 6406 l(als€r'Fqundatlon Heallh Plqn lr Cheok sí ,439.89 4365,781.32

1OlzOtlV 5498 Facillc'slsnallng Syptems Ghec¡ - svr cql, t/8/17 - 43t,79 2,3ii5,347.53

10t20/.17 6443 RoyLl Amþrjlanc8 Check.dr¡le ol,asllS;,l2gl1¡v - 703.S9 2,38,Írg{3.65

1ol2bl17 6*3S TPx Sûmmunlc.sllonr Qheck . 954.ú8 t196S,888J7

'lgt29t17 5451 Zoom lrnaglng Solutlsna lno Ohock - 5,33.04 ¿;3ô3;1õ5,13

1W2011? 6#52 PGeÉ ChepK ' 249,82 l;30¿;905.51

1At23l1V 5426 Alrea¡ USA" LLC Oheak - 353183 2;362ì651.68

1012311V 6427 AllKleen'Sorution¡ lLG Cheo-k - I ,035.19 2,36,1191ô.49

1ç,/23117 5428 Allscrlpfs Hoalthoåro, LLC Ohqõk - 700,00 2,360,416.¿9

10t23t17 g/,29 BBy Janftoriar Suppry, tnc, Check - 1,512.47 2;359,004.0?

10t2311V 6452 Glob.alOøpacity Oheck - 97.02 2,358j907.001

16n3n7 5440 Publlc StorugÊ Chçck " 143,00 2i358..?64,00

1WZA17 6144 ;8lmÉleLTC;,lna. Cheek - 82,00 2;358,682.00

10/93/17 5446 .Sysco..Ssñ Frgncisco, lhc, Checkropt 2017 - 1,66n84 2,357;014.1.6

1A&3117 ã44:l Toshlba Flnancial Servroes Check 341.¡4 2,356"ð72,82

19t23¡17 i6450 YP Check - 37,18 9;350,635.3,4

10t2,3t1V æ67 AT&T oheck - 6,08 2,356,699.27

fiIaatlv Trãnssi , l,rancfeIls 0õA :1'tOS40¡f7! 2ec;08?.i00 2,12:t,,õø2.27

'l$l23l17 Dopoolt CA DHCS,MEDI-CAL TRN*1r05068-2310û'1680217 ,ZA:î ,7.?4.2&. . 2,335,286,50

1.Ot?3t17 Deposlt KAISER FOUNDATIO TRN.1co0oO0250OO8?l:71t1 179,p9-0,00 . 2,514,þ7ô.50

'tol24t17 5360 Jerold Kra¡ Check - 1,0@,00 2;õ13,3?6.5û

1'0/24t17 5368 Psrry Llghtfaot ,Cheþk - õ0,00 2;519,32-6.50

'l'ol/24117 5405 Pêry t-lghtfoot Check - 99221Z nuglc - 50.00 2,613,226.50

1U24t17' 5430 DIRECÍV Check - 10't.24 2,019,1õs.Zô

1:U2N1l 8¿11 ,Quqe¡¡e,Çuq¡ Gnôd(, |e¡mb . 192.,!9 Ll12,g7,7.AT

10t24ìt't7 fi45 Sonic.net, jnc. Chest 1,,1v6,A2 A$1 l,ÊO'! .Is

l9l23l!t7 Deposlt I(AISEB FOUNDATIO TRNrÌ:000092õ00Oõ30-071 2,42V,56 - 2,6tr4"229,7'l

1û/¡õ/17 5410 Msrlo Maflnez OhÉck j04,00 Z,5t4,Ogö.71

Súmmlt B¡nk ' Oper¡dng Account ¡.801.3

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 37 of 55
Summît:Bankl- OpÊrâf n¡ Account x8û13

SBni D.ltc ftef f+ P¿yce / l)ayor tiorr Al¡tûûrìl AñrouIt tlalônce

raBu17

10lntf

ßt27117

"10127/17

'10/08117

101301t?

1,0190/T7

1Ol3:0t17'

10/30/17

10/31117

10/q11'!7

10t91t17

10131i,1tr7

i 0/s1/r 7

5489

53õ0

6442

5rt59

Ml0hs6l chdu

Csrmola Mli¡z€lla

D-gpo8lt

Dôposlt

Rodney M, Fukumltsu

Alrgss Uç4, LLc

Loan Peyrqent x93ô6

Dogosll

Þepoeit

Amerlca.n Hêalthteçh, lnc.

DATASAFE, !nc.

Kalse¡ Clalmd R6cûve(y

PÑC Equlpment F¡nan¡:à, LLc

RDs for Hêalthcaro

Cñesl(

Choôk

KATSER FOUNDATIO TRN:1"000002õ000õ3753"1

MERCF.JANT BANKOD DEPOSÍ T A660062058T9

Check - Landsc¡¡pe and GÞrdsn gsrvlces

Cnqcx ,4! 10íS21ð

CA DHg9 MEDI"OAL TRNiI'0.605909S$I e80217

t(At'sER FOUNDA;nO TBN!1"00009â500054087'1

Che6*

theÊh

Ch€ck

Checlr

Check

2;814,54

200.00

¿e.,zs;oe

í,140.00

J3

11,0A5.00

?-¡0,00

1,150.42

12;50185

,*n,

04,00

6,Ê00:00

856.61

9ô.98

0.5u,û0

,2,6{3,J',s8,58

2,50¿,1 0.38

2,504,948,12

21505,f48,'l¿

2;604,318,12

2;ö09,2?7.7.q

2,4¡¡0,?25,û5i

2*917r608.51

2,518-;8ô8.51

2,ãf 7,6ÞS,48

2,517,b76.48

2i611;376..48

2;510;81'9.97

2;510,7,2?.99

r54ô1

6466

5473

&r80

5¿91

ã484 2

11t01t17

11t01117

11ß1:117

11141117

1 1101/17

11t0111?

11lDlt17

11t01.tl7

11tQ11,1:l

f ß1t17

11101Ì17

11101n'l

11101t17

11t0111:t

1"1t.01117

11n1n7

11nwfl:

1ilbzi1:?

1ttou17

1\',ßU1T

11,t02,'17

fißa17

fnul:t

1il0?t1-r

fi:lþallr

11:lßzt1:l

11t02î1V

1'il09,t1.v

11it03l1il

11t08117

1\tON17

11/0gl1l

11tt5t17

11tÞ3117

11t03t17

1.1t83t17

,11i/Ð3t't:t

11tþ3t17

11t03t17

1,110ôt17

11t}6t1:r

t 1¡l06t't7

11tp6t17:

l1106/17

ltßa|17

11,ß7t,17

11r07t17

õ433

s480

9464

;64b8

5476

8+78

,6483,

64&6

5486

5¡88:

64p't

5469

54üB

54ô6

6470

54V4.

547A

64r9

6487

5490

5454

5462

546S

5477

549â

s4s5

8q090

1,,'t04.79

83,00

1,?'7?,,43

50.00

4,78¿.09

,3,20,1,:13

.5;012.07

176,37

'õ0.00

83"488i35

12,48121

880.80

4S201

66i19

0s2"98

19if ,00

37,8'17,45

v77,02

365i74

86:00

b,1:3Lzg

42V.22

,r,4¿5.00

7.*5

75.00

868.06

41824

44,068.89

2s0.00

2,080.04

2214ô

49"80

35;õ0

30.66

903,776.35

1i4,07850.

1:991.61,9,5'8

9,319.00

5431

5453,

6482

úÚSX

647,2

ll8rÞor Bãy 1.7

AllKlê€n:Solutlons LLC. Oheck'

Commun,ty Mob¡le Dlegnostios li G^fiedk.'x'rayr Cardtat

e & S Fire Protêõtlon,.lnc. Cheok - Q# tTreTinternal disate¡ d¡ilf 916/17

Kalser PermanEnie Check

Feny Llghthot 6he6k,- muslc:10/13117

Ssh¡edet's Medlcaf Sqpply lnc Gheck

Sutter Health Check'

Sysco. San Frãnclsco, lno, Chesk.- 001.2017

Jack$oñ Dats ChçcK

l-arrle Noble 6r. Check'-'MUSIÇ

rRs lRs usAT/\xPYMT 2107.70533331921 COMPREITEN

EDD ,EMPLOYMENT D6/EL EDD EFTPMT 19663346S?

tR$ tRs usaTAxPvMÏ'ãozzoso1t62064 COMPREHEN

Honda .HONÞAFMT800205823569!0905Û4601 SHI

EDD 'EMPLOYMENT OEVEL EDD'EFTFMT 15896640

Shlrls.y.Mà .GhooK - 093017

Abiilty Networker inc, check

Dopt of Heãllh'Care,servlcoe Chock - 2371 DAYS GD $1S.96

Hill,Rôrn GhoCk

Ka¡sgr Pêrmanente Chðdt

KaiserPermanenis Check

FG8Ë Olìêsk

Bfuo ghlêld of Cal¡l"or'nla ChoôK

Jud,l/"Wong RN Ohêck - 10/8117-10t191v

Depos¡t' Regular Deposlt FEÛS AUTHNÉT GATEWAYBILLING 9S1:3ô127

OmogÊ Pegt.Oontrol, lnc, Check - dos {Q0017

8ay Janltorlal Supply, lnc. Check

Hesllh Nol lnc ,Check - 110117-f20117

Ne,twork Therapies; lnc. Chaclt

Nèqfuhdc B1i Neopost Cheok

FETTY CASH .ghSOK

IRS IRS USATAXPY'MT 2707'1,07753j2247 COMPREHEN

EDD. EMFLO:YMËNT DF/E! EÐD EFTPMT 19699s473s

F6es MERoHAT.¡TÊANK6DFEF2€6006895883 BAY

Fbes: MERCHANÍ BANKCDTDISCOUNT 266005295883

Depgslt Regular Depotlt

Fees MERCHANT BANKCD ÍNTERCHNG 266005295383

Kaiser PsmÉnonte Cheolr

Kalsef :Perinanente Çheçk

SarÍllr Selraln MD, lnc ohêck

Davld E. Quan Agenry Ch8ct( - down pymt genlpiof liËb 1

Dopgel! CA DI-IQS MEDI-OAL TFtN'f '050$qeB44Ë16so277

Þçpottt: MERCHANT BANKCD DËPoSlT a€6Q0õ2958-09

Jerold Kmm Check

ShllsyMà. Chook'-otpanse rcport

10-09

3,7f 7:00

15,180.00

1,000.0d

'20,490;76

f o00,00

9,806.59

2,50tJ871.49

2;607,566.70

2.507;413.70i

u;5b6,201.21

2;606,161;21

?'501,. 69.e7

2,499,1ô8,14

2i{9-î,166,07

2i4ù2¡979;I'0

ã,4s2,929.70

t,409,44'1,35.

2;39õi900, l4

3,3S6.279,34

E,3Sõ.8r2.S3

;1395;766,14

2,09õ;003.'tr

2394,869.1ô

2i357,0S1.71

2i056.274.09

:2,355i908¡95

2.866ì8æ,96

2,347,690;67

2;û47,2ñ?,d6

2f345,838'4ç

2,64q614,80

2¡6a9;Ê08;85

2,Í19,531;85

2,548;ôt3:70

2,548,2.45;6õ

a5&,176,66

2;503is26.,86

¿,501,84q.62

.2,60'1,623,17

2,60.1õ8'4'.37

2;Þ01,648¡87

2¡601,518,21

2,61â,,594,n

:2;015;ã84,62

,2tþ1,1.,867;6?

.2¡590i687;62

,2;59ð,687.8?

s,5'¿5;1h8,S6

2,V74ê01"44

2¡7Ì'8¡12t,:#I

¿,t77,;l20.,{4

c,767,313.û5. .54e6,

Sumnrlt Benk - OFer¡tlnÍ.¡Qccount ,(801,3

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 38 of 55
Summlt:Bank ' Operatlng Aecount 18013

ttâñL tråte flet fi Payee / Payor Oescli An1ount Arnouì1t Dälånce

Withdrewrl

11107t17

,tu08t17

1 1/08/17

11106t17

1 1/09117

11t09117

1lt0sh7

1 1/09/1 7

1t/09/'T7

11t10117

11t10t17

1',|t13117

11t13t17

11t13t17

11.t.13t17

1',111,3t17

1'1t1,3t17

11n3117

11113t17

11t.l3117

11ìn',3t1v

yn4t17

11t1t4t17

11t.',/,4117

11114117

11t14t17

11t1411:l

11t14117

11I4i117

11tl6t',t7

11t15t17

1.1t16ilx

5416

5d17

5418

6418

6{67

5600

6632

5505

5508

5514

551s

5622

5933

5599

5543

6506

.5510

g5{3

55't8

5528

5535

Daposlt KAISER.F'oUNO]IIIo TRN| 1"00-00025000581ü'r

D.eposlt ÑORIDIAN JEA TRNr1"ËFT8688896'146017

oêÞosit K¡üSER FOUNÞATIO TRN"1t0000023000õã95ðn1

FEeS PAYMENT SERVICE BILLINGFEE CKF21E4436OEP

Depadment.of Heõlth Cårê Servlcheolt. rafund mcal Övétpal,ment

Deporlmönt ql Health Caro SorviÇheck - rofund mosl gverp-aymeñt

Depar{rnentof Health ea¡e,Servi Check - refund mcal ovêrpe}rmênt

D6pertmeñt of Heslth Care ServiCheck - rêtund mcal ovorPayrnent

Trånlbi Tr¡fitbitollÐIr 12o0É,o{':n'

Dlagnostic Laboratorles SL Oheck ' SEP201t

Fees. MERCHANT BANKOD FEE 2660062S5883 BAY

Alrgas USA, LLC Chsck

Bay Janltorial Supply¡ lno" Check

Toshibå Finarioial Services Check

TFL Qommuriloãlions Chêck

Bay Area Healthoare CsnlêÌ cheek ' reÉldeni,trust

Repubtic lndemnity Company ol Check,

FETTYCASH Check

American Express 12006 Chect(.

Depor¡l RÞgular Deposit

Deposlt MERGHANT BANKC0 ÞEPOSIT ¿6600s295884

AllKtEen Solutions LLC Check

Kals€r Peimanênle Checl(

Sysco:ganFranoisco.lno, CheoK

Wastor Managemer¡l ol Alameda Check

Glria Tatlor Chock

Shlrley Ma gh€ck

Deposit cA DHGS MEDI-OAL TRN'1'050608243I680217

Depßit MERCHANÍ BANKCÞ OEPOSIT 20600629qS83

Brlgga Hoalthoåre Cheok

Max Huang Clleo¡(

187,28-O,00

79,785.86

20,700.00

62,8:U,37

1,000.00

36p84.35

2,7'18.00

4.95

?.340,00

069,90

41 27

41 .2t

950,000:00

470,60

s.95

7V7.36

¿i209,1 1l

.440:81

*42:79

194.00

2B¡418.20

822r68

84;07O26

2,S54,593.85

3,034t379.70

3,055"079.70

ai05s,074.76

3.05em4.75

3,062,064,96

3,052,043"q8

3,05'1,98?.31

2,801;982.31

480ï,511,71

2,801,501.76.

2,800J24.41

2,798;64 6.30

2,799;0it4,:49

7;'197131..74

2,Vff.,597.18

2a770,519.50

2i769.696.82

2i685,626,58

2,7,f8;250.93

t,749;250.93

2,748,459!e0

2;748iÛ2ô.84

t,743i883.80

2,73Si395,4J

'.2,737,3#;Ã1

2,712,130..02

2,771,454.37

2,n9,772,37

,2,772i964.93

atr11,õ64,93

7.91,73

43eg0

4'143,04

5,648.39

I 

"000.00 .6,206,3C

007.44

1,400:.00

1 1/16/17

1'1116117

11t16t1'7

11t17117

11t17t,1:l

11117t11

11t17117

11t17t1?

1112At17

11tZQt1:l:

11t20t17

1rnan7

11l2ùl17

11r20t17

11t20t17

1.1120/1:l

f r2111:t

11t21t17

11n1r17

1'Il21l:17

ßr21t17

11t21117

11t22t,17,

11t22t17

11t'22t17

1112417

11E4t1V

11n4t17

1il27t17

11127,117

5471

5463

5520

5623

6537

5644

6507

å5119

õ520

6529

õ630

56M

XAISgR rFOUt¡OATìO: TRN'1'000002500068822*1

rRs

EDD; EOD

JtS'MedWaste Mbnt. Chedlt:

C8nñeta M¡-zplla Cheok - Augr¡sl 20:17 speech

A¡rgas USA| LLG Check

8åy J8nitorial supplyl lnc. Check

Zoom lmagfng Solutldn8 lnd Check:

Sofeway Ghsd( ' Emplòy€ô gifl cardb Í0r Thanksg'lving

Amerltas Llfe lhsurance Cörp, Chêck

Abll[y Networks) lno. Chesk DIRÉCTV Gfi6e.k.

Judy Wong,RN Checlt

Kaiser Foundrtion Hðalth Plan lr Chêck

Rodney M. Fr¡kumltsu Oheok,- Landgsape and Gardon Services

Deposit CA DHCS MEDI-OAL TRN'l'05061r6959"16802f7

Doposlt NORIDIAN JEA TRNt1qEFT8679959'1450:17

Shirley Ma Checlt,

Deparlment of Health Care ServlChecl(

Hâibor Bay Clrrb Chêck

Fees CHG BKFEE

NSF CHRGDEACKNSF

DsÞoEit. KAISER FouNDATlo TRN'1r00000250005980r1

l¡'a¡¡stur. TrâfisÈrto.DÞA 120040472

Deposlt I(AISER FÕUNDAÍI0]TRN'1'00û002500060223'1

Depostt l{AlSËR FOUNDA,TIO TRN'1100Û002500060591'1,

.Ameritas'Lile InrurancêCorp. Ohock

Sonle-mt..lnc, Chook

Depoell I(AISER FOUNDATIO TRN'1'000002500080880!1

EIIãn Mn Ohsak

Mari¿ Mart¡nez CheCk

14,?60;40

:2,1160.00

9,326:00

941,41

2,031.57

198.40

10,1,50,00

't,079;63

194,00

ruq.99

1,587.60

52,908.17

42S,00

?;679,$t9,03

2;865,661,.03

2,6ô3,5Þ1.63

2.654,196:63

!,6.68;255,¿?

2,651,223.65

a65'l;085.2s

2,634,S35,26

a;ô34ì855,72

2,633;661,72

2.633'558:73

2,6¡1.97f .23

2,57S,0.88.06

2i578iÊ43.06

2;813;288,08

?,817,085,31

2.8'15.393,84

2,813,427.84

2;Ð13i'l70.84

2;81'3.160.8{

2;811,,628,84

2,821.,4U.81.

2,ï't1.424.84

?"77.3i824.84

2',774,V24,09

2,v73,ø,11.7.9

zt772,43V,gA

?,701,987.98

2,79fr016.27

2,79'l:682.27

55r2

6t*0

6641

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5527

55gr

23{,645.02

3"707,23

9,79õ.00

202,400.00

901,25

1,ô9t,47

1,966.00

257,00

10;00

*,õ32i00

¿54,000ì00

1.'T14,30

I 

'179,8,1

171.V1

194.00

Summn Br¡k. Operatlng [ccount x80lt

19rf60.00

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 39 of 55
suñnÌrn Bsn¡. -.OpÊråt¡ngAccöünl,l80tg

t¡rrk Daie R€t fl PåyÉe P¡ DF!(f iprion Amrtuflt Arnou¡rt llal¿nce

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2,791,W,U

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YF çheck

PEñYOASH Cheok

Shldpy M¡ Chosk

Loeh Psymonlxg388, ,40 1019215

Deposlt Rqgular Deposlt

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PG.&E Check

sysco San Fr¿nçlsco. lnç ch.çç*

Dsposit NORIDIAN.JEA TRNi1iEFT868094l-'145047

lRs IRS uSATAXPYMT 27077330õ16A127 COMPREHEN

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EDD EMPTOVMENTÞEVELEôO EFTPMT297Q67529

Doposil çA DHOS MEÐI'CAL TR'N'1'050€25847''16802{7

Honda HONDAPMT80020582'3571910C55S541 8Hl

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DeÞosit: MEROHANT BANKoD DEPO.SIT 286006295883,

Depqsit l(AlgER FoUNDATIO TRN'i'0000025000631 f e'1

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282,86

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Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 40 of 55
Summl! Eapb ¡ Operatlng Amount x8013

gâhk Oûte Reff AmoUnl AmoÙñt E î ItncLl

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Deposll K¡IIISERTFOUNDAÍIO TRN'{'000002500068629'1

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2;585,160.62'

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Rpctnêy M, Fukumfisu Chsoh

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beposlt l(AlSEB FOUNDATIO TRN'1|000002500084901'1

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f.o¡r¡ßr f'r¡n¡tbrto ppa. 120ß¡04?2

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MadE Madfnez Check,- Llfetlme Achlevement Award

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Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 41 of 55
lummll Bâtrk' OÞerstlng Àocouat rfl113'

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52,975,19 - Z,6f 7:,471.õ1

620.û0 . 2"ûrb,091.61

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. 102,SS 2,100,021.58

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. 37;00 2á37,220.47

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- 3,6ô3,02 2,40.1,ßø210

- I,475,00 2;400;f27,1,0

- 4,580.53 2,396i64a6f

- 12;501,85 ?,883;044.72

61,16S.57 - 2.4?4,204.29.

1,079;0ø , 2;*38279.29

' 93;00 2,435,186,29

- 418,24 2r434i768¡06,

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2,5S7,961.0S

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Sulnmlt Ðanl¡ -,OpÊr.tlng:A€couf!! f8oûl

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 42 of 55
Llne:l

STÂNDARDIZÊD FUND ACCOUNTING REPORT for $FRC.Gagh Bgsfs

Recaivorship Civll Court Case No; 3:17..cv-0022SRS

Period:Öctober 1 to 31

Bahnco.(Ae ofl0otobor {, 20i7)

¡n Funcl Eatence:

lncomo

¡nd.Secùt¡üe3-Tr¿n3fsrs ¡nd Turnovet

lnçomo

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Îo¡al Fun¡l¡ Av¡llrlito '(L¡no¡:l -. 8}}

Þecreases ln Fulnd Bálanc:e:

Dlsbt¡rssmqnls for Recelvorehlp Opera0ons

tø Reæ lvo ror Otâei': P¡'orbssrona/s

Expenses

Assol Expenses'

Ëxpensac

1. Expenses

T' 9þ! mId,LCü lJ'lbstlo{',8{po.¡ses

Administratot Fa¿s and Botrdí

Fe.deø dnd State Tax, Pdymø¡tts

3

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Di¡bursemenb for ol¡tlbution Expen¡es Ptld by

D I slr 

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utl o n Pl a n Oðì/e/qpnront Expeogesi

1. Fees:

Fuñd Admlnlslr'Etor,..::...;:...r;

lndop€ndênt Dl5tdbution Oonsultsnt (lDC)'....,......"

OiÈtrjbúüon Aeent

Consultäñts,,. .,. .,

Leg6l Adúieefs.,. ,

Ta¡ Advlsêrs....".

2: AdmÍnlstratf ve EKpen3es

3r Miscêllånêous

Dlst¡ib ution Ptan I n plamenìatio n Fx.ponrcs;

l, Feesr

Fund Adm¡nlshator... .,. ... ...... ......

tDc

D¡stilbrrtion,Agenl

C0ns{¡lhnts,.. .., , . .,

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Tax Ad'üiiÊrs,.,.... .

2,,Adminiglrålive Expenses

3. lnveÈtor'ldentif cation¡

Notçe/F¡Jbllstìing ApÞrovöd Plan,,,

ohlmånt ld€nfl ñaafi on,.,,..,,,,

'êlaírns:Froce$eing:

Web slte Mahlqnance/Ceil ColJtar:..,.. ......

4, Fund Admirlfstråtoi Bond

5. Misoellaneous.

6. Federdl Accûunt fur lnve8tor Restitütion

Expenses,

I nvê êtm ø nl, Ex pënsosÆou/û FOgblry I nve sttÌlenl

Itotal Diao-ur¡emcnt¡ to Court/Other;

lOtsl Fùnd¡ Olrbur¡ad {Llnes 9 - 'l{);

Fund:

1Z

1.2a.

1,2b

FUND AGCôUNT|NG (soerlir¡truqtlons):,

26,488,795.70

18;û68.75

?21.92

2t;F0'7i87$t? g6r5qt 103.tt

1,,00s;607,68

41,r824'791

Refàrþnca

261488,795.70

18¡858.75

,22',1,92

28;F07;87ü37

'tO05;607,58

41,824:75

t

1:ptzêga;st

itsladco (As of Decembe¡ 31,. 20l7lr

1,447,432ß7 1,047'43?.37

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 43 of 55
LfnÊ 14

Llne, I 4a

Llnø 14þ

Lnë.74ç

Endmg Brltnco of Fund - NstAssets¡

6cså & C¡sl¡ Equlvabnß.

lriveslrnqals

Olfior Assols of ,Und¿arc d. F uNþ

Total Endhg Balance of Fund - Net A¡¡et¡

25,4û0,670.74

2S,460;670.7,4

26,¿160,6Y0.74

25,¡f60,670,74 ¡5.11ô0.ô70,7{

oTltEB 8t,FELÉfirE {iaL tllFoRrdAnoN:

oilþrns,for'ro.& Pttd wrha F.andl

fer Pl¡n,Admln¡ùt¡ût¡ôn Effnlrå.Nþt,Prld by lhà Fr¡nù

PIpn Døvelopmenl Expenses Âlot Ptkl bt lhe Fund:

L Foqs:

Fur¡d Admiñlstrator

Pldñ,lmplômontatiion Expcnso-s Not Paíd by the Fund:

I. Fioes:;

Fund,Admlñlåtr?tof ..

tDc..-

tlslllbuJlon Agônt..

Congultani¡...., ,.

t¡ogdl Advissrg,.

'Tax Adviogrs,......-.

2:, Adminì$tr¡tivs Exgensqe

3, Inveçtor ldenttÍc€tloil

Nolioó/Prrbllirtling,Appr.oved Plen.

'Qlaim¡ Fttú¡ós¡ihq,-..,..,,,.,,,,...,.

w9þ slto L¡lâftdenâñcó/câ¡l oenter,,, ,

4. Fund,Admlnristratoi Bond

5, Mircelianeous

6. FAIR Reportirg

Tax tha FUnd

to.CorrrU0ther f{ot Pald by

lnvos.fütant Pees

'Fêdanl Tax

6rånd Total

Nor of Clalm¡:

# o,/ Gla/ms Reco lvod. 77r1s Røpoltlng, Fedgd,, n,,,.,,,,,,

'#of çlalri9Reaølvod Sin¿t lnoqption of Fund,.....

No¿ of Clalnan'û¡Jlrrvortor¡;

'# of üaänànls/lnyosla¡.s Fad nrls Rêporfint Fsrlod-............,.,..,...,

# ol'ota¡ñë)tiþ/1nvèsÍors FaId $¡hcê lnØNon,off unal"

Itsrn. Nste¡

1 Oash & Sirsuiltieð: ¿Ê,488;795:70 Comprïðed. ôttunds,tmngfers, in lhe 4lh qüãder

onfy, as follows:

cs tP 84,803.65 'cs ll f;896,446.53

cs ilt 8,719,835.20

cs' 9;680,4ñ.71

ioo.ooo.oo

1.23.6..61 TumoV€f Funiis

J.L

/t {

:,)-^

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 44 of 55
Sl¡n Ëigr.iq;bco Rrgiorral ;Oepl,or

Susan, L. Ucdliôr',,Rppsi$Er

Ealanso'Shc¡Ef

Dçccmþsl3rl¡ ?(!17

,{S$ETS

Cunent Assets.

,Cheeþng . Bostoa,Pr iva¡e

Ma¡ket Rato,. ßps1þ.8 Pdvatç

'Tols[ guüenr lbre$

Propert¡,ond Sguf pmerd

Totsl Propßrfy. end Equipnrcnt

Orher Assetp

Tb.ral Qthcr Assets

Trotal'Ässcts

Currcin¡ Lisbit¡Uþs'

Totâl,Gurr,Ênt Liabilitics

LörgïTerrn L¡bbititiée

Total LonçTerm lui ebltlti es

Tot{il:Liab¡l,ir¡-6s

:CcpiIpl

TurnoverftomCS LP

Tu¡novo¡ Êo¡¡lrCS I,l,

Tu¡novcr {ïorr¡ C8.lXI

Tqmovcr f,r,orn, G$ Itloldihg

TuinoVéi fhon, Il¿ SaleWqy.

Turnover -'Tæh LLC

Tums.vçr - :f ftþune Tavenr

Nct lncsrnq

Total'Capital

Tsral LlaliilhiÊs & Chpital

e5,460,670i1{

s .t5;g:60"974.74

I TABILITß$ {,qÌ{D' CAF¡Ti4|L

u00

0.00:

$ 5Jr.4,9t

.25¡454,EEiS.Sl

0'"00.

0;00

0.0CI

.$ 84;&03:'65

7¡ü9fs445;fl

ß;7't?,635,2o,

'9rf8rí14.74.?!

100;Õ00:00

27&1:4

ti736;6t

(1,0?6p51.7O)

25i4æ,674;M

t 2$f46qø70;t1

U¡¿udited,. For Manegie,me¡t Pwps.ses.Only

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 45 of 55
Prye i

Rgwnueig

lnt*est Insome

:&efundn

lstol fl.o'renuo¡

Þçprnscs

Bogciver'g.Feps

Lee¡iveris Oosts

It[coountlng Fcös &'Côsfs

'Flling Fees.

Legr¡f F,çê6& gçsts

tcgall FUcs,& :Co*s-lnunigrirü gn

Legol.Fe"ei & Coetsrl L0atovay

Licsr.! s€t & P_crrnit¡'

Ofñco Expoieee

Operaring Ex¡ienro

Fostago Þrgense

Pr-ojesstçnCIl FÞes

Taxos - Fodenàrl &.Sts!€

,Runway/,CS LP Bx¡ie*rse

ÇS llPxpenre

NÄ3PLF¡,pons.e

Ç$ !Í:LBxponss,

'fotàl Bxpeolejs

Nst lnsome

S¿n Fr¡nsiÉco ßegiöual :gqf5¡

Susan' L, Uer:ltei-, Þiccelver

ìXnoomô $tatÈ¡menl

Foj tlte: Filurth Qqartpr ?0 I 7

Chrr¡sÍfl'Qil¡nor

I8¡'ü5S,?5

a}t,9Z'

l9;0:È0.62

3il2i654.40

?it0.36

3J'0;083'.lg

3;03$i00

jS

333i;E:Ii0.33

37;863;50

8i?l36,i80

l;s0,3.00

92,41

!;4P5i70

l0!.07

2;ã0CI.00

:3,85816Ji

2.J7â.00

¡¿t3,r3ü0

lil,l540d

2;00O.00

tS47;472.37

, ( i,oâs;35110)r

.For' Maäa¡¡ar,riovr-t Pu rpqses On !y

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 46 of 55
STANDARDIZEÞ FUND ACOOUNTING REPORT |of NA3FL Escrow FUÊdÊ,CsSh BA8IS

Civll Cor.¡rl Casê No. 3:f7-or¡.00223'R$

Ootóbat 1 lo December 201f

FUND AGGOI llTl¡lG {Ssd lnst¡r¡sllonali

Reforcnco

,t,,0l0rgzg.3q

I B¡llr¡cs {As õf,Octobsr t,:2017}

ln Fund'Balance:

tlne2

$oqt¡rltlåË-lråndór liom NAâPL öp 450:000.00

Llns lncome 4Ê0.89

BrElnô¡¡,

Lltlgetlon tnçone

illsc€llânoor¡a' Olñ?r

T,oüil Fuñdi Aúallable,(l,lnee I - t]r

Decr?a¡çs ln Fund Ealance:

0:00

¿!O¡rtO;E9

I

l0

l0a

10b

l0c

fad

10ô

10f

Ps

'lnvestor¡'

Rircalv'ers hlp:Operellóne

Reco lw l or øh er Prclo $lofi d l s

Asso, Exp€¡rses- 0.00

Expensos

/nveslmenf Ëxpenses

m k'd' PàW L¡tl g àf¡on Expens6s

1..Attom6y FÉð3

2. ExÞensec

faf A:dmlnlstæitor'Fêes end Bonds

Sfete fax FayøenJs

l4

1,i:a

for Dtõt'lbutlon by the Fundi

Dlslributlon

1:. Feqsl

Fund Admlñlstratort .-,-.,. 

".. lnd€p€ndent:Dlsklbulibn Oonsult¡nt (lDC).....,..

Dietdbuüon Agenl.., ,,. .,.... .,,.. ,;-, ¡

Consultânt8,,. .....

Logal AdViiùira..,. ..'. . . , .. ..r ..:

Tax Advis€ts...,..,

2, Adminiètråtivê Exp8nges,

3. Mlseéllanêoua

t 1,þ Dlstrlt4,ftolì P ¡ a n t n pJ e,m c nlal/oä Ëxpenses.'

1r, Feesi

Fund Admlnillrdbi

tDc, .....,. .:,...:...,,......."

DíElrabuüqn Ageni

ConsullErtts,..... .

Lågal Adv¡Bors....

Tax Advl8efs.., ...

E; Ádmh¡bûatþe ÉþenÈBB

:3. lnv€3lor.ldentlffcaüonì

Notlca/Publlthlng Approxed P|an,.,........,.,,..........

Clslmar¡t |dont|ficat|on,,..,...,.,,.,,,....,.

Claime'Piocesoin4

WEb SitB l,rä¡ntenane€t/Câll Céofêr.

4, Fund Mmlnistratpr,Bond

6. Mlscrillan€ou8

ô, F€der,8lAcaount for lnvestor Rëstitutloh

(FA]R.) Reporting

12

12a

lZb

'lnvestmanl Ex'd.nqo6Æoüd Fogisry lnvcstment.

Sþlcm fGRIS/Foos

'Fedsñl Tax Paymnts

Tot¡1. Plè¡uñreû¡oñt¡ to Court/. Othe¡t,

iöbl hrndl DllbuûôdlLlhor 9.- tll!

E¡dlns B¡lancô tA¡ of Desembor 3'1, t"Pl?r' {r3

450r0o0,00

.400;89

45ôr¡¡80.89

0.00

0¡0

1,0r0.02&0ö

0.00'

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 47 of 55
LIns'1¡û

Llno l4a

Unè t4þ

Una 14e

r,010,923..3Þ

f ,010i98$,95

Oasì 8 Cocll Egulyâlènts.

,nrðstiTrénts

Otlrer f, s¡elc u Unotednd FuÃs

Toþl E¡dlng Bdançe,oi Fund - NEtA3B€tr

r,010i923,35

l,0fì0;9¿3.36 l.0t0r02il.!õ 1

OT. H ER TU PPLEMEI{T,AL INFûRI¡IAIIOI{:

Ltñe ,16.

L¡na l5a

Lìna 16b

Una 15c

Llnc'lF

Li?'..,lõA

ahe l.þþ

Llne 17

olltams NOI lo Bc Ftld'by lhe'Fund;

for Ptan Admlnldnflon Ex-pon¡er Not,Pald þ

F./¿n Dovohpms¡nt Þrpc¡scrs /V¿¡ Pð¡¿

L Fees:

Fúnd ,Admlni¡Flor,, , ,

tD9" ..'....,..,...,.

Dlstribution Aosnl

Con$illanl6,.

Legel Advlsare,,.,ür,.-,. .........!!.,...

Tax Advigors,.,,,,

2: Adr¡lnisbâtlveiË{penqeq

3. Mlscèllanêoug

Flan l,rtplêmenlddon Eipcn¡s¡ lvot PsN.by th6

'1, Feès:

rDc.,

Dtsrr{bution Agsnt

ooñsultanß.,, .....

l4el Advi90f8:.,.

Iâx.AdvlÊ.iÍ!..,,

!:.Adhinlstraiivs EilÞenseg

3: lnvcstor ldonüfr cadon:

liloüc€/Pubf lshlng,App¡ove¿ Þlsn, - . .. ..,.. ... -.. 

"

Clsim¡int fdentlll¡slion:..,.. .

C'sirñf PtÏ¡cê3s|ng.,,,,,"...,.........,..¡ ¡... ¡,+.. !!, .r.

wÞb Sltor Mdlnt€h¡nco/Call Côritdr

4 Fund Admlnish€loi Bond

5i .Mfscöllaneolis

ô; FAíR Repirüng

T¡¡ ôr

to,Oourl/.Other ñtôt Pàld by {he

lnr¡tgürtont E p€nsês/tCFts Faos

lFqdere/, 7ax'P.tyÏréotr,

&

Oñnd Trt¡l

Ulno tg

Llna 16a

Uno:l:8b

Llns'10

L/ne,llia

LIno l9b

l¡o.'ofrCltlms:

#'ol Clahtts ReceirÆd Thrs Rbpoilng Faiol.,.,., .....;.i:.n¡,¡,,!,,.

# of G/aims ¡qeoalved 9lnæ haa pllë tl of, F un d......

l¡o. of ;Cl¡¡lrh€rrb/ltïVo6ûorr:

' # ul O,bfr?anli4nùËstors

, I af ClslmâflÌsllnw skits

Accrued ¡nlorest.rif tl,787;36"

Susan L, U.oakÞr,

'/nt,f

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 48 of 55
ASSETS

CurJenl Asscts

M,a¡ket Rate-Escror¡v Funds N,AJÞL LP

M'arket Rate-Excess Furds NA3FL LLC

Total Cuneut Assors

Pmperlry and, Equipmenl

Total Propeny and Equipmenl

O¡her ¡\ssets

Tbtal O¡her Assets

Total Assets

LI,AtsILITIES AND CAPITAL

Curronf Liabllities:

Invostor Funding

TotalCuflrffi Liabiliilæ

Long.Tenn Liabitiries

'l'otal l.ong-Terr,u l-iaþililies

Total Llabilities

Capital

Tumover Funds,

Net [nsome

TbtalCapigl

Total L¡abÍlfties & Cqpital

North Arnerica 3PL

,Susan f ,, Ueô-kof¡ Re¡eiver

Balancc.Shept

Dec.ember 3|t,,20|il

560,886,36

450.:036.99

1,010"923.35

0;00

$ 1,0 r 0,923J5:

$ 559,099.00

559t899.00

0,00

559,099,0Û

,504,768;96

r)

45 t.824.35

-! ,= Lg1g,e23 .

0;00

1t24l20LB ar 4l2;A PNt Unaudited - For ManageinentPrrposes ûnly

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 49 of 55
Nor,th,AtuË¡irtâ 3FL

$\¡ssn L, Uee&er, Recalver

lnoome Sffe.medt

rol üre Fo.wh Ql¡årfsr 3. 0 -Ï?

Rgv€!uê$

htarÉñt lnsunre

Total Rev.cnuçs

E¡ponses

Bank Cliarggs

'Total:Ëxpe-ugps

Net Inpo¡r¡e

,Current

Qnarter

$, 360.t9

46û8S

II 1"il29.1 ß: al 4:,[2,F.IVï .FoÉ ït luisi¡eorent Furposes only Fags: ll

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 50 of 55
STANDARDIZED ËUNÓ,ACCOUNTING BEFOR'T for NA3PL,(tsU$IhE8¡ÞGqBh BASIS

Reoetuorshlp Olvil Oourl gaso No. :3r17"cv.0o22&Rs

Fe¡i:od: Octobe¡ 1lo Oêirembdr 2017

FUI{D ACCOUhmNG tsee Jnütruoüon3f:

I Belanoô (Ar of Oatobcr I , 20f 7-)

ln Fund Ealstrcs:

lncoÌne ð63.!Ê6.42

enrl Scurltles 0,00

4

õ

I

7

l¡co¡np 0.00:

A{ept Uguldqtlon

AsFst Llqu¡dâtlo0

0.00

fotål,Fundr Avåflsöle{Llña! { - t): '6tB,t88.¿¿

ln Fund,Balançø:

I

l0

10a

10b

1:0c.

10d

1.Aø

1¡01

,09

to lnnè8tônr

for Recelvere.l¡lp Operatlon¡

ta Reæ¡wr or0fñe¡ P¡ofossþnals

n6soû Ëxpen66s

,Assrl Elpinsas'

r912¡906.96,

lnwsttfiaft

'1. Afiomey,Fees

2. Érpqne6s

fax AçmfnÉtu¿tìor Faés and Eonds

FedcGrånd StrtÞ fat

lt

l.1d

Dl8buÊorhen!¡ for Dhttllbutlon E {pon.cg.' Pa¡d þy

Dlst¡ibutío;n PIân Dâvalopño¡,t Expen¡es.'

1, Feèi:

Fund;

lnd6penóeht oþltlhruon conrullãnl (loc),.,...

!ðgål Adv,lcêri.

Tax Âdvtacrs,,,", ..., .!.:, !¡.,

â Ádmlnistratlv6 ExpensqÊ:

3, M¡soBllanðoug

11.þ. 'Dl&,tlöu$on Plan lthþlcnonlbl¡on Êxp€DsÊs,r

1,, Fess:

Fund,Aiclmlh¡slrâtor, ".....,,,...,. ...,,,,..,,

lOC1.......

.Coneultånts,.."..,,i;,i;. -.,,...,.,

Lagal Adv'ræra., -.. ..-

2. Admlnlstratlve, Exp€ns€sl

S, lnveslo.r ldenllfio€llon:

Notlce/Publishlng.Apprgved Plan,.

.Claimanf ldontlfrcatlon.,,.....,..,.,.,.... ßlairnr.FriÈeilslng :. ¡i,;:.;::;..ini¡,¡

ì¡üeb Slte Mairileftanoe/Csll Cenler,,,

.4. Fund,AdmlnlstÍttor'Eond

6. MÊlcèllaneous,

g. Federal Aocbuntlfor lnvððtor Rêètllutlon

(FArR) Exponsëg

12

l2a

12h

td CourUdlþri

F]sas

Fcd'iral Trü PaJzmeñts fot l Dfrbupement3:rrh¡nrlof'to NAIFL Rec

T.olal Fund¡ Dtobutto.d (Lln€! I - llli 45!,000;00

c4Ê,90õ.s6

Llne '13

Bål¡noe (Ai Of Qecember 31. 2017):

qubÛotål

ô63.966.42

0.00

,0,00

0,00'

86*!89.4e

942,.906.90

g4ø 006,1¡8

.Gfrnd:Totjrl

078,766:6'7

t,¡ù0¿,?3d,99

450;000.00

û42:æã.96 '1,392,t906;96'

æ 149,829.r5

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 51 of 55
14a

14b

14c

149i8gg.13

'!44829f3

14c.820.13

1{9"820;13

C€rlr û C¿sl, 6q{rlt dtarrts

lnvastñantg

OJþprÁcsaß;or Uncøan¿ PwAs

Tot¡¡ Endlhg B¡h¡ee of Fuñrt-N9tAg¡etE

INFORUATIONf

Une 76b

r¡

15a

1&

t6

16è

16b

lorPldn Ad¡nlnl¡trqtlon Expemes Not P¡Íd.by the

Tota,l Plañ Dëvé;lapnoail Expanæ., !",-edCAJþp-fCN

Fund Âdmln|8tabr,.........,.....;i..,,.

tDc..,,,.,.,..,,.,...,.

Olc$ib{¡tion Agènt.,.....,.,,...,..,..,,...

Cpñsu|tanb.,.,...

LQgal. .qdvfserEt , .. ,

Tsil¡(dvlten,,..,,.

2, .Admlnlstrattoe ESrenses

3.. lnvirstor löliritlfi càtlon:

NoücdPublishlñg Approvqd ptan,,........,,.........,,

,l!r

tJl¡irFundl

:l

Iax

lnwstmanî

Fõ¡detsl. lax

Pekl FUN

Raqo¡t:olñþ¡ns túOl Io Ae Prltd þy lttetrlurrd:

Fecs

t¡ot Prld try

Ctalrnail 1d9nt1flca1,0ni,,......,,.....,.,.

Clålm.g Fr,ocès{tlt!Û"

W€b sltE Malntenânc€lcall Centor. ..... .............,

4, Fgnd Admlnlstiator Bond

rõ. Mlst¡illsneous

0, FAIR Rêportlng Expenset

Plan lnîleneritafibn Fxpe¡¡ses Not' pald. þy' lhô

l, Fees:

IE

188

t8b

lg

19â

1.9b

ol ClalñB:

# of Çlairhs,Reaølvad,ThìS'ReryÌl¡ng-Pedpd,,,..,

# of Clalns RcceMed'gtt co tnõepiton of .Fund ".

lilo, ôf Clâirn¡t!Þrlnvoütor!:

# ¡rf C/âiøante4nvestora Fald .Thls.&epoûìng Pøriod ,

#of

t/>E t t{

Qqte

Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 52 of 55
ttame

votÞFTYTmÞ

ovEsEc.

AGTTA'T

FBIAGE

lJPvts'

sn$Àr

WESGREA

MANCON

ctþltH.

SHDLIO

sÀ

BLLILOGELUrcXìFE't,Tneo

frÀgr

EBGTJS

lOL

lcll-l-QOIL

Bedlnrrtng.Bala¡ce

t1f3@t cKili3o66 6Í'r1lîq8e cx1J13085 C¡{1iEq87 cl<r1r30B9 CKril3092 GK¡lrsær dxIf13æ6 CKrttsosð oxtf134r4 JEt1l34i8,JE1r134t7 JÊ

fÞb¡r

81s8,2û5.00sr.60¡5ao9

$15qne.rn

$r58,æ7.tÞ

$151pgl.og

'151.r51.5{

$r4S.'r¡6-54

$146708.90

S11S6æ.s$14qæ8s6sît6,318-S

$¿rrà1!5es1s7ã..8s

G¡sdil

$b.oo

8¿a63.oo

tBlã.00

$7.e56,0€

El79:55

$e376100

t67.64$8s.00

û39s.34

sl.92&00

$r25,000100

t7åe6.71

tr8,r0

$175,¡f8ô94

l.let Aoü-v¡.ty

$2,7s0.ût

$É"¿53.æ)

$f3¡5-æ)

¡¡7¡sli.oot

'{179.s6) tt¿3ã.00,

$(67ô4)$(86.@)

1t3ü5.34)

$(i¡92{r0o)

stt25;0000õj

$V;596,71,

,g(i&1ol

$3rrB75

PagoÊ 2

Bal¡¡ncr

t108,955J9

$15Ê,7æ:09

3rsó,ss¡.os¡1sr.æ1.09.

$151.r51.5¿

S1¡t8.7t&54

$t¡t8,708.90sr48.:ôæ.gr$148¿38js6$146;31s,56

$21;3rå,56

F 3í2{-85

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Case 3:17-cv-00223-RS Document 329 Filed 01/30/18 Page 55 of 55