uecker, receiver l. susan attorneys 6 · 2018. 11. 12. · standardized fund accounting report for...

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009 589 0024\5271 21 7. 1 STANDARDIZED FUND ACCOUNTING REPORT 3:17-CV-00223-RS

Elizabeth Berke-Dreyfuss (Bar No. 114651)\ryENDEL, ROSEN, BLACK & DEAN LLPI I I I Broadway,2fn FloorOakland, California 9 4607 -403 6Telephone: (510) 834-6600Fax: (510) 834-1928Email: [email protected]

Attorneys for Susan L. Uecker, Receiver

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO DIVISION

Case No. 3 : I 7-CV-00223-RSSECURITIES AND EXCHANGECOMMISSION,

Plaintiff,

SAN FRANCISCO REGIONAL CENTER, LLC;THOMAS M. HENDERSON; CALIFORNIAGOLD MEDAL, L.P.; CALLSOCKET, L.P.;CALLSOCKET II, L.P.; CALLSOCKET III,L.P.; COMPREHENSIVE CARE OFOAKLAND, L.P.;NA3PL, L.P.; WESTOAKLAND PLAZA, L.P.; CALLSOCKET,LLC; CALLSOCKET II, LLC; CALLSOCKETIII, LLC; COMPREHENSIVE CARE OFCALIFORNIA, LLC; IMMEDIA, LLC; ANd

NORTH AMERICA 3PL, LLC,

Defendants,

-and-

CALLSOCKET HOLDING COMPANY, LLC;CALLSOCKET III HOLDING COMPANY,LLC; BERKELEY HEALTHCAREDYNAMICS, LLC; CENTRAL CALIFORNIAFARMS, LLC; ANd JL GATEWAY, LLC,

Relief Defendants.

STANDARDIZED FUNDACCOUNTING REPORT FORCONSOLIDATED SEC VS. SFRCRECEIVERSHIP ENTITIES FORREPORTING PERIOD:JULY 1,2018 - SEPTEMBER 30,2018

VS

Case 3:17-cv-00223-RS Document 503 Filed 10/30/18 of 35

STANDARDIZED FUND ACCOUNTING REPORT for Consolidated SEC vs. SFRC Receivership Entities-Cash BasisReceivership Civil Court Case No. 3:17-cv-00223-RSRe Period: J Ito ber 30, 2018

Line 1 Beginnlng Balance (As of July 1,2018)

fncreases ln Fund Balance:

Buslness lncomeCash and Securltles-Transfers and TurnoverlnteresUDividend lncomeBuslness Asset LlquidationPersonal Asset LiquldationThlrd-Party Lltlgat¡on lncomeMiscellaneous - Other

Total Funds Avallable (Lines I - 8):

Decreases in Fund Balance:

Dlsbursements to lnvestors/Ref unds

Disbursements for Receivership OperationsDrsôursemenfs to Receiver or Other ProfessionalsBuslness Assef ExpensesPersonal Assef ExpensesRecelve/s Accou nting ExpensesT h ird-Pady Litigation Expenses

1. Attorney Fees2. L¡tigation Expenses

Total

Tax Adm¡nistralor Fees and BondsFederaland Stafe Tax Paymønts

Total Dis 21

Dlsbursements for Distribution Expenses Paid by the Fund:Distribution Plan Developmenf Expenses:1. Fees:

Fund Administratorlndependent D¡stribut¡on Consultant (lDC)

Distribution Agent.. , .. . . .. .

Consultants.,..,.Legal Advisers...Tax Advisers. .. . .

2. Administrative Expenses3. Miscellaneous

Expenses

Di str¡b u tion Pl an I m ple me ntat¡on Ex pe n se s :

1. Fees:Fund Administrator..................tDc.....,......,....Distr¡bution 49ent..........,..,Consullants.. . .. .

Legal Adv¡sers...Tax Advisers.....

2. Administrative Expenses3. lnvestor ldent¡ficat¡on:

Notice/Publishing Approved P|an.........,......,,.........Claimant ldentificat¡on.....

Claims Processing........,.........Web Site Maintenance/Call Center...........

4. Fund Administrator Bond5. Miscellaneous6. Federal Account for lnvestor Restitution (FAIR)

Reporting Expenses

I o :td Plan lnp!çue.rlqti -o- r-Et pv:s e ç - -Total Dlsbursements for Distributlon

Dlsbursements to CourUOther:I nve stme n I Ex pe n ses/Cou rt Reg ¡ stry I nve stme nt

Sysfem ICR/S) FeesFederal Tax Payments

Total Dlsbursements/Transfers Between Entities

Line 2Llne 3L¡ne 4Line 5Line 6Llne 7Line I

3,239,245.1066,772.5446,179.31

0.00

1,340,281.953,391,927.24

r6,856,204.00

109,654.543,978,002.37

238,734.45

161,590.17

1010a10b10c10d10e

Line

Line 9

L¡ne 10fLine 109

Line 11

L¡ne 11â

11b

Line 12

Line 12a

2

2

2

I

FUND ACCOUNTING

3,239,245.1066,772.9446,179.31

0.00

1,340,281.954,692,479,30

16,856,204.00

109,654.543,978,002.37

238,734.45

1 61 ,590, 1 7

46,379,763.58

51,072,242.88

Line 12b95,529.26 95,529.26


Line 14Line 14a

L¡ne 14bLine 14c

Casá & Cash EquivalentslnvestmentsoflÌer Assefs or rJncteared Èunis

Total Endlng Balance of Fund - Net Assets

29,632,528.09

29,632,528.09

- Net

29,632,528.09

OTHER SUPPLEMENTAL INFORMATION

Grand Total

Line 15Line 15a

L¡n6 15b

Line 15c

Llne 16Line 16aL¡nø 16b

Lino l7

Report of ltems NOT To Be Paid by the Fund:

Disbursements for Plan Administration Expenses Not PaidPlan Development Expenses Not Paid by the Fund:'1. Fees:

Fund Admlnlstralor,,,...............toc.......,..,....,.Distribution 49ent. .. . . . ...... ..

Consultants... . . ,

Legal Advisers...Tax Advisers... ..

PIan lmplementation Expenses Not Paid by the Fund:1. Fees:

Fund Adm¡nistrator..................

Distribution 49ent, .. . . . . .. ... ..

Consultants......Legal Advisers...Tax Advisers.....

2. Administrative Expenses3. lnveslor ldentification:

Not¡ce/Publlshing Approved P|an....,.....................Claimant ldentificâtion....,Clalms Process¡ng....,..............Web Site Maintenance/Call Center.......,...

4. Fund Administrator Bond5. Miscellaneous6, FAIR Reporting Expenses

Tax Administrator Fees & Eonds Not Paid by the Fund

Disbursements to CourUOther Not Pald by the FundI nve stment ExpenseVCR/S Fees

Detall Subtotal

the Fund

DC & State Tax Paymonts

by the Fund:

N Pald

Fund:

Plan

rsements for Plan

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


TgtøtPle!1?eyplp-p-pr-lExp-e-q99-s--ry.4f

Federal Tax PaymentsTotal Dlsbursemsnts to

# of Claims Received Since lnception of Fund............No. of Claimants/lnvestors:

# of Claimants/lnvesfors Paid This Reporting Period,..,# of Claimants/lnvesfors Paid Since lnception of Fund.

No. of Claims:Line 18Line 18a

Line 18bLino 19Line 19aLine 19b

Llne 13

Total Funds Dlsbursed (Llnes 9 - 11):

Ending Balance (As of September 30, 2018);

21 ,344,1 85.53 21 ,344,185.53 21,439,714.79

__39,9j!,528.99_

28,331,976.03

# Item Amount Notes

lDisbursements to lnvestors/Refunds

lDisbursements to Receiver or Other Professionals

16,856,204.00 lnvestor Funds and Escrow Fees per Order

are reflected in the SFRC report,¿

L.

Date

ç

"'t./"Å*\


Line 1

STANDARDIZED FUND ACCOUNTING REPORT for Berkeley Healthcare Dynamics Receivership-Cash BasisReceivership Civil Courl Case No, 3:17-cv-00223-RS

Period: lto 2018

Beginnlng Balanco (As of July 1,2018,

lncreases ln Fund Balance:

Buslness lncomeCash and SecurltleslnterosUDiv¡dend lncomeBusf ness Asset LlquldatlonPersonal Asset LiquldationThlrd-Party Lltlgation lncomeMiscellaneous . Othe/Loan from SFRC

Total Funds Available (Llnes I - 8)l

Decreases ln Fund Balance:

Disbursements to lnvestors

bursements for Receivership Operationsto Receiver or Other Professionals

AsseÍ ExpensôsPersona, Assel Expenseslnvestment ExpensesT h ird-P arly Litig at¡on Ex pe n se s

1. Attorney Fees2. Litigation Expenses

T pl e.! I þ i td :P ø rÍt LIic ÊAa 0 E r wnse-q -- .

Tax Administrator Fees and BondsFederat and Súafe lax Payments

Disbursements for Distribution Expênses Paid by tho Fund:Distribution Plan Developmenl Ëxpensesj

1. Fees:Fund Admin¡strator.,...,,.....,.........lndependent D¡stribution Consultant (lDC).,.,,...,.,.D¡stributlon 49en1...,,,......,.,.Consultants, .. ,.. , ,

Legal Adv¡sers.,. .

Tax Advisers..,,.,

2. Admin¡strative Expenses3. Miscellaneous

Line 11b Distribution Plan Implemontation Expenses:1. Fees:

Fund Administrator.tDc,., ... .., .., , ,. ... ...

Distr¡bution Agent...Consultants, .. ... ., . .

Legal Adv¡sers...,,.Tax Advisers... ... ..,

2. Administrative Expenses3. lnvestor ldentifìcation:

Notice/Publishing Approved Plan

Cla¡mant ldentif¡cation..............Cla¡ms ProcessingWeb Site Maintenance/Call Center...,.,.,,...,,,,...,..

4. Fund Administrator Bond5. Miscellaneous6. Federal Account for lnvestor Restitulion(FAIR) Reporting Expenses

I_o-tpPþAtøp.þ!rcn!9!!,o!'EÅæt$9!_-._,_*-.__-the Fund

Line 2

Llne 3

Line 4Llne 5

Line 6

Line 7

Line I

ILine 10Line 10aLine 10bLine 10cLine 10dLÌne 10e

Line 10fLine 109

L¡ne 1fLine 11a

Line 12

Line 12a

Line 12b

bursoments to Court/Other:I nve stme nt Ex pa n se s/Cou ñ Rag istry I nve stment

System ICR/S) F€esFederal Tax Payments.

Total Dlsbursements to CourUOther:Total Funds Disbursed (Llnes 9 - l1):

Ending Balanco (As ofSeptember 30, 2018):

1 55,896.30

NO ACCOUNTING

30,000.0030,000.00

155,896,30

Dêtafl

0.00

o.0o

30,000.0030,000.00

155,896.30

0.00

0.00

256,521.46

Grand

Line 13

Paid

155,896.30 155,896.30

l6


Llne 14Line 14aLine 14bLine 14c

Ending Balance of Fund - Not A6sets:Cash & Caså EquivalentslnvestmentsOfher,4ssefs -Wa re hou se Pro pe rty

Total Ending Balance of Fund - Net Assets

1 00,625.1 6

0.00I 00,625.1 6

100,625.'16

0.001 00,625.'t 6 1 00,625.16


Line 15Line 15a

Line 15b

Line 15c

Line 16Line 16aLine 16b

L¡nê {7

Dotall Subtotal

Repod of ltems NOT To Be Pdld by the Fund:

Disbursements for Plan Adminlstration Expenses Not Paid by the Fund:PIan Devalopment Expenses Not Raid by tho Fund:1. Fees:

Fund AdministratortDc...................Distribution 49ent... .., ... ... ... .

Consultants..,,....Legal Advisers....Tax Advisers, ,. .. .


Plan lmplementat¡on Expenses Not Paid by the Fund:1. Fees:

Fund Adm¡n¡strator... .,..., .., ,..... ... ..

tDc,..,..,.,.....,...Distribution Agent,Consultants... ... ...

Legal Advisers....Tax Advisers... . ,.

2. Administrative Expenses3. lnvestor ldenlification:

Notic€/Publish¡ng Approved Plan......,....,...,..,..,.,Claimant ldentification.,,....

Cla¡ms Processins..........,,.,.....,..Web Site Maintenance/Call Center.., ... ,....,, .....,...

4. Fund Administrator Bond5. Miscellaneous6. FAIR Report¡ng Expenses

Not PaidTax Admin¡strator Fees E Bonds Not Paid by the Fund

ro-!gl_D-i9-b¡1¡9e-rn9n!s_f -9IP!_enAd¡n!¡j*rell_q¡ Not Paid

Disbursements to Couruothor Not Paid by tho FundlI nve stme nt Expenses/CR/S FeesFoderal Tax Payments

Total

DC & Stato Tax Pavments

Grånd Total

Line 18Line 18a

Line 18bLine l9Line 19aLine 19b

No. of Claims:# of Claims Received This Repo¡ling Period,..............

# of Claims Raceived Since Inception of Fund.............No. of Claimants/lnvostors:

# of Claimants/lnvestors Paid This Repoñ¡ng Period.....# of Claimants/lnveslors Paid Since lnception of Fund.,

Item

lWarehouse Property at 1700 - 20th St, Oakland CA

Amount C

0.00

Notes

Purchased in 2012 Íor $8,250,000;has appreciated in value over time.

Date/ülß"/tI

u{.{*,**


Current AssetsChecking - Boston Private BankChecking - EastWest Bank

Total Current Assets

Property and Equipment

Total Property and Equipment

Other Assets

Total Other Assets

Total Assets

Current LiabilítiesLoan from SFRC, Per Order

Total Current Liabi lities

Long-Term Liabilities

Total Long-Term Liabilities

Total Liabilities

CapitalBeginning EquityNet Income

Total Capital

Total Liabilities & Capital

Berkeley Healthcare DynamicsSusan L. Uecker, Receiver

Balance SheetSeptember 30, 2018

ASSETS

s,962.7894,662.38

100,625.16

0,00

0.00

$ r00,625.16

LIABILITIES AND CAPITAL

$ 30,000.00

30,000.00

0.00

30,000.00

426,446.57(3ss,82r.4r)

70,625.16

$ I 00,625 .16

$

Unaudited - For Management Purposcs Only


Page: I

Revenues

Total Revenues

ExpensesConsulting FeesMortgage Expense - PrincipleMoftgage Expense - InterestOfäce ExpenseOperating ExpenseRepairs ExpenseSecurity ExpenseTaxes-lìederal&StateUtilities Expense

Total Expenses

Net Income

Berkeley Healthcare DynamicsSusan L. Uecker, Receiver

Income StatementFor the Third Quarter 201 8

Current Quarter

0.00

$ 9,475.0096,41 0.s I

64.581,183.27

472.4285.00

43,514.85250.00

4,440.67

155,896.30

$ (1ss,896,30)

For Management Purposes C)nly


STANDARDIzED FUND AccouNTtNG REPORT for cail socket Lp Roceivership-cash BasisReceivership C¡vil Court Case No, 3:17-cv-00223-RS

Perlod: Ju 1to 30, 2018

FUND ACCOUNTINc (See lnstructlons):

Reforencs,| Boglnnlng Balance (As of Juty 1, 20181

/ncreases ln Fund Balance:

Buslness lncomeCash and Securltles'Sec Dep Refund/TwitterlnteresVDlvldend lncomeBuslness Asset LlguldatlonPsrsonal Asset Llquldatlon

Lltigatlon lncome- Other

Total Fund$ Avallable (Llnes I - 8):


Dlsbu rsements to lnvestors/REf unds

Disbursements for Recelvershlp OperatlonBDrsôurse¡nenfs to Receiver/Transfer fo SFRCBus/ness Assef ExpensesPersona/,4sset Expenseslnvèstment ExpenseTh ird-P añy Litigation Expe n se s

1. Altorney Fees2. Litigatíon Expenses

Tota,!-Ihtrë:Paúl l-tllseljpa Frp_Qn " _s

Tax Admin¡strator Fees and EondsFederal and Sfafe lax Payments

Totâl D¡sbursemcntg

Dlsbursements for Dlstrlbutlon Expsnses Pald by ths FundDistribut¡on Plan Developmenf Expensesi

1. Fees:Fund Administratorlndep€ndent Distr¡bution Consultant (lDC)

Oistr¡bution Agent.Consultants..Legal Advisers... ... ... :.. .., .,. ,., ,..,..

Tax Advisers,.. ...

2. Admlnlstralive Expenses3. Miscellaneous

Tol_e!.P_Þ1]:Qey9!-þme_Dl_Elp-,e/r.se,q,"

D¡str¡but¡on Plan lmplementaflon Expanses:1. Fees:

Fund Administrator... ... ,,, ,., .., ,.. ....,

tDc....,.........,....Distribut¡on 49ent................Consultants.,. ,.. ,.

Legal Advisers... .

Tax Advisers......

2. Administrat¡ve Expenses3. lnvestor ldentification:

Not¡ce/Publishing Approved P|an..,,..,..,..,,.Claimant ldent¡f¡cation

Cla¡ms Processing..,,..,.....,......,..Web Site Ma¡ntenance/Call Cenler,.....,,........,....

4. Fund Adm¡nislrator Bond5. Miscellaneous6. Federâl Account for lnvestor Restitution(FAIR) Reporting Expenses

Iþ! ê l ?,le-a ! nplg n p nl-allg n,q/!p-ea-s,qe---,. - - . -. . . -,.Total Dlsbursemonts for

Dlsbursements to Court/Othor:I nve stme nt Ex pen sa s/Co u¡7 Reg i stry I nve stme nt

Sysfem ICRIS) FeesFedenl Tax Pâyments

Total Dlsbursements/Transfor to SFRCTotal Funds Dlsbursod (Llnes 9 - 1l):

Endlng Balance (As of September 30, 20't8):

0.00

393.98

1,243.680.00

0.00

393.98

1,243.680.00

550,849.70

551,243,68

Llne 2

Llne 3

Llne 4Lln6 5

Llne 6

Llne 7

Llne I

Line 10fL¡ne 109

L¡no 11

Line 1 1a

Line 11b

Llne 12Line 12a

Line 12b

Llne 13

393.98 393.98

550,000.00 550,000.00

l010a10b10c10d10e

ths Fund

0.00551,243.68

0.00551,243.68 661,243.68

0.00


Llne l4Line 14aLine 14bUne 14c

Endlng Balanco of Fund - Net Asseta:Cash 8 Cash Equ¡valentslnvestmentsOfâerAssefs or Uncleared Funds


0.00

0,00

0.00

0.00 0.00

OTHER SUPPLEMENTAL INFORMATION:

Llne 15Llne 15a

Line 15b

Llne 15c

Llno l6L¡ne 16aL¡ne 16b

Line l7

Grand Total

Repod of ltems NOT fo Be Paid by the Fund:

Dlsbursements for Plan Adminlstratlon Expenses Not Pald by tho Fund:Plan DevelopmenlExperses Not Pa¡d bythe Fund:L Fees:

Fund Admlnistrator............,...,....tDc..........,..,....Distribut¡on 49ent.,....,.........Consultants...... .

Legal Adv¡sers...,Tax Advlsers..

2. Adm¡nistrative Expenses3. Mlscellaneous

ro"!A!P_lenP-eJ9-!ppnt9!1"_E¡penssÌ$_NqLP_ajg_þy

Plan lmplementafion Expenses Nol Pa¡d by the Fund:

1. FeesFund Administrator. ..

tDcD¡stribut¡on Agent.,.... ,.. ,..... .., ... ..

Consultants... ,.. . ,

Legal Advisers... .

Tax Advisers......2. Administrative Expenses3. lnvestor ldentlflcation:

Notice/Publishing Approved P|an..,....,.......,...,...Clalmant ldentif¡caüon,......Claims Processing,.,.......,...........Web Site Maintenance/Call Center.........,..,.,......

4. Fund AdministratoÍ Bond5. Miscellaneous6. FAIR Report¡ng Expenses

Tax Administntor Fees E Bonds Not Pald by the FunclTotal Dls for Plan

Dlsþur€emonts to Couruother Not Pald by the Fund:I nve stme nt Expenses/CR/S FeesFederal Tax Payments

Total to

DC & State Tax

LIne 18Line 18a

Line 18bLlno 19Line 19aL¡ne 19b

No. of Clalms:# ol Claims Rece¡ved This Repo¡ting Peñod.....,..........

# of Claims Received Since lnceptlon ol Fund.,............No. of Claimants/lnvestors:

# of Cta¡mants/lnvestors Paid This Reporling Period...'.# of Claimants/lnvestors Pa¡d Slnce Incept¡on of Fund...

# Item Amounl Notes

I Disbursements to lnvestors/Refunds 550,000.00 lnvestor Funds and Escrow Fees per Order

Date/d þ,w


Current Assets



Total Properly and Equipment

Other AssetsReceivable from Fed Rec

'l-otal Other Assets

Total Assets

Current LiabilitiesF-unding from CS III

Total Current Liabilities



Total Liabilities

CapitalRetained EarningsTumover FundsTUrnover to SFRCNet Income

Total Capital


Call Socket LPSusan L. Uecker, Receiver

Balance SheetSeptember 30, 201 I

ASSETS

0.00

0.00

$ 7,200.00

7,200.00

$ 7,200.00

LIABILIl]ES AND CAPITAL

$ 541,252.69

541,252.69

0.00

541,252.69

(l,337,056.08)935,189.68

(126,423.4e)(5,762.80)

(s34,0s2.69)

7,200.00s

Unaudited - For Management Purposes Only


Page: I

RevenuesInterest Income

Total Revenues

Expenses

'fotal Expenses

Net Income

$

Call Socket LPSusan L. Uecker, Receiver

Income StatementFor the Third Quarter 20 l8

Current Quarter

393.98

393.98

0.00

393.98$

For Management PurPoses OnlY


14Line 14aLine 1 4b

STANDARDIZED FUND ACCOUNTING REPORT for cA Gold Medal Receivership-cash Basis

Receivership C¡vil Court Case No. 3:17-cv-00223-RSPeriod: 1to 2018

lngCash & Cash Equivalents/nvesfments

FUNO ACCOU lnstructlo

0.000.00

11,692.600.00

2,521.1814,213.78

1 5,746, I 80.00

120.32

1 5,746,180.00

120.32

Su

0.000.00

11,692.600.00

2,521.181r,213.78 1 5,821,656.71

Llne 12

Line 12a

Line 12b

Llne 13

11b

I

I1010a10b10c10d10e

10f1og

1l11a

L¡ne 5Llno 6Llne 7Llne I

23I

Beg¡nnlng Balance (As of July 1' 2018)

lncroases in Fund Balance:

Business lncomeahd Securltlos-Fundlng from SFRC

Mlscellaneous - OtherrRefundsTotal Funds Avallable (Llnes I - 8):

Decreases ln Fund Balance:

Disbursements to lnvestors/Retunds

D¡sbursements f or Recelverehlp OperatlonsÐrsbursemenfs to Receiver ot Other Professionals

Eus,ness Assef ExpensesPersonal Assef Expenses/nvestment ExpensesT h ¡ rd- P a rty Li ti g aüon Expenses

1, Atlorney Fe€s2, Lit¡gation Expenses

DlsbursementE for Dlstribution Expenses Paid byD¡stribut¡on Plan Developmenf Exponses:

Fees:Fund Adm¡nistrator...,.....,.,,..,........lndependent D¡stribution Consultant (lDC)..,,..

Distr¡bution Agent.

Consultants..,......Legal Adv¡sers..,.,Tax Adv¡ssrs.......

D¡stribution Plan lmplementaúlon Expensesr1. Fees:

Fund Admin¡strator..,,....................tDc..,......,....,.....D¡stribut¡on Agent.

Consultanls... ... ,..Legal Advisers...,.

. TaxAdviser6.,..2. Admln¡strative Expenses3. lnvestor ldentificat¡on:

Not¡ce/Publishing Approved Plan... .., ,

Claimant ldentif¡c€tion,..,........ ........Claims Processìng

Web S¡te Mâintenance/Call Cenler.........,...........4. Fund Administrator Bond5. Miscellaneous6. Federal Accounl for lnvestor Restitut¡on(FAIR) Reporling Expenses

Dlsbursements to CourUOther:lnvestment Expenses/Coud Registry lnvestment

Sysfem ICRIS) FeesFederal Tax Payments

Total Dlsbursements to CourUother:Total Funds Disbursed (Llnes 9 - l1J:

End¡ng Balance (As of September 30, 2018):

T

T

ths Fund:

Plan

nteresuDlvldend lncomê

lrd-Party Litigation lncome

Tax Adm¡n¡strator Fees and BondsFederal and State Tax Payments

2. Administralive Expenses3. Miscellaneous

Buslness Asset LlquldatlonPorsonal Aeaet Llquldatlon

65,s29.2615,8f 1,829,58

65,529.2615,81 1 ,829.58 16,81I,829.68

9,727.13 g,727 .13


Line 1 4c Other Assets or Uncleared FundsTotal Endlng Balanco of Fund - Not A88et3 9,727.13 9,727.13

INFORMATIONER

Llne 15

L¡ne 15a

Line 1 5c

Line l6Line 1 6aL¡ne 1 6b

Llne 17

Line I5bFees:

Fund Adm¡nistrator..,.......,...,.........tDc.,.,...,...,.......Distribut¡on Agenl.Consullants..,.....,Legal Advisers... ..

Tax Advigers.......Admin¡slratlve Expenseslnvestor ldentification:

Nolic€/Publishing Approved Plân......,Claimanl ldentilication....,....... ...... ..

Claims ProcessingWeb Site Malntenancs/Call Center.,. ,., ,...,,..., ,.,..

Fund Adm¡nistrator BondMiscellaneousFAIR Report¡ng Expenses

G¡and TotalDetåll

Plan lmplementallon Expenses Not Paid by the Fund:

Not Pa¡d bv the Fund

Dlsbursements for Plan Admlnlstration Expenses byNot Pald tho Fund:

Totel Plân lñDlementâtiôriTax Adm¡nistrator Fees & Bonds Not Paid by the Fund

OC & Stãto Tax

Repoft of ttems NOf To Be Pald by the Fund:

2. Admin¡strat¡ve Expenses3. Miscellaneous

Plan Development Expsnses Nof Paid by the Fund:

1. Fees:Fund Admhlstrâtor,.......,,..,..,,,,.....tDc.............,.....Distribution Agent.

Consultants........,Legal Advls€rs...,.Tax Adv¡sôrs.......

Dlsbursements to CourUOther Not Pald by theI n ve stmen t Ex penseVoRlS FeesFederal Tax Payments

Fund:

I

1.

2.

3.

4.5.6.

Llne 18L¡ne 18a

Line 18bLlne 19Line 19aLine 19b

No. of Clalms:# of Claims Received This Repofting Period..... . ... . .. . ,

# of Cl a¡ ms Recelved Srnc€ I nception ol F und...... .....,No, of Clalmants/lnvestors:

# of Claimants/lnvestors Paid This Reporting period. . ..

# of Cla¡manls/hvesfors Pard Slnce lncept¡on of Fund.

# Item Amount Notes

t lDlebursementstolnvestors/Rofund8 15,746,180.00 funds and escrow fees

'&.\*

Ð/È t/


Current AssetsChecking - Boston Private



Total Property and Equípment

Other Assets

Total Other Assets

Total Assets

Current LiabilitiesCS Il Funding (Community Bank)




Total Liabilities

CapitalBeginning EquityTurnover FundsTumover - Crystal GoldenTurnover - SFRCNet Income

Total Capital

Tstal Liabilities & Capital

Califomia Gold MedalSusan L. Uecker, Receiver

Balance SheetSeptember 30, 201 8

ASSE'|S

9,727.13

9,727.13

0.00

0.00

$ 9,727.13


$ 33,550.00

33,s50.00

0.00

33,5s0,00

$

(r 4,281.65)10,267.265,502.40

(1s,s29.26)(9,78t.62)

(23,822.87)

9,727.t3$



Page: I

Revenueslnterest IncomeRefunds

Total Revenues

ExpensesBank ChargesUtilities Expense

Total Expenses

Net Income

California Gold MedalSusan L. Uecker, Receiver

Income StatementFor the Third Quarter 2018

Current Quarter

$ 11,692.602,52t.18

14,213.78

52.0068.32

t20.32

$ 14,093.46

For Management Purposes Only


Llne'l

STANDARDIZEO FUND ACCOUNTING REPORT fOT CENTTAI CAI|fOTNiA FATMS'CASh BAS|S

Receivershlp Civ¡l Courl Case No. 3:17-cv-00223-RSPeriod: J 1to 30 201 I

Beglnnlng Balanco (As ofJuly 1, 2018)

lncreases ln Fund Balance:

Business lncomeCagh and Securltiee-Funding from SFRClnterosUDlvldend lncomeBuslnese Assct LlquldatlonPorsonal Asset LlquldatlonThlrd-Party Lltlgatlon lncomeMlscellaneous . Othor/Refunds

Total Funds Avallable (Llnes I - 8l:

Docreases in Fund Balance:

D¡sbursements to lnvostors/Rof unds

Dlsbur3emonts for Recelverghlp OperatlonsDlsbursoments to Rece¡ver or Other Profess¡onalsEuslness Assef ExpensesPersonal,4ssel Expenseslnvestment ExpensesTh i td -Pa¡1y Litig ation Expenses

1. Attorney Fees2. Lltigation Expenses

Tax Administrator Fees and BondsFedoral and Srste Iax Payments

Llne l1 Dlsbursements for Distrlbutlon Expenses Pald by the Fund:11a Distibution Plan Developmenf Expensesr

1. Fees:Fund Adm¡n¡strator......lndependent D¡str¡bution Consullânt (lDC)..........D¡strlbution 49ont......,..Consultants... . .. ... ... . .. .,

Legal Adv¡sers,

Tax Advisers.,.2. Administrat¡ve Expenses3. Miscellaneous

L¡ne 1 1b Distribution Plan lmplementalion Expenses;1. Fees:

Fund Admin¡strator.........,,.............tDc.,,.........,......Distribut¡on 49ent...........,....Consultants... .,. ., ,

Legal Advisers....,Tax Adviserg,......

2. Administrative Expenses3. lnvestor ldentifìcalion:

Notice/Publishing Approvod P|an...,.....,.........,.Claimant ldentif ication..,................Claims Processing..,.....,Web Site Maintenance/Call Center..........

4. Fund Adm¡n¡strator Bond5. Miscellaneous6. Federal Account for lnvestor Restitution(FAIR) Reporting Expenses

nd

Llne 2Llne 3

Llne 4Llne 5

Llno 6L¡no 7Llne 8

Llne l0Linê 1Oa

Line 10bL¡ne 10cL¡ne 10dL¡ne 10e

Llne I

Line 10fLine 109

Llne l2Line 12a

Dlsbursements to Courvother:I n ve stment Expen se s/Co u rt Reg i st ry I nve stme nt

System ICRIS) FeesFederal Tax Payments

Total Olsbursoments to Court/othêr:Total Funds Dl8bur8ed (Llnês I - 111:

FUND ACCOUNTING

1,300,000.00r,300,552.06

Detall

0.00

0.00

0.000.00

552.060.00

1,300,000.001,300,552.06

0.00

0.00

0.000.00

552.060.00

Grand Tota

r,300,552.06

12b

0,000.00

0.000.00 0.00


l3 Endlng Balance (As of September 30' 2018): 1

14a

14b14c

Cash & Cssh Equivalents 1,300,552.06 1,300,552.06

lnvosÍ/??enlsOfh6l Assets or Uncleared Funds

Totat Endlng Balance of Fund - Net Agsets 1,300,552.06 1,300,552.06 --rmF¡-tõd

OT}IER SUPPLEMENTAL INFORMATIONGrand Total

Llne l5Lino 15a

Line 15b

Line 15c

Llno 16Line 16aLine 16b

Llnê 17

Report of ttems NOT To Be Pald by the Fund:

Dlsburs€mont8 for Plan Admlnistratlon Expensos Not Påld by the Fund

Plan Developmenf Expenses Not Paid by the Fund:1. Fees:

Fund Adminigtrator., . ..

2. Admin¡strativ€ Expenses3, Miscellaneous

Nof

Plan lmplgmentalion Expônses Not Paicl by the Fund:Fees:

Fund Administrator., .

rDc... ....., ... ... ,.. ... .,.D¡str¡bution Agent..,..Consultånts. , .......Legal Advisers,.. , .

Trx Adv¡sers...... .

2. Administralive Expenses3. lnvestor ldentification:

Notice/Publ¡sh¡ng Approved Plân..............Clrimant ldentilic€tion..,.........................Claims ProcessingWeb S¡tê l\¡llaintenance/Câll Centor,..........

4. Fund Adm¡nlstrator Bond5. M¡sc€llaneous6. FAIR Report¡ng Expenses

Tax Administrator Fees & Bonds Not Paid by the FundTotal Dlsbursements for tho Fund

Olsbursements to Couruother Not Paid by the FundI nve stment Ex penseVCR/S FeesFederal Tax Payments

Ieta_L_D_lçÞs-t9_-e-n94ts.!o-',9--o_!¡rU__O-!¡,e"r!!9!?S

DC E Ståte

Llno l8Line 18a

L¡ne 18bLlne 19L¡ne 19aLine 19b

No. of Clalms:# of Clai m s Received Th ¡ s Re po¡t¡ ng Pe riod..... ..........# of Çl aims Recelyed S¡nce I nception of F u nd...... .......

No. of Clalmants/lnvestors:#of Claimants/lnveslors Pald This Repod¡ng Period.....# of Claimants/lnvestors Paid S¡nce lncøpt¡on of Fund..

# Amount Notes

1 Mlscellaneous . Other/Refundg 1,300,000,00 insurance claim proceeds

n

C) Ko/ t

¿t/''\*


Current AssetsMoney Mkf - Central CA Farms

'l'otal Current Assets


Total Property and EquiPment

Other Assets

Total Other Assets

Total Assets

Current Liabilities

Total Current Liabil ities



Total Liabilities

CapitalNet Income

Total Capital


Central California Farms LLCSusan L, Uecker, Receiver

Balance Sheet

September 30, 20 I 8

ASSETS

s 1,300 ,ss2.06

l,300,552.06

0.00

0.00

$ I ,300,552.06


0.00

0.00

0.00

$ I,300,552.06

r,300,552.06

$ 1,300,552.06



Page: I

RevenuesInterest IncomeRefunds

Total Revenues

Expenses

Total Expenses

Net Income

Central California Farms LLCSusan L. Uecker, Receiver

Income StatementFor the Third Quarter 201 I

Current Quarter

$ 552.06r,300,000.00

1,300,552.06

0.00

$ r,300,5s2.06



STANDARDIZED FUND ACCOUNTING REPORT for comprehensive care of oakland Reoeivership-cash Basis

Receivership C¡v¡l Court Case No. 3:17-cv-00223-RSJu ltoSe 20'18

Line I

#NAME?

Beglnning Balance (As ofJuly 1,2018)


Buslness lncomeCash and Securlties'Transfer from SFRC

lnteresUDivldend lncomeBuslness,Asset LlquidationPersonal Asset L¡quldatlonThlrd-Party Lltigation lncomeMlscellaneous - Other/Refunds

Total Funds Avallsble (Llnes 1 - 8):

D€creases ln Fund Balance:


Dlsbursements for Recelvershlp OperationsDisbursements to Recoiver or Oth6t PrcfessionalsEuslnoss Asseú ExpgnsesPersona/ Assef Expenseslnvestment ExpensesThi rd-Party Litig ation Expa n se s

1. Attorney Fees2. Litigation ExpensÊs

T ota ! r h t rd : P ?JA. L! !ts.g!_o n. E 4 p9 ns,q-s- .... . .. --, ** -,.. *

Tax Administrator Fees and BondsFederal and Slafe lax Payments

TsleJD*!cþ-urs-sngnlg*f -o-f Beç-ejvsls-hlp-9p"9,ß-ll94c

Disbursements for Distrlbutlon Expenses Pald by

45678

3,084,923,090.00

1,534.32

0.003,086,457.41

3,772,021,30

I1010a10b10c10d10e

11

11a

10f1og

the Fund:

7+968574

Line 11b

1212a

Distribution Plan Developmenf Expenses,1. Fees:

Fund Adm¡nistratorlndepêndent Distrlbution Consultant (lDC)

Distribution Agent.

Consultânts... , ,

Legal Advisers.Tax Advisers...

2. Administrative Expenses3. M¡scellaneous

T_qta,!P_lan"pp"u"eJApn.enl_''E¡p-en9es_

Distribution PIan lmplemenfation Expenses.'1. Fees:

Fund Admin¡strator..,tDc..,.......,.............Distribution Agent.,. ..

Consultants.............Legal Advisers. .. ... ., ,

Tax 4dvisers... ... ... ...

2. Administralive Expenses3. lnvestor ldentification:

Notice/Publishing Approved Plan...Claimant ldentilicat¡on..........,......Claims Proc€ssing... .,, ... .,, ,., ... ...

Web Site Malntenance/Call Cenier..........,.....,........4. Fund Administrator Bond5. Miscellaneous6. Federal Account for lnvestor Restitution (FAIR)Reporting Expenses

Iglp! Flpn-l!rtp-l-e,t!-91!pt!9.0 E)!pq-{,-s,-9:1..--.-.."-.-_,--_,. -

T-o.!91-D-19þ_uie_me0q9f er-Qi-s-!{_b-qtlpn'Exppns-es_Eald

Dlsbursements to CourUOther:I nve stment Ex penseVCourf Re gi stry I nve stment

Sysfôm ICRIS/ FeesFederal Tax Payments

Total Ðlsbursements to CourUOther:Total Funds Disbursed (Lines 9 - 11):

FUND ACCOUNTING

3,084,923.090.00

1,534.32

0.003,086,457.41

3,772,021.30

12b

3,772,021.30 3,772,021.30


Llne 13 Ending Balance (As of Septembêr 30, 2018):

14a14b14c

@etAssets:Cash & Cash Equ¡valentslnvestmentsOtñer Assefs or Uncleared Funds


0.00

0.00

0.00

0.00


L¡ne 15b

Line 15c

Llno 15Line 15a

Line 16Line 16aLine 16b

Line l7

Dlsbursements to CourlOther Not Paid by the Fund:I nve stme nt Ex pens€S/CR/S FeesFederal Tax Payments

Not Pald by the Fund:

Pald the Fund

I Detail I Subtotal

r-r-Repoñ of ttems NOT To Be'Patd by the Fund:

Dlsbursements for Plan Admlnistratlon ExpensesPtan Devetopment Expenses Not Paid by the Fund:

1. Fees:Fund Administrator,..,...,...,..,......rDc,...,...,.,.,,....Dlstr¡bution Agent. ,. ... .,. .., ..,

Consultants.., .. . .

Legal Advisers...,.,.,....,.Tai Advisers,,. .., ... .,, ,,. .


Not Paid

Plan Implementation Expenses Not Paid by the Fund:1. Fees:

Fund Adm¡nislrator.,tDc...............,,,..,.Distribution Agent...,Consultants.. . ... ,

Legal Advisers,..

Tax Advisers,,. ..

2. Adminislrative Expenses3. lnvestor ldentification:

Notice/Publishing Approved P14n...,......,..................Claimant ldentification,....,Cla¡ms Processing....., ..

Web S¡te Maintenance/Call Center

4. Fund Administrator Bond5, Miscellaneous6. FAIR Reporting Expenses

Tax Administtator & Bonds Not Paid by the Fund

DC & State Tax Payments

Line 18Line 18a

Line 18bLine 19Lina 19aL¡ne 19b

No. of Clalms:# of Claims Recoived This Reporting Period..... .,, .,..,.

t of Claims Roceived Since I nception of Fund...,........No. of Clalmants/lnvestors:

# of Clalmants/lnvestors Paid Th¡s Report¡ng Period. . .

# of Cla¡mdnts/lnvesfors Pard Since lnception of Fund.

Amount# Item Notes

1 1,100,000,00 Transferfrom SFRC to open an escrowfor the benefit of CCOO.a

Rece¡ver

Cash & Securities - Transfer from SFRC

Date,/a/ 3ø ,r

."1r.-..


Current AssetsChecking - Summit BankChecking - Payroll AccountSavings Account - Summit BankMoney MarkelEscrow-Boston



Total Property and Equipmcnt

Other Assets

Total Other Assets

Total Assets

Current Liabilities


Long-Term [,iabilities

Total Long-Term Liabi I ities

Total Liabilities

CapitalBeginning EquityEscrow F'unding from SFRCNet Income

Total Capital

'lotal Liabilities & Capital

Comprehensive Care of OaklandSusan L, Uecker, Receiver

Balance Sheet

September 30, 2018

ASSEl'S

254,828.3739s,976.67

l,149,533.841,103,425.45

2,903,764.33

0.00

0.00

s 2,903,764.33


0.00

0.00

0.00

2,788,558.74I , 100,000.00(984,794.4t)

2,903,764.33

s 2,903,764.33

$

$



Page: I

RevenuesService IncomeInterest Income

Total Revenues

ExpensesOperating ExpensesPayroll

Total Expenses

Net Income

$

Comprehensive Care of OaklandSusan I.. Uecker, Receiver


Current Quatler

3,084,923.09I,534.32

3,086,457.41

t,562,440.662,209,580.64

3,772,021.30

s (68s,s63.8e)



Llne

ne

STANDARDIZED FUND ACCOUNTING REPORT for JL Gateway Receivership-cash Basis

Receivership Civil Court Case No. 3:17'cv-00223-RSPeriod: Ju 1to 30 201 I

Beginning Balance (As of July 1, 2018)

,ncreases in Fund Balance:

Buslness lncomeCash and SecuritieslnteresUDlvldend lncomeBusiness Asset Liquidat¡onPersonal Asset LlquldatlonThird-Party Litigation lncomeMiscellaneous - Less Tl Credit

Total Funds Available (Llnes 1 - 8):



Disbursements for Receivership OperationsDisôursemenfs to Receiver or Other ProfessionalsBusiness Assef ExpensesPersona/ Assef Expenseslnvestment ExpensesT h i rd- P a fty Lit¡ g atio n Expenses

1. Attorney Fees2. Litigat¡on Expenses

Tpte!-Lþitþ?edvLt!isel!pa.Expe!i"ç-e--s---.---*

Tax Admin¡strator Fees and BondsFederal and State Tax Payments

ons

Llne 11 Disbursemênts for Distribution Expenses Pald by tho Fund

1, Fees:Fund Adm¡nistrator........,..........lndependent D¡stribution Consultant (lDC)...

Distribution 49ent,..,,.,,.,.,,.Consultants,.. .,.

Legal Advisers...Tax Advisers,.. , ,


T o 1!qt P ! e n D e u 9 !9 p m9 p !,E1p94gqs

11b D¡stribution Plan lmplementation Expenses:1. Fees:

Fund Administrator...,......,,.,,,...........,............... .,.

1Dc..,.,,...,...,...Distribution 49ent..........,...Consultants, , . ...

Legal Advisers.,.Tax Advisers., , ..

2. Administrative Expenses3, lnvestor ldentification:

Noticæ/Publishing Approved P|an......,.,,,, .,..............Claimant ldentificâtion....,Claims Process¡ng..............,.,..Weþ S¡te Maintenanceicall Center, , . , , , ... ,. ,

4. Fund Administrator Bond5. Miscellaneous6. Federal Account for lnveslor Restitution (FAIR)Report¡ng Expenses

Te!p!PJpn lllplpryenlalipp Erpppqg-q . --.-,. " ..Total Dlsbursements for Distribution Ex

Disbursements to CourUOther:I nve slme nt Ê.x pe n se s/Co u f Reg i stry I nve stme nt

Sysfem (CR/S) FeesFederal Tax Payments

Llne I

nenê8

Line 9

Llne 12Line 12a

2

3

45

67

1010a10b10c10d10ø

10flog

Distribution Plan Developmenf Expenses:11a

ne

Line

L¡

FUND ACCOUNTING

54,322.01

0,0054,322.01

0.00

2,083.07

204,611.93

258,933.94

54,322.01

0.0054,322,01

0.00

2,083.07

Line 12b


Total Disbursements/Transfer to SFRC

Total Funds Dlsbunsed (Llnes 9 - l1):

Endlng Balance (As of September 30' 2018):

0.002,083.07

0.002,083.07 2,083,07

Line 13

256,850.87

256,850.87 256,850.87

256,850.87

256,850.87

Llne 14L¡ne 14aLine 14bLine 14c

End-iñgE-ãm e ot eund - Net Assets:Cash & Caså EquivalentsInveslmentsOtf,er Assêfs or Uncleared Funds



Line 15Line 15a

Llne 16Line 16aLine 16b

Line 17

Line 15b

Line 15c

Dlsbursements for Plan Administratlon ExpensesPlan Ðevelopment Expenses Not Paid by the Fund:

'I . Fees:

2. Administrative Expenses3. M¡scellaneous

!_q!q!P!gn Q9u-e,!9pøe-nff¡penq,,,,,,,,,,,,,,,,_q_sl!,el2Atl þy tþe, F-cnd_

Plan lmplementat¡on Expenses Not Paid by the Fund:1. Fees:

Fund Administrator...,.,......,......tDc......,........,Dislribut¡on 49ent..,.....,.....Consultants...,.,Legal Adv¡sers...TaxAdvisers....,

2. Administrative Expenses3. lnvestor ldent¡f¡cation:

Notice/Publishing Approved P|an.,, .., ...........,.,....,,.,,Cla¡mant ldentifìcat¡on..,..Claims Processin9...,......,,..,....Web Site Maintenance/Call Center,,........,,

4. Fund Adm¡nistrator Bond5. Miscellaneous6. FAIR Reporting Expenses

Tax Administrator Fees & Bonds Not Pa¡d by the Fund I

Dlsbursements to CourUOther Not Pald by the Fund:I nve stme n t Expenses/CRlS FeesFederal Tax Payments

Detall

by the Fund:

Subtotal

Fund

7-s!aJ

Not Paid

Expenses Not Paid bv the Fund

Report ot ltems Â/Of fo Be Paid by the Fund:


Total Disbursements for Plan Adm

Total Disbursements

Fund AdminisfatortDc.,..,..,.....,,.,,...Distr¡but¡on Agent..Consultants.,. ,.

Legal Advisers.Tax Adv¡sers,,.

Llne 18Line 18a

Line 18bLlne 19Line 19aLine 19b

No. of Claims:# of Claims Received This Roporting Period . . ... .. . . . .. . .

# of Claims Received Since lnception of Fund..,....,....No. of Claimants/lnvestors:

# of Claimants/lnvesfors Paid This Reporting Period....# of Claimanls/lnvestors Paid Since lnception of Fund,

rl ()

Ct.'J,/\*


Current AssetsChecking-Boston Private Bank



Total Propetty and Equipment

Other Assets

Total Other Assets

Total Assets

Current Liabilities


l,ong-'¡çrr Liabilities


Total L.iabilities

CapitalBeginning EquityTumover FundsWIFI RailTI Credits'lurnover to SFRCNet Income

'lotal Capital


JL GATEWAY LLCSusan L. Uecker, Receiver

Balance SheetSeptember 30,2018

ASSETS

$ 256,850.87

256,850.87

0.00

0.00

$ 256,850.87

LIABILI]]ES AND CAPITAL

0.00

0.00

0.00

190,487.3048,149.61(7,000.00)

( I ,535,666.35)1,560,880.31

256,850.87

s 256,850,87

$

Unaudited - Iror Management Purposes Only


Page: I

RevenuesRental IncomeCAM/lnsilvfgmtJLate

Total Revenues

ExpensesExpenses Paid by Eclipse

Total Expenses

Net Income

JL CATEWAY LLCSusan L. Uecker, Receiver


Current Quarter

$ 21,976.0632,345.95

54,322.0r

2,083.07

2,083.07

$ 52,238.94



STANDARDIZED FUND ACCOUNTING REPORT for NORTH AMERICA 3PL

Receivership Civ¡l Court Case No. 3:17-cv-00223-RSPerlod 1to 30 201 B

ND ACCOUNTING

35,559.12

560,024.00

100,000.000.00

374.16

7,760.77108,134.93

571,029.20

679,1 64.1 3

0.00595,583.1 2 696,583.1 2

Llne l0L¡ne 10aLine 10bLine 10cLinø 10dLlne 1Oa

Line 11b

Llne 12Line 12a

Line 12b

Llne l3

nol

10flog

Llne 9

Llno 2

Line 3

Llne 4Llne 5

Llne 6

Llne 7

Llne I

t111a

Beglnnlng Balance (As of July l, 2018)


Buslnoss lncomeCash and Securltles-Transfer from NA3PL Op

ntoresuOlvldend lncomoBuslnass Assêt LlquldationPorsonal Asset Llquldat¡on

Lltigatlon lncomeMlscollaneous - Other/Refunds

Total Funds Avallable (Llnes 1 - 8):


DlsburBêments to lnvestors/Ref u nds

Dlsbursements for Recelvershlp OperatlonsDisburcements to Receiver or Other Protess¡onalsEuslness Assel ExpensosPersonal Assef ExpensesInvestment ExpensesThlrd-P afty Litlg atlon Expe n se s

1. Atlorney Fees2. L¡tigation Expenses

ro!e!_ Tþ.i N:"p a.rf y- -L_itts

e!þn -Exp.ç n_sss. *-. . . " . -...

Tax Administrator Fees and BondsFederal and Stafe fåx Payments

560,024.00

35,559.1 2

Operatlons 59 12

Dlsbursomonts for Dlstrlbutlon Expensos Pald by the Fund:D¡str¡bution Plan Development Expenses:

1. Fees:Fund Administrator..........,. ..,....lndependent Distribution Consultant (lDC)... ,...., ..Distribution Agent, ,. .,. ... ,.. ,.

Consultants.....,...Legal Advisers.,. .. ,

Tax Adv¡sers, . , ... ..

2. Admin¡strative Expenses3. M¡scellaneous

Total Plan

Distribution Plan lmplementaflon Exponses.'1. Fees:

Fund 4dministrator... ... ... ... .. . . .. ...

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

Disribution Agent.., .,. .., .,.... ,

Consultants........Legâl Adv¡sers.. . .

Tax Advisers... ...

2. Administrative Expenses3. lnvestor ldentifìcation:

Notice/Publ¡shing Approved Plan..

Cla¡mant ldentification... .,. ,

Clâims ProcessinS..,.,....,.,Web Site Maintenance/Call Center,...., ,...... ...

4. Fund Adm¡nistrator Bond5. Miscellaneous6. Federal Accounl for lnvestor Restitution(FAIR) Reporting Expenses

T-oJe!?-!en!rypJenç\"tllt-on-F"tp-pns--er-,ref cLQLs-Þe!Þ--e"n9n"!Þ.f orplctilþ-r¡!-l"eJ nsgs

Olsbursements to CouruOther:I nve stme ñt E xpe n se s/Cou rt Reg ¡ stry I nve stme nt

Sysfem (CR/S) FeesFederal Tax Payments

Total Dlsbursements to Court/Transfer to SFRCTotal Funds Dlsbursod (Llnss 9 - 1l):

Balance (As of September 30, 2018):

100,000.000.00

374.16

7,760.77I 08,1 34.93

0.00595,583.1 2

the


Llne 14Line 14aLlne 14bLine 14c

- Net Assets:Caså 8 Cash EquivalentslnvestmentsOtherAssets or lJncleared iunds

Total Endlng Balanco of Fund - Not Assets

83,581.01 83,581.01

83,581.01 83,581.01


Llne 15L¡ne 15a

Line 15b

Line 15c

Llne l6Line 16aLine 16b

Llne l7

Detall Subtotal

Report oî ltems NOT To Be Paid by the Fund:

Dlsbursements for Plan Admlnlstratlon Expsnses Not Pald by the Fund:Plan Developmenf Expenses

^/ofl. Fees:Fund Administrator... .., .,..., ...

tDc........,.,.......Distr¡bution Agent....,.....,,.....

Paid by the Fund.

ConsultantsLegal AdvisersTex Advisers..........,.,.,.

2. Adm¡nÍstrative Expenses3. Miscellaneous

T"p!p"lP-lenþ*ç-ye!9pms!t! -8"-{"en::-e--s*N"9!f-9t.d- þv,!þc f-ttttd -Plan lmplementat¡on Expenses Not Pa¡d by the Fund:

1. FeesFund Adm¡nistrator... ... ... ...... ... ..

tDc.Distribution 49ent..,........Consultants..,.........Legal Advisers...,..,..Tâx Advisers...... ... ..

2. Administrative Expenses3. lnveslor ldentification:

Notice/Publish¡ng Approved Plan

Glaimant ldentification..............Claims ProcessingWeb Site Maintenance/Call Center

4. Fund Admin¡strator Bond5, Miscellaneous6. FAIR Reportlng Expenses

Totel Pþrlnp!9gs ntpljgn ErpgrLe Å_ryg! P-ejC UII_e -F u n d *, _

Tax Administrator Fees & Bonds Not Pa¡d by the FundTotal Dlsbursements for Plan Admlnlstration

Dlsbursements to CouruOther Not Pald by tho Fundlnvestment ExpenseVCR/S Fees

IFederal Tax Payments

I

Total


Grand Total

Llne 18Line 18a

Line 18bLlne l9Line 19aLine 19b

No. of Clalms:# of Claims Received Th¡s Repofting Period ..... .., .. , . ..

# of Claims Received Since lnception of Fund....,.......No. of Clålmants/lnvestors:

# ol Claimants/lnvestors Paid This Repoding Períod...# of Claimants/lnvestors Pald S,nce lnceptlon of Fund,

Ref# Item Amount Corrospondlng Notos

1 Disbursementstolnvestors/Refunds 560,024.00 lnvestor fundq and escrow fees per Order

,/ù/ Kûlt yDate

k:,'l*'-


Current AssetsChecking - NA3PL LLC



'I'otal Property and Equipment

Other Assets

Total Other Assets

Total Assets

Current Liabilities

Total Current Liabi lities



Total Liabilities

CapitalBeginning EquityTurnover Funds'I'ransfer to SFRCNet Income

Total Capital


North America 3PLSusan L. Uecker, Receiver

Balance Sheet

September 30, 20 I 8

ASSETS

$ 83,581,01

83,581,01

0.00

0.00

$ 83,58 r .01


0.00

0,00

0.00

(39,240.86)639,850.30

( 1 e8, 1 87.6 1)(3 I 8,840.82)

83,581.01

$ 83,581.01

$



Page: I

North America 3PLSusan L. Uecker, Receiver

Income StatementFor the Third Quarter 201 8

RevenuesService IncomeInterest IncomeRefunds

Total Revenues

ExpensesCommissiorrs and Fees ExpOperating ExpensesOther Taxes

Total Expenses

Net Income

$

Current Quarter

100,000.00374.16

7,760.77

108,134.93

29,000.002,205.324,353.80

35,559.12

$ 72,575.81



Llne I

STANDARDIZED FUND ACCOUNTING REPORT for SFRC-Cash Basls

Receivership Civil Court Case No. 3:17-cv-00223-RSPeriod: J 1to ber 20 18

Boglnnlng Balance (As of July 1, 2018)

lncreases ín Fund Balance:

Buslness lncomoand Securltles-Transfers

lnteresUDlvldend lncome'Buslness Asset LlquldationPersonal Asset Liquldation

Lltlgation lncome- Refunds

Total Funds Available (Llnes 1 - 8):

Decreases tn Fund Balance:

burs€mênts to lnvostors

bursementg for Recelvership OperatlonsDisbursement to RecoiverSusrness Assol ExpensesPersonal Assel ExpensesRacelver's Acco u nting Ex pe n se sT h i rd - P a rty Li ti g afion Fxpenses

1. Attorney Fees2. Litigation Expenses

T-etel.TArd:Pcdv-trlþe{isn"-8"¡p.-e-¿se-c

Tax Administralor Fees and BondsFederal and Slafe lax Payments

T

Dlsbursements for Distribution Expenses Pald by the Fund:D i stri b utio n P la n Develo pme nt Ex pe n se s :

1. Fees:Fund Admin¡stratorlndependent Distribution Consultant (lDC)......Distr¡bution 49ent.. . .. . ... ... , ,.

Consultants..,,,..,Legal Advisers... ... , ,. , ,. ...

Tax Adv¡sers.,. ,..

2. Adm¡nistrative Expenses3. Miscellaneous

Total Plan Develooment Exponsos

D i stri butio n P lan I m ple me ntation Ex pe n se s.

1. Fees:Fund Administrator... ... ...... ... ... .....,,. .,. .,

tDc......,..,.........Distr¡but¡on Agent.Consultanls..,...,,.Legal Advisers.. , ..

Tax Advisers... .., ,

2. Administrative Expenses3. lnvestor ldent¡fìcation:

Notice/Publishing Approved P|an....,.,,,,....,..Cla¡mant ldentif cation... ,.. ... .., .,. .,.

Claims Processing.Web Silê Maintenance/Call Cenler. , , ... ,.. ,

4. Fund Adminislrator Bond5. Miscellaneous6. Federal Account for lnvestor Restitut¡on(FAIR) Reporting Expenses

Total Disbursements

Dlsbursements to Court/Other:lnvestment ExpenseVCourf Reglstry lnvestmenl

Sysfem ICRIS) FeesFederal Tax Payments

Total Dlsbursemênts to Couñ/Loan to BHDTotal Funds Disbursed (Linee 9- 11):

Ending Balance (As of September 30, 201 8):

Line 2

Llne 3

Line 4Line 5Llne 6

Llne 7Llne 8

Llne ILine'10

10a10b10Ç

10d10e

Line 10fLine 109

Line 1lLino 11a

L¡ne 11b

Llne 12

Line 12a

Line 12b30,000.00

551,057.7430,000.00

551 ,057.74 551,057.74

66,772.9431,632.19

0.0098,405.13

108,410.8612,322.26

238,734.45

161,590.17

Detail

74

66,772.9431 ,632.19

0.0098,405.13

108,410.8612,322.26

238,734.45

161,590.17

521 74

25,430,080.14

25,528,485.27

Line 13 24,977,427.53


L¡ne 14Line 14aLine 14bLine 14c

Endlng Balance of Fund - Net Assets:Cash & Cash EquivalontslnvestmentsOfå6r Ássefs or Unclearod Funds


24,977,427.53

24,977,427,53

24,977,427.53

24,977,427.53 24,977,427.53


Line 15Lino 15a

Line 15b

Llne l6Line 16aLine 16b

Line 15c

Llne 17

Detall

RepoÌl of ltems NOT To Be Paid by the Fund:

Disbursemonls for Plan Administration Expenses Not Paid by the Fund:

Subtotal

Plan Development Expenses Not Paid by the Fund:1. Fees:

Fund Adm¡nistrator.,,..,...,.,..........tDc,.....,.......,,...Distribution Agent... ... ,.. ....,.Consultants.., ,.. .,

Legal Advisers... ,

Tex Adv¡sers... ...


Tola! l!9¡r Deyg!ep!!_e,n! Erppn_ses_ry-Sl P?]!_Þy, !"þ,e Epnd -

Plan lmplementation Expensøs Not Paid by1. Fees:

Fund Adm¡nistrator... ... ,.. ...... ... ... ....... ...

rDcDistribution Agent

Consultants..,.....Legal Advlsers.., .

Tax Adv¡sers... ...

2. Administrative Expenses3. lnvestor ldentification:

Notice/Publ¡sh¡ng Approved P|an....,,...,..,,,..,..,.,.Cla¡mant ldentifi cation.......Claims ProcessinS... ... ,.. ... ,.. ... ...Web Site Maintenanc€/Call Center,,,.,..,...,..,,......

4. Fund Administrator Bond5. Miscellaneous6. FAIR Reporting Expenses

Fund

the Fund:

Tax Administrator Fees & Bonds Not Paid by the Fund

Disbursements to CourUOther Not Paid by the Fund:lnvestment ExpenseVCR/S Foes

I

Federal Tax Payments I

DC & State Tax Pavments

Grand Total

Lins 18Line 18a

Line 18bLine 19Line 19aLine 19b

No. of Claims:#of Claims Received This Repofting Period....,.........

# of Claims Received Since lncøption of Fund..,.........No. of Clalmants/lnvostors:

# of Cla¡mants/lnvestors Paid This Repo¡7ing Period....# of Claimants/lnvesfors Pald Since lnception of Fund.

Ref# Item Amount Corresponding Notes

1 Cash & Securities 66,772.94 Comprised of funds transfers in the 3rd quarteronly, as follows:CA Gold Medal 65,529.26cs LP 1,243.68

Receiver

Date/ û/ 3*/¡ {

w:


Current AssetsChecking - Boston PrivateMarket Rate - Boston Private



Total Property and Equipment

Other AssetsLoan to BHD, Per Order

Total Other Assets

Total Assets

Current Liabilities




Total l.iabilities

CapitalBeginning EquityTurnover from CS LPTumover from CS IITurnover from CS IIITurnover from CS HoldingTurnover from CCOOTurnover from Jl, Gateway'I'urnover from CA Gold MedalTurnover from NA3PLTurnover - Tesh L,LCTurnover - Tribune TavernNet Income

Total Capital

Toral Liabilities & Capital

San Francisco Regional CenterSusan L. Uecker, Receiver

Balance SheetSeptember 30, 2018

ASSETS

6,344.9724,971,082.56

24,977,427.53

0.00

30,000.00

30,000.00

$ 25,007,427.53


0.00

0.00

0.00

(l,028,3s r.70)125,t79.84

7,9t2,768.318,719,835,209,686,474.71

(1,100,000.00)I,535,666,35

t5,529.26198,187.61

226.741,236.61

(1 ,059,325.40)

25,007 ,427 .53

$ 25,007,427.53

$

$



Page: I

Revenueslnterest Income

Total Revenues

ExpensesReceiver's FeesAccounting Fees & CostsFiling FeesLegal Fees & CostsLegal Fees & Costs-lmmigrationLegal Fees & Costs-J L GatewayOperating ExpenseStorageIT Expense

'l'otal Expenses

Net Income

San Francisco Regional CenterSusan L, Uecker, Receiver


Current Quarter

$ 31,632.19

3t,632.19

I 08,410.86238,734.45

20.00155,195.21

3,532.162,862.802,126.661,925.6Q8,250.00

52t,057.74

$ (489,425.55)



uecker, receiver l. susan attorneys 6 · 2018. 11. 12. · standardized fund accounting report for...

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