EFTA01265978

CA111517 - Transaction Summary Date Range of Reviewed Transactions: • Date range of transactions is less than the standard 12 month review as accounts were recently established. • Date range of transactions reviews will capture from account inception until 07/08/2019 as follows: o Account 11481413 - Opened on 04/19/2019 to 07/10/2019 o Account 14332170 - Opened on 05/13/2019 to 07/10/2019 c, Account 41224708 - Opened on 04/11/2019 to 07/10/2019 Scope of Accounts Reviewed: All Accounts Reviewed o Accounts identified under the clients included within the Client Profile subpages. [See Subpages for Account Details] CQNFIDNTIpd_ CA 1151 - Transaction ummary Page SDNY_GM_00006045 EFTA_00 120104 EFTA01265978 ACCT: 11481413 - FSOUTHERN FINANCIAL LLC AccountType/Registration/Roles: Account Openedon 04/19/2019 AilouM DSOs (c.04 11411.013 - AMINO /St La glA ••••14•••rt HMS Na rrrr Sari, Ow •••••••••• um LAM, Cron Elpkbpsylon "Haase lied SILOC,.•4 • 0% a-- Ma a - SaMMINilinile • •Par ,_ tic SOJnOiri PMCV.u.0 00 0710712 1101020. • Pak Mi. ILOWCitael CMINnan TOJ'aillin AS CO*. 44477.4. ;Halal Pill(TIP•Pms 10011IOUSI - PO•stalgailits us ism D Ccasneil If %fifty (-0 - saes. Gan CO D %Conn lirar.17.71T ASI Transaction Details: Credits: Transaction Type It Trans Amount IN-STATE CHECK DEPOSITS FROM: 06/17/19 DARREN K INDYKE 8 42.700.00 MICHELLE F SAIPHER 06/10/19 COATUE ENTERPRISES LLC 14.300.00 05/0509 COATUE ENTERPRISES LLC 70.200.00 05/09/19 COATUE ENTERPRISES LLC 16300.00 04/22/19 SOUTHERN FINANCIAL LLC 250.000.00 WIRED FUNDS RECEIVED FROM: (SOUTHERN FINANCIAL LLC) ADJUSTING ENTRY (1,000 shares GS - canceled) CASH DIVIDEND QUAUFIED DIVIDEND SCHWAB 1 INTEREST 5 3 332,500.00 285,278.60 1 198,384.95 1 121,052.22 1 850.00 3 242.54 Incoming TOA from TD AMERITRADE DATE SHARES SYM 04/25/19 3,000 GOOG 04/25/19 263.157 APO 04/25/19 25.000 CVNA 04/25/19 1,000 AMZN 04/25/19 25.000 KPD DESCRIPTION STATUS ALPHABET INC SOLD APOLLO GLOBAL MGMT LP SOLD CARVANA CO SOLD AMAZON.COM INC SOLD KARYOPHARM THERAPTIC SOLD Debits: Transaction Type JOURNALED SHARES & FUNDS TO: 41224708 (SOUTHERN FINANCIAL) DATE AMT 06/24/19 S540.589.91 07/02/19 5953.45 14332170 [SOUTHERN COUNTRY INTL.) DATE SHARES SYM 06/27/19 06/27/19 06/27/19 06/27/19 06/27/19 06/27/19 3.000 263.757 1.000 25,000 1.000 25,000 GOOD APO GS CVNA AMZN KPTI BUY OF INVESTMENTS: 2,000 shares of GS 1,000 adjusted (4198,384.95) 1,000 shares of GS purchased IP Trans Amount 2 -541,543.36 2 -396,764.95 Transaction Spreadsheet Attached /Screenshot (Limited or No Transactions): 04/19/19 - 07/10/19 CA111517 - cQN.IFon um I preN2 TIAL ransacti muy age SDNY_GM_00006046 EFTA_00 I 201 05 EFTA01265979 fla CA111517 - Transacti... Investments: No investments as of 07/1W2019 Li.ilti113 AM /il l )1'1 See the following wire(s) and/or check image(s) subpage(s) if applicable to accounttransactions as noted above. c97_NuE,In u„ ENTIAL SDNY_GM_00006047 EFTA_00120106 EFTA01265980 Incoming Wires Incoming Wires: ACCOUNT ID ACTIVITY DT IRAN AM WIRE TAG CD 11481413 05/01/2019 156,947.36 :20: 11481413 05/01/2019 156,947.36 :32A: 11481413 05/01/2019 156,947.36 :50K: 11481413 05/01/2019 156,947.36 :52A: 11481413 05/01/2019 156,947.36 :53D: 11481413 05/01/2019 156,947.36 :59: 11481413 05/01/2019 156,947.36 :70: 11481413 05/01/2019 156,947.36 :72: 11481413 05/03/2019 51,000.00 :20: 11481413 05/03/2019 51,000.00 :32A: 11481413 05/03/2019 51,000.00 :50K: 11481413 05/03/2019 51,000.00 :52A: 11481413 05/03/2019 51,000.00 :53D: 11481413 05/03/2019 51,000.00 :59: 11481413 05/03/2019 51,000.00 :70: 11481413 05/03/2019 51,000.00 :72: 11481413 05/16/2019 77,331.24 :20: 11481413 05/16/2019 77,331.24 :32A: 11481413 05/16/2019 77,331.24 :50K: 11481413 05/16/2019 77,331.24 :52D: 11481413 05/16/2019 77,331.24 :53D: 11481413 05/16/2019 77,331.24 :59: 11481413 05/16/2019 77,331.24 :70: 11481413 05/16/2019 77,331.24 :72: WIRE TX FO19121O646701 190501USD156947,36 /0042952771 42952771 - SOUTHERN FINANCIAL LLC C/O HBRK ASSOCIATES, INC 575 LEXINGTON AVENUE,4TH FLOOR NEW YORK, NY 10022 BKTRUS33PWM /C/4O553953 CHARLES SCHWAB + CO INC Aft CASH ACCOUNTNG 120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104 /40553953 CHARLES SCHWAB AND CO INC . . FOR FURTHER CREDIT TO ACCOUNT NAMES OUTHERN FINANCIAL LLC ACCOUNT NO 114 8 1413 IMAD 20190501B1Q8383C012734 /INS/BKTRUS33XXX FO19123O791701 19O503USD5100O, /0042952771 42952771 - SOUTHERN FINANCIAL LLC C/O HBRK ASSOCIATES, INC 575 LEXINGTON AVENUE,4TH FLOOR NEW YORK, NY 10022 BKTRUS33PWM /C/4O553953 CHARLES SCHWAB + CO INC An CASH ACCOUNTNG 120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104 /40553953 CHARLES SCHWAB AND CO INC . . FOR FURTHER CREDIT TO ACCOUNT NAMES OUTHERN FINANCIAL LLC ACCOUNT NO 114 8 1413 IMAD 2O19O503B1Q8383C0O9O35 /INS/BKTRUS33XXX FO19136O294B01 19O516USD77331,24 /867730320 SOUTHERN FINANCIAL LLC ATTN: JEFFRE 6100 RED HOOK QTRS STE B-3 ST THOMAS VI 008021348 /000004123214579 TD AMERITRADE CLEARING INC OUTGOING WIRE ACCOUNT 200 S. 108TH AVE., 11TH FLOOR OMAHA NE US 68154 /C/4O553953 CHARLES SCHWAB + CO INC An CASH ACCOUNTNG 120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104 /40553953 CHARLES SCHWAB CO., INC. FFC SOUTHERN FINANICAL LLC 1148-141 3 IMAD 201905161167031R007209 /RFB/18598437 /INS/WFBIUS6SXXX ccgibl. Fail? Pt mmar NBAL SDNY_GM_00006O48 EFTA_00 I 20 I 07 EFTA01265981 Incoming Check Deposits Incoming Check Deposits: Incoming Check Ima... Date Remitter Remitter: Drawee Bank Check Number & Memo: Deposit Amt 06/17/19 CHECK DEPOSIT DARREN K INDYKE & TO Bank *427 42,700.00 MICHELLE F SAIPHER Account Memo: Promissory Note Dated 6-13-18 and 6-17-16 - Interest Pmts 06/1W19 CHECK DEPOSIT COATUE ENTERPRISES LLC JPMorgan k *109 14,300.00 Account 05/09/19 CHECK DEPOSIT COATUE ENTERPRISES LLC JPMorga k *108 10,200.00 Account 05/09/19 CHECK DEPOSIT COATUE ENTERPRISES LLC JPMorgan k *107 15,300.00 Account 04/22/19 CHECK DEPOSIT SOUTHERN FINANCIAL LLC Deutsche Bank Trust *300 250,000.00 Account *42952771 Q,P5NEIE?sP NaT5IAL SDNY_GM_00006049 EFTA_00 I 20 I 08 EFTA01265982 Incoming Transfer of Account (TOA) Incoming AccountTransfer Incoming TOA from TD AMERITRADE Date Quantity 04/25/19 04/25/19 04/25/19 04/25/19 04/25/19 3,000 263,157 25,000 1,000 25,000 Symbol GOOG APO CVNA AMZN KPTI TOM M NOM Si, AIM MA :AI /.'.xv t> :AO 07/04/11 Mena a - MOM= ACIACIPT DETAIL Al'; MO DTA: AA MA Mt ACM CTL LOT S 11411411 Au Or OM: S101 MA AMA MO: $00114011 rnescua AC LAC IOC: SIG MAD COO.: CMG ACM. AM: r 4441-11•4112 an MCA CAA: 20111114404141 MA II RN, ILC 09 1416 Ma Mt CO TOOL TAMS: TAM AM OA CTL ID: «414524' CATO CORM: 13:MITIO DMA VaL0.11 ZOCIt Olte IOOCY. Yft COO MIA TO AN12114104 OSAMM. IK Mar COMM 0121/Alai TM 1013 ant: CVO MCT MA CO TAX 202: AMA 411141; CAM 0•411i 04/12/11 Ono, OTO MLA N/22/14 OAT,: 52 AMT: 04/11/11 01:10 TICJ PDX /APR: USZLI MIA • 04/24/111 TO An OM 04412 - 1R Ni, OM TIM PA RATA 041/21/14 CVO TIT TIMONITTM AMR 04/22/11 AO 145141 MITA= TOM:Cil 04011.CONINOTICO TA00100710 A-TOCA Ala M-MOS : A 1:012110A 41X1 414-1TR rs-topo micas m-tou. =at ne-ns T24-TO Description ALPHABET INC. APOLLO GLOBAL MGMT LP CARVANA CO AMAZON.COM INC KARYOPHARM THERAPTIC - we, Worn Is:/ IVA 1, 1 P 'OM or FIT ly « M/01/10 IA/OM a meows - lam kettan MAIL NSA ITO OUT: MA TAT: PA JCAT CTL I: 201411)0004141 ACCT 11441411 Init At 41413 "a PMA VALID: an, 000TOM MAC= LLC lY OM: MCI MAO oar.: 04/25/14 010 A011" WO: CMG ACM ATM: TAX101..: [SSN REDACTED] TAXIM: IS; Al NA LLC CATINICO: MAT ACCT TIM: CO alp AO: 11:12 TOMS TAMA: 14.014.115.11 PIO al ID: 241542044 CATO COMA: OATIO 1.122 KILIAN Old l. 0111 MOO: Mn ON MINT: a 13011441 Call/0, MC. COMM: COMACT: TAX 101: MTh: CTRII ACCT TIM CO TAX 1021 NAM: MATO! CCM MOH 04/21/14 ODIC: OTCA 04/21/14 aA: SI ACAS: 04/21/14 17:10 MI AM ACIRA MAY. Mat: 44214/14 era TRIOITTII COMMA - 1 11411411 04/14/14 OMA TIT TIMOCITTM TO MCC N/241/14 OTO TRIMATII ISITIMMID AMMO OTCACIATIMATIM 15.054417441 A -1W M -M43. : BOO Mill-ACAS: rtl-rat 114-0T• 11-1C010 11:-TOM T11•1011. AMA mks'. 1/24-44 CQNFIDNTIN__ CA 1151 - Transaction . ummary Page SDNY_GM_00006050 EFTA_00120109 EFTA01265983 ACCT: 14332170 - [SOUTHERN COUNTRY INTERNATIONAL1 Account Type/Registration/Roles: Account Opened on 05/13/2019 ACCOUnt °egad% Apse. whim 01, A.. ea I.m. Tel> 0•14. a l Coo WWI. Ol.rete Pe 46012 128 645081 t a. bar. MO 0 PI D UM WI CM Sue Net MTN LIX•10).3 m Ca% liessInialti.•801AISI 13; 4.10)ROD <tr. Q-k-5 SR 8 3 *STICKILY: OM: - 10••••1011erlit(0, ,_ TAD Canienilled IA 6.0.1.; La - Msel Clumn(O ',SNP Lant, CPSIIPt Transaction Details: 0 fl aw* last • Credits: Transaction Type SELL OF INVESTMENTS: Date Quantity Description 41224708 (SOUTHERN TRUST COMPANY) Date Amount 15.000 (UM 06/18/19 06/25/19 56,149,343.64 05/18/19 1030.000 'CITIGROUP INC. VAR 99 DUE 12/31/99' 06/25/19 92,000,000.00 05/19/19 2.000.000 JBS INVESTMENTS 7.25% 06/24/19 97,356,568.00 24F OUE 04/03/24 05/21/19 79.000 'CITIGROUP IN 6.875% 05/21/19 2.000.000 *ASSURANT, INC. OUE 03/27/48' 06/21/19 5.760.000 JPMORGAN CHASE 8 VAR 07/10/19 25.000 CVNA 07/10/19 3.000 GOOG 07/10/19 2.000 GS 07/10/19 25.000 KARYOPHARM THERAPTIC 07/10/19 10.000 EKON MOBILE Debits: # Trans Amount Transaction Type # Trans Amount 37 +23,731,527.61 JOURNAL FUNDS TO: CHECK DEPOSIT FROM: SOUTHERN COUNTRY INTERNATIONAL LTD JOURNAL OF SHARES RECEIVED FROM: 41224708 (SOUTHERN TRUST COMPANY) Date Quantity Symbol 06/27/19 10.000 XOM 06/27/19 10.000 ILMN 06/27/19 1,000 GS 11487413 (SOUTHERN FINANCIAL LW) Date Quantity Symbol 06127/79 3.000 GOOG 06/27/79 263.157 APO +250,000.00 LiONuiEul OP\ITIAL 3 -17,505,911.64 SDNY_GM_00006051 EFTA_001201 10 EFTA01265984 06/27/19 7,000 GS 06/27/79 25.000 CVNA 06/27/79 7,000 AWN 06/27/79 25.000 KIM CD INTEREST PAYMENT INTEREST PAYMENTS Incoming TOA: 1 2 Dnaiption +35,681.25 +620.39 Status DATE /Sham 05/20/19 79.000 CITIGROUP IN 6.875%9CD IC4K) SOLD 05/20/19 1.903.000 LLOYDS BANKING G 7.5%99F DUE 12/31/99 HEW IN ACCT 05/20/19 2.003.000 JBS INVESTMENTS 7.25%249 DUE 04/03/24 SOLD 05/20/19 3.003.000 CITIGROUP INC. VAR 99 DUE 12/31/99 SOLD 05/20/19 2.003.000 ASSURANT. INC. VAR 48 DUE 03/27/48 SOLD 05/20/19 5.760.000 JPMORGAN CHASE 8. VAR SOLO 05/20/19 15.000 UNITED TECHNOLOGIES(UTX) SOLD 05/20/19 80.000 GMAC CAPITAL T 8.125%PfD DUE 02/15/40 HEW IN ACCT SUBJ TO XTRO REDEMPTION IALLY4A) Transaction Spreadsheet Attached /Screenshot (Limited or No Transactions): 05/13/19 - 07/10/19 a CA111517 - Transacti... Investments: Positions hales 08•91909 90, 90I T 9e Quantity $44/44 AcCOont /413-2170 titan erases erwnaaar Mote Ulm 1.0:0 M4DI 4462(.O,4111C 241741 2,017,410.00 2.1.117 NO SALO GLCOAL 1.04T IP 11.16 9.436.910.02 0164 0/0911A 03 6745 0 CLASS A I 0 CO.I C004 OM OMP 7751 0 I MOM ALLTPRA CPAC GAPTrAL T9.125140193 MU 2.101,0:0.00 0 6$ 0110211$14, SUL TO rntoriSOCTIO. GOLDMAN SACHS GIMP 21.97 0 1 10.0:0 ELM WAN(MC 312.70 3,727,030.00 0 On KARTOPS,01 THERAPTK 7.79 0 1.903.000 LLOYDS WONG G 7.3%991. 105.79 2,012,172.30 OIt 1)/1IA9 1O1:38 AM 1/11/2019 See the followingwire(s) and/or check image(s) subpage(s) if applicable to account transactions as noted above. LONE' QgNTIAL SDNY_GM_00006052 EFTA_0012011 I EFTA01265985 Incoming Transfer of Account (TOA) Incoming AccountTransfer: Incoming TOA: Date Quantity Description 05/20/19 79,000 CITIGROUP IN 6.875% PFD (C+K) 05/20/19 1,903,000 LLOYDS BANKING G 7.5%99F DUE 12/31/99 05/20/19 2,00&000 JIBS INVESTMENTS 7.25%24F DUE 04/03/24 05/20/19 3,00&000 CITIGROUP INC. VAR 99 DUE 12/31/99 05/20/19 2,000,000 ASSURANT, INC. VAR 48 DUE 03/27/48 05/20/19 5,76&000 JPMORGAN CHASE & VAR 05/20/19 15,000 UNITED TECHNOLOGIES (UTX) 05/20/19 8&000 GMAC CAPITAL T 8.125%PFD DUE 02/15/40 SUBJ TO XTRO REDEMPTION (ALLY4A) • Appears the incoming TOA was from TD Ameritrade account, however, unable to locate documents. Client Overview IdentlIkatbe Infoneatke Voice AutheritkatIOn Nave ItIOURIDKA/IN Da act al Sues "re fro Miami ka >a •.c.i Cal Date of Bleb 12/06/1972 (46 veers old) Mother's Heiden Name Cust RH BenefltS Bal Stu Trades/yr 0 Ms ID &Aetna Aeconab Refiesh watit s Nan tett Walk-In Meeting Rich came in to open the new colpetate account. Otliarrida Took the application in. neteritrai As I undreamt there is one equity and multiple bend positions. nes are coming from W. o latest sale He would also like to give authoreation to Paul Barret who is the trader and ida genrator for Mr. Fppaein. He would like to get street srnsrt edge ACthitylltie software. Would like to get 5 years of free trades as sera for this account. Pei weeds about... Repro Add renew, 9:51:30 AM 1012019 CQNFIDNTIpd_ CA 1151 - Transacuon ummary Page SDNY_GM_00006053 EFTA_00 I 20 I 12 EFTA01265986 Incoming Check Deposits Incoming Check Deposits: SOUTHERN COUNTRY INTERNATIONAL, LTD. MS/WA IMMTORCO 1022 ST MOI/At. VI 6100 IMO HOOK WATERS. SUITE 64 99•2019 • . . ' ' I PAY TO TIE i onceux Charles sdasb & Co Inc. $ - 250,000.00 j Two H undroi FiftyThousand and 0011 Charles Sch,iab S CD; Inc.' • • r00 10 2 2e it •Seierronwiwunnismal CO.LARS {6 -1 Date Remitter Remitter: Drawee Bank Check Number Deposit Amt 05/13/19 CHECK DEPOSIT SOUTHERN COUNTRY INTERNATIONAL LTD FirstBank Puerto Rico #1022 Account QPNEILIFIlaTJAL 250.000.00 SDNY_GM_00006054 EFTA_00120113 EFTA01265987 ACCT: 41224708 - [SOUTHERN TRUST COMPANY/ Account Type/Registration/Roles: Account Opened on 04/11/2019 An%Snit Ueda, f Cd. Aocra4 14114•••(4) tf• attOitt 4121-47,311 =WAS ,..C7 CO.* , 'C 'IMAM PIXIK pure. , Bl ri1s:at 4 T. 9 Cu. D rr In apt. ItICMOD ritOIAROCArn ARC, 0.7391 POA•••40tbnilllibiele Vow •o. 0- 03 rem FA,PI /9.C, M . .. .1 f091016.1 T.13 D.eerdeu ErclAqtA. •••• D Transaction Details: Credits: Debits: Transaction Type # Trans Amount JOURNALED FUNDS/SHARES FROM: # 11481413 (SOUTHERN FINANCIAL LLC] Date Amount 5 18,047,455.00 Transaction Type N Trans Amount FX WIRED FUNDS DISBURSED TO: MARC LEON in MOROCCO (returned) MARC LEON (2nd attempted ) 1 -12,708,324.00 06/24/19 $540,589.91 07/02/19 $953.45 #14332170 (SOUTHERN COUNTRY INT.] JOURNAL OF SHARES TO: 14332170 (SOUTHERN COUNTRY INT] Date Quantity Symbol 06/27/19 10,000 XOM Date Amount 06/27/19 10,000 ILMN 06/25/19 $8,149,343.64 06/27/19 1,030 GS 06/25/19 $2,000,000.00 06/24/19 $7.356568.00 BUY 1 -198,460.00 05/21/19 (1,000 shares of GS) FX RETURNED WIRE - MARC LEON 2 12,070,506.60 REINVEST DIVIDENDS 3 -4,841.18 WIRED FUNDS RECEIVED FROM: 1 2,000,000.00 WIRE FEE 1 -25.00 SOUTHERN TRUST COMPANY INC SELL 1 1,059,144.44 06/21/19 1,000,000 BANK OF AMERICA FUNDS RECEIVED FROM: 1 250,000.00 SOUTHERN TRUST COMPANY INC QUALIFIED DIVIDEND 2 9,550.00 CASH DIVIDEND 3 4,841.18 SCHWAB INTEREST PAYMENT 3 1,792.30 incoming TOA: Date Quantity Symbol Description STATUS 04/30/19 10,000 XOM EXXON MOBIL CORP SOLD 04/30/19 10,000 ILMN ILLUMINA INC ACCT-2170 04/30/19 1,000,000 BANK OF AMERICA C VAR SOLD N.F I DENTIAL cAIP5,7_.ransaction Summary age I SDNY_GM_00006055 EFTA 00120114 EFTA01265988 99 DUE 12/31/99 Transaction Spreadsheet Attached /Screenshot (Limited or No Transactions): 04/11/19 - 07/10/19 a CA111517 - Transactio... Investments: No investments as of 07/10/2019 Positions Positions Displayby Type QtJanbly Symbol Symbol Account 4122-4708 WKS= grststrall Positions are:epos Name Quote I Market Value 7:08:39 AM 7/11/2019 See the following wire(s) and/or check image(s) subpage(s) if applicable to accounttransactions as noted above. cNEIDENTIAL Al;;?5,7_ iransaction Summary age I_ SDNY_GM_00006056 EFFA_00120115 EFTA01265989 Incoming Wires Incoming Wires: ACCOUNT ID ACTIVITY DT IRAN AM WIRE TAG CD WIRE TX 41224708 04/17/2019 2,000,000.00 :20: 41224708 04/17/2019 2,000,000.00 :32k F01910707AB501 190417USD2000000, 41224708 04/17/2019 2,000,000.00 :50K: /0044129244 44129244 - SOUTHERN TRUST COMPANY, C/O HBRK ASSOCIATES, INC 575 LEXINGTON AVENUE,4TH FLOOR NEW YORK, NY 10022 41224708 04/17/2019 2,000,000.00 :52A: BKTRUS33PWM 41224708 04/17/2019 2,000,000.00 :53D: /C/40553953 CHARLES SCHWAB + CO INC ATT CASH ACCOUNTING 120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104 41224708 04/17/2019 2,000,000.00 :59: /40553953 CHARLES SCHWAB AND CO INC 399 PARK AVE NEW YORK NY 10022 41224708 04/17/2019 2,000,000.00 :70: FOR FURTHER CREDIT TO ACCOUNT NAMES SOUTHERN TRUST COMPANY INC ACCOUNTNUMBER 41224708 IMAD 20190417B1Q8383C 015657 41224708 04/17/2019 2,000,000.00 :72: /INS/BKTRUS33XXX CQNFIDENTIAL CA 1517 - ransaction Summary Page 13 SDNY_GM_00006057 EFTA_001201 16 EFTA01265990 Outgoing Wires Outgoing Wires: Wire requested to be returned: 11110••••••• • 41m-11•901•01•91 WILMS Case Delo& One Ti. St Coe ID red Rt. PO "td 'Wt. ',el Coo Woo Rachod•Cookeed Pak WI KS0000•2123.04 in Sal ••••e 'no Nor at& owe WPC LEON Tater DetAls News Dot ONtowes DO fl PACO 1ST RCM 6? 01E Zoi clWatOli NOWT:Ot 06Soso Vibe 016 %a %' Tao SA Cony PCAOCCO Poor Connor foe IEUQ DTA* %WC KC Owego, No4 Mow 1 UM IT YO 10 OAPROCI No knot°, AM IL191100.03 Owe No Ilideorellowles USD AniPatl $12.701.31•00 Nast SAM ALLA Mw0 COACD..21.4% IQ 14 tertrott kryl AWCP WI IQ PO Wows WpfeaSTRASSE 36 t 0 OM .010 AA AJAX, * LOA lentepow Goatee Oc OS • WON by LIFPIQ 0Q26/2019 Care, santramo CceoNO K. Ototed LOW NOM Wee 0 eas OW VOA fl VW I) 11•Ws 1799:93 OSCONC019 Q 19 00/31/2019 1PAL19 05,76/M9 OOP 19 OVW500 100 10Q W.Q POST IttASCP4 AJTICOMJ, AACK • WAIT IWO ACC WO PESACH ZAIWCALLCC 109 • OAR IOC 100 P/MCO ant= OM . MAY WM PM AQ • PfASO. AINCO1213) EVA EXEOFE cro Palim wool Wats 7:21:53 AM 7/11/2019 Secondary wire request, but was requested to be canceled. Wow Pawn Ow-1mo (Cow I Case DNA& oVaroto. 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Ta Iam TM a WOOL Z7 (COI 6 Y WO leo ow: CAPOWLOZO• ewo CoNwor HMCO Nola Ca I 'Pa LQ) 0)I14/51G to Ps al WQ anositarcoed • see larg car 'MNY IN" 0000010 14•26W 070111319 11.1947 0/105/2019 07AQQ019 11•74.47 1. 1w D Noes Arkainal Mites WQ SYSTRUCCTICA•CLLED 'Z W • OA:04 COoliC •NriVACCr WI COT YIN MASCO COWED LOA •VINIELOANININ wry masa Amour visr.curr W Q 7:11219 AM 7/11/2019 CONFIDENTIAL CAI 11517 -"transaction Sunuittry Page 14 SONY_GM_00006058 EFTA_00120117 EFTA01265991 Incoming Transfer of Account (TOA) Incoming Account Transfer: Incoming TOA from MERRYL LYNCH Account #603118 Date Quantity Symbol Description 04/30/19 04/30/19 04/30/19 10,000 XOM 10,000 ILMN 1,000,000 EXXON MOBIL CORP ILLUMINA INC BANK OF AMERICA C VAR 99 DUE 12/31/99 • • JIM NOM Mt MUMS MA 0101LAI: « 01/04/10 1111aarn Or ACCOOM - TLLYMIC AMOR OMIT xat: ITO& 1:M. TST: On Aar CT:. MOM nal: 41224700 lat: UT Trn: S101. 1TOJD VALID: 900100 MITI COMIC IOC 5104 010,0 COO.: 001G Aar nTL: ACAT COLO: Al REG: C P OrrinCO: OnCO: 77 ACC, TM: CO JOS: 101: 0471 1110.30: TOTAL TWOS: OM CM ID: 1249)42W <TM COOTIO: 00111111 Oita 101101011 CM JAM: NIMIRILL COMO. OTITACT: TAX 102: CTPA ACCT 1TPC: CO TAX 102: 1: Oat OVEN: 04/22/19 ORIG: 01011 OILY: ACAT: NU MO: MO APPAL: ACCEL: X:1111: 19 TOn r0 CASK TA-1311141 rOR POCCIMING • 19 ton MOW OW1101:0 111004: KILO to: GILM -1 19 CM CLIOIT 00104.11/10 Ta VIA ASIA. ta. CLAM WV IMAM= r3-000 11-11:01: : N10 Ka-ACIa: 11)-1111. n4-T: rn TI:•1.110 111-1011 n• -r0 r:4•FT• 49AM 7/9.7019 :. Met 10.C12 A.A:LAba kit; U: n _ « 01/04/10 TrAxarn Or ACCOUNT: - LLLYMIC ACCOUNT OMIT Mr1 OP.: SOL Tar: tin WAX CT 10M-ACAT maX: 41224701 n: O nn: S10: 1TOJD VALID: Joanna lint MOM IF OM: *104 010,0 COO.: 01/02/19 001G Aar IRE: ACAT 404.77-9941 TAX102: Iltir : CORP Cirn9CD: aCMCD: ACC1 Trn: CO TOTAL Taani: ?A-1/35141 M CIL ID: 574/01144 <MD CONTRA: ... • • • • • • 0011TIM um toting 11:30 0.00 !MX Mal MA NNW: Milt Or ANTIC. MINI LL LOICH COMM moon: TAX 1DI: CTPA ACCT Tin: CO TAX 102: COO 0110: 04/23/19 TOR OILY 44 AM: 11111 PM. APPAL: lT GM nnJiLLIONT fin • COPT :0 10r1 1111.1011101:111 nn • CM :9 AN rOtriLUeln TriPt • COPT • •• THICO 11-1100 : ADO wa-ocn: rn-M. m-ns nI.101E AM: 1111•0111 n4•101. C S? bi ll- FAQ NTIAL SDNY_GM_00006059 EFTA_00112011 IS EFTA01265992 Incoming Check Deposits Jo. • Incoming Check Deposits: SOUTHERN TRUST COMPANY. INC. EGO RED HOOK QUARTERS B) ST THOMAS. C0001 .• I PM' C: 414 TO0F trIC Charles SC/Hap & Co, i Inc i $ "260.99090o Two niton vi coke •01.7216/2r4 418)2019- 1997 Hundred Fit Thousand and lEitzraccaAa samx7. Daum I 4mai CnarkoSerevab S Co . Icc • 4'1:M99V C221142B51C 721 1m098521;• k Ia Date Remitter Remitter: Drawee Bank Check Number Deposit Amt 04/12/19 CHECK DEPOSIT SOUTHERN TRUST COMPANY INC FirstBenk Account e QAQ5KEIETNITIJAL #1997 250.000.00 SDNY_GM_00006060 EFTA_00120119 EFTA01265993