EFTA01288772

Deutsche Asset & Wealth Management PO Bon 1778. Beware. MO 2t203 Dpaisre Rant PnweWeein Paragenms Pdaterts Cisme 6.• oestscry Pat %w ,. ort +.c licenen Oikt Na Pant Ammo. Hal bet Portfolio at a Glance Account Number: Statement Period: 12/01/200 -1213112015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 3106,248,127.78 8126,714,293.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -548.663.17 •18.2l6.493 88 ST THOMAS VI 00802 Net Securities InlOut of Account 060 .5.861,790.80 Adjusted Previous Account Value 105,097,404.59 102,630,000.34 Dividends, loftiest and Othet Income 555,11817 3.813,797 20 Total Taxes Withheld 0.00 -S561.18 Net Other Activity -1.00 -305.00 Your Client Advisor: Net Chan ,e in Portfolio -2.968.261.66 -3.152.321 56 DANIEL SABBA nding Account Value S103 284 617 80 3103 284 617 80 Accrued Interest $319.008 14 Estimated Annual Income 53.596.773 94 Asset Allocation Prior Year-fait Lad Period This Period % Allocation LSD Cash. Money Funds and Bank Deposits 44,273,98433 26,827,392.13 26,831,113.83 25.98% LSD Axed Income 18,177,455.58 20,288,106.47 20142,233M 19.60% Non-LSD Axed Income 7.150,052 50 5,335,220.00 5.196,705.00 5.03% LSD Equities 54,120,544 61 50,481,923.16 47,972,851.11 46.45% honSSO Equities 2.986.2543.00 3.335.480.00 3.038.824,00 2.94% Account Total (Pie Chart) 3126,714,293.02 3108,246,12116 3103,284,617.80 101.00% See the Asset Mutation Disclosure and Footnotes secton b- important information muesli" your Asset Mouton. osAli aQtt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Please review your allocation perockally wth you' Giant Advisor. Page 14020 B0097111 1CSF30024 Go paperless (it Litiged nry Vira. sine. 2007 CONFIDENTiA reaXCIALLCRAPDC°MMUNICAT°6 SDNY_GM_00045B00 DB-SDNY-0008624 EFTA_00156409 EFTA01288772 Asset Allocation Disclosure and Footnotes M values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2015 Exchange rates can vary. Equities contains Equity Mtrtual Funds. Summary of Gains and Losses Realized Utilesbred This Period Year-to-Date Short-Term Gain/Loss 0.00 100.107 03 -787.297.04 Lang•Term Gain/Loss 53.721 12 -111.674 91 3.112.278.66 Net GalnlLoss 53.721.42 -11,867.88 2,324081.82 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Amount Balm Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num ber 0000001490 Current Yield: 0.13% Activity Ending: 12/3tfl 5 12101115 Opening Balance 26,735.287.18 26,735,287.18 12/01115 Deposit MONEY FUND PURCHASE 92,104.95 26,827,392.13 12/02/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.827.388.13 12/04115 Withdrawal MONEY FUND REDEMPTION -596.777.26 26.230.610.87 12/07115 Deposit MONEY FUND PURCHASE 66,500.00 26,297,110.87 12/11/15 Depend MONEY FUND PURCHASE 24,996.00 26,322,106.87 12/16115 Deposd MONEY FUND PURCHASE 51,360.16 26,373,467.03 12/17/15 Deposit MONEY FUND PURCHASE 148,125.00 26.521.592.03 12/23/15 Withdrawal MONEY FUND REDEMPTION -0.08 26.521.591.95 12/29115 Deposit MONEY FUND PURCHASE 61,285.44 26,582,857.59 12/30115 Deposit MONEY FUND PURCHASE 168,540.60 26,751,398.19 12/31115 Deposit MONEY FUND PURCHASE 3.483.00 26,754,881.19 12131115 Deposit INCOMEREINVEST 1169.55 26.756.850.74 12131115 Closing Balance $26,756,650.74 Total All Money Market Funds $16,758,650.74 Income and Expense Summary Commit Period Year-to-Dale Taxable Mee Taxable Taxable No. Taxable Dividend Income Equities 93,035.16 0.00 1,134,818.48 000 Money Market 1.76955 0.00 15,077.58 000 Other Dividends 27,032.72 0.00 111,090.12 000 Page 2 of 20 Account Number: taamordi BAN ROLL Go paperless etc Every Yoe, SOSO. r007 DAL BAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67: HEIMCON F I DriTrIA rxenurraer SDNY_GM_00045801 DB-SDNY-0008625 EFTA_00156410 EFTA01288773 Deutsche Asset & Wealth Management P.O. &a 1778, Bahimore. MD 21203 (*On a na Pnyve wean im.ge-ian Pram tOdene4.0.4) DeNsche M Stao0e. at. Mar le t c Hs Pia Out/cm. Nth 007 Weer** NY 10IM Income and Expense Summary (continued) Qinent Period Statement Period: 1 2101/2115 Year-to-Bak -1213112116 Taxable Noe Taxable Taxable Non Taxable Interest Income Bond interest 300,14914 0.00 1,081,091.58 0.00 Other Interest 0.00 0.00 162,500.16 0.00 Expenses Withholding Taxes 0.00 0.00 -6,561.18 0.00 Fees(Foieign Securities) 0.00 0.00 -225.00 0.00 Total Dividends, Interest, Income and Expenses 1421,967.27 10.00 13,167,791.70 10.00 DlsUlbudons Long • Term Capital Gan Institutions 87,731.40 000 87,731.40 0.00 Short - Tem Capital Gan Distributions 45,70020 0.00 45.70020 0.00 Alternative Investments 0.00 0.00 0.00 515,78732 Other OistAbutions 0.00 0.00 0.00 89.616.40 Total Distributions 1133,431.60 10.00 $133,431.60 1605,404.12 Portfolio Holdings Amount Activity Opening Gahm no Income sed 39-Day Cement Opening Date Omanlity Number Ending Balance Balance Income Pas Year Yield Yield Cash, Money Funds, and Bank Deposits 26.00% of Portfolio Cash Balance Margin Balance Money Market DEUTSCHE GOVT CASH INSTL 12/01115 26.756.650.740 0000301490 Total Money M arket Total Cash, Money Funds, and Bank Deposits 12131115 92,104.95 0.00 26.735.287.18 74,010.09 3.483.00 26.756.650.74 0.00 15077.56 0.08% 013% $16,736,287.18 321,766,850.74 116,077.66 116,627,392.13 $20,934,143.83 1$ 90..00 116,077.66 Page 3 of 20 Account Number: torellerigi 7007764)C573012: UBAO MOLL Ga paperless L very Yea. Lace 2007 DAMAN RATED COMMUNICATION6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERIMI F D AMSITIA rxenurraer SDNY_GM_00045802 DB-SDNY-0008626 EFTA_GO [5641 I EFTA01288774 Portfolio Holdings (continued) Date Acquired Ouselity Urnit Cog Fixed Income 2 5.0 0% of Portfolio (In Maluary Dee Sequence) ‘Asset Backed Securities WASHINGTON NUT NTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 3.187% 07125133 WE DTO 06/01/04 S 8 P Rating 0 Factor. 0.53648940 Effects. Date:12[01/15 Current Face Value: 692.045 526 12113/13',3,12 1,290,000.000 76 5190 Adjusted Cod Basis Market Price Market Value Unrealized Gain/ Lou Accrued Interest Estimated Estimated Annual Income Yield Total Asset Birdied Securities 1,290,000.000 Total Current Face Value : 692,045.526 Corporate Bonds EARTHUNK INC GM SR NT FULLY EXCHANGED CUSP FROM 210321AB8 8.875% 05/15/19 WE DID 05117111 CALLABLE 12/31115 68 P Rating CCC. 10/22/12 ',LIT 146,000 000 102 6360 10/23/12 ' •3.12 600.000 000 102 5550 Total Nononered 748,000.000 Total 746,000.000 FRONTIER COM M UNICATIONS CORP SR KT 8.500% 04/15/20 WE DID 04112110 1ST CPN DTE 10/15/10 Moody Rating 13A3 S P Rating BB- 07106115 3,000,000.000 105.2140 Security Identifier: 939338520 529 543 61 84.6460 Original Cost Basil $838.906.71 $529,543.61 Security Identifier: 2103214C8 149.849.05 101.7500 0 nginal Cod Basic $151.110.00 615,332.25 101.7500 Original Cod Basic $819,500.00 766,181.30 585.788 86 $585,788.88 148.555 00 610.500 00 759,055.00 $760,055.00 56.24525 $58,245.25 .1.294.05 4.632 25 -8,126.30 -$8,121.30 $8,459.65 1.838 41 $1,836.41 1.655.68 6.604.17 8,459.65 $0.00 12.957 50 8.72% 53.250 00 8.72% 86,207.50 LLOYDS TSB BK PLC EURO ISSUE M EOIUM TERM NOTES IUD XS0717735822 9.875% 12118/21 REG DTO 12/16111 Moody Rating Bat S8 P Rating BBB 12104113 'AM 1,500.000.000 1068300 BARCLAYS BK PLC CONTINGENT CAP NT ISK 8U6067390403 7.750% 04/10123 B/E DID 04110113 CALLABLE 04110118 S8 P Rating BP. 04103/13 'AM 300,000.000 100.0000 01,09/843CSF3 .' OBAB 901.1. $785,181.30 Security Identifier: 35906AAHI 3.156.430.37 100.2500 Original Cost Basis. S3 171,006 00 Security Identifier: GISISPP48 1.602.454.90 106.8280 Original Cosl Basic $1,627,500.00 Security Identifier: 06739FHK0 300.00080 106.7500 Original Cost Basis: $300,000.00 3.007.500.00 1,602,420.00 320,250.00 -148.930.37 .34.90 20,250 00 53,833.33 5,760.42 5,231 25 $86,207.50 255,000.00 8.47% 148,125.00 9.24% 23,250.00 7.25% Page 4 of 20 Account Number: Go rless etsoi Cyr, V... Sims 2007 Rasa Lawns rigi Sa „En CO DAL BAR RATED COMMUMCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Lin F I DENTIA rxenurnser SDNY_GM_00045803 OB-SDNY-0006627 EFTA_00156412 EFTA01288775 Deutsche Asset & Wealth Management PO Boa 1778. Beware. MO21203 Portfolio Holdings (continued) Date Acquired thiantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1110TH PFD SER 1 FD TO MG RT BO 1.900% 04129149 BlE DTD 04123108 Moody Rating BAA3 S P Rating BBB- 06115111 '.3,12 2,500,000.000 107.5000 06115111 ..3.12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130158 B/E DTD 01130168 CALLABLE 05115/18 Moody Rating BA2 St P Rating Bei 01110111 '.3.12 2,000,000.000 1023500 Adjusted Cost Basis (*„cost 8.4 P0.1,0 W,41 P.m...vie,. Mann. Comm< Gmap IXMUM Mk smeces4%. Na, *4 Olk• 30770 Nowa lie01 ice woe. *A NY 101W Market Price Market Value Statement Period: 12/01/2015 - 12131/2015 Unrealized Gen/ Loss Accrued Estimated Estimated Interest Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117/62 INE DTD 01117112 CALLABLE02/01122 Q 100.000 Moody Rating BAAt 58 P Rating BBB- 01130112'.3.12 3,000,000.000 99 8310 GENERAL SIC CO GTD FXD-TO•ELTG RT NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12103/85 WE DTD 12/03/15 Moody Rating A3 58 P Rating AA- 12103115 2,469,000.000 88.0930 Security Identifier: 46825HHA1 2,687,500.00 101.8000 Original Cost Basis: 52,687,500.00 2,675,000.00 101.8000 Original Coal Basis. 52,675,000.00 2,545,000.00 2,545,000.00 .142.500.00 -130.000.00 32,916.67 32,916.66 197.500.00 197.500.00 7.76% 7.76% 6,362,500.00 5,090,000.00 ,272,500.00 65,833.33 395,000.00 $5,302,500.00 $5,090,000.00 .$272,500.00 $65,833.33 $395,000.00 Security Identifier: 0605050 T8 2,055,000 00 101.7500 2,035,000.00 -20,00000 20,763.89 162 500 00 7.98% Original Cost Basis: 52.055,000.00 Security Identifier: I42400FU2 2,994,938.15 110 1750 3,305,250 00 310,313 85 78,125 00 187 500 00 5.67% Original Cost Basis $2 992.564 97 Security Identifier: 369604B114 2,175,016.17 100.0000 2,169,000 00 293,983.83 4,389 33 98,760.00 IVO% Original Cost Basis: $2.175.016.17 OMAN 001.1 Account Num berms paperIess 93 ti tUb LLC. F I DrarTAL CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) TH ERA N Page 5 of 20 Rated tocellerdi ',ay Vs. I 2007 CALMAR RATED COMMUNICATIONS 7XCILL774Ct =17 SDNY_GM_00045804 OB-SDNY-0006626 EFIA_00 I 56413 EFTA01288776 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115188 NE DID 08112115 CALLABLE 08115120 0 100000 Moody Rating BA2 S8 P Rating BB• 08/06115 3,000,000.000 100 0000 3.000.006.00 99.6880 anginal Cost Basic 53.001006.00 2990.640 00 -9.366.00 68,920 83 1)&500.00 5.96% LBG CAPITAL NO 1 PLC 144A Security Identifier: G543388G8 ISNOXS0173108283 8.000% 09115/88 REG DID 12115109 CALLABLE 06115/20 S8 P Rating BB* 12/04/13 'AM 1,200,000.000 108 2500 1,299,000.00 103.9500 1,247,400.00 -51.600 00 4.26-667 96.000 00 7.69% Original Cosl Basis: 51,299,000.00 'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 519439)104 ADDL TIER 1 SECS ISNOUS539439AG42 7.500% 09127188 BJE DID 0/107111 S 8 P Rating BB- Please Provide' 1.903.000.000 N/A Pease Provide 106 5000 2.026.695 00 N/A 1.565 83 112.725.00 7.04% Ong nal Cost Basis Please Provide Total Corporate Bonds 522,110,524.59 124,863,210.00 1115,990.11 1317,189.73 11,753,587.50 24,118,000.000 Total Fixed Income 523.240.068.50 126,438,998.80 1172,235.38 1311,008.14 11,753,587.50 25,408,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Lou Animal Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISIAAL0010831061 Dividend Option: Cash 0810111/ 800.000 25 0000 AKORN INC COM Dividend Option: Cash 06110115 5.000.000 46 8410 AUBABA GROUP BLDG LTD SPONSORED ADS IS% OUS01609W1027 Dividend Option: Cash 06f 10/15 5.000.000 88.9500 ALUANZ SE SPONS ADR REPSTG 1/10 SIIS Dividend Option: Cash Adjusted Cost BM Market Price Market Value Unrealized Gain! Lou /teased Interest Estimated Estimated Annual Income Yield Security Identifier: 17296725 IDOAN ROI Security Identifier: M BLY CUSP. 651488117 20,000.00 422800 Security Identifier: AKRX CUSP. 009728106 234,206.00 37.3100 Security Identifier: BABA CUSP: 01609W102 414,719.00 811700 Security Identifier: AZSEY CUSP: 018805101 33,824.00 186.550.00 406,350.00 Account Number Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 9:THERA COL N' LC F I DAENTIAL 13,824.00 -47.656.00 -38,399.00 Page 6 of 20 Rated ocellonfi Ivory YawLace 2007 0ALOAR RATED COMMUNICATIONS rxOltL INC.' aw.r. ore —a-no..., 'sync SDNY_GM_00045805 OB-SDNY-0008629 EFTA_OOI 56414 EFTA01288777 Deutsche Asset & Wealth Management P.O. Us 1778, Ba'lima*, MO 21203 Portfolio Holdings (continued) Dralsoo Ic Pnvievieualaptagenes Weals Coon., Des4s0r4 ML Smolt. +a. lire len Oilt• In Pant Aneo. 160. I ter N.* Wet 10. 10114 Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS ADR REPSTG 1110 SHS (continued) 04113115 5.000.000 18.0110 90.056 00 17 7660 88.830.00 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash Security Identifier: APO CUSIP. 037612306 03129111 '.13 263.157,000 19 0000 4.999.983 00 15.1800 3.994.723 26 APPLE INC COM Dividend Option: Cash Security Identifier: AAPL CUSP 037833100 09/05114 110.180.000 98 9500 10.902.315 41 105 2600 11,597.546 80 ARIAD PHARMACEUTICALS INC Dividend Option: Cash Security Identifier: ARIA CL SP. 04033A100 02114112'•13 7,535 000 15 2090 114,597 40 6.2500 47.093 75 01/24113 '.13 9 000 000 19 6000 176.400 00 6 2500 56.250 00 Total Noncovered 16,535.000 290.997.40 103,343.75 Total 16,535.000 $290,997.40 3103,343.75 ASCENA RETAIL GROUP INC CON Dividend Option: Cash Security Identifier: ASN A SIP 043510101 01/16/01 70.500.000 21 2770 1.500.000 00 9.8500 694.425 00 AVALANCHE 810 TECHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares ate in your margin account Security Identifier: AAVL CLSIP 053376107 04120115 10.000 000 39.8610 398.606 00 9.5200 95.200 00 BASF SE SPONS ADR !SUL60552625057 Dividend Option. Cash Security Identifier: BASFY CUSIP 055262505 04/13115 5.000.000 101.6110 508,056.00 76.8230 184,115 00 BANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash Security Identifier BK CUSP. 064058100 06/25114 250,000.000 36.3060 9,076,406.00 41.2200 10,305,000 00 USA° Roll CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)LTHERk 14/0 C F I DESITIAL Statement Period: 1210112015 • 12/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 4.226.00 •1.005.259.74 695,231.39 -67,50365 •120.15000 -167,653.65 -1167,653.65 -805.57500 -303.40600 -123,941.00 1.228,594 00 283314 3.19% 515.787.72 12.91% 229,174.40 1.97% $0.00 11,276.50 2.93% 170.000.00 1.64% Page 7 of 20 Account Num ber. Go paperless Rated twaller4 Every Year Lace 2007 DALOAR RATED COMMUNCATIONS XCILLI'Ner =2:..».•=2:1,7= SDNICGM_00045806 DB-SDNY-0008630 EFTA_00156415 EFTA01288778 Portfolio Holdings (continued) Date ired Quill limit Cost Equities (continued) Common Stocks (continued) BIOGEN ID EC INC COM Dividend Option: Cash 02/14112 '.13 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 FACEBOOK INC CL A Dividend Option: Cash 05111112 '.13 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 25,000.000 08105114 24,830.000 Total Covered 49,830.000 Total 49,630.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.13 GENERAL MTRS CO COM Dividend Option: Cash 11118110 ' 12(09/10 ' Total Monavered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02/05114 03107114 Total Covered Total 5,100.000 GLAXOSM1THKUNE PLC SPONS ADR Dividend Option: Cash 06110115 5,000.000 430010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 6 1 WT DIP Dividend Option: Cash 07130/15 ' 2.000.000 10 0000 2,095 000 119 5490 5.000 000 72 9960 Cal Basis Market Pria Market Value Unrealized Gale/ Loss Estimated Estimated Annual Income Yield Scanty Identifier: Bile CUSP: 09062X103 250.454.95 306.3500 Security identifier: DISH CUSP. 2547011109 364.97000 57.1800 Security Identifier: FB CUSP: 3030311102 665,000.00 104.6600 Security Identifier: FM I CUSP: 350465100 27.5070 687863.50 21.0600 232530 577.37302 21.0600 1,2115,036.52 23.000 000 21 5700 10,988 200 86,536.800 97,625.000 36 4010 36 8160 5,000.000 792810 3.100.000 79 6120 8,100.000 396.407.00 246,797.00 643,204.00 $1,206836.52 Security Identifier: GE CUSP: 369604103 498109.06 31.1500 Security Identifier: GM CUSP: 37045V100 34.0100 34.0100 399,978.16 3,185,969.22 3,556,947.38 $3,656,947.38 Security Identifier: GILD CUSP: 375558103 101.1900 101.1900 641.803 25 285.900 00 1,831,550.00 526,500.00 522.919.80 1,049,41980 $1,049,419.80 716,450.00 373,708.69 2,943,116.56 3,316,826.26 $3,316,626.26 505.950.00 313,689.00 419,639.10 391.348.30 -79.078 00 1,166,550 00 .161,163 50 -54,453.22 -215,614.72 -$216,618.72 220 340 92 -26,269.47 .242,85206 -289,122.13 -$269,122.13 109.543 00 66,892 00 176,436.00 $0.00 21.160.00 2.95% 15,823.01 4.23% 124,612.99 4.23% 140,436.00 9140,436.00 8.600.00 1.69% 5,332.00 1.69% 13,932.00 VP N 901 $643,204.00 Security Identifier: GSK CUSP: 37733W105 215,006.00 40.3500 Security Identifier: GPACU CUSP: 37954X204 20.000.00 9.9000 Account Number: Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) F I I:YENTIAL $819,639.00 201,750.00 $176,435.00 -13,256.00 -200.00 $13,932.00 12,128.20 6.01% Page 6 020 KLTHERh criin 19.800 00 Rated tscolkini (very Van Woe, 2007 DAL OAR RA TED COMMUNICATIONS rxciusnaer SDNY_GM_00045807 OB-SDNY-0008631 EFIA_00 I 56416 EFTA01288779 Deutsche Asset & Wealth Management P.O. Oat 1778, Bahimore, Ma 21203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Equities (continued) Common Stotts (continued) GODADDY INC CL A Dividend Option: CS 04/01/15 700.000 HEALTH NET INC COM Dividend Option: Cash 09/05/14 25.000.000 MATCH GROUP INC COM Dividend Option: Cath 11/18/15 200.000 SAMOAN 0 BIOSCIENCES INC COM Dividend Option: Cash 05/28113 ti 3 50,000.000 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option: Cash 01123114 1.000.000 24 0000 SQUARE INC CL A Dividend Option: Cash 11119115 200.000 9 0000 TERRAFORM GLOBAL INC Ct. A Dividend Option: CS 07131115 400.000 15 0000 TWITTER INC CON Dividend Option: Cash 11/07/13 1.500.000 26 0000 VIACOM INC NEW CL 8 Dividend Option: Cash 06/10/15 5.000 000 67 7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option. Cash Otållsre P.... Wolin lAneintat Mantis I then« 4,0‘P Otauli. Setw ~Tr. OS«. HfPHMwJMnrtcr Wm*" MI le». Cost Basis Market Price Market Value Statement Period: 12/01/2015 - 12/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 20 0000 46 9800 12 0000 8.4440 DOWD ROLL Security Identifier Gil DY CUSIP 380237107 14.000 00 82.0600 Security Identifier HNT 422226108 1,174,508.00 68.4600 Security Identifier: M TCH CUSP. 57665R108 2,400.00 13.5500 Security Identifier: SONO CUSH>. 800677166 422,214.00 9.1300 Security Identifier: SC CUSP. 80283M 101 24.000.00 15.8500 Security identifier: SO CUM? 852234103 1.800.00 13.0900 Security 'denfiller:OWL CUSP 88104M101 6,000.00 5.5900 Security Identifier: TYi TR CUSP. 90184L102 39.000.00 23.1400 Security Identifier: VIAB CUSP. 92553P201 338.745.00 41.1600 Security Identifier: VLKAY CUSP 928662303 22.442.00 1,711,500.00 2,710.00 456,500.00 15.850.00 2,618.00 2,236.00 34.710.00 205,800.00 8.442.00 536.994.00 310 00 34,286.00 -8.150.00 818.00 .3,764.00 4,290.00 .132.945.00 272 64 1219% 8.000 00 3.88% Page 9 of 20 Itstas0 tAcello nil [very Yen Since 2007 DALBAR IIATEOCOMMUNKATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: "HERk CO F I DAnTriA rxenLrNer Account Number: Go paperless ek :‘ SDNY_GM_00045808 OB-SDNY-0008632 EFTA_OOI 56417 EFTA01288780 Portfolio Holdings (continued) Date ired Quantity Unit Cost Equities (continued) Common Stocks (continued) VOLKSWAGEN A G ADR (SPONS) (continued) 04113115 5,001000 50.8610 WISDOM TREE IN YTS INC COM Dividend Option: Cash 03131115 15100.000 211110 Total Common Stocks Preferred Stocks (Listed by expiration date) ALLY ANL INC AX TO FLT DIV4.50% FREO-OTRLY CALLABLE O 2510 ON A OTRLY BASS AFTER 05/15/2018 Dividend Option: Cash 02103112'•(3 46.601000 02/09112 %13 80.000.000 Total Noncovered 128,800.000 Total 126,600.000 GM AC CAP TR I MD TR PFD SECS SER 2 CPN• 8.125% FRU) ORTLY MATT-0211512040 CALL ANYTIME 0 25 W130 DAYS BEGINS 02115116 Dividend Option: Cash 02122112 '.13 80,000.000 23.5350 ROYAL BK SCOTLAND GP PLC WON AOR REPSTG SER T PFD CPN.7.25% FRED ORTLY PEW N TY CALLO 25 ANY W130 D NOTICE AFTR 12131112 Dividend Option: Cash 10124112 '.13 40,000.000 23.7900 01107/13 40,000.000 24.4400 01114/13 *.I3 40,000.000 241800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities Cat Basis Market Price Markel Value Unrealized Gelid Loss Estimated Estimated Annual Income Yield 254.306 00 30 9160 Security Identifier: W ETF CIJSIP 97717P104 324,157.50 15.6800 154,580.00 235,200.00 .99,726.00 •88,951.50 4 004 38 259% 4,800.00 2.04% 19 3820 20 1250 131672,239.24 Security Identifier: ALLY PRB CI, SIP 02005N308 903.217.51 1,610,000.00 2,513,217.51 25 7400 257400 139,617,191.11 1,199184.01 2.059.199.99 3,251684.00 11,044,95117 291268.50 449,199.99 745,466.49 11,133,805.68 99,025.00 8.25% 170.000.00 8.25% 289,025.00 32,613,217.51 Security Identifier: ALLY PM CUSP 361860208 1,882,773.60 25.3600 Security Identifier: RBS PRT CUSP. 780097713 951,600.00 977,600.00 995.200.00 2,924,400.00 25.8500 25.8500 25.8500 13,258,884.00 2,028 800 00 1,033,999.99 1.033.999.99 1,034,000.02 3,102,000.00 1745,461.49 146.026 40 82,399.99 56,399.99 38,800.02 117100.00 3289,025.00 162.500.00 8.00% 72,500.00 7.01% 72.500.00 7.01% 72,500.00 7.01% 217,500.00 ? DEO 813CSEE' 120,000.000 12,924,400.00 17,320191.11 $45,892130.35 33,102,000.00 18,389,484.00 148,008,875.11 $171,600.00 11,089,092.89 32,114,044.78 3217,500.00 3849,025.00 31,712,830.68 Page 10 of 20 Account Num ber Go paperless L THERA tt, LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) N Rated [mallard, Every Va. Siva 2'007 DAUM. RAT ED COMMUNICA TIONS EXCEL EIKE ear. AC =mow IS wet 'mot SDNY_GM_00045809 OB-SDNY-0008633 EFIA_00 I 56418 EFTA01288781 Deutsche Asset & Wealth Management PO Boa 1778. Baliimore. MO2t 203 Portfolio Holdings (continued) Date Acquired fleantity Vail Cat Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DU Dividend Option. Cash: Citadel Gains Option: Cash CUSP: 91717W651 60,00000 of these shares are in your margin account 12111113 60.000.000 49.4350 2,988,098.50 50.0800 3,004,800.00 38,70t50 Total Exchange-Traded Products $2,960,018.50 $3,001,800.00 $38,701.50 ()PASO( P.,.,,. won Manirnent Mareits COMM, 6 ,0“) De...4N sem smote' M. Now *4 Mk* HS P.m An*. IM, I leer Mrs** NY 10114 Statement Period: 12/01/2015 - 12131/2015 Unrealized Cod Bails Market Price Market Value Gall Loss Estimated Estimated Annual Income Yield 45,298.20 1.50% $45,290.20 Unrealized kaued Estimated Cost Basis Markel Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $98,932,111.18 $103,284,617.80 12,324,981.62 $319,008.14 $3,596,773.94 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or In retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on a after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on a after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on (cod income securities may be adpsted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be pertomved under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over tine and are obtained from sources we believe to be reliable. 13 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 33 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page 1 f 020 Account hum her Rated tmacolle I rtA )1: PareTless ;.-7...zwzricraiumcATioNs SC L THERA C. OKJFI DAENTIAC-- rxetturtaer CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) -.1:1:73.==="e= ....,.% NamlistinileS.n.wilt SDNY_GM_00045810 OB-SDNY-0006634 EFEk_001 56419 EFTA01288782 Schedule of Realized Gains and Losses Current Period Dispositioft Acquisition Disposition Dale Date Transaction Description Quantity Cod 8asis Proceeds Realized Gain! Lossl Disallowance Long Term 12/03715 06127112' MERE GENERAL ELEC CAP COR PFD SERA 7.125% 06112162 WE 2000,000.000 2,121,753.26 2,175,016.17 53,262.91 Fun In First Out DTD 08112/12 CLB Security Identifier: 369622%6 Original Cost Basis. 2,122,916.67 12/23115 12/13/13' FSP WASHINGTON MUT MTG S 004.RA2 LUG PASSTHRU CTF CL 1.290.000.000 1,494.16 1,952.67 458.51 C. RI VAR RATE 3.187% 07125133 Security Identifier 939336520 Original Cost Bait 1A04.16 Total Long Term 32,123,247.42 32,176,988.84 353,721.42 Total Short Term and Long Term 32,123,217.12 $2,176,966.84 $53,721.42 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended CIRC") (incorporating amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered anoncovered," under the new cost basis repotting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered" under the new cost basis reporting rules. Securities which are "covered under the new cost basis reporting rules are defied as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099E for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a melioration acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Options and any Debt Instruments that provide a simple Axed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we beleve to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of caudal adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099E or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requited to be made by Pershing as it relates to M.R. 1424. You should consuk with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fizzed income security, and certain attributes. obtained from sources bebeved to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consul your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing taxict disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your account's selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the tine of the security disposal, and this may be reported on the IRS Form 1099-8. Page 12 of 20 Account Number * Rated Excellent, ,ttooe v, ›It Go paperless Lvery Yaw Sate Z007 ... astrirs.... .""TIL, ...."Ano...t i ...- " at7 SC L TH ERN cheii ñ F I D. A _ CALMAR RATED COMMUNCATIONS •••••••0 4 ••••••• nine. n. MC FXCIRLINCI SDNY_GM_00045811 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008635 EFTA_00156420 EFTA01288783 tvialLicerle r. M essages Mn, WMYV MIMIC.'WM Mweet$ CIntarG.“, 0...tuhr Secv.n. M. Vey IS A M N,Pant Aire. Mb Jicct Wave tn. 101•A Statement Period: 12/01/2015 - 12131/2015 Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the falloeing information for Pershmg's 2015 RS Forms 1099 fa DIV. INT OID and MISC 1: Your form 1099 will be delivered as early as possible. beginning January 31, 2016. By February 16. you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice vrill be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form Your 1099 will be mailed no later than March 17, 2016. Activity Sum m ary (AO amounts shown are m base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits year-to-Date Net Year-to-Date Securities Securities Bought 000 000 000 0.00 -9,518.227.50 -9.518.227S0 Securities Sold 0.00 000 000 170,757.03 0.00 170,757.03 Securities Withdrawn 0.00 000 000 0.00 -3.383,998.80 -3.383.99880 Total Securities $0.00 $0.00 $0.00 5170,757.03 -512,902,220.30 -$12,731,469.27 Dividends and Interest 5425,279.27 -53,292.00 $421,967.27 $3,167,869.88 -$3,292.00 $3,161,677.88 Distributions $133,131.60 $0.00 $133,431.60 16,966,112.11 $0.00 $6,966,412.15 Fees $0.00 -51.00 -54.00 $0.00 -5305.00 .1305.00 TaxesWithheld $0.00 $0.00 $0.00 $0.00 -56,561.18 -16.561.18 Other 52,175,016.17 -52,175,016.17 $0.00 $2,243,708.90 -12,213,708.90 $0.00 Cash Withdrawals 0.00 -596.777.26 -596.777.26 0.00 -20.961.316.55 -20,964.316.55 Deposits 18,111.09 0.00 48.111.09 2,717,822 67 0.00 2,717,822 67 Total Cash $48,114.09 -5596,777.26 -5546,663.17 52,717,822.67 -120,961,316.55 -518,216,49316 Money Market Funds $0.00 $0.00 $0.00 52,14952.63 .54,780,931.93 -12,331,979.30 Totals 12,781,011.13 -$2,775,089.43 $6,751.70 $17,715,523.26 -$10,901,341.66 -$23,165,818.60 Account Number Go paperless C1 LLC. FIDE1SMAL ON CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN Page 13 of 20 Rated tacelleni Lvery Woo, 2'007 DAUM', BAT ED COMMUNICATIONS rxesurtraer 'wZIarest.».. '""s («op..: «p.n.« wrio SDNY_GM_00045812 DB-SDNY-0008636 EFFA_00156421 EFTA01288784 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Adivit T pe Dewi an Quad Price Accrued Interest Automat Curren Securities Bought and Sold 12103/15 MERGER SECURITY EXCHANGED GENERAL ELEC CO NT 1000% 12/31199 B/E DID 12/03/15 2.069.000 000 010 LSD 3696040M4 12/03/15 MERGER SECURITY EXCHANGED GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% .2,000,000.000 0.00 LSD 3696225/16 06112/62 WE DTO 06/12/12 CLB Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 0.00 Dividends and Interest 12/04115 80AD INTEREST RECEIVED GENERAL ELEC CAP COPP NON CUM PFD SER A 7.125% 66.500.00 LSO 3696225/%6 06112/62 WE RD 12/02 PD 12/03/15 2000000 WS 12115115 FOREIGN BOND INTEREST 1200000 LBG CAPITAL NO 1 PLC 141A ISINCXS0473106283 18,000.00 LSD G5133BBG8 8.000% 09115188 REG OTD 12115/09 CA.B RD 12/11 PD 12/15115 12/15/15 BOND INTEREST RECEIVED 2469000 GENERAL ELEC CO GTD FXD•TO•FLTG RT 3.292.00 LSO 3696048M4 NON-CUMULATIVE PERPETUAL PREFERRED 4000% 12/03/65 BIE DTD 12103/15 CLB RO 12/14 FO 12/15/15 12/15/15 CAW DIVIDEND RECEIVED 400 SI- RS TERRAFOIN GLOBAL INC CL A RD 12/01 PO 68.16 LSD GLBL 12115/15 12/16115 FOREIGN BOND INTEREST 1500000 LLOYDSTSB BK PLC EL RO ISSUE MEDIUM TERM 118.125 00 LSD G4S1SPP48 NOTES ISINUXS0717735822 9.875% 12/16121 REG DTO 12116/11 CLB RD 12/15 ED 12/16/15 12/22/15 12/15/15 BOND INTEREST ADJUSTMENT 2469000 GENERAL ELEC CO GTD FXD•TO•FLTG RT .3.292.00 LSO 369604BM4 NONCUMULATIVE PERPETUAL PREFERRED RD 12114 PD 12115/15 TO CORRECT PAYMENT FROM SOL RCE CODE INZ TO DYE 12122115 CAW DIVIDEND RECEIVED GENERAL MC CO GTD FXO-TO-FLTG RT NONCUMULATIVE 3.291.92 LSO 3696048M4 4.000% 12/03/65 B/E RO 12/14 PD 12/15115 DIV PAID AT 1.3333 2469000 12/28/15 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35.681.25 LSO 539439AG4 ADDL TIER 1 SECS 'SINN US539439AG42 7.500% 09/27/88 WE DTO 04107/11 CLB RO 12/11 PD 12/27/15 12128115 BOND INTEREST RECEIVED 1290000 WASHINGTON M L T Nit SECS CORP 2000•17A2 1.843.59 LSO 939336520 MTG PASSTI-RU CTF CI. C.B.1 VAR RATE 3.187% 07125/33 WE DTO 06101/04 RD 11130 PD 12125/15 12128115 CASH DIVIDEND RECEIVED 60000 SI-RS WISDOM TREE TR aPAN HEDGED EQUITY ED RD 23,710.80 LSD OXJ 12/23 FD 12/28/15 12/29/15 CAW DIVIDEND RECEIVED 97525 SHRS GENERAL MTRS CO COM RD 12/18 PD 12/29115 35,109.00 LSD GM 12/30/15 CASH. DIVIDEND RECEIVED 8100 SI-RS GILEAD SCIENCES INC RO 12/16 PO 12/30/15 3,183.00 LSO GILD låge 14 of 20 Account Nora her. Go paperless SOL THERA Nell KFIDETTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Itated taalikerdi iInfy r«. Siva 2'007 DALBAR RATED COMMUNICATO6 rxciurNer SDNY GM00045813 DB-S6NY:0008637 EFTA_00 156422 EFTA01288785 Deutsche Asset & Wealth Management P.O. Box 1778, Behimore, WO21203 Transactions by Type of Activity (continued) Process' Trader Settlement Transaction Date Date Activity T Demriptioe DraIsev Si,,, Po.or Wealth .117770-nn7 Mv705 Coma,. 4.0.p sewnet lire bet 00c• Na Part PLOPOW. lth I bcr Wait Statement Period: 1210112115 • 12/3112015 Price Acaued Interest Amotat Correa Dividends and Interest (continued) 12131115 MONEY MARKET FUND INCOME RECEIVED 233993682 12/31115 FOREIGN SECURITY DIVIDEND RECEIVED RBS KT DEUTSCHE GOVT CASH 120000 SHRS ROYAL BK SCOTLAND GP PLC SPON ADR RESTS SER T PFD CPN-7.25% FRED DRILY PEW MTV CALL@ 25 ANY W130 D NOTICE AFTR 12131/12 RD 12116 PO 12131115 1.769.55 54.375 00 USO LSO Total Dividends and interest - UNITED STATES DOLLAR 0.00 421,987.27 Distributions 12129/15 LONG TERM CAPITAL GAIN 60000 *IRS WISDOMTREE TR .APAA HEDGED EQUITY FO RD 87231.40 LSO DISTRIBUTION 12123 PO 12128115 DXI 12129115 SHORT TERM CAPITAL GAIN 60000 SH RS WISDOM TREE TRJAPAN HEDGED EQUITY FO RD 45,700 20 USO DISTRIBUTION 12123 PD 12128/15 DXI Total Distributions- UNITED STATES DOLLAR 0.00 133,431.80 Fees 12101115 FOREIGN CUSTODY FE Fun Safekeeping NOV 2015 CUSIP. G1S15P-P4-$ -2.00 USD GIS15PP48 12101115 FOREIGN CUSTODY FE Fgn Safekeeping NOV 2015 CUSIP G5133B-BG-8 -2.00 USD 65133BEIG8 Total Fees • UNITED STATES DOLLAR D.00 .4.00 Other Transactions 12/30115 12103/15 CORPORATE ACTIONS FAIR GENERAL ELEC CO GTD FXD-TO-FLTG RT NON-CUMULATIVE -2.175.016.17 USD MARKET VALUE NEW SECURITY PERPETUAL PREFERRED 4.000% 12/03165 B/E OTD 12/03115 3596048M4 CLB 2169000.00000 12130115 12/03115 CORPORATE ACTIONS FAIR GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 2,175,016.17 USD MARKET VALUE OLD SECURITY 06112162 BIE DTD 06/12/12 CLB 369622%6 Total Other Transactions • UNITED STATES DOLLAR 1.00 0.00 W(.7.8 Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67er ERN C IO F I Drum L Page 15 of 20 Rated taalibra Every V«.57007 2007 DAL BAR RATED COMMUN'CATIONS rxenurmer SDNY_GM_00045814 OB-SDNY-0008638 EFT:4_00156423 EFTA01288786 Transactions by Type of Activity (continued) Process/ Tradel Settlement Transaction Date Date Activity Type Desairdioe Quantity Price Accrued lutenist Amourit currency Cash Withdrawals and Deposits 1210/115 FEDERAL FUNDS SENT THE BANK OF NEW YORK -596.77726 USD USD999997 12110115 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 12219 21.996.00 USD USD999997 12131115 FEDERAL FUNDS RECEIVED HS8C BANK USA, NATIO 51467 23.118.09 USD USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -540,863.17 Total Value of Transactions 0.00 5,761.70 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Moult of Payment Dividends GENERAL ELECTRIC CO COM 12121115 01125116 23.000.000 0 230000 Cash 5.29000 VIACOM INC NEW CL B 12115115 0110//16 5.000.000 0.100000 Cate 2.00000 Total Cash Not Yet Received 17,290.00 Bond Maturity Schedule Bond Maturity Market Value %of Bond Markel Value 1 to 5 years 3.766,555.00 15% I I 6 to 10 yea's 1.922.670 00 8% Over 10 )ears 19.749.713.86 77% Cl Total 25,438,998.86 100% Account Number OLIAtl ROLL Go paperless SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F ID-EN-NAL V% LLC. Percentages of bond market values are rounded to the nearest whole percentage. Page 16 of 20 Rated Cacelloria Every Vow' LSO. 2007 DAL BAR RATED COMMUNICATOG rxerustraer SDNY_GM_00045815 DB-SDNY-0008639 EFTA_00 156424 EFTA01288787 Deutsche Asset & Wealth Management P.O. Bat 1778, Skidmore. M021203 Bond Quality DnalireRant Prmile Wealth myminmt meats terrace emir ontom sem semenMC Now Teri Onto MSeLrL kam Ha I to Pond Quality Market Value of Bond Markel Value A 2A69,000 00 10% BAA 8,395,250 00 33% - BA/loner 14.574,748 86 57% M Total 26,438,998.86 100% Client Service Information Statement Period: 12/01/2015 • 12/31/2015 Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAN DANIEL SA88A 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and Win off paper communications, login to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless othervnse noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'NW and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. IMAM Mel I Account Num ber. Go paperless L TH ERIN I CONF D-A annoni,. ENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page IT of 20 natal tmelloni (very Vow. Sc.a 2O07 DAUM. RATED COMMUNICATIONS rxerturNet 0..:Z.r= SDNY_GM_00045816 OB-SDNY-0008640 EFTA_00156425 EFTA01288788 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield tEAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to YAWI.pershing.congbusiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available won written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Marge, Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Ponies shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing canes your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and roles which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities Page 18 of 20 Account hum her Rata. twallerill (so Lvery Yew Since 2.007 [MAO ROI". paperless MLB•R RATEDCOMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e)s THERh t t.\O F I DAENTriAk rxenurtraer SDNY_GM_00045817 OB-SDNY-0006641 EFTA_00156426 EFTA01288789 Deutsche Asset & Wealth Management P.O. Om 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) Dryly R•n, PAanair,tat M.I4ets De.cie la Bar 14(w•ri M. Yin brit Mc* lilts?' Ann... "Mk rIcce line Sr\ nY 101:4 Statement Period: 12/01/2015 - 12131/2015 The Role of Pershing (contrnue orders; the assessment of the suitability of those transactions, where appicable; the tendering of investment advice. if any, to you and in eneral. for the ongoing relationship that it has with you. • Inquries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at Al other inquines regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account This notice is not meant as a definitive enumeration of every possige circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would hke additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC friars. For more detailed information please visit vnwrpershing.coraraboubstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy a discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • Al parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a part's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generaly more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, n an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were a are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for barging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Account Num berms Go paperless L THERA CNO N LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIIVI P. 6(e) Page19 of 20 tacellera Every Year Lace 2'007 DAL BAR RATED COMMUNICATIONS exam Limes 2:4:=70=7.==="'"=" SDNY_GM_00045818 OB-SDNY-00O8642 EFrA_00156427 EFTA01288790 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, DE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERMOIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COMES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS ro ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX, INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SMALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHNO TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF, WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COMIDISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NM- RULE 607(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION ORDERS TO ITS AFFILIATE13NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST SCECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE, COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET N THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HRH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH.NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF DE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-ENG IMMEDIATELY IN WRITING8Y CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07329, ATTN' LEGAL DEPT Page 20 e120 Go paperless ** 2°°7 Account Num ber SC La d Y•.• L TH ERN r, LLC. DAR RATED COMMUNKATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) oNFID-rwriALL'' rxesturtraer SDNY_GM_00045819 OB-SDNY-0008643 EFIA_00156428 EFTA01288791 Deutsche Asset & Wealth Management P.O. Boa 1778, Balamoro, MD 21203 DNS, ' Um PrmalP *man P......enan rivets <Dom. G.ouo IXMUM ML Sew Oa W. Mat *4 011ie HS Pia Asa. nth I bet Portfolio at a Glance Account Number: Statement Period: 1110112015 - 1113012015 This Period Year-to-Data SOUTHERN FINANCIAL LLC Beginning Account Value 1106,062,716.64 1126,711,213.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .17,667.830.71 ST THOMAS VI 00802 Net Securities InlOut of Account 0 00 4.867190.80 Adjusted Previous Account Value 106,052,716.54 103,178,671.61 Dividends, Interest and Other Income 422,971 55 3.258.378 33 Total Taxes Withheld 0 00 -6.561.18 Net Other Activity -1.00 -301.00 Your Client Advisor: Net Chan e in Portfolio -229.556.33 -181.059.90 DANIEL SABI3A nding Account Value 1 0 6 246 1 2 7 76 $106 246 127 76 Accrued Interest $471,817 28 Estimated Annual Income 53.638.68259 Asset Allocation Prior Year-Cad Lag Period This Period % Allocation LSO Cash. Money Funds and Bank Deposits 11,273,981.33 26,408,624.58 26,827,392.13 25.25% LSO Axed Income 18,177,455.58 20,407,884.87 20,266,106.17 19.07% Non.L SD Axed Income 7.150,052 50 5,326,122.50 5,335,22810 5.02% LSD Equities 5026,544.61 50.675.968.59 50,481,923.16 47.52% Non•OSD Equities 2.986.256.00 3.233.816.00 3.335.180.00 3.14% Account Total (Pie Chart) 1126,714,213.02 3106,052,716.54 1106,246,127.76 100.00% See the Asset A, bcabon Disclosure end Footnotes section for important intonation reganling your Asset flotation. } ttiltt ttt)t t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) BO 09 6 989CSP 3 0 I> Go paperless CON FIDMTIAL Please review your allocation pen:Kiraly wth you Clent Adyscr. Pate 1018 Rated [mall* Si L very vs. since 2007 DAL BAR RAT ED COMMUNICATIONS rxesurNer SDNY_GM_00045820 DB-SDNY-0008644 EFTA_00 156429 EFTA01288792 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 1113012015. Exchange rates can vary. Equities contains Equity Mtrtual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 100,107.03 -914.334 24 Long•Term Gain/Loss 455.73 .165.396.33 6.267.271.31 Net GaIn/Loss 455.73 -65,289.30 5,352,937.07 This summary excludes transactions where cost basis information is rot available. Money Market Fund Detail Date Activity Type Description Mont Bahia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Number: 0000001490 Cement Yield: 004% Activity Ending 11130115 10131/15 Opening Balance 25,605,043.43 25,805,043.43 11/02115 Deposit MONEY FUND PURCHASE 803,581.15 26,408,624.58 11/03/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.408.620.58 11/05/15 Withdrawal MONEY FUND REDEMPTION -89,331.36 26,31928922 11/08115 Deposit MONEY FUND PURCHASE 89,331.36 26,408,610.58 11113115 Deposit MONEY FUND PURCHASE 57,293.60 26,465,914.18 11/16115 Deposit MONEY FUND PURCHASE 42,500.00 26,508,414.18 11/17115 Deposit MONEY FUND FURCHASE 222,235.04 16,730,649.22 11/24115 Withdrawal MONEY FUND REDEMPTION -4,200.00 26,726,44922 11/27115 Deposit MONEY FUND PURCHASE 7,985.38 26,734,414.60 11/30115 Deposit INCOMEREINVEST 872.68 26,735,287.18 11130115 Closing Balance 326 735 87.18 Total All Money Market Funds 126,735,257.8 Income and Expense Summary Current Period Year-taate Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 171.999 85 0.00 1,041,783.30 0.00 Money Market 872 58 0.00 13,308.01 000 Other Dividends 81,150.00 0.00 744,057.40 0.00 Page240 18 Account Number: e k ) naiad Excellent 11,1,4..011 Go paperless Even. Visor Since 2007 DALBAR rxatL,RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERk F I DENTIA SDNY_GM_000451321 DB-SDNY-0008645 EFTA_00156430 EFTA01288793 Deutsche Asset & Wealth Management PO &a 1778. Ballimore. MO21203 Income and Expense Summary (continued) DraS C ••[ Bm, Prmair Wean Pm.genan mints tonna Gio‘p Deelsch• ML stare" M. Now Mbin SO Pia Oa* loth l lea Ms** NY 101M Interest Income Bond Interest Other Interest Expenses Withholding Taxes Fee Foiii n SearNiesl Total Dividends, Interest, Income and Expenses Distributions Alternabve Investments Other DiNributions Total Distributions Portfolio Holdings Opening Date Cash, M oney Funds, and Bank Deposits 25.00% of Portfolio Cash Balance Current Period Statement Period: 1110112015 • Year4o-Date 11130/2015 Taxable Noe Taxable Taxable Non Taxable 36,119.13 40,625.04 0.00 0.00 780,941.74 162,500.16 0.00 0.00 0.00 0.00 -6.561.18 0.00 010 0.00 -22500 0.00 1330166.60 10.00 $2,735,804.43 $0.00 0.00 92,104.95 0.00 515.787 72 0.00 0.00 0.00 89.616 40 10.00 $92,104.9$ $0.00 $605,404.12 Account ACIO114 Opening Closter; Awned hoar 30-Day Current Quantity Number Ending Balance Balance Inane This Year Yield Yield Money Market DEUTSCHE GOVT CASH INSTL 10131115 26.735.287 180 0000001490 Total Money Market Total Cash, Money Funds, and Bank Deposits 11130/15 803.591.15 25.605.043.43 92,104.95 26335.287.18 0.00 13.308.01 0.04% 0.04% 626,605,043.43 $262361202.16 10.00 113,308.01 626,406,62446 126,627,312.13 $0.00 $13,308.01 B*096 9 e 9CSF 30, 1 Account Num ber Ott,,,, +01 Go paperless SOUR ERA CSNO LLC.F I DranAL N CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 of 18 Rated tarolle nil t very V.*. Late 2007 DAL BAR MUD COMMUNICATIONS rxesartaer -I- —.0- arc. SDNY_GM_00045822 DB-SDNY-0008646 EFTA_001 56431 EFTA01288794 Portfolio Holdings (continued) Date Ned Quad Ualt Cod Adjusted Cod Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Fixed Income 24.00% of Portfolio (In Mown?), Dale Sequence) 'Asset Backed Securities WASHINGTON NUT NTG SECS CORP 2004-RA2 NIG PASSTHRU CTFCL C-B-1 VAR RATE 5.199% 07/25/33 WE DM 06/0110/ S 8 P Rating D Factor. 0.53798310 Effective Date:11/02/15 Current Fact Value: 693.998 199 12113/13'•3.12 1,290,000.000 76_5190 531,037.77 84.7000 Original Cost Basic $638.906.71 587,81647 Total Asset Backed Securities $631,037.77 3587,818.47 1290,000.000 Total Current Face Value : 693,998.199 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15119 WE DID 05117/11 CALLABLE 12/02/15 38 P Rating CCC. Scantly 'deadlier: 270321AC6 10/22/12 'Ain 146,000 000 102 6620 149,886.88 102.5000 149,650.00 Original Cod Wit $151,110.00 10/23/12 '.3.12 600.000 000 102 5760 615,457.52 102.5000 615.000.00 Original Cod Basis: 9119,500.00 Total Nom:owed 718,000.000 766,344.40 764,850.00 Total 746,000.000 $706,344.10 3764,650.00 FRONTIER CON N UNICATIONS CORP SR NT 6.500% 04/15720 WE DTD 04112110 1ST CPN DTE 10115110 Moody Rating 843 S P Rating Elf3 Security Identifier: 36906AAH1 07/06115 3,000,000.000 105.3010 3,159,022.74 100.1250 3,003,750.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISM XS0717735622 9.875% 12118121 REG DM 12/16111 Moody Rating Bat SI P Rating 808 Original Cod Basis: 53,171,006.00 Security Identifier: GISI5PP48 12104/13 'AM 1,500,000.000 106 9040 1.603.555.00 107.8120 1,617,180.00 BARCLAYS BK PLC CONTINGENT CAP NT ISN U936739R403 7.750% 0/110123 B/E DID 04110113 CALLABLE 04/10118 38 P Rating 88' Original Cost Basic 91,627,500.00 Security Identifier: 06739FHK0 04103/13 '.12.13 300,000.000 100.0000 300,000.00 108.4060 325218.00 Security Identifier: 930338520 BE092989CSF :: Original Cod Basis: 5300.000.00 UM/ER ROIT Account Num Der. Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) F I DAENTIAL SOL THERA rt5 56,778.70 2.905 74 $56,271.70 $2,906.71 $0 .0 0 436.88 539.90 12.957 50 8.65% -457.52 2,218.75 53.250 00 8.65% .614.40 2,758.65 66,207.50 -$891.10 $2,758.66 $66,207.60 ,155,272.71 31,875.00 255,000.00 8.48% 13,825.00 111,511.87 148,125.00 9.15% 25,218 00 3,229.17 23,250.00 7.14% Page 4 of 18 Rated Emellent Day `Mar TANN 2007 DAL BAR RA TED COMMUNICATIONS rxciturwer t= ta "-'"e4tr SDNY_GM_00045823 OB-SDNY-0008647 EFrA_00 56432 EFTA01288795 Deutsche Asset & Wealth Management P.O Boa 1776, Balamore. MD 21203 Portfolio Holdings (continued) Dale Acquired thiantig Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1110TH PFD SER 1 FD TO FLTG RT BO 1.900% 01129149 BlE DTD 01123108 Moody Rating BM3 S P Rating BBB- 06115111 '.3.t2 2,500,000.000 107.5000 06/15/11 '.3.12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AN ER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130/58 WE DTD 0/130108 CALLABLE 05115118 Moody Rating BA2 58 P Rating BB4 01/10111 '.3.12 2,000,000.000 102.7500 Adjusted Cost Basis (*.hoe PAIMIP, Int MWCS Co.vt•gt De.tic pl. *A Office 'Pant Anne.. nalk /ICC. %Ye Sr\ IOVA Market Price Meld Value Statement Period: 11/01/2015 • 11/30/2015 Unrealized Gain! Low Paned Estimated Estimated Interest Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01/17/62 INE DTD 01/17/12 CALLABLE 02/01122 4) 100.000 Moody Rating BM1 S 6 P Rating BB8- 01130112 ..3.12 3.000,000 000 99 8290 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06112162 WE DT0 06112/12 CALLABLE 06/15/22 Moody Rating BAA1 Si& P Rating A+ 06127112'•12.13 2,000,000.000 104.1550 E. :09e9t9,1"F ,' Security Identifier: 16625HHA1 2,687,500.00 103.0000 Original Cost Basis: 52,687,500.00 2,675,000.00 103.0000 Odgnal Cost Basis 52,675,000.00 2,515,000.00 2,515,000.00 .112.500.00 -100,000.00 16,158.31 16,458.33 197.500.00 197.500.00 7.66% 7.66% 6,362600.00 5,150,000.00 -212,500.00 32,916.67 395,000.00 55,362,500.00 35,150,000.00 -$212,50060 532,916.67 3395,000.00 Security Identifier: 060505D 78 2,055,000 00 103.8750 2,077,500.00 22,500 00 6.770 83 162 500.00 7.82% Original Cost Basis: 52.055,000.00 Security Identifier: 112100FU2 2,991,879.33 1 it 0000 3,330,000.00 335,120.67 61,979.17 187,500.00 5.63% Original Cost Bares: 52,992,564.97 Security Identifier: 369622916 2,089,096.17 It8.8750 2,377,500.00 288,403 53 65,312 50 142,500.00 5.99% 08A1 ROI Original Cost Bans: 52.122.916.67 Account Num ber Go paperless s✓JLTHERA CNO N LLC. F I D-ENTIAL CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) Page 5 of 18 kat.. Lowlier.' (very Va. Since 2'007 DALBAR RATED COMMUNCATOOKS rxenurner SDNY_GM_00045824 OB-SDNY-0008648 EFIA_00156433 EFTA01288796 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cog Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECP7 5.950% 08/15/88 BJE DTD 08112115 CALLABLE 08/15120 Q 100 000 Moody Rating BA2 S8 P Rating BB* Security Identifier: 17296725 08106115 3.000.000.000 100 0000 3.000.006.00 99.1630 2.974.890 00 45.116 00 53,550 00 178.500.00 6.00% Original Cog Basis' $3.000.006.00 LBG CAPITAL NO 1 PLC 144A Security Identifier: G5433BBG8 ISIA$XS0473106283 8.000% 09/15/88 REG DTD 12115/09 CALLABLE 06/15120 S 8 P Rating BB. 12104113 %Elf 1.200.00,0.000 108 2500 1,299,000.00 112.1000 1.345.200.00 46.200 00 44.000 00 96.000.00 7.13% Original Cog Basis: 51,299,000.00 5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADDL TIER 1 SECS ISIA liS539439AG42 7.500% 09127188 81E DID 04107114 Sd P Rating BB. Please Provide' 1.903.000.000 NIA Pease Provide 107.6000 2.047.628 00 NIA 24.976 88 142.725.00 6.97% Original Cog Basis. Pease Provide Total Corporate Bonds $22,626,403.94 325,013,516.00 6337,484.06 1468,910.54 31,797,307.50 23,649,000.000 Total Fixed Income 923,159,441.71 125,601,332.47 1394,262.76 5471,617.26 51,797,307.50 24,939,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cog Cod Basis Market Price Market Value Gain/ Loss Menai Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORO SHS ISIML0010831061 Dividend Option: Cash 08/01/14 AKORN INC COM Dividend Option. Cash 06110115 Adjusted Cog Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield 800.000 25.0000 5.000 000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS ISIN 6 LS0160941/1027 Dividend ()pion Cash 06110115 5.000 000 88 9500 ALUANZ SE SPONSADR REPSTG 1(10 SHS Dividend Option: Cash IntAit u011 Security Identifier M BLY CUSP. N51488117 20.000.00 43.6000 Security Identifier: AKRX CUSP. 009728106 234.206.00 33 3000 Security Identifier: BABA CLSIP 01609W102 444.749.00 84.0800 Security Identifier: AMY CUSP: 018805101 Account Num tier Rated tocelleni SOUTHERN CP1 Go PaPerless OMANI RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 34,880.00 166.500 00 420,400.00 14,880 00 -67.706.00 -24,349.00 Paged of 18 Lvery Voar Since 2007 SDNY_GAt_00045825 DB-SDNY-0008649 EFTA_001564134 EFTA01288797 Deutsche Asset & Wealth Management PO Boa 1778, Babimore, MO 21203 Portfolio Holdings (continued) Date Acquired Gamily Wit Cod Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS AOR REPSTG 1110 SIM (continued) 04713/15 5,000.000 18.0110 APOLLO GLOBAL MGM T LLC CL A VS Dividend Option: Care 03129/11 '.13 263.157.000 19.0000 APPLE INC COM Dividend Option: Cash 09105114 110.180.000 98 9500 ARIA ft PHARMACEUTICALS INC Dividend Option: Cash 02114112'•17 7.535.000 15 2090 01124113 '.13 9.000.000 19.6000 Total Nonovered 18,535.000 Total 18.535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cat 01/16101 '.3 70.500.000 21 2770 AVALANCHE BIOTECHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares ate in your margin account 04120115 10.000.000 39.8610 BASF SE SPONS AOR IA0650552625057 Dividend Option: Cash 04/13115 5,000.000 101.6110 SANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash 06125114 250,000.000 36.3060 Draw, Sam Pon. Wealth Marnent Iftrat$ COMM, 6 ,0‘ p Devlativ SOS 5~0" at. New *A Olio M PPli /MO. nth I bet Wm Viet NY INM Cost Basis Market Pria Market Value Statement Period: 11/01/2015 - 11/30/2015 Unrealized Wind Loss Estimated Estimated Annual Income Yield 90,056.00 17.7060 Security Identifier: APO CUSP 037612306 4.999.983 00 16.3300 Security Identifier: AAPL CUSP 037833100 10,902,315.41 118 3000 Security Identifier: ARIA CUSIP:04033A100 111.597 10 64100 176.400.00 6.4100 290,997.40 3290,997.40 Security Identifier: ASNA OAP 043510101 1.500.000 00 11 3300 Security Identifier: AAVL CUSIP: 053376107 88.530.00 4.297.353.81 13,014,294 00 48.299 35 57.690.00 105.989.35 .1.526.00 402.629.19 2,131.978 59 -66,29805 .118,710 00 -185,008.05 2.833.81 3.20% 515.787.72 12.00% 229.174.40 1.75% ()PAN ROI SOUTH ERA e4 ONFIDAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 398.606.00 10.4800 Security Identifier: BASET CUSIP 055262505 5043,056.00 82.7380 Security Identifier: BK CUSIP. 064058100 9,076,406.00 43.8400 9105,989.35 798,765.00 104.800 00 413,690.00 10,960,000 00 Account Num ber. Go paperless -$185,008.05 -701.23500 -293.80600 -94.366 00 1.883,594 00 90.00 11.276.50 2.72% 170.000.00 1.55% Page 7 of 16 Rabid tacelle nil Lyn', V... Slate 2'007 DAL BAR RATED COMMUNICA TOG rxeit unser or a rlame =a7rarna ta • IS OriatSin .. •••••• SDNY_GM_00045826 OB-SDNY-0008650 EFrA_00 156435 EFTA01288798 Portfolio Holdings (continued) Dale ••aired Quiet Wit Cost Equities (continued) Common Stocks (continued) BIOGEN 10K INC COM Dividend Option: Cash 02/14112 *.I3 2,095.000 119 5490 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 5.000.000 72 9960 FACEBOOK INC CL A Dividend Option: Cash 05117112'•'3 17,500.000 38.0000 FOUNDATION NEDICINEINCCOM Dividend Option: Cash 01113114 25,000.000 08105114 24,830.000 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113 '.13 GENERAL M TFtS CO COM Dividend Option: Cash 11118/10 ' 12109/10 ' Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105114 03107/14 Total Covered Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 06110115 5.000.000 430010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 8 1 WT EXP Dividend Option: Cash 07130/15 ' 2.000.000 10.0000 Cod Basis Market Price Market Value Unrealized Gaid Loa Estimated Estimated Annual Income Yield Security Wenner: BUB CUSP: 09062X103 250.454 95 286.8600 Semitic)! Identifier: DISH CUSP. 25470M 109 364,978.00 62.7100 Security Identifier: Fll CUSP: 3030311102 665,000.00 1042400 Security Identifier: MI CUSP. 350465100 2730/0 687,683.50 17.0100 232530 577,373.02 17.0100 1,265,038.62 23.000 000 21 5700 10888 200 86,536.800 91026.000 36 4010 36 8160 5,000.000 792010 3.100.000 79 6120 8,100.000 396,407.00 246,797.00 843,204.00 31,206,038.52 Security Identifier: GE CUSP: 369604103 496,109.08 29.9400 Security Identifier: GM CUSP: 370450100 399,978.16 36.2000 3,185,969.22 36.2000 3,585,947.38 33,506,947.38 Security Identifier: GILD CUSP: 375558103 105.9600 105.9600 600.971 70 313.550 00 1,824,200.00 125,25040 122.358.30 847,608.30 2847,608.30 688,620 00 397,772.85 3,132,632.15 3,630,405.00 33,530,405.00 529.000.00 328,476.00 868,276.00 350.516 75 -51.428 00 1,159,200.00 ,262,413.50 -155.014.72 -417,428.22 -3417,428.22 19251092 -2,205.31 .53,337.07 -60642.38 -$55,642.38 133,393 00 81,679 00 216,072.00 30.00 21,180.00 3.07% 15,823.01 3.97% 124,812.99 3.91% 140,436.00 3140,436.00 8.600.00 1.62% 5,332.00 1.62% 13,932.00 98..0 vL I $643,204.00 Severity Identifier: GSK CUSP: 37733W105 215,006.00 40.5100 Severity Identifier: OPACU CUSP: 31954)Q04 20.000.00 10.0000 Account Number: Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) F I DEN t" 3858,276.00 202550 00 SOUTHERN cr5. 20.000.00 3216,072.00 .12,156.00 0.00 313,932.00 12,128.20 5.98% Page 8 of 18 14900 [malls rid 10.9y year Sara 2907 DAL OAR RATED COMMUNICATIONS Ixarumer .7 Cro.....377.= ra t= SDNY_GM_00045827 OB-SDNY-0006651 EFIA_00156436 EFTA01288799 Deutsche Asset & Wealth Management PO Boa 1778, Babimore, MO 21203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) GODADDY INC CL A Dividend Option: Cat 04101115 700.000 HEALTH NET INC COM Dividend Option: Cash 09/08114 25.000.000 MATCH GROUP INC COM Dividend Oplion: Caffi 11118115 200.000 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05128113'•'3 50.000.000 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option: Cash 01113/14 1.000.000 SQUARE INC CL A Dividend Option. Cash 11119115 200.000 TERRAFORN GLOBAL INC CL A Dividend °pliant Cant 07131/15 400.000 TWITTER INC COM Dividend Option: Cash 11101/13 1.500.000 VIACOM INC NEW CL 8 Dividend Option: Cash 06710/15 5.000.000 VOLKSWAGEN A G ADR (SPON Dividend Option: Cash Dralu.v Ram Pon. Wealth Manrent Mv705C0•07,74.pyp M.1477 law wcwIts.mc. Mee brk ONO IONA AMMO_ IM i %if Woe We\ 1,0 101•A Cost Basis Market Price Market Value Statement Period: 11/01/2015 - 11/30/2015 Unrealized Gain! Lon Estimated Estimated Annual Income Yield VItAll 20 0000 46 9800 12 0000 8 4440 24 0000 9 0000 15 0000 26 0000 67 7490 Security Identifier: GOD? CU SIP. 380137107 14.000.00 31.0700 Staidly Identifier: HNT CUSP: 422226108 1.174.506.00 63.2600 Security Identifier: M TCH COP 57665R106 2,400.00 14.4800 Security Identifier: SGM 0 CUSIP: 800677106 422.214.00 8.2800 Security Identifier: SC CUSP. 8028311101 24.000.00 17.6400 Security Identifier: SO CUSIP. 852234103 1,800.00 12.0400 Security Identifier: GLBL CUSP 88104M101 6.000.00 4.0300 Security Identifier: TW TR CUSP:. 901841102 39.000 00 25.4000 Security Identifier: WAS CUSIP 91553P201 338.745 00 49.7900 Security Identifier: VLKAY CUSIP. 928662303 21.749.00 1.581.500.00 2,896.00 114,000.00 17.640.00 2,108.00 1,612.00 38.100.00 248.950.00 Account Number. Go paper CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6:)LTHERA CO .1I F I DrisrnAL 7.749.00 406.994.00 49600 .8,214.00 -6260.00 608 00 -4,3a8.00 •90000 .89.795.00 272.64 16.91% 8.000.00 3.21% Page 9 of 18 litatod 407117ra (very Year 9007 2007 DAL BAR RAT ED COMMUN ICA MONS rxarturnser SDNY_GM_00045828 OB-SDNY-0008652 EFIA_00 156437 EFTA01288800 Portfolio Holdings (continued) Date Monad Quantity Unit Cost Equities c:- Common Stocks .: • VOLKSWAGEN A G ADR (SPONS) (continued) 04113115 5 000 000 50.8610 Cost Basis Market Price Markel Valle Unrealized Gelid Loss Estimated Estimated Annual Income Yield WISDOM TREE INVTS INC COM Dividend Option: Cash 03131115 15100.000 211110 Total Common Stocks Preferred Stocks Noted by expiration date) ALLY FINL INC Ax TO FLT DIV-8.50% FREQ-QTRLYCALLABLE% 25.00 ON A OTRLY BASIS AFTER 05/15/2018 Dividend Option: Cash 02103/12 '.13 46.800.000 02109/12 '.13 80.000.000 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• 8.125% FRECI OMIT MATT-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/15116 Dividend Option: Cash 02122112 '.13 80,000.000 23.5350 ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPN.7.25% FRED ORTLY PERP M TY CALLO 25 ANY W130 D NOTICE AFTR 12131112 Dividend Option: Cash 10124112 '.13 10,000.000 23.7100 01107/13 40,000.000 24.4400 01114113 *.ls 10,000.000 21.8800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities 254.30600 29 8470 Security Identifier: W ETF CIJSIP 97717P104 321,157.513 21.7500 119,235.00 326,250.00 •05.07100 2,092.50 4 004 38 2.68% 4,860.00 1.17% 191020 20.1250 135,572,239.21 Security Identifier: ALLY PRB CUSP 020059308 903.217.51 1,610,000.00 2,513,217.51 25.8000 25.8000 342015,723.16 1,202,280.01 2.063.999.99 3,266,280.00 13,543,483.92 299,062.50 453,999.99 753,062.49 31,133,195.6e 99,025.00 8.23% 170,000.00 6.23% 289,025.00 $2,513,217.51 Security Identifier: ALLY PRA CUSP 361860208 1,882,773.60 25.5000 Security Identifier: RBS PRT CUSP: 780097713 951,600.00 977,600.00 995,200.00 2,924,100.00 25.1900 25.7900 25.1900 83,266,280.00 2,010,000.00 1,031,599.99 1,031,599.99 1,031,600.02 3111,800.00 3753,062.49 157,226 40 79,999 99 53,999 99 36,400 02 170,400.00 $269,025.00 162,500.00 7.96% 72,500 00 7.02% 72.500 00 7.02% 72,500 00 7.02% 217,500.00 E !.01,09,9CSF3, 120,000.000 82,924,400.00 87,320,39111 815,892,530.35 00A11 MOLL 33,094,800.00 $6,401,060.00 350,616,603.16 $170,400.00 $1,0110,661119 $4,624,172.51 8217,500.00 8649,025.00 81,182,830.68 Page 10 of 18 Rated beery v« Lace 2007 LAMAR RA T ED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: THERM F I DAirriA rxciturraer Account Number: Go paperless et c SDNY_GM_00045829 OB-SDNY-0O08653 EFTA_00 156438 EFTA01288801 Deutsche Asset & Wealth Management PO Boa 1778, Skidmore, MD 21203 Portfolio Holdings (continued) Opaline Sim PonieWniinManalunnd WINO teeny f„0.0 IXMUM ML smokes C. Mn *4 Mal SO Pan AM*. medico Mrs.:ANY 10114 Statement Period: 11101/2015 - 11/30/2015 Unrealized Date Acquired Quality NO Cod Cod Basis Market Price Market Value Gala Loss Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Stonily Identifier: DXJ Dividend Option. Cash: Capital Gains Option: Cash CUSP. 97717W851 61000.00 of these shares are in your margin account 12/11113 60.000 000 49.4350 2,966,09830 55.0100 3.309600.00 334,50110 Total Exchange-Traded Products 12,966,09810 13,30000.00 1334,601.50 Estimated Estimated Annual Income Yield 45,236.40 1.37% $45,236.40 Unrealized kaued Estimated Cod Basis Markel Value Gainl Loss Interest Annual Income Total Portfolio Holdings 198,145,562.69 $106,246.127.76 16,352,937.07 1411,817.28 53,635,682.59 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaly nit subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended FIRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable dateisr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on a after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on a after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easy determined acquired on or after January 1, 2014. Cost Basis on tad income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this infommtiai Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 11 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 11 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. PagelioH8 Account Number u.....de.....u.s .Isia... - 7.... -- T=inai «...i...' ,. .--- =.." MIMI 9On Go Paperless .1 0 LOALEZINTEDC=ILINCATIONS SOL THERA Chti RC- N F I DAENTIA If UNCIILITher •.a.• ,AC remaer INIOA Melt OOP SDNCGM_00046830 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006654 EFTA_00156439 EFTA01288802 Schedule of Realized Gains and Losses Current Period Oispositiol Acquisition Disposition Oate Date Transaction Oescriptios Quantity Cost Basis Proceeds Realized Gain/ Lose Disallowance Long Term 11124115 12113113' FO°P ViASHAGTON MUT M TG S 001-RA2 M TG PASSTItRU CTF CL C- B-1 VAR RATE 5.199% 07/25133 Security Identifier 939336520 Original Cost Bait 1.485.07 1.290.000.000 1,185.07 1,910.80 155.73 Total Long Term $1,415.01 $1,940.80 3455.13 Total Short Term and Long Term $1,415.01 $1,940.10 $45513 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (*IRO, (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered enoncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are "covered under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1. 2014. This Schedule may not reflect alt cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent repots, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance O11 the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of foxed income security, and certain attributes, obtained from sources believed to be rabble. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculatng gain and/or loss. unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Please note the totiowng information for Persieng's 2015 IRS Points 1099 (8, DIV. INT. OID and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It Wii inform you of the Page 12 of 18 USAB ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e:ouTHurOKIFIDAirriAL Account Number: Go papedess Rated [.ale,. levy Year Sista 2907 OALBAR RATED COMMUNCATIONS rxesturmer SDNY_GM_00045831 DB-SONY-0008655 EFTA_00156440 EFTA01288803 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 M essages (continued) Onlug< Ram Pnwale vkanstwienan reaca8 <wrap oe.8047...* salons Lac Mee *A Mar 341 Part Annie. It" I ter War Rot nr 1011.4 Statement Period: 110112015 • 11/3012015 securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2016. Akhough a money market mutual fund seeks to preserve the value of your investment at $1 per share, It is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional Information. Activity Summary (Alf amounts shown are in base cumency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Mel Year-to-Date Securities Securities Bought 0.00 -4.20000 -4.200.00 0.00 1.518.227.50 -9.518.227.59 Securities Sold 0.00 000 0.00 170,757.03 0.00 170.757.03 Securities Withdrawn 0.00 000 000 0.00 -3.383.998.80 -3.383.998.80 Total Securities $0.00 -$4,200.00 -$4,200.00 $170,757.03 -$12,902,225.30 -$12,731,469.27 Dividends and Interest $330,886.60 $0.00 $330,866.60 $2,742,590.61 $0.00 $2,742,590.61 Distributions $92,104.95 $0.00 $92,104.95 $6,832,960.55 $0.00 $6,832,960.55 Fees $0.00 -$4.00 -$4.00 $0.00 -$301.00 -$301.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,561.16 -$6,561.16 Other $0.00 $0.00 $0.00 $66,692.73 -$68,692.73 $0.00 Cash Withdrawals 000 000 000 0.00 -20,367.53929 -20,367,53929 Deposis 0.00 000 000 2.699.708 58 000 2,699.708 58 Total Cash $0.00 $0.00 $0.00 $2,699,708.58 -$20,367,539.29 -$17,667,830.71 Money Market Funds $0.00 $0.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30 Totals 6422,971.56 -$4,204.00 $416,767.55 $14,063,882.13 -$38,126,252.43 -$23,162,570.30 Page13018 Account Num ber IIHAM 4011 (so pa perless SO L TH ERA N t LLO. F I DrarIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rita. tacellone Envy YearSiva 2007 DAL BAR RATED COMMUNCATIONS rxenurmer :Tr .t.,:77-retta, SDNY_GM_00045832 DB-SDNY-0008656 EFTA_00156441 EFTA01288804 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Adivit T pe Dean-an Qua Price kneed Interest Moult Curren Securities Bought and Sold 11124115 11118/15 PURCHASED MATCH GROUP INC COM PROSPECTLSLNDER%PARATE 200.000 12.0000 -2.100.00 LSO TCF COVER 11/24115 11119115 PURCHASED SQUARE INC Cl. A PROSPECTUS LA DER SEPARATE COVER 200.000 9.0000 .1.800.00 LSD SO Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .4,200.00 Dividends and Interest 11/12/15 CASH DIVIDEND RECEIVED 110180 SF RS APPLE INC COM RD 11/09 PD 11112/15 57.29310 LSD AAPL 11/13/15 CASH DIVIDEND RECEIVED 250000 SF RS BAN K OF NEW YORK MB.LON CORP COM RD 42,500.00 LSO 8K 11102 PD 11/13/15 11/16/15 CASH DIVIDEND RECEIVED 126600 SF RS ALLY FIN L INC FIX TO FLT DIV-8 50% 67,256.25 LSO ALLY PRB FREQ-QTRLY CALLABLE Q 25.00 ON A QTRLY BASIS AFTER 05/15/2916 RD 11/01 PD 11/16115 11/16/15 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COM ULATIVE DEP SFS AXED 81.250.00 LSD 060505018 TO FLOAT 8.125% 04/30/58 B/E RD 11113 Ft 11/15115 DIV PAID AT 40.625 2000000 11/16115 BOND INTEREST RECEIVED 716000 EARTH LINK INC GTD SR NT FULLY EXCHANGED 33.103.75 LSO 270321AC6 CUSIP FROM 270321A88 8.875% 05115119 B/E DID 05/17/11 CLB RD 11113 PD 11/15/15 11/16/15 BOND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR FFD SECS SER 2 CA. 40.625.04 LSO ALLY PRA 8.125% FRED ORTLY M ATV-02/15/2040 CALL ANYTIME @ 25 *130 DAYS BEGINS 02/15/16 RD 11/13 PD 11/15/15 11/25/15 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 3,015.38 LSD 939336S20 MTG PASSTHRU CTF Cl. C-B.1 VAR RATE 5.199% 07125/33 BIE OTO 06/01/04 RD 10130 PD 11125/15 11/25/15 CASH DIVIDEND RECEIVED 15000 SF RS WISDOM TREE INVTS INC COM RD 11111 PC 4.950.00 LSD WETF 11/25/15 11130/15 MONEY MARKET FUND DEUTSCHE GOVT CASH 872.58 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 330,865.60 Distributions 11/30/15 PARTNERSHIP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T LLC CL A SFS RD 92,104 95 LSO APO 11/20 PD 11/30/15 Total Distributions • UNITED STATES DOLLAR 0.00 62,104.66 Page 11 of 18 ORM, 4011 t e4 LLC. FIDESMAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Account Number paperless Rated tace.l. (very Year Siva 2007 DAL BAR RAT ED COMMUNICATIONS rxerturres SDNY_GM_000458.33 DB-SDNY-0008657 EFTA 0015644? EFTA01288805 Deutsche Asset & Wealth Management P.O. Boa 1776, Skidmore. MD 21203 Dnalsi Ne M..,. Pnwale vinia up.genmt wrens tonne Oat) Peautv Ponk Sectongs Mew5M 000. 301140 Ammo. Ha Mc Pal./ *A WY 10114 Transactions by Type of Activity (continued) Process/ Trade! Settlement Transaction Date Date Activity Type Description Quantity Statement Period: 11/01/2015 • 11/30/2015 Price Accrued Interest Amoent Carrency Fees 11102(15 FOREIGN CUSTODY FEE Fgn Safekeeping OCT 2015 USW G4S15P-P48 •2.00 USD G1S15FP48 11102115 FOREIGN CUSTODY FE Fgn Safekeeping OCT 2015 CU IR 65433(313GS -2.00 USO G513313868 Total Fees • UNITED STATES DOLLAR 0.00 400 Total Value of Transactions 0.00 411,767.55 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rale Dividend Option Amount of Payment Interest GE‘ERAL ELEC CAP CORP kOh CUM PFD SER A Total Cash Not Yet Received 11130/15 12115115 2,000,000.000 0.035625 Casn 71 250 30 Bond Maturity Schedule acted Maturity Market Value V. of Bond Market Value $71,250.00 1 to 5 years 3,768,100.00 15% 6 lo 10 years 1,912,398.00 Eta Li Over 10 years 19,890,531.17 77% Total 25,601,332.47 100% Percentages of bond market values are rounded to the nearest whole percentage. Page 15 of 18 Account Number: excellent, OBAM Molt Go paperless L very vat since 2007 DAUM. RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERMIFID ALTITIA NCR •r.—•-nt4n SDNY GM 00045834 DB-SDNY-0008658 EFTA_00156443 EFTA01288806 Bond Quality Bond Duality Market Valle Ili of Bond Market Value FAA 10,857,500.00 42% M EArlovier 14.743.832.47 58% Total 25,601,332.47 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAN O AN IEL sAssa 345 PARK AVENUE 26Th FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran- FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Am orbze premium on taxable bonds based on Constant Yield Method: Yes lomat market discount method for all other bond types- Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more inform alien. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available axe marked NM" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for cedain securities, thereby overstating them. Refer to viworpershing.cornbusiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the lime of execution and the name of the person from URAR ROIL Account Numbers Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DrwriAL XLTHERA ti Fage 16 of 18 'gated tacellenti (very YearSera 2007 DAL BAR RATED COMMUNICA TICKS rxeiturtraer SDNY_GM_00045835 DB-SDNY-0008659 EFTA_00156444 EFTA01288807 Deutsche Asset & Wealth Management Oat 1770, Balamore, MD 21203 Important Inform ation and Disclosures (continued) Drdhat Sim Pon. VMY ',Maine,. Weals I wear 4.0.,p °eau iv s sew on 4%. Now Mbin 30 PM Asa. loth Ilev Am** NY 10IM Statement Period: 1110112015 • 11/3012015 Reinvestment (continued( whom your security was purchased, may De obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order how. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing Mn. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The fight to vote your shares held on margin may be reduced by the amount of shares on ban. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & P006. Reproducing and distributing any information received from Standard & Poor's is not pemtitted without prior written authorization from Standard & Pooes. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sel securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pod's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Rote of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pushing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities Account Number: Go paperless ., CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) „.k con F I DIAL Fage17 of 18 tmellone I von. Yam Sims 2007 OALBAR RATED COMMUNICATIONS rxesurnaer •--. "Al SDNY_GM_00045836 OB-SDNY-0008660 EFTA_00 156445 EFTA01288808 Important Information and Disclosures (continued) The Role of Pershing (continued) orders, the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, d any, to you and in eneral for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: mvetpershing.cortrabouUstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrrned in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's conta information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators 'AO were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for fringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows. Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page IS of 18 Go Mess (very vs.. since 2'007 Account Number: listed torelleril lE)8At, ROI SOUTHERN - DALIMR RA T CO COMMUNICATICed CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) F I DriTriA rxesurrier SDNY_GM_00045837 OB-SDNY-0008661 EFIA_OO 156446 EFTA01288809 Deutsche Asset & Wealth Management P.O. Box 1778, Balamore, MD 21203 DnalsrefilM Pr If tle "mall 'amine,. 8688 Coonge 8,8.8 Ontsciv NA Smote' Mar *nOok• P aft 5MY, IM, I bet 10118 Portfolio at a Glance Account Number: Statement Period: 10/0112015 -1013112015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 1105,363,013.88 $116,714,113.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -3,791,288.18 .17,567.830.71 ST THOMAS VI 00802 Net Securities 'rant of Account 010 .5.867,790.80 Adjusted Previous Account Value 101,571,726.70 103,178,871.61 Dividends, Interest and Other Income 414.01712 2.835,406 78 Total Taxes Withheld 0 00 -6,561.18 Net Other Activity -3110 -297 00 Your Client Advisor: Net Charlie in Portfolio 4 067.003 92 45.496 43 DANIEL SABBA nd[ng Account Value $ 1 0 0 5 2 7 1 6.5 4 5106,052 716 54 Accrued Interest 6440,763.61 Estim ated Annual Incom e 13,633,217.37 Asset Allocation Prior Year-6d Lan Period This Period X Allocation S0 Cash. Money Funds. and Bank Deposits 44,273,984.33 27,285,925.84 26,408,624.58 24.90% USD Axed Income 18,177,455.58 20,185,466.73 20,407,884.87 19.24% hon4, SO Axed Income 7.150,052.50 7,730,472.70 5.321422 50 5.02% SD Equities 54,121,544 61 47,225,164 61 50,675,968.59 47.79% hon•LISO Equities 2.988.256 00 2.955.984.00 3.233.816.00 3.05% Account Total (Pie Chart) 1128,714,293.02 1105,363,01318 1108,062,716.54 100.00% See the Asset A, beaten Disclosure and Footnotes secton tor important information reveling you Asset Alocabon. Please review your allocation peosclicalry wth your Clent Adviser Page ler 18 B014028183830018 [veer ri„, Raid facellonl Siva 7007 DAL BAR RATED COMMUNCATDONS CONFIDEMiA """'"" Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) rereitreertri="0«:“%e'r *-= SDNY_GM_00045838 OB-SDNY-0008662 EFTA_00156447 EFTA01288810 Asset Allocation Disclosure and Footnotes AI values are displayed in U.S. dollars based on interbank exchange rates as of 1W3112015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 000 100,107.03 -906.643.38 Long-Term Gain/ Loss 452 94 112,389.23 6.508.653.68 Net GalnlLoss 452.94 212,47128 6,802,010.30 This summary excludes transactions where cost basis information is not available. For Your Information Please note that the Valua6on at a Glance section on page one of your account statement wdl be updated and renamed Palk:0 al a Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num bar 0000001490 Commit Yield 0.04% Activity Ending: 10130115 10101115 Opening Balance 27,231,556.84 27,231,556.84 10101/15 Withdrawal MONEY FUND REDEMPTION 12,86325 27,168,693.59 10/02115 Withdrawal MONEY RiND REDEMPTION -6.00 27,188,887.59 10114115 Deposit MONEY FUND PURCHASE 11,625.00 27,180,312.59 10116115 Deposit MONEY FUND PURCHASE 127,500.00 27,307,812.59 10/19115 Withdrawal MONEY FUND REDEMPTION -25,277.78 27,282,53411 10/27115 Deposit MONEY FUND PURCHASE 9.091.64 27,291,826.45 10129115 Withdrawn MONEY FUND REDEMPTION -4,187,50000 23,104,126.45 10130115 Depost MONEY FUND PURCHASE 2,500,000 00 25,604,128.45 10130115 Deposit INCOME REINVEST 916.98 25,605,043.43 10130115 Closing Balance 425,405,043.43 Total All Money Market Funds 625,605,043.43 Page 2 of 18 Account Num berms Go paperless SOUTHERN N LLC. F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) RAM Emmons M (way Vs. Sims 2007 DAUMR MUD COMMUNICATIONS rxenurtraer a=1," SDNY_GM_00045839 OB-SDNY-0006663 EFTA_00 156448 EFTA01288811 Deutsche Asset & Wealth Management P.O. Boa 1776, Banimore, MD 21203 Income and Expense Summary Devi., 'Ana PI Ma nair-wan Marotts Ontia C•ckp De.cie Bou Xlv.n M. w brit Oat* Pant Ann**. loct tine writ n't vA Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest Other Interest Expenses Withholding Taxes Fees(Foreign Securities' Total Dividends, Interest, Income and Expenses Distributions Alternative Investm ents Other Distributions Total Distilbutlons Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 25.00% of Portfolio Cash Balance Current Period Statement Period: 11/0112115 -1013112115 YeaMoDate Taxable Non Taxable Taxable Non Taxable 10,174.30 0.00 869,783.45 0.00 916.98 0.00 12,435.43 0.00 197,500.00 0.00 662,807.40 0.00 205,426.64 0.00 744,822.61 0.00 0.00 0.00 121,875.12 0.00 0.00 0.00 .6,561.18 0.00 -25.00 0.00 •225.00 0.00 $413,192.92 80.00 $2,404,137.63 $0.00 0.00 0.00 0.00 423,682.77 0.00 0.00 0.00 89.616.40 $0.00 $0.00 $0.00 $513,299.11 Account Acdvily Opening Closing Accrued Inmate 31•Day Current Quantity Number Ending lialmme Balance Income This Year Yield Yield M oney N arket DEUTSCHE GOVT CASH INSTL 10101115 25.805.043.430 0000001490 Total Money Market Total Cash, M oney Funds, and Bank Deposits 10130115 54.369.00 27.231.556.84 803,581.15 25.805.043.43 28 06 12.435.43 0.04% 0.04% $27,231,556.64 $25,605,043.43 528.06 312,435.43 $27,215,925.84 $26,408,824.58 $28.06 512,435.43 Account Number: .rtAft RCM Go paperless L TH ERA CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) ONFIDENTIAL IP4 L LC. Page 3 of 18 Rated tocolls L very Vw. Wife 2007 DAUM. RA TED COMMUNICA TIONS rxesurtraer oaltrirrontrL...“`"== ••••••-•L.c —.-ns•Ainnrc SDNY_GM_00045840 OB-SDNY-0008664 EFTA_00156449 EFTA01288812 Portfolio Holdings (continued) Date ACAl ;red Fixed Income 24.00% of Portfolio (In Maturity Date Sequence) 'Asset Backed Securities WASHINGTON NUT N TO SECS CORP 2004•RA2 MTG PASSTHRU CTF CL C-B•1 VAR WE 6.537% 07125133 81E DTO 06/01/01 S 6 P Rating 0 Factor: 0.53948760 Effective Date:10101/15 Current Face Value: 695.939 004 12/13113 '•1.12 1,290,000.000 Adjusted Quality Limit Cod Cod Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Security identifier: 939338620 76.5190 532,522.84 84.5390 Original Cosi Basis. $638.906.71 Total Asset Birdied Securities 1,290,000.000 Total Current Face Value : 695,939.001 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED Cl/SIP FROM 210321AB8 8.875% 05/15/19 EWE DTD 05117/11 CALLABLE 10130115 S 6 P Rating CCC• 10122/12 '.342 146.000 ON 102 6880 10123/12 '.1.12 600.000.000 102.5970 Total Nonmetal 710,000.000 Total 748,000.000 FRONTIER COM M UNICAT1ONS CORP SR T 8.500% 04/15/20 81E DTD 04112110 1ST CPN DTE 10/15110 Moody Rating BA3 S P Rating BB• 07106115 3,000,000.000 105 3870 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISMS XS0717735822 9.875% 12/16/21 REG DM 12/16/11 Moody Rating Bat S P Rating BBB 12104113 '.1.12 1,500,000.000 106 9760 BARCLAYS BK PLC CONTINGENT CAP NT ISM el.936739F1- KO3 7.750% 04/10123 B/E DTD 04110113 CALLABLE 04/10118 S 6 P Rating BB4 04103/13 '.12.13 300,000.000 man 9532,522.81 Security Identifier: 270321AC6 149.924.01 103.2500 Original Cosi Bat 5151.110 00 615.58013 103 2500 Original Cosl Basic $619,500.00 766,604.44 3786,504.44 Security Identifier: 35906AAH1 3.161.599.88 103.0000 Original Cosi Basis. $3,171,006.00 Security Identifier: G4S16PP48 1.604.647.45 108.5740 Copal Cosl Basis $1.627.500 00 Security Identifier: 06739FHKO 300.000.00 108.6250 Original Cosi Basis' $300,000.00 588,339 87 3568,339.87 150,745 00 619.50000 770,245.00 3770,245.00 3,090,000.00 1.628.610 00 325,875 00 55,817 03 05,817.03 820.99 3.919.57 1,710.60 3.791.13 $3,791.13 5.974.85 24.554 16 30,621.01 91,710.66 330,629.01 41.599.88 11.333 33 23.96255 129,197.92 25,875 00 1,356.25 $0.00 12.957.50 8.59% 53.250.00 8.59% 86,207.60 388,207.50 255.000.00 8.25% 148,125.00 9.09% 23,250.00 1.13% Page 4 of 18 Account Num Der. Rated [notion, 2007 Utery V 4) OAL 0Aft RATED COMMUNCATIC*6 .a. Lace SOL THERA CZ" F /cynm, `CAI rXellur NC. CONFIDENTIAL - PURSUANT TO FED. R CRI6,1. P. 6(e) Go paperless :t Ls =tr= SDNY_GM_00045841 OB-SDNY-0008665 EFIA_00156450 EFTA01288813 Deutsche Asset & Wealth Management PO. Bca 1776. Ballimore. MO 21203 Portfolio Holdings (continued) Date Acquired Qoanfity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SNS REPSTG 1/10TH PFD SERI FDB) TO FLTG RT BO 7.900% 0029149 WE DTD 01123108 Moody Rating BM3 S P Rating BBB• 06115111 '.3,t2 2,500,000.000 107.5000 Adjusted Cost Basis Dean Sint P • If lir \Wall I, Ma~ulr-vin Marat$ °taunt unii smote 4%. Nourbri Mar SO Pia Asa. lothlbw Mos** NY 101M Market Price Market Value Statement Period: 10/0112015 - 10/31/2015 Unrealized Gain/ Loss Accrued Estimated Estimated Interest Annual Income Yield 06115111 '.3.12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON CON ULATIVE DEP SH5 FOB TO FLOAT 8.125% 04130158 B/E DTD 04130108 CALUBLE 05115118 Moody Rating BA2 S8 P Rating BB• 01/10111 '.3.12 2,000,000.000 102.1500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117162 WE DTD 01117112 CALLABLE02/01122 Q 100.000 Moody Rating BAA1 5S P Rating BBB- 01130112 '.3.12 1000,000 000 99 8270 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06112/62 EVE DTD 06112/12 CALLABLE 06/15/22 Moody Rating BAA1 SS P Rating A+ 06127112'.11,13 2,000,000.000 101.5010 Security Identifier: 46825HHA1 2,687,500.00 103.9000 Original Cost Basis: 52,687,500.00 2,675,000.00 103.9000 Original Cost Basis. 52,675,000.00 6,362,600.00 55,362,500.00 Security Identifier: 060505D 78 2,055,000.00 104.1340 Original Cost Basis: 52.055,060.08 Security Identifier: I42400FU2 2,994,822.81 111.2500 Original Cost Basis 52,992,564 97 Security Identifier: 3696225N6 2,090,011.89 117.5000 Original Cost Basis: 52.122.916.67 2 597.500 00 2 597.500 00 •90.00000 •77,50000 0.00 0.00 197.500.00 197.500.00 7.60% 7.60% 5,195,000.00 157,500.00 0.00 395,000.00 $5,195,000.00 -$167,500.00 50.00 5395,000.00 2,082,680.00 27.580 00 74,930.56 162,500.00 7.80% 3,337,500.00 342,677 19 46,875.00 187 500 00 5.61% 2,350,000 00 259,988.11 53,833 33 142 500 00 6.06% Pap 5 of 18 Lvay VI... sine. ?OW Account Number: Rawl excellent, 'IA CSF!' : Go paperless DO AN ROIL THEM n DAMAN RATED COMVAUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRICA. P. 6(e) F I DrTriA rxesurner SDNY_GM_00045842 OB-SDNY-0008666 EFrA_00 15645 I EFTA01288814 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 BIE DTD 08112115 CALLABLE 08115120 @ 100 000 Moody Rating BA2 S8 P Rating BB* Security Identifier: 17296725 08106115 3.000.000.000 100 0000 3.000.006.00 99.8040 2.994.120 00 .5.886.00 39,170 83 178,500.00 5.96% Original Cosl Basis: 93.000.006.00 LBG CAPITAL NO 1 PLC 144A Security Identifier: 654338868 ISIASXS0473106283 8.000% 09/15188 REG DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB' 12/04113 %En 1.200.000.000 108 2500 1.299.000.00 112.5000 1.350.000.00 51.000 00 36.286 67 96.000.00 7.11% Original Cosl Basis 51,299,000.00 5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04 ADDL TIER 1 SECS1S%* ldS539439AG42 7.500% 09127188 EUE DTI) 04/07114 Sd P Rating BB. Please Provide' 1.903.000.000 N/A Please Provide 106.2500 2.021.937 50 N/A 13.179 58 142,725.00 7.05% Original Cosl Basis Please Provide Total Corporate Bonds $22,633,092.47 825,145,967.50 8490,937.53 1136,972.48 31,797,307.50 23,649,000.000 Total Fixed Income 823,165,615.31 825,734,307.37 8546,754.56 1440,783.61 11,797,307.50 24,939,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain( Loss Mosel Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISIML0010831061 Dividend Option: Cash 08101/14 800.000 25 0000 AKORN INC COM Dividend Option Cash 06110/15 5.000 000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS ISINSLS01609W1027 Dividend Option Cash 06110/15 5.000.000 88 9500 ALUANZ SE SPONSADR REPSTG 1/10 SHS Dividend Option: Cash Adjusted Cost Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield peAe 4011 SOUTHERN cti4 ONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Security Identifier: M BLY CUSP. N51488117 20.000.00 45.5200 Security identifier: AKRX CUSP. 009728106 234.206.00 26.7400 Security Identifier: BABA CLSIP 01609W102 444.749.00 83.8300 Security Identifier: AZSEY OAP 018805101 36,116.00 133.700.00 119,150 00 16.416 00 -100.506 00 -25,599.00 Page 6 of 18 Account Num tier Go paperless Rated tocellonfi L very Vs. Siva 2007 DAL BAR RATED COMMUNICATIONS rxenurmer SDNY_GM_00045843 DB-SDNY-0008667 EFTA_00 156452 EFTA01288815 Deutsche Asset & Wealth Management PO Bat 1778, &Amore, M021203 Portfolio Holdings (continued) Diviv R•rn Paamir-wrat Mootts tuntiegtG•ap Le-,u Bar Secv.4. M. “tw brit My 'Pant Ann**. iloct Sne writ n't la vA Date Acquired Omanllly Unit Cost Cost Basis Market Price Market Value Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS AOR REPSTO 1110 MS (continued) 04/13115 5,000.000 18.0110 90,056.00 17.6030 88,015.00 APOLLO GLOBAL II GMT LLCCL A SH Dividend Option: Cash Security Identifier: APO CUSIP 037612306 03129/11 '.13 263.157.000 19.0000 4.999.983 00 18.2700 4.807.878.39 APPLE INC COM Dividend Option: Cash Security Identifier: AAPL CUSIP 037833100 09105114 111180.000 98 9500 10,902115.41 119 5000 13,166.510.00 ARIA() PHARMACEUTICALS INC Dividend Option: Cash Staidly Identifier: ARIA MIR 04033A100 02/14112 ..13 7.535 000 15 2090 114,597 40 6.8400 51.539 40 01124113 '.13 9.000.000 19.6000 176,400.00 6.8400 61.560.00 Total Noncovered 18,535.000 290197.40 113,099.40 Total 18,535.000 3290,997.40 $113,099.40 ASCENA RETAIL GROUP INC COM Dividend Option: Cash Security Identifier: ASNA COP 043510101 01/16101 '.3 70.500.000 21 2770 1.500.000 00 13 3200 939.060 00 AVALANCHE BIOTKHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares are in your margin account Security Identifier: AAVL CLSIP 053370107 04120115 10.010.000 39.8610 398.60610 8.4300 84.300 00 BASF SE VONS AOR ISINIt LS0552625057 Dividend Option: Cash Security Identifier: BASF! CUSIR 055262505 04113/15 5,000.010 101.6110 508.056.00 82.3300 411,650.00 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash Security Identifier: BK CUSIR 064058100 06/25114 250,000.000 36.3060 9,076,406.00 41.6500 10,412,500 00 1)8A I, .011 SOL THERA LIC. N F I DrismA L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Statement Period: 10/01/2015 - 10/31/2015 Unrealized Gain/ Loss •2,041.00 -192.104.61 2.264.194 59 -63,058 00 -114,840.00 -177,895.00 -$177198.00 -560140 00 -314.306.00 16,406 00 1,336,094 00 Estimated Estimated Annual Income Yield 2.833.84 3.21% 515.787.72 10.72% 229,174.40 1.74% 90.00 11,276.50 2.73% 170,000.00 1.63% Page 7 of 18 Account Num ber. Go paperless katod two-MSS (von Vow' Since 2'007 DAUM. RATED COMMUNCATIONS ex.:muse, swampy tiAl mamas Ms.. wet. witc SDNY_GM_00045844 OB-SDNY-0008668 EFIA_00156453 EFTA01288816 Portfolio Holdings (continued) Date ••aired Quiet Liait Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) BIOGEN 10K INC COM Dividend Option: Cash Security Identifier: 8118 CUSP: 09062X103 02/14112 '.13 2,095.000 119 5490 250,454.95 290.5100 DISH NETWORK CORP CL A Dividend Option: Cash Security Identifier: DISH CUSP: 2547011109 06110115 5.000.000 72 9960 364,978.00 62.9700 FACEBOOK INC CL A Dividend Option: Cash Staidly Identifier: FB CUSP. 30303M 102 05117112 '.13 17,500.000 38.0000 665,000.00 101.9700 FOUNDATION MEDICINE INC COM Dividend Option: Cash Security Identifier: FM I CUSP. 350465100 01113114 25,000.000 27.5070 68703.50 22.4200 08105114 24.830.000 232530 577.373.02 22.4200 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 1,285,038.52 $1,285,038.52 Security Identifier: GE CUSP: 369604103 04123113 '.13 23.000 000 21 5700 496,109.08 28 9200 GENERAL MTRS CO COM Dividend Option: Cash Security Identifier: GM CUSP: 3704511100 11118/10 ' 10,988 200 36 4010 399,978.16 34.9100 12109/10 ' 86.538.800 36 8160 3,185,969.22 34.9100 Total Noncovered 91,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 3,585,947.39 $3,555,947.38 Security identifier: GILD CUSP: 375558103 02105114 5,000.000 792810 396.407.00 108.1300 03107/14 3,100.000 79.6120 246,797.00 1081300 Total Covered 8,100.000 Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 643,204.00 $643,204.00 Security Identifier: GSK CUSP: 37733W105 06110115 5,000.000 43.0010 215,006.00 43.0600 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 8 1 WT EXP Dividend Option: Cash Security Identifier: GPACU CUSP: 37954X204 07130/15 ' 2.000.000 10.0000 20.000.00 10.0800 Account ORAN ROIL Number: Mantel Valet Unrealized Gala! Lou Estimated Estimated Annual Income Yield 608,618.45 314,850.00 1,784,475.00 560,500.00 556,688.60 1,117,188.00 81,117,188.80 665,160 00 383.598.07 3,020,999.68 3,404,597.75 $3,404,597.75 540,650.00 335,203.00 875,853.00 $875,853.00 215.300.00 20.160 00 Go paper-less CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) F I DAENTIAL sot,THERh cr5.N 358,163.50 -50,128.00 1,119,475 00 .127,163 50 -20.684.42 -117,817.92 -$117,817.92 169,050 92 -16,38099 ,164,969.54 -181,319.93 -$181,34913 144,243.00 88,408.00 232,819.00 9232,819.00 294.00 160.00 $0.00 21,160.00 3.18% 15,823.01 4.12% 121,612.99 4.12% 110,13100 $110,43100 8.600.00 1.59% 5,332.00 1.59% 13,932.00 $13,932.00 12,128.20 5.83% Page 8 of 18 Mould tsren• re, (very Va. SMOD 2007 DAL BAR RAT CO COMMUNICATIONS rxenurraer .73=7:6=1%."`"=.... ."""=" ... van —a...a SDNY_GM_00045845 0B-SDNY-0008669 EFL/COO156454 EFTA01288817 Deutsche Asset & Wealth Management P.O. Bat 1778, Babimore, MO 21203 Portfolio Holdings (continued) Ram Pon. wean Manirnent PAVRIS COM•ligt 4,04P Ott.s014 MY Se4wrisC Yee bet Mc* Na Pot Anerffits. /Inv Wet nr NIL Date Acquired Quantity Unit Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) CODA° DV INC CL A Dividend Option: Cath Security Identifier: MT CU SIP 380237107 04101115 700.000 20 0000 14.000 00 27.4800 HEALTH NET INC COM Dividend Option: Cash Security Identifier: HNT CUSP:422226108 09108114 25.000.000 48 9800 1.174.506.00 64 2600 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash Security Identifier: SGM 0 CUSIP 800677106 05126113 '.I 3 50,000.000 8.4440 422,214.00 7.0500 SANTANDER CONSUMER USA HLDGS INC CON Dividend Option: Cash Security Identifier: SC CUSIP .802831101 01123114 1.000.000 24.0000 24,000.00 18.0100 TERRAFORM GLOBAL INC CI. A Dividend Option: Cash Security Identifier: GLBL CUSP. 8810411101 07131115 400.000 15.0000 6.000.00 7.6300 TWITTER INC COM Dividend Option: Cash Security Identifier: TW TR CL SIP 901841102 11107113 1,500.000 26 0000 39.000 00 28 4600 VIACOM INC NEW CL B Dividend Option: Cash Security Identifier: VIAB CUSIR. 92553P201 06110115 5,000.000 67 7490 338.745 00 49.3100 VOLKSWAGEN A G ADR ISPON Si Dividend Option: Cash Security Identifier: VLKAY CUSIP 928662303 04113/15 5.000.000 50 8610 254.306.00 27.8590 WISDOM TREE INVTS INC CON Dividend Option, Cash Security identifier: W ETF CUSIP 977179104 03131115 15.000 000 21 6110 324.157 50 19.2300 Total Common Stocks 338,568,039.24 qoik CONFIDENTIAL — PURSUANT TO FED R CRIM. P. 67e)LTHERMN FIDESTTIAL Markel Value Statement Period: 10/01/2015 - 10/31/2015 Unrealized Gainl Loss Estimated Estimated Annual Income Yield 19.236.00 1.606.500.00 352,500.00 18.010.00 3.052.00 42,690.00 246,550 00 139.295.00 281.450 00 5.216.00 431.994.00 •69,71400 .5.990.00 -2,948.00 3,690.00 -92,195 00 ,115,011.00 -35.707 50 8.000.00 3.24% 4.004.38 2.87% 480.00 0.16% 342,334,764.59 33,765,725.35 31,129,213.04 Page 9 of 18 Account Number: Go paperless Rated [amiss (v., Year Slate 2007 DAL BAR RATED COMMUNICATIONS IXCILLI'Net SDNY_GM_00045846 OB-SDNY-0006670 EFrA_00 156455 EFTA01288818 Portfolio Holdings (continued) Date "sired Quail Uoit Cost Equities (continued) Preferred Rocks (listed by expiretiort date) ALLY FINL INC FIX TO FLT DP/-8.50% FREQ-QTRLY CALLAISE@ 2510 ON A QTRLY BASIS AM 05/1512016 Dividend Option: Cash Security Identifier: ALLY PRB CL SIP 02005k 308 02/03/12 ..13 18.600100 19.3820 903,217 51 25.7000 1,197,620.01 294,402.50 99,025.00 8.26% 02109/12 '.13 80,000.000 20.1250 1,610,000.00 25.7000 2,055,999.99 415,999.99 170,000.00 6.26% Total Noncovered 128,600.000 2,513,217.51 3,253,620.00 740,402.19 269,025.00 Total 128,600.000 $2,613,217.51 $3,253,620.00 3740,402.49 $269,025.00 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - 8.125% FRED DRILY MATY-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/15116 Dividend Option: Cash Security Ideellffer: ALLY PRA CUSP. 361860206 02122/12'.13 80,000.000 23.5350 1,882,773.60 25.8300 2,086,400.00 183,626 10 162,500.00 7.86% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG SER T PFD CPS-7.25% FREQ DRILY PERP M TY CALLO 25 ANY W130 D NOTICE AFTR 12/31112 Dividend Option: Cash Security Identifier: RBS PRT CUSP. 780097713 10/24/12 '.13 10,000.000 23.7900 951,800.00 25.4800 1,019,199.99 67,599 99 72,500.00 7.11% 01107/13 ..13 10,000.000 21.4100 977,800.00 25.4800 1,019,199.99 41,599 99 72,500.00 7.11% 01114113 '.13 10,000.000 24.8800 995,200.00 25.4800 1119,200.02 24,000 02 72,500.00 7.11% Total Noncovered 120,000.000 2 924 400.00 3,057,600.00 133,200.00 217,500.00 Total 120,000.000 $2,924,100.00 13,057,600.00 $133,200.00 $217,500.00 Total Preferred Stocks $7 320 391.11 18 377,020.00 $1,057,228.89 1649,025.00 Total Equities 315,888130.35 150,712,384.59 14,823,954.21 11,778,238.01 Unrealized Estimated Estimated Date Acquired Quality Uok Cod Cost Bads Market Price Markel Valle Gala/ Loss Monet Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cate 60,000.00 of these shares are in your margin account 12/11/13 80.000.000 49.4350 2.986.098.50 53.2900 3.197 000 00 231 301 50 45.236.40 1.41% Total Exchange-Traded Products 12,986,098.50 Cost Bads 33,117,400.00 Markel Value 3231,301.50 Unrealized Gain] Loss Attend Interest $15,238.10 Estimated Amnia' Income Total Portfolio Holdings $16,421766.74 6108,052,718.54 15,802,010.30 $110,783.61 13,833,217.37 Cod Basis Market Price Markel Value Unrealized Golf Loss Estimated Estimated Annual Income Yield Security Identifier: DXJ CUSP 97717W851 ?':110283CSF,, °BAN ROIL Account Number GO paperiess S'JL7M ERN ten N LLC. F I DAMSMAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 10018 Rated Emelloni Every Van Same 2007 DALBAR RATEDCOMMUNICATIONS rxentrwer rs ti n] AC - va —0nos.ra arc SDNY_GM_00045847 OB-SDNY-0008671 EFrA_00 156456 EFTA01288819 Deutsche Asset & Wealth Management P.O. Bat 1770, Balamore, MO 21203 Portfolio Holdings (continued) Device e Ram Ihmile wean &Waren Mit70% COMM< GK.." 0...Kehl Mar Steyr' AC. Yra ISA MO JO Park Arens.. 101k Iccr WaveSr\ Pet 10114 Statement Period: 10/01/2015 • 10/31/2015 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally net subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rIRC') (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ft:covered,' under the new cost basis repotting rules, and matked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as non-retirement. US taxpayers securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis repotting rules and the adjusted basis will be reported to the IRS on form 1099E for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. t The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over tine and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Transaction Description Quantity Cod Bans Proceeds Realized Gain/ Lost/ Disallowance Long Term 10122/15 12/13/13' RPP WASNINGTOk MUT IITG S 00444/12 MTG PASSTHRU CIF CL 1.290.000 000 1.475.98 1.928.92 452.94 C- B-1 VAR RATE 6.537% 07125133 Security Idenbfier. 939336S20 Original Cost Basis: 1,475.98 10/29/15 12/01/13' RD MG first In First Out PETROLEOS DE VENEZIA ENIOR 'SNP Y30460546525 5.000 % 10/28/15 REG OTD 10/28/09 CL 2.500.000.000 2.500.000.00 2.500.000.00 0.00 Security Identifier P7807HAF2 Original Cost Basis: 2.250.000.00 Page 11 of 18 Account Number: Rasa Excellent, VINO ROLL Go paperless Every Year siva 2007 DAMAO RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: UTHERN CO F I DALTITIA rxenurraer -cterl,.. 1-74.7ZTO:C=7"te SDNY_GM_00045848 DB-SDNY-0008672 EFTA_00156457 EFTA01288820 Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Realized Gain/ Loss/ Date Date Transaction Description Quantity Cod Basis Proceeds Disallowance Total Long Term $2,501,475.98 52,501,928.92 1452.94 Total Short Term and Long Term $2,501,475.98 12,501,928.92 1452.94 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generafty not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (9RC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section we securities which are "covered" under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax yew in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as blows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a retum of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we beieve to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reiable. In the event, one or more of these attributes is changed, there may be a temporary ncorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-k4 disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfotio at a Glance beginning with the October 2015 statement This change does not apply to accounts which display only opening and closing balances on page one. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Account Number: Go paperless TM ERN co CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) N"- F I DrErriA 1404•0 Excellent ,.very Vs. Soso. 2007 MUM. RATED COMMUNCATIONS rxenirmer Pap 12 of 18 L4C SDNY_GM_00045849 OB-SDNY-0006673 EFTA_00 I 56458 EFTA01288821 Deutsche Asset & Wealth Management PO. am 1778. Sallimore, MO 21203 Ginatre PAaminntat Mn?, Cintne 6.0.9 De.ticta 1.01.141,"4.1 M. VI« ISA Mar ll)Pant Annw.)00.11cce Mnetrit nr IOVA Activity Sum m ary (NI amounts shown are in base currency) Credits This Period Debits This Period Net This Period Statement Period: 10/01/2015 - 10/31/2015 Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Securities Bougn: 000 000 0.00 0.00 -9.514.02750 -9.514.027.50 Securities Sold 0.00 000 000 170.75703 0.00 170757.03 SecurifiesWilhdumn 0.00 0.00 000 0.00 -3,383,99810 -3,383,998.80 Total Securities $0.00 $0.00 $0.00 $170,757.03 -$12098,020.30 -$12,727,219.27 Dividends and Interest $414,017.92 $0.00 $414,017.92 $2,411,724.01 $0.00 $2,411,724.01 Distributions $2,500,000.00 $0.00 $2,600,000.00 10740,87060 $0.00 $8,740,875.60 Fees $0.00 -$31.00 -$31.00 $0.00 -$297.00 -1297.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,561.11 -femme Other $0.00 $0.00 $0.00 $68,612.73 -$68,692.73 $0.00 Cash Withdrawals 000 -4397.36933 -4,397.369.33 0.00 -20,367.539.29 -20,367.53929 Deposits 606.081 15 000 606.081.15 2.699.708 58 0 00 2.699.708 58 Total Cash $606,081.15 -$4,397,369.33 -$3,791,208.18 $2,699,708.58 -$20,367,539.29 -117,667,830.71 M oney Y arket Funds $0.00 $0.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30 Totals $3.520,099.07 .$4,397,400.33 $877,301.26 114,540,710.58 -$38,122.048.43 -$23.581.337.85 Transactions by Type of Activity Process/ Settlement Dale Activity Type Descriptioe Quantity Price Accrued Interest Amount Currency Dividends and interest 10/01115 FOREIGN SECURITY DIVIDEND 5000 SHRS GLAXOSMITHKUNE PLC SPONSADR RD 08/14 2.884.30 USO RECEIVED GSK PD 10101115 10/01115 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW D. B RD 09/15 PO 10/01115 2,000.00 USO YIAB 10113115 FOREIGN BOND INTEREST 300000 BARCLAYS BK PLC CONTINGENT CAP NT 11,02500 USD 06139FHK0 ISA 9 U S06739FHK03 7.750% 04110/23 B/E DTD 04/10/13 CLB RD 10109 PD 10110115 .!T402T3CSF,': ORAN Tull I Account Nue ber Go paperiess SOL ERr L . F I L CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) THAN Page 13018 AMA tmelloni bray VAN woo, 2007 DALOAR RATED COMMUNICATIONS rxesartraer tr.....n ac..trn SDNY_GM_00045850 OB-SDNY-0006674 EFEk_00 I 56459 EFTA01288822 Transactions by Type of Activity (continued) Process/ Settlement Date Adivit Type Dean -son Chian Price Awned Interest Moult Curren Dividends and Interest (continued) 10115115 BOND INTEREST RECEIVED 3000000 FRONTIERCOMMUNICATIONSCORP SR NT 8.500% 127.500 00 LSO 35906AAF 1 04115/20 BIE DTO 04/12/10 RD 10101 PO 10115115 10/26/15 CASH DIVIDEND RECEIVE') 23000 SF RS GENERAL ELECTRIC CO COM RD 09121 PD 5,290.00 LSD GE 1(1126/15 10126115 BOND INTEREST RECEIVED 1290000 WASFINGTON kILTMTG SECS CORP 2004-RA2 3.801 64 LSO 939336520 MTG PASSTFRU CTF CL C.8.1 VAR RATE 6.537% 07125/33 WE DID 06101/04 RD 09130 PD 10125/15 10/28/15 FOREIGN BOND INTEREST 2500000 PETROLEOS DE VENEZUELA NOTES SE\ IOR 62,500.00 LSD P7807FAF2 ISINIXS0460546525 5.000% 10128/15 REG DTD 10/28109 CLB RD 10/27 PD 10128115 10/30/15 MONEY MARKET FUND DEUTSCHE GO VT CAST 916.98 LSD INCOME RECEIVED 233993682 10/30/15 CAST DIVIDEND RECEIVED $14ORGAA CHASES CO DEP SHS REPSTG 1110TF PFD SER 1 197.500 00 LSO 46625FFA1 7.900% 04129149 B/E RD 10/29 PD 10130115 DIY PAID AT 39.50 5000000 Total Dividends and Interest- UNITED STATES DOLLAR 0.00 414,017.92 Distributions 10/29/15 SECL RIFT REDEEMED PETRO LEOS DE VENEZUELA NOTES SENIOR .2.500.000 000 2.500.000.00 LSO P7807FAF2 ISIN#X50460546525 5000% 10/28/15 REG DTO 10/28109 CLB ACCOUNT REDEMPTION Total Distributions -UNITED STATES DOLLAR 0.00 2,500,000.00 Fees 10/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2015 CUSP. 04915P-134.8 •2.00 USD G4S15PP48 10/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2015 CUSIP G5433B-BG-8 -2.00 USD G54338868 10/01/15 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2015 CUSP P7807H-AF-2 •2.00 LSO P78071-AF2 10/01/15 FEE ON FOREIGN DIVIDEND 5000 SFRS GLAXOSM ITHKLINE PLC SPONSAOR RD 08/14 -25.00 LSO WITHHELD AT THE SOURCE PD 10101115 GSK Total Fees- UNITED STATES DOLLAR 0.00 -31.00 Cash Withdrawals and Deposits 10/01/15 FEDERAL FLNDS SaT TFE BANK OF NEW YORK -122,091.55 LSD USD999997 10/19115 FEDERAL FLNDS SENT DEUTSCHE BANK TRUST -25,277.78 USD USD999997 Page 14 of 18 tilt&B 4011 L eefy Yen Sava 2007 DA COWA LBAR RATED UNCATiONS SOUTH ERA CI1 NJ F I DENTIAL:- "'ft" CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Rated tace0onl Go paperless eit ) SDNY_GM_00045851 DB-SDNY-0008675 EFTA_00 156460 EFTA01288823 Deutsche Asset & Wealth Management PO Lica 1778, Balmer*, MO 21203 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Cash Withdrawals and Deposits (continued) 10129115 FEDERAL FUNDS SENT 6110 HARRIS BANK NA •4.250.00000 USD US0999997 10130115 FEDERAL FUNDS RECEIVED DEUTSCHE BANK SaUfil 86869 606,081.15 00 US0999997 Total Cash Withdrawalsand Deposits - UNITED STATES DOLLAR Dreatifle Bm, Vnwm veka•n•Mnagenan Nang,. Near G.. • De...4N ML La+4+M. Noe bit CNN* MS Pin /gam loth I low Mr ** NY 101W Quantity Statement Period: 1010112015 • 1013112015 Price Accrued Interest Amount I:fluency 0.00 -3,791,2101.1$ Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Interest BANK AMER CORP PEP NON COMULATIVE DEP 10130/15 11/15115 SHS FIXED TO FLOAT EARTHLINK INC GTD SR NT FULLY EXChANGED 10130/15 11115115 CUSP FROM 270321A88 Total Cash Not Yet Received Bond Maturity Schedule Bond Maturity Market Value %of Bond Market Value 0.00 -077,301.21 USD Quantity Held Rale Dividend Option Amount of Payment 2.000.000 000 0.040625 Cash 81.250 00 746 000 000 0.044375 Cash 33,103.75 1114,353.75 1 to 5 years 3,860245 00 6 to 10 years 1,954,485.00 Over 10 years 19.919.577.37 Total 25,734,307.37 15% 8% fl 77% 100% Account Number ' , HAN Q0I t Go operless SOUTHERN CSNO LLC. N F I ID-EN TEA L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Percentages of bond market values are rounded to the rearest whole percentage. Page 15 of 18 Rasa tmelloni (very VAN Since 2007 DAL BAR RATED COMMUNICATIONS rxarturnaer SDNY_GM_00045852 DB-SDNY-0008676 EFTA_00 15646 I EFTA01288824 Bond Quality Bond Quality Market Value fir of loud Market Value BAA 10482,500.00 42% SAILower 14.851.807.37 58% n Total 25,734,307.31 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DA`, DAAIEL SABBA 345 PARK AVENUE, 28TH FLOOR NEW YORK NY 1015/0003 Your Account Information Tax Lot Default Disposition Method Default Method tot Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Ran FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST 06 T Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications. log in to your account or contact your Client Advisor for more inform alion Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked NM" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EM) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.corn/business_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You coil not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from Fage16 of 18 Account Number: Go erless Rated Excellent, DIAS ROIL pap Lvery Year Sante 2'007 SOUTHERNCON F I DrWrIAL, OALOAR RATED COMMUNICATIONS rxesurtraer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00045053 DB-SDNY-0008677 EFTA_00 156462 EFTA01288825 ra Deutsche Asset & Wealth Management P.O. Boz 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) Dryly Missal n PAN4.11Owega De.tic la eau ...mice* Office IA 'Pant Ann**, noct ...writ nY IOVA Statement Period: 1001/2015 • 10/31/2015 Reinvestment (contInuel) whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinnaticris previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives Cf financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on ban. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poors is not pemtitted without prior written authorization from Standard & Poor's. Standard & Poors does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poors shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sel securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation Ii) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities Page 17 0118 Account Number Rated tacellonil ORAN Mel Go paperless irizare• 2007 SO TH ERN tirt5 LLC. .......4„..„„e e "liftman ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) N F I DriTriAL (—as.= --•••—•,•••• SDNY_GM_00045854 OB-SDNY-0008678 EFrA_00 156463 EFTA01288826 Important Information and Disclosures (continued) The Role of Pershing (continued) orders; the assessment of the sudability of those transactions, where applicable: the rendering of investment advice, if any, to you and in eneral for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnvezpershing.conVabouristrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's cont information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;a Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators into were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for dinging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bnng a putative or certified class action to arbitration. nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: Pap IS of IS Account Num ber Go paperless SOLTHERA CAO N LLC. F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Rated excellent, Every V... Lace 2007 CALMAR RATED COMMUNCATIONS rxenurtraer SDNY_GM_00045855 OB-SDNY-0008679 EFTA_00 156464 EFTA01288827 ra Deutsche Asset & Wealth Management P.O. Box 1778, BaOmar*, MO 21203 DraIsre Rana Prmair. *MAP. warn.. Weals %Page 4WD MAUM settelen8. wan Oat* In Pant Any. It" I ter Valuation at a Glance Account Number: Statement Period: 0910112015 - 0913012015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 3117,206,307.04 $126,714,293.02 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -10.000.000.00 •13.876.542.53 ST THOMAS VI 00802 het Securities InlOut of Account 0 00 -5,861,790.80 Adjusted Previous Account Value 107,206,307.04 100,969,959.69 Dividends, Interest and °Met Income 135.554 11 2.421,388 86 Total Taxes Withheld 0 00 -6,561.18 Net Other Activity -12.00 -266 00 Your Client Advisor: et Chance in Portfolio -1.978.835 27 -4.021.50749 DANIEL SABRA nding Account Value Si 0 5,3 6 3 013.88 Si 0 5,3 6 3 0 1 3 8 8 Acciued Interest $676 775 65 Estimated Annual Income $316179819 Asset Allocation Prior Year-End Lad Period This Period % Allocation USD Cash. Money Funds and Bank Deports 11,173,981.33 37,150,383.73 17,285,915.81 25.90% USD Axed Income 18,177,455.58 20,400,148.10 20,165,466.73 19.11% Aon-LSD Axed Income 7,150,052 50 7,781,221 25 7,730,472.70 7.34% USD Equities 51,126,511.61 48,693,705 96 47,225,164.61 4481% hon-LISD Equities 2.986.256.00 3.180.848.00 2.955.984.00 2.81% A unt Total (Pie Chart) $126,714,293.02 $117,206,307.04 $105,363,013.$6 100.00% See the Asset Macation Disclosure end Footnotes sentinel for important intonation regenting your Asset Atocaton. I , ttAfi yolk CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIErEVisAL 50097NOCSF30D24 Please review your allocation perodcaily wth you Cleft Adysct. Rated twallerigi (very Y... Sims 2007 DAL OAR RATED COAVAUMICATIONS rxenurnaer Page 1 020 SDNY GM 00045856 DB-SDNY-0008680 EFTA_00 156465 EFTA01288828 Asset Allocation Disclosure and Footnotes AM values are displayed in U.S. dollars based on interbank exchange rates as of 09130/2015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 100,107 03 -1,422.35240 Long•Term Gain/Loss 448 64 111,916 29 3.041.719.03 Net Gain!Loss 448.64 212,023.32 1,819,388.63 This summary excludes transactions where cost basis information is not available. For Your Information Please note that the Valuation at a Glance section on page one of your account statement Will be updated and renamed PoNolo) at a Glance beginning mth the October 2015 statement This change does not apply to accounts which display only opening and closing balances on page one. Money Market Fund Detail Oate Activity Type Demsiption Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Number: 0000001490 Current Yield 0.04% Activity Ending: 09130(15 09/01115 Opening Balance 37,150,383.73 37,150,383.73 09101115 Withdrawal MONEY FUND REDEMPTION -7,500,000.00 29.650.383 73 09102115 Withdrawal MONEY FUND REDEMPTION •6.00 29.650.377.73 09128115 Withdrawal MONEY FUND REDEMPTION -2.458.379.75 27.191.997.98 09130115 Deposit MONEY FUND FURChASE 38,592.00 27.230,589 98 09130115 Deposit INCOME REINVEST 966.86 27.231,556 84 09/30115 Closing Balance $27,231,556.84 Total All Money Market Funds 927,231,558.64 Income and Expense Summary Current Period Year-to-Oate Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 92,967.00 0.00 859.609 15 0 00 Money Market 988.86 0.00 11,518.45 000 Other Dividends 2.142.60 0.00 465.307 40 0 00 Pagt1 of 20 °KAM .,o,, SOUTHERN 614 LLC. ON FIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber. Go paperless Rsd fawner/I L very Vest Siva 2007 DAL BAR RATED COMMUNCATIONS rxesturnaer rwr3.1^.D.T.7,1:11=2,:.Trey-t7.77.:1..:7 SDNY_GM_000451357 DB-SDNY-0008681 EFTA_00 156466 EFTA01288829 Deutsche Asset & Wealth Management PO 802 1778, Baltimore. MO21203 Income and Expense Summary (continued) Interest Income Bond Interest Other Interest Expenses Withholding Taxes Fee Foie' n Searitiesl Total Dividends, Interest, Income and Expenses DIstrIbudons elternabye Inyestm ents Other Distributions Total Distributions Portfolio Holdings Dtriv..e Aim 'own Wolin Man/mnem Myer,. CorecarG'c..p De.c.seN Bou n< my. bd. Mar .O)Pant Ann**. 101k ilmt tine writ n't Current Period Statement Period: 09/0112115 -0913012110 Year-to-Date Taxable Noe Taxable Taxable Non Taxable 39,417.65 0.00 539,395.97 0.00 0.00 0.00 121,815.12 0.00 0.00 0.00 -6.561.18 0.00 0.00 COO -20000 0.00 $136,664.11 10.00 $1,190,944.91 $0.00 0.00 0.00 0.00 423,68217 000 COO 0.00 $9,616.40 $0.00 10.00 10.00 $513,299.17 Scco...1 Arthily Opening Closely Paned Income 36-Day Count Opening Date Quantity 'lumber Ending Balance Balance Isom Tbis Year Yield Yield Cash, Money Funds, and Bank Deposits 26.00% of Portfolio Cash Balance Money Market DEUTSCHE GOVT CASH INSTL 09/01115 27.231.556 840 0000001490 Total Money Market Total Cash, M oney Funds, and Bank Deposits 09130115 000 37.150.383.73 54,369.00 27,231.556.84 0.00 11,518.45 0.04% 0.04% 637,150,353.73 127,231,656.14 $0.00 111,616.46 137,150,35333 127,256.92524 $0.00 611,618.46 Account Number :,,09/21OCSF1' . ORM; ROLE Cio paperless L THERA CO ILL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) NFIDrariAL Page 3 of 20 Rata. tmolloni Every Vat Slate 2007 DALBAR RATED COMMUNICATIONS rxenurraer -ar.t.t" SDNY_GM_00045858 Ce-SDNY-0008682 EFIA_00 156467 EFTA01288830 Portfolio Holdings (continued) Date Acquired Fixed Income 2 6.0 0% of Portfolio (In (dewy Dee Sequence) ‘Asset Backed Securities WASHINGTON NUT NIG SECS CORP 2004-RA2 MTG PASSTHRU CTFCL C-B-1 VAR RATE 8.510% 07/25133 WE DTD 06/0110/ S 8 P Rating D Factor: 0.54098288 Effective Date:09101/15 Current Face Value: 697.167 915 12/13/13 'XII 1,291000100 763190 Quaid Deft Cost Adjuged Cod Bags Market Price Markel Value Unrealized Gain/ loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 939336520 533,998.82 84.4840 Onginal Cosl Basin $638.906.71 Total Asset Backed Securities 1,790,000.000 Total Current Face Value : 697,867.915 Corporate Bonds 1PETROLEOS DE VENEZUELA NOTES S9i IOR 1%0 7.50460546525 5.000% 10128115 REG DTD 10/2/109 S 8 P Rating To 12/04/13'.3.12 2,500.0G0 000 99 5470 EARTHUNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05117/11 CALLABLE 09/30115 58 P Rating CCC• 10/22/12 'AA 146.010 000 102.7130 10123112 '.3.12 600,000.000 1021170 Total Noncovered 746,000.000 Total 746,000.000 FRONTIER COM IA UNICAllONS CORP SR NT 8.500% 04/15/20 WE DTD 041121101ST CPN DTE 10/15/10 Moody Rating 8A3 S P Rating Bfl- 07106115 3,000,000.000 105.4720 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES 'S/4/0717735822 9.875% 12118/21 REG DTD 12/16111 Moody Rating Bel S8 P Rating BBB 12104/13 '.3.12 1,500,000.000 107.0490 B1)01O210CSF,' $533,998.82 Security Identifier: P7807HAF2 2,488,670.77 99.2500 Original Coal Buis: $2.250.000.00 &sanity Identifier: 270321AC8 149,960.32 103.0000 Original Cod Basis... $151,110.00 615,700.64 103.0000 Original Coal Bags: $619,500.00 766 660.96 $785,660.96 Security Identifier: 35906AAN1 3,164,161.90 97.2500 Original Coal Bags: $3.171,006.00 Security identifier: 1.605.732.29 108.8450 Original Cod Basic $1,627,500.00 °BAB ROIL 589,586.73 55,587.91 3.65984 6589,586.73 465,587.91 $3,656.64 90.00 2.481.250.00 -7,420.77 52,777.78 125.000 00 5.03% 150,380.00 419.68 4.859.06 12.957 50 8.61% 618,000.00 2,299.36 19,968.75 53.250 00 8.61% 768,380.00 2,719.04 74,827.61 86,207.60 $766,380.00 $2,719.04 $24,627.81 $86,207.50 2,917,500.00 .246.661 90 116.875 00 255,000.00 8.74% 1,632,675.00 26.942 71 116,854.17 148.125.00 9.07% Page 4 of 20 Account Number: Go paperless L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) THERA F I DAENT1AL Rated tacellenti (very Van Since 2007 DALBAR RATED COMMUNICATIONS rxcournaer —ma. ammo. noon rent. Nee SDNY_GM_00045859 OB-SDNY-0O08683 EFrA_00156468 EFTA01288831 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Portfolio Holdings (continued) Date Acquired Wientity Uilt Ont Fixed Income (continued) Corporate Bonds (continued) BARCLAYS OK PLC CONTINGENT CAP NT laki Li S06739FHK03 7.750% 04110/23 BM DM 04110/13 CALLABLE 04/10/18 St P Rating BB* 04103113 '.11,13 300,000.000 100.0000 Adjusted Cost Basis Drelv .e Or Vona h ManietS (Int4t4..0.9 De.tuN M. ..evf *A Mar 31,Pant Aore.w. UM First *yr writ NYWIt.4 Market Price Market Value Statement Period: 09/01/2015 - 09/30/2015 Unrealized Gain/ Loss Accrued Estimated Eslimated Interest Annual Income Yield FN ORGAN CHASE d CO DEP SHS REPSTG 1110TH PFD SER 1 FIXED TO FLTG RT BO 7.900% 04129/49 WE DTD 04/23/08 Moody Rating BAA3 S d P Rating BBB- 06115111 t 3.12 2300,000.000 1075000 06115111 '.3,12 2,500,000.000 107.0000 Total Noncovered 6,000,000.000 Total 6,000,000.000 BANK AM ER CORP PERP NON CON ULATIVE DEP %M FIXED TO FLOAT 8.125% 04130158 WE DTD 04130/08 CALLABLE 05/15/18 Moody Rating 8A2 Sd P Rating BEI+ 01110111 '.3.12 2.000.000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SER E 6250% 01117162 WE DTD 01117112 CALLABLE02/01122 (I 100.000 Moody Rating BMI S d P Rating BB8- 01130112 '.3,11 3,000,000.000 99.8260 '1•7.7.10C?1,. . Security Identifier: 06739FHK0 300,000.00 107.1250 321,375.00 21.375 00 10.979 17 23.250.00 7.23% Origins Cost BasH: 5300.000.00 Security Identifier: 46625HHA1 2,687,500.00 103.8750 2,596,875.00 •90,62500 82 291 87 197.500.00 7.60% Original Cost Basis: 52,687,500.00 2,675,000.00 103.8750 2,596,875.00 -78,125 00 82 291 66 197.50900 7.60% Original Cost Baia: $2,675,000.00 6,362,500.00 6,193,760.00 ,168,750.00 164,683.33 396,000.00 96,362800.00 96893,760.00 -$168,750.00 5164883.33 $396,000.00 Security Identifier: 060605011 2.055.000.00 104.5000 2,090,000.00 35.000 00 60.937 50 162.500.00 7.77% Original Cost Basis: 52,055,000.00 Security Identifier: 842400FU2 2.994.766 58 111.2500 3,337,500.00 342.733.42 30.729 17 187 500 00 5,61% Original Cost Basis: 52,992,584.97 Account Number: Go paperless SC L LW. F I Dram L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) THERM CO NJ Page 5020 Railed excellent Every VAN Sate 2007 DALOAR RATED COMMUNICATIONS xcia r NCI SDNY_GM_000454360 OB-SDNY-0008684 EFEk_00156469 EFTA01288832 Portfolio Holdings (continued) Date Acquired Quantity Wilt Cod Fixed Income (confirued) Corporate Bonds (continued) GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06112162 WE DTD 06112/12 CALLABLE 06115/22 Moody Rating BAA1 S& P Rating A4 06127112 '.12.13 2100.000.000 104 5460 2,090,922.54 115.5000 2,310 000 00 219.077 46 41.562 50 142,500.00 6.16% Original Cost Basis: S2,122916.67 CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier: 17296725 5.950% 08/15/88 WE DID 08112115 CALLABLE 08115120 Q 100000 Moody Rating BA2 58 P Rating B84 08106115 3.000.000.000 100 0000 3.001006.00 98 6250 2.958.750.00 .41,256.00 23,800 00 178.500 00 6.03% Original Cosi Basis $3.000.00600 LBG CAPITAL NO 1 PLC 144A Security Identifier: 054338868 IMO X50473106283 8.000% 09115188 REG DID 12115109 CALLABLE 06115/20 58 P Rating Bg4 12104113 'AM 1200.000.000 108 2500 1,299,000.00 1127000 1,352,400.00 53,400.00 28,000 00 96.000 00 7.09% Original Cost Basis 51.299.000 00 'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439464 ADDL TIER 1 SECS ISNOUS539439A042 7.500% 09/27/88 WE DID 04/07/14 St P Rating BB- Please Provide' 1.903.000.000 NM Pease Provide 102 0900 1,942,772.70 NM 1.189.38 142.725 00 7.34% Original Cost Basis. Pease Provide Total Corporate Bonds $25,126,421.04 527,306,352.70 $237,156.18 $673,115.61 $1,922,307.50 26,149,000.000 Total Fixed Income $25,660,419.86 $27.895,939.43 8292,746.87 $676,775.65 81,922,307.50 27,439,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Pria Market Value Gain/ Loss Annual Income Yield Equities 45.00% of Portfolio Common Stocks IA OBILEYE NV AM STELVEEN ORD SHS ISIAIAL0010831061 Dividend Option: Cash 0810111/ AKORN INC COM Dividend Option: Cash 06110115 Adjusted Cost Basis Market Price Security Identifier: 369622916 Markel Value Unrealized Gain/ Loa Accrued Interest Estimated Estimated Annual Income Yield 800.000 25 0000 5.000.000 48.8410 Security Identifier: M SLY CL SIP A51488117 20 000 00 45 4800 Security Identifier: AKRX Min 009728106 234.206.00 28 5050 36,384.00 142.525.00 16,384 00 41,081.00 Page 6 of 20 Every Year Late 2007 Account Number: Rated two-abr. °BALI ROLL SOUTHERN con Go paperless DALOAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DrErriA rxesumer 8-C.t.tri....""Tatta..r..r...' SDNY_GM_00045861 DB-SDNY-0008685 EFTA_00 156470 EFTA01288833 Deutsche Asset & Wealth Management P.O. Oat 1778, Ballimore, MD 21203 Portfolio Holdings (continued) Dale Acquired CMantity Unit Cost Equities (continued) Common Stocks (continued) ALIBABA GROUP HLDG LTD SPONSORED ADS ISIML,931609W1027 Dividend Option: Cali 06110115 5.000.000 ALLIANZ SE SPONS ADR REPSTG 1110 SHS Dividend Option. Cash 04113115 5,000.000 APOLLO GLOBAL MGM T LLC CL A SUS Dividend Option: Cash 03129111 '.11 283,157.000 APPLE INC COM Dividend Option: Cash 19.0000 09105114 110,180.000 98 9500 ARIAO PHARMACEUTICALS INC Dividend Option: Cash 02114112 '.13 7.535.000 15 2090 01124113 ',13 9.000.000 19 6000 Total Noncovered 16,535.000 Total 16,535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01116101 ..3 70.500 000 21 2770 AVALANCHE BIOTECHNOLOGIES INC COM Dividend Option: Cash 10,000 00 of these shares are in your margin account 04120115 10.000.000 39.8610 d,rw•< Rana P,,.,,, Wean. Paragenen Pdaeals (wrap Gro.p DeAsov km *clones lire von Onto Hann Aneo.160.Iber War wet Ire 1011A Cost Basis Market Price Market Value Statement Period: 0910112015 • 09/30/2015 Unrealized Gain? Loss Estimated Estimated Annual Income Yield 88 9500 18 0110 P*097 22 OCSF 30 OBAN ROLL Security Identifier: BABA CUSIP. 01609W102 444.719 00 58.9700 Semidry Identifier: AZSEY CUSP 018805101 90.056 00 15.6550 Security Identifier: APO CUSIP 031612306 1,999,983.00 17.1800 Security Identifier: AAPL CUSIP. 031833100 10,902,315.41 110.3000 Security Identifier ARIA CUSP 01033A100 5.8100 5.8100 111.597.40 176100.00 290,997.40 0290,997.10 Security Identifier: ASNA CUSIP: 0/3516101 1,500,000.00 13.9100 Security Identifier: AAVL CUSIP: 053376107 398,606.00 8.2400 294,850.00 78,275.00 4,521,03726 12,152,854.00 44.004 10 52.560.00 06,661.40 $96,564.40 980,655.00 82.400.00 Account Num berms Go nanerless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6; ;THERA co F I DAENTIA L -119.899.00 -11,78100 -478.945.74 1,250,538.59 -70,59300 •123.810.00 -191,433.00 -$194,433.00 -519,345.00 -316.206.00 2,833.81 3.62% 615,787.38 13.62% 229,174.40 1.88% 90.00 pate 7 of 20 Rated 1..colibrigi Every Vow. Lea 2007 GALLIA. RATED COMMUNCATIONS ex.:sumer SDNY_GM_00045862 DB-SDNY-0008686 EFTA_GOI5647I EFTA01288834 Portfolio Holdings (continued) Date ired Quiet Limit Cosl Equities (continued) Common Stocks (continued) BASF SE WOWS ADR ISA Li S0552625057 Dividend Option: Cash 04113115 5.000.000 1011110 BANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash 06125114 250,000.000 BIOGEN IDEC INC COM Dividend Option: Cash 02114/12 '.I3 2191000 119 5490 DISH NETWORK CORP CL A Dividend Option: Cash 06110/15 5,000.000 72 9960 FACEBOOK INC CL A Dividend Option: Cash 05117112'.I3 0.500.000 38 0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 25,000.000 08/05114 24.830.000 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113 %Is GENERAL M IRS CO COM Dividend Option: Cash 11118110 12109110 Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105/14 03107114 Total Covered Total 8,100.000 Cod Basis Market Price Markel Value Ilarealized Gain( Loss Estimated Estimated Annual Income Yield Security Identifier: BASF( CUSP: 055262505 508,056.00 76.2620 Security Identifier: BK CUSP: 064058100 36.3060 9,076,406.00 39.1500 Security identifier: BIIB CUSP. 09062X103 251454.95 291.8100 Security Identifier: DISH CUSP: 2541011109 384,978.00 58.3400 Security Identifier: FB CUSP. 3030311102 665.000.00 89.9000 Security Identifier: FM I CUSP: 350465100 27 5070 687,663.50 18.4500 23 2530 50.373.02 18.4500 1 266 036.52 381,310.00 9,787,500.00 611,341.95 291,700.00 1,573,250.00 461,250.00 458,113.50 919,363.60 -126.74600 711.094 00 360,887 00 -73.278.00 908.250 00 -226,413.50 -119,259.52 .346173.02 11,276 50 2.95% 170.000 00 1.73% 23.000.000 21.5700 10.988 200 86,536 800 97,525.000 36 4010 36 8160 $1,265,036.52 Security Identifier: GE CUSP: 369604103 496,109.08 25.2200 Security Identifier: GM CUSP: 37045i/100 399,978.16 30.0200 3,185,969.22 30.0200 3 686 947.38 $919,363.60 580,080.00 329,865.77 2,597,834.73 2,927,700.50 -1346,613.02 83,950.92 -70,112 39 -588,134 49 -656,246.88 $0.00 21,180.00 3.64% 15,823.01 4.79% 124,612.99 4.79% 140,436.00 5,000.000 3.100.000 8,100.000 0181947.38 Security Identifier: GILD CUSP: 375558103 792810 398,407.00 98.1900 791120 246.797 00 98.1900 643,204.00 12,927,700.50 490,950.00 304.389 00 795,339.00 -9651,246.08 94,543.00 57,592.00 152,135.00 1140,436.00 8,600.00 1.75% 5.332 00 1.75% 13,932.00 1643,204.00 $795,339.00 9152,135.00 $13,932.00 Pap 8 of 20 ??09,240CSF30024 Account Num Der OPAL, 40.1.1 Go paperless i t Rated I...M (very YY I`10 2007 507 DALLIAR 2.07170 COMMUNICATIONS rxciustraer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) s'ERZONFIDni-TAL SDNY_GM_00045883 O13-SDNY-0008687 EFIA_00156472 EFTA01288835 Deutsche Asset & Wealth Management P.O. Boa 1778, Babimore, MO 21203 Portfolio Holdings (continued) Date Acquired Quality Unit Cost Equities (continued) Common Stocks (continued) GLAXOSMITHKLINE PLC SPONS ADR Dividend Option: Cash OM 0115 5.000.000 43.0010 GLOBAL PARTNER ACQUISITION CORP L NIT I CON 8 t WT EØ Dividend Option: Cash 07130115 ' 2.000.000 10 0000 GODADDY INC CL A Dividend Option: Cash 04101115 700.060 20.0000 HEALTH NET INC COM Dividend Option: Cash 09108114 25.000.000 46 9800 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05/28113 '. 13 50.000.000 8 4440 SANTANDER CONSUM ER USA HMS INC COM Dividend Option: Cash 01123/14 1.000.000 24.0000 TERRAFORM GLOBAL INC CL A Dividend Option: Cash 07131115 400.000 15.0000 TWITTER INC COM Dividend Option: Cash 11107113 1.500.000 26.0000 VIACOM INC NEW CL B Dividend Option: Cash 06!10115 5.000.000 67 7490 °ruin Ram Pon. *Ink P. lAve•i~ Mw.ets I inerw p Otis< he II" f«,ner". Mew bet M.. Ma Par* Ann«. !Mk Mc, We. wrk. nr NIL Cost Basis Market Price Markel Value Statement Period: 09101/2015 - 09130/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield Security Identifier: GSK CL SIP. 37733W105 215.006.00 38.4500 Security Identifier: GPACU CL SIP 37954X204 20,000 00 9.9800 Security Identifier: GDDY CUSIP: 380237107 14.000.00 25.2100 Security Identifier: NNT CLSIP:42222G108 1.174.506 00 60.2200 Security Identifier: SGM 0 CUSIP 800677106 422.214 00 5.6400 Security Identifier: SC CLSIP- 80283M101 24.000.00 20.4200 Security Identifier: GLBL CUSP. 88104M101 6.000.00 6.6600 Security Identifier: TV TR CL SIR 901841102 39.000 00 26.9400 Security Identifier: VIAB CUSIP 92553P201 331.745.00 43.1500 192.250.00 19.960.00 11.647.00 1.505.500.00 282.000 00 20.420.00 2.664.00 40.410.00 215,750 00 Account Num bet Go paperless •22.75600 -40.00 3.647.00 330.994.00 -140.214.00 -3.580.09 -3.336.00 1.410.00 -122.995.00 12.306.34 6.40% 8.000.00 3.70% SOL THERA ek LLC. (5 N FIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 14~ tAallhoni ilvny year Siva 2'007 DAL DAR RAT CO COMMUNIaTIONS rxerearNet Page 9 of 20 :7Z = 74=1 ga. SDNY_GM_00045864 OB-SDNY-00O8688 EFTA30156473 EFTA01288836 Portfolio Holdings (continued) Date ired Equities (continued) Common Stocks (continued) VOLKSWAGEN A G ADR (PONS) Dividend Option: Cash 04113115 5.000.000 WISDOM TREE INVTS INC COM Dividend Option: Cash 03131115 15,000.000 Total Common Stocks Prelerred Stocks (Listed by expiration date) ALLY FINL INC AX TO FLT DIV4.50%FREQ•QTRLYCALLABLEQ 25.00 ON A OTRLY BASS AFTER 05/15/2016 Dividend Option: Cash 02103112'.11 48,610.000 02109712'.13 81004100 Total Noncoyered Total 126,600.000 GM AC CAP TR I GTO TR PFD SECS SER 2 CPN• 8.125% FRED ORTLY MATY4211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/15118 Dividend Option: Cash 02122112 '.13 80,000.000 23.5350 ROYAL BK SCOTLAND GP PLC SPON AOR REPSTG SER T PFD CPN-7.25% FRED ORTLY F'ERP M TY CALLS 25 MY W130 0 NOTICE AFTR 12/31/12 Dividend Option: Cash 10124/12 '.13 40,004.000 23.7900 01107/13 '.13 40,000.000 24.4400 01114/13 '.13 40.000.000 24.8800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities Quiet Dalt Cosi Cod Basis Market Price Markel Valae Verealized GUI Loss Estimated Estimated Annual Income Yield 126,600.000 21.8110 19.3820 20.1250 Security Identifier: VLKAY CUSP: 928662303 50.8610 254.306.00 23.4300 Security Identifier: WETF CUSP. 97717P104 324,157.50 16.1300 $38,568,039.24 Security Identifier: ALLY PRB CUSP 020058308 903.217.51 25 9300 1,610,000.00 25.9300 1,513,117.51 12.513.217.51 Security Identifier: ALLY PRA CUSP. 361860208 1,882,773.60 25.5300 Security Identifier: RBS PRT CUSP 780097713 951.600.00 977.600.00 995.200.00 2 924 400.00 25.2300 25.2300 252300 117,150.00 241.950 00 $38,908,810.61 1.208.338.01 2,074,399.99 3,262330.00 $3,282,738.00 2,042,400.00 1,009,199.99 1,009,199.99 1,009,200.02 3,027,600.00 •137.15600 -82,207.50 $340,771.37 305.120.50 464.39919 789,520.49 $769,520.49 159,826.40 57.599 99 31,599 99 14,000 02 103,200.00 4104.38 3.41% 4,800.00 1.98% $1,233,710.84 99,025.00 8.19% 170,000.00 8.19% 269,025.00 $269,025.00 162.500.00 7,95% 72.500 00 7.18% 72.500 00 7.18% 72.500 00 7.18% 217,500.00 120,000.000 Minx v. t $2,924,400.00 $7,320,391.11 $45,888,430.35 $3,027100.00 $6,352,738.00 $47,261,548.61 $103,200.00 $1,032,348.89 $1,373,118.26 $217,500.00 $649,025.00 $1,882,735.84 Page 10020 Rated tocollorell Lowy %tn. woes 2007 DAUM. T CD COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. 673 (e)LTHERharKI F I DAMSMA rxenummer Account Number: Go paperless ek .11.Tit-tier .4'7= Iasi LW -IS MC SDNY_GM_00045885 O6-SDNY-0008689 EFrA_00 156474 EFTA01288837 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Portfolio Holdings (continued) Date Acquired Chunky Viii Cod Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: 0 XJ Dividend Option: Cash: Capital Gains Option: Cash CUSP: 97717W851 60,00000 of these shares are in your margin account 12111113 60.000.000 19.4350 2,966,098.50 18.6600 2.919.600.00 .46,498.50 45,236.40 1.54% Total Exchange-Traded Products $2,986,098.50 32,919,600.00 -$40,4911.50 $15,236.40 Unrealised Accrued Estimated Cost Basis Market Value Gain( Loss Interest Annual Income Total Portfolio Holdings ()PASO( Um kmale vitakr. matins tonne Gio‘o ontsciv sem sew/sat, Niue 011nr HS Pm% Asa. 140meer Mrs** NY 101W Statement Period: 0910112015 • 09/30/2015 Unrealized Cost Basis Market Price Markel Value Gala/ Los Estimated Estimated Annual Income Yield $101,800,874.55 $105,363,013.88 $1,619,366.63 $676,775.65 $3,861,798.19 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended r1RC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as non.retiement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on food income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 1 This bond is maturing. 3 The cost basis of this security has been provided to us by you or your introducing km and Pershing makes no representation as to the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Gwent Face value is determined by multiplying the curtent factor times the original lace amount of the security. Factors may change over tine and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. Page 11 of 20 Account Number. Raced Excell•rdi t03AN NOLI Go paperless L very Virar Lace 2007 SOUTHER( CRCS LL . F I DranA L 4 ? [ALDAN RATED COMMUNICATIONS rxest unser CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00045866 DB-SDNY-0008690 EFTA_00156475 EFTA01288838 Portfolio Holdings (continued) [ 13 The cost basis of this security has been provided to us by the delivenng frm or transfening agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transadion Description Quantity Cost Basis Proceeds Realized 0ainl Loaf Disallowance Long Term 09/23/15 12113113' PPP WASPMGTOk MUT MI6 5 ODARA2 NIG PASSIHRU CIF CL C- B•1 VAR RATE 6.510% 07125133 Security Identifier. 939336520 Original Cost BasM 1 462 01 1 290 000 000 1.462 01 1.910.65 448 64 Total Long Term $1,462.01 $1,910.65 3448.64 Total Short Term and Long Term $1,462.01 $1,910.65 3448.64 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaty not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC") (incorporating amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securi0es in this section are securities which are 'covered" under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have evadable to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to N.R. 1424. You should consuk with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranhes with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary Mooned adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations MI not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consuk your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaufted to First In, First Out (FIFO). Your accounts selected tax bl method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Page 12 of 20 Account Number e.t.a .,.,• " Ac bray since 2007 Paperless DAUM. RA TED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R THERN F I DAENT1AC--- rxesturtaer SDNY_GM_00045887 DB-SDNY-0008691 EFrA_00 156476 EFTA01288839 Deutsche Asset & Wealth Management PO. Lica 1778. Sollimore. MO21203 M essages Destine Sim Ponle Ve/f4 It Mamie,. Marais teeny fa tow °taunt Sam seue*es sk. Mn *4 Mar HS Pan Asa.. loth I bet Mrs** NY 101N• Statement Period: 0910112015 • 09/3012015 Please note that the Valuation of a Glance section on page one of your account statement will be updated and renamed Port/goals Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a SHY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2015, Penhing's net capital of 52.179 billion was 10.78% of aggregate debit balances and exceeded the minimum requirements by $1.77 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2015, Pershing's net capital of 52.163 billion was 11.55% of aggregate debit balances and exceeded the minimum requirement by $1.79 A l the June 30, 2015, Statement of Financial Condition is available at ‘wmpershing.comIstaternent-ol-financial-condition. You may also request a free, printed copy by calling or , option 05. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Page 13 of 20 Account Number: Rabid too-NYS Go riles (very Since 2007 08A18 MOIL KLTHERNCO - CALMAR RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DriTriA rxeiturtraer SDNY_GM_00045888 O13-SDNY-0008692 EFrA_00 156477 EFTA01288840 Activity Sum m a ry (All amounts shaven are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Securities Bought 0 00 0 00 0 00 0.00 -9.511.027.50 -9.514.027.50 Securities Sold 0 00 0 00 0 00 170,757.03 0.00 17025203 Securities Withdrawn 0 00 0 00 0 00 0.00 -3,383.998,80 -3,383.998.80 Total Securities $0.00 $0.00 $0.00 $170,757.03 -$12,898,026.30 .$12,727,289.27 Dividends and Interest $135,554.11 $0.00 $135,554.11 $1,997,706.09 $0.00 $1,997,708.09 Distributions $0.00 $0.00 $0.00 $1,200,875.60 $0.00 $4,240,875.60 Fees $0.00 -$12.00 -$12.00 $0.00 -$286.00 -$286.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,581.18 -$6,581.18 Other $0.00 $0.00 $0.00 $68,692.73 -$68,692.73 $0.00 Cash Withdrawals 000 -10.000.000.00 -10.000.0-00 00 0 00 •15.970.169 96 -15 970.169 96 Deposits 0.00 0 00 0 00 2,093 627 43 0 00 2,093 627 43 Total Cash $0.00 .$10,000,000.00 .$10,000,000.00 $2,093,627.13 -$15,970,169.96 -$13,876,542.53 Money Market Funds $0.00 $0.00 $0.00 $2,418,952.83 -$1,780,931.93 -$2,331,979.30 Totals $135,551.11 -$10,000,012.00 -$9,864,457.89 $11,020,611.51 -$33,724,618.10 -$22,704,036.59 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 09/25/15 80ND INTEREST RECEIVED 1290000 WASHINGTON MU T MTG SECS CORP 70041292 3.796.40 LSO 939336S20 LIM PASS1116 CTF Cl. C-B-1 VAR RATE 6.510% 07125/33 WE DID 06101/01 RD 08/31 PD 09/25115 09125115 CASH DIVIDEND RECEIVED 60000 SH RS WISDOM TREE TR JAPAN HEDGED EQUITY FD RD 3,142 60 USD DX.1 09/23 PD 09125115 09/28/15 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35,681.25 LSD 539139AG1 ADDL TIER 1 SECS 'SINS U 39139AG42 7.500% 09/27188 WE DTD 0/107114 CLB RO 09/25 PD 09/27/15 09/29/15 CASH DIVIDEND RECEIVED 97525 SN RS GENERAL M TRS CO COM RD 09114 PD 09129115 35.109.00 LSO GM 09129/15 CASI. DIVIDEND RECEIVED 8100 Si-RS GRIND SCIENCES INC RD 09716 PD 09/29115 3,483 00 LSD GILD Page14 $20 tiltAD Rol LLC. FIDESITIAL ON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Account Num her Go paperless Rated tscolibrill (very Va.since 2007 CAL.*. RAT CO COMMUNCA MONS rxenmsser SDNY_GM_00045869 DB-SDNY-0008693 EFTA_00156478 EFTA01288841 Deutsche Asset & Wealth Management P.O. Bat 1778, Babimore, MO21203 Transactions by Type of Activity (continued) Process/ Settlement Date Activity T Demiotioe Dralsre Rana Pn.a. WerknPAP•airnall NYf6l Dome 6,0‘P Devisov ML%won +Ic lin. von Oilt• In Pan Anis.. 160. I be, War *A in• 10114 Quiet Statement Period: 0 910112015 • 09/30/2015 Price Accrued Interest Amain Carreec Dividends and Interest (confirmed) 0900/15 MONEY MARKET FUND INCOME RECEIVED 233993682 09130115 FOREIGN SECURITY DIVIDEND RECEIVED RBS FRI DEUTSCFE GOUT CASF 120000 SFRS ROYAL BK SCOTLAND GP PLC SPON ADR RESTS SER T PFD CPN-7.25% FRED DRILY PEW M TY CALL° 25 ANY WI30 D NOTICE AFTR 12131112 RD 09115 PO 09130/15 966 88 54.375 00 USD USD Total Dividends and Interest- UNITED STATES DOLLAR 0.00 135,554.11 Fees 09101115 FOREIGN CUSTODY FEE Fgn Safekeeping AUG 2015 OAP G4515P-P4.8 -2.00 USD 04515F948 09101115 FOREIGN CUSTODY FEE Fgn Safekeeping AUG 2015 CUSP 054339-8G-8 -2.00 USD 054339808 09101115 FOREIGN CUSTODY FE Fgn Safekeeping AUG 2015 CUSP P78071I-AF.2 -2.00 USO P7807FAF2 09130115 FOREIGN CUSTODY FEE Fgn Safekeeping SEP2015 CUSP. GaSI5RP4.8 .2.00 USD 04515PP48 09130115 FOREIGN CUSTODY FEE Fgn Safekeeping SEP2015 CUSP. 054338.80.8 -2.00 USO G54338B68 09130115 FOREIGN CUSTODY FE Fgn Safekeeping SEP2015 CUSP. P7807F -AF-2 -2.00 USD P7807FAF2 Total Fees • UNITED STATES DOLLAR 0.00 .12.00 Cash Withdrawals and Deposits 09101115 FEDERAL RADS SENT BIA0 FARRIS BANK NA -7.500.000.00 USO LSD999997 091213115 FEDERAL FUNDS SENT DEL TSCFE BANK TRUST 4,500,000.00 USD L 50999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .10,000,000.00 Total Value of Transactions 0.00 .9,864,457.89 USD The price and quantity displayed may have been rounded. liftAR ROLL Page 15 of 20 Account Num ber Go paperless LLC. FIDA TIAL ON EN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Rasa [amain@ Even. V... Late 2007 DALBAR RATED COMMUNICATIONS exclaimer Clan on...m.•••••AC • ...dry a...anis, r TWO lime •I No. vs. treeeten ablini••••• *Oa... tr. SO•40•01.04A ,I4‘. idPe SDNY GM 00045870 DB-S5NY:0008694 EFTA_00 156479 EFTA01288842 Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COM 09121/15 10125/15 23.000 000 0 230000 Cash 5.29000 VIACOM INC NEW CL B 09/15/15 10101;15 5.000 000 0.400000 Cash 2.000.00 Total Cash Not Yet Received 51,290.00 Bond Maturity Schedule Bond Maturity Market Valle % of Bond Market Value Within 1 nonth 2,481,250.00 9% I to 5 years 3,685,880.00 13% 6 to 10 years 1,954,050.00 7% 1- 1 Over 10 years 19,174,759.43 71% Li Total 21,095,930.43 100% Bond Quality Bond Qualily Market Value BAS 10.841.250.00 MiLower 17.054,689.43 Total 27,095,939.43 Client Service Information %of Bond Market Value 39% 61% 100% Percentages of bond market values are rounded to the nearest whole percentage. Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAN DANIEL SABEIA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other SecuAtiet FIRST IN RRST OUT Bond Amortization Elections: Treat al interest as original issue discount (OID): No Am orbze premium on taxable bonds based on Conant Yield Method: Yes Accrual market discount method for all other bond types- Constant Yield Method Include market discount in income annually: No Account Number: Mad excel.. ROIL BC047.NOCEF30,:t Go paperless Lvery Yaw Sinew 2007 SOLTHERN Si co F I DALTITIA 0ALBAR RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) rxesurtraer Page 164020 — SDNY_GM_00045871 DB-SDNY-0008695 EFTA_00 I 56480 EFTA01288843 Deutsche Asset & Wealth Management PO Boa 1778. Baliimoro. MD 21203 Your Account Information (continued) I Electronic Delivery You have not seleded any account corn m unit:Miens for electronic delivery. To register and turn off paper communications log in to your account or contact your Client Advisor for more information. DrainellYnt P0•110 'MP 4I Mweits Cooerag,Gtoyp °taunt Sat StueNei Now In Mar 30 Pin Asaw, loth tom Mrs** NY 101M Statement Period: 0910112015 • 09/30/2015 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short posrtions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'K and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, arid may be affected by current and future economic, political, and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of princMal may be included in the figures for certain securities, thereby overstating them. Refer to wmv.pershing.com/busirass_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been renrested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised autocratically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating intonation obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not penritted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responstrle for any errors or Page 17 of 20 Account Number riaNed tocellenti I , KA.' Go paperless ay y L very VestSince 2007 SO L THERA Ckt5KI FIE SEN11 A rDAxarLOAultrNe itArTO)000ANILIFOCATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) ..°1-1.Tat" SDNY_GM_00045872 OB-SDNY-0008696 EFrA_OO I 56481 EFTA01288844 Important Information and Disclosures (continued) Ratings (continued) omissions. regardless of the cause. cc for the results of using such content Standard & Pools makes no express or implied warranties includin warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (w) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will nal hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in enrol for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For mete detailed information please visit: www.pershing.comfaboutIstrengthanthstabilny. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wining to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration Maim in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Page IS of 20 Account Nun tier Go paperless KL THERA CSN ON LLC. FI Drat EAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Ratml tocelloni [way Voor Sims 2907 DAL BAR RATED COMMUNICATIONS [ROIL INCE SDNY_GM_00045873 OB-SDNY-0009697 EFIA_001 56482 EFTA01288845 Deutsche Asset & Wealth Management PO &a 1778. Ballimore, MD 21203 Important Information and Disclosures (continued) Desist.< Rota PnwilevkanDaragenan wrens Codrage6Km) oftiscry smongs Lac Onigir HI Pan Ratak Halter War to ItY 10114 Statement Period: 09/01/2015 • 09/30/2015 Important Arbitration Agreement My controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact intonation is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Account Number OftAkl ROLL Go paperless SOUTHERN I!, LLC. F I DA N EN L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page19020 Med Cacellera Evert Year a Y 2007 DAL BAR RATED COMMUNCATIONS rxciurnaer 4-“.044 —4-•••••• ••••• SDNY GM 00045874 DB-SDNY-0008698 EFTA_00156483 EFTA01288846 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FNANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. TIE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGN ACCOUNT. THIS IS A COMNNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST MID OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS r• ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT, ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MIXER, SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TILE OF ANY TRANSACTION YOU MAY LUXE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COMMISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(AWN-12)1 PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTOR: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECUMTES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (M380). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET 14 THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH:NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS ANO CONDITIONSARE UNACCEPTABLE TO YOU. REASE NOTFY PERS-IN3 IMMEDIATELY IN WRITING BY CERTFIED MAIL TO ONE PERSHING PLAZA JERSEY CITY. NI 07399, ATTN' LEGAL DEPT Page 20 020 Account Number Ra•Y ImINS Go paperless ...Y V." vnu 2°°7 SOUTH ERIN Cri LC_ N F I DrwriAc---e- DAL BAR RA TED COMMUNICATIONS rxest.rwer SDNY_GM_00045875 OB - SDNY - 0008699 EFTA_00156484 EFTA01288847 Deutsche Asset & Wealth Management P.O. Box 1778, Ballimore, MD 21203 DmIwo Rant km!. Wolin &Worm Pdaeals Coon., 6, .p Des0477 ML %„,a+ +w. lire Ont• Na Pult 4„y_ 160. I bet Pk-. wet in* Ian. Valuation at a Glance Account Number: Statement Period: 081011201$ - 0813112015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $125,334,293.94 $126,714,293.02 6100 RED HOOK QUARTER B3 het Cash Depots and Withdrawals -826.992 53 -3.876.512.53 ST THOMAS VI 00802 K el Securities Int Out of Account .3.383,998.80 -5.867.790 80 Adjusted Previous Acosunt Value 121,123,30241 116,909,959.89 Dividends, Interest and Other Income 135,220.92 2.285,831 75 Total Taxes Withheld 000 -6,561.18 Net Other Activity 0 00 -254.00 Your Client Advisor: 49 het Chan, e in Portfolio .4.352,216 .2.042.672 22 DAS IEL SABBA nding Account Value $ 1 1 7 2 0 6 3 0 7 0 4 $1 1 7 2 0 6 3 0 7 0 4 Accrued Interest $556,215.44 Estim ated Annual Income $3,856,768.25 Asset Allocation Prior Year-lad tad Period Ibis Period % Allocation SD Cash. Money Funds and Bank Deposits 44,273,984.33 40,562,801.44 37,150,383.73 31.70% LSD Axed Income 18,177,455.58 17,508,60321 20,400,148.10 17.41% h on-I, SD Axed Income 7.150,052.50 7,846,312.50 7,781,22125 6.64% SD Equities 54,128,544.61 55,921,496.79 48,693,705 96 4151% hon-LISD Equities 2.986.256.00 3.495.080.00 3.180.848.00 2.71% A unt Total Dile Chart) 1126,714,213.02 $125,334,293.94 8117,208,307.04 100.00% See the Asset A, bcabon Disclosure and Footnotes secton br important iniconetian reputing you Asset flotation. 117AN Quit CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 8009809 CSF300l7 Go paperless CONFIDENTIAL - I P ease review your allocation cer cdray wth your Client Advisor. Page 1 of 18 L•colloni 'Inn, Van Siva 2007 0ALBAR RATED COMMUNICATIONS rxesarmer SDNY_GM_00045876 DB-SDNY-0008700 EFTA_00 156485 EFTA01288848 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 08/3112015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Tern, Gain/Loss 0.00 100.107 03 957 267 02 LongiTerm Gain/Loss 447 28 111 A67.65 2 607 760 08 Net Galniloss 447.28 211,571.68 3,585,027.10 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type DeccriMion Mount Bahia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num Der 0000001490 Current Yield: 0.04% Activity Ending: 08131(15 08101115 Opening Balance 40,562,801.44 40,562,801.11 08105115 Deposit LIOKEY RAD PURCHASE 73,109.90 40,635,911.31 08/12115 Withdrawal MOKEY MAO REDEMPTION -3.000.006.00 37.635.905.31 08114/15 Deposit MOKEY FUND PURCHASE 116.75600 37,752,661.31 08/18115 Deposit MOK EY FUND PURCHASE 107,88129 37,860,542.63 06126/15 Deposit MOKEY FUND PURCHASE 3,789.92 37.864,332.55 08127/15 Deposit LIOAEY FUND PURCHASE 1,200.00 37,865,532.55 08131/15 Withdrawal MOKEY FUND REDEMPTION ,716,166.59 37,149165.96 013131,15 Deposit IlsCOME REINVEST 1,317.77 37.150.383.73 08/31115 Closing Balance 637,150,383.73 Total All Money Market Funds 637,150,383.73 Income and Expense Summary Current Period Yeart-Dale Taxable Nos Taxable Taxable Noe Taxable Dividend Income Equities 185,212.25 0.00 768,642.15 0.00 Money Market 1,317.77 0.00 10,551.59 000 Other Dividends 0.00 0.00 463,164.80 0.00 Interest Income Bond Interest 97,53912 0.00 499,918.32 0.00 Other Interest 10,625.04 0.00 121,875.12 0.00 Pap 2 of 18 Account Number: Go paperless c t .a) Rated trear.,,, rear.,,, OSAS 7OO. beery Year Since 2007 SOUTHERN 5 F I DAENTIA CALMAR RATED COMMUNCATIONS rxarartraer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00045877 DB-SDNY-0008701 EFTA_001564S6 EFTA01288849 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Income and Expense Summary (continued) Expenses Withholding Taxes Fees(Foreign Securities' Total Dividends, Interest, Income and Expenses Distributions Alternative Investments Other Distributions Total Distribudons Portfolio Holdings Deasre Boa km,. vinia Pm.genan IdLreilL COMO.Group OtellON let stare" at. me. Irk 011c• 30 ON AS.* member weer** BY IOW Statement Period: 01/01/2115 -1113112115 Current Period Year4o-Date Taxable Noe Taxable Taxable Non Taxable 0.00 0.00 0.00 0.00 43,561.18 .200.00 0.00 0.00 $324,891.98 0.00 0.00 10.00 110,525.94 0.00 51,/55,310.80 0.00 0.00 $0.00 123,682.77 89.010.40 $0.00 $110,525.04 $0.00 3513,2017 Account Adivity Opening °Sag Aimed Income 3O-Day Carrot Opening Date Quantity Number Ending Balance Balance Income Ibis Year Yield Yield Cash, Money Funds, and Bank Deposits 32.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTI. 08101115 37.150.383.730 0000001490 08131115 10.562.801.41 37.150.383.73 0.00 10.551.59 0.04% 0.04% Total Money Market 040,562,001.44 $37,150,313.73 30.00 $10,551.59 Total Cash, Money Funds, and Bank Deposits $40,562,801.44 $37,160,313.73 $0.00 $10,551.59 Adjusted Unrealized Accrued Estimated Estimated Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gainl Loss Interest Annual Income Yield Fixed Income 24.00% of Portfolio (In Maturdy Date Sequence) 'Asset Backed Securities WASHINGTON UT TG SECS CORP 2004-RA2 Security Identifier: 939336S20 M TG PASSTH RU CTFCL C.17-1 VAR RATE 6.481% 07125133 WE DTD 06101101 S8 P Rating D Fedor 0.54246401 Effective Date:08103/15 Current Face Value: 699,778.573 12113113'.3.12 1,290,000.000 76.5190 535.460 83 84.4050 590.648.10 55.187 27 3,779.83 Page 3 of 18 Account Number: kilted facellerigi OLIALI NOLL P*098 091CSF 301: Ga paperless ets (very Vs. Sono, 2907 DAL MR RATED CO...MU...CATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERh F I DriTrIA rxestur NCI SDNY_GM_00045878 DB-SDNY-0008702 EFTA_00 156487 EFTA01288850 Portfolio Holdings (continued) Date Acquired Quantity Ueit Cod Adjulted Cod Bags Market Prim Markel Value Fixed Income (continued) 'Asset Backed Seaultles (continued) WASHINGTON MUT NTG SECS CORP 2004•11A2 (continued) Original Cosl Bass $538 9D6 71 Total Asset Backed Securities 1535,460.83 $590,648.10 1,290,000.000 Total Current Face Value : 699.778.573 Corporate Bonds PETROLEOS DE VENEZUELA Security Identifier: P7807HAF2 NOTES SENIOR ISINIX$0460546525 5.000% 10128/15 REG DTD 10/28109 S t P Rating B+ 12104(13'.3.12 2.500.000 000 99 0650 2.476.613.94 98.4000 2,460,000.00 Onmnal Cosl Ban $2.250,00100 EARTHUNK INC GTD SR NT FULLY EXCHANGED Security identifier: 270321AC8 CL SIP FROM 270321468 8.875% 05/15/19 WE DTD 05117111 CALLABLE 09/02115 SS P Rang CCC• 10/22/12 '4. 12 146,000.000 102.1990 149,210.47 103.0000 150,380.00 Original Cosl Ban $151.110.00 10/23/12 '. 3.12 600,000 000 102 0440 612.262.35 103.0000 618,000.00 Original Cost Bat $619.500.00 Total Nonconred 746,000.000 761 472.62 70,380.00 Total 746,000.000 $781,472.82 $766,380.00 FRONTIER CON II UNICABONS CORP Security identifier: 351106AAH1 SR NT 8.500% 04115/20 WE DTD 04/12/10 1ST CR DIE 10115/10 Moody Rating 8A3 S P Rating BB- 07/06/15 3,000,000.000 105 5570 3,166,708.87 102.7500 3,082,500.00 Ongmal Cost Ban 53.171.006.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G1S1SPP48 TERM NOTES ISM 00717735822 9175% 12/16/21 REG DID 12/16111 Moody Rating Sal S P Rating BBB 12/0411 3 '. 3.12 1,500 000 000 107 1210 1,606.809.58 109 5310 1,642,965.00 Original Cost Basis: 51.627.500.00 BARCLAYS BK PLC CONTINGENT CAP NT Seaulty Identifier: 06739FHK0 ISM* LS06739FF KO3 7.750% 04/10/23 WE DTD 0010/13 CALLABLE 0010/18 S b P Rating Fl8+ 04/03/13'.12.13 300.000.000 100 0000 300.000.00 108.0000 324.000 00 Original Cost Basit $300,000.00 Unrealized Gain/ Lou Accrued Interest Estimated Estimated Annual Income Yield Account Num Der Go paperless SOL THERA CH LLC. N F I DriveriA L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 155,187.17 $3,779.63 10.00 -16,613.94 42,708 33 125,000 00 5.08% 1,169.53 3,815.26 12,957.50 8.61% 5,737.65 15,679.17 53,250.00 8.61% 6,907.18 19,494.43 66,207.60 $6,907.18 $19,494.43 $66,207.50 -84,208.87 96,333.33 255,000.00 8.27% 36,155.42 104,510.42 148,125 00 9.01% 24.000 00 9.108.25 23,250.00 7.17% Page 4 of 18 &kid tocollerigi Lvery Wier ZO07 DALOAR RATED COMMUNCATIONS rxesurtaer =r= SDNY_GM_00045879 OB-SDNY-0008703 EFrA_00156488 EFTA01288851 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SIM REPSTG 1/10Th PFD SER 1 FIXED TO FLTG RT BD 7.900% 04129149 B/E DTD 04123108 Moody Rating BAA3 S P Rating BBB. 06115111 t 3.12 2,500,000.000 107.5000 2.687.500.00 105.0000 Original Cost Basis: 52,687,500.00 06/15111 '.3.12 2 500,000 000 107 0000 2,675,000.00 105.0000 Original Cost Basis: 52.675.00000 Total Noncovered 5,000,000.000 6,362,600.00 Total 5,000,000.000 66,362,500.00 BANK AM ER CORP PERP NON COM ULATIVE DEP SFS FIXED TO FLOAT 8125% 0413015881E DTD 04130108 CALLABLE 05115/18 Moody Rating BA2 S8 P Rating BIP 01/10111 '.3.12 2.000,000 000 102 7500 Adjusted Cost Basis 0rvitec ,1/2 ...Yrnsil manair-wa Marotts Coettia6.a.p De.tic la Nom Secy.., M. mg,. bete Mar 14,Pant Annw. iloct tine t,h. 1.v vA Market Price Market Value Statement Period: 08/01/2015 - 08/31/2015 Unrealized Gain/ Loss Accrued Estimated Estimated Interest Annual Income Yield Security Identifier: 4662SHHA1 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01(17/62 B/E DTD 01/17/12 CALLABLE 02/01122 0 100.000 Moody Rating BAA1 S8 P Rating BBB- 01130112 '.3.12 3,000.000 000 99 8240 GENERAL ELEC CAP CORP NON CUM PIO SER A 7.125% 06/12/62 8/E DTO 06/ 12112 CALLABLE 06115/22 Moody Rating BAA1 Sd P Rating As 06127112 '.12.13 2.000.000.000 104.5910 Security Identifier: 060505DT8 2,055,000.00 105.6250 Original Cost Baas: 52.055,000.00 Security Identifier: 842400FU2 2.994,710 64 110 4500 Original Cost Bass $2.992.564 97 Security Identifier: 3696225146 2,091,828 43 115.3700 Original Cost Bass: 52.122.916.67 2.625.000.00 2,625,000.00 5,250,000.00 $5,250,000.00 2,112,500.00 3,313,500 00 2,307,400 00 Account Num Der (54) plc0nerleSS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 673(e )LTH ERN CO. NI F I DESITIAL •62.50000 65.833.34 197.500.00 7.52% •50,00000 65.833.33 197.500.00 7.52% ,112,500.00 131,666.57 395,000.00 -$112,500.00 $131,666.67 $395,000.00 57500 00 47.84722 182,500.00 7.69% 318,789.36 15,625.00 187,500 00 5.65% 215,571 57 30,083.33 142,500.00 6.17% Page 5 of 18 listed tacell•ra (very Vs, Siva 2'007 DAL BAR RATED COMMUNCATIONS rxenurnser SDNY_GM_00045880 OB-SDNY-OOO87O4 EFIA_00156489 EFTA01288852 Portfolio Holdings (continued) Date ired Quaith UmIt Cosi Adiumed Cost Basis Market Price Markel Value Unrealized Gain, Loss Accrued Interest Estimated Estimated Annual Mame Yield Fixed Income (continued) Corporate Bonds (continued) CMGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 WE DID 08112/15 CALLABLE 08/15120 0 100 000 S 8 P Rating BB+ Security Identifier: 17298725 08106115 3.000.000000 100 0000 3.000.006.00 99.1710 2.975.220.00 •24.788.00 9.420 83 178.500 00 5.99% Original Cosl Basis: S3.000006.00 LBO CAPITAL NO 1 PLC 14414 &malty Identifier: G54338868 ISA. XS0473108283 8.000% 09/15188 REG DID 12115109 CALLABLE 06115/20 S8 P Rating BB+ 12/04/13 '.3,11 1.200.000.000 108 2500 1.299.000.00 114.0000 1,368,000.00 69.000.00 20.266 67 96.000.00 7.01% Original Cod Basis: $1,290000.00 'LLOYDS BANKING GROUP PLC FXD RATE RESET Sloan)! Identifier: 539439AG4 ADDL TIER I SECS ISINSLIS539439A042 7.500% 0912718/ EUE DTD 04107114 S 8 P Rating BB- Please Provide' 1,903,000.000 N/A Please Provide 104.3150 1080256.25 N/A 25,373.33 142,725.00 7.18% Original Cod Basis: Pease Provide Total Corporate Bonds $25,114,850.28 927,590,721.25 1489,814.72 9552,435.81 91,922,307.50 26,119,000.000 Total Fixed Income 925,550,111.11 $21,101,3$9.35 9545,001.99 9550,215.44 91,922,307.50 27,139,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gale/ Loss Annual Income Yield Equities 41.00% of Portfolio Common Stocks M OBILEYE NY AM STELYEEN ORD SliS ISM/ NL0010831081 Dividend Option: Cash 0810111/ 800.000 25.0000 AKORN INC COM Dividend Option: Cash 06110/15 5,000.000 16.8110 AUBABA GROUP liLDG LTD SPONSORED ADS ISINOUS01609W1027 Dividend Option: Cash 06110/15 5,000.000 88 9500 ALUANZ SE SPONS AIM REPSTG 1110 SIIS Dividend Option: Cash 04113115 5.000.000 18.0110 Security Identifier: M BLY CUSP. N51488117 20,000.00 56.5800 Security Identifier: AKRX CUSP. 009728106 234,206.00 39.7900 Security Identifier: BABA CUSP. 01609W102 141,719.00 66.1200 Security Identifier: AZSEY CUSP 018805101 90.056.00 15.9390 15.218 00 198.950 00 330.600.00 79,895.00 25,248 00 -35,256.00 ,114,119.00 .10,381.00 2,833.84 3.55% Page 6 of 18 litaled excellent, (very Year Since 2007 CALMAR RATE000MMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6: THERM F I rxeffurtraer Account Number: Go paperless DAnTriA SDNY_GM_00045881 OB-SDNY-0006705 EFTA_001 56490 EFTA01288853 Deutsche Asset & Wealth Management PO Bat 1778, Babimore, MO 21203 Portfolio Holdings (continued) Date Acquired Chiantity Unit Cost Equities (continued) Common Stocks (continued) APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option. Cash 03129111 '.13 APPLE INC CON Dividend Option: Cash 09105114 Ovviv.c R•nt M.nets te.tne •cc p a.€,o Bar Sec, "4. M. VI« brit Me 14,P ant Annw. 1011•31cce F.1. nr 101:4 Cost Basis Market Price Market Value Statement Period: 08/01/2015 - 08131/2015 Unrealized Gam/ Loss Estimated Estimated Annual Income Yield 263.157.000 110.180.000 ARIAD PHARMACEUTICALS INC Dividend Option: Cash 02114112 ',II 7,535.00D 01124113 '.13 9.000.000 Total Noncovered 16,535.000 Total 16,535.000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 01116101 '.3 7C.500,000 21 2770 AVALANCHE BIOTECHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shales ate in your margin account 04120115 10.000.000 39 8610 BASF SE SPONSADR IMO U 50552625057 Dividend Option: Cash 04113115 5.000.000 101.6110 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06125114 250.000.000 36.3060 BIOGEN IDEC INC COM Dividend Option: Cash 19 0000 98 9500 15 2090 19 6000 Security Identities: APO CL SIP 037612306 4.999.983 00 18.5800 Security Identifier: AAPL CUSP 037833100 10.902.315.41 112 7600 Staidly Identifier: ARIA CUSP 04033A100 114,597.40 9.4400 176.400.00 9.4400 290,997.40 3290,997.40 Security Identifier: ASN A CL.SIP 043516101 1.500.000 00 12.0700 Security Identifier: AAVL CbSIP: 053376107 4.889.457 06 12.423.896.80 71,130.40 84.960.00 156,090.40 •110.52594 1,521.581 39 -43,46700 .91,440.00 ,134,907.00 615.787.38 12.59% 229.174.40 1.84% 398,606.00 10.4600 Security Identifier: BASFY CUSP 055262505 508,056.00 80.4740 Security Identifier: OK CUSP. 064058100 9.076.406 00 39.8000 Security Identifier: BIIB CUSP: 09062X103 3156,090.40 850.935.00 104.600.00 402,370 00 9.950.000 00 -3134,907.00 -649,065 00 •294.00600 -105.686.00 873.594.00 30.00 11,276.50 2.80% 170.000.00 1.70% Page? of 18 Account Num ber. Rated excellent Go paperless tn.." 2°W SOL THERA CO.LI KCI IN r urismALt.. Ktgag V.' comp., ',Don CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) SDNY_GM_00045882 OB-SDNY-0008706 EFIA_00 156491 EFTA01288854 Portfolio Holdings (continued) Dale '•aired Quantity Unit Cost Equities (continued) Common Stocks (continued) BIOGEN ID EC INC CON (continued) 02114/12 2,095.000 119 5490 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 FACEBOOK INC CL A Dividend Option: Cash 05117112'.13 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105/14 Total Covered Total 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113'.13 GENERAL NTRS CO COM Dividend Option: Cash 11118/10 ' 12109/10 Total Noncuvered Total 91,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105114 03107114 Total Covered Total 8,100.000 GLAXOSM 'TULIN E PLC SPONS A DR Dividend Option: Cash 06110115 5,000.000 13 0010 GLOBAL PARTNER ACQUISITION CORP UNIT I CON & IWT EXP Dividend Option: Cash 01130/15 ' 1000.000 10.0000 Cod Basis Market Prke Markel Value Unrealized Geld loss Estimated Estimated Annual Income Yield 250,154.95 297.3000 Security Identifier: DISH CUSP: 25470M 109 5.000.000 72 9960 384.978.00 59.2700 Security Identifier: FB CUSP: 30303M 102 17.500.000 38 0000 665.000.00 89.4300 Security Identifier: Fill CUSP 350/65100 25,000.000 27 5070 687,663.50 23.5400 24.830.000 23 2530 577.373.02 23.5400 49,830.000 1,266,038.52 11,286,030.52 Security Identifier: GE CUSP: 369604103 23,000.000 21.5700 496,109.08 24.8200 Security Identifier: GM CUSP: 37045V100 10,988.200 38.4010 399.978.16 29.4400 88,536.800 36.8160 3,185,969.22 29.4400 91,525.000 3,586,947.38 23,556,917.35 Security Identifier: GILD CUSP. 375558103 5,000.000 791810 396,107.00 105.0700 3,100.000 79 6120 246.797.00 105.0700 8,100.000 643,204.00 622,813.50 296,350.00 1,565,025.00 588,500.00 584,498.20 1,172,995.20 21,112,998.20 570,860.00 323.492.62 2,547,643.38 2,811,135.00 22,871,138.00 525,350.00 325.717.00 561,067.00 372,388.55 •68,628.00 900.025 00 -99,163.50 7.125.18 .92,038.32 -$92,035.32 74,750.92 -76.485.54 -638,325.84 414,511.31 -2714,511.35 128,943.00 78,920.00 207,663.00 $0.00 21,160.00 3.70% 15,823.01 4.89% 124,612.99 4.89% 140,436.00 $140,436.00 8,600.00 1.63% 5.332.00 1.63% 13,932.00 0870 Well $843,204.00 Severity Identifier: GSK CUSP 37733W105 215,006.00 40.9300 Severity Identifier: GPACU CUSP. 37954X201 20,000.00 10.0000 2551,087.00 204,650 00 20,000.00 $201,883.00 -10 356 00 0.00 $13,932.00 12,385.86 6.05% Page 8 of 18 Rated tacelleni beefy Veer Lace 2007 OALBAll RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R 6:J1:MEW' COHN F I DrErriA rxesturraer Account Number: Go paperless et ) SDNY_GM_00045883 OB-SDNY-0008707 EFIA_00156492 EFTA01288855 Deutsche Asset & Wealth Management P.O. Boa 1778, &Almon", MO 21203 Portfolio Holdings (continued) Date Acquired Equities (continued) Common Stocks (continued) GODADDY INC CL A Dividend Option: Cat 04/01115 700.000 20 0000 HEALTH NET INC COM Dividend Option: Cash 09108/14 25.000.000 46 9800 SANGAM 0 MOSCIENCES IN C COM Dividend Option: Cash 05/28113 ..13 50,000.000 8.4440 SANTANDER CONSUMER USA HLDGS INC CON Dividend Option: Cash 01123114 1.000.000 24.0000 TERRAFORM GLOBAL INC CI. A Dividend Option: Cash 01131115 400.000 15.0000 TWITTER INC COM Dividend Option. Cash 11/07/13 1,500.00 26 0000 VIACOM INC NEW CL 8 Dividend Option: Cash 06110115 5,000.000 67 7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option: Cash 01/13/15 5,000.000 50 8610 WISDOM TREE INVTS INC COM Dividend Option: Cash 03131115 15.000 000 21 6110 Total Common Stocks Quantity Unit Cost 0eviv &int w.• Paamir-wren Marto. ,.n 6.0.P 0...tufa Ba M. Yiv bete Mar 14,Pant Armco. noct tine writ tied la VA Cost Basis Market Price Market Value Statement Period: 08/01/2015 - 08/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield Security Identifier: MY CUSIP 380237107 14.000 00 25.0800 Security Identifier: HNT CUSP:422226108 1.174.506 09 64.0600 Security Identifier: SGM 0 OAP 800677106 422,214.00 7.5600 Security identifier: SC CUSIP. 8028311101 24,000.00 22 4600 Security Identifier: GLBL CUSP. 8810411101 6.000.00 9.7400 Security identifier: TW TR CL SIP 901811.102 39,000 00 27 7900 Security Identifier: WAS COMP 92553P201 338,745 00 40.7700 Security identifier: VLKAY CUSP 928662303 251.306.00 37.3570 Security Identifier: WETF GUMP 97717P104 321.157 50 18.7500 $38,568,039.24 17.556.00 1.601.500.00 378,000.00 22.160.00 3.896.00 41185 00 203,850 00 186.785.00 281.250 00 140,343,753.96 Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67e)UMI ERN CO N F I Dr1SMAL 3.551.00 426.994.00 .44,214 00 4510.00 4,104.00 2,685 00 -134.89500 •67.52100 -42.907 50 31,775,711.72 8,000.00 3.92% 4.004.38 2.14% 4.800.00 1.70% 11,233,790.36 Purger 18 Rated tscelbnil Unary 'Year Siva 2007 DAL 0411 RAVED COMMUNICATIONS 7XCILL7Net SDN Y_GM_0004 5884 OB-SDNY-0008708 EFIA_00156493 EFTA01288856 Portfolio Holdings (continued) Date "sired Quasi Uoit Cosl Cod Basis Market Price Markel Value Unrealized Gala! Loss Estimated Estimated Annual Income Yield Eq uities (continued) Preferred Stocks (listed by expires'', date) ALLY ANL INC FIX TO FLT DIV43.50% FREO-OTRLY CALLABLE 0 2100 ON A OTRLY BASIS AFTER 05/15/2016 Dividend Option: Cash Security Identifier: ALLY PRB Eli SIP 02005A 308 02103112 *J3 46,600.000 19.3820 903,217.51 26 0000 1,211,600.01 308,382.50 99,025.00 8.17% 02109112'.12 80,000.000 20,1250 1,610,000.00 26 0000 2.079.999.99 469.999 99 170,000.00 8.17% Total Noncovered 126,600.000 2,513,217.51 3,291,600.00 778,382.49 269,025.00 Total 126,600.000 92,613,217.51 $3,291,600.00 $771,382.49 $269,025.00 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - 8.125% FRED DRILY MATT-0211512040 CALL ANYTIME 0 25 W130 DAYS BEGINS 02/15116 Dividend Option: Cash Seterity Identifier: ALLY PRA CUSP 361860208 02122/12'.13 80,000.000 215350 1.882,77310 25.5300 2,042,400.00 159,026 40 162,500.00 7.95% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG SER T PFD CPN•7.25% FRED ORTLY F'ERP MTV CALLO 25 ANY W130 LI NOTICE AFTR 12/31112 Dividend Option: Cash Stonily Identifier. RBS PRT CUSP. 780097713 10/24/12 ',13 40,000.000 23.7900 951,600.00 25.5100 1,020,399.99 68,799 99 72,500.00 7.10% 01/07/13 40,000.000 24.4400 977,800.00 255100 1,020,399.99 42,799 99 72,500.00 7.10% 01114/13'.12 40,000.000 24.8800 995,200.00 25.5100 1,020,400.02 25,200 02 72,500.00 7.10% Total Noncovered 120,000.000 2 921 400.00 3,081,200.00 138,800.00 217,600.00 Total 120,000.000 $2,924,400.00 63,081,200.00 2138,800.00 $217,500.00 Total Preferred Stocks $7,320,391.11 $8,395,200.00 $1,074,808.89 $649,025.00 Total Equities $45,888,430.35 848,738,953.96 $2,850,523.61 $1,812,815.36 Uarealized Estimated Estimated Date Acquired Ouanmy Unit Cost Cod Basis Merkel Price Make Value Gain/ Loss Anal Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FO Dividend Option: Cash; Capital Gains Option: Cash 60.000.00 01 these shares are in your margin account 12/11/13 80.000.000 49.4350 Total Exchange-Traded Products Seamity Identifier: DU CUSP 97717W851 2.966.098.50 52.2600 3.135.600.00 169.501 50 43.093.80 1.37% $2,968,098.50 Cost Basis 63,135,600.00 Markel Value $169,501.50 Umealized Gain! Loss Awued lateral $43,093.80 Estimated Mosel Income Total Portfolio Holdings 5111,665,023.89 $117,206,307.04 $3,646,027.10 $550,215.44 $3,858,768.25 Page 10 of 18 Every Ye Sane. 2007 OALBAll RA7(O COMMUNKATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINI, 673 (e)LTHERN u -n F I DrErriA rxelcurmer Account Number: Rasa Go paperless /awe UM minima 011•.. Meet MC SDNY_GM_00045885 OB-SDNY-0008709 EFTA_00 156494 EFTA01288857 Deutsche Asset & Wealth Management PO 80.• 1778. Beware. MO21203 Portfolio Holdings (continued) Deasnellant Vnwm vitaknim.genan mints COMM* 4.0.4P OtetION SSA SetiO0e. W. Mow let OlIce 30 Pal Asa. loth HON • Arm let NY 101M Statement Period: 0 8101/2115 • 0 8/3112015 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1988, as amended (IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ft:covered,' under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as non-retirement. US taxpayers securities which have been acquired on or after their 'applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099E for the apphcable tax year in which the security is disposed. Reporting requirements generally MO be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment Oen (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing frm and Pershing makes no representation as to the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over tine and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 11 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Realized Gall/ Loss/ Date Date Transaction Description Quality Cast Basis Proceeds Disallows's* Long Term 08/21115 12113113' RPP WASHINGTON MUT MTG S001•RA2 IITG PASSTHRU CTFCL 1.290.000 000 1,457.55 1.901.83 44728 C- 8-1 VAR RATE 6.181% 01125/33 Security Identifier. 939336520 Original Cost Basis: 1.451.55 Total Long Term 81,157.55 81,901.83 844728 B0096 09ICSF 30 ?I V8 tl 4CYll I Account Num berms Go pal erless Page II of 18 901•THERA COL Ni Lc F I D AENTI AL_ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated' Excellent (vent V.e since 2007 DAL BAR. RATED COMMUNICATIONS rxeffurnaer sattrronTh .""31Tetcrt. SDNY_GM_00045886 DB-SDNY-0008710 EFTA_00156495 EFTA01288858 Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition OlsposMon Realized Gain/ Loss( Duality Disallowance Date Date Transadion Description Onl Basis Proceeds Total Short Term and Long Term $1,457.55 $1,904.83 1447.28 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (9RC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are. therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable dare(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fired payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consuk with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shag not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected and the cost basis system is amended to reflect this change. These calculations wit not be performed under certain circumstances, including those involving foreign bonds, bonds sold shod or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consuk your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your accounts selected tax fit method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Fonn 1099-8. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Page 12 of 18 MiA11 ROI SOL THERA L LLC. F I DAENTIAL N CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Account Number paperless Rated tscollenti (very V.A. Lace 2'007 DAUM', RA TED COMMUNCATIONS rxacturnaer SDNY_GM_00045887 OB-SDNY-0008711 EFIA_00156496 EFTA01288859 Deutsche Asset & Wealth Management P.O. Om 1778, Balamore, MD 21203 Draft, ' Sim Ponle W.41,1 PA.Ille, nd "lamb teeny Gopt,p oeaum 84,* sewn 4%. Now *4 Cato SO Pant Noma loth HON Nos*.( NY 10154 Activity Sum m ary (Ail amounts shown are in base currency) Credits This Period Debits This Period Net This Period Statement Period: 0810112115 -11!3112110 Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Securities Bop: 0 00 -3.026,006.00 -3.026.006.00 0.00 -9.514.027 50 -9.514.027.50 Securities Sold 5 359 90 000 5,359.90 170,757.03 0.00 170,757.03 Securities Withdrawn 000 -3.383.998.80 -3,383,998.60 0.00 -3.383.99880 .3,383,998.80 Total Securities $5,359.90 -$6,410,001.80 -10,404,644.90 5170.757.03 -612,898,026.30 -512,727,219.27 Dividends and Interest 8324,694.98 10.00 5324,694.98 $1,862,151.96 $0.00 $1,862,161.98 Distributions $110,525.94 $0.00 $110,525.94 $4,240,875.60 $0.00 $4,240,875.60 Fees $0.00 10.00 $0.00 10.00 -$254.00 -$254.00 TaxesWithheld $0.00 10.00 $0.00 10.00 -$6,561.18 -$6,511.11 Other $0.00 $0.00 $0.00 $68,692.73 -568,692.73 $0.00 Cash Withdrawals 000 -826,99253 -826,99253 000 -5.970.169.96 -5.970.16196 Oeporits 0-00 000 000 2 0.93 er 43 0.00 2.093.627.43 Total Cash 30.00 -$826,992.53 -$826,992.53 12,093,627.43 -15,970,169.96 -$3,176,542.53 Money Market Funds $0.00 10.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30 Totals $440,580.82 -$7,236,997.33 .$6,796,416.51 II0,885,057.40 -123,724.636.10 -$12,839,578.70 Transactions by Type of Activity Process' Trader Settlement Transaction Date Date Securities Bought and 0810//15 07130/15 Activity Type Dewtptla Quantity Prig Accrued Intend MGM Owe' Sold SOLD BLUE BUFFALO PET PRODS INC COM UNSOLICITED ORDER -200.000 27 0800 5.359.90 USO BUFF 08104715 07/30115 PURCHASED GPACU LI,P0 9ICSF!. . : ORAN GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM 81 WT EXP 00112020 PROSPECTUS UNDER SEPARATE COVER Account Number: Go paperless SO L L LC. F I Dr I SITIAL CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) TH ERN N 2.000 000 10.0000 -20.00000 USO Page 13 of 18 Rated excellent Lyon, Vni , M 2007 DAL BAN RATED COMMUNICATIONS rxarturtraer ="0..=="4= —.••••••Amvson SDNY_GM_00045888 OB-SDNY-0008712 EFIA_00 156497 EFTA01288860 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Oate Activity Type Desaiption Quantity Price Awned littered Moult Currency Securities Bought and Sold (continued) 08105115 07131(15 PURCHASED TERRAFORM GLOBAL INC CI. A FROMM UN OER GLBL SEPARATE COVER 08112/15 08106115 PURCHASED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% C4276150 0811548 REG DTD 08/12/15 CLB HORAN PAYING SC YLD 5950 TO PAR 400000 3,000,000.000 15.0000 100.0000 400000 -3.000.006.00 LSO LSD Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -3,020,646.10 Securities Withdrawals and Deposits 08125115 CL STOM ER AL TH DRIED APPLE INC COM TRANS TO MG-026161 .32,620.000 .3,383,998.80 LSD TRANSFER AAFL Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 .3,363,696.60 Dividends and Interest 08104115 BOND INTEREST RECEIVED 3000000 SOL TF ERN CALIF EDISON CO PREF SERE 6.250% 93,750.00 LSD 842400FU2 01117/62 BIE DM 01/17112 CLB RD 07131 PD 08101/15 08/13/15 CASH DIVIDEND RECEIVED APPLE INC COM RD 08/10 PD 08/13/15 DIV (6 52 142800 74,256.00 LSO WI. SHARES 08113115 CASF, DIVIDEND RECEIVED 250000 SF RS BANK OF NEW YORK MELLON COPP COM RD 42,500.00 LSD 8K 08103 PD 08/13/15 08/17/15 CAM- DIVIDEND RECEIVED 126600 SF FtS ALLY FM INC FIX TO RI DIV.8.50% 67,256.25 LSO ALLY PRB FREO.OTRLY CALLABLE e 25.00 ON A QTRLY BASIS AFTER 05/15/2016 RD 08/01 PO 08/17/15 08117115 80N D INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR FfD SECS SER 2 CPN- 40,625.04 LSD ALLY PRA 8.125% FRED DRILY IA ATV-02/15/2040 CALL ANYTIME e 25 W/30 DAYS BEGIN502115/16 RD 08/14 PO 08/15/15 08/25/15 BOND INTEREST RECEIVED 1290000 WASHINGTON MLTMTG SECS CORP 2004-1142 3,789.92 LSD 939336520 MTG PASSTHRU CTF CL C.8.1 VAR RATE 6.481% 07125/33 B(E DTD 06101/04 RD 08121 PD 08125115 08/26115 CAS, DIVIDEND RECEIVED 15000 SF RS WISDOM TREE 'AVIS INC COM RD 08/12 FO 1.200.00 LSD WETF 08126115 08/31115 MONEY MARKET FUND DELTSCFE GOVT CAST 1,317.77 LSO INCOME RECEIVED 233993682 Total Dividends and Interest- UNITED STATES DOLLAR 0.00 324,694.96 Distributions 08/31115 PARTNERSHIP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T lit Cl. A SHS RD 110.525 94 USD APO 08/18 PD 08/31/15 Total Distributions • UNITED STATES DOLLAR 0.00 110,525.04 URA!, 4()i t Account Number Go paperless CA LLC. Fl Dr1SMA L ON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Page 14 or 18 Rsd tace0onfi Lyn,. Year Lace 2007 DAL BAR RATED COMMUNICATIONS rxciurnaer SDNY_GM_00045889 DB-SDNY-0008713 EFTA_00 156498 EFTA01288861 Deutsche Asset & Wealth Management P.O. Boa 1778, BaMimore, M021203 Dralsre Rant Pn.air Wean Paptagenan Weals COMM, Gnat) Des-bag la* %WM.' a. lire *A Olk• Na Part Anne*. tauMe, War we\ liY 101A4 Transactions by Type of Activity (continued) Process/ Trader Settlement Transaction Date Date Activity Type Description Quantity Statement Period: 0810112015 • 08/31/2015 Price Accrued Interest Amount Currency Cash Withdrawals and Deposits 08/31115 FEDERAL FLNDS SENT TI-E BANK OF KEW YORK L SD999997 -826.992.53 LSO Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -826,992.53 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 .6,796,416.51 USD Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 6 months 2.460.000 00 9% CI I to 5 years 3,850,880.00 14% IMI 6 to 10 years 1,966,965 00 7% Ell Over 10 years 19 903 524 35 70% - Total 28,181,369.35 100% Bond Quality Bond Quality Market Value BAA 10,870,900.00 BA/Lower 17 310,469.35 Total 28,181,369.36 ORAN R.,,, SOL THETA LIC. ONFIDESITIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) % of Bond Markel Value Percentages of bond market values are rounded to the nearest whole percentage. 61% 100% 39% a Percentages of bond market values are rounded to the nearest whole percentage. Page15018 Account Number. Go paperless Rated excelbni Lvent. Yea. Slate 2007 DALOAR RATED COMMUNCATIONS exciarmer SDNICGM_00045890 DB-SDNY-0008714 EFTA_OO 156499 EFTA01288862 Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 213Th FLOOR ARV YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as anginal issue discount (01D): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Muni market discount method for all other bond types: Ratable Method include market discount in income annually. No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for pore inform akin. Important Information and Disclosures Pricing This section includes the net market value of the securities in you account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to wwenpershing.comibusiness_continuity.hb-ri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in smiting of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Connotation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Faye 16 of 18 Account Num ber ORAN g011 Go paperless St3 L THERA n ac. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) N F I DAENTIA L !laud excel...Si (very Vast Since 2007 DALBAR RATED COMMUNCATIONS rxemrtraer •••••rin —4.••••••••.rinnn SDNY_GM_000458.91 OB-SDNY-0008715 EFIA_00156500 EFTA01288863 Deutsche Asset & Wealth Management P.O. Boa 1778. Babimore. MO 2t203 Important Inform ation and Disclosures (continued) Destine Sim ..,.n. Wolin Manaluntat Mwerb teeny Comp otautit um smote 4%. Now *4 Cato 30 Pant Asa. lothlbw Now** NY 10154 Statement Period:0110112115 • 01/3112115 Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Pools. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase. hold or set securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Beads that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in eneral for the ongoing relationship that it has with you. • Inquiries concerning the postern and balances in your account may be directed to the Pershing Customer Service Department at . Al other ingiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would hke additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit wivezpershing.comiaboutistrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Account Number: tacelloni DOAN RCM Go paperless (very Vow' Siva 2007 L THERA cri F I DENTIA w18.8RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) rxesurmer Page IT of 18 et a r'N•La a..rNatraaliNswiNmeeseenONYNSO SDNY_GM_000458.92 OB-SDNY-00O8716 EFTA_00156501 EFTA01288864 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other ri court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a parry's abilky to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and ether discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Pap IS 018 1111004 .011 Account Num berms Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOL THERA r Itstall [mallard, Even, Va.Siva 2007 DALBAk RATED COMMUNICATIONS rxemmer SDNY_GM_00045893 DB-SDNY-0008717 EFTA_00156502 EFTA01288865 Deutsche Asset & Wealth Management PO Boa 1778, 8•8imore. MO2t203 Oeuiwv gam P,,.,I Wean Manarrat Mvern COterarG.p.p De.n04 Bat stwrt Mee bet CON* Ha Pan Anew. nth Mcr tave wet nv ,mom Valuation at a Glance Account Number: Statement Period: 07/01/2015 - 17/3112015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $129,227,491.74 1126,714,293.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 4,950,781.31 -3.049,550.00 ST THOMAS VI 00802 Net Securities InfOut of Account 0.00 -2,483,792.00 Adjusted Previous Account Value 121,276,710.43 121,180,961.02 Dividends, Interest and Other Income 12458 79 1.850,813 83 Total Taxes Withheld 0 00 -6,561.18 Net Other Activity -18.00 -254.00 Your Client Advisor Net Chan ,e in Portfolio 4.954.855 28 2,309,544.27 DANIEL SABBA ncling Account Value 3125 134 293 94 5125.334 2 3.94 Accrued Interest $495.215.75 Estim ated Annual Income 33.74800 08 Asset Allocation Prior Year-tad WI Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 14,273,984.33 45,718,843.35 40,562,801.11 32.36% LSD Fixed Income 18,177,455.58 14,401,824.61 17,508,603.21 13.97% Non-LSD Axed Income 7,150,052 50 7,770,340.00 7,816,312 50 6.26% LSD Equities 5026,511 61 57,862,147.75 55,921,496.79 44.62% Kon-LISO Equities 2.986.258 00 3.471.538.00 3.495.080.00 2.79% Account Total (Pie Chart) $126,714,293.02 9129,227,491.74 $125,334,293.94 109.00% See the Asset Aincatron Disclosure and Footnotes secton for important information reganfirc your Meet Alocaton. P ease review your allocation cer coca y wth yov Cleft Adyscr. Page forte t)(t&t, ROIL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) B0123688CSF30018 Go paperless CON F IDAMSITiA Rated facelleni Every Year Siva 2'007 DALBAR RATED COMMUNICATIONS IXCILLINCt -e'vt —•••••••Awaswww SDNY_GM_00045894 OB-SDNY-0006718 EFTA_00156503 EFTA01288866 Asset Allocation Disclosure and Footnotes Al values are displayed in V.S. dollars based on interbank exchange rates as of 07/31/2015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Ululated This Period Year-to-Date Short-Term Gan/Loss 1034745 100,107.03 3,101,434.73 Long-Term Gain/Loss 444.07 111,020.37 4.981.541.77 Net GalnlLoss 11,791.82 211,127.40 8,082,97610 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Descriptioe knout Bahia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num ber 0000001490 Current Yield 0.04% Activity Ending: 07131(15 07101(15 Opening Balance 45,671,218.35 45,671,218.35 07101115 Deposit MONEY FUND PURCHASE 44,825.00 45,718,043.35 07/02115 Withdrawal MONEY FUND REDEMPTION 4.076.557.49 39.639,485.86 07/06115 Depout MONEY FUND PURCHASE 409148916 43.731.354.92 07107115 Withdrawal MONEY FUND REDEMPTION -15,100.00 43,718,254.92 01109115 Withdrawal MONEY FIJN0 REDBAPTION -3,230,506.00 40,485,748.92 07120(15 Dapped MONEY FUND PURCHASE 24,087.55 40,509,838.47 07126115 Depoit MONEY FUND PURCHASE 5.068.20 40,514,904.67 07131(15 Deposit MONEY FUND FURCHASE 46,508.16 40,561,412.85 07131(15 Deposit INCOME REINVEST 1.38839 40.562.801.44 07131115 Closing Balance 040,662,801.44 Total All Money Market Funds 140,662,801.44 income and Expense Summary Omen Period Year-to-Date Taxable Noe Taxable Taxable NO. Taxable Dividend Income Equities 7,290.00 0.00 581,429.90 0.00 Money Market 1.388.59 0.00 9.233.82 000 Other Dividends 0.00 0.00 463.164.80 000 Interest Income Bond Interest 3,778 20 0.00 402,378.40 004 Other Interest 0.00 0.00 81,250.08 000 Page 2 of 18 2007 Account Number: t t . Rated t...0 00. wolleoll f> PAN 201 SOUTH ET N- GO paperless Inn, V 0ALOR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DArErriAL rxentmer orrlan=otrontiaterelia.400*0040 SDNY_GM_00045895 OB-SDNY-0008719 EFTA_00156504 EFTA01288867 Deutsche Asset & Wealth Management PO Lica 1778, Balmy*. MD 21203 ()PASO( Bana .0•11. roan Ma nip-neat Marais teem. 6,0“) ontsciv ML smote' ft . Now *4 Mk* HS Pin AS!" loth lbw Wow** NY 101W Income and Expense Summary (continued) Cement Period Statement Period: 07/0112115 -0713112110 Yearao-Date Taxable Noe Taxable Taxable Non Taxable Expenses Withholding Taxes 0.00 0.00 4,561.18 0.00 Fees(Foreign Securities) 0.00 0.00 •200.00 0.00 Total Dividends, interest, income and Expenses 312,458.79 30.00 31,530,105.82 30.00 Distributions Alternative Investments 0.00 0.00 0.00 313,156.83 Other Distributions 0.00 0.00 0.00 89.618.40 Total Distributions 10.00 30.00 10.00 1402,773.23 Portfolio Holdings Account Activity Opening Closiog Amsted loom 30.Day Carrot Opening Date Quantity Number Ending Balance Balance Income Ibis Year Yield Yield Cash, Money Funds, and Bank Deposits 32.00% of Portfolio Cash Balance Margin Balance Money Market DEUTSCHE GOVT CASH INSTL 07101115 40.562.801.440 0000001490 Total Money Market Total Cash, Money Funds, and Bank Deposits 07131115 28,21020 19,414.80 45,671,218.35 0.00 0.00 40.562.801.44 88.91 9.233.82 0.04% 0.04% 345,671,218.36 $40,582,801.44 3115.01 39,233.52 145,711,143.35 $40,512,eat.44 SUM $1,233.82 Page 3 of 18 Account Number GO paperless SC CSNO LLC. F I DranAL CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) TM ERN N Radii tacellenti Every Year 5ante 2007 DAL BAR RATED COMMUMCATIONS rxesturwer grew. (La ••••••• went. MC SDNY_GM_00045896 OB-SDNY-0008720 EFTA_00 156505 EFTA01288868 Portfolio Holdings (continued) Date no:pined Quantity Unit Coll Fixed Income 20.00% of Portfolio (In Maiunry On Sequence) 'Asset Backed Securities WASHINGTON NUT M TO SECS CORP 200411A2 N TG PASSTHRU CTF CL C-11.1 VAR RATE 6.444% 07125133 WE DTO 06/01/04 S d P Rating 0 Fador. 0.54391063 Effective Date:07101115 Current Face Value: 701.683 413 12113113 '.3.I2 1,290,000.000 76 5190 Security Identifier: 939336520 536,918.38 84.3470 Original Coal Bass $638.906.71 591,848 91 Total Asset Backed Securities 5536,918.38 $591,813.91 1,290,000.000 Total Current Face Value : 701,683.413 Corporate Bonds PETROLED S DE VENEZUELA Security Identifier: P7807HAF2 NOTES SEA '0 R ISIN0XS0460546525 5.000% 10/28/15 REG DTD 10/28109 S8 P Rating Etz 12/04113 '.344 2.500.000.000 98 5870 2.464.665.53 100.3500 2,508.750 00 Original Coal Basis: 52.250.000.00 EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8 CUSP FROM 210321AM 8.875% 0915/19 WE DTD 05117/11 CALLABLE 07/31115 58 P Rating CCC, 149,272.30 103.9550 151,774.30 10122112 '.3.12 146.000 000 1022410 Original Coal Basis: 5151,110.00 10/23112 600.000 000 102.0830 612,498.28 103.9550 623.730.00 Original Cod Basis: $619,500.00 Total Noncovered 746,000.000 781 770.68 775,504.39 Total 748,000.000 $761,770.56 $775,504.30 FRONTIER CON M UNICATIONS CORP Security Identifier: 3S906AAHI SR AT 6.500% 04/15/20 WE DTD 041121101ST CPN DTE 10/15/10 Moody Rating 8A3 S P Rating B8• 07106115 3,000,000.000 105.8110 3,169,240.89 103.5000 3,105,000.00 Original COI Basis: $3,171,006.00 LLOYDS TSB BK PLC EURO ISSUE M ED» Security Identifier: G4S1SPP16 TERM AO TESI914 XSO7l7735822 9.875% 12116/21 REG DTD 12/16/11 Moody Rating Bel 584 P Rating BBB 12/04/13 '•3.12 1,500,000.000 107.1920 1.807.879.37 110.0890 1,651,335 00 Adjusted Cost Basis Market Price Markel Value Unrealized Gain/ loa Accrued Interest Estimated Estimated Annual Income Yield r",:12.369BCSF Original Cost Bain: $1,627,500.00 Account Number: USALI ROLL paperless SOL TH ERIN CIO LC FI DA E T IA L CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 54,930.53 3,768.05 $54,930.53 53,766.95 $0.00 44,084.47 32,291.67 125,000.00 4.98% 2.502.00 2,735 47 12,957.50 8.53% 11.231 72 11241 67 53.250.00 8.53% 13,733.72 13,977.14 66,207.50 $13,733.72 $13,977.14 566,207.50 .64 240 89 75.083 33 255,000.00 8.21% 43.455 53 92.166 67 148,125.00 8.97% Page 4 of 18 Rimed tarellordi (may Vas. W.» ?Oa? DAL DAR RATED COMMUNCATIONS rxesur NCI SDNY GM 00045897 DB-S6NY:0008721 EFTA_00 156506 EFTA01288869 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Portfolio Holdings (continued) DateAcquired Guiltily Writ Cost Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT INAS 606739FHK03 7.750% 04110123 WE DTD 0/110/13 CALLABLE 04/10/18 S8 P Rating BB* 04/03113 '.11.13 300,000.000 100.0000 Adjusted Cod Basis Destine Sim PO, Vosiin PAanaluntat Mwert5 I wear Gtpt,p °taunt sat seueiun New *4 Ma. HS Pia AM*. loth I leer New Vett NY 10114 Market Price Market Value Statement Period: 0110112115 - 07/3112115 Unrealized Gain! Loss kaued Estimated Estimated Interest Annual Income Yield FM ORGAN CHASE & CO DEP SHS REPSTG 1110TH FED %RIMED TO FLTG RT BO 7.900% 04129/49 WE DTD 0/123/08 Moody Rating BM3 S P Rating 888- 06115111 t 3.12 2,500,000.000 107.5000 06/15/11 'Au 2,500,000.000 107.0000 Total Noncovered 6,000,000.000 Total 5,000,000.000 BANK AN ER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130158 8/E DTD 01/30108 CALLABLE 05/15/18 Moody Rating 8A2 St P Rating BB. 01110111 '.3,13 2.000.000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117/62 B/E DTD 01/17112 CALLABLE02/01122 Q 100.000 Moody Rating BM1 S d P Rating BBB- 01/30/12 '.3,12 3,000,000.000 99.8220 Security identifier: 06739FHK0 300,000.00 109.6500 Original Cost Batts: 5300,000.00 Security Identifier: 48825HHAI 2,687,500.00 105.5000 Original Cost Bass: 52,687,500.00 2,675,000 00 105.5000 Original Cost Basis: 52,675,000.00 6,382000.00 $5,302,500.00 Security Windier: 0505050T$ 1.055.000 00 106.8750 Original Cost Basis: 52,055,000.00 Security Identifier: 842400FU2 2,990,855.00 110.3750 Original Cost Bares: 52,992,584.97 Ofent, 4(>1. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 328.950.00 28,950 00 7.16875 23,250.00 7.06% 2,637,500.00 -50 000 00 49.375 00 197,500.00 7.48% 2,637,500.00 -37,50000 49,375 00 197.500.00 7.48% 6,276,000.00 -17,500.00 95,760.00 396,000.00 $5,275,000.00 -07,500.00 $95,750.00 095,000.00 2,137,500.00 82.500 00 34.305 56 162.500.00 7.60% 3.311,250.00 316.595.00 93.750.00 187.500.00 5.66% Account Number Go paperless SC L THERA co FIDrariAL Page 5 of 18 Rabid t malisria beefy Viw SOSO, 2007 DAL BAR RATED COMMUNICATIONS rxesur NCI Pater= SDNY_GM_00045898 OB-SDNY-0008722 EFTA_00 156507 EFTA01288870 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Interne (continued) Corporate Bonds (continued) GENERAL ELEC CAP CORP NON CUM PFD SER A 7125% 06/12/62 BIE DTD 06112112 CALLABLE 06115122 Moody Rating BAA1 Sd P Rating As 06/27/12'.11,13 2.000.000.000 104 6360 2.092.729.60 115.6250 2.312.500 00 219,770.10 18,208.33 112.500.00 6.16% Original Cod Basia $2.122.916.67 LBG CAPITAL NO 1 PLC 144A Security Identifier: 05433EIBG8 ISA $ XS0173106283 8.000% 09/15/88 REG DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB' 12104/13 '. 3.11 1.200.000.000 108 2500 1,299,000.00 114.4500 1,373,400.00 74.400 00 12.266 67 96,000.00 6.98% Original Cost Basis: 51,299,000.00 4LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADDL TIER 1 SECS 1%0 US539439AG42 7.500% 09127/88 BJE 010 04/07/11 Sd P Rating BB. Please Provide' 1.903.000.000 N/A Please Provide 104.2500 1.983.877 50 N/A 13.479 58 142.725.00 7.19% Original Cod Basis, Please Provide Total Corporate Bonds 822,107,410.97 824,763,086.80 9671,748.33 8491,07.70 $1,713,807.50 23,119,000.000 Total Fixed Income 822,614,359.35 825,354,915.71 8726,878.86 8495,215.75 $1,713,807.50 24,439,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain( Loss Mnual Income Yield Equities 45.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS L0010831051 Dividend Option: Cash 08101114 AKORN INC COM Dividend Option. Cash 06110115 Adruded Cod Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Mnual Income Yield Security Identifier: 389822948 800.000 25 0000 5.000 000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS ISIN81.931609W1027 Dividend Option. Cash 06110/15 5.000.000 88.9500 ALUANZ SE SPONSADR REPSTG 1/10 SHS Dividend Option: Cash MIA11 VL SO L THERIti LLC. ON FIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Security Identifier: M SLY CUSP. N 51488117 20.000.00 60.1000 Security Identifier: AKRX CUSP. 009728106 234.206.00 16.1100 Security Identifier: BABA CUSP 01609W102 444.749.00 78.3400 Security Identifier: AZSEY CUSP: 018805101 48,080.00 230.550.00 391,700.00 Account Num ber. Go paperless 28,080 00 3.656 00 -53,049.00 Page 6018 Rated Excellent Lyn', Year Lace 2'007 DAL BAR RATFO COMMUNCATIONS f %CIL L INCI oar. t.."—XsZtrere..r.r= •••••••"0 ". •Oe SDNY_GM_00045899 OB-SDNY-0008723 EFTA_001 56508 EFTA01288871 Deutsche Asset & Wealth Management P.O. Box 1778, Ba'lima., MD21203 Portfolio Holdings (continued) 'Noll Pi Unary. Vinets (Pt ,/(. G.0.9 De-,u W. Stcn, m. Vitae. Office 11)Park Annw.101.01cce R.., SA Pet I0VA Date Acquired Cantlly UM Cost Cost Basis Market Price Market Value Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS AOR REPSTG 1110 MS (continued) 04/13115 5,000.000 18.0110 90.056 00 16.4730 82.365.00 APOLLO GLOBAL MGM T LLCCL A SHS Dividend Oplion: Cash Security Identifier: APO CUSIP. 037612306 03129111 '.13 263.157.000 19 0000 4.999.983 00 20.5700 5.413.139.49 APPLE INC COM Dividend Option: Cash Security Identifier: AAPL CUSIP 037833100 09105114 142.800.000 98 9500 14,130.065 71 121 3000 17,321,640 00 ARIAD PHARMACEUTICALS INC Dividend Option: Cash Security Identifier: ARIA MP: 04033A100 02114112'.13 7,535 000 15 2090 114,597.40 8.1600 61.485.60 01124113 '.13 9.000 000 19 6000 176,400.00 8.1600 73.440,00 Total Nononered 16,535.000 290,997.40 134,925.80 Total 16,535.000 090,997.40 $134,925.60 ASCENA RETAIL GROUP INC CON Dividend Option: Cash Security Identities: ASNA CLSIP 043510101 01116/01 70.500.000 21 2770 1.500.000 00 12 5200 882.660 00 AVALANCHE BM TECHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares ate in your margin account Security Identifier: AAVL CUSIP:053376107 04120115 10.000 000 39.8610 398.606.00 14.7200 147,200 00 BASE SE SPONSAOR M94650552625057 Dividend Option: Cash Security Identifier: BASEY CUSP 055262505 04/13115 5,000.000 101.6110 508,056.00 86.7860 433,930.00 BANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash Security Identifier: BK CUSIP. 064058100 06125114 250,000.000 36.3060 9,076,406.00 43.4000 10,850,000 00 08..I 1 P,,, SOL7MERNFJMNt3IW. N F I DESMAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Statement Period: 07/01/2015 - 07/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield •7,691.00 413.158.49 3,191.574 29 -53.111 80 •102.98000 -156,071.60 4151,071.50 417.340.00 -251.406.00 -74.126 00 1,773,594 00 2,833.84 3.44% 815.787.38 11.37% 297.024.00 1.71% $0.00 11,276.50 2.59% 170.000.00 1.56% Account Num ber (.40 paperless Rasa tacellIonil Every Year Siva 2'007 DALBAR RATED COMMUN 'CATIONS no:names Page 7 0118 --- SDNCGM_000454000 DB-SDNY-0008724 EFIA_00156509 EFTA01288872 Portfolio Holdings (continued) Date ired Quiet Usk Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) BIOGEN IDEC INC COM Dividend Option: Cash Security Identifier: 8116 CUSP. 09062X103 02114/12 '.I3 2.095.000 119.5490 250.454.95 318.7800 BLUE BUFFALO PET PRODS INC CON Dividend Option: Cash $Secwity Disposition Method: Versus Purchase Security Identifier: BUFF CUSP. 09531U102 07122115 200.000 20.0000 4,000.00 27.9100 DISH NETWORK CORP CL A Dividend Option: Cash Security Identifier: DISH CUSP. 2547011109 06110115 5,000.000 729980 364,978.00 64.6100 FACEBOOK INC CL A Dividend Option: Cash Security Identifier: FB CUSP: 3030311102 05117/12 ..13 17100.000 38.0000 865.000.00 94.0100 FOUNDATION MEDICINE INC COM Dividend Option: Cash Security Identifier: FM I CUSP: 350465100 01113114 25,000.000 27.5010 687,663.50 20.2950 0810511/ 21.830100 232530 577,373.02 202950 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 1,286,038.62 $1,286,03812 Security Identifier: GE CUSP: 369604103 04123113 '.13 23 000 000 21 5700 196,109.08 26.1000 GENERAL MIMS CO COM Dividend Option: Cash Security Identifier: GM CUSP: 37045V100 11118/10 ' 10.988.200 36 4010 399,978.16 31.5100 12109110 ' 86,536.800 36 8160 3.185.969.22 31.5100 Total Noncovered 97,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 3,581947.38 63,685,917.38 Security Identifier: GILD CUSP: 375558103 02105114 5.000.000 79 2810 396.407.00 117.6600 03107114 3,100.000 79 6120 216,797.00 117.8600 Total Covered 8,100.000 Total 8,100.000 GLAXOSM WHIM E PLC SPONS A DR Dividend Option: Cash 643,204.00 $843,204.00 Security Identifier: GU CUSP: 37733W105 06110115 5,000.000 43.0010 Sin236SeCSF!' {JOAN MOIL 215.006.00 43.4400 Market Value Unrealized Gale/ Loss Estimated Estimated Annual Income Yield 667.844.10 5,588 00 323.050 00 1,645,175.00 507,375.00 503,924 85 1,011,299.65 $1,011,299.86 600,300 00 346,238 19 2.726.774.56 3,073,012.75 33,073,012.75 589,300.00 365,366.00 961,685.00 $954,866.00 217.200.00 Account Num ber Go nanerless L Cti LLC. F I DrismAL CONFIDENTIAL — PURSUANT TO FED. R CR[6,1 P. 6(e) THERA N 417.389.15 1.588.00 -41,928 00 980.175 00 -180.288 50 -73,448.17 ,213,736.57 -9253,136.67 104190 92 .53,739.97 -459.194 66 ,512,834.43 -$612,934.83 192.893 00 118,569.00 311,162.00 6311,462.00 2,194.00 $0.00 21,160.00 3.52% 15,823.01 4.56% 121,612.99 4.56% 140,436.00 6140,438.00 8.600 00 1.45% 5,332.00 1.45% 13,932.00 $13,932.00 12,385.86 5.70% Pape 8 of 18 Road tacollerigi tn., Veer Lace 2007 0ALOAR RATED COMMUNCATOONS rxesumer r u......Wr=7.- arra SDNY_GM_00045901 OB-SDNY-00O8725 EFIA_001 56510 EFTA01288873 Deutsche Asset & Wealth Management PO Occt 1770, Skidmore, MD 21203 Portfolio Holdings (continued) Date Ai:cuffed Equities (continued) Common Stocks (continued) GODADDY INC CL A Dividend Option: Cash 04101115 HEALTH NET INC COM Dividend Oplion: Cash 09108114 Quantity UM Cat 700.000 25.000 000 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05128113'.13 50,000.000 SANTANDER CONSUMER USA HLOGS INC CON Dividend Oplion: Cash 01123114 1,000.000 TWITTER INC COM Dividend Oplion: Cash 11107113 1.500.000 VIACOM INC NEW CL 8 Dividend Oplion: Cash 06110115 5,000.000 VOLKSWAGEN A G ADR iSPON Si Dividend Oplion: Cash 04113115 5,000.000 WISDOM TREE INVTSINC CON Dividend Oplion: Cash 03131115 15.000.000 Total Common Stocks 20 0000 46 9800 8.4440 24 0000 26 0000 67 7490 50 8610 21.6110 0.41.0e Vritsli Pi PM...P-4w MW•ets Ont•gt 0...tic la kn. Selv,ael brk Olice ii Anne.. lialk Icce thine W.1. nY ,OVA Cost Basis Market Price Security Identifier: GO DT CUSP. 380231107 14,000.00 28.4400 5410.1rIty Identifier: MN T CUSIP: 422226108 1,174,508.00 66.8600 Security Identifier: SGM 0 CUSP. 800677106 422,214.00 9.1500 Staidly Identifier: SC CUSP. 8028311101 24,000.00 24.1800 Security Identifier: nv TR CUSP. 901841102 39.000.00 31.0100 Security 'dandier: NAB CUSP 92553P201 331,745.00 57.0000 Security Identifier: VLKAY CUSP 928662303 254,306.00 40.6700 Sladty Inane!: WETF CUSP 97717P104 324.157.50 24.9000 $41,773,10.54 l/PAII MOLL Market Value 19.908.01 1.671.500 00 457,500 00 24.180 00 46.515 00 285,000 00 203,350.00 313.50040 Statement Period: 07/01/2015 - 07/31/2015 Unrealized Gain/ Loss 5.908.00 496.994.00 35,286 00 180.00 7,515.00 -53.74500 -50,956 00 49.342.50 247,515,716.79 Account Number Go paperless SOUTHERN LLC.N F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 6(e) $5,741,969.25 Estimated Estimated Annual Income Yield 8,000 00 2.80% 4,004 38 1.96% 4.800.00 1.28% $1,301,639.96 Page 9 of 18 Ralocl facollerei (very V . Slate 2007 DAL BAR RA T ED COMMUNCATIONS exciurner SDNY_GM_00045902 OB-SDNY-0006726 EFTA_00156511 EFTA01288874 Portfolio Holdings (continued) Date "sired Quail Dalt Cod Eq uities (continued) Preferred Stocks (Listed by expires'', date) ALLY ANL INC FIX TO FLT DIY-8.50% FREO-OTRLY CALLABLE g 25.00 ON A OTRLY BASS AFTER 05/15/2016 Dividend Option: Cash Security Identifier: ALLY PRB CL SIP 02005k 308 02/03/12 ..13 16.600.000 19.3820 903,217.51 26.0300 1,212,998.01 309,780.50 99,025.00 8.16% 02/09112 '.13 80,000.000 20.1250 1,610,000.00 26.0300 2,082,399.99 472,399.99 170,000.00 6.16% Total Noncovered 126,600.000 2,513,217.51 3,295,398.00 712,100.49 269,025.00 Total 126,600.000 92,613,217.51 $3,295,398.00 5702,160.49 $269,025.00 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• SetwIty Identifier: ALLY PRA 8.125% FRED DRILY MATY-0211512040 CALL CUSP: 361860206 ANYTIME 0 25 W130 DAYS BEGINS 02/15116 Dividend Option: Cash 02122/12'.13 80,000.000 23.5350 1,882,773.60 26.2300 2,090100.00 215,626 40 162,500 00 7.71% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security RBS PRT SER T PFD CPN•7.25% FRED ORTLY PERP M TY CUSP: 780097713 CALLO 25 MY W130 D NOTICE AVER 12131112 Dividend Option: Cash 10124112 '.13 10,000.000 23.7900 951,600.00 25.5000 1,019,999.99 68,399 99 72,500.00 7.10% 01107/13 10,000.000 24.4400 977,600.00 25.5000 1,019,999.99 12,399 99 12,500.00 7.10% 01114113 '.13 10,000.000 24.8800 995,200.00 25.5000 1,020,000.02 21,800 02 72,500.00 7.10% Total Noncovered 120,000.000 2 921 400.00 3,060,000.00 135,600.00 217,600.00 Total 120,000.000 52,921,400.00 $3,060,000.00 5135,600.00 $217,500.00 Total Preferred Stocks $7,320,391.11 $8,453,198.00 $1,133,406.89 $649,025.00 Total Equities 549,094,180.65 $55,969,576.79 56,675,396.11 $1,950,664.96 Uarealized Estimated Estimated Date Acquired Quality Usk Cod Cod Bads Mane Price Market Value Gala/ Loss Mutual Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60.000.00 of these shares are in your margin account 12111113 60.000.000 49.4350 2.966.098 50 57.4500 3.447.000.00 180.901 50 13.093.80 1.25% Total Exchange-Traded Products $2,966,098.50 Cod Bans $3,147,000.00 Market Value $460,901.50 Uarealized Gain/ Loss honed lute red 543,093.60 Estimated Annual Income Total Portfolio Holdings 2115,767,439.94 1125,334,293.94 98,087,976.50 2495,716.75 23,746,800.08 Cod Basis Market Price Markel Value Unrealized Geld Loss Estimated Estimated Annual Income Yield Security Identifier: DXJ CUSP 97717W851 Wiwi; ROLL L Account Num ber Go paperless so L LLC. F I DranAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) THEM N Page 10 of 18 Rasa Excellent (very Yoe, Since 2007 DALBAR RATED COMMUNICATIONS rxenurnaer aria=arettt..."'C'r= SDNY_GM_00045903 OB-SDNY-0008727 EFrA_OOI 56512 EFTA01288875 Deutsche Asset & Wealth Management PO Boa 1778, Balmy*, Ma) 21203 Portfolio Holdings (continued) Draffle Prmalr Wea•n•Apmgenan Mats Onear 4M‘0 Deelscli• ML Secio0e. W. Now bar Olio HS Pant Asa. IM, I tom Wow** NY 101W Statement Period:0710112115 • 07/3112015 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (-IR') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered,' under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment Oen (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing frm and Pershing makes no representation as to the accuracy of this information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over tine and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 12 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. l You have selected a disposition method for this security that differs from the default disposition method indicated in the Your Account Information Section. If you choose to sell or transfer a portion of these shares, the disposition method noted here well be used. Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Transaction Description Duality Cost Basis Proceeds Realized Clain/Loud Disallowance Short Term 07115/15 07/01)15 SELL CONFORNIS INC COM 500.000 7,500.00 11,343.79 3,843.79 First In First Oul Security Identifier CRS 07115115 06/30)15 SELL TELADOC INC COM 100.000 7,600 00 12,743.76 5,143.76 First In First Oul Security Identifier TOOC Account Number ORAN ROI k paperless SOL THERA CNO LLC. F I DAENTIAL N CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 11 of 18 Rated Excellent Every year Since 2007 DAL BAR RATIX. COMMUNICATIONS exanurtraer SDNY_GM_00045904 DB-SDNY-0008728 EFrA_00 1565 13 EFTA01288876 Schedule of Realized Gains and Losses Current Period (continued) Dispositioe Acquisition Disposition Dale Date Transaction Description Quantity Cost Basis Proceeds Realized Gain/ Loss! Diu'romance Short Term (continued) 07130115' 07122115 SELL BLLE BUFFALO PET FRO Versus Purchase Security Idenbfier BUFF 200.000 4 000 00 5,359.90 1,359.90 Total Short Tema Long Term 07123115 12)13113' F$9 WASHINGTON MUT MTG S 0044tA2 MTG PASSTHRU CTF CL C- B-1 VAR RATE 6.444% 07125133 Security Identifier 939336520 Original Cost Basis: 1.447.09 1,290,000.000 919,100.00 1.44709 929,447.45 1,891.16 610,347.45 444.07 Total Long Term $1,447.09 61.191.16 6444.07 Total Short Term and Long Term $20,547.09 $31,335.81 $10,791.52 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended FIRC") (incorporating amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered anoncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered* under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non retirement, US taxpayers securities which have been acquired on or after their 'applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect an cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular. for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain a loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be rebable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 12 of 18 Account Number: Go paperless &„ Rated tan* ria [very Year Since 2007 CALMAR RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6: THERN CON F I DENTIA rxerturier :143===sr bs= SDNY_GM_00045905 OB-SDNY-0008729 EFTA_00156514 EFTA01288877 UCii1SChe .1.1.*;. & EMILIperle It PO no. 1776, Baltimore. ND 2127 Omisre Rant Prmair Wolin Papmgenait Pdaeals I voyage creoso4 sank %wort N.. wan Oikt Na Put Annus. !Note, taw to 10. 101A4 Statement Period: 0710112015 • 07/3112015 Schedule of Realized Gains and Losses Current Period (continued) v These shares are unsettled and have been recently disposed. You wi also see these shares on the Portfolio Holdings section until this transaction has been settled. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In. First Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Although a money market mutual fund seeks to preserve the value of your investment at 31 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Activity Summary (All amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year•to-Date Debits Year•to-Date Net Year•to-Date Securities Securities Bought 000 -3254.406.00 -3.254,406.00 0.00 6,488,021.50 . .6 488 021 50 Securities Sold 36 70561 000 36.706 61 165397 13 000 165.397 13 Total StaritItS 336,706.61 -33,254,406.00 -33,217,699.39 $165,397.13 -36,488,021.50 -36,322,624.37 Dividends and Interest 312,456.79 30.00 312,456.79 31,537,457.00 $0.00 31,537,457.00 Distributions 30.00 30.00 30.00 34,130,349.66 30.00 34,130,349.66 Fees 30.00 -318.00 -318.00 30.00 -3254.00 -3254.00 Taxes W ithheld 30.00 30.00 30.00 $0.00 -38,581.18 -$8,561.18 Other 30.00 30.00 30.00 388,692.73 -368,692.73 30.00 Cash Withdrawals 0.00 -1.997.28949 .1.991,289.49 0.00 -5.143.17743 -5143.17743 Deposits 46.508 18 0.00 46.508 18 2.093.627 43 0.00 2093.627 43 Total Cash 348,50818 -31,997,289.49 -31,950,781.31 32,093,827.43 -35,143,177.43 -33,049,560.00 M oney M arket Funds 30.00 30.00 30.00 32,448,952.63 .34,780,931.93 -32,331,979.30 Totals 395,671.68 .$6,251,713.49 .36,156,041.91 310,444,476.58 -116,487,638,77 .36,043,162.19 ORM, RV„ Account Number. Rated tacell•nil Go Pape less L....my Year Since 2007 DAL BAR RATED COMMUNCATIONS Ae CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. )L Th "k Cri F DES1TTAL Page 13 of 18 .„.....— SDNY_GM_00045906 DB-SDNY-0008730 EFTA_001565 IS EFTA01288878 Transactions by Type of Activity Process/ Trade/ Settlement Tranudion Date Date Activity Type Deseri on Qua Price Accrued leterest Mould Curren Securities Bought and Sold 07101115 06126(15 PURCHASED XTLY 07106115 06130115 SOLD TRU 07106115 06130/15 SOLD XTLY 07/07/15 06130115 PURCHASED TDOC 07/07/15 07101/15 PURCHASED CFMS 07/09/15 07106115 PURCHASED FTR3684517 07/20/15 07115115 SOLD CFOS 07/20/15 07115115 SOLD TDOC 07/27/15 07122/15 PURCHASED BUFF XACTLY CORP COM PROSPECTUS L NDER SEPARATE COVER TRANSLA ION COM COM UNSOLICITED ORDER AVEFtAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT YACTLY CORP COM UNSOLICITED ORDER AVERAGE I.. NIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT TELADOC INC COM PROSPECTUS UNDER SEPARATE COVER CONFORM IS INC COM SFS PROSPECTUS LNDER SEPARATE COVER FRONTIER COMMUNICATIONS COPP SR NT 8.500% 04/15/20 WE DTO 04/12110 TIM 7.066 TO MAT CONFORM IS INC COM UNSOLICITED ORDER TELADOC INC COM UN SOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT BLUE BUFFALO PET PRODS INC COM PRO SPECTL S LACIER SEPARATE COVER 600.000 .300.000 400.000 400.000 500.000 3,000,000.000 .500.000 -400.000 200.000 8.0000 25.2603 8.5886 19.0000 15.0000 105.7000 22.8000 32.0000 20.0000 -59.500.00 -4.800.00 7,521.96 5.097.10 -7.600.00 -7.500.00 4,230,506.00 11,343.79 12,743.76 -4,000.00 LSD LSD LSO LSO LSO LSO LSD LSD LSO Total Seaultles Bought and Sold • UNITED STATES DOLLAR Dividends and Interest 07/01/15 CASH DIVIDEND RECEIVED NAB 07/27/15 CASH DIVIDEND RECEIVED GE 07/27/15 BOND INTEREST RECEIVED 939336S20 07/31/15 MONEY MARKET FUND INCOME RECEIVED 233993682 5000 SFRS VIACOM INC NEW CL B RD 06/15 PD 07/01115 23000 SF RS GENERAL ELECTRIC CO COM RD 06122 PD 07127115 1290000 WASFINGTO it MLTMTG SECS CORP 2004M2 LI TG PAS,STFRL CTF CA. C•B.1 VAR RATE 6.444% 07(25/33 WE DTD 06101104 RD 06130 PD 07125/15 DEUTSCHE GOVT CASF .59,500.00 4,217,699.3S 2.000 00 5.290.00 3.77420 1,388.59 LSD LSO LSO LSD Total Dividends and Interest • UNITED STATES DOLLAR Fees 07/01/15 FOREIGN CUSTODY FEE GIS15PP48 07/01/15 FOREIGN CUSTODY FEE G5433B8G8 07/01/15 FOREIGN CUSTODY FEE P7807FAF2 Fgn Safekeeping );N 2015 CUSIP: G4S15PR44 Fgn Safekeeping IN 2015 CUSP: 6543384G-8 Fgn Safekeeping JAN 2015 CUSIP. P7807H-AF•2 0.00 12,456.79 4.00 -6.00 4.00 LSD LSO LSO Total Fees • UNITED STATES DOLLAR 8.00 -18.00 Page 14o118 011A11 MOI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: TH ERA CNC) LLC. NFIDEsianAL Account Number. Go paperless Naiad Excellent livery 'tar Slate 2007 ML BAR RATCDCOMMUNCATOONS rxarturmer SDNY GM 00045907 DB-SDNY-0008731 EFTA_00I565 16 EFTA01288879 Deutsche Asset & Wealth Management P.O. Occt 1770, Banimore. MD 21203 Transactions by Type of Activity (continued) Protest/ Trader SeMemeet beadkm Date Date Activity Type Cash Withdrawals and Deposits 07102115 CUSTOMER AUTHORIZED TRANS TO N4G-028161 .1 748150 00 USD TRANSFER USD999997 07102115 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .26.111 11 LSO US0999997 07102/15 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST •222.928.38 LSO US0999997 07130(15 FEDERAL FUNDS RECEIVED DEUTSCHE BANK SECUR1 02249 46,508 18 LSD LS13999997 Total Cash Withdrawals and D eposits • UNITED STATES DOLLAR Demriptioe Ogvisot Rant Pon. roan mantis C04,4,4 ,0.4) oftiscry sank smengs+sc ihre 4n Mt* MI Pan Mist lkh r to Weir** rn 10114 Quantity Statement Period: 07/01/2015 • 0713112015 Price Accrued Interest Amount 01 riency 0.00 -1,950,181.31 Total Value of Transactions The pace and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value %of Bond Market Value 1 to 6 months 2,508,750.00 10% 1 to 5 years 3,880,504.30 15% 1- 1 6 to 10 years 1,980,285.00 ex Lil Over 10 years 16,985,316.41 67% n Total 95,351,915.71 100% .59,500.00 4,166,011.91 USD Percentages of bond market values are rounded to the nearest whole percentage. Page 15 of 18 Account Number; Gopaperless c k ; Rasa ORAN QL I Every vs. SOSO, 2'007 DAUM. RA T ED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: THERh CON F I DriTrIA ex.:sumer /rare ua ••••••• MIRA inn. mac SDNY_GM_00045908 OB-SDNY-00O8732 EFIA_001 56517 EFTA01288880 Bond Quality Bond Quality BAA BArLcwer Total Trades Not Settled Settlement Date Trade Date Activity Type Description Quantity Price Acaued Interest Settlement Amount 08104/15 07/30/15 Sell BILE BLFFALO PET PRODS IAC COM -200 006 27 0800 0.00 5.359.90 UNSOLICITED ORDER 08104/15 07/30/15 Buy GLOBAL PARTA ER ACQUISITION CORP 2.01)0.000 10.0000 0 00 -20.000.00 UNIT 1 COM 81 WT EXP 0710112020 PROSPECTUS UNDER SEPARATE COVER 08105/15 07/31/15 Buy TERRAFORM GLOBAL INC CI A 100.000 15.0000 0.00 -6.000.00 PROSPECTUS LADER SEPARATE COVER Total Amount of Trades Not Settled 420,610.10 Market Vake 10.898.750.00 11.158165 71 25,351,915.71 % ol Bond Markel Value 43% 57% 100% re, Percentages of bond market values are rounded to the nearest ntiole percentage. Client Service Information Your Client Advisor: DAN DANIEL SABBA 315 PARK AVEN LE. 26TH FLOOR NEWYORK NY 10151 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Rocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat a interest as original issue discount t OID): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable M ethod Include market discount in income annually. No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper con m unications. log in to your account or contact your dent Advisor for more inform ation. 00.0 RCA I SOL LLC. F I DtiSiTIAL ei N CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA eN Account Number. Go paperless Page IS of 18 Rand ta6070.00 I. very Vs. Sc. år 2007 DAL BAR RATED 0300.4UNICATIONS rxankuwer SDNY GM 00045909 DB-S6NY:0008733 EFTA_001565 IA EFTA01288881 Deutsche Asset & Wealth Management Oat 1770, Balamore, MD 21203 Important Inform ation and Disclosures Destine8m( P0•110 W,Y n manapnerd Mwert$ Use. GtoP.p °eau iv Sam smote sk. Mn *4 Ma. SO nn Asa. IM, Ilea Now** NY 101W Statement Period: 0710112815 • 07/3112015 Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless othervrise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are masked *NrK and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to mwrpershing.conVbusiness_continuilyhtml for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dolar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintairing current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on ban. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy. completeness. timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Account Number Dews ROL t Go paperless SO L ERA F onc. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) N F I DAENTIAL Page IT of 18 Rated tocellonli Every van siva 2007 DAL BAR RA TEO COMMUNICATIONS rxarturner Lt," SDNY_GM_00045910 OB-SDNY-0008734 EFrA_00 156519 EFTA01288882 Important Information and Disclosures (continued) Bond Quality Bond quality ratings reflect Moody's or Staroard arc Poor s ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or cable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person confiding or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in eneral, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnvw.pershing.conValowt/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The Jules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing I1C shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing U.C. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page Is of 18 Account Num berms Go paperless L teNO LLG. F I DranAL CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) THERM N Italia [manor,' (very Year SOSO, 2007 DAL OAR RAT CO COMMUNICATIONS rxesar NCI PS.. me err OS fl OK SDNY_GM_00045911 OB-SDNY-0008735 EFIA_00156520 EFTA01288883 Deutsche Asset & Wealth Management PO Oat 1778, Ballimore, MD 21203 Onalso<Rna Pnwair vkatnPaptagenen Pdaeals L voyage Gro.p Des4s477 M* Salons Year7.71 Onto Pon Ratak 160.11ber Valuation at a Glance Account Number: Statement Period: 06/01/2015 -06!30!2015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 1132,106,023.17 $126,714,293.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -1.529.290.08 -1.098.768.69 ST THOMAS VI 00802 Net Securities InlOut of Account 0 00 -2.483.792.00 Adjusted Previous Account Value 130,576,733.09 123,131,732.33 Dividends, Interest and Other Income 279.139,20 1,838,157.01 Total Taxes Withheld 0 00 -6,561.18 Net Other Activity 0 00 -236.00 Your Client Advisor: Net Chan e in notch() -1,628,380.55 4,264,399.55 nifing Account Value 3129 227 491.74 9129 227 491 74 DANIEL SABBA Accrued Interest $293,629.59 Estimated Annual Income 53,501,193.62 Asset Allocation Prior Year-fad Lad Period lbk Period % Allocation SD Cash. Money Funds and Bank Deposits 44,273,984.33 47,382,855.08 45,718,843.35 35.38% LSD Axed Income 18,177,455.58 15,587,101.74 14,401,824.84 11.11% Non-LSD Axed Income 7.150,052.50 7,812,416.25 7,770,340.00 8.01% LSD Equities 54,128,544.61 57,699,186.10 57,862,147.75 14.78% Kon•LISO Equities 2.986.258.03 3.624.464.00 3.174.538.E 2.69% Account Total (Pte Chart) 1126,714,213.02 $132,106,023.17 $129,227,411.74 100.00% See the Asset kbcabon Disclosure and Footnotes section for important intonate:In regenfing your Asset mouton. OBAkl ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F I D('357frillisAL B0097137CSP3002 3 Pease renew your allocation cer athca'y wth your Client Advect Pagel of 21 L very Va.. Loco 2007 MUM. RATED COMMUNICATKIHS rxenurtraer SDNY_GM_00045912 DB-SDNY-0008736 EFTA_0015652 I EFTA01288884 Asset Allocation Disclosure and Footnotes M values are displayed in U.S. dollars based on interbank exchange rates as of C6/30/2015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-tern, Gain/Loss 89,759 58 89 759 58 4 067.895 97 Long•Term Gain/Loss 67,178.21 110.576 30 5.950.707.48 Net GalnlLoss 158,937.79 200,335.88 10,018,603.15 This summary excludes transactions where cost basis information is not available. For Your Information On June 5. 2014, the European Central Bank (the ICH') introduced 'negatrve interest rates'. This negative interest rate applied to all deposits held at the EC8 and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-5 for lax year 2015. These rates are subject to changer response to market changes. and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Desarlion Amount Bahr: Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Account Number 0000001490 Curter Yield: 0.04% Activity Ending: 06130115 05130115 Opening Balance 47,296,013.27 47,296,013.27 06101115 Withdrawal MONEY FUND REDEMPTION -1,442,44827 45,853,565.00 06115115 Withdrawal MONEY FUND REDEMPTION -1,211,282.94 44,642,282.06 06123/15 Withdrawal MONEY RAO REDEMPTION -2,891.00 41639,391 06 08124/15 Withdrawal MONEY FUND REDEMPTION -2,000.00 44.637.391 06 06125115 Deposit MONEY FUND PURCHASE 957,771.70 45,595,162 76 06126115 Deposit MONEY FUND PURCHASE 15,983.69 45,611,146.45 06129/15 Deposit MONEY FUND PURCHASE 19,41410 45,630,561.25 06130115 Depot MONEY FUND PURCHASE 39.16425 45.669.725.50 06130/15 Deposit INCOME REINVEST 1.492.85 45.671.218.35 08130115 Closing Balance $45,671,218.35 Total All Money Market Funds 845,671,218.35 Page 2 021 OSAB ROLL Account Num berms Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DranAL SOUTHERN coN Itned tscollerei (very v«. Woos 2007 DAUM. RATED COMMUMCATIONS rxnurner r s tri..Z..-"rerai.r...... —"*= iv—vrisimm —.inv... ii-i- SDNY GM 00045913 DB-SDNY-0008737 EFTA_00 156522 EFTA01288885 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Income and Expense Summary Dividend Income Equities Money Market Other Dividends Interest Income Bond interest Other Interest Expenses Withholding Taxes FeesfFoieign Securities! Total Dividends, interest, income and Expenses Distributions Alternative Investm ents Other Distributions Total Distributions Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 35.00% of Portfolio Cash Balance Accoent Activity Quantity Number &dig Margin Balance Money Market DW S GOVERNMENT CASH INSTL 05130115 45.671.218 350 0000001490 08130/15 Total M oney Market Total Cash, Money Funds, and Bank Deposits DnaIsre Ram Ponw Weal n Mannunna rants Use... otautv sank Selv-an Mee Ten OR or JO PH AMMO. 360.11oct Warta MY laVA Current Perkd Statement Period: 06/0112015 • Year-to-Date 06130/2015 Taxable Non Taxable Taxable Non Taxable 92,967.00 0.00 574,139.90 0.00 1,492.85 0.00 7,845.23 0.00 90,664.80 0.00 463,164.80 000 94,014.55 0.00 398,60020 0.00 0.00 0.00 81,250.08 0.00 0.00 0.00 -6,561.18 0.00 0.00 0.00 -200.00 0.00 6211,139.20 10.00 61,518,239.03 so.00 0.00 0.00 0.00 313.15683 0.00 1.528,93 0.00 89.616 10 $0.00 $7,520.13 $0.00 $102,113.23 Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield entrant Yield 88,841.81 0.00 41.296.01321 28,210.20 19,411 80 45,611,218.35 0.00 7.14523 0.04% 0.04% $47 998 013.27 $45 071 tills $0.00 $7145.23 $47,382,855.08 $45,711,143.35 $0.00 $7,445.23 EN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DA TIAL Account Number: ()PAN vL 1 Go paperless SO TH ERA CO. Page 3 of 21 Rated [mallard, L....my year Siva 2007 DAL OAR MUD COMMUNICATIONS rxentrwer ir e tatrle• V r. ttrget=01 '..... t - -'Ac sew earn. lIC SDNY_GM_00045914 DEMSDNY-0008738 EFTA_00156523 EFTA01288886 Portfolio Holdings (continued) Date Aok4.red Ousetity Limit Cod Fixed Income 17.00% of Portfolio (In Maiudry Date Sequence) 'Asset Backed Smithies WASHINGTON NUT M TG SECS CORP 200441A2 MTG PASSDIRG CTF CL C-B-1 VAR RATE 8.985% 07/25/33 EUE DTD 08/01/01 S 8 P Rating Fedor. 0.54540884 Effective Date:06101/15 Current Face Value: 703.574 566 12/13/13'.0.12 1,290,000.000 76_5190 Security Identifier: 039338820 538,365.47 84.3080 Original Cosl Basis: $838.906.71 593,18984 Total Asset Backed Securities $636,365.17 8593,165.81 1,290,000.000 Total Current Face Value : 703,574.566 Corporate Bonds PETROLEOS OE VENEZUELA NOTES SENIOR ISMSX.50460546525 5.000% 10/28/15 REG DTD 10/28/09 S8 P Rating 8+ Security Identifier: P7807HAF2 12104/13 '•3.11 2 500 000 000 98 1130 2,452,824.58 98.1000 2.452.500.00 EARTHUNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15/19 IKE DTD 05117/11 CALLABLE 07/01115 58 P Rating CCC• Original Coal Basic 52.250.000.00 Seaulty Identifier: 270321ACI 10/22/12 146.000.000 1021010 149,334.13 104.2500 152,205.00 Original Cosl Basic 5151,110.00 10/23112 '.3.12 600.000.000 102.1220 612,134.22 104.2500 625,500.00 Original Cosl Basic $819,500.00 Total Monter. red 746,000.000 762.066.3$ 177,705.00 Total 716,000.000 5782,068.36 $777,705.00 LLOYDS TSB 8K PLC EURO ISSUE MEDIUM TERM AO TES ISIAd X507'7735822 9.875% 12/16/21 REG DTD 12/16111 Moody Rating Bat 58 P Rating BBB Security Identifier: GISISPPIII 1210//13 '.3.12 1,500,000.000 107/830 1,808,941.70 110.5750 1,858,825.00 BARCLAYS BK PLC CONTINGENT CAP NT ISM./ L•936739FMK03 7.750% 04/10/23 B/E DTD 04110113 CALLABLE 04/10118 S 8 P Rating 613+ Original Cod Basic 51,627,500.00 Security Identifier: 0673901K0 04103/13 '.12.13 300.000 000 100 0000 300.000 00 108 3750 325,125.00 Adjusted Cod Basis Market Price Markel Value Unrealized Gale/ Loss Accrued Interest Estimated Estimated Annual Income Yield Original Cost Basis: $300,000.00 Account Number Go paperless L THERA CNO N LLC. F I DrarIAL CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 54,801.17 3.959 40 $64,801.17 $3,951.40 $0.00 -311.58 21,527.78 125.000 00 5.09% 2 870 87 1.619 69 12.957 50 8.51% 12.765.78 6.656.25 53.250 00 8.51% 15,636.65 8,275.94 86,207.50 116,636.66 58,276.01 566,207.50 49,683.30 79,822.92 148.125 00 8.93% 25.125 00 5.16667 23,250 00 7.15% Rated tscollenil (very Y.R, Woes 2007 DALBAR RATED COMMUNICATIONS. rxesurnaer Page< of 21 SDNY_GM OOO45915 OB-SDNY:0008739 EFIA_00156524 EFTA01288887 Deutsche Asset & Wealth Management PO 80.• 1778. Baltimore. MO 2t203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) FM ORGAN CHASE & CO DEP MS REPSTG 1110TH PFD SER 1 MED TO FITG RT BD 7.900% 04129149 BIE DTD 0/123108 Moody Rating BM3 S P Rating BBB- 06115111 ',3,12 2,500,000.000 107.5000 06/15/11 '.3.t2 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON COM ULATIVE DEP SHS FIXED TO FLOAT 8125% 04/30158 WE DTD 04/30108 CALLABLE 05115118 Moody Rating BA2 S8 P Rating BB 01/10111 'An 2.000,000 000 102 7500 Adjusted Cog Basis DraS C ••1 Bm, Prmair Wean lAvogentot Margin tonne GIO‘P DerbON M starenac Mw HS Put Oyes* maker New** NY 101M Market Price Markel Value Statement Period: 06/0112915 • 06/30/2015 Unrealized Gainl Loss kaued Estimated Estimated Interest Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117182 WE DTD 01117112 CALLABLE 02/01122 Q 100.000 Moody Rating BAA1 S8 P Rating BBB- 01130112 t 3.12 3.000.000 000 99 8200 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06/12/62 B/E DTD 06112/12 CALLABLE 06115122 Moody Rating BAA1 SE P Rating in 06127112'.12,12 2.000,000 000 101.6810 ROLL Security Identifier: 46625HHA1 2,687,500.00 105.7750 Original Cost Basis: 52,687,500.00 2,675,000.00 105.7750 Origins Cost Basis: 52,675,000.00 2,644,375.00 2,644,375.00 •43,12500 •30,62500 32,916.67 32,916.66 197.500.00 197.500.00 7.46% 7.46% 5,362,600.00 6,218,150.00 -73,750.00 $6,133.33 395,000.00 16,362,500.00 65,218,760.00 -$73,760.00 $65,133.33 1305,000.00 Security Identifier: 060605DW 2,055.000 00 106 1250 2,122,500 00 67,500 00 20,312.50 162 500 00 7.65% Origins Cost Basis 52.055.000 00 Security Identifier: 142400FU2 2,994,599.61 110 4000 3,312,000 00 317400 36 77,604 17 187 500 00 5.66% Origins Cost Basis: 52,992,544.97 Security Identifier: 369622SN6 2,093,628.07 115.3750 2 307.500 00 213,873.93 5,937.50 142,500.00 6.17% Origins Cost Basis: 12,122,916.67 Account Number: do paperless CLI LLC. F I DrariA L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN NO N Page 5 o121 Rated tocetler4 (very 'Van Woos 2'007 DALIAN RATED COMMUNICATIONS rxesurner SDNY_GM_00045916 DB-SDNY-0008740 EFTA_00156525 EFTA01288888 Portfolio Holdings (continued) Date Acquired Quatny Unit Cost Fixed Income (continued) Corporate Bonds (continued) LBG CAPITAL NO 1 PLC 144A ISM8%50473108283 8.000% 09/15/88 REG DTD 12/15109 CALLABLE 06115/20 58 P Rating BB+ 12/04/13 '•4.11 1,200,000.000 108 2500 'LLOYDS BANKING GROUP PLC FXD RATE RESET MIDI TIER 1 SECS IMO US539439AG42 7.500% 09/27188 WE DTI) 04/07/14 S 8 P Rating BB- Please Provide' 1,903,000.000 N/A Adjusted Cost Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Mnual Income Yield Total Corporate Bonds 20,149,000.000 Total Fixed Income 21,439,000.000 Date ired Security identifier: G54338808 1,299,000.00 114.5000 Original Cost Basis: 51,299,000.00 Security Identifier: 539439AG4 Reese Phavide 103.0000 Original Coal Basis: Please Provide $19,924,560.32 1,374,000 00 1.960.090.00 $21,578,795.00 Duman Unit Cod $19,466,92539 Cost Basis Market Price $22,171,964.64 Markel Value 75,000.00 4.000 00 96.000 00 6.98% N/A 1,189.38 142.725.00 728% $690,144.68 2219,670.9 21,418,807.50 $744,948.85 $293,629.59 $1,488.807.50 Unrealized Gelid Loss Estimated Estimated Mnual Income Yield Equities 15.00% of Portfolio Common Stocks MOBILEYE NV AM STELVEEN ORD SHS ISII484001083106i Dividend Option: Cash 08101/14 800.000 AKORN INC COM Dividend Option: Cash 25.0000 06/10/15 5.000 000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS ISINeUS01609W1027 Dividend Option: Cash 06/10/15 5,000.000 88 9500 ALUANZ SE SPO NS AD R REPSTG 1110 WS Dividend Option: Cash 04/13/15 5.000.000 18 0110 APOLLO GLOBAL MGM T LLC CL A SHS Dividend Option: Cash 03/29111 '.13 263.157 000 19 0000 0, 7137CSF: MIA11 MOLL Security Identifier: M BLY CUSP:851488117 20,000.00 53.1700 Security Identifier: AKRX CUSP: 009728106 234.206.00 43.6600 Security Identifier: BABA CUSP. 01609W102 144,749.00 82.2700 Security Identifier: AZSEY CUSP: 018805101 90.055.00 15.5660 Security Identifier: APO CUSP 037612306 4.999.983.00 22.1500 42,536.00 218,300.00 411,350.00 77.830.00 5.828 927.55 Account Number s Go paper-less CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) F I DArg anAL SOL THERA et, n 22,536.00 -15,906 00 .33,399.00 .12.226.00 828.944.55 2.833.84 3.64% 626.313.66 10.74% Page6 of 21 Raid taallardi L very. •••••• since 2007 DAL OAR RATED COMMUNICATIONS rxenurder SDNY_GM_00045917 OB-SDNY-00O8741 EFTA_00156526 EFTA01288889 Deutsche Asset & Wealth Management P.O. Box 1778, &Almon", MO 21203 Portfolio Holdings (continued) Date Acquired Nantity Ual1 Cost Equities (continued) Common Stocks (continued) APPLE INC COM Dividend Option: Cash 09105114 142.800.000 98 9500 ARIAD PHARMACEUTICALS INC Dividend Option. Cash 02/14112 I." 7.535 000 15 2090 01124113 9.000.000 19 6000 Total Noncovered 16,535.000 Total 10,636.000 ASCENA RETAIL GROUP INC COY Dividend Option: Cash 01/16/01 ti 70.500 000 21 2770 AVALANCHE 810 TECHNOLOGIES INC COM Dividend Option: Cash 10,000 00 of these shares are in your margin account 04/20115 10.000.000 39.8610 BASF SE PONS ADR ISMS U $0552625057 Dividend Option. Cash 04413115 5,000.000 101.6110 BANK OF NEW YORK MELLON CORP COM Dividend Option: Cash 06/25114 250.000.000 36.3060 BIOGEN IDEC INC CON Dividend Option: Cash 02114112 2.095.000 119.5490 DISH NETWORK CORP CL A Dividend Option: Cash Devlsev Ram Pon. Wealth ManIrient Minet% COMige 4,04P 0...Uht Yr Sewner AC lire bet ONO 41)Parli PLOPOW. )Mn I to WA Wet IlY NIL Cost Basis Market Price Market Value Statement Period: 06/01/2015 - 06130/2015 Unrealized Gild Loss Estimated Estimated Annual Income Yield , .RAN YOU Ce1 LLC. FIDENTIAL ON CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ix ERN Security Identifier: AAPL CUSIP 037833100 14,130,065.71 125.4250 Security Identifier: ARIA CLS1P 040331000 114.597/0 8.2700 176.400 00 8.2700 290,997.00 $290,997.40 Security Identifier: ASNA CUSP 043516101 1.500.000 00 16 6550 Security Identifier: AAVL CLSIP 053376107 398.606 00 16.2400 Security Identifier: BASET COP 055262505 508.056 00 87.8220 Security Identifier: BK CUSIP 064058100 9,076,406 00 41.9700 Security Identifier: BIM CL SIP 09062X103 250.454 95 403 9400 Security Identifier: DISH CUSIP 2547011109 17,910.690 00 62.314 45 74.430 00 136,744.45 $136,744.45 1174.177.50 162.100.00 439,110 03 10,492,500.00 846,254.30 3,780.624 29 -52.282 95 -101.970.00 ,154,252.95 .1164,252.95 -325.822.50 -236.206.00 -68.946 00 1,416,094 00 595.799.35 297.024.00 1.65% $0.00 11,276 50 2.56% 170,000.00 1.62% Page 7 of 21 Account Num ber. Go paperless Rated tacelibni Lvenr Year Since 2007 DAUM. RATED COMMUNCATKINS exanurNes SDNY_GM_00045918 OB-SDNY-0008742 EFIA_00 156527 EFTA01288890 Portfolio Holdings (continued) Dale Ned Ousel Wit Cost Equities (continued) Common Stocks (continued) DISH NETWORK CORP CL A (continued) 06110115 5,000.000 7219430 FACE/300K INC CI A Dividend Option: Cash 05/17112 ..I3 17.500.000 381000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 0111311/ 25.001000 27.5070 08105114 24130.000 232530 Total Covered 49.830.000 Total GENERAL ELECTRIC CO COM Dividend Option Cash 04123113 '.12 GENERAL M TRS CO COM Dividend Option: Cash 11118/10 12109110 ' Total Nona:mired Total GILEAD SCIENCES INC Dividend Option. Cash 02105/14 03107/14 Total Covered Total 8,100.000 GLAXOSMITHKLINE PLC SPONS ADR Dividend Option: Cash 06110115 GO DADDY INC CL A Dividend Option: Cash 04101/15 Cod Basis Market Price Markel Value Unrealized Gaird Loss Estimated Estimated Annual Income Yield 364,978.00 67.7100 Security Identifier: FB CUSP: 3030314102 665,000.00 85.7650 Security Identifier: FM I CUSP: 350465100 687,663.50 33.8400 577,373.02 33.8400 1 265 036.52 338 550 00 1.500.887.50 846.000 00 840 247 20 1,686,247.20 -26,428.00 835,887.50 158.336 50 262,874 18 421,210.68 49,830.000 23,000.000 21.5700 10.988100 86.536100 97,525.000 97,525.000 361010 36.8160 $1,265,036.52 Security Identifier: GE CUSP: 38980/103 496,109.08 263700 Security Identifier: GM CUSP: 37045V100 399,978.16 33.3300 3,185,969.22 33.3300 3,566,947.38 $3,565,917.38 Security Identifier: GILD CUSP: 375558103 396,407.00 117.0800 246,797.00 117.0800 643,204 00 $843,204.00 Security Identifier: OSK CUSP: 37733W105 21510610 41.6500 Security Identifier: GDDY CUSP: 380237107 14,000.00 28.1900 $1,888,247.20 611,110.00 366,236.71 2,884,271.54 3,250,508.25 $421,210.66 115,000.92 •33,741.45 -301,697.68 -335,139.13 $0.00 21,180.00 3.46% 15,823.01 4.32% 121,612.99 4.32% 110,130.00 5,000.000 79 2810 3.100.000 716120 6,100.000 5.000.000 430010 700.000 20 0000 HEALTH NET INC CON Security Identifier: H NT Dividend Option: Cash CU SR 42222G108 09/08114 25,000.000 469800 t,174.506.00 64.1200 SANGAN 0 BIOSCIENCES INC CON Dividend Option: Cash ORAN MOIL Security Identifier: SGM 0 CUSP. 800677106 $3,250,608.25 585,400.00 362,948.00 948,346.00 $946,318.00 208.250.00 19,733.00 1,603,00100 -6336,139.13 188,993 00 116,151 00 305,114.00 $306,114.00 -6.756.00 5.733 00 428,491.00 8110,131.00 8,600.00 1.16% 5,332.00 1.46% 13,932.00 $13,932.00 12,611.71 6.07% Page ft 021 Envy Y«. Sante 2007 DAL OAR RA TED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIK P. 6706THERk F I DIAL rxesairmer Account Number: Rated en:0110M Go paperless .TATS=8,=$—Ane.=,12'"= Ia.. nameir OlOsta. revell. IOC SDNY_GM_00045919 OB-SDNY-00O8743 EFrA_00 156528 EFTA01288891 Deutsche Asset & Wealth Management P.O.Boa 1778, IlaMmore. MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Ual1cod Equities (continued) Common Stocks (continued) SANGAM 0 BIOSCIENCES INC COM (continued) 05128/13 50,000.000 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option: Cash 8.4440 01123114 1.000.000 24 0000 TRANSUNION COM COM Dividend Option: Cash 06/25115 300.000 22.5000 TWITTER INC COM Dividend Option: Cash 11/07113 1.500.000 26.0000 VIACOM INC NEW CL 8 Dividend Option: Cash 06110115 5.000.000 67.7490 VOLKSWAGEN A G AD R ISPONS) Dividend Option: Cash 04113115 5.000.000 50.8610 WISDOM TREE INVTSINC COM Dividend Option: Cash 03131115 15,000.000 21.6110 Total Common Stocks Preferred Stocks (listed by expiration dale) ALLY FINL INC FIX TO FLT DIV4.50% FRECI•OTRLY CALLABLE 0 25.00 ON A OTRLY BASIS AFTER 05/1512016 Dividend Option: Cash 02103112',II 02109112 t 13 80.000.000 46,600 000 19 3820 Deasnellma Pon. man ma,miewn marons I Doemp6m.8 oeaum sem sectoms Now bri MS Put Asa. loth How I•r• RA NY 10IM Cost Basis Market Price Market Value Statement Period: 06/01/2015 - 06/30/2015 Unrealized Gain/ Loa Estimated Estimated Annual Income Yield 422.214.00 11.0900 Security Identifier SC CUSP: 80283M101 24.00040 25.5700 Socially Identifier: TRU CUSP. 894001107 6,750.00 25.1000 Security Identifier: 119 TR CUSP. 901841102 39,000 00 362200 Security Identifier: DAB CI, SIP. 92553P201 338.745 00 64.6400 Security Identifier: VLKAY CUSP 928662303 254.306.00 46 2510 Security Identifier: WETF CUSP 97717P104 324,157.50 21.9650 554,500 00 25.570.00 7,530.00 54,330.00 323,200.00 131255.00 329,475.00 132,286.00 1.570.00 780.00 15,330 00 •15.54500 -23.051 00 5,317.50 341,776,539.54 Security Identifier: ALLY PRB CUSP. 02005h308 903,217.51 26.4500 20 1250 1410.000 00 26.4500 1.)BAN MOIL 349,433,313.75 1 232.570 01 2.115.999 99 Account Num Der. Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAMSMAL L THERA Cr, 67,651,774.21 329,35250 505,999.99 8.000 00 2.47% 4,004.38 1.73% 1,800 00 1.45% $1,312,422.09 99.025 00 8.03% 170.000 00 8.03% Page 9 of 21 Rated [molls M beefy VAN Late 2007 CAESAR RATEDCOMMUNICATIONS rxestmser •—•-oiAn —.-••••A•nonisc SDNY_GM_00045920 OB-SDNY-0008744 EFDC00156529 EFTA01288892 Portfolio Holdings (continued) Date ANL tred Eq pities (continued) Preferred Stocks (continued) ALLY FtNL INC FIX TO FLT (continued) Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTD TR PFD SECS SFR 2 CPN - 8.125% FREO (ATV MATY-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/15116 Dividend Option: Cash 02122112'.13 80.000.000 235350 ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T ETD CPA -7 25% FRED ORTLY PERP M TY CALLS 25 ANY WI30 D NOTICE AFTR 12131112 Dividend Option: Cash 10124112 '.13 40,000.000 23 7900 01107113 '.13 40,000.000 24 4400 01114113 '.13 40.000 000 24 8800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities Cluaetity Limit Cod Cod Bads Nadel Price Market Yale. 2,513,217.51 3,345,570.00 Unrealized Estimated Estimated GalelLoss Annual Income Yield 036,352.49 261,025.00 12,613,217.61 $3,346,670.00 Staidly Ides dlier: ALLY PRA CUSP: 361860208 1,882,773.60 25.9800 Sultrily Identifier: RBS PRT CUSP. 780097713 951.600 00 977.600.00 995.200 00 1 924 400 00 25.3700 25.3700 25.3700 $635,352.49 $269,025.00 2,078,400.00 195.626.40 162.500.00 7.61% 1,014399.99 1,014,799.99 1.014.800.02 3,044,400.00 63,119 99 37,199 99 19.800 02 120,000.00 72,500.00 7.14% 72,500.00 7.14% 72,500.00 7.14% 217,600.00 120,000.000 Date Acquired Quantity Unit Cost Exchange-Traded Products 3.00% of Portfolio WISDOMTREE TR JAPAN HEDGED EQUITY FO Security Identifier: DXJ Dividend Option: Cash; Captal Gains Option: Cash CUSP. 97717W851 60,000.00 of these shares are in your margin account 12/11113 60,000.000 49.4350 2,966,098.50 57.2000 3.432.000.00 465.901.50 43.093.80 1.25% Total Exchange-Traded Products $2,968,098.50 $3,432,000.00 $465,901.50 $43,093.80 $2,924,400.00 $7,320,391.11 $49,096,930.65 $3,044,400.00 $8,471,370.00 157,904,683.75 Cost Basis Market Price Markel Wee $120,000.00 $1,150,978.89 88,807,753.10 $217,600.00 $649,025.00 $1,961,447.09 Unrealized Estimated Estimated Gain! Loss Annual Income Yield Cost Basis Market Value Unrealized Gala/ Loa Accrued Interest Estimated Annual Income Total Portfolio Holdings 8117,248,798.29 $129,227,491.74 810,011,603.45 $293,629.59 13,501,93.62 Footnotes • Nonccvered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (incorporating amendments enacted by F.L.110-343. the Emergency Economic Stabiraation Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as ncin-retirement. Page10 of 21 PRA,' VOII: Account Num ber Go paperless a Rated tacolle nil L yen! year since 2907 SOL THERA , oinFoneTTAL clgt`gigwc°"•""r-Anais CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) ..113 -2::::: • /..8..A=4....'""e= SDNY_GM_00045921 OB-SDNY-0008745 EFTA_001 56530 EFTA01288893 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Portfolio Holdings (continued) DmIwo Rant PnnieWeahniaragenen Manes Coon., 6 ,0“) Destsag la* %won +Ic mar in Put An.*. Ita I *xi War we\ liY 1011.4 Statement Period: 0610112015 • 06/30/2015 US taxpayers securities which have been acquired on or after their 'applicable date(sT at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for vouch a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed inane security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations MI not be performed under certain circumstances, including those invoking foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing km and Pershing makes no representation as to the accuracy of this information. s Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 11 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Transaction Description Chastity Cod Basis Proceeds Redirect Gain/ Loss/ Disallowance Short Term 06122/15 06118/15 SELL FITBIT INC CI. A 800.000 16,000.00 31 094 03 15 094.03 First In First Oul Security Identifier FIT 06122115 06/19/15 SELL F000 DE CHAO INC COM 100.000 2,000.00 2.549 95 549.95 First In First Oul Security Identifier. FOGO 06/22/15 06/18/15 SELL UNIVAR INC COM 1.000.000 22.000.00 26.35311 4,353.81 First In First Oul Security Identifier UNVR 06122115 04/20/15 XOPTS CALI. AVALAN CH E BIOT 40.00 -100.000 0.00 68.692.73 68.692.73 First In First Oul Security Identifier. AAVL 0619 06130115 4 06125/15 Sal. TRANSLINION COM COM 300.000 6.750.00 7.52196 771.96 First In First Out Security Identifier TRU 06130/15 4 06126/15 SELL XACTLY CORP COM 600.000 4.800.00 5,097.10 297.10 First In First Oul Security Identifier MY Page 11 of21 Account Number: Rated [malign' ORAN ROLL Go paperless beefy Year Since 2007 SOUTHERNCO F I DEIST/IA& CALMAR RATED COMMUNICATDONS exclurricr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_OM_00045922 DB-SDNY-0008746 EFTA_00 I 56531 EFTA01288894 Schedule of Realized Gains and Losses Current Period (continued) frispositioe Acquisition Date Disposition Transadion Description Quantity Cod Basis Proceeds Realized Gain/ load Date Disallowance Total Short Term 551,550.00 $141,309.58 $89,759.58 Long Term 06115115 10122112' ROM G EARTHLINK INC GTD SR EXCHANGED CUSP FROM 251,000 000 259,857.81 265272 52 5,114.68 Rol In First Out 270321A88 8.875% 05115119 WE DTO 05/1 Security Identifier 270321AC6 Original Cost Basis: 262,890.00 06123115 12/13113' FRP WASHINGTON MUT MTG S 00142A2 LUG PASSTHRU CTF CL 1.290000.000 7,191.57 9.790 51 2,298.91 C. B-1 VAR RATE 6.985% 07125133 Security Identifier 939336520 Original Cost Beet 7.491.57 06/25/15 12113113' VAG COUNTRYWIDE HOME LOA I CL 81 1.090% 03/25/33 WED 1.500.000 000 838,309.32 897,173.91 59,161.59 First In First Out TD 01130103 Security Identifier 12889DYS1 Original Cost Basis: 838,309.32 Total Long Term $1,105,658.73 81,172,836.94 $67,178.21 Total Short Term and Long Term $1,157,208.73 81,314,146.52 $156,937.79 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rIRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabifization Act of 20081 and are, therefore, considered enoncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered* under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS 1311 form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make. but are not required to be made by Pershing as it relates to H.R. 1424. You should consuk with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any Wormation that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 12o121 Account Number WIAB ROI (so paperless SOL THERA N ac. F I DST' EA L CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Its' Excellent, (very Van Since 2'007 DAL BAR RAT ED COMMUNICATIONS rxenurtraer SDNY_GM_00045923 OB-SDNY-0008747 EFIA_00156532 EFTA01288895 Deutsche Asset & Wealth Management P.O Box 1770, Ba!ammo, MD 21203 DraIsev RIM Wealth Minim,. Matern I omrar Gto‘p (MAIM 110i• was bet Pik* Na Pot Anna. 1611. fi Illlllll at likve 10114 Statement Period: 01//112115 -1613012115 Schedule of Realized Gains and Losses Current Period (continued) Cost Basis on fixed income secobes may be adjusted for amortization, accretion. onginal issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. These shares are unsettled and have been recently disposed. You wil also see these shares on the Portfolio Holdings section until this transaction has been settled. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account MI be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. M essa g es Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please be advised that Reich & Tang Asset Management LLC will be liquidating its funds (the 'RAT Funds') by the end of July 2015 and as such the R&T Funds will no longer be available as money market funds in the ()BSI cash sweep program (the 'Sweep Program') What this means for you: If you are curtently invested in an R&T Fund. please refer to our earlier letter for more information about your available cash sweep options, or contact your client advisor. If you are not curtently invested in the R&T Funds. this change will not affect the existing sweep for your uninvested cash balances and no action is required on your part For information on all cash sweep options evadable in the Sweep Program, please visit our website at: httpilivealthdeutscheawm.cornlamericas/eniCashSweep0plicoshtml and click on 'Cash Sweep Options-Rates'. Account Nun tier Go paperless SC L THERA co Nnc.FID ENT1AL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) Pap1302f Rated [mallard, (very Year Sine. ?007 DAL BAR RATED OOMMUNICATICW6 rxemsner rr.L.."—"ZrZtratanrr....—"=7 SDNY_GM_00045924 OB-SDNY-0008748 EFIA_00 156533 EFTA01288896 Activity Sum m a ry (All amounts shaven are in base currency) Oedits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities/lough! 000 0.00 Securities Bought -1.644.434.00 -3.233.615.50 Securities Sold 59,997 79 128,690 52 Securities Sold 0 00 0 00 Total Securities $59,997.79 $128,690.52 Total Securities -$1,644,434.00 -93,233,615.50 Dividends and interest 9279,139.20 $1,525,000.21 Dividends and Interest $0.00 90.00 Distributions $1,170,575.35 $4,130,349.66 Distributions $0.00 90.00 Fees $0.00 $0.00 Fees $0.00 -9236.00 Taxes Withheld 10.00 $0.00 Taxes Withheld $0.00 -96,561.18 Other 10.00 $68,692.73 Other $0.00 -960,692.73 Cash Cash Withdrawals 0 00 0 00 Withdrawals -1.529.290.08 -3.145.887.94 Deposits 0 00 2,047 119.25 Deposits 0 00 0 00 Total Cash $0.00 92,047,119.25 Total Cash -$1,529,290.08 -93,145,887.94 Money Market Funds $0.00 $2,448,952.63 Money Market Funds $0.00 -94,780,931.93 Total Credits $1,509,712.35 $10,348,805.00 Total Debits -$3,173,724.08 -111,235,925.28 Transactions by Type of Activity Process/ Settlement Date Trade/ Transaction Date Activity Type Dewiption Quantity Price Accrued liters Amount Currenry Securities Bought and Sold 06/15/15 06110/15 PURCHASED MORN INC COM UNSOLICITED ORDER ALLOCATED ORDER 5.000.000 46.7800 .231,206 00 LSD AKRX YOUR BROKER ACTED AS AGENT 06/15/15 06110115 PURCHASED ALIBABA GROUP FLDG LTD SPONSORED ADS 5,000.000 88.8886 -441,74900 LSD BABA ISINIUS01609W1027 UNSOLICITED ORDER AVERAGEUNIT RICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/15/15 06110/15 PURCHASED DISH NETWORK CORP CL A UNSOLICITED ORDER AVERAGE 5.000.000 72.9344 -361,97800 LSO DISH UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 06/15/15 06110/15 PURCHASED GLAXOSMITHKLINE PLC SPONS ACM LASOLICITE0 ORDER 5.000.000 12.9100 -215.00600 1.4S0 GSK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 06115115 08110115 PURCHASED VIACOM INC NEW CL B UNSOLICITED ORDER AVERAGE UNIT 5.000.000 67.6878 -338.74500 1.,S0 VIAB PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/22/15 YOUR OPTION WIRED CALL 100 AVALANCHE BIOTECHNOLOGIESINC COM ET 100.000 0.00 IAD 99002AM 6 06-19-150 10 000 OPTION ROOT= AAVL MVL CLOSING TRANSACTION Page 14 of 21 US AO Rol SOUTHERN CA LLC. ON FIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Go paperless Bawd facelleria L very Van 5102e 2007 LAMAR RATED COMMUNCATIONS rxciurner rivat SDNY_GM_00045925 DB-SDNY-0008749 EFTA_00 156534 EFTA01288897 Deutsche Asset & Wealth Management P.O. Boa 1778, Babimore, MD21203 DraIsre Rana P.,... Wean iMaigentot Pdaeals COMM, Gnat) Des-boit ML SettolesW lire Pan Onto M Pant Ammo_ lia liter War Wet hY 1011A Transactions by Type of Activity (continued) Proceed Trade/ Settlement Transaction Date Date Activi Securities Bought and Sold (continued) 06123(15 06/18115 PURCHASED FIT 06123115 06/ 18115 PURCHASED UNVR 06124115 06119115 PURCHASED POGO 06125115 06122/15 SOLD FIT 06125115 06122/15 SOLD FOGO 06125115 06122/15 SOLD KYR 06130115 06/25115 PURCHASED TRU Dewi ioa FITBIT INC CI A PROSPECTUS UNDERSEPARATECOVER l•AIVAR INC COM PROSPECTUSUNDER SEPARATE COVER FOGO DE CHAO INC COM PROSPECTUS UNDER SEPARATE COVER FITBIT INC CL A UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT FOGO DE CHAO INC COM UNSOLICITED ORDER tAIVAR INC COM UNSOLICITED ORDER IFtAN SWOON COM COM PROSPECTUSUKDER SEPARATE COVER Quantit 800 000 1.000.000 100.000 .800.000 .100.000 .1,000 000 300.000 Total Securities Bought and Sold - UNITED STATES DOLLAR Dividends and Interest 06115115 FOREIGN BOND INTEREST 654338BGS 06115115 06115115 BOND INTEREST RECEIVED 270321AC6 CASH DIVIDEND RECEIVED 389622%6 06123115 CASH DIVIDEND RECEIVED GM 06125115 BONO INTEREST RECEIVED 12669DYS1 ti8AD 8011 SOL, A LLC. FIDENTIAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) THERA C 120000018E CAPITAL NO I PLC 144A ISINBXSO473106283 8.000% 09115188 REG DTD 12/15109 CLB RD 06112 PD 06115/15 EARTH iNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 270321A88 8.875% 05/15/19 BIE DTD 05/17/11 CIA ACCRUED INTEREST GENERAL ELEC CAP CORP NON CUM PFD SERA 7.125% 06112/62 EVE RD 06112 PD 06/15115 DIV PAID AT 35.6250 2000000 97525 SIRS GENERAL MTRS CO COM RD 06110 PD 06123115 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL B1 4.090% 03125133 EVE DTO 01/30/03 RD 05129 PD 06125115 Statement Period: 06/0112015 • 060012015 Price Accrued Intend Amain Carren 2011000 •16.00000 USD 22.0000 •22,00000 USO 20.0000 .2,000.00 USO 38.9382 31,094 03 USO 26.0600 2,549.95 USD 26.4203 26.353 81 USD 22.5000 .6,750.00 USO 0.00 -1,584,436.21 48,000 00 USD 1,878 54 USO 71,250.00 USD 35,109 00 USD 4,301 83 USD Page 15 of 21 Account Number. Go paperless Raid excellent, Lvery V... Lace Z007 0ALBAll RATEDCOMMUNCATIONS IXCILL7NCI —4-••••••• SDNY GM 00045926 DB-SDNY-0008750 EFTA_00 156535 EFTA01288898 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Activity Type DeØielån Quart Price Awned Interest Artrouat Curren Dividends and Interest (continued) 06125115 BOND INTEREST RECEIVED 1290000 WASHINGTON NUT MTG SECS CORP 2004-RA2 939336520 MTG PASSTHRL CTF Cl. C-81 VAR RATE 6.985% 07125/33 WE DID 06101/04 RD 05129 PD 06125/15 06/26/15 CASH DIVIDEND RECEIVED 60000 SHRS WISDOM TREE TRJAPAN HEDGED EQUITY Fti RD COU 06121 PD 06126/15 06129115 CASH DIVIDEND RECEIVED 8100 SHRS GILEAD SCIENCES INC RD 06116 PO 06/29/15 GILD 06129115 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FM RATE RESET 539439AG4 ADDL TIER 1 SECS !SINS US539439AG12 7.500% 09/27/88 WE DTD 0/107/14 CLB RD 06126 PD 06/27/15 06/30/15 MONEY MARKET FLND DWSGOVT CASH INSTL INCOME RECEIVED 233993682 06/30/15 FOREIGN SECURITY DIVIDEND 120000 SF RS ROYAL BK SCOTLAND GP PLC SPON AM RECEIVED REPSTG SER T PFD CPN.7 25% FRED 0 RTLY PERP MTV REIS PRT CALL@ 25 MY W/30 D NOTICE AFTR 12/31112 RD 06115 PD 06130115 4.152 93 19.411.80 3.483.00 35.681.25 1,492.85 54.375.00 LSD LSO LSO LSD LSD LSO Total Dividends and Interest • UNITED STATES DOLLAR 0.00 279,139.20 Distributions 06/15/15 SECL MY REDEEMED EARTH LINK INC GTO SR NT FULLY EXCHANGED CLSIP FROM -251,000.000 265.272 52 LSO 270321AC6 27032088 8.875% 05/15119 B/E DTD 05117/11 CLB CALLED BY LOTTERY 06/25/15 SECL MTV REDEEMED COUNTRYWIDE HOME LOAN S SER 031 CL El1 4.090% .4.500,000.000 897.773 91 1.9) 12669DYS1 03125133 WE DTD 01/30/03 06/25/15 RETURN OF PRINCIPAL 1290000 WASHINGTON lilLTMTG SECS CORP 2004-RA2 7.528.93 LSO RECEIVED MTG PASSTH RIJ CTF CL C.B.1 VAR RATE 6.985% 07125/33 939336520 WE DTD 06101/04 RD 05/29 PD 06125/15 Total Distributions • UNITED STATES DOLLAR 0.00 1,170,575.36 Cash Withdrawals and Deposits 06103/15 FEDERAL FUNDS SENT DEUTSCHE MK TRUST -1.529.29008 LSO USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 1,529,290.06 Total Value of Transactions 0.00 .1,664,01123 USD The price and quantity displayed may have been rounded. I.)14AN VOI Account Num Der. Go paperless SOL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA uid` F I DESMAL Page 16 of 21 !Laud taceilera Inn. Vs. Sinew 2'007 DAL BAR RATED ØWKATOG rxcituNer re...rat SONY GM 00045927 DB-S6NY:0008751 EFTA30 156536 EFTA01288899 Deutsche Asset & Wealth Management PO &a 1778. Ballimore, MO 21203 Cash Not Yet Received Drain Ram Pon.VeAtahnhivmp.cat hIlf Comna6Km) oe.osot %IVY. AC live bet Cali* MI Pot Anremie. Ikh I bet Statement Period: 0610112015 • 06/30/2015 Security Record Date Payable Date Quantity Held Rate Dividend Option Mount of Payment Dividends GENERAL ELECTRIC CO COM 06122115 07127115 23.000 000 0.230000 Cash 5,290.00 VIACOM INC NEW Cl B 06115115 07101115 5.000 000 0.400000 Cash 2,000.00 Total Cash Not Yet Received $7,290.00 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 rn or:re 2,452.500 00 1 to 5 years 777/05.00 6 to 10 years 1,983,750.00 Over 10 years 16,951009.64 Total 22,171,96414 Bond Quality Bond Quality 10,906,250.00 49% PI Loner 11.263.714.64 51% Total 22,171,964.04 100% 100% Market Value %of bed Market Value Percentages of bond market values are rounded to the nearest whole percentage. L)8Atl u. I Account Num berms Go tillerless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. ; u THERA COL N F I Dri rriAL s Percentages of bond market values are rounded to the nearest whole percentage. Page 17 of 21 Rated excellent, Ivory Yew Lace 1007 DAUM. RATED COMMUNICATIONS rxest unser SDNY_GM_00045928 O13-SDNY-0O08752 EFIA_00 156537 EFTA01288900 Trades Not Settled Settlement 0ate Trade Date Activity Type Desolation Quantity Price Mooed Interest Settlement Mount 07/01/15 06i26/15 Buy XACTLY CORP COM 600.000 8.0000 0.00 4800.00 PROSPECTUS IADER SEPARATE COVER 07/06/15 06/30/15 Sell TRANSIAION COM -300.000 25.2603 0.00 7,521.96 COM UNSOLICITED ORDER AVERAGE UKIT PRICE TRANSACTION YOURBROKER ACTED AS AGENT 07106115 06/30/15 Sell XACTLY CORP COM -600.000 8.5866 0.00 5.097 10 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Total Amount of Trades Not Settled 97,819.06 Client Service Information Your Client Advisor: DAN DANIEL SABSA 345 PARK AVENUE 26Th FLOOR KEW YORK AY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OID): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types. Ratable Method Include market discount in income annually- No Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications. log in to your account or contact your Client Advisor for mare inform alien. Important Information and Disclosures Pricing This section indudes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otheweise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked WA' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position Page18 of 21 'DOAN ROIL Account Num be; Rama tacell• nil Go paperless det Vtanasen00 UO L Nc F I Dr/Wink OAR RATED COMMUNICATIONS rxentmer SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ..ar.i.trositt.'t...9.r...-t.....Prt Waft SDNY_GM_00045929 DB-SDNY-0008753 EFTA_OOI56538 EFTA01288901 Deutsche Asset & Wealth Management PO. Bca 1778. Ballimore, MO 21203 m portant Inform ation and Disclosures (continued) Estimated Annual Figures (continued) quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/business_continuity.html for specific detads as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirrnahon of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges mewed in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintainng current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not pernitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts, are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Destine Um Pon. wean Miner-vat Mareits Cedric, 6,0.4) ontsciv ML sectotes M. Mar *4 Mar SO Pan AS,* 140meop mow *a NY 101M Statement Period: 06/0112015 • 06/3012015 Pap 19 of 21 Account Number: Go paperless E Sr". ti, Raid t lloria very Sines 2007 SOUTHERN F I DrErnAL DALOARRATC000MMUNICATIONS rxenurrder CONFIDENTIAL — PURSUANT TO FED. R. CPIM. P. 6(e) SDNY_GM_00045930 OB-SDNY-0008754 EFIA_00156539 EFTA01288902 Important Information and Disclosures (continued) The Role of Pershing • Pershing carves your account as clearing broker pursuant to a cleanrg agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and ) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and n eneral for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at . AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vninv.pershing cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators WI typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration locums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum n which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLD, Legal Department. One Pershing Plaza. Jersey City, New Jersey 07399; Page 20 of 21 Account Number V8"" ROI Go paperless SOL TH ERk L LLC. F I DranAL N CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) Rated tnellenti Lvery Late 2007 DAUM', LAUD COMMUNICATIONS rxenurmer SDNY_GM_00045931 OB-SDNY-0006755 EFrA_00156540 EFTA01288903 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDADIR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PT YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COMES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REOUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. MEREST AM) OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAX/ISLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS Co ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE N DUSTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROMBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHNG.COINDISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE ISIMAX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST OCECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NERO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH.NG ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. IF ANY OF THE ABOVE TERMS AIM CONOITONS ARE UNACCEPTABLE TO YOU. REAM HOTFY PERS-IBIO IMIEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLC& JERSEY CITY. NJ MOO ATM WW1DEPT Account Number: Go papertess CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6: THERhCON FIDENTIAL Pap 21 OD R•I•Y tsconenti L very Year Sac 2007 OAL BAR RATED COMMUNICATIONS rxeiturtraer SDNY_GM_00045932 OB-SDNY-0008756 EFTA_00156541 EFTA01288904 Deutsche Asset & Wealth Management PO Boa 1778, Ba!limey°, MD 21203 Draw •V gam Ponln Wealth Manrent Vinets Cowan0.. 4. p Deote4 Bat 144.....et In. bet 0111o. Ma Part Anew. b.4bc, co rm AY 101 Valuation at a Glance Account Number: Statement Period: 0510112015 -151311211$ This Period Year-tmOate SOUTHERN FINANCIAL LLC Beginning Amount Value 9130,639,936.04 9126,711,293.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 430.521.39 ST THOMAS VI 00802 Net Securities InfOut of Account 000 -2.483,792.00 Adjusted Previous Account Value 130139,93611 121,661,022.41 Dividends, Interest and Other Income 471277.13 1.559,01714 Total Taxes Withheld -6,56118 -6,561.18 Net Other Activity -200.00 -236.00 Your Client Advisor: Net Chan ie in Portfolio 999.570.38 5,892,780.10 DANIEL MBI3A nclrng Account Value 5132. '' 06 C23.'7 5132.106 023 17 Accrued Interest $331,375 <4 Estim ated Annual !nom e 33.511.941 96 Asset Allocation Prior Year-End Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 11,273,981.33 16,910,315.07 17,382,855.08 35.87% LSD Axed Income 18,177,155.513 15.589,02515 15,587,101.74 11.80% on.L SD Axed Income 7.150,052 50 7,812,452.50 7,812,41825 5.91% USD Equities 51,121511 61 56,907,025.62 57,699,186.10 13.68% I Kon.liSD Equities 2.986.256 00 3121.08100 3.624.164.00 2.74% Account Total title Chart) 9126,714,293.02 1130,839,936.11 9132,106,023.17 109.00% See the Asset Allocation Disclosure end Footnotes secton Sr important intonation reganding your Asset Allocation. P else rev ew your allocation ner coca y wth you' Cleft Advoct Page 1019 DRAB 901.1 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) B012 991003830017 S Masa t [very Vs. Since 2007 CON FIDENTiA 19161LBALILLIEDMIAMUNICAT°6 Go paperless ocat notroo...-=="4=irt: o-a-eoo one roc SDNY_GM_00045933 OB-SDNY-0008757 EFIA_00156542 EFTA01288905 Asset Allocation Disclosure and Footnotes M values are displayed in U.S. dollars based on interbank exchange rates as of 05/3112015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gainfloss 000 0 00 6 875.488 60 Long•Term Gain/Loss 1.003 35 13.398.09 4.870.371.13 Net GaIn/Loss 1,003.35 43,398.09 11,745,859.73 This summary excludes transactions where cost basis information is not available. For Your Information Cr June 5. 2014. the European Central Bank (the -ECB1 introduced 'negatrve interest rates'. This negative interest rate applied to all deposits held at the ECG and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S for tax year 2015. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Adivity Type Description Amount Balance Sweep Money Market Fund DV/ 5 GOVERNMENT CASH I N STL Account Number 000-0001490 Cuirenl Yield: 0.01% Activity Ending: 05/29115 0901/15 Opening Balance 46,551,588.63 46,551,588.63 05101/15 Deposit MONEY FLND PURCHASE 358.756.11 16.910,31507 05113/15 Deposit MONEY FUND FURCHASE 11,276.50 15,921,621.57 05114115 Deposit MONEY FUND PURCHASE 4.001 38 46.925.625 95 05115115 Deposit MONEY FUND PURCHASE 119.589.81 17.015.215.79 05118/15 Deposit MONEY FUND PURCHASE 233506 29 17,278,722.08 05127115 Deposit MONEY FOND PURCHASE 11,491.06 17,293,213.14 05128115 Deposit MONEY FUND PURCHASE 1200.00 47294,413.14 05129115 Deposit INCOME REINVEST 1.600.13 47.296.013 27 06129115 Closing Balance 147,296,013.27 Total All Money Market Funds 847,296,013.27 Page 2 of 19 UPAII ROI 1 SOL:KITH MC. FIDESMAL ON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber paperless Railed f-acellenti Lyon, Vest Loco 2007 DALBAR RATED COMMUNICATIONS rxarturnaer SDNY GM 00045934 DB-SDNY-0008758 EFTA_00 156543 EFTA01288906 Deutsche Asset & Wealth Management P.O. Boa 1778, Banimoro. MD 21203 Income and Expense Summary °mist.< Roo OPOOMMOPIPAPMernalt minim <Dome 4,8.8 M.-UM la* sectonet lc. Int 44 Olgo Habn •OrtiO .!Note, One wet ItY 10114 Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest Other Interest Expenses Withholding Taxes FeesfFoieign Securibes Total Dividends, Interest, Income and Expenses Distributions Aternabte Inseam ents Other Distributions Total Distributions Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 36.00% of Portfolio Cash Balance Account Activity Opening Quantity Number Ending Balance Current Period Statement Period: 0510112015 • Year-to-Date 05/3112015 Taxable Noe Taxable Taxable Non Taxable 210,088.15 0.00 481,172.90 0.00 1,600.13 0.00 6,35228 0.00 81,250.00 0.00 372,500.00 000 52,87210 0.00 304,58565 0.00 40,625.04 0.00 81,250.08 0.00 4561.18 0.00 6,561.18 0.00 -200.00 0.00 -200.00 0.00 $371,874.14 10.00 K239,099.0 $0.00 0.00 86641.81 0.00 313.15683 0.00 5.99416 0.00 82.087 47 $0.00 $92,835.87 $0.00 $395,244.30 358,756.44 M oney N arket DWS GOVERNMENT CASH INSTL 05/01115 47.296.013 270 0000001490 05129115 46.551.5U 63 Total Money Market $48,551,586.63 Total Cash, M oney Funds, and Bank Deposits 148,910,345.07 Closing Balance Awned Income Income This Year 30-Day Yield Current Yield 86.841 81 47 296.013 27 0.00 6.35238 0.04% 0.04% $47,296,013.27 $0.00 $6,352.38 147,382,855.08 $0.00 16,352.38 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTEAL Account Number OttAM Go paperless SO L Th ERIN CT, ri Page 3 of 19 Rated tocolloni beefy Von Woo 2007 DAL OAR ROTED COMMUNICATIONS rxerurnaer SDNY_GM_00045935 DB-SDNY-0008759 EFTA_00 156544 EFTA01288907 Portfolio Holdings (continued) Date Acc4.rez Fixed Income 1 8.0 0% of Portfolio tin Maw* Dee Sequence) 'Asset Backed Securities COUNTRYWIDE HOM E LOANS SER 03-1 CL 81 4.090% 03(25133 BrE DTD 01130103 Factor: 0.19950531 Effective Date:05101/15 Current Face Value: 897.773 895 12113113'.1.12 4,500,060.000 933760 Quantity Unit Cod Adjusted Cod Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield WASHINGTON MUT NI TG SECS CORP 200441A2 TO PASSTHRU CTF CL C-B-1 VAR RATE 6.985% 07125133 WE 010 06/01/01 S & P Rating 0 Factor. 0.552.99619 Effective Dale.05101/15 Current Face Value: 713.365.085 12113/13 u.3." 1,290,000.000 76.5190 Security Identifier: 12889 DT 51 838.309.32 83.6530 Original Cosl Basis: $1,111,573.01 Security Identifier: 939338620 545157.04 84.4360 0 nginal Cost Basin $638.906.71 61,384,166.38 751,014 80 602,336 94 Total Asset Backed Securities 6,790,000.000 Total Current Face Value 1,811,138.910 Corporate Bonds PETROLEOS DE VENEZUELA NOTES Sell ICIR ISM, X60460546525 5.000% 10/28/15 REG DTD 10/28109 S& P Rating B. 12104/13'.3.12 2,500,000.000 976440 EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321A81 8.875% 05/15/19 EUE DTD 05117111 CALLABLE 05/29/15 S & P Rating CCC+ 10122112 '.3.12 400,000.000 102,3280 409.301.00 104.0000 Original Cost Bait 6114,000.00 10123/12 u.3.O 600.000 000 102 1620 612.970.16 104.0000 Original Cost Basic $619,500.00 Total Noncovered 1,000,000.000 1,022,274.16 Total 1,000,000.000 61,022,274.18 LLOYDS TSB BK PLC EURO ISSUE M EDIUM TERM KOTESIMP XS0717735822 9.875% 12/16/21 REG DM 12/16111 Moody Rating Bat S8 P Rating BBB- 12104/13 '.3.12 1,500,000.000 107.3330 Security Identifier: P7807HAF2 2,441,090.09 98,0000 Original Cod UN $2.250.00.00 Security Identifier: 270321AC8 ORM, t SOUTHER?, CH LI.C. ONiFIDAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Security Identifier: 64616PPIll 1,609,996.64 111.7900 Onginal Cosl Basis: $1,627,500.00 61,353,361.74 2,450,000.00 416,000 00 624.000 00 1,010,000.00 $1,040,000.00 1,676,850.00 .87,294.52 56,479 90 3.059 91 4,152.62 -630,814.82 $7,212.63 30A 8,909.91 11,458 33 125,000.00 5.10% 6.696.00 1.577.78 35,500.00 8.53% 11,029.84 2.366.66 53,250.00 8.53% 17,726.84 3,944.41 88,760.00 617,726.84 $3,944.44 688,760.00 66,853.36 67,479 17 148,125.00 8.83% Page 4 of 19 Account Num ber. Go paperless Excellerell (very Year Since 2007 DAL BAR RATED COMMUNOTOONS rxesionser SEM Y_GM_0004 6036 O13-SDNY-0008760 EFIA_00156545 EFTA01288908 Deutsche Asset & Wealth Management PO Boa 1778, Banimore, MD 21203 Portfolio Holdings (continued) Date Acquired Quantity Uait Cod Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT ISMS Li 606739FH(03 7.750% 04110123 B1E DTD 04110/13 CALLABLE 04/10/18 S8 P Rating BB* Security Identifier: 06739FHK0 04103113'.12.13 300,000.000 100.0000 300,000.00 110 7500 332,250.00 PM ORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SERI FIXED TO FLTG RT BO 7.900% 04129/49 B/E DTD 04/23/08 Moody Rating BA1 S8 P Rating BBB- Original Cost Bass: 5300,000.00 Security Identifier: 46825HHA1 05115111 '.3.13 2,500,000.000 107.5000 2,687,500.00 106.6500 2,666,250.00 Original Cost Bait: 52,687,500.00 06115111 '.3.12 2,500,000.000 107.0000 2,875,000 00 106.6500 2,666,250.00 Original Cost Bass: 52,675,000.00 Total Noncovered 5,000,000.000 5.362.500.00 5,332,600.00 Total 5,000,000.000 $5,362,50000 $5,332,500.00 BANK AMER CORP PERP NON COM ULATIVE OEP SFS FIXED TO FLOAT 8.125% 04130158 B/E DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 St P Rating BB Security Identifier: 060505D16 01110111 '.3.12 2,000,000.000 102.7500 2.055.000.00 107.7500 2,155,000.00 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117/62 WE DTD 01/17/12 CALLABLE02/01122 0 100.000 Moody Rating BM1 S 8 P Rating BBB- Original Cost Basis: 52.055.000.00 Security Identities: I42400FU2 01130112',3,t2 3,000,000.000 99.8180 2.994.544 58 112.3750 3,371,250 00 Adjusted Cast Basis Oralsre Rana Pnwale vkan Alpmernait Pdaeals (Dona Gro.p De.isch4 ML Settonesw Mee wan 0at* Hann Ass.. Ikkilbgr War *A M' ,0114 Market Price Market Value Statement Period: 05/01/2015 • 05/31/2015 Unrealized Gain? Loss kaued Interest Estimated Estimated Annual Income Yield E:129930CSF10:,1 ' Et..kl ROLL Original Cost Be 52,992,581 97 Account Number Go paperless SOUTHERN CO kiLC F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 32.250 00 3,29375 23.250.00 6.99% -21,25000 16,458.31 197.500.00 7.40% -8,750.00 16,458.33 197,500.00 7.40% .30,000.00 32,916.437 395,000.00 -330,000.00 $32,916.52 3395,000.00 100.00000 7.222 22 162 500 00 7.54% 376.705.42 62.500.00 187.500.00 5.56% Page 5 of 19 Italia [...mos Every V... Lace 2007 DALOAR RATED COMMUNOLTIONS rxestimer rats= SDNY_GM_00045937 DB-SDNY-0008761 EFTA_00 156546 EFTA01288909 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06/12/62 BIE DTD 06112112 CALLABLE 06/15/22 Moody Rating BAA1 Sd P Rating A* Security Identifier: 3696223116 06127/12 'AA 2.000.000.000 104 7260 2.094.517.86 116.7500 2,335 000 00 240.182 14 65,708 33 142.500.00 6.10% Original Cosl Basis: 52.122.916 67 LOG CAPITAL NO 1 PLC 144A Security Identifier: G54330668 ISIA XS0473106283 8.000% 09/15/88 REG DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB 12/04/13'•3,u 1.200.000.000 108 2500 1,299,000.00 110.7500 1.329.000.00 30.000 00 44.286 67 96.0'30.00 7.22% Original Cost Basis 51,299,000.00 1LLOWS BANKING GROUP PLC FXD RATE RESET Security identifier 539439AG4 ADDL TIER 1 SECS 'SIN a 1, S539439AG42 7.500% 09/27/88 WE DID 04/07114 Sd P Rating Br Please Provide' 1.903.000.000 N/A Please Provide 106.3750 2.024.316 25 N/A 25.373 33 142125.00 7.05% Onginal Cosl Basis: Please Provide Total Corporate Bonds 319,176,923.33 322,046,165.25 3812,926.57 3324,162.91 31,511,350.00 20,103,000.000 Total Fixed Income 320,553,089.69 323,399,517.99 1812,112.05 1331,375.44 31,511,350.00 26,193,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Gain/ Loss Mena! Income Yield Equities 4 3.0 0% of Portfolio Common Stocks OBILEYE NV AM STELVEEN ORD SHS ISIASKI.0010831061 Dividend Option: Cash 08101/14 800.000 ALUANZ SE SPONSADR REPSTG 1110 SHS Dividend Ophon. Cash 01113/15 5.000.000 APOLLO GLOBAL M GM T LLC CL A 3115 Dividend Option: Cash 03129/1 1 '.13 263,157.000 APPLE INC COM Dividend Ophon Cash Adjuded Cod Basis Market Price Market Value Unrealized Gain/ Loss Awned Interest Estimated Estimated Annual Income Yield USAD Rol k SOL IZ1 LLC. FIDE1SMAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) THER 25 0000 180110 19 0000 Security Identifier: M SLY CUSP. N51488117 20.000.00 47 0800 Security Identifier: AZSEY CUSP. 018805101 90.056 00 15.6500 Security Identifier: APO CUSP-. 037612306 1.999,983 00 221000 Security Identifier: AAPL CUSP. 037833100 37.661.00 78,250 00 5,812,085.40 17,664 00 -11.806.00 842,102 10 2.833 81 3.62% 626.313.66 10.72% Page 6 of 19 Account Num her. Go paperless litatad Excellent, (very V... Slab 2'007 DAL BAR RAT ED COMMUNCATIONS noilu I Het SMIY_GM_00015938 DB-SDNY-0008762 EFTA_00 156547 EFTA01288910 Deutsche Asset & Wealth Management PO &a 1778. Bahimore, MO 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cod Equities (continued) Common Stocks (continued) APPLE INC COM (continued) 09105114 142,800.000 98 9500 ARIA() PHARMACEUTICALS INC Dividend Option: Cash 0211012 '.I3 7.535.000 15 2090 01/24113 ' ,13 9.000.000 19 6000 Total Noncovered 16,535.000 Total 18,635.000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 01116101 70,500.000 21 2770 AVALANCHE BIOTECHNOLOGIES INC COM Dividend Option: Cash 10,000 00 of these shares are in your margin account 04120115 10,000.000 39.8610 BASF SE SPONS ADR ISM U 93552625057 Dividend Option: Cash 04/13/15 5.000.000 101.6110 BANK OF NEW YORK M ELLON CORP COM Dividend Option. Cash 06125114 250.000.000 36.3060 BIOGEN IDEC INC COM Dividend Option: Cash 02/14112 %13 21951130 119.5490 FACEBOOK INC CI. A Dividend Option: Cash 05/17112 ..13 17,500.000 38 0000 Vritslin Maniets I...VW G.0.9 0ee.ruN N. Yin bet Office 10 Pant Annw.)01knoct tine ',kr\ JiY IOVA Cost Basis Market Price 14,130,065.71 130.2800 Security Identifier: ARIA CUSP: 04033A100 114.597.40 9.1800 176.400.00 9.1800 290 997.40 9290,997.40 Security Identifier: ASN A CUSP 043516101 1,500,000 00 14.7800 Security Identifier: AAVL CUSP: 053376107 Market Value 18,603,984 00 69.171.30 82.620.00 151,791.30 Statement Period: 05/01/2015 - 05/31/2015 Unrealized Gainlloss 4,473,91829 •45.426.10 -93.780 00 -139,206.10 Estimated Estimated Animal Income Yield 297.024.00 1.59% 398,606.00 37.2800 Security Identifier: BASFY CUSP. 055262505 501.05600 92.3120 Security Identifier: BK CUSP 064058100 9.076.406 00 43.3600 Security Identifier: 8116 CUSP 09062X103 250,454.95 396.9900 Security 'detainer: FB CUSP: 3030311102 665,000.00 79.1900 1151,791.30 1,041,990 00 312,800 00 461,560.00 10.840.000 00 831,694.05 1.385.825.00 Account Number Go paperless SOL THERA CH LW. ON FIDESITIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) .$139,206.10 -458,010.00 •25,80600 -46.49800 1,763,594.00 58t,239.10 720,825.00 80.00 11,276.50 2.44% 170.000.00 1.56% Pape/ of 19 Railed [...ISM Lyon.. V. Wier 2007 DALOAR RATED COMMUNCATIONS rxent ewer SDNY_GM_00045939 OB-SDNY-0008763 EFrA_00 156548 EFTA01288911 Portfolio Holdings (continued) Date ired Equities (continued) Common Stocks (continued) FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total 19,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113 '. 13 GENERAL M TRS CO COM Dividend Option. Cash 11118110 ' 12/09110 Total Noncovered Total GILEAD SCIENCES INC Dividend Option: Cash 0210511/ 03107/14 Total Covered Total GO DADDY INC CL A Dividend Option: Cash 04101115 HEALTH NET INC COM Dividend Option: Cash 09108114 Oineth U&t Cod Cot Basis Market Pike Markel Value Unrealized Geld Lou Estimated Estimated Annual name Yield 25,000.000 21,830.000 19,830.000 23 000.000 10 988.200 86 536 800 97,525.000 97,525.000 33,616,947.34 33,507,174.26 -977,973.13 9140,138.00 Security Identifier: FM I CUSP: 350465100 27.5070 681,883.50 35.7700 894.250.00 232530 577,373.02 35.7700 888,169.10 1,205,03012 1,782,419.10 31,266,03042 31,782,419.10 21.5700 36.1010 36.8180 Security Identifier: GE CUSP: 389604103 496,109.08 27.2700 Security Identifier: GM CUSP: 370459100 399,978.16 35.9700 3.185.96922 35.9700 3,606,917.36 206,586.50 310,796.08 517,362.6$ 3517,382.58 30.00 627 210 00 131,100.92 21,180.00 3.37% 395,245 56 4.732.60 15,823.01 4.00% 3.112.728 69 .73,210,53 121.612.99 4.00% 3,607,971.26 .77,973.13 110,130.00 Severity Identifier: GILD CUSP: 375558103 5 000 000 792810 396,107.00 1122700 561,350.00 164,913 00 3.100 000 79.6120 246.797.00 1122700 318,037.00 101,240.00 8,100.000 643,204.00 909,307.00 268,183.00 0,100.000 $643,204.00 $909,387.00 8,600.00 1.53% 5,332.00 1.53% 13,932.00 700.000 25400 000 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05128/13 '.13 50,000.000 SANTANDER CONSUMER USA HLDGS INC COM Dividend Option: Cash 01123114 1.000.000 TWITTER INC COM Dividend Option: Cash 11107113 1,500.000 Security Identifier: GDDY CUSP: 380237107 20.0000 14,000.00 26.9300 18,851.00 Security Identifier: H NT CUSP. 422226108 46 9800 1.174,50640 62.2400 1.556.000.00 Security Identifier: NM 0 CUSP 800677106 44440 122,211.00 12.2500 612,500.00 Security Identifier: SC CUSP: 8028314101 24 0000 24,000.00 24.5000 21,500.00 Security Identifier: TSYTR CUSP. 901811.102 26 0000 39,000.00 36.6700 55,005.00 3286,163.00 313,932.00 4.851.00 381.494 00 190,286 00 500.00 16,005 00 Page of 19 Account Number: kilted lona 2007 tacel t very '07•7 Woes 8012.9910CSF's I Go paperless 0870 well SO 17 THERM - 0ALOAR RATED COMMUMOLTIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) F I DriSrriA rxesurtraer SDNY_GM_00045940 OB-SDNY-0006764 EFrA_00 156549 EFTA01288912 Deutsche Asset & Wealth Management P.O. Boa 1778, BaMimore, MO 21203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) VOLKSWAGEN A 0 ACM (WON Si Dividend Option: Calk 04113115 5.000.000 50.8610 WISDOM TREE INVISINC COM Dividend Option: Cash 03131115 15.000.000 21.6110 Total Common Stocks Preferred Stocks (listed by expiration date) ALLY FIR INC FIX TO FLT DIV8.50% FREOCURLY CALLABLE.) 25.00 ON A OTRLY BASIS AFTER 05115/2016 Dividend Option: Cash 02103112 " 13 46,600.000 19.3820 02109112 t 13 80,000.000 20.1250 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- 8.125% FRED ORTLY MATY-02/1 sno4o CALL ANYTIME.) 25 W130 DAYS BEGINS 02115116 Dividend Option: Cash 02722112',13 80,000.000 ROYAL BK SCOTLAND GP PLC WON ADR REPSTG SER T PFD CPN-7 25% FRB) ORTLY PERP M TY CALL.) 25 ANY W130 D NOTICE AFfR 12131/12 Dividend Option: Cash 10/24/12 '.13 40.000.000 237900 01107113 '.13 40,000.000 24.4400 01114113'•13 40.000.000 24 8800 Oeviwe "Mall POMmir-wrat Mtioets OntitetC•ap De•CUNI Nom bet Mar Annw. iloct tine w.f. nr laVA Cost Basis Market Price Security Identifier: VLKAY CUSIP. 928662303 254.306.00 48.1300 Security Identifier: W ETF CUSIP 97717P104 324.157.50 21.3600 Market Value 240.650 00 320.400 00 240,172,105.54 Security Identifier: ALLY PRB CLSIP 02005h308 903217.51 26.3500 1.610,000,00 26.3500 2 613,217 51 22,513,217.51 Security Identifier: ALLY PRA CUSP: 361860208 23.5350 1,882.773 60 26 0600 081.0 KLTHERIZ1 LW. ON Fl Dr1SMA L CONFIDENTIAL — PURSUANT TO FED. R DRINA, P. 6(e) Security Identifier: RBS PRT CUSIP. 780097713 951.600.00 977,600.00 995,200.00 25.4800 254800 25.4800 $49,302,540.10 1,227,910 01 2,107,999.99 3,335,910.00 $3,335,910.00 2,084.800 00 1.019.199 99 1,019,199 49 1.019.200 02 Statement Period: 05/01/2015 - 05/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield .13,656.00 -3.757.50 4.004.38 4.800 00 1.66% 149% 29,130,434.56 21,291,760.36 324,692.50 99.025.00 8.06% 497,999.99 170.000.00 8.06% 822,692.49 269,025.00 2622,692.49 2269,025.00 202.026.40 162.500.00 719% 67.599 99 72,500.00 7.11% 41,599 99 72,500.00 7.11% 24.000 02 72,500.00 7.11% Page 9 of 19 Account Num ber. Go paperless Rated excellent beefy V•ar Since 2007 DAL BAR RATED OOMMUN CATIONS rxenurmer .Trar SDNY_GM_00045941 OB-SDNY-0008765 EFI:4_00 156550 EFTA01288913 Portfolio Holdings (continued) Date Acquired Quantity UM Cost Cod Bads Market Prke Markel Value Unrealized Gold Loss Estimated Estimated Annual Income Yield Equities (continued) Preferred Stocks (continued) ROYAL BK SCOTLAND GP PLC WON ADR REPSTG (continued) Total Noncovered 120,000.000 2,924,400.00 3,057,600.00 133,200.00 217,600.00 Total 120,000.000 $2,921,100.00 63,067,600.00 $133,200.00 $217,600.00 Total Preferred Stocks $7,320,391.11 68,476,310.00 61,157,918.19 $649,025.00 Options CALL 100 AVALANCHE 810TECHNOLOGIES INC Option Identifier: 99QAF2AM COM DT 06-10-I 5(} 40 000 Underlying Security Identifier M. OPTION ROOT= AAVL Underlying Security Price: $37.28 .100.00 of these contracts are a shod penguin 04120115 • .100.000 6.8690 48.692.73 4.4000 44100.00 24,692.73 Total Options -$66,692.73 -144,000.00 $24,692.73 $0.00 Total Equities $47,423,103.92 $57,730,650.10 110,313,046.1$ $1,940,006.38 Usrealized Estimated Estimated Date Acquired Quantity Unit Cod Cost Basis Market Price Markel Value Gale/ Loss final Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FO Dividend Option: Cash; Capital Gans Option: Cash 60.000 00 of these shares are in your margin account 12/11/13 80400.000 494350 2.986.098.50 59.7800 3.586 800.00 620.701.50 56.04.20 1.57% Total Exchange-Traded Products $2,966,091.50 Cod Basis 13,586,800.00 Market Value $60,701.60 Unrealized Gain( Loss Accrued Interest $56,434.20 Estimated Annual Income Total Portfolio Holdings 111,335,847.19 $132,106,023.17 611,745,859.73 $331,375.44 $3,514,941.96 Security Identifier DU CUSIP. 97717W$51 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaty not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered *noncovered," under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reportng rules and the adjusted basis WI be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. VBAH ROIL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)1, TH ERA CJO H NFIDAnTriAL Account Number: Go paperless Page 10 of 19 ItmledtwcolleM LveryVipar Since 2'007 DALOARRATO)COAVAUNICAIKM6 rxesmwer SDNY_GM_00045942 DB-SDNY-0008766 EFTA_00156551 EFTA01288914 Deutsche Asset & Wealth Management P.O. Box 1778, Balamore. MD 21203 Portfolio Holdings (continued) Dests4,e Um Poet. wean mvvrnent mavens tonna onts8,4 ML sectotes Now Mb lao HS Pia Asa. loth NON NY.** NY 101M Statement Period: 0610112/15 - 05/31/2815 Cost Basis on roved income securities may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing fern and Pershing makes no representation as to the accuracy of this information. g Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face yak* represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original lace amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Dispos ticn Date Date Tranuct:oi Descionct Quantity Cod Bads Proceeds Realized Cain/ Lose/ Disallowance Long Term 05121115 12113113' RPP WASH, DION MUT NTS S DOCRA2 WS PASSTHRU CTF CL 1.290.000000 2.058.34 2,689.98 631.64 C- 13-I VAR RATE 6.985% 07/25133 Security Identifier 939336S20 Original Cost Basis: 2,058.34 05/26/15 12/13/13' RPP COUNTRYWIDE HONE LOA 1 CL 81 4.090% 03/25133 BA 0 4.500.000000 5.240 27 5,611.98 371.71 TO 01130103 Security Identifier 12669DYS1 Original Cost Basic 5,240.27 Total Long Term $1,298.81 $1,301.96 $1,003.35 Total Short Term and Long Term $7,291.61 $8,301.96 $1,003.35 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IR') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'coverer under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year m which the security is disposed. Pager' of 19 Account Numbe (very Year Siva 2007 r: Go p c k ; Naiad tacelloni aperless SO THERA CO NLIC- F I DENTIA DAL BAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) rxarturrier yaw. gul Nam.. MO.. rivet •INC SDNY_GM_00045943 OB-SDNY-0008767 EFTA_00156552 EFTA01288915 Schedule of Realized Gains and Losses Current Period (continued) Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for winch a yield to matunty can be easily cetermined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for mior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as ft relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have avaiaWe to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to N.R. 1424. You should consul with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any alternation that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortabon, accretion, original issue discount adjustments, or principal payclowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. Mailed from sources believed to be rekable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consul your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Page 12 of 19 Account Number ORAN MOIL Go paperless St3 L TH ERN LLC. CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) ON FIDAENTIAL Rated Emolloni Ivory VAN Sims 2007 DALBAR RATEDCOMMUNICATIONS rxmartraer SDNY_GM_00045944 OB-SDNY-0008768 EFIA_00156553 EFTA01288916 Deutsche Asset & Wealth Management PO Box 1778, Bahimore, MD 21203 Onalsnellana Pnwale WeMn lAvogenan Metral$ tcsear G... • ontsciv Sank Star Oa Inc Now 1st Cato HS Pia AM*. loth I leer Ss** NY 101W Activity Sum m a ry(N7amouMs sholvn are in base cum3ncy) Credits This Period Year-to-Date Debits Statement Period: 0510112015 • 0513112015 This Period Year-to-Date Securities Securities Securities Bought 000 0.00 Securities Bought 000 •i 589.181 50 Securities Sold 000 68,692.73 Securities Sold 000 000 Total Securities 30.00 08,692.73 Total Securities $0.00 -31,589,181.50 Dividends and Interest $386,435.32 0,245,661.01 Dividends and interest $0.00 $0.00 Distributions 02,835.87 $2,959,774.30 Distributions $0.00 30.00 Fees 30.00 $0.00 Fees -$200.00 -$236.00 Taxes Withheld 30.00 30.00 Taxes Withheld -36,561.18 -36,561.18 Other $0.00 388,692.73 Other $0.00 -368,692.73 Cash Cash Withdrawals 000 000 Withdrawals 000 -1.616.597 86 Deposits 000 2,047.119 25 Deposits 000 000 Total Cull 30.00 $2,047,119.25 Total Cash 30.00 -$1,616,597.86 Money M arket Funds 30.00 32,448,152.83 Money Market Funds 30.00 -$4,780,931.93 Total Credits 3479,271.19 $8,839,092.65 Total Debits -36,761.18 -$8,062,201.20 Transactions by Type of Activity Process! Settlement Date Activity Type Description Securities Bought and Sold 05119115 SECUMTY CALLED 0 TY 254.000 EARTI- LIK I< INC GTO SR NT FULLY 27032IAC6 EXCFAAGED CUSP FROM 210321AB8 8.875% 05115119 WE DTD 05/17111 CAB CALLED BY LOTTERY Quantity Price Accrued Interest Amount Currency 0.00 USO Total Securities Bought and Sold - LIMITED STATES DOLLAR 0.00 0.00 Page134019 Account Number OBALI ROI k Go paperless SOUTHERN CNO LLC. F I DAENTIAL N CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) toted tacollerdi Event Vas. WKID 2007 DALBAR RATED COMMUNICATIONS r xenur NCI SDNY_GM_00045945 DB-SDNY-0008769 EFTA_OO 156554 EFTA01288917 Transactions by Type of Activity (continued) Process/ Settlement Date Adivit Type Deur ion Clean Price Accrued liters Monet Curren Dividends and Interest 05112115 FOREIGN SECURITY DIVIDEND RECEIVED BASFY 05/13/15 FOREIGN SECURITY DIVIDEND RECEIVED VLKAY 05114115 FOREIGN SECURITY DIVIDEND RECEIVED AZSEY 05114115 CAS/. DIVIDEND RECEIVED .APL 05/14/15 CASH DIVIDEND RECEIVED 8K 05115115 CASH DIVIDEND RECEIVED ALLY PRB 05/15115 05115115 05115115 05/26/15 05/26/15 05/27/15 05129/15 CASH DIVIDEND RECEIVED 060505DT8 BOND INTEREST RECEIVED 270321AC6 80AD INTEREST RECEIVED ALLY PRA BOND INTEREST RECEIVED 12669DYS1 BOND INTEREST RECEIVED 939336520 CASH DIVIDEND RECENT() WETF MONEY MARKET FUND INCOME RECEIVED 233993682 5000 SF RS BASF SE SPOKS ADR ISM 50552625057 RD 04130 PO 05/11/15 5000 SFRS VOLKSWAGEN A G ADR(SPONS) RD 05/05 PO 05/13115 5000 SFRS ALLIANZ SE SPOASAOR REPSTG 1110 SFS RD 05106 FO 05/14/15 142800 SF RS APPLE INC COM RD 05111 PD 05114/15 250000 SF RS BANK OF NEW YORK MELLON COPP COM RD 05104 FO 05/14/15 126600 SF RS ALLY FINL INC FIX TO RI DIV-13.50% FRE-Q-CITRLY CALLABLE Q. 2510 ON A QTRLY BASIS AFTER 05/15/2016 RD 05/01 PD 05/15/15 BANK AMER CORP PERP NON COM LAATIVE DEP SFS AXED TO FLOAT 8.125% 04130/58 B/E RD 05114 PD 05/15115 DIV PAID AT 40 8250 2000000 1000000 EARTH LINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321A88 8.875% 05115119 B/E OTD 05/17/11 CID RD 05/14 FO 05/15/15 80000 ShRS GM AC CAP TR I GTD TR FfD SECS SER 2 CFN• 8.125% FRED ORTLY MATY-02/15/2040 CALL ANYTIME 0 25 W130 DAYS BEGINS 02115116 RD 05/14 PD 05/15/15 4500000 COUNTRYWIDE HOME LOANS SER 03.1 CL 81 4,190% 03125133 WE DTD 01130103 RD 04130 PD 05/25/15 1290000 WASHINGTON MLTMTG SECS CORP 2004-RA2 MTG PASSTFRU CTF CL C-B-I VAR RATE 6.985% 07125/33 EVE DTD 06101/04 RD 04130 PD 05125/15 15000 SF RS WISDOM TREE INVTS INC COM RD 05/13 PD 05127/15 DWSGOVT CAST INSTL 15,58810 LSO 5A3888 LSD 3.849.02 LSD 74,256 00 LSO 42.500.00 LSD 67,256.25 LSD 81,250.00 LSD 44.375.00 LSD 40,625.04 LSD 4,328.72 LSO 4.168,28 LSD 1.200.00 LSO 1.600.13 LSO Total Dividends and Interest • UNITED STATES DOLLAR IIKAV q()I SOUTHERN CA O N LLC. FIDESMAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Go paperless 0.00 386,435.32 Page 14 of 19 Rated tacellonli very V.A. Late 2007 MUM. RATED COMMUNCATOIS rxeffurnaer SDNY_GM_00045946 DB-SDNY-0008770 EFTA_00 156555 EFTA01288918 Deutsche Asset & Wealth Management P.O. Box 1778, BaMimorce, M021203 Transactions by Type of Activity (continued) Process/ Settlement Date Activity T Descriotioe Dinitsrellana Prmalevkansawirnan mats tonwite.".• ocautv ML sec...ftes New *4 Mc* HS Pan itoes. 26th loot Quanta Statement Period: 0510112015 • 05/3112015 Price Accrued Interest Amount Carteec Distributions 05126115 RETURN OF PRINCIPAL RECEIVED 12669DYS1 05126115 RETURN OF PRINCIPAL RECEIVED 939336520 05129115 PARTNERSHIP DISTRIBUTION APO 4500000 COLA TRYWIDE HONE LOAN S SER 03.1 Cl B1 4.090% 03/25/33 WE DTO 01/30/03 RD 04130 PD 05/25115 1290000 WASHINGTON LI LiT IITG SECSCORP 2004-RA2 II TG PASSTHRU CTF CL C-8.1 VAR RATE 6 985% 07125133 B1E DTD 06/01/04 RD 04130 PD 05/25115 263157 SHRS APOLLO GLOBAL MGIIT LLC CL *SFS RD 05120 PD 05129/15 5111.98 382.08 86,841 81 USO USO USO Total Distributions • UNITED STATES DOLLAR 0.00 02,835.87 Fees 05112115 FEE ON FOREIGN DIVIDEND 5000 SHRS BASF SE WOKS ADR 'SINS 6 50552625057 RD -20000 USD WITHHELD AT THE SOURCE 04130 PD 05111/15 BASFY Total Fees - UNITED STATES DOLLAR 0.00 -200.00 Taxes Withheld 05112115 FOREIGN TAX WITH FELD AT 5000 SHRS BASF SE SPO NS MR ISMS L S0552625051 RD -4,111.50 USD THE SOURCE 04130 PD 05/11/15 BASFY 05113/15 FOREIGN TAX WITH FELD AT 5000 SHRS VOLKSWAGEN AG ADR lSPOk Si RD 05/05 PD .1.434.50 USO THE SOURCE 05113/15 VLKAY 05114115 FOREIGN TAX WITHHELD AT 5000 SHRS ALLIAAZ SE SPONS ADR REPSTG 1/10 SHS RD -1,015.18 USO THE SOURCE 05106 PD 05114115 AZSEY Total Taxes Withheld • UNITED STATES DOLLAR 0.00 -8,581.18 Total Value of Transactions 0.00 472,510.01 USD The price and quantity displayed may have been rounded. oxen ROI Page15019 Account Num ber Go paperless SOL LLC. F I D ENT IAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) THERA N Itatodl tacelbrifi (very Va.Siva 2007 DAL BAR RATED COMMUNICATKINS IXCILL7Net SDNY_GM_00045947 DB-SDNY-0008771 EFTA_00 156556 EFTA01288919 Cash Not Yet Received Security Record Date Payable Date Quality Held Rate Dividend Option Mount of Payment Interest GENERAL EL C CAP CORP NON CUM PFD SER 05129115 06/15;15 2 000.000 000 0.035625 Cash 71 250 00 A Total Cash Not Yet Received $71,250.00 Bond Maturity Schedule Bond Maturity Market Valve % of Bond Market Value I to 6 months 2.450.000.00 IC% 1 to 5 years 1,040,000.00 5% 6 to 10 years 2,009,100.00 9% I I Over 10 yea's 17,900,417.99 76% Total 23499,517.9 100% Bond Quality Bond Quality Market Valve %of Bond Market Value BAA 5,706,250.00 24% BAILower 18,942,253.19 72% CI Not Rated 151,014.80 4% Total 23,399,517.99 100% Called Bonds Percentages of bond market values are rounded to the nearest whole percentage. Percentages of bond market values are rounded to the nearest %tole percentage Eligible Called Call Type Redemption Call Date Security Description Quantity Quantity Price of Call Proceeds 06115/2015 EARTFLINK INC STD SR N T FULLY EXCHANGED CUSPFROM 27032IA98 8 875% 05/15/19 WE DTD 05117111 CALLABLE05/29115 Publication Date: 0511612016 Client Service Information 1,000,000.000 254.000.000 164 4380 Parbal 265.27232 Your Client Advisor: DAN CAMEL SABBA 345 PARK AVENUE, 28TH FLOOR NEW YORK NY 10154 Account Number OKA!. +Olt Go paperless SOUTHERN ten LLC. N F I DrNlIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 16 of 19 141.11 taceuena (very Y.L. Woes 2007 DALBAR RATED COMMUNICATIONS rxesturrder ocitrivtr....== .- 0.--Z---- %sr—, SDNY_GM_00045948 DB-SDNY-0008772 EFTA_00156557 EFTA01288920 Deutsche Asset & Wealth Management P.O. &a 1778. Balismore. MO 21203 Your Account Information Deasfle Sim PO, lir Vona P.m...lair,. Weals Ieeerag,G,Lp ocautv ML Sectettenk. M_Mbn HS Pin Aso.. loth Hoer I•prOtet NY 10O4 Statement Period: 0510112015 • 05/31/2015 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Sections: Treat all interest as original issue discount (IA): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Acaual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account con m unications for electronic delivery. To register and tun off paper con m unications, log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale mice. Securities for which a price is not available are marked 'MA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS VVHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and More economic, political, and business conditions. they should not be rehed on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to wnw.pershing.cornfbusiness_continuity.html for specific detads as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The light to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Account Number WOAD ROIL GO paperless SOUTHERN CNO LLC. F I D-ENTIAL N CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Fage 17 of 19 Rated tacolloni Bran, Van Mce 2007 DAL BAR RA T 02 COMMUNICATIONS rxenutraer oatarrortr:=2..r....' SDNY_GM_00045949 OB-SDNY-0008773 EFrA_001 56558 EFTA01288921 Important Information and Disclosures (continued) Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization °Chemise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard 8 Poor's is not permitted without prior written authorization from Standard & Poor's. Standard 8 Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard S Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard ft Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Callable Bonds Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Client Advisor. The Role of Pershing • Pershing caries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in eneral for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at . Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vriverpershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confinned in writing to further protect your rights, including your tights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Page IS of 19 Account Num ber DRAB R"" Go paperiess L THERA tet, LLC. F I ID- TEAL N EN CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) Raid tacellenti (very 'Vs. Sinai 2007 DAL BAR RA TED COMMUNICATIONS rxeiturnaer rtitro=1“="c..:Zra= --•••A •••= •• • SDNY_GM_00045950 O13-SDNY-0008774 EFrA_00156559 EFTA01288922 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) ()PASO( PriFtle Vr/.4/11.PAIMI,Wat Mwats I wear Gtot,p °taunt sat sm. *es sk. Naar' Mk. HS Pin Asa. loth I tom WIrorVett NY 10114 Statement Period: 0510112015 • 05/3112015 Important Arbitration Disclosures • Al parties to this agreement are giving up the fight to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally fatal and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generaly more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by al parties to the panel at least 20 days prior to the first scheduled healing date. • The panel of arbitrators will typicaty include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time knits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action. who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shal not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza. Jersey City. New Jersey 07399; Oftnt, RCM Page IA of is Account Num tier Go paperless SC L THERA CO N LLC. F I DAMSMAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) RANO tscolleria (very Van Woo. 2007 DAUM', RATED COMMUNICATIOP6 rxciturtraer SDNY_GM_00045951 OB-SDNY-0008775 EFIA_00156560 EFTA01288923 Deutsche Asset & Wealth Management P.O. Dom 1778, 8,,Iiimore. MO 0203 Deasnelltra P • If lir VMY hi Ma nal untat Marais Cowan Comp ontsciv ML smokes 4%, Mw brit Olio, HS Pia AS.. lothlbw Valuation at a Glance Account Number: Statement Period: 0410112015.1413112115 This Period YeaMo-Oate SOUTHERN FINANCIAL LLC Beginning Amount Value 3130,418,471.65 5128,714,293.02 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -282458.71 430,521.39 ST THOMAS VI 00802 el Securities InfOut of Account 000 -2.483,792.00 Adjusted Previous Account Value 130,134,012.01 124,601,022.41 Dividends, Interest and Gibes Income 335.881.23 1,085,740.71 Net Other Adivity -18.00 -36.00 Net Chan e Porhch /2 Your Client Advisor: DANIEL MBM Accrued Interest 5328,158 09 Estim aced Annual Income 53.636.818.86 Asset Allocation Prior Year-End Last Period This Period % Allocation 650 Cash. Money Funds. and Bank Deports 44,273,984.33 46,684,169.83 46,910,345.07 35.91% LSD Fixed Income 18,177,45538 17,333,38702 15,589,025.85 11.93% honL SD Axed Income 7,150,052.50 7,705,812.50 7,812,452.50 518% LSD Equities 54,125,544.61 55,352,277.70 56,907,025.62 43.56% Non•LISO Equities 2.986.258.00 3.340.824.00 3.421.088.03 2.62% Amount Total (Pie Chart) $126,714,293.02 $130,416,471.85 $130,639,936.84 100.00% See the Asset A, bcabon Disclosure end Footnotes secton for important infconation repartling you Asset AIDC3b:1. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON F I EreiTfisAL 5012SIIICSF300l0 I Pease review you allocanon peroolicalty will you Client Moony Page1019 Rsd t ocolionti L very 'Van Sento 2007 DAL BAR RA TO! COMMUNICATIONS rxesurtraer walt—what' wwewar ii—wy on —.nisi-int win SDNY_GM_00045952 OB-SDNY-0008776 EFTA_00156561 EFTA01288924 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 0413012015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0 00 5 863.015 80 Long-Term Gain/Loss 28.798 39 42.394.74 1.884.183.88 Net Galnlloss 28,798.39 42,394.74 10,747,199.68 This summary excludes transactions where cost basis intonation is not available. For Your Information Cr June 5. 2014. the European Central Bank (the -ECB*) introduced 'negatrve interest rates'. This negative interest rate applied to all deposits held at the ECG and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S for tax year 2015. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Cate Adivity Type Detaiptioe Amount Balance Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Account Number: 0010001190 Current Yield: 0.04% Activity Ending: 04/30115 04101115 Opening Balance 16,629,794.83 46,629,794.83 04101115 Deposit MONEY FUND PURCFASE 692.49500 47,322,289.83 04102115 Withdrawal MONEY FUND REDEMPTION -246.748.16 17,075,511.37 04106/15 Withdrawal MONEY FUND REDEMPTION -321,15750 16.751.383 87 04107115 Withdrawal MONEY FIJNO REDEMPTION -166,70591 46.584.677.93 04113115 Deposit MONEY FUND PURCFASE 11,625.00 46,596,302.93 04116115 Withdrawal MONEY FUND REDEMPTION 4352,418.00 45,743,884.93 04122115 Deposit MONEY FUND PURCFASE 68,692.73 45,812,577.66 04123115 Deposit MONEY FUND FIJRCFASE 644.18372 46.456.761 38 04128/15 Deposit MONEY FUND FtiRCFASE 30.90252 46.487.663 90 04/29115 Deposit MONEY FUND PURCFASE 62,500.00 16,550,163.90 04130115 Deposit INCOME REINVEST 1,424.73 46,551,588.63 04/30115 Closing Balance $48,551,555.63 Total All Money Market Funds $46,551,588.63 Page 2 of 19 1, 0,0, 401 t SOUTHERIZ1 LLC. ONFIDE1SMAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber. Go paperless Rated tneller4 Envy V.. , Weer 2007 DAL BAR RA TED COMMUNCA TIONS rxanamer SDNY_GM_00045953 DB-SDNY-0008777 EFTA_00 156562 EFTA01288925 Deutsche Asset & Wealth Management PO Boa 1776, Balamore. MO21203 Income and Expense Summary Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest Other Interest Total Dividends, Interest, Income and Expenses Distributions Alternative Investments Other Distributions Total Distributions Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 36.00% of Portfolio Cash Balance orals' ana Pr.. Weida .A.Lernall Manes Coon., 4,0“) Destsay I** Settongs Lac R,. bet 011Ict HI Put Anows. !Note, Current Period Statement Period: 04/01/2015 • YeaMo•Date 04130/2015 Taxable Nee Taxable Taxable Non Taxable 5,290.00 0.00 211,084.75 0.00 1,424.73 0.00 4,152.25 0.00 197,50100 0.00 291,250.00 000 131,666.50 0.00 251,713.65 0.00 0.00 0.00 40,625.04 0.00 1335,081.23 10.00 059,425.69 $0.00 0.00 0.00 0.00 226,315.02 0.00 17,009.52 0.00 76,093.11 $0.00 $17,009.52 $0.00 1302,406.43 Account Activity Opening Clodso Acaued Income 30•Day Current Quantity Number Ending Balance Balance Income This Year Yield Yield 51,375.00 358,756.11 Money Market OW S GOVERNMENT CASH INSTL 04/01/15 46.551.588.630 0000001490 0/130115 16,629,794.83 46,551,58863 Total Money Market $46,629,704.03 $46,561,611.63 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 04/01/15 K46023804 01102115 0.00 0.00 Total FDIC Insured Bank Deposits WOO $0.00 Total Cash, Money Funds, and Bank Deposits 08A0 ROLL 145,684,169.03 $46,910,346.07 Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOL THERA co 0.00 1.75225 0.04% 0.04% $0.00 $4,752.25 0.00 0.00 WA NIA $0.00 $0.00 $0.00 $4,762.25 Page 3019 kat.. [sailor. (very Va.Since 2007 DAUM. RATED COMMUNICATIONS xarur NCI SDNCGM_00045954 DB-SDNY-0008778 EFTA_00156563 EFTA01288926 Portfolio Holdings (continued) Adjusted Date Acquired Quality Wilt Cod Cod Bads Fixed Income 18.00% of Portfolio (In mawnry Otte Sequence) 'Asset Backed Securities COUNTRYWIDE HOME LOANS SEA 03-1 CL 81 4.090% 03125133 FWE DTD 01130103 Factor: 0.20075242 Effective Date:04101115 Current Face Value: 903.385.890 12/13/13 '.1.12 4,500,000.000 93.3760 WASHINGTON MUT N TG SECS CORP 2001-RA2 M TG PASSTHRU CTF CL C-E11 VAR RATE 6.981% 07125133 WE DTD 06/01/01 S 8 P Rating D Factor: 0.55508145 Effective Date:04101/15 Current Face Value: 716.055.071 12113113 '.3.12 1,290,000.000 76.5190 Total Asset Backed Secwides 6,790,000.000 Total Current Faa Value : 1,619,440.a 1 Corporate Bonds PETROLEOS DE VENEZUELA NOTES SENIOR IMO XS0460516515 5.000% 10/18/15 REG DTO 10128109 S 6 P Rating 8 4 12/04/13'.3.12 2,500,000.000 97.1780 EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05115119 WE DID 05117/11 CALLABLE 05115115 58 P Rang CCC' 10/22112 '.3.12 400,000.000 102.3880 10/23112 '.3.12 600.000 000 102 2000 Total Noncovered 1,000,000.000 Total 1,000,000.000 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERN NOTES 'SINS X50717735822 9.875% 12/18/21 REG 010 12116111 Moody Rating Bat 58 P Rating BBB- 12104/13 '.1.12 1,500,000.000 107 1030 Market Price Security Identifier: 12669 DY SI 843,519.59 83.7430 Original Cosl Basis: 51,111,573.07 Security Identifier: 939336520 547,915.38 84.3920 Original DOM 9899. 1638.906.71 31,391,461.97 Security Identifier: P7807HAF2 2,429,461.13 98.1000 Original Cost Basis: S2,250.000.00 Security Identifier: 270321AC6 409.470.29 104.0000 Original Cost Badt 1414,000.00 613,201.74 104.0000 Original Coal Basis: 1619,500.00 1,02;672.03 31,012,872.03 Security Identifier: G1S1SPP18 1611.044.24 112.4000 Original Cost Basis $1,627.500.00 Markel Value 756,522.45 604,29320 11,360,815.65 2,451,500 00 416,000 00 624.000 00 1,010,000.00 11,010,000.00 1,686,000.00 Unrealized Gain/ Loss .87,01711 56,377 82 Accrued Interest 2.976 41 1,029.10 -130,819.32 37,005.61 23,038 87 6.529 71 10.798 26 17,327.97 694 44 16,270 83 24.106 25 10,677.08 117,327.97 340,677.08 74,955.76 55,135 12 Estimated Estimated Annual Income Yield 30.00 125.000 00 5.09% 35,500.00 8.53% 53.250.00 8.53% 88,750.00 $88,750.00 148.125 00 8.78% Page < of 19 Account Number: Rated tscollenti E:125144CSFII Ga paperless (very V.., Swots 2007 08A0 ROI DALBAR RATEDCOMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:3; THERk CON F I DENTIA rxesurner 8117:2„."-X.,7=417.17Z--1 •17r. SDNY_GM_00045955 DB-SDNY-0008779 EFTA_00 156564 EFTA01288927 Deutsche Asset & Wealth Management PO Us 1778, BaMimonre, M021203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT ISM/ 1,936739FFKO3 7.750% 0/110123 BIE DID 04/10113 CALLABLE 04110/18 St P Rating BB* 04103113 300.000.000 100.0000 Adjusted Cost Basis Orvisooliv0 P,,.,,, vkan mptagenen MYf61 Donee 4,0.7 DesbOit ML %0004.1, K lire von Onto In Pon Annotlia I 774r War It 0.11Y 1004 Market Price Market Value Statement Period: 0410112015 • 04/30/2015 Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield PM ORGAN CHASE & CO DEP PIS REPSTG 11101) PFD SER I FIXED TO FUG RT BD 7.900% 04129/49 B/E DID 04/23/08 Moody Rating BAI S& P Rating BBB- 06115111 '.3.12 2,500,000.000 107.5000 06115111 '.3.12 2.500,000 000 107.0000 Total Honoured 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON COM ULATIVE DEP SFSFIXED TO FLOAT 8.125% 04130/58 B/E DTD 04/30108 CALLABLE 05/15/18 Moody Rating BA3 S& P Rating BB 01110111 2.000.000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01(17/62 Ei/E DID 01/17/12 CALLABLE 02/011220 100.000 Moody Rating BAA1 55 P Rating BBB• 01130/12 '.3.12 3,000,000.000 99 8160 007,0 ROI t LLC. FID a rnAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN CT, N Security Identifier: 06739FHK0 300.000.00 111.0000 Original Cost Bass: 5300.000.00 Security Identifier: 46625HHA1 2,687,50010 106.5000 Original Cost Baas: 52.687.500.00 2,675,000 00 1063000 Original Cost Bass: $2,675,000.00 5,352,500.00 $5,362,500.00 Security Identifier: 060505DTO 2.055.000 00 108.0000 Original Cost Bass: 52.055.000.00 Security Identifier. I42400FU2 2.994.489 80 112.6070 Original Cost Basis: 52,992,564.97 333.000.00 2 662,500 00 2,662.500 00 6,326,000.00 65,325,000.00 2.164.000.01 3.318.210.00 33,000 00 1,29167 23.250 00 6.98% •25,00000 0.00 197.500.00 7.41% -12,50000 0.00 197,500.00 7.41% .37,500.00 0.00 396,000.00 -$37,500.00 $0.00 $395,000.00 105.00010 74,479.17 162.500.00 7.52% 383,720.20 46.354.17 187.500.00 5.55% Page 5 of 19 Account Num ber. Go paperless Rated excellent, L very V... Lace 2007 DALBAR RATED COMPAUNCATIONS rxelfurNCIF SDNY_GM_00045956 DB-SDNY-0008780 EFTA_00 156565 EFTA01288928 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Income (cortfrued) Corporate Bonds (conttrwed) GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06112162 BIE DID 06112/12 CALLABLE 06115122 Moody Rating BAA1 S P Rating A+ 06127/12 'AM 2,000,000.000 104/700 LOG CAPITAL N01 PLC 144A ISINRXS0473108283 8.000% 09115188 REG DTD 12115109 CALLABLE 06115120 St P Rating BB 12104113 'AM 1.200.000.000 108 2500 'LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISlAtt.S539439AG42 7.500% 09/27/88 131E DTD 04107111 St P Rating B. Please Provide' 1.903.000.000 NIA Total Corporate Bonds 20,403,000.000 Adjusted Cod Basis Market Price Security Identifier: 3696225116 2,095,405.00 116.2500 Original Cost Bads: $2.122,916.67 Security Identifier: 654338BGO 1.299.000.00 109.1250 Original Cod Bads: 31,299,000.00 Security Identifier: 539439AG4 Please Provide 106.7500 Original Coal Basic Please Provide 319,169,572.20 Total Fixed Income 26,193,000.000 Date Acquired Quantity Unit Cod Equities 43.00% of Portfolio Common Stocks OBILEYE NV AM STELVEEN ORD SHS ISIASNI.0010831061 Dividend Option: Cash 08101114 800.000 25 0000 ALUANZ SE SPONSADR REPSTG 1110 SHS Dividend Option: Cash 04113115 5.000.000 18 0110 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash 03129111 '.13 263,157.000 19 0000 APPLE INC COM Dividend Option: Cash 320,561,037.17 Cod Basis Market Nice Markel Value Unrealized Gam/ Loss 2,325,000.00 229,595.00 1,309.500 00 10.500 00 2.031 452 50 822,040,662.50 $23,401,478.15 Market Value N/A $839,637.80 $806,988.46 Unrealized Gain( Lou Accrued interest Estimated Estimated Annual Income Yield 53,437 50 142,500.00 6.12% 36.000 00 96.000 00 7.33% 13.083 13 112,725.00 7.02% $321,152.58 81,611,360.00 $321,156.09 $1,611,360.00 Estimated Estimated Mona' Income Yield Security Identifier: M BLY C6 SIR k 51488117 20,000.00 44.8600 Security Identifier: AZSEY CUSP: 018805101 90,056.00 17.1000 Security Identifier: APO CUSP: 037612306 1,999,983.00 22.8600 Security Identifier: AAPL CUSP 037833100 35.888.00 85.500 00 6,015 769.02 15,888.00 -1.556.00 1,015,786 02 2 828 03 3.30% 760.523.73 12 64% Page 6 of 19 Ivory woes 2'007 Kat DAL OAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRI M. P. THERk CON F I )t1 1A rxentmer Account Number: Go rtes e t ir Rated Excellent SDNY_GM_00045957 DB-SDNY-0008781 EFTA_00 156566 EFTA01288929 Deutsche Asset & Wealth Management P.O. Dew 1778, Skidmore, MD 21203 Portfolio Holdings (continued) Date Acquired Quantity Unh Cog Equities (continued) Common Stocks (continued) APPLE INC COM (continued) 09105114 142,80e000 98 9500 ARIAD HARM ACEUTICALS INC Dividend Oplion: Cash 0211012 7 535 000 15 2090 01124/13'.I3 9.000 000 19 6000 Total Noncovered 18,535.000 Total 18,535.000 ASCENA RETAIL GROUP INC CON Dividend Oplion: Cash 01/16/01 70,500.000 21 2770 AVALANCHE BIOTECHNOLOGIES INC CAM Dividend Oplion: Cash 10,000 00 of these shares are in your margin account 04120115 10,000.000 39.8610 BASF SE SPONS AOR ISIM US 0552625057 Dividend Oplion: Cash 04113115 5.000.000 101.6110 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06125114 250.000 000 36.3060 BIOGEN IDEC INC COM Dividend Oplion: Cash 02114112 '.13 2.095.000 119.5490 FACEBOOK INC CL A Dividend Option: Cash 05/17/12 '.13 17,5130.000 38 0000 Dryly •e Para ,1/2 .0rMsolin Mnaiontm 1.0,40% 0... ,•0 G.0.2 De.ticht Bar Stly.,r1" vb•LOPq 31,2ent Ann«. »011«, tine <n hY I0VA Cat Basis Market Price Market Value Statement Period: 04101/2015 - 04/30/2015 Unrealized Gain/ Loss 14.130 065 71 125 1500 Security Identifier: ARIA CUSP. 04033A100 114.597 40 8.6700 176.100 00 8.6700 290 997.48 8290,997.40 Security Identifier: ASNA CUSP 04351G101 1,500,000 00 14 9900 Security Identifier: AAVL LIM 05337G107 17.811.420.00 65.328.45 78.030.00 143,358.45 3,741,354.29 •49,288.95 -98,370.00 -147,838.95 OPAII VL 398.606 00 31.8600 Security Identifier: BASFY CUSP. 055262505 504056.00 100.2670 Security Identifier: BK CUSP 064058100 9.076.406 00 42.3400 Security Identifier: 611B CUS>. 09062X103 250 454 95 373.9300 Security Identifier: FB CUSP 303034102 665.000 00 78.7700 Account Number: SOLTHERA CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $143,358.45 1,05839500 318,600 00 501.335 00 10.585.000 00 783,383.35 1,378,475.00 4147,838.95 -443,205.00 •80,00800 •6.721.00 1.508.594 00 532,928.10 713,175.00 Estimated Estimated Annual Income Yield 297.024.00 1.66% 10.00 10,705.50 2.13% 170.000.00 1.80% Pape 7 of 19 Pw,YtølYnL Cio paperless fiF _ IDAENTIAL (very Van Sines 2007 DALBAlt RATED COMMUNICATIONS tt4LLrNft erne, ist rams« ne" writ. awe SDNY_GM_00045958 OB-SDNY-0008782 EFIA_00156567 EFTA01288930 Portfolio Holdings (continued) Dale ired Equities (continued) Common Stoats (continued) FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.13 GENERAL MTRS CO COM Dividend Option: Cash 11118/10 12/09/10 ' Total lioncovered Total GILEAD SCIENCES INC Dividend Option: Cash 02105114 0310711/ Total Covered Total GO DADDY INC CL A Dividend Option: Cash 04101115 HEALTH NET INC CON Dividend Option: Cash 0910811/ Uereaked Quantity Uelt Cod Cost Basis Markel Price Martel Valet Geld Loss Estimated Estimated Annual Income Yield 25,000.000 24,830.000 19,830.000 19,630.000 $1,265,036.52 32,267,763.30 Security Identifier: GE CUSP: 38960/103 23 000 000 21.5700 496,109.08 27.0800 Security Identifier: GM CUSP: 37015V100 10,988 200 36.4010 399 978.16 35.0600 86.516 800 36.8160 3.185.969.22 35.0600 97,525.000 3,585,947.36 97,525.000 $3,515,917.36 33,119,226.50 .$168,720.66 $110,436.00 Staidly Identifier: FM I CUSP: 350465100 27.5070 687,683.50 45.5100 232530 577,373.02 45.5100 1,265,036.52 1,137,750.00 1,130,013.30 2,267,763.30 450,088.50 552,64028 1,002,726.76 $1,002,726.76 80,00 622,610.00 126,730.92 21,180.00 3.39% 385,246.30 3.033.980.20 3,119,226.50 •14,731.88 •151.98902 -166,720.86 15,823.01 4.10% 121.612.99 4.10% 140,436.00 5,000.000 3,100.000 6,100.000 6,100.000 $643,204.00 $814,131.60 Security Identifier: GILD CUSP: 375558103 792810 396,407.00 100.5100 79.6120 246,797.00 100.5100 643 204.00 502,550.00 311,531.00 814,131.00 106,143 00 64,784 00 170,927.00 700.000 25.000 000 SANGAII 0 BIOSCIENCES INC CON Dividend Option: Cash 05128113'.13 50,000.000 SANTANDER CONSUMER USA HLDGS INC CON Dividend Option: Cash 01123114 1,000.000 TWITTER INC CON Dividend Option: Cash 11107/13 1,500.000 3170,927.00 $0.00 Security Identifier: GDDY CUSP: 380237107 20.0000 14.000.00 25.0700 17,549.00 3,549.00 Security Identifier: HNT CUSP 422226108 46 9800 1.174.506.00 52.6500 1,316,250.00 141,714.00 Security Identifier: SGM 0 CUSP: 800677106 8.4440 122,211.00 12.3700 618,500.00 196,286.00 Security Identifier: SC CUSP. 8028311101 24 0000 24,00000 24.6900 21.690.00 Security Identifier: TWTR CUSP: 901841102 26 0000 39.00000 38.9800 58,440.00 Account Number: 8012S114CSF,' . oewB 1.O13. Go paperless SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) fiFID=TAL 690.00 19,410 00 Pap 6 of 19 140.€17.~Seil [way Vest 5~ 2007 DALBAR RATED COMMUNICATIONS r %CULL 'Net SDNY_GM_00045959 OB-SDNY-0008783 EFIA_00156568 EFTA01288931 Deutsche Asset & Wealth Management PO Bat 1778, Babimore, MO21203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) VOLKSWAGEN A G ADR iSPON SI Dividend Option: Cash 04113115 5.000.000 50.8610 WISDOM TREE INVTSINC COM Dividend Option: Cash 03131/15 15.000.000 21.6110 Total Common Stocks Preferred Stocks (listed by expiration date) ALLY F1NL INC FIX TO FLT DIV.8.50% FREQ.QTRLY CALLABLE ig 25.00 ON A QTRLY BASIS AFTER 05115/2016 Dividend Option: Cash 02/03/12 '.13 46,600.000 19.3820 02109112 t 13 80,000.000 20.1250 Total Noncovered 126,600.000 Total 126,000.000 BM AC CAP TR I GTD TR PFD SECS SER 2 CPN- 8.125% FRED QRTLY MATY42/15rto4o CALL ANYTIME° 25 W130 DAYS BEGINS 02115/16 Dividend Option: Cash 02122112'.13 80,000.000 ROYAL BK SCOTLAND GP PLC WON ADR REPSTG SER T PFD CPN-725% FRED ORTLY PERP MIT CALLA 25 ANY W130 D NOTICE AFTR 12131/12 Dividend Option: Cash 10124112'.13 40.000.000 23 7900 951,600.00 25.4200 01107113 '.13 40,000.000 24 4400 977,600.00 25.4200 01/14/13 '.13 40.000.000 24 8800 995,200.00 25.1200 0eviv .c Pam .mile "Mall Pi PM...P-4. Maniet$ (uncap c.c., De.tic ea. wc,-,er. Mrs ball 0at* JI,Pant M. Annw. Itytknoct Wave SA Pa IOVA Cost Basis Market Price Security Identifier: VLKAY CUSIP. 928662303 254.306.00 50.9100 Security Identifier:W67F CUSP 97717P104 324.157.50 19.0400 Market Value 254.700 00 285.600 00 940,172,105.54 Security Identifier: ALLY PRB CL SIP. 02005h308 403217.51 26.5000 1.610.000.00 26.5000 2 613,217 51 92,513,217.51 Security Identifier: ALLY PRA CUSP: 361860208 23.5350 1,882.773 60 26 2800 Security Identifier: RBS PRT CUSP 780097713 I .tA.14 VVLL CN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN O NFIDESTT1AL $10,475,213.62 1.234.900 01 2,119,999 99 3,354,900.00 $3,354,100.00 2.102.400 00 1.016.799 99 1.016.799 99 1.016.800 02 Statement Period: 04/01/2015 - 04/30/2015 Unrealized Gain! Loss Estimated Estimated Annual Income Yield 394.00 7.780.15 3 051i) -38.557 50 4.800 00 1.68% $6,303,108.08 81,415,257.41 331.682.50 99,025.00 8.01% 509,999.99 170.000.00 8.01% 811,882.19 269,026.00 8841,882.49 9269,025.00 219.626.40 162.500.00 7.72% 65.199 99 72.500.00 7.13% 39,199 99 72.500.00 7.13% 21.800 02 72.500.00 7.13% Page 9 of 19 Account Num ber (.40 paperless Rated Excellent, Every Visor Since 2007 DAL BAR RATED COMMUNCATIONS rxesturmer ratitr•-•'1.1:7=1=" ""4"=".• nary tact •••••••• nista. we. MC SDNY_GM_00045960 08-SDNY-0008784 EFIA_00156569 EFTA01288932 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cosl 0:41 Bab Market Price Mattel Valve Unrealized GalefLoss Estimated Estimated Annual Income Yield Equities (continued) Preferred Stocks (continued) ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG (continued) Total Noncovered 120,000.000 2,924,400.00 Total 120,000.000 $2,924,400.00 3,050,400.00 $3,050,400.00 126,000.00 6126,000.00 217,500.00 $217,600.00 Total Preferred Stocks $7,320,391.11 66,501,700.00 $1,187,308.69 6649,025.00 Options CALL 100 AVALANCHE EHOTECHNOLOGIES INC COM EXP 06-19-1541; 10 000 Option Identifier: 99QAF2AM t,ndedying Security identifier. M. OPTION ROOT= AAVL Underlying Security Price: $31.88 .100.00 of these contracts are a short position 04120115' •100.000 6.8690 438.692.73 4.0000 ♦0.000.00 28,692.73 Total options •$60,692.73 -$40,000.00 $26,692.73 $0.00 Total Equities 147,423,103.92 656,942,913.62 $9,519,109.70 $2,064,282.41 Unrealized Estimated Estimated Dale Aquired Quantity Unit Cod Cod Basis Market Price Markel Value Gain! Loss Annual Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FO Dividend Option: Cash: Capital Gains Gabon: Cash 60.000 00 of these shares are in your margin account 12111113 60.000.000 49 4350 2.966.098 50 56.4200 3.385.200.00 419,101.60 56.434 20 1.66% Total Exchange-Traded Products $2,966,098.50 Cod Basis $3,305,200.00 Market Value $419,101.10 Unrealized GainfLoss Awned Interest $56,434.20 Estimated Minor Income Total Portfolio Holdings 6117,061,204.66 $130,639,936.04 10,747,199.68 6320,158.09 $3,636,8$846 Security Identifier: 0 XJ CL SIP. 97717W851 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as nal-retirement, US taxpayers securities which have been acquired on or alter their 'applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as blows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Page 10 aria Account Number Plated tocelleni Go paperless 4. ) SOL THERA te‘Ci LLC. N F I DAENTIAL rxarumer DAL BAR RAT ED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00045961 DB-SDNY-0008785 EFTA_00 156570 EFTA01288933 Deutsche Asset & Wealth Management P.O. Box 1778, Banirawm, MD21203 Portfolio Holdings (continued) Dr.,Iwo Ram PnwilnWeahnParagenmt Pants Coon., 6,0“) DettsaR Seitonerac. R yen (/ict in Pan Ammo. Ita Met si Y um. Statement Period: 0410112015 • 04/30/2015 Cost Oasis on fixed income securities may be adyusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary inconect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking foreign bonds, bonds sold shat or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. f The cost basis of this security has been provided to us by you or your introducing turn and Pershing makes no representation as to the accuracy of this information. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original lace amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 14 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Transaction Description Ouaality Cost Bait Proceeds Realized Gain/ Loss/ Disallowance Long Term 04101115 02125/13' RDMG SERVICEM ASTER CO SR FULLY EXChANGED FROM OLD CU% 602,000.000 633,472.32 638,120.00 4,647.68 First In First Oul P 81760kAL3 8.000% 02115/20 B Security Identifier. 131760NAN9 Original Cost Basis: 644,110.00 0023115 10/22/12' RD MG 14HEADYVATERS INC GTD 5% 04101/19 B/E ND 03/11/11 1,000,000.000 1,018,591.99 1.038.130.00 21.539.01 First In First OW C LD Security Identifier 12210PAO5 Original Con Basis: 1,035,000.00 04123115 12/13/13' RPP WAShINGTOk 11 LT MTG S 004-RA2 MTG PASSTHRLi CTF CL 1,290,000.000 5,666.85 7,405.84 1,738.99 C- B-1 VAR RATE 6.981% 07125133 Security Identifier. 939336520 Original Con Basis: 5.66615 04127115 12/13/13' RPP COUNTMINIDE POME LOA 1 CLB1 4.090% 03125/33 B/E 0 4,500,000.000 12,303.20 13,175.91 872.71 TO 01/30103 Security Identifier. 12669DYSI Original Cost Basis: 12,303 20 Total Long Tern $1,668,033.38 $1,696,1131.76 $28,70.39 Page 11 of 19 USAF Rol SOL cop4 Lic. FIDESITIAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) TM ERA Account Number Go paperless Rated [mailer. (very Year Slate 2007 DAL BAR RATED COMMUNCATIONS I' %CROWS SDNY_GM_00046962 DB-SDNY-0008786 EFTA_0015657 I EFTA01288934 Schedule of Realized Gains and Losses Current Period (continued) Disparities Aotaisition Disposition Realized Gain/ Loss/ Date Date Transaction Description Quantity Con Basis Proceeds Disallowance Total Short Term and Long Term $1,668,033.36 $1,696,831.75 $28,798.39 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generafty not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC")(incorporating amendments enacted by P. L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered Iioncovered," under the new cost basis repotting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered under the new cost basis reporting rules are defined as non tetirernent US taxpayers securities which have been acquired on or after their "applicable date(st at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS CO form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year pencid, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple Aced payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we beleve to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consul with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be rekable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected unti the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consul your tax advisor in the preparation of your tax returns. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Per [truncated]