EFTA01288997

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 MP" Portfolio at a Glance Account Number: N40-023804 Statement Period: 12/0112016 -12/31/2016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $114,618,198.25 8103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .3 278.060 93 ST THOMAS VI 00802 net Securities InlOut of Account 0 00 5 185,557.00 Adjusted Previous Account Value 114,618,198.2$ 105,192,113.87 Dividends, Interest and Other Income 311.998 62 3,882.558.30 Total Taxes Withheld 0 00 -5.558.07 Net Other Activity -2 00 -430.00 Your Client Adelson Net Chan e in Portfolio 2.139.761 39 8 001,272.18 ncling Account Value 5117,069 956 26 5117,069 956 26 .DSFLASHOSNAN Accrued Interest $250.76877 Estim ated Annual Income 83.121.344 91 Asset Summary Prior Year-End Lag Period Ibis Period % Allocation Cash. Money Funds. and Bank Deposits 26,834,143.83 14,052,449.32 15,864,145.94 14% Fixed Income 25,438,998.88 20,831,839.41 19,233,099.80 16% Equities 48,000375.11 76.982.109.52 79,000.010.52 Exchange-Traded Products 0.00 2,952,000.00 2,972,400 00 3% Mutual Funds 3.004.800,03 0.00 0.00 0% Account Total (PIe Chart) 8103,284,817.80 $111,818,198.26 $117,089,958.26 100% 11, 8AO /1011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F I DAENTIA Please review your allocation perioclicalty wth your Clete Advisor. Page 14019 Ratedma il. nti B009 9380CSF30024 Go paperless E (very Vs.. Since 2007 CALMAR RATO)COMMLIFOCATIONS rxesar NCI SDNY_GM_00046029 DB-SDNY-0008849 EFTA_00 156634 EFTA01288997 Summary of Gains and Losses Realized Unrealised Ibis Period Year-to-Date Short-Tenn Gain!Loss 0.00 3.039 76 1.201.993.80 Long-Term Gain/Loss -88,74809 1,147,088.09 5.338.614 20 Net GaIn/Loss -80,748.09 1,150,127.85 9,543,608.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported en your Forms 1099 andior 1042 S. 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 Desidiptioe Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130f18 12101116 Opening Balance 13,960,314.37 13.960.344.37 12101/16 Deposit MONEY RAD RiRCFASE 92.101.95 14,052,419.32 12/02116 Withdrawal MONEY FUND REDEMPTION -2.00 14,052,117.32 12/16(16 Deposit MONEY FUND FtiRCFASE 19,380.00 11.101,827 32 12/19116 Deposit MONEY FUND RACFASE 1,648,125.00 15.749,952.32 12/23116 Deposit MONEY FUND FURCFASE 37.059.50 15.787.011.82 12128116 Deposit MONEY FUND PURCFASE 39,11823 15,826,130.05 12130(16 Deposit MONEY FUND FtiRCFASE 3,807.00 15,829,937 05 12130(16 De 01 %COME REINVEST 4.774.69 15.834 711.74 12/30(16 Closing Balance $15,834,711.71 Total All Money Market Funds $15,831,711.71 Income and Expense Summary DIrrent Period Taxable Noe Taxable Dividend Income Equities 40,866.50 0.00 Money Market 4.771 69 0.00 Other Dividends 29.734.20 0.00 Interest Income Bond Interest 236,623 23 0.00 Other Interest 000 0.00 °HAT; +olk CONFIDENTIAL — PURSUANT TO F SOUTHERN ED. R. CRIM. P. 6(e) ON FIDENTIAL LLC. Account Number. N4G-023804 Go paperless Year-to-Dale Taxable Noe Taxable 1.628.229.19 0.00 23,034 96 0.00 1,033,201.69 0.00 730,160 43 0.00 139.146.88 0.00 Page 2 of 19 !loud [mallard, (vary Voar Loco 2007 oar DAL BAR RATED COMMUNICATIONS rxOLLNCr SDNY_GM_00046026 DB-SDNY-0008850 EFTA_00 156635 EFTA01288998 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) Current Perkd Statement Period: 12//112116 -1213112116 Year4o-Date Taxable Noe Taxable Taxable Non Taxable Expenses Margin Mimed 000 0.00 0.00 -161.I0 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Foreign Securities] 0.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses 1311,998.62 10.00 13,547,915.08 4161.10 DIstrIbudons Alternative Investments 0.00 0.00 0.00 328146.25 Total Distributions 10.00 10.00 10.00 1320,946.26 Portfolio Holdings Activity Opening Codas Income 30-Day Cuirent Account Accrued Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 14.00% of Portfolio Cash Balance 92,104.95 0.00 Margin Balance 0.00 29,734.20 Money Market DEUTSCHE GOVT CASH INSTL 12/01116 15.834.711.740 NM 12/30/16 13.960.344.37 15,834,711.74 0.00 23.034.96 0.38% 0.43% Total Money Market $13,960,344.37 111834,711.74 123,034.96 Total Cash, Money Funds, and Bank Deposits 114,162,449.32 115,164,446.94 123,034.96 1$0:000 Page 3 of 19 Account Number: N4G423804 Rated excellent, OLIALI ROLL GO paperless beery vs. Since 2007 SOUTHERN DAL OAR RA T ED COMMUNCATIONS K1 F I DrErriA rxestimer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046027 DB-SONY-0008851 EFTA_00156636 EFTA01288999 Portfolio Holdings (continued) Adjusled Date Acquired Quantity hit Con Cost Bads Fixed Income 16.00% of Portfolio (In Makin?), OM Sequence) 'Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2004-RA2 TG PASSTH RV CTF CL C-01 VAR RATE 6.693% 07125133 WE DTO 06/01/04 Factor. 0.47620036 Effective Date:12101/16 Current Face Value: 614.298 464 12113/13 1,290,000.000 76.5190 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 614,296.461 Corporate Bonds EARTHUNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 27032IAB8 8.875% 05/15/19 BIE DTD 05117/11 CALLABLE 01/29/17 10123/1 2 '.3.12 351.000 000 102 2970 BARCLAYS 8K PLC CONTINGENT CAP NT ISINPIS06739FEK03 7.750% 04/10123 B/E DTD 04110/13 CALLABLE 04/10118 38 P Rating 889 04103113 '32.13 300,000.000 100.0000 1711 ORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04129/49 B/E DTD 04/23/08 Moody Rating BAA3 S & P Rating BBB- 08/15/11 '.3.12 2.500.000 000 107 5000 2,687,500.00 103.5500 Original COSI Bans: 52,687,500.00 06/15111 2.500.000 000 107 0000 2.675.000.00 103.5500 Market Price Security Identifier: 939333620 470.052.63 84.9500 Original Cost Basis: 5638.906.71 $470,052.63 Security Identifier: 270321AC8 359.061.88 102.3250 Original Cost Basis. 5362.407 50 Security Identifier: 06739FHK0 300.000.00 105.1400 Original Cosl Basis: 5300,000.00 Security identifier 48625111M1 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULAT1VE DEP SH S FIXED TO FLOAT 8125% 04/30/58 WE DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S d Rating BB* 01/10/11 '.3.12 2,000500.000 102.7500 rer:099350CSF30 Original Cosl Basis: 59675,000.00 5,362,500.00 85,362,500.00 Security Identifier: 0605050T8 2,055,000.00 103.8750 Original Cost Bank 52,055,000.00 mi..° vet SOL THERA C5. LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I liErnAL Markel Value 521,846.55 $521,846.55 359,160 75 315.420 00 2,588,750.00 2,588,750.00 5,177,500.00 $5,177,600.0 2,077 500 00 Unrealized GainI Loss 51,793.92 $51,793.92 98 87 15.420 00 •98.750.00 •86.250.00 -185,000.00 -$185,000.00 22,500 00 Accrued Interest 3,426.37 63,426.37 3.980 44 5.231.25 32,916.67 32.916 66 85,833.33 Estimated Estimated Annual Income Yield $0.00 31,151.25 8.67% 23.250 00 7.37% 197.500 00 7.62% 197.500 00 7.62% 395,000.00 $65,833.33 $395,000.00 20,783 89 162.500.00 7.82% Page 4 of 19 Account Number. N4G-023804 Go paperless listed tacellordi (very yes. Since 2'007 DAL BAR RATED COMMUNCA MN'S rxertuNer SDNY GM_00046028 DB-SDNY-0008852 EFTA_00 156637 EFTA01289000 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01(17162 B/E DTD 01/17/12 CALLABLE 02/011221 100.000 Moody Rating BM1 S8 P Rating BLS 01/30!12'.3.12 3,000,000.000 991550 Adjusted Cost Basis 0ruisev Ram Pnwale Wean PAWItnall Pdanels Coon., 6 ,0‘P Market Price Market Value Statement Period: 1210112016 • 12/3112016 Unrealized Gain/ Loss Acaued Interest Estimated Estimated Annual Income Yield GENERAL ELEC CO GTD FXD-TO-FLTG RT NONCUMULATIVE PERFETL AL PREFERRED 4.000% 12103/65 REG DTD 12/03)15 Moody Rating A3 S P Rating A 12/03115' 2.469.000.000 88.0930 'LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS13'5SL 6539439AG42 7.500% 04127/88 B/E DTD 04/07/14 S8 P Rating BB. Please Provide' 1,903,000.000 N/A CITIGROUP INC FXO RT SR NT PERP DEP RECPT 5.950% 08(15/88 B/E DTD 08/12/15 CALLABLE 08/151201 100.000 Moody Rating BA2 S8 P Rating BB" 08/06/15 3,000,000.000 100.0000 3,000,006.00 101.4950 Original Cost Basis: 53,000,006.00 Total Corporate Bonds 115,247,225.67 18,023,000 000 Total Fixed Income $16,717,278.30 10,313,000.000 Security Identifier: 842400FU2 2.995.641.62 110.8750 Original Cost Basis: $2,992,564.97 Security Identifier: 369604814 2,115,016.17 99.2500 Original Cost Bair $2,175,016.17 Security Identifier: 539439AG4 Please Provide 103.0000 Original Cost Basis: Please Provide Security Identifier: 17296725 .38..M ROLL 3.326.250.00 2 450.482 50 1 960,090 00 3,044,850.00 111,711,263.25 $19,233,099.90 330.608 38 78.125.00 187.500.00 5.63% 275,466.33 4,389.33 98,760.00 4.03% NIA 1,585 83 142,725.00 7.28% 44,844 00 67,433.33 178,500.00 5.86% $503,937.58 $247,342.40 $1,219,386.25 $565,731.50 3250,768.77 81,219,386.26 Pate5019 Account Number: N46423804 F I DrTriA Go paperless ft...de-4k" SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) (very Year Sinew 2007 CALMAR RAT ED COMMUNICATIONS rxenurraer SDNY_GM_00046029 DB-SDNY-0008853 EFTA_00 156635 EFTA01289001 Portfolio Holdings (continued) Date Acquired Gustily Usk Cost Equities 67.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD 5115 ISKRA L0010831061 Dividend Ophon Cash 08101114 800.000 25.0000 MERU BIOTECHNOLOGIES INC CON Dividend Option: Cash 10,000.00 of these shares are in your margin account 04120115 10,000.000 39.8610 AKORN INC COM Dividend Option: Cash 06110/15 5.000.000 46.8410 AUBABA GROUP H LOG LTD SPONSORED ADS IS% OUS01609W1027 Dividend Option: Cash 06110/15 5.000.000 88.9500 ALUANZ SE SPO NS ADR REPSTG 1110 StIS Dividend Option: Cash 04113/15 5,000.000 18.0110 APOLLO GLOBAL M GM T LLC CL A SIM Dividend Option: Cab 03129/11 ..I3 263,157.000 19.0000 APPLE INC COM Dividend Option: Cash 250.000.00 of these shares are in your margin account 10128/13 1 14.000.000 75.5800 1,058,120.50 115.8200 09105/14 124.180.000 98 9500 12,287,815.97 115.8200 09105/14 1 7.200.000 98 9500 712,440.29 115.8200 09105/14 s 18.620.000 98 9500 1,842449.74 115.8200 01111116 250,000.600 99 0000 24,750,006 00 115.8200 Total Covered 114,000.000 10,650,632.50 Total 414,000.000 140,660,832.50 ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CL SIP 040334100 02114712'•13 7.535.000 15 2090 114.597 40 12 4400 01124113 9.000.000 19 8000 176.400 00 12 4400 Cod Basis Market Price Markel Value Unrealized Gadd Loss Estimated Estimated Annual Income Yield Security idendlier: M BLY CUSP N51488117 20,000.00 38.1200 Security Identifier: MN CUSP 00773U108 398,606 00 2 9000 Security Identifier: AKRX CUSP. 009728106 234,206.00 21.8300 Security identiller BABA CUSP. 01609W102 444,749.00 87.8100 Security Identifier: AZSEY CUSP 018805101 90,056.00 16.4800 Security Identifier: APO CUSP: 037612306 4,999,983.00 19.3600 Security Identifier: AAPL CUSP: 037833100 01'099 3,0CSF!' . mm, voi CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) 30,496.00 29,000 00 109,150.00 439.050 00 82.400 00 5,094,719.52 1,621,180.23 14,382,527.56 833.903.79 2,156.568.62 28,954,999.80 47,919,160.00 147,949,460.00 93.73540 111.980.00 10,496.00 -369,606 00 •125,05800 -5.699.00 •7.656.00 94,736.52 563,359.73 2,094,911.59 121,463.50 314,118.81 4,204,993.80 7,291,647.50 17,298,847.50 -20,862.00 -64,440.00 3,059.77 3.71% 328,946.25 6.45% 31,920.00 1.96% 263.130.40 1.96% 16,418.00 1.96% 42,453.60 1.96% 570,000.00 1.96% 913,920.00 8943,920.00 Page 6 of 19 Account Number: 1440-023804 s Rated tscerninti Go paperless tn.) , Veer Since 2007 SOUTHERN F I DriTriAr DAL BAR RAT CO COMMUNICATIONS er rx turraer SDNY_GM_00046030 OB-SDNY-0008654 EFrA_00 156639 EFTA01289002 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired Equities (continued) Common Stocks (continued) ARIAD PHARMACEUTICALSINC (continued) Total Noncovered 18,535.000 Total 15,636.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01116101 '.3 BASF SE SPONS ADR ISING L 50552625057 Dividend Option: Cash 04113115 <hardy UaN Cost Oevilm.e. Rana Nta Wean lAeaernais Cost Basis Market Price 290,997.40 Market Value 205,695.40 Statement Period: 12/01/2016 - 12131/2016 Unrealized Gain! Loss .15,302.00 Estimated Estimated Annual Income Yield 70,500 000 5.000 000 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06125/14 250.000.000 BIOGEN IDEC INC CON Dividend Option: Cash 02/11112 '3 3 CENTENE CORP DEL CON Dividend Option: Cash 09/08/14 DISH NETWORK CORP CL A Dividend Option: Cash 06/10/15 FACE800K INC CL A Dividend Option: Cash 05/17/12 '3 3 17.500.000 FOUNDATION MEDICINE INC CON Dividend Option: Cash 01/13/14 08/05/14 2.095.000 15,550.000 5.000.000 25,000 000 24,830.000 OPAI, 'IOU 21 2770 101.6110 36 3060 119.5490 63 6450 72 9960 38 0000 27 5070 23 2530 $290,997.40 Security Identifier: ASNA CLSIP. 013510101 1,500.000 00 6.1900 Security Identifier: BASFY CUSIP 055262505 508,056.00 92.5700 Security Identifier: BK CUSIP. 064058100 9.076.406.00 17.3800 Security Identifier: BIIB CUSP: 09062X103 250.151.95 283.5800 Security Identifier: CNC CUSP: 151358101 989,679.75 56.5100 Security Identifier: DISH CUSP: 2517011109 364.978.00 57.9300 Security Identifier: FB CUSP 3030314102 665.000.00 115.0500 Security Identifier: FM I CUSP 350165100 687.663.50 17.7000 577,373.02 17.7000 1206,096.40 136,395 00 462,850.00 11.845.000.00 591,100.10 878,730.53 289,650.00 2,013,375.00 412,500 00 439,491.00 -$66,302.00 -1.063.605 00 -45,206.00 2,768,594.00 313,615.15 -110,949.25 .75,328.00 1,348,375.00 -215.163.50 ,137,882.02 50.00 12,163.55 2.62% 190.000.00 1.60% Pa947 of 19 Account Num her. MG-023804 Rapiscl tAalikerdi SOLTHERA F DrffirTA L t, rDAxeilAttitme •ArTEOCOMMUNCATIONS Go paperless Lvwy vs. 5~ 2007 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00046031 OB-SDNY-0006855 EFIA_00156640 EFTA01289003 Portfolio Holdings (continued) Dale Availed Equities (continued) Common Stocks (continued) FOUNDATION MEDICINE INC COM (continued) Total Covered 49,830.000 Total 49,830.000 11,215,036.52 $881,991.00 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.1) Quality Uait Cosi Cod Bads Martel Price 1,285,038.52 Markel Vale* Serialized Geld Lose 811,911.10 -383,015.52 23,000 000 21 5700 Security identifier: GE CUSP: 369604103 496,109.08 31 6000 GENERAL M TFtS CO COM Security Identifier: GM Dividend Option. Cash CU SIP 37045V100 11/18110 ' 10.988.200 36.1010 399.978.16 31.8400 12/09(10' 86.636.800 36.8160 3,185,969.22 34 8400 Total Noncovered 97,525.000 3,515,947.31 Total 97,525.000 03,515,917.38 03,397,771.00 GILEAO SCIENCES INC Dividend Option: Cash 02105/11 5.000.000 79 2810 03/07114 3,100.000 79 6120 Total Covered 8,100.000 Total 8,100.000 1643,204.00 $580,041.00 GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK Dividend Option: Cash CUSP 37733W105 06/10115 5,000.000 43 0010 215.006.00 38.5100 GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU UNIT 1 COM 8 1 WT EXP CL SIR 37954X204 Dividend Option: Cash 07/30115' 2.000.000 10.0000 20,000.00 10.0500 20,100.00 GODADDY INC CL A Security Identifier: GDDY Dividend Option: Cash CL.SIP: 380237107 04101115 700.000 20 0000 11.000 00 31.9500 24,465.00 MATCH GROUP INC COM Security Identifier: M TCH Dividend Option Cash CUSIR 57665R106 11118115 200.000 12 0000 2,100.00 17.1000 3,420.00 SANGAM 0 BIOSCIENCES INC CON Security Identifier: SGM 0 Dividend Option: Cash CUSP. 800677106 05128113 '.13 50,000.000 8.4440 422,211.00 3.0500 152.500.00 SANTANDER CONSUMER USA MIMS INC COM Security Identifier: SC Dividend Option Cash CUSP. 80283M101 01123/14 1.000 000 24 0000 21.000.00 13 5000 13.500.00 Estimated Estimated Annual Income Yield -$383,015.52 WOO 726.800 00 230.690 92 22,080.00 3.03% 382.828 90 -17,11926 16,702.06 4.36% 3.014.942 10 ,171,027.12 131.535.91 4.36% 3,397,771.00 -188,171.38 148,238.00 Security Identifier: GILD CUSP: 376558103 396.407.00 71.6100 246 797.00 71.6100 843 204 00 358.050.00 221.991.00 580,011.00 -$188,178.38 $148,238.00 -38.357.00 .24,806 00 -63,163.00 9.400.00 2.62% 5,828.00 2.62% 15,228.00 192.550 00 Account Number. N46.023804 Cio l}tt W011 paperless SO t, TH ERN ttri LLC. N F I DAENTEA L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ,163,103.00 315,220.00 -22.156.00 10.335 20 5.36% 100.00 10.465.00 1,020.00 -269,71400 -10.500.00 Page 8 019 Rated [wallas Um". Vow Woo:m.2007 DAL OAR RAT COMMUNCATIONS rxestimer GCNY_GeA_00046032 DB-SDNY-0008856 EFTA_00156641 EFTA01289004 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) SQUARE INC CL A Dividend Option: Cash 11/19115 200.000 9.0000 TERRAFORM GLOBAL INC CL A Dividend Option. Cad) 07/31115 400.000 14 6300 TWITTER INC COM Dividend Option: Cash 11/07113 1 500 000 26 0000 VIACOM INC NEW CL B Dividend Option: Cash 06/10/15 5.000.000 67 7490 VOLKSWAGEN A G AO R ISPO N S) Dividend Option: Cash 04/13115 5.000.000 50 8610 WISDOM TREE 'NM INC COM Dividend Option: Cash 03/31/15 15,000.000 21 6110 Total Common Stocks Preferred Stocks (Listed by expirarion dale) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN. 8.125% FRED ORTLY MAP/112/1512040 CALL ANYTIME. 25 W130 DAYS BEGINS 02115/16 Dividend Option: Cash 02/22/12'.13 80,000.000 Total Preferred Stocks Total Equities 09 7 3 80CS Ordisov Ram Pnnle Weahn Atragenmt Pdanet$ CedrateG,O‘p Cost Basis Market Price Market Value Statement Period: 12/01/2016 • 12/31/2016 Unrealized Gain/ loss Estimated Estimated Annual Income Yield Security Identifier: SQ CUSIP 852234103 1.800.00 13 6300 Security Identifier: GLBL CUSIP 88I04M101 5.931 84 3.9500 Security Identifier: TW TR CUSIP. 901841102 39,000.00 16.3000 Security Identifier: VIAB CUSIP. 92553P201 338.745 00 35.1000 Security Identifier: VLKAY CUSP. 928662303 251306.00 28.6850 Security Identifier: W ETF CUSP 97717P104 324,157.50 11.1400 2 726 CO 1.580.00 24.450 00 175.500.00 143.125.00 167,100.00 $88,136,661.92 Security Identifier: ALLY PRA CUSIP. 361860208 23.5350 1,882,773.60 25.4000 $1,882,773.60 370,018,135.62 ORAB $76,061,010.62 2 032.000 00 $2,032,000.00 070,000,010.62 926 00 -4,351.81 440 00 2784% .11,550.00 ,163,215.00 4.000 00 2.27% .110.881.00 91.85 0.06% -157.05750 1,800.00 2.87% 38,832,348.60 31,663,302.62 149,226.40 136,786.88 6.73% $110,226.10 3136,78616 $8,98137S.00 $1,820,081.50 Page 9 of 19 Account Number:NO.023804 F I DrWriA Go paperless e k Rated tacelleni SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7v7Iry Year Sava 2007 DALBAR RATED COMMUNOCATIONS ex.:sumer SDNY_GM_00346033 DB-SDNY-0008857 EFTA 00156642 EFTA01289005 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod 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 12/11113 60.000.000 49 4350 2.966.098.50 49.5400 2.972.400.00 6.301.50 58.834.20 1.97% Total Exchange-Traded Products $2,966,098.50 Cost Basis $2,972,400.00 Market Value $6,301.50 Unrealized Geld loss Accrued Interest $58,834.20 Estimated Maud Income Total Portfolio Holdings $105,566,258.26 $117,069,956.26 $9,543,608.00 $250,768.77 $3,121,344.91 Unrealized Cod Bads Market Price Markel Value Gain! Loss Estimated Estimated Annual Income Yield Security Identifier DXJ CUSIR 9771718851 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 ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered." 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 alter 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 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. 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 rued 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 information. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. g 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. 13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this information. ORAN Rpll Account Number. N46923804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDAENTIAL SOL THERA ttz.„ Page 10 of 19 Rated excelleril Every v«. La 2007 DAL OAR RA TED COMMUMCATIONS rxesurtraer SDNY_GM_00046034 DB-SDNY-0008858 EFTA_00156643 EFTA01289006 O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 .0•11. PI ma mapnent Schedule of Realized Gains and Losses Current Period Date Date Description Disposed Acquired Designation Disposition Method I Trasadion Quantity Statement Period: 1210112016 - 12131/2016 Realized Proceeds Wank Gold Loss Long Term LLOYDS TS8 BK PLC EU 12/16116 12/04113 Noncovered" Fast In First Out I REDEMPTION 1,500,000.000 1.500.000 00 1,589,194.49 -89,194.49 EDIUM TERM NOTES 'SIN/ XS071773 Original Cost Basis: 1,527,500.00 5822 9.875% 12116121 REG DTD Security Identifier G4515PP48 WASHINGTON MIT MTG S 12/23116 12/13/13 Noncovered" REPYM T OF PRIN 1,290,000.000 1,901 11 1,454.71 446 40 004402 M76 PASSTHRU CIF CL C- Original Cost Basis: 1,454.71 B-1 VAR RATE 6893% 07125133 Security Identifier: 939336S20 Total Long Term 1,01,901.11 1,590,11020 -88,748.09 Total Short and Long Term 1,601,901.11 1,510,649.21 418,748.09 • 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.110-34 3. 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 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 reelable. 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. °SAO ROLL Account Number N4G-023804 Go paperless SOLTHERA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) K1 F I DriTriAL Page It of 19 R.I [scones bray Yom.. since 2007 DAL BAR RAT CO COMMUNICATIONS rxenurtraer •••••=,.':.**=. SDNY_GM_00046035 DB-SDNY-0008859 EFTA_00 156644 EFTA01289007 Schedule of Realized Gains and Losses Current Period (continued) When you repel 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 requied 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 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 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 firm and Pershing makes no representation as to the accuracy of this bformation. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-Ict disposition method. The disposition method is the method *Nth 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 account's selected tax lot method will be used to detemine 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. 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 products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. will adopt a shortened settlement fimeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds. and unit investment trusts. Moving from a Tr3 to a T+2 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor about how you can set up e-delivery. Page 12 of 19 Account Number; N4G•023804 OAS Rent SOUTHERN F I DriSrriA Go paperless e t c Italia excellent twiny year LSO, 2'007 DAUM. RATED COMMUNICATIONS rxentmer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Lum •••••••••••••• .0c SDNY_GM_00O46O36 DB-SDNY-0008860 EFrA_00 156645 EFTA01289008 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Gnaw,. Mn, Prvwm swahn .14.arnan Pere., CodrageGrod) Activity Summary (NI amounts shown are in base currency) Credits This Period Statement Period: 12/01/2016 • 12/31/2016 Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Debits This Period Net This Period Securities Securities Bought 0.00 000 0 00 0.00 -24.758.406.00 -21.758.10600 Securities Sold 0.00 0 00 0 00 3,921,433 T6 0.00 3,921,433 76 Securities Deposited 0.00 0 00 0 00 5.185.557 00 0.00 5.185.557 00 Total Securities $0.00 $0.00 $0.00 $9,106,990.76 -$24,758,406.00 415,651,115.24 Dividends and Interest $311,998.62 $0.00 $311,998.62 $3,824,510.64 -$270,898.59 $3,553,612.05 Distributions $1,500,000.00 $0.00 91,500,000.00 $9,597,711.30 $0.00 $9,597,711.30 Fees $0.00 -$2.00 -$2.00 $0.00 -$430.00 -$430.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 45,558.07 -$5,556.07 Cash Withdrawals 0.00 000 000 0.00 -11,891,59192 -11.891,59192 Deposits 0.00 000 0 00 8,613.530 99 0 00 8.613.530 99 Total Cash $0.00 $0.00 $0.00 $8,613,530.99 411,891,591.92 43,278,060.93 Totals $1,811,998.62 -32.00 $1,811,996.82 $31,142,743.89 ,838,928,684.58 -85,784,140.89 Transactions by Type of Activity Proust/ Settlement Date Activity Type Description Quantity Price Accrued Interest Mc« Dartemq Dividends and Interest 12115116 BOND INTEREST RECEIVED 2169000 GENERAL ELEC CO GTD FXD.TO.FLTG RT 09,38000 US0 369604BI/1 NON-CUMULATIVE PERPETUAL PREFERRED 000% 12/03/65 REG DTD 12103115 CLB RD 11130 PD 12/15/16 12116(16 FOREIGN BOND INTEREST 1500000 LLOYDS TSB 8K PLC EURO ISSUE MEDIUM TERN 118,125 00 USO GISI5F448 NOTES ISING X93717 735822 9 875% 12/16121 REG DTD 12/16/11 CIO RD 12/15 PD 12/16/16 12122(16 CASH DIVIDEND RECEIVED 97525 SHRS GENERAL N TRS CO COM RD 12107 PO 37.059 50 BSC, GM 12122116 12127/16 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35.881 25 USO 539439AG4 AD DL TIER 1 SC-CS ISINIUS539139AG42 7.500% 04/27/88 WE DID 04107111 CIO RD 12112 PD 12/27/16 0"13 RO11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERN LLC. CiN FIDENTIAL SOU Tåge 13 of 19 Account Num her. N4G-023804 Go paperless !Laud faalibera (very Vs. Sacs 2007 DAL La RATED COMMUNICATIONS rxenu Net SDNY GM 00046037 DB-S6NY:0008861 EFTA 00156646 EFTA01289009 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Acaved Interest Monet Currency Dividendsand Interest (continued) 12127116 BOND INTEREST RECEIVED 939336520 12/29/16 CASH DIVIDEND RECEIVED GILD 12/30116 MONEY MARKET FUND INCOME RECEIVED 233993682 12/30/16 CASH DIVIDEND RECEIVED OXJ 1290000 WASHINGTON MUT MTG SECS CORP 2001.RA2 VG PAW'. It CTF CL C.8-1 VAR RATE 6.693% 07/25/33 BIE OTD 0610110/ RD 11130 PD 12125/16 8100 SH RS GILEAD SCIENCES INC RD 12115 PD 12129116 DEUTSCHE GOVT CASH 60000 SH RS WISDOM TREE TR APAR HEDGED EQUITY FD RD 12/28 PD 12/30116 3.136 98 3,807.00 4.771.69 29,731 20 6S0 USD USD USD Total Dividends and Interest - U.S. DOLLARS 0.00 311,998.62 Distributions 12/16116 SECURITY REDEEMED LLOYDS TSB BK PLC El. RO ISSUE MEDIUM TERM NOTES •1,500,000000 1.500.000.00 LSO G1S15P1348 'SINN X93717735822 9.875% 12116121 REG CITD 12116711 CLB Total Distributions - U.S. DOLLARS 0.00 1,500,000.00 Fees 12/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 2016 CUSIP: G1S15P.P1.8 -2.00 USD G/1515PP18 Total Fees • U.S. DOLLARS 0.00 1.00 Total Value of Transactions 0.00 1,811,996.62 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COM 1207/16 01/25/17 23,000.000 0.210000 Cash 5.520,00 VIACOM INC NEW CL B 12115/16 01/03/17 5,000.000 0.200000 Cash 1.000 .00 Total Cash Not Yet Received 16,520.00 liftAT, 701 CONFIDENTIAL — PURSUANT TO F SOUTHERN LLC. ED. R. CRIM. P. 6(e) ONFI DENTIAL Page 14 of 19 Account Number. N4G-023804 Go paperless f. acellenl t very Vow' sane. 2007 OALBAR RAT (0 COMMUNICATSONS rxciurnser an". SDNY_GM_0O346038 DB-SDNY-0008862 EFTA 00156647 EFTA01289010 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Bond Maturity Schedule Bond Maturity Market Value 1 to 5 years 359,160 75 6 to 10 years 315.120 00 Over 10 years 18.558,519 05 Total 19,233,099.80 Bond Quality 0euict,e RIM Pow. Wealth Ma na rent MIntl% Clem act fro. % of Bond Market Value 2% 2% 96% 100% Bond Duality Market Value % of Bond Market Value A 2,450.482 50 13% BAA 8,503,750 00 44% BA/Lower 7.397.860.00 38% Not Rated 881,007.30 5% Total 19,233,09920 100% Client Service Information Statement Period: 1210112616 • 12131/2016 I I 0 Percentages of bond market values are rounded to the nearest whole percentage. -r FT 0 Percentages of bawd market values are rounded to the nearest whole percentage. Your Client Advisor: ENJ Contact Information DSFLA SI-OSFAA 280 PARK AYE - 3R0 FL NEW YORK NY 10017 Your Account Information Telephone Number: (212)451-4433 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 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 ORAN vet I Page 15 of 19 Account Number. N46.023804 Go paperless ttrj LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN N Rated Lao-Slant Evert Vs, Since 2007 DALBAR RATED COMMUNCATIONS rxarturnaer SDNY_GM_00046039 OB-SDNY-0008663 EFTA_00156648 EFTA01289011 Your Account Information (continued) Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. 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 dose 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 witted from the Total THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to poMolo value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from venous pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements vd not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts nclude several categories of secuntes. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 www.pershing.corrkbusiness_conbnuity.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 reinvested. You will not receive confirmation of these reinvestments. Upon mitten 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 °Maned. 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 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 Margn 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 horn 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. Page16 of 19 USAII 9011 Account Num be; N46.023801 Go paperless SOUTHERN co NLL F I DrariAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AMA tacelloni LAN, VS. SIAM 2007 DAISAA RATED COMMUNICATIONS rxentrwer Posey NG awes. ANS. INIC SDNY_GM_00046040 OB-SDNY-0008864 EFTA_00156649 EFTA01289012 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) Oeuiv, e Si,, Pon. Wealth Ma na rent MWRISIDevarG•pyp Statement Period: 12/01/2016 • 12/31/2016 Ratings This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poor's is not omitted 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 & 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 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 (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 suitabiity 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 suitabity of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, 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 inarines 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 ft 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: wthy.pershing.com/about/strength-and-stabifity. • 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 • 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 bled • 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 generaly more limited in arbitration than in court proceedings. pap Account Number N4G-023804 •A.• tocelkini OfIAN Vet GO erless 77°7 7 ° 7' 9 °C° 2007 FA TH ERA F LLC. MOMVECPCOMNILINICATIO•6 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ONFID-neTTAL Page 17 of 19 .:W.:19.tr&-'1=1'...•= Saar. am, amararnieta. rerION. WIC SDNY_GM_00046041 OB-SDNY-0006865 EFEk_00156650 EFTA01289013 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 Ivies 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 clairns 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 Plata, Jersey City, New Jersey 07399; vent .011 Account Number. N46.023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOL THERA ttz, Page IS of 19 14704 tscollona (very Year Late 2007 OAL6All RA TED COMNIUMULTIONS rxesartraer ••••••• mamas. IIMA MVOS. MC SDNY_GM_00046042 OB-SDNY-0008866 EFIA_00 I 56651 EFTA01289014 TERMS ANDCONDITIONS 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 UNTL 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 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 FI 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 F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A GOWNED 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 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 MA OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE 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 INDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT. ALL SECURRES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING 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 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 WLL 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 LORE. 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 FFLANCIAL 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.COMMISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 807(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 AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST SCECUTTON: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURfTES 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 (NSW). 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 THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CCNINTONS ARE UNACCEPTABLE TO YOU. PLEASE NOTRYPERS-INO IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PER9IING RATA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT Page 19 of 19 DRAB ROIL Account Num Der N4G-023804 Go paperless I. very V7.7. sante Z007 " SOUTH ERA DALBAR RATED CCRAMUNCATIONS "mama CO CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) N F I =IA SDNY_GM_00046043 DB-SDNY-0008867 EFTA_00156652 EFTA01289015 Deutsche Bank P.O Box 1776, Baltimore, MD 212O3 bvisrellana Prsair *Mahn mymiened Materts t %Pao 4w.10 Portfolio at a Glance Account Number: N 4S-0 2 380 4 Statement Period: 11/01/2016 - 11/3012016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $111,001,111.87 6103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 -3.278,060.93 ST THOMAS VI 00802 het Securities InlOut of Account 0 00 5,185,557.00 Adjusted Previous Account Value 111,008,11117 105,192,11317 Dividends, Merest and Other Income 511,200 26 3.570.559 68 Total Taxes Withheld 0 00 -5,558 07 Net Other Activity -2.00 -428 00 Your Client Advisor: Net Chan e in Porlfolio 95 855 12 5.861.510 77 nding Account Value $114,618.198.25 5114,618 198.25 DANIEL SABBA Accrued Interest $373,350 44 Estill Wed Annual Incom e 53,257.781 82 Asset Summary Prior Year-End Last Period This Period % Allocation Cash. Money Funds. and Bank Deposits 26.834.143.83 13,538,251 06 14,052,449.32 12% Fixed Income 25,438,998.86 20.833.394 55 20.631.639.11 18% Equities 48,006,675.11 76.927,199 26 76.982.109 52 67% Exchange-Traded Products 000 2,709.000 00 2.952,000 00 3% Mutual Funds 3 004.800 00 0.00 0.00 0% Account Total fPle Chart) 5103,204,617.80 $111,008,14117 81141111,198.25 100% VP N v, CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 5010 03 64 CSF30 Go paperless Pease renew your allocation per:ArcaI/ we, you' Client Advisor. Page Iona CONFIDESTTIAL kilted Lacelbrigi (very v.a. since 2007 DAL OAR RAT lE0 COMMUNCATKINS rxememer reratr="="= SDNY_GM_00046044 OB-SDNY-0008868 EFTA_00156653 EFTA01289016 Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short. Tenn Gain/Loss 000 3.039 76 3.204.840.14 Long.Term Gain/Loss 443 83 1,235,836.18 4,126,730.15 Net GalnlLoss 443.83 1,338,875.91 7,331,570.29 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest wig be reported on your Forms 1099 anclior 1042 S. 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 Activity Type Descried°. Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.30% Activity Ending: 11130116 11101118 Opening Balance 13,340,751.06 13.340.751.06 11101116 Deposit MONEY RAD RIRCFASE 197.500.00 13.538,251.06 11102116 Withdrawal MONEY FUND REDEMPTION -2.00 13,538,249.06 11114(16 Deposit MONEY FUND FURCFASE 283,480.00 13.821,729 06 11116116 Deposit MONEY FUND FURCFASE 130.569.15 13,951,298.21 11115116 Deposit MONEY FUND FURCFASE 1.200.00 13.953.498.21 11128116 Deposit MONEY FUND PURCFASE 3,435.24 13,956,933.45 11130(16 Deposit INCOME REINVEST 3,410.92 13960,34437 11130(18 Closing Balance 813,960,344.37 Total All Money Market Funds $13,960,344.37 Income and Expense Summary Current Period Yeattaate Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 284,680.00 0.00 1.587.362.69 0.00 Money Market 3,410.92 0.00 18,260.27 0.00 Other Dividends 81.250.00 0.00 1,003.467,49 0.00 Interest Income Bond Interest 19.010.87 0.00 493.537 20 0.00 Other Interest 33,743.51 0.00 139.146 88 000 Page 2 of 18 I , K,NM +Olt CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDENTIAL SOUTHERN LLC. Account Number. N4G-013804 Go paperless RSd Excellera beefy Veer Since 2007 DAL OAR RAT CO COMMUNICATIONS rxesurnaer SDNY_GM_00016046 DB-SDNY-0008869 EFTA_00 156654 EFTA01289017 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (*.Kee Rant Pnvieweainstragenen Pdateris Coon., 6,o‘t) Income and Expense Summary (continued) Current Period Statement Period: 1110112116 -11130/2116 Year-to-Date Taxable Na Taxable Taxable Non Taxable Expenses Margin Interest 0.00 0.00 0.00 -161.I0 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Foreign Securities] 0.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses $422,095.31 $0.00 $3,235,916.45 4161.10 Distributions Alternative Investments 0.00 92.104.95 0.00 328.946.25 Total Distributions $0.00 $92,104.95 $0.00 $328,946.25 Portfolio Holdings Account Activity Opening Date Quantity Number Ending Opening Balance (Insley Balance kaued 1110311* Income Ibis Year 30-Day Conant Yield Yield Cash, Money Funds, and Bank Deposits 12.00% of Portfolio Cash Balance Money Market DEUTSCHE GOVT CASH INSTL 11/01116 13.960.344.370 NIA 11130116 197.500.00 13.340.751.06 92.104 95 13.960.311 37 0.00 18.280.27 0.30% 0.30% Total Money Market $13,340,751.06 $13,960,344.37 $0.00 $18,260.27 Total Cash, Money Funds, and Bank Deposits Adjusted Date Acquired Citantity UM Cod Cod Basis $13,534251.06 Market Price $14,052,449.32 Market Value $0.00 Unrealized Gain/ Loss $10,260.27 /sand Interest Estimated Estimated Annual Income Yield Fixed Income 18.00% of Portfolio (In Maturity Dote Sequence) ‘Asset Backed Securities WASHINGTON M UT M TG SECS CORP 2004-RA2 Security Identifier: 939336620 M TO PASSTEIRL, CIF CL C-B-I VAR RATE 8.669% 07125/33 WE DTD 06/01104 S1 P Rating D Factor: 0.47767409 Effective Date:11101/16 Ca trent Face Value: 616,199.576 12113113 '.3.12 1,290,000.000 76.5190 471,507.34 84.8890 523,085.66 51,578.32 3,31048 Page 3 of 18 Account Number: N40.023804 ..s ..., Mod excellent, PC10036ICSFI0 'I mom; MOLL Go paperless Every Von since 2O07 LW. F I DrWri A 1:411 rxALentmer SOUTHER/ DBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7:7"0-7=.'0..?...,"""t: SDNY_GM_00046046 DB-SDNY-0008870 EFTA_00156655 EFTA01289018 Portfolio Holdings (continued) Date As;LIred Quantity Unit Cosl Fixed Income (continued) 'Asset Backed Snaffles (continued) WASHINGTON MUT NTG SECS CORP 2004•RA2 (continued) Adjusted Cost Basis Market Prke Markel Value Uarealked Gale/ Loss Accrued Estimated Estimated Interest Annual Income Yield Original Cosl Basis: 3638,906.71 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 616,199.578 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15119 WE DTD 05117111 CALLABLE 12/30118 10123112 351100 000 102 3200 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISM. XS0717735822 9.875% 12/18/21 REG 070 12116111 Moody Rating Baal S & P Rating BOB 12104113 '.3.12 1,500.000.000 1051890 BARCLAYS BK PLC CONTINGENT CAP NT ISKOUS36739FHK03 7.750% 04110/23 B/E DTD 04110113 CALLABLE 04110118 SB P Rating BB' 04103/13 'AM 300,000 000 100 0000 JPY ORGAN CHASE & CO DEP MIS REPSTG 1/1016 PFD SER I FIXED TO FLIG RT BO 7.900% 04129149 WE DID 04/23/08 Moody Rating BAA3 S B P Rating BBB- 06115111 '.3.12 2,500,001.000 107 5000 2,687.500 00 102.1250 Original Cosl Basis: $2187,500.00 06115/11 '.3.12 2,500,000.000 107.0000 2,675,000.00 102.1250 Original Cost Bait $2175100.00 Total Noncovered 5,000,000.000 5 382 SOO 00 Total 5,000,000.000 $5,362,600.00 BANK AM ER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04130108 CALLABLE 05115118 Moody Rating BA2 S & P Rating BB' 01110111 '.3.12 2,000.000 000 102 7500 5471,507.34 Security Identifier: 270321AC8 359,141.45 102.3750 Original Cosl Bait $362,407.50 Security Identifier: GIS15PP4I 1,589.832.53 100.6030 Original Cord Bait $1,627,500.00 Security identifier: 08739FIIK0 300.000.00 103.5000 Original Cost Basis. 5300.000 00 Security Identifier: 46625HHAl et!,036CCSF3, Security identifier: 060505018 2155,000.00 101.8750 Original Cost Bait $2,055,000.00 $523,06518 359,33625 1,509,045 00 310,500.00 2,553.125.00 2,553,125.00 5,108,250.00 $5,106,250.00 2,037,500 00 551,578.32 $3,310.58 $0.00 194.80 1,297.97 31,151.25 8.66% -80,787 53 141,54L67 148.125 00 9.81% 10,500 00 3,229.11 23,250.00 7.48% .134,375 00 16,458 34 197,500.00 7.73% ,121,875.00 16,458 33 197.500.00 7.73% -258,260.08 32,918.87 395,000.00 -$256,250.00 $32,916.07 $395,000.00 .17.500 00 6.770 83 162.500 00 7.97% Page 4 e118 uewy ROLL Account Number:1440423804 RaiNdtsalbM Go paperless F I DENTIA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) vny Vs. Visor 2'007 DAUM. RATED COMMUNCATIONS rxarturder SDNY_GM_00046047 DB-SDNY-0008871 EFTA_00156656 EFTA01289019 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01/17/62 8/E OTD 01/17/12 CALLABLE 02/01122 i3 100.000 Moody Rating BARI St P Rating BBB• 01130112 3,000,000.000 99 8530 Adjusted Cost Basis 0ruicev Ram Fn.!. Weahn Mira" Penns Costar Gto..p Market Price Market Value Statement Period:11/01/2016 • 11/30/2016 Unrealized Gain! Loss !called Interest Estimated Estimated Annual Income Yield GENERAL ELEC CO GTD FXD•TO•FLTG RT KON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12(03/65 REG DTD 12/03/15 Moody Rating A3 St P Rating A 12103115' 2.469.000.000 88 0930 5LLOYOS BANKING GROUP PLC FXD RATE RESET AD DL TIER 1 SECS !SIAS L 6539439AG42 1.500% 04122/88 B/E DTD 04/07/I! S 8 P Rating BB- Please Provide' 1,903,000.000 MA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115/88 8/E OTD 08/12/15 CALLABLE 08/15120 0 100.000 Moody Rating BA2 St P Rating BB! 08/06/15 3,000,000.000 100.0000 3,000,006 00 100.5000 Original Cost Basis: S3.000,006.00 Total Corporate Bonds 19,623,000.000 $17,837,077.26 Total Fixed Income 20,813,000.000 $18,308,504.62 Security Identifier: 842400FU2 2.995.581 13 111.0000 Original Cost Baas: 52192,564.97 Security Identifier: 389601B114 2.175.016 17 101.2500 OriginM Cost Bats: $2.175,016.17 Security Identifier: 539439A64 Please Provide 102.0000 Original Cost Basis: Please Provide Security Identifier: 17296726 3.330.000.00 2,499,862.50 1.911,060 00 3.015,000 00 120,108,553.75 120,631,639.41 Account Num ber. N4G-023804 Go paperless 334.418.82 61.979,12 187.500.00 5.63% 324.846 33 45.265 00 98.760.00 3.95% MA 21,976.88 142.725.00 1.35% 11,994 00 52,062.50 178 500 00 5.92% 1330,016.47 1370,039.86 11,367,511.25 1381,994.79 1373,350.41 11,367,511.25 Page 5018 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDESMAL SOUTHERN LLC. Plated tacelbni (very 'Year Since 2007 OALBAR RATED COMMUNCATOIS rxenurmer SDNY_GM_00016048 DB-SDNY-0008872 EFTA_00 156657 EFTA01289020 Portfolio Holdings (continued) Date Acquired Equities 67.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISORNL0010831061 Dividend Option. Cash 08101/14 600.000 250000 ADVERUM BIOTECHN OLOGIES INC COM Dividend Option Cash 10,000.00 of these shares are in your margin account 04120/15 10,000.000 39.8610 AKORN INC COM Dividend Option: Cash 06/10/15 5.000.000 46.8410 AUBABA GROUP BLDG LTD SPONSORED ADS ISININS01609W1027 Dividend Option: Cash 06110115 5,000.000 88.9500 ALUANZ SE SPO NS ADR REPSTG 1/10 SUS Dividend Option: Cash 04/13/15 5,000.000 18.0110 APOLLO GLOBAL MGM T LLC CL A MS Dividend Option: Cash 03129/11 '.13 263,157.000 19.0000 APPLE INC COM Dividend Option: Cash 250.00100 of these shares are in your margin accounl 10/28/13 1 14.000.000 75.5800 09105/14 124.180.000 98 9500 09105/14 7 7,200.000 98 9500 09105114 s 18.620.000 98 9500 01111116 250,000.000 99 0000 Total Covered 114,000.000 Total 114,000.000 MAO PHARMACEUTICALS INC Dividend Option: Cash 02114112'.17 7.535.000 15 2090 01124113 'A 9.000.000 19 6000 Quantity Unit Cost Cost Basis Market Price Market Vane Unrealized Gold Loss Estimated Estimated Anoual Income Yield 041,0364("F,:: Security Wenner: M BLY CUSP. N51488117 20.000.00 37.2300 Security Identifier: AIM CUSP 007730108 398,606.00 2.8500 Security Identifier: AKRX CUSP: 009728108 234,206.00 21.2200 Security Identifier: BABA CUSP: 01609W102 444,749.00 94.0200 Security identifier: AZSEY CUSP. 018,505101 90,058.00 15.8650 Scarily idenWier: APO CUSP: 037612308 1,999.983 00 192800 Security Identifier: AAPL CUSP. 037833100 1,058,120.50 12.287,615.97 712,440.29 1,842,449.74 24,750,006 00 40,650,632.50 110.5200 110.5200 110.5200 110.5200 110.5200 S40,660 3230 Security Identifier: ARIA CUSP 040334100 114.597.10 13.4800 176.400.00 13.4800 OftAt, ROIL 29.781.00 28,500 00 106,100 00 470,100.00 79,325.00 5,088,403.82 1,547,280.22 13,724,373.56 795.743.80 2,057.882.61 27,629,999.81 45,755,280.00 316,755,280.00 101.571 80 121.320 00 Account Number. N46.023804 Go paperless SOUTHERN co NLL F I DrariAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 9.784.00 .370,106 00 .128,106 00 25.351 00 -10.731.00 3.059.77 3.85% 68,120 82 328,946.25 6.49% 489,159.72 31,920.00 2.06% 1,436,757.59 283.130.40 2.06% 83.303.51 16116.00 2.06% 215,432.87 42,453.60 2.06% 2,879,993.81 570,000.00 2.06% 6,101,617.50 913,920.00 56,111,817.50 1913,920.00 -13,025.80 -55,080.00 Page 6 of 18 listed Excelleril (very Year Sine 2007 DAL BAR RATED 0CATI0NS rxesturnaer .r-r..,44 —.•••••44mrom SDN Y_GM_0004 6049 OB-SDNY-0006873 EFIA_00 156658 EFTA01289021 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired Cleanllly UM Cost Equities (continued) Common Stocks (continued) ARIA() PHARM ACEUTICALSINC (continued) total Noncovered 18,535.000 Total 18,535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01/11/01 ta BASF SE SPONSADR ISMO U S0552625057 Dividend Oplien: Cash 04113115 Cost Basis Market Price Market Value Statement Period: 11/01/2016 - 11/30/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 290,997.40 222,891.80 411,105.60 70,500 060 5.000 000 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06/25114 250,000.000 BIOGEN IDEC INC CON Dividend Option: Cash 02114112 **I3 2,095.000 CENTENE CORP DEL CON Dividend Ohl's»: Cash 09108114 15,550.000 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 5,000.000 FACE800K INC CL A Dividend Option: Cash 05117112 MI 17,500.060 FOUNDATION M EDICINE INC CON Dividend Option: Ceti 01/13114 25.000 000 08105114 24E30.000 $290,997.0 Security Identifier: ASNA CUSP: 043510101 212770 1.500.000 00 6 0400 Security Identifier: BASFY CUSP: 055262505 101.6110 38.3060 119.5490 63 6450 72 9960 38 0000 27 5070 23 2530 ()BAN RCM CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) 508,056.00 85.6900 Security Identifier: BK CUSP 064058100 9.076.406 00 47.4200 Security Identifier: BIIB CUSP: 09062X103 250.454 95 294.0700 Seaulty Identifier: CNC CUSP: 151358101 989,679 75 57.6300 Security Identifier: DISH CUSP. 25470M109 164.978 00 57.4500 Security Identifier: FB CUSP: 30303M102 665.000.00 118.4200 Security Identifier: FM I CUSP 350465100 687,663 50 20.5500 577,373.02 20.5500 $222,891.80 425,820.00 428,450.00 11.855,000.00 616,076.65 896,146.50 287,250.00 2,072,350.00 513,750.00 510,256.50 -$1,105.80 -1,074,18000 -79,808.00 2,778.594 00 365.621.70 -93,53325 -77,728.00 1,407,350.00 -173.913.50 -87,116.52 $0.00 12,163.55 2.83% 190 000 00 1.60% pe987 of 18 Account Number: N4G-023804 SOL THERA Go paperless Rated tmellm• Every Vni. Wee, 007' F I DUSITIAL DAL DAR RATEDCOMMUNICATIONS rxestuNer SDNY_GM_00046050 OB-SDNY-0008874 EFTA30156659 EFTA01289022 Portfolio Holdings (continued) Dale ired Quaint Usk Cod Cost Bads Nadel Price Equities (continued) Common Stocks (continued) FOUNDATION II EDWIN! INC CON (continued) Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 1,265,030.52 $1,215,031.52 Semidry Identifier: GE CUSP. 369604103 04123/13 '.I$ 23,000 000 21.5700 496.109.08 30.7600 GENERAL M TM CO COM Dividend Option: Cash Security Identifier: GM CUSP 3704511100 11118110 ' 10.988.200 36.4010 399.978.16 34.5300 12109/10' 86.536.800 36.8160 3,185.96922 34.5300 Total Noncovered 97,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 3,585,947.38 $3,585,947.38 Security Identifier: GILD CUSP: 375558103 02/05114 5,000.000 79 2810 396.407.00 73.7000 03107/14 3,100.000 798120 246,797.00 73.7000 Total Covered 8,100.000 Total $,100.000 GLAXOSM 'MUNE PLC SPONS ADR Dividend Option Cash 643 204 00 9643,204.00 Security Identifier: GSK CUSP: 37733W105 06/10/15 5.000.000 43 0010 215.006.00 37.7900 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM & 1 WT EKP Dividend Option: Cash Security Identifier: GPACLI CUSP: 37954%204 07130/15 ' 2,000.000 10.0000 20.000.00 9.8900 GODADO Y INC CI. A Dividend Option: Cash Security Identifier: GDDY CUSP 380237107 04101115 700.000 20 0000 14,000.00 35.3400 MATCH GROUP INC CON Dividend Option: Cash Security Identifier: N TCH CUSP: 57615R106 11116115 200.000 12 0000 2,400.00 17.9800 SANGAN 0 BIOSCIENCES INC CON Dividend Option: Cash Security Identifier: SGM 0 CUSP 800677106 05128113 '.13 50,000 000 8 4440 422,214.00 3.2000 SANTANDER CONSUMER USA HLOGS INC COM Dividend Option: Cash Security Identifier: SC CUSP. 80283M 101 01123/14 1,000.000 24.0000 Merkel Valve Unrealized Gall Loss Estimated Estimated Annual Income Yield 1,024,008.50 -241,030.02 $1,024,006.50 -$241,030.02 $1.00 707,480.00 211.370 92 21,160.00 2.99% 379,422 56 2,988,115.69 3,367,536.26 $3,367,538.25 388.500.00 228,470.00 596,970.00 1596,970.00 -20,555.60 -197.853.53 -218,409.13 16,702.06 4.40% 131,535.94 4.40% 148,238.00 -$218,409.13 9148,238.00 -27.907 00 .18,327 00 -16,231.00 9.400.00 2.55% 5,828.00 2.55% 15,220.00 -$46,234.00 915,228.00 188.950 00 -26.05600 10,335.20 5.46% 19.180.00 .220.00 14.738.00 3.596.00 160,000.00 24.000.00 13.7800 13,180.00 Account Number: N4G423804 ORAN MOIL Go paper-less CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 6(e) K1F I DAENTIAL SOUTHERN 10.738 00 1,196 00 -262,214 00 -10,220.00 Pap 8 of 18 Rated Lawn* rigi Event Vow' Since 2007 DAL OAR RATED COMMUNICATIONS rxeirurNer v--.0.c --ma. ••••• SDNY_GM_00046051 OB-SDNY-0008875 EFIA_00156660 EFTA01289023 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) °nosey Rant Pnnie *Math uptagenen Mantis Coon., 6,0.4) Dale Acquired Quantity thin Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) SQUARE INC CL A Dividend Option: Cat Security Identifier: 5Q CUSIP. 852234103 11119115 200.000 9.0000 1,800.00 12.9400 TERRAFORM GLOBAL INC CL A Dividend Option. Cash Security Identifier: GLBL CUSIP 88104M101 07131115 400.000 it 6300 5.931.84 3.8000 TWITTER INC CON Dividend Option: Cash Security Identifier:1W TR CUSP. 901841102 11/07113 1,500.000 26 0000 39,000 00 18.4900 VIACOM INC NEW CL B Dividend Option: Cash Security 'dentine,: NAB CGSIP 92553P201 06110115 5.000.000 67.7490 338.745 00 37.4800 VOLKSWAGEN A G AD R ISPONS) Dividend Option: Cash Security Identifier: VLKAY CUSIP. 928682303 04113115 5.000.000 50.8610 254.306.00 27.3300 WISDOM TREE 'NM INC COM Dividend Option: Cash Security Identifier: WETF CUSIP 97717P104 03131115 15,000.000 21.6110 324,157.50 11.0600 Total Common Stocks 068,135,481.92 Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN. 8.125% FRED ORTLY MATT-0211512040 CALL ANYTIME g 25 W/30 DAYS BEGINS 02/15/16 Dividend Option: Cash Security Identifier: ALLY PRA CUSP 361860208 02122112'.13 80,000.000 23.5350 1,882,773.60 25.1500 Total Preferred Stocks $1,882,773.60 Total Equities $70,016,435.52 E.C100364CSFIOM OKA*, "on Market Value Statement Period: 11/01/2016 • 11130/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 2.588.00 1520.00 27.735 00 187.400 00 131.650 00 165,900 00 $74,910,109.52 2,012,000 00 02,012,000.00 $71,982,109.52 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I ID-Ea/1AL Account Number. N46.023804 Go paperless SOUTHERN teri 788.00 .4.411.84 440 00 2894% •11,26500 .151.345.00 4 000 00 2.13% •117.65600 91 85 0.06% -158257.50 4 800 00 2.89% $6,834,447.60 $1,682,362.62 129,226.40 136 786 88 6.79% $129,226.40 $136,786.88 $6,963,674.00 81,819,169.50 Pays 9 of 18 Rated taCelle Event Yen Siva 2007 DAL BAR RATED COMMUNICATIONS rxenurnaer SDNY_GM_00046052 DB-SDNY-0008876 EFTA_0015666 I EFTA01289024 Portfolio Holdings (continued) Oate Acquired Quantity Unit Cost Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Sanity !denttier: DXJ Dividend Option: Cash; Capital Gains Option: Cash CUSP: 97717W851 60,000.00 of these shares are in your margin account 12111/13 80.000.000 49 4350 2.966.098.50 49.2000 2,952.000 00 -14.098.50 52,840.80 1.79% Total Exchange-Traded Products $2,966,098.50 -$14,098.50 Cost Basis $2,952,000.00 Market Value Unrealized Gale loss Anneal Accrue d Estimated Interest 852,840.80 Income Total Portfolio Holdings $105,345,567.96 $114,618,198.25 $7,331,510.29 4313,350.44 3,257,781.82 Cost Bads Market Price Markel Value Unrealized Gold Loss Estimated Estimated Annual Income Yield 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 ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered lioncovered," under the new cost basis reporting rules, and marked or denoted as suck 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 alter 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. 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 teed 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 intonation 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 evadable. 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. 13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this intonation. Page 10 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I L Account Number N46.023804 liktAl1 Ron Go paperless SOL THERA teci Rated tamales Every Vs. Unto 2007 CAL OAR RATrD COMMUNICATIONS rxerturtraer .1C.L=4...trter..=•trs= SDNY_GI14_00046053 DB-SDNY-0008877 EFTA_001 56662 EFTA01289025 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Oruisev Ram Pon. Wean Marnan Mans Canna Schedule of Realized Gains and Losses Current Period Date Date Description Disposed Acquired Designation Disposition Method/ Transaction Quantity Statement Period:11/01/2016 • 11/30/2016 Realized Proceeds Cod Bads Gain! Loss Long Term WASFIAGTOK NUT LNG S 11123116 004•RA2 M TG PASSTHRU CTF CL 8.1 VAR RATE 6169% 07125133 Security Identifier. 939336520 12/13113 Noncovered" REPYIA T OF ERIN Original Cod Basis: 1.446.33 1,290,000.000 1,890.16 1,446.33 443.83 Total Long Tern 1,890.16 1,446.33 443.63 Total Short and Long Term 1,890.18 1,446.33 443.83 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally nct 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. 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 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: • Stxk 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 fried payment schedule for welch 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. Retum of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reiable. 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-B or online displays you may have available to you. Wien 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 we your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shal 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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I L Account Number 646.023804 MAX .40I Go paperless SOLTHERA teti Page 11 of 18 Itnacl excellent, (very Year Since 2007 DAUM. RATED COMMUNICATIONS rxciarnaer SDNY_GM_00046054 DB-SDNY-0008878 EFrA_00156663 EFTA01289026 Schedule of Realized Gains and Losses Current Period (continued) 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 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 perfotmed 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 firm and Pershing makes no representation as to the accuracy of this information. 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 wt ich 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 wit be used to detemine 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. Messages Pease note the faiowng information for Pershing's 2016 IRS Fenn 1099 (8, DIV, INT, OID and MSC y Your form 1099 will be delivered as early as possible, beginning January 31, 2017. By February 15, you will be mailed either your 1099 form on 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 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 15, 2017. 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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Sum mary (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 Tear-to-Date Securities Securities Bought 0 00 0 00 0 00 0.00 -24.758,406 00 •24,758,405.00 Securities Sold 0 00 0 00 0 00 3,921,433.76 0 00 3,921,433.76 Securities Deposited 0 00 0 00 0 00 5,185,557.00 0 00 5,185,557.00 Total Securities 10.00 $0.00 $0.00 $9,106,990.76 .$24,758,406.00 -$15,651,415.24 Dividends and Interest $422,095.31 $0.00 $422,095.31 $3,512,512.02 .$270,898.59 $3,241,613.43 Distributions $92,104.95 $0.00 $92,104.95 $8,097,711.30 WOO $8,097,711.30 Fees $0.00 -$2.00 -$2.00 WOO -1428.00 -1428.00 Taxes Withheld 10.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07 Cash Withdrawals 0.00 0.00 0 00 0.40 .11,891.591.92 .11.891.591.92 Deposits 0.00 0 00 0 00 6.613.530.99 0.00 6.613.530.99 Total Cash $0.00 $0.00 $0.00 $8,613,530.99 .$11,891,591.92 -$3,271,060.93 Totals $514,200.26 -$2.00 $514,118.26 $29,330,745.07 -936,926,882.56 -$7,596,137.51 Page 12 of 18 UBA ROLE Account Number: N4G4123804 F I DrErriA Go paperless et) Naked Camollmi SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Every Year sane. 2007 DAL BAR RATED COMMUNICATIONS rxciturnaer SDNY_GM_0004605.5 DB-SDNY-0008879 EFTA_00 156664 EFTA01289027 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity Process/ Seillement Date Activit Diviclendsand Interest 11110(16 CASH DIVIDEND RECEIVED AAPL 11110116 CASH DIVIDEND RECEIVED AAPL 11110116 CASH DIVIDEND RECEIVED BK 11115116 CASH DIVIDEND RECEIVED 060505DT8 11115116 11115116 11123116 11125116 11130116 BONO INTEREST RECEIVED 27032 tAC6 BONO INTEREST RECEIVED ALLY PM CASH DIVIDEND RECEIVED WETF BONO INTEREST RECEIVED 939336520 MONEY MARKET PAD INCOME RECEIVED 233993682 Oruisre Ram Pr.. Wean Paptarnmt Pdaeats teem.,4wLP Dew. ion Quart Statement Period:11/01/2016 • 11/30/2016 Price Accrued Interest Amara Carre 164000 SHRS APPLE INC COM RD 11107 PD 1 1/10 /1 6 250000 SHRS APPLE INC COM RD 11107 PD 11110116 250000 SHRS BANK OF NEW YORK MELLON CORP COM P:0 11101 PO 11110116 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8,125% 04/30/58 WE RD 11/14 PD 11/15/16 OIV PAID AT 40 625 2000000 351000 EARTHLINK INC GTO SR NT FULLY EXCHANGED CU SIP FROM 270321A88 8175% 05115119 B/E DTD 05/17/11 CLB RD 11114 PD 11/15/16 80000 SHRSGMAC CAP TR I GTD TR PFD SECS SER 2 CFN• 8.125% FRED ORRY MATY.02/1512040 CALL ANYTIME Q25 W130 DAYS BEGINS 02115116 RD 11/14 PD 11/15/16 15000 SHRS WISDOM TREE IINTS INC COM RD 11/09 FO 11/23/16 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.669% 07125133 WE DTO 06101104 RD 10131 PD 11125116 DEUTSCHE GOVT CASH 93.480 00 USO 142.500 00 USO 47,500 00 USO 81,250 00 USO 15.575 63 USO 33,743 52 USD 1.200.00 USO 3,435 24 USO 3.41012 USO Total Dividends and Interest • U.S. DOLLARS Distributions 11130116 PARTNERSHIP DISTRIBUTION APO 263157 SHRS APOLLO GLOBAL MGMT LLC CL A SHIS RD 11/21 PD 11/30/16 0.00 422,095.31 92.104 95 USO Total Distributions • U.S. DOLLARS min0 ROI I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDESMAL SOL THERA LLC. 0.00 92,104.95 Page 13 of 18 Account Number. N40-023804 Go paperless Rated [mann ra (very Vs. Since 2007 0ALSAR RATED COMMUNCA TOG rxciurnser SDNY GM 00046056 DB-SDNY-0008880 EFTA_00 156665 EFTA01289028 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Fees 11101116 FOREIGN CUSTODY FEE Fun Safekeeping OCT 2016 CLSIP 64615P-P4-8 -200 LSD G4S15PP48 Total Fees • U.S. DOLLARS Quantity Price Accrued Interest Mount Currency 0.00 -2.00 Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received Severity Interest GENERAL ELEC CO GTD PAD-TO-FLTG RT NON-CUMULATIVE Total Cash Not Yet Received Record Date Payable Date 0.00 514,196.26 USD Quantity Held Rate Dividend Option Mont of Payment Bond Maturity Schedule 11130/16 12/15116 2.469.000 000 0 020000 Cash 49 380 00 Bond Maturity Market Value % of Bond Market Value 1 to 5 years 359,336.25 2% n 6 to 10 years 1.819.545.00 9% [ I Over 10 years 18,452,758.16 89% ri Total 20,631,630A1 100% Bond Quality 149,360.00 Bond Quality Market Value %ot hod Market Vain A 2 499 862 50 12% • BAA 9 945 295 00 48% • BA1Lower 7 827 145 66 38% ID hot Rated 359 336 25 2% • Total 20,631,639.41 100% 0.1^•0 "OIL Percentages of bond market values are rounded to the nearest whole percentage. Account Number. N46-023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I ID-51\MA L SOUTHERN elCeLs Percentages of bond market values are rounded to the nearest vtole percentage. Page 14 of 18 Itapemd tacelbrdi tvny v«. Lair 2'007 DAL BAR RA TED COMMUNICATIONS rxesatrNer SDNY GM 00046057 DB-S6NY:0008881 EFTA_00156666 EFTA01289029 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (Misr< Rana Pnwe wean ,.4•41,v. manes Codrage6,o‘t) Statement Period: 1110112016 • 11/30/2016 Called Bonds Eligible Called Call Type Redemption Call Date Security Description Quantity Duality Price of Call Proceeds 12/16/2016 LLOYDS TSB Bk PLC EURO ISSLEMEDILM 1.500.000 006 1.500 000 000 100 0000 Full 1.500.000 00 TERM NOTES ISINIX93717735822 9.875% 12116121 REG DTD 12116111 Client Service Information Your Client Advisor: DAN DANIEL SAHA 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 kaug 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 corn m unications, log in to your account or contact your Client Advisor for more information. m portant Information and Disclosures Pricing This section includes the net market value of the securities n your account on a settlement date basis, including shod posrtkons, 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 *NW and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The *Mg of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your accoungs3 Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements S not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an Page15 of 18 Account Number. N4G-023804 ii.....d.......u.... ..W.t.tr....=. 14 r. t ORM, von 1 Go paperless 4.1 1, ..) , V•••SMC• 2007 SOUTHERN CAO Lit I' NJ F I D-ENTIAL am„ r x LB?, RICO COMMUNCATIONS SDNY_GM_00046058 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008882 EFTA_00 156667 EFTA01289030 Important Information and Disclosures (continued) Pricing (continued) order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price win purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 WVAV pershing.comibusiness_confinuity.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 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 intonation regarding this procedure is available upon written request to your introducing firm. Proxy Vete 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 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 inctease 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 8 Pools. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written authorization from Standard & Poors. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard E. Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poors 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 net 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. Pap 16 of te Account Number: R4G423804 Rated twallordi ORA.1t V011 Go paperless L very Van' Since Z007 SOUTHERN SNMC LL DAL BAR RA CD COMMUNOTIONS K1 F I DrTriA rxesurnaerT CONFIDENTIAL — PURSUANT TO FED. R CISIIVI. P. 6(e) SDNY_GM_00046059 OB-SDNY-0008883 EFrA_00 156668 EFTA01289031 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) GIVISI.V Mm POW.. h Ma rille-rent Statement Period: 11/01/2016 - 11/30/2016 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 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 Many 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 suitaMity of those transactions, where appicable; the rendering of investment advice, if any, to you ' or 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 state • 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 hke 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 vnwcpershing.com/aboutistrengthand-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 reconfirmed 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 Depanment, 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 Bed. • 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 aMity 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, Si 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 hearing 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 Account Number. N4G-023804 MIAN NW Go paperless SO L ERN OKI F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) TM Page IT of 18 Rated [saner. Ivory V... Since 2007 DAUM...MED COMMUNCATIONS neaten ra'" ar —4-•••••..nonc SOnlY_GM_00046060 O13-SDNY-00O8884 EFIA_00156669 EFTA01289032 Important Information and Disclosures (continued) 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; oxnx ,4011 Account Num be; N46.023804 Go PaI)erless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOUTHERN cr.) ri Page IS of 18 Itatad tocellenti (very Year Since 2007 DALBAR RATED COMMUNICATIONS IXULLtN CF SDNY_GM_00046061 DB-SDNY-0008885 EFTA_00I56670 EFTA01289033 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 0vviu•V RIM vow, Wealth Ma ma real Ma'WS Clover Con Portfolio at a Glance Account Number: N4G-023804 Statement Period: 10/01/2016 - 10/3112016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 8112,837,058.89 0103,784,617.80 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 4278,060.93 ST THOMAS VI 00802 k el Securities InlOut of Account 0 00 5,185,557.00 Adjusted Previous Account Value 112,837,058.99 105,92,11317 Dividends. Interest and Other Income 351.548 57 3.055,359 42 Total Taxes Withheld 0 00 -5,558 07 Net Other Activity -27.00 .426 00 Your Client Advisor: Net Chan e in Portfolio 819 566 31 5.765.655 65 nd:ng Account Value 51 1 4,0 0 8 1 4 4 8 7 $1 1 4 0 0 8 1 4 4 87 DANIEL SABBA Accrued Interest $358.974 27 Estimated Annual Incom e 53,280 084 02 Asset Summary Prior Year-End Lad Period This Period % Allocation Cash. Money Funds. and Bank Deposits 26.834.143.83 9.982.985.49 13,538,251.06 12% Fixed Income 25.438.998.86 24.050.234.03 20.833.394.55 18% Equities 48.006.675.11 76.229,237 47 76.927.499 26 68% Exchange-Traded Products 0 00 000 2.709.000 00 2% Mutual Funds 3 004.800 00 2.574.600.00 0.00 0% Account Total (Pie Chart) $103,284,617.80 8112,837,0509 8114,008,144.87 100% U!MB V t CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 50101999CSF30019 cig<ffis CO N F I D AL 1111111111111 Please review your allocation persulicalty %rah your Client Mateo. Pate 1 of 18 Rated Exalt. SL Lyon. V.L. Lace 2'007 DAL BAR RATED COMMUNICA TIOMS rxegurnaer ream tat r.rrRwn sec SDNY_GM_00046062 OB-SDNY-0008886 EFTA_00156671 EFTA01289034 Summary of Gains and Losses Realized Uorealized This Period Year-to-Date Short-Term GainlLoss 0.00 3,039.76 3,975,392.59 Long-Term Gam/Loss 69.463 82 1,235,392.35 3,238,610.37 Net OaIn/Loss 69,483.82 1,238,432.11 7,214,032.96 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 andior 1042 S. 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 Activity Type Description Amount Belau* Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.29% Activity Ending: 10131116 10/01/16 Opening Balance 9,979,985A9 1979.985.49 10/03116 Deposit MONEY FUND PURCHASE 3,000.00 9,982,985.49 10/04/16 Deposit MONEY FUND PURCHASE 998.00 9,983,983.49 10112/16 Deposit MONEY FUND PURCHASE 11,625.00 9,995,608.49 10/14116 Depot/ MONEY FUND PURCHASE 2,307.63 9,997,916.12 10118/16 Deposit MONEY FUND PURCHASE 127,500.00 10,125,116.12 10121/16 Deposit MONEY FUND PURCHASE 3,203,741.00 13,329,160.12 10126/16 Deposit MONEY FUND PURCHASE 8,666.95 13,337,827.07 10131/16 De °it INCOME REINVEST 2,923.99 13,340.751.06 10/31116 Closing Balance 113,310,761.06 Total All Money Market Funds 113,310,761.06 Income and Expense Summary Current Period Year-to-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 8,62213 0.00 1,302,682.69 0.00 Money Market 2.923.99 0.00 14,819.35 0.00 Other Dividends 197,500.00 0.00 922,217.49 0.00 Interest Income Bond Interest 142,501.95 0.00 474,526.33 090 Other Interest 0.00 0.00 105,403.38 0.00 Page 2 of 18 VBA RC)Ill Account Number. N46.023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DrwriAL SOUTHERN ttz" muted [notion, Ln.y Va.. Since 2007 DAL BAR RATED COMMUNCATIONS xesit INC! ..°1-413. 11-2.11,-rettt"0.4.N.- - et. SDNY_GM_00046063 DB-SDNY-0008887 EFTA_00156672 EFTA01289035 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Oeuicev RIM ...or Wean. Manrnalt hOteets Conn.. 4,04, Income and Expense Summary (continued) Current Period Statement Period: 11/0112116 -101311211B Year-to-Date Taxable Noe Taxable Taxable Non Taxable Expenses Margin Interest 0.00 0.00 0.00 •161.10 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Fomign Securities] -25.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses 1351,523.57 10.00 12,813,821.15 -1151.10 DIstrIbudons Alternabve Investin ens 0.00 0.00 0.00 236.841.30 Total Distributions 10.00 10.00 10.00 1236,641.30 Portfolio Holdings Account Opening Date Quantity Number Adivity Ending Opening Balance Gong Balance Aimed lame Income Ws Year 36-Day Yield Current Yield Cash, Money Funds, and Bank Deposits 12.00% of Portfolio Cash Balance Margin Balance Money Market DEUTSCHE GOVT CASH IMSTL 10101116 13.340.751.060 NM 10131116 0.00 3,000.00 9.979.985.49 197400.00 0.00 13.340.751.06 0.00 14,849.35 0.31% 0.29% Total Money Market 19,979,965.49 113,340,751.06 $0.00 $14,149.35 Total Cash, Money Funds, and Bank Deposits $9,982,985.49 $13,538,251.06 $0.00 114,849.35 Page 3018 Account Number: H4G423804 SOUTHERN Go paperless eib Rated tocellerigi MIA0 /lel k L very V... Since 2007 DALMAR RATED CONINIUMCATIONS F I DrErriAL rxenurner CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046064 DB-SDNY-0008888 EFTA_00156673 EFTA01289036 Portfolio Holdings (continued) Date Acquired Fixed Income 18.00% of Portfolio (In Maiuriry Dee Sequence) ‘Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2004-RA2 MTG PASSTHRU CTFCL C-B-1 VAR RATE 6.536% 07125133 WE DTD 06/0110/ S 8 P Rating 0 Factor:0.47913933 Effective Date:10103/16 Current Face Value: 616.089 736 12/13/13 'AM 1,290,000.000 76.5190 Quaid limit Out Adjusted On Basis Market Price Markel Value Unrealized Gain, Loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 939336520 472,953.67 84.8690 Original Cosi Basis: 5838.906.71 524,56838 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 618,089.736 Corporate Bonds EARTHUNK INC GM SR NT FULLY EXCHANGED CUSP FROM 210321AB8 8.875% 05/15119 WE DID 05117111 CALLABLE 11/15/16 S8 P Raring CCC+ 10123112 ',3,12 351,000.000 102.3420 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISN8 X93717735622 9.875% 12/18721 REG DID 12/16111 Moody Rating Baal S P Rating BBB 12104/13 'AM 1,500.000000 106.0680 BARCLAYS BK PLC CONTINGENT CAP NT ISA LS067390-K03 7.750% 04/10123 B/E DTD 04110113 CALLABLE 04110118 S S P Rating B8.6 04103/13 '.12.13 300.000 000 100 0000 PM ORGAN CHASE & CO DEP SHS REPSTG 1/10TH Ff0 SERI FIXED TO FLTG RT BO 7.900% 04/29/49 NE DID 01/23/08 Moody Rating BAA3 S P Rating BB& 06115/11 %VII 2,500,000.000 107 .5000 2,687,500.00 103.0750 Original Cosl Basic 52.687.500.00 08115/11 '.3.12 2,500,000.000 107 0000 2,675,000.00 103.0750 Original Cosi Basic 52.675000.00 Total Noncove red 5,000,000.000 5 362 500.00 Total 5,000,000.000 $5,362,500.00 $472,953.67 Security Identifier: 270321AC$ 359.219.52 102.5000 Original Cod Bali $382,407.50 Security Identifier: GISOPP48 1.591.020.52 101.0540 0 nginal Cosi Basis $1.627.500.00 Security Identifier: 06739FHK0 300000.00 105.0000 Original Cosi Basis: 5300,000.00 Security Identifier: 46625HHA1 $524,556.58 359,775.00 1.515.810 00 315.000 00 2.576.875 00 2.576.875 00 5,153,750.00 $5,153,750.00 51.612 91 3.366.65 $51,612.91 $3,368.85 $0.00 555 48 14.364 19 31,151.25 6.65% 75.210.52 129.609 38 148,125.00 927% 15.000 00 1.35825 23 250 00 7.36% 410,62500 0.00 197,500.00 7.66% -98,125.00 0.00 197,500.00 7.66% -208,750.00 0.00 395,000.00 -$208,750.00 $0.00 $395,000.00 Pager of 18 MIAN 'IOU Account Number: N46423804 listed tacelkina Go paperless F I DriTriA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Inc., Van Swots 2007 DAUM', RA TED COMMUNCATIONS rxesurnaer rr==....." 41== ••••••no•A SDNY_GM_00046085 OB-SDNY-0008889 EFIA_00156674 EFTA01289037 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) BANK AMER CORP PERP NON COM ULATIVE DEP SHS FIXED TO FLOAT 8 125% 04130/58 B/E DID 04130108 CALLABLE 05115/18 Moody Rating BA2 S8 P Rating BB4 01110111 4.3.12 2,000,000.000 102.7500 Adjusted Cost Basis Oruisov Rant PnnieWeahnParagenan Pdaeals Coon., Gnat) Market Price Market Value Statement Period: 10/01/2016 .10/31/2016 Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117/62 81E DID 01/17/12 CALLABLE 02/01122 Q 100.000 Moody Rating MAI S8 P Raling BBB- 01130112 ..3.12 3,000,000.000 99 8510 GENERAL ELK CO GTD FXD-70•FLTG RT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12103/65 REG DID 12103/15 Moody Rating A3 St P Rating A 12103115' 2.469.000000 88 0930 5LLOYOS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIN 9 U S539439AGS2 7.500% 04127188 B/E DID 04/07/14 SS P Rating BB- Please Provide • 1,903,000.000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 8/E DTD 08/12/15 CALLABLE 08/15120 0 100.000 Moody Rating BA2 S 8 P Rating BRI 08/06115 3,000,000.000 100.0000 l}tt.. +0 SOUTHERN LLC. 1 t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDENTIAL Security Identifier: 0605050 78 2.055.000 00 102.6750 Original Cost Bat 52.055,00000 Security Identifier: 842400FU2 2.995.520 95 111.8750 Original Cost Bans: $2.992,564.97 Security Identifier: 361160413N 4 2.175.016 17 101 8130 Original Cost Basis 52.175.016 17 Security Identifier: 539439AG4 Please Provide 103.0000 Original Cost Basis: Please Provide Security Identifier: 17296725 3.000,006 00 102 5630 2,057,500.00 3,356,250.00 2.513,76297 1,960090 00 3,076090 00 Account Num ber. N4G-023804 Go paperless 2.500.00 74.930.56 162 500.00 7.89% 360,729.05 46,875.00 187 500 00 5.58% 338,746.80 37,309.33 98,760.00 3.92% NIA 13,479.58 142,725.00 7.28% 76084 00 37083.33 172000.00 6.80% Page 5018 tacoll• ',try Year Since 2007 DAL BAR RATED COMMUNCATIONS rxeurnser =tit 7...... 1"—M a."0.=- -- "Ittr. somccoL0004soes DB-SDNY-0008890 EFTA_00 156675 EFTA01289038 Portfolio Holdings (continued) Date Acquired Quantity Limit Cod Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) Original Cost Bads: 53,000,006.00 Total Corporate Bonds $17,838,283.16 Adjusted Cod Bads Market Price Markel Value Unrealized Gadd Loss Accrued Interest Estimated Estimated Mnual Income Yield Total Fixed Income Date sired 19,523,000.000 20,813,000.000 Duaatit Unit Cod Equities 68.00% of Portfolio Common Stocks OBILEYE NV AM STELvEEN ORD SHS 1S/4K10010831061 Dividend Option: Cash 08101/14 800.000 25.0000 ADVERLIN BIOTECHNOLOGIES INC COM Dividend Option. Cash 10.000 00 of these shares are in your margin account 04120115 10.000.000 39 8610 AKORN INC CON Dividend Option. Cash 06110/15 5.000.000 4684t0 AUBABA GROUP HLDG LTD SPONSORED ADS Mkt L5011309W1027 Dividend Option Cash 06110115 5.000.000 88 9500 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 03129/11 I ." 263.157.000 19.0000 APPLE INC COM Dividend Option. Cash 250.000.00 of these shares are in your margin account 10128113 1 14.000.000 75.5800 I :HAN ROI CONFIDENTIAL — PURSUANT TO FED. R P. 6( SOUTH ERA LLC. e) FIDEsmAL 018,311,236.03 Cod Bads Market Price Security !dentine!: M BLY CUS1P 101488117 20.000.00 37.1800 Security Identifier: ADVM CUSIP 00773L108 398,606.00 2.9500 Security Identifier: AKRX CUSP: 009728106 234,206.00 23.9500 Security Identifier: BABA CUSP 01609W102 444.749.00 101.6900 Security Identifier: AZSEY CUSP. 018805101 90.056.00 15.5300 Security Identifier: APO CUSP 037612306 4.999.983.00 18.2800 Security Identifier: AAPL CUSP: 037833100 1.058.120.50 113.5400 $20,308,827.97 $20,533,394.55 Markel Value $510,454.81 $355,807.62 11,357,511.25 $562,067.72 $358,974.27 $1,367,511.25 Unrealized Glint Loss Estimated Estimated Mnual Income Yield 29,744 00 29.500 00 119,750 00 508.450.00 77,650.00 4.810.509.96 1.589.560.23 9.744.00 -369,106 00 .114,456 00 63,701 00 •12,406.00 3.059.77 3.94% •189.47304 328.946 25 6.63% 531,439.73 31,920.00 2.00% Page 6 of 18 Account Num ber. N4G-023804 Go paperless Rsd excellent belny Sivote 2007 DAL OAR RAT ED COMMUNCA TOO/4S rxesurnaer SDNY_GM_00046067 OB-SDNY-0008891 EFTA_00 156676 EFTA01289039 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Equities (continued) Common Stocks (continued) APPLE INC COM (continued) 09/05114 124,180.000 09105114 3 7.200.000 09105114 3 18,620.000 01/11/16 250.000.000 Total Covered 414,000.000 Total 414,000.000 ARIAD PHARMACEUTICALS INC Dividend °plain: Cash 02111112'.I3 7.535.000 01124113',33 9.000.000 Total Noncovered 16,535.000 Total 18,535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01116101 *.3 70.500 000 BASF SE SPONS ADR ISM U93552625051 Dividend Option: Cash 04113115 5.000.000 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06125114 250.000.000 BIOGEN IDEC INC COM Dividend Option. Cash 02111112 '3 3 2,095.000 CENTENE CORP DEL CON Dividend Option: Cash 09105114 15,550.000 %entity Vail Ozel 98 9500 98 9500 98 9500 99 0000 Cost Basis Market Price 12,287,615.97 712.110.29 1,842,149.71 24.750.006.00 40 850 632 60 $40,650,632.50 113.5100 113.5100 113.5100 113.5400 Markel Value 14.099.397 16 817.487 80 2.114.115 02 28.384.999 79 47,005,580.00 Statement Period:10101/2016 - 10/31/2016 Unrealized Gain/ Loss 1,811.781 19 105.017 51 271.665 28 3.631.993 79 6,354,927.50 Estimated Estimated Annual Income Yield 283.130.40 2.00% 16.416.00 2.00% 12.453.60 2.00% 570.000.00 2.00% 943,920.00 15 2090 19 6000 114.597.40 178,100.00 290,997.10 1290,997.40 Security Identifier: ARIA CUSP 01033A100 8.7200 8.7200 Security Identifier: ASNA CUSP: 043516101 21 2770 1,500,000.00 4.8900 Security Identifier: CASEY CUSP. 055262505 101 6110 36 3060 119.5490 63.6450 MIAS Poll 508.056 00 88.1800 Security Identifier: BK CUSP 064058100 9.076.406 00 43.2700 Security Identifier: BIIB CUSP 09062X103 250.154 95 280 1800 Security Identifier: CNC CUSP: 151358101 989,679.75 62.4800 947,005,580.00 65.705.20 78,180.00 114,185.20 1144,185.20 344,745.00 440.900.00 10,817,500.00 586,977.10 971.561.00 $6,354,927.50 -48.892 20 47,920.00 -146,812.20 4141,112.20 -1.155,25500 •67.15600 1,741.094 00 336.522 15 •18.115 75 1943,920.00 $6.00 12,163.55 2.75% 190,000.00 1.75% Pape? 018 Account Num Der. 946.023801 Cio paperless r-ty.•%=":«» '007 DAL BAR RAT ED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. TH ERN en F I DAEN1lAra, rxcituNer ::::="27.=t5A.. =sr= SONY GM 00046068 DB-S6NY:0008892 EFTA_00 156677 EFTA01289040 Portfolio Holdings (continued) Date Ned Quiet Umit Cosi Cod Basis Market Price Markel Value Unrealized Geld Loss Estimated Estimated Annual Income Yield Equities (continued) Common Stocks (continued) DISH NETWORK CORP CL A Dividend Option: Cash 06110/15 FACEBOOK INC CL A Dividend Option: Cash 05117112 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.13 GENERAL SIRS CO COM Dividend Option: Cash 11118/10 12109/10 ' Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105114 03107114 Total Covered Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 06110115 5,000.000 43 0010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM 81 WT EXP Dividend Option: Cash 07130/1 5 ' 2,000.000 10 0000 GO DADDY INC CL A Dividend Option: Cash 04101115 700.000 20.0000 Security Identifier: DISH CUSP. 2541011109 5.000.000 72 9960 364,978.00 58.5600 Security Identifier: F13 CUSP: 3030311102 17,500.000 38 0000 665,000.00 130.9900 Security Identifier: FM I CUSP: 350465100 25,000.000 27.5070 687,663.50 22.7000 21,830.000 23_2530 577,373.02 22.7000 49,830.000 1 285 038.52 292.800.00 2,292,325.00 567,500.00 563,641.00 1,131,141.00 •72,178.00 1,827,325.00 -120,183.50 43,732.02 ,133,695.52 23.000.000 21.5700 10,988.200 86,536.800 91,525.000 36 4010 36 8160 $1,215,031.52 Security Identifier: GE CUSP: 369604103 496.109.08 29.1000 Security Identifier: GM CUSP: 37045V100 399.978.16 31 6000 3,185,969.22 31.6000 3 585 947.36 63,585,941.36 Security Identifier: GILD CUSP: 375558103 396.407.00 73.6300 216.797.00 73.6300 $1,131,141.00 669.300.00 317.227 13 2,731,562.87 3,081,790.00 -$133,895.52 173.190 92 -52.75103 .451.106 35 .504,157.3B $0.00 21,160.00 3.16% 16,702.06 4.81% 131,535.94 4.81% 148,238.00 5.000 000 3.100 000 8,100.000 79 2810 79 6120 843 204 00 $3,081,190.00 368,150.00 228.253 00 596,403.00 .$504,157.38 -28.257.00 .18 511 00 -18,801.00 $148,238.00 9,400 00 2.55% 5,828 00 2.55% 15,221.00 PTITITTIITTF, : $643,204.00 Security Identifier: GSK CUSP. 37733W105 215,006.00 40.0100 Security Identifier: GPACU CUSP: 3795471204 20,000.00 10.0000 Security Identifier: GDDY CUSP. 380237107 14,000.00 35.7900 I>R7.7 ROI I IN c• F I Dri\ITIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN IN $596,403.00 200,050.00 20.000 00 25.053 00 Account Number: N4G423804 Go paperless -818,801.00 14.956 00 0 00 11,053.00 $15,221.00 10,335.20 5.16% Page 8 of 18 RSA [moiler. Every VAN SA07 2007 DAUTAR RATEDCOMMUNICATIONS rxesarwer stritroaZ Isua "amte'r"= SDNY_GM_00046069 OB-SDNY-0008893 EFTA_00 1 5667 8 EFTA01289041 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Oruicov Mn, Pon. Wean Maxernan Mients CodnreGro.p Dale Acquired Quantity Unit Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) MATCH GROUP INC CON Dividend Option: Cub Security Identifier: M TCH CUSP. 57665R106 11116115 200.000 12 0000 2,400.00 18.0600 SANGAM 0 BIOSCIENCES INC COM Dividend Option. Cash Security Identifier: SGM 0 CUSIP 800677106 05428113 I ." 50.000 000 8 4440 422.214 00 3.5500 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option. Cash Security Identifier: SC CUS1P: 8028314101 01123114 1000.000 24 0000 24.000 00 12.2000 SQUARE INC CL A Dividend Option: Cash Security Identifier: SQ CU SIP 852234103 11119115 200.000 9.0000 1.800.00 11,2000 TERRAFORM GLOBAL INC CL A Dividend Option: Cash Security Identifier: GLBL CUSP. 8810414101 07131115 400.000 14 8300 5.931.84 3 7500 TWITTER INC CON Dividend Option: Cash Security Identifier: TW TR CUSP 901841102 11107113 1,500 000 26 0000 39,000 00 17.9500 VIACOM INC NEW CL 8 Dividend Option: Cash Security Identifier: VIAB CUSIP 92553P201 06110115 5,000 000 67.7490 331)15.00 37.5600 VOLKSWAGEN A G ADR (SPONSI Dividend Option: Cash Security Identifier: VLKAY CUSIP-. 928662303 04113115 5.000.000 50 8610 254,306.00 29.7450 WISDOM TREE INVTS INC COM Dividend Option. Cash Security 'deadlier: WETF CUSP 97717P104 03131115 15.000.000 216110 324.157 50 8.5800 Total Common Stocks $88,135,661.92 00A81201.1. Market Value Statement Period: 10/01/2016 • 10/31/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 3,612.00 177,500.00 12,200.00 2.240.00 1,500.00 26,925.00 187,800.00 148,725.00 128,700.00 1.11100 ,241,714.00 -11,800.00 440.00 -4,431.84 -12,075 00 -150.945.00 -105.581.00 .195.457.50 440.00 29.33% 1,000 00 2.12% 91.85 0.06% 4.80000 3.72% 874,885,099.26 Account Number: N40423804 Go paperless 0.F I DrwriAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN N 66,149,437.34 81,882,382.62 Pap 9 of 18 Rated tocollordi Every V.A. Saws 2007 DALOAR RATED COMMUNCATIONS I %Ca Li NCI SDNY_GM_00046070 DB-SDNY-0008894 EFTA_00 156679 EFTA01289042 Portfolio Holdings (continued) Unrealized Cate Acquired Ousetfty Wilt Cost Cod Basis Market Price Markel Value Gain, Loss Equities (continued) Preferred Rods (Listed by upkeep dale) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN 8.125% FRED ORTLY MATT-02/1512040 CALL ANYTIME Q 25 W130 DAYS BEGINS 02115/16 Dividend Option: Cash 02122112'.'7 Total Preferred Stooks Total Equities Estimated Estimated Annual Income Yield Security 'dentition ALLY PRA CUSP. 361860208 80.000.000 23.5350 1,882,773.60 $1 812 773.60 370,011435.52 25.5300 2 042 400 00 82,012,100.00 876,927,199.26 159.628 40 $159,626.40 16,909,063.74 162.50010 7.95% $102,500.00 $1,644,882.62 Unrealized Estimated Estimated Date Acquired Quantity Unit Cog Cod Basis Market Price Market Value Gait/ Loss Annual Income Yield Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ Dividend Option: Cash; Capital Gins Option: Cash CUSP: 97717W851 60,000 00 of these shares are in your margin account 12111113 60,000.000 19.1350 2,966,098.50 15.1500 2,709 000.00 -257,098.50 52,840.80 1.95% Total Exchange-Traded Products 82,966,098.50 82,709,000.00 -$257,098.50 352,140.10 Cog his Market Value Unrealized Mooed Estimated Geld Loss liters Anneal Income Total Portfolio Holdings 8104,831,021.91 8114,008,114.87 57,211,032.96 8358,971.27 83,280,081.02 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaly 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.1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered snoncovered," 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 *Stich 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 (ORP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple rued payment schedule for which a yield to maturity can be easty 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 hired income security, and certain attributes, obtained from sources bekeved to be reliable. In the event, one or more of these attributes is changed, there may be a temporary Mcorrect 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 information. Fage10 of 18 Account Kum Der N4G-023804 Rated excellordi WOI I GO paperless tn."' Vaim 900.2007 SOUTHERN LI.C. • MeeragED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ON FID An alTrii 1/4L SDNY_GM_00046071 DB-SDNY-0008895 EFTA_00 156680 EFTA01289043 lril Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Statement Period: 10101/2016 - 10/31/2016 6 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. Is 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 Date Description Disposed Long Term FRONTIER COMMUNICATI 10118116 07/06/15 Covered R NT 8.500% 04/15/20 8/E DTD 04112/10 Security Identifier 359068/11 WASHINGTON MUT MTG S 004442 MTG PASSTHRU CTF CL C- 01 VAR RATE 6.536% 07/25133 Security Identifier 939336520 Date Acquired Designation 10124116 12113113 Noncovered..1 Disposition Method I Trassaction Quantity Proceeds Cost Basis First In First Oul / SELL 3,000,000.000 3,190494.00 3,130,474.39 Original Cost Basis: 3,171,006.00 REPYMT OF PRIN Original Cost Basis 1.447.56 1,290,000.000 Realized Gain! loss 59 :1951 1,891.77 1,447.56 444.2t Total Long Terre 3,201,38 5.71 3,131,921.95 69,46302 Total Shod and Long Term 3,201,38 511 3,131,921.95 69,463.82 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaNy nee 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. Mother 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 yearn which the security is disposed. liktAll 14011 Account Number: NG-023804 Go paperless et:, Rated taallena F I DENTIA Page 11 of 19 SOL THERA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) (very V.A. Lace 2007 DALBAR MUD COMMUNOTIONS EXCIItLf NCI Ltr;.... 11-11==.•.' .—"%t. SDNY_GM_00046072 DB-SDNY-0008896 EFTA_00 I5668 I EFTA01289044 Schedule of Realized Gains and Losses Current Period (continued) Reporting requirements generally will be phased in over a three-year period, as follows • Stock in a corporation acquired on or alter 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 Iced 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 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-B 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 reiance 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 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 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. 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 defauked to Fist In, Fest ON (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-B. M essages 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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 12 of 18 Account Number. N49.023804 G pa o perless 90 6THERA ct 1,6 NLL F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rated Iacono nri (very Ye.. Lace 2007 DAL OAR RATED COMMUNICATIONS rxesartraer •••••.,.•—••••••A wit ••• SDNY_GM_00046073 OB-SDNY-0008897 EFTA_00156682 EFTA01289045 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (Micro Kn. Pon,, WeekniAinagenern Activity Sum m a ry (All amounts shown are in base currency) Credits This Period Statement Period: 10/0112016 • 10/31/2016 Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Debits This Period Net This Period Securities Securities Bought 000 000 0.00 0.00 -2058.406.00 -24,751.106.00 Securities Sold 3 203 744 00 000 3,203,744.00 3,921,133.76 0.00 3,921,133.76 Securities Deposted 000 0.00 0.00 5,185,557.00 0.00 5,185,557.00 Total Securities $3,203,744.00 $0.00 $3,203,141.00 $9,108,190.78 ,524,758,106.00 .$15,651,115.24 Dividends and Interest $351,548.57 $0.00 $351,518.57 $3,090,118.71 -$270,898.59 $2,819,518.12 Distributions $0.00 $0.00 $0.00 $8,005,606.35 $0.00 $8,005,606.35 Fees $0.00 •$27.00 -$27.00 $0.00 .$428.00 .$128.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07 Cash Withdrawals 0.00 0.00 0.00 0.00 .11 891 591 92 .11 891,591 92 Deposits 0.00 0.00 0 00 8,613,530.99 0 00 8.613.530 99 Total Cash $0.00 $0.00 $0.00 $8,813,530.99 .$11,891,591.92 •$3,275,080.93 Totals $3,555,292.57 -$27.00 $3,555,265.57 $28,816,544.81 .06,926,880.58 .$8,110,335.77 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Activity Type Securities Bought and Sold 10/2106 10/18/16 SOLD FTR36845I7 Detription Quantity FRONTIER COMM UNICATIONS CORP SR NT 8.500% 0/115/20 WE DID 01/12/10 YLD 6,312 TO MAT .3,000,000 000 Total Sea Niles Bought and Sold • U.S. DOLLARS Dividends and Interest 10/03(16 CASH DIVIDEND RECEIVED VIAB 10/11/16 FOREIGN BOND INTEREST 05739F1-K0 USAS ROLL 5000 SHRS VIACOM INC NEW CL B RD 09/21 PD 10/03/16 300000 BARCLAYS 8K PLC CONTINGENT CAP NT ISINIUS06739FHK03 7.750% 04110123 WE OTD 04/10/13 CLB RD 10107 PD 10/10/16 Price Accrued Interne Mont Comm 106 6500 1250.00 3 203,744 00 L.S0 1.250.00 3,203,7/1.00 1.00000 11.625 00 LSO LSO Page 13018 Account Number: 1440-023804 Br.. excellent, Gommle's F I DriTriA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) L very. Vs.. Slate 2007 DAL BAR MUD COMMUNCA TIONS r )Iar. ur NCI SDNY_GM_00046074 DB-SDNY-0008898 EFTA_00 156683 EFTA01289046 Transactions by Type of Activity (continued) Process/ Tradel Settlement Transaction Date Date Activity Type Description Quantity Price Accrued Merest Maoist Currency Dividends and Interest (continued) 10113116 FOREIGN SECURITY DIVIDEND 5000 SH RS GLAXOSMITHKLINE PLC PONS ADR RD 08/12 2532.63 USD RECEIVED PD 10113116 GSK 10117116 BOND INTEREST RECEIVED 3000000 FRONTIER COMMUNICATIONS CORP SR NT 12750010 LSD 35906AAF 1 8.500% 04115120 B/E DTD 04/12/10 RD 10114 PD 10115116 10125116 CASH DIVIDEND RECEIVED 23000 SHRS GENERAL ELECTRIC CO COM RD 09/19 PO 5290.00 USD GE 10125116 10125/16 BOND INTEREST RECEIVED 1290000 WASFINGTON MUT MTG SECS CORP 2004-RA2 3.376,95 USD 939336520 MTG PASSTI. RU CTF CL C-B-1 VAR RATE 6.536% 07/25/33 B/E DTD 06101104 RD 09130 PD 10125/16 10/31/16 MONEY MARKET FLND DEUTSCHE GOVT CASH 1.923.99 USD INCOME RECEIVED 233993682 10/31/16 CASH DIVIDEND RECEIVED MORGAN CHASER CO DEP SFS REPSTG 1110TH PFD 197500 00 LSD 46625F HAI SER 17.900% 01/29/49 DIE RD 10/28 PD 10130/16 DIV PAID AT 39.50 5000000 Total Dividends and Interest • U.S. DOLLARS 0.00 351,548.57 Fees 10103116 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2016 CUSP. G4515P-P4.8 -200 LSD G4S15PP48 10/13/16 FEE ON FOREIGN DMDEND 5000 SH RS GLAXOSMITHKLINE PLC SP° ADR RO 08/12 -25.00 LSD WITHHELD AT THE SOURCE PD 10113116 GSK Total Fees U.S. DOLLARS 0.00 -17.00 Total Value of Transactions 4,250.00 3,555,265.57 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Valve I to 5 years 6 to 10 years Over 10 years 359.775.00 1.830.810 00 18142.809 55 Total 20,833,394.55 % of Bond Markel Value 2% 9% 89% 100% Percentages of bond market values are rounded to the nearest whole percentage. Page 14 of 18 Account Number. N4G-023804 Rated excellent, tilte.E1 MOI I Cio paperless Every Vni , Leito 2007 SOUTHERN DALOAR RATED COMMUNCATOONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDETITAL rxeraistraer SDNY_GM_00046075 DB-SDNY-0008899 EFTA_00156684 EFTA01289047 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Bond Quality Ocmin •e w.. Po...Wealth AIVIlle-witt Yr•ets ranantsmo Bond Duality Market Value % of Bond Market Value A BAA 2,513,762.97 10,025,810.00 12% 48% • - BA/Lower 8,293,821.58 40% Total 20,833,394.56 100% Called Bonds Call Date Security Dewription 12;16/2016 LLOYDS TSB BK PLC ELRO ISSUE MEDIUM TERM NO TES ISM% XS0717735822 9 875% 12/16/21 REG 070 12116111 Client Service Information Statement Period:10/01/2016 • 10/31/2016 Percentages of bald market values are rounded to the nearest whole percentage. Eligible Called Call Type Redemption Quantity Quantity Price of Call Proceeds 1,500,000.000 1 500 000 000 100 0000 Full 1.500.000 00 Your Client Advisor: DAN DANIEL SABBA 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 ail Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Am orlize premium on tamable 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 comm imitations for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. Page15018 Account Number: N4G423804 SOL THERN F I DriTriA GO MIALI ROI paperless &is Rated tacellenti I. very Year Since 2'007 DALISAR RATED COMMUNICATIONS rxen unser CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046076 DB-SDNY-0008900 EFTA_00156685 EFTA01289048 Important Information and Disclosures Pricing This section irciudes 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 '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. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain thirthparty structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price wit purge and NA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EA!) 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 iwyw.pershing.cornibusiness_conbrtuity.htrril 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 flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confrmations 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 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) wit 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 & Poors is not permitted 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 & 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 Page 16 of 18 Account Num be; N4G-023804 Cio paperless L THERA F. ONFIDAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Maud tacelloS tvery v«. Since 2007 DALBAR RATED COMMUNICATIONS rxesturtaer -cis: 3=Z= =sr= SDN Y_GM_0004 6077 OB-SDNY-0008901 EFrA_00156686 EFTA01289049 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Deutsche Bank PO Box 1776. Bairn-nom, MD 21203 Important Inform ation and Disclosures (continued) Gni., .4. Ram ksale Wean vAragenmt Statement Period: 10/01/2016 • 10/3112016 Ratings (continued) 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 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 eicluded. Please refer to your Path* 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 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 Oil 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 in general, 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 (SIPCI. 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 flings. For more detailed information please visit mwrpershingtorniabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy Of 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 reconfirmed in vetting to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's cont in an 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 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 at 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. Page 17 of 18 Account Number: N4G4123804 Go paperless SOUTHERN F I DriTilA twin Veer Sera 2007 DAL BAR RATED COMMUNICATIONS nonrumer SDN Y_GM_0004 6078 OB-SDNY-0006902 EFrA_00156687 EFTA01289050 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 (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 US, Legal Department, One Pershing Plata, Jersey City, New Jersey 07399 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Fl DAENT1AL Account Number. N416.023804 OBAki ROLL Go paperless SOUTHERN rei Pap IS of 18 Rated toceilenti [may year Since 2007 DALBAR RATO:. COMMUNICATIONS rxcourtraer tr o...=. 5-1 0..=.----nt= SDNY_GM_00046079 DB-SDNY-0008903 EFTA_00 156688 EFTA01289051 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 0rmlyee Ran..mtle wall rimanair-wa Mateets Covet C.o. Portfolio at a Glance Account Number: N4G-023804 Statement Period: 0910112016 -09/30/2016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $110,455,681.50 $103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 -3.278,060.93 ST THOMAS VI 00802 het Securities InfOut of Account 0 00 5,185,557.00 Adjusted Previous Aco3unt Value 110,465,581.50 105,192,113.87 Dividends, Intemst and Other Income 135,040 62 2.701.810 85 Total Taxes Withheld 0 00 -5,551.07 Net Other Activity -2 00 -399.00 Your Client Advisor: Net Chan ie in Portfolio 2 246 136 87 1,916,089.34 DANIEL SABBA ncling Account Value $112,837:056.99 $1 12 837 056 95 Accrued Interest $567.616.30 Estim ated Annual Incom e $3.532.74710 Asset Summary Prior Year-End Lad Period This Period % Allocation lu SO Cash. Money Funds. and Bank Deposits 26,834,143.83 6,847,946.87 9.982,985 49 8.85% LSD Axed Income 20,242,233.86 20,321,496.69 20,215,720.93 17.94% Ken-LSD Axed Income 5.196,765.00 3,786,678.75 3.804.513.10 3.37% LSD Equities 47,972,851.11 76,868,347.19 76,195,181.47 67.53% Aon.liS0 Equities 3.038.624.00 2.631.112.00 2.608.656.00 2.31% Amount Total (Pie Chart) $103,284,617.10 1110,455,681.50 $112,837,056.99 100.00% See the Asset Summary Disclosure and Footnotes seMen for important information regarding your Asset Summary. CONFIDENTIAL - PURSUANT TO FED. R CRI0A. P. 6(e) CONFIErEPRili sAL 5009 8190CS F30024 Please review your allocation perodcary wth you' Clem Advsor. Page 1 019 Rated tacenenti [very Van Sine. 2'007 DRUM. RATED COMMUNICATIONS rxesturder SDNY_GM_00046080 OB-SDNY-0008904 EFTA_00 156689 EFTA01289052 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 09/3012016. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gam/Loss 0.00 3039 76 3 882.237.63 Lon •Term Gam/Loss 76.041 72 1,165.928 53 2,575,792.01 Net GalnlLoss 76,041.72 1,168,968.29 6,456,029.64 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'EGB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rale setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Description Amount Baba. Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield. 0.31% Activity Ending: 09130/16 09/01116 Opening Balance 6.750.578.78 6.750.578.78 09/01116 Deposit MONEY FIND PURCFASE 97,368.09 6,847,946.87 09102116 Wdhdrawal MONEY FIND REDEMPTION -2.00 6,847,944.87 09/23116 Deposit MONEY RIND FtiRCFASE 3,000,000.00 9,847,944.87 09/26/18 Deposit MONEY RAD PURCFASE 87.809.42 9.935.754.29 09127116 Deposit MONEY RIND FURCFASE 2,769.78 9.938.524.07 09/28116 Deposit MONEY RIND FtiRCFASE 35,681 25 9,974,205.32 09/30116 Deposit MONEY RIND PURCFASE 3,807.00 9,978,012.32 09130/16 Deposit INCOME REINVEST 1.973.17 9.979.985 49 09130118 Closing Balance $9,979,985.49 Total All Money Market Funds $9,979,985.49 Page 2 of IT URA,' .o,, SOUTHERN (5 LLC. F I DarnAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) N Account Number. N4G-023804 Go paperless Rated tacellera (very Year Since 2007 DAL BAR SUMO COMMUNICATIONS rxenurNer rivairr•=7====.7:= SDNv_GM_00046081 DB-SDNY-0008905 EFTA_DO [56690 EFTA01289053 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Oracre Ram PO.. Wean. Maniienalt Pints Costae G..p Income and Expense Summary Current Period Statement Period:09/01/2016 • 0913012016 Year-lo-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 91,616.42 0.00 1,294,060.06 0.00 Money Market 1.973.17 0.00 11,925.36 0.00 Other Dividends 182,987 49 0.00 724,717.49 000 Interest Income Bond Interest .141.536.46 0.00 332,024.38 0.00 Other Interest 0.00 0.00 105,403.36 0.00 Expenses Margin Interest 000 0.00 0.00 .161 10 Withholding Taxes 000 ODO 4,558.07 0.00 Fees(Fomign Securities' 0.00 0.00 -275.00 0.00 Total Dividends, Interest, Income and Expenses $135,040.62 $0.00 62,462,207.58 4181.10 Distributions Alternative 'riven ents 0.00 0.00 0.00 236.841.30 Total Distributions 90.00 $0.00 10.00 $231,141.36 Portfolio Holdings Account Opening Date Quantity Number Activny Ending Opening Balance Closing Balance Accrued Income Income This Year 31•Day Yield Current Yield Cash, Money Funds, and Bank Deposits 9.00% of Portfolio Cash Balance M a rgin Balance Money Market DEUTSCHE GOVT CASH IBM 09101116 9 979 985 490 NIA 09130116 97,366.09 0.00 6 750 578 78 0.00 3.000.00 9.979.905.19 208.00 11,925.36 0.31% 0.31% Total Money Market $6,750,578.78 $9,979,915.49 $208.00 611,926.36 Total Cash, Money Funds, and Bank Deposits $6,847,946.87 9,982,965.49 $208.00 311,926.36 Page 3 of 19 Account Number: H4G.023804 Rated tnellordi 0009e190CSF,, ,:: VIIMI ROI i Go paperless Envy Van' Slate Z007 SOUTHERN DAL OAR RATED COMMUNCATIONS Ki F I DrErriA rxarurtraer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDPW_GM_00046082 DB-SDNY-0008906 EFTA_0015669 I EFTA01289054 Portfolio Holdings (continued) Adjusted Oate Acquired Quantity Wilt Cost Cod Basis Fixed Income 21.00% of Portfolio (In M minty Dee Sequence) 'Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2001.RA2 N TG PASSTH RI; CTF CL C-B•1 VAR RATE 5.344% 07/25/33 WE DID 06/01/04 St P Rating 0 Factor: 0.48060583 Effective Date:09101/16 Current Face Value: 619.981.521 12/13113 1,290,000.000 76.5190 474.401.23 84.8180 Ongmal Cost Basin 5638.906.71 525,855 93 Total Asset Backed Securities $171,401.23 $526,055.93 1,290,000.000 Total Current Face Value : 619,981.521 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC8 CUSP FROM 270321A98 8.875% 05/15/19 BIE DTD 05117111 CALLABLE 10/30/16 S d P Rating CCU 10123112'.3.I2 351.000.000 102 3630 359.295.88 102.5000 359.775 00 Onginal Cosl Basis: 5362.407.50 FRONTIER COMMUNICATIONS CORP Security Identifier: 35906AAH1 SR k T 6.500% 04/15/20 BIE DTD 04112110 1ST CPA DTE 10/15/10 Moody Rating BA3 S P Rating BB- 07106115 3.000.000.000 104 4130 3.132.399.12 108.1250 3.243.750.00 Onginal Cost Basis $3.171.006.00 LLOYDS TSB BK PLC EURO ISSUE II EDIUM Security Identifier: G1S15PP40 TERM NOTESISAI X50717735822 9.875% 12/16/21 REG DTD 12/16111 Moody Rating Baal S 8 P Rating BBB 12/04113 '• 3.I2 1,500.000.000 106.1470 1,592,200.25 101.6690 1,525,035.00 Onginal Cost Basis: $1.617.500.00 BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 0673IFHKO 'SD til,S06739FF KO3 7.750% 04/10/23 BIE DTD 04110/13 CALLABLE 04110/18 S B P Rating B134 04103113'•I2•'3 300.000.000 100 0000 300.000.00 104.7500 314,250 00 Original Cost Basis: $300,000.00 JPM ORGAN CHASES CO DEP SHSREPSTG Security Identifier: 46625HHA1 1110TH Ff0 SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 EVE DID 04/23/08 Moody Rating BAA3 S P Rating BBB- 06115/11 ..3.I2 2,500,000.000 10/ 5000 2,687,500.00 102.7500 2,568,750.00 Market Price Market Valve Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 939338520 V0A0 von CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDE\MAL SOUTHERN LLC. Account Number. N46-023804 Go paperless 51.45470 2 669 36 $51,451.70 $2,669.36 $0.00 479.12 11.681 72 31.151.25 8.65% 111.350.88 116,875.00 255.000.00 7.86% .67,165.25 116,854.17 148,125.00 9.71% 11.250.00 10.979 17 23.25010 7.39% •118,75000 82.291 67 191,500.00 7.68% Page 4 of 19 Rated excellent [very Year Since 2O07 rt. ro DALOAR RATED COMMUNICATKIHS ....ay= e rg rxentrwer SONY GM 00046083 DB-SDNY-0008907 EFTA_00 156692 EFTA01289055 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity trill Cad Fixed Income (continued) Corporate Bonds (conDnued) RN ORGAN CHASE & CO DEP SHS REPSTG (continued) 06115111 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 MD TO FLOAT 8.125% 04/30158 B/E DTD 04/30/08 CALLABLE 05115118 Moody Rating BA2 S5 P Rating BB+ 01110111 %Liz 2.000.000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117162 WE DTD 01117112 CALLABLE02/01122 (/ 100.000 Moody Rating BAA1 SIP Rating BBB. 01130112'•3.12 3.000.000.000 99 8490 GENERAL ELEC CO GTD FXD-TO-FLTG RT NONCUMULATIVEPERPETUAL PREFERRED 4.000% 12103/65 RE-G DTD 12103115 Moody Rating A3 S & P Rating A 12103115 ' 2,469,000.000 88 0930 5LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS16%11U 6539439AG42 7.500% 04127/88 B/E DTD 04/07/14 S & P Rating 813- Please Provide 1.903.000.000 NM VOI ()micro Ram Ihmrir Weahn Maxrent Mines Costae Goo, Statement Period: 0910112016 • 09/30/2016 Masted Cod Bath Market Price Nadel Valve Unrealized Gainlloss Accrued Interest Estimated Estimated Annual Income Yield Original Cost Bass: $2,687,500.00 2,675,000.00 102.7500 Original Cost Basis: 12,675,000.00 5,362,500.00 36,362,500.00 2,568,750 00 6,137,600.00 35,137,500.00 -106.25000 -225,000.00 -$225,000.00 82,291.66 164,583.33 3164,583.33 197 500 00 395,000.00 $395,000.00 7.68% Security Identifier: 060505070 2,055.000 00 102.5630 2,051,260.00 -3.740 00 60,937 50 162 500 00 7.92% Original Cost Basis: $2,055,000.00 Security Ideetifier. 642100FU2 2.995.461 09 11 10000 3,330,000.00 334.538 91 30.729 17 187 500 00 5.63% Original Cost Bass: $2992564.97 Security Identifier: 3698048114 2,175,016.17 103.0000 2.543.070 00 368.053 83 28.80500 98.760 00 3.88% Original Cost Bares: 52.175.016.17 Security Identifier: 539439AG4 Please Provide 103 2700 1.965,22810 NIA 1,189.38 142 725.00 7.26% 0 nginai Cos: Bans Please Provide Page 5 of 19 Account Num be; N4G.0 Go 23804 paperless SOUTHERN ten NF _IDAENT1AL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rated Excellent Event Va. since 2007 DAUM. RATED COMMUNICATIONS rxenurtaer -statraw==.4.'rt SDNY_GM_00046084 DB-SDNY-0008908 EFTA_00 156693 EFTA01289056 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Income (continued) Corporate Bonds (continued) CMGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115/88 BJE DTD 08112115 CALLABLE 08115120 (I 100 000 Moody Rating BA2 S 8 P Rating BB* 08106115 3.000.000.000 100 0000 Total Corporate Bonds 22,523,000.000 Adjusted Cog Basis Market Price Market Value Unrealized Gain! Loa Argued Intereg Estimated Estimated Annual Income Yield Staidly Identifier: 17298726 3.000.006.00 101.8170 3.054.510 00 Original Cosl BSI 63,000,006.00 620,971,878.51 623,524,378.10 Total Fixed Income Date Acquired Equities 68.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISIKONL0010831061 Dividend Option. Cash 08101/14 800.000 25 0000 ADVERUM BIOTECHNOLOGIES INC COM Dividend Option: Cash 10,000 00 of these shares are in your margin account 04120115 10.000.000 39 8610 AKORN INC COM Dividend Option Cash 06110115 5.000.000 46.8410 AUBABA GROUP ROG LTD SPONSORED ADS ISIN0L901609W1021 Dividend Option: Cash 06110115 5,000.000 88 9500 ALUANZ SE SPONS AOR REPSTG 1(10 SHS Dividend Option: Cash 04113115 5,000.000 18 0110 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash 03129(11 '. 51 263.157.000 19 0000 23,813,000.000 Quantity Unit Cod 621,446,279.74 $24,050,234.03 Cod Basis Market Price Market Value 54.504 00 22.312 50 178.500.00 5.84% $587,271.49 $564,948.94 S1,622,511.26 $630,726.19 $567,616.30 11,822,511.25 Unrealized Gain( Loss Estimated Estimated Maual Income Yield Unit ROI CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(SC LTHERA e) ONi F 1551911AL Security Identifier: M BLY CUSP N51488117 20.000 00 42 5700 Security Identifier: ADVM CUSIP 00773U108 398.606.00 4.1100 Security Identifier: AKRX CUSIP. 009728106 234.206.00 27.2600 Security Identifier: BABA CUSP. 01609W102 34,056.00 41,100.00 136.300.00 444,749.00 105 7900 528,950.00 Security Identifier: AZSEY CUSIP 018805101 90.056.00 14.8300 74,150.00 Security Identifier: APO CUSP. 037612306 4.999.983.00 17.9600 4.726.299.72 Account Num tier. N46-023804 Go paperless 14,056 00 -357,506 00 •97,906.00 84,201 00 •15,906.00 •273,68328 3.059.77 4.12% 328.946 25 6.95% Page 6 of 19 Rated too-SYS L very Vs. Since 2007 DAL BAR RATIO) COMMUNCATKIHS rxenurnser SDNY_GM_00046085 OB-SDNY-0008909 EFTA_00156694 EFTA01289057 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) APPLE INC COM Dividend Option: Cash 250.000 00 of these shares are in your margin account 10128113 3 14,000.000 75.5800 09105114 124.180.000 98 9500 09105114 3 7.200.000 98 9500 09105114 3 18.620.000 98 9500 01111116 250.000.000 99 0000 Total Covered 414,000.000 Total 414,000.000 ARIAD PHARMACEUTICALS INC Dividend Option: Cash Security Identifier: AAPL CUSIP. 037833100 1.058.120 50 113.0500 12.287.615 97 113.0500 712.440 29 113.0500 1,842,449 74 113 0500 24.750,006 00 113 0500 40,650,632.50 540,850,632.50 Security Identifier: ARIA CUSP: 04033A100 02114112 '. 13 7.535.000 15 2090 114.597.40 13.6900 01124113 9,000 000 19 8000 176.400 00 13.6900 Total Noncovered 18,535.000 Total 16,535.000 ASCENA RETAIL GROUP INC COM Dividend Option Cash 290,997 40 5290,997.40 Security Identifier: ASN A CUSP 043516101 01/16101 '. 3 70.500 000 21 2770 1.500.000 00 5.5900 BASF SE SPONSADR ISM t, S0552625057 Dividend Option: Cash Security Identifier: BASFY CUSIP 055262505 04113115 5.000.000 101 6110 508,056 00 85.5500 BANK OF NEW YORK M ELLON CORP COM Dividend Option. Cash Security Identifier: OK CUSIP 064058100 06125114 250,000.000 36 3060 9.076.406 00 39 8800 BIOGEN IDEC INC COM Dividend Option: Cash Security Identifier: BBB CUSP: 09062X103 02/14/12 '. 13 2.095.000 119 5490 250.454 95 313 0300 Cost Basis Market Price U0A0 Mel I SOUTHERN LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDESITIAL Market Value 1.582.700 23 14,038.548 96 813,959 80 2.104.991 21 28.262.499 80 46,802,700.00 $46,802,700.00 103.154 15 123.210 00 228,364.15 5226,364.15 394.095.00 427,750 01 9.970.000.00 655.797 85 Statement Period: 0910112016 • 09/30/2016 Unrealized OW Loss 524,579.73 1.750.932 99 101,519.51 262,541 47 3.512.493 80 6,152,067.50 56,152,067.50 .11.443 25 -53.190 00 -64,633.25 ,564,633.25 -1.105.905 00 •80,30600 893.594.00 405.342.90 Estimated Estimated Annual Income Yield 31.920.00 2.01% 283.130.40 2.01% 16.416.00 2.01% 42,453.60 2.01% 570.000.00 2.01% 943,920.00 5943,920.00 90.00 12,163.55 2.84% 190 000 00 1.90% Pest 4019 Account Num ber. N46-023804 Go paperless tacelbrifi Event Year Slots 2007 DALOAR RATED COMMUNCATIONS EXCIILINCl SDNY_GM_00046086 DB-SDNY-0008910 EFTA_00 156695 EFTA01289058 Portfolio Holdings (continued) Date ired Quail hit Cost Cod Basis Market Price Equities (continued) Common Stocks (continued) GEN TENE CORP DEL COM Dividend Option: Cash Security Identifier: CNC CUSP 151358101 09108114 15,550.000 63 6450 989,679.75 66.9600 DISH NETWORK CORP CL A Dividend Option: Cash Security identifier: DISH CUSP: 2547011109 06110115 5,000.000 719960 364,978.00 54.7800 FACEBOOK INC CL A Dividend Option: Cash Staidly Identifier: FB CU SP. 30303M 102 05117/12 '.13 17,500.000 38.0000 665,000.0(1 128.2100 FOUNDATION MEDICINE INC COM Dividend Option: Cash Security Identifier FM I CUSP: 350/65100 01113114 25,000.000 27.5070 687,863.50 23.3500 08105114 21,830.000 232530 517.373.02 23.3500 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 1,215,036.52 $1,285,036.52 Staidly Identifier: GE CUSP: 369604103 04123113 '.13 23.080 000 21 5700 496,109.08 29 6200 GENERAL MTRS CO COM Dividend Option: Cash Security Identifier: GM CUSP. 31045V100 11118110 ' 10.988.200 36 4010 399.978.16 31.7700 12109/10 ' 86,538.800 36 8160 3,185,969.22 31.1100 Total Noncovered 91,526.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 3,585,917.38 $3,515,947.38 Security Identifier: GILD CUSP: 375558103 02105114 5,000.000 792810 396,407.00 79.1200 03107114 3,100.000 79 6120 246,79710 79.1200 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 06110/15 5,000.000 43 0010 215.006.00 43.1300 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 8 1 WT EXP Dividend Option: Cash Security Identifier: GPACU CUSP: 37954/Q01 07130/15 ' 2.000.000 10 0000 20.000.00 10.0000 ()PAII SOUTHERN ONFIDASSITIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Markel Vain Unrealized Galt( Loss Estimated Estimated Animal Income Yield 1141,228.00 273,900.00 2,244,725.00 583,750.00 579.780.50 1,183,530.50 $1,163,530.50 681,260.00 349,095.12 2,749,274.13 3,096,369.25 83,098,389.25 395.600.00 245,272.00 840,112.00 $646,112.09 215.650 00 20.000.00 51,548.25 -91,078 00 1,579,725.00 ,103,913.50 2.407.48 -101,506.12 -$181,508.12 185,150 92 -50,883.04 .436,695 09 ,487,578.13 -$187,578.13 -807.00 .1,525.00 -2,332.00 -82,332.00 644.00 0.00 $0.00 21,180.00 3.10% 16,702.06 4.78% 131,535.94 4.78% 148,238.00 $148,238.00 9.400.00 2.37% 5,828.00 2.37% 15,228.00 $15,228.00 10.922 27 5.06% Page 8 of 19 Account Num ber. N4G-023804 Go paperless taallerill (very Van Since 2007 CALMAR RAT (O COMMUNICATIONS 7XCIll7Ner SDNY_GM_00046087 OB-SDNY-0008911 EFIA_00156696 EFTA01289059 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired OeanUh UM 041 Equities (continued) Common Stocks (continued) GODADDY INC a. A Dividend Option: Cash 04101115 700.000 20 0000 MATCH GROUP INC COM Dividend Option: Cash 11118115 200.000 12 0000 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05128113'.'5 50,000.000 8 4440 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 CL A Dividend Option: Cash 07131115 400.000 14 8300 TWITTER INC CON Dividend Option: Cash 11107/13 1.500 000 26 0000 VIACOM INC NEW CL B Dividend Option: Cash 06110115 5.000.000 87 7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option: Cash 04/11115 5,000.000 50 8610 1,0097190CSF!, Oevicre RIM P.m,. Wealth Masamnan Mients Codrace 6 NA p Cost Basis Market Price Market Value Statement Period: 09/01/2016 - 09/30/2016 Unrealized Gain! Loss Estimated Estimated Annual Income Yield 0770 Security Identifier: GO DY CUSP 380237107 14,000.00 34.5300 Security Weidner: M TCH CUSP 57665R106 2,400.00 17.7900 Security Identifier: SGM 0 CUSP 800677106 422,214.00 4.6300 Security Identifier: SC CUSP. 8028311101 24,000 00 12.1600 Sea rIty Identifier: SO CUSP 852234103 1,800.00 11.6600 Security Identifier: GLBL CUSP: 8810111101 5,931.84 1.1100 Security Identifier: 11V TR CL SIP: 901841102 39.000 00 23.0500 Security Identifier: NAB CL, SIP 92553P201 338.745 00 38.1000 Security Identifier: VLKAY CUSP 928662303 254.306.00 28.9100 24371.00 3.558.00 231,500 00 12.160.00 2.332.00 1,644.00 34,575.00 190300.00 144,550.00 10,171.00 1,198.00 -190.714.00 .11,840.00 532.00 -4,287.81 -4,425.00 -148,245.00 -109.756.00 440.00 26 76% 4 000 00 2.09% 91 85 0.06% Page 9 of 19 Account Number: N40423804 F I DrgriA Go paperless e k Rabid taceliongl SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. 6(e) (very V... S1007 2007 DALBAR RATCOCOMMUNICATIONS rxenurner SDNY_GM_00046088 OB-SDNY-0008912 EFT/COOI56697 EFTA01289060 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Portfolio Holdings (continued) Dale Acquired Quantity Usk Cod Cost Basis Market Price Markel Value Unrealized Gala( Loss Estimated Estimated Annual Income Yield Equities (continued) Common Stocks (continued) W !SOON TREE INVTS INC CON Security Identifier: W ETF Dividend Option: Cash CUSIP 97717P104 03131/15 15.000.000 21.6110 324.157.50 10 2900 154.350.00 -189.807.50 4.800.00 3.10% Total Common Stocks $01,135,161.92 $74,198,437.47 $6,060,775.55 $1,682,959.69 Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Security Identifier: ALLY PRA 8.125% FREO CIRRY MATY-0211512040 CALL CUSP 361860208 ANYTIME 0 25 W130 DAYS BEGINS 02/15116 Dividend Option: Cash 02/22112 '.13 80.000.000 23 5350 t.882.773.60 25.4100 2.032.800.00 150.026 40 162.500 00 7.99% Total Preferred Stocks $1,882,773.60 $2,032,800.00 $150,026.40 $162,600.00 Total Equities $70,018,135.52 $76,229,237.47 $6,210,801.96 61,845,469.69 Unrealized Estimated Estimated Date Acquired Quality Unit Cost Cost Basis Market Price Market Value Gale/ Loss Annual Income Yield Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FO Dividend Option: Cash; Capital Gains Option: Cash 60,000.00 of these shares are in your margin account 12111/13 60,000.000 49.4350 2,966,098.50 42.9100 2,574,600.00 -391,498.50 52,840.80 2.05% Total Exchange-Traded Products $2,966,098.50 Cod Basis $2,674,600.00 Markel Value -$391,498.60 Umeallzed Gala/ Loss Atoned Mitered 652,840.80 EMImated Amoral Income Total Portfolio Holdings $104,413,799.25 $112,837,058.99 $6,458,029.64 1567,616.30 63,632,747.10 Security Identifier: OXJ CUSP 97717W851 Footnotes honcovered 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 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 tomi 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 (CRP) 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. Account bum ber N4G-023804 OBAS ROLL Go paperiess ti F I DtisrriAr r'gjs1/2-11-4.°7-- SOL TH ERN NC 1°6 Paps 10 of 19 SDNY_GM_00046089 DB-SDNY-0008913 EFTA_00156698 EFTA01289061 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Oruisre Rant Pnwair Wolin Paptageneit Pdaeals teem., 6,O‘P Statement Period: 0910112016 • 09/3012016 Cost Basis 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 bekeved 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 w ll not be permed 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. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is riot 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. 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 Desaiption Date Disposed Date Acquired Desigeatim Disposition Method! Traisaction Quantity Proceeds Cost Basis Realized Gelid Loss Long Ten ROYAL BK SCOTLAND GP 091231t6 10121112 Nononered..13 First In First Out I REDEMPTION 40,000.000 1.000,000 00 951,600.00 48,400.00 ADRREPSTG SER T PFD CPN-725% Original Cost Basis: 951.600 00 FREO DRILY PER, LI TY CALL 25 A Security Identifier: 780097113 09123116 01107113 Noncoseredsi 13 First In First Out / REDEMPTION 40.000.000 1,000,000.00 977.600.00 22,400.00 Original Cam Basis: 977.600 00 09123116 01111113 Noon:Aired " 3 First In First Out / REDEM PTION 40.000.000 1.000.000 00 995.200.00 4.800.00 Original Cosl Basis: 995,200 00 Total 120,000.000 3,000,000.00 2,921,400.00 75,600.00 09 0190CSF 00 611 Account Num be; N46023804 Go paperless SOL ck DAE TIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERM F I Pap II of 19 Rated [waft ni Every V... Sena 2007 CALMAR RAT ED COMMUNICATIONS rxesurtraer -att." " ^1 1, 1: 1.:**0.=etT's SDNY_GM_00046O90 DB-SDNY-0008914 EFTA_00 156699 EFTA01289062 Schedule of Realized Gains and Losses Current Period (continued) Date Date Clesaintioa Disposed Acquired Designation Disposition Method I Transaction Quantity Proceeds Cost Basis Realized GainILoss Long Term (continued) WASHINGTON MUT M TG S 09/23116 004-RA2 MTG PASSTHRU CTF CL C. B-1 VAR RATE 5.344% 07/25/33 Security Identifier 939335W0 12113/13 Noncovereds.1 REPYM T OF PRIk Original Cost Basis 1.439.45 1,290,000.000 1,881.17 1,439.45 441.72 Total Long Term 3,001,881.17 2,925,839.45 76,01112 Total Short and Long Term 3,001,881.17 2,925,839.45 76,041.72 Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are general/ 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.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered," 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 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 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 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 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-B 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 rename on the information provided herein for such repotting. 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 bed 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 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. 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. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ct 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 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 securely disposal, and this may be reported on the IRS Form 1099-B. Page 12 of 19 Account Number: N40.023804 Rated !molls M DOAN ROLL Go paperless Every Van' Lace 2007 SOUTHERN DL OAR R EDCOMMUNI TI CAONS HMIWfJOLN F I DriTriA rxAarturneArT CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ,.R. =amine ••••A NOR. NIAC SDNY_GM_00046091 OB-SDNY-0008915 EFIA_00156700 EFTA01289063 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Messages Onaisov Ram 0,00 Weahn Papmgenmt Mantis COMIC! 6 ,04, Statement Period: 09/01/2016 • 09/30/2016 Pursuant to the SecunDes Exchange Act of 1934, Pershing LLC (Penning), e EtNY Mellon company, provides indimdual investors with certan financial information on a semi-annual basis. Pershing's June Statement of Financid Comktion is now available. On June 30, 2016. Pershing's net capital of $2.171 billion was 12.59% of aggregate debit balances and exceeded the minimum requirements by $1.83 billion. Pershing is arso required to provide the most recent Manual information as of this statement mailing in accordance with this requirement, note that on July 31. 2016. Pershing's net capital of .52227 billion was 13.170°% of aggregate debit balances and exceeded the minimum requirement by $1.89 Neon. A copy of the June 30. 2016. Statement of Anancial Condition is available at pershingcom/Matemere_of financial concktion.hfinl. You may also request a free. panted copy by calling (888)860-8510or (201) 413-4200, option #5. 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. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. 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 0.00 000 000 0.00 -24.758406.00 -24,158,406.00 Securities Sold 000 000 000 717.689 76 000 717,689.78 Securities Deposited 000 000 000 5.185557 00 000 5,185,557.00 Total Securities $0.00 $0.00 30.00 $5,903,246.76 -824,758,406.00 -$18,865,159.21 Dividends and Interest 8315,028.11 -3179,987.49 8135,040.62 82,738,888.14 -8270,898.59 82,467,989.55 Distributions 83,000,000.00 80.00 83,000,000.00 88,005,606.35 80.00 88,005,606.35 Fees 80.00 -32.00 -32.00 80.00 -8399.00 -8399.00 Taxes Withheld 80.00 80.00 30.00 80.00 -85,558.07 -85,558.07 Cash Withdrawals 0.00 000 000 0.00 -11.891.591.92 -11.891.59192 Depoets 0.00 000 000 8,613,530.99 0.00 8,613,530.99 Total Cash 80.00 30.00 30.00 88,813,530.99 .811,891,59132 .83,278,080.93 Totals 63,316,028.11 -$179,989.49 83,135,038.62 825,261,262.24 ,836,928,853.68 .81105,601.34 Account Number N40.023804 °H^,. QO1 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN F I IDENTEA L Page 13 of 19 limed excellent L very Von Sine, 2007 DALBAR RATED COMMUNCATIONS rxenutraer SDHCGM_00046O92 DB-SDNY-0008916 EFTA_0015670 I EFTA01289064 Transactions by Type of Activity Process/ &Klement Date Activity Type Description Dividends and Interest 09121116 80AD INTEREST ADAISTM EN T CITIGRO UP INC RT SR NT PERP DEP RECPT 5.950% -90.73749 LSO 17296125 08115188 B/E DTD 08/12115 CLB RD 02/14 PD 02/15116 ADJSOURCE CODE TO DIVIDEND 09/21/16 BOND INTEREST ADJJSTM EN T CITIGRO JAC FXD RT SR NT PERP DEP RECPT 5.950% .89.25011 LSD 17296725 08115188 B/E DTD 08/12115 CLB RD 08/14 PD 08/15116 ADJSOURCE CODE PAYS DIVIDEND 09/21/16 CAR- DIVIDEND RECEIVED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 90,737.49 LSO 17296725 08115188 B/E DTD 08/12115 OLD RD 02/14 PD 02/15116 ADJSO URGE CODE TO DIVIDEND 09121116 CASH DIVIDEND RECEIVED CITIGRO UP INC FXD RT SR NT PERP DEP RECPT 5.950% 89,250.00 LSD 17296725 08115188 B/E DTD 08/12115 C113 RD 08/14 PD 08/15/16 ADJSOURCE CODE PAYS DIVIDEND 09/23/16 CASH DIVIDEND RECEIVED 97525 SH RS GENERAL MTRSCO COM RD 09/09 FO 37.059.50 LSD GM 09123116 09/23/16 FOREIGN SECURITY DIVIDEND 120000 SI- RS ROYAL BK SCOTLAND GP PLC SPON ADR 50.749.92 LSO RECEIVED REPSTG SER T PFD CPN-715% FRED 0 RTLY PEW IA TY 780097713 CALL@ 25 ANY W/30 CI NOTICE AFTR 12131112 RD 09122 PD 09/23116 09/26/16 80AD INTEREST RECEIVED 1290000 WASHINGTON ML T MTG SECS CORP 2004.1242 2,769.78 LSO 939336S20 MTG PASSTH RU CTF CL C.8-1 VAR RATE 5.344% 07125/33 WE DID 06101104 RD 08/31 PD 09125/16 09/27/16 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35,681 25 LSD 539439AG4 ADDL TIER 1 SECS MIAS L S539439AG42 7.500% 04/27188 DIE DTD 04107114 CLB RD 09126 PD 09127116 09/29/16 CASH DIVIDEND RECEIVED 8100 SH RS GILEAD SCIENCES INC RD 09/16 PD 09129/16 3.807.00 USD GILD 09/30/16 MONEY MARKET FUND DEUTSCHE GOVT CASH 1,973.17 USD INCOME RECEIVED 233993682 09/30/16 CASH DIVIDEND RECEIVED 60000 SH RS WISDOM TREE TR JAPAN HEDGED EQUITY FD 3,000 00 LSD OXJ RD 09/28 PD 09/30/16 Quantity Price Awned Interest Amount Currency Total Dividends and Interest • U.S. DOLLARS Distributions 09/23/16 SECL RITY REDEEMED ROYAL BK SCOTLAND GP RC SPON ADR REPSTG SER T .120.000.000 780097713 PFD CPN-7.25% FREO ORTLY PERP M TY CALL° 25 ANY W/30 D NOTICE AFTR 12131/12 0.00 136,040.62 3,000,000 00 LSD Total Distributions • U.S. DOLLARS 08A0 ROI I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFI DESMAL SOUTHERN LLC. 0.00 3,000,000.00 Page 14 of 19 Account Number. N4G-023804 paperless Rated tacelbrie (very Year Siva 2007 DAUM. RAID) COMMUNICATIONS rxclumes tr........'"."..14.142r...• SDNY_GM_00046O93 DB-SDNY-0008917 EFTA_00 156702 EFTA01289065 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Oruisev Mn. POWP WeatnPanagenan Peacals Owen. 6,0“) Transactions by Type of Activity Procesd Settlement Date Activity Type Statement Period: 0910112016 • 09/30/2016 Price Accrued Interest Amount Cerrency (continued) Description Quaetity Fees 09101116 FOREIGN CUSTODY FEE G4S15FP413 Fgn Safekeeping AL G 2016 MIR 04S15P.P4.8 •2.00 6S0 Total Fees • U.S. DOLLARS 0.00 -2.00 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 3,135,038.62 USD Cash Not Yet Received Security Reoxd Date Pap* Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COM 09119116 10/25/16 23,000.000 0.230000 Cash 5,290.00 VIACOM INC NEW CL B 09126116 10/03116 5.000.000 0.200000 Cash 1.000.00 Interest FRONTIER COM MUNICATIONSCORP 09130116 10/15116 3,000,000.000 0.012500 Cash 127,500.00 SR AT Total Cash Not Yet Received 3133,790.00 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 years 61010 years Over 10 years 3.603.525.00 1,839,285.00 18.607.424.03 15% 8% 77% I I Total 21,050,2303 100% DRAB 'It'll Account Number. N46.023804 Go paperless - CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I D EN NAL SOUTHERN n Percentages of bond market values are rounded to the nearest whole percentage. Page 15 of 19 Rasa tmollormi Every VAN Lace 2007 DAL OAR RATEDCOMMUNICATIONS r %Ca LINCI SDNY_GM_00046O94 DB-SDNY-0008918 EFTA_00 156703 EFTA01289066 Bond Quality Bond Duality Market Value %of Baud Market Value A 2,513,070.00 11% MI ea> 9.992.535O0 42% MI BA/Lower It 514.629.03 47% 1J Total 24,050,234.03 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAL DANIEL SABBA 345 PARK Asa IA 26Th FLOOR KEW YORK AY 10154-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IA 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: Amortize premium on taxable bonds based on Constant Yield Method: Yes Aoaual 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 corn m unications. log in to your account or contact your Client Advisor for more inform ation. 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 M 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. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. Wien the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements voll not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain third.party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The Faget6 o119 Account Number: N46-023604 Plated Excellerdi tank , 701t. Go paperless I. I very van Lace 2007 F I DIAL V:TirlakIC°C°M.AL.ICATCHS SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046O95 DB-SDNY-0008919 EFTA_OO 156704 EFTA01289067 Deutsche Bank P.O Box 1776, Baltimore, MD 212O3 Important Inform ation and Disclosures (continued) DINAM •C R4M 0•110 Wolin Mnapntat Mal4C1(eretne Statement Period: 09/01/2016 - 09/30/2016 Pricing (continued) pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 retied 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 piircipal may be included in the figures for certain securities, thereby overstating them. Refer to vn'm.pershing.comlbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The doter 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 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 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 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 sinter 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 & POOn. Reproducing and distributing any information received from Standard & Pours is not perrt*ted 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. 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FIDranAL Account Number. N46.023804 ORAN Mel Go paperless SOL THERA ttkci Page IT of 19 Rated Excellent (very v«. Sinai 2007 DALBAR RATED COMMUNICATIONS IXOFILINC, SDNY_GM_00046096 OB-SDNY-0006920 EFIA_00156705 EFTA01289068 Important Information and Disclosures (continued) Bond Quality Bond quality ratings reflect Moody's or Standard and Pocr 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 cleating agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) 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 controlbng 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 general, 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 (201) 413-3333. Al other impieties 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.corniabouUstrength-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 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; (201) 413-3330. 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 mail typically include a minority of arbitrators who were or are affiliated with the securities industry. • The riles 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 n court • The rules of the arbitration forum in which the claim is Ned, 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 US, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201) 413-3330. Page IS of 19 Account Number. N46.023804 Go paperless S0L LLC. F I DAENTIA L CONFIDENTIAL - PURSUANT TO FED. R CRIOA P. 6(e) THERA N kat.. [malls ,• (very 'In. Since 2007 CALLUM RAT CD COMMUNICATIONS rxarearrder meow ...A Wet wee SDNY_GM_00046097 OB-SDNY-00O8921 EFrA_00156706 EFTA01289069 TERMS AND CONDMONS 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 ANDADR SETTLED. OR IF APPLICABLE. OF THE FINANCLILL INDUSTRY REGULATORY AUTHORITY AND 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, 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 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 LS 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 CORENED 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 AVAILABLE FOR YOUR NSPECTION 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 TM INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAX/ISLE 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 PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHNG LLC cP8ISHING1 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 REMANNG DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEEITED 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 FFLANCIAL 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 IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PIERSHING.COMIDISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS - RULE 807(AKINEB PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKERSEALERS 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. PERSHNG REGENTS 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 EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG 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 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 W 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 MOH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS ARO CCNOITiONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFYPERS-MG GILEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTE' LEGAL DEPT Page 19019 Account Nu® Del. N4G-023804 Go paperless et* .,,,r 1latecl aztacol rReA brill N SO ts THERA CHO LI.C. J F I Drark Tx/mown CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) raw. UM mast IS /Ha. An SDNY_GM_00046098 OB-SDNY-0008922 EFIA_00156707 EFTA01289070 Deutsche Asset & Wealth Management PO Da. 1778. Behmore MD 21203 Gnaw.< Rant P,,.,,, Wealth Manama, man, Cadent 4%.4) Portfolio at a Glance Account Number: N4G-023804 Statement Period: 0810112016 - 08131/2016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 1108,025,658.08 $103,284,617.80 6100 RED HOOK QUARTER B3 Net Casa Deposits and Withdrawals 0 00 -3.278,060.93 ST THOMAS VI 00802 Net Securities InfOut of Account 0 00 5,185,557.00 Adjusted Previous Account Value 108425,658.08 105,192,113.87 Dividends, Interest and °Met Income 610.204 24 2.569,770 23 Total Taxes Withheld 000 -5.558.07 Net Other Activity -2.00 -397.00 Your client Advisor: Net Change in Portfolio 1.819.721 18 2 699.652 47 nding Account Value 3110 455 581.50 5110,455,581.50 DANIEL SABBA Accrued Interest 5471,779.72 Estim ated Annual Income $3,751,418.53 Asset Summary Prior Year-bil Lad Period This Period % Allocation 1, SD Cash. Money Funds. and Bank Deposits 26,834,143.83 5,833,979.58 6,847,946.87 6.20% USD Axed Income 20,242,233.86 20,828,719.15 20,321,496.89 18.40% on-, SD Axed Income 5,198,785.00 3,760,417.50 3386,678 75 3.43% LSD Equities 47,972,851.11 75,320,413.85 76,868,347.19 69.59% N owl, SD Equities 3.038.824.00 2.482.128.00 2.831.112.00 2.38% Account Total (Pie Chart) 1103,284,61740 1108,025,658.08 1110,456,501.50 100.00% See the Asset Summary Disclosure and Footnotes section for knpeetent information regarding your Asset Summary. OBAP ROLL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) B0101$46CSF30017 Go paperless CONFIDAMSMAL Please review your allocation perodcally wth your Silent Adviser. Page 10 19 listed Cmcolkinti t very. Yew Sera 2007 DAL SAR RA T EO COMMUMCATIONS rxesurtraer SDNY_GM_00046099 OB-SDNY-0008923 EFIA_00156708 EFTA01289071 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 08/3112016. 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 3039.76 2132.178.65 Long•Term Gain/Loss 36022 1.089.886.81 2.180.957.24 Net GalnlLoss 46012 1,092,928.57 4,313,135.89 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. 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 Activity Type Description Amount Sauce Sweep Money Market Fund DEUTSCHE GOVT CASH IN STL Current Yield. 0.31% Activity Ending. 08131116 07130/16 Opening Balance 5.833.979.58 5.833.979.58 08102/16 Deposit MONEY FM PURCHASE 93,748.00 5,927,727.58 Deposit MONEY FUND PURCHASE 403,765.05 6,331,492.63 08105/16 Deposit MONEY FUND PURCHASE 7.692.90 6,339.185.53 08/12/16 Deposit MONEY FUND PURCHASE 235.980,00 6.575.165.53 08115/16 Deposit MONEY FUNO PURCFASE 47.500.00 6.622.665.53 08116/16 Deposit MONEY FUND PURCHASE 32,411.68 6,655,077.21 08117/16 Deposit MONEY FM PURCHASE 89,250.00 6,744,327.21 08125116 Deposit MONEY FUND PURCHASE 1.200.00 6.745.527.21 08126/16 Deposit MONEY FUND PURCHASE 3.372.64 6.748.899.85 08131116 Deposit INCOME REINVEST 1,678.93 6.750.578.78 08/31(16 Closing Balance $6,750,578.78 Total All Money Market Funds $6,150,578.18 Page 2 of 19 Ottn0 401 t SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDESITIAL LLC. Account Number. N4G-023804 Go paperless Rated tacellera L very V.A. Siva 2007 DAL BAR RATED COMMUNICATIONS XCIll I. INCE SCINv_GM_00046100 DB-SDNY-0008924 EFTA_00 156709 EFTA01289072 Deutsche Asset & Wealth Management co. 802 1778. Bslarnore. WI71203 Income and Expense Summary Dividend Income Equities Money Market Other Dividends Interest Income Bond Intern' Other Interest Expenses Margin Interest Withholding Taxes Fees(Foreign Securities' Total Dividends, Interest, Income and Expenses Distributions Alternative Investments Total Olstilbutlons Portfolio Holdings Opeaing Date Cash, Money Funds, and Bank Deposits 6.00% of Portfolio Cash Balance sccco..-t Activity C4antily lumber Ending M oney M arket DEUTSCHE GOVT CASH INSTL 07130116 6,750,578.780 NIA 08131116 Total N oney U arket Total Cash, M oney Funds, and Bank Deposits Dpalsre Rota Prmair won Manes Cogent G.0.2 Curren' Period Statement Period: 08/01/2016 • Year4o-Date 08131/2016 Taxable Non Taxable Taxable Non Taxable 284,680.00 0.00 1,202,443.64 0.00 1,678.93 0.00 9,952.19 0.00 93,750.00 0.00 541,730.00 000 100,315.54 100 473,56084 0.00 32,41188 0.00 105,403.38 0.00 100 0.00 0.00 .161 10 0.00 0.00 .5.558.07 0.00 0.00 0.00 27500 - 0.00 $612,136.15 $0.00 $2,327,266.96 -1161.10 0.00 97.368.09 0 00 236.841.30 $0.00 $97,361.09 60.00 1231,841.30 Opening Bakes* Clods° Balance Accrued Income Income This Year 31.Day Yield Current Yield 0.00 5.833.979.58 97.368.09 6.750.578.78 0.00 9.952 19 0.30% 0.31% $6133,979.58 $6,750,578.71 $0.00 $9,962.19 $6,833,979.58 $6,847,946.87 $0.00 $9,962.19 Page 3 of 19 Account Number: N4G4323804 MIAN ,4011. SOUTHERN Go paperless et Rated Yaw,L facellerell (very ace 2007 LAMAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DrWriAL rxemmer SDNY_GM_00046101 OB-SDNY-0008925 EFTA_00156710 EFTA01289073 Portfolio Holdings (continued) Date Acquired Quality Umit Cost Fixed Income 22.00% of Portfolio (In Maiurity Dee Sequence) (Asset Backed Securities WASHINGTON MUT N TG SECS CORP 2004•RA2 N TG PASSTHRU CTF CL C-0.1 VAR RATE 6.488% 07/25/33 WE DID 06/01/04 S d P Rating 0 Factor: 0.48206410 Effective Date:08101/16 Current Face Value: 621.862 689 12/13113 1,290,000.000 76.5190 Adjusted Cod Basis Market Price Market Value Unrealized GainI Loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 939338520 475,840.68 84.7320 Onginal Cod Be $638.906.71 526.916 69 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 621,862.689 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321A98 8 875% 05/15/19 BIE DTD 05/17/11 CALLABLE 09/30/16 S d P Rating CCU 10123112'.3.I2 351.000.000 102 3850 FRONTIER CON RUNIC:MONSCORP SR k T 8.500% 04115120 BIE DTD 04112110 1ST CPA DIE 10/15/10 Moody Rating BA3 S P Rating BB- 07/06/15 3,000,000.000 104 5040 LLOYDS TSB BK PLC EURO ISSUE II EDIUM TERM NOTESISMS XS0717735822 9.875% 12/16/21 REG DTD 12/16111 Moody Rating Baal S P Rating BBB 12/04113 '•3.12 1,500,000.000 106 2250 BARCLAYS 8K PLC CONTINGENT CAP NT ISA 81,936739R- K03 7.750% 04/10/23 BIE DTD 04/10/13 CALLABLE 0010/18 S 6 P Rating B134 04103/13 %UM 300.000.000 100 0000 JPM ORGAN CHASE & CO DEP SHS REPSTG 1110Th Ff0 SER 1 FIXED TO R.TG RT BD 7.900% 04/29/49 WE DID 04/23108 Moody Rating BAA3 S P Rating BBB- 06/15/11 ..3.I2 2,500,000.000 107 5000 1,8A0 ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) THERN LLC. ONFI DESTTIAL SOU 1476,840.68 Security Identifier: 270321AC6 359.372.24 102.5000 Original Cosl Basis: 5362.407.50 Security Identifier: 35908AAH1 3.135.132.59 107.8750 Onginal Cost Basis 53.171.006.00 Security Identifier: GISISPPRI 1,593,371.76 102.3170 Opal Cost Basis: 51.627.500.00 Security Identifier: 06738FHKO 300.000.00 106.0000 Opal Cosi Basis: $300,000.00 Security Identifier: 46625HHA1 2,687,500.00 103.7500 8526,918.69 359.775 00 3,236.250 00 1.534.75500 318,000 00 2,593,150.00 Account Num ber. N40-023804 Go paperiess 51,076.01 3.362.53 $51,078.01 $3,362.83 60.00 402.76 9.172.31 31.151.25 8.65% 101.11781 96,333.33 255,000.00 7.87% .58,616.76 104,510.42 148,125.00 9.65% 18.000 00 9.106.25 23.250.00 7.31% .93,150.00 65,833.38 191,500.00 7.61% Page 4 of 19 Rat.. Excellone Ency V... Since 2'007 DAL BAR RATED COMMUNICATIONS rxesturnaer SONYOM_00046102 DB-SDNY-0008926 EFTA_00 [5671 I EFTA01289074 Deutsche Asset & Wealth Management Oat 1770, Balamore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Umft Cat Fixed Income (continued) Corporate Bonds (continued) RAI ORGAN CHASE & CO DEP SHS REPSTG (contended) 06115111 '.3.12 2,500,000 000 107.0000 Total Noncovered 5,000,000.008 Total 6,000,000.000 BANK AMER CORP PERP NON COM ULATIVE DEP SFS FIXED TO FLOAT 8.125% 0/130158 B/E DTD 0/130108 CALLABLE 05/15/18 Moody Rating BA2 St P Rating BB+ 01110111 *Art 2,000,000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01/17/62 BOE DTD 01/11112 CALLABLE02/01122 (8 100.000 Moody Riling BM1 St P Rating BBB- 01/30112 t 3.12 3.000.000 000 99.8170 GENERAL ELEC CO GTD FXD-TO-FLTG RT NO N•CL M ULATIVE PERPETta AL FREFERRED 1.000% 12/03/85 RE-G DTD 12/03/15 Moody Rating A3 S & PRating M- 12/03115 ' 2.469.000 000 88 0930 11.LOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISINIUS539439AG42 7.500% 04127/88 B/E DTD 04107/14 S & P Rating BB- Pease Provide • 1.903.000 000 OBAkl ROLL NIA DraKey Ram Powr Wn h LL_,,. — Minns COdel Statement Period: 0810112016 • 08/31/2016 Muted OW Bads Market Price Markel Valve Unrealized Glid Loss Accrued Interest Estimated Estimated Annual Income Yield Original Cost Bass: $2,687,500.00 2,615,000 00 103.7500 Original Cost Basis: 12.675.000.00 5,382,500.00 $5,362,500.00 2,593,750.00 5,187,600.00 15,187,500.00 -81,25000 ,175,000.00 .1175,000.00 65,833.33 131,686.67 1131,666.67 197 500 00 395,000.00 1395,000.00 7.61% Security Identifier: 060505978 2.055.000 00 102.9850 2.059,700 00 4.700 00 47.847 22 162 500 00 7.88% Original Cost Basis: $2,055,000.00 Security Identifier: 842100FU2 2.995.401 53 112 2080 3.366.240 00 370.838 47 15.625.00 187 500 00 5.57% 0 nginal Cost Basis: 52,992,564.97 Security Identifier: 369604BM 4 2,175,016.17 102.5000 2,530,725.00 355,708.83 20,819.33 98.760 00 3.90% Original Cost Bass: 52,175,016.17 Security Identifier: 539439AG4 Please Provide 101 6250 1,933,923.75 N/A 25,373.33 142,725 00 7.38% 0 nginal Cost Basis. Please Provide Page 5 of 19 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTEAL Account Number. N416.023804 Go paperless SOUTHERN tet5 Rasa Emcollenil Every year Since 2007 DAL BAR RAT CD COMMUNCATIONS rxesturmer GCNY_GM_00046103 DB-SDNY-0008927 EFTA_00 1567 12 EFTA01289075 Portfolio Holdings (continued) Date Acquired Gustily Ugh Cod Fixed I n CO me (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08715188 WE DID 08112115 CALLABLE 08/15120 0 100 000 Moody Rating BA2 38 P Rating Bliz 08106115 3.000.000.000 100.0000 Total Corporate Bonds 22,523,000.000 Adjusted Cost Basis Market Price Security Identifier: 17296725 3.000.005.00 101.8130 Original Cost Basis: 53.000.006.00 $20,975,500.29 Markel Vain 3,054,390.00 823,581,258.75 Unrealized Gain/ Lou 54,384.00 Accrued Interest 7,933.33 Estimated Estimated Annual Income Yield 178,500.00 5.84% $671,634.71 8468,417.19 81,822,511.26 Total Fixed Income Date ired 23,813,000.000 QUAlitii Unit Cod Equities 70.00% of Portfolio Common Stocks M OBILEYE NV AM STEWEEN ORD SHS ISKONL0010831061 Dividend Option: Cash 08101114 800.000 25 0000 ADVERUN BIOTECHNOLOGIES INC COM Dividend Option: Cash 10,000.00 of these shares are in your margin account 04120/15 10,000.000 39.8610 AKOFtli INC COM Dividend Option: Cash 06110115 5.000.000 46.8410 MAMBA GROUP BLDG LTD SPONSORED ADS ISMSUS01609W1027 Dividend Option: Cash 06110115 5,000.000 88 9500 ALUANZ SE PONS MIR REPSTG 1110 SHS Dividend Option: Cash 04113115 5,000.000 18 0110 APOLLO GLOBAL MGM T LLC CL A SHS Dividend Option: Cash 03129111 '. 13 263,157.000 19 0000 OBAI1 ROI 621,451,840.97 Cod Bads Market Price Security Identifier: M BLY CL SP K51488117 20.000.00 48.8900 Security Identifier: ADVM CUSIP. 00773U108 398.606.00 3.5800 Security Identifier: AKRX CUSP. 009728106 234,206.00 26.9200 Security Identifier: BABA CUSP: 01809W102 414,749.00 97.1900 Security Identifier: AZSEY CUSP:018805101 90,056.00 14.8400 Security Identifier: APO CUSP. 037612306 4,999,983.00 18.6200 $24,108,175.14 Market Value 8722,810.72 8471,779.72 81,622,511.25 Uareallzed Golf Loss Estimated Estimated Animal Income Yield 39.112 00 35.800.00 134,600.00 185,950.00 71,200.00 4,899,981.34 Account Number: N4G423804 CiO paperless L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(eSO) THERN vE Nvl IN F I DrarTAL 19.112 00 362.806 00 -99.606.00 11,201 00 •15,856.00 •99.999.66 3,059.77 4.12% 328,946.25 6.71% Page 6 of 19 Rated tocelleS (very Year Woes 2007 0AL0All MTEO COMMUNICATIONS rxacturner -LAC mamas v 0110.A rent. wet SDNY_GM_00046104 OB-SDNY-0008928 EFTA_OOI 56713 EFTA01289076 Deutsche Asset & Wealth Management Desist...ma Prsair wean wary.. P.O. Elm 1778, Babimore, MO21203 Portfolio Holdings (continued) Dale Acquired Wag Vail Cod Equities (continued) Common Stocks (continued) APPLE INC COM Dividend Option: Cash 250.00000 of these shares ate in your margin account 10128113 3 14,000.000 09105114 124.180.000 09105114 3 7.200.000 09105114 3 18.620.000 01111116 250.000.000 Total Covered 414,000.000 Total 411,000.000 ARIAD PHARMACEUTICALS INC Dividend Option: Cash 75.5800 98 9500 98 9500 98 9500 99 0000 1.058.120 50 106.1000 12.287.615 97 106.1000 712140.29 106.1000 1.842.449 71 106 1000 24.750,006 00 106 1000 40,650,632.50 140,650,632.50 Seairlty Identifier: ARIA CUSP 01033A100 02114112'.33 7.535.000 15 2090 114.597.40 10.3400 01/21113 '.33 9.000 000 19 6000 176,400.00 10.3400 Total Noncovered 16,636.000 Total 16,636.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 290,997 40 9290,997.40 Security Identifier: ASNA CUSP 043516101 01/16101 '.3 70.500 000 21 2770 1.500.000 00 8.1400 BASF SE SPONSADR IMOU60552625057 Dividend Option: Cash Security Identifier: BASFY CLSIP 055262505 04113115 5.000 000 101 6110 508,056.00 81.1150 BANK OF NEW YORK M ELLON CORP COM Dividend Option. Cash Security Identifier: OK CUSP. 064058100 06125114 250.000.000 36 3060 9.076.406 00 41.6700 BIOGEN IDEC INC COM Dividend Option: Cash Security Identifier: BNB CUSP. 09062X103 02114112'.13 2.095.000 119.5490 250.454 95 305.6300 Cost Basis Market Price Security Identifier: AAPL CUSIP 037833100 ORM, ROLL CONFIDENTIAL - PURSUANT TO FED. R CRI9,1. P. 6(e) TM LI.C. ONi F 1551911AL SOU Market Value 1,485.400 21 13,175.497 96 763,919 81 1.975.582 20 26.521.999 82 43,926,400.00 $43,925,400.00 77.911 90 93.060 00 170,971.90 6170,971.90 573,870.00 405,575 01 10.417.500 00 640,294 85 Statement Period: 0810112016 • 0813112016 Unrealized Wind Loss 427.279,71 087.881.99 51,479 52 133.132 46 1,774,993 82 3,214,767.50 13,274,767.60 •36.685.50 43.340 00 -120,025.50 -$120,026.50 -920.130.00 .102.481.00 1,341.094 00 389.839 90 Estimated Estimated Annual Income Yield 31.920.00 2.14% 283.130.40 2.14% 16,416.00 2.14% 42.453 60 2.14% 570,000.00 2.14% 943,920.00 $943,920.00 60.00 12,163.55 2.99% 190.000.00 1.82% Page? of 19 Account Num ber. N46-023804 Go paperless kat.. taceels L eery Yes. Slate 2007 DAL BAR RATED COMMUNCATIONS rxesumes SDNY_GM_00046105 OB-SDNY-0008929 EFIA_00 1 567 14 EFTA01289077 Portfolio Holdings (continued) Date ired Quiet Wit Cod Equities (continued) Common Stocks (continued) GEN TENE CORP DEL COM Dividend Option: Cash 09108114 15,550.000 63.6450 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 5,000.000 721900 FACEBOOK INC CL A Dividend Option: Cash 05111112 'A 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 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113 '.13 GENERAL MTRS CO COM Dividend Option: Cash 11118/10 ' 12/09110 ' Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02/05114 03107/14 Total Covered Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 06110/15 5.000.000 13.0010 GLOBAL PARTNER ACQUISITION CORP L A IT 1 CON 8 1 WT EXP Dividend Option: Cash 07130115 ' 2.000.000 100000 Cod Basis Markel Price Market Value Unrealized Gain! Lon Estimated Estimated Annual Income Yield Security Meaner: CNC CUSP 151358101 989.679.75 68.2900 Security Identifier: DISH CUSP: 2547011109 364,978.00 50.2300 Security Identifier: FB CUSP. 3030311102 665,000.00 126.1200 Security Identifier: FM I CUSP: 350465100 27.5070 687,883.50 20.5200 232530 577.373.02 20.5200 1005,03812 23.000 000 21 5700 10.988.200 86,536.800 97,626.000 36 1010 16 8160 5,000.000 792810 3,100.000 79.6120 8,100.000 396,407.00 246.797.00 643,204.00 $1,286,03812 Security Identifier: GE CUSP: 369604103 496,109.08 312400 Security Identifier: GM CUSP: 3704511100 399.978.16 31.9200 3,185,969.22 31.9200 3016047.38 $3,686,947.38 Security Identifier: GILD CUSP: 375558103 78.3800 78.3800 1.061 909 50 251.150 00 2,207,100.00 513,000.00 509,511.60 1,022,511.60 $1,022,611.80 718,520 00 350,743.35 2,782,254.65 3,112,998.00 13,112,998.00 391100.00 242,978.00 034,810.00 72.229 75 -113,828 00 1,542,100 00 .174,663 50 -67,86142 -242,524.92 -$242024.92 22241092 -49.234 81 423314 57 ,472,949.38 -$472,949.38 -4.507.00 -3,819.00 -8,326.00 40325.00 $0.00 21.180.00 2.94% 16,702.06 4.76% 131,535.91 4.76% 148,238.00 $148,238.00 9.400.00 2.39% 5,828.00 2.39% 16,228.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1643,204.00 Security Identifier: GSK CUSP: 37733W105 215,006.00 43.4600 &faulty Identifier: GPACU CUSP 37954X204 20,00000 10.1500 $834,878.00 217,300.00 20,300.00 2,294.00 300.00 $16,228.00 10,922.27 5.02% Page 8 of 19 Account Number: N4G423804 SOUTHERN GO paperless Rated [manor. Even! Van Sine. 2007 F I DAL1SITIA DALBAR RATED COMMUNWOONS rxesurner elrektrrS -C.13=01W".". 1= /swot= ••••••• Mak won0C SDNY_GM_00046106 OB-SDNY-0008930 EFrA_00 156715 EFTA01289078 Deutsche Asset & Wealth Management Drulm Ram Pr.,. ~MP. Mairtat P.O. Box 1778, &Almon% M021203 Portfolio Holdings (continued) Date Acquired QeanUh Ual1 Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) GODADDY INC CL A Dividend Option: Cask Security Identifier: GD DV CUSP. 380237107 04101115 700.000 20 0000 14.000.00 32.3800 MATCH GROUP INC COM Dividend Option: Cash Stonily Identifier: M TCH CUSIP 57665R106 11/18115 200.000 12 0000 2.460.00 16.1900 SANGAM 0 BIOSCIEN CES IN C COM Dividend Option: Cash Sanity Identifier: SGM 0 CUSP 800677106 05128113 ..13 50,000.000 8.1140 122214.00 4.2900 SANTANDER CONSUMER USA HLDGS INC CON Dividend Option: Cash Security Identifier: SC CUSP 802831101 01123114 1.000.000 24 0000 24.000 00 12.5800 SQUARE INC CL A Dividend Option: Cash Security Identifier: 5Q CUSP. 852234103 1119115 200.000 9.0000 1.800.00 12.1900 TERRAFORM GLOBAL INC CL A Dividend Option: Cad' Sanity Identifier: GLBL CUSP 881041101 07131115 400.000 14 8300 5,931.81 3.6200 TWITTER INC COM Dividend Option: Cash Security Identifier: TW TR CL SIP. 901841102 11107113 1,500.000 26 0000 39.000 00 19.2100 VIACOM INC NEW CL 13 Dividend Option: Cash Security Identifier VMS CUSIP. 92553P201 06110115 5.000.000 67.7490 338.745.00 40.3400 VOLKSWAGEN A G ADR (SPON Si Dividend Option: Cash Security Identifier: VLKAY CUSP 928662303 04113115 5.000.000 I CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6S[er HERk M FIDESMAL 50 8610 254.306.00 29.0100 Market Value Statement Period:08/01/2016 - 08/3112016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 22.666.00 3.218.00 211,500.00 12.580.00 2.418.00 1,146.00 28.815.00 201200.00 145.050.00 Account Nu® Der. N4G-023804 Go paperless 8.666.00 838.00 -207,714.00 -11,420.00 638.00 -4,183.84 -10,18500 -137.045.00 -109.256.00 440 00 30 31% 8.000.00 3.96% 91 85 0.06% Page 9 of 19 Rated taalladi ',ay V.. 5~ 2'007 DAL BAR RATED COMMUNCA 'DONS rxerarNer SDNY_GM_00046107 DB-SDNY-0008931 EFIA_00156716 EFTA01289079 Portfolio Holdings (continued) Dale tied Ousel Unit Cost Equities (continued) Common Stooks (continued) W !SOON TREE IN YTS INC COM Dividend Option: Cash 03131115 15.00Q000 21.6110 Total Common Stocks Prelerred Stodts (Listed by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN- 8.125% FRED WIRY MATY-0211512040 CALL ANYTIME 0 25 W130 DAYS BEGINS 02/15116 Dividend Option: Cash 02122112'.53 80.000.000 23.5350 ROYAL BK SCOTLAND GP PLC VON ADR REPSTG SER T PFD CPN-7.25% FRED ORTLY PERP M TY CALLO 25 ANY W130 D NOTICE AFTR 12/31/12 Dividend Option: Cash Security Identifier: RBS PRTCL CUSP 780097713 10124112'.13 40.000.000 23.7900 951.600.00 25.3900 01107/13 '.13 40,000.000 24.4400 977,600.00 25.3900 01114113'.13 40.000.000 24.8800 995.200.00 25.3900 Total Noncovered 120,000.000 2 924 400 00 Total 120,000.000 $2,924,400.00 Total Preferred Rocks 24,601,173.60 Total Equities $72,942,835.52 Date Acquired Quantity Unit Cost Cost Basis Market Price Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY ED Dividend Option. Cash; Capital Gains Option: Cash 60,00000 of these shares are in your margin account 12111/13 60,000.000 49.4350 Total Exchange-Traded Products Cost Basis Market Price Markel Value Unrealized Gala( Loss Estimated Estimated Annual Income Yield Security Identifier: W ETF CUSP: 97717P104 324.157.50 10.5000 $11,135,161.92 Security Identifier: ALLY PRA CUSP 361860208 1,882,773.60 25.2800 157.500.00 $71,839,859.19 2.020 800 00 1.015.599.99 1,015,599.99 1,015,600.02 3,046,000.00 23,046,800.00 $5,067,600.00 276,907,459.19 Market Value Security Identifier: DXJ CUSP. 91717W851 2,966,098.50 43.2000 2,592,000.00 •166,657.50 4.800.00 3.04% 83,704,197.27 $1,686,969.69 138,028.40 162,500.00 8.04% 63,999.99 72,500.00 7.13% 37,999.99 72,500.00 1.13% 20.400.02 72,500 00 7.13% 122,400.00 217,600.00 $122,400.00 $217,600.00 $280,426.40 $380,000.00 $3,964,623.87 $2,066,969.89 Unrealized Estimated Estimated Gala/ Loss Annual Income Yield -374,098.50 51,983.40 2.00% $2,966,090.50 Cod Basis 92,592,000.00 Markel Value -$374,098.50 Unrealized Gain! Los $51,963.40 Acaued Estimated Interest /need Income Total Portfolio Holdings 1104.208.521.86 $110,465,581.60 $4,313,135.89 $471.779.72 23,751,416.63 Footnotes ' koncovered under the cost basis rules as defined below. DOLE ROlt SCUTHERA CO LUC. F I DAMSMAL N CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) Page 10 of 19 Account Number. N46.023804 GO paperless Rated tacellonil [very V.., Since 2007 DAL BAR RATED COMMUNICATIONS rxemuser nh. •-• SDNY_GM_00046108 OB-SDNY-0008932 EFTA_00156717 EFTA01289080 Deutsche Asset & Wealth Management PO. Lica 1778. Sallimore. MO21203 Portfolio Holdings (continued) Dralsev Ram Pon. Wealth Manarrat Vinel% Cpevar faro. Statement Period: 0810112016 • 08/31/2016 Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth n the Internal Revenue Code of 1966, as amended ("IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "nonoovered.' under the new cost basis reporting rules. and marked or denoted as such. Mother securities in this section are securities %filch are 'covered under the new cost basis repotting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as non-retlement, US taxpayers securities which have been acquired on or after their 'applicable date(sr at *filch 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. Repotting 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; fowl 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 invoMng 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. g 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. Is 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 11 of 19 Account Number R46423804 ORAlt ROLL SOL THERk F I DriTriA Go paperless [manor. (very yea. since 2907 DALBAR RATED COMMUNCATIONS rxemiNcr CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) SDNY_GM_00046109 OB-SDNY-0008933 EFIA_001 56718 EFTA01289081 Schedule of Realized Gains and Losses Current Period Date Description Disposed Date Acquired Designation Disposition Method 1 Transaction' Deaetily Proceeds Cost Bads Realized Gale/ Loss Long Term EARTHLINK INC GTD SR owl 10122/12 loncoveredt•I First In First Out l REDEMPTION 148000.000 149,239.74 149,576.30 -336.56 EXCHANGED CUSP FROM 270321AB8 8175% 05115119 WE ()TO 0511 Original Cost Basil 151,110.00 Security Identifier: 270321AC6 08104116 10123/12 Noncovered" First In First Out / REDEMPTION 249,000.000 254,525.31 254888.04 •462.73 Original Cost Basic 257,092.50 Total 395,000.000 403,765 05 404,564.34 -799.29 WASHINGTON MUT MTG S 08124116 12113113 Noncovered" REPYM T OF PRIA 1,290800.000 1,869.86 1,430.81 439.07 (104•RA2 MTG PASSTHRU CTF CL EA1 VAR RATE 8.488% 07125133 Security Identifier: 939338820 Original Cast Basis 1 430 81 Total Long Term 405,634.93 405,995.15 -360.22 Total Short and Long Term 405,634.93 405,995.15 460.22 • 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 non-talisman,. 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 vnll 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 1099-B 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 requied 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 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 rekance on the information provided herein for such reporting. Page 12 of 19 ORAR ROLL Account Number: N4G•023804 Go paperless t t Raced !wailer. F I DrErriAL SOL THERA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Lye., V.A. W. 2007 OAL OAR RR TED COMINIUMCATIONS rxesurner :::::---70.1=1.5.1A...=" 4 SDNY_GM_00046110 DB-SDNY-0008934 EFTA_00156719 EFTA01289082 Deutsche Asset & Wealth Management PO Do.. 1778.B01mm. MD 21203 Devisee Rant 0,0. Weahn Papmgenmt Peals Coerce 6,0“) Statement Period: 0810112016 • 08/31/2016 Schedule of Realized Gains and Losses Current Period (continued) 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. I The cost basis of this security has been provided to us by you or your introducing Arm and Pershing makes no representation as to the accuracy of this information. 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 $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 products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 106-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform 011/40 'Rat Account Number N46.023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I Dant EAL SOLTHERA tt z.„ Page 13 of 19 kilted taallonil (very Vs. Lea 2007 DAL BAR RATED 00MMUNCATIONS rxammer ralltrn•• •=1 .4.9.4" ,••••• OW Mae SDNY_GM_00046111 DB-SDNY-0008935 EFTA 00156720 EFTA01289083 Activity Summary (All amounts shaven are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Ytar-to-Date Net Year-to-Date Securities Securities Bought 0 00 0 00 0 00 0.00 .24.758.406 00 .24.758.406 00 Securities Sold 000 000 000 717 689 76 000 717,68936 Securities DepoUted 0 00 0 00 0 00 5,185 557.00 0 00 5,185157.00 Total Securities $0.00 $0.00 $0.00 65,903,248.78 .$14,756,406.00 ,618,855,159.24 Dividends and Interest $511,836.15 $0.00 $512,838.15 $2,423,840.03 -$90,911.10 $2,332,928.93 Distributions $501,133.14 $0.00 $501,133.14 $5,005,606.35 $0.00 $5,005,606.35 Fees $0.00 -$2.00 -$2.00 $0.00 -$397.00 .$397.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07 Cash Withdrawals 000 000 000 0.00 -11,891,591.92 -11,891,59192 Deposits 0 00 0 00 0 00 8.613 530 99 0.00 8 613 530 99 Total Cash $0.00 $0.00 $0.00 $8,613,530.99 -$11,891,591.92 -$3,278,060.93 Totals $1,013,969.29 -$2.00 $1,013,967.29 $21,946,224.13 -$36,746,864.09 -$14,800,639.96 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Maud Interest Mount Currency Dividends and Interest 08/01/16 CAST DIVIDEND RECEIVED SOUTHERN CALIF EDISON CO PREF SER E 6.250% 93,750.00 LSO 842400FU2 01117162 B/E DTD 01117/12 CLB RD 07/29 PD 08/01116 DIY PAID AT 31.25 3000000 08/04/16 BOND INTEREST RECEIVED EARTHLINK INC GTD SR NT FULLY EXCFANGED OAP 7.692 90 LSO 270321AC6 FROM 27032988 8 875% 05115119 BIE DTD 05117111 CLB ACCRUED INTEREST 08/11/16 CAS" DIVIDEND RECEIVED 164000 SF RS APPLE INC COM RD 08/08 PD 08/11/16 93.48010 LSD AAFL 08/11/16 CASH DIVIDEND RECEIVED 250000 SF RS APPLE INC COM RD 08/08 PD 08/11/16 142,500 00 LSD AAFL 08/12/16 CAST DIVIDEND RECEIVED 250000 SF RS BANK OF NEW YORK MELLON CO RP COM 47.500.00 LSD 8K RD 08/02 PD 08112116 08/15/16 BOND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR PFD SECS SER 2 CP/i- 32,411.68 LSO ALLY PM 8.125% FRED ORTLY MATY-02/15/2040 CALL ANYTIME .25 W/30 DAYS BEGINS 02/15/16 RD 08/12 FO 08/15/16 Page 14 0119 007.7 Rol CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERN LLC. ON FIDENTIAL SOU Account Number. N40-023804 Go paperless Itatad tacellone L very Va. Since 2007 DAL BAR RATED COMPAUNCA TIONS rxerurnses SDNY_GM_00046112 DB-SDNY-0008936 EFTA_OO156721 EFTA01289084 Deutsche Asset & Wealth Management P.O. Oa 1778, Babimore, MO 21203 Transactions by Type of Activity (continued) Process/ Settlement Date Achy Dewiotion 0ruicev Mn, km]. rosin sa.....enen Manes Costae/ Gto..p Oust Statement Period: 0 8/01/2016 • 08/31/201 6 Price Accrued Interest Amami Carrel Dividends and interest (continued) 08116116 BONO INTEREST RECEIVED 17216725 08124116 CASH DIVIDEND RECEIVED WETF 08125116 BONO INTEREST RECEIVED 939336820 08131116 MONEY MARKET FUND INCOME RECEIVED 233993682 3000000 CITIGROL,P INC FXD RT SR AT PERP DEP RECPT 5.950% 08115188 BIE OTO 08112115 CLB RD 08114 FO 08/15116 15000 SliRS WISDOM TREE INVTS INC COM RD 08110 PO 08124/16 1290000 WASHINGTON M LT MTG SECS CORR 2004.RA2 MTG PASSTFRU CTF CL C-Ell VAR RATE 6.488% 07/25133 WE DTO 06101104 RD 07/29 PD 08125116 DEUTSCHE GOVT CASh 89.250 00 1.200.00 3,372.64 1.678.93 LiS0 USO USO USO Total Dividends and interest - U.S. DOLLARS Distributions 08104116 SECI.4F1TY REDEEMED 27032 tAC6 08131116 PARTHERSF IP DISTRIBUTION APO EARTH LINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321A88 8.875% 05115/19 WE DM 05/17111 CLB CALLED BY LOTTERY 263157 SFRS APOLLO GLOBAL IIGMT LLC CI. A SHS RD 08122 PD 08/31/16 -395,000.000 0.00 512,836.15 403.765 05 97.368 09 USD USO Total Distributions • U.S. DOLLARS Fees 08101116 FOREIGN CUSTODY FEE GIS15F1,48 Fgn Safekeeping IL 2016 CUSP: G4S15P-P4.8 0.00 501,133.14 -2.00 USO Total Fees - U.S. DOLLARS 0.00 -2.00 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 1,013,967.29 USD 11[114. 4011. Account Number. N4G-023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERN LI.C. ON FIDENTIAL SOU Page 15 of 19 Rigid excellent (very Von Lace 2O07 DAUM. RATED COMMUNICATIOIG excrumer SDNY_GM_00046113 DB-SDNY-0008937 EFTA_DO 156722 EFTA01289085 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 years 6 to 10 years 3,596,025.00 1,852,755.00 15% Fl Percentages of bond market values are rounded to the nearest whole percentage. Over 10 years 18,659.395.44 TT% Total 24,101,115.44 100% Bond Quality Bond Quality Market Valve % of Bond Market Value A 2,530,725.00 10% • BAA 10.088.495.00 42% BNlower 11.488.955.44 48% Total 24,108,115.44 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 28111 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 Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Am oroze premium on tumble bonds based on Constant Yield Method: Yes Aocrual 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 con m unicstions. log in to your account or contact your Client Advisor for more inform don. URA ROLL Account Number. N46023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOUTHERN ttt, Page 18 of 19 0.114.14 Guano Bray Sento 2'007 DAL BAR RAT CD COMMUMCATIONS rxenmser SDNY_GM_00046114 DB-SDNY-0008938 EFTA_00156723 EFTA01289086 Deutsche Asset & Wealth Management PO. Boa 1776, Balmy*, ?JD 21203 Important Inform ation and Disclosures Dralsev Ram Pon. Wean Ma rem 'Vali Sete .12 e seLle Statement Period: 0810112016 • 08/31/2016 Pricing This section inckrdes 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 "NIA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pr cing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing MP be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and WA will be placed in the price field in the statement. The pricing of ksted options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are no 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 retied 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 %vim. pershing.comibusiness_continuityhtml 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 disthbutions, 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 lbw. 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 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 Page17 of 19 Account Num be; N4G-023804 Rawl fawner/I • von Go paperless tnny—sm- 2007 SO L THERA CT , N F I DAENTIAL LLC. DALBAR INTCDCOMMUMGTIONS exogamic, CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Ss= SDNY_GM_00046115 OB-SDNY-0008939 EFrA_00156724 EFTA01289087 Important Information and Disclosures (continued) Foreign Currency Transactions (continued) rate may differ from rates in effect on the date you executea a transaction. incuffed 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 & 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 & 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. 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 (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 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department 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: www.pershing.comfaboutrstrength-ancl-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 couit, 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 knifed. • 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 veil typically nclude 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. Page IS of 19 17(•1, ROI Account Number. N4G-023804 Go paperless O LW. F I DranAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN C NJ Rated tacellsna Every '77.7. Since 2007 DAL BAR RA TED COMMUNCATIONS 7XCILLINCI .•••••••Y6 --••••••Ainins•c SDNY_GM_00046116 OB-SDNY-0008940 EFIA_00 156725 EFTA01289088 Deutsche Asset & Wealth Management PO &a 1778. Ballimore. MA 21203 Important Information and Disclosures (continued) GeRlsoe Rana Pr.. *man Paptagenmt Manes Leone OoLP MAUI las Settents Lic lire Ran Mt* JO Pant Ammo. 16% Res leek 1,tt ICOR IM)04.71114. OM) 7./.4,91, Statement Period: 0810112016 • 0813112016 Important Arbitration Agreement Any cortroversy 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 shat 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; Page 19 of 19 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL Account Number. N46.023804 OSALI ROLL Go paperless SOL THERA co RAMO taallefill (very Year Woes 2007 DALOAR RATED COMMUNICATIONS rxarturner oar.Ltron'TZTTL=.' "',"nr. SDNY_GM_00046117 DB-SDNY-0008941 EFTA 00156726 EFTA01289089 Deutsche Asset & Wealth Management dNM•eM •POT. P.O. Box 1778, Bahimore, MD 21203 Portfolio at a Glance Account Number: N40-023804 Statement Period: 07/01/2016 -07131/2016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 1102,140162.70 1103,284,61710 6100 RED HOOK QUARTER B3 h. el Cash Deposits and Withdrawals 0 00 -3.278,060.93 ST THOMAS VI 00802 het Securities InfOut of Account 0 00 1185,557.00 Adjusted Previous Account Value 102,140,662.70 105,192,113.67 Dividends, Interest and Other Income 14.488 18 1.959,565 99 Total Taxes Withheld 0 00 -5,558.07 Net Other Activity -27.00 -395.00 Your Client Advisor: Net Chaste in Portfolio 5.870134 20 879.931 29 DANIEL SABBA nding Account Value 3108 025 658 08 3108 025 658 08 Accitied Interest $526,78314 Eshm ated Annual Income 13,797.95130 Asset Summary Prior Year-Ead Last Period This Period % Allocation l, S0 Cash. Money Funds. and Bank Deposits 26,834,143.83 5,819,518.40 5,833,979.58 5.40% LSD Fixed Income 20,242,233.86 20,267,226.90 20,828,719.15 19.10% non-LSD Fixed Income 5,196,765.00 3,717,482.50 1760,417.50 - 3.48% LSD Equities 47,972,851.11 69,972,722.90 75,320,413.85 69.72% 1 Non•DSO Equities 3.038.624.00 2.363.712.00 2.482.121.00 2.30% Account Total (Pie Chart) $103,284,617.80 $102,140,662.70 $101026,658.01 100.00% See the Asset Summary Disclosure and Footnotes sea*, for important irtormation regarding your Asset Summary. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) S009 93 SISCSP 3 0011 GO pal)erless CON FIDAENTEAL Please review your allocation perodicarty wth your Clent Advscr. Pap 1 or 18 Ram. tmelleM t very Yew Siva 2007 DAUM. RAT CO COMMUNICATIONS exclaimer ol a rlamb alterreit=totraiNniNIMISO SDNY_GM_00046118 OB-SDNY-OOO8942 EFDL00156727 EFTA01289090 Asset Summary Disclosure and Footnotes A9 values are displayed in U.S. dollars based on interbank exchange rates as of 0713112016. 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 3039 76 1.643.603 31 Long-Term Gain/Loss 459.53 1,090,247.03 879.355.31 Net Gainiloss 169.63 1,093,21639 2,522,90.62 This summary excludes transactions where cost basis information is rot available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. 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 Activity Type Desalptioe Amount Mare Sweep Money Market Fund DEUTSCHE GOVT CASH IN SR Current Yield: 0.30% Activity Ending: 07129116 07101/16 Opening Baena 5,765,051.55 5,765,051.55 07/01/18 Deposit MONEY FUND PURCHASE 54,486.85 5,819,518.40 07/05116 Deposit MONEY FUND PURCFASE 1,998.00 5,821,516.40 07/15/16 Deposit MONEY FUND PURCHASE 2.475.97 5,823,992.37 07126/16 Deposit MONEY FUND PURCHASE 8,475.21 5,832,467.58 07129116 Deposit INCOME RBN VEST 1.512.00 5.833.979.58 07129116 Closing Balance 65033,979.56 Total All Money Market Funds $5,633,979.56 Income and Expense Summary Carmel Period Year-to-Date Taxable Na Taxable Taxable Non Taxable Dividend Income Equities 9,790.97 0.00 917,763.64 000 Money Market 1,512 00 0.00 8.273.26 OR Other Dividends 000 0.00 447,980.00 000 Page 2 en 0,1, 0 4 VOll. Account Number. N4G-023804 paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DriSITIAL SOUTHERN cz5KI Raked eiallefa min vs. Nam 2007 ISAL0AR RATED COMMUNICATIONS rxerturnact SDNY_GM_00046119 DB-SDNY-0008943 EFTA 00156725 EFTA01289091 Deutsche Asset & Wealth Management PO Da. 1776. Saliimore. MO2t203 Drain Si. Pon. Wealth Manarrat Mnt% Comae, Cto.p Income and Expense Summary (continued) Current Period Statement Period: 0 710112816 Year-to-Date • 0 7/3112016 Taxable Noe Taxable Taxable Non Taxable Interest Income Bond Interest 3.18521 0.00 373245 30 0.00 Other Interest 0.00 0.00 72.991 68 0.00 Expenses Margin Interest 0.00 0.00 0.00 .151 10 Withholding Taxes 0.00 0.00 4.558 07 0.00 Fees(Foreign Securities) .25.00 0.00 87500 0.00 Total Dividends, Interest, Income and Expenses $14,483.10 10.00 91,614,420.81 -S111.10 Distributions Alternative Investments 0.00 0.00 0.00 139,473.21 Total Distributions $0.00 $0.00 S0.00 $139,473.21 Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 5.00% of Portfolio Cash Balance Account Quantity Number Activity Opening Closing Acaued Name 31-Day Current Ending Balance Balance lame Reis Year Yield Yield 54,466.85 0.00 Money Market DEUTSCHE GOVT CASH MR 07/01/18 5.833.979.580 NM 07129116 5.785.051.55 5.833.979 58 0.00 8.27328 Total Money Market 86,766,061.56 $5,133,179.68 $0.00 $0,273.25 Total Cash, Money Funds, and Bank Deposits $6.819,5111.40 $5,133,979.60 $0.00 $8473.21 Account Num ber N46.023804 • 0,93e6CSF3{ Go paperless SQLTHERA ttri N LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) 0.30% 0.30% Page 3 or 18 Rated tocellenti t very Van Since 2007 DALBAR RATED COMMUNICATIONS rxciturnaer Omer. ma levet. •••0 SDNY_GM_00046120 OB-SDNY-0008944 EFIA_00156729 EFTA01289092 Portfolio Holdings (continued) Date Acquired Ouaathy Unit God Adjuded Cod Basis Market Price Market Value Fixed Income 2 3.0 0% of Portfolio fin Maturity Dale Sequence) ‘Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2004-PAZ Security Identifier: 939336320 MTG PASSTHRU CTF CL C-B-1 VAR RATE 8.108% 07/25133 NE DTD 06/01104 S 8 P Rating Factor. 0.48351363 Moire Date:07/01/16 Current Fact Value: 623.732583 12/13/13'•d.17 1,290,000.000 765190 477,271.49 84.6880 Original Cog BaSit. $638.906.71 528,226 65 Total Asset Backed Securities 1477,271.49 1528,220.65 1,290,000.000 Total Current Face Value : 623,732.583 Corporate Bonds EARTHMAN INC GTD SR NT FULLY EXCHANGED Stagily Identifier: 270321AC6 CUSP FROM 270321AB8 8.875% 05/15119 WE DM 05117111 CALLABLE 08128/16 S8 P Rating CCC' 10/22/12 '.117 146,000 000 102.4520 149,580.24 1022500 149,285.00 Original Cod Billit $151,110.00 10/23/12 '.3.12 600.000 000 102 4070 614.442.06 1022500 613,500.00 Original Cog Basis: 1619,500.00 Total Honoured 746,000.000 764,022.30 762,785.00 Total 746,000.000 1704,022.30 3762,785.00 FRONTIER CON II UN KATI° us CORP Security Identifier: 35906AAN1 SR NT 8.500% 04/15/20 WE DTD 04112110 1ST CPA DTE 10/15/10 Moody Rating 13A3 S P Rating Elfib 07106/15 3,000,000.000 1015950 3.137.850.00 107 6000 3,226,000.00 Original Cost Basis. S3 171,006 00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS1SPP48 TERM NOTES ISMS X93717735822 9.875% 12/18/21 REG DTD 12/18111 Moody Rating Baal S P Rating BBB 12104/13 '.3.12 1.500.000.000 106 3020 1,594,535.11 102.8950 1,543,425.00 Original Cog Basis: $1,627,500.00 BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHK0 ISA. US06739FI-A03 7.750% 04110/23 B/E DM 04110113 CALLABLE 04/10118 S8 P Rating BB. 04103/13 'AM 300,000.000 100.0000 300.000.00 106.2500 318,750 00 BC0?933CCSFF i ttOttit u. t Original Cog Bans: $300,000.00 Unrealized Gain/ Loss Accrued Altered Estimated Estimated Annual Income Yield Account Num ber. N46023804 . paperless SOUTHERN tt LLc. NFI DAENTTAL CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 50.955.16 3,175.25 150,95516 13,175.25 10.00 -295 24 2.13541 12,957.50 8.67% -942 06 11.241 67 53.25010 8.67% -1,237.30 13,977.14 66,207.50 -11,237.30 113,977.14 $66,207.50 90,150.00 75,083.33 255,000.00 7.89% .51,110.11 92,188.67 148,125.00 9.59% 18,750.00 7,168.75 23,250.00 7.29% Page 4 of 18 Rama Eacollordi Event Va. since Z007 CALMAR RATED COMMUNOTIONS: rxenurner SDNY_GM_00046121 OB-SDNY-0008945 EFIA_00156730 EFTA01289093 Deutsche Asset & Wealth Management PO. Lica 1778. Sallimore, MD 21203 Portfolio Holdings (continued) Dale Acquired tbantity Vett Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP 6115 REPSTG 1110TH PFD SER 1 AXED TO FLTG RT BO 1.900% 04129149 WE DTD 0023/08 Moody Rating 8M3 S P Rating BBB- 06115/11 ',3,52 2,500,000.000 107.5000 06115111 '.3.12 2,500,000.000 107.0000 Adjusted Cost Basis ,e Si,,, Pow, won Mairmat Manes C werace p Market Price Market Value Statement Period: 07/01/2016 - 07/31/2016 Unrealized Gain! Loss Accrued Estimated Estimated Interest Annual Income Yield Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AN ER CORP PERP NON CON ULATIVE DEP SHSFDED TO FLOAT 8.125% 04130/58 B/E DM 04/30108 CALLABLE 05115118 Moody Rating 8A2 58 P Rating BP 01110111 '.3.t2 2,000,000.000 102 7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117182 WE DTD 01/17112 CALLABLE02/01122 Q 100.000 Moody Rating BMt 58 P Rating BBB- 01130f12'.2,12 3,000,000.000 99 8450 GENERAL ELEC CO GTD FXD-TO-FLTG RT NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12103/85 REG DTD 12103/15 Moody Rating A3 58 P Rating M- 12103115 2,469,000.000 88.0930 Security Identifier: 46625HHA1 2,687,500.00 104.0000 Original Cost Basis: $2,687,500.00 2,615,000.00 104.0000 Original Cost Basis: 52,675,000.00 2 600.000 00 2 600.000 00 •87,50000 .75,000 00 49.375.00 49.375.00 197.500.00 197.500.00 7.59% 7.59% 5,362,600.00 5,200,000.00 ,162,500.00 96,750.00 395,000.00 95,362,500.00 55,200,000.00 -1162,500.00 $90,750.00 5395,000.00 Security Identifier: 060505DT8 2,055,000 00 102,2500 2,015,000 00 .10 000 00 3430556 162 500 00 7.94% Original Cost Basis: 52058000.00 Security Identifier: I42400FU2 2,995,342.29 111 5000 3,315,000.00 349,657 71 93,750 00 187 500 00 5.60% Original Cost Beers 52.992,564 97 Security Identifier: 3698048114 2,175,016.17 101.7500 2,512,207 50 337,191.33 12,619.33 98,760.00 3.93% Original Cost Basis: 52.175.016.17 Mint, ROI Account Number. N46023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTIAL SOL THERA l c...„ Page 5 of 18 Rated tacelkini beery 'Yaw Lace 2007 DALBAR RATED COMMUNICATIONS IxfttlNCV SDNY_GM_00046122 OB-SDNY-0008946 EFrA_00 I 56731 EFTA01289094 Portfolio Holdings (continued) Elate Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) 4LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS 'SIN 8 L S539439AG42 7.500% 04/27188 WE DTD 04/07/11 Sd P Rating Ell Please Provide' 1.903.000000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 WE DTD 08/12/15 CALLABLE 08/15120 (a 100000 Moody Rating BA2 S8 P Rating Bil• 08106/15 3.000.000.000 100 0000 Total Corporate Bonds 22,918,000.000 Adjusted Cod Bass Market Pria Security Identifier: 539439AG4 Pease Provide 99 7500 Original Cost Basis. Please Provide Security Identifier: 17296725 3,000,006.00 100.2500 Original Cosl Basis: 53,000,006.00 821,384,271.87 Market Value 1,898.242 50 3.007.500 00 823,860,910.00 Unrealized Gain! Loss N/A 7.494.00 Acaued Interest 13.479 58 82,308 33 Estimated Estimated Mnual Income Yield 142,725 00 7.51% 178.500.00 5.93% $578,395.83 8623,808.69 $1,657,567.50 Total Fixed Income Date aired 24,208,000.000 Domini Unit Cod $21,861,543.36 Cod Basis Market Pria $24,389,136.65 Market Value 8629,350.79 8526,783.94 $1,657,567.50 Unrealized Gain! Loa Estimated Estimated Mnual Income Yield Equities 70.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISINONL0010831061 Dividend Option: Cash 08101114 800.000 25 0000 ADVERUM BIOTECHNOLOGIES INC COM Dividend Option: Cash 10,000.00 of these shares are in your margin account 04120/15 10.000.000 39.8610 AKORN INC COM Dividend Option: Cash 06110115 5,000.000 46 8410 AUBABA GROUP BLDG LTD SPONSORED ADS ISINOUS01609W1027 Dividend Option: Cash 06110/15 5.000.000 88 9500 ALUANZ SE SPONSADR REPSTG 1110 SHS Dividend Option: Cash Security IdenUffer: M BLY CUSP. 1451488117 20.00000 47.9100 Security Identifier: ADVM CUSP 00773U108 398.606 00 3 6200 Security !dentin er: AKRX CUSP: 009728106 231.206.00 31.2300 Security Identifier: BABA CUSP: 01609W102 114,719.00 82.4800 Security Identifier: AZSEY CUSP. 018805101 38.328 00 36.200 00 171.150.00 112.40000 18.328 00 .362.406 00 -63.056 00 -32,319.00 Page 6 of 18 Rabid Account Num ber. N4G-023804 [ mallard, parerless t( E,711,=,12;"(17 LINCAT ILMAI1 NMI SO t, TH ERA co. N F I DAENTIAL minutia, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046123 DB-SDNY-0008947 EFTA_00 156732 EFTA01289095 Deutsche Asset & Wealth Management P.O. Box 1778, 'lima., M021203 Portfolio Holdings (continued) Date Acquired GuniNy UM Cod Equities (continued) Common Stooks (continued) ALLIANZ SE SPONS AOR REPSTG 1/10 SUS (continued) 04/13115 5,000.000 18 0110 APOLLO GLOBAL MGM T LLC CL A SUS Dividend Option: Cash 03/29/11'.'3 263.157,000 19 0000 APPLE INC COM Dividend Option. Cash 250,000 00 of these shares are in your margin account 10/28/13 3 14.000.000 75 5800 09/05/14 124.180.000 98 9500 09105114 3 7.200.000 98 9500 09105/14 18,620.000 98 9500 01/11/16 250.000.000 99 0000 Total Covered 414,000.000 Total 414,000.000 MAD HARM ACEUTICALS IN C Dividend Option: Cash 02114/12 '.13 7.535 000 15 2090 01/24/13 ' ,13 9,000 000 19 6000 Total Noncovered 10,636.000 Total 16,636.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01/16101 70.500 000 21 2770 BASF SE SPONS AOR ISMS L 90552625057 Dividend Option: Cash 04113115 5.000.000 101.6110 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash v,., sOL THERA LI.C. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ON FIDriSMAL DEVI{OC R4M ,, ,nieveniooannp.wat Manets OwerneC.Tcp Cost Basis Market Price Market Value Statement Period: 07/ 01/ 2016 - 07/31/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 90,056 00 14.2800 Security Identifier: APO CUSIP 037612306 4.999.983 00 17.1500 Security Identifier: AAPL CUSP 037833100 1.058.120 50 12.287.615 97 112.440 29 1,842,449 74 24,150,006.00 40,660,032.60 940,860,632.60 104.2100 104.2100 104.2100 104.2100 104.2100 Security Identifier: ARIA CUSP. 04033A100 114.597.40 9.5100 176,400.00 9.5100 290,997.40 9290,997.40 Security Identifier: ASNA CUSIP: 04351G101 1.500.000 00 8.1300 Security Identifier: BASF( CUSIP 055262505 508056.00 78.4200 Security Identifier: BK CUSP 064058100 71.40000 4.513.142.55 1.458.940 21 12.940.797 76 750.311 81 1,940,390.40 26,052,499.82 43,142,140.00 $43,142,940.00 71,657.85 85,590.00 157,24716 0167.24726 573.165 00 392.100.00 •18,65600 -486.840.45 400.819.71 653.181.79 37.871 52 97,940 66 1,302,493.82 2,492,307.60 $2,492,307.60 •42,939.55 -90,810.00 -133,749.66 -1133,74916 -926.835.00 .115.956.00 3,059.77 4.28% 342.104.10 7.58% 31.920.00 2.18% 283.13010 2.18% 10416.00 2.18% 42,453.60 2.18% 570000.00 2.18% 943,920.00 9943,920.00 $0.00 12.163 55 3.10% Page 7 of 18 Account Num ber. N4G-023804 GO paperless Rabid tacellIonil (very Vs, Slab 2007 DAL BAR RAT ED COMMUNCA TIONS n:MOWS reerron'tt, 11= •--„ ersc neam-reara ins arc SDNY_GM_00046124 OB-SDNY-0008948 EFTA_00156733 EFTA01289096 Portfolio Holdings (continued) Date ired Quaint hit Cod Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP CON 06125/14 250,000300 BIOGEN IDEL INC COM Dividend Option: Cash (continued) 381060 02/14112 . .13 2,095.000 119 5490 CENTIME CORP DEL COM Dividend Option: Cash 09108114 15,550.000 63 6450 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 5,000.000 72 9960 FACESOOK INC CL A Dividend Option: Cash 05111112 '.13 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 25.000.000 27 5070 08105114 24,830.000 23 2530 Total Covered 49,830.000 Total 19,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113 '. 13 23.000.000 21.5700 GENERAL M TRS CO COM Dividend Option: Cash 11118110 ' 10,988.200 361010 12109110 ' 86.536.800 36.8180 Total Nonøvered 97,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105/1/ 5,000.000 79 2810 03107114 3,100.000 79 6120 Total Coveted 8,100.000 Total 8,100.000 GLAXOSM ITHKUNE PLC SPONS ADR Dividend Option: Cash Cost Bads Market Price Markel Value Unrealized Gala/ Loss Estimated Estimated Annual Income Yield 9,076,06.00 39.4000 Security Identifier: 6118 CUSP: 09062X103 250,451.95 289.9300 Seal rity Identifier: CNC CUSP: 151350101 989,679.75 70.5500 Security Identifier: DISH CUSP 2547011109 364,978.00 53.4200 Security Identifier: FB CUSP. 3030311102 665,000.00 123.9400 Satiny Identifier FM I CUSP: 350465100 687,663.50 23.3700 577,373.02 23.3700 1,215,038.52 $1,285,038.52 Security Identifier: GE CUSP: 36960/103 196,109.08 31.1400 Security Identifier: GM CUSP: 37045V100 399,978.16 313400 3,185389.22 31.5400 3,515 917.30 $3,685,117,38 Security Identifier: GILD CUSP. 375558103 79.4700 79.4700 396,407 00 243797.00 641204.00 $043,204.00 Security Identifier: GSK CUSP. 37733W105 9,850,000.00 607,103.35 1.097.052.50 267,100.00 2,168,950.00 584,250.00 580,277.10 1,184,527.10 $1,184,527.10 716,220.00 346,567.84 2,729,370.66 3,075,938.50 13,075,938.50 397,350.00 246,357.00 843,707.00 $843,707.00 773,594.00 356,948.10 107,372.75 -97,878.00 1,503,950.00 ,103,413.50 2,904.08 -100,609.12 4100,501.12 220,110.92 .53,410.32 .453598.56 -510,008.88 -$510,008.88 943.00 .440.00 503.00 1503.00 193000 00 1,92% $0.00 21,180.00 2.95% 16,702.68 4.81% 131,535.94 4.81% 148,238.00 $118,238.00 9,400.00 236% 5.828.00 2.36% 15,228.00 $15,228.00 Pap 8 of 18 05AN 901.1. Account Number: 1440423801 Ri F I DENTIA Go paperless (*), Ratted taall•rdi SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) tven, •••••• Sinai 2007 DAL BAR RATED COMMUNICAT,ONS rxciurNer ..«"Cltrient'st=rn= SDNY_GM_00046125 OB-SDNY-0008949 EFTA_00 156734 EFTA01289097 Deutsche Asset & Wealth Management PO Boa 1778. Beware. MO21203 Dralsev Na.. povor We a In. Manap-nent Vinett C comae, tmp Portfolio Holdings (continued) Date Acquired Quantity Usli Cost Cost Basis Market Price Market Value Statement Period: 0710112016 - 07/31/2016 Unrealized Estimated Estimated Gain/ Loss Annual Income Yield Equities (continued) Common Stocks (continued) Gin XOSMITH RUNE PLC VOUS ADR (continued) 06/10115 5000.000 43 0010 215,006.00 45.0700 225.350 00 10.344 00 '0 922 27 484Si GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU UNIT I COM 81 WT EXP CUSP 31954X204 Dividend Option: Cash 07130115 • 2.000.000 10 0000 20.000 00 9.8600 19.720 00 .280 00 GODADDY INC CL A Security Identities: GDDY Dividend Option: Cash CUSP 380237107 04101/15 700.000 20 0000 14.000.00 29.9200 20.944.00 6.944.00 MATCH GROUP INC COM Security identifier: MTCH Dividend Oplion: Cash CUSP 5766006 11118115 200.000 12 0000 2.40000 15.7500 3,150.00 750 00 SANGAII 0 BIOSCIENCES INC COM Security identifier: SGM 0 Dividend Option: Cash CUSP 800611106 05128/13 '.13 50,000.000 8.4440 422 211 00 6.3300 316.500 00 .105.711.00 SANTANDER CONSUMER USA HLDGS INC COM Security Identifier: SC Dividend Option: Cash CUSP 8028311101 01123114 1,000.000 24 0000 21.000 00 10.9900 10.990 00 -13.01000 SQUARE INC CL A Security Identifier: SO Dividend Option: Cash CUSP 852234103 11119115 200.000 9.0000 1.800.00 10.0700 2.014.00 214 00 TERRAFORM GLOBAL INC CL A Security Identifier:61BL Dividend Option: Cash CUSP 8810/11101 07131115 400.000 14 8300 5,931.81 3.1800 1,392 00 -4,539.84 410.00 31.80% TWITTER INC CON Security Identifier: TW TR Dividend Option: Cash CUSP. 901841102 11/07113 1,500.000 26.0000 39.000.00 16.6400 24,960.00 .14,040.00 VIACOM INC NEW CL 8 Security Identities: VIAB Dividend Option. Cash CUSP 92553P201 08AN ROIL CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 66° (e) THEW' ONIFIDAMSITIAL Page 9 of 18 Account Number. N46-023804 Go paperless Rated tffsidlonl L....my Year Sento 2007 OAL WI RATED COMMUNICATIONS rxesomer /meg WI amine IR AMme.K SDNY_GM_00046126 DB-SDNY-0008950 EFIA_00156735 EFTA01289098 Portfolio Holdings (continued) Date ired Qua Umit Cod Cost Bads Market Price Markel Value Unrealized GaielLoss Estimated Estimated Annual Mame Yield Eq uities (continued) Common Stocks (continued) VIACOM INC NEW CL B (continued) 06110115 5,000100 67.7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option: Cash 04113115 5100.000 50.8610 WISDOM TREE INVYS INC CON Dividend Option: Cash 03131115 15,000.000 21 6110 338,745.00 45.4700 Security Identifier: VLKAY CUSP. 928662303 254,306.00 29.5800 Security Identifier: W ETF CUSP: 97717P104 324,157.50 9 9400 227,350.00 147100.00 149.100.00 •111,39500 .101406 00 -175.057.50 8.000.00 91.85 4.800.00 3.51% 0.06% 3.21% Total Common Stocks $66,135,861.92 $70,248,341.15 $2,112,679.93 $1,700,127.54 Preferred Stocks (bated by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA 8.125% FRED ORLY MATT-0211512040 CALL CLSP 361860208 ANYTIME 0 25 W130 DAYS BEGINS 02115116 Dividend Option: Cash 02122/12 I'M 80,000.000 23.5350 1,882,773.60 25.4200 2,033,600.00 150,826 40 162,500 00 7.99% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT SER T PFD CPN•7.25% FRED DRILY PERP M TY CUSP. 780097713 CALLO 25 ANY W130 D NOTICE AFTR 12131/12 Dividend Option: Cash 10124/12 '.13 40.010 000 23 7900 951.600.00 25.6400 1.025.599.99 71919 99 72.500.00 7.06% 01107/13 '.13 40.000 000 24 4400 977.600.00 25.6400 1,025.599.99 47,999 99 72,500.00 7.06% 01114/13 '.13 40,000 000 24 8800 995,20010 25.6400 1125,600.02 30100 02 72,500.00 7.06% Total Noncovered 120,000.000 2,924,400.00 3,076,100.00 152,400.00 217,500.00 Total 120,000.000 $2,924,400.00 $3,076,600.00 $152,400.00 $217,500.00 Total Preferred Stocks $4,807,173.60 $5,110,400.00 $303,226.40 1380,000.00 Total Equities 172,942,835.52 $76,368,741.85 $2,415,906.33 12,060,127.54 Unrealized Estimated Estimated Date Acriked Quoit/ Uok Cod Cost Bads Markel Price Markel Value Gale/ Loss Maual Income Yield Exchange•Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gins Option: Cash 60,000.00 of these shares are in your margin account 12111113 61000.000 49 4350 Total Exchange•Traded Products Security Identifier: DXJ CUSP: 97717W851 2.966.098.50 40.7300 2,443,800.00 -522,298.50 51,983.40 2.12% $2,966,096.50 $2,443,600.00 •1622,298.50 $51,983.40 Page 10018 OBAB 4011 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Account Number: N4G423804 s Rasa tacelionvi Go pa a less s per (very Va.Since 2'007 SOUTHERN F I DIAL DAUM. 140(0 COMMUNCATIONS nonrunger SDNY_GM_00046127 OB-SDNY-0008951 EFTA_00 I 56736 EFTA01289099 Deutsche Asset & Wealth Management Ow 1770, Ba!ammo, MD 21203 Portfolio Holdings (continued) Cod Bails Drolsev Si,,, MOM Manale-rent Market Value Statement Period: 07/01/2016 • 0713112016 Unrealized Accrued Estimated Gain/ Loss Interest Annual Income Total Portfolio Holdings 8103604,456.98 $105,025,658.08 12,522,958.62 $526,783.94 13,797.95120 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 (' IRV') (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 nonretitement, 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 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 (ORP) 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 011 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 Woking foreign bonds, bonds sold short or bonds issued vie 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 firm and Pershing makes no representation as to the accuracy of this information. I 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. 17 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. 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. liflAB ROI Page 11 of 18 Account Number. N49.023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DranAL SOL THERA r Rabid tamolloni Every VAN sine. 2007 DAUM. RATCCI COMMUNICATIONS rxenurnaer 87.7.13=0..=."0.:—%"..•••••••=. SDNCGM_00046128 DB-SDNY-0008952 EFTA_00 56737 EFTA01289100 Schedule of Realized Gains and Losses Current Period Date Desaiptio- Disposed Date Acquired Designation Disposition Method I Transactioa Quantify Proceeds Cost Basle Realized Gale/ Loa Long Term WASHINGTON MUT MTG S 07/22/16 004•RA2 MTG PASSTHRU CIF CI. C- B-1 VAR RATE 6.108% 07/25/33 Security Identifier: 939336S20 12/13/13 Noncovered', REPYMT OF PRIN 0 num& Cost Basis 1 497 46 1.290 000 000 1 956 99 1,497.46 459.53 Total Long Term 1,956 99 1,491.46 459.53 Total Short and Long Term 1,956 99 1,497.46 459.53 • 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 (1RC") (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 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-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 hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a sirnple rued 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 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 reports, including your 1099.8 or online displays you may have avalable 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 on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amorteation, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fired income security, and certain attributes, obtained from sources bekeved 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 consult your tax advisor in the preparation of your tax retums. 1 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. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot 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 Mil 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 18 IL)8AB MCYLL Account Number. N46.023804 Go paperless SOUTHERN ttri N LLC. F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Rated taceibria Every Veer sow 2007 DALBAR RKTEDCOMMUNCATIONS rxarturtraer -1.16 ameast noon warn. K' SDNY_GM_00046129 OB-SDNY-0008953 EFTA_001 56738 EFTA01289101 Deutsche Asset & Wealth Management Dralcre Si,, Pon. Wealth Mariarmmt P.O. Bo* 1778, Babimore, MD21203 Messages Statement Period: 0710112016 • 07/31/2016 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 hell 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. Pursuant to SEC Rule 10b-10(bX1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform If Article 15 of the Ell Securities Financing Transactions Regulation f'SFTR1 is applicable to you, please refer to htqx://wiwtpershing.comCglobal-assets/pdfidisclosures/peneu-article-15-info-strntpdf for access to an information statement disclosing the risks and consequences of delivering non-cash colateral under a relevant collateral arrangement with Pershing I1C (including a margin account). This statement does not amend or supersede the express terms of any transaction, collateral arrangement or othenvise affect your or our liabilities or obligations. Please contact your financial professional if you have any questions. Activity Sum m a ry (Alf 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 Bough: 000 000 000 0.00 -24.758.40600 -24.758,40600 Secuntres Sold 000 000 000 717.689 76 000 717.689 76 Securities Deposited 000 000 000 5,185.557 00 000 5,185.557 00 Total Securities $0.00 10.00 10.00 $5,903,246.76 -124,758,406.00 -118,855,159.24 Dividends and Interest 114,488.18 $0.00 $14,488.18 $1,911,003.18 -190,911.10 $1,820,092.78 Distributions 10.00 10.00 10.00 $4,504,473.21 10.00 $4,504,473.21 Fees $0.00 -827.00 -827.00 $0.00 -8395.00 -$395.00 Taxes Withheld 10.00 10.00 10.00 $0.00 -$5,558.07 -$5,558.07 Cash Withdrawals 000 000 000 0.00 .11,891.59192 .11.891.591 92 Dentists 0.00 0.00 000 8,613,530.99 0.00 8,613.530 99 Total Cash 30.00 $0.00 $0.00 58,613,530.99 -$11,891,591.92 -83,278,080.93 Totals $14,486.18 -827.00 $14,461.18 $20,932,254.84 -08,7413,862.09 -515,814,607.25 Account Num Der N46.023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) TM LI.C. ON FIDAENTIAL SO Page 13 of 18 Rated tszollenti beefy Var. Lace 2007 DAUM. RATCOCOMMUNCATIONS rxestormer SDNCGM_00046130 DB-SDNY-0008954 EFTA_00 156739 EFTA01289102 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 07108116 SECURITY CALLED 270321AC6 011 395.000 EARTH LINK INC GTD SR AT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15119 BIE DID 05117111 CLB CALLED BY LOTTERY 000 USD Total Securities Bought and Sold • U.S. DOLLARS 0.00 0.00 Dividends and Interest 07101116 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW CL B RD 06115 PD 07101116 2000.00 USD MB 07/14116 FOREIGN SECURITY DIVIDEND GLAXOSSITHKUNE PLC PONS ADR FD 05113 FD 2,50097 USD RECEIVED 07111116 5000 GSK 07125/16 CASH DIVIDEND RECEIVED 23000 SHRS GENERAL ELECTRIC CO COM RD 06/20 PD 5.290.00 USO GE 07125116 07/25/16 BOND INTEREST RECEIVED 1290000 WASHINGTON MUTMTG SE-CS CORP 2001-RA2 3.18521 USO 939336520 M TG PASSTH RU CTF CL C-8-1 VAR RATE 6.108% 07/25/33 WE DTD 0610110/ RD 06130 PD 07125/16 07/29116 MONEY MARKET FUND DEUTSCHE GOVT CASH 1,512.00 USD INCOME RECEIVED 233993682 Total Dividends and Interest • U.S. DOLLARS 0.00 14,416.10 Fees 07/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping IN 2016 CUSR G1S1SPP4-8 -210 USD GISISPP48 07/1/116 FEE ON FOREIGN DIVIDEND 5000 SH RS GLAXOSMITHKLINE PLC SPO NS NOR RD 05/13 -25.00 LSD WITHHELD AT THE SOURCE PD 0711//16 GSK Total Fees - U.S. DOLLARS 0.00 -27.0a Total Value of Transactions 0.00 14,461.1$ USD The price and quantity displayed may have been rounded. liktAl• ROI I. Account Number. MG-023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) THERM LW. ONFIDESITIAL SOU Page 14 of 18 Rated [mallard, Voar Siva 2007 DAL BAR PAT ED COMMUNICATOIS rxenurnser SDNY_GM_00046131 DB-SDNY-0008955 EFTA_00 156740 EFTA01289103 Deutsche Asset & Wealth Management PO Boa 1778. Beware. MO21203 Bond Maturity Schedule Bond Maturity 1 to 5 years 6 to 10 years Over 10 years Total Bond Quality Bond Quality A BAA 8NLower Total Called Bonds DIMS, ' Beta P Wealth Mmarma Statement Period: 0710112016 - 07/31/2016 Market Value % of Bond Market Value 3,990,785.00 16% Percentages of bond market values are 1,882,175.00 rounded to the nearest whole percentage. 8% 18,538,176.55 76% 24,319,135.56 100% Market Value % of Bond Market Value 2,512 20750 11% IM Percentages of bond market values are 10.088.425 00 41% MI rounded to the nearest whole percentage. 11,788,504.15 48% 117j 24,359,131.55 100% Call Date Security Description 08/0412016 EARTHLIKK INC GTD SR NT FL LLY EXCFAA GED CUSIP FROM 270321A88 8.875% 05/15/19 BIE DM 05)17111 CALLABLE 08128/16 Publication Date: 07/0612016 Client Service Information Eligible Called Call Type Redemption Quantity Quality Price of Call Proceeds 716,000 000 395.000 000 102 2190 Partial 403 765 05- Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26184 FLOOR NEW YORK NY 10154-0003 E"099386CSF30 :11 OBAII ROI t Account Number. N46.023804 Go paperless Page IS of 18 IAL ENT CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DA t,THERN ttz5 'Mud tmell• M [very Yee Sem* 2007 OAL GMT PAT COCOMMUNICATIONS rxenurnaer SDNCGM_00046132 DB-SDNY-0008956 EFTA_00 I5674 I EFTA01289104 Your Account Information Tax Lot Default Disposition M ethod Default Method in 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: Amortize 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 Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Qient Advisor for more inform ation. 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 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WI-IEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfoio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation fa your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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. polgical, 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 annipershing.conbusiness_continuity.Mml 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 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 intonation 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 anon written request to your introducing firm. Fage16 of 18 I' RA.,son Account Num be; N40023804 Go paperless SOUTHERN tthb N LLC. F I D-ENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rabid tacelloni Every Van SOSO. 2007 CALLUM RATED COMMUNICATIONS rxenurtraer rear X.rttli= 'Cr "%tr, vv. SDNY_GM_00046133 OB-SDNY-0008957 EFrA_00156742 EFTA01289105 Deutsche Asset & Wealth Management PO, ficw 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) •C Mn, G. Pfa' VMY nManapnera Manias Cwrµf G•CaP Statement Period: 07101/2016 - 07/3112016 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 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 & POOn. Reproducing and distributing any information received from Standard & Poors is not pennitted 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 a implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible fa 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 (stags should not be relied upon as investment advice. 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 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 (I) any other instructions conceming your account Pershing is not responsible a 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 suitabdriy 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, is 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 suriabdity of those transactions, where applicable; the rendering of investment advice. if any, to you and in general. 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 (291)413-3333. 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 posstle 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, ukase 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 Page 17 of 16 Account Kum hr. N4G-023804 I }F1Alt Go paperless 460 Rated Excellent, beefy Von Wow 2'007 SO L THERA DALOAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OKIFIDAL1TrIAL rxesturner •••••••ISC •••••••••••••• •••C SDNY_GM_00046134 OB-SDNY-0008958 EFIA_00156743 EFTA01289106 CONFIDENTIAL - PURSUANT TO FED. R CRIIVI P. 6(e) Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: vrtwrpershing.comfabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includag 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 fights, 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 U.C, 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, inckiding 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 ether discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for their awad, 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 ainority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tin* 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 ULC 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 unfit (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 intonation is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page IS of 111 Account Number: N46423804 ORAN Ret SOL THERA Go paperless Raced excellent, Ivory Va.. Lace 2007 CALMAR RATEDCOMMUNICATIONS F I DrErriA rxesurtraer SDNY_GM_00046135 OB-SDNY-0008959 EFEk_00156744 EFTA01289107 Deutsche Asset & Wealth Management P.O. Lk* 1776. euluimore. MO2t203 Portfolio at a Glance Account Number: N48-023804 Statement Period: 06/01/2016 -0613072016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 2108,801,648.02 $103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -1,000,000.00 -3 278.060 93 ST THOMAS VI 00802 Net Securities InlOut of Account 0.00 5,185,557.00 Adjusted Previous Acosunt Value 106,801,648.02 105,192,113.87 Dividends, Intemst and Other Income 211,376.27 1.945.077.81 Total Taxes Withheld -32.90 -5.551.07 Net Other Activity -2.00 -368.00 Your Client Advisor: Net Charlie in Portfolio -3.872.326.69 .4.990,602.91 DANIEL MESA nding Account Value S102 140 662 70 $102 140 662 70 Accrued Interest 5385,573.27 Estim ated Annual Income 33.777.098.34 Asset Summary Prior Year-51d Lad Period This Period % Allocation LSD Cash. Money Funds and Bank Deposits 26,834,143.83 6,608,177.03 5,819,518 40 5.70% LSD Axed Income 20,242,233.86 20,252,405.45 20,267,226.90 19.84% Non.L SD Axed Income 5.198,765.00 3,786,897.50 3117,482 50 3.84% LSD Equities 47,972,851.11 73,490,392.04 69,972,722 90 68.51% Non-U SD Equities 3,038,624.00 2.663.778.00 2.383.712 00 2.31% Account Total (Pie Chart) $103,2114,617.80 $106,801,648.02 3102,140,882.70 100.00% See the Asset Summary Disclosure and Footnotes section for important information regarding your Asset Summary. ONA(.4 .011 r Please review your allocation peroOcaiy wth you' Dlent Athos( Page1019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F IDEErriA kat.. B0097716CSF30024 GO NWT less Every Va. Exce llent siva 2007 DAUM* RAT EO COMMUNCATOONS rxerartraer SDNY_GM_00046136 DB-SDNY-0008960 EFTA_00 156745 EFTA01289108 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of C650/2016. 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 3039 76 -594.392 64 Long•Term Gain/Loss 438 61 1 r89.787 50 -2.720.588.12 Net Galn/Loss 438.81 1,092,827.26 -3,314,980.76 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. 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 Activity Type Description Amount Babes* Sweep Money Market Fund DEUTSCHE GOVT CASH IN STI. Current Yield. 0.34% Activity Ending. 06/30116 06101/16 Opening Balance 6342.387.78 6.542.387.18 06/01/16 Deposit MONEY FUND PURCFASE 65,78925 6,608,177.03 06/02/16 Withdrawal MONEY FUND REDEMPTION -2.00 6.608.175.03 06/16/16 Deposit MONEY RAO FURCFASE 49,38010 6,657.555.03 06/17/16 Withdrawal MONEY RAO REDEMPTION -1.000.000.00 5.657.555.03 06/24/16 Deposit MONEY FUND FIACFASE 37.059.50 5.694.614.53 06/27(16 Deposit MONEY FUND FURCFASE 26,100.00 5,720,714.53 06/28/16 Deposit MONEY FUND PURCFASE 38,992.00 5,759,706.53 06/30/16 Deposit MONEY FUND NRCI-ASE 3.807.00 5.763.513.53 06130/16 Deposit INCOME REINVEST 1.538.02 5.765.051.55 06130116 Closing Balance $5,765,051.55 Total All Money Market Funds $5,765,051.55 Page 2 of 19 Account Number. N40423804 Rated Caroller. URAL, ROI t Gp paperless Lvery Late 2007 SOUTHERN C5. F I D ENT DALBAR RATEDCOMMUNCATKINS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) IA Cr—jr rxesartraer —1.7= SDNY GM 00046137 DB-SDNY-0008961 EFTA_00 156746 EFTA01289109 Deutsche Asset & Wealth Management PO Boa 1778, 8shimore. M021203 Income and Expense Summary Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest Other Interest Expenses Margin Interest Withholding Taxes Fees(Foreign Securities) Total Dividends, Interest, Income and Expenses Distribudons Alternative Investments Total Distributions Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 6.00% of Portfolio Cash Balance Account Activity Quantity Number Ending Money M arket DEUTSCHE GOVT CASH INSTL 06101116 5,765.051 550 MA 06130116 Total Money Market Total Cash, Money Funds, and Bank Deposits 0ruicre Ram P',ni roan masaienan P.net$ COdn774,0.7 Current Period Statement Period: 06/01/2016 • Year-to-Date 06130/2016 Taxable Non Taxable Taxable Non Taxable 95,36625 0.00 907,972.67 0.00 1,538.02 0.00 6,761.26 0.00 75,480.00 0.00 447,980.00 000 38,99210 000 37006019 0.00 0.00 0.00 72,991.68 0.00 0.00 0.00 000 .161 10 •32.90 000 .5.558.07 0.00 0.00 0.00 -250.00 0.00 $211,343.37 $0.00 61,799,957.63 -1181.10 0.00 0.00 000 139.473.21 $0.00 20.00 $0.00 6130,473.21 Opening Balance dose Balance Awued Income Income This Year 31.Day Yield Current Yield 65,78925 6,542,387.78 54,466.85 5.765.051.55 0.00 6.76126 0.30% 0.34% 56,542,387.78 $5,785,051.55 $0.00 $6,761.26 $6,608,177.03 $5,819,518.40 $0.00 $6,761.26 Page 3 of 19 Account Number 646623804 Into,. r,,,, Account paperless SO U TH ERA ttn N LLC. F I DrarIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Mood tscolleria Every ••••• vote Z007 DAUM. RATEOCOMMUNCATIONS rxenurtraer SDNY_GM_00046138 DB-SDNY-0008962 EFTA_00156747 EFTA01289110 Portfolio Holdings (continued) Date ired Quail Umit Cost Adjuged Cod Basis Market Price Market Valve Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Fixed Ineome 23.00% of Portfolio (In M meaty Dee Sequence) 'Asset Backed Securities WASHINGTON NUT NTG SECS CORP 2004•RA2 I/ TG PASSTHRU CTF CL C-B-1 VAR RATE 6.330% 07/25/33 WE DID 06/01/01 S 8 P Rating Factor. 0.18503068 Effective Date:06101/16 Current Face Vgue: 625.689577 12/13/13'•3.12 1,290,000.000 76.5190 478.76815 84.0220 Onginal Cosl Basis: $638.906.71 525,716 90 Total Asset Backed Securities 8478,768.95 5526,718.90 1,290,000.000 Total Current Face Value : 625,689.577 Corporate Bonds EARTH UNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 270321488 8.875% 05/15/19 BIE DID 05117/11 CALLABLE 07130116 S8 P Rating CCU Security Identifier: 270321AC8 10/22/12 '.3.12 148,000 000 102 4790 149.619.65 102.0000 148,920.00 Original COI Bak 9151,110.00 10/23/12 '.3.12 800.000 000 102 4290 614.572.59 102.0000 612.000.00 Onginal Cod Basis: $819600.00 Total Noncoured 718,000.000 754,192.24 760,920.00 Total 718,000.000 $751,192.24 5760,920.00 FRONTIER COMMUNICATIONS CORP SR NT 8.500% 04115120 WE DTD 04112110 1ST CPR DTE 10/15/10 Moody Rating BA3 S P Rating ES Security Identifier: 35908AAN1 07/06115 3,000,000.000 104 6850 3.140.551.46 106.1250 3.183.750.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES 'S94%90717735822 9.875% 12/16/21 REG DTD 12/16111 Moody Rating Baal S P Rating BBB 0 nginal Cost Basis. S3 171,006 00 Security Identifier: GIS1SPP48 12104/13 '.3.12 1,500,000.000 106 3790 1,595,690.36 103.1700 1,547,550.00 BARCLAYS BK PLC CONTINGENT CAP NT INK It US06739F1403 7.750% 04/10/23 B/E DTD 0/110113 CALLABLE 01/10118 S8 P Rating BB. Original Cosl Basis: 51.627,50000 Security Identifier: 08739FIIKO 01103/13 '.12.13 300,000.000 100.0000 300.000.00 103.2500 309,750.00 Security Identifier: 939336520 Be0977:CCSF3 ,' . Original Cod Basic 9300,000.00 U8A0 /4011 Account Number: 144G-023801 Go paperless LL 0.F I DAEN T IA L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN IN 46,917.95 3,190.86 $48,947.95 53,190.68 $0.00 499 65 1.619,69 12.957 50 8.70% -2.572.59 6.656.25 53.250 00 8.70% 4,272.24 8,276.94 88,207.50 -$3,272.24 88,276.94 $86,207.50 43,198.50 53,125.00 255,000.00 8.00% .48,110.36 79,822.92 118,125.00 9.57% 9 750 00 5.16667 23 250 00 7.50% Page < of 19 Rated taconenti Ivory V.A. Lace ZO07 CALMAR RATED COMMUN CATIONS rxciturtraer etrelma a."2=rint la ONta••••••••• SDNY_GM_00046139 OB-SDNY-0008963 EFrA_00 156748 EFTA01289111 Deutsche Asset & Wealth Management PO. Bca 1778. Ballimore, MD 21203 Portfolio Holdings (continued) Date Acquired Clardy Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1110TH PFD SERI FD TO FLTG RT BO 7.900% 04129/49 WE DTD 01123108 Moody Rating BM3 S P Rating BB& 08115/11 '.1.12 2,500,000.000 107.5000 Adjusted Cost Basis Drolly , e Ram Pow, Wealth Manap-'wat Vineit. Comae, Gopyp Market Price Market Value Statement Period: 0610112016 - 06/30/2016 Unrealized Gain/ Loss Accrued Estimated Estimated Interest Annual Income Yield 09115111 '.3.12 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% 0/130/58 WE DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 58 P Rating BP 01111)111 2,000,000.000 1027500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117182 WE DTD 01117112 CALLABLE 02/01122 0 100.000 Moody Rating BAA1 S 8 P Rating BBB- 01130112'.3.12 3,000,000.000 99 8430 GENERAL SIC CO GTO FXD-TO•FLTG RT NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12103/85 REG DTD 12/03/15 Moody Rating A3 58 P Rating M- 12103115 2.469,000 000 88 0930 Security Identifier: 46825HHA1 2,687,500.00 102.0000 2 550.000 00 •137.50000 32,916.67 197.500.00 7.74% Original Cost Basis: 52,687,500.00 2,675,000.00 102.0000 2 550.000 00 -125.00000 32,916.66 197.500.00 7.74% Original Cost Basis: 52,675,000.00 6,362,600.00 5,100,000.00 ,262,500.00 65,833.33 395,000.00 25,302,500.00 $5,100,000.00 -$262,500.00 565,833.33 $395,000.00 Security Identifier: 060505D T8 2,055,000.00 100.2500 2,005,000 00 •50,00000 20,312.50 162 500 00 8.10% Original Cost Basis: 52055,000.00 Security identifier: I42400FU2 2,995,283.36 110.0000 3,300,000.00 304,716 64 77,604 17 187 500 00 5.68% Original Cost Basis: 52,992,564.97 Security Identifier: 369604BM 1 2,175,016.17 100.0000 2,169,000 00 293,983.83 1,11500 98,760 00 4.00% Original Cost Basis: 52.175.016.17 l)8A11 RCM Account Number:NG-023804 Go paperless c•F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) UTHERN IN Page 5 of 19 Pad [wailer. L very V... Woe, 2007 DAL OAR RATED COMMUNICATIONS extra, NCI ir elatrOnThtri lta rmarmilor= •••••••L•C SDNY_GM_00046140 OB-SDNY-0008964 EFDLOO 156749 EFTA01289112 Portfolio Holdings (continued) Date Acquired Quantity Unit Cosa Fixed Income (continued) Corporate Bonds (continued) 'LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECSISINt0S539439AG12 7.500% 04/27/88 WE DTD 04/07/14 S 8 P Rating EIS Please Provide' 1.903.000.000 N/A CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 WE DTD 08/12/15 CALLABLE 08/15120 ftl 100 000 Moody Rating BA2 S 8 P Rating BB. 08106/15 3.000.000.000 100 0000 Total Corporate Bonds 22,918,000.000 Adjusted Cost Basis Market Nice Security Identifier: 539439AG4 Please Provide 97.7500 Original Cost Basis: Please Provide Security Identiner: 172987ES Market Valve 1.860.182.50 3.000.006.00 97.4280 2.922.840.00 Original Cost Basis $3,000,006.00 121,388,239.69 123,458,99230 Total Fixed Income Date 'acquired Equities 69.00% of Portfolio Common Stocks M °BREVE NV AM STELVEEN ORD SHS IA010010831061 Dividend Option. Cash 08101/14 800.000 25 0000 ADVERUM BIOTECHNOLOGIES INC COM Dividend Option. Cash 10.000 00 of these shares are in your margin account 04120115 10,000.000 39 8610 AKORN INC COM Dividend Option: Cash 06110115 5.000.000 468410 AUBABA GROUP HLOG LTD SPONSORED ADS IS% tiliS01809W1027 Dividend Option: Cash 06110115 5,000.000 88 9500 ALUANZ SE SPONSADR REPSTG 1110 SUS Dividend Option: Cash 24,208,000.000 Quality Unit Cod 621,887E011.54 $23,984,709.10 Cost Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Mnual name Yield N/A 1.189.38 147725.00 7.67% •71.168.00 66.937 50 178.500.00 6.10% 3210,570.41 6382,382.41 $1,657,567.60 1257,518.38 6385,673.27 $1,857,587.50 Unrealized Gain/ Loss Estimated Estimated Mnual Income Yield Security Identifier: M BLY CL SP N51488117 20.000.00 46.1400 Security Identifies: AOVM COSIP 00773L 108 398,606.00 3.1600 Security Identifier AKRX CU SIP. 009728106 231.206.00 28.1850 Security Identifier: BABA CUSP 01609W102 411,749.00 79.5300 Security Identifier: AZSEY CUSP 018805101 36.912.00 31,600.00 112,425 00 397,650.00 Account Num Der. N4G-023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) FV ON F I DESITIA L SOUTHERN LLC. 16,912.00 .367,006 00 -91.781.00 .47,099.00 Page 6 of 19 Rated taroller4 Lvery Vee, Since 7007 DAL OAR ,TED COMMUNCATIONS rxciumer .17.:=7....... '- '1:==1.7 art= SDNY_GM_00046141 O13-SDNY-00O8965 EFTA_00 1 56750 EFTA01289113 Deutsche Asset & Wealth Management P.O. Box 1778, BaMimorce, M021203 Portfolio Holdings (continued) Date Acquired Omantlly UM Cod Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS AOR REPSTG 1110 MS (continued) 04;13115 5,000.000 APOLLO GLOBAL NOM T LLC CL A SHS Dividend Oplion: Cash 18.0110 03129(11 1. 33 263.157.000 19 0000 APPLE INC COM Dividend Option: Cash 250,000 00 of these shares are in your margin account 10(26(13 3 14.000.000 75 5800 09(05114 124.180.000 98 9500 09105111 3 7.20.0.000 98 9500 0910511/ 18,620.000 98 9500 01111(16 250.000.000 99 0000 Total Covered 411,000.000 Total 411,000.000 ARM PHARMACEUTICALS INC Dividend Option: Cash 02111(12'.13 7.535.000 152090 01121113'.13 9,000.000 198000 Total Noncovered 18,535.000 Total 18,635.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01/16101 70.500 000 BASF SE SPONS AOR ISIN8 LS0552625057 Dividend Option: Cash 04113115 (70.((e Si. 0,00 V000. Manarent MWRISIDevarGtop.p Cost Basis Market Price Market Value Statement Period: 06/01/2016 - 06/30/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 90,056 00 14.1980 Security Identifier: APO CUSIP 037612306 1.999.983 00 15.1500 Security Identifier: AAPL CUSIP 037833100 1.058.120 50 12.287.615 97 712.110 29 1,812,449 71 21350.006 00 10,850,832.50 95.6000 95.6000 95.6000 95.6000 95.6000 310,850,83350 Security Identifier: ARIA Cli&P 040334100 114.597.10 7 3900 176,100.00 7 3900 290097.10 5290,997.10 Seaffity Identifier: ASNA CUSIP: 013516101 21 2770 1,500.000 00 6 9900 Security Identifier: BASFY CUSIP 055262505 5 000 000 101.6110 BANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash ()PAP 2011 CONFIDENTIAL — PURSUANT TO FED R CRIM. P. 6(e) ONiFIDESMAL SOUTHERN LI.C. 508.056.00 76.2560 Security Identifier: BK CUSIP 064058100 70.990.00 3.986.828.55 1,338,400.19 11,871,607.97 688.319.83 1,780,072 18 23.899.999 83 39,578,100.00 $39,578,400.00 55.683.65 66,510.00 122,193.65 $122,193.65 092.795 00 381,280.00 Account Num ber. N40-023804 Go paperless .19,066 00 .1.013.15415 280.279.69 -116.008.00 •24.12016 -62,377.56 .850.006.17 1,072,231.50 .$1,072,232.60 48,913.75 -109G90.00 -188,80335 -6168,803.75 -1.007.20500 .126176.00 3,059.77 4.31% 342.104.10 8.58% 31.920.00 2.38% 283.130.10 2.38% 16,416.00 2.38% 12,453.60 2.38% 570.000.00 2.38% 943,920.00 5943,910.00 30.00 12.163 55 3.19% Page 7 of 19 IIMW tacelloni (very Vs0 51007 2007 DAL BAR RAT COMPAUNCATIONS rximurmer SDNY_GM_00046142 O13-SDNY-0008966 EF114_00 I 5675 I EFTA01289114 Portfolio Holdings (continued) Dale ired Ottani Unit Cost Equities (continued) Common Stotts (continued) BANK OF NEW YORK II ELIO N CORP CON 06125114 250,000 000 BIOGEN IDEC INC COM Dividend Option: Cash (continued) 36.3060 02114112 '.13 2,095.000 119 5490 CENTIME CORP DEL COM Dividend Option: Cash 09108114 15,550.000 63 6450 DISH NETWORK CORP CL A Dividend Option: Cash 06/10/15 5,000.000 72 9960 FACEBOOK INC CL A Dividend Option: Cash 05117/12 '.13 17,600.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 25.000.000 27 5070 08(05114 24,830.000 23 2530 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113 '. 13 23.000.000 21.5700 GENERAL M TFtS CO COM Dividend Option: Cash 11118110 ' 10,968.200 36.4010 12109/10 ' 80.536.800 36.8180 Total Nonoovered 97,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02/05114 5,000.000 792810 03107/14 3,100.000 79.6120 Total Coveted 8,100.000 Total 8,100.000 Cot Basis Market Price Market Valet Uerealized Gait Loss Estimated Estimated Annual Income Yield 9,076,406.00 38.8500 Security Identifier: BIIB CUSP. 09062X103 250.454.95 241.8200 Security Identifier: CNC CUSP. 151358101 989.679.75 71.3700 Security Identifier: DISH CUSP: 2547011109 364.978.00 52.4000 Security Identifier: RI CUSP: 3030311102 665,000.00 114/800 Security Identifier: FM I CUSP: 350465100 687,663.50 18.6600 577,373.02 18.6600 1,286,038.52 91,266,030.52 Staidly Identifier: GE CUSP: 369604103 496,109.08 31.4800 Security identfiler: GM CUSP: 37045V100 28.3000 28 3000 399,976.16 3,185,969.22 3,586 947.38 03,06,947.38 Security Identifier: GILD CUSP 375558103 396,407 00 83.4200 246,797.00 83.4200 643,204.00 6843,204.00 GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK 0 widend Opbon Cash CUSP 37733W105 9,712,500.00 506,612.90 1.109.803.50 262,000.00 1,999,900.00 466,500.00 463.327.80 929,82710 $929,827.80 724,040.00 310,966.07 2,448,991.43 2,760,957.60 $2,759,957.50 417.100 00 258,602.00 875,702.00 $675,702.00 Account Number. N4G-023804 Go paperless SO L TH ERN Cti. NJ F I D.-ENT-NAL CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) 636,094.00 256,157.95 120.123.75 •102,97800 1,334,900.00 ,221,163.50 -114.04522 -336,208.72 -63315,208.72 227,930 92 .89,012.09 ,736,977.79 ,826,989.88 -6826,989.88 20.693.00 11,606.00 32,498.00 632,498.00 170.000 00 1.75% $1.00 21,160.00 2.92% 16,702.08 5.37% 131,535.94 5.37% 148,238.00 $148,238.00 9,400.00 2.25% 5,828.00 2.25% 16,228.00 616,228.00 Page 8 of 19 Rated tscolleni Lowy Year Since 2007 DAUM. RATED COMMUMCATIONS rxestmier SDNY_GM_00046143 OB-SDNY-00O8967 EFrA_00 156752 EFTA01289115 Deutsche Asset & Wealth Management PO &a 1776, &Amon% MO21203 Portfolio Holdings (continued) Date Acquired Equities (continued) Common Stocks (continued) Gin XOSM ITH KLINE PLC SPONS ADR (continued) 06/10115 5,000.000 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM 8 1 WT EXP Dividend Option: Cash 43.0010 215,006.00 43.3400 Security Identifier: GPACU CUSP 37954X204 07130115 ' 2.000 000 10 0000 20.000 00 9.8000 GODADDY INC CL A Dividend Option: Cash Security Identifier: GO DT CUSP 380237107 04101115 700.000 20 0000 14.000 00 31.1900 MATCH GROUP INC CON Dividend Option: Cash Security Identifier: M TCH CUSP 57665R106 11116115 200.000 12 .0000 2.400.00 15.0750 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash Security Identifier: SGM 0 CUSP. 800677106 05128113',I 3 50,000.000 8.4410 422.214 00 5.7900 SANTANDER CONSUMER USA SLOGS INC COM Dividend Option: Cash Security Identifier: SC CUSP 8028314101 01123114 1.000.000 24 0000 24.000 00 10.3300 SQUARE INC CL A Dividend Option: Cash Security Identifier: SO CUSP 852234103 11119115 200.000 9.0000 1,800.00 9.0500 TERRAFORM GLOBAL INC CL A Dividend Option: Cash Security Identifier: GLBL CUSP 8810414101 07131115 400.000 14 8300 5.931.84 3.2600 TWITTER INC COM Dividend Option: Cash Security Identifier: TIV TR CUSP 901841102 11107113 1.500000 26 0000 39.000 00 16.9100 VIACOM INC NEW CL 8 Dividend Option: Cash Security Identifier: VIA8 CUSP 92553P201 Qeantity Uilt Cost R•ni Wolin PAnair,tat Mnts tovet•gtO•ap Cost Basis Market Price MIAN V, Markel Valve 216,700 00 19.600.00 21.833.00 3,015.00 289,500.00 10.330.00 1,810.00 1,304.00 25.365.00 Account Number. 1146423801 Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67e; THERA ENO. LI.C. Ni F I DESTITAL Statement Period: 06/01/2016 - 06130/2016 Unrealized Wind Loss 1,694.00 •40000 7.633.00 615.00 -132,714.00 •13.67000 10.00 -4,627.84 -13,035.00 Estimated Estimated Annual Income Yield 11.580.91 5.34% 41000 33.74% Page 9 of 19 Rated 4I.S Envy Year Since 2007 DAL BAR RATED COMMUNICATIONS rxenurmer SDNY_GM_00046144 OB-SDNY-0008968 EFIA_00156753 EFTA01289116 Portfolio Holdings (continued) Dale Appired Quatity Limit Cod Equities (continued) Common Stocks (continued) VIACOM INC NEW CL B (continued) 06110115 5,001000 67.7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option: Cash 04113115 5.000.000 501610 WISDOM TREE IN VTS INC CON Dividend Option: Cash 03131115 15,000.000 21 6110 338,745.00 41.4700 Stonily Identifier: VLKAY CUSP: 928662303 254,306.00 26.7520 Security Identifier: W ETF CUSP: 97717P104 324,157.50 9.7900 207,350.00 133,760.00 146,850.00 .131,395 00 .120.546 00 -177,307.50 8.000.00 91.85 4.800.00 3.85% 0.06% 3.26% Total Common Stocks 188,135,881.92 184,998,834.90 -$3,138,827.02 91,880,788.18 Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - Security Identifier: ALLY PM 8.125% FRED DRILY MATY-0211512040 CALL CUSP. 361860208 ANYTIME 0 25 W130 OATS BEGINS 02/15116 Dividend Option: Cash 02122112'•12 80,000.000 23.5350 1,882,773.60 24.8200 1,985,600.00 10212640 162 500 00 8.18% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT SER T PFD CPN-7.25% FRED DRILY F'ERP M TY CUSP. 780097713 CALL@ 25 ANY W130 D NOTICE AFTR 12/31/12 Dividend Option: Cash 10124112 '.13 40.000 .000 23 7900 951.600.00 25.2100 1.008.399.99 56.799 99 72.500 00 7.18% 01107113 '.12 40.000 000 24 4400 977.600.00 25.2100 1,008,399.99 30.799 99 72.500 00 7.18% 01114113 '.13 40,000 000 24 8800 995,200.00 252100 1,008,400.02 13,200 02 72,500 00 7.18% Total Noncovered 120,000.000 2,924,400.00 3,025,200,00 100,800.00 217,500.00 Total 120,000.000 $2,924,400.00 $3,025,200.00 1100,800.00 $217 500.00 Total Preferred Stocks $4907,173.80 15,010,800.00 $203,828.40 1380,000.00 Total Equities 172,942,835.52 170,009,834.90 -$2,933,200.62 12,060,786.18 Unaided Estimated Estimated Date Acuired QuaetNY Uoil Cod Cod Basis Market Price Markel Value Gold Loss Mnual Income Yield Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60,000.00 of these shares are in your margin account 12111/13 60,000.000 49 4350 Total Exchange-Traded Products Cod Basis Market Price Markel Value Unrealized Geld Loss Estimated Estimated Mnual Income Yield USAF, VL I Security Identifier: DXJ CUSP. 97717W851 2,966,098.50 38.7800 92,988,098.50 2,326,800.00 02,326,800.00 .639,298 50 -8839,298.50 51,983.40 2.23% 051,983.40 Page 10 010 Account Number N46-023804 Go paperless 4t) Rated [salient, F I DriTnAL SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Ivor, Vsir SOSO, 2007 DAUM. it0 TEO COMMUNICATIONS rxesurnaer ••••••eima --••••••••..flue.•e SDNY_GM_00046145 OB-SDNY-0008969 EFTA_00 56754 EFTA01289117 Deutsche Asset & Wealth Management ea &a 1778, Balmer*, MA 21203 Portfolio Holdings (continued) Drallsev Ram r. .. wean savvernan Maniet$ COMM 00.p Cod Basle Market Value Statement Period: 0610112016 • 06/30/2016 Unrealized Accrued Estimated Gain/ Loss Interest Annual Income Total Portfolio Holdings 3103,595,410.96 $102,140,662.70 -13,314,980.76 3385,513.27 63,777,098.34 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 ('IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered "noricovered." under the new cost basis reporting rules. and marked or denoted as such. M 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 non4ettement, 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 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 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 form 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 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. OBAS ROLL Account Num be; N46023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I D ENT1A L SOL THERA cr.) KJ Page II of 19 Rated I...1bn' (very Yew Slate 2007 DALBA. RAT CO COMMUNICATIONS rxararnaer nt Tr, • t. =nests.v— vr.v. SDNCGM_00046146 DB-SDNY-0008970 EFTA_00 156755 EFTA01289118 Schedule of Realized Gains and Losses Current Period Date DescriMioe Disposed Date Acquired Designation Disposition Method I Transaction Quantity Proceeds Cost Bads Realized Wet Loss Long Term WASHINGTON MUT NIG S 06124116 004•RA2 MTG PASSTHR11 CIF CL 8-1 VAR RATE 6330% 07125133 Security Identifier: 939338520 12113113 Noncovered'. REPYMT OF PM Original Cost Basis 1 429 30 1.290 000 000 1.867 91 1,429.30 438.61 Total Long Term 1,861.91 1,429.30 438.61 Total Short and Long Term 1,867.91 1,429.30 436.61 • 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 ('IRC") (incorporating amendments enacted by P.L.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 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 rued payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. This Schedule may not reflect al 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 aid versus any subsequent reports, including your 1099-B 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 property 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 trod 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 n the preparation of your tax returns. 1 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 alternation. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot 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, Fist Out (FIFO). Your accounts 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 time of the security disposal, and this may be reported on the IRS Form 1099-B. Page 12 of 19 Account Num ber. N4G-023804 Rated Excellent, DOAN 901.1 GO paperless Van 540C. 2007 SOUTHERN C5 NJ DAL OAR RATED COMMUNICATIONS rxesurtraer CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) NJ F I DrifilAL oer.L:7:6=="0..=="'"-= SDNY_GM_00046147 DB-SDNY-0008971 EFTA_00 I 56756 EFTA01289119 Deutsche Asset & Wealth Management Dralsev RIM P.P.,. W,Yn Mair , ryd P.O. Box 1770, BaOmar*. MD 21203 M essages Statement Period: 0610112016 - 06/30/2016 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 produces disclosure document or contact your advisor for additional information. Pursuant to SEC Rule l Ob-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. If Ankle 15 of the EU Securities Financing Transactions Regulation ('SFTR•( is applicable to you, please refer to Ittps://wempershing.corni_global-assetsipdfidisclosures/peneu-article-15-info-strntpdf for access to an information statement disclosing the risks and consequences of delivering non-cash collateral under a relevant collateral arrangement with Pershing I1C (including a margin account). This statement does not amend or supersede the express terms of any transaction, collateral arrangement or otherwise affect your or our liabilities or obligations. Please contact your financial professional if you have any questions. Activity Sum m ary (Alf 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 Secontles Securities Bought 000 000 000 0.00 -24.75840600 -24.758.40600 Securities Sold 0.00 000 0.00 717.689.76 0.00 717.689 76 Securities Deposited 000 000 0.00 5,185,557.00 0.00 5 165 557 CC Total Securities $0.00 $0.00 30.00 15,903,246.76 -$24,158,408.00 .$18,655.159.24 Dividends and Interest 6211,376.27 60.00 $211,318.27 81,898,515.70 -390,911.10 61,805,604.60 Distributions $0.00 60.00 30.00 14,604,473.21 $0.00 $4,504,473.21 Fees $0.00 •62.00 -62.00 $0.00 -8388.00 -$368.00 'faxes Withheld $0.00 -$32.90 -632.90 $0.00 -65,558.07 -$5.558.07 Cash Withdrawals 0.00 -1.000,000.00 -1,000,000.00 0.00 -11,891,591.92 -11,891,591.92 Deposits 0.00 0.00 0.00 8,613.530.99 0.00 8,613,530.99 Total Cash $0.00 -$1,000,000.00 -$1,000,000.00 18,813,530.99 -811,891,59132 -13,278,080.93 Totals 8211,378.27 -$1,000,034.90 -$788,656.63 $20,917,78636 -$36,748335.09 .$15,829,068.43 Page 13 of 19 Account Number: PM-023804 SOL THEM K1 F I DrErriAeilt RAM[ molls M Every va. since 2007 DAIDAR RATED COMMUNICATIONS MAIM NA Am., "..., "n"..0 rxarturnaer raratrot=" 14.....TIIIIIIIIIIMMOIIMO SDNY_GM_00046148 Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIN1. P. 6(e) OB-SDNY-0008972 EFTA_00 156757 EFTA01289120 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaidtion Dean Price Accrued littered Moult Curren Dividends and Interest 06115116 CASH DIVIDEND RECEIVED 3696040M4 06123116 CASH DIVIDEND RECEIVED GM 06124116 CASH DIVIDEND RECEIVED OM 06/27/16 FOREIGN BOND INTEREST 539439AG4 06/27/16 BOND INTEREST RECEIVED 939336S20 06129/16 CASH DIVIDEND RECEIVED GILD 06130/16 MONEY MARKET FIEND INCOME RECEIVED 233993682 06/30/16 FOREIGN SECURITY DIVIDEND RECEIVED Ft1S PRT 06/30/16 FOREIGN SECURITY DIVIDEND RECEIVED VLKAY GENERAL BIC CO GTD FXD-TO-FLTG RT NON-CUM 6 LATIVE 4.000% 12103165 REG RD 6/14 PO 611 5116 DIV(' 20.0 2169000SHS 97525 SI•RS GENERAL M TRS CO COM RD 06/10 PO 06/23/16 60000 SF RS WISDOM TREE TR JAPAN HEDGED EQUITY PD RD 06/22 PD 06/24/16 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISM/ US539439AG42 7.500% 0/127188 WE DTD 04107/14 CLB RD 06/21 PD 06/27/16 1290000 WASHINGTON MLTMTG SECS CORP 2004.12/L2 WIG PASSTFRL. CTF Cl. C-B-1 VAR RATE 6.330% 07125133 WE DTD 06101104 RD 05131 PD 06125116 8100 ShRS GILEAD SCIENCES INC RD 06/16 PO 06/29/16 DELTSCFEGOVT CASF 120000 SF RS ROYAL 8K SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPA -7.25% FRED DRILY PERP II TY CALLA 25 ANY W/30 D NOTICE ARA 12/31112 RD 06115 PD 06/30/16 5000 SFRS VOLKSWAGEN AG ADR(SPONS) RD 06/22 PD 06/30/16 49.38010 37.059.50 26.100.00 35,681.25 3,310.75 3,807.00 1,538.02 54,375.00 124.75 LSO LSD LSD LSD LSO LSD LSD LSO LSD Total Dividends and Interest • U.S. DOLLARS 0.00 211,376.27 Fees 06/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 2016 CLSIP: G/SI5P-P4.8 -2.00 LSO G1S15PP48 Total Fees - U.S. DOLLARS 0.00 .2.00 Taxes Withheld 06/30/16 FOREIGN TAX WITHHELD AT 5000 SI-RS VOLKSWAGEN AG ADR(SPONS) RD 06/22 PD .32.90 LSO THE SOURCE 06/30/16 VIKAY Total Taxes Withheld • U.S. DOLLARS 0.00 .39.90 Cash Withdrawals and Deposits 06/17/16 FEDERAL FL NOS SENT TD BANK, NA .1.000,000.00 LSO LSD999997 Total Cash Withdrawals and Deposits • U.S. DOLLARS 0.08 .1,001000.00 tlitAtt VOI Account Number. N4G-023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDE1SMAL SOL THEW, LLC. Rsd tacelbrifi beefy Year Since 2007 DALBAR RATED COMMUNCATIONS rxararnaer Page 14 of 19 *Tr. 7: rmI r = SMIY_GM_00048149 DB-SDNY-0008973 EFTA_00I56758 EFTA01289121 CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) Deutsche Asset & Wealth Management P.O. Box 1778, Uhlman, MO 21203 Transactions by Type of Activity (continued) Process! Settlement Dale Activity Type Desaiption Quantity Price Accrued Interest Isre Mn. 00•410 "Malin Mamie-wan Pent% Iowa,. Gto.p Des-b1h4 Mai sewn.% Ac Coto Hann Anne0.16ffiltir New Rn ktt 1011.4 Inn 454.71111.1115178114MS Statement Period: 0610112016 • 06/3012016 I Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received Amount Currency 0.00 -788,658.63 USD Secatity Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COM 06120116 07/25116 23.000 000 0.230000 Cash 5.290.00 NACOM INC NEW Ct. B 06115116 07(01116 5.000 000 0 400000 Cash 2.000.00 Total Cash Not Yet Received 87,290.00 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 years 3,944,670.00 16% 610 10 years 1,657,300.00 8% I Over 10 yea's 18,182,739.40 76% 0 Total 23,984,709.40 100% Bond Quality Bondi:totality Market Value A 2,469,000.00 BAA 9,947,550.00 BA/Lower 11,568,159.40 Total 23,004,709.40 % of Bond Market Value Percentages of bond market values are rounded to the nearest whole percentage. 11% 41% 48% 100% Percentages of bond market values are rounded to the neatest whole percentage. Page 1$ of 19 Account Number: N4G4123804 SOL THERA F I DrErriA _ tea, Rated Luanne (very Year siva 2007 DAL BAR RATED COMMUNICATDONS rxenurraer MiAll Lek I Go paperless SDNY_GM_00046150 08-SDNY-0008974 EFIA_00 156759 EFTA01289122 Client Service Information Your Client Advisor: DA', DANIEL SABBA 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 far 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 turn off paper tom m unications, log in to your account or contact your Oient Advisor for mare inform ation. 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 '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. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain secur ties. including thinly4raded securities. debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price vrill purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 subbed to change at any tine, 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 vnvw.pershing.conxbusiness_conbnuky.htrril 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, Mduding the time of execution and the name of the person from Page16 of 19 ORM, Roll Account Num be; N46023804 GO paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DrwriAL SOUTHERN rt., KJ R.I.d [scones bray V... since 2007 DAL OAR RATED COMMUNICATIONS rxesartraer ••C SDNY_GM_00046151 DB-SDNY-0008975 EFTA_OO 156760 EFTA01289123 Deutsche Asset & Wealth Management P.O fica 1776. Skidmore. MO21203 Important Inform ation and Disclosures (continued) Drolly , e Si,, P.,.,', Wealth Ma na Prom Comm, 4,ap Statement Period: 06/01/2016 • 06/30/2016 Reinvestment (conlnuect) whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order bow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinnatims 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 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 singer 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 depositorieslvAll 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 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 & 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 ratans 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 lit orders for the purchase and sale of securities and other property and (ii) any other Ostructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or is employees and It does not supervise them. Pershing provides no investment advice nor does it assess the sugability 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 Pagel? of 19 Account Kum bet N4G-023804 Rated tacellona ORAN MEAL L Go paperless ERA DALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OKIFIDEISITIAL rxammer .1:..:Lron..31t1=.”:""t• SDNY_GM_00046152 OB-SDNY-0006976 EFIA_00 I 56761 EFTA01289124 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 yo • or 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 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 sta • 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: vAmv.pershing.corniaboutistrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng 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-conlimed in writing to further protect your rights, including your rights under the Secitilies 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 cart. 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 reasons) for their awatd, 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 brining 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 019 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTIAL Account Number. N46.023804 Go paperless SC L THERA ttoKi Raba Excellent, (vent Vs, Since 2'007 DALBAR RATED COMMUNICATIONS oar .L:74.7=.r...r *t-= weietise —waver., wet mim SDNY_GM_00046153 OB-SDNY-0O08977 EFIA_00156762 EFTA01289125 S✓JL THERA nri CONFIDENTIAL - PURSUANT TO FED. R GRIM. 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 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, 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 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 6 COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A GOWNED 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 NSPECTION 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 TM INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAX/ISLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CA ANSIFICATION 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 PERSHNG 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 TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC CPERSH INC') 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 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 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 AVALABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION 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.COINDISCLOSURES • THIS STATEMENT SHOULD BE RETARD) FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 807(AX1H2/T 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. PERSHNG 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 EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG 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 SPECFIED 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 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 THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONOITONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERS-ING IMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT Page 10019 Account Num Del. N4G-023804 pisperless rargyvtrUac*". 2007 F I DA ENT/AL„.....„ RA4lItiag C°MMISICATIONS SDNY_GM_00046154 OB-SDNY-0008978 EFIA_00156763 EFTA01289126 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 O,.Iu RIM POW,. Wealth mannewn Account Number: N46-023804 Statement Period: 0510112016 -0513112016 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $102,566,621.05 6103,281,617.80 6100 RED HOOK QUARTER B3 Nel Cash Deposits and Withdrawals 010 -2,278160.93 ST THOMAS VI 00802 Nel Securities InlOut of Accounl 0 00 5,185,557.00 Adjusted Previous Account Value 102,566,621.05 101,192,113.87 Dividends, Interest and Other Income 783.038.30 1.733.701.51 Total Taxes Withheld -5,525.17 -5.525.17 Net Other Activity -202.00 -366.00 Your Client Advisor: Net Chan ie in Porlfolio 3.457.715 84 .1.118.276 22 DANIEL SABBA riding Account Value S106 801 648 02 8106,801 648 02 Accrued Interest 8336 39187 Estimated Annual Income S3.788.87414 Asset Summary Prior Year-6d Lag Period Ibis Period % Allocation LSD Cash. Money Funds. and Bank Deposits 26,834,113.83 2,662,826.11 8,608,177.03 6.19% LSD Axed Income 20,212,233.86 20,011,11819 20,252,105.15 18.96% hon.L SD Fixed Income 5,198,785.00 3,771,721.50 3 786,89750 3.55% LSD Equities 47,972,851.11 73,611431.72 73,190,392.04 68.81% hon-LISD Equities 3.038.821.00 2.196.520.00 2.663.778.00 2.49% Account Total (Pie Chart) 1103,211,617.80 $102,566,621.05 6106,80164812 100.00% See the Asset Summary Disclosure and Footnotes secto for important rtforrnation regarding your Asset Summary. DRAB MINI CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1 Please review your allocation periudicalty wth your Client Adviser. Page 10 19 B009878TCSF30016 CON F I D(351)ff‘rfisAL Rated Emellonl Every V.A. siva 1.007 DALBAR RATED COMMUNICATIONS xart unser rettne rette..."4 noetee er"=" err-136 •iee SDNY_GM_0004615.5 OB-SDNY-0008979 EFTA_00 156764 EFTA01289127 Asset Summary Disclosure and Footnotes AM values are displayed in U.S. dollars based on interbank exchange rates as of 05/3112016. 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 3.039 76 3039 76 52.748 00 Long-Term Gain/Loss 652.218.48 1.089.348 89 451.649.51 Net GalnlLoss 655,258.21 1,092,388.65 501,387.51 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. 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 Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield. 0.28% Activity Ending 05/31/16 04130/16 Opening Balance 2.662.826.11 2.662.826.14 05/03/16 Deposit MONEY FUND PURCHASE 197,498.00 2,860,324.14 05/10116 Deposit MONEY FUND PURCHASE 12,163.55 2,872,187.69 05/13/16 Deposit MONEY FUND FURCFASE 235,980.00 3,108,167.69 05/16/16 Deposit MONEY FUND PURCFASE 3,210,559.77 6.319.027.46 05/11/16 Deposit MONEY FUND PURCHASE 205.576.64 6.524.604.10 05119116 Deposit MONEY FUND FURCFASE 11,139.76 6,536,043.86 05126/16 Deposit MONEY FUND PURCHASE 5,191.96 6,511,238.82 05131116 Deposit INCOME REINVEST 1.118.96 6.542.387 78 05131118 Closing Balance $6,512,381.18 Total All Money Market Funds $6,542,381.78 PILO& 19 Account Num ber. N40-023804 SOUTHERN LLC. Go paperless U SAF, CONFIDENTIAL — PURSUANT T vOt O FED. R. CRIM. P. 6(e) ONFIDENT' IAL Itatad tscolibra (very V... Uwe 2007 DAL BAR RATED COMMUNICATIONS rxarturries SDNY_GM_00046156 DB-SDNY-0008980 EFTPx_00 156765 EFTA01289128 Deutsche Asset & Wealth Management P.O. Boa 1770, Banimore, MD 21203 Income and Expense Summary Dividend Income Equities Money Market Other Dividends Interest Income Bond interest Other Interest Expenses Margin Interest Withholding Taxes Fees(Fomign Securities' Total Dividends, Interest, Income and Expenses Distributions Alternative Investments Total DistrIbutions Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 6.00% of Portfolio Cash Balance Account Activity Quantity Number Ending Money M arket DEUTSCHE GOVT CASH INSTL 04130116 6.542.387 780 NIA 05131116 Total Money Market Total Cash, Money Funds, and Bank Deposits Desist.< Rana Pnwair Wean varagenms Pdaeals Coon., 6,0.1) Current Period Statement Period: 0510112016 • Year-to-Date 05/31/2016 Taxable Non Taxable Taxable Non Taxable 367,884.74 0.00 811,606.42 0.00 1,148.96 0.00 5,213.24 0.00 178,750.00 0.00 371,50010 000 37,098/1 000 331,06819 0.00 32,36664 0.00 72,991.68 0.00 0.00 0.00 0.00 .161 10 .5,525.17 0.00 6.515.17 0.00 -200.00 0.00 -250.00 0.00 $711,523.81 10.00 $1,588,614.26 -1101.10 0.00 65.789.25 000 139.473.21 $0.00 $85,789.25 $0.00 $139,473.21 Opening Balance Closing Balance Accrued Income Income This Year 3I•Day Yield Current Yield 0.00 2,862,826.14 65.789.25 6.542.387.78 0.00 5.22324 0.18% 0.28% $2,862,826.14 $6,542,387.71 $0.00 $5,223.24 $2,862,826.14 00,608,177.03 $0.00 $5,223.24 Page 3 of 19 Account Number: N4G-023804 OBAki ROI Dart ves. siv 2007 SOUTHERN i GOP aperless E; ita.a a DAUM. RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DriTriAL rxarturnser SDNY_GM_00046157 DB-SDNY-0008981 EFTA_00I56766 EFTA01289129 Portfolio Holdings (continued) Date ANL:red Fixed I Geo m e 23.00% of Portfolio (/n Mowery Date Sequence) 'Asset Backed Securities WASHINGTON NUT NIG SECS CORP 2004•RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 7.816% 07/25133 WE DTD 06/01/04 S 8 P Rating D Factor. 0.48647867 Effective Date:05102/16 Current Fact Value: 627.557 484 12113113 1.3.I1 1,290,000.000 76 5190 Security Identifier: 939336020 480.198.25 83.9380 Original Cosl Basis: 5838.906.71 526'5920 Total Asset Backed Securities 3400,198.25 0526,759.20 1,290,000.000 Total Current Face Value : 627,557.484 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED Security IdenUffer: 270321AC8 CUSP FROM 270321A86 8.875% 05/15119 WE DTD 05117/11 CALLABLE 06130/16 St P Rating CCC. 10122/12 '.3.12 146,000 000 102 5060 149,659.06 1022500 149,285.00 Original Coq Basis: $151,110.00 10/23/12'•3.12 600.000 000 102 4510 614.703.12 1022500 613400.00 Original Cost Basic 3619,500.00 Total Honoured 740,000.000 764,360.16 762,765.00 Total 746,000.000 1784,362.10 3762,705.00 FRONTIER COMMUNICATIONS CORP Security Identifier: 3590SAAH1 SR NT 6.500% 04/15/20 WE DTD 0412/10 1ST CPN DTE 10/15/10 Moody Rating BA3 S P Rating BO 07106/15 3,000,004.000 104 7750 3,143,237.06 105.8150 3,176,250.00 Original Coal Ban's' 53,171,006.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: G4S1SPP48 TERM NOTES ISMS VS0717735622 9.875% 12/18121 REG DTD 12/16111 Moody Rating Baal S P Rating BBB 12104/13 '•3.12 1,500,000.000 106A560 1,596,837.57 104.0760 1,561,140.00 Original Cod Basis: 51627,500.00 BARCLAYS BK PLC CONTINGENT CAP NT Security 'dentin er: 0($739FHKO ISN US06739FF KO3 7.750% 04/10/23 B/E 010 04/10/13 CALLABLE 04/10/18 St P Rating BB. 04/03/13 '.12.13 300,000.000 1001000 300.000.00 106.0000 318,000 00 Ouaatlty Unit Cod Adjusted Cott Basis Market Price Markel Valve Unrealized Gala/ Lots Accrued Interest Estimated Estimated Annual Income Yield 04'0,e7,7CSF' , l)fent, Le,. I Original Coal Basis' 5300,000 00 46,560.95 3,983.18 $48,580.05 33,903.16 00.00 -374.06 575.89 12,957.50 6.67% -1.203.12 2,366.67 53,250.00 8.67% -1,57718 2,942.56 66,207.50 -$1,571.16 62,942.56 $66,207.50 33,012.94 32,583.33 255,000.00 8.02% -35.697.57 67.479 17 148,125.00 9.48% 18,000 00 3,293.75 23,250.00 7.31% Page 4 of 19 Account Number: N40423804 kilted excellenti Go paperless NFIDENTIA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) (very Year Sante 2007 DAL BAR RATED COMMUNCATIONS I %CIL L •••••••utt nommen.... Wet NIC SDNY_GM_00046158 OB-SDNY-0008982 EFT:4_00156767 EFTA01289130 Deutsche Asset & Wealth Management 0c0 1770, BaNamara, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1/10Th PFD SER 1 FIXED TO FUG RT BD 1.900% 04129149 WE DTD 01123108 Moody Rating BM3 S P Rating BBB- 06/15111 '.3.12 2,500,000.000 107.5000 2,887,500.00 102.2500 2,658,250.00 Original Cost Basis: 52,687,500.00 06115111 ' . 3.12 2.500,00t000 107.0000 2,675,000.00 102.2500 2,556,250.00 Original Cost Boris: 52,675,000.00 Total Noncovered 5,000,000.000 5,362,500.00 5,112,500.00 Total 5,000,000.000 $5,362,500.00 55,112,500.00 BANK AMER CORP PERP NON COM ULATIVE DEP SHS FRIED TO FLOAT 8 125% 04130158 BIE DTD 04130108 CALLABLE 05115118 Moody Rating BA2 S8 P Rating BB4 Security Identifier: 060505DT0 01410111 2.000,000 000 102 7500 2,055,000 00 101 0000 2,020,000.00 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117162 WE DTD 01117112 CALLABLE02401122 Q 100.000 Moody Rating BAA1 S8 P Rating BBB- Original Cost Basis 52.055.000 00 Security Identifier: 042400FU2 01130112 '.3.12 3,000,000.000 99 8410 2,995,224.73 110 5000 3,315,000.00 GENERAL ELEC CO GTD FXD-TO-FLTG RT NONCUMULATIVE PERPETUAL FREFERREO 4.000% 12103165 REG 010 12/03415 Moody Rating A3 S P Rating M- Original Cost Bass 52992.564 97 Security Identifier: 369604BM 4 12103115 ' 2,469,000.000 88 0930 2,175,016.17 97.6250 2,410,361.25 Adjusted Cost Basis Dralsi, e Ram Pon. Wean Manarrat Vinett. Corerw4,t,p Market Puce Markel Value Statement Period: 0510112016 - 05/31/2016 Unrealized Gain/ Loss leaned Interest Estimated Estimated Annual Income Yield Security Identifier: 46625HHA1 L,,:090787CSF31:,1, VBAS XVI I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Original Cost Basis: 52,175,016.17 .131.250.00 16,458.34 197.500.00 7.72% .118,750.00 16,158.33 197.500.00 7.72% -250,000.00 32,916.67 395,000.00 4250,000.00 $32,016.67 5395,000.00 •35,00000 7,222 22 16250000 8.04% 319,775 27 62,500.00 187 500 00 5.85% 235,345 08 45,539 33 98,760.00 4.09% Page 5 of 19 Account Number: N4G423804 SOUTHERN Go paperless Railed Caroller. bran, V... vac. 2002 F I DASTriA OAaamt RATED COmenumaCaTsOrd exclaimer .7r.t.tro..117==.' SDNY_GM_00046159 DB-SDNY-0008983 EFTA_00156768 EFTA01289131 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) 5LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIN 5,539439AG42 7.500% 04/27/88 BIE DTD 04/07/14 S 8 P Rating BEI. Please Provide' 1.903.000.000 N/A CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 WE DTO 08/12/15 CALLABLE 08/15120 0 100 000 Moody Rating BA2 S 8 P Rating 084 08/06/15 3.000.000.000 100 0000 Total Corporate Bonds 22,918,000.000 Adjusted Cost Basis Market Price Security Identifier: $39439AG4 Reese Provide 100.2500 Original Cost Basis: Please Provide Security Identifier: 1729872S 3,000,006.00 97.6250 Original Cost Basis: 53,000,006.00 $21,392,183.71 Total Fixed Income Date aired 24,208,000.000 Quaid Unit CoM $21,872,381.96 Cost Basis Market Price Markel Value 1.907.757.50 2.928.750 00 223,512,643.26 $24,039,302.95 Market Value Unrealized Gala! Los Accrued Interest Estimated Estimated Mnual Income Yield N/A 25,373.33 142.725 00 7.48% •71,256.00 52,558.33 178,500.00 6.09% $212,602.54 $332,408.69 11,657,562.50 $259,163.49 $336,391.87 $1,657,567.50 Unrealized Gain/ Loss Estimated Estimated Mnual Income Yield Equities 69.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS 15114N10010831061 Dividend Option: Cash 08101/11 800.000 25 0000 ADVERUM BIOTECHNOLOGIES INC COM Dividend Option: Cash 10,000.00 of these shares are in your margin account 04120/15 10,000.000 39.8610 AKORN INC COM Dividend Option: Cash 06110/15 5.000.000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS l9k*LS01609W1027 Dividend Option: Cash 06110115 5.000.000 88 9500 ALUANZ SE SPONSADR REPSTG 1/10 SHS Dividend Option: Cash ()KAM von Security Identifier: M BLY CL SI P N51488117 20.000 00 37.9700 Security Identifier: ADVM CLSIP 0077311108 398.606.00 4.5200 Security Identifier: AKRX CUSP: 009728106 234.206.00 29.8900 Security Identifier: BABA CUSP: 01609W102 444,749.00 82.0000 Security Identifier: AZSEY CUSP. 018805101 Account Number. N4G-023804 30.376 00 45.200.00 149.45000 410.000 00 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN FJMjN NF IDAENTIAi_ 10,37600 ,353,406.00 -84.756.09 .34,749.00 Page 6 of 19 Rated tacelbrdi tvwy Sinew 2'007 DALBAR RATED COMMUNICAtIONS rxentrwer SONY GM00046160 DB-S6NY:0008984 EFTA_DO 156769 EFTA01289132 Deutsche Asset & Wealth Management P.O. Bow 1778, Skidmore. MO21203 Portfolio Holdings (continued) Date Acquired Omantity Vail Cost Equities (continua) Com mon Stooks (continued) ALLIANZ SE SPONS AOR REPSTG 1110 MS (continued) 04113115 5,000.000 18.0110 APOLLO GLOBAL N GM T LLC CL A VI 5 Dividend Oplion: Cash 03/29/11 '.13 263.157.000 APPLE INC COM Dividend Option: Cash 250,000.00 of these shales ale in your margin account 10126/13 3 14000.000 75.5800 09105114 121.180.000 98 9500 09105114 3 7.200.000 98 9500 09/05/14 1 18,620.000 98.9500 01111116 250,000.000 99.0000 Total Covered 411,000.000 Total 411,000.000 ARVID PHARM ACEUTICALS IN C Dividend Option: Cash 02/11/12 '.13 7.535.000 151090 01124/13 '.13 9,000.000 19 6000 Total Noncovered 18,636.000 Total 18,636.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01/16/01 70,500.006 BASF SE SPONS MIR ISMS U 50552625057 Dividend Oplion: Cash 04113116 Dryllyet Min/0.4911P9Int MlinletS CeverVe 49.p Market Value Cost Basis Market Price Statement Period: 05/01/2016 - 05/31/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 90,056 00 16.3310 Security Identifier: APO CUSIP: 037612306 19 0000 4.999.983.00 16.4200 Security IdentIller. AAPL CUSP 037833100 1,058,120.50 12,287,615.97 712,440.29 1,842,449.14 24,750,006.00 40,860,832.60 640,850,632.50 99.8600 99.8600 99.8600 99.8600 99.8600 Security Identifier: ARIA CUSP. 04033A100 114.597 40 8.8500 176,100.00 8.8500 290,097.40 6290,997.40 Security Identifier: ASIA CUSP: 01351G101 21 2770 1,500,000 00 7.2200 Security Identifier: BASF/ CUSP 055262505 5.000.000 It 1 6110 BANK OF NEW YORK M PION CORP COM Dividend Option: Cash MIAMI V, 9 508,056.00 772930 Security Identifier: BK CUSP 064058100 81,855.00 4,321,037.91 1,398,04020 12.400,61417 718,991.82 1,859,393 39 24,964,999.82 11,342,040.00 641,312,040.00 66,684.75 79,650.00 116,331.76 6118,331.75 509,010 00 386,165.00 .8.401.00 •678.915.06 339,919.70 112,998.80 6,551.53 16,943.65 211,993.82 8110107.10 $891,407.60 .47,912.65 -96,750.00 -111,682.66 -0141,882.66 -990.990 00 ,121,591.00 3,059.77 3.74% 342,104.10 7.91% 31,920.00 2.28% 283.130.40 228% 16,416.00 2.28% 12,453.60 2.28% 570.000.00 2.28% 943,920.00 6943,910.00 60.00 12.163.55 3.11% Page 7 ofifi Account Number: N46423804 F I DriTriA Go paperless ekr natal [sangria SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) (very V••• Sawa, 2007 DAL BAR RAT ED COMMUNCATIONS IXCILLIFNer retriZtt===r 1= r-seaL.c ••• ••••••••, 'sync SDNY_GM_00046161 OB-SDNY-0008985 EFIA_00156770 EFTA01289133 Portfolio Holdings (continued) Date ired Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP CON 06125114 250,000 000 BIOGEN IDEC INC COM Dividend Option: Cash 02114112 *.i3 CEN NNE CORP DEL COM Dividend Option: Cash 0910811/ DISH NETWORK CORP CL A Dividend Option: Cash 06110115 FACEBOOK INC CL A Dividend Option: Cash 05/17/12 '.13 Ousith liait Cod Cod Bads Market Price Markel Value Unrealized Gainlloss Estimated Estimated Annual Income Yield (continued) 36.3060 2,095,000 119 5490 15,558000 63 6450 5,000.000 72 9960 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113'.13 GENERAL II IRS CO COM Dividend Option: Cash 11118/10 • 12109/10 Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105/14 03107114 Total Covered Total 8,100.000 GLAXOSM 1THKUNE PLC WOWS ADR Dividend Option: Cash 25,000.000 24,830.000 49,830.000 27 5070 23 2530 9,076,40610 42.0600 Security Identifier: BIIB CUSP. 09062%103 250.454,95 289.7300 Security Identifier: CNC CUSP: 151358101 989.679 75 62.3500 Security Identifier: DISH CUSP 2547011109 361.978.00 19.9000 Security Identifier: ED CUSP: 3030311102 665,000.00 118.8100 Security Ida tiller: FM I CUSP: 350465100 687.663.50 18.8500 577,373.02 18.8500 1,286,038.52 10,515,000.00 606,984.35 969,542 50 219,500.00 2,079,175.00 171,250.00 468,045.50 939,295.60 1,438,594.00 356,529.40 -20.137.25 ,115,478.00 1,414,175.00 -216,413.50 -109,32752 -326,741.02 170.000 00 1,61% 23,000.000 21.5700 10,988.200 86.536.800 97,525.000 36.4010 308100 31,206,030.52 Security Identifier: GE CUSP:368604103 496,109.08 302300 Security Identifier: GM CUSP: 370453100 399,978.16 312800 3,185,969.22 312800 3,585 947.38 $3,685,947.38 Security identifier: GILD CUSP. 375558103 87.0600 87.0600 3931,295.50 695,290.00 343,710.90 2,706,871.10 3,050,582.00 025,741.02 199,180 92 -56,26726 ,479,098.12 ,536,365.38 $0.00 21,160.00 3.04% 16,702.06 4.85% 131,53514 4.85% 148,238.00 5,000.000 3,100.000 8,100.000 79 2810 79 6120 396,107.00 246,797.00 643,204.00 $643,204.00 Security Identifier: GSK CUSP. 37733W105 $3,050,682.00 435,300.00 269.88680 705,186.00 3705,180.00 l)8At1 MOIL Account Number: N40423804 GO paperless CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 67.,""ERZON F I DAMSMAL -3535,385.38 38,893.00 23,089.00 61,982.00 $61,982.00 $148,238.00 8400.00 2.15% 5.828.00 2.15% 15,228.00 $15,228.00 Page 8 019 k.I.d [atelier, Lowy Slate 2007 DALOAR RATED COMMUNICATDONS rxclarnaer SDNY_GM_00046162 OB-SDNY-0008986 EFrA_00 156771 EFTA01289134 Deutsche Asset & Wealth Management P.O. Box 1778, BaMimorce, M021203 Portfolio Holdings (continued) Dale Acquired Equities (continued) Common Stocks (continued) GLA XOSM ITH KLINE PLC SPONS ADR (continued) 06110115 5,000.000 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM 81 WT EXP Dividend Option: Cash 43.0010 215,006.00 42.3700 Security Identifier: GPACU CUSP. 37954X204 07130115 ' 2.000.000 10 0000 20.000 00 10.0000 CHAIM INC CL A Dividend Option: Cash Security Identifier: GO DY CUSIP 380237107 04101115 700.000 20 0000 14.000 00 32.5300 MATCH GROUP INC CON Dividend Option: Cash Security Identifier: M TCH CUSIP 57665R106 11116115 200.000 12.0000 2.400.00 11.0000 SANGAN 0 BIOSCIENCES INC COM Dividend Option: Cash Security Identifier: SGM 0 CUSIP :800677106 05128113 .013 50.000.000 8.4440 422.214.00 6.9000 SANTANDER CONSUMER USA HLDGS INC CON Dividend Option: Cash Security Identifier: SC CUSP 80283M101 01123114 1.000.000 24 0000 24.000 00 12.8600 SQUARE INC CL A Dividend Option: Cash Security Identifier: SQ CUSP 852234103 11119115 200.000 9.0000 1,800.00 9.5300 TERRAFORM GLOBAL INC CL A Dividend Option: Cash kalrily Identifier: GM CUSIP 8810411101 07131115 400.000 14 8300 5,931.84 2 7800 TWITTER INC COM Dividend Option: Cash Security Identifier: TIV TR CL SP: 901841102 11107113 1.500 000 26.0000 39.000 00 15.2200 VIACOM INC NEW CL 13 Dividend Option: Cash Security Identifier: VIA8 CUSIP 92553P201 Qeantity Unit Cost Drat,' •c Mn, Fon. Vosalinmamp—wrat Minns Caro N7 G•CLP Cost Basis Market Price Market Value VSAI1 CONFIDENTIAL — PURSUANT T SOUTHERN LLC. O FED. R CRIM. P. 6(e) ON FIDESITIAL 211,850.00 20.00000 22.771.00 2,800.00 345.000 00 12.860 00 1,906.00 1,112.00 22.830 00 Account Number. N40-023804 Go paperless Statement Period: 05/01/2016 - 05/31/2016 Unrealized Gain! Loss Estimated Estimated Annual Income Yield •3,156.00 ' ' 580 91 54651 0.00 8.771.00 400.00 •77,21400 •11.14000 106.00 -4,819 81 410.00 39.56% .16,170.00 Pape 9 of 19 tocelle beefy Yee. Slate 2007 DAUM. RA T CD COMMUNCATIONS rxerarnser :7.1:7"...=.".= • .-a-gist •—•-•..........-i- SIONV_GM_00046163 DB-SDNY-0008987 EFTA_00156'772 EFTA01289135 Portfolio Holdings (continued) Date ired Quaid Belt Cod Cost Bads Market Price Markel Wee Unrealized Gals/ Loss Estimated Estimated Annual Income Yield Equities (continued) Common Stocks (continued) VIACOM INC NEW CL B (continued) 06110115 5,000.000 67.7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option: Cash 04113115 5,000.000 50.8610 WISDOM TREE IN VTS INC CON Dividend Option: Cash 03131115 15,000.000 21.6110 338,745.00 44.3700 Security Identifier: VLKAY CUSP: 928662303 254,306.00 30.8930 Security identifier: WETF CUSP: 97717P104 324.157.50 12.4000 221550.00 154,465.00 186.000.00 •116,89500 •99,841.00 -138.157 50 8.000.00 90.87 4.800.00 3.60% 0.05% 2.58% Total Common Stocks $66,135.661.92 $68,435,568.04 $299,906.12 $1580,786.20 Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• Security Identifier: ALLY PRA 8.125% FRED ORLY MATY-0211512040 CALL CUSP 361860208 ANYTIME 0 25 W130 DAYS BEGINS 02115116 Dividend Option: Cash 02122/12'.1/ 80,000.000 23.5350 1,882,773.60 25 0450 2,003,600.00 120,826 40 162500.00 8.11% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG Security Identifier: RBS PRT SER T PFD C1114.7.25% FRED DRILY P'ERP M TY CUSP 780097713 CALLO 25 MY W130 D NOTICE AFTR 12/31/12 Dividend Option: Cash 10124112 '.13 40.000 000 23 7900 951.600.00 25.6800 1.027.199.99 75.599 99 72.50010 7.05% 01107113 '.13 40.000 000 24 4400 977.600.00 25.6800 1,027,199.99 49,599 99 72.500.00 7.05% 01114113 '.13 40000 000 24 8800 995,200.00 25.6800 1,027,20002 32,0002 72,500.00 7.05% Total Noncovered 120,000.000 2,924,400.00 3,081,600.00 167,200.00 217,600.00 Total 120,000.000 $2,924,400.00 $3,081,800.00 $157,200.00 $217,500.00 Total Preferred Stocks $4,807,173.60 $5,085,200.00 1278,026.40 $380,000.00 Total Equities 172,912,836.52 $73,620,768.04 $577,932.52 12,060,785.20 Unrealized Estimated Estimated Date Acquired Quaid Uoit Cod Cod Bads Market Price Markel Value Gale/ Loss Annual Income Yield Exchange-Traded Products 2.00% 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 Total Exchange-Traded Products Security Identifier: DXJ CUSP. 97717W851 2.966.098.50 43.8900 $2,966,098.50 DRAB 9011 SOL THERA ttri LLC. F ID-Ea/1AL N CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) 2,633,400.00 $2,633,400.00 ,332,698.50 -$332,698.50 45,298.20 1.72% $46,208.20 Page 10 or 19 Account Num beg N46023804 Go paperless natal tarns (very Vs.Sista 2007 DAUM. RATE000MMUNICATIONS rxems NCI =" D= C SDNY_GM_00046164 OB-SDNY-0008988 EFTA_001 56773 EFTA01289136 Deutsche Asset & Wealth Management PO 00‘ 1778. !wore MD 21203 Portfolio Holdings (continued) DraIsev Ram PonleVhaikniAvvienalt I/VIM Cedrate 6,0.p Cod Basis Market Value Statement Period: 0510112016 • 05/3112016 Unrealized Accrued Estimated Gain/ Loss Interest Annual Income Total Portfolio Holdings 3104,389,493.01 $106,801,648.02 3504,397.51 3336,391.87 33,768,814.14 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 '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(sr 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 cian (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. 3 The cost basis of this security has been provided to us by you or your introducing firrn and Pershing makes no representation as to the accuracy of this information. I Unrealized gains and losses are not reported for securities for vAtich cost basis or market value is not available. f 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. 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. n 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. Account Number: N48-023804 OftAkl ROLL Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN vBNAkUJvAL F I DraTIAL Page114019 Rabid tacellorigi Event Yea. Since 2007 DAL BAR MUD COMMUMCATIONS rxenurner SDNY_GM_00046165 DB-SDNY-0008989 EFTA_00156774 EFTA01289137 Schedule of Realized Gains and Losses Current Period Description Date Disposed Date Acquired Designation Disposition Method 1 Transadion Quantify Proceeds Cort Basis Realized Cale/ Loss Short Term SITED NE LANDSCAPE SU Ohl Security Identifier: 82982L103 05/16116 05112/16 Covered Versus Purchase / Sal 400.000 11,439.76 8.400.00 3.039.76 Total Short Term 11,439.76 8,100.00 3,039.76 Long Term ALLY FINL INC FIX TO 05/16116 02103/12 Roncovered"3 Firrt In Rat Out 1 REDEMPTION 46.600 000 1,165,000.00 903,217.51 261.782 49 .50% FREO•OTRLY CALLABLE O. 25. Original Cost Basis: 927.973.16 000N A OTRLY BASIS AFTER 0511 Security Identifier 02005N308 05/16116 02/09/12 ttoncovered"3 First In Fug Out 1 REDEMPTION 80,000.000 2,000,000.00 1,610,000.00 390,000.00 Original Cost Basis 1.652.500.00 Total 126.600.000 3,165,000.00 2.513.217.51 651.782.49 WASFINGTON MUT re 5 05/24116 12/13/13 Noncovered" REPYMT OF PRA 1.290.000.000 1.856.78 1.420.79 435.99 004.RA2 MTG PASSDiRt CTF CL C,- Original Cost Basis: 1,420.79 6.1 VAR RATE 7.616% 07/25133 Security Identifier: 939336620 Total Long Term 3,166,856.78 2,511,638.30 652,I18.48 Total Short and Long Term 3,178,296.54 2,523,038.30 655,258.21 • 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"1 (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 sappficable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis %trill be reported to the IRS on form 1099-19 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. liaAti ROI I Account Nu® Der. N46-023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA LLC. ONFIDENTIAL SOL Page 12 of 19 Raid Lacell•nri Event V... Late 2007 DAL BAR RATED COMMUNCA TONS f XORLINC7 raltro.r.tre, SDNY_GM_00046166 DB-SDNY-0008990 EFTA_00 156775 EFTA01289138 Deutsche Asset & Wealth Management PO ficp 1776, Ssluimore. M021203 Drat,' •c Mn, Fon. Wolin a.t Manias CedriteG.CLP Statement Period: 05/0112016 • 05/31/2016 Schedule of Realized Gains and Losses Current Period (continued) 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. Wien 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 shal 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 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 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. I 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. 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. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax4ot 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 vri1 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 es Although a money market mutual hind 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 products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule lob-10(b)(1) confirmations are not sent for purchases into money market mutual hinds processed on the sweep platform Account Number: N4G423804 , • . Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN IN F I ID-EN-NAL Page 13019 Rated excelent, Lven. Yew Loa 2007 DAL OAR RATIO COMMUNICATIONS rxesturner ontL, 'Car -*.= a—an. —a...a,. SDNY_GM_00046167 OB-SDNY-0008991 EFIA_00156776 EFTA01289139 Activity Summary (All amounts shown are in base currency) Credits This Period Debits This Period Net This Period Oedits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Securities Bought 0 00 -8.400 00 .8,400 00 000 .24.758.406 00 -24.756.406.00 Securities Sold II 439 76 0 00 11,439 76 717,689 76 0 00 717,689.76 Securities Deposited 0 00 0 00 0.00 5.185.557 00 0 00 5,185,557.00 Total Securities $11,439.76 .18,400.00 $3,039.76 $5,903,246.76 ,624,758,406.00 ,618,855,159.24 Dividends and Interest $717,249.05 $0.00 6717,249.05 $1,685,139.43 -$90,911.10 61,594,228.33 Distributions $3,230,789.25 WOO $3,230,789.25 $4,504,473.21 $0.00 $4,504,473.21 Fees $0.00 .1202.00 .6202.00 $0.00 .6365.00 .6365.00 Taxes Withheld $0.00 -$5,525.17 -$5,525.17 WOO 45,525.17 -$5,525.17 Cash Withdrawals 0 00 0 00 0 00 0.00 -10.891,591.92 -10,891.59192 Deposits 0 00 0 00 0.00 8,613,530.99 000 8,613,530.99 Total Cash $0.00 $0.00 $0.00 $8,613,530.99 -$10,891,591.92 -$2,278,080.93 Totals $3,959,476.06 -614,127.17 $3,945,350.89 $20,706,390.39 -$35,746,800.19 .$15,040,409.80 Transactions by Type of Activity Process/ Trade! Settlement Transaction Date Date Activity Type Securities Bought and Sold 05113/16 NAME CHANGED ADVM 05113/16 NAME CHANGED 05337G107 05/17/16 05112116 PURCHASED SITE 05/19/16 05116116 SOLD SITE Description Quality ADVERUM BIOTECFNOLOGIES INC COM AVALANCHE BIOTECFNOLOGIES INC IOC EFF 051121161 OLD/1 CU 00773U100 ADVERUM B1OTECFNOLOGIES INC SITEONE LANDSCAPE SUPPLY INC COM PROSPECTUS LACIERSEPARATECOVER SITEONE LANDSCAPE SUPPLY INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 10,000 000 .10.000 000 400.000 .400.000 Total Securities Bought and Sold • U.S. DOLLARS DIWdends and Interest 05/02/16 CASt. DIVIDEND RECEIVED 46625F hAl 05109/16 FOREIGN SECURITY DIVIDEND RECEIVED BASFY "ORGAN CHASE 8 CO DEP SHS REPSTG 1110TH PFD SER 7 900% 04129/49 WE RD 01129 PD 0030/16 DIV PAID AT 3950 5000000 5000 SF RS BASF SE POI% S ADR ISIN# U S0552825057 RD 04129 PD 05/09116 DEMO Rol SOUTHERN LLC. rn CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDEst AL Price Accrsed Interest Mount Currency 0.00 6 SO 0.00 USD 21.0000 .8.400.00 USD 28.7400 11.439.76 LSD 0.00 3,039.76 197,500 00 LSD 16.792 60 LSO Page 144019 Account Number. N4G-023804 Go paperless Rated Envy Van' M 2007 DAL OAR MUD COMMUNCA TIONS FXCIIIFNCI •—tasi.c —4-na ..viv SDNY GM 00046168 DB-SDNY-0008992 EFTA_00 156777 EFTA01289140 Deutsche Asset & Wealth Management P.O. Eke 1778, &Alma*, MO 21203 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Adivit T Dewi ion Quantit Price Accrued Interest Amami Carree Dividends and Interest (continued) 05112116 CASH DIVIDEND RECEIVED 164000 SHRS APPLE INC COM RD 05109 PD 05112116 93.480 00 USD MPL 05112116 CASH DIVIDEND RECEIVED 250000 SHRS APPLE INC COM RD 05109 FO 05112/16 142.500 00 USD MPL 05113116 FOREIGN SECIATY DIVIDEND 5000 SHRSALLIAAZ SE SPONSADR REPSTG 1/10 SHS RD 4,155.89 USD RECEIVED 05104 PO 05113/16 AZSEY 05113116 CASH DIVIDEND RECEIVED 250000 SHRS BANK OF NEW YORK MELLON CORP COM RD 42,50000 USD BK 05103 PD 05113/16 05116116 CASH DIVIDEND RECEIVED 126600 SH RS ALLY ANL INC FIX TO FLT DIV-8.50% 01005A 308 FREQ-QTRLY CALLABLE a 25.00 ON A QTRLY BASIS AFTER 0511512016 RD 05101 PD 05/16/16 05116116 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED D60505DT8 TO FLOAT 8.125% 04/30158 WE RD 05/13 PO 05/16/16 DIV PAID AT 40.625 2000000 05/16116 BONO INTEREST RECEIVED 746000 EARTF LINK INC GTO SR NT FULLY EXCHANGED 27032 IAC6 CUSP FROM 270321A988875% 05/15/19 WEDTD 05117111 CL8 RD 05113 PD 05/15116 05116116 BO NO INTEREST RECEIVED 80000 SH RS GMAC CAP TR I GTD TR PFD SECS SER 2 CFN• ALLY PRA 8.125% FRED DRILY MATY•0211512040 CALL ANYTIME a 25 W/30 DAYS BEGINS 02/15116 RD 05113 PD 05116116 05125116 BOND INTEREST RECEIVED 1290000 WASHINGTON MIA MTG SECS CORP 2004•RA2 939336S20 MTG PASSTHRU CTF CL C-8.1 VAR RATE 7 616% 07/25133 WE DTD 06/01/04 RD 04/213 PO 05/25/16 05125116 CASH DIVIDEND RECEIVED 15000 SHRS WISDOMTREE IN VTS INC COM RD 05111 PD WETF 05125116 05131(16 MONEY MARKET FUND DEUTSCHE GOVT CASH INCOME RECEIVED 233993682 Total Dividends and Interest- U.S. DOLLARS Dr...We NM POnlevenanmannunna Vbfiel •rm Statement Period: 05/01/2016 - 05/31/2016 67,256.25 USD 81,250 00 USD 33,103.75 USD 32.36664 USO 3,994.96 USD 1.200 00 USD 1,14896 USD 08A8 DOI I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDESMAL SOUTHERN LLC. Account Number. N4G-023804 Go paperless 1.00 711,241.1$ Page IS 019 Rated tecedlene Lyon, Vast Snow 2007 DALOAR RATEOCOMMUNCATOONS rxeturtraer er a rratreltrernen ta t trpoleeneelre SSD SDNY_GM_00046169 DB-SDNY-0008993 EFTA_00156778 EFTA01289141 Transactions by Type of Activity (continued) Process/ Tradel Settlement Transaction Date Date Activity Type Description Oman Price Accrued littered Mount Curren Distributions 05/16/16 SECURITY REDEEMED 02005k306 05/31/16 PARTNERSHIP DISTRIBUTION APO ALLY FINL INC FIX TO FLT DIV-8.50% FRECI-OTRLY CALLABLE (I 2500 ON A OTRLY BASS AFTER 05/1512016 263157 SI-RS APOLLO GLOBAL MGM T LLC CL A SHSPD 05/20 PO 05/31116 -125.600.000 3.165.000 00 65,789.25 USD USO Total Distributions • U.S. DOLLARS 0.00 3,230,789.25 Fees 05/02/16 FORSCH CUS1ODY FEE Fun Safekeeping APR 2016 CU SIP G4S15P-P4-8 .2.00 USO G1S15PP48 05/09/16 FEE ON FORBGN DIVIDEND 5000 SI- RS BASF % SADA S ADR ISISIL S0552625057 RD -200.00 USD WITHHELD AT THE SOURCE 04/29 PD 05109116 BASET Total Fees - U.S. DOLLARS 0.00 .202.00 Taxes Withheld 05/09/16 FORBGN TAX WITHHELD AT 5000 SHRS BASF SE SPONS ADR ISINIU S0552625057 RD -.429.05 LSD THE SOURCE 01129 PD 05/09116 8WY 05/13/16 FOREIGN TAX WITHHELD AT 5000 SHRSALLIANZ SE SPONSADR REPSTG 1110 PS RD .1.096.12 USO THE SOURCE 05104 PD 05113/16 AZSEY Total Taxes Withheld • U.S. DOLLARS 0.00 .5,525.1? Total Value of Transactions 0.00 3,916,360.89 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value t to 5 years 3.939.035 00 6 to 10 years 1,879,110.00 Over 10 years 18221.127.95 Total 21,039,302.95 % of Bond Markel Value 16% 8% 76% 100% CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I ID-Ea/1AL Account Number. N4G-023804 OftAkl ROLL GO paperless SOUTHERN cke,KI Percentages of bond market values are rounded to the nearest whole percentage. Page 16 of 19 Rated tacelloni (very Yew Slate 2007 DAL OAR RATED COMMUNICATIONS N)l4LLNNCR SDNY_GM_00046170 DB-SDNY-0008994 EFTA_OO 156779 EFTA01289142 Deutsche Asset & Wealth Management PO Boa 1778, Ballimore, MD 21203 Bond Quality Drolly •e Mn, F,,,.', We a In. Manap-narr Mines CoderageGtoip Bond Duality Market Value % of Bond Merkel Value A 2A10,361 25 10% • BAA 9,988,640.00 12% • 9A/Loner 11,640,301.70 teii Total 24,039,302.96 110% Client Service Information Statement Period: 0510112016 • 05/31/2016 Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DA DANIEL SA994 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Ran: FAST 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 communications for electronic delivery To register and turn off paper communications, 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 pericid. The =Met 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 WA' and are omitted from the Total THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shovm in this statement may not necessarily Fage17 of 19 Account Number N4G.023804 Plated [notion' tenit Go paperless ", ;fit ' OAK naT ED /CrOALIUN CATIONS L THERA cti F I DrwriAL---- rxenower CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) SDNY_GM_00046171 OB-SDNY-0008995 EFTA_00156780 EFTA01289143 Important Information and Disclosures (continued) Pricing (continued) be available for investment due to unsettles transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable: however. pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements TNI not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain thirdparty structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and WA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 www.pershing.comfbusiness_continuity.htrri 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 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 now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confimiations 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 cr 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 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 & Pools is not permitted without prior written authorization from Standard & Poor's. 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, cc 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 & 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. 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. Page 18 of 19 Account Number N4G-023804 Rated E.. — Go paperless ,* trwy Year Since 2007 nttatrOmv•M''..reirOserieore= L THEM CO LI.C. AL Ft` " jag Et' C°MMUNCADONS var. tan as neat. wet mot CONFIDENTIAL — PURSUANT TO FED. R ORIM. P. 6(e) NJ F I DA SDNY_GM_00046172 OB-SDNY-0008996 EFrA_00156781 EFTA01289144 Deutsche Asset & Wealth Management ficw 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) Minale,ent Statement Period: 05/01/2016 - 05/31/2016 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 imestment 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 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 fast page of this statemen • 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 possbe circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would bke 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 vompershing.corniabout/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 tights under the Securities Investor Protection Act. • Your financial organization's con • an 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 • AU 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 Mal and binding; a partys 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 alt parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typicafty include a minority of arbitrators who were a are afNiated 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 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 shalt not constitute a waiver of any rights under this agreement except to the extent slated 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 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTIAL Account Number. 1446.023804 ItA 11 ROI Go paperless L THERA re:" KJ Paps 19019 Rated Excellent, beery Vest Unto 2007 DAL OAR RAT COMMUNICATOONS extiarmer .1-41,- 1-7==.fitrarira Va.. 'AC ramose IS wit OM SDNY_GM_00046173 OB-SDNY-0008997 EFIA_00156782 EFTA01289145 Deutsche Asset & Wealth Management P.O. Boa 1776, Saliimore. MO2t203 SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: DANIEL SABBA 0i.elu Si,,, Pow, Wealth Manar -terd hent% CORtatt Gw.p Portfolio at a Glance Beginning Account Value het Cash Deposits and Withdrawals het Securities inlOut of Account Adjusted Previous Account Value Dividends. Interest and Other Income et Other Activity het Chan t e in Portfolio ncling Account Value Accrued Interest Est[m wed Annual Income Account Num ber: N4G-023804 Statement Period: 04101i2016 - 04/3012016 This Period $108,083,235.12 0.00 0.00 108,013,236.82 153,161 00 -127.00 -5.669.618.77 Year-to-Date 1103,281,617.80 -2.278,060.93 5,185,557.00 106,192,113.87 950.663.21 -161.00 .1 575 992 06 5102.566 621.05 6102,566,621.05 Asset Summary Prior Year-6d Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 26,834,143.83 2,509,792.11 2,662,826.11 2.60% LSD Axed Income 20,242,233.86 19,812,993.44 20.014,11819 19.51% h on.l. SD Axed Income 5,196,765.00 3,776,869.70 3,774,721.50 3.68% LSD Equities 47,972,851.11 79.271,118.54 73,618,131.72 71.78% Non.LISD Equities 3.038.621.00 2,652,432.00 2,496,520.00 2.43% Account Total (Pie Chart) 6103,211,817.80 1108,083,235.12 6102,566,821.06 100.00% See the Asset Summary Disclosure and Footnotes section for important eiformation regarding your Asset Statutory. r CONFIDENTIAL — PURSUANT TO FED. R CRIIVI. P. 6(e) 50098 ESSESF 3 0 EIS CON F I EreA s rnAL $305,536.16 $4.061.016.85 Please review your allocation perodcally wth you' Stern Adv4or. Pap1016 Ram Dams Every V.A. Siva 2007 CAESAR RATED COMMUNICATIONS rxememer Paw. tat ••••••• es mow. wa,c SDNY_GM_00046174 DB-SDNY-0008998 EFTA_00156783 EFTA01289146 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 0430/2016 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 -1.620056.10 Long•Term Gam/Loss 433.34 437.130.41 -662.845.24 Net Galnlloss 433.34 437,130.41 4,282,901.34 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest yrill be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the Mute 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 Desalptioe Amount Salaam Sweep Money Market Fund DEUTSCHE GOVT CASH IN STl. Current Yield: 0.29% Activity Ending: 04129116 04101116 Opening Sabra 2,455,417.14 2,455,417.14 04101/16 Deposit MONEY FUND PURCFASE 54,375.00 2,509,792.14 04104116 Deposit MONEY FUND PURCFASE 1,998.00 2,511,790.14 04106116 Withdraws MONEY FUND REDEMPTION -100.00 2,511.690.14 04112/16 Depotit MONEY FUND PURCFASE 11,625.00 2,523,315.14 04115116 Depotit MONEY FUND PURCFASE 6,101.83 2,529,422.97 04118/16 Depoit MONEY FUND RARCFASE 127,500.00 2,656,922.97 04128/16 Deposit MONEY FL ND RACFASE 5,290.00 2,662,212.97 04129/16 Deposit IkCOM E REIN VEST 613.17 2,662,826.14 04129116 Closing Balance 32,662,626.14 Total All Money Market Funds 32,662,826.14 Page 2 of 18 Account Number: N4G423804 01,01MCSF30 OBAS MOI t SOL THERA F I DriSiTiA Go paperless e tacellerigi (very veer Since 2007 CALMAR RATED COMMUNICATIONS rxerturnaer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046176 DB-SDNY-0008999 EFTA_00 156784 EFTA01289147 Deutsche Asset & Wealth Management P.O Box 1778, Bahimore. MD 21203 Dray et Ponle Wolin PAnno,nt rares t_ r Income and Expense Summary Current Period Statement Period: 04/0112016 • YeaMo-Date 0113012016 Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 13,42213 0.00 444721 68 0.00 Money Market 613.17 0.00 4.074,28 0.00 Other Dividends 0.00 0.00 93.750 00 000 Interest Income Bond Interest 139,125.00 100 293.969 38 0.00 Other Interest 0.00 0.00 40.625 04 0.00 Expenses Margin Interest 0.00 0.00 0.00 -161.10 Fees(Foreign Securdiest .25.00 0.00 50.00 0.00 Total Dividends, Interest, Income and Expenses 9153,1313.00 10.00 6877,090.38 -9161.10 Distributions Alternative Investments 0.00 0.00 0.00 73,683 96 Total Distributions 90.00 80.00 40.00 173,883.96 Portfolio Holdings Account Activity Opening Date Quantity Number dilig Opening Balance Clots's, Balance Acaued Income 'none llis Year 31-Day Yield Current Yield Cash, Money Funds, and Bank Deposits 3.00% of Portfolio En Cash Balance Money Market DEUTSCHE GOVT CASH INSTL 04101116 2,882,826.110 MA 0/129/16 54 375 00 2455 417.14 0.00 2,882,820.11 19.66 1,07128 0.29% 0.29% Total li oney Market 12,455,417.14 12,562,826.11 $19.66 11,074.21 Total Cash, Money Funds, and Bank Deposits 12,509,792.11 12,882,828.11 $19.66 81,071.21 D!PBNCSF3 ,. Account Number: N4G•023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. p 6: LTHERN F I DrSITTAL Page 3 of 18 Rated taconenti [may Voa. Lace 2007 DAUM. MUD COMMUNICATIONS r xesi Le NCR oast SDNY_GM_00046176 OB-SDNY-0009000 EFrA_00156785 EFTA01289148 Portfolio Holdings (continued) Cale Arei.tred Fixed Income 23.00% of Portfolio (In Maiuriry Dee Sequence) lAsset Backed Securities WASHINGTON NUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 0.000% 07/25/33 WE DTD 06/0110/ S 8 P Rating D Factor. 0.48791804 Effective Date:04101116 Current Face Value: 629.414 272 12/13/13'•3.12 1,290,000.000 76.5190 Ouaatfv Usit Cost Adjusted Cost Buis Market Price Markel Value Unrealized Gain/ Loss Acaued Interest Estimated Estimated Annual Income Yield Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 629,414.272 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 210321A198 8.875% 05/15119 WE DID 05117111 CALLABLE 05115/16 58 P Rating CCC• 10/22/12 %Li: 146,000 000 102 5330 10/23/12 '•3.12 600.000 000 102 4720 Total Noncoveted 740,000.000 Total 748,000.000 FRONTIER COM M UNICATIONS CORP SR KT 8.500% 04115720 WE DID 04112/10 1ST CPK DTE 10/15/10 Moody Rating BA3 S P Rating 98- 07/06115 3,000,000.000 104 8640 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES 'Ski YS0717735822 9.875% 12/18121 REG 010 12/18111 Moody Rating Bal 58 P Rating BBB 12/04/13 '.3.12 1,500,000.000 108.5320 BARCLAYS BK PLC CONTINGENT CAP NT ISK LS06739Fh KO3 7.750% 04110123 WE DID 04110/13 CALLABLE 04/10118 88 P Rating BRA 04103/13 '.12.13 300,000.000 100.0000 B0090IMCSF!' 1 Security Identifier: 939336520 481.619.04 83.8070 Original Cosl Basis; $638.906.71 8481,619.04 Searlty Identifier: 270321AC6 149,697.73 102.1250 Onginal Cod Bait 5151,110.00 614.831.19 102.1250 Original Cast Basis: $619,500.00 764,628.92 $784,628.12 Security Identifier: 35906AAH1 3,145,906.89 105.7500 Original Cosl Basis. 53,171,006 00 Security Identifier: GISISPP48 1,597,976.79 104.6150 Original Cosl Basic S1,627,500.00 Security Identifier: 06739FHK0 300.000.00 106.2250 Onginal Cost Basis: 5300,000.00 1)8A11 M(>1.1 527,49322 $627,493.22 149,102.50 612,750.00 701,652.50 8701,852.50 3,172,500.00 1,569,225.00 318,675 00 45,874.18 $46,874.18 595 23 -2.081.19 -2,876.42 -82,876.42 26,593.11 .28,751.79 18,675.00 0.00 80.00 80.00 5.938 85 12.957 50 8.69% 24.406 25 53.250 00 8.69% 30,345.10 06,207.50 $30,345.10 $86,207.50 10,625.00 255,000.00 8.03% 55,135.42 148,125.00 9.43% 1,291.67 23,250.00 7.29% Page 4 of 18 Account Number. 144G-023804 F I DriTriA Go paperless i t ; Rabid Email. nil SOL THERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) (very Year Sams 24:107 DAL BAR RAT ED COMMUNCATIONS rxesartraer Oar. LAC meat IS SDNY_GM_OOO46177 OB-SDNY-0009001 EFDLOO 156786 EFTA01289149 Deutsche Asset & Wealth Management P.O. Box 1778, BaMimore, MO 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1110TH PFD SER 1 FIXED TO CLIO RT BD 7.900% 04129/49 B/E DTD 04123108 Moody Rating BAA3 S P Rating BBB- 06115111 t 3.12 2300.000.000 107.5000 Adjusted Cost Basis d.uw•e ram 0 0.0 V07.11i M.0 0 .0 • , Mmetts .. ,.rate G•n0 Market Price Markel Value Statement Period:04/01/2016 - 04/30/2016 Unrealized Gain/ toss Accrued Estimated Estimated Interest Annual Income Yield 06(15(11 '.3,12 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 SFS FIXED TO FLOAT 8.125% 04130158 B/E DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S8 P Rating BB4 01110111 t 3.12 2.000,000100 102 7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01(17/62 B/E DTD 01117112 CALLABLE 02/01122 Q 100.000 Moody Rating BAAI S8 P rating BBB- 01130112 *-3-12 3,000,000.000 99 8390 GENERAL ELEC CO GTD FXD•TO•FLTG RT 0 N -CL MULATIVE FERFETL AL PREFERRED 4.000% 12103/65 REG DID 12103115 Moody Rating A3 58 P Rating M- 12103(15' 2,469,000.000 88 0930 Security Identifier: 46625HHA1 2.687.500.00 100.5630 Original Cost Basis: 52,687,500.00 2,615,000.00 100.5630 Original Cost Basis: 52.675.00000 6,362,600.00 $5,362,500.00 Security Identifier: 060505D T8 2,055,000.00 98.2500 Original Cost Basis: $2,055,000.00 Security Identifier: 1142400FU2 2,995,166 41 109 7000 Original Cost Bass 52.992.564 97 Security Identifier: 369604BM 4 2,175,016.17 95.8130 Original Cost Basis: $2.175.016.17 Account Number. N4G-023804 a '01770 7707000 700y Vs. Sante 2007 SO Th ERA ON Forsisr.., A CALMAR RATED COMMUNCATIONS rxen. unser CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 2.514,075.00 2,514,075.00 5,018,150.00 $5,018,150.00 1,965,000 00 3,291,000 00 2,365,622 97 -173,425.00 -160.925.00 -334,350.00 -$334,350.00 •90,000.00 295,833.59 190,606 80 0.00 197.500.00 7.85% 0.00 197.500.00 7.85% 0.00 395,000.00 $0.00 9195,000.00 74,479.17 46,354.17 37,035 00 162,500.00 8.26% 187,500.00 5.69% 98,760.00 4.17% Page 5 of 18 Go paperless ••••••••.L44 —••••••••-•.-44 404 SDNY_GM_00046178 OB-SDNY-0009002 EFrA_00156787 EFTA01289150 Portfolio Holdings (continued) Date Acquired Quaality Unit Cog Fixed interne (continued) Corporate Bonds (continued) 'LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIAtUS539439AG42 7.500% 04/27/88 WE DTD 04/07/14 St P Rating BB• Please Provide' 1.903.004.000 N/A CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5150% 08/15/88 B1E DM 08/12/15 CALLABLE 08/15120 ftt 100.000 Moody Rating BA2 S8 P Rating BB. 08/06/15 3.000.000.000 100 0000 3.000.006.00 Original Coss Ba $3 Total Corporate Bonds 821,398,101.18 22,918,000.000 Total Fixed Income 821,877,720.22 24,208,000.000 Date A uired Ouletit Unit Cost Cost Basis Equities 72.00% of Portfolio Common Stocks M °BREVE NY AM STELYEEN ORD 511$ 169410.0010831061 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 ISA SO160%1/1027 Dividend Option': Cash 06110/15 5,000.000 ALUANZ SE SPONS ADR REPSTG 1110 SI1S Dividend Option: Cash 04113/15 5,000.000 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option Cash 03/29/11 '.13 Adjusted Cost Basis Market Nice Markel Valve Unrealized Gala/ Loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 539439AG4 Please Provide 99.1500 Original Cost Basis: Pease Provide Security Identifier: 172987ES 88 9500 18.0110 263.157.000 19 0000 l)Pikit Vol I CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) 96.7500 000 006 00 Market Price 1.886.824.50 2.902.500.00 $23,261,349.97 823,788,843.19 Market Value N/A 13.083 13 142.725.00 7.56% .97.506 00 37,187.50 178.500.00 6.14% -821,675.71 6305,638.18 $1,657,567.50 824,298.47 8305,638.18 81,857,587.50 Umeslized Gals/ Loss Estimated Estimated Annual Income Yield Security Identifier: M BLY CLSP A51488117 20.00000 38.1500 Security Identifier: AKRX CUSP. 009728106 234.206.00 25.4500 Security Identifier: BABA CUSP. 01609W102 444,749.00 76.9400 Security Identifier: AZSEY CUSP: 018805101 90.056.00 16.9800 Security Identifier: APO CUSP: 037612306 4.999.983.00 16.9100 30,520.00 127.250.00 384.700 00 84,900.00 4.449.984.87 10,520.00 •106,95600 -60,049.00 -5.156.00 -549.998.13 2,959.81 3.48% 363.156.66 8.16% Page 6 of 18 Account Number N4G-023804 Rated excellent djo paperless teen 2°°7 SOL TM ERN NJ NJ F I D TAL ., =MINED COMMUNICATIONS --makwenn SDNY_GM_00046179 OB-SDNY-0009003 EFTA_00156788 EFTA01289151 PO Do. 1776, Baltirn<.re. ND 217(3 Portfolio Holdings (continued) Dale Acquired Quantity WM Cod Equities (continued) Common Stocks (continued) APPLE INC COM Dividend Option: Cash 250.000 00 of these shares are in your margin account 10128113 3 14,000.000 75.5800 1.058.120 50 93.7400 1.312.360 19 09105114 124.180.000 98 9500 12.287.615 97 93.7400 11,640,633.17 09105114 3 7.204.000 98 9500 712.440 29 93.7400 674,927 83 09105114 3 18.620 000 98 9500 1,842,449 74 93 7400 1.745.438 98 01111116 250.000.000 99.0000 24.750,006 00 93.7400 23.434,999 83 Total Covered 114,000.000 40,650,632.50 38,808,360.00 Total 414,000.000 640,850,632.60 330,808,360.00 ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CUSP: 04033A100 02114/12'• 33 7.535.000 01124113 9,000 000 Total Noncoveted 16,535.000 Total 16,636.000 ASCENA RETAIL GROUP INC COM Dividend Option Cash 01/16101 '. 3 70.500 000 AVALANCHE BIOTECHNOLOGIES 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 SPONSADR ISINOL 50552625057 Dividend Option: Cash 04/13/15 5.000.000 101.6110 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash hManale,tnt Cost Basis Market Price Security Identifier: AAPL CUSP. 037833100 Market Value UNA,' ROI I 15 2090 19 6000 114.597.40 7.1800 176.400 00 7.1800 290,997 40 6290,997.40 Security Identifier: ASNA CUSP 043516101 21 2770 1.500.000 00 8.8100 Security Identifier: AAVL CUSP 053376107 398.606 00 5.6400 Security Identifier: BASFY CUSP 055262505 508.056 00 82 6370 Security Identifier: BK CUSP 064058100 Account Num ber. N4G-023804 54.101 30 64.620 00 118,721.30 $114721.30 621.105 00 56.400.00 413,185 00 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERM LLC. ONFIDESMAL SOU Statement Period:04/01/2016-04/30/2016 Unrealized Win/ Loss 254.239.69 446.982.80 .37,512 46 -97410 76 •1.315,006.17 4,042,272.60 -61,042,272.60 -60.496.10 -111.78000 -172,276.10 -9171,076.10 -878.89500 -342,206 00 -94,87100 Estimated Estimated Annual Income Yield 31,920.00 2.43% 283.130.40 2.43% 16,416.00 2.43% 42.453 60 2.43% 570.000.00 2.43% 943,920.00 8943,900.00 60.00 11,564.11 2.79% Page 7 of 16 Rated tacellera L very V.. Slate 2007 DAL BAR RATED COMMUNCATIONS rxesurnaer SDNY_GM_00046180 DB-SDNY-0009004 EFTA_00 156789 EFTA01289152 Portfolio Holdings (continued) Date ••sired Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP COM 06125114 254000.000 BIOGEN ID EC INC COM Dividend Option: Cash 02114112 '.13 CENTENE CORP DEL COM Dividend Option: Cash 09108114 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 FACEBOOK INC CL A Dividend Option: Cash 05/17112 Quiet Deft Cosi Cost Buis Market Price Markel Value Unrealized Gain/ Loss Estimated Estimated Annual Income Yield (continued) 36.3060 2,095.000 119 5490 15,550.000 63 6450 5,000.000 72 9960 17,500.000 381000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total 40,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 04123113'.13 GENERAL M TRS CO COM Dividend Option: Cash 11118110 ' 12109/10 Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02/05/14 03107114 Total Covered Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 25,000.000 24,830.000 40,830.000 27.5070 23 2530 9,076,406.00 40.2400 Security Identifier: Bile CL SR 09062%103 250.454.95 274.9900 Security Identifier: CNC CUSP. 151358101 989.679.75 61.9600 Security Identifier: DISH CUSP 2547011109 364.978.00 49.2900 Security Identifier: FS CUSP: 3030311102 665.000.00 117.5800 Security Identifier: FM I CUSP: 350465100 687,663.50 15.9500 577,373.02 15.9500 1,206,030.52 10,060,000.00 576,104.05 963.470.00 246,450.00 2,057,650.00 398.750.00 396,038.50 794,788.50 983,594.00 325,849.10 -26.201.75 .118,528.00 1,392,650.00 .288,913.50 -181,334.52 -470,248.02 170.000 00 1,68% 23,000.000 21.5700 10,988.200 86.536.800 97,525.000 36.4010 36 8160 11,205,030.52 Severity Identifier: GE CUSP 369604103 496,109.08 30.7500 Security identifler: GM CUSP: 37045Y100 31.8000 31.8000 399,978.16 3,185,969.22 3,585 947.38 5794,788.50 707,250.00 349,424.77 2,751,870.23 3,101,295.00 4470,248.02 211,140.92 -50,553.39 -434,09899 484,852.38 $5.00 21,180.00 2.99% 1470298 4.77% 131,535.94 4.77% 148,238.00 5,000.000 3,100.000 8,100.000 79 2810 79 6120 $3,585,947,38 Security Identifier: GILD CUSP: 375558103 882100 882100 396,407.00 246,797.00 643,204.00 9043,204.00 Security Identifier: GSK CUSP'. 37133W105 Dewy 'It'll CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $3,101,295.00 441,050.00 273,451.00 714,501.00 $714,501.00 4484,662.38 44,643.00 28,654.00 71,297.00 $71,297.00 $148,238.00 9,400.00 2.13% 5,828.00 2.13% 15,220.00 $15,228.00 Page 8 of 18 Account Number: N4G423804 SOUTHERN GO paperieSS Va.' Slat* 2007 Il k listed tscollonil F I DAE_NTIA L gtgreag.... won UA1 ••••••••is. WPC SDNY_GM_00046181 OB-SDNY-0009005 EFrA_00 156790 EFTA01289153 Deutsche Asset & Wealth Management PO &a 1778. 8881mØ, MD 21203 Portfolio Holdings (continued) Date Acquired Equities (continued) Common Stocks (continued) GLAXOSM ITH KLINE PLC SPONS ADR (continued) 06110115 5.000100 43.0010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 81 WT EFP Dividend Option: Cash 07130115 ' GODADOY INC CL A Dividend Oplian: Cash 04101115 MATCH GROUP INC CON Dividend Oplian: Cash 11/18/15 200.000 12.0000 SANGAII 0 BIOSCIENCES INC COM Dividend Oplian: Cash 05128113'.13 50,000.000 8.4440 SANTANDER CONSUMER USA HLDGS INC CON Dividend Oplion: Cash 01123114 1,000.000 240000 SQUARE INC CL A Dividend Oplion: Cash 11119115 200.000 9.0000 Quality Viii Cost TERRAFORM GLOBAL INC CL A Dividend Oplian: Cash 07131115 TWITTER INC COM Dividend Oplion: Cash 11/07113 VIACOM INC NEW CL 8 Dividend Option. Cash 2.000.000 10 0000 700.000 200000 400.000 148300 1.500.000 26.0000 MIA,' RCM Drålly,e Ram Ponl. ~So. Ma.ramt Mr.ets COMIC< 4,04P Statement Period: 04101/2016 - 04/30/2016 Cast Bans Market Price Merkel Value Unrealized Gain/ loss Estimated Estimated Annual Income Yield 215,006.00 42.9100 211,550 00 .456 00 11,580.91 5.39% SiOlrIty Identifier: GPACU CUSP: 37954Y204 20.000.00 9.6000 19.200 00 800 00 Security Identifier. GDDY CUSP 380237107 14,000.00 30.3700 21.259 00 7.259.00 Seculty Identifier: M TCH CUSP 57665R106 2,400.00 11.4000 2,280.00 -12000 Security Identifier: SON 0 CUSP 800677106 422,214.00 6.3000 315,000.00 .107.211.00 Security Wearier: SC CUSP 80283M101 24,000.00 13.1700 13.170.00 -10.83000 Security Identifier: SQ CUSP 852234103 1,800.00 14.8900 2.978.00 1,178 00 Sear rity Identifier:61BL CUSIP. 8810/11101 5,931.84 2.9100 1,164.00 -4,767.84 110.00 3780% Security Identifier: TY4 TR CUSP: 901841102 39.000.00 14.6200 21,930.00 •17,070.00 Security VIAB CUSP 92553P201 Account Number. N46-023804 Cio paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 693 03; "E" F IDAMTIAL Pap 9 of 18 Rabid toc•ibrdi t very Yes. saw* 2'007 DALBAR RATED COMMUNICAT,ONS rxenuNer SDNY_GM_00046182 OB-SDNY-0009006 EFTA_00156791 EFTA01289154 Portfolio Holdings (continued) Date ired Ousel Limit Cost Equities (continued) Common Stocks (continued) VIACOM INC NEW CL B (continued) 06110115 5,000100 67.7190 VOLKSWAGEN A G ADR (SPONS) Dividend Option: Cash 04113115 5.000.000 50.8610 W ISHII' TREE IN YTS INC COM Dividend Option: Cash 03131115 15.000.000 21 6110 Total Common Stooks Preferred Stocks (Listed by expiration date) ALLY FINL INC FIX TO FLT DIV-8.50% FRED-QTRLY CALLABLE Q 25.00 ON A OTRLY BASS AFTER 05115/2016 Dividend Option: Cash 02103112 '.13 16,600.000 19 3820 02109/12 80,000.000 20 1250 Total Nononered 126,600.000 Total 126,600.000 GM AC CAP TR I GTO TR PFD SECS SER 2 CAN- 8.125% FRED ORTLY BATY-0211512040 CALL ANYTIME Q 25 W130 GAYS BEGINS 02/15116 Dividend Option: Cash 02122/12 '.13 80,000.000 23.5350 ROYAL BK SCOTLAND GP PLC WON AOR REPSTG SER T PFD CPN-7.25% FRED ORTLY FERP M TY CALLS 25 ANY W130 D NOTICE AFTR 12/31/12 Dividend Option: Cash 10124112 '.13 40100.000 23.7900 01107/13 '.13 40.000 000 24 4400 01114/13 '.I3 10,000 000 24.8800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities 120,000.000 Cost Basis Market Price Minkel Value Unrealized GaialLoss Estimated Estimated Annual Income Yield 338,745.00 40.9000 Staidly Identifier: VLKAY CUSP: 928662303 254.306.00 31.6920 Security Identifier: W ETF CUSP: 97717P104 324,157.50 10.8900 $66,135,661.92 Security Identifier: ALLY PRBC CUSP. 02005N308 903,217.51 1,610,000.00 2 513 211.51 241800 24.9800 204,500.00 158,460 00 163.350.00 $65,454,483.12 1,164,066.01 1,998,399.99 3,162,168.00 •134,24500 •95,846.00 -160107 50 -12,681,178.20 260,850.50 388,399.99 649,250.49 8,000.00 3.91% 4,004.38 2.52% 4,800.00 2.93% 8705,051.87 99,025 00 8.50% 170,000.00 8.50% 269,025.00 $2.513,217.51 Security Identifier: ALLY PRA CUSP: 361860208 1,882,773.60 25.0700 Security mouser RBS PRT CUSP: 780097713 951.600.00 977.600.00 995.200.00 2)924,400.00 $2,924,400.00 $7,320,391.11 $75,456,053.03 108,..11 Me, 25.2200 25.2200 252200 $3,162,468.00 2,005,600.00 1,008,799.99 1.008.799.99 1,008,800.02 3,08,100.00 $3,026,400.00 $8,194,468.00 $73,648,951.72 Account Number. N46.023604 Go paperless $649,250.49 122,82610 57,199.99 31,199.99 13,600.02 102,000.00 $102,000.00 $874,071.89 -$1107,101.31 $269,025.00 162,500.00 8.10% 72,500 00 7.18% 72.500 00 7.18% 72,500 00 7.18% 217,500.00 $217,500.00 $649,025.00 $2,354,076.87 Page 10 or is CONFIDENTIAL — PURSUANT TO FED. R CRIN1 P. 6(e) F I DAENTIAL SC L THERA ttEci Rated tocelleni Every Visor Lace 2007 DALBAR RATED COMMUNCATOONS rxciurnaer Pare •••••••••••.. ra.10. SDNY_GM_00046183 OB-SDNY-0009007 EFTA_00156792 EFTA01289155 Deutsche Asset & Wealth Management PO. Lica 1778. Sallimore, MO21203 Portfolio Holdings (continued) Date Acquired Dandy Vail Cod Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ Dividend Option. Cash: Caplet Gains Option: Cash CL SIP 977I7W851 60,00000 of these shares are in your margin account 12/11113 80.000 000 49.4350 2.955.09850 41.1000 2,488,000.00 -500.098.50 Total Exchange-Traded Products $2,966,098.50 $2,466,000.00 -$500,098.50 Dralsev gam pow. We a In. Manap-ned Mweels Comae, Gto‘p Cost Basis Market Price Market Value Statement Period: 04101!2016 - 04/30/2016 Unrealized Gain! Low Estimated Estimated Annual Income Yield 45,298.20 1.83% $45,296.20 Unrealized kaued Estimated Cod Basis Market Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $102,962,697.89 $102,556,621.05 -$2,282.901.34 $305,536.15 *4,061,016.85 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 FIRM (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(sF 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 foced payment schedule for which a yield to maturity can be easily detemined acquired on or after January 1. 2014. Cost Basis on (cod 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 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 ttne and are obtained from sources we believe to be reliable. if 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. I 3 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 11 of 18 Account hum Der. N4G-023804 Raid excelleni WIAlf RCM Go paperless l-nn' Van SSW). 2007 L TM ERN LI.C. pliValre:NRWO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) NI F I DA. SDNY_GM_00046184 OB-SDNY-0009008 EFIA_00156793 EFTA01289156 Schedule of Realized Gains and Losses Current Period Date Dewier° - Disposed Date Acquired Designation Disposition Method I Tumuli°, Quantity Proceeds Cod Bads Realized Gale/ Loa Long Term WASHAGTON MUT M TG S 01)22/16 00447A2 LUG PASSTHR11 CIF CL C- B-1 VAR RATE 0.000% 07/25/33 Security Identifier: 93933020 12/13/13 NoncovereC, t REPYMT OF PMN Original Cost Basis 1 412 16 1.290.000.000 1.845 50 1,412 16 433.34 Total Long Term 1,815.50 1,112.16 133.31 Total Short and Long Term 1,05.50 1,112.16 133.31 • 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 date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on lone 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 hinds 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 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 reports, including your 1099G 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 property 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 amortQation, 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 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. 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, First Out (FIFO). Your accounts selected tax lot method wit be used to delemtine 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 18 Account Number: 1446423804 paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)SOUTHERN vONAIUJvAL K1 F I DAEN TEAL Rated tacollonfl [very Year SMOD 2007 DAL BAR RATED COMMUNICATIONS rxesurtraer Ste-t---Atzt SDNY_GM_00046185 OB-SDNY-0009009 EFTA_001 56794 EFTA01289157 Deutsche Asset & Wealth Management PO. Bop 1778. Baliimore, MO 21203 M essages Dryly, on. Wolin Many....,,, Statement Period: 04101/2016 - 04/30/2016 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 produces disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform Activity Sum m ary (NI amounts show ere 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 Secunites Bought 000 000 000 0.00 .24,750.006.00 -24,750,006.00 Securities Sold 000 000 000 706,250.00 0.00 706.250.00 Securities Depotiled 000 000 000 5.185.557.00 0.00 5.185.557.00 Total Securities $0.00 10.00 $0.00 $5,891,807.00 ,124,750,000.00 -$18,858,119.00 Dividends and Interest $143,161.00 $0.00 $153,161.00 $967.890.38 -$90,911.10 $070,979.211 DIstrIbudons 60.00 10.00 10.00 $1,273,683.96 10.00 $1,273,183.98 Fees $0.00 .1121.00 -$127.00 $0.00 -$164.00 -$184.00 Cash Withdrawals 0.00 0.00 000 0.00 -10,891,591.92 -10,891,591.92 [reprints 0.00 0.00 000 8,613,530.99 0.00 8,613,530.99 Total Cash $0.00 $0.00 $0.00 68,613,530.99 -$10,891,591.92 -62,278,060.93 Totals $153,161.00 -$127.00 $153,034.00 $10,746,912.33 -$35,132,613.02 -$1$,905,710.89 Transactions by Type of Activity Process' Settlement Dale Activity Type Dividends and Interest 04101/16 CASH DIVIDEND RECEIVED 5000 SHRS VIACOM INC NEW Cl. B RD 03113 PO 04/01/16 2,000.00 USD YIAB 01111(16 FOREIGN BOND INTEREST 300000 BARCLAYS ex PLC CONTINGENT CAPNT 06739FHKO ISA US06739FHK03 7 750% 04/10123 EVE DTD 01110113 CL8 RD 04108 PD 04/10/16 Description Quantity Ma Aimed littered Anoint Curer, : 00A18 M(>1.1. Account Number. N4G-023804 Go paperless CVO LLC. F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN N 11,625.00 LIS) Page 13 of 18 ItaNd (very Year Since 2007 CALMAR RATED COMMUNICATIONS rxenurwer SDNY_GM_000461136 OB-SDNY-0009010 EFIA_00156795 EFTA01289158 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Desdi ma flea Price Actreed littlest Mount Curren Dividends and Interest (continued) 0111/116 FOREIGN SECURITY DIVIDEND 5000 SHRSGLAXOSMITHKLINE PLC S'ONSADR RD 02/19 6.132.83 USD RECEIVED PD 04114/16 GSK 01/15/16 BOND INTEREST RECEIVED 3000000 FRONTIER COMMU NICATIONS CORP SR NT 8.500% 127,500.00 USD 35906AAH1 04115/20 BIEDTD 04/ 12110 REI 414114 PD 04115/16 01/25/16 CASH DIVIDEND RECEIVED 23000 SIRS GENERAL ELECTRIC CO COM RD 02129 PD 5,290.00 U& GE 04125/16 01/29/16 MONEY MARKET FUND DEUTSCHE GOVT CASH 813.17 USD INCOME RECEIVED 233993681 Total Dividends and interest • U.S. DOLLARS 0.00 153,101.00 Fees 01/01/16 FOREIGN CUSTODY FEE Fyn Safekeeping MAR 2016 CUSP: GIS' 5144.8 -2.00 USD G4515PP48 01105/16 AGENT SERVICING FEE AUBABA GROUP HLDG LTD SPONSORED ADS .100.00 USD BABA ISINIUS01609W1027 RD 03131 PD 04105116 5000 SHS•SVC FEE N1G0238041 04/14/16 FEE ON FOREIGN DIVIDEND 5000 SHRSGLAXOSMITIIKLINE PLC SPONSADR RD 02/19 .25.00 USD WITHHELD AT THE SOURCE PD 01114116 GSK Total Fees • U.S. DOLLARS 0.00 .127.00 Total Value of Transactions 0.00 153,03410 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Interest EARTFLINK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321A68 Total Cash Not Yet Received R': TBESSCSE EMAII MN I Record Date Payable Date 04/29/16 05115116 0usetily Held Rate 146,000.000 0.044375 Account Number. N46023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENT1AL SOUTHERN cr, Dividend Option Mount of Payment Cash 33.103.75 $33,103.75 Page 14 of 18 Rated [...Ilona (very Year Late 2007 DALOAR RATEDCOMMUNICATIONS rxentrwer SDNY_GM_00046187 DB-SDNY-0009011 EFTA_00 156796 EFTA01289159 Deutsche Asset & Wealth Management P.O. Box 1778, Baltimore, MO 21203 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 years 6 to 10 years Oyer 10 years 3,931.352 50 1,887,900.00 17,966,590.69 17% 75 1=1 Total Bond Quality Bond Quality 23,7814843.19 Market Value 100% % of Bond Market Value A 8AA BA/Loner 2 365.612 97 8,319.15000 13.104.070.22 10% 35% 55% IN M I F\71 Total 23,711,843.19 100% Dnnw ••• P,n, 0•1.01, Wolin Para inntrn MANT.(cmint Smp Client Service Information Statement Period: 0410112016 - 04/30/2016 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 SABBA 315 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 Flan: 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: ConMant Yield Method Include market discount in income annually: No L/BALI toll Account Number. N4G-023801 Go paperless Page 15 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I Dani sriAL SOUTHERN U lt .,. KJ Rated Emellonl Every Vs. SNOT 2007 DAL BAR RATED COMMUNICATIONS rxaruir.ses SDNY_GM_00046188 DB-SDNY-0009012 EFTA_00 156797 EFTA01289160 Your Account Information (continued) Electronic Delivery You have not selected any account COMMUMCVIOAS for electronic delivery. To register and turn off paper communications, 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 dose 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 "NIA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unse [truncated]