EFTA01289441

Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUAKER B3 ST THOMASVI 00802 0.1616116 Lint Miser II/n1, li.111.411•11 <poet. it 61111: 0•6111/111111111:6, 41•1 111 nn Yen ma 315 Pot AM,TVP.1611114.3, Now Ton i.e__________________ Cote December 1,2018 - December 31 2018 Account Number: Portfolio at a Glance ThIsPerlo4 Yer4o-DWr Your Investment Specialist. BEGINNINGACCOUNT VALUE 8102,820,779.67 897,272,547.37 MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.00 4,193,223.91 Adjusted Previous Account Value 102,820,779.87 101,465,771.28 Dividends. Interest and Other Income 124,445.80 3,367,640.57 Total Taxes Withheld 488.03 -7,288.40 Other Transactions 428.11 -1,483.76 Net Change in Portfolio' -8,540,158.22 -10,409,988.58 ENDINGACCOUNTVAla $94,404,553.11 894,404,553.11 Accrued Interest 5478.778 13 Estimated Annual Income 33.328.412 86 Asset Summary 'Net Change in Portfolio lathe difference between the ending account value and beginning account value after activity. Prato Asset Type Prior Yeac•Ead Last Period TbisPerlo1 9% Cash. Money Funds, and Bank Deposits 823,820.96 6,566,510.08 8,127,337.23 26% Fixed Income 26,083,479.22 25,363,588.19 24,993,470.70 65% Equities 60,899,388.97 70,890,681.40 61,283,745.18 0% M utual Funds 3,020,938.22 0.00 0.00 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) 397,272,547.37 8102,820,779.87 894,404,553.11 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) OWN F D MIAL- Page 1 of 18 Rated Eaceilent Every Yes, Since 20O7 DALIAR RATED COMMUNICATIONS ()tall MCC Clain, liner Paralsin IIC eulogy mama sabildlay a The Zak a New Yak Mellon Ca era Melee) Panama 11.C.ma—ba la.tta.atWaigNm_00046469 DB-SDNY-0009293 EFTA_00I57078 EFTA01289441 Summary of Gains and Losses Ms Period Realized Yemen-Dale Unrealized Short-Term Gain! Loss 460,690.96 1,096,814.37 4,404,099.37 Long-Term Gain/ Loss 0.00 2,471,580.94 414,069.43 Net Gain! Loss 480,690.96 3,588,395.31 4,218,188.80 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEP ) 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. Exchange Rate Table G ooa Casa Currency Currency USD EquIveleM per US3 Pinery Posing Balm Amount in Base Currency USD EURO 1.1430 0.8748 HONG KONG DOLLAR 183,242.25 23,405.17 HONG KONG DOLLAR 0.1277 7.8291 JAPANESE YEN 49.00 4.45 JAPANESE YEN 0.0091 109.7000 &change rates are based on interbank exchange rates as of 12/ 3V 2018. Exchange rates can vary. Total Global Cash Balance $23,404.72 Money Market Fund Detail Date /Welty Type Oomph'. Amount Mena Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.28% Activity Ending: 32/ 3V 18 12101118 Opening Balance 6,422,115 67 6,422,115.67 12103118 Deposit MONEY FUND PURCHASE 121,052 22 6,543,167.89 12104/18 Deposit MONEY FUND PURCHASE 24,371.00 6,567,538.89 12118/18 Deposit MONEY FUND PURCHASE 49,380.00 6,616,918.89 12/19118 Deposit MONEY FUND PURCHASE 1,357.50 6,618,278.39 12121/18 Deposit MONEY FUND PURCHASE 522.885 93 7,141,182.32 12724/18 Deposit MONEY FUND PURCHASE 913,947.03 8.055.109.35 12/28/18 Deposit MONEY FUND PURCHASE 35,681.25 8,090,790.60 12/31118 Deposit INCOMERBNVEST 13,141.91 8,103,932.51 12/31/18 Closing Balance $8,103,932.51 Total All Money Market Funds $8 103 932 51 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account FlumAIM CONFID . L Rated timeliest trey Year Since 2007 DALIAR ItA TED COMMUNKATI0NS uauencr Page 2 of 18 Cleary/through Pershing LLC•aapronwel sabsittiary of The Beak col Met Yalt Melba Ono-sten (ONY Melba) Per, hnx 11.C. mentn• 1 inatAAR4VELOSI-000 46470 DB-SDNY-0009294 EV1:4_00157079 EFTA01289442 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary December 1, 2018 - December 31, 2018 SOUTHERN FlNA NCIAL LLC I °stint Paled Taxable Non Tenth Taxable Yea-to-Dane Non Taxable Dividend Income Equities 1,867.64 0.00 792,654 57 0.00 Money Market 13,141.91 0.00 72,242 66 0.00 Other Dividends 49,380.00 0.00 954,190 91 0.00 Interest Income Bond Interest 80,056.25 0.00 873,125.66 0.00 Other Interest 0.00 0.00 157,433.76 0.00 Expenses W ithholding Taxes -286.03 0.00 -7,286.40 0.00 Fees( Foreign Securities) -224.11 0.00 -1,124.11 0.00 Total Dividends, Interest, Income and Expenses $123,935.66 $0.00 $2,841,237.05 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 507,893.01 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $0.00 477.65 $538,988.10 Portfolio Holdings U.S. DOLLARS Opining Dale CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance Money Market CASH AC TR 0W5 GOVT & AG INSTI. 12101/18 8.103.932.510 N/A 12131118 6,422115,87 8,103.932 51 0 00 72,242.66 Total Money Market $6,422,115.87 $8,103,932.51 $0.00 $72,242.68 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $6,543,167.89 $8,103,932.51 $0.00 $72,242.88 Account Activity Opening Closing Awued Income 30-Day Current Quantity Number Fading Belau* Balance Income Mb Year Yield Yield 121,052.22 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numb CONFID 2.19% 226% Page 3 of 18 Rated LotIlent Clewing through Pagel% 11C•wholy evened Every Year Since 2007 Malaita" of The kelt al New Yak Meta DALIAR RATIO COMMUNICATIONS Carpotabon(ONY Mellon) LICILLINCI Periling U.C.nitrber risotocAtVlioiceM-00046471 DB-SDNY-0009295 EFIA_00157080 EFTA01289443 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired FIXED I NCOM E (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM M UNICATIONS CO SR NT FULLY EXCHANGED FROM 174538AX9 7.45% 031EIS 13/E DTD 03/23/0714 oody Rating CAA1St P Rating CCCii 10103117 Quantity Unit Cosa 1.000.000.000 100.0150 EXELA INTER LLC EXELA RN INC GTD FIRST PRIORITY SR SECD NT 144A 1)600% 0716/23K DID 07/17/17C14Moody Rating 83 5 P Rating B 10/24117 2100,000100 971250 07109/18 1,000,000.000 102.6590 Total Covered 3,000,000 000 Total 3.000.000.000 ..BSINVTS GM BH GTD SR NT REG S !SINS USA29866AB53 7250% 04(03/24 BJE DTD 04/03(515 6 P Rating BB- 10/31/17 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISMS US25625033 I 296% 05/24/28 EVE DID 05124/0 FORBGN SECURITY 1ST CPN DTE 1/24/13M oody Rating Ba2 S 6 P Rating BEr• 06/01118 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR ISMS US24526BN89 4.875% 210 132 B/E DM 2/0117 CALLABLE 2/0127 06/01118 1.000.000.000 86.8260 Adjusted Cost Bale Market Price Market Value Unrealized Colorless Accrued mere. Estimated Wheeled Annual Income Yield Security Walther: 17453BAW1 1.000.154.73 97.2500 Original Cosl Basis: $1001006.00 Scanty Identifier 30 E2RAA9 1,940,506.00 95.5000 Original Cosl Basis: S1940,506 00 1,026,591.39 95.5000 Original Cosl Basis:51028356.00 2.967.097.39 52.967.097.39 Security Identifier:0,29866AM 1.981.300.00 100.8010 Original Oast Basis:5198130000 Sederity Identifier 25525AM 3 917.776.00 84.5800 Original Cost Basis: $917.776 00 Security Identifier: 256268N8 868.256.00 77.7540 Original Cosl Basis: 5868256.00 972.500.00 1,910,000.01 954,999.99 2,865,000.00 52.865.000 00 161662060 845.800.00 777,540.00 -27.654.73 20.919.17 71,250.00 7.32% -30,505.99 92222.22 200,000.00 10.47% -71,591.40 46,111.11 100,000.00 10.47% -102,097.39 138,333.33 300,000 00 4102,097.39 5138.333.33 $300600.00 34,720.00 35,041.67 145,000.00 7.19% 41,976.00 4,415.33 42,960.00 5.07% -90.716 00 4,062.50 48250.00 6 26% Account Number monism-x:2i CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rabid tactile* trey Year Since 2007 OMAR PAITO COMMUNICATIONS UCtLIINCI Page 4 of '8 Clewing through Pealwag U.C. a %l a7 owned Maid's." of TM Bonk Ott. York Mellon CaveratIon (OM Wilco) PerOing literitetty IthRA.PknflieM-00046472 DB-SDNY-0009296 EFTA_00 I 5708 I EFTA01289444 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) December 1,2018 - December 31.2018 SOUTHERN FINANCIAL LLC Date Acquired Quantity Unit Cost FIXED I NCOM E (continued) Corporate Bonds (continued) ASSURANT INC FXC TO RIG SUB NT 7.000% 03/27/48 WE DID 031271E CALLABLE03/2T128A 130 000Moody Raling 03/29/18 2,000,000.000 101.9840 YMORGAN CHASE& CO DEP SHSREPSTG 'V VTR PFC SER 'FIXED TO FLTG RT BD 5.990% 04/23/58 B/E DID 04123108M cod y Rating BAA3 S & P Rating BBB- 06115111',JQ 1,100,000.000 107.2550 06/15/11 . '3-12 2.500.000.000 1061730 Total Noncovered 3,600,000.000 Total 3,600,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6.250%0117162 BIEDTO 0f17!12 CALLABLE ON t22 Q DO 000M oody Rating BAA1S& P Rat mg BBB- 01/30/12 . '312 3.000.000.000 99.9060 GENERAL ELEC CO GTD FXD-TO.FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2/03/65REGOTD1103P6Moody Rating A3 Sri P Rating BBB- 12/03/15 2.469.000.000 88.0930 AdjuMed Cost Basis Market Price Security Identifier. 0462UAK4 2.039.689.71 95.0000 Original Cost Basis: $2040,005.00 Security Identifier. 46625HHA1 1,179,799.94 98.6250 Original Cost Basis: 51132.500.00 2,669,316.47 98.6250 Original Cost Basis: 52,675,000.00 3,849,116.41 $3.849,116.41 Market Value 1.900.000.00 1.084.875.02 2.46542418 3,550,500.00 Securely Identifier 842400FU2 2,997,192.40 95.2500 Original Cost Basis: 52.992.564.97 Securely Identifier 3696048514 2,175,016.17 63.9000 Original Cost Basis: 52,25.011 53,550,500.00 2,857,500.00 1,577,691.00 Account tiuna troussmx:28 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Unrealized Cain Lon Awned Estimated Eslimaled Interest Annual Income Yield -139.689.71 36.555.56 140,000.00 7.36% -94,924.92 11,348.44 65.894.18 6.07% -203,691.49 25,791.92 149,759.50 6.07% -298,616.41 37,140.36 215,653.68 4298.616.41 $37.140.36 5215.653.68 -139.692.40 78,125.00 187,500.00 6.56% 497.325.17 4,389.33 98,760.00 6.25% L Rated Earellent Every Year Since 2007 DA MR RATED COMMUNICATIONS EXCELLENCE Page 5 of 18 Clewing through Penang LLC, a allay owned satsidiary of The Bank el New York Mellon Ceeporaban (IINY &SW) Nosaitat I, LC. meting rieee.PkiKepM_00046473 DB-SDNY-0009297 EFTA_00 157082 EFTA01289445 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Acquired Quality Una Cost FIXED I NCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FM RATE RESET ADDL TIER 1SECS ISM VS539439442 7.500% 04/27188 B/E0TD 0410711166 P Rating BB- 04/10114 . '"2 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RB;PT 5.950% 08/1/88 WE DM 0814/1 CALLABLE0816/20 (j 130.000M oody Rating BA2 56 P Rating 88• 08/06/15 3,000,000.000 100.0000 Tot al Corporate Bonds 23,972,000.000 TOTAL FIXED INCOME 23,972,000.000 Oat. Acquired EQUITIES Common Stocks ALIBABA GROUP HOG LTD SPONSORED RDR IS1Nt USO SUWON Dividend Option: Cash Adjusted Cod Bads Market Price Swirly Identifier: 539439AG4 1,948,500.00 96.4800 Original Cost Basis: 51948,500 00 Security Identdier: 4196/25 3,000,005.99 Original Cost Us $23,744,104.80 96.5000 S3.000,006.00 Noddy Unit Cod 523,744,104.80 Cod Bats Market Pik 06/10115 5,000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03129118 500.000 1,423.8620 04/01/18 500.000 1.367.0210 Total Covered 1.000.000 Total 1.000 000 APOLLO GLOBAL MGM T LLCCL A StiS Dividend Opl ion: Cash 263.67.00 of these shares are in your margin account 03/29/11 ' •° 263,157.000 19.0000 711,930.80 683,510.38 1,395,441.18 Security Identifier MBA CUSP:8609W 92 444,749.00 137.0700 Security Identifier:MADI CUSP. 02313566 1,501.9700 1,501.9700 51,395,441.18 Security Identifier: APO CUSH? 03762306 4,999,983.00 24.5400 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Market Value Unrealized Gain Lon Accrued Estimated Whaled intetest Annual Income Yield 1.836.014 40 .112A85 60 1.585.83 147.715.00 7.77% 2,895,000.00 -105,005.99 67,433.33 178,500.00 6.t6% $22,093,565.40 41,650,539.40 $428,061.41 $1,571,098.68 $22,093,565.40 41,650,539.40 $428,061.41 $1,571,098.68 Market Value Unrealized Geldloss Estimated Estknated Annual Income Yield 685,350.00 240,601 00 750,985.00 39,054 20 750,985.00 67.474.61 1,501,970.00 106,528.82 $1,501,970.00 $106,528.82 50 00 6,451,872.18 1,457,889.78 507.893.01 7 86% Account Nunn CONFIDO. L Page 6 of 18 Rated Eacelitnt Clewing near Feebly IX nib* evened Every Year Since 2007 eatable., of The Malmo** Veda Mellon DALIAR RATIO COMMUNICATIONS Cerporatton (My Mellon) VICtll Pe„ tins LIC.,nn'tat FINRAAVVELGM-00046474 DS-SDNY-0009298 EFTA_00157083 EFTA01289446 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired Quantity Link Cost Cod Bois Merkel Prise Minket Value Unhanded Gainfloss Estimated al im aled Annual Income Yield EQUITIES (continued) Common Stocks (continued) APPLE INC COM Dividend Oplion: Cash 12107117 214,000.000 06120118 50,000.000 186.7940 10/15/18 40.000.000 219.0180 Total Covered 304,000 000 Total 304.000 MI MOGEN IDEC INC COM Dividend Option: Cash 02/14/12 " 2,095.000 110.2720 CENTENE CORP DEL COM Dividend Oplion: Cash 09108114 15,550.000 KARYOPHAR14 THERAPEUTICS INCCOM Dividend Oplion: Cash 07112118 25.000.000 63.6450 18.6840 23.5350 Security Identilid:AAPL CUSIP. 03783300 36.340.223.40 157.7400 9,339,697.00 157.7400 8,780,702.00 157.7400 54140.622.40 554.440.622.40 Seedily Meat Wier: BOB CUSP. 09062XV3 231,019.65 300.9200 Security Identifier CNC CUSIP:111581)1 989,679.75 115.3000 Security Identifier: KPTI CUSP. 48576U16 467,106.00 9.3700 33,756,360.08 7,886,999.80 6,309,600.12 47,952.960.00 $47.952.960.00 630,427.40 1 792 915 00 234.250 00 -2,583,863.32 -1,452,697.20 -2,451,101.88 -6,487,662.40 -56 487 662 40 399,407.75 803.235 25 -232.856 00 624,880.00 146.000.00 116,800.00 887 680 00 5887 680.00 185% 185% 185% Total Common Stocks Preferred Stocks (Listed by expiration date) GMAC CAP TR IMO TR PFD SECS SER2 CPI). 8.25% FRED DRYLY MATY42/15/2040 CALL ANYTIM E.25 W/30 DAYS BEGINS02/1/1 Dividend Option: Cosh 02/22/12 *-11 80,000.000 $62,968,600.98 Security Identifies: ALLY PRA CUSP. 36160208 1,882,773.60 25.3500 $59,255,745.18 2.028,00100 -$3,712,855.80 145,226.40 $1,395,573.01 183,568.48 806% Total Preferred Stocks $1,882,773.60 $2,026,000.00 $145,228.40 $163,568.48 TOTAL EQUITIES $64,851,374.58 Cod Bads $61,283,745.18 Mired Value 43,567,629.40 Unmated OSHA. Awued Interest $1,559,141.49 Wooded Arnaud Income TOTAL U.S. DOLLARS December 1,201S - December 31.2018 SOUTHERN FINANCIAL LLC 196199.411 89 CONFIDENTIAL - PURSUANT TO FED. R CRINI, P. 6(e) Account ?Ante; $91,481,243.09 EC a CONFIDO. 45,218,18810 $428,081.41 $3,202,482.83 Page 7 of 18 L Rated ticollent trey Yew Since 2007 DALIAR WED COMMUNICATIONS exassetla Clewing through Pagan IIC a aloe/ evened sobsidiari of The lank a New Yak Mellon Carpotatkon MAW Per Ihnx 11.C. morto ii SRVVELoftoontsais DS-SDNY-0009299 EFTA_00 I 57084 EFTA01289447 Portfolio Holdings (continued) EURO Macho Overlay C9441019 Baas Coda Selena Currency Acaued 30-04 Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 0.00 EUR 0.00 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 14.80 0.00 SIR 0.00 USD 0 00 0 00 Descsalloa Nuttily Merkel Pilot Make Value Canna Acaued Waal Estimated Eslimaled Annul Income Yield FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO,GUICHARD-PERRACHON 7.500.000 000 101.4840 2,537,100.00 EUR 44,371.85 110,115.00 424% SA ISM FR00030%80 2,899,905.30 USD 50)11.02 125,930.03 4.407%08106/V REG 0130810312 Moody Rating BASS PRoting BB Security Identifier. F1413LCN4 Total Corporate Bonds: 2,500,000.000 2,537,100.00 SIR 44,371.85 110,175.00 2,899,905.30 USD 50,717.02 125,930.03 TOTAL FIXED INCOME 2,500,000.000 2,537,100.00 SIR 44,371.85 110,175.00 2,699,905.30 USD 50,717.02 125,930.03 Acaved Eillaeled Market Value Canna lateral Maul Income TOTAL EURO HONGKONG DOLLAR Description Garay 2,537,100.00 EUR 2,899,905.30 USD 44,371.85 110,175.00 50,717.02 125,930.03 OPerdla Gala Armed 30-Day Dance Bina Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242.25 183,24225 RIM 23,405.17 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HIM 23,405.17 USD Markel Vela Currency TOTAL HONG KONG DOLLAR CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 183,242.25 HIM 23,405.17 USD Account ?Arnim CONFIDO. 0.00 000 Accrued Infant 0.00 0.00 Page 8 of 18 Rated (0141ent Clewing through Pealing 11C. a wlay evened (very Year Since 2007 Maid's." of The Mak el Nevi Yak Mellon DALBAR RATED COMMUNICATIONS CarporatIon(ONY WNW (XCIlltria ri Pe Prix 11.C. m0-00 inatA.StRtliaseit00046476 DS-SONY-0009300 EFTA_00157085 EFTA01289448 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JA PA N ESE Y EN Desuiptbn CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance December 1,2018 - December 31.2045 SOUTHERN FINANCIAL LLC Quantity Opening Cooing Balance Bales Connor 49.00 49.00 JPY .0.45 USD 49.00 49.00 JPY 0.00 4.45 USD 0.00 Accrued Nike Value Connor inters Accrued Income TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 30 Day Yield TOTAL JAPA NESE YEN TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 49.00 JPY 0.00 -0.45 USD 0.00 Unrealized Accrued Estimated Coat Bads NNW Value GaiterLoss Inlets Annual Income $98,699.411.89 194.404.553 11 45218.168.80 $478.778.43 13 328.412 86 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Ad of 2008, and are marked as "noncovered". Securities marked as "covered*, were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1399-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 hes been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. tz 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. t3 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. at. L Page 9 of 18 Rated Eaceilent trent Yes, Since 2007 DAUIAR RATED COMMUNICATIONS ()tall INC I Cleating through Fenian LLC fl ied evened sateldiery a Me in a new Yak Mellen Cerpodatto (My Man) Pen I. me n nxt-latt FiNtAAKaem_00046471 DB-SONY-0009301 EFTA_00157086 EFTA01289449 Holdings Summary by Currency Cunenty Cue Fixed Income Equities Told by Currency U.S. DOLLARS 8,103,932 22,093,56S 81,283,745 91,481,243 USD EURO 0 2,537,100 0 2,537,100 EUR HONG KONG DOLLAR 183,242 0 0 183,242 MD &VARESE YEN -49 0 0 -49 JPY Total USD Equivalent 8,127.337 24,993,470 61,283,745 94,404,553 USD % of Allocation 9% 28% 85% 100% Portfolio Holdings 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. THEAS OF PRICEDATEONLY APPEARS WHEN THEPRICEDATEDOESNOT EQUAL THESTATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) and estimated annual yield (FAY) 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.com/ disclosures 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, Sank 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. Option Disclosure 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. Foreign Currency Transactions Pershing will 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ?gumbo 3ectilla CONFID L Page 10 of 18 Rated hothent Erect Year Since 2007 DMIAR MTV) COMMUNICATIONS (XCILIOICI Clearing lasotor Iambi% IIC nub* evened istaldlary of The lanic Wier Yak Mellon Carporat$ an My Man) Per Ihnx 11.C. mtett• FthvAARWTrikom_000its.sTa DE1-SDNY-0009302 EFTA_OO 157O87 EFTA01289450 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) December 1,2018 - December 31, 2076 SOUTHERN FINANCIAL LLC 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. 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 & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Date Date Realized Desaiption Disposed Acquired Designation Disposition Method) TIMItildi011 Quantity Proceeds Cod Baas Gaia; Lon Short Term EURO CURRENCY 12/20/18 12119118 NOncOveted. First In First Out! SELL 796,815.200 913,947.03 910,042.64 3,904.39 Security Identifier. EUR999995 U8I SOFT ENTERTAINM E 12/19/18 03121118 Covered First In First Out! Sal 5,600.000 455,058.33 489,130.40 44,072.07 0000051470 SA MONTREUIL ACT 12119/18 03127118 Covered First In First Out! S9.1 5,600.000 455,058.32 485,068.46 40,010.14 Security Identifier. F9396Nt6 Total 11200.000 910,116.65 974,198.86 .61,082.21 GENERAL ELECTRIC CO 12/19/18 02123118 Covered First In First Out! SELL 2,500.000 18,889.63 40,551 71 -21,662.08 Security Identifier 3696041)3 12/19/18 02126118 Covered First In First Out! SELL 2.500.000 18.889.63 40,551.71 -21,662.08 12119/18 03105/18 Covered First In First Out! Sal 800.000 6,044.68 12.980.63 -6,935.95 12119/18 03107118 Covered First In First Out! Sal 5,000.000 37.779.26 81,097.41 43.318.15 12/19/18 03112/10 Covered First In First Out! SELL 2,500.000 18,889.63 10,551.71 -21.662.08 12/19118 03116118 Covered First In First Out! 11.700.000 88,403.45 189,759.90 -101,356.15 Total 25,000.000 188,896.28 405,493.07 -216,596.79 NINTENDO LTD ADR 12/19/18 02105118 Covered First In First Out! SELL 10,000.000 333,989.65 517,906.00 -183,916.35 Security Identifier 654445303 Total Short Term 2,316,949.61 2,807,640.57 -460,690.96 Account Nombre CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Page 1' of 18 L Rated [smitten (my Yew Since 2007 OMAR ItATED COMMUNICATIONS EXCO.LINCI Clewing through PenhirglIC. a Say owned istaidiary a The IMMONew Yak Mellon Cap:taboo (OM Wilco) Pell. 'mg 11.C.mer-bn Ithtto..W 1h39m—Ouv4647v DB-SDNY-0009303 EFTA_00157088 EFTA01289451 Schedule of Realized Gains and Losses Current Period (continued) (We Description Disposed Total Short and Long Term Dale Aoadted Designation Disposition Method I Ttanadion Quantity Realized Proceeds Coil Bads Gain;lots 2,346,949.61 2,807,640.57 460,690.96 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-US. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1886, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked asIIcovered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 1399-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 reliance on the information provided herein for such reporting. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's 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 IRSForm 1099-B. Messages Please note the following information for Pershing's 2018 IRS Form 1099 (B, DIV. INT, M ISC and DID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019. By February 15, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1399 will be mailed no later than M arch 15.2019. Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP Rated [strata? (my Year Since 2007 DALIAR RATED COMMUNICATIONS ()tall INC I Page 12 of 18 Clearing Omer Pad.S I1C naoly wend sotaldlary of The Malt *Ma Yak Melon Carporat$ an (My WWI Pen hnx U.C.erter-bn FtWRA.SCV/ELGM_000464430 DB-SDNY-0009304 EFD1/4_00157089 EFTA01289452 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Activity Summary (All amounts shown are in base currency) December 1,2018 - December 31.2018 SOUTHERN FINANCIAL LLC MEM Crags Mrs Period Debits ThisPerlo4 Net ThisPotio4 GenitsTom4o.Date orbasuar4o-Deto Not Yet4o-Date Securities Securities Bought 0.00 0.00 0.00 0.00 48,533,305.28 48,533,305.28 Securities Sold 2,346,949 61 0.00 2,346,949 81 45,312,884.71 0.00 45,312,884.71 Total Securities $2.346,949.61 $0.00 $2,346,949.61 $45,312,884.71 448,533,305.28 43,220,420.57 Dividends and Interest $124.445.80 $0.00 $124,445.80 $2,849,647.58 $0.00 $2,849,647.58 Distributions $0.00 $0.00 $0.00 $4,238,988.10 $0.00 $4,238,988.10 Fees $0.00 4228.11 4228.11 $0.00 41.408.11 41,406.11 Taxes Withheld $0.00 4286.03 4286.03 $0.00 47.286 40 47,286.40 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Withdraw* 0.00 0.00 0.00 0.00 -4,077,618.24 4,077,618.24 Deposits 0.00 0.00 0.00 8,270,842.15 0.00 8,270,842.15 Total Cash $0.00 $0.00 $0.00 $8,210,842.15 44,077,618.24 $4,193,223.91 Totals $2,471,395.41 4514.14 $2,470,881.27 $60,672,362.52 452,619,893.68 $8,052,668.84 Transactions by Type of Activity Process Trade Sett knot Transaction Data Data Mirky Typo DosalptIon Cluatily Rka Ateruod MKS Amount QtrIoncy Securities Bought and Sold 12/21/18 12119/18 SOW UBI SOFT ENTERTARIN ENT ISINt FRO000054470 SA -11,200.000 71.1900 796,880.00 EUR UBI:FR 12121118 12119118 SOLD MONTREUIL ACT ALLOCATED ORDER YOUR BROKER ACTED AS AGENT ASOF 2/1/2013 GENERAL ELECTRIC CO C011 UNSOLICITED ORDER AVERAGE .25,000.000 7.5961 910,116.65 USD 188,896.28 USD GE 12121118 12119118 SOLO UNIT PRICE TRANSACTION YOUR BROKERACTED ASAGENT NINTDIOO LTD ADR UNSOLICITED ORDER -10,000.000 33.4400 333,989.65 USD 117001 12/24/18 12120/18 CORRECTED SELL EURO -796,815.200 1.1470 913,947.03 USD Total Securities Bought and Sold EURO 0.00 796,880.00 EUR CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Humber CONFIDO. L Page 13 of 18 Rated hotlient Claim liner Paws IIC outlay evened (my Year Since 2007 Malaita of Tat Malta New Yak Meta DALBAR RATED COMMUttiCATIONS Carporatlen(ONY Patilen) LaCial Ma Pelham11C rnentat Faitatigni teM- 000 46481 DES-SDNY-0009305 EFTA_00157090 EFTA01289453 Transactions by Type of Activity (continued) Roast; Trade; Settlement Transaction Date Date Acliyky Type Description Quantity Price Acaued Interest Amount Catena Total Securities Bought and Sold (continued) TOTAL USD EQUIVALENT 0.00 910.116 65 USD U S. DOLLARS 0.00 1,436,832 96 USD Dividends and Interest 12/03/18 FOREIGN BOND INTEREST 100000 DEUTSCHE BK AG N Y BRH VAR ISINO US255268/189 24.37510 USD 251526BN8 4.875% 12/0132 B/E DID 12/0/17CLB RD 1130 PO 2/011 12117/18 CASH DIVIDEND RECEIVED 2469000 GENERAL RFC CO GTD FXD-TO.RTGRT 49,380.00 USD 3696048114 NOWCUM ULATIVE PERPETUAL PREFERRED 4100%2/03/65 REG DTD 17JOYS CLEI RD 1130 PC 2/1118 12/18118 FOREIGN SECURITY DIVIDEND 1000 MRS NINTENDO LTD ADR RD 09/28 PO 2/13111 1,867 64 USD RE-COVED NTDOY 12/27/18 FOREIGN BOND INTEREST 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL 35181 25 USD 539439AG4 TIER 1SECS ISINS US539439AG42 7.500% 04/27/88 BIE DTD 04/0701 CL8 RD 2/12PD 2/27/1 12/31/18 MONEY MARKET FUND CASH AC TR OW SGOVT 13,141.91 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 124.445.80 Fees 12/03/18 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 201 CUSP. F9396N-1.5 •2.00 USD USD999997 12/03/18 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 201CUSII). F14 INAN-4 -2.00 USD USD999997 12/18/18 FEE ON FOREIGN DIVIDEND 1000 SHRS NINTENDO LTO ADR RD 09/28 PO WV% -224.11 USD WITHHELD AT THE SOURCE NTDOY Total Fees - U.S. DOLLARS 0.00 -228.11 Taxes Withheld 12/18118 FOREIGN TAX WITHHELD AT 1000 SHRS NINTENDO LTO ADR RD 09/28 PO 12/1311 -286.03 USD THE SOURCE NTDOY Total Taxes Withheld - U.S. DOLLARS 0.00 -286.03 Told Araual altered Total Amount Transtalonsaimmary Told Awnd IMered Total Amount Quincy USD EguNalent USDEcurivaltot EURO 0.00 796.88010 EUR 0.00 91011665 U.S. DOLLARS 0.00 1,560.764 62 USD 0.00 1.560.764 62 The price and quantity displayed may have been rounded. Page '4 of 3 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account ecocN CONFID Rated ticellent fray Year Since 2007 OMARRATED COMMUNICATIONS EXCLUINCI Clewing through Ptilillfe LLC. a mite/ owned sotaldiary of The Bank at New Yea Mellon CarporatIon OM Mellon) Pechnx LICertet-txt 1 itato..%41141.00 - 00046482 DB-SDNY-0009306 EFTA_00 15709 I EFTA01289454 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Cash Not Yet Received December 1,2018 - December 31,2018 SOUTHERN FINANCIAL LLC Security Record Date Payable Dale Quality Field Ible Dividend Option Amount of Payment Dividends GENERAL ELECTFJC COCON 12120118 01125119 25,000.000 0.010000 Cash 250.00 Interest BELA INTER LW/ DIEU RN INC GTO 12131/18 01115119 3.000.000.000 0.050000 Cash 150,000.00 FIRST PRIORITY SR Total Cash Not Yet Received 5159250.00 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. Fixed IncomeAnalysis Bond Quality Bond Quality Market Value A 1,577,691.00 BAA 6,408,000.00 BAi Lower 16,230,239.70 Not Rated 777,540.00 Total 24,993,470.70 % ol Road MNUt Value 6% 26% 65% 3% 100% 0 Percent of Fixed ncome 20 40 60 80 10 Bond Maturity Schedule Bond Maturity %of Bond Market Vdve Market Value .1to 6 months 972,500.00 1% IE 7 to t2 months 2,809,905.30 12% IN 1to 5 years 2,865,000.00 11% 06 to 10 years 2,661,820.00 11% • Over 10 years 15,394,245.40 62% Total 24,993,470.70 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody'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. Client Service Information Your Investment Spedake MARTIN ZEM AN 345 PARK AVENUE NEW YORK NY 10 154 Contact Information Telephone Number: (212) 250-0432 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number_ CONFID Page 15 of 18 Rated timeliest trey Year Since 2007 PAIAAR RAM COMMUNICATIONS uaurvicr Clewing liner Mein LLC nob* evened Mold/arra nit end a New Vat Meta Per, (MY Mellon) Per Pinx 11.C. mentxt ca) DB-SDNY-0009307 EFTA_00157092 EFTA01289455 Your Account I nformati n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION SECTIONS 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 0 EU VERY 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 Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institutionit 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, w here 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 . All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You ere 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 • t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award Is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the Page 16 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Account Number: Stetm CO Mene NFIDO' L-- Rated Eacellent trey Yew Since 2007 OMAR ItaTtO COMMUNICATIONS UMIAK E Clearing through Peaky LLC *lady evened sabtidiery of Me Melt a New Yen Meta Cerporatton (MY Mellon) Pero me attettar FtiteleStRVELGM_000464434 DB-SDNY-0009308 EFTA_00157093 EFTA01289456 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) December 1,2018 - December 31,2013 BOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases:a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration 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; Account Norte Stcosnos CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Page ' 7 of '',E; Rated ['milk..? (lane through Pinking LC. a %Nei owned hem Year Since 2007 sokslifiara al The Banked New York Mellon DALIAR RATED C0MMUNKATI0NS Carporabon(ONY Mace) ,..... _ [10:82.O4a kskkitlt.C.nterrtet F ikItA.Vel€111aWn_00046485 DB-SDNY-00093O9 EFTA_00 I 57094 EFTA01289457 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. DEBT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN 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 CORENED STATEMENT OF YOUR GENERAL ACCOUNT MID 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 ACCTM INT 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 AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS n 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 TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT, ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT, ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSH ING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE 607(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION ORDERS TO ITS 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. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECUMTES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NERO). 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 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. PERSH:NG ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. F ANY OF THE MOVE TERMS MID ODNDITIONSARE URACCEPTAME TO YOU, TEASE NOTIFY PUMPING IMMEDIATELY IN WRITING BY WOWED MAIL TOONE PERSHING PLAZA JERMYCITY, Ni 07399, ATM: LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Number: CON FIDO. L Page of 18 Rated hottlent Claim. through Falb% LLC a Moly @mad Emmy Year Since 2C07 sabaldiacy al The Bask ether Yak Megan DAUIAR RATED COMMUNICATIONS CarpotatIon (MY MOW EXCELLENCE Per ihnx 11.C. mertan ruarAVViteceM-000 46486 DB-SDNY-0009310 EFIA_00157095 EFTA01289458 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 100 RED HOOK QUARTER B3 ST THOM ASVI 00 802 Orututiv Sant Prisatr Melt. h•laletmeil IA mien <Genie elee: O•vtiche Mm 1.:Avdiri Ns. Ycel Ceke 30 P3n Ammo. 360 now toes Yvl. rit Tont.. Evert November 1.2018 - November 30,201B Account Number: Portfolio at a Glance Baghdad Yates-Die Your Investment Specialist BEGIN NI NGACCOUNT VALUE MARTIN ZEMAN Net Cash Deposits and Withdrawals $115,924,557.54 0.00 $97,272,547.37 4,193,223.91 Adjusted Previous Account Value 115,924,557.54 101,465,771.28 Dividends. Interest and Other Income 424,089.47 3,233,094.77 Total Taxes Withheld 0.00 -7,000.37 Other Transactions 4.00 -1,255.85 Net Change in Portfolio' -13,527,843.34 -1869,830.38 ENDINGACCOUNT VALUE 9102,820,779.87 $102,820,7790 Maud Interest 5402.048 74 Estimated Annual Income 53,193.699 16 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Asset Type Nor Year-Eed Lad Period ThIsPerled 6% Cash. Money Funds, and Bank Deposits 823,820.98 3069,680.52 6,568,510.08 E. 25% Fixed Income 28,083,479.22 26,473,097.33 25,363,588.19 • 69% Equities 60,899,388.97 83,265,684.75 70,890,681.40 0% Mutual Funds 3,020,938.22 3,116,094.91 0.00 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) $97,272,547.37 6115.924.557.54 $102,820,779.67 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) conN F I D Page 1 of 18 Rated h(tHent Every Year Since 2007 DAtRARMITO COMMUNCATIONS EXCIattla Clain Omagh Pegg% IIC outlay evened sotaldlary a The Bank a New Yak Meta Caeporatfanaltly AMMO) Peri. Ira titian-ter FRIIIAAV Y2;04_000464437 DS-SDNY-0009311 EFTA_OO157O96 EFTA01289459 Summary of Gains and Losses This Period &WS Year-to-Dote Uartellad Short-Term Gain! Loss .2,139.48 1,557,505.33 -712,788.99 Long-Term Gain/ Loss 44,194.07 2,471,580.94 3,735,194.55 Net Gain! Loss 46,333.53 4,029,085.27 3,022,405.56 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 tales' . 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 1399 and/ or 104 2 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. Exchange Rate Table G ooa Casn Currency Closing Amount in Quincy USD Bmivalent per USD Currency Balance Bass Censor uSD EURO 1.1321 0.8833 EURO 44.80 -73.36 HONG KONG DOLLAR 0.1277 7.8255 HONG KONG DOLLAR 183,242.25 23,415.98 „RPANESE YEN 0.0088 113.5300 AWARE% YEN 49.00 -0.43 &change rates are based on interbank exchange rates as of 11, 301 2013. &change rates can vary. Total Gabel Cash Balance $23,342.19 Money Market Fund Detail Date Activity Type Desalrilan Amount Bring Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.2% Activity Ending: 1V 30/ 34 11/01/18 Opening Balance 2,969,154 25 2,989,154.25 11101118 Deposit MONEY FUND PURCHASE 77,225.00 3,046,379.25 11102118 Withdrawal MONEY FUND REDEM PTION 4.00 3,046,375.25 11/1 fut 8 Deposit MONEY FUND PURCHASE 221,920.00 3,288,295.25 11119118 Deposit MONEY FUND PURCHASE 41,393.60 3,309,688.85 11127/18 Deposit MONEY FUND PURCHASE 21,480.00 3,331,188.85 11729118 Deposit MONEY FUND PURCHASE 3,072,723.17 6,403,892.02 11130/18 Deposit MONEY FUND PURCHASE 12,340.94 6,416,232.96 11130/18 Deposit INCOMERBNVEST 5,882.71 6 422 115.67 11130118 Closing Balance 66,422,115.67 Total All Money Market Funds 66,422,115.67 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Hurnbe 2:c:; CONFIDO. r:noti L Page 2 of 18 Raid hortlent brew Yes, Since 2007 DALIAR RATIO COMMUNCATCNS EXCILLINCI Clare...through kohl% LC. a vilay evened se:oldie,' a The Mak a New Yak Meta Carponban(IINY Mellon) Per Oita LI.C.menter FINIIAAR4VOM_00046488 DEMSDNY-0009312 EFTA_00157097 EFTA01289460 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary November 1, 2018 - November 30,2018 SOUTHERN FINANCIAL= Unable Careat Period Non Taxable Tattle Yes-to-Diu Non Taxable Dividend Income Equities 221,920.00 0.00 790,786.93 0.00 Money Market 5,882.71 0.00 59,100.75 0.00 Other Dividends 12,340.94 0.00 904,810.91 0.00 Interest Income Bond Interest 21,480.00 0.00 813,069.41 0.00 Other Interest 41,393.60 0.00 157,433.76 0.00 Expenses W ithholding Taxes 0.00 0.00 .7,000.37 0.00 Fees( Foreign Securities) 0.00 0.00 .900.00 0.00 Total Dividends, Interest, Income end Expenses $303,017.25 $0.00 $2,717,301.39 $0.00 Distributions Alternative Investments 0.00 121,052.22 0.00 507,893.01 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $121,052.22 477.65 $538,988.10 Portfolio Holdings U.S. DOLLARS Account Opening Die Curdy Number Activity Fading Opening Bayne Doing Name Awned Income biome Thb Year 30 Day Yield Current Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Margin Balance Money Market CASH AC TR OWSGOVT 8 AGINSTL 11/01/18 8,422,115170 N/A 11/30/18 77,225.00 0.00 2,989,154.25 0.00 121,052.22 6,422,115.67 754.89 59,10015 2.11% 212% Total Money Market $2,969,154.25 $6,422,115.67 $754.89 $59,100.75 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $3,046,379.25 $6,543,167.89 $754.89 $59,100.75 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account HuntliAM CONFIDO. L Rabid Gcellent (rem Year Since 20O7 DALBAR RATED COMMUNICATIONS ()tallINCE Page 3 of 18 CkYrnR LM0„RI, PrIShifit titaakei OWNS WfriKIWIT of The OanktAtiew Yalt Mellon corporation ma Mtllon) Peohnx mn•On rnnto IIMAARCOVELGM_00046489 DB-SDNY-0009313 EFTA_00157098 EFTA01289461 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENS COM M UNICATIONS CO SR NT FULLY EXCHANGED FROM 174538AX9 7.45%031'619 B/E DID 03/23/07M oody Rating CAA1S8 P Rating CCC+ 10/03/17 1.000.000.000 100.0210 EXELA INTER LLC / DELA RN INC GM FIRST PRIORITY SR SECD NT 144A 13.000% 0716123K OM 07/2/17 CleMoody Rating 83 58 P Rating B 10/24117 2e00,000.000 97.0250 07/09/18 1,000,000.000 102.6980 Total Covered 3,000,000 000 Total 3e00.000.000 JISINVTS GM BH GTD SR NT REG S !SINS USA29866M353 7250%04103/24 NE DTD 04/01(146 8 P Rating BB• 10/31/17 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISINS US25625AM33 I 296% 05124/28 EVE DTD 05124/13 FORBGN SECURITY ST CPN DTE 1/24113M oody Rating Ba2 $ 8 P Rating BB, 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR ISINS US25•626BN89 4.875% 410132 B/E DM 2/0117 CALLABLE 12/0127 06/01/18 1.000.000.000 86.8260 Adjusted Cost Baas Market Price Market Value Unrealized Oainlloss Awued Estimated Elko/tied Interest Annul Income Yield Security '<Neither: 4453BAW1 1.000.214.48 99.8750 Original Cost Basis: $1001006.00 Security Id entitle!. 30 E2RAA9 1,940,506.00 101.0000 Original Cost Basis: $1948,506.00 1,026,982.47 101.0000 Original Cost Basis:61028156.00 2.967.488.47 62.967.468.47 Security Identifier: A29866AB6 1.981.300.00 100.3600 Original Cost Basis: $1981.30000 Security Identifier 25526AM 3 917.776.00 84.7770 Original Cost Basis: 5917.776 00 Security Identifier: 256268N8 868.256.00 77.4060 Original Cost Basis: $868256.00 998.750.00 2,020,000.01 1.009.999.99 3,030,000.00 $3.030.000.00 2,007,200.00 841,170.00 774.060.00 .1.484.48 14.843.75 71,250.00 7.13% 79,494 01 75,000.00 200,000.00 9.90% .16,982.48 37,500.00 100,000.00 9.90% 62,511.53 112,500.00 300,000 00 $62,511.53 $112,500.00 $300.000.00 25,900.00 22.958.33 145,000.00 722% 40,006.00 716.00 42,960.00 6.06% -94,196.00 24239.58 48.750 00 629% Account Numbe storr reeve CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Page 4 of '8 Rated Excellten Clewing tivough Penave LC. a *eat owned Every Year Since 207 subsidiary of The Bank Nee. York Mellon MBAR RATIO COMMUNICATIONS Caeporattan (IINY Melba) ,..... _ UMIAK( _00046490 etnnitualC.neenee Fir.RA.YR111,11.4" DB-SDNY-0009314 EFTA_00 I 57099 EFTA01289462 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) November 1,2013 - November 30,2015 SOUTHERN FINANCIAL LLC OuleAcquited OustIty UM Cosi FIXED INCOM E (continued) Corporate Bonds (continued) ASSURANT INC FM TO RIG SUB NT 7.000% 03127/46 WE DM 03/2711 CALLARE03/27128 Q t0000Moody Paling BA1 03/29118 2,000,000800 101.9860 AAORGAN CHASE& CO DEP SHSREPSTG PATH PFD SERIFIXED TO RIG RT BD 5108% 04123/58 WEDTD 04123/081doody Rating Baa3S& P Rating B88- 06/15/11 1,10 0,000.000 107.2590 06/15/11 .."2 2,500,000.000 106.7770 Total Noncovered 3,600.000 000 Total 3,600,000.000 SOUTHERN CAUF EDISON CO PREF SER E 6250% 0117/62 EWE DID 0104 CALLABLE 0710122Q 100000M oody Rating BAA1S& P Ration BBB- 01/30/12'•a•4 3,000,000.000 99.9040 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 PEG OTD11/03/ 1 oody Rating A3 S& P Rating BBB. 12/03/15 2,469,000.000 88.0930 Adjusted Cod Otis Market Price Security Identifier 04620K4 2,039,725.86 96.5000 Original Cost Basis: 52,040,006.00 Security 'daddies: 46625HHA1 1,179,849.24 100.3750 Original Cost Basis: 5112,50000 2,669,420.32 100.3750 Original Cost Basis: 52,675,000.00 3,849,269.56 $3,649,269.56 Seoul), Identifier: 842400 FU2 2,997,123.83 96.7500 Original Cost Basis: $2,992564.97 Security Identifier: 3696048414 2.175.016.17 66.5000 Original Cost Basis. $2.175.01.17 Myatt Value 1,930,000.00 1,104125.02 2,509,374.98 3.613,500 00 $3.513.500.00 2,902,500.00 1,641,885.00 Jai ealized Gair Loss Accrued Estimated Eiimaled Interest Annual Income Yield ,109,725.86 24,500.00 140.000.00 7 25% -75,724.22 5,502.30 63,897.68 5.78% -160,045.34 12,505.23 145,222.00 5.78% .235 769 56 18.007 53 209.11968 4235,769.56 $18 007 53 6209 119 68 84,623.83 61,979.17 187,500.00 6.45% 433,131.17 45.265.00 98.760.00 601% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number EONFIDO. L Rated ticellent trey Yew Since 2007 DALIAR MTV, COMMUNCATI0NS LXCILIANCI Page 5 of 18 Cleanng through fleabag 11Cawboly evened sabsidiary of TM Bank el New YM Mellon CarpoestIon (MY Mao) Perfhnx 11.C.nwetan inuiteAtikelt00046491 DS-SDNY-0009315 EFTA_00 157 WO EFTA01289463 Portfolio Holdings (continued) U.S. DOLLARS (continued) Ode Acquired Ousetfty Unil Cost FIXED INCOME (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS ISINB VS5394394612 7.500% 04/21/68 8/E OTD 011071%58 P Rating 84 04110114 .."2 1,903,000.000 102.3910 CITIGROUPIK FXD RT SR NT PERP DEP RECPT 5.950% 08/4/88 WE OTC 0819/5 CALLAKE08115/20 110.000Moody Rating BA2 SS P Rating 889 08/06/15 3,000,000.000 100.0000 Total Corporate Bonds 23,972,000 000 TOTAL FIXED INCOME 23,972,000 000 Dale Acquired EQUITIES Common Stocks ALIBABA GROUP HOG LTD SPONSORED AOR IS1Nt US0409W1327 Dividend Option: Cash 06/10115 AMAZON COM INC Dividend Option: Cash 03/29/18 04/02/18 Total Covered Total Oinntky Unk Cod Adjusted Cod Bads Market Price Securely Identifier: 539439AG4 1,948,500.00 94.7280 Original Cost Basis: $1948,500.00 Security Identifier:1296725 3,000,005.99 100.5000 Original Cost Basis: $3000,006.00 $23,744,676.36 $23,744,676.36 Cod Bats Market Price Market Value 1,802,673.84 Unrealized Gainless Accrued alleaded Wrested Interest Annul Income Yield •145,826.16 24,976.88 142.725.00 7 11% 3,015,000.00 14,994.01 52,082.50 178,500.00 592% $22,563,338.84 51,181,337.52 4102,048.74 $1 464,564 68 $22,563,338.84 41,181,337.52 $402,048.74 81,564,584 68 Market Value Unrealted Cale/Les Estimated Estimated Annual Income Yield 5,000.000 88.9500 500.000 1,423.8620 500.000 1.367.0210 1.000.000 1.000 000 711,930.80 683,510.38 1,395,441.18 APOU.0 GLOBAL MGM T LLCCL A SliS Dividend Option: Cash 263.67.00 of these shales are in your margin account 03/29/11 '.5 263,157.000 19.0000 81,395,441 18 Seanity Identifier: BABA CUSP: 0409W 62 444,749.00 160.8600 Security Identifier: AUDI CUSP. 023135116 1,690.1700 1,690.1700 804,300.00 845,085.00 845,085.00 1,690,170.00 359,551.00 133,154.20 161.574.62 294.72812 Security Identifier APO CUSP:03762306 4,999,983.00 28.1900 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 81,690,170.00 7,418,395.83 $294,728 82 2,418,412.83 Account tribe CONFID $00D 507,893.01 6.84% Page 6 of 18 Rated ticellent bey Yew Since 2007 OMAR IMO COMMUNICATIONS uctunta Clewing through halting IIC nob./ evened sobsidiary of The Bonk el New Vat Mellon CarporatIon OPNY MOW Pero inx 11.C. menbt. 1 tuRAAV YeLOPLOOD46492 DS-SDNY-0009316 EFTA_00157101 EFTA01289464 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity EQUITIES {continued) Common Stocks (continued) APPLE INC COM Dividend Oplion: Cash Unit Cost Cod Baas Market Ftice Market Value Air/aided Gain toss Estimated Eslimaled Annual Income Yield Security Ideating: AAPL GAR 037833130 12107117 214,000.000 169.8140 36,340,223.40 178.5800 38,216,120.09 1.875.896.69 624,880.00 163% 06/20/18 50.000.000 186.7940 9.339.697.00 178.5800 8.928.999.77 .410.697.23 146.000.00 1.63% 10/15/18 40100.000 219.0180 8,760,702.00 178.5800 7,143,200.14 -1.617,501.86 116,800.00 1.63% Total Covered 304,000 000 54.440.622.40 54,288.320 00 -152,302.40 887,680 OD Total 304.000.000 554.440.622.40 $54.288,320.00 4152.302.40 5887.680.00 BIOGEN @EC INC COM Scanty Identifier. RIB Dividend Oplion: Cash CUSIR 09052XV3 02/14/12 2,095.000 110.2720 231,019.65 333.7200 699.143.40 468,123.75 CINTENE CORP DEL COM Security Identifier CNC Dividend Oplion: Cash CUSP '545191 09108/14 15.550.000 63.6450 989.679.75 142.2500 2.211187 50 1,222,307.75 GENERAL ELECTRK CO COM Senility Identifier. GE Dividend Oplion: Cash CUSIP. 369604133 25.000.00 of these shares are in your margin account 02123/18 2.500.000 16.2210 40,551.71 7.5000 18.750.00 -21,801.71 1,200.00 6.40% 02/26118 2,500.000 16.2210 40,551.71 7.5000 18.750.00 -21,801.71 1,200.00 6.40% 03105/18 800.000 16.2260 12.980.63 7.5000 6.000.00 4,980.63 384.00 6.40% 03/07/18 5,000.000 16.2190 81,097.41 7.5000 37,500.00 -43,597.41 2.400.00 6.40% 03/12/18 2.500.000 16.2210 40.551.71 7.5000 18.750.00 -21.801.71 1.200.00 6.40% 03/16/18 11300.000 16.2190 189.759.90 7.5000 87.750 00 -102,009.90 5116.00 6.40% Total Covered 25,000.000 405.493.07 187,500.00 -217,993.07 12,000.00 Total 25,000.000 $405,493.07 3187.500.00 4217.993.07 $12,000.00 KARYOPHARI4 THERAPEUTICS INC COM Security Idenlifier. KPTI Dividend Oplion: Cash CUSIR 48576U136 07/12/18 25,000.000 18.6840 467.106.00 10.4000 260.000.00 407,106.00 November 1, 2018 - November 30, 2018 SOUTHERN RNA NCIAL LLC Page 7 of 'd Account Number: etc:Innis CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Rated ticellent trey Year Since 2007 OMAR PAITO COMMUNICATIONS EXCLUINCI Clewing through Pecan U.C. • May OWIIS istaldiary of The Mak a Mew VGA Mellon Cap:taboo (OM Mao) Pen. 'mg ertn—bn it aii..g%qua.GM-00046493 DB-SDNY-0009317 EFTA_00157102 EFTA01289465 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquaint, Quantity Unit Cod Cod Buis Naar Price Market Win Unualland PIMA* Estimated Maul Income Edlmaled Yield EQUITIES (continued) Common Stocks (continued) NINTENDO LTD ADR Dividend Opl ion: Cash Security Identifier: NTDOY CUSP:654445303 02105118 10,000.000 51.7910 517,906.00 37.8700 378,700.00 -139,206.00 5,027 26 1 32% Total Common Stocks $63,892,000.05 $67,938,516.73 $4,046,518.66 $1,412,600.27 Preferred Stocks (Listed by expiration date) GM AC CAP TR I OW TR PFD SF-SKR2M. Security Identifier ALLY PRA 815% FRB) ORTLY M ATY-021612040 CALL CUSIP 36160208 ANYTIME 025 WI30 DAYS BESNSO VS/ Dividend Option: Cash 02,22112 ..11 80,000.000 23.5350 1,882,773.60 25.5000 2,040,000.00 157,226.40 157,433.76 7.71% Total Preferred Stocks $1,882,713.60 $2,040,000.00 $151,228.40 $157,433.76 TOTAL EQUITIES $65,774,773.65 $89,976,516.73 $4,203,743.98 $1,570,034.03 Celt Batts Martel Vdue Untealgen Gains Lon Accrued Interest Estimated Annual Income TOTAL U.S. DOLLARS EURO Description $96,062,617.90 Qoarety $99,085,023.46 OWEN Baca Going 8atanca Curing $3,022,405.56 $402,048.74 $3.193.699.46 Accrued Income 30 toy Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR -73.36 USD 44.80 EUR -73.36 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS Denham FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO, GUICNARO•PERRACIION SA ISNIFRO011301180 0.000% 08106/1 REG DID 08/0312 Moody Rating Ba1S S Pitting 88 Seaway Identifier: NODS Total Corporate Bonds: 44.80 Oeenfity dirket Price Market Value Connor 0.00 0.00 Awned Interest &Sled Yield 2.500,000 000 98.9400 2,500,000.000 2,413,500.00 EUR 2,800,249.35 UM 2,473,500.00 EUR 2,600,249.35 USD CONFIDENTIAL - PURSUANT TO FED. R CRIN1 P. 6(e) Account Number: CONFIDO. 0.00 000 Rated t•rtlkan Even/ Year Since 2O07 DALBAR RATED COMMUNICATIONS DIMLING( 0.00 000 Page 8 of 18 Clewing through Peaking Lit. • a " owned sataldiary of Me Usk el New 'fed Melba CoixwatIon (IINY Mao) PerOing 11.C.mertere ONRAVVVELGM_00046494 DS-SDNY-0009318 EFTA_00157103 EFTA01289466 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) DnaMom Clianfily Merkel Pelee Accrued Eslirnaled Markel Value Currency Inlets Yield FIXED INCOME(continued) TOTAL FIXED INCOME Deecriplion 2,500,000.000 Penally Merkel Price 2,473,500.00 EUR 0.00 2,800,249.35 USD 0.00 Estimated Market Value Currency Yield EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 11,100.000 71.9400 805118.00 EUR ISMS FR0000054470 SAM ONTREUIL ACT 911,164.87 USD Secutity Id Wilier: UBI.FR CUSP. F9396N136 Total Common Stocks 805,728.00 EUR 912,184.67 USD TOTAL EQUITIES 805,728.00 EUR 912.164 67 USD November 1, 2018 - November 30,2018 ITI4rPld Fltdd ?drift I I I r Market Value Currency Moved lateral TOTAL EURO HONGKONG DOLLAR prrglion 094114 Oeanlity Balsa 3,279,163.20 EUR 3,712,340.66 USD amino Diana Cunrenq 0.00 0.00 Awned 30 toy Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242.25 183,24225 HKD 23,415.98 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HKD 23,415.98 USD Market Value Currency 0.00 0.00 Acaued liters TOTAL HONG KONG DOLLAR 183,242.25 HKD 0.00 23,415.98 USD 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRlM P. 6(e) Account Humber st,„itint. CONFIDO. L Page 9 of 18 Rated Excellent Every Yew Since 2007 MBAR RAM COMMUtliCAT *HS LXCILIANC Claims through Penbleg EEC eulogy evened stessIdlory a The Melt a New Yoh Mellen Ceeponelan Sly Mellon) Per meet/ FINRAAR4VELGOL00046495 DEL-SDNY-0009319 EFTA_00157104 EFTA01289467 Portfolio Holdings (continued) JA PA N ESE EN Description Quantity CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance Cpening Dosing Accrued 30-Day Balance Balance Currency IDCOMO Yield 49.00 49.00 JPY 4.43 USD 49.00 49.00 JPY 0.00 .0.43 USD 0.00 Awned Market Value Cilrtenty Muni TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL JAPANESEYEN -49.00 JPY 0.00 -0.43 USD 0.00 Unrealized Accrued EsteeMed Cot Bade Market Value Gainless littoral Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 596,062,617.90 5102,820,779.67 $3,022,405.56 $402,048.74 53,193,699.46 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-US. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered". Securities marked as "covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1399-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 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. The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency currency Cash Fixed Income Equities Tots by Wow U.S. DOLLARS 6,543,167 22,563,336 69,976,516 99,085,023 USD EURO -64 2,473,500 605,728 3,279,163 EUR CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accrue Number: CONFIDO' sccirtncs Raid Eityllent (very Yet Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCI Page 10 of 18 Clewing *roar Fenian ere nob*/ evened Malaita" a The ea* a New Yak Meta CarpoestIon (MY Mellon) Per 0. inx 11.C. mertat• 0NRAAVVELGM_00046496 DB-SDNY-0009320 EFTA_00157 105 EFTA01289468 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Holdings Summary by Currency (continued) November 1, 2018 - November 30, 2016 SOUTHERN FINANCIAL LLC Cadency Gleh Fixed Income Equities Told by Corrode HONG KONG DOLLAR 183,242 9 0 183,242 HKD JAPANESE YEN 49 0 0 49 JPY Total USD Equivalent 8,588,510 25,383,588 70.890,881 102.820,779 USD % of Allocation 6% 25% 69% 100% Portfolio Holdings I sci sues 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 "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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.com/ disclosures 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 ads as your agent and receives payment for order flow. Option Disclosure 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. Foreign Currency Transactions Pershing will 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 CONFIDENTIAL — PURSUANT TO FED. R CRIld, P. 6(e) Account Numberli CONFIDOs at Et L Page 11 of 18 Rated Cateilent Every Yet Since 20O7 DAUIAR RATED COMMUNICATIONS LXCILL INCE Clewing *ear Pa I1C akoleevanad sobsidlaary a The Malt a Mew *at Meta Caeporat$ an (IlalY Man) PerIhnx 11.C.mtr-tan Nn) DB-SDNY-0009321 EFTA_00157106 EFTA01289469 Portfolio Holdings Disclosures (continued) Foreign Currency Transactions (continued) 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 116, 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. 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 IA argin 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. Ratings This statement may contain credit rating information obtained from Standard & Doors. Reproducing and distributing any information received from Standard & Poor's 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 & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Date Dale Deseripagn Disposed Acquked Designation Short Term ,PYORGAN FLOATING RA 11/28118 11129117 Covered FUND CLASS I 11128/18 1212/117 Covered Scarily Identifier 4812t51) 11128/18 01130118 Covered 11128/18 02127118 Covered 11128118 03128118 Covered 11 128118 04127118 Covered 11/28118 05/30118 Covered 11128118 06/28118 Covered 11128118 07130118 Covered 11128118 08130118 Covered 11/28/18 09127118 Covered Total Disposition Method r Transaction first In First Out! Sal First In First Out! Sat Firs! in First Out! SELL first In First Out! Sag first In First Out! Sal First In First Out! sat first In First Out! Sal First In First Outl Sal first In First Out! sat first In First Out I saL First In First Out! Sal Total Short Term CONFIDENTIAL — PURSUANT TO FED. R CR16,1. P. 6(e) Account Numbe Quatity PfediedS Coat Dads Rated We/ Lots 1,094.002 10,075.76 10,250.80 -175.04 1,129.762 10,405.11 10,597.17 •192.06 1,130.453 10,411.47 10,682.78 -271.31 1,015.304 9,350.95 9,543.86 -192.91 1,262.339 11,626.14 11,865.99 -239.85 1,096.556 10,099.28 10,307.63 408.35 1,131.468 10,420.82 10,590.54 -169.72 993.268 9,148.00 9.277.12 -129.12 958.010 8,823.27 8,976.55 -153.28 1,171.538 10,789.06 10,977.31 -187.45 1,224.283 11,275.65 11,496.02 420.37 12,206.983 112,426.31 114,565.77 -2,139.46 112,128.31 111,585.77 -2,139.16 CONFIDO. L Rated Excellent Even, Yet Since 2007 DALBAR RATED COMMUNICATIONS EXCELLENCE Page 12 of 18 Cleating liner Pagel% I1C naoly evened sessidlary of The Milk a New v.a Mellon Carpotaban My Mellon) Pent alx RC. ma•On mitAARIntem_000tsass DIE1-SDNY-0009322 EFTA_00 57107 EFTA01289470 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) November 1,2018 - November 30, 2018 SOUTHERN FINANCIAL LLC Dale Date Realized Desaiption Disposed Acquired Designation Cisposition Method 113liadian OUMNIty Proceeds Cott Basis Galry Los Long Term IN ORGAN FLOATING RA 11128118 09128117 Covered First In First Out / SELL 318,809177 2,938,238.04 3,000,000.00 43,445.13 FUND CLASS I Adjustment: -34.83 Adjuslmeut Type:W Security Identifier 4821571 11128118 10130117 Covered First In First Out / SELL 1,028.103 9,468.83 9,895.01 -226.18 11128118 10130118 Covered First In First Out l Sal 1,584.146 14,589.99 15,112.75 -522.78 Your lot has been adjusted due to a wash sale for more thee one year Total 321,422.028 2,960,298 88 3,024,807.78 44,194.07 Total Long Term 2,980,298.86 3,024,807.76 44,194.07 Total Short and Long Term 3,072,723.17 3,139,373.53 -80,333.53 Dell Dots Realized Description Disposed Acquired Designation Disposition Method) Uansadion Quantity Proceeds Cod Beds GelsiLoss As of Trades -PM ORGAN CHASES CO 10130118 08/15111 Noncovered" Versus Purchase/ REDEMPTION 1,397,004000 1,397,000.00 1,498.47087 -101,470.87 PUG TETH PFD SER1 FIXED TO Original Cost Basis: 1501775.00 FLTGRT 80 5.808%04123158 8 10/31/18 08/15111 Noncovered" Versus Purchase! REDEMPTION 3,000.000 3,000.00 3,217.90 -217.90 Security Identifier:46625HHAl Original Cost Basis:3225.00 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of VW as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as snoncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 9 98, the cost basis will not be reported to the IRS. 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 1)99-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 reliance on the information provided herein for such reporting. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 13 of 18 Account Number: itct 6 CONFIDMIAL4 Rated Eaceilent Prey Year Since 2007 MAAR ItaTtO COMMUNICATIONS !Manta Clearing Untie. Pealing114*a* evened sabsidlary a lite Beek a Neva 'feet Menem CarpotabanatlY Mellon) Per ihnx RCmt.-Pt/ FINRAVKaelt 00046499 DE!-SDNY-0009323 EFrA_00 157108 EFTA01289471 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. 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. Wash Sales Loss- This adjustment is the amount fora disallowed wash sale lost Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's 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 IRSForm 1099-B. M essages Please note the following information for Pershing's 20 18 IRS Form 1099 (B. DIV, INT. M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31, 20 19. By February 15. you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice w ill inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15, 2019 Although a money market mutual fund seeks to preserve the value of your investment at Sipes 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 10 6-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform Activity Summary A r s s , are , t3S9 (-but, c p,) Credits TNsPetiod Debks ThisPerlod Net ThisPetiod °edits Yen-to-Date Debt Year4o-Datt Net Yew-to-Date Securities Securities Bought 0.00 0.00 0.00 0.00 -48,533,305.28 -48533,305.28 Securities Sold 3.072.723.17 0.00 3.072.723.17 42.965.935.10 0.00 42.965.935.10 Total Securities $3,072,723.17 $0.00 $3,072,723.17 142,965,935.10 448,533,305.28 45,567,370.18 Dividends and Interest $303,017.25 $0.00 $303,017 25 $2,725,201.76 $0.00 $2,725,201.76 Distributions $121.052.22 $0 00 $121.052 22 14.238.988.10 $0.00 14.238.988.10 Fees $0.00 44.00 44.00 $0.00 41,178.00 41,178.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 47,000.37 47,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Account Number_ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Noncoms Rated ticellent bey Year Since 2007 DALUR WED COMMUNICATIONS EXCILLU4a Page '4 of '3 Clanng through Penang1SC. a woe/ owned setaldiary o17At Bank el New York Mellon Corporal:a any &Woo) PerslitteltC.inerrte Nt.Rn.$t 1I,aGM_00046500 DB-SDNY-0009324 EFTA_00157109 EFTA01289472 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Activity Summary (continued) allIMPIP November 1, 2018 - November 30,2018 SOUTHERN FINANCIAL LLC Credits 7Ns Period Debits This Period Net Ibis Period CurditsYstr-to•Date Dans Year-to-Dete Net Yew-to-Die Cash w 'thane/oh 0.00 0.00 0.00 0.00 4,077,818.24 4,077,818.24 Deposits 0.00 0.00 0.00 8,270,842.15 0.00 8,270,842.15 Total Cash $0.00 $0.00 $0.00 58,270,842.15 44,077,818.24 $4,193,223.91 Totals $3,498,79264 44.00 $3,498,788.64 $58,200,987.11 452,619,179.54 55,581,787.57 Transactions by Type of Activity Prone* Trade Settlement Transaction Date Date Adivily Type Description Guards Price Accrued laved Heald Comm Securities Bought and Sold 11129/18 11/28118 SOLD Al ORGAN FLOATING RATE INCOM E FUND CLASS I -333.829.009 9.2100 3,072,723.17 USD ,PHSX UNSOLICITED ORDER Total Securities Bought and Sold - U.S. DOLLARS 0.00 3,072,723.17 Dividends and Interest 11115/18 CASH DIVIDEND RECEIVED 304000 SHRSAPPLEINC COM RD tY2 PO 111/1 221,920.00 USD AAPL 11118118 BOND INTEREST RECEIVE 80000 SHRSGM AC CAP TR I GT0 TR PFD SECSSER2 CPN- 41,393.60 USD ALLY PM 8125% FREO ORTLY MATY-02/5/2040 CALL ANYTIM E (125 W/30 DAYSBEGINS 02/6113 RD WM P0116/1 11126/18 FOREIGN BOND INTEREST 100000 DEUTSCHE BANKAG NTS ISINK US25625AM 33 21,480.00 USD 251525AM 3 4.296% 05124/28 WE DTD 05/24113UB RD 1/23 P0 1124/I 11/29/18 CASH DIVIDEND RECEIVED ..PHSX MORGAN FLOATING RATE INCOM E FUND CUSS I SIRS RD ri27PD1129/11 12,340.94 USD 11/30/18 MONEY MARKET FUND CASH AC TR DWSGOVT 5,882.71 USD INCOME RECEIVED PER232045 Total Dividends and Interest -U.S. DOLLARS 0.00 303,017.25 Distributions 11/30/18 PARTNERSHIP DISTRIBUTION 25367 SHRS APOLLO GLOBAL II GMT LLC CL A MS RD 1120 PD 121,052.22 USO APO 1/ 30/11 Total Distributions - U.S. DOLLARS 0.00 121,052.22 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDOP SC0:1 Ctr4 CI Page 15 of 18 Rated Carrolient Clewing neer Persia; IIC .*Mly evamd Even Year Since 2007 ribald's." of me lank a New Yak Melee DALIAR RATED COMMUMCATIONS amporattoa any melon) LRCM Ma P 11.C.nerber revektiqViaGM-00046501 DB-SDNY-0009325 EFTA_00157110 EFTA01289473 Transactions by Type of Activity (continued) Process Dale Settlement Danced= Oate Date Adivgy Type Fees 11101118 11/01/18 Desaiptien FOREIGN CUSTODY FEE USD999997 FOREIGN CUSTODY FEE USD999997 Quantity Price Acaued Interest Amount Cumin, Fgn Safekeeping OCT 20S0/SIP. FR BLOM 4.00 USO Fgn Sit/diming OCT 20SCUSIP. F9396613.6 •2.00 USO Total Fees- U.S. DOUARS Total Value of Transactions The price and quantity displayed may have been rounded. Fixed Income Analysis Bond Quality Band Quality A 1,641,885.00 6% BAA 6,516,000.00 26% BA/ Lower 16,431,643.19 65% Not Rated 774.060.00 3% Total 25,363,588.19 100% 0 %of Bond Medd Value Market Value Percent of Fixed Income 20 40 60 80 100 0.00 -4.00 0.00 3,496.788 64 USO Bond Maturity Schedule Bond Maturity Model Wee %ol Bond Metal Value .1 to 6 months 998,750.00 4% IMI 7 to V months 2,800,249.3S 11% Mit° 5 years 3.030.000.00 12% 1. 1%1 6 to 10 years 2,854,970.00 11% IIMOver 10 years 15,679,618.84 62% Total 25,383,588.19 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody'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. 0 lent Service Information Your Investment Spedalnt ZEM MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Contact Information Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account NurThill C mom ONFIDO. L Rated Excellent (Very Year Since 2007 DALRAR RATED COMMUNCATIONS (1011.LINCE Page 16 of 18 Clain/glamor Penblag I1C fl atly evened sabsidlary et The leek el New Yak Mellen Ceeporatfanaltly Melon) P rag ItCrnee-bat FtheleStR4YERGM—OOO465O2 DB-SDNY-0009326 EFTA_00I57I I I EFTA01289474 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information November 1, 2018 - November 30, 20 18 SOUTHERN FINANCIAL LLC TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Inforrnat i n and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing ads 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 institutionit 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, w here 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 . All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Ad. • Your financial organization's contact information can bet n nh fir 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 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 17 of 18 Account tiornbet . CONFIDOP Rated Unlit.? tray Year Since 2007 DALIAR RATED COMMUNICATIONS unhurt(' Claris liner Penblin LLC a *bay evened sobsidlary a The kek a New Yak Mellon Carporaban (IINY Mellon) Pert Finx 11.C. Me ontAXAVYALGM—000465O3 DB-SONY-0009327 EFTA_00157112 EFTA01289475 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. w fitness 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 award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 18 of '8 Account Num C Stun CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L- Rated Galls. bay Year Since1007 DALIARIATEDCOMMUNICA11016 LXCGAINCE Clewing liner ;kali% I1C nokily owned sat ddlirg of Tbe In a Ole • Vat Mellon Corporation OtIV IMMO PgrihircalCavente FiNlitn.g4q2PM_00046504 DB-SDNY-0009328 EFTA_00157113 EFTA01289476 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 610 0 RED HOOK QUARTER B3 ST THOM ASVI 00 802 Otu1utank Prival• Malth Markets 0355034* 6•554 05,515chr Sam Mrs York Me 3.45 Pot Aunts. 340 flow New hr IS opera! Rent October 1.2018 - October 31.2018 Account Number: Portfolio at a Glance This Puled Year-to-Dale Your Investment Specialist BEGINNINGACCOUNT VALUE 8115,706,684.21 897,272,547.37 MARTIN ZEMAN NM Cash Deposits and Withdrawals 5,073,049.51 4,193,223.91 Adjusted Previous Account Value 120,119,133.72 101,465,711.28 Dividends. Memo and Other Income 170,662.10 2,809,025.30 Total Taxes Withheld 0.00 -7,000.31 Other Transactions 4.00 4251.65 Net Change in Portfolio' -5,025,834.28 11,658,012.98 ENDINGACOOt 8115,924,557.54 $115,924,5Wil Accrued Interest 5296.510 68 Estimated Annual Income 53,301.746 38 Asset Summary INef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Puma Areal Type Far Year-814 Lad Period TlasParlod 2% Cash, Money Funds, and Bank Deposits 823,820.96 5201,512.78 3,069,660.52 a 23% Fixed Income 26,083,479.22 28,396,374.45 28,473,097.33 72% Equities 60,899,388.97 78.987,575.27 83265.684.75 Es 3% Mutual Funds 3,020,938.22 3,121,221.71 3,118,094.94 0% Exchange-Traded Products 8,444,920.00 0.00 0.00 100% Account Total (Pie Chart) $97,272,547.37 $115,706,684.21 $115,924,557.54 Please review your allocation periodically with your Investment Specialist. Rated Umtata? bra Year Since 2007 DIttRAR MIRO COMMUNICATIONS EXCRLUNCI CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) Page 1 of 18 Oett.na Vacate Pershing I.LC.a *bay evened subadtaly of The Dank of Ws Yak Meta Corporation IIINY McRae) Per5Firt4 11C. mantel IINRASPAELGM _ 00046505 DI3-SDNY-0009329 EFTA_OO157114 EFTA01289477 Summary of Gains and Losses ThisPeriod Realized Year-to-Dote Unrealized Short-Term Gain! Loss 0.00 1559,644.79 11,787,374 22 Long-Term Gain! Loss -101.688.77 2.535.775.01 4.579.622 72 Net Gain! Loss -101.688.77 4.095.419.80 16,366.996 94 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 10 99 and/ or 104 2 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. Exchange Rate Table Global Cash Olirency Currency USD Equivalent per U93 Queriq Closing Baste Amount in Base Currency U80 EURO 1.1329 0 8826 EURO -64.80 -73 41 HONG KONG DOLLAR 0.1275 78392 HONG KONG DOLLAR 183242 25 23,375.11 JAPANESE YEN 0.0088 112.8400 JAPANESE YEN 49.00 0.43 Exchange rates are based on interbank exchange rates as of V/ 3V 2018. Exchange rates can vary. Total Global Cash Balance $23.301.27 Money Market Fund Detail Date Activity Type Desaiption Amount Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield 2 08% Activity Ending: 10/ 31/ 18 09129118 Opening Balance 5,142,488 31 5.142.488.31 10101118 Deposit MONEY FUND PURCHASE 35,681 25 5,178,169.56 10/02/18 Withdrawal MONEY FUND REDEM PTION 4.00 5,178,165.56 10/03/18 Deposit MONEY FUND PURCHASE 73,049.51 5.251.215.07 10104118 Deposit MONEY FUND PURCHASE 72.500.00 5.323.715.07 19/17/18 Withdrawal M ON EY FUND REDEMPTION 4.760.702.00 1.563.013.07 10126/18 Deposit MONEY FUND PURCHASE 3,000.00 1.566.013.07 10/30118 Deposit MONEY FUND PURCHASE 1,397,000.00 2,963,013.07 10131118 Deposit INCOM EREINVEST 6,141.18 2.969.154.25 10/31/18 Closing Balance $2,969,154.25 Total All Money Market Funds 82,969,154.25 Page 2 of '5 Account Numb CON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDO Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLIAINCI Clewing through Perrin tit, a vAtoly owned ssiskliary of The Bank a New Yorlg Mellon CarporatIon (MY Mellon) ca Peri hnx 11.C.met-tx. HMV.. tWRilha9m—Ouv46 '06 DB-SDNY-0009330 EFTA_00 157 115 EFTA01289478 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary October 1,2018 - October 31,2018 SOUTHERN FINANCIAL LLC Omenl Pried Triable Non Taxable Taal* Year-la-Dale Noll Taxable Dividend Income Equities 3,000.00 0.00 568,866.93 0.00 Money Market 6,141.18 0.00 53,218.04 0.00 Other Dividends 89,020.92 0.00 892,469.97 0.00 Interest Income Bond Interest 72,500.00 0.00 791,589.41 0.00 Other Interest 0.00 0.00 116,040.16 0.00 Expenses W ithholding Taxes 0.00 0.00 -7,000.37 0.00 Fees( Foreign Securities) 0.00 0.00 .000.00 0.00 Total Dividends, Interest, Income and Expenses $170,662.10 $0.00 $2,414,284.14 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 386,840.79 Other Distributions 0.00 0.00 •77.65 31,095.09 Total Distributions $0.00 $0.00 477.65 $417,935.88 Portfolio Holdings U.S. DOLLARS Maw' Opening Dalt Cluaetky Number CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Money Market CAM AC TR DWSGOVT 6 AGINSTL 0912911$ 2,969,154.250 N/A 10/31/18 5,142,48831 2,969,154.25 0.00 53.218.04 2.03% 2.08% Total Money Market $5,142,486.31 $2,969,154.25 $0.00 $53,218.04 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS $5,178,169.56 $3,046,379.25 $0.00 $53,218.04 AdNity Opening Cuing Awued lame 30-Day Carat Fading Balsa edam Income Meyer Yield Yield 35,881.25 77225.00 CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) Account Hornbejl [not.? CONFID 2,c. • ALA Even Yew Sa2O07 DAL BAR RATED COMMUNKATIONS ‘ .1 EXCIt L MC( S. I sf41 t Page 3 of 18 Charing lasoor Pao Sc LLC • %Say .wood semidry of Ns look of New Yea Meta Carporation My Mellon) Per Pinx 11.C.nw-bn FoxIAOKOLGM-00046507 DEI- SDNY - 0009331 EFTA_00157116 EFTA01289479 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Cost FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENS COM MUNICATIONS CO SR NT FULLY EXCHANGED FROM Q4538AX9 7.125% 03/ t/S B/E DID 03/23/07M oody Rating CAA1S8 P Rating CCC+ 10/03117 1.000.000.000 100.0270 EXELA INTER LIG/ DELA RN INC GTD FIRST PRIORITY SR SECD NT 144A 9.000% 0716/23B/E0TD 07/2/17 Cl.BMoody Rating 83 S 8 P Rating B 10/24117 2,000,000.000 971250 07/09118 1,000,000.000 102.7370 Total Covered 3,000,000 000 Total 3,000,000.000 .B.3 INYTS GM BH GTD SR NT REG S ISINS USA29866453 7250%04103/24 BIE DTD 04/03(1.15 6 P Rating BB. 10131/17 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISMS US25625A1133 4 296% 05124/28 WE DID 05/24/13 FORBGN SECURITY 1ST CPR DTE1724/13Moody Rating Bat S 8 P Rating BB+ 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BIM VAR INNS U625126B189 4.875% 121013281E DTD 2/0117 CALLABLE 2/0127 06/01/18 1.000.000.000 86.8260 Adjusted Cost Basis Market Rice Market Value Security Identifier: 17453BANN 1.000.273.87 100.2500 Original Cost Basis: $1001006.00 %rarity Identifier 30 E2RAA9 1,940,506.00 103.9700 Original Cost Basis:$1940,506 00 1,027,370.55 103.9700 Original Cost Basis:51028156.00 2.967.876.55 32.967.876.55 Security Identifier: A29866AB5 1.981.300.00 100.9500 Original Cost Basis: $1981.30000 Sp:Sy Identifier- 25'625AM 3 917.776.00 90.1120 Original Cost Bass: 399.776 00 Security Identifier: 25%268N8 868.25100 85.0090 Original Cost Bass: 5868,256.00 1.002.500.00 2,079.100 01 1.039.699.99 3,119,100.00 53,119.100 00 2,019,000.00 901,420.00 850.090.00 Unrealized GainIloss Awued Whaled Whaled interne Annul Income Yield 2.226.13 9.104.17 71,250.00 7.10% 138,894 01 58,888.89 200,000.00 9.61% 12,329.44 29,414.41 100,000.00 9.61% 151,223.45 88,333.33 300,000.00 3151,223.45 388,333.33 3300.000.00 37,700.00 10,875.00 145,000.00 7.18% .16,356.00 18,735.33 12,960.00 1.76% -18.166.00 20.312.50 48250.00 5 73% Account Number: CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. L-- Rated ticedent Every Year Since 2007 OMAR Itnitll COMMUNICATIONS EXCILLINCI Page 4 of '8 Clewing Hooter Penanng LC. a Mho,/ owned Molding of The Bank *I New York Mellon CeepotatIon Mellon) Pen. ing (lil y .C lon IthRA.W4nrillteM-00046508 DB-SDNY-0009332 EFTA_00157 117 EFTA01289480 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) October 1, 2018 - October 31, 2018 SOUTHERN FIN A NCIAL LLC Date Acquired Carnality Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) ASSURANT INC FXC TO RIG SUB NT 7.000% 03/27/48 WE DID 037271E CAL ABLE03/27128Q MD 000M oody Rating BA1 03/29/18 2,000,000.000 101.9880 Adjusted Cod Basis Market Price Market Value YMORGAN CHASE 8 CO DEP SHSREPSTG v TH PFC SER 'FIXED TO FLTG RT BD 5.808% 04/23158 DIE DTD 04123/08M cod y Rating BAA3 S & P Rating BBB- 06/15/11 .,337 1,100,000.000 107.2630 06/15/11..312 2.500.000.000 1061810 Total Noncovered 3,600,000 000 Total 3,600,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 011/62 B/E DID 0111112 CALLABLE 0210122 Q DO 000Moody Rating BAA1S& P Retry BBB- 01730112 .'" 2 3.000.000.000 99.9020 GENERAL ELEC CO GTD FXD-TO-FITGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG OTO 4/03P6Moody Rating A3 S& P Rating BBB- 12/03/15 2.469.000.000 88.0930 Security Identifier. 04621XAK4 2.039.762.02 100.0000 Original Cost Basis: S2040,005.00 Security Identifier. 46625HHA1 1,179,898.32 100.5360 Original Cost Basis: 5112.500.00 2,669,523.70 100.5360 Original Cost Basis: 62,675,000.00 3,849,422.02 $3,849,422.02 Securely ldent Wier: 842400 FU2 2,997,055.62 103.0000 Original Cost Basis: $2.992.564.97 Security Identifier 369604BIA4 2,175,016.17 84.3750 Original Cost Basis: $2,15.01.2 2.000.000.00 1,105.896 02 2,513,39918 3,619,296.00 93,619,296.00 3,090,000.00 2,083,218.75 Jimealized Geir Lon Aimed Interest Esi rale7 Estir sled Annual Income Yield 49.762.02 13.222.22 140,000.00 7.00% -74,002.30 177.49 63.897.68 5.77% -156.123.72 403.40 145,222.00 5.77% -230,126.02 580.89 209,119.68 4230.126.02 $580.89 3209.119.68 92,944.38 46,875.00 187,500.00 6.06% -91,797.42 37,309.33 98.760 00 4 74% CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Nun CONFID Rated Gallen' bay Yew Since 2007 DALIAR PAM COMMUNICATIONS UMIAK( Page 5 of '8 Clad% Winer Foible; lit. a **at owned satosIdlity of The lank a New York Mellon Corp./melon OM Melon) Porlitint UK. inenew FihRA. fl•l&h3.440— 00046509 DB-SDNY-0009333 EFTA_00 I57 I EFTA01289481 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oats Mond Ountay Una Cost FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC MID RATE RESET ADDL TIER 1SECS ISMS US539439AGI2 7.500% 04/27/86 B/E OTD 04107/MS& P Rating BR- 04/10/14 ' •aV 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 0816188 8/E DTD 087416 CALLABLEOIUS/20 Q 130.000M oody 'Wien BA2S8 P Rating 889 08/06/15 3,000,000.000 100.0000 Total Corporate Bonds 23,972,000.000 TOTAL FIXED INCOME 23,972,000.000 Delo Acquked EQUITIES Common Stocks ALIBABA GROUP HLDG LTD SPONSORED ADR ISINt US05090/1327 Dividend Option: Cash Adittsted Codes* Menet Price Security Identifier: 539439AG4 1,948,500.00 100.8750 Original Cost Basis: 51948,50000 Security Identifier: 1296725 3,000,005.99 101.6250 Original Cost Basis: $3000 ,006.00 $23,745,244.24 Market Value 1119 651 25 3,048,750 00 $23,653,026.00 Ouentay Unit Cost $23,745,244.24 Cod Buis Mend Price $23,653,026.00 Market Value 06/10/15 5,000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03129118 500.000 1,423.8620 04/02/18 500.000 1,367.0210 Total Covered 1.000.000 Total 1.000 000 APOU.0 GLOBAL MGM T LLCCL A SHS Dividend Option: Cash 26367.00 of these shares are r your margin account 03/29/11 '•° 263,157.000 19.0000 711,930.80 683,510 38 1,395,441 18 $1,395,441 18 Seanity Identifier MBA CUSP: OtO9W 132 444,749.00 142.2800 Security Identifier: AUDI CUSP. 023135116 1,598.0100 1,598.0100 Security Identifier: APO CUSIP. 03762306 4,999,983.00 29.4200 711 400 00 799 005.00 799.005 00 1.598.010 00 51,598.010 00 7.742.078.94 Unrealized Gain Loss Matted ellmated Bdkaaled Interest Annual Income Yield -28.848.75 13.479 58 142.72510 7 43% 48,744.01 37,683.33 178,500.00 5.85% 492,218.24 $296,510.68 $1,564,564.68 492,218.24 $296,510.68 51,564,564 68 Unglazed Estimated Estimated OWL= Annual Income Yield 266,651.00 87,074.20 115,494.62 202,568.82 $202,568.82 2,742,095.94 CONFIDENTIAL - PURSUANT TO FED. R CRI6A P. 6(e) Account Number: CONFIDO. St Ifa3M320 L Rated Einilent (ten Year Since 2007 DALIAR RATIO COMMUNICATIONS LXCILLINCI $0 00 489.47212 6.32% Page 6 of 18 Cleating through Penhvg LC. a vAtoly owned sotaidiary of The Bank e New Von Mellon CarporatIon(IINY Melba) Per • hnx 11.C. nwribt• f thRA.WiNfielt 00046510 DI3-SDNY-0009334 EFrA_00157119 EFTA01289482 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity EQUITIES {continued) Common Stocks (continued) APPLE INC COM Dividend Oplion: Cash Unit Cost Cost Bais Model Price Market Value Unrealized Garlic's Eslimaled Eslirraled Annual Income Yield Security 'dandier: AAPL CUSP:037833130 12/07117 214,000.000 169.8140 36,340,223.40 218.8600 46,836,040.11 10,495,816.71 624,880.00 1.33% 06/20/18 50.000.000 186.7940 9.339.697.00 218.8600 10.942.999.12 1.603.302.72 146.000.00 1.33% 10/15/18 40,000.000 219.0180 8,760,702.00 218.8600 8.754400.17 4,301.83 116,800.00 1.33% Total Covered 304,000 000 54.440.622.40 66,533.440 00 12,092,817.60 887,680.0D Total 304,000.000 554.444622.40 $66.533,440.00 $12,092.817.60 5887.680.00 BIOGEN MEC INC COM Security Identifier. MIES Dividend Oplion: Cash CUSP 09052X133 02/14/12 2,095.000 110.2720 231,019.65 304.2700 637.445.65 406,426.00 CD4TENE CORP DEL COM Security Identifier: CNC Dividend Oplion: Cash CUSP: tI5B91 09108114 15.550.000 63.6450 989.679.75 130.3200 2.026.476.00 1.036.796.25 GENERAL B.ECEIRC CO COM Senility Identifier. GE Dividend Oplion: Cash CUSIP. 3696041)3 25.000.00 of these shams are le your margin account 02123118 2.500.000 16.2210 40,551.71 10.1000 25 250.00 -15,301.71 1,200.00 4.75% 02/26/18 2,500.000 16.2210 40,551.71 10.1000 25,250.00 -15,301.71 1,200.00 4.75% 03105118 800.000 16.2260 12.980.63 10.1000 8.080.00 -4.900.63 384.00 4.75% 03/07/18 5.000.000 16.2190 81,097.41 10.1000 50.500.00 -30,597.41 2.400.00 4.75% 03/12/18 2.500.000 16.2210 40.551.71 10.1000 25.250.00 -15.301.71 1.200.00 4.75% 03/16/18 11.700.000 16.2190 189.759.90 10.1000 118.17000 -71.589.90 4616.00 4.75% Total Covered 25,000.000 405.493.07 252,500.00 -152,993.07 12,000.00 Total 25.000.000 S405.493.07 $252.500.00 4152.993.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Seaway Idenlifier. KPTI Dividend Oplion: Cash CUSP. 46576U16 07/12/18 25,000.000 18.6840 467,106.00 10.5400 263,500.00 403,606.00 October 1,2018 - October 31,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Hornbill= US% . CONFIDO. L Page 7 of '3 Rated Galt, Clearing through Penang1SC a **at owned Levy Yew Since 2007 setaldlary of The Bonk a Sr. York Mellon DAtIARIIATEDCOMMUNICATIONS Corporation (IINY Wilco) LXCILLINCE Persliett t LC. antater Nr.aAf7PL.:1K13.6M-00046511 DB-SDNY-0009335 EFTA_00157 120 EFTA01289483 Portfolio Holdings (continued) U.S. DOLLARS (continued) Pie Acquired Quantity (M Coq Celt Boris Market Prim Mehl Veins Unrested Gilt/Lea Edkeeted EstkeMed Anent Income Yield EQUITIES (continued) Common Stooks (continued) NINTENDO LTD ADR Dividend Opl ion. Cash Security Identifier: NTDOY CUSP:654445303 02105118 10,000.000 51.7910 517,906.00 39.1300 391,300.00 -126606.00 5.027.26 128% Total Common Stooks $63,892,000.05 $80,158,150.59 $16,264,150.54 $1,394,179.28 Preferred Stocks (Listed by expiration date) GMAC CAP TR 16T0 TR PFD SECS KR2 Security Identifier ALLY PRA 815% FRB) DRILY MATT-02/15/2040 CALL CUSIP 36160208 ANYTIM E025 WI30 DAYS BEONS02/6/ /3 Dividend Option: Cash 02122112 " 1 80,000.000 23.5350 1,882,713.60 262800 2,100,800.00 218,026.40 157,43316 7.49% Total Preferred Stocks $1,882,773.60 $2,100,800.00 $218,028.40 $157,433.78 TOTAL EQUITIES $65,774,773.65 $82,256,950.59 $16,482,176.94 $1,551,613.04 Unleaded Erlireeled Whaled Dote Acquired Ninth, P.M Cost Cost Beres Market Price Market Value Oeinfloss MaudIncome Yield M UTUAL FUNDS JP1AORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Opl ion: Reinvest; Capital Gaits Option: Reinvest Security ;deinAar: JF11SX CUSP 4812t51) 09/28/17 318,809.777 9.4100 3,000,000.00 9.3400 2.977.883.30 42,318/0 128,471.133 424% Reinvestments to Date 14,819.232 9.3840 139,056.70 9.3400 138,411.64 145.06 5,878.79 424% Total Covered 333,629.009 3,139,056.70 3,116,094.94 .22,961.76 132,350.62 Total 333.629.009 53.139.056.70 93.116.094 94 122 961 76 $132 350.62 TOTAL MUTUAL FUNDS $3.139.056.70 $3.116.094 94 122.961 76 $132.350 62 Uneatra Mailed Ediriatetl Cost tress Martel Value Gain Lose lateral Annul Income TOTAL U.S. DOLLARS $95,705,453.84 $112,072,450.78 616,366,996.94 $296,510.68 $3,301,746.38 EURO 0 Closing Atoned 30-Da Dualpam Donnas Bina Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 .64 80 SUS .73 41 USD CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account NUI7111= C ?Me ONFIDO. L Rated Eaceilent trey Yes, Since 2007 DALIAR RATIO COMMUNKATIONS EXCILLINCE Page 8 of 18 Clearing *roar Penh% IIC eulogy evened sobtidiaceof The Bask SW. Yoh Mallon Carpotatlea (eta Mao) Per Finx 11.C. mentn. Fthite.filAVVELGM-00046512 DS-SONY-0009336 EFTA_00157121 EFTA01289484 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) Dewylion Ovandly Opening Ban Closing Ban Clones Awned Imes 30.0ey Yield CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Onaiplion Quantity 44.80 Mediae Price 44.80 EUR .73.41 USD Minket Value Currency 0.00 0.00 Moved literal Babied Yield FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO, GUICHARD•PERRACJION SA ISMS FR001501180 0.000% 0810619 REG DTD 08/0314 Moody Rating Ba16 8 P Rating 88 Security Identifier: F14 t3LCN4 2,500,000.000 99.5700 2,489,250.00 EUR 2,820,011.33 USD 0.00 0.00 Total Corporate Bonds: 2,500,000.000 2,489,250.00 EUR 2,820,071.33 USD 0.00 0.00 TOTAL FIXED INCOME OesaMtion 2,500,000.000 Quantity Markel Pike 2,480,250.00 EUR 2,620,071.33 USD Maket Value Ceram 0.00 0.00 Estimated `Odd EQUITIES Common Stocks UBI SOFT ENTERTAINMENT ISHII FR0000054470 SA MONTREUIL ACT Seaway ItlealifiecUBI:FR CUSP. F9396N136 11,200.000 79.5000 890,400.00 EUR 1,008,734.16 USD Total Common Stocks 690,400.00 EUR 1,008,734.16 USD TOTAL EQUITIES 890,400.00 EUR 1,006,734 16 USD October 1,2018 - October 31, 2018 SOUTHERN FINANCIAL LLC Market Value Currency Accrued Interest TOTAL EURO 3,379,585.20 SIR 0.00 3,828,732.08 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R. CRI6,1 P. 6(e) Account Numb 2:tvtan=o CONFID AL- Page 9 of 18 Rated Excellent Clewing through PeellskylIC nialy evniad Every Year Since 2007 sabilttlary el The Bank a New Yak Mete OMAR ItaTED COMMUNICATIONS CarpotatIon (MY Man) EXCILLENCE PerIhnx 11.C.nw-tan riukAalYercelt00046513 DS-SDNY-0009337 EFrA_00157122 EFTA01289485 Portfolio Holdings (continued) HONG KONG DOLLAR Opening Cluing Accrued 30-Dry Natation Dantey Balance Balance Canna Inane Yleid CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,24225 HKD 23,375.11 USD 183,242.25 183,242.25 HKD 23,375.11 USD Market Value Canna 0.00 0.00 Accrued lateral TOTAL HONG KONG DOLLAR JA PA N ESE EN Description Quantity OFen911 Belem 183,242.25 HKD 23,375.11 USD Caine Nana Carina 0.00 0.00 Accrued 30.Ory Incase Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.43 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 49.00 49.00 JPY .0.43 USD Merkel Value Currency 0.00 0.00 Accrued Steal TOTAL JAPA NESE YEN 49.00 JPY 0.00 -0.43 USD 0.00 Untested Accrued Blasted Cost Bads Market Yaw Gainitass Intern Annual Income TOTAL PORTFOUO HOLDINGS - U.S. DOLLARS 895,705,453.84 8115,924,557.54 818,366,996.94 8296,510.88 53.301.748.38 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as nnoncovered". Securities marked as-covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form /399-11 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998. the cost basis will not be reported to the IRS. 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 lixed 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 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 10 of 18 Account Plumb 3trc-ES`• CONFID Rated hortlent Clewing thieve. Pashtos 11C. auk,/ evened (my Year Since 2007 istaldlary a The in a Nee Yak Mellon DALBAR RATIO COMMUNICATIONS Carpontlan (MY WNW EXCILLINCI Perihng 11.C. meet/ FltuRAAM4Yaelt 00046514 DS-SDNY-0009338 EFTA_00157123 EFTA01289486 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) October t 2018 - October 31, 2018 SOUTHERN FINANCIAL LLC 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. 12 Pershing has received updated cost basisinformation, therefore cost basis provided on previous dient brokerage statements may differ from the new cost bass 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. dings SJrnmary by Cu re lc, CtIffillef Gash Rted Won Equites Mutual Funds Told by Currenq U.S. DOLLARS 3,048,379 23,853,028 82,256,950 3,116,094 112,072,450 USD EURO 64 2,489,250 890,400 0 3,379,585 EUR HONG KONG DOLLAR 183,242 0 0 0 183,242 HKD JAPANESE YEN 49 9 0 0 -49 JPY Total USD Equivalent 3,089,880 28,413,097 83,285,884 3,116,094 115,924,557 USD % of Allocation 2% 23% 72% 3% 100% Portfolio Holdings 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 "NI A" and are omitted from the Total. THEM OF PINCE DATEONLY APPEARSWHEN THE PRIDEOATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EA I) 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.com/ disclosures 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, Sank Deposit interest income, or dividends for other securities shown on your statement may CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 11 of 18 Account Number: loss CONFIDO. L Rated ticellent tray Yew Since 2007 PALIARMITO COMMUNCAT IONS exempla Clewing Omagh pealskylIC a vibe/ owned sabildlay a The kek a New Yoh Meta Carpontban (MY Mellon) PerOing 11.C.nw-tan FINRAVVVELGM-00046515 DS-SDNY-0009339 EFrA_00 57 24 EFTA01289487 Portfolio Holdings Disclosures ( continued) Reinvestment (continued) 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. Option Disclosure 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. Foreign Currency Transactions Pershing will 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. 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. 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 & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's Is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. L Page 12 of 18 Rated hotlient Clewing through Parable{ IIC nth* evened (very Year Since 2007 n&&ecy a The leek a New Yak Mete DALBAR RATIO COMMUNICATIONS corporactoncom Amnon) LXCu MCC Per ihnx 11.C.nitentan otatAAR4VELGM—00046516 DIEi-SDNY-0009340 EFTA_00 57 25 EFTA01289488 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period October 1,2018 - October 31, 2018 SOUTHERN FINANCIAL LLC Dale Date Realized Description Dimond Acquired Designation Disposition Method) Transadion Quantity Proceeds Cod Nis Galata; Long Term PIORGAN CHASE 8 CO 10130118 06115/11 Nonovelefl Ant In Ant Out! RED Ell PTION 1,397,000.000 1,397,000.00 1,498,470.87 -101,470.87 PSTG TIM PFD SER1RXE0 TO Original Cost Basis:1501,775.00 FLTG RT BIT 5108%04123/51B 10131118 08/15111 Noncoveief ' First In First Out! RED BI PTION 3,000.000 3,000.00 3,217.90 -217.90 &corky Identifier: 4 /525litIA1 Original Cost Basis:3225.00 Total 1,400,000.000 1,400,000.00 1,501188.77 -101,888.77 Total Long Term 1,400,000.00 1,501,688.77 -101,68817 Total Short and Long Term 1,400,000.00 1,501,888.77 -101,888.77 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered" Securities marked as "covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 required to be made by Pershing as it relates to H.R. 14 24. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rated [stollen? trey Yeor Since 2007 PALIAR MUD COMMUNICATIONS EXCILIANCI Page 13 of 18 Cleanng through Penblin IIC auk*, evened sobsidiary a The Mak a New Yak Mellon CarporatIon(ONY Mellon) Per I Finx 11.C. mtrtat• rimitAAMYTLGM-00046517 DB-SDNY-0009341 EFrA_00157126 EFTA01289489 Schedule f Realized Gains and L sses Current Pen (continued) ' 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 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 account's 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 IRSForm 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 product's 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. Please note that as of November 1, 2018, Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates. Activity Summary (All amounts shown are in base currency) Credits ThisPetiod Debits ThisPerlod Net ThisPetiod GeditsYeato-Date DebileYeareo-Date Net Yea-to-Dole Securities Securities Bought 0.00 1,775,497.92 1,775,497.92 0.00 48,533,305.28 48,533,305.28 Securities Sold 0.00 0.00 0.00 39,893,211.93 0.00 39,893,211.93 Total Securities $0.00 48,775,497.92 48,775,497.92 $39,893,211.93 448,533,305.28 48,640,093.35 Dividends and Interest $170,662.10 $0.00 $170,662.10 $2,422,184.51 $0.00 $2,422,184.51 Distributions $1.400,000.00 $0.00 $1,400,000.00 $4,117,935.88 $0.00 $4,117,935.88 Fees $0.00 44.00 44.00 $0.00 41,174.00 41,174.00 Taxes Withheld $0.00 $0.00 10.00 $0.00 37,000.37 37,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Withdrawals 0.00 0.00 0.00 0.00 .4177118.24 4,077,618.24 Deposits 5,073,049.51 0.00 5,073,049.51 8,270,842.15 0.00 8,270,842.15 Total Cash $5,073,049.51 $0.00 $5,073,049.51 $1270142.15 -$4.077,618.24 $4,193,223.91 Totals $6,643,711.61 48,775,501.92 12,131,790.31 $54,704,174.47 452,619,175.54 $2,084,998.93 Page 14 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRAI. P. 6(e) Account Nornbe It 0120 CONFIDO. Rated Catrilent (very Year Since 2007 DALIAR RATIO COMMUNICATIONS LXCILL INCE Clewing Omagh Pagan IIC awl*, evened Maids, a The In a Near Yak Meta Carponefon Oltly Mellon) Peri Ping U.C.nterber thisIA.614 Vler& 00046518 DEMSDNY-0009342 EFTA_00157127 EFTA01289490 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity October 1,2018 - October 31,2018 SOUTHERN FINANCIAL= Process: Trade; Settlemeni Transadlon Date Dale Ad idly Type Description Otiantily Price Accrued Interest Amount Conenq Securities Bought and Sold 10105/18 SECURITY CALLED OTY t397.000 .PLIORGAN CHASE CO DEP SHS REPSTG 0.00 USD 46625HHA1 19TH PR) SER 1FIXED TO FUG RT 8D 5.828%04123158 B/E CTD 04123108 CLB CALLED BY LOTTERY 10117/18 10115/18 PURCHASED APPLE INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE 10.000.000 2181774 4,760,702 00 USD AAPL TRANSACTION YOUR BROKER ACTED ASAGENT 10130/18 REINVESTCASH INCOME .PMORGAN FLOATING RATE INCOM E FUND CLASS I 1,584 146 -11,795.92 USD PHSX 332044.8630 SHRSSHRS PORCH. AT 59.34000 RD 10/26 PD 913019 10/31/18 SECURITY CALLED OTY 3,000 PMORGAN CHASES CO DEP SHS REPSTG 11TH 0.00 USD 46625H HA1 PFD SER 1FIXED TO FLTG RT 80 5.808% 04/23/58 B/E DTD 04/23)08 CLB CALLED BY LOTTERY Total Securities Bought and Sold - U.S. DOLLARS 0.00 4,775,197.92 Dividends and Interest 10/03/18 FOREIGN BOND INTEREST 2000000 .BSINVISGMBH GTD SR NT REG S 72.500 00 USO A29866ABS ISINt USA29856A853 7250% 04/03/24 BIE DID 04103/ II CLB RD1)102PD 13/03/1 10/25/18 CASH DIVIDEND RECEIVED 25000 SHRS GENERAL ELECTRIC CO COM RD 09/1PD 9/25/9 3.000.00 USD GE 10130/18 CASH DIVIDEND RECEIVED .PMORGAN FLOATING RATE INCOM E FUND CUSS I 14,795.92 USD PHSX 332044 8630 SHRS RD 9/26 PD 9/30/9 10131/18 MONEY MARKET FUND CASH AC TR DWSGOVT 6.141 18 USD INCOME RECEIVED PER232045 10/31/18 CASH DIVIDEND RECEIVED 5000000 RIORDAN CHASES CO DEP SHS REPSTG 79TH PFD 74,225.00 USD 46625H HAI OilFIXED TO FLTG RT BD 5.808% 01/23158 BIE DTD 04123/08 CLB RD 13/29 PD 9/30/9 Total Dividends and Interest - U.S. DOLLARS 0.00 170,662.10 Pape '5 of '5 Account tnnber lIM CO . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO. bled ['mental trey Year Since 2007 DAI.BAR Mit° COMMUNICATIONS EXCULINCI Clewing through Pelee LC • %Whey owned "Amigo" of The Bank col Mew York Mellon CorpontIon OM Wilco) nn . n PerchnglIC.mer-bn Ithtto..RVVIhiwm-0,-"A651c DB-SDNY-0009343 EFTA_00 157 1 25 EFTA01289491 Transactions by Type of Activity (continued) Process Trade. Settlement Transaction Date Date Activity Type Desaiption Cleantdy Price Acaued interest Amount Cannot Distributions 10130/18 SECURITY REDEEMED -PM ORGAN CHASE 8 CO DEP SHS REPSTG /9TH PED SER I 4,397,000.000 1,397,000.00 USD 46625HHA1 FIXED TO FLTGRT BO 5.808%04123158 DTD 04/23/08 CLB CALLED BY LOTTERY 10131/18 SECURITY REDEEMED PM ORGAN CHME 8 CO DEP SKS REPSTG /ID TH PFD SERI -3,000.000 3,000.00 USD 46625HHA1 FIXED TO FLTGRT BD 5.808%04123/58 WE DTD 04/23108 CLB CALLED BY LOTTERY Total Distributions - U.S. DOLLARS 0.00 1,400,000.00 Fees 10101/18 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 201 CUP F14134.-01-4 •2.00 USD F14131.014 10/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping SEP 201 CUSIP. F9396 N.1.6 •200 USD UWE Total Fees - U.S. DOLLARS 0.00 4.00 Cash Withdrawals and Deposits 10102/18 CUSTOM ER AUTHORIZED TRANS FRM N46-02611 73,049.51 USD TRANSFER 1150999997 1011 8/ I 8 FEDERAL FUNDS RECEIVE) WELLS FARGO BANK NA 08446 5,000,000.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 5,073,049.51 Total Value of Transactions 0.00 4,131,790.31 USD The price and quantity displayed may have been rounded. Page 16 of 18 CONFIDENTIAL — PURSUANT TO FED. R CRIIVI. P. 6(e) Account Hata CONFIDO. L Rated Czottlent Every Yet Since 2007 DALBAR RATED COMMUNICATIONS LXCLLIINCC Clewing Omagh Pagan LLC. a *lay evened sobildlary a The Malta New Yak Meta Carpont$ an (IINY Mellon) Pen hnx met, thisIAAR4 VELGM-00046520 DEl-SDNY-0009344 EFTA_00 I 57 29 EFTA01289492 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Fixed I ncome A nalys s October 1,2018 - October 31,2018 SOUTHERN FlNA NCIALUL Bond Quality Bond Maturity Schedule Bond Quality WNW Wu* %of Bond Market value Percent or fixed income Bood Maturity Market Vale %of Bond Mettet Value A 2,083,218.75 8% fa Mit° 6 months 1,002,500.00 4% BAA 6,109,296.00 25% la 7 to 12 months 2,820,071.33 11% BA/ Lower 18,830,492.58 84% .1to 5 years 3,119,100.00 12% Not Rated 850,090.00 3% F16 to 10 years 2,920,420.00 11% Ell Over 10 years 16,611,006.00 62% Total 26,473,097.33 100% 0 20 40 80 80 10 Total 26,473,097.33 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody'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. Client Service Information You; Investment Specialist ZEM MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRlIcl. P. 6(e) Page 17 of 18 Account Hurnbe CONFIDO. L Rated hotRent Crecy Year Since 2007 OM AR WM COMMUNICATIONS EXCILLINCE Clewing through Pashtos LLC. a urlay evened sttaldlary a Tee Mak a New Yak Mello, caaaauonceaY Mellon) Periling ItC.mentt• FINRAN44 YIELGOA-00046521 DB-SDNY-OOO9345 EFrA_00 I 57 I 30 EFTA01289493 Important Information and Disclosures 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 t hem. 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, w here 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 . All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration 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 LW 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 Raze, Jersey City, New Jersey 07399; CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Numbs, CONFIDO' 2:1C% Rated hottlent (my Year Since 2007 DALBAR RATIO COMMUNICATIONS (JIMA INCE Page 18 of 18 Cleanng through Penlivg 11Cniapronwil sobsidiary of The Melt a New Vat Mellon CaoporatIon (MY Mellon) Per Ihnx 11.C. mnWon FttatAV VVELGM-00046522 DB-SDNY-0009346 EFTA_00157131 EFTA01289494 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 OtiAtUth• YM •11,..li• Marlh hasmeitentirt Mantis Central< &ow: OWNIC he Lt.* 33.33.033 03. 10vd York Cm.. 30 Put AMPrVP. 360 110i New TO stye tirec3 September 1,2018 - September 30,2018 Account Number: Portfolio at a Glance Ten Period Yew-to-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $116,078,917.03 $97,272,547.37 MARTIN ZEM AN Net Cash Cepa:06ml Withdrawals 141,000.00 ,979,825.60 (212) 250-0432 Adjusted Previous Account Value 116,219,917.03 96,392,721.77 Dividends. Interest and Other Income 161,270.19 2,638,38320 Total Taxes Withheld 0.00 -7,000.37 Other Transactions -2.00 -1,247.65 Net Change in Portfolio' .674,501.01 16,683,847.26 Accrued Merest $302,299.28 Estimated Annual Income $3,255,758.66 Asset Summary 'Net Change in Portfolio is the difference between the ending account video and beginning account value after activity. • a • Panel 4% 25% 88% 3% 0% 100% Mkt Type Paler Tear-End Ltd Period %Sniffled Cash. Money Funds, and Bank Deposits 823,820.98 8,945,545.89 5,201,512.78 Fixed Income 26,083,479.22 25,420,588.34 28,396,374.45 Equities 80,899,388.97 79,737,833.97 78,987,575 27 Mutual Funds 3,020,938.22 3,099,788.83 3,121,221.71 Exchange-Traded Products 6,444,920.00 875,160.00 0.00 Account Total (Pie Chart) $97,272,547.37 $116,078.917.03 $115,706,684.21 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 615 NFID gi "FA L Pagel of 19 Rated (miler.? Every Year Since 2007 DALIAR RATIO COMMUtisCATIONS VICILLINCI Clewing through Min LLC sub./yew" sabsidiary of The belt a Nero Yak Melee CaperatIon ('NY Mellon) P F nxil.C.nwter ossx.g4q2PM_00046523 DB-SDNY-0009347 EFTA_00 157 132 EFTA01289495 Summary of Gains and Losses %isPeriod Roane Yeat-lo-Date Unrealized Short-Term Gain! Loss 405,477.85 1,559,644.79 14596,427 63 Long-Term Gain/ Loss 0.00 2,637,463.78 6.121.153 53 Net Gain! Loss -705,177.85 1.197.108.57 21.017.881 16 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 10 99 and/ or 7042 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. Exchange Rate Table Global Cash Oaring Wentz USD EquivaleM per USD Currency Closing Bain Amount in Base Currency USD EURO 1.1614 08610 EURO -64.80 -75 26 HONG KONG DOLLAR 0.1278 7.8245 HONG KONG DOLLAR 183242 25 23.418.91 JAPANESE YEN 0.0088 113.5700 APANESE YEN 49.90 1.43 Exchange rates are based on interbank exchange rates as of 09! 28! 2018. Exchange rates can vary. Total Global Cash Balance $23,313.22 Money Market Fund Detail Dale Activity Type Sweep Money Market Fund CASH AC TR DWSGOVT es AG INSTL Current Yield 1 8 7% Activity Ending: 0 91 281 18 Descripism Amount Uwe 09/01/18 Opening Balance 6,809,117.50 6,809.117 50 09/04/18 Deposit MONEY FUND PURCHASE 113,157.57 6.922275.01 09/05/18 Withdrawal MONEY FUND REDEM PTION -2.00 6,922,273.01 09/14/18 Withdrawal MONEY FUND REDEMPTION -2,915,395.66 4.006.877.35 09/18/18 Deposit MONEY FUND PURCHASE 35,625.00 4.042.502.35 09/25/18 Deposit MONEY FUND PURCHASE 880.518.04 1.923.020.39 09/26118 Deposit MONEY FUND PURCHASE 72,500.00 4.995.520 39 09/27/18 Deposit MONEY FUND PURCHASE 68,500.00 5.064.020.39 09/28118 Deposit MONEY FUND PURCHASE 70,000.00 5,134,020.39 09/28/18 Deposit INCOM ERBNVEST 8,467.92 5.112.488.31 09/28/18 Closing Balance $5,142,188.31 Total All Money Market Funds 95,142,488.31 Page 2 of Account Numb scomicsmots CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Paled Excellent Clewing through Penh", LLC, obey owned Every Year Since 2007 stosidiary of TM Usk el Mew Yo.t Mellon DAIARMITO COMMUNICATIONS Como-Ulm (MY Wilco) CM:WINCE Pelting 11.C. meet/ IthRA.VVKI39M-00346524 DB-SDNY-0009348 EFTA_00157B3 EFTA01289496 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary September 1,2018 - September 30,2018 SOUTHERN FlNA NCIALLLC Current Period Taxable Non Tenth Taxable Yem4a-Dale Non Taxable Dividend Income Equities 0.00 0.00 565,866.93 0.00 Money Market 8,467.92 0.00 47,076.86 0.00 Other Dividends 47,177.27 0.00 803,449.05 0.00 Interest Income Bond Interest 105,625.00 0.00 719,089.41 0.00 Other interest 0.00 0.00 116,040.16 0.00 Expenses W ithholding Taxes 0.00 0.00 -7,000.37 0.00 Fees( Foreign Securities) 0.00 0.00 100.00 0.00 Total Dividends, Interest, Income and Expenses $161,270.19 $0.00 $2,243,622.04 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 386,840/9 Other Distributions 0.00 0.00 17.85 31 095.09 Total Distributions $0.00 $0.00 477.65 $417,935.88 Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Margin Balance Money Market CASH AC TR CWS GOVT S AG INSTt 09101118 5,142,488.310 NIA 09128/18 6,809,11710 5,142,488.31 Total Money Market $6,809,117.50 $5,142,488.31 TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS Account Activity OWNS Going Accrued Income 30-Day Current °milky Number Fading Baca Ulna Income ibis Year Yield Yield 0.00 35,681.25 113,157.51 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0.00 47,076.88 1.87% 1.87% $0.00 $47,076.86 $6,922,275.01 $5,176,169.56 $0.00 $47,076.86 Account Hunt CONFID Page 3 of 19 Rated (miler.? Clewing *rough habil; LC. a al*, evened Every Year Since 20O7 sabildiary of The Wok el We Vat Meta DALIAR RATED COMMUNICATIONS CancratIon(INY Melba) ("CM INCE Perchnx 11.C.rmr-tan FtlatAAVYLElekt-00046525 DB-SDNY-0009349 EFTA_00157134 EFTA01289497 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Ouantity Unit Cost FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM M UNICATIONS CO SR NT FULLY EXCHANGED FROM 174538AX9 7./25% 03/t/S13/E DID 03/23/07M oody Rating CAMS* P Rating MC+ 10/03/17 1.000.000.000 100.0330 EXELA INTER RC/ EXELA RN INC GTO FIRST PRIORITY SR SECD NT 144A 13.000% 0716/23 8/E DTD 07/2/17 CliMoody Rating 83 58 P Rating B 10/24117 2,000,000.000 97.0250 07/09/18 1,000,000.000 102.7760 Total Covered 3,000,000 000 Total 3.000.000.000 ..B.SINUTS GM BH GTD SR NT REG S !SINS USA29866AB53 7.250%04/03124 B1E DID 04/030166 P Refill Fl• 10131117 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISMS US25625AIA 33 4296% 05124/28 B/E DID 05124/13 FORBGN SECURITY ST CPN DTE 1/24113M oody Rating Ba2 S 8 P Rating BB, 06/01118 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR (SINS US28626BN89 4.875% 41013281E DTD 2/0117 CALLABLE 2/0127 06/01/18 1.000.000.000 86.8260 Adjusted Cost We Mad NU Market Value Unrealized Accrued intern Estimated Esthealed Annual Income Yield Security Muddier: 4453BAW1 1.000.332.92 100.6300 Original Cost Basis: $100 SO 06.00 Security Identifier. 30 E2RAA9 1,940.506.00 106 5000 Original Cost Basis: 51940,506 00 1,027,755.65 106.5000 Original Cost BasiS:51028356.00 2.966.261.65 82,966,261.65 Security Identifier A29866AB5 1.981.300.00 101.7510 Original Cost Basis: $1981.30000 Security Identifier 25525A11 3 917.776.00 92.1990 Original Cost Basis: 5917.776 00 Security Identifier 256268N8 868.256.00 88.8550 Original Cost Basis: 8868,256.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 1.008.300.00 5.967 08 2.988.75 71,250.00 7.08% 2.130.000 01 189,494 01 41,666.67 200,000.00 9.38% 1.064.999.99 37,244.34 20,833.33 100,000.00 9.38% 3,195,000.00 226,738.35 62,500.00 300,000.00 $3.195.000.00 5226,738.35 $62,500.00 $300.000.00 2,035,020.00 53,720.00 71,291 67 145,000.00 7.12% 921.990.00 4.214.00 15,036.00 42,960.00 4.65% 888.550 00 20,294 00 16.114 58 48.750 00 548% AccountNAM ag Ston: CONFID Page 4 of '9 4 Rated Gallen, twery Yea Since 2007 DAtIAR PATILDCOMMUNICATIONS Ualltha Owing Omagh Pagan IIC a May owned Salary of Tits lank a New Vat Mellon corpontion atm Mellon) PeiltivatttC.inentw INRA.ilWqkt9M-00046526 DB-SDNY-0009350 EFTA_00 I 57 I 35 EFTA01289498 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Caul FIXED INCOME (continued) Corporate Bonds (continued) ASSURAHT INC FXD TO FLTG SUB NT 7000% 03/27/48 EVE DID 037271E CALLABLE03/27128 'OD 000 M oody Rating BA1 03/29/18 2,000,000.000 101.9900 3111ORGAN CHASE 8 CO DEP SHSREPSTG METH PFD SER 'FIXED TO FLTG RT BD 5128% 04/23/58 8/E OTD 04123/08M oody Rating BAA3 S 8 P Rating BBB- 06715111 .,337 2,500,000.000 107.5000 06/15/11 .'3-12 2.500.000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 SOUTHERN CAUF EDISON CO PREF SER E 6.250% 011/62 BIE DID 01 111 CALLABLE 0210722 Q 130000Moody /Wing BAA1S& P Retag BOB' 01/30/12 .'312 3.000400.000 99.9000 GENERAL ELEC CO GTD FXD-TO-FITGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2103465 REGDTD 12/03/bIloody Rating A3 S& P Rating BBB* 12/03115' 2,469,000.000 88.0930 Adjusted C451 Basis Market Price Security Identifier: 04621XAK4 2.039.798.18 101.5000 Original Cost Basis: 52,040,005.00 Security Identifier: 46625HHA1 2,687,500.00 100.4250 Original Cost Basis: 82.687.50000 2,675,000.00 100.4250 Original Cost Basis:52,675,000.00 5,362,500.00 85,362,500.00 Security Identifier 842400 FU2 2,996,987.76 105.0000 Original Cost Basis: $2.992,564.97 Security Identifier 359604BIA 4 2,175,016.17 90.0000 Original Cost Basis: 52,175.01.17 September 1,2018 - September 30,2018 SOUTHERN FINANCIAL LW Market Value 2.030.000.00 2.510.625 00 2.510.62500 5,021,250.00 85,021,250.00 3,150,000.00 2,222,100.00 Unrealized Gain Loss Accrued Estimated Estimated Interest Annual Income Yield 4.798.18 1,166.67 140,000.00 6.89% -176,875.00 25,092.78 145,700.00 5.80% -164.375.00 25,092.78 145300.00 5.80% ,341,250.00 50,185.56 291,400.00 4341.250.00 850.185.56 $291.400.00 153,012.24 30,729.17 187,500.00 5.95% 47,083.83 28.805.00 98,760.00 4.44% Account Number iron: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Page 5 of '9 Rated Excellent Clown. through aenhatill.C. a tAtoRy owned Leery Year Since 2007 subsidiary al The Bank ea New York Mellon DA/BARRA= COMMUNICATIONS Cameral:a (IINY Wilco) n A LXCRIAllea Pennine ll.C. inerrOar F itiltn. tVglIfEkt9m-00046527 DB-SDNY-0009351 EFTA_00 I 57136 EFTA01289499 Portfolio Holdings (continued) U.S. DOLLARS (continued) Oete Acquired Ouentfty Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FM RATE RESET ADDL TIER 1SECS ISIMIUS5394MAGI2 7.500% 04/21/68 B/E OTD 04/071%5& P Rating 88- Adjusted last Bads Market Price Security Identifier: 539439AG4 Market Value Unrealized earl.= Matted EstimMed Estimated Interest Annual Income Yield 04/10/14 .'" 1,903,000.000 102.3910 1,948,500.00 103.1250 1,962,468.75 13,968.75 1,189.38 142.725.00 727% Original Cost Basis: 51948,500.00 CITIGROUP INC FAD RT SR NT PERP DEP RECPT Security Identifier:12967M 5.950% 08/6/888/E DM 0812/6 CALLABLE08/15/20 0 130.000iloody 'titian M2 S8 P Rating 889 08106/15 3,000,000.000 100.0000 3,000,005.99 102.9550 3,088,650.00 88,644.01 22,312.50 178,500.00 5.77% Original Cost Basis: $3000,006.00 Total Corporate Bonds $25,258,734.67 525,521,324.75 $262,594.08 8302,299.28 $1,646,845.00 25,372,000.000 TOTAL FIXED INCOM E $25,258,734.67 $25,521,328.75 $262,594.08 $302,299.28 81646,845 00 25,372,000.000 Unmated Estimated Estimated DateAcquked Quality Unit Cod Oast Dais Merkel PIS Market Value dekko's Annual Income Yield EQUITIES Common Stocks ALIMIM GROUP I1LDG LTD SPONSORED ADR ISINSUSO 109W V 27 Dividend Option: Cash 06/10/15 5,000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03/29118 500.000 1,423.8620 04/02/18 500.000 1,387.0210 Total Covered 1.000.000 Total 1.000 000 APOLLO GLOBAL MGM T LLCCL A SHS Dividend Option: Cash 263.67.00 of these shares ate r your margin account 03/29/11 ' 263,157.000 19.0000 711,930.80 683,510.38 1,395,441.18 $1,395,441.18 Secetily Identifier MBA CUSP:0609*M 444,749.00 164.7600 Security Identifier: AWN CUSP.02313566 2,003.0000 2,003.0000 Security Identifier: APO GUMP. 03762306 4,999,983.00 34.5500 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber: 823.800.00 1,001500 00 1,001,500.00 2,003,000.00 52,003.000 00 9 092.071.35 379,051.00 289,569.20 317.989.62 607.558.82 $607 558 82 4.092 091.35 OP :2Xw ONFID Rated OLSIent brew Yes, Since 2007 DALIAR RATIO COMMUNICATIONS LXCILL INCE $0 00 480.472.02 5.38% Page 6 of 19 Clewing Omagh Fenian IIC **bay evened istaldlary a The kek a New Yoh Meta Carponefon My Mellon) Perchnx 11.C.nwr-bn on) DS-SDNY-0009352 EFIA_00 157 137 EFTA01289500 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Ogle Acquied Quoddy Una Cod Gait Basis Market Pena Market Value unfenced Going-on Estimated Estimated Annul Income Yield EQUITIES (continued) Common Stocks (continued) APPLE INC CON Dividend Option: Cash Security Ideatiliar:AAPL GUMP:037833170 12107/17 214,000100 169.8140 36,340,223.40 225.7400 48.308.359 96 11,968,136 56 624.880 00 129% 06/20/18 50.000.000 186.7940 9.339.697.00 225.7400 11,287,000.04 1,947,303 04 146,000.00 129% Total Covered 264.000 000 45.679.920 40 59,595,360.00 13,915,439.60 770.880 00 Total 264,000.000 545,679,920.40 $59,595,360.00 $13,915,439.60 5770.880.00 BOGEN 'DEC INC CON Security Ideetifier: BIIR Dividend Oplion: Cash CUSP 09062X193 02114/12 .3 2,095.000 110.2720 231.019.65 353.3100 740,184 45 509.164 80 CENTENE CORP D B. CON Security Identifier. CNC Dividend Option: Cash CUSP. 545891 09/08/14 15,550.000 63.6150 989,679.75 144.7800 2.251.329.00 1.261.649 25 GENERAL ELECTRIC CO COM Security Identifier GE Dividend Gal ion: Cash Cl/SP.369504133 25,000.00 of these shares ate i your margin account 02123/18 2.500.000 16.2210 41551.71 11.2900 28.225.00 -12,326.71 1,200.00 425% 02/26/16 2,500.000 16.2210 40,551.71 112900 28,225.00 4 2 26.71 1,200.00 425% 03/05/18 800.000 16.2260 12,980.63 112900 9,032.00 -3,948.63 384.00 425% 03/07/18 5,000.000 16.2190 81,097.41 112900 58,450.00 -24,647.41 2,400.00 425% 03/12/18 2,500.000 16.2210 40,551.71 112900 28225.00 42,326.71 1,200.00 425% 03/16/18 11,700.000 16.2190 189,759.90 112900 132,093.00 47,666.90 5,616.00 425% Total Covered 26,000.000 405,493.07 282,250.00 ,123,213.07 12,000.00 Total 25,000.000 $405,493.07 $282,250.00 4123,243.07 $12,000.00 KARYOPHARM THERAPEUTICS INC CON Security Id milker: KPTI Dividend Option: Cash CUSP. /85761116 07/12/18 25.000.000 18.6840 467,106.00 17.0300 425.750.00 41,356.00 NINTENDO LTD ADR Security Identifier: NTDOY Dividend Option: Cash CUSIP: 654445303 September 1,2018 - September 30,2018 SOUTHERN FlNA NCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ?e C Account Nun ONFID L- Page 7 of 19 Rated Excellent Clarets *toter Renten LI.Cataapeeted hew Year Since 2007 ~Idler! of The Bank al Nat WA Mete DAtIlAR RATIO CONIMUNICATIONS Centetatkei (MY Melba) Rent die meektar*NeteM-00046529 DB-SDNY-0009353 EFTA_00157138 EFTA01289501 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired Quantity UM Cool Cad Buis Motet Price Motet YMuct tkeelized OWL= Ed hated Maud Income Estimated Yield EQUITIES (continued) Common Stocks (continued) NINTENDO LID ADR (continued) 02/05/18 10.000.000 511910 517.90610 451650 454.65010 43.256.00 5,027.26 1.10% Total Common Stocks $55,131,298.05 $75,668,397.80 $20,537,099.75 31,277,379.26 Preferred Stocks (Listed by expiration date) GPAAC CAP TR I GTO TR PFO SECS Se 2 CPR- Security Identifier ALLY PRA 8.45% FREO DRILY II ATY•02/15/2040 CALL CUSIP. 36160208 ANYTIME02519130 DAYS BEGINS02/S/S Dividend Option: Cash 02/22/12 " 3 80,000.000 23.5350 1,882,773.80 28.3000 2,104,000.00 221,226.40 157,433.76 7.48% Total Preferred Stocks 31,882,713.60 32,104,000.00 8221,226.40 $157,433.76 TOTAL EQUITIES 357,014,071.65 $77,772,397.80 320,756,328.15 41,434,813.04 Unseated Edirested Estimated Dote Acquired Quantity Unit Coil Cod Bet Markel Price Market Value Gektoss Maud Income Yield MUTUAL FUNDS MORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Option: Reinvest: Capital Gains Option: Reinvest 09/28W 318,809.777 9.4100 3.000.000.00 9.4909 2,996,811.90 -318810 121,960.68 4.06% Reinvestments to Date 13.235.086 9.3890 121260.78 9.4000 124.409.81 149 03 5.063.08 4.06% Total Covered 332.044 863 3,124,260.78 3121,221 71 -3.03907 127.023 76 Total 332.044 863 13,124,260.78 13,121,221.71 43,039.07 6127.023.76 TOTAL M UTUAL FUNDS 83,124,260.78 13,121,221.71 43,039.07 6127,023.76 Secutily !den' Wier: ..PHSX CUSP 4(44t51 Cod Beds Mittel tho (acted Gib/lion Acted Interest Needed AnnualIncome TOTAL U.S. DOLLARS $90,575,236.66 8111,593,117.82 $21,017,881.16 8302.299.28 13.255.758.66 EURO Otte Awned 30 -Ora Desniption Beatty Balsa Nina Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 14.80 44.80 EUR -75.26 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 4420 EUR 0.00 -75.26 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Number acoonoMmon CONFID L Rated Catvlient (my Year Since 2007 DALIAR RATED COMMUNKATIONS EXCILLENCE Page 8 of 19 Clewing lamer Paoli% 11Cnakayevamd sataldlaarg of The Bank Mtn Yak Meta Caeporationaltly Malan) P rue U.C.erter-bn ruyee.BAB4YreceM_00046530 DB-SDNY-0009354 EFTA_00157139 EFTA01289502 a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) 0escrIsaion auasfty Merkel Prka Market Was Catena Accrued Intend Estimated Yield FIXED INCOME (In Maturity Data Sequence) Corporate Bonds CASN0. GUICHAROPERRACHON SA ISN$ FR00100%80 0.000% 08106iS REG 01008/03M Moody Rating Ba1Sb P Rating 88 Secutit F1413LCN4 2.500,000 000 99.0200 2,415,500.00 EtIR 2,616,045.70 USO 0.00 0.00 Total Corporate Bonds: 2,500,000.000 2,475,500.00 EUR 2,875,045.70 USD 0.00 0.00 TOTAL FIXED INCOME 0tealptIoe 2,500,000.000 Deanery Market Prke 2,475500.00 SIR 2,875,045.70 USD Made( Wee Cunew 0.00 0.00 ECUS Thad EQUITIES Common Stocks UBI 93FT ENTERTAINMENT ISIS FR0000054470 Set M0NTREUIL ACT Security Id ender: UBEFR CUSIP: F9395ND6 11,200.000 93.4200 1,046,304.00 EUR 1,215,177.47 USD Total Common Stocks 1,046,304.00 EUR 1,215,177.47 USD TOTAL EQUITIES 1,046,304.00 EUR 1,215,177.47 USD September 1,2018 - September 30,2018 SOUTHERN FlNA NCIAL LLC S Accrued Mad* Vakie Wrong Interest TOTAL EURO 3,521,739.20 SIR 0.00 4,090,147.91 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number. 2:r: i:: 026 CONFID L Page 9 of 19 Rated (stollen% Clewing through Pagel% I1C .ably evened Every Year Since 20O7 stsidiary of The Ilaelcother WA Mellon DALBAR RATED COMMUNICATIONS Ono-saw (MY Mellon) VICILLINCI Perthnx 11.C.ntkrber mottActrilneceM-00046531 DB-SDNY-0009355 EFTA_00157140 EFTA01289503 Portfolio Holdings (continued) HONGKONGDOLLAR Description 4 410119 Overfly Balm Clue educe OIRt80/ Accrued 30-Dry Income mid CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183242.25 183242-25 HKD 23,418.91 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 HKD 23,418.91 UM Market Velut Currency 0.00 0.00 Accrued bind TOTAL HONG KONG DOLLAR JAPAN ESE Y EN Deuription Quantity 0941009 Balance 183242.25 HKD 23,418.91 USD Cowin Waco Currency 0.00 0.00 Aimed 30 .Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.43 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS -49.00 -49.00 JPY 4.43 USD Market Villa Currency 0.00 0.00 Acaled liters TOTAL JAPANESE YEN 49.00 JPY 0.00 4.43 USD 0.00 Wetted Accrued Estimated CoMBWs Market Wiwi Guianese Intend Annual Income TOTAL PORTFOUO HOLDINGS - U.S. 590,575,238.88 3115,706684.21 921,017,881.16 9302,299.28 83.25525818 DOLLARS Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as snoncoveret Securities marked as "covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form t 99-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 10 of 19 Account Numb Istit CONFIDKP Ned banal [very Yew Since1007 OMAR IRATEDCOMMUNICATIONS UCIWINCE Clewing Wove Penhim Lit a aka,/ owned istaldiary a The Bank a New Yak Mete CorpontIon (IINY Mellon) Per ihnx 11.C. rneren FMAAPAELGM_00046532 DB-SDNY-0009356 EFTA_OO157141 EFTA01289504 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) September 1,2018 - September 30,2018 SOUTHERN FINA NCIAL LLC 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 fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this in formation. 12 Pershing has received updated cost basis information, therefore cost bass 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. Holdings Summary by Currency 0Jirency Cash Fixed Income Equities Mutual Funds Total by Currency U.S. DOLLARS 5,178,169 25,521.328 77,772,397 3,121221 111,593,117 USD EURO 44 2.475.500 1.046.304 0 3.521.739 EUR HONG KONG DOLLAR 183,242 0 0 0 183,242 HKD APARESE YEN -49 0 0 0 49 JPY Total USD Equivalent 5.201.512 28.396.374 78.987,575 3,121,221 115.706.684 USD % of Allocation 4% 25% 68% 3% 100% Portfolio Holdings 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 "NIA" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPR10EDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) 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.coml disclosures 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 Account Number: ...02, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Rated Ext*Ient trey Year Sint 2CO7 DALBAR RATED COMMutoCATIONS (XCILLINCI Page 11 of 19 Clewing thtough habit.; 11C. a iota/ corned subsidiary of The lank a New Yak Melba faxpnoonISNY Melba) ! m 'It•RA.gWGPM_00046533 DB-SDNY-0009357 EFTA_00 I 57142 EFTA01289505 Portfolio Holdings Disclosures (continued) Reinvestment (continued) 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 reinvestm ent transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure 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. Foreign Currency Transactions Pershing will 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. 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. 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 & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Desaiption Short Term EUROCURRENCY 09/12118 05119118 Noncovered • Fret In First Out? BUY 44.890 16.26 15.11 1.09 Security Identifier EUR999995 Dale Aceeked Designation Realized COomilion Method) Transaction Ciutelity Proceeds Cot Bois Mahlon Dale Disposed CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: tc:, CON :xsexon. FIDO. L Page 12 of 19 Rated ticellent Clewing Mall Pagel% 11C•aapronwel bay Year Since 2007 sabildlary of The lank al New Yak Mellon DALIAR RATIO COMMUNICATIONS Carpona on (IINY Melon) UCILLUICE Periling U.C.ntefter FINRAVVYTEGM-0°° 46534 DB-SDNY-0009358 EFTA_00 157143 EFTA01289506 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) September 1,2018 - September 30,2018 SOUTHERN FINA NCIAL LLC Date Dale Description eiteoced Autoked Detagnsilon flisposition Method r Parma ion Quantity Proceeds Cod 85$ Short Term (continued) 'SHARES INC M SCI SOU TF Security Identifier. 464286772 09121118 11103111 Covered Ant In First Out / SELL fisted Gelaslos 13,000.000 880,518.04 985,998.98 ,105,478.94 Total Short Term 880,594.30 986,072.15 -105.477.85 Total Short and Long Term 880,594.30 986,072.15 -105,477.85 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable lax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports. including your 1099-8 or online displays you may have available to you W hen 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 IRSor 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. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's 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 essages Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing'sJune Statement of Financial Condition is now available On June 30.20*. Pershing's net capital of $2.68 billion was 15.25% of aggregate debit balances and exceeded the minimum requirements by S2.33 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this Page 13 of 19 Account Number: ...02, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated [scented bay Yew Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCE Clewing through Pinkly IIC a al*, owned set:oldie/ a me Mak a New Yak Mellon Corporation (IINY Melon) hoshint UK. rreentw lmxn. +M_00046535 DB-SDNY-0009359 EFTA_00I57144 EFTA01289507 Messages (continued) requirement, note that on July 3t 2018, Pershing's net capital of $2.77 billion was 1.37% of aggregate debit balances and exceeded the minimum requirement by $2.43 billion./ my of the June 30 2018 Statement of Financial Condition is available at www.pershing.com/ statement-of-financial-condition. You may also request a free, printed copy by calling or • option 5. Although a money market mutual fund seeks to preserve the value of your investment at 41 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 101)43( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note that as of November 1, 2016, Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates. Activity Summary oil amounts shown are in Case currency) Credits lin Pence Debits This Period Net This Period Credits Year-to•Dele Debts Year4o•Dete Net Yetto-Date Securities Securities Bought 0.90 4,848,319.19 4,848,319.19 0.00 49,757,807.36 49,757,807.36 Securities Sold 880,518.04 0.00 880,518 04 39,893,211.93 0.00 39,893211.93 Total Securities $880,518.04 45.848,319.19 44,967,801.15 $39,893,211.93 439,757,807.36 $135.404.57 Dividends and Interest $161,270.19 $0.00 $161,270.19 $2,251,522.41 $0.00 $2,251,522.41 Distributions $0.00 $0.00 $0.00 $2.717.935.88 $0.00 $2,717,935.88 Fees $0.00 42.00 42.00 $0.00 41,170.00 41,170.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 47,000.37 47,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Witlidrawah 9.00 0.00 0.90 0.00 4577,618.24 -4,077,61824 Deposits 141,000.00 0.00 141,000.90 3,197,792 64 0.00 3,197,792.64 Total Cash $141,000.00 $0.00 $141,000.00 $3,197,792.64 44,077,618.24 4879,825.60 Totals $1,182,788.23 45,848,321.19 44,665,532.96 $48,060,462.86 443.843.873.62 44,214,789.24 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) IMI Account Humber CONFIDO. L Rabid Esoalent Every Year Since 2007 DALBAR RATIO COMMUNICATIONS ()tall INC I Page 14 of 19 Clewing through Penblin 11c nikoly evened sobsidiary of The Bank a New Yak Meta CarporatIon (MY Mellon) Peri hnx 11.C. mento FtratA.WilieM- 00046536 DB-SDNY-0009360 EFrA_00 I 57 14.5 EFTA01289508 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity Rona, Trade, Settlement Transaction Date Dale Activity Type Securities Bought and Sold 0911//18 09112/18 PURCHASED 09111/18 09112118 PURCHASED F11131.0/1 09125/18 09111/18 SOLO EWY 09/27/18 REINVEST CASH INCOME PHSX September 1,2018 - September 30,2018 SOUTHERN RNA NCIALLW Description EURO CASINO. GUICHARD- PERRACHON SA ISMS FR001001180 0 000% 08/0611 REG DTD 08/03/2 UNSOLICITED ORDER VARIABLE RATE AS OF 0911/200 ISHARES INC MSCI SOUTH KOREA ETF UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT PM ORGAN FLOATING RATE INCOM E FUND CLASS I 330820.5800 SHRS SH RS PURCH. AT $9.39000 RD 09125 PD 09/27/11 Total Securities Bought and Sold EURO TOTAL USG EQUIVALENT US. DOLLARS Dividends and Interest 09/1 TM 8 BOND INTEREST RECEIVED 174938AW 1 09121/18 09/21/18 09/28/18 09/28/18 BOND INTEREST RECEIVED 0462trAX4 CASH DIVIDEND REC9VED PHSX MONEY MARKET FUND INCOME RECEIVED PER232045 FOREIGN SECURITY DIVIDEND RECEIVED 539139ACA 100000 CITIZENS COMM UNICATIONS CO SR NT FULLY EXCHANGED FROM 17453BAX9 7.125% 031E/9 WE DTD 03/13107 RC 09/14 PD 09115/13 2000000 ASSVRANT INC FXD TO FLTG SUB NT 7.000% 03/21/48 WE DTD 03117/9 CLB RD 09/26 PC 09/17/13 PM ORGAN FLOATING RATE I NCOM E FUND CLASS I 330820 S800 SHRS RD 09125 PD 0911711 CASH AC TR DWSGOVT 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS [SRI U5539439442 7.500% 0/127188 BIEOTD 04107/11 CLB RD 09/26 PD 09127/1 Total Dividends and Interest U.S. DOLLARS Fees 09104/18 FOREIGN CUSTODY FEE UBSFF Total Fees - U.S. DOLLARS Fgn Safekeeping AUG 201 CUSP: F9396 ii-13.6 Quimby Price Acaued interest Amount Cerrenq 2.513.272.120 2.500.000.000 1.1600 100.0600 -11772.11 -1.915.39566 -2.513,272.12 USD EUR -13.683.91 4.921.127 51 USD -13.000 000 67.7735 880.518 01 USD 1.224 283 -11,49602 USD -11,772 11 -2,513,272.12 EUR -13.683.91 4.921.127.51 USD 0.00 4,046,373.64 USD 35.625.00 USD 70,000.00 USD 11,496.02 USD 8.16792 USD 35,681.25 USD 0.00 161,270.19 4.00 USD 0 00 4.00 Page 15 of 19 Accou Th IM Iumbet CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L RAS (scollent Every Yew Since 2007 DALBAR ItA110 COMMUNICATIONS LXCILLINCI Clewing Isoogh PenlirglIC•Mayeented sobsidiary a The Bank elle• Vat Melai CaPoratIon Meson) rs na PeriPinglIC.mer-bn FthRa. tWici kNm—Ouu46537 DB-SDNY-0009361 EFTA_00157146 EFTA01289509 Transactions by Type of Activity (continued) Process: Trade, SrAliment Traerstion Coate Dote Adivey Type Cash Withdrawals and Deposits 09125/18 FEDERAL RINDS RECBVED USD999997 09/28118 FEDERAL FUNDS RECBVED USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS Description Quantity Price Acaued Interest Amount Curren, DEUTSCHE BANK TRUST 09632 72,500.00 USD DEUTSCHE BANK TRUST 336A 68,500.00 USD Trasuctionsawaromy EURO -11.772.12 -2,513,272.12 BJR -13,683.91 -2,921,427.51 U.S. DOLLARS 0.00 -1,744,105.45 USD 0.00 -1,744,105.45 The price and quantity displayed may have been rounded. 0.00 141,000.00 Told Matted Interest Teti Amount Told Accrued Intern( Told Amount Currency DSO Equivelmit USDEquIveleet Cash Not Yet Received Security Record Date Payable Dale Ouantity Held Rote Dividend Option Amount of Payment Dividends GENERAL B.ECTRIC CO COM 09117118 10125/18 25.000.000 0.120000 Cash 3.000.00 Total Cash Not Yet Received $3,000.00 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. Fixed Income Analysis Bond Quality Bond Maturity Schedule %ot Bond %of Bond Bond Quality Market Value Markel Value Percent of Fixed Intone Boed Maturity Motel Value Markel Value A 2,222,100.00 8% M li ci 6 months 1,006,300.00 4% BAA 8,111,250.00 29% El 7 to 12 months 2,875,045.70 10% I MI BA/ Lower 17,114,474.45 60% M1to 5 years 3,195,000.00 11 % Not Rated 888,550.00 3% ®6 to 10 years 2,957,010.00 10% El Over 10 years 18,363,018.75 65% Total 28,396,374.45 100% 0 20 40 60 80 100 Total 28,398,374.45 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody'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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. CONFIDO' Page 16 of 19 Rated ticellent trey Yew Since 2007 DALIAR IIA TED COMMUNICATIONS LXCILIANCI Clewing tlyough PenhinglIC a Say ~ad sataldiary a The Bask el New Yak Melba Cap:atlas (itly Melba) Pen. ing 11.C.mer-bn Na RA. DB-SDNY-0009362 EFrA_00 I 57147 EFTA01289510 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Client Service Information Your Imminent Speclakd ZEN MARTIN ZEM AN 345 PARK AVENUE NEW YORK NY 10154 September 1, 2018 - September 30, 2018 SOUTHERN FINANCIAL LLC Your Account Information Contact Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRON IC 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 Investment Specialist for more information. Standing Instructions we are providing the below information on your behalf to allow you to confirm the Standing Instructions on this account. Our records indicate that you previously provided these Standing Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing instruction is an instruction an account holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holder's account at regular intervals, or as needed. The items included below are both instructions that appear to be third party asset movements. as well as first and third party Journal instructions for accounts that are custodied with Pershing. We may remove any standing instructions that have not been used in the past 36 months (except for Automated Clearing House (ACH) which does not expire). You have the ability to re-establish those instructions through your Investment Specialist. Please review all the below information carefully. If you have any questions or if any information is inaccurate, please contact your Investment Specialist. Trarmadion Type RecipieM Name Bast Name Receiving Account Number Start Data Frequency Amount Currency NON-USO WIRES DEUTSCHE BANK AG, LONDON DEUTSCHE BANK POLSKA SA. ""3035 DEUTGB2L FED FUND WIRES DEUTSCHE BANK AG LONDON DEUTSCHE BANK TRUST CO. /WEE ""•739 Account Number CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Page — of '9 Rated balks, Cladinfolvour 'Want U.C. a %l ay owned bay Yew Since 2007 subsidiary of The lank or New York Mellon DALIARPATEDCOMMUNICATIONS Corporation 18NY Mellon) LXCWINCE P.”11,4ng LK. mnnxt Flt•RA.AWA219M—00046539 DB-SDNY-0009363 EFTA_00 157 WA EFTA01289511 Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives asthe 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. w here 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 . All 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.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department: One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other 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. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award. unless. in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration 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 'e of '5) Account Number C Stoat w, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFID bled °noon Every Year Since 2007 DAUIAR PAM COMMUNICATONT L‘Ctlittla Clewing through Perrin U.C. • +Atoll owned sobsidiary of The Bonk a Mew Yorlg Mellon CaveratIon (MY Mellon) Pen. ing 11.C. meet.. HMV.. PkiPM- 00346540 DB-SDNY-0009364 EFTA_00157149 EFTA01289512 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 ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL 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 IA YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TA)( INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS Cl 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 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 PRNATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MILKER, 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 FNANCIAL INSTITUTION OR PERSHNG MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE 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.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NHS - 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 PROVIOE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION, PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NEBO). 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 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 QUALITY OF EXECUTION PURPOSES. F ANY OF Tiff ABOVE TERMS AND COMMONS ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-ING IMMEDIATELY IN WRITING EITCERTFED MAIL TOONE PERSHING RAM, JERSEYCITY. Ni 07399. ATM LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbe acc:E CONFIDOP :sx: L Page 19 of 19 Wed Imillent bery Yew SInce 2007 DALIAR TED COMMUNICATIONS LTELLMIME Own through PenbkmUCFukoywlwd sataidiary a The IN* a New Yak Meta CapotatIon TINY Melo Peel INTL U.C. non) No VYIEGM-00046541 DB-SONY-0009365 EFM_00157150 EFTA01289513 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 SOUTHERN FINANCIAL LLD 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 dututru• Lint //cant. hg.n.etmtit Manes Cperatt Owhiche Ur* Sr:Aydin I5c. Mtvi Yon CA' e 345 P.n. Atemn.1641. now Met 34,1 ROM.. tirec A ugust Nu 1, - A Account Number: Portfolio at a Glance Tell Period Yewto-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $106,436,131.71 $97,272,547.37 MARTIN ZEMAN Net CaO Deposits and Withdrawals -20,533.71 -1,020,825.60 (212) 250-0432 Adjusted Previous Account Value 105,411,698.00 96,251,721.77 Dividends. Interest and Other Income 553,031.41 2,477,093.01 Total Taxes Withheld 0.00 -7,000.37 Other Transactions 410 -1,245.65 Net Change in Portfolio' 10,110,291 62 17,358,348.27 ENDINGACCOUNT VAU $116,078,917.03 $116,078, 01 Accrued Interest 5309.730 76 Estimated Annual Income 53272.768 01 Asset Summary IN • Es 1 Net Change in Portfoliolathe difference between the ending account value and beginning account value after activity. Natal Asset Type Rbr Ther-End Lad Period TelsPerlod 6% Cash, Money Funds, and Bank Deposits 823,820.96 3,905,773.16 6,945,545.89 22% Fixed Income 26,083,479.22 26,892,258.89 25,420,588.34 69% Equities 60,899,388.97 70,674,908.14 79,737,833.97 2% Mutual Funds 3,020,938.22 3,088,811.52 3,099,788.83 1% Exchange-Traded Products 6,444,920.00 874,380.00 875,160.00 100% Account Total (Pie Chart) $97,272,547.37 $105,436,131.71 $116,078,917.03 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 6"6"N F I D L Page I of 20 Rabid Enyllent Clewing lasough PenligglIC ova* evened Even, Year Since 2007 sneakier! of The Malta Mee Yalt Meta DALBAR RATED COMMUNICATIONS Carpontion (IINY Mellon) VICILLINCI Perihnx11.C.nw-tan matA.SC44YeteM_00046542 DB-SDNY-00O9366 EFTA_00157151 EFTA01289514 Summary of Gains and Losses TbisPeriod hood Year4o-Dele WASS Short-Term Gain! Loss 319,438.51 1,665,122.64 14,992,999.70 Long-Term Gain/ Loss 47,855.34 2,637,463.78 6,561,027.69 Net Gain/ Loss 367,293.85 4,302,586.42 21,554,027.39 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECEr ) 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 1399 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. Exchange Rate Table G ooa Casn currency USD Equivalent Omenry per US3 currency going Bring Amount in Base currency USO EURO 1.1634 0 8595 EURO 434.80 -75.39 HONG KONG DOLLAR 0.1274 7.8487 HONG KONG DOLLAR 183,242.25 23,346.71 JAPANESEYIN 0.0090 110.8700 APANESE YEN 49.00 4.44 POLISH ZLOTY 0.2717 3.8794 Total Global Cash Balance 823,270.68 Exchange rates are based on interbank exchange rates as of 08/ 311 20 18. Exchange rates can vary. Money Market Fund Detail Dote Activity Type Market Fund DWSGOVT & AG INSTL 164% Activity Ending: 08/ 31/18 Description Mount Bin Sweep Money CASH AC TR Current Yield. 08101118 Opening Balance 3,808,827.38 3,808,827.38 08/01/18 Deposit MONEY FUND PURCHASE 73,670.00 3,882,497.38 08103/18 Deposit MONEY FUND PURCHASE 88,504.98 3,951,002.36 08108118 Deposit MONEY FUND PURCHASE 1,089,970.60 5,040,972.96 08/10/18 Deposit MONEY FUND PURCHASE 412,499.45 5,453,472.41 08/13/18 Deposit MONEY FUND PURCHASE 102,631.50 5,556.103.91 08115118 Deposit MONEY FUND PURCHASE 204,358.56 5,760,462.47 08/16/18 Deposit MONEY FUND PURCHASE 204,655.84 5,965,118.31 08117118 Deposit MONEY FUND PURCHASE 323,510.56 8,288,828.87 08121/18 Deposit MONEY FUND PURCHASE 305,389.83 6,594,018.70 08122/18 Deposit MONEY FUND PURCHASE 204,631.50 6,708,650.20 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Amount Humber CONFIDO. L Page 2 of 20 Rated [stollen? trey Yew Since 2007 DALIAR MTV, COMMUMCATCNS LXCILIANCI Clewing Omagh Pagan IIC a *bay owned sataldlary a The ear* a New Yak Man CaneratfanOINY Mellon) Pelting U.C. ',trete. F ilislAVVELGM-00046543 DEMSDNY-0009367 EFTA_00157152 EFTA01289515 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 M oney Market Fund Detail (continued) kugust 1,2018 - August 31,2018 SOUTHERN ANA NCIAL LLC Oils Activity Type Detaiptimi Amount Blanco Sweep Money Market Fund (continued) CASH AC TR DWSGOVT & AG INSTL (continued) 08/28f18 Deposit 08(31/18 Deposit MONEY FUND PURCHASE 1,590 98 8,876 32 6,800,241 18 6.809.117 50 1NCOM E REINV EST 08/31118 Closing Balance $6,809,117.50 Total All Money Market Funds $8,809,117.50 Income and Expense Summary Current P1004 Yem4o-OM. foible Non Iambic, Tenth Non Taxable Dividend Income Equities 192,720.00 0.00 565,866.93 0.00 Money Market 8,876.32 0.00 38,608.94 0.00 Other Dividends 100,227.31 0.00 756,211.78 0.00 Interest Income Bond Interest 98,509.71 0.00 613,464.41 0.00 Other Interest 41,540.58 0.00 116,040.16 0.00 Expenses Withholding Taxes 0.00 0.00 4,000.31 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $439,873.90 $0.00 82,082,351.85 $0.00 Distributions Alternative Investments 0.00 113,157.51 0.00 386,840.79 Other Distributions 0.00 570.78 -77.85 31,095.09 Total Distributions $0.00 $113,728.21 477.65 $417,936.88 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. CONFIDO' Page 3 of 20 Rated ticollent (my Yew Since 2007 DMIAR RATED COMMUNICATIONS EXCWilla Owing liner Penlikv 11C•wholy evened sataldlarg a TM kelt anew Yalt Meta Canceatfon (My Mellon) PerOing meet, FINRAAPI4YaGM_00046544 DB-SDNY-0009368 EFTA_00157153 EFTA01289516 Portfolio Holdings U.S. DOLLARS Opening Dam CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance Margin Balance Money Market CAM AC TR DWSGOYT & AGINSTL 08101/18 6,809,117.500 NM Total Money Market TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Account antsy Number Welty Ending Opening Balance Balana Accrued Income Income DS Year 30.0ay Current Yield Yield Date Acquired Oumtity Unil Onl FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CITIZENSCOM MUNICATIONSCO 5R NT FULLY EXCHANGE) FROM 174538AX9 7.26% OH/ 9 61E DID 03/23/07M oody Rating CAA1S8 P Rating Ca+ 10103/17 73,670.00 0.00 08131118 3.808.827,38 23,808,827.38 23,882,497.38 Moshe Cost Beata WON Price 0.00 113.15751 6.809.117.50 $6,609,117.50 $6,922,275.01 Market Value 1,057.22 38,608.94 1.83% 1.84% 81,057.22 538,608.94 $1,057.22 538,608.94 tAweeted Awned Estimated Estimated Geinfloss Intern Animal Income Yield 1,000,000.000 100.0390 EXELA INTER LLC I EXELA FIN INC GTD FIRST PRIORITY SR SECA NT 414A 9.000% 07I15/238/EDTD 071f27 i7 CLBM oody Rating 8358 P Rating B 10/24/17 2,000,000.000 97.0250 07109118 1,000,000.000 102.8140 Total Covered 3,000,000 000 Total 3.000.000 000 SS 'NUTSGM8H GTD SR NT REG 5151111 USA298136A853 7250%04103/24 WE DID 00315158 Piloting 8+ 10131117 2,000,000.000 99.0650 Security Wenlifier: V45380/1 1.000.391.62 100.3750 Original Cost Basis:9100100600 Security Identifier. 30S2RAA9 1,940,506.00 104.7500 Original Cost Basis: 51940.506 00 1,028,137.79 104.7500 Original Cost Oasis: 51028.755.00 2,968,643.79 52,968,643.79 Security Identifier: 429886485 1,981.300 00 99.2260 Original Cost Basis: $1981300 00 CONFIDENTIAL — PURSUANT TO FED. R CRIPA. P. 6(e) 1,003,760.00 2.095,000 01 1,047 499 99 3 142.500 00 93.142.500 00 1184.520 00 3,358.38 32.854.17 71,250.00 7.09% 154,494.01 25,555.55 200,000.00 9.54% 19,362.20 12377.78 100,000.00 9.54% 173 856.21 38.333 33 300,000 00 5173.856 21 $38.333.33 5300.000.00 3 220 00 59 208 33 145,000 00 7 30% Account Number 3octs CONFIDO. L Rated tacile'? trey Yew Since 2007 DALIAR MTV, COMMUNICATIONS EXCILIINCI Page 4 of 20 Clearing liner Penblin 11C fl ea/ evened atlas." a The in a New Yak Mellon ca, man) Per I Finx 11.C. mk+-tan an) DB-SDNY-0009369 EFIA_00157154 EFTA01289517 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) August 1,2018 - August 31,2018 SOUTHERN FlNANCIALLLC Date Acquired Duality Unit Cost FIXED INCOME(continued) Corporate Bonds (continued) DEUTSCHE BANK AG NTS (SINS US25525AM33 4 296% 05124/28 81E DTO 05124/13 FOREIGN SECURITY ST CPN DTE11241141oody Rating Ba2 S 8 P Rating BB* 06101118 1.000.000.000 91.7780 DEUTSCHE BK AG N Y SRN VAR MHO US25'626BN89 4.875% 2/0932 8/E DTD 12101117 CALLABLE 2/1127 06101118 1,000,000.000 86.8260 ASSURANT INC FXD TO MG SUB NT 7100% 03/27/48 WE DTD 03/2711 CALLABLE03/27128Q 130 000Moody Raling 8A1 03129118 2.000100.000 101.9920 YUORGAN CHASE 8 CO DEP SHSREPSTG 111TH PFD SERIFIXED TO FLTG RT BD 5.828% 04/23(58 81E DTD 04123/08M oody Rating BAA3 S 8 P Rating BBB- 06115111 '-J-° 2,500,000.000 107.5000 06/15/11 . -3-t2 2500,000.000 107.0000 Total Noncovered Total 5,000,000 000 5,000,000.000 Adjusted Cod Basis Market Price Security Identifier 25625AM 3 917,776.00 91.4020 Original Cost Basis: $917,776.00 Security Identifier. 256269N8 868,256.00 86.7810 Original Cost Basis: 6868256.00 Security Identifier 04620K4 2,039,833.33 102.0000 Original Cost Basis: 52,040,006.00 Security Identifier:16625HHA1 2,687,500.00 100.7000 Original Cost Basis: $2,687,500.00 2,675,000.00 100.7000 Original Cost Basis: 52,675,000.00 5,362,500.00 $5,362,500.00 V at) et ValL e Unrealized Gain toss Accrued &Slated alimaled Uttered Annual Income Yield 914,020.00 -3.756.00 11,575.33 42.960.00 4.70% 867.810.00 -446.00 12,187.50 18,750.00 5.61% 2,040,000.00 166 67 59,888.89 140,000.00 6.86% 2,517 500.00 -170,000.00 12,951.11 145,700.00 5.78% 2,517,500 00 -157,500.00 12,951.11 145,700.00 578% 5,035,000.00 .327500.00 25,902.22 291,40010 $5.035100.00 -$327.500.00 $25.902.22 $291.400.00 Account NumbellM C arcs CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 5 of 20 L Rated ticellent hely Yew Since 2007 DALIAR WED COMMUNICATIONS LXCILUNCE Clewing through Pashas U.C. • ably owned fetid/pry of The Bonk cue New VGA Mellon Corporatfon (IINY Mellon) PerMint llCarcerOff FikitA.Wcqi:t9M-00346546 DB-SDNY-0009370 EFTA_00IS7 155 EFTA01289518 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Afanked Cmatny Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) SOUTHERN CAUF EDISON CO PREF SER E 6250% 0717/62 WE DID 071712 CALLABLE02101220 M O N O M o o d y Rating 8M1St. P Rating BBB- 01730112 ..332 3,000,000.000 99.8970 2.996.920.25 106.0110 3.180.330.00 183.409.75 15.615.00 187.500.00 5 89% Original Cost Basis: 62,992,58497 GENERAL ELEC CO GTO FXD-TO-FLIGRT Securdy Identifier:3696048144 NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG 010 12J03P6Iloody Rating A3 S& P Rating BBB* 12/03/15 2,469,000.000 88.0930 2,175,016.17 86.0000 2.172,720 00 -129617 20,849.33 98,760.00 4 54% Original Cost Basis: 62,175,015.4 LLOYDS BANKING GROUP PLC FX0 RATE RESET Security Identifier: 539439AG4 ADDL TIER 1SEGS ISMS US539439AG42 7.500% 04127188 WE DID 041071 %S& P Rating 88- 04110114 1,903,000.000 102.3910 1,948,500.00 103.8780 1,976,798.34 28,298.34 25,373.33 142,725.00 722% Original Cost Basis: $1946300 00 CITIGROUP INC FXD RT SR NT PERP DEP RECPT Security Identifier:1296725 5.950% 08/15/88 OlE DM 0814/15 CALLABLE0811420 § 170.0001loody Rating BA2 SS P Rating BB+ 08/06/15 3,000,000.000 100.0000 3,000,005.99 103.4360 3,103,140.00 103,134.01 7,933.33 178,500.00 5.75% Original Cost Basis: $3,000006.00 Total Corporate Bonds $25,259,143.15 $25,420,588.34 $161,445.19 9309,730.76 $1,646,845.00 25,372,000.000 TOTAL FIXED INCOME $25,259,143.15 $25,420,588.34 $161,445.19 $309,730.76 $1,646,845.00 25,372,000.000 Unrealted EdIrested Blinded Dale Acquired Quantity Unit Cod Cod Bede Merkel Price Meat Value Gelarlos Maud Income Yield EQUITIES Common Stooks ALBUM GROUP HUM LTD SPONSORED AOR ISMS USODO9W 927 Dividend Opl ion. Cash 06110115 Adjusted Cod Bain Market Price Security 'dentKier: 842400FU2 Market Value Unrealized Gain loss Accrued Estimated Edinsaled Interest Annual Income Yield 5.000.000 88.9500 Security Identifier: BABA CUSP: (509W102 114,719.00 175 0100 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber 875.050 00 430.301 00 CONFIDOP Rated tactile:at trey Yew Since 2007 PALIARMITO COMMUNKAT IONS uaumcc Page 6 of 20 Clewing through Penlivg I1C nakoly evened Mold's." a me kelt a New Vat Mellon CaixwatIon My Mellon) Perchnxil.C. met-tan FtivRAVVVELGM-00046547 DES-SDNY-0009371 EFrA_00 I 57 I 56 EFTA01289519 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) August t 2018 - August 31,2018 SOUTHERN FINANCIAL= Date Acquired Quakily One Oeel EQUITIES (continued) Common Stocks (continued) AMAZON COM INC Dividend Oplion: Cash 03/29/18 500.000 1,423.8620 04/02/18 500.000 1.367.0210 Total Covered 1,000.000 Total 1,000.000 APOLLO GLOBAL M GM T LLCCL A SIB Dividend Oplion: Cash 26317.00 of these shares are in your margin account 03/29/11 " 3 APPLE INC 00M Dividend Oplion: Cash 12107/17 06/20/18 263,157.000 214,000.000 50.000.000 19.0000 169.8140 186.7940 Total Covered 264.000 000 Total 264,000 000 BIOGEN IDEC INC COM Dividend Oplion: Cash 02/14/12 ..3 2,095.000 110.2720 CENTENE CORP DB. COM Dividend Oplion: Cash 09/08/14 15.550.000 63.6450 GENERAL ELECTRIC CO COM Dividend Oplion: Cash 25,000.00 of these shares are A your margin account 02/23/18 2,500.000 16.2210 02/26/18 2,500.000 16.2210 03/05/18 800.000 16.2260 03107118 5.000.000 16.2190 Cad Basis Market like 711,930.80 683.510.38 1,395,441.18 Security Identifier: AMZN CUSP. 02313516 2.012.7100 2,012.7100 31.395.441.18 Security Wenlifier APO CUSP. 03762306 4,999,983.00 34.5300 Security !dandier: AAPL CUSP:03783310 227.6300 227.6300 36,340,223.40 9.339.697.00 45,679,920.40 $45,679,920.40 Security Ideate/et BOB CUSP. 09062X133 231,019.65 353.4900 Security Identifier. CNC CUSP. 4151311 989.679.75 146.4800 Security Identifier GE CUSIP. 369604133 40,551.71 40.551.71 12,980.63 81.097 41 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 12.9400 12.9400 12.9400 12.9400 Market Value 1,006,355.00 1.006.355.00 Llosealized Gainless Estimated Simmer/ Annual Income Yield 294.424 20 322.844 62 2012,710.00 617.268.82 $2.012.710.00 3617.268 82 $0.00 9.086.811.21 4,086,828.21 489,472.02 5.38% 48,712,819.96 12,372,596.56 624,880.00 128% 11.381.500.04 2.041.803.04 146,000.00 128% 60.094.320.00 14,414,399.60 770.880.00 $60,094,320.00 314,414,399.60 3770,880.00 740,561.55 509.541 90 2,277,764.00 1.288.084 25 32,350.00 1,201.71 1,200.00 3.70% 32.350.00 1,201.71 1,200.00 3.70% 10.352.00 2.628.63 384.00 3.70% 64.700.00 -16.39741 2.400.00 370% Account Numbelli M fiD Item CONFIDE Page 7 of 20 L Rated Gallen, Clearing through Penh*, LLC. • Say evened Eery Yea Since 2007 seteldianr of Ile Bask el New Yak Mao DALIMPATED COMMUNICATIONS Corporation (IINY Melba) ,..... ,, UMIAK( Peslietttl.C.nerter Firatn.illeril- 00046548 DB-SDNY-0009372 EFTA_00I57157 EFTA01289520 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Acquired Oumtky Unk Cori Cost Bair Markel Prim Market V*, Unrested Gehrlose Ealinated EstImeed MaulIncome Yield EQUITIES (continued) Common Stocks (continued) GENERAL ELECTRIC CO COS (continued) 03112118 2,500.000 16.2210 40.551 71 12.9400 32,350.00 4,201.71 1,200.00 3.70% 03/16/18 11.700.000 16.2190 189.759 90 12 9400 151,398.00 -38.361.90 5,616.00 3.70% Total Covered 25,000 000 405,493 07 323,500.00 41,993.07 12,000.00 Total 25,000 000 8405,493 07 $323,500.00 481,993.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Security Idealdier KPTI Dividend Option: Cash CUSP. 48576U16 07112118 25,000.000 18.6840 467,106.00 21.0500 528,250.00 59,144.00 NINTENDO LTD ADR Security IdentdiecNTGOY Dividend Option: Cash CUSP. 654445303 02105118 10,000.000 511910 517,906.00 44.9500 449,500.00 48,406.00 5,027.26 1.11% Total Common Stocks $55,131,298.05 $76,386,466.76 $21,255,168.71 $1,277,379.28 Preferred Stocks (Listed by expiration date) GIA AC CAP TR I OW TR FPO SECS SER 2 CPR Security Identifier ALLY PRA 8.25% FRED ORTLY MATY-02/1512040 CALL CUSP. 36160208 ANYTIME025 W130 DAYS BEQNS02/1/13 Dividend Opl ion: Cash 02/22/12 " 1 80,000.000 23.5350 1,882,773 60 26.8000 2 144.000 00 261,226.40 157.433 76 734% Total Preferred Stocks $1,882,773.60 12.144.000 00 $261,228.40 1157.133 76 TOTAL EQUITIES $57,014,071.65 $78.530.466 76 $21,516,395.11 11.434.813 01 limbed Estimated Estimated Date Acquired 0uantily Unit Cote OW Bads MIMI Rice Markel Value Gatos Annual Income Yield M UTUAL FUNDS SSORGAN FLOATING RATE INCOME FUND Security Identifier ,PHSX CLASS I CUSP. 482t51 Open End Fund Dividend Option: Reinvest: Capital Gain Option: Reinvest 09/28/17 318.809.777 9.4100 3.000.000.00 9.3700 2.987.247.62 -12,752.38 119,700.31 400% Reinvestments to Date 12,010.803 9.3890 112,764.76 9.3700 112,541.21 423.55 4,509.58 400% Total Covered 330,820.580 3,112,764.76 3,099,788.83 -12,975.93 124,209.89 Total 330,820.580 $3,112,764.76 $3,099,788.83 412,915.93 $124,209.89 TOTAL M UTUAL FUNDS $3,112,764.76 $3,099,788.83 412,975 93 $124,209.89 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) AM Account tiornbei 2:c:es- CONFIDO. L Page 8 of 20 Rated Excellent Every Year Since 2007 Mine MEW COMMUNICATIONS UMW< E Cleating through Penleng IIC nobly evened satteldiant of The Bank ether Welt Mellen Cerptwatton OM Mellott) Per 'hex C( made thiteStR4VELGM-00046549 DS-SDNY-0009373 EFIA_00 157 I SS EFTA01289521 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) DateAtouited EXCHANGE-TRADED PRODUCTS ISHARESINC M SCI SOUTH KOREA ETF Dividend Option:Cash:Capital Gain Option. Cash 11103117 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS August 1, 2018 - August 31, 2018 SOUTHERN FIN A N CIA L LLC Daintily Unit Cost Cost Bans Market Pace Market Value Unrealized GehrLoss Estimated Estimated Annual Income Yield Sectity Identifier. MY CUSP. 464286772 965,996.98 67.3200 $985,996.98 Cott Bat 875,160.00 5675,160.00 Martel Value -110,836.98 4110,836.98 Uncoated Awued letueal 28,291.14 323% $28,291.14 Sl ated Arnaud Moms TOTAL U.S. DOLLARS EURO Description 393,294,251.55 $114,848 278 94 aoanilly 09IMIN Balsas Closing Balance Currenoc 921,554,027.39 6309,730.76 93,272,768.01 Acaled Roam 30-Dry Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 BUR -75.39 USD 44.80 EUR -75.39 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Description EQUITIES Common Stocks UBI SOFT ENTERTAINMENT LINO FRO 00 00 54470 SA MONTREUIL ACT Security Id UBI:FR CUSIP:F9196N126 Total Common Stocks 44.80 Canning Market Rice Market Value Dunn, 0.00 0.00 Est hooted Yield 11,200.000 92.6600 1,037,792.00 EUR 1,207,36721 USD TOTAL EQUIT IES CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 1,037,792.00 EUR 1,207,367.21 USD 1,037,792.00 EUR 1,207,367.21 USD Account Hotel= s 2:c es- r L. coNFID I ; AL_ Page 9 of 20 Rated ticellent hely Year Since 2007 DALIARRAITO COMMUNICATIONS amnia Clewing %MOO Pagel% 11C. nlaprented istaldlary of The am* N New Vat Mete Comma an (IINY Melee) Perchrtg LI.C. member FINRA.SPAELGM-00046550 DB-SDNY-0009374 EFM_00157159 EFTA01289522 Portfolio Holdings (continued) EURO (continued) TOTAL EURO HONG KONG DOLLAR Decoction CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance threat Value Currency Awned lateral assay 1,037,727.20 EUR 0.00 1,207,291.82 USD 0.00 (Wine awing Awned 30 •Day Biwa Uwe Currency Income Yield 183,242.25 183.242.25 HKD 23,346.71 USD 183,242.25 183,242.25 HKD 23,346.71 USD TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS Market Value Currency 0.00 0.00 Accrued lateral TOTAL HONG KONG DOLLAR JAPANESE YEN Decoction Clusellty Opening Balm 183.242 25 HKD 23,346.71 USD OoSg Una Currency 0.00 0.00 Awned 30•Dsy Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 49.00 JPY -0.44 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS -49.00 -49.00 JPY -0.44 USD Merkel Value Currency 0.00 0.00 'Caned altered TOTAL JAPANESEYEN 49.00 JPY -0.44 USD 0.00 0.00 Unreel* Awued Blended Cod Buis Markel Value deflect Interest Anneal Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $93,294,251.55 $116,078,917.03 $21,554,027.39 $309,730.76 $3,272,768.01 ' Noncovered under the cost basis rules as defined below. CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Acocunt Number: CONFIDO. L Page 10 of 20 Rated Eaceilent Claims liner Sabin IIC eulogy evened Every Year Since 20O7 sabildlarg of The Make/Ma yak Meta DALIAR RATED COMMUNICATIONS amparattan (limy Mellon) EXCILLINCI P ItC.rearto FiaiRatitV Via& 00046551 DEI-SDNY-0009375 EFTA_00157160 EFTA01289523 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) August 1,2018 - August 31,2016 SOUTHERN FINANCIAL LLC Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered', were identified as securities potentially subject to the cost basis reporting rules end may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a /399B, the cost basis will not be reported to the IRS. 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 firm and Pershing makes no representation as fo the accuracy of this information. /2 Pershing has received updated cost basisinformation, 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 fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Exchange•Ttaded Cottony Cosh Fuld Income Equbin Mutual Funds Funds Total by Olnency U.S. DOLLARS 6,922,275 25,420,588 78,530,466 3,099,788 875,160 114,848,278 USD EURO 14 0 1,037,792 0 0 1,037,727 EUR HONG KONG DOLLAR 183,242 0 0 0 0 183,242 HKD ..11PARESE YEN 49 0 0 0 0 49 JPY Total USD Equivalent 6,945,646 25,420,588 79,737,833 3,099,788 815,160 116,078,917 USD % of Allocation 6% 22% 69% 2% 1% 100% Portfolio Holdings 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 "NI A" and are omitted from the Total. THEAS OF PMCE DATEONLY APPEARS WHEN THE PRICEDATEDGESNOT EQUAL THESTATEM ENT DATE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: C,O,„ NFIDOP Raid EstWlent Every Year Since 2007 OMAR RATED COMMUNICATIONS EXCELLING( Page 1' of 20 Gleam. through halms LLC. • Say owned sobsidiary a The Bank ea New Yak Melba CaoporatIon (SHY Mao) Per Ihnx RC. mmtet ONRA.SIAWY01GM-00046552 DB-SDNY-0009376 EFTA_00157161 EFTA01289524 Portfolio Holdings Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) 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.coml disclosures 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. Option Disclosure 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 w hich 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. Foreign Currency Transactions Pershing will 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. 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. 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 & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securitiess, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page '2 of 20 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account tittuncbta CONFID Rated Galls. Gary Year Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINCE Clewing through Penang U.C. a.ery owned so:61414r, of The Bank el New York Mellon Corporation Oltly Melba) firstigat Marring rn.n.ztY€11laaWnOuu46553 DB-SDNY-0009377 EFTA 00157162 EFTA01289525 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period August 1,2018 - August 31,2018 SOUTHERN FlNA NCIAL LLC Desadtion Dale Devoted Date Acquired Designation deposition Method, Teaesadlon Nudity Ftoteeds Cod Bads Realized Gslo/Los Short Term CD PROST SA %ISIS 08102118 04/08/18 Covered Frst In First Out / sat 4,880.000 252,724.71 164,893.33 87,831.38 C00011 08103118 04108/18 Covered First In First Out! SELL 3,972.000 215,724.62 139,947.93 75,776.69 Security Wegner. X0957196 08103118 04/18118 Covered First In First Out! SELL 11.348.000 616,325.03 409,231.79 207,093.24 Total 20,000.000 1,084,774.36 714,073.05 370,701.31 SERVICEMASTER OD HT 08109118 10/18/17 Covered First In First Out! SELL 100.000.000 99,369.00 103,925.15 4,556.15 /0138 BIEDTD 03/02/98 Original Cost Basis: 94,00010 Security Identifier 81780NAB5 08/13/18 1011/117 Covered First In First Out! SELL 200,000.000 197,753.00 207,849.23 -10,096.23 Original Cost BUIS:208,00120 08/14/18 10/18/17 Covered First In First Out! SELL 100,000.000 99,135.00 103,924.35 4,789.35 Original Cost Basis: 94,000 60 08114118 10118117 Covered First In First Out! SELL 100,000.000 98,875.00 103,924.35 1,049.35 Original Cost Basis: 94,000.60 08117118 10119117 Covered Frst In First Out / SELL 200,000.000 196,744.00 207,84911 41,105.71 Original Cost Basis: 206,00342 08/17/18 10/19/17 Covered First In First Out! SELL 100,000.000 98,375.00 103,924.85 -5,549.85 Original Cost Basis: 94.00171 08120118 10/19/17 Covered Fret in First Out / SELL 50,000.000 49.436.00 51,982.29 -2,526.29 Original Cost Basis:52000.85 08120118 10/20117 Covered First in rust Out! SELL 80,000.000 79,097.60 83,144.40 4,046.80 Original Cost Basis:83206.00 08120118 10131117 Covered First In First Out! SELL 70,000.000 69,210.40 12,753.41 4,543.07 Original Cost Basis:72.80100 Total 1,000,000.000 987,995.00 1,039,257.80 -51,262.80 Total Short Term 2,072,769.36 1,753,330.85 319,438.51 Long Term WASHINGTONMUT NTG S 08/08/18 12/13/13 Noncoveled* I First In First Out / SELL 1,290,000.000 409,935.54 362,080.20 47,855.34 004-RA2 1114PASSTHRU CTFCL C- Original Cost Oasis. 362.08020 B-11AR RATE 6.998%07/25133 Security Identifier 939336520 Total Long Term 409,935.54 382,080.20 47,855.34 Total Short and Long Term 2,482,704.90 2,115,411.05 367,293.85 CONFIDENTIAL - PURSUANT TO FED. R CRIPA. P. 6(e) Account Nurnbe CONFIDO. L Page 13 of 20 Rated Estrilent Clewing through PenbinglIC nob* evened (very Year Since 2O07 sobsidiary of The Basket/4w. Vat Md* DALBAR RATED COMMUNICATIONS ContoesotoncitiY MOW VICILLINCE PT„ fins 11.C. rrernbt• roaKirKrIlileceM_000 46554 0B-SDNY-0009378 EFTA_00157163 EFTA01289526 Schedule of Realized Gains and Losses Current Period (continued) • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1988, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 alter 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 et year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R.1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be 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 account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or toss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. Messages Although a money market mutual fund seeks to preserve the value of your investment at Viper 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 10 b-'0 ( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (An amounts shown are in base currency) Credits ThisPeriod Debits ThisPerio4 Net ThisPeried CleditsYcer4o•Dule DebasYeur4o•Dute Net Yew4o•Dele Securities Severities Bought 0.00 -423A76.76 423,476.76 0.00 43,909,488.17 83,909,488.17 Securities Sold 2,929,701 00 0.00 2,929,701 00 39,012,693.89 0.00 39,012,693.89 Page 14 of 20 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbs CONFIDO' 3tEss Rats Etotlitnt Clarks Winer Pallas 11Cflatly owned (very Yes, Sins 2007 sabsklass at Theis* a Nat Yen Maas DASAR RATED COMMUIRCATIONS Carpostfon (SHY Man) VICILLINCI Perfhnx 11.C.nitetty FINIKARNYLEIGM-00046555 DB-SDNY-0009379 EFrA_00I57I64 EFTA01289527 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Activity Summary (continued) August 1, 2018 - August 31, 20 18 SOUTHERN FINANCIAL LLC CreditsThisPolon Debits ThisPetiori Net Ns NIA OiwitsYstr-to-Date DebileYear4o-Dine Net Yerme-Dine Total Securities $2029,701.00 4423.476 76 $2.506.224.24 $39,012,893.89 433,909,488.17 $5,103,205.72 Dividends and Interest $439073.90 $0 00 $439,873.90 $2,090,252.22 $0.00 $2,090,252.22 Distributions $113,728.27 $0 00 $113,728.27 $2,717,935.88 $0.00 $2,717,935.88 Fees $0.00 44 00 44.00 $0.00 41,168.00 41,168.00 Taxes Withheld $0.00 $0 00 $0.00 $0.00 47,000.37 47,000.37 Other $0.00 $0.00 $0.00 $0.00 477.65 477.65 Cash Withdlawah 0.00 4,110,504.31 -1,110,504.31 0.00 -4077,61824 .4,077,618.24 Deposits 1,089,970.60 0.00 1,089,970.60 3,056,792.64 0.00 3,056,792.64 Total Cash $1,089,970.60 41,110,504.31 420,533.71 $3,056,792.64 44,077,618.24 41,020,825.60 Totals $4,573,273.77 41,533,985.07 $3,039,288.70 $46,877,674.83 437,995,352.43 $8,882,322.20 Transactions by Type of Activity Process Settlement Dote Tilde Transaction Ode Adivity Type Description Quantity Price Accrued interest Amount Cunene, Securities Bought and Sold 08106/18 08102/18 SOLD CD PRO,B(7 SA SHS ISMS PLOPTTC00011ALLOCATED ORDER .4,680.000 198.7071 929,294.03 PIN OTGLF YOUR BROKER ACTED AS AGENT AS OF 08102/ 2013 252,724.71 USD 08107/18 08103/18 SOLD CD PROST SA SHS 'SINS PLOPTTC000 tl ALLOCATED ORDER .15,320.000 199.4626 3,053,622.23 PIN OTGLF YOUR BROKER ACTED ASAGBIT AS OF08/03/2013 832,049.65 USD 08110/18 08108/18 SOLD WASHINGTON MUT II TG SECS CORP 2004-RA2 RIG 4,290,000.000 87.0000 828.09 412,499.45 USD WAMU3515294 PASSTHRU CTF CL C41.1 YAR RATE 6198% 07/25133 WE DTD 06/0104 VARIABLE RATE FACTOR 366867890 RBI OAL 47310237 08113/18 08109/18 SOLD SERVICEM ASTER CO NT 7.250%03/0138 WE DM 03/02198 -100,000.000 99.3750 3,262.50 102,631.50 USD SV18.00 YLD 7311TO RAT 08115/18 08113/18 SOLD SERVICEM ASTER CO NT 7150% 0310138 WE DTO 03/02198 -200,000.000 98.8795 6.605.56 204,358.56 USD SVM.GD YLD 7359 TO MAT 08116/18 08114/18 SOLD SERVICEM ASTER CO NT 7250%0310138 WE DT0 03/02198 ,100,000.000 99.1410 3,322.92 102,457.92 USD SV11.GD YLD 7234 TO MAT CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Herne; Page '5 of 20 CONFIDO' etc: es Rated IstvIlent Clewing through PerinlIC a May evened Cvtry Yew Since 2007 setalalary of Me Bank el New Yak Melba DALIAR RATIO COMAUJNICATIONS Como-ream (MY Wilco) LICILLINCI PerIhnx 11.C.rnentxt FintA.IIWYLEPA—000 46556 DB-SDNY-0009380 EFTA_00 I 57165 EFTA01289528 Transactions by Type of Activity (continued) Process; Trade; Settlemenl Tranuctkin Date Dale Adivily Type Securities Bought and Sold (continued) 08/16/18 08114)18 SOLD SVM GD 08/21/18 08117118 SOLD WM GD 08/21/18 08117/18 SOLD WM GD 08/220 08/20118 SOLD SVM,GC 08/27/18 08108/18 CANCELLED Sal W AM U351294 08/27/18 08108118 CORRECTED SELL W ALI U351294 08/30/18 RON/ESTCASH INCOME .PHSX Description SERVICE/ ASTER CO NT 7250% 0310138 BIE DTD 03/02198 YLD 7.359 TO MAT SERVICEN ASTER CO NT 7250% ON /311 EVE DTD 03/02198 /ID 7.409 TOMAT SERVICEM ASTER CO NT 7250% 03/0138 BIE DID 03/02198 YID 7.409 TOMAT SERVICEM ASTER CO NT 7250% 0310138 BIE DTD 03/02198 YID 7.359 TO RAT WASHINGTON M UT MTG SECS CORP 2004 -RA2 II TG PASSTHRU Cif Cl C-11VAR RATE 6.998% 07/25/336/E DTD 0610104 VARIABLE RATE FACTOR .366817890 REM BAL 4731237 CANCELLED TRADE WASHINGTON NUT IiiTG SECS CORP 2001-RA2 M TG PASSTHRU Cif CI. C-B-1 VAR RATE 6.998% 07/25/336/E DTD 06/0104 FACTOR .365269Ø0O0 REM BAL 4711)713 FACT/CPN CORRECTION VARIABLE RATE CORRECTED CONFIRM PM ORGAN FLOATING RATE INCOME FUND CLASS I 329649.0420 SHRS SH RS PORCH. AT S9.37000 RD 08/28 Pt) 08/3011 Total Securities Bought and Sold POLISH ZLOTY TOTAL USC EQUIVALENT U.S. COLLARS Dividends and Interest 08/02/18 BOND INTEREST RECEIVED 842400 FU2 08/16/18 CASH DIVIDEND RECEIVED AAPL 08/16/18 CASH DIVIDEND RECEIVED 17296745 08116/18 BOND INTEREST RECEIVED ALLY PRA 08/27/18 BOND INTEREST RECEIVED 939336520 3000000 SOUTHERN CALIF EDISON CO PREF SERE 6 250% 0117162 BIE DTD 0117112 Ca RD 07/15PD 081011 261000 SHRS APPLE INC COW RD 08113 PO 08/1/1 3000000 CITICROUP INC FXD RT SR NT PERP CEP RECPT 5950% 08/5188 WE DID 08/12/15 CM/ RD 08/1 PD 081•6113 80000 SHRSC41 AC CAP TR I GTD TR PF0 SECS SER 2 CPtl- 125% FRED ORTLY ATY-021512040 CALL ANYTIME025 W/30 DAYSBEGINS0215/Z RD 08/11 PD 08/1/13 490000 WASHINGTON M UT M TG SECS CORP 2004 -RA2 M TG PASSTHRU CTF CI. C-B-IVAR RATE 6.998% 07/251336/E DTD 06/0104 RD 07/31P0 08(25/13 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AccoumN"~ uae CONFID Ouantily Price Acaued Mint Arnnunt Corrency -100.000.000 98.8750 3.322.92 102.197.92 USD -200.000.000 98.3750 6,847.22 203,591.22 USD -100,900.000 98.3750 3,423.61 101,798.61 USD -200,000.000 98.8750 6.887 50 204.631.50 USD 1,290,000 000 87.0000 128.09 412.499.45 USD -1.290,000 000 87.0000 824.42 110,759 96 USD 1,171.538 -10,977.31 USD 0.00 3,982,916.26 PIN 0.00 1.081.774 36 USD 34.496.65 1,121,149.88 USD 93.750 00 USD 192.720.00 USD 89,250.00 USO 41.540 56 USD 2.759.71 USD Page '6 of 20 L-- RiBted Tarry Year Since 2007 DAMAR RATED COMMUNICATIONS UMIAK( Clawing through Penhin LI.C.• Say owned tetaldlary of Ne Usk al~ Yak Mellon ~ban (Mir Mellon) arn , f‘a Psnl.ira ILC.n ,itzA.41"N¥a.w,"-0w46557 DB-SDNY-0009381 EFTA_00 I57166 EFTA01289529 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) kugust 12018 - August 31,2018 SOUTHERN FINANCIAL LLC Roes Trade; Settlement Transaction Date Dale Activity Type DesaOtion Ouantily Price Accrued emelt Amount Currency Dividends and Interest (continued) 08/30/18 CASH DIVIDEND RECEIVED .PHSX 08/31/18 MONEY MARKET FUND INCOME RECEIVED PER232045 PM ORGAN FLOATING RATE INCOM E FUND CLASS I 329649.0420 SHRS RD 08128 PD 08/ 30/ I CASH AC TR DWSGOVT 10.977.31 8.876.32 USD USD Total Dividends and Interest - U.S. DOLLARS 0.00 439,873.90 Distributions 08/27118 RETURN OF PRINCIPAL 490000 WASHINGTON MUT M TG SECS CORP 2004 •RA2 M TG 570.76 USD RECEIVED PASSTHRU CTF CLCM-1VAR RATE 6 998% 07/25/338/E DTD 939336S20 06/0104 RD 07/31PD 08/25/8 08/31/18 PARTNERSHIP DISTRIBUTION 26357 SHRS APOLLO GLOBAL MGM T Lit CL A SHS RD 08/4 PD 113,157.51 USD APO 08/311 Total Distributions- U.S. DOLLARS 0.00 113.728 27 Fees 08/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUL 201 CUSP: F9396N-11-6 -200 USD UWE 08/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUL 201 CUSP. X0957E-8.6 •2.00 USD OTaF Total Fees - U.S. DOLLARS 0.00 -4.00 Cash W ithdrawals and Deposits 08/02/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -25.241.02 USD USD999997 08/07/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 31325 1.089.970.60 USD USD999997 08/08/18 OUTGOING NON USD CURRENCY OUTGOING NON USD CURRENCY WIRE POUSH ZLOTY 4.982.916/6 PLN WIRE CURRENCY -1.085/63.29 USD PLN999997 Total Cash Withdrawals and Deposits POLISH ZLOTY 0.00 -3,982,916 26 PLN TOTAL USD EQUIVALENT 0.00 -1.085,263.29 USD US. DOLLARS 0.00 1,064,729.58 USD Account Numbein C acme CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 7 of 20 L Rated Gallen, Claim through halms LC. • alb* owned Eery Vex Since 2007 atlas, of De Usk OW. Yoh Mellon DAUM PATILDC0MMUNICA11016 Corponem OM Melba/ ,,,,,..,, L, EXCULD1a m_000465513 Porlitint UK. reermw lg.:RA.46011cl 32Co DB-SDNY-0009382 EFTA_00157167 EFTA01289530 Transactions by Type of Activity (continued) Total Accrued Interest Total Amount TrassaclionsSurantary Total Aotreed !Merit Told Amount Onrency USDEquivalent USDEquivelent POLISH ZLOTY 0.00 0.00 PIN 0.00 48813 U.S. DOLLARS 34496.65 3.039.777.63 USD 34,496 65 3,039,777 63 The price and quantity displayed may have been rounded. Cash Not Yet Received Stagily Interest CITIZENSCOMMUNICATIONSCOSR 08131118 09115118 NT FULLY EXCHANGED Total Cash Not Yet Received 935,625.00 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. Ramo Date Payable Ode (Malay Held Rale Dividend Option Amount of Payment 1.000.000.000 0.035625 Cash 35.625.00 Fixed IncomeAnalysis Bond Quality Bone Guilty A 2,172,720.00 9% BAA 8,215,330.00 32% BA/ Lower 14,164,728.34 56% Not Rated 867,810.00 3% Total 25,420,588.34 100% 0 %ol Bond Market Value Mutat Villa Percent or Axed income AEI ■ 20 40 60 80 100 Bond Maturity Schedule Bond Maturity I. 7 to 12 months a 1to 5 years Me to 10 years I.7] Over 10 years Total %of Bond Market Value Muth Value 1,003,750.00 5% 3,142,500.00 12% 2,898,540.00 11% 18,375,798.34 72% 25,420,588 34 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody'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. Client Service Information Your Invedmeat Spedand:ZBI MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Coated Information Telephone Number: Page 18 of 20 Account Plumbellin. uctssrg:s CONFID AL ISY CONFIDENTIAL — PURSUANT TO FED. R CRIK P. 6(e) S Rated hatilent trey Year Since 2007 DAtIAR Matti COMMUNICATIONS EXCIllatta Clewing through fleabag IIC *whey evened sataldiary of TM Bask el Near Vat Meta Caoporallan (MY Melba) Panting WC. freeman FiralacaRnaGM-00046559 DB-SDNY-0009383 EFTA_00 I 57 168 EFTA01289531 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information kugust 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing ads 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 institutionit 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, w here 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 . All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Ad. • Your financial organization's contact information can bet n nh fir 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Hornbell Page '9 of 20 CONFIDO. L Rated hotlient (Teri Year Since 2007 DALBAR RATIO COMMUNICATIONS VICILLINCI Cleanng through Penh% LC. auk*, evened .Mawr of The Bank el /kr. Yak Mellon CarporatIon (MY Mao) Perihnx 11.C. nntntatt FINRAVVVELGM—°°° 46560 DI3-SDNY-0009384 EFrA_00 I 57169 EFTA01289532 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness 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 award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Account tiumbil. C Uwe CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. Page 20 of 20 Rated banal Oaring Omagh Pashto; LLC. a MS, owned bery Yew Since 2007 sotaidlary of The Usk el Mew Vat Mellor. MAAR RATED COMMUNICATIONS corootationcour Mellon) UMW( P.”.P.n.: RC. in ter9M1 RA, Pkri‘.61‘A-00046561 DB-SDNY-0009385 EFTA_00157170 EFTA01289533 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 Onanth Dant anther Nth,/ beenegtmeth leaflets (Carnage eaCthe Dewnthe Seth 1rneson POW Yen Cake 1415 Pot &teeth. )611 Men Now Toll' the Cant July 1,2018 - July 3 2018 Account Number: Portfolio at a Glance Ties lirlod Year4o-Dalt Your Investment Specialist. BEGINNINGACCOUNT VALUE 8102,070,019.45 897,272,547.37 MARTIN ZEMAN NM Cash Deposits and Withdrawals 83,599.81 -1,000291.89 Adjusted Previous Account Value 102,153,619.06 96,272,256.48 Dividends. 'nicest and Ol het Income 265,397.23 1,924,061.60 Total Taxes Withheld -829.93 -7,000.37 Other Transactions 406.00 -1241.65 Net Change in Portfolio' 3,018,451.35 1,248,056.65 61. . " Accrued interest 5387,652.37 Estimated Annual Income 53,353,485.25 'NW Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Panel Asset 7ype Mar Year-End Lad Period This Period • 4% Cash. Money Funds, and Bank Deposits 823,820.96 3,505,820.11 3,905,773.16 a 25% Fixed Income 26,083,479.22 25,671,185.00 26,892258.89 57% Equities 80,899,388.97 68,940,091.01 70,674,908.14 3% Mutual Funds 3,020,938.22 3,066,687.33 3,088,811.52 1% Exchange-Traded Products 6,444,920.00 880,230.00 814,380.00 100% Account Total (Pie Chart) $97,272,547.37 8102,070,019.45 8105,436,131.71 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) EdNFIDgfilysow-- Page tot 2' Rated Excellent Every Year Since 2007 DALBAR RATED COMMUIIICATIONS EXCELLENCE Clewing through pealikag EEC a %SW evened sabeldiary a me Malt a Na. Vat Mellen CaelearatIon (MY Mika) a A Dertheth 11.C.ninwto fthltA.W 1? 11EL IVI- 00346562 DB-SDNY-0009386 EFTA_00157171 EFTA01289534 Summary of Gains and Losses This Petiod Realized Yeas-I a-Dele Unrealized Short-Term Gain/ Loss 119812.90 1245884.13 4.757.371 10 Long-Term Gain! Loss 461.86 2.589.60844 6.692.198 58 Net Gain! Loss 120.374.76 3.935.292.67 11,449,569.68 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 10 99 and/ or 104 2 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. Exchange Rate Table Global Cash affinity USO Equivalent Oaring per UM Olnency Closing Balance Amount in Base O1(1111O/ USO EURO 1.1699 0 8547 EURO -64.80 -7581 HONG KONG DOLLAR 0.1274 78469 HONG KONG OOLIAR 183242 25 23,352.03 JAPANESE YEN 0.0089 111.9200 APANESE YEN 49.00 0.44 POLISH ZLOTY 0.2735 36555 Total Global Cash Balance $23,275.78 RAND 0.0763 13.0946 Exchange rates are based on interbank exchange rates as of 07! 3V 2018. Exchange rates can vary. Money Market Fund Detail Dale Sweep Money CASH ACTR Current Yield Adivily Type Description Amount Balance Market Fund DWSGOVT & AG INSTL 181% Activity Ending: 07! 31/18 06130/18 Opening Balance 3,497,019.18 3,497,019.18 07103118 Deposit MONEY FUND PURCHASE 10,541.40 3.507.560.58 07106118 Deposit MONEY FUND PURCHASE 2.480.00 3.510.040.58 07/10/18 Deposit MONEY FUND PURCHASE 73.052.21 3.583.092.79 07111118 Withdrawal M ON EY FUND REDEMPTION -1,077,644.89 2.505.447 90 07/16/16 Withdrawal MONEY FUND REDEM PTION -313,016 86 2.192.431.04 07/24/18 Deposit MONEY FUND PURCHASE 1,099,929.70 3,292,360.74 07126/18 Deposit MONEY FUND PURCHASE 6,311.03 3.298.671.77 07/30/18 Deposit MONEY FUND PURCHASE 505.550.67 3.804.222.44 Account Numba C 9tC072 . . CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) ONFIDO AL Rated Catyllent (very Year Since 2007 DALBAR RATED COMMUNICATIONS Page 2 of V Clown& tint's,. Penh's; LC.* Say °mai subudiary of The In el Na. Yak Melba Corporation(0NY maw) P.tv.P.ng tic. rnntry 11liRA.g4111,2PM_00046563 DB-SDNY-0009387 EFTA 0015717? EFTA01289535 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) July 1,2018 - July 31, 2018 SOUTHERN FINANCIAL LW Dale Mikity Type Desulptial Mont Balm Sweep Money Market Fund (continued) CASH AC TR DWSGOVT & AG INSTL (continued) 07131118 Deposit INCOM E REINVEST 4,604.94 3,808,827.38 07/31118 Closing Balance 63,808,827.38 Total All Money Market Funds $3,808,827.38 icome and Expense Summary Cviterl Petiod That4a-Date Taxable Non Taal* Tooth Non Taxable Dividend Income Equities 25,374.46 0.00 373,146.93 0.00 Money Market 4,604.94 0.00 29,732 62 0.00 Other Dividends 82,646.55 0.00 656,044 47 0.00 Interest Income Bond Interest 152,771.28 0.00 516,954.70 0.00 Other Interest 0.00 0.00 74,499.60 0.00 Expenses W ithholding Taxes 429.93 0.00 -7,000.37 0.00 Fees(Foreign Securities) 400.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $264,087.30 $0.00 $1,642,477.95 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 273,683.28 Other Distributions 0.00 539.75 -77.65 30,524.33 Total Distributions $0.00 $539.75 477.65 6304,207.81 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Hurnbe C rcoE CONFIDO. Page 3 of 2' Rated Eaceilent (my Year Since 2007 DAtIAR RA TED COMMUNICATIONS UMIAK( Clewing through Pfl CuC..euee evened sabtldiary of The leek ed New Vat Mellon Ceoporatton (OM Melon) Par I hnx U.C.nterto FINRAPPMVELGM—°°° 46564 DB-SDNY-0009388 EFTA_00157173 EFTA01289536 Portfolio Holdings U.S. DOLLARS Account Opening Da Ouaatily Number Activity Opening Ending Balance Comp San Accrued Income Income Tit is Year CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance 0.00 73,670.00 Money Market CAM AC TR DVISGOVT1 AGI14$ft 06130/18 3,808,827.380 N/A 07/31/18 3,497,019.18 3,808,827.38 0.00 29,732.62 Total Monsy Market $3,497,019.18 $3,808,827.38 $0.00 $29,732.62 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $3,497,019.18 $3,682,497.38 $0.00 $29,732.62 Adjusted Unegalzed Awned Clete Annulled Ouentity Unit Cod Cost gags Markel Price Midst Value Cialallose folded FIXED INCOMEOn Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT M TG SECS CORP 2004•RA2 Security Identifier 939335520 MTG PASSTHRU CTF CL Cf1-1 VAR RATE 6.998% 07125/33 81E DTD 0610104 Factor: 0.3688578 Effective Dale27102/1 Current Face Value: 473,22.358 12/13113 "r t2 1290,000.000 76.5190 362,080.20 93.0280 Original Cost Basis: $638.908.71 Total Asset Backed Securities 1,290,000.000 Total Current Face Value:473,192.356 Corporate Bonds CITIZENS CON MUNICATIONSCO SR NT FULLY EXCHANGE FROM 24538AX9 7.25% 031518 8/E DID 03/23/01M oody Rating CAAIS8 P Rating 10103117 1,000,000.000 100.0450 EXELA INTER LLC I DELA FIN INC GTD FIRST PRIORITY SR SECD NT 14A OHO% 0711/23 WE DM 0711212 CLBM oody Rating83SL P Rating B 10/24/17 2.000.000.000 97.0250 07/09118 1.000.000.000 102.8520 $362,080.20 Secuiity Wenlifier: 174538AW1 1,000,449.97 100.5000 Original Cost Basis: 5100100600 Secarily Identifier. 3022RAA9 1.940.506.00 103.1250 Original Cost Basis: 51940,50600 1,028,517.00 103.1250 Original Cost Basis: S1028,756.00 CONFIDENTIAL — PURSUANT TO FED. R CRI6A, P. 6(e) ?Inc i= 00 Account Nine 30-On Current Yield Yield 1.81% 1 81% Eillmated Undid Maud boom Yield 440201.39 78,121.19 2,759.81 $440,201.39 878,121.19 $2,759.81 $0.00 1,005,000.00 4,550 03 26.916 67 71,250.00 7.08% 2.062.500 01 121,994.01 8.88819 200.000.00 9 69% 1,031.249 99 2,732.99 4,444.44 100.000 00 9 69% CONFID L Rated ticellent bay Year Since 2007 DALIARMIT0 COMMUNCATI0NS trauma Page 4 of V Cleanng %Mr PadS LLC nob* evened utak:limy a The Melt a New Vat Mete CarporatIon (IINY Mellon) Peri hnx 11.C. mnWon ?MAAR; YaGM-00046565 DB-SDNY-0009389 EFTA_00157174 EFTA01289537 O Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dote Acquired Quantity Unit Cost FIXED I NCOM E (continued) Corporate Bonds (continued) EXELA INTER tiC I DELA RN INC GTO (continued) Total Covered 3,000,000 000 Total 3100.000.000 J3SINVTS GM BH GTD SR NT REG S INN* USA29866AB53 7250% 04/03124 MOTO 04/03/145 & P Rating B• 10/31117 2,000,000.000 99.0650 DEUTSCHE BANK AG NTS ISINt US25625AM33 4 296% 05/24/28 B/E DTO 05/24/13 FOREIGN SECURITY 15T CPN DTE 1124113M oody Rating Ba2 S& P Rating BB. 05/01118 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR ISMS US25:626BN89 4.875% 41013281E VD 2/0117 CALLABLE 2/0127 06/01/18 1.000.000.000 86.8260 Adiusted Cod Bade Market Pike 2.969.023.00 $2,969,023.00 Security Identifier A29866AB5 1,981,300.00 100.2500 Original Cost Basis: $1981300.00 Sexily Identifier 25'625AM 3 917.776.00 91.0240 Original Cost Basis: $917,776 00 Security Identifier 256269118 868.256.00 88.3870 SERVICEMASTER CO NT 7250%03/0138 B/E DTD 03/02/98 1ST CFN DTE 09/0198 CPN KIT SEMI ANNUAL ON MAR 01AND SEPOtoody Rating 62 S& P Rating B Original Cost Basis: $868256.00 Security Identifier 81760NAI3,5 10/18/17 500.000.000 519.642.94 100.0000 Original Cost Basis: 5520.00300 10/19117 350.000.000 103.9300 363.756.47 100.0000 Original Cost Basis:$354 106 00 10/20117 80,000.000 103.9360 83.14917 100.0000 Original Cost Basis:383206.00 10/31117 70,000.. 103.9390 72,757.56 100.0000 July1,2018 - July 312018 SOUTHERN ANA NCIALLLC Market Value 3,093,750.00 33,093,750.00 2,005,000.00 910.240.00 883.870.00 500.000.00 350,000.00 80.000 00 70,000.00 Unrealized Gainless 124,727.00 3124127.00 Accrued lidded 13,333.33 $13.333.33 Estimated Estimated Annul Income Yield 300,000.00 3300.000.00 23,700.00 47,125.00 145,000.00 723% 2.536.00 7,995.33 42.960.00 411% 15,614.00 8,125.00 48,750.00 551% -19.642.94 15,104.17 36.250.00 725% -13,756.47 10,572.92 25.375.00 725% -3,149 07 2,416.67 5,800.00 7 25% -2,757.56 2,114.57 5,075.00 725% Page 5 of 2' Account Numb CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated banal Charing through halms LC. • May anal Ever/Yea Since 2007 setaldlary of Ile Usk el Nee York Mellon OMAR PAM COMMUNICATIONS Corporation (IINY Melba) (Antoci Peshattl.C.rnember FIARA.Wri UNM- 00046566 DB-SDNY-0009390 EFTA_00157 175 EFTA01289538 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit am FIXED I N COM E (continued) Corporate Bonds (continued) SERVICEM ASTER CO NT 7250%03/01138 FUE (continued) Total Covered 1,000,000 000 Total 1,000,000.000 ASSURANT INC FXD TO RIG SUB NT 7.000% 03/27/48 B/E DID 03727113 CALLABLE03/27128 0 1) 0.000M oody Riling 8A1 03/29/18 2,000,000.000 101.9930 SYORGAN CHASES CO DEP SHSREPSTG TOTH PFD SERIFIXED TO FLTG RT BD 5.828% 04123(58 8/E OW 04123108M oody Rating SAM S8 P Riling BBB. 06/15/11 . '3 2,500,000.000 101.5000 06/15/11"-n 2,500,000.000 107.0000 Total Noncovered 5,000,000 000 Total 5,000,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6 250% 0117/62 BIE OTC Of flit CALLABLE 02/0122 0 AO 000M oody Raring BAM St P Retie BBB- 01/30/12 " 12 3,000,000.000 99.8950 GENERAL ELEC CO GTD FXD-TO.FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 4/03/65 REG DID 12/03/5 Moody Rating A3 S8 P Rating BBB,. 12/03/15 2.469.000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET *DIX TIER 1SECS 'SIN. US539439AG42 7.500% 04/27/888/E DID 04107/10S 8 P Rating BB- 04110114'3,° 1,903,000.000 102.3910 Adjusted Oust Bans Market Price Original Cost Basis: $72806.00 1,039,306.04 $1,039,306.04 Security Identifier: 0462UAK4 2,039,868.33 102.0000 Original Cost Basis: $2.040.005.00 Security Identifier: 46625HHA1 2,687,500.00 100.4409 Original Cost Basis:52,687.500,00 2.675.000.00 100.4400 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Saud y Ident ifier: 842400FU2 2.996.853.10 196.6250 Original Cost Basis: $2892,564.97 Securely Identifier: 369604BM 4 2.175.016.17 90.0000 Original Cost Basis: $2,175.01 .17 Securely Identifier: 539439AG4 1.948.500 00 103 2500 Market Value Unrealized pintos Awued Interest allmated annulled Annual Income Yield 1,000,000.00 -39,306.04 30,208 33 72,500.00 $1,000,000.00 439,306.04 $30,208.33 $72,500.00 2,040,000.00 131.67 48322.22 140,000.00 6.86% 2.511.000.00 -176,500.00 404.72 145,700.00 5.80% 2.511.000.00 -164.000.00 404.72 145.700.00 5.80% 5,022,000.00 -340,500.00 809.44 291,400 00 $5,022,000.00 4340500.00 $809.44 $291,400.00 3.198.750 00 201.896.90 93.750.00 187,500.00 586% 2.222.100.00 47.083.83 12.619.33 98.760.00 4.44% 1.964.847.50 16.347.50 13.479.58 142.725 00 7 26% Account NumbeS C UCO7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated Enellent bey Ye4t Since 2007 OMAR WED COMMUNICATIONS EXCUSUICI Page 6 of 2 ' ClewmgdwourPershowlMatAWhaned sabldimeydneUMONmYodtMellon OmmeallimOMYMAm) s X/y DNGM y:00 00004963569 71 hisitint UC. t t., FinftA or DIT EFTA_00157176 EFTA01289539 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Acquised FIXED INCOM E (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET (continued) Ousatity Unit Cod Adjusted Cod Bris Medd Prix CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 0815188 WE DTO ONE/ V CALLABLE0811429 VO 000M oody Rahog 8742 S P Roblin BB* 08108115 3,000,000.000 100.0000 Total Corporate Bonds 26,372,000.000 TOTAL FIXED INCOME 27,662,090.000 Ode Acquired EQUITIES Common Stocks Quantity Una Cod Original Cost Basis: $1948.500.00 Security Identifier:172967325 July 1, 2018 - July 31, 2018 SOUTHERN RNA NCIAL LLC Market value Jniealized Gettig-ars Accrued Estimated Estimated Interest Annual Income Yield 3,000,005.99 103.5500 Original Cost Basis: $3.000,006.00 3,108,500.00 106,494.01 82,308.33 178,500.00 5.74% $26,298,854.60 $26,452,057.50 $153,202.90 5384,892.56 $1,719,345.00 $26,660,934.80 $26,692,258.89 $231,324.09 $387,652.37 $1,719,345.00 ALIBABA GROUPHLDG LTD SPONSORED ADR USO 509W 27 Dividend Option: Cash 06110115 5.000.000 88.9500 AMAZON COM INC Dividend Option: Cash 03129118 500.000 1,423.8620 04102118 500.000 1,367.0210 Total Covered 1.000.000 Total 1.000 000 APOLLO GLOBAL MGM T (LC CL A SHS Dividend Option: Cash 263%7.00 of these shares ale io your margin a unt Cod Bale Mickel Pike Market Value Untested Celakoss &Sled Edinuted Armed WNW Add %unity Identifier BABA CUSP:060915102 444,749.00 187.2300 936.150 00 491.401.00 Securily Identifier: MIN CUSP:02313M 711,930.80 1,777.4400 888,720.00 176,789.20 683,570.38 7,777.4400 888,720.00 205,209.62 1,395,441.18 1,777,440.00 387.998.82 $1.395,441.18 51.777.440.00 5381.998.82 $0.00 CONFIDENTIAL - PURSUANT TO FED. R CRilt,I. P. 6(e) Security Identifier APO CUSIP 03764306 Account Numb r vtoz CONFIDO. Page 7 of 2' Rated Caceiltnt Clewing through Peale% LLC. aulayievnted Every Year Since 2007 sateldiery of nit leek et New York Mellon DIallAR RATED COAiMutlICATIONS Cenceettan (MY Mellen) VICILLINCI ittelhne 11C. trerlatt Fieata.61VVELGM-00046568 DI3-SDNY-0009392 EFrA_00157177 EFTA01289540 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unk Cod Cost Bale Market Price Market Value Unrealized Orinoco Estimated Whaled Annual Income Yield EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL Al GM T LLC CL ASK (continued) 03/29/11 '.13 263.157.000 19.0000 4.999.983.00 35.5000 9.342.073.50 4.342.090 50 513.156.15 5.49% APPLE INC COM Security Identifier. AAPL Dividend Oplion: Cash CUSIP: 037833t0 12/07/17 214,000.000 169.8140 36.340.223.40 190.2900 40.722.059.97 4,381,836.57 624,880.00 1.53% 06/20/18 50,000.000 186.7940 9,339,697.00 190.2900 9.514.500 03 174,803.03 146,000.00 1.53% Total Covered 264.000.000 45.679.920.40 50,236,560.00 4,556,639.60 770,880.00 Total 264.000.000 $45,679,920.40 $50.236,560.00 $4,556.639.60 $770.880.00 BIOGEN IDEC INC COM Security Identifier. BUB Dividend Oplion: Cash CUSP:09052KM 02114112 ' 2.095.000 110.2720 231.019.65 334.3700 700,505.15 469.485 50 CENTENE CORP DB. COM Security Identifier, CNC Dividend Option: Cash CUSP: t11.5691 09/08/14 15.550.000 63.6450 989.679.75 130.3300 2.026.631 50 1,036.951 75 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion: Cash CUSIP. 369604 03 25.000.00 of these shares are le your margin account 02123118 2,500.000 16.2210 40.551.71 13.6300 34.075.00 4,476.71 1,200.00 3.52% 02/26/18 2.500.000 16.2210 40.551 71 13 6300 34.075 00 847671 1,200.00 352% 03105118 800.000 16.2260 12,980.63 13.6300 10,904.00 -2,076.63 384.00 3.52% 03/07/18 5,000.000 16.2190 81,097.41 13.6300 68,150.00 -12,947.41 2,400.00 3.52% 03112118 2.500.000 16.2210 40.551.71 13.6300 34.075.00 4.476.71 1,200.00 3.52% 03/16/18 11.700.000 16.2190 189.75910 13.6300 159,471.00 -30188.90 5.616.00 3.52% Total Covered 25,000 000 405.493.07 340.750.00 44,743.07 12,000 OD Total 25,000-000 $405,493.07 $340,750.00 464,743.07 $12,000.00 KARYOPHARM THERAPEUTICS INC COM Security Identifier. KPTI Dividend Oplion: Cash CUSP 48576U116 07/12/18 25,000.000 18.6840 467,106.00 17.7800 444.500.00 .22,606.00 NINTENDO LTO ADR Security Identifier: NTDOY Dividend Oplion: Cash CUSIP:654445303 02/05/18 10,000.000 51.7910 517,906.00 42.6700 426,700 00 -91,206.00 5,027 26 1 17% Total Common Stocks $55.131.298.05 $66.231.310.15 817,100,012.10 $1,301,063 41 Page of 2 Account Humber . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated Iityllent Every That Since 2007 DALIAR PATIO COMMUNICATIONS EXCIILLOICE Charm. tirough Penaing LC. a **at owned satsidiary of The Bank el New York Mellon Ceeporatfon (MY Melba) Itratint meter FINItA.Wcilha," 00046569 DB-SDNY-0009393 EFTA_00 I 57 178 EFTA01289541 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired EQUITIES (continued) Preferred Stocks (Usted by expiration date) GAIAC CAP TR 'GTO TREED SECS SER2 CP11. Secarity Identifier ALLY PRA 8.115% FRED ORTLY MATY-02/15/2040 CALL CUSP. 36160206 ANYTIME025 V4130 DAYS BEGINS02/S/S Dividend Option: Cash 02/22/12 -•° 80,000.000 23.5350 Total Preferred Stocks TOTAL EQUITIES Ode Acquired Deathly I.MII Cod M UTUAL FUNDS /MORGAN FLOATING RATE INCOME FUND Security {daintier SHSX CLASS I CUSIP.48121.510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 09128/17 318,809.777 9 4100 3,000,000.00 9.3700 2 987 247 60 -12,752.40 118.689.69 3 97% Reinvestments to Date 10,839.265 9.3910 101,787.45 9.3700 101.56392 423.53 4,035.35 397% Total Covered 329.649 042 3,101,787.45 3,088,811.52 -12,975.93 122.725 04 Total 329,649 042 $3,101,787.45 $3.088.811.52 412,975.93 3122.725.04 TOTAL M UTUAL FUNDS $3,101,787.45 $3.088,811.52 412,915.93 3122.725.04 Umeallidd Estimated Edintaled Date Acquired Quantity WI Cod Cad Bads Markel Pike Market Value Gab/Loss Annual Income Yield EXCHANGE-TRADED PRODUCTS ISHARESINC M SCI SOUTH KOREA ETF Dividend Option: Cash; Capital Gains Collin' Cash 11/03/17 13,000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS July 1,2018- July 31,2018 SOUTHERN FlNA NCIAL LLC Nudity link Col Jniealized Cod Bads Mild Price Market Value Ceintloss Estimated Estimated Annual Income Yield 1,882,773.60 26.5700 2,125,600.00 242,826.40 152,329.04 7.16% $1,882,773.60 $2,125,600.00 $242,826.40 $152,329.04 $57,014,071.65 Cod Bait Market Price $88,368,910.15 dirket Value $11,342,838.50 Unedited GalarLas 91,453,392.45 Stifled Estimated Annual Income nerd Security Identifier PM CUSP. 464286772 985,996.98 67.2800 $985,996.98 03d Bads 874,380.00 9874,380.00 Mild Value -111,616.98 4111,616.98 28,291.14 323% $28,291.14 Unseated Accrued Estintated Callon rattled Annual Income TOTAL U.S. DOLLARS $91,645,288.26 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $103,094,857.94 401011116IIS Bkeeil EUNFID $11,449,569.68 $387,652.37 $3,353,486.25 Page 9 of 2' Rithed ticollent Every Year Since 2007 DM AR RA TED COMMUNICATIONS EXCILUNCI Clearing *rough Fenian IIC avoid,' evened Maid's." a The Mak a New Yak Mellon CarporatIon (MY Mellon) Perihnx 11.C.nwelber FINRASWM- 00046570 DB-SDNY-0009394 EFTA_00157179 EFTA01289542 Portfolio Holdings (continued) EURO Crning ClouIng Acaved 30.Oay Desaption Oenlily Balance Banco Currency Inas Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR •75.81 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 44.80 EUR 0.00 45.81 USD 0.00 Description EQUITIES Common Stocks UBI SOFT ENTERTAINMENT 1868FR0000054470 SA M ONTREUll ACT Security Id unifier: UBI:FR CUSP. F93961416 Total Common Stocks Sainted Corny Merkel Pria Musket Value pliancy Yield 11,200.000 94.4400 1,057,718.00 EUR 1,237,435.99 USD 1,057,728.00 RIR 1,237,435.99 USD 1,057,728.00 EUR 1,237,435.99 USD TOTAL EQUITIES TOTAL EURO HONGKONG DOLLAR Merkel Value Currency Acaued Intend 1,057,663.20 EUR 0.00 1,237,360.18 USD 0.00 opting Closing Atoned 30-Day Description (Seethe Balance Balance Omen" Inane Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 89,842.25 183,242.25 HIM 23,352.03 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 69,642.25 183,242.25 HKD 23,352 03 USD Musket Value Canna 183,242.25 HKO 23,352.03 USD TOTAL HONG KONG DOLLAR CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account NumtatilM ?toy CONFIDO. L 0 00 000 Acaued Interest 0.00 000 Page 10 of 2' Rated hortlent Clewing through Pershing LLC, a voilayevnted (rely Year Since 2007 Sniffle., a The Mak a We Yak Melba DALIAR RATIO COMMUNICATIONS CarpontIon(ONY Mellon) LICILL INCE Per Ihnx 11.C. FtratActiVitecGM—00046571 DEI-SDNY-0009395 EFTA_00157180 EFTA01289543 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JA PAN ESE Y EN Desaiphon CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance July 1, 2018 - July 31, 2015 SOUTHERN FINANCIAL LLC CP11669 Going Awued 30.04 Beta Wm Currency Income Yield 49.00 49.00 JPY -0.44 USD 49.00 49.00 JPY 0.00 -0.44 USD 0.00 Acaved Musket Yalu, Cimino/ weed TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL JA PA NESE YEN POLISH ZLOTY Desaiplion EQUITIES Common Stocks CD PROST SA SliS ISDN PLOPITO30011 Security Ideetifier.OTGLF CUSP. X0957106 Total Common Stocks 49.00 JPY 0.00 0.44 USD 0.00 Eillnuted CkeinIty Nadal Prke Market Wine Carew YINd 20000 3,950,000.00 PIN 1,080,562.00 USO 3,950,000.00 PIN 1,080,562.00 USD TOTAL EQUITIES 3,950,000.00 PIN 1,080,562.00 USD Market Value Currency TOTAL POLISH ZLOTY 3,950,000.00 PLN 03d Mk 1.080.582.00 USD Market Value Awued Interest o00 o 00 Unreel:0d Accrued Blinded Golalloss Interest Mewl Income TOTAL PORTFOLIO HOLDINGS - U.S. $91,845,288.28 DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 2105,436,131.71 211,449,569.68 2387,652.37 23,353,486.25 Page 11 of 21 Account ,77berISI CONFIDOs L ticellent Every Yew Since 2007 DALIARIATED COMMUNICATIONS uctuoicr Clare...through Peal*. 11C•aapronwel sataldiary a The Mak elllaw Vat Mellon CarporatIon (MY Mellon) Perihnx 11.C.nytt-tan FtiveAVVVELGM-00046572 DB-SDNY-0009396 EFTA_OOI57I 81 EFTA01289544 Portfolio Holdings (continued) Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non.U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099.8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. e 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 changeover time and are obtained from sources we believe to be reliable ° 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 fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Omen, Cash Fired Income Equities mutusi Funds ExchangeTraded Funds Total by Oaring U.S. DOLLARS 3,882,497 26,892.258 68,356,910 3,088,811 874,380 103,094,857 USD EURO 44 0 1.057.728 0 0 t.057.663 EUR HONG KONG DOLLAR 183,242 0 0 0 0 183,242 HKO JAPANESE YEN 49 0 0 0 0 49 JPY POLISH ZLOTY 0 0 3,950,000 0 0 3.950,000 PIN Total USD Equivalent 3,905,773 26.892,258 70.674.908 3.088.811 874.380 105.436.131 USD % of Allocation 4% 25% 67% 3% 1% 100% Portfolio Holdings 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. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield ( EA Y ) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or Page '2 of 2' Account Numbe ItCti`t )2: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' L-- Rated [smiler., bey Yew Since 2007 DALIAR WED COMMUNICATIONS UCILLUKt Cleanng through hakes LC. • Say anti setaldiary of me Usk N New Vat Mellon Corporation (Ely Mew) Positing UK. merter Pkilliia.GM-00046573 DB-SDNY-0009397 EFTA_00 I 57 182 EFTA01289545 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) July 1, 2018 - July 31, 2018 SOUTHERN FlNA NCIAL LLC Estimated Annual Figures (continued) 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.coml disclosures 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. Option Disclosure 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 w hich 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. Foreign Currency Transactions Pershing will 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. 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. 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 & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page '3 of 2' Account Number: CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. Ram timilent fray Year Since 2007 OMAR MITO COMMUNICATIONS EXCULINCI Clewing Heater Pashas LC. • k•A•ti owned sobsidiary of TM Usk el Mew 'fort Mellon OnotatIon (MY Mellon) Per Oinx 11.C.rnet-to IthRA.%WiLka.GM-00346574 DB-SDNY-0009398 EFTA_00 I 57 I 83 EFTA01289546 Schedule of Realized Gains and Losses Current Pe iod Date Dale Realized Desolation Disposed Acquked Designation Cispodlion Method! Traoadion Quantity Proceeds Cod Bads Gain:Loss Short Term NWERS LIMITED LTD 0705/18 12112117 Covered first In First Out! SELL 2.000 000 504173 64 516,820 51 -12,246.87 005889 Security Identifier 55343593 SOUTH AFRICAN RAND C 07/25/18 07125118 Nonmetal* first In First Out! SELL 6168196.590 505,55017 50417314 977.03 Security Identifier. ZAR999996 ALPHABET INC CAP STK 07120/18 04102118 Covered first In Fed Out! SELL 1.000100 1.122.873.40 1,004,634.49 118.23811 Security Identifier 02079K97 PUT ALPHABET INC CL 07/23/18 05122118 Covered first In First Out / WIRE OPT SHT -10.000 12.943.83 0.00 12,943.83 D25.00 Security Identifier. 990AM 8601 Total Short Term 2.145 941 54 2,026,028.64 119,912 90 Long Term WASHINGTON MUT MTGS 07/25/18 12/13/13 Noncovered'' REPYMT OF PRIN 1.290,000 000 1,966 95 1,505.09 461.86 004-RA2 MTGPASSTHRU CTFCL C- Original Cost Basis:1506.09 B•1 VAR RATE 6.998%07/25133 Security Identifier 939336520 Total Long Term 1.966.95 1,505 09 461.86 Total Short and Long Term 2.147.908.49 2.027.533.73 121374.76 Date Dale Realized Description Disposed Acquired Designation Disposition Method r Dansadion Quantity Proceeds Cod Basis Oaintoss As of Trades HONG KONG DOLLAR CUR 06/11/18 12121117 Nonoovered' Versus Purchase! SELL 35,044.370 4,465.07 4,483.15 .18.08 Security Identifier. 111(0999999 06/11118 05102118 Noncovered' Versus Purchase! SELL 7,738.030 985.92 985.77 0.15 06111/18 05102/18 Noncovered' Versus Purchase! SELL 10.014.150 1,275.92 1,275.74 0.18 06/11/18 06105118 tioneoyeted. Versus Purchase! SELL 7.738.030 985.92 985.84 0.08 06/11/18 06/11/18 Noncovered' Versus Purchase! SELL 1.902.365.420 242.384.32 242.441.46 47.14 08/11/18 06111118 Noncovered' Versus Purchase! SELL 2,839,974.790 361.847.07 361,932.38 15.31 06111/18 06111118 Noncovered' Versus Purchase! SELL 1.697.089.980 216,229.75 216,280.73 40.98 06111118 06/11/18 Noncovered' Versus Purchase! SELL 2,577,887.920 328,454.04 328,531.47 -77.43 06/11/18 06/11/10 Noncovered' Versus Purchase! SELL 2.140.921650 272.779.77 272,844.08 44.31 06/11/18 06/11/18 Noncovered' Versus Purchase! SELL 1,895,607.510 241,523.28 241,580.22 46.94 06111/18 06111/16 Noncovered' Versus Purchase! SELL 876,585.300 111,687.55 111,713.88 -26.33 06/11/18 06/11/18 Nonoovered' Versus Purchase! SELL 2.532.555.050 322,678.08 322,754.16 -76.08 06/11/18 06111/18 Noncovered' Versus Purchase! SELL 1.683.744.780 211,981.15 212,031.14 49.99 06/15/18 06/15/18 Nonoovered- Versus Purchase! SELL 982.444.650 125.136.24 125.163.35 -27.11 Page 14 of V 9tCtin C Account Numb CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L-- Rated Excellent Every Year Since 2007 DALBAR Mit° COMMUNICATIONS LXCILLINCI Clewing through PenhieglIC. a *lay ~ad sabsidiary of The Mak at New Vat Mellor. CarporatIon (OM WNW Per tin 11.C.nwt-bn Itt.U.g4q2PM- 00346575 DB-SDNY-0009399 EFTA_00 157184 EFTA01289547 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) July 1,2018- July 31,2018 SOUTHERN FINANCIAL LLC Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201i in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as 'covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account. we may markthe account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS 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 1399-8 or online displays you may have available to you W hen 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 IRSor other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election. type of fixed income security. and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected 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 t han 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 Co us by you or your introducing firm and Pershing makes no representation ask, the accuracy of this in formation. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In, First Out (FIFO) Your account's 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 IRSForm 1099-B M essages Although a money market mutual fund seeks to preserve the value of your investment at S1per 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 10 b-13( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Account Number... CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID 'NOV Page '5 of 2' Rated Excellent Clasen. Racier Persian LC. a ~gowned Every Year Since 2007 saandlary al The lank a Nov York Mellon DM AR RATED COMAWNCATI0NS Corporatton(ativ Man) EXCELLENCE Anthem rren-nan ne,RA.PkiY,EPM_00046576 DB-SDNY-0009400 EFTA_00 157 185 EFTA01289548 Activity Summary (All amounts shown are in base currency) Claes TNsPeilod Debits ThisPerlod Net IbisPoilod CridlleYem4o-Dale Deal:Marti-Dote Net Yeet-lotate Securities Securities Bought 9.00 .1,663,727.44 .1,553,727.44 0.00 .33.486.011 41 .33,486,011.41 Securities Sold 2,110,054.01 0.00 2,110,054.01 36,082,992.89 0.00 36,082,992.89 Total Securities $2,110,054.01 41,553,727.44 $556,326.57 $36,082,992.89 433.486.011 41 $2,596,981.48 Dividends and Interest $265,397.23 50.00 $265,397.23 $1,650,378.32 $0 .00 $1,650,378.32 Distributions $539.75 $000 $539.75 52,604,207.61 $0.00 52,604,207.61 Fees $0.00 -$506 00 4506.00 $0.00 41,164.00 41,164.00 Taxes Withheld $0.00 4629 93 4829.93 $0.00 47,000.37 47,000.37 Other $0.00 $0 00 $0.00 $0.00 477.65 477.65 Cash Withdrawals 9.00 0.00 9.00 0.00 -2,967,113.93 -2,967,113.93 Deposits 83,599.61 0.00 83,599.61 1,966,822.04 0.00 1,966,822.04 Total Cash $83,599.61 $0.00 $83,599.61 $1,966,822.04 42,967,113.93 41,000,291.89 Totals $2,459.590.60 41,555,083.37 $904,527.23 $42,304,400.86 436,461,367.36 $5,843,033.50 Transactions by Type Activity of Process Dade Settlement Transaction Dote Dote Activity Type DesalptIon Goatee Prim Awued lateral Amount twenty Securities Bought and Sold 07111/18 07109118 PURCHASED EfELA INTER LLC f DELA AWING GTO FIRST PRIORITY SR %CD 1,909,900.000 102.8750 48.888 89 -L017,644.89 USD Elal45141N NT 114A 11000% 07P6123 81E DTD 0712/4 ClB YLD 9.47 TO PAR 07116/18 07/12118 PURCHASED KARYOPHARM THERAPEUTICS INC CON UNSOLICITED ORDER 25,000.000 18.6440 467,106.00 USD KPH AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 07/23/18 YOUR OPTION ASS GNED CALL DO ALPHABET INC CLC EKP 07.20.5 41110 GOOG 10.000 0.00 USD 990AM BOOB CLOSING TRANSACTION 07/23/18 YOUR OPTION WIRED PUT HO ALPHABET INCUCE/207-20-11(312250000 10.000 0.00 USD 990AM 8601 CLOSING TRANSACTION 07/24/18 07/20/18 SOLD ALPHABET INC CAP STK CL C ACCT OPT ASSIGNED OPTCUSIP -1.000.000 1.100.0000 1.099.929.70 USD GOOG NOAH860H 07130/18 07126/18 SOLD RAND 4,668,596.590 13.1907 505,550.67 USD Page 16 of 21 CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numbs-11M CONFIDO. RCM L Rated Cioalent Every Year Since 2007 DALIAR RATED COMMUIIICATIONS LXCILLINCI Clewing *roar Pate, IIC a wiepreved subsidiary a The Mak a New Yak Meta CarpotatIon (OM Mellon) P U.C.ertn—bn FilislAVVVELGM-00046577 DE1-SDNY-0009401 EFTA_00 157186 EFTA01289549 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) July 1, 2018 - July 31, 2018 ertlITle FMK] CIAIA NINA' i ir Proceed Trade; Settkmenl Trance:Hon Date Dale AclivRy Type Desaiption Duality Price Accrued Interest Amount Corrency Securities Bought and Sold (continued) 07130/18 07/25/18 SOLD NASPERS LIM 'TED LTD INNS ZAEDO 00 16889 ALLOCATED -2100.000 3.335.0004 6.668.596 59 DR NAPRF ORDER YOUR BROKER ACTED AS AGENT AS OF 07125/201 504,573 64 USD 07/30/18 REINVEST CASH INCOME .PMORGM FLOATING RATE I HCOM E FUND CUSS I 958.010 4.916 55 USD PHSX 3286910320 SIRS SIRS PURCH. AT 59.37000 RD 0712/3 PO 07130113 Total Securities Bought and Sold U S. DOLLARS -41888.89 51.752 93 USD RAND 0.00 6,668,596.59 ZAR TOTAL USC EQUIVALENT 0.00 504.573.64 USD Dividends and Interest 07/05/18 FOREIGN SECURITY DIVIDEND HS8C HOLDINGS PLC ORD SHS IS NO G80005405286 RD 05/1 -24,800.000 2.480.00 USO RECEIVED PD 07105/1 DIV @ol HBCYF 07/1018 BOND INTEREST RECEIVED 3000000 URA INTER LLC I BRA RN INC GTD FIRST 150.000.00 USD 30 '62RAA9 PRIORITY SR SECO NT 414A D 000% 07111238/E DTD 0714117 CLB RC 06/29 PD 07/15/1 07116/18 FOREIGN SECURITY DIVIDEND 13000 MRS NINTB100 LTO AC R RO 03/29 PC OTIZI13 5.419.07 USD RECEIVED NTDOY 07/24/18 FOREIGN SECURITY DIVIDEND 7 NO 0 00 SHARES LONKING HOLDINGS LTD SHS 113,600 00 HKD RECEIVED INNS KYG6636C13 78 FOREIGN SECURITY DIVIDEND RECEIVED 14.475.39 USO 3339 HK RD 06011 PO 072413ASOF05/0/1 07/25/18 CASH DIVIDEND RECEIVED 25000 SHRS GENERAL ELECTRIC CO COM RD 06/1 PD 07/25/13 3.000.00 USD CF 07125/18 BOND INTEREST RECEIVED 490000 WASHINGTONMUT M TG SECS CORP 200 4.17A2 M TG 2.77118 USD 939336$20 PASSTHRU CTF Cl C-8-1VAR RATE 6 997% 07/25/1311E DTD 06/010 4 RD 06129 PD 0712511 07/30/18 CASH DIVIDEND RECEIVED ?MORGAN FLOATING RATE INCOM E FUND CUSS I 8.976.55 USD PHU 3286910320 SHRS RD 07126 PO 07/30/1 Account Numbe CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDe L- Rated Lateen‚ free Yen Sae 2OO7 DALIAR RATED COMMUNICATIONS IXCILLINC( Page '7 of 2' Omni through Peninnt LC, a wee owned sutesidury of The Oak of New York Mellon Corporation(aN' Mellon) Peery:11C men>, ‘2,RA.eaenfapm_oce46578 DB-SDNY-0009402 EFTA_00I57 187 EFTA01289550 Transactions by Type of Activity (continued) PrOCtit; Trade; Settlement Transaction Date Date Activity Type Description Quantity Price Acaued Interest Amount Cerrency Dividends and Interest (continued) 07/31/18 MONEY MARKET FUND CASH AC TR DWSGOVT 4.60494 USD INCOME RECEIVED PER232045 07131/18 CASH DIVIDEND RECEIVED 5000000 PM ORGAN CHASE & CO DEP SHS REPSTG 79TH PFD 73,67000 USD 4662511HA1 SERIFIXED TO FLTG RT BD RD 07/27 PO 07/30/13 ADJSOURCE CODE Total Dividends and Interest HONG KONG DOLLAR 0.00 113,600.00 HKD TOTAL USD EQUIVALENT 0.00 14.475.39 USD US. DOLLARS 0.00 251921 84 USD Distributions 07/25/18 RETURN Of PRINCIPAL 1290000 WASHINGTON M UT M TGSECS CORP 2004-RA2 M TG 539.75 USD RECEIVED PASSTHRUCTF CL C1-1VAR RATE 6.997% 07125133 BIE DTD 939336520 06/0104 R006/29 PD 07/25/1 Total Distributions U.S DOLLARS 0.00 639.75 Fees 07/02118 FOREIGN CUSTODY FEE Fgn Safekeeping UN 20$ CUSIP. F9396N-13-6 -210 USD UBSFF 07102/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUN 20$ CUSP S53435-13-3 -2.00 USD NAPRF 07102/18 FOREIGN CUSTODY FEE Fgn Safekeeping JUN 2013 CUSP X0957E-8.6 -2.00 USD OTGLF 07/16/18 FEE ON FOREIGN DIVIDEND 9000 SHRS N10110400 LID ADR RD 03129 PD 07/8/13 500.00 USD WITHHELD AT THE SOURCE NTDOY Total Fees - U.S. DOLLARS 0 00 508.00 Taxes Withheld 07/16118 FOREIGN TAX WITHHELD AT 11000 SHRS NINTENDO LTD ADR RD 03129 PC 07/S/S 129.93 USD THE SOURCE NTDOY Total Taxes Withheld - U.S. DOLLARS 0.00 429.93 Other Transactions 07125118 07/24/18 ACTIVITY WITHIN YOVRACCT ALPHABET INC CAPSTK CL C INTRA-ACCT JNL -1000.000 0.00 USD GOOD 07/25/18 07124/18 ACTIVITY WITHIN YOUR ACCT ALPHABET INC CAPSTK CL C INTRAACCT Ill 1100.000 0.00 USD GOOG Total Ot her Transactions - U S DOLLARS 0.00 0.00 Page 18 of 2' Account Number: CON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FIDO. Rated [smitten bey Year Since 2007 DAMIARMIT0 COMMUNICATIONS EXCELLENCE Clewing through PEWS LC. a *lay coma" sobsidiary of The Mak awe« Vat Mellor. CarporatIon (MY Wilco) rs na Peri hnx LICerter-bn Ithttx. VALNYIEt9m—Ouv4657w DB-SDNY-0009403 EFTA_00 I 57 188 EFTA01289551 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Transactions by Type of Activity (continued) July 1, 2018 - July 31, 2018 SOUTHERN FlNA NCIAL LLC PT0CRSI. Trade Settlement Transaction Date Dale Activity Type Devaiption Quanta, Price Awued Mitered Amount Cunene, Cash Withdrawals and Deposits 07/02/18 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 34575 10,547.40 USD USD999997 07/09/18 CUSTOMER AUTHOMZED TRANS FRIA N4G.026t1 73,052.21 USD TRANSFER US0999997 Tot al Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 83,599.61 Tote Accrued Blued Total Amount TronsoctIonsexemory Told Awued Mimed Told Amount Currency US0Equtralont USDEquIvolent HONG KONG DOLLAR 0.00 113.600.00 HKD 0.00 14,475.39 U.S.DOLLARS 48.888.89 385.478.20 USD 48.888 89 385,478.20 RAND 0.00 6,668,596.59 ZAR 0.00 504,573.64 The price and quantity displayed may have been rounded. Fixed Income A nalys s Bond Quality % ol Bond Bond Duality lisket Value Motet bin Percent of Fixed name A 2,222,100.00 8% BAA 8,220,750.00 31% BA/ Lower 16,126,337.50 56% Not Rated 1,324,071.39 5% Total 28,892,258.89 100% 0 20 40 80 80 100 Bond Maturity Schedule Bond Melnik, IS 7 to 2 months Mita 5 years M8 to iO years 1 Over 10 years Total Merkel Vim %el Bond Market Value 1,005,000.00 4% 3,093,750.00 12% 2,915,240.00 11% 19.878.288.89 73% 26,892,258.89 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody'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. CONFIDENTIAL — PURSUANT TO FED. R CRII14. P. 6(e) Account Number: CONFIDO' .c. Page 19 of 21 Rated Cantlient Clewing near PaflS IIC nob* monad (very Year Since 20O7 Malawi, of The Malta New Yoh Mellon DAUIAR RATED COMMUNICATIONS CarporatIon OM Man) LXCILLINCI Pen hnx 11.C. rwett. FtuRAAR4VELGM-000 46580 DS-SDNY-0009404 EFIA_00157189 EFTA01289552 Client Service Information Your !maimed Spedad:ZEM MARTIN ZBA AN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information Canted Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELE-CTIONS 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 Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here 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 . All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) Page 20 of 21 Account Number CONFID L Wed Emden? Emmy Year Since 2007 DALIAR RATED COMMUNICATIONS LXCILLINCI Clearing lamp% PashiglIC *lay evened semidry QUM lank a Meer Yak Mellon CarpondonOINY WWI P meet. F thisIA.SW VELGM-00046581 DE1-SDNY-0009405 EFTA_00157190 EFTA01289553 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) July 1,2018 - July 31, 2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399;-. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration 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; stctibla Account Nunn C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated Extrilem trey Year Sint 2CO7 DALBAR RATED COMMutoCATIONS ['CULMCI Page 21 of 2' Clewing %MVO /BPS C 11C. • Say anal stidiary of The Bonk a Mew Yon Mellon Caw-Alan (MY Mellon) p,, RA.get".4UGM_00046582 DB-SDNY-0009406 EFTA_00157191 EFTA01289554 PA Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLD GE RED HOOK QUARTER B3 ST THOM AS VI 00802 Dlutvh• Sant etisain Marlh Mules contact Gion: Devliche Ur* Se. vier. Yen Me 3.5 Pot m.enva. 3611,11.01 Now VCAIS Ton roe tote June 1,2018 - June 30 2 It Account Number: Portfolio at a Glance ThisPeried Write-Date Your Investment Specialist: BEGIN NI NGACCOUNT VALUE JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 3102,037,432.07 47,829.37 $97,272,547.37 4,083,891.50 Adjusted Previous Account Value 102,085,081.44 96,188,655.87 Dividends. Interest and Other Income 120,922.63 1458464.37 Total Taxes Withheld 485.84 4,170.44 Other Transactions -28.45 -735.65 Net Change in Portfolio' ,134,950.23 4,229,605.30 ENDiNGACCOll $102,070,019.45 $102,070,019.4 Accrued Merest 5417.745 15 Estimated Annual Income 53 248.833 26 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. MI a • Pena Asset Type Pier YeatZed Lad Period This Period 3% Cash. Money Funds, and Bank Deposits 823,820.96 2152.138.08 3,505,820.11 25% Fixed Income 26,083,479.22 24,025,290.61 25,871,185.00 68% Equities 60,899,388.97 71,251,655.07 68,940,097.01 3% Mutual Funds 3,020,938.22 3,070,528.05 3,068,887.33 1% Exchange-Traded Products 6,444,920.00 937,620.00 880230.00 100% Account Total (Pie Chart) $97,272,547.37 $102,037,432.07 $102,070,019.45 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pagel of 28 CONFIDO. L Rated Excellent (my Yew Since 2007 OM AR RATIO COMMUNICATIONS EXClattla Clawing through Penblin IIC auk*, elms sosIdlary of The Mak a New Vat Mete CoriNf Won OINY Mellon) PerIhnx 11.C. merlon iiime.E44YeiceM_00046583 DB-SDNY-00O94O7 EFTA_00157192 EFTA01289555 Summary of Gains and Losses This Period Realized Yeer-lo-Date Unrealized Short-Term Gain! Loss 74,698.81 1,225,771.23 3 266 517 44 Long-Term Gain? Loss 1535998 2.589.146.58 5.467 108 14 Net Gain! Loss 9139.23 3.814.917.81 8.733.625 58 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 10 99 and/ or 104 2 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. Exchange Rate Table Global Cash Ommry Closing Amount in Currency USD BaolealeM per U9) 0.111ffq Belau Base currency USO EURO 1.1674 0.8566 EURO .64 80 -75.65 HONG KONG DOLLAR 0.1274 7 8452 HONG KONG DOLLAR 69,642 25 8.877.02 ,b1PANESE YEN 0.0090 110.7500 APANESE YEN 49.00 .0.44 POLISH ZLOTY 0.2671 3.7428 Total Global Cash Balance 68.800.93 RAND 0.0729 13.7027 Exchange rates are based on interbank exchange rates as of 06/ 29! rates can vary. 2018. Exchange Money Market Fund Detail Dale Activity Type Deocaptha Mount Bean Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 179% Activity Ending: 06/ 29/18 06/01/i8 Opening Balance 2,642,633.90 2.642.633 90 06/01/18 Deposit MONEY FUND PURCHASE 99,99996 2.742,633 56 06104/18 Withdrawal M ON EY FUND REDEMPTION .8,648.63 2.733.984.93 06105118 Withdrawal MONEY FUND REDEMPTION -1,731,636.34 1,002 348.59 06/11/18 Deposit MONEY FUND PURCHASE 744.427.29 1.746.775 88 08/12/18 Deposit MONEY FUND PURCHASE 7194.933.00 9.141.708 88 06/13/18 Deposit MONEY FUND PURCHASE 2.317.277.84 11.458.986 72 06/14/18 Deposit MONEY FUND PURCHASE 205.433.55 11,664.420 27 06/18/18 Deposit MONEY FUND PURCHASE 49,380.00 11,713,800 27 06120/18 Deposit MONEY FUND PURCHASE 125.136.24 11,838 936 51 Page 2 of 28 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L-- Rated ticellent trey Year Since 2007 OMAR RA TED COMMUNICATIONS EXCULINCI Clean... rough Peeshft 11C. a Say °mai sabsicliary a The Mak OW. York Mao Carponclon (IINY Wilco) Pers. Ira U.C. ertrett. DB-SDNY-0009408 EFTA_00 157 193 EFTA01289556 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) June 1, 2018 - June 30,2018 SOUTHERN FINA NCIAL LLC _LA Dale Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 08/21/18 Deposit 06/22/18 Withdrawal 06125118 Deposit 06126/18 Deposit 06128118 Deposit 06129/18 Deposit Desaiption Mount Nit= MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE 6,200.00 4,339,697.00 944)64.33 3,390.99 35,681.25 7.743.10 11,845,136.51 2,505,439.51 3,450,203.84 3,453,594.83 3,489276.08 3,497,019.18 INCOM E REIN V EST 06/29/18 Closing Balance $3,497,019.18 Total All Money Market Funds $3,497,019.18 Income and Expense Summary Oment Period You4o-bare Non Tittle Taxable Noo 'noble Dividend Income Equities 16,058.37 0.00 347,772.47 0.00 Money Market 7,743.10 0.00 25,127.68 0.00 Other Dividends 58,657.12 0.00 573,397.92 0.00 Interest Income Bond Interest 38,463.94 0.00 364,183.42 0.00 Other Interest 0.00 0.00 74,499.60 0.00 Expenses Withholding Taxes 485.84 0.00 4,170.44 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $119,936.69 $0.00 $1,378,410.65 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 273,883.28 Other Distributions .0.45 808.30 -77.65 20,084.58 Total Distributions 40.45 $608.30 477.65 $303,667.86 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: 3teg2CSI.:25 CONFID AL- Page 3 of 28 Rated Emden? Clewing through Periwig IIC ntlaprewel (very Year Since 2007 stadia" of The MBA N New York Mellon DALIAR RATED COMMUNICATIONS CapotatIon (WY meuoo) (1OILLINCI Per thing 11.C. Fret-tan rtratkrigneceTA-00046585 DB-SDNY-OOO94O9 EFTA_00 157194 EFTA01289557 Portfolio Holdings U.S. DOLLARS Account Opening Dale Quantity Number Adirity Opening Ending Banda acEg Snot Awued h10)111. income ThisYear CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 99,999.66 0.00 Money Market DEUTSCHE GOVT CASH INSTL 06/01/18 3,497,019.180 N/A 0829118 2,612,633.99 3,497,019.18 172 60 25.12718 Total Monsy Market $2,642,633.90 $3,497,019.18 $17260 $25,127.68 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $2,742,633.56 $3,497,019.18 $172.60 $25:127.68 Adjusted Unrealized Awued Date Acquired Matey UnN OA Cost Saris Merkel Price Market Velue Grin Loss Interne FIXED INCOMEOn Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSECSCORP 2004•RA2 V TG PASSTHRU CTE CI. C.- 61 VAR RATE Security Identifier 939336520 6.997% 07/25/33 53/ E DM 0610404 Factor: 0.36834055 EffedNe Dale:06/0113 Current Face Value: 475.49 3D 12/13113 .'3rt? 1,290,000.000 76.5190 363,585.29 93.0590 Original Cost Basis: 9638108.71 Total Asset Backed Securities $363,585.29 1,290600.000 Total Current Face Value:475 159.310 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Sedulity Identifier: 04538.0141 NT FULLY EXCHANGE FROM 44538AX9 7125%03/S/9 8/E DM03/23/01M oody Rating CAA1S8 P Rating B• 10/03117 1,000,000.000 100.0510 1,000,507.99 100.7500 Original Cost Basis:91001006.00 EXELA INTER LLCI DELA FIN INC GTD Security Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 9.000% 0716/238/EDM07/12/17CLBMoody Rating 83 S 6 P Retied B 1024117 2,000,000.000 97.0250 1.940.506.00 102.1250 Original Cost Basis: 51940,506.00 CONFIDENTIAL — PURSUANT TO FED. R CRIAA, P. 6(e) Account Number.. 30.0ey Current Yield Yield 1.73% 1.79% Estimated Wingate; Annual Income Yield 442,178.50 78,593.21 2,678.37 $442,178.50 $78,593.21 $2,678.37 $0.00 1,007,500.00 6,992.01 20,781.25 71,250.00 7 07% 2.042.500.00 101,994.00 91,66617 200600.00 9 79% Page 4 of 28 CONFIDO. nOi2C 25 L Rated ticellent Clewing emir Pagel% I1C a %AM/0mM bay Year Since 2007 Moldier, of TItt oak el Mew Vat Mellon DALIAR WM COMMUNICATIONS Carponban My Mellon) EXCILLUKt Per I linx 11.C. mtntan FINRA.SIVVELGM-00046586 DB-SDNY-0009410 EFrA_00 I 57195 EFTA01289558 a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIALLW Date Acquired Quantity Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) J3,5 INV TS GM Bli GTD SR NT REG S 'SINS USA29866AB53 7250% 04103124 BlE DTD 04/03/65 8 P Rating 10/31/I7 2.000.000.000 99.0650 DEUTSCHE BANK AG NTS ISM* UO62541133 4 296% 05124128 8/E MD05/24/B FORBGN SECURITY ST CPN DIE 11241131loody Rating Bat S 8 P Rating BB. 06/01/18 1,000,000.000 91.7780 DEUTSCHE BK AG N Y BRH VAR INNS U625620689 4.875% 1210132 8/E DTD 2/0117 CALLABLE 12/0127 06/01/18 1,000,000.000 86.8260 SERVICEMASTER 00 NT 7250%03/0138 BIE DID 03102/98 ST CPN DTE 09/0198 CPN PY T SD/ I ANNUAL ON MAR 01AND SEPO%loody Rating 82 S 8 P Rating 8 10/18/17 500,000.000 103.9360 10/19/17 350,000.000 103.9380 10/20117 80,000.000 103.9440 10131117 70.000.000 103.9470 Total Covered 1400 000 000 Total 1 000 000 000 Adlutaed Gad Bala Market Rice Market Voice Unrealized Glint Los Accrued Eshr el ed Esluraled Interest Annual Income Yield Security 'denting:0,29866AM 1,981,300.00 96.8540 1.931.080.00 -44,220.00 35,041.67 145,000.00 7.48% Original Cost Basis: 51981300.00 Security Identifier 25625All 3 917,776.00 90.0220 900,220.00 -17,556.00 4,296.00 42,960.00 4.77% Original Cost Basis: 5917.776.00 Security Identifier:25626868 868.256.00 85.5520 855.520.00 -12,736.00 3,927.08 48,750.00 5.69% Original Cost Basis: $868156.00 Security Identifier: 81760NA65 519.682.44 99.6250 498,125.00 -21,557.44 11,982.64 36,250.00 727% Original Cost Basis: 5520,003.00 363,784.13 99.6250 348.687 50 -15,096.63 8,387.85 25,375.00 727% Original Cost Basis: 5364,006 00 83.155.41 99.6250 79,700.00 4.455.41 1,917.22 5,800.00 7.27% Original Cost Basis: 583206 00 72.763.10 99.6251 69.737 50 4,025.60 1,677.57 5,075.00 727% Original Cost Basis: $72.806.00 1,039,385.08 996,250.00 -43,135.08 23.965 28 72,500.00 51,039,385.08 5996,250.00 -$43,135.08 $23,965.28 $72,500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account ttua CONFIDO =on Page 5 of 28 Rated Galls. Clewing through Penhing 11C. a *lay evme4 bay Yew shat 2007 stitaldiary of The crank a New Yak Melba OMAR PATILDCOMMUNICATIONT Corporation (eta Mellon) a r....‘ , ,..., UC82.04a m_00046587 Ponitint UK. feenter liMtn.48M 52L‘ DB-SDNY-0009411 EFTA_00 I 57 196 EFTA01289559 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOM E (continued) Corporate Bonds (continued) ASSURANT INC FXD TO FLTG SUB NT 7.000% 03127/48 EVE DTD 031271E CALLABLE0372M 0 DO 000Moody Ral ing 8A1 03/29118 2.000.000.000 101.9950 Adjusted Cost Baia ,PM ORGAN CHASE& CO DEP SHSREPSTG METH PFD SFR 'FIXED TO FLTG RT BD 5828% 0412358 B/E DTD 04/23108M oody Rating BAA3S& P Rating BBB- 06115111 '.?V 2500,000.000 107.5000 06115/11 " 12 2.500.000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 SOUTHERN CALIF EDISON CO PREF SER E 6 250% 0117/62 BlE OTC 0t17/12 CALLABLE02109220 DO 000M ood y Rating BAAIS& P Rat mg BBB- 01130/12 3.000.000.000 99.8930 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2/03465 REG DTD 1003/ 46Moody Rating A3 S& P Rem BBB* 12/03/15 2.469.000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET AD DL TIER 1SECS US539439AG42 7.500% 04127188 BfE DTD 0410711166 P Rating BB- 04/10/14 " i2 1.903.000.000 102.3910 Market Price Security Identifier. 0462S(AK4 2.039.903.33 100.9420 Original Cost Basis: $2,040,005.00 Security Identifier: 46625HHA1 2,687,500.00 100.7500 Original Cost Basis: $2,687.50000 2,675,000.00 100.7500 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Security Identifier: 842400 FU2 2.996.786.30 106.5009 Original Cost Basis: $2.992.564.97 Securdy Identifier 359604BM 4 2,175016.17 90.0000 Original Cost Basis: $2,175.01317 Security Identifier: 539439AG4 1.948.500.00 101 5500 Original Cost Basis:61948.500 00 Market Value Unrealized Gain(Loss Awued Estimated Estimaled interest Annual Income Yield 2.018.840.00 -21.063.33 36.166.67 140.000.00 6.93% 2,518,750.00 -168,750.00 24,688.06 145,700.00 5.78% 2,518,750.00 -156,250.00 24,688.05 145,700.00 5.78% 5,037,500.00 -325,000.00 49,376.11 291,400.00 $5.037,500.00 -$325.000.00 $49.376.11 $291.400.00 3,195,000.00 198,213.70 77,604.17 187,500.00 5.86% 2.222.100.00 47,083.83 4.115.00 98.760.00 4.44% 1.932.496 50 -16,003.50 1 189.38 142.725 00 7 38% Account Numbe eta g2C 51'C25 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L-- Rabid Einellent trey Year Since 2007 MBAR MUD COMMUNICATIONS EXCIILUNCE Page 6 of 2 Clown. through Penang U.C. a tAtolly owned sabsidiary of The lank a New York Mellon Carpontlon(ONY Megan) PrOirtt ,ii,eA.SCLenfacm_oo046588 DB-SDNY-00004 12 EFTA_00 I 57 I 97 EFTA01289560 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP INC 110 RT SR NT PERP DEP RECPT 5.950% 08115/88 WE DTD 0 WM% CALLABLE0815/20 0 1)0.000Moody Ratiag BA2 68 P Rating 88• 08106/15 3,000,000.000 100.0000 June 1,2018 - June 30,20 18 SOUTHERN FINANCIAL LLC Oustity IAN Cost Adjusted Cod Bads Market Pike Tot al Corporate Bonds 25,372,000 000 TOTAL FIXED IN COM E 26,662,000 000 Date Aorked EQUITIES Common Stocks ALIBA&A GROUP NLDG LTD SPONSORED ADR ISINSUS0509W1327 Dividend Option: Cash 06110/IS ALPHABET INC CAP STK CL C Dividend Opl ion: Cash 04102118 AMAZON COM INC Dividend Option: Cash 03/29/18 500.000 1423.8620 04/02118 500.000 1,367 0210 Total Covered 1.000 000 Total 1.000 000 Queenly the Cod Security Identifier:1296725 3.000.005.99 103 0000 Original Cost Basis:53,03,mm $25,270,442.86 $25,634,028.15 Cost BUN Merkel Price Market 'lake 3,060,000.00 $25,235,006.50 525,677,185.00 Market Value Unrealized Gain toss Accrued Estimated Estimated Interest Annual Income Yield 89,994.01 06,937.50 178,500.00 5.77% 435,438.38 $416,066.78 $1,619,345.00 $43,156.85 $417,745.15 $1,619,345.00 Unsealzad Oehalloss &Salted Solkeeted Maud Income Yield 5,000.000 1,000.000 1,004.6340 SEEM Identifier: MBA OMR 01309WS2 88.9500 444,749.00 185.5300 Sealy Identifier: GOOG cUSP 02079K1)7 1.004.634.49 1.115.6500 Secerrly Identifier AUDI CUSP. 023135136 1,699.8000 1.699.8000 711.930.80 683.510 38 1.395,441 113 81.395.441 18 CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) 927 650.00 1115.650 00 849.900 00 849,900 00 1.699.800 00 81.699.800 D0 482,901 00 111.015 51 137,969.20 166.38962 304.358.82 5304.358.82 Account Number CONFID L Rated Excellent Every Year Since 2007 DAllIAR In= COMMUNICATIONS EXCELLENCE $0.00 Page 7 of 28 Clewing liner Pollan EEC awl*, evened tissue! a The Melt a New Yak Mellen Ceeponelan (IINY Mellon) Perihnx 11.C. rnertn iireleARKeiteM-000 46589 DE1-SDNY-0009413 EFrA_00 157198 EFTA01289561 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) APOLLO GLOBAL M GM T LLCCL A IS Dividend Oplion: Cash 263,6700 of these shares are in your margin account 03/29/11 " 3 263.157.000 19.0000 4.999.983.00 31.8700 8.386.813.59 3.386.830.59 513.156.15 6.11% APPLE INC COM Security Identdier. AAPL Dividend Oplion: Cash CUSIP: 03783300 12/07/17 214.000.000 169.8140 36.340.223.40 185.1100 39.613.539.97 3.273.316.57 624.880.00 1.57% 06120118 50,000.000 186.7940 9,339,697 00 185.1100 9.255.500.03 -84,196.97 146,000.00 157% Total Covered 264,000 000 45.679.920 40 48,869,040.00 3,189,119.60 770,880.00 Total 264,000100 345,679,920.40 348,869,040.00 33,189,119.60 3770.880.00 BIOGEN IDEC INC COM Security Identifier. BNB Dividend Oplion: Cash CUSIP 09062X03 02114112'0 2,095.000 110.2720 231,019.65 290.2400 608.052.80 377,033.15 CENTRE CORP DE COM Security Identifier: CNC Dividend Oplion: Cash CUSP: tt35801 09/08/14 15,550.000 63.6450 989.679.75 123.2100 1,915.915 50 926,235 75 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion. Cash CUSP. 36960403 25.000.00 of these shares are m your margin account 02/23/18 2500.000 16.2210 40.551.71 13.6100 34.025.00 4,526.71 1,200.00 3.52% 02/26/18 2.500.000 16.2210 40.551.71 13.6100 34.025.00 4,526.71 1,200.00 3.52% 03/05/18 800.000 16.2260 12.980.63 13.6100 10.888.00 -2.092.63 384.00 3.52% 03/07/18 5,000.000 16.2190 81,097.41 13.6100 68.050.00 -13,047.41 2,400.00 3.52% 03/12/18 2.500.000 16.2210 40.551.71 13.6100 34.025.00 4.526.71 1,200.00 3.52% 03/16/18 11.700.000 16.2190 189,759.90 13.6100 159,237.00 -30,522.90 5,616.00 3.52% Total Covered 25,000 000 405.493,07 341250 00 -65,243.07 12,000 OD Total 25.000.000 3405.493.07 3340.250.00 465,243.07 $12,000.00 NINTENDO LTD ADR Security Identifier: 0700Y Dividend Oplion: Cash CUSP:654445303 02/05/18 10,000.000 51.7910 517.906.00 40,7900 407.900.00 -110,006.00 4.689.56 1.14% Total Common Stocks 355,668,826.54 364,271,071.89 38,602,245.35 31,300,725.71 Quantity Unit Cap Cast Basis Market Price Made Value Unrealized Oainlloss Estimated Whaled Annual Income Yield Security kind Kier APO CUSP 03764306 Account Hornbill= CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO L Rabid Extrilent hely Year Since 2007 DMIAR TED COMMUNICATIONS EXCILLOICE Page 3 of 23 Clown. tivour Pershing LC. a %*ay owned atlas., of The Bank a New York Mellon ConeratIon (eta Mellon) PtrOirtt member Faan.g4qa.GM_00046590 DB-SDNY-0009414 EFTA_00 I 57 I 99 EFTA01289562 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cate Argued Quantity Unk Col Cod Bads Market Rice Market Value Jniealtzed Gam on Estimated Estimated Annual Income Yield EQUITIES (continued) Preferred Stooks (Listed byexpiration date) GMAC CAP TR IGTO TR PEG SECS SEM CPR- 8.45% FRED ORTLY MATT-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/1/13 Dividend Option: Cash Security Identifier ALLY PRA CUSIP 36160208 02122/12 ' •° 80,000.000 23.5350 1182,773.80 28.3000 2.104.000.00 221,228.40 152,329.04 723% Total Preferred Stooks $1,882,773.60 $2,104,000.00 $221,228.40 $152,329.04 Options CALL AO ALPHABET INCCAPSTK CL C Option Identifier: 990A118G0H DP 07.20.5 0100.000 Underlying Security Identifier 6006 OPTION ROOT: GOOG Underlying Security Nice:5116.65 -1.00 of these contrails area salon position 05122/18 -10.000 22.9440 42,943 70 34.3000 -34,300.00 81,358.30 PUT '00 ALPHABET INC CAP STK CL C Option Identifier: 990A118601 EXP 07-20-10125000 Underlying Securay Identifier: GOOG OPTION ROOT: GOOG Underlying Security Prix: $115.65 .13.00 of these contrails area don position 05/22118 -10000 121440 -12,943.83 2.7000 -2,700.00 10,243.83 Total Options 435,887.53 437,000.00 41,112.47 $0 00 TOTAL EQUITIES $67,515,712.61 188,338,071.89 $8,822,359.28 $1.453.054 75 Unrealized Estimated Estimated Ore knelled Oulatky Uni Cod Cost Bade Marled RS Monet 94194 Oalriloss Annul Income Yield MUTUALFUNDS 111 ORGAN FLOATING RATE INCOME FUND Security Identifier: ,PHSX CUSS I CUSIP. 48121310 Open End Fund Dividend Option. Reinvest: Capital Gains Option: Reinvest 09/28/17 318109177 9.4100 3.000.000 00 9.3300 2174.495.23 -25.504.77 118.396 38 398% Reinvestments to Date 9,881.255 9.3930 92.810 90 9.3300 92,192.10 818 80 3.669.60 398% June 1, 2018 - June 30,2018 SOUTHERN FINANCIAL LLC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDOP Rated Escoilent (my Yew Since 2007 OMAR RATIO COMMUNICATIONS UMIAK( Page 9 of 28 Clewing liner Fenian IIC a whey evened sotaldianr a The Mak a New Yak Meta Ono-atlas My Mellon) Per I Finx 11.C. maderimeA.WAKateM—00046591 DE1-SDNY-0009415 EFTA_00 157200 EFTA01289563 Portfolio Holdings (c tit Inuccf) U.S. DOLLARS (continued) Unrealized OsteAcquited Quotas LIM Coq Cod Weis Motet Price Market Value Cain Loss MUTUAL FUNDS (continued) MORGAN FLOATING RATE INCOU E FUND (continued) Total Covered 328,691 032 3,092,810 90 3 066,687 33 Total 328.691.032 $3,092,810 90 $3 066.687 33 TOTAL MUTUAL FUNDS $3,092,810.90 $3.066.687.33 0de Accitied Quantity Unit Cod Cod Barb Market Price Market Value EXCHANGE-TRADED PRODUCTS ISHARESINC II SG SOUTH KOREA Elf Dividend Opl ion: Cash: Capital Gains Option: Cash 11103/17 13.000.000 75.8460 TOTAL EXCHANGE-TRADED PRODUCTS Security Identifier EWY CUSP. 16/286772 985,99618 67.7100 880230.00 $985,996.98 $680,230.00 Cod Bads Mad VOA TOTAL U.S. DOLLARS $90,725,567.82 $99,459,193.40 EURO Oblitiv9 Clot° Descriptioa Cletinlity Balace Bina Currency CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 44.80 44.80 EUR -75.65 USD Estimated Eslimaled Annual Income Yield -26 123 57 122.065 98 426 123 57 3122 065.98 426 123 57 8122 065 98 Unrealized Geinloss Estimated Estimaled Annual Income Yield 321% -105,766.98 28,291.11 4105,766 98 Unrested Gal:dins Accrued letetal $28,291.11 Ella/Med Annual income 58,133,625.58 3417,745.15 Mailed Income 83247,884.55 30-Day Yield TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 44.80 44.80 91R 0.00 Description EQUITIES Common Stocks UBI SOFT DITERTAINIA ENT 11,200.000 93.9800 1,052,576.00 EUR -75.65 USD 0.00 Deafly Merkel Rae Maddt Vabe Wen, ISMS FR0000051470 SA MONTREUIL ACT Security UBI:FR WSP F9396N136 Total Common Stocks 1,228,777.22 U9) 1,052,576.00 EUR 1,226,777.22 USD TOTAL EQUITIES 1,052,576.00 EUR CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 1,226,777.22 USD Edkaaled Yield Page 10 of 28 Account Numbed= 2:ci:c Rated Eacellent Clain/glamor Iambic I1C gala/ evened C 0 NFIDO' oriummanoccmwmAanom cmemmmomvilmeem mamma Per, ltC. mamba remeNittellaieGM—00046592 trey Year Since 2007 istaldlarg of Thalamic al Newercelt Meta C EFTA_00157201 EFTA01289564 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) EURO (continued) lune 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Market Value Clarence Accrued Interest TOTAL EURO HONGKONG DOLLAR 1,052,511.20 RJR 0.00 1228,701 57 USD 0.00 CP*19119 Closing Amid 304:by Desuiption Oveney Ban Mane Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 60.534 58 69.642 25 HKD 8.877.02 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 60,534.58 69.642.25 HKD 0.00 8,877.02 USD 0.00 Moved Market Value twang banal TOTAL HONG KONG DOLLAR JAPAN ESE YEN Discrbalon OPINP8 Oesothy Basco 69,642.25 HKD 8,877.02 USD Ming Maim Currency 0.00 0.00 Moved 30-Day Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 202,366.00 49.00 JPY -0.44 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS 202,366.00 49.00 JPY -0.44 USD Market Value Currency 0.00 0.00 acauml Ritual* TOTAL JAPANESEYEN 49.00 JPY 0.00 -0.44 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rated Excellent Every Year Since 2007 DAtRAR RA TED COMMUNICATIONS CAC:MINCE Page 11 of 28 Clewing Omer Penblin IIC sub./ evened sotaldlarg a The lank a New Yak Mellon Caeporatke (Iltly Peri U.C.rriteter FINRAVVYTLGM-00046593 DB-SDNY-0009417 EFTA_00157202 EFTA01289565 Portfolio Holdings (continuel) POLI SH ZLOTY Es aled DesonrAien OtanlIty Nanti Rb Market Value Cuneo*/ ViNd EQUITIES Common Stocks CO PR0.EKT SA SHS 20,000.000 161.8000 3.236.000.00 FIN MN/ PL0P11030011 864,591.24 UW Seturity Ideatifier 07GLF CUSIR X0957ED6 Total Common Stocks TOTAL EQU ITIES 3,236,000.00 FIN 864,591.24 USD 3,236,000.00 FIN 864,591.24 USD Acuued Market Velue Currency Interest TOTAL POUSFI ZLOTY 3,236,000.00 PLN 0 00 864,591.24 USO 0 00 RAND Deacriplion EQUITIES Common Stocks NASPERS UNITED LTD 2,000.000 3,05.0000 6,970,000.00 ZAR 12 999 89 0.18% ISINtZAFA000Ti889 508,656.66 USO 948.71 Security 1444'116er: NAPRF WSP. 56343593 Total Common Stocks Esbral ed Este aled Quitte Market Ria Market Value Currency Annal I ncome field TOTAL EQUITIES 6,970,000.00 2AR 506,656.66 USD 6,970,000.00 2AR 508,656.66 USD Market Value Cortina 12,999.89 948.71 12,999.89 948.71 Accuse Estimai.] lutant Moud lemme TOTAL RAND 6,970,000.00 2AR Cod Baas TOTAL PORTFOLIO HOLDINGS - U.S. 590 725 667 82 DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CIRAI. P. 6(e) Accourt Numbe Market Value 8102,070,019.45 CONFID 0.00 12,999.89 508,656.66 UW 0.00 948.71 Undeeized Acaued Ettioneted Geddloss Inteued Annuel Incont 18,733,625.58 8417,745.15 83,248,833.26 Page 12 of 28 Rated Capaient (n'y "'COI Sin« 2007 DMIARRATED COMMUNKATONS UOILLOICE Clean„erough PenbimiLLC aida/ "ana istaidiary of Tee hait el Na Yak Melon *flamba (IINY Melon) Perihnx LIC membe oreneklYaGM_ 00046594 DS-SDNY-0009418 EFTA_00157203 EFTA01289566 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) June 1, 2018 - June 30,2018 SOUTHERN FlNA NCIAL LLC • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovereda. Securities marked as "covered-, were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 10 99.8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 firm and Pershing makes no representation as fo the accuracy of this information. 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 changeover time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basisinformation, 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 Misinformation. Holdings Summary by Currency Omency Pah aced Income Equities Mutual Funds Exchange•Tioled Funds Total by Omency U.S. DOLLARS 3.497,019 25,677 185 66,338,071 3.066.687 880,230 99,459,193 USD EURO 44 0 1,052,516 0 0 1,052,511 EUR HONG KONG DOLLAR 69,642 0 0 0 0 69,642 HID JAPANESE YEN 49 0 0 0 0 49 JPY POLISH ZLOTY 0 0 3,236,000 0 0 3,236,000 PIN RAND 0 0 8.970.000 0 0 8,970.000 ZIA Total USD Equivalent 3.505.820 25,877,185 88,940,097 3,086,687 880,230 102,070,019 USO % of Allocation 3% 25% 68% 3% 1% 100% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number 2:E::t M:025 CONFIDO. Page 13 of 28 Rated Dttllent Clewing through Pagel% IIC•aapronwel Every Yew Since 2007 sotaldiary of The Baikal Mew Yen Meta DALBAR RATED COMMUNCATIONS Canceatlan(IINY Melon) DIMLING( Per Oita LLC. member FilislAAR4VELGM-00046595 DB-SDNY-0009419 EFTA_00 157204 EFTA01289567 Portfolio Holdings 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. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures 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. Option Disclosure 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 w hich 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. Foreign Currency Transactions Pershing will 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. 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. 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 & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. sco= Account Nan CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID AL Rated ['mental (my Year Since 2007 DALBAR RATED COMMUNICATIONS EXCELLING( Page '4 of 28 Clewing %MVO PISS% LLC • ittlay owned sdasidlary al The Bank ol Mew Yon Mellon Caw- Rion (ONY Mellon) ,It•RA.%4%LeM_00046596 DB-SDNY-0009420 EFTA_00 157205 EFTA01289568 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gans and Losses Current Period June 1, 2018 - June 30,2018 SOUTHERN FlNA NCIAL LLC Description Date Disposed Dale As:puked Designation Disposition Method, Tumid ion Gummy Proceeds Cod Bads Realized Galnaoss Short Term HSBC HOLDINGS PLC OR 06/11118 12/04/17 Covered first In First Out! Sal 24800 000 242441 46 246.679 75 4,238.29 9GB0005405286 Security Identifier. G46341.159 CONKING HOLDINGS LTD 06111118 12104117 Covered first In First Out! SELL 710,000.000 361,932.38 254,284 78 107,647.60 KYG5636C1378 Security Identifier. G5636037 NINE DRAGONS PAPER H 06/11/18 12104117 Covered first In First Out / SELL 144.000.000 216,280.73 248,603.69 .32,322.96 DSHSISIN*611G65311305 Security Identifier 0653500 HONG KONG DOLLAR CUR 06/11/18 12121117 Noncovered' Fist In First Out! Sal 35,044.370 4.465.07 4,483.15 .18.08 Security Identifier. HKC999999 06111118 05102118 NoncoverS' first In First Out! SELL 7.738.030 985.92 985.77 0.15 06111118 05102118 Noncovered' First In First Out / SELL 10,014.150 1,275.92 1,275.74 0.18 06111118 06105118 Noncovered' first In First Out / SELL 7.738.030 985.92 985.84 0.08 06/11/18 06111118 Nonoovered' Versus Purchase/ sa 1.902.365.420 242.384.32 242,441.46 -57.14 06/11118 06/11118 iloncovered. Versus Purchase! SELL 2.839.974.790 361,847.07 361,932 38 .15.31 06/11/18 06111/18 Noncovered' Versus Purchase! SELL 1.697.089.980 216.229.75 216,280 73 40.98 06111/18 06/11118 Noncovered' Versus Purchase! SELL 2,577,887.920 328,454.04 328,531 47 -77.43 06/11/18 06111118 Noncovered' Versus Purchase! SELL 2.140.925.650 272.779.77 272,844 08 .64.31 06111/18 06/11118 Noncovered' Versus Purchase! SELL 1,895,607.510 241,523.28 241,580 22 -56.94 06/11/18 06111118 Noncovered' Versus Purchase! SELL 876.585.300 111.687.55 111,713 88 -26.33 06/11/18 06/11118 Noncovered' Versus Purchase! SELL 2,532,555.050 322,678.08 322,754.16 -76.08 06111/18 06115118 06/11118 06/15118 Noncovered' Noncovered' Versus Purchase! SELL Versus Purchase! SELL 1,663.744380 982,444.650 211.981.15 125,136.24 212152:016331 3154 -49.99 -27.11 Total 19,169,715.630 2,442,414.08 2,443,003.37 589.29 APANESE YEN CURRENC 08/11/18 12131/12 Noncovered' First In First Out! SELL 202.366.000 1,838.96 1,913.62 -74.66 Security Identifier. )1999993 06/11/18 06/11/18 Noncovered' first In First Out! SELL 22.404.343.000 203,594.59 203,879.73 -285.14 Total 22,606,709.000 205,433.55 205,793.35 .359.80 NABTESCO CORP TOKYO 06/11/18 12/04/17 Covered first In First Out! SELL 6.300.000 203,879 73 247,402.49 -43,522.76 INS.P365213001 Security Identifier. A7070100 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb cig stoe2 CONFID Rated Ein4lent trey Year Since 2007 OMAR MUD COMMUNICATIONS EXCIILUNCE Page *5 of 23 Chinni through Penn{ ISC. a tAtolly owned sobsidlay of me Oak a New York Mellon Caw -alai MY Mellon) P.”.P.ni: tic.,... , ii,,R,...g%PdaG, M_00046597 DB-SDNY-0009421 EFTA 00157206 EFTA01289569 Schedule of Realized Gains and Losses Current Pen d (continued) Desolation Dee Cispotad Dole Acµied Designation Oispoillon Method r Transaction Ouw19q Proceeds Cod Beds Wind Weans Short Term (continued) POUSH ZLOTY CURRENC 08121118 06/19/18 Noncovered' first In First Out! SELL 3,523,782.000 944,164.33 944,789.66 25.33 Security Identifier. PLN989997 CD PROST SA SHS IS 06/19/18 03/27/18 Covered first In First Out SELL 10,000.000 442,565.89 331,804.35 110,961.54 000011 08119118 04/06/18 Covered first In First Out I SELL 11,348.000 502,223.77 399,831.10 102,392.67 Security Identifier: X095TES6 Total 21,348.000 944,789.66 731,435.45 213,354.21 ZTE CORP SHS H ISDIt 06115/18 12704/17 Covered first In First Out! SELL 70,600.000 125,163.35 250,418.14 -125,254.79 Y2 Security Identifier: 90004F1)5 ANHUI CONN CB/ ENT C 06/11/18 12104117 Covered Fro In First Out! SELL 52,500.000 328,531.47 149,65315 78,877.71 H ISIN9 CNE170000 W2 Security Identifier: 1047392 BANK OF CHINA LTD BE 06111/18 12/04117 Covered first In First Out! SELL 512,000.000 212,844.08 249,547.66 23,296.41 H ISHII CNE90000 45 Secutity Identifier: Y0698At7 CHINA COMMUNICATIONS 06/11/18 12/04/17 Covered First In First Out! SELL 224,000.000 241,580.22 249,308.76 -7,728.54 ION COMPANY LTD SUS If 15911 CNE 900002F5 Security Identifier: VESA/8 DONGFANG ELECTRIC CO 06111118 12/04/17 Covered First In First Out! SELL 150.200 000 11131386 127.36512 -15,651.24 LTD SHS H ISINICNE90000304 Security Identifier 120958137 WEN:HAIPOWERCO LTD 06111118 72/04/17 Covered first In First Out / SELL 228,000.000 322154.16 247,186.75 75,587.41 NIUNES0000419 Security Identifier 1953%99 DIUZHOU CRRC nm ESE 06/11/18 12/04/17 Covered first In First Out / Sal 43,400.000 212,031.14 254,566.74 42.537.60 LTD SUS 41- ISIN9 CHEW 0004%4 Security Identifier Y9892N94 ADVANCE MICRO DEVIC 06/07/18 09/15/17 Covered First In Fast Out! SELL 20,000.000 297,770.92 245,612.36 52,158.56 Security Identifier:00790397 06/07118 12/15/17 Covered Ant In First Out! SELL 30,000.000 446,656.31 368,912.57 79,743.80 Total 50,000.000 744,427.29 612,524.93 131,902.36 BER1(SHIRE HATHAWAY I 06/08/18 02105118 Coveted Frit In Flirt Out / SELL 3.000 881,312.95 931276.00 -16,654.35 A Adjustment -33.308.70 Adjuslment Type: W Security Identifier 084670108 06108/18 02/16/18 Coveted first In First Out! SELL 3.000 881,312.95 921,086.00 -39,773.05 06/08/18 03119118 Coveted first In First Out! SELL 3.000 881,312.95 915,406.00 -34,093.05 06108/18 03123/18 Covered First In First Out! SELL 3.000 881,312.95 888,106.00 1,793.05 Page 16 of 28 CONFIDENTIAL — PURSUANT TO FED. R CRlIcl. P. 6(e) Account Numb.= CONFIDO. L Rated ticellent trey Year Since 2007 DM AR IMO COMMUNICATIONS EXCELLENCE Cleanng through timbre11C nob* evened Malaita" of The Mak ether Vat Meta Carpotaban (MY wilco) rerihng noara.frRt4YeraGM_ 00046598 DI3-SDNY-0009422 EFTA_00157207 EFTA01289570 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Dale Date Desolation Disposed Acquired Designation Short Term (continued) BERKSHIRE HATHAWAY I 08108118 03127118 Covered (continued) 08108118 05121118 Covered Total GILEAD SCIENCESINC 08/08/18 10124117 Covered Security Identifier. 37555893 08108118 05102118 Covered 06108118 05103118 Covered 08108118 05/18/18 Covered Total OUALCONI/ INC 08/08118 04118118 Covered Security Identifier. 747525133 06108118 04120118 Covered Total CALL 'SNARES TR M SCI 06/18/18 01/17/18 Covered 55.00 Security Identifier 990AUeRM Total Short Term Long Term GILEAD SCIENCESINC 06/08/18 02105114 Covered Security Identifier 3755581)3 06108/18 03107114 Covered 06/08/18 05/18118 Covered 06/08/18 05118/18 Covered June 1, 20 18 - June 30, 2018 SOUTHERN FINANCIAL LLC Cisposilion Method Tfiliadioil Cuanlily First In First Out! SELL 3.000 First In First Out! Sat 2.000 113day(s) added to your holding period a a melt of a wash sale. first In First Out! Sat Adjustment: -7,348.17 Adjustment Type: W first In First Out! SELL first In First Out! Sal. first In First Out! 900.000 227 day(s) added to your holding period as a resat of a wash sale. 17.000 4,400.000 2,500.000 1,000.000 first In Fug Out! Sat first In First Out! SELL 8,800.000 2,500.000 1,500.000 10,000.000 first In First Out! WIREOPTION 2,400.000 first In First Out! Sat 5.000.000 Adjustment: -36780.48 Adjustment Type: W first In First Out! 3,100.000 Adjustment: -23,828.56 Adjustment Type: W first In First Out! 58.1 5,000.000 Your lot has been adjusted due to awash sale for mote the one year First In First Out! SELL 3,100.000 Your lot has been adjusted due to a wash sale for mote than one year Total CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 16,200.000 Account Nun atm CONFIDO L- Rands Cod Ms Realized Gain loss 881,312.95 904,428.00 -23,113.06 587,541.99 627,414.70 -39,872.71 4,004,106.74 5,97,714.70 -160,299.26 316,471.34 352,395.71 -28,576.20 179,813.28 181,432.49 -1,619.23 71,925.30 72,588.60 -661.30 84,732.77 72,862.30 -7,929.53 632,942.67 679,077.10 -38,786.26 150,673.41 145,432.61 5,240.80 452,020.24 436285.83 15,734.41 602,693.65 581,70.44 20,975.21 0.00 105,806.00 -105,606.00 14,150,724.57 14,116,682.63 74,698.81 359,828.52 396,407.00 0.00 222,988.44 246,797.00 0.00 359,828.53 399,636.79 40,010.26 222,988.45 248,790.47 -25,831.02 1,165,189.94 1,291,640.26 45,841.28 Rated ticellent bereecor Since 2007 DALIARMITO COMMUNICATIONS exasuttra Page 17 of 28 Clewing liner Pagel% I1C ..miry evened sneakier, NTH. kelt New Vat Meta Canceation My Mellon) Per I Pinx 11.C. mett• FINRAVVVELGM-00046599 DB-SDNY-0009423 EFrA_00157208 EFTA01289571 Schedule of Realized Gains and Losses Curren, Period (continued) Dosaiplion Long Term (continued) WASHINGTON N UT M TG 004•RA2 M TG PASSTHRU CTFCL 84 VAR RATE 6997% 07125/33 Security Identifier 939336520 Date Whored Dale Acquired Designation 06/22/18 12113113 Nonooveree l Cispoeition Method) Ttantadion Ouanlity REPYM T OF PINN Original Cost Basis: 1569.72 Realized Proceeds Cod Bads Gainrloss 1.290.000 000 2,051.42 1,56932 481.70 Total Long Term Total Short and Long Term 1,167,241.36 1,293,209.98 15,359.58 15,317,965.93 15,409,892.61 9.339.23 ' Noncovered under the cost basis rules as defined below. Generally, securities acquired before 20 1T in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 9 98, the cost basis will not be reported to the IRS. 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 alter 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 W hen 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 lax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be 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 t han 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 fo the accuracy of this information. w Wash Sales Loss - This adjustment is the amount for a disallowed wash safe loss. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's 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 IRSForm 1099.8. Account Numbeu stone =on CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated DtWiem hely Year Since 2007 I/MARIAM COMMUNICATIONS UMIAK( Page '3 of 28 Cloying tlrougli Persiwg U.C. a weal owned atlas, of me Bank col New York Mellon Gnat-noon (SHY Mellon) P.,,Pmg RC. ,...,,n •u,Rn.111 Y'aGM_00046600 DB-SDNY-0009424 EFTA_00 157209 EFTA01289572 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages June1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Your statement reflects a substitute payment reimbursement because you received one or more substitute payments last year in lieu of a qualified dividend. This reimbursement is being made because substitute payments do not receive the same preferential tax rate as qualified dividends. We credited your account with an amount equal to 13.33% of each eligible substitute payment. based on the difference between an assumed rate on ordinary income of 25% and the rate for qualified dividends of 15% (10% difference). We amended your reimbursement from 10% up to 13.33% to adjust for taxes paid on the reimbursement. This income will be reported on your Tax Information Statement as 'Other Income' on Form 1099-M 1SC, Box 3. If you received a substitute payment reimbursement with respect to income from an investment company (mutual fund or unit investment trust), you may have received less than 13.33% of the corresponding substitute payment. Since incom e from investment companies may consist partly of non qualified dividend income, your reimbursement was calculated only on the percentage of income that qualifies for the preferential tax rate. If you have any questions regarding your reimbursement, please contact your advisor. 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 10 b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (A., ar,ounts my' n a. e in base current/) Credits ThisPetiod Debits ibis Period Net Dna Period Credits Year-to-Date Debits Yeer4o-Date Net Year-to-Date Securities Securities Bought 0.00 -11,136,860.46 -11,136,860.16 0.00 -31,932283.97 -31,93228317 Securities Sold 15,315,914.51 0.00 15,315,914.51 33,912,938.88 0.00 33,972,938.88 Total Securities $15.315.914.51 411.136.860.46 $4.179,054.05 $33.972.938.88 431.932.283.97 $2,040.654.91 Dividends and Interest $120,922.53 $0.00 $120,922.53 $1.384,981.09 $0.00 $1.384.981.09 Distributions $808.30 $0.00 $608.30 $2.803667.86 $0.00 $2.803.667.86 Fees $0.00 428.00 428.00 $0.00 4658.00 4658.00 Taxes Withheld $0.00 4985.84 4985.84 $0.00 46,170.44 46.170.44 Other $0.00 40.45 40.45 $0.00 477.65 477.65 Account Numbern C stoen CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDg AL Rated Eintilent Every Year Sine 2007 DALIAR RATED COMMUNICATIONS IxcIRENCE Page '9 of 23 Clewing tivough Pershing U.C. w %lag owned subsidiary of The Bank ol New York Mellon Corporation18NY Mellon) P.,,Pmg tic. ‘II•R A.B aYSIlia. DNem Y --0°°094 30466°2 1 D 5 EFTA 00157210 EFTA01289573 Activity Summary (continued) *Sits ThIsPetlind DebitoThisPerlind Net TbisPerlod Credits Yer-to-Date Debt Yeor4o-Dete Net Yew-to-Dote Cash Withdrawals 0.00 -181,250.00 -181.250.00 0.00 -2,967,113.93 -2,967,113.93 Deposits 228879.37 0.00 228.879.37 1.883.222.43 0.00 1.883.222.43 Total Cash 5228.879.37 4181.250.00 $47.629.37 51.883.222.43 -52.967.113.93 41.083.891.50 Totals 515,666,324.71 -511,319.124.75 $4,347,199.96 539,844,810.26 434,906,303.99 54,938,506 27 Transactions by Type Activity of Prom* Trade; Settlement Trona:Non Date Date Adivity Type Description OuantNy Price Atoned Third Amount Cogency Securities Bought and Sold 06/05/18 06/01/18 PURCHASED DEUTSCHE BANK AG NTS ISMS US25'625AM 334296% 1.000,000 000 91.7770 -1.312.67 -919.08867 USD DB4D0915 05/24/28 B/E DTD 05/24/13 CLB YLD 5.372 TO MAT 06/05/18 06101/18 PURCHASED DEUTSCHE 8K AG N Y BMI VAR (SINS US25126BN894.875% 1.000.000.000 86.8250 -541.67 468.191.61 USD DB457174 12/0132 B/E DTD 12101 17 CLEI YLD 6.272 TO MAT 06111/18 06107/18 SOLD ADVANCED MICRO DEVICES INC COM UNSOLICITED ORDER 40.000.000 14.9288 744,427 29 USD AM D AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/12/18 06108/18 SOLD BERKSHIRE HATHAWAY INC DEL CI. A UNSOL AVERAGE UNIT -17.000 293.789.8629 4.994.106 74 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06/12/18 06108/18 SOLD GILEAD SCIENCES INC UNSOLICITED ORDER AVERAGE UNIT -25.000.000 71.9664 1,798,132.61 USD GILD PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 06112/18 06108/18 SOLD OUALCOM IA INC UNSOLICITED ORDER AVERAGE UNIT PRICE -10,000 000 60.3107 602,693 65 USD MOM TRANSACTION YOUR BROKER ACTED AS AGENT 06113/18 06111118 SOLD HONG KONG DOLLAR -18.187.270.980 7.8485 2,317,277 84 USD 06/13/18 06111/18 SOLD H SBC HOLDINGS PLC ORD DM IS NO GB0005405286 -24.800.000 76.9065 1.902.365.42 HKO HSBA:GB ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 242,441 46 USD 06/11201 06/13/18 06111/18 SOLD LONKING HOLDINGS LTD SASISNS KYG5536C978 ALLOCATED -710.000.000 4.0103 2.839,974 79 HE' 3339 HK ORDER YOUR BROKER ACTED AS AGENT AS OF 06/11201 361.932 38 USD 06/13/18 06/11/18 SOLD NINE DRAGONS PAPER HOLDINGS LTD SH5 -144,000.000 11.8158 1,697,089 98 HKD 2689:11K (SINS BM665313105 ALLOCATED ORDER YOUR BROKER ACTED 216.280 73 USD AS AGENT AS OF 06/1201 06113/18 06/11/18 SOLD ANHUI CONCH CEMENT CO LTD 915 H IS1Nt CNE100000112 -52,500.000 49.2295 2.577.887 92 HKD 9$111 ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 328,531.47 USD 06/11201 06/13/18 06/11/18 SOLD BANK OF CHINA LTD BEING SHS H ISMSCHET00004S -512,000 000 4.1923 2,140,925.65 HKD 3988:11K ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 272,844 08 USD 06/11201 Page 20 of 28 Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Hated Excellent Every Yew Since 2007 DALBARMITO COMMUNICATIONS LXIALLINCI Clewing through Pealing 11C. a Say owned sobsidiary of TM Bank a Mow Vat Mellon CogNeatIon My Wilco) rs A na res.. Pelting U.C.ertretty Ittato..4W 42Nm—Ouv4ouu4 DB-SDNY-0009426 EFTA_00157211 EFTA01289574 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Props Trade; Settlement Transaction Date Date Activity Type Description Quality Price Accrued Interest Amount Currency Securities Bought and Sold (continued) 06/13/18 06/11/18 SOLO CHINA COMM UNICATIONS CONSTRUCTION COMPANY LTD WS -224.000.000 8.4844 1.895.607.51 HKO 100 HK H ISNICNED00002F5 ALLOCATED ORDER YOUR BROKER 241,580 22 USD ACTED AS AGENT AS OF 061W201 06113/18 06111118 SOLD DONGFANG ELECTRIC CORPORATION LTD SASH -150.200100 51512 876,585 30 HKD 1372tIK ISIN1 CR E130000304 ALLOCATED ORDER YOUR BROKER 111.713 88 USD ACTED AS AGBIT AS OF 0611,201 06113/18 06111/18 SOLO WBCHAI POW ER CO LTD SHSH 'SINS NED 00004L9 -228.000100 11.1364 2.532.555.05 HKO 2338:liK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 322,754.16 USD 06/17201 06113/18 06111/18 SOLO ZHUZHOU CRRC TIM ES ELECTRIC CO LTD SHS-H- .43.400100 38.4342 1,663,744.78 HKD 3898:HK 'SINS CNED00004X4 WITH DUE BILLS ALLOCATED ORDER 212,031 14 USD YOUR BROKER ACTED AS AGENT AS OF06/112013 06114/18 06111118 SOLD APANESE YEN -22,606,709.000 110.0439 205,433 55 USD 06/14/18 06111118 SOLO NABTESCO CORP TOKYO 915 LTD ISINS P36521001 6.300.000 3.561.5873 22.404.343.00 JPY 6268:P ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF 203,879.73 USD 06/1,201 06118/18 YOUR OPTION WIRED CALL 130 ISHARES TR MSCI EMERGING M KTS ETF ELP -2.400.000 0.00 USD 990AUIRM 06.5.5055.000 OPTION ROOT: Eli EDI CLOSING TRANSACTION 06120/18 06115/18 SOLO HONG KONG DOLLAR -982.444.650 7.8510 125.136 24 USD 06/20/18 06115/18 SOLD ZTE CORP SHSH ISINO CNE900004Y2 ALLOCATED ORDER -70,600.000 13.9516 982,444.65 HKD 763 HK YOUR BROKER ACTED AS AGENT A$ 0E0615/206 125.163 35 USD 06/21/18 06119/18 SOLD CD PROIXT SA SHS ISMS PLOPTIC000 tl ALLOCATED ORDER 21.348.000 165.2038 3,523,782 00 PIN OTGLF YOUR BROKER ACTED AS AGENT AS OF 06/81/201 944.789 66 USD 06/22/18 06120/18 PURCHASED APPLE INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE 50.000.000 186.7538 -9.339,697 00 USD AAPL TRANSACTION YOUR BROKER ACTED AS AGENT 06/25/18 06/21/18 SOLO POUSH ZLOTY -3,523,782.000 3.7298 944,764.33 USD 06128/18 FtBNYEST CASH INCOME PM ORGAN FLOATING RATE INCOM E FUND CLASS I 993 268 4.277.12 USD .PHSX 327697.7640 SHRS SHRS PURCH. AT 59.34000 RC 06/26 PO 06/28/13 Total Securities Bought and Sold HONG KONG DOLLAR 0.00 19.109.181.05 HKD TOTAL USD EQUIVALENT 0.00 2,435,272 87 USD Account Number C .= ttogn . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFID Page 2* of 28 Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS LXCULINCI Clewing through hushing 11C. • May anal sobsidiary of TM Bonk a New Yak Melba CaneratIon (MY Wilco) PerOing LICertrett. IthitA.Pknii2PM-00046603 DB-SDNY-0009427 EFTA_00157212 EFTA01289575 Transactions by Type of A ctivrt y (continued) Pims Trade; Senielen! Tranuellon Date Date Adivity Type Total Secur dies Bought and Sold (continued) Desaiption Quantily Ria Acaued Inkreeg Mount Cortency APANESE YEN 0.00 22.404.343 00 JPY TOTAL UW EQUIVALENT 0.00 203.879.73 USD POLISH ZLOTY 0.00 3.523.782 00 PIN TOTAL UW EQUIVALENT 0.00 944,789.66 UW US. DOLLARS •1,854.34 595.111.79 UW Dividends and Interest 06/15/18 CASH DIVIDEND RECOVED 2469000 GENERAL ELEC CO GTD FXD-TO-FLTG RT 49,380.00 UW 369604814 NON-CUM ULATIVEPERPETUAL PREFERRED 4.000% 2103165 REG DTD 121025 CLB RD 05131PD 06151E 06/20118 CASH DIVIDEND RECEIVED 9000 SHRSQUALCOMM INC RD 05130 PD 061201E 6200.00 UW %OM 06/25/18 BOND INTEREST RECEIVED 290000 WASHINGTON M UT MTGSECSCORP2004-FLA2 M TG 2.782.69 USD 939336620 PASSTHRU CTF CL C-B-1VAR RATE 6.997% 07125/33 B/E DTD 06/0104 RD 05/31P006/2511 06/27/18 FOREIGN SECURITY DIVIDEND 52500.00 SHARESANHUI CONCH CEM ENT CO LTD SHS H 77,380.28 HKD RECBVED ISINKCNE13000 OV 2 FOREIGN SECURITY DIVIDEND RECEIVED 9.858.37 UW 914 HK R0060513 P006271 ASOF 061051E 06/27/18 FOREIGN BOND INTEREST 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL 35.681.25 UW 539439A04 TIER 1SEC.S ISINI US539439AG42 7.500% 04127/88 BIE DTD 04/0704 CLB RD 06126 PO 061271E 06128/18 CASH DIVIDEND RECE1VED "MORGAN FLOATING RATE INCOM E FUND CLASS I 9277.12 UW .PHSX 3276973640 SHRS RD 06/26 PO 06/28/1 06129/18 MONEY MARKET FUND DEUTSCHEGOVT CASH 7.743.10 UW INCOM E RECENED PER232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 77,380 28 HKO TOTAL UW EQUIVALENT 0.00 9.858.37 UW U S. DOLLARS 0.00 111.064.16 UW Distributions 06/25/18 RETURN OF PRINCIPAL 290000 WASHINGTON Al UT M TG SaSCORP 2004-RA2 M TG 608.30 UW RECOVED PASSTHRU CTF Cl. C-B-1VAR BATE 6.997% 07125133 BIE DTD 939336620 06/0104 RO 06/31PO 06/25/13 Total Distributions - U.S. DOLLARS 0.00 608.30 Page 22 of 23 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbe C g SteatONFID Rated barrem ben. YtOt Sime 2007 PAMS Maa COMMUNICATONT SMUK( Glenns %push Paslet LLC, awlay *weed sabsidlars of ne laak of New York Menen Capoestbon SONY ~Ion) Isinhirts IK. en ,ilis,..g;".1 GM_00046604 DB-SDNY-0009428 EFTA_00157213 EFTA01289576 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) June 1, 2018 - June 30, 2018 SOUTHERN FINANCIAL LLC Ross Trade; Settlemenl Transaction Date Dale Adivity Type Desaiption 0karmy dice Accrued Interest Amount Caring Fees 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSIP. F9396H-V-6 -2.00 USD UBSFF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSIP. CA 63411.1-9 -2.00 USD HBCYF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP GS6360.13-7 -2.00 USD LONKF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP 66531.1-0 -2.00 USD NDGPF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP J47010-/-0 -2.00 USD NCTKF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP 5534354.3 -2.00 USD NAPRF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 2011 CUSP X09S7E-0-6 -2.00 USD OTGLF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 WSW. Y0004 F-10-5 -2.00 USD ZTCOF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y01373-D-2 -2.00 USD AHCHF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y0698A-13 -7 -2.00 USD BACHF 06/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y1R3611-8 -2.00 USD CCCGF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP. Y20958.1.1 -2.00 USD DNGFF 06/0 1 /18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y95314-9-9 -2.00 USD WEICF 06101/18 FOREIGN CUSTODY FEE Fgn Safekeeping MAY 201 CUSP Y9892N-13-4 -2.00 USD ZHUZF Total Fees - U.S. DOLLARS 0.00 -28.00 Page 23 of 28 Account Number CO ttogn . CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L Rated Wallin, Every Yea %Kt 2007 DAtIAR PARDCPAKINICATIONS UCUIANCE Clewing through Pealwg LC.* ittlay anal sttaldiary of The Mak N Mew Vat Mellon Corporation (ltly Melba) PrOtint tC. mentor FinIzA.%41‘. 00 - 00346605 DB-SDNY-0009429 EFTA_001572 14 EFTA01289577 Transactions by Type of Activity (continued) Process Dade Settlement Transaction Date Date Activity Type DesaWin Quantity Price Accrued Interest Amount Cumemy Taxes Withheld 06127/18 FOREIGN TAX WITHHELD AT 52500.00 SHARES ANHUI CONCH CETIBITCO LTD SHSH 2,738.03 HKD THE SOURCE ISINt CHEM 000IV 2 FOREIGN TAX WITHHELD AT THE 185.84 USD 9MilK SOURCE RD 06058 PO 06271 AS OF 0 6/0 511 Total Taxes Withheld - HONG KONG DOLLAR 0.00 -7,738.03 Total USD Equivalent 0.00 485.84 Ot her Transactions 06120/18 06119116 FREE CREDIT BALANCE APANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST 49.00 JPY -0.45 USD INTERESTCHARGE CHARGE FREE CREDIT INT CHRG 05-20.13 TO 06.1.8 FOR PY999993 CUSTOMER ACCOUNT Total Other Transactions - JAPANESE YEN 0.00 -49.00 Total USD Equivalent 0.00 -0.45 Cash Withdrawals and Deposits 06101/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 40387 75,879.37 USD US0949997 06/04/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 14500.00 USD USD999997 06104/18 FEDERAL FUNDS RE-CBVED DEUTSCHE BANK TRUST 02098 136,000.00 USD USD999997 06104/18 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 00335 17,000.00 USD USD999997 06105/18 FEDERAL FONDS SENT DEUTSCHE BANK TRUST 16,750.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 47,629.37 Tots *coved mutt TotalAmount Transactions arrentay Total Acand Merest Told Amount Currency USD Equivalent USD6nhalent HONG KONG DOLLAR 0.00 19,178,823.30 HKD 0.00 2,444,145.40 JAPANESE YEN 0.00 22,404294.00 JPY 0.00 203,879 28 POLISH ZLOTY 0.00 3,523,782.00 PIN 0.00 944,789 66 U.S. DOLLARS -1,854.34 754,385.62 USD -1,854.34 754,385 62 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Dividends GENERAL ELECTRIC CO COM Record Date Payable Dale Quantity Held Rale Dividend Option Amount of Payment 06/18/18 07125118 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Plumberli= 25.000.000 0.120000 CONFID Rated hotlient (very Yet Since 20O7 DALIAR RATED COMMUNICATIONS EXCELLENCE Cash 3,000.00 Page 24 of 28 Clewing through Politic 11C. awl*, wend MISS." of The Bask N New Yak Melba CarporatIon Melba) Panama U.C. arae-txt FaitIAAR4VELGRA_00046606 DE1-SDNY-0009430 EFTA_00157215 EFTA01289578 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Cash Not Yet Received (continued) June 1,2018 - June 30,20 *IS SOUTHERN FlNA NCIAL LLC Security Record Date Payable Date Quality Held Rate Dividend Option Amount of Payment Interest BRA INTER NC/ EXELA RN INC GTD 08129118 07115118 2,000,000.000 0.050000 Cash 100,000.00 FIRST PRIORITY SR Total Cash Not Yet Received $103,000.00 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 Fixed Income Analysis Bond Quality Bond Quality A 2,222,100.00 9% BAA 8,232,600.00 32% BA! Lower 13,924,888.50 54% Not Rated 1,297,898.50 5% Total 25,877,185.00 100% 0 % of Bard Market Value Markel Value Percent of Axed Income 20 40 60 80 100 Bond Maturity Schedule %of Bond Bond Maturity Market Vdua Mrk t Valet MI 7 to 32 months 1,007,500.00 4% lE6 to 10 years 4,879,800.00 19% M Over 10 years 19,789,885.00 77% Total 25,877,185.00 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Doors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Invedment Seeded!: DU JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Contact infuriation Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 25 of 28 Account Humber CONFIDO. 2., L Rated Excellent Extra Year Since 2007 OMARMT/al COMUJNICATIONT EXCELLENCE Clewing through PeesNng LC. *Slay evened .ae.Ml.rra The kelt ether Yak Mellen Caeponalan Sly Mallon/ Pere. etc member FlteRA.UVVEPA-00046607 DB-SDNY-0009431 EFTA_00157216 EFTA01289579 Your Account Informati n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC 0 Ell VERY 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 Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here 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 All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ aboutf strength-and-stability. • This statement will be deemed conclusive. You ere advised to report any inaccuracy or discrepancy , (induding 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 t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, w itness 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 Page26 of 28 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Account Nunber acc"O NFID gfttAL- RAS hottlent (very Year Since 2007 DALIAR RATED COMMUNICATIONS LICILLINCI Clearing Um* P.S. LI-Caul*/ evened atolls" of The MSc al New Yoh Meta Caporation OINY Mellon) Perihnx1K. mtett• FINRAAKELGM-00046608 DE1-SDNY-0009432 EFTA_00157217 EFTA01289580 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) June 1,2018 - June 30,2018 SOUTHERN FINANCIAL LLC Important Arbitration Disclosures (continued) panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration 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; Account Homo Ulf OE m-vrs CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO AL- Rated Curilem beet Yes, Since 2007 DA/BARRATIO COMMUNICATIONS OCCULOIC( Page 2- of :3 Clown& drench Penhing I.I.C. a %bay owned gabbling of The Balk el New York Mellon Ceeporatton any Melba) Pennine llCanerreer RA*. PL,.11‘JeLefIA-00346609 DB-SDNY-0009433 EFTA 00157218 EFTA01289581 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL. BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTK)N. 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 IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMMNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE 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 TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. INTEREST AM) OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS r• ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO Pf-RSHING LLC CPERSHING1 FOR ANY AMOUNT, ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW,PERSHING COM, • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED 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 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. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NEMO). 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 HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. F ANY OF TEE ABOVE TERMS AND CONCLUDES ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-1970 DILEDIATELY IN WRRING BY CERTFE0 MAIL TOONE PERSHNO PLAZA JERSEYCITY, Ni 07]99, MTN' LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Numb accenManS CONFIDO. Page28 of 28 R•ted Exuatnt Every Yet Since 2007 DALIAR RATED COMMUNICATIONS EXCELLENCE Clewing through Pealing 11C. evoke, evened sabildlary a The kek a Near Yak Meta Carponelan My Mellon) Panting U.C.nerEatt FINRA,SRKELGM-00046610 DE1-SDNY-0009434 EFTA_00157219 EFTA01289582 Deutsche Bank PO Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIALUS 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 dutt.tRo Lint ensatr •Vcallhh•NnIetmeil Madels coon. it (40.: O•vtiche Sark StANNIPI at. Yon cake 345 Pot page. JMn new Nes TON rm. C., ect May 1,2018 - May 31.2018 Account Number Portfolio at a Glance This lifted Year4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE $96,694,233.76 $97,272,547.37 JOSHUA SHOSHAN Net Cash Deposits and Withdrawals -1,051,789.89 -1,131,520.87 (212) 454-4433 Adjusted Previous Account Value 95,842,483.87 96,141,026.50 Dividends. Interest and Other !RCM e 809,820.72 1,537,741.84 Total Taxes Withheld 4,837.90 .5,184.60 Other Transactions 608.78 -707.20 Net Change in Portfolio' 5,790,692.16 4,364,555.53 ENDINGACCOUNT VALUE $102,037,432.07 $102,037,4 Accrued Interest 5369.606 97 Estimated Annual Income 53.112.802 82 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Asset Type Pau Yese-Eed Lad Period MsPeriod Percent • 3% Cash, Money Funds, and Bank Deposits 823,820.96 1,126,791.71 2,752,138.08 a 23% Fixed Income 26,083,479.22 27,272,063.55 24,025,290.81 • 70% Equities 60,899,388.97 64,239,589.65 71,251,655.07 kV- 3% M utual Funds 3,020,938.22 3,072,988.85 3,070,528.05 • 1% Exchange-Traded Products 6,444,920.00 982,800 00 937,820.00 100% Account Total (Pie Chart) $97,272,547.37 $96,694,233.76 $102,037,432.07 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 6'"6"NFIDO' Rats Eacttlient (my Year Since 2007 DAtRAR RATIO COMMUNICATIONS EXClattICE Page 1 of 27 °W INN INOLOgh Penis: 1.1.Caulay evened WbUdialy of The Bank Salm Vat Was Corporation OINY Wks) Perthnall.C. straw IlttliaAPARRGM-00046611 OB-SDNY-0009435 EFrA_00157220 EFTA01289583 Summary of Gains and Losses fhb Period Reeked Yeas-to-Dale Unrealized Short-Term Gain! Loss 477671.43 1,151,072.42 3,494,241 46 Long-Term Gain! Loss 11.480.86 2,654,506.16 5.213.866 30 Net Gain! Loss -239,452.29 3.805.578.58 8.708.107 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 10 99 and/ or 104 2 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. Exchange Rate Table Global Cash Of rring Closing Amount in twenty USO Equivalent per U93 Currency Bala Base °WHIG/ USD CHINA RENM INS' 0.1562 6.4010 EURO -64.80 -75.63 EURO 1.1672 0.8567 HONG KONG DOLLAR 60,534.58 7,717.37 BRITISH POUND 1.3304 0 7516 SAPANESE YEN 202.366.00 1,862.78 HONG KONG DOLLAR 0.1274 7 8439 Total Global Cash Balance $9.504.52 31PANEK YEN 0.0092 108.6300 POLISH ZLOTY 0.2703 3 6988 RAND 0.0789 12.6615 Exchange rates are based on interbank exchange rates as of 05/ 3V 2018. Exchange rates can vary. Money Market Fund Detail Date /Wilily Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Description Amount Mance Current Yield 168% Activity Ending: 05! 31/ 18 05101/18 Opening Balance 1,119,490.43 1,119,490.43 05/02/18 Deposit MONEY FUND PURCHASE 197.470.00 1,316,960.43 05/04/18 Withdrawal MONEY FUND REDEM PTION -193.856.00 1.123.104.43 05107118 Withdrawal MONEY FUND REDEM PTION -77.556.00 1.045.548.43 05109118 Withdrawal MONEY FUND REDEMPTION -100.000.00 945.548 43 05/14/18 Deposit MONEY FUND PURCHASE 1,084,713.49 2,030,261.92 05115118 Deposit MONEY FUND PURCHASE 1,192,980.11 3,223 242.03 05116118 Deposit MONEY FUND PURCHASE 37,695.20 3.260.937.23 Account Numbe: JIM C sto:n ONFID CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 27 L-- Rated tactile/4 Every Yew Since 2007 MAAR RAM COMMUNICATIONS uctunia Clewing through halm; LC. • aa, anti sttaldiary of The Bask a Mew Yore Mellon Corporation (IINY hielloo) PwsPirtt t LC. meter NNan.$fl4c111,1391"— 00046612 DB-SDNY-0009436 EFTA_00157221 EFTA01289584 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) May 1,2018-May31,2019 SOUTHERN FINANCIAL LW U Date Activity Type DescripIke Moot 84frice Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) 05117/18 Deposit MONEY FUND PURCHASE 40,000.00 3,300,937.23 05118/18 Deposit MONEY FUND PURCHASE 192220.00 3.403.157.23 05122118 Withdrawal MONEY FUND REDEMPTION -1,752,477.87 1,740,679.36 05123/18 Deposit MONEY FUND PURCHASE 363,287.82 2,703,967.16 05124118 Withdrawal MONEY FUND REDEMPTION 47,612.47 2,636,354.71 05129118 Deposit MONEY FUND PURCHASE 3,312.67 2,639,667.38 05131/18 Deposit INCOM E REMY EST 2,966.52 2,642,633.90 05131118 Closing Balance 82,642,633.90 Total All Money Market Funds 82,842,833.90 Income and Expense Summary torrent Period Yomia-Oils TaxSa Han Taxable Tamable NMI Taxable Dividend Income Equities 176,824.21 0.00 331,714.10 0.00 Money Market 2,966.52 0.00 17,384.58 0.00 Other Dividends 289,340.54 0.00 514,740.80 000 Interest Income Bond Interest 2,794.59 0.00 325,719.48 0.00 Other Interest 37,695.20 0.00 74,499.60 0.00 Expenses W ithholding Taxes 4,837.90 0.00 -5,184.60 0.00 Fees( Foreign Securities) 400.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses 004,383.16 80.00 $1,258,473.96 PIN Distributions Alternative Investments 0.00 99,999.66 0.00 273,683.28 Other Distributions -78.78 518.08 -77.20 29,376.28 Total Distributions 476.78 8100,517.74 477.20 $303,059.56 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number ..:„ CON F I D L Page 3 of 27 Rated Entlient Gleama through halting11C nakoly wend Every Year Since 2007 sobsidiary of The Book other Yak Mellon OMAR RATED COMMUNICATIONS Ono-saw (IINY EXCELLING( Per Ihnx 11.C.Frertan IthltA.SiVillxeM-00046613 DB-SDNY-0009437 EFFA_00157222 EFTA01289585 Portfolio Holdings U.S. DOLLARS Opening Die CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 0.00 99 999 66 Money Market DEUTSCHE GOUT CASH 'NUL 05101118 2,642,633.900 N/A osra 111 8 1,119,490.43 Total Money Market $1,119,490.43 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1,119,490.43 Adjusted Date Acquired Quantity We Cote Cost Basis UuMt Price FIXED I NCOM E (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSEGSCORP 2004•RA2 Sedulity Identifier 939336520 M TG PASSTHRU CTF CL DDIVAR RATE 6.998% 01125133 81E Olt 0610104 Factor: 0.38993081 Effective Date:05/01S Current Face Yalue: 177,20.745 12/13/13 .'"? 1,290,000.000 76.5190 365,155.01 93.0170 Original Cost Basis: $638905.71 Total Asset Backed Securities $365,155.01 $443,887.12 1,290,000.000 Total Current Face Value:477,210.745 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Sedulity Identifier: 174538AW1 NT FULLY EXCHANGED FROM 44538AX9 7.0%03/VI 8/E DID 03/23/01M oody Rating CAAISS P Rating D 10/03117 1,000,000.000 100.0570 1,000,565.67 101.2500 1,012,500.00 Original Cost Basis: S100100650 EXELA INTER LLC/ EXELA FIN INC GTI) Severity Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 1).000% 07/6/23 WE DT0 0719/ 17 CLBMoody Rating 83 S 8 P Rating B 10/24117 2.000.000.000 97.0250 1.940.506.00 102.3750 2,047,500.00 Original Cost Basis: 51940,50600 Account Activity Opening posing Acaued Income 30.0ey Current Corey Number Biding Balance eadance Income Ms Year Yield Yield 2,642,633.90 0.00 17,384.58 $2,642,633.90 $0.00 $17,384.58 $2,742,633.56 Minket Value $0.00 Uneealzed OelmMose $17,384.58 Awned Interest 443,887.12 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbeill= 1.65% 1.68% FoliceMed Muted Mani Inmate Yield 78,732.11 2,783.20 $78,732.11 52,783.20 $0.00 11,934.33 15,041.67 71,250.00 7.03% 106.99450 75.55556 200.00050 9.76% C„ONFIDO. tc: L Page 4 of 27 Rats Etotlist Clannalteash Pa* LLC nib* salmi (very Year Sins 2007 sabtialiary of Tot MS a Near Yost Man DALIAR RATIO COMMUNICATIONS Caporals SHY Man) VICILLINCI Perthnx 'river iimm.fignmeM-00046614 DI3-SDNY-0009438 EFFA_00157223 EFTA01289586 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) J38 INVTS GM BH GTD SR NT REG S 'SINS U64298664853 7250% 04103124 BlE DTD 04103/516 8 P Rating B. 10/31/17 2,000,000.000 99.0650 SERVICEMASTER CO NT 7250%03/0138 DTD 03/02/98 ET CFN DTE 09)0198 CPN PVT Sall ANNUAL ON MAR 01AND SEP011oody Rating US& P Rating B 10/18/17 500,000.000 103.9440 10/19/17 10/20117 10/31/17 350,000.000 80.000.000 10,000.000 Total Covered 1,000,000 000 Total 1,000,000.000 ASSURANT INC FXD TO FLTG SOB NT 7.000% 03/27/48 B/E DTD 03/2711 CALLABLE03/27128(i 130000Moody Riling BAA3 03/29/18 2,000,000.000 101.9970 103.9460 103.9520 103.9550 Se ORGAN CHASE 8 CO DEP SHSREPSTG TATH PFD SER1FIXED TO Fl70 RT BD 5828% 04/23156 8/E DTD 04123108M oody Rating tiaa3 S 8 P Rating BBB• 06/15/11 " 37 2,500,000.000 107.5000 *dinged Coat Dais Market Rice Security Identifier:429866AM 1.981.300.00 98.2510 Original Cost Basis: $198t300.00 Security Identifier: 81760NAB5 519.721.72 99.6250 Original Cost Basis: $520.003.00 363,811.64 99.6250 Original Cost Basis: $364 606 00 83 61.71 99.6250 Original Cost Basis:683206.00 12,768.62 99.6250 Original Cost Basis: $72.806.00 1.039.163.69 $1.039.463.69 Security Identifier: 0462'MK4 2,039,938.33 1023700 Original Cost Basis: $2.040.006.00 Security Identifier: 46625HHA1 2,687,500.00 100.6250 Original Cost Basis: $2.687.500.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) May 1,2018- M ay 31,2018 SOUTHERN FINANCIAL LLC Mar)el Van. e Unrealized Gain Loss Accrued Eslir sled Interest Annual Income Yield 1.965.020.00 .16.280.00 22.958.33 145,000.00 7.37% 198.125.00 -21,596.72 9.062.50 36,250.00 727% 348,687.50 -15,124.14 6,343.75 25,375.00 727% 79.700 00 -3.161 71 1,450 00 5,800.00 727% 69,731.50 .3,031.12 1268.75 5,015.00 727% 996,250.00 -43,213.69 18,125 00 72,500 00 $996.250.00 443213.69 $16,125.00 $72,500.00 2,055,100.00 15,461.67 24,888.89 140,000.00 6.81% 2,515,625.00 ,171,875.00 12,141.67 145,700.00 5.79% Page 5 of 27 Account Nina CONFIDO. L Rated Galls. Owing Omagh PenblinlIC a al*, owned Every Yea Since 2007 star, of The kek a New Yak Melba DA{ IARRATED COMMUNICATIONS Corporatfon (IINY Mellon) s (Amara Pt/0kt emote. Fii•RAAWq2Nm-00046615 DB-SDNY-0009439 EFTA_00 157224 EFTA01289587 Portfolio Holdings (continued) U.S. DOLLARS (continued) Clete Acquired FIXED INCOM E (continued) Corporate Bonds (continued) alORGAN CHASE& CO DEP SIM REPSTG (continued) 06/15111 2,500,000.000 107.0000 Nudity UM Cost Adjusted Cost Weis Hetet Price Total Nonovered Total 5,000,000.000 5,000,000.000 2.675.000.00 Original Cost Eras 5 362 500.00 $5,362,500.00 100 6250 $2875,000.00 SOUTHERN CALIF EDISON CO PREP SER E 6250%0117/62 WE DTD 011112 CALLABLE01/01220 1 0 0 0 0 M oody Rating SAM S& P Rating 88B- 01130112'•s,2 3,000,000.000 99.8910 GENERAL ELEC CO GTD FXD-TO.FLIGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/65 REGOTDIV03/Elloody Rating A3 S& P Rating BBB* 12/03/15 2,469,000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET AD DL TIER ISEC-5151Na US539439AG42 7.500% 04127188 WE DID 04107/NS& P Rating 88- 04/10114 .." 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5950% ON SAN WE DID WU 11/5 CALIABLE08115/20 D0.0008 oody Rating BA2 & P Rating BB+ 08106/15 3,000,000.000 100.0000 Total Corporate Bonds 23,372,000.000 TOTAL FIXED INCOM E 24,662,000.000 Security Idealist. 84240011/2 2,996,719.84 105.9500 Original Cost Basis: 52992564.97 Securdy Identifier: 3695048514 2.175.016.17 89.0000 Original Cost Basis: 52,1750117 Securdy Identifier: 539439AG4 1,948,500.00 104.6250 Original Cost Basis: 51948.500.00 Security Identifier 17296725 3,000,005.99 103.5520 Original Cost Basis: $3000.006.00 $23,484,515.69 $23,849,670.70 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbe anb NFID Market Value 2.515.625 00 5.031 250 A0 lawealad Sabana Around EatImMed Estimated lateral Aloud Income Yield -159,315.00 12,141.66 145.700 00 5 79% 431,250.00 24,283.33 291,400 00 85 031250 00 3.178 500 00 2.197.410 00 1,991,013.75 3,108,560.00 $23,581,403.75 $24,025,290.87 4331,250.00 $24,283.33 $291,400.00 181.780.16 62.500.00 187.500.00 589% 12.393.83 45,539.33 98.760 00 4 49% 42,513.75 25,373.33 142,725.00 7.16% 106,554.01 52,558.33 178,500.00 5.74% $96,888.06 $366,823.77 $1,527,635.00 $175,620.17 $369,606.97 $1,527,635.00 Rated hottlent Every Yet Since 2007 DALIAR RATIO COMMUNICATIONS ("all INCE Page 6 of 27 Cleanng through Pershing IIC nob* evened sobsidiary of The Bank ether WA Mellon Ono -saw (OM MAW PerIhnx (OM FiratA.g)kyLe&M_00046616 DB-SDNY-0009440 EFTA_00157225 EFTA01289588 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES Common Stocks Quantity Unit Com Cost Basis Market Rix ADVANCED MICRO DEVICES INC COM Dividend Oplion: Cash 50.000.00 of these shares are in your margin account 09115117 20.000.000 12115117 30,000.000 Total Covered 50,000.000 Total 50,000.000 ALIBABA GROUP HIM LTD SPONSORED ADR ISMS US01609W1127 Dividend Option: Cash 06/10/15 ALPHABET INC CAP STK CL C Dividend Oplion: Cash 04/02/18 AMAZON COM INC Dividend Option: Cash 03/29/18 04102/18 Total Covered Total 5,000.000 12.2810 12.2300 88.9500 1.000.000 1.004.6340 500.000 500.000 1,000 000 1,000 000 1.423.8620 1,367.0210 APOLLO GLOBAL N GU T LLC CL A SHS Dividend Oplion: Cash 26317.00 of these shams are in your margin account 03/29/11 " 3 263,157.000 19.0000 APPLE INC 00M Dividend Oplion: Cash 12/07/17 214,000.000 169.8140 May12016 -May 31,2018 SOUTHERN FINANCIAL LLC Market Value Unrealized GainiLoss Eslir 31 ed Estraled Ann al Ir come Yreld Security Identifier: AND CUSP. 00790317 245.612.36 13.7300 366.912.57 13.7300 612.524.93 274.600.00 411.900.00 686,500.00 28.987 64 44,987.43 73,975.07 $612.524.93 $686,500.00 $73,975.07 $0.00 Secutity Identifier: MBA CUSP:05090/12 444.749.00 198.0100 990.050.00 545,301.00 Securdy Identifier GOOG CUSP 02079K97 1.004.63149 1.084.9900 1.081.990.00 80.355.51 Security Identifier: AMZN CUSP. 023%16 711.930.80 1.629 6200 811.810.00 102.879 20 683.510.38 1.629.6200 811.810.00 131,299.62 1,395,441.18 1,629,620 00 234,178 82 $1.395,141.18 $1,629,620.00 $234,178.82 $0.00 Seemly Wenl her: APO CUSP 03162306 4,999,983.00 31.3200 8.242.077 24 3.242,094 24 513,156.15 622% Security Identifier:AAR COP:037833130 36,340,223.40 186.8700 39.990.180 00 3,649,956 60 624,880.00 1.56% Page 7 of 27 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated balls. Clewing Omer Pealing LC. a volay evened Every Yea Since 2007 entaldlary of The Beek a New Volt Wane DAUIAR PATIEDCOMMUNICANONS Corpoyaben OINY Aldan) ........‘, , s a EXCUSING( _00046617 fienhiettucreenorfrovn.itYPUNm DB-SDNY-0009441 EFTA 00157226 EFTA01289589 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired Quantity Unit Co Cost Balls Market Price Market Value Unrealized Gaintoss Estimated Annual income &healed Yield EQUITIES {continued) Common Stocks (continued) BERKSHIRE HATHAWAY INC DEL Cl. A Dividend Oplion: Cash Security Identifier: BRKA CUSIP. 08467018 02/05118 3.000 310,425.3330 931,276.00 287.200.0000 861,600.01 -69.675.99 02/16/18 3.000 307.028.6670 921.086.00 287.200.0000 861.600.01 -59.485.99 03/19/18 3.000 305.135.3330 915.406.00 287,200.0000 861.600.01 53.805.99 03123118 3.000 296.035.3330 888.106.00 287.200.0000 861.600.01 -26.505.99 03127118 3.000 301,475.3330 904,426 00 287,200.0000 861,600.01 -42125 99 05/21/18 2.000 297.053.0000 594.106 00 287200.0000 574.399.95 -19.706.05 Total Covered 17100 5,154,406.00 4,882,400.00 -272,006.00 Total 17.000 $5,154,406.00 $4,882,400.00 4272,006.00 $0.00 BIOGEN IDEC INC COM Security Identifier. BOB Dividend Oplion: Cash CUSP 09062X13 02/14112" 2,095.000 110.2720 231,019.65 293.9600 615.846 20 384,826 55 CENTENE CORP DEL COM Security Identifier. CNC Dividend Oplion: Cash CUSP. 1515811 09108114 15.550.000 63.6450 989.679.75 117.1600 1.821.838.00 832.158 25 GENERAL ELECTRIC CO COM Security Identifier. GE Dividend Oplion: Cash CUSIP. 36960413 25,000.00 of these shares are in your margin account 02/23/18 2,500.000 16.2210 40,551.71 14.0800 35,200.00 -5,351.71 1,200.00 3.40% 02/26118 2.500.000 16.2210 40.551.71 14.0800 35.200.00 -5.351.71 1,200.00 3.40% 03/05118 800.000 16.2260 12.980.63 14.0800 11.264 00 -1,716.63 384.00 3.40% 03107118 5.000.000 16.2190 81.097.41 14.0800 70.400.00 -10.697.41 2,400.00 3.40% 03/12/18 2,500.000 16.2210 40,551.71 14.0800 35.200.00 4,351.71 1,200.00 3.40% 03/16/16 11,700.000 16.2190 189.759.90 14.0800 164.736 00 -25,023.90 5,616.00 3.40% Total Covered 25,000.000 405.493.07 352.000.00 -53.493.07 12,000.00 Total 25,000.000 $405,493.07 $352,000.00 453,493.07 $12,000.00 GILEAD SCIENCES INC Scarily Identifier: GILD Dividend Oplion: Cash CUSP: 37555813 25,000.00 of these shares are ie your margin account 02/05114 5.000.000 79.2810 396.407.00 674000 337.000 00 -59.407.00 11,400.00 3.38% 03/07/14 3,100.000 79.6120 246.797.00 674000 208.940 00 -37.857.00 7,068.00 3.38% 10/24/17 4,400.000 80.0900 352,395.71 674000 296,560 00 -55,835.71 10,032.00 3.38% 05/02118 2.500.000 72.5730 181.432.49 674000 168.500 00 -12.932.49 5.700.00 3.38% 05/03/18 1,000.000 72.5870 72.586.60 674000 67.400 00 -5,186 60 2,280.00 3.38% Account Nora CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Page 8 of 27 L Wed balls. bay Year Since 2007 DAUM PATIEDCOMMLINICATIONS LX CHUNG Charing Omagh Penh's.* LLC. a as, *WOW subsidiary a Ma in a New Yee10.4ellon Carpoeabon (MY Mallon) Panairat lLC. woven F ikitA3IWOLeMI/I_OULP4bb 1 IS DB-SDNY-0009442 EFTA_001572/ 7 EFTA01289590 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES (continued) Common Stocks (continued) GILEAD SCIENCES INC (continued) 05118118 9.000.000 Total Covered 25.000 000 Total 25,000.000 NINTENDO LTD ADR Dividend Oplion: Cash 02/05/18 OUALCOMM INC Dividend Oplion: Cash 0.000.00 of I hese shares ate Irl your margin account 04118118 2.500.000 04120/18 7,500.000 Total Covered 10.000000 Total 10 000 000 Total Common Stocks Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTO TRPFD SECS SER 2 CPN- 8.125% FREOORTLY MATY-02/112040 CALL ANYTIME4:125W30 DAYS BEGIN802/5l5 Dividend Oplion: Cash 02/22/12 80.000.000 Total Preferred Stocks Options CALL 10 'SHARES TR IA SCIEMERONGLIKTS 'NM FD E906-1-1055000 OPTION ROOT: EEM (muddy Unit Cap 10,000.000 51.7910 58.1730 58.1710 Cod Bala Market Rice 72.5710 653.141.36 67.4000 1,902,760.16 $1,902,760.16 Security Identifier: 1700Y CUSP: 654445303 517,906.00 51.0400 Security Identifier:0CM CUSP. 74752503 145.432.61 436,285.83 581,718 44 5581.718.44 554,580,539.07 58.1200 58.1200 Security Identifier. ALLY PRA CUSP. 36160208 23.5350 1.882.773.60 28.1100 01117/18 2.400.000 0.4400 $1,882,773.60 Option Identifier: 990ALIIRM Undellfing Security Identifier: EEM Underlying Security Nice. $4569 Price Estimated as of: 0512911 105.608.00 0.0100 May 1,2018 - May 31,2018 SOUTHERN FINANCIAL LLC Market Value 606.600.00 1,685,000.00 51,685,000.00 510.400 00 145.300.00 435,900.00 581,200.00 $581,200.00 $63,072,101.44 2 088,800.00 $2,088,800.00 2.400.00 Account ter CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L4 Unrealized Garlic's Estimated Eel haled Annual Income Yield -46.541.36 217.760.16 4217.760.16 -7,506 00 -132.61 -385.83 518.44 4518.44 58,491,562.37 206.026.40 5206,026.10 -103.206.00 Rated I 'eviler.? Even Yew Since 2007 DALBAR RATIO COMMUNICATIONS EXCIILLINCI 20.520.00 3.38% 57.000 OD $57,000.00 4,689.56 0.91% 6,200.00 18,600.00 24,800 00 $24,800.00 426% 426% $1,236,525.71 152,329.04 729% $152,329.04 Page 9 of 2 - Own. through Penang LC.* ollet Owned **Wiwi or The eon of New VGA lAelkm Ommentam(ONY wlwN AnOinall.C.mner ,uoiAiiPAPLEIPA-0 °° 46619 DB-SDNY-0009443 EFTA_00 I 57228 EFTA01289591 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired QuatIty aN Coat Cod Beds Motet Price Market Value Untested adolloss Estimated Estimated Anna Income Yield EQUITIES (continued) Options (continued) CALL MO AIPHABET INCCAPSMC a C Option Identifier: 990141860H RP 07-2041 61130.000 Underlying Swirly Identifier: GOOG OPTION ROOT: GOOG Underlying Sectifity Price:9108419 -1).00 of these contracts area stoat position 05r22118 -10.000 22.9110 -22,943.70 27.9000 -27.900.00 4,956.30 PUT TO ALPHABET INC CAP STK CL C Option Identifier: 991:IA118031 OW 07.204 0925.000 Underlying Securely Identifier: GOOG OPTION ROOT: GOOG Underlying Security Price:3808499 -13.00 of these contracts area short position 05122118' -10.000 12.9140 -12,943.83 8.7000 4,700.00 1,243.83 Total Options 889,718.47 434,200.00 4103,918.47 $0.00 TOTAL EQUITIES 656,533,031.11 $65,126,701.44 88,593,670.30 $1,388,854.75 Untested Estimated Estimated Date Acquired Quantity Onl Cod Bab Market Pike Market Value Gainless Maud Income Yield M UTUAL FUNDS SM ORGAN FLOATING RATE INCOME FUND CUSS' Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security CUSIP.1812L51) 09128117 318909.717 94100 3900.000.00 9.3700 2,987247.62 -1275238 117,857.59 394% Reinvestments to Elate 8.887.987 9.3990 83.533 78 9.3700 83280.43 -253 35 3,285.71 314% Total Covered 327497.764 3.083.533 78 3,070,528.05 -13005 73 121,143.30 Total 327 697 764 83,083,533 78 $3 070.528 05 -513 005 73 $121 143.30 TOTAL MUTUAL FUNDS 13,083,533 78 13 070,528 05 .113 005 73 5121 143.30 Unrealized Estimated Estimated Date Acquired Quantity UnN Cost Cost Bats Market Price Market Value Gain Loss Annual Income Yield EXCHANGE -TRADE) PRODUCTS WARESINC M SCI SOUTH KOREA OF Dividend Option: Cash; Capin' Gaits DON: CM 11103/17 13,000.000 75.8480 TOTAL EXCHANGE-TRADE) PRODUCTS 985,996.98 1985,998 98 Coal Bads &eerily Identifier: EWY CUSP 464288772 72.1400 931,820.00 $937,820.00 NOS Value .48,178.98 148,178.98 Unmated War Loss TOTAL U.S. DOLLARS $87,194,866.16 $95,902,973.92 Acaued lateral 28,291.14 301% $28,291.14 Skated Annual Income 18,708,107 76 1369.806.97 $3,083,308.77 CONFIDENTIAL — PURSUANT TO FED. R CRI6,1 P. 6(e) Account Number: CONFID Page '0 of 27 Rated hottlent Clewing *nigh PaflS IIC nob* email Every Year Since 2007 sabsidiary a The Mak a Maw Vat Meta DALIAR RATIO COMMUNICATIONS Ono-saw (atly Mellon) LXCILL INCE Per Ihnx ,.w-a.FINRAAR4VELGM-00046620 OS-SDNY-00041444 EFTA_00157229 EFTA01289592 a Deutsche Bank PO Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) CHINA RENM INBI May1,2018 -May 31,2018 SOUTHERN FlNA NCIAL LLC Description Ovanlily Market Pace Market Value Datong EQUITIES Common Stocks CHINA OM M UNICATIONS CONSTRUCTION COMPANY 224,000.000 6.8825 1,541,691.20 CNY LTD SHS ISINSCNE900002F5 240,450.56 USD Security Ideetifier.S00:HK CUSIP: YE36J1M Total Common Stocks 1,541,691.20 CNY 240,450.56 USD TOTAL EQUIT IES 1,541,691.20 CNY 240,450.56 USD air Med Yield Menet Wye Currenq Acaved Adored TOTALCHINA RENMINEN EURO 1,541,691.20 CNY 0.00 240,450.56 USD 0.00 0P'S% CUM Aimed 30-Day 0esaipliee evanlily Sauce Manse Omency Income Yield CASH. MONEY FUNDS. AND BANK DEPOSITS Global Cash Balance TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Humber. 0.00 14.80 BJR -75.63 USD 0.00 44.80 WR 0.00 -75.63 USD 0.00 CONFID Page 11 of 27 Rated hottlent Ching through P.nb LC. eulogy evened (my Year Since 2007 stosidiary of TM Baket/4a Vat Mellon DALBAR RATIO COMMUNICATIONS CarporatIon (MY Mao) VICILLINCI Perthnx ertan meaAtellneteM-00046621 DE1-SDNY-0009445 EFTA_00157230 EFTA01289593 Portfolio Holdings (continued) EURO (continued) Oescriptioe EQUITIES Common Stocks UBI SOFT ENTERTAINMENT Mit FR0000064470 SA MONTREUIL ACT Security Ideetifier.UBI:FR CUSP P33961413 Total Common Stocks Bleared Civility NAM Pike Market Value Cuttimoi Yield 11,200.000 92.8200 1,037,344.00 EUR 1,210,787.92 USD 1,037,344.00 EUR 1,210,787.92 USD 1,037,344 00 SIR 1,210,787.92 USD TOTAL EQUITIES Acaued Market Woe Wrong Intact,' TOTAL EURO 1,037,279.20 SIR 0.00 1,210,712.29 USD 0.00 BRITISH POUND Description EQUITIES Common Stocks HSBC HOLDINGS PLC ORD SHS 19Ni680005405286 Security IdeetiliecHSBA:GB CUSIP:64634U69 Total Common Stocks Quantity Market Price Market Value Currency 21,800 000 7.2060 178,708 80 GBP 237,754.18 US) Estimated Eslimaled Annual Income Yield 745640 4.17% 9,920 00 178,708.80 GBP 237,754.18 USD 178,708.80 GBP 237,751.18 USD 7,458.10 9,920.00 TOTAL EQUITIES Market Value Cuttenq 178,708.80 128P 0.00 7,456.40 237,754 18 USD 0.00 9,920.00 7,456.40 9,920.00 Acaue4 Ettkoatod Interest Mimi Income TOTAL BRITISH POUND CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number It 00 0NFIDOP : SI M..1 , Page 12 of 27 Rated hotlient Clawing through Pelham 11Caulholy evened Emery Year Since 2007 sataldiary of The Bask el New Yak Mellon DAUIAR RATED COMMUNICATIONS Caepontfon(INY maw LXCILLINCI Perstira Ilk. member F INR•SigniteM_ 00046622 DB-SDNY-0009446 EFTA_00 I 57231 EFTA01289594 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) HONG KONG DOLLAR Opening among Accrued 30 Clay Description Quoddy Balance Woo Currency income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42,782.40 60,534.58 HKD 1.717.37 USD TOTAL CASH, M ON EY FUNDS, AND BANK DEPOSITS Desorption Quantity 42,782 40 Market Price 60.534 58 HKD 7717.37 USD Market Value Cilf Miley 0.00 0.00 Estimated Estimated Annual Income Yield EQUITIES Common Stocks LONKING HOLDINGS LTD SHS 110,000.000 3.9300 2.790.300.00 HKD 113.59944 4.07% ISINIKYG5636C978 Security Id enl Met 333911K CUSP. G5636CV7 NINE DRAGONS PAPER HOLDINGS LTD SHS 144,000.000 12.4800 355.726.33 USD 1,797,120.00 HKD 14,482 52 0653131)05 Secuiily 268911K CUSP. GSS313D0 ZTECORP SHSH ISNSCNED00004Y2 70,600.000 25.6000 229.109.33 USD 1,807,360.00 HKD Security Id eel ifier 763:11K CUSP. Y0004 P05 ANHUI CONCH C8,1 ENT CO LTD SHSH 52.500.000 48.1000 230.414.89 USD 2,525250.00 HKD ISHII DE100000182 Security Id eal Wier 914:11K CUSP. Y01373D2 BANK OF CHINA LTD BEUNG SHS H 512,000.000 4.1000 321,936.51 USD 2,099,200.00 HKD ISHIIDIM0000V Security Id eel ifier 3988:HK CUSIP. Y06984137 DONGFANG ELECTRIC CORPORATION LTD 150.200.000 5.9500 267.620 35 USD 893.690.00 FIND SHSH ISINSCNED0000304 Security Idenlifier 1)7211K CUSIP. Y20958191 113.933.76 USD May 1,2018 - May 31,2018 SOUTHERN FINANCIAL LLC Account Numb CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L4 Rated ticellent trey Year Same 2007 OMAR ItAITO COMMUNICATIONS LXCULINCI Page '3 of Clewing through Penang LC. a tAto&I owned sataidiary of The Bank el New York Mellon CancratIon OM Mellon) Periling 11.C. met-en rthstoAWLet.GM-00046623 DB-SDNY-0009447 EFTA_00157232 EFTA01289595 Portfolio Holdings (continued) HONGKONG DOLLAR (continued) Estimated Estimated Oescration Cleanlity Market Pam Market Value Currency Annual Income Yield EQUITIES (continued) Common Stocks (continued) WBCHAI POWERCO LTD SHSH 228,000.000 103200 2,398,560.00 HKD ISMS G493000040 305)85.16 US) Security Ideetifier 2338:HK CUSIP. 79531AD9 ZHUZHOU CRK TIM ES ELECTRICCO LTD 543 43,400.000 39.5000 1,714,300.00 HKD •Ii• ISMS 04EVOODOIX4 218,550.94 USD Security Idmanlier:3898M CUSP: Y98926114 Total Common Stocks 16,025,780.00 HKD 113,599.44 2,043,077.27 USD 14,482.52 TOTAL EQUIT IES 16,025,780.00 HIM 113,599.44 2,043,077.27 USD 14,482.52 Market Value Currency Accrued littered &Muted Maud Income TOTAL HONG KONG DOLLAR 16,086,314.58 HKD 0.00 113,599.44 2,050,794 64 USD JA PA N ESE Y EN 0.00 14,482.52 0946669 Doting Accrued 30-Day Description Quantity Bekaa Balance Currency Income Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 202,424.00 202,366.00 JPY 1.862.78 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 202,424.00 202,366.00 JPY 1,862.78 USD Desalptioe EQUITIES Common Stocks NASTESCO CORP TOKYO SHS LTD ISINIP365129001 Security Ideetifier.6268:? CUSP )17070110 Total Common Stocks 0.00 0.00 Edlmted Striated Overfly Markel Pike Market Value Currency Maud Income Yield 6,300.000 3,560.0000 22,428,000.00 JPY 206,449.74 USD 453,571.53 2.02% 4,175.38 22,426,000.00 JPY 453,571.53 206,449.74 USD 4,175.38 CONFIDENTIAL - PURSUANT TO FED. R CRIKA P. 6(e) Account Number: C3ONFIDOP Uo .s Page 14 of 27 Rated EstrIlent Clewing liner Pealing 11C. auk*, evened (very Year Since 2007 sobildlary of The kek el Near Vat Man DALIAR RATIO COMMUNICATIONS Carpontfon (MY Mellon) EXCILLINCI Perthng U.C.nte-ber iimea.fickKeteM-00046624 DI3-SDNY-0009448 EFTA_00157233 EFTA01289596 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) JAPANESE YEN (continued) Description EQUITIES (continued) TOTAL EQUITIES May 1,2018 - M ay 31,2018 SOUTHERN FINANCIAL LW Estimated Estimated dwells Merkel Pike Merest Vane Clang Maud Income Yield 22,426,000.00 JPY 206,449.74 USD Merkel Value Currency 453,571.53 4,175.38 Maven Estimated littered Maud Income TOTALJAPA NESE YEN 22,630,388.00 JPY 0.00 453,571.53 POLISH ZLOTY Oescripelon 208,312.52 USD 0.00 4,175.38 BMWS Cleandly Mrket Price Market Value Currency Add EQUITIES Common Stocks CD PROIKT SA %IS 41,348.000 152.8572 8,320,339.51 PIN PLOPTTC00011 1,708,453.05 USD Security Ideetifier OTGLF CUSP: X0957E96 Total Common Stocks 8,320,339.51 PIN 1,706,453.05 USD TOTAL EQUITIES 6,320,339.51 PIN 1,708,453.05 USD Matted Market Value Currency Interest TOTAL POLISH ZLOTY 8,320,339.51 PLN 0.00 1,708,453.05 USD 0.00 CONFIDENTIAL - PURSUANT TO FED. R CRilvl P. 6(e) Account Numb CONFIDO. Page 15 of 27 Rated Excellent Clain; lamer. I1C nib* wend beer Year Since 2007 sataldlarg al The in a New Vat Mellon DAIIIAR WM COMMUNICATIONS Carpotat$ an (Ely Man) LXCELLENCE Per Ml 11.C. rinetan FINRA.SiVVELGM-00046625 DI3-SDNY-0009449 EFTA_00157234 EFTA01289597 Portfolio Holdings (continued) RAND Desorption EQUITIES Common Stocks NASPERS LIM ITED LTD 2,000.000 3,028.0000 6,052,000.00 2AR 11.599 83 0.19% ISMS ZA500006889 477,980.91 USD 916.15 Security Identifier. NAPRP CtISIR 55343593 Total Common Stocks Estimated Blind dandy Market Price Market Value Currency Annual income Yield 6,052,000.00 TAR 11,599.83 471,980.91 USD 916.15 TOTAL EQUITIES 6,052,000.00 MR 11,599.83 477,980.91 USD 916.15 Accrued Estimated Market Value Currency Interest Amami Income TOTAL RAND 6,052,000.00 ZAR 0.00 11,599 83 477,980.91 USD 0.00 916.15 Unmated Awued Estimated Cost Basis Merkel Value Dakotan Inten Annual Income TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS $87,194,866.16 $102,037,432.07 $8,708,107.76 $369,606.92 $3,112,802.82 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 firm and Pershing makes no representation este the accuracy of this information. The Current Face value represents the outstanding principal balance of the underlying security. The Current Fece value is determined by multiplying the current factor times the original face amount of the secorify. Factors may changeover time and are obtained from sources we believe to be reliable. t2 Pershing hes received updated cost besisinformation, therefore cost baNs provided on previous client brokerage statements may differ from the new cos basis reported in this section. ° The cost basis of this security has been provided fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) Account Number Page 16 of 27 C ms-sr:1 ONFIDOP stor Rated Istyllent (very Yes, Since 2007 DALBAR RATIO COMMUNICATIONS LXCILLINCI Cleanng through Pate LLC nib* evened sabsidiary of fi e kelt anew Vat Mellon Canceallan My Mellon) Pen hng U.C.rrienter FINRAVNYLOM-00046626 DB-SDNY-0009450 EFTA_00157235 EFTA01289598 O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Holdings Summary by Currency M ay 1, 2018 - M ay 31,2018 SOUTHERN F1NA NCIAL LLC Fxchmge•Trked Currency cam Fhed Income Equities Mutual Raids Funds Total by Currency U.S. DOLLARS 2)42,633 24,025,290 65,126,701 3,070,528 937,820 95,902,973 USD CHINA RENM INEO 0 0 1,541,691 0 0 1,541,691 CNY EURO 44 0 1.037,344 0 0 1,037.279 EUR BRITISH POUND 0 0 178,708 0 0 178,708 GBP HONG KONG DOLLAR 60.534 0 18.025.780 0 0 16.086.314 HKO JAPANESE YEN 202,366 0 22,428,000 0 0 22,630.366 JPY POLISH ZLOTY 0 0 6.320.339 0 0 6.320.339 PLN RAND 0 0 6,052.000 0 0 6,052,000 DR Total USD Equivalent 2.752,138 24.025,290 71 251.655 3.070.528 937.820 102.037.432 USD % of Allocation 3% 23% 70% 3% 1% 100% Portfolio Holdings 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, w hich 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 "NI A" and are omitted from the Total. THEASOF PF3CEDATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATES, ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) 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.com/ disclosures 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. Option Disclosure 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 Page '7 of 27 Account Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L4 Rated Galls. fiery Yea. Since1007 DALIARIATEDCOMMUNICATIONS LXCGAINC( Cleanng through Pershn LLC. • alay owned setaldiary of The Usk el New Vat Mellon Caporal on (IINY meson) Pontigat LC. men*. Fikitn.%411,2PM-00046627 DB-SDNY-0009451 EFTA 00157236 EFTA01289599 Portfolio Holdings Disclosures (continued) Option Disclosure (continued) 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. Foreign Currency Transactions Pershing will 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. 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. 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 & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Schedule of Realized Gains and Losses Current Period Dale Dale Realized Otscription Disposed Aolvieed Designation Diaposilion Method Treeeklin Queenly Proceeds Cedillas GSn;Lon Short Term REPUBUC OF ARGENTIN 05108118 04/13118 Covered Ant In First Out / SELL 1,000,000.000 1,059,036.36 1,243,077.10 ,184,010.74 INOXS171303779 5250%07171 28 REG DID W09/17 Security Identifier AP7608387 Original Cost Basis:1243,0771 EURO CURRENCY 05/10118 05108118 NOeCeeetee Fad In Ant Out / saL 909,941.100 1,084,713.49 1,078,844.18 6,069.31 Security Identifier EUR999995 Total Short Term 2,143,749.85 2,321,721.28 -177,971.43 Page 18 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account ritrnbe !s CONFIDO. an. L Rated hottlent Emmy Year Since 2007 DALIAR RATIO COMMUNICATIONS EMU. INCE Clewing through Pella. I1C *lady evened sobsidiary of The kelt al New Vat Maio CaoporatIon (OM Mellon) Per, hnx 11.C. mnWon on) OB-SDNY-OOO9452 EFTA_00157237 EFTA01289600 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) May 1,2018 - May31,2018 SOUTHERN FINA NCIAL LLC Date Date Realized DesaiptIon Disposed Acquked Designation Disposition Method) Trentection Cuantily Proceeds Cod Basis Grin/Loss Long Term BASF SE SPONS ADR IS 05/21/18 04113115 Covered First In First Out / SELL 20,000.000 525,677.15 508,056.00 17,621.15 25057 Security Identifier 055262505 BANK AM ER CORP PERP 05115/18 01110111 Noncoveted" first In First Out / RED EN PTION 2.000.000.000 2,000,000.00 2.079.560.27 -79.560.27 TIVE DEP SKS FIXED TO FLOAT 8 Original Cost Basis.2,081130 56 .125% 04/30/58 BJE DTD 0413010 Security Identifier 0605050T8 WASHINGTON MUT MTGS 05124/18 12113113 Noncovered" REPYM T OF PRIN 1,290,000.000 1,951.63 1,493 37 458.26 004-RA2 MTG PASSTHRU CTFCL Original Cost Basis' 1493.37 B-1VAR RATE 6.998%07/25133 Security Identifier 939336820 Total Long Term 2,527,628.78 2,589,109.64 -61,480.86 Total Short and Long Term 4,671,378.63 4,910,830.92 -239,452.29 - Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201X in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008. and are marked as "noncovered". Securities marked as 'covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable lax year in which the securities are disposed. Note. In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 1099-0 or online displays you may have available to you W hen you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 19 of 27 r Account Numb. C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO L Rated tactile+, Owing *Nair PeriblinlICaulay owned [eery Yew Since 2007 Salary of Tits Bank a1 New Vat Mellon DALIAR &MD COMMUNICATIONS CorporationOM Alston) EXCULO4a PeeNntltC.inente, ihitAAWgilla9m-00046629 DB-SDNY-0009453 EFTA_00 157238 EFTA01289601 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 t hen 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 aster 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 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 account's 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 IRSForm 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. Flease see the money market mutual fund's prospect us or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to W=C 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 snow n are in bass currency) Securities ()edits ThisPerioe Debits TbisPeried Net ThisPedoe GeditsYear4o-Ciate DebilsYeareo-Dote Net Year-to-Date Securities Bought 0.00 -1373374.54 -137397434 0.00 -20.795.423.51 -20.795.423.51 Securities Sold 2,724,922.35 0.00 2,724,922.35 18,657,024.37 9.00 18,657,024.37 Total Securities $2,724,922.35 41,573,974.54 $1.150,947.81 $18,657,024.37 420,795,423.51 42,138,399.14 Dividends and Interest $509.621.06 $0.00 $509.621.06 $1.264.058.56 $0.00 $1,264,058.56 Distributions $2.100,517.74 $0.00 $2.100,517.74 $2.603.059.56 $0.00 $2.603.059.56 Fees $0.00 4430 00 4430.00 $0.00 4630.00 4630.00 Taxes Withheld $0.00 44,837 90 44,837.90 $0.00 45,184.60 45,184.60 Other $0.00 476 78 476 78 $0.00 477.20 477.20 Cash Withdrawals 9.00 -1,117,769.89 -1,117,769.89 0.00 .2,785363.93 -2,785,863.93 Deposits 66,000.00 0.00 66,000.00 1.654.343 06 0.00 1.654.343.06 Total Cash $66,000.00 41.117.769 89 41.051.769 89 $1.654,343.06 42.785.863.93 41.131.520 87 Totals $5,401,061.15 42,697,089.11 $2.703,972.04 $24.178,485.55 423,587,179.24 $591,306.31 Page 20 of 2- Account Number CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg AL bled excellent Even Year Since 2007 DALBAR RATED COMMUMCAT IONS DIMLING Clan...through Parties LI.C. a rho* owned tobsidiary of The lank ol New York Mellon Corporation (My Mellon) P.,,P4n4 lic.M.Ftft RA.g4111,ILGM_00046630 DB-SDNY-0009454 EFTA 00157239 EFTA01289602 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 212O3 Transactions by Type of Activity M ay 1. 2016 - M ay 31, 2018 SOUTHERN FlNANCIALLLC Process Trade, Stillwell Transaction Date Dale Adivily Type Description ()wieldy Price Acaued Interest Amount Wang Securities Bought and Sold 05103/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC DIP 05-93-1341177500 OPTION 25.000 0.00 USD 99OALUOW A ROOT= GILD GILDMA CLOSING TRANSACTION 05104/18 05102/18 PURCHASED GILEAD SCIENCES INC ACCT OPT ASSIGNED 2300 000 773000 -193,856.00 USD GILD 05104/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC DIP 05-13.1©77500 OPTION 10.000 0.00 USD 99OALUOWA ROOT= GILD GILD-WA CLOSING TRANSACTION 05/07/18 05/03/18 PURCHASED GILEAD SCIENCES INCACCT OPT ASSIGNED 1900 000 77.5000 -77.556.00 USD OLD 05110/18 05108/18 SOLD REPUBLIC OF ARGBITINA REG S 'SIN* XS1715303779 5250% 4 ,000,000.000 89.3400 16,541 10 909,941.10 EUR AP7608387 6128 REG DTD 1109117 YLD 6182 TO MAT AS OF 19.607 82 1,078,644.18 USD 05/0812013 05114/18 05/10118 SOLD EURO -909,941.100 1.1920 1,084,713.49 USD 05/21/18 YOUR OPTION ASSIGNED PUT DO GILEAD SCIENCES INC EXP05.5.5©77.500 OPTION 90.000 0.00 USD 99OALUOW A ROOT= GILD GILD CLOSING TRANSACTION 05/22/18 05/18/18 PURCHASED GILEAD SCIENCES INC ACCT OPT ASSIGNED OPTCUSIP 9.000 000 77.5000 197,866.00 USD GILD 99OALUNA 05123/18 osniris SOLD BASF SE SPONS AD R US0552625057 UNSOLICITED ORDER -20.000.000 26.3245 525,677.15 USD BASFY AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 05/23/18 05/21/18 PURCHASED BERKSHIRE HATHAWAY RIC DB CL A UNSOL AVERAGE UNIT 2.000 297.000.0000 -594.106O0 USD BRK A PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 05/23/18 05122/18 SOLD SHORT CALL DO ALPHABET INC CL C EXP 07.20.5 Q110 OPENING -10.000 23.0000 22,943.70 USD 99OAM 8GOH TRANSACTION UNSOL EXCHANGE LISTED OPTION 05/23/18 05/22/18 SOLD SHORT PUT DO ALPHABET INC CL C EXP 07.20-8 Q1325 OPENING -10.000 13.0000 12,943 83 USD 99OAM 8031 TRANSACTION UNSOL EXCHANGE LISTED OPTION 05130/18 REINVESTCASH INCOME .PIA ORGAN FLOATING RATE INCOM E FUND CLASS I 1.131.468 -10.590.54 USD PHSX 326566 2960 SH RS SHRS PURCH. AT 39.36000 RD 05125PD 05130/13 Total Securities Bought and Sold EURO 16.541.10 909.941.10 EUR TOTAL USD EQUIVALENT 19,607 82 1,078,644.18 USD U S. DOLLARS 0.00 72.303 63 USD Page 21 of 27 Accou Th IM Iumber itcsi CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO Rated tactile/ trey Year Since 2007 DM AR MILD COMMUNICATIONS LXCLUINCI Clewing through flashiest 11C. a Say semi SASS." a The Mak a New Yak Melba Ono-ream (MY Wilco) Pen. 'mg U.C.ertn—bn rineketlerieqrawe-00046631 DB-SDNY-OOO9455 EFTA OO15724O EFTA01289603 Transactions by Type of Activity (continued) Process Trade; Settlima Tranualen Date Dee Activity Type Description Deemed). Price Accrued Interest Amount Currency Dividends and Interest 05/01/18 CASH DIVIDEND RECEIVED 5000000 ?MORGAN CHASE 8 CO DEPSHS REPSTG 16TH PFD 197.500 00 USD 46625H HAI SERIFIXED TO FUG RT BD 7.90 0% 0 4/29/49 B1EDTD 04/23/08 CLB RD 04129 PD 04/3011 05/15118 BOND INTEREST RECEIVED 80000 SHRSG11 AC CAP TR I GTD TR PE SECS SER 2 CPR- 37,695 20 USD ALLY PRA 8.25% FREO ORTLY ATY-0 2/51 2040 CALL ANYTIME 025 VI/30 DAYSBEGINS 0211/6 RD 0914 PD 05/5/11 05116/18 CASH DIVIDEND RECEIVED 2000000 BANK AVER CORP PEW NON 001A ULATIVE CEPS'S 61,250 00 USD 0605050T8 FIXED TO FLOAT 8.25%04/30/58 WE DID 0430/08 as RD 05/14 PD 05/5/6 05117/18 CASH DIVIDEND RECEIVED 2$11000 SHRSAPPLE INC COM RD 05/14 PD 05117/1 156.220 00 USD AAPL 05/21118 05118/18 FOREIGN SECURITY DIVIDEND $14000.00 SHARESNINEDRAGONSPAPER HOLDINGS LTD SHS 17,752.18 HKD RECEIVED 'SINS BM G65311305 FOREIGN SECURITY DIVIDEND RECEIVED 2161.51 USD 2689.HK RD 050213PD 05151 AS OF 05102/1 05/21/18 FOREIGN SECURITY DIVIDEND 20000 SHRS SASE SE SPONS ADR !Snit US05526250 57 RD 18.342.70 USD RECEIVED 05108 PD 051211 BASFY 05125/18 BOND INTEREST RECEIVED 290000 WASHINGTON AI UT M TG SECS CORP 2004-ßA2 M TG 2,794.59 USD 939336520 PASSTHRU CTF Cl C-B-WAR RATE 6998% 07/25/33 Ell E DTD 06/0104 RD 04/30 PD 05/25/1 05/30/18 CASH DIVIDEND RECEIVED .PKIORGAN FLOATING RATE I NCOM E FUND CLASS I 10.590 54 USD PHSX 326566 2960 SH RS RD 05/25 PD 05/30/1 05/31/18 MONEY MARKET FUND DEUTSCHEGOV7 CASH 2.966.52 USD INCOME RECEIVED P£ß232045 Total Dividends and Interest HONG KONG DOLLAR 0.00 17,752.18 HKD TOTAL USTI EQUIVALENT 0.00 2261.51 USD US. DOLLARS 0.00 507,359.55 USD Distributions 05/15/18 SECURITY REDEEMED BANK AMER CORP PERP NON COM ULATIVE DEPSHS FIXED TO -2000000.000 2,000,000.00 USD 060505018 FLOAT 8.25% 04/30158 BIEDTD 04/30/08 CLB 05/25/18 RETURN OF PRINCIPAL 290000 WASHINGTON M UT M TG SECS CORP 200 4.RA2 M TG 518.08 USD RECEIVED PASSTHRU CTF CA.C.B.IVAR RATE 6.998% 07/25/338/E DTD 939336520 06/0104 RD 04130 PD 05125/13 05131/18 PARTNERSHIP DISTRIBUTION 26317 SHRS APOLLO GLOBAL M GM T LLCCL A SHS RD 05/1 PD 99,999.66 USD APO 05/311 Total Distributions - U.S. DOLLARS 0.00 2,100,517.74 Page 22 of 27 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) &aunt Numbla CID emu CONFIDE NIPS bodkin (Ivy YCO/ Since 2007 DAllIAR RA 1111 COMMUNICATIONS EXCiLLINCI Cleanng fl our esdYt<LLCoudueYaumM istaldiarg of TRe Mnk a New Yen Met« CeeefatIon (atly Mellon) Pen. ing 11.C. mere« FzedtA.gat9Y2P0 - 00046632 DB-SDNY-0009456 EFTA_00 5724 1 EFTA01289604 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) M ay 1,2018 - M ay 31,2018 SOUTHERN FINANCIAL LLC Process' Trade; Settlement Transmtion Clete Dote Aclivity Type Description :LAM 1 Price accrued Intent Amount Cerrenq Fees 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 209 CUSP. APT608-38-7 -2.00 USD APT 608387 05101/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. F9398N.D-6 •2.00 USD UBSFF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 cuaRG46341114 -2.00 USD HBCYF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. 65636C-11-7 -210 USD LONKF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP G65313-10 -0 -200 USD NDGPF 05101/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. J4 TO 70-11-0 -2.00 USD NCTKF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP S5343541-3 -200 USD NAPRF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP. X0957E-A-6 -2.00 USD OTGLF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 OAP Y000 4 F-D-5 -2.00 USD 2TCOF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP YOS73-11-2 -200 USD AHCHF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2018 CUSP. Y0698A-11-7 -2.00 USD BACHF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 CUSP. Yfi36.1-1)-8 -2.00 USD CCCGF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP. Y20958.t.7 -2.00 USD DNGFF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 2013 CUSP Y95314-D-9 -200 USD VIEICF 05/01/18 FOREIGN CUSTODY FEE Fgn Safekeeping APR 208 CUSP. Y989214.1:1-4 -2.00 USD 2HU2F 05/21/18 FEE ON FOREGN DIVIDEND 20000 SHRSBASF SE SPONSADR ISINS 115055262505T RD .400.00 USD WITHHELD AT THE SOURCE 05/08 P0051211 BASFY Total Fees - U.S. DOLLARS 0.00 430.00 Account /Until= C ecom ONFIDO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) L Raied finilent (very Yaw Sine 2007 DALBAR RATED COMMutoCATIONS EXCELLENCE Page 23 of 27 Clown& dims,. PenhirglIC. a .by ~ad subudiary of The Balk other. Yak Mellor. Corporation (MY Mellon) p,o.ng it( rnnnta, £u.Rn.Sp pfxpM_00046633 DB-SDNY-0009457 EFTA_00157242 EFTA01289605 Transactions by Type of Activity (continued) Process Trade; Settamyl Translation Date Date Activity Type Description Duentily Price Acaued Interest Amount County Taxes Withheld 05/21/18 FOREIGN TAX WITHHELD AT 20000 SHRS EA& SE "OHS ACM USO 552625057 RD 4,83790 USD THE SOURCE 05108 PD 05121E BASFY Total Taxes Withheld - U.S. DOLLARS 0.00 -4,837.90 Other Transactions 05/15118 ACTIVITY WITHIN YOUR ACCT GILEAD SCIENCES INC TRANSFER TOY ARGIN -12.500.000 0.00 USD GILD 05/15/18 ACTIVITY WITHIN YOUR ACCT GILEAD SCIENCES INC TRANSFER FROM CASH 12.500 000 0.00 USD GILD 05/21/18 05/19)18 FREE CREDI T BALANCE EURO CURRENCY FREE CREDIT BALANCE INTEREST CHARGE 44.80 EUR INTEREST CHARGE FREE CREDIT INT CHRG 04.20-E TO 05-17-13 FOR CUSTOM ER -76.26 USD EUR999995 ACCOUNT 05121/18 05119/18 FREE CREDIT BALANCE J%PANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST -58.00 JPY INTERESTCHARGE CHARGE FREE CREDIT INT CHRG 04-20-2 TO 05-2-13 FOR 4.52 USD .PY999993 CUSTOMER ACCOUNT Total Other Transactions EURO 0.00 -64.80 EUR TOTAL USD EQUIVALENT 0.00 -76.26 USD JkPANESE YEN 0.00 48.00 JPY TOTAL USD EQUIVALENT 0.00 4.52 USD US. DOLLARS 0.00 0.00 USD Cash W ithdrawals and Deposits 05/09/18 FEDERAL FUNDS SENT CITIBANK. HA. -100.000.00 USD USD999997 05114118 FEDERAL FUNDS RECBVED DEUTSCHE BANK TRUST 12245 30,000 00 USD USD999997 05115/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 437419 89 USD USD999997 05117/18 FEDERAL FUNDS SENT CEUTSCHEBANKTRUST •41.250.00 USD USD999997 05/17/18 FEDERAL FUNDS RECBVED CEUTSCHEBANKTRUST00343 36400 00 USD USD999997 05/22/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -36,000 00 USD USD999997 05/24/18 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -103.500.00 USD USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 -1.051,789.89 Account NUMbeillM C at031 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 24 of 27 Rated [smitten fray Year Since 2007 DM AR MITO COMMUNICATIONS EXallttla Clewing *each Peskin I1C naoly yew" sobsidiary a The Bank a New Yak Melon CaveratIon (MY Melee) Peening LICerter-bn %RA. Pk.q2PM-00046634 DB-SDNY-0009458 EFTA_00 157243 EFTA01289606 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) May 1,2018 - May31,2018 SOUTHERN FINA NCIAL LLC Told Accrued Mitred Total Amount TransedionsSummiry Total Aoned 'merest Told Amount Quincy US0 Equivalent USDEquivelent EURO 16 541 10 909,876.30 BJR 19,607.82 1,078,567.92 HONG KONG DOLLAR 0.00 17352.18 NKD 0.00 2,261.51 APANESE YEN 0.00 -58.00 JPY 0.00 0.52 U.S. DOLLARS 0.00 1,823,143.13 USO 0.00 1,623,143.13 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Retold Data Payable Die Quantity Held Rite 01rWend Cmtion Amount of Payment Dividends OUALCOAIN INC Total 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. 05/30118 omits 10.000.000 0.620000 Cash 6200.00 $6,200.00 Fixed IncomeAnalysis Bond Quality %dewed Bond Quality LIAM Vim Merkel Value Percent of Fixed Income A 2,197,410.00 9% BAA 10,265,150.00 43% BA/ Lower 11,118,843.75 46% Not Rated 443,887.12 2% Total 24,025,290.87 100% 0 20 40 60 80 100 Bond Maturity Schedule Bond Maturity .7 to t2 months .6 to 10 years Over 10 years Total Markel Value %ol Bond Mutat Wee 1,012,500.00 4% 4,012,520.00 17% 19,000370.87 79% 24,025,290.87 100% Percentages of bond market values are rounded to the nearest whole percentage. Bond quality ratings reflect M oody'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. CONFIDENTIAL — PURSUANT TO FED. R CRiM. P. 6(e) Account Number CONFIDO. L Rated [stollen% trey Year Since 2007 MAAR ItATIO COMMUNCATIONS EXCIattla Page25 of 27 Clewing lame. Pella. 11C•aapronwel sstaldlary of The lank al New Vat Mellon CarponefonOINY Mellon) Peening LIC.nwiter on) DB-SDNY-0009459 EFM_00157244 EFTA01289607 Client Service Information Your Invettmeot Spedakt DIJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information Coated Wornolon Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION SECTIONS 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 Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, w here 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 . All 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.corni about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 26 of 27 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. L Rats (4c &.n Event Year Since 20O7 DALBAR RATED COMMUIRCAT IONS (Jtall INC I Clewing laser Pad,S IIC •way wend steldlary a The MA a New Vat Mellon Carponalan Man) PerIhnx RCmet-beg iimi4.SBIOVELGM_000 46636 DB-SDNY-0009460 EFTA_00 157245 EFTA01289608 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) Mayt 2018-May31 2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399;-. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration 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 agreem ent 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; Account Umbel= C 'ton CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Rated Excellent Leery Year Sleet 2007 DAtIAR RATED COMMUNICATIONS LXCELLUICE Page 2 7 of 2 Glee/meth/our Pertain LC. a melee owned tabsidlacy or The Bank ad New York Mellon Caeporattan (INY Mato) hemline !AC. member ruatA.PkIlf,,E,PM_0C046637 DB-SDNY-0009461 EFTA 00157246 EFTA01289609 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Otututkr tank Ptisair //felt. lglalltm.*1 Mulcts Central< C4OW Deoliche Lir* Setwitini Inc Wu' Yon Me 34S Pot AM6VP. 1611 HON Plow Tolls,.. Clint SOUTHERN FINANCIAL LLC 6 10 0 RED HOOK QUARTER B3 April 1, 2018 - April 30 2018 Account Number: ST THOMASVI 0 0 80 2 Portfolio Glance at a Bali Period Year4o-Date Your Investment Specialist. BEGINNINGACCOUNT VALUE 896,985,510.52 897,272,547.37 JOSHUA SHOSHAN Net Dash Deposits aid Withdraw* 101,008.20 -79,750.98 Adjusted Previous Account Value 97,086,516.72 97,192,796.39 Dividends. Interest and Other Income 104,498.82 928,121.12 Total Taxes Withheld 0.00 -346.70 Other Transactions -128.42 -200.42 Net Change in Portfolio' -496,651.36 -1,426,136.63 ENDINGACCOUNT VALUE $96,694,233.76 896,694,233.8 Accrued Interest $331.915.04 Estimated Annual Income 53,316.357 96 Asset Summary G 1% 100% Cash. M oney Funds, and Bank Deposits 28% Fixed Income 67% Equities Mutual Funds 1% Exchange-Traded Products El IMI El El 3% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Preen( Asset Type CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Pier Yeatad Lad Period Ms Period 823,820.96 6,997,025.68 1,126,791.71 26,083,479.22 24,399,756.03 27,272,063.66 80,899,388.97 61,548,164 25 64,239,589.65 3,020,938.22 3,059,415.56 3,072,988.85 6,444,920.00 980,850 00 982,800.00 $97,272,547.37 896,985,510.52 896,694,233.76 Pagel of 28 Rated Cacellent Caere Year Since 2007 DAUIAR RATIO COMMUMCAT *NS (JIMA MCC Clewing lamer Feebly I1C sub* evened sabildlerg et The Mak ei New 'reek MOOR ONIXIIINSOTIONY M•11011) Perglita U.C.menter FIARAAW14391"—Ouv46638 DB-SDNY-0009462 EFTA 00157247 EFTA01289610 Summary of Gains and Losses This Period Rested Yeas4o-Date Unrealized Short-Term Gain/ Loss -30,106.27 1,329,043 85 1 277 479 21 Long-Term Gain! Loss 798,933.90 2.715.987.02 4 392 650 37 Net Gain/ Loss 768.827.63 1.045.030.87 3.115.171 16 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 10 99 and/ or 104 2 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. Exchange Rate Table Global Cash Ceirency Posing Amount in Currency USO Equivalent per USD Quincy Beata Base Cill rent,/ USO CHINA RENMIN81 0.1576 6.3449 HONG KONG DOLLAR 42,782 10 5.451 33 EURO 1.2081 0 8277 JAPANESE YEN 202.121 00 1 849 95 BRITISH POUND 1.3771 0 726 I Total Global Cash Balance 57.30t.28 HONG KONG DOLLAR 0.1274 7 8480 APANESE YEN 0.0091 109.4100 POLISH ZLOTY 0.2854 35030 RAND 0.0801 12.4802 Exchange rates are based on interbank exchange rates as of 04/ 30/ rates can vary. 2018. Exchange Money Market Fund Detail Date Activity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 164% Activity Ending: 04t 30r 18 Deseriplitin Amount Manse 03130118 Opening Balance 5,937,207.87 5,937,207.87 04/03/18 Withdrawal MONEY FUND REDEMPTION ,629,335.63 4,307,872.24 04/04/18 Withdrawal MONEY FUND REDEM PTION 4 ,688,141.87 2.619.727.37 04/05/18 Withdrawal MONEY FUND REDEM PTION 4 .052.462.50 1.567.264.87 04/09/18 Deposit MONEY FUND PURCHASE 5.108 00 1,572.372 87 04/11/18 Withdrawal M ON EY FUND REDEMPTION 406,137.71 1,166235.16 04/12/18 Deposit MONEY FUND PURCHASE 11,625.00 1,177,860.16 04/16/18 Deposit MONEY FUND PURCHASE 1,052,462.50 2,230,322.66 Page 2 of 28 AccouMtlund Th CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. Noted Galls. Every Yea Since 2007 DALIAR PATEDCOMMUNICATIONS rxcuwic( Oar% through PenhieglIC. a Say °mai sataldlary a nit crank a New Vat Mellon CorpontIon (MY Mellon) Igraine inenew onatn./IW 44°m—00046639 DB-SDNY-0009463 EFTA 0015724R EFTA01289611 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) April 1,2018 - April 30,2018 SOUTHERN ANA NCIAL LLC Date Activity Type Sweep Money Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) Desuiptiae Mount Brim 04117/18 Withdrawal MONEY FUND REDEMPTION -1,259,336.86 970,985.80 04120/18 Withdrawal MONEY FUND REDEMPTION -559,874.08 411.111.72 04124/18 Withdrawal MONEY FUND REDEMPTION -411,111.72 0.00 04124/18 Withdrawal SHARES REDEEM ED .1,796.53 -1,795.53 04124/18 Deposit ACCRUED DIVIDEND CREDIT 1,796.53 0.00 04125118 Deposit MONEY FUND PURCHASE 69,434.15 89,434.15 04128118 Deposit MONEY FUND PURCHASE 1,049,802.53 1,119238.68 04130/18 Deposit 253.75 1,119,490.43 INCOM E RBNV EST 04130118 Closing Balance $1,119,490.43 Total All Money Market Funds $1,119,490.43 Income and Expense Summary West Period Year4o-Date Table Nan Tsxt4 Twit Noe Tmfl Dividend Income Equities 5,208.00 0.00 154,889.89 0.00 Money Market 2,050.28 0.00 14,418.06 0.00 Other Dividends 10,307.63 0.00 225,400.26 0.00 Interest Income Bond Interest 86,930.91 0.00 322,924.89 0.00 Other Interest 0.00 0.00 36,804.40 0.00 Expenses W ithholding Taxes 0.00 0.00 346.70 0.00 Total Dividends, Interest, Income and Expenses $104,498.82 $0.00 $754,090.80 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 173,883.82 Other Distributions 4.42 653.78 -0.42 28,85820 Total Distributions 40.42 $853.78 40.42 8202,541.82 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Humber. CONFID AL Page 3 of 28 Rated hortlent Clewing %Mr Penblin I1C *take/ evened Every Year Since 2007 SASS." a The end a New Yak Mete DALBAR RATED COMMUMCATIONS CarpontlanaltlY WWI ()tall INCE Pt • rig U.C.erber FINItANV YaGM_ 00046640 DB-SDNY-0009464 EFrA_OO 157249 EFTA01289612 Portfolio Holdings U.S. DOLLARS Opening Date CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance 1,052,462.50 0.00 Money Market DEUTSCHE GOVT CASH INSTL 03/30/18 1,119,490.430 N/A 04/30118 5,937,207.87 1,119,490.43 0.00 14,418.06 Total Money Market $5,937,207.87 $1,119,490.43 $0.00 $14,418.06 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $6,989,670.37 $1,119,490.43 $0.00 $14,418.06 Account Activity Opening Going Acaued Income 30 Day Cement Quantity Number Biding Balance galena Income This Yes Yield Yield Date Acquited FIXED INCOME (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT MTGSECSCORP 20044242 MTG PASSTHRU CTF Ct. C VAR RATE 6.996%07125/33 81E DTD06/0104 Factor: 0.37114371 Effective Date04/02/S Current Face Value: 479$2386 12/13113'.3.° 1290,000.000 Adjusted OuatIty NMI OA Cost Bees Merkel Pike Midst Value 1.63% 1.64% thmealzed Awned EilleaMed SUSS °skirls% Interest Annuli Income Yield Security Identifier 939336520 76.5190 366,648.38 93.0380 Original Cost Basis: 5838406.71 445,803.10 Total Asset Backed Securities $366,648.38 $445,803.10 1,290,000.000 Total Current Face Value:479,162.386 Corporate Bonds CITIZENSCOMMUNICATIONSCOD Security Identifier: 174538AW1 NT FULLY EXCHANGED FROM 44538AX9 7.125%03/S/9 8/E DID03/23/07M oody Rating CAA1S41 P Rating B. 10103117 1,000,000.000 100.0620 1,000,623.01 99.5000 995900.00 Original Cost Basis: 51001006.00 EXELA INTER LLC/ EXELA FIN INC GTD Security Identifier 3052RAA9 FIRST PRIORITY SR SECO NT 144A 9.000% 0716/23 WE DID 0 7/12117 CLBM oody Rating 83 S 8 P Rating B 10/24/17 2.000.000.000 97.0250 1.940.506.00 100.1250 2.002.500.00 Original Cost Basis: 51940,506.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 79,154.72 2,700.60 979,164.72 $2,700.60 $0.00 .5,623.01 8,906.25 71,250.00 7.16% 61.994 00 58.333 33 200.00090 9.98% Page 4 of 28 Rated Itettlent Cleanng through Pagan IIC auk,/ evened (very Yew Since 2007 sabsidiary of The Mak anew. Vat Meta DALBAR RATED COMMUNICATIONS CarporatIon (MY Mellon) (XCILLINCE Panama RC. ente-to romu,tag‘GM_000 46641 DI3-SDNY-0009465 EFTA_00157250 EFTA01289613 a Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) A pril 1, 2018 - A pril 30, 2018 SOUTHERN ANA NCIAL LLC Date Acquired Quantity Unit Coal FIXED INCOM E (continued) Corporate Bonds (continued) J3,5 INVTS GM BH GTD SR NT REG S ISINt HM29866453 7250% 04103124 FOE DTD 04/03/5ISS P Baling B 10/31117 2,000,000.000 99.0650 SERViCEMASTER CO NT 7250%03/0538 BIE DTD 03/02198 ET CPN DTE 09/0798 CPN PUT Sall ANNUAL ON MAR 01AND SEPOilocdy Rating 62 Sd P Rating B 10/18/17 500,000.000 103.9520 10/19/17 10/20117 10131117 Total Covered Total 350,000.000 80,000.000 70000.000 1,000,000 000 1,000,000.000 103.9540 103.9600 103.9630 ASSURANT INC FXD TO FLTG SUB NT 7.000% 03/27/48 B/E DTD 037271E CALLABLE03/27128 (I DOODOMoody Rating EIM3 03129118 2,000,000.000 101.9990 ,P11 ORGAN CHASE 8 CO DEP MISREPSTG METH PFD SER 1FIXED TO FLTG RT BD 7.940% 04/29/49 BIC DTD 04/23/08M oody Baling BAA3 S 8 P Rating BBB- 06/1511I " 37 2,500,000.000 107.5000 Adjusted Cost Dais Market Rice Market Value Unrealized Gigolo's Accrued Interest Eslir al ed Estraled Ann al rime Yield Security Identifier: A29866485 1.981.300.00 98.5950 1.971.900.00 4.400.00 10.875.00 145.000.00 7.35% Original Cost Basis: 51981300.00 Security Identifier: 81760NAB5 519.760.77 99.7500 498,750 00 -21,010.77 5,940.97 36,250.00 7 26% Original Cost Basis: 5520.003.00 363,838.99 99.7500 349,125 00 -14,713.99 4,158.68 25,375.00 726% Original Cost Basis: 5364,006 00 83.167.97 99.7500 79.800 00 3.367 97 950.56 5,800.00 716% Original Cost Basis:583206.00 72,774.10 99.7500 69.825.00 .2,949.10 831.73 5,015.00 726% Original Cost Basis:57280600 1,039,541.83 997,500.00 -42,041.63 11,881 94 72,500 00 $1,039,541.83 5997.500.00 442,041 83 $11.881.94 572,500 00 Security Identifier:04625MM 2,039,973.33 104.1940 2,083,880.00 43,906.67 12,83333 140,000.00 6.71% Original Cost Basis: 52,040,006.00 Security Identifier 46625HHA1 2,687,500.00 100.7500 2,518,750.00 -168.750.00 0.00 197,500.00 7.84% Original Cost Basis: $2,887.500.00 Stcacill M Account Numb C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO Page 5 of 28 L Rated Calls. Glean... through Pealing LLC.aulay (Amid Every Year Since 2007 setaldiary of The Mace( New Volt Mellor. DALIARPATEDCOMMUNICATIONS Corporation (IINY Mellon) ......... ..., EXCUSING( 00046642 Penkkektc.monew onstik.kltY&FatItl DB-SDNY-0009466 EFTA 00157251 EFTA01289614 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) Se ORGAN CHASE& CO DEP SHSREPSTG (continued) 06/15111 '3° 2.500.000.000 107.0000 Total Noncovered Total 5,000,000.000 5,000,000.000 BANK AM ER CORP PERP NON COM ULATIV E DEP SHS FIXED TO FLOAT 8.45% 04/30158 WE DTD 04130/08 CALLABLE05/151SM oody Rating BA2 St P Rating BBB. 01/10/11 " V 2,000,000.000 103.9790 SOUTHERN CAUF EDISON CO PREF SER E 6 250% 0117162 B1E OTO 0Y412 CALLABLE 02/0 V22 © 130000Moody Raling BAAIS& P Rating BBB- 01/30/12 " 52 3.000.000.000 99.8880 GENERAL ELEC CO GTD FXD-TO-FLTGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 2/03/6511EG DTD 3.1Moody Rating A3 58 P Rating BBB. 12/03/15 2,469,000.000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1SECS US539139AG12 7.500% 04/27/88 BIE DTD 0410V145A P Rating BEI- 04/10rI4 . '3 t2 1,903,000.000 102.3910 CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115/88 IVE DID 0812/15 CALLABLE081S/200 310.0002 oody Rating BA2 SI P Raling BB- 08/06/15 3.000.000.000 100.0000 Adjusted Cost Bads Market Pin 2.675.000.00 100.7500 Original Cost Basis: 32175100.00 5,362,500.00 35,362,500.00 Security Identifier: 060505018 2,079,572.34 100.2000 Original Cost Basis: $2,081830.56 Security Identifier: 842400 FU2 2.996.653.73 106.0000 Original Cost Basis: $2,992,561.97 Securely Identifier 369604BM 4 2,175,016.17 90.0000 Original Cost Basis: 52,45.011.4 Security Identifier. 539439A04 1,948,500.00 107.9000 Original Cost Basis:31918,500 00 Security Identifier: 17296725 3.000.005.99 103.3750 Market Value 241835010 5,037,500.00 34037,500 00 2.004.000.00 3.180.000 00 2,222.100 00 2,053,337.00 3.101.250.00 Unrealized Oainlloss Accrued Interest Estimated Estimated Annual Income Yield -156.250.00 0.00 197.500.00 7.84% 325,000.00 0.00 395,000.00 4325,000.00 30.00 3395,000.00 -75.572.34 74,479.17 162,500.00 8.10% 183.346 27 46.354.17 187.500.00 5.89% 17,083.83 37,035.00 98,760.00 414% 104,837.00 13,083.13 142,725.00 6.95% 101:244.01 37.187.50 178.500.00 515% Account Number CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDO. 4 Rated Einellent fray Year Since 2007 MBAR MUD COMMUNICATIONS EXCMINCE Page 6 of 28 Clown. tivough Persian U.C. a.tory owned ' ,Asiatic' The lank a New York Mellon Carpotatken(ONY Mellon) PtnPiat LI.C.rnerte HtoiA.g4ra:PM_00046643 DB-SDNY-0009467 EFTA_00 15725/ EFTA01289615 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Cute Acquked Ouestky Unk Cod Adjusted Cod Bede Merkel Prim Market Value unasked Wenn Acaued funded Estimated Ed mated Annuli Income Yidd FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUP INC FM) RT SR NT PERP DEP RECPT (continued) Original Cost Basis: $3.000,006.00 Total Corporate Bonds 25,372,000.000 $25,564,192.40 $25,648,967.00 $84,774.60 5310,968.82 $1,793,735.00 TOTAL FIXED INCOME 26,662,000.000 Dote Acquked Oumtky MIN Cool $25,930,840.78 Cod Bats Merkel Price $26,094,770.10 Market Value $163,929.32 Unmated Gelarlon $313,669.42 $1,793,735.00 Bille ted Whaled Maud Income YIeld EQUITIES Common Stocks ADVANCED MICRO DEVICES INC COM Dividend Oplion: Cash &wily Identifier AMP CUSP. 007903127 April 1,2018 - April 30,2018 SOUTHERN FINANCIAL LLC 50,000.00 of these shares are in your mated account 09115117 20.000.000 12.2810 245.612 36 10.8800 217.600 00 -28,012.36 12115117 30,000.000 122300 366.912 57 10.8800 326 400.00 -40,512.57 Total Covered 50,000 000 612.524 93 544,000 00 48,524 93 Total 50,000.000 $612,524.93 3544,000.00 •$68 524 93 SO 00 ALIMM GROUP HLOG LTD SPONSORED ADR &toddy Identifier. MBA ISNt USOSO9W927 CUSP: 0 S091V 1)2 Dividend Oplion: Cash 06110115 5.000.000 88.9500 444,749.00 178 5400 892,700.00 447,951 00 ALPHABET INC CAP 5Th CL C Seedily Identifier: GOOG Dividend Oplion: Cash CUSP: 02079K1)7 04102/18 1.000.000 1,004.6340 1.004.634.49 1.017.3300 1,017,330.00 12.695.57 AMAZON COM INC Security Identifier AUDI Dividend Option: Cash CUSP:023135U 03/29118 500.000 1,423.8620 711,930.80 1,566 [truncated]