EFTA01291899

Deutsche Bank P.O.Box 1 7 76, Baltimore, MD 212O3 SOUTHERN FINANCIAL LLC ST THOMAS VI 00802 DeutHhe x.all, m.noteinen Mullett (nuptt 00u; Drench, s.,.. New it, WY 103%4 December 1, 2017 - December 31, 2017 Account Number: Portfolio at a Glance This Period Yew-to-Ciale Your Investment Specialist: BEGINNING ACCOUNT VALUE $17,248,000.00 $0.00 JOSHUA SHOSHAN Nel Securdies In/0ul al Account 0.00 17,588,000.00 Adjusted Previous Account Value 17,248,000.00 17,588,000.00 Dividends.IMeresi and Other Income 1.10 63,001.40 Net Change in Portfolio' •291.123.66 -694.123.66 ENDINGACCOUNT VALUn $16,956,877.74 $16,956,877.4 Estimated Annual Income 0252.001 40 1 Net Change in Portfolio lathe difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Prier Vess-Eed Led Period This Period 1% Cash, Money Funds, and Bank Deposits 0.00 63,000.00 33,877.74 99% Equities 0.00 17,185,000.00 16,923,000.00 100% Account Total $0.00 $17,248,000.00 $16,956,877.74 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CFO M. P. 6(e) Page 1 of l' Apion5115F ID AL-* Rated hitt Evay Yes Since 2007 DAIJAR PATO) COMMUNCATIONS EX([t(ENCC Owing through Rana ue..rM owned subsidiary SIM brat W New York Melba Ccnaatim (OW Meta) Pe he LIX. muftis FIIIRAINSUGM_00042819 DB-SDNY-0012643 EFTA_OO16O428 EFTA01291899 Summary of Gains and Losses This Period Raked Yes-It:Dale Unteanzed Short-Term Gain! Loss 0.00 0 00 -58.416 00 Long-Term Gain! Loss 7.055.488.92 7.055.488.92 0 00 Net Gain! Loss 7,055,488.92 7,055,488.92 -58,416.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 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. FDIC Insured Bank Deposits Date Atha). Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 12129! 17 Desaiption Amount Balance 12/01/I7 Opening Balance 63.000.00 83.000.00 12/11/17 Withdrawal WITHDRAWAL 43001.24 -1.24 12/11117 Deposit INTEREST POSTED 1.24 0.00 12/12(17 Deposit DEPOSIT 33.877.58 33.877.58 12/15(17 Deposit INTEREST CREDITED 0.16 33077.74 APY 0 03% 12/18/17 Citibank N A. 33,877.74 A/ 012! 18 $33877.74 1229/17 Closing Balance $33,877.74 Total FDIC Insured Bank Deposits $33,877.74 The FDIC Insured Bank Deposits are no1 securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250.0 0 0 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Perla Yeetto-DMe Tenable Non habit Trtable Non Taxable Dividend Income Equities 0.00 0.00 63.000 00 0.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) A0101111. 25 CONFIDO. L Page 2 of " Rated Excellent °wring IMO. holing LI.C, a wholly owned Every Vex Since 2007 subsidiary as bake. New York Mellon DALSAR WED COMMJNCATICOS Carponthan (MY Mellon) EXC0AENCt Penme. LIX. merrtt, F liRn.44ti YU:PM—00049820 DEt-SDNY-00 12644 EFTA_OO I 60429 EFTA01291900 Deutsche Bank P.O.Box 17 7 6, Baltimore, MD 21203 ncome and Exoense Summa'y (continued) December 1, 2017 - December 31,2017 SOUTHERN FINA NCIA L LLC Oment Period Yealo-Dde Tootle 1.40 Non Tenable Talkie Non Tea* Interest Income FDIC Insured Bank Deposits 0.00 1.40 0.00 Total Dividends, Interest, Income and Expenses $1.40 $0.00 $63,001.40 $0.00 Portfolio Holdings Account AcOrIty Opening °peeing Ode Pantile IlemSr Ending Bina Doing Bina Acaved Income llama This Year 30Sey Mid Onrent Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED OEPOSTSPROGRMI 12701/17 33.877.740 NIA 12729/17 83.000 00 33.877.74 0 41 140 51.40 51.40 NM NIA Estimated Estimated Annual income Yield Total FDIC Insured Bank Deposits $63,000.00 $33,877.74 50.41 $0.41 Unrealized Gar loss TOTAL CASH, M ONEY FUNDS, AND BANK DEPOSITS $63,000.00 DateAcquired Ottailly Udt Cod Cost Bads Market Price $33,877.74 Market VS. EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA Security 'daddies4API Dividend Option: Cash CUSP:03183390 12107/17 100,000.000 169.8140 16,981,416.00 169.2300 16,923,000.00 .68,416.00 252.000.00 1.48% Total Common Stocks $16,961,416.00 $16,923,000.00 458,416.00 $252,000.00 TOTAL EQUITIES $16,981,416.00 $16,923,000.00 458,416.00 $252,000.00 Unedited Moved Estimated Coll Beds Markel Wee Odenon interest Annutocome TOTAL PORTFOLIO HOLDINGS $17,015,293.74 $16,956,877.14 458,418.00 $0.00 5252,001.40 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of t• AO 10 0 2 C95CSF3O0 0 25 NFIDO. AL- Rated Cacellent Every 'few Shwa 2007 DAUM RAl ID CONVOCATIONS EXCLUDa Owing tlwonsh ',entity PIC a walla craned subsidiary a 11w Bonita New York Mete CerPontim (MY Mellon) Pente. LIX. 'newt*, Filactrea 00049821 DB-SDNY-0012645 EFTA_00160430 EFTA01291901 or t fOlt0 Holdings (continued) 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 V99-8 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 covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATBA 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.comf 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 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 196, 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. Page 4 of 11 AO 1011..025 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- Rated (Kart Every Vex Sect 2007 DAUM, RAT ED COMNARCATIONS EXCIAL CNC t Owing tlwachpentingaCetthallymned subsidiary a me brat a New York Mellon CA•Pontim (MY Mellon) Penne. MC. intrita Aliaktrea 00042822 DB-SDNY-OO12646 EFTA_00160431 EFTA01291902 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) December 1, 2017 - December 31, 2017 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. Schedule of Realized Gains and L sses Current Period Date Date Realized Desorption Disposed Acquired Designation Disposition Method/ Traotadion Quantity Proceeds Cod Bads Delwin; Long Term APPLE INCCOM 12107/17 09105114 Covered First In First Out / SELL 38,180 000 8,472,385.22 3,777,912.53 2,694.472 69 Security Identifier:037833130 12107117 09105/14 Covered First In First Out 1 SBA 7,200 000 1,220,565.05 712,440.29 508.124 76 12107/17 09105/14 Covered First In First Out / SELL 18,620 000 3,158,516.83 1,842,449.74 1,314,067.09 12107117 01111/18 Covered First In First Out I Sat 38,000 000 8,102,825.24 3,584,000.86 2,538,824.38 Total 100,000.000 18,952,292.34 9,898,803.42 7,055,488.92 Total Long Term 16,952,292.34 9,896,803.12 7,055,468.92 Total Short and Long Term 16,952,292.34 9,896,803.42 7,055,488.92 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, es 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 covered. 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. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of 11 AO 10029 00 25 CONFIDO. AL4- Rated (Kant Every Yaw Since 2007 DAWN MI ED COMMUNCATIM EXCULENCC Owing tlwonsh Patti PIC • Slay craned subsidiary SIMUnita New York Melba Colnatkie (MY Meta) Penhas 4C. wow**, FitiRAAWYMPA_00049823 DB-SDNY-0012647 EFTA_00160432 EFTA01291903 Schedule of Realized Gains and Losses Current Period (continued) 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. 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-B. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at https:/ / www.dws-investments.comi EN/ products/ moneymarket-funds-yieldslsp Please note that all money market funds listed on the website may not be offered through us. Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC. Your 1099 will be delivered as early as possible, beginning January 31,2018. By February 15, you will be mailed either your 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 you hold by the as of date of the February 151099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 w ill be mailed no later then M arch 15, 2018. For more information please visit mytaxhandbook.com. Customer Collateral Account Under Securities Account Control Agreement M UN ICIPA L SECURITIESRULEM AKING BOA RDS(M SRB®) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, FIN RA, and NYSE Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5,2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a T+2 settlement cycle provides faster access to sale proceeds, but it also means that funds are due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up e-delivery. DISCLOSURE By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, I! we authorize the named Financial Institution and Pershing LLC ("Pershing") and their affiliates to share my nonpublic personal information' held at Financial Institution and Pershing with the named trusted contact person(s) (the "Trusted Contact Person(s)s) identified as such. Additionally, IF we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of Financial Institution and Pershing. This authorization includes, but is not limited to. sharing or disclosing any information regarding securities, insurance, bank related. financial planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information l/ we may have provided to Financial Institution and Pershing. If we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my whereabouts or health status (i.e., if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone Page 6 of 11 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AO 100295CSF30025 CONFIDO. AL- Rated (Kant Every Vow Since 2007 DAIJAR MUD CONVOCATIONS MEUCCI Deering Once. holing PIC • Sway owned sobeielNy el IN Boatel New VGA Melon Ceeponthal (MY Mellon) Penh...* MC. 'newt*, FilinAttAtilioPM_00049824 DB-SDNY-0012648 EFTA_00160433 EFTA01291904 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M es sag es (continued) December 1, 2017 - December 31,2017 SOUTHERN FINANCIAL LLD authorized to transact business on the account, or who is already otherwise able to receive the information described above. Account owners should contact their Financial Institution or financial representative with additional questions. Account owners may also contact FINRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments. CALL: 844.57-HELPS(844.574.3577) MONDAY - FRIDAY; 9 - 5 P.M . ET • "Nonpublic personal information" includes. but is not limited to: financial account information and balances. information regarding the purchase of a security or insurance product. and any other personally identifiable financial information: (i) provided by a me/ us to my/ our Financial Institution: (ii) resulting from any transaction in my/our account or any service performed on behalf of met us by the Financial Institution, or (iii) otherwise obtained from met us by the Financial Institution. Activity Summary (.1 sn,“ n are n one —rren.y) °edits Tat Period Debits TaMPerlod Net ThtsPniod Credits Yeal-to-Date Debits Yem4o-Date Net Yew-to-Date Securities Securities Bough' 0.00 16,981,416.00 .16,981,416.00 0.00 -16,981,416.00 .16.981,416.00 Securities Sold 16,952,292.34 0.00 16.952.292 34 16.952.292.34 0.00 16.952.292.34 Securities Deposits 0.00 0.00 0.00 17.588.000 00 0.00 17.588.000.00 Total Securities $16.952.292.34 416.981.416.00 429,123.66 631.540.292.34 416.981.416.00 $17,558.876.34 Dividends and Interest $1.40 $000 $1.40 $63,001.40 $0.00 $63.001.40 FDIC Insured Bank Deposits $63,000.00 433.877.74 $29,122 26 $63.000.00 496.877 74 433.877.74 Totals $17.015,293.74 417.015.293.71 $0.00 $34,666,293.74 417,078,293.74 $17.588.000.00 Transactions by Type Activity of Nomad Trade/ Settkment Nananalon Date Dale Aaiun), Type Desaiption Quantity Price Aocyved lateral Amount Currency Securities Bought and Sold 12/11/17 12/07117 SOLD APPLE INCCOM UNSOLICITED ORDER AVERAGE UNIT PRICE -100.000.000 169 5469 16,952,292 31 USD AAPL TRANSACTION YOUR BROKER ACTED AS AGENT 12/11117 12/07/17 PURCHASED APPLE INC COM UNSOL AVERAGE UNIT PRICE TRANSACTION 100.000.000 169.7941 -16.981,416.00 USD AAPL YOUR BROKER ACTED ASAGENT Total Securities Bought and Sold - U.S. DOLLARS 0.00 -29.123.66 Page 7 of " A0100 C6F3OKI 5F ID0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) L Rated Emedlont Every Yaw Saxe 2007 DALIAR MI ED C0MMUMCATIM EXC0.LENC( Owing Sae. Pen beg LI.C, a -holly owned subscharft el The cab of New York Mellon Corponthm OW Melon) Penne. LIX.rren-ter EitiRnAcklireM_00049825 DB-SDNY-00 12649 EFTA_00 16043,1 EFTA01291905 Transactions by Type of Activity (continued) Process Trade Setttuner! Transaction Date Dote Activity Type Dividends and Interest 12111/17 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED 458997998 12115117 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest - U.S. DOLLARS FDIC Insured Bank Deposits 12111117 FDIC INSURED BANK INSURED DEPOSTS PROGRAM FULL PRINCIPAL REDEEM BD 63.000 00 USD WITHDRAWAL US0999991 12112117 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 43.877 58 USD U93999997 12115117 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .0.15 USD Oesuiption Quantity INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED INSURED DEPOSITS INTEREST CREDITED Price Acaved intend Amount Diming 1.24 USD 0.16 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. P Client Service Information 0 00 140 0.00 29,122.26 0.00 0.00 USD Your inventmeet Spedalid Em Canted inotmation JOSHUA SH OSHA N IP INP.R. Telephone Number CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AO 10 0295CSF300 25 CONFIDO. AL- Page 8 of 11 Rated C.cereefit Every Yaw Since2007 DALBAR RA TED COMMUNCATIONS EXCIAL INC( Owing IMOPent/ins Ilt. a Sally owned subsidiary of The brat ar New York Melba Con, on)im (MY Mellon) Penme.U.C. nowt,. Fililltaakkaat 00049826 DB-SDNY-0012650 EFTA_00160435 EFTA01291906 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AM ORT I ZAT ION 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 D EUV ERN' You have not selected any account corn mu nications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment Specialist for more information. December 1, 2017 - December 31, 2017 SOUTHERN FINANCIAL LLC Important Information and Disc sures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders: the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. 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.comi 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 statem ent, 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; (201) 413-3330. Errors and Omissions excepted. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page of " A0100295CSF30025 CONFIDO. AL- Rated tacaNnt Every Vex Since 2007 DAWN WED cow/women EX( WOK t Owing through holing La. avdtolly owned subsidiary at The &onkelNew York Mellon Ca ponthal (MY Melba) Penne. tiC. fitiRaMwast00049827 DB-SDNY-0012651 EFTA_00160436 EFTA01291907 Import ant 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 docum ants, w itn ess 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 w ith 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; (201) 413-3330. Page '0 of " A0100295CSF30025 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- Rated hcell•nt Clearing tbraigh Penbne LLC. a wholly owned (my Vex Since 2007 subschary et me Simko. New Yoh Melba DALSAR Glor COMMJNCATICMS Carpontke (OW Mtn) EXCD.LENC( Pent µC, mema. fitiRn:ige4PIVI_00049828 DB-SDNY-00 12652 EFTA_00 II 60437 EFTA01291908 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, F ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED COWRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F 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 THE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F 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 AVAILABLE 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 CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION 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 AF.F.nrIATEID 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 SECURITIES HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT MY TIME. W ITHOUT 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 INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED CR 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 LIABILITIES 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 POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW,PERSHING COINDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (RE-GULATON NMS- RULE 607(A)(1)-(211 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 EXECUTIDN, 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 CF A PER OPTION CONTRACT CASH PAYMENT. BEST OlECIMON: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE TI.EM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ASLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY Of THE AltiVE TERNS AND CCNOITIONSARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERRINO NASSMATELY N WRIONG SY CERTIFIED PAUL TO ONE PERSNSIG MAD. JERSEY CITY. NJ MN, ATTN. LEGAL OUT Pagel' of A0100 C6F30KI 5F ID CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) L Rated taceernt Every Yew Since 2007 SALSASRATED COIN UNICATICOS EXttUDICC OeNingtThetP•••••ns M.+ wholly owned subsidiary a TIN Sank of New York Mellon CoS•ab20 (MY Melo) a an an Panting LLC. nowt.. filiRA•RIOT SiS-e l —u004,0" DB-SDNY-00 12653 EFTA_00ll 60438 EFTA01291909 I 5 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC ST THOM ASVI00802 DeutHhe Nnl POIsair Nteth MinMenilen Marko Cenci.< 000; Drenthe Wit Semeitieg Mew Yen cite Mir M arch 1,20'6 - November 30,2017 Account N umber Portfoli o at a Glance This Period Year-to-Date Your Investment Specialist: BEGINNING ACCOUNT VALUE 50.00 50.00 Net Securities IntOut al Account 17,588,000.00 17,588,000.00 Adjusted Previous Account Value 17,588,000.00 17,588,000.00 Dividends, lateral and Other Income 53,000 00 63,000.00 Net Change in Portfolio( 403.000 00 -403.000.00 DM nil 817,248,000.00 517,248,000.00 Estimated Anneal Income 5252.000 00 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation ($IPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Prior Yeat-End Lad Period Mt Period 1% Cash, Money Funds, and Bank Deposits 0.00 0.00 83,000.00 99% Equities 0.00 0.00 17,185,000.00 100% Account Total $0.00 $0.00 $17,248,000.00 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AO 0994 37CSF30 0 18 I 1. CONFIDO. . 4,1 AL4 Page lof8 Rated (Kart Every Veit since 2007 DALBAR RATED CONVOCATIONS EXCII CNC t Owing tlwonsh holing PIC a Sally craned subsidiary a The Bonita New York Mellon Onontim (MY Mellott) Pen e. MC. ,,motet FilialctiteLat 00049830 DB-SDNY-0012654 EFTA_00160439 EFTA01291910 Summary of Gains and Losses Reeked This Period YettmDale Umaind Longjerm Gain/ Loss Net Gain/ Loss This summary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 0.00 7,288,196.58 0.00 1,288,196.56 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Date Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending:11f 30/ 17 01129/17 Opening Balance 0.00 0.00 11/11117 Deposit DEPOSIT 83,000.00 83,000.00 11130/17 Closing Balance 183,000 .0 0 Total FDIC Insured Bank Deposits 883,000.00 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 8250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Description Amount Ban Income and Expense Summary 04 i rent Period Vesr4o•Dide Taxable Nonfat* Taxable Non Tremble Dividend Income Equities 83,000.00 0.00 83,000.00 0.00 Total Dividends, Interest, Income end Expenses $83,000.00 $0.00 $63,000.00 10.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 8 AO 0994 37CSF30 0 ON18 C FIDO. AL- RattaKelint (my Vex Since 2007 DAIJAR MI ED COMNARCATIONS excite/ea Owing tlwonglihnting PIC 'wholly owned subsidiary e4 TM brat W New York Mete Cennatim (OW Mellott) Penhe.U.C. went.. FtatateaGM_ 00049831 DB-SDNY-0012655 EFTA_00160440 EFTA01291911 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings M arch 1,2016 - November 30,2017 SOUTHERN FINANCIAL LLC I Amer Minty opening Cole Coatily Number Baba Owing Noce Closing Bdance Acaued Income Income ThisYeet 30-Cmy Yield Correa Yield CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio FDIC Insured Bank Deposits INSURED DEFOSITSPROGRAII 01129/17 63,000.000 WA 11130111 0.00 63,000.00 0.73 080 NIA NIA Total FDIC Insured Bank Deposits $0.00 $63,000.00 $0.73 $0.00 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $0.00 $63,000.00 $0.13 $0.00 Date Acquired Wady UM Ord Cod Beds Maker Pda Merkel Vela Malta dialler Estimated Estimated Annual Income Yield EQUITIES 9 9.0 0% of Portfolio Common Stocks APPLE INCCOM Dividend Option: Cask &eerily Ideetifier:AAPL CUSP: 0378331)0 09105111'.12 38.180.000 98.9500 3377,912.53 171 8500 6.561233.00 2,783,320.47 96213.60 1.46% 09105/14 337 7,200.000 98.9500 712,440.29 171.8500 1237,320.00 524,879.71 18,144.00 1.46% 09105/14 313 18,620.000 98.9500 1,842,449.74 171.8500 3.199.847.00 1,357,397.26 46,922.40 146% 01111/18 312 38,000.000 99.0000 3,584,000.86 tit .8500 6,186,600.00 2,822,599.14 90,720.00 146% Total Covered 100,000.000 9 896 803 42 17,185,000.00 7,288,196.58 252,000.00 Total 100,000.000 $9,896,803.42 $17,185,000.00 $7,288,196.58 $252,000.00 Total Common Stocks $9,896,803.42 417,185,000.00 57,288,196.58 $252,000.00 TOTAL EQUITIES $9,896,803.42 $17,185,000.00 $7.288,196.58 $252,000.00 Unrealized Moved Wielded Cod But Markel Vat. Gehl/Lon bared ANIS 'MOM TOTAL PORTFOLIO HOLDINGS $9,959,803.42 $17,248,000.00 57,288,198.58 $0.00 $252,000.00 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 'noncoveree. 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 13 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 covered. However, it the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 8 A0099437CSF30018 CONFIDO. AL- MS Cacellent Every Year Age 2007 DAUM RAI ID COMMUNICATIONS EXCIUD1Ct Owing Owonsh Patti PIC • eh* owned subsidiary elms &onkel New York Warn OCConthal MY Melon) Penne.* LI.C.rnterte filollaCINYIEP001- 00049832 DB-SDNY-0012656 EFTA_00160441 EFTA01291912 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 w hich a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY A PPEARSW HEN THE PRICEDATEDOESNOT 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.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 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 w ill 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. Messages Customer Collateral Account Under Securities Account ControlAgreement 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 Page 4 of 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AO 099437CSF30018 r • kjoll'a. CONFID L4 Rape (sawn Owing Sae. Periling U.C, a wttelly owned Every Vex Since 2007 subsidiary et Ilya kM el New York Mellon DALSAR WED COMMUNCATICOS Carporatine (MY Mellon) np... EXCIMENCE Penne, KC, inerrte. FiliRnAIMYYPO_00049833 DB-SDNY-00 12657 EFTA_00 I 60449 EFTA01291913 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Messages (continued) M arch 1, 2016 - November 30,2017 SOUTHERN FINANCIAL LLC credited to your brokerage account. Please seethe money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Ftirsuant to SEC Rule 10b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporal ion(S1PC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi / www.dws-investments.com/ tad! products/ money-market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. PA UNICIPALSECURITIESFCULEM AKING BOARDS(M SRB®) INVESTOR EDUCATION ANO PROTECTION An investor brochure that describes the protections available under PA SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the PA SRB website, msrborg. Pershing LLC is registered with the Securities end Exchange Commission (SEC), PA SRB, FIN RA, and NYSE A Ct iv it y Summary (All amounts shown arern base currency) Credits Ibis Period Debits ThisPeried Net IbisPeried Qedits Year-le-Date Debits Yeariciaite Net Year-to-Date Securities Scarifies Deposited 17,588,000.00 0.00 11,588,000.00 17,586,000.00 0.00 17,588,000.00 Total Securities $17,588,000.00 $0.00 $17,588,000.00 $17,588,000.00 $0.00 $17,588,000.00 Dividends and Interest $63,000.00 $0.00 $63,000.00 $83,000.00 $0.00 $83,000.00 FDIC Insured Bank Deposits $0.00 483,000.00 $63,000.00 $0.00 463,000.00 463,000.00 Totals $17,851,000.00 483,000.00 $17,588,000.00 $17,851,000.00 463,000.00 $17,588,000.00 Transactions by Typeof Activity Process Seillemeni Dale Perkily Type SecuritiesWithdrawals and Deposits 11109/17 CUSTOMERAUTHORIZED APPLE INCCOM TRANSFRM N46.023804 100.000.000 TRANSFER AAR Total Securities Withdrawals and Deposits - U.S. DOLLARS Decaiption Quantity Price Noosed lidera Amount CUR IOW CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AO 099437CSF300 ON18 C FIDO. AL- 17,588,000.00 USD 0.00 17,588,000.00 Page 5 of B Rated Cictaint Clearing throw* Pining Ilt.• Sally owned Every VW Since 2007 subothary WT,e aria New York Mellon DALBAR RA ED COMMAICATIMS espontimi (SW Maw) ENCt PershaslIC. inerrte FIIIRAVS2Cat 00049834 DB-SDNY-0012658 EFTA_00160443 EFTA01291914 Transactions by Type of Activity (continued) kocess Settlement Dote Acihray Type Dividends and Interest 11116117 CASH DIVIDEND RECEIVED AAPL Total Dividends and Interest - U.S. DOLLARS FDIC Insured Bank Deposits 11/1707 FDIC INSURED BANK DEPOSIT INSUREC DEPOSITSPROGRAM UIII900911 Total FDIC Insured Bank Deposits-U.S. DOLLARS Description Quantity Price Sculled Wane Amount Currency 1)0000 SHRSAPPLEINC COM RD riIIPO tr6/17 63,000.00 USD Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 63.000.00 -03.000.00 USD 0.00 63,000.00 0.00 17,588,000.00 USD Your Investment Spider*: EMI Contact rolomilon JOSHUA SHOSHAN NEW YORK NY:13017 Your Account 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 CRIM. P. 6(e) Page 6 of 8 A00994 37CSF30 0 ONtE4 C FIDO. AL- Rated (wart Every Vex Since 2007 DALBAR RAIEDCOMMUNCATIONS EXCIAL INC( Owing tlwonsh Penting IIC.• wholly owned subsidiary time Santa New York Melon Colnatkie Mr Melon) Pen/v.4C. rittertee filiillatikkaGM_ 00049835 DB-SDNY-0012659 EFTA_00160444 EFTA01291915 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures M arch 1,2016 - November 30,2017 SOUTHERN FINANCIAL LLC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (I) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders:the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. 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 corn/ 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; (201) 413.3330. 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 w ith respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified, or A0099.66F3K118F D CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. 6(e) L Rated (Kant Every Vey Sine 2007 DALIAR MI ED C0MMUMCATICNS EXC0ADa Page 7 of 8 Omming dart hang 1.1.C, a wholly woad subschary of The Ilardi of New York Mellon Comonthm (MY Man) U.C. MIRAAPkIYU:PM_00049836 DB-SDNY-0012660 EFTA_00160445 EFTA01291916 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (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; (201) 413-3330. Page3 of N4G•026161 AO 099.66F3N)18F ID CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) L Rated hceilent Every Vox Since2007 DAISMI WED C0MMUMCATI0NS EX( lENC awing Sae. hating LLC, a wholly...mod subsidiary*. Ille &onkel Nye/York Mellon Can:maim (Nfl Mellon) nmn , Per,he. nwmta Filien.igintl -110-‘01_ 00049837 DB-SDNY-00 12661 EFTA_00 I 60446 EFTA01291917