EFTA01291918

PO. Elm 1778. Brno, MO2I N3 Draisre Banc Prrnie Wog', mmagentm matins COME•pe MOM CtettOw W Setteri New A Olior 30 FM AMI.O. lhl *cc' Ifeoll" PM 10114 P 0/MilIPL PON 21•4091. SOUTHERN FINANCIAL LLC Valuation at a Glance Account Number Statement Period:12/01/2013 -1213112013 This Period Year-toDate Beginning Account Value Net Cash Deposits and Withdrawals Adjusted Previous Account Value $63,000.00 000 63,000.00 $0.00 63.000 00 63,000.00 6100 RED HOOK QUARTER B3 Dividends. Interec. and Other Income 0.42 0.42 ST THOMAS VI 00802 Total Taxes Withheld -0.13 -0 13 nding Account Value $63,000.29 $63,000.29 Estim ated Annual Income $0 .12 Your Client Advisor: TAZIA SMITH Asset Allocation Frio( Year-End Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposits' 0.00 63.000.00 63.00029 100.00% Your Account is 100% invested el USD Cash, Money Funds, and Bank Deposits. Account Total 163,000.00 163,000.29 100.00% 10.00 I FDI Cank Deposits in your account are FDIC insured bank deposits. nsured bank deposts are not sixorines and are rot covered by the Securities Investor Protection Corpombon (SIPC). These bank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to atovrable lim4s. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pager of? A0 et 10$493CSF10022 Go paperless Rte.] I mennext sg— ye— in A On., AN A ET ""•.•! EXCELLENCE CONFID5 Dn." RAIID CCMAMUNKATI°M5 • Set 04. 0 0•••••00 , 1 ••• ba ••.• 'MI% COOMONSIM SW/ MISS ron...1•C #••••••• • SSA PO St VC SDW_GA4_000491338 DB-SDNY-0012662 EF1'A_00160447 EFTA01291918 For Your Information Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 11130113 Opening Balance Activity Ending: 12/31113 12/13113 Deposal INTEREST CREDITED APT 0.01% 12/16113 Withdrawal WITHDRAWAL TnState Capital Bank N0 12116 $6300029 12131113 Closing Balance Total FDIC Insured Bank Deposits 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 5250,000 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. 63,000.00 63,000.00 0.42 63.000.42 4.13 63,000.29 383,000.29 383,000.28 Income and Expense Summary Current Period Tear•to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FOIC Insured Bank Deposits 042 0.00 0.42 000 Total Dividends, Interest, Income and Expenses 30.42 30.00 30.42 30.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Cash, Money Funds, and Bank Deposits FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM too.00% of Portfolio 63,000.290 63,000.00 63,000.29 Total FDIC Insured Bank Deposits $63,000.00 $63,000.29 Accrued Income 026 HA Income 30.0ay This Year Yield 0.42 NIA 30.42 Page 2 of T Account l\ umber: N46.0261131 nared AtOilaiNt A:1 0SOICSFI002: Go paper less sg-en ve..s In A Raw DALSA• RAMO COMMUNICATIONS T I l• SO Lit ERN chONForNTIA L. EXCELLING( CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) r e, wtot Maly LI.O. • SOpeer 00000 an. as: reran) „C ons• iwn A ter SatawC SDNY_GM_00049839 DB-SDNY-00 12663 EFTA_ODI 60448 EFTA01291919 PC. Bta. 1116 Bat 'TONI 2'2•13 Portfolio Holdings (continued) 0...awe Sant 'Inuit Weith Maatenmil PO aeon Conn. Comp Cetts4he laalt Sea oraribic Noillart Moo HI Prig Ism. 26th I ter Mena WI INN P 12) 15 1-2.1.11ISSI 28•4 09, Statement Period: 12/01/2013 • 12131/2013 Opening Closing Accrued Desamtion Quantity Balance Balance Income Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits Income 30.Day This Year Yield $63,000.00 $63,000.29 Market Value $0.66 $0.12 Awned Estimated Interest Annual Income Total Portfolio Holdings $63,000.29 M essa•es Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). $0.00 $0.42 For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at https://vnvw.dws-investments.comIEN/products/money-market-funds-yields.fsp. Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at St 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 investment professional for additional information. ENective January 1, 2014, service and accounkelated fees vAll be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a kst of Program Banks, please visit http://wiwr.pwrn.db.corNamencas/en/CashSweepOobons.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Page 3 of? Account Number N40426161 OSOICSF300:2 111.A • .1 Go parerless zik ) Resod Excellent Seven Yeas In A Pow OALIttal PAICO COMMUNICATIONS ewer* ttc *swam 'MIA tale •ONC Olowise aspitiNnibisip ISO. • WWI, wad ••••••••• mei.. onions Sam Cdoil••••••••••• man SOLT" ERN CO F I onviriAL tx`11wc` SDNYGM_00049840 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 12664 EFTA_(() 160449 EFTA01291920 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Activity Sum m ary (All amounts shown are in base currency: USD) Credits This Period Year-lo-Date Debits This Period Year-to-Date Dividends and Interest $0.42 $0.12 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$0.13 -$0.13 Cash Cash Withdrawals 0.00 0 00 Withdrawals 0.00 -63.000.00 Deposits 0.00 126 000.00 Deposits 0.00 0.00 Total Cash $0.00 $126,000.00 Total Cash $0.00 •$63,000.00 FDIC Insured Bank Deposits $0.13 $0.13 FDIC Insured Bank Deposits -$0.12 •$63,000.12 Total Credits $0.55 $126,000.55 Total Debits -$0.55 -$126,000.55 Transactions by Type of Activity Process/ Settlement Date Activity Type Desai ion Ouant Price Accrued Interest Amount CCY Dividends and Interest 12/13/13 FDIC INSURED BAK K DEPOSITS INTEREST RECEIVED 158997996 It, SL RED DEPOSITS INTEREST CREDITED 0.42 LSD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 0.12 Taxes W ithheld 12/13/13 NON.RESIDEAT AUEI, TAX NRA TAXWITHHELD ON INSURED DEPOSITS INTEREST -0.13 LSD 458997996 CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.13 FDIC Insured Bank Deposits 12/13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -0.12 USD DEPOSITS INTEREST REINVESTED 158997996 12/16/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.13 LSD WITHDRAWAL US0999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -0.29 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Pape 4 ol 7 Accoun i N um ber. N46.026161 mi0S193C5F30022 Go Raalall.<*liont paperless Seven Years In A Pew SO Li • ERN CZ" LLC. F I N DAENTIAL IttOCOMPALINICATIONS Oleatipte 'Ss Lill • repeat somonsaaer ow mesa novo sow axes esosass Ire mama •••••••01LC oast es to use SONY GM_00049841 DB-S6NY-00 12665 EFTA_(() 160450 EFTA01291921 PO Elm 1778. &Emmet MO2I N3 Client Service Information Orals° e Bina Pr.le maim mamitenme warms Commie Mom PettEMEMMSetEni Mw Wart Mar 345 Par% ASS.. MTh I *cc! Ms Vat PM 10114 (l0)451410i. IISM 0044095 Statement Period: 1210112013 - 12/31/2013 Your Client Advisor: TDS TAN Sr? [Tr Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default M ethod for M ultra! Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT 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 Oienl Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked ''NIA"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. 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 VEWIl.pershing.cornibusinesscontinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. THE AS OF PRICE DATE ONLY APPEARS WIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 vole than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you imbue', your financial organization otherwise. Pershing's currency conversion rate wil 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, Mound a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 5 of T Account Number N404261131 A010Sl 9ICSF3 0 0:2 Go paperiess sR:7-41:=7:A Now SO L THERN CR LW. 0.fleAnitateoCOMAAUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P 6(e) ONFIDAFNETIA DECIEEIPECI Olowist/ am.. Positive 116 nada/ sows anode, •• The Own lions Nero islawanis wage ...son< ...enema row sift SDNY_GIN 00049842 DB-SONY-0012666 EFTA_0016045 I EFTA01291922 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as cleanng 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 resuN 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 suitabdity 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 (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 wiwcpershing.comrstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement 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 Ned. • Arbitration awards are generally final and binding; a partys ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is 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 of 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 mem. Pershirig's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 6 of? Account Number 1140426161 Raked IA cellont MI 0519'3=3002: Go papertess Sty., Ve.ws unit Raw DALRA• RATEDCOMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: UTHERN F I DAENTIAL: EXCELLENCE OINelmenselOWSINIU.0.•••••tomod.M.M.r •• Va. Nag Tom morn er•Mos4s tav ers• F. it< dwanio• India DOSS Sec SDNY_GM_00049843 DEt-SONY-0012667 EF1'A_00160452 EFTA01291923 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 AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS 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 OUE 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 AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AM) 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 TM FILINGS. THE TM 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 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 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 TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR UABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR 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 SECURITES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. 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 LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • 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 BISTITuliON OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYYvV.PERSHNG.COMMUSNESS_OONTINUHY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POUCIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(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. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. 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 SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N080 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF THE ABOW TERMS ANO CCNDII IONS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PERRONG IIREDIATELY IN WRITING BY COETIREO WA TO ONE PERSHING PLAZA. JERSEY CAT', NJ 07300. AMC LEGAL DEPT Page ? of ? Account Number: NIG-026161 RadOecl A0I0E193CSF30022 DRARCti I Go paperless Snoen Vedas In A Row CIALSAII RAUL) COMMUNICATIONS 931MIERN F I D AENTIA "c""r CONFIDENTIAL — PURSUANT TO FED. R. CRAM. P. 6(e) .creternire ready c•••••••••••Mwt , a, SDNY_GM_00049844 DB-SDNY-00 12668 EFTA_00160453 EFTA01291924 rto ea, ilmilkeuircees02i203 Graisre a,......,. Maatenta Macon, Comae Cno.P CeIrINN Is* Saw On at. Nair* Dam 345 rail Mist lab Mc, If es Wit PM 10114 0 In 04410.1111.1218-409S SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Valuation at a Glance Account Number: Statement Period:10/2912013 -11/30/2013 This Period Year.to.0ate Beginning Account Value het Cash Deposits and Withdrawals Ad usted Previous Account Value $0.00 63.000 00 63,000.00 60.00 63.000 00 63,000.00 nding Account Value $63.000.00 $63.000.00 Your Client Advisor: Asset Allocation Frio( Year•End Last Period This Period %Albntioe USD Cash, Money Funds. and Bank Deposni 0.00 0 CO 63,000.00 100.00% Y Deposi our Ats ccount is 10096 invested a USD Cash, Money Funds, and Bank Account Total $0.00 10.00 163,000.00 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC rsdreo be* deposts are no: SeCunties and are rot covered by Pre Secuntes Investor Protection Corporation (SIPC), These bank (*posts are covered by the Federal Deposit Insure rce Corporation (FDIC). up to arowanie brims. Pagel of 6 A009.0 BOCSF 30015 Go paperless .Fet t In A P^." RaiSed I Atell•nt coNFID5 RICO COMMUNICATIONS A A NiTlAL Casa. waaraanaas wawa.. aaa watt a Ia... amend. maanaaeasaasa ors. ....aba • ma^ va ai sec SDNY_GA4 00049845 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012669 EFTA_00160454 EFTA01291925 For Your Information Go Papeiless. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at vnwiimyrocumentsuile.com for this easy, convenient and secure way to receive a0 of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800.776-7564. Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 Activity Ending: 11129113 10129113 Opening Balance 0 00 0.00 11122/13 Deposit DEPOSIT 63.000 00 63.000.00 11119/13 Closing Balance $63,000.00 Total FDIC Insured Bank Deposits $63,000.00 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 $250,000 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. Portfolio Holdings Description Quantity Opening Balance Closieg Balance Accrued Income 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 63,000.000 0.00 63,000.00 0.17 NIA Total FDIC Insured Bank Deposits $0.00 $63,000.00 $0.17 Total Cash, Money Funds, and Bank Deposits $0.00 $63,000.00 $0.17 Market Value Awned Interest Total Portfolio Holdings Messages $63,000.00 $0.00 Customer Colateral Account Under Securities Account Control Agreement Page 2 of 6 Account umber. N4G-0261131 Reseed f elellent e.:090880CSF30015 GO PaPerless 17.ariVibAct.t...iwinAnows SOLD-ERN CNC LLC. nil 0 N F I Dr N T1AL —"Luct CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Olosisinsevh 0•1~4010. • Mar ainied •••••••••• eV T. laana .01.• M....a ...beds laInaate Paseo I “ ors/ MINA raw I.< SONY GM_00049846 DB-S6NY-00 12670 EFTA_00160455 EFTA01291926 "0?TI M essages (continued) Dralsre Sam PonieVItalh Mamtented WeettS CO•triteCoIsti Chtfthe Sank Setionel Mrs bri Olt* 315niell Si,.,.,, leth I ter Mew eett. WI 10114 (21))45.4M.ITSSI7414I9S Statement Period: 10/29/2013 • 11/3012013 Although a money market mutual fund seeks to preserve the value of your investment at St 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 investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DINS Investments website at httpsiNnwrdws-investments.conVENfproducts/money-market-funds-yields.isp. Please note that all money market funds listed on the website may not be offered through us. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a kst of Program Banks, please visit htto/Awnitpvmdb.corNamericasienrCashSweep0ptions.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1, 2014, service and account-related fees will be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: SS0 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus S5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: SS per position, per quarter Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at vmw.myedocumentsuite.com for this easy and convenient way to access an of your account information. Eliminating paper delivery of al your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. Page 3 of Account Humber: 1146.026181 ••••1 rx<ollont A.009813SOCSF3COIS GO p a perless 12 Seven Yea.. In A Pow S0LTI-ERN CNC, LLC. onus, MILO communicArkoNn CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) N F I DrNTIA tx"- aortae aselti.S.U.C. noire/ ••••••••••Min re no wan owe yrs res.comss arm* aver. e,< simeor Fedi^ rate SSC SDW_GM_00C49847 DB-SDNY-0012671 EFTA_00160456 EFTA01291927 Activity Sum m ary (All amounts shown are in base currency: USD) Cred.ts This Period Year-to•Date Debits This Period Year-to-Date Cash Cash Withdrawals 0.00 0.00 Withdrawals -63.00000 .61000 00 Deposits 126.000.00 126,000.00 Deposits 0.00 000 Total Cash 6120,000.00 $126,000.00 Total Cash .$63,000.00 •$63,000.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits 463,000.00 -663.000.00 Total Credits $126,000.00 $126,000.00 Total Debits -$126,000.00 -$126,000.00 Transactions by Type of Activity Process/ Settlement Date Activity Type Dewipliou Quantity Price Accrued Interest Amount CCY Cash Withdrawals and Deposits 11121113 CUSTOMER ALTI- 0 RIZED TRANS FRIA NIG-023804 63,000.00 USD TRANSFER US0099997 11/21/13 CUSTOMERAUTHORIZED TRANS FRIA N40.023804 63,000.00 USD TRANSFER VS0899997 11)22/13 CUSTONERAUTKORIZED TRANS TO 4G-023804 13,000.00 USD TRANSFER OS0899991 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 63,000.00 FDIC Insured Bank Deposits 11/22/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 43.000.00 USD USD999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 43,000.00 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: MS Contact Information TA7tA SMITH Telephone Number: Pape 4 old A.00908SCCSF3Con Account Number: N46-026161 Rated Excellent SOUTHERN Go pfiri!rless = ;,-NlibtwomcnioNs L•C MINCE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) F I D 1 ' AL Oavara. Mare • army aro seas, fa a •a or. •••• mar error*. a• mass var.me arm vs row see SDNY_GM_00049848 DB-SDNY-0012672 EF1'A_00160457 EFTA01291928 Your Account Inform ation Gnaw. San' Prmaie Wea11. Ma.zgenme Wrests Gwen* Ces-Whe Sank Sett MC. Now Wart Mar 345 Par% ASS, llithitcr liesitat. PM 10114 45•4101.1113M7.44091. Statement Period: 10/29/2013 - 11/30/2013 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securitles: FIRST IN FIRST OUT Copies of Statement Sent JEFFREY EPSTEIN Al your request copies of this statem ent have been sent to the above. Electronic Delivery You have not selected any account comet imitations for electronic delivery To register and turn off paper con m unications, log in to your account or contact your Client Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained horn sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. 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 vmw.pershing.com/business_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 out in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate vrill 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, round a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. 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 Pages ol 6 Account Humber: N40-026161 A0090130OCSF3001: Go paperlesS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: THERN CO F I DAntiAL Rased I woollen. Seven Yeas In A Roy* MIAMI Rifle' COMMI-NVICATIONS 11.104CI curse *sift NeSI•4010. •••••••••••••••••••••• maws ft...eta< e..wa rye.. efts le. SDNY_GM_00049849 DB-SDNY-0012673 EFTA_00160458 EFTA01291929 Important Information and Disclosures (continued) The Role of Pershing (continued) receives as the result of securities transactions a processes • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding Es 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 suitabiity 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 (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 wiwtpershing.comIstrengffi_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 Ned. • Arbitration awards are generaty final and binding; a party's abi0y 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 unfit (tithe 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 govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page6 of6 Account Number: N40-026181 RwOod flwolOot /1009080O7SF300n Go paperless Seven vets wit now SOUTHERNCNO II F I DwriTAL OA gxcLIA E, • RAZED COMMUNICARIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 0WwW00noROIPONOWRO.0.•••••••••••••••••Wor W Rastw Row Too worn wwwW•••• =wove Paw. ac weRS rOSS ROc SDNYS4.4_00049850 DB-SDNY-OO12674 EF1'A_OO16O459 EFTA01291930