EFTA01429809

February 1, 2019 - February 28, 2019 Account Number: SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Portfolio at a Glance This Period Your Investment Specialist: MARTIN ZEMAN 11!!!!!!!!!!'llit: $0.00 BEGINNING ACCOUNT VALUE Net Cash Deposits and Withdrawals Net Securities In/Out of Account Adjusted Previous Account Value Dividends, Interest and Other Income Net Change in Portfoliol ENDING ACCOUNT VALUE Estimated Annual Income $16,717,068.21 -146,105.64 -17,042,000.00 -471,037.43 73,037.43 398,000.00 $0.00 $70.44 Year-to-Date $15,847,035.20 -146,105.64 -17,042,000.00 -1,341,070.44 73,070.44 1,268,000.00 $0.00 1 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 (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Percent 0% 0% 0% Asset Summary Asset Type Cash, Money Funds, and Bank Deposits EFTA01429809 Equities Account Total Please review your allocation periodically with your Investment Specialist. Prior Year-End 73,035.20 Last Period 73,068.21 15,774,000.00 $15,847,035.20 16,644,000.00 $16,717,068.21 This Period 0.00 0.00 $0.00 Page 1 of 8 EFTA01429810 For Your Information The European Central Bank (the "ECB") and other credit institutions introduced "negative interest rates". Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Date FDIC Insured Bank Deposits Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 02/28/19 02/01/19 02/15/19 02/15/19 02/19/19 02/28/19 Deposit Withdrawal Closing Balance Total FDIC Insured Bank Deposits Opening Balance Withdrawal WITHDRAWAL INTEREST CREDITED APY 0.55% WITHDRAWAL 73,068.21 -100.14 37.43 -73,005.50 73,068.21 72,968.07 73,005.50 0.00 $0.00 $0.00 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. Income and Expense Summary Current Period Taxable EFTA01429811 Dividend Income Equities Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses 37.43 $73,037.43 0.00 $0.00 70.44 $73,070.44 0.00 $0.00 73,000.00 Non Taxable 0.00 Taxable 73,000.00 Year-to-Date Non Taxable 0.00 Description Amount Balance Page 2 of 8 Account Number: EFTA01429812 February 1, 2019 - February 28, 2019 SOUTHERN FINANCIAL LLC Portfolio Holdings Description Quantity CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Total FDIC Insured Bank Deposits TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Opening Balance 73,068.21 $73,068.21 $73,068.21 Total Portfolio Holdings 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. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. 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 EFTA01429813 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. Page 3 of 8 Account Number: Market Value $0.00 Closing Balance 0.00 $0.00 $0.00 Accrued Income 0.00 $0.00 $0.00 Accrued Interest $0.00 Income This Year 70.44 $70.44 $70.44 Estimated Annual Income $70.44 30-Day Yield N/A EFTA01429814 Portfolio Holdings Disclosures (continued) 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 Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://www.dws-investments.com/EN/products/money- market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are in base currency) Credits This Period Securities Securities Withdrawn Total Securities Dividends and Interest Cash Withdrawals Total Cash FDIC Insured Bank Deposits Totals 0.00 $0.00 $73,037.43 0.00 $0.00 $73,105.64 $146,143.07 -17,042,000.00 -$17,042,000.00 $0.00 -146,105.64 -$146,105.64 EFTA01429815 -$37.43 -$17,188,143.07 -17,042,000.00 -$17,042,000.00 $73,037.43 -146,105.64 -$146,105.64 $73,068.21 -$17,042,000.00 0.00 $0.00 $73,070.44 0.00 $0.00 $73,105.64 $146,176.08 -17,042,000.00 -$17,042,000.00 $0.00 -146,105.64 -$146,105.64 -$70.44 -$17,188,176.08 -17,042,000.00 -$17,042,000.00 $73,070.44 -146,105.64 -$146,105.64 $73,035.20 -$17,042,000.00 Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Page 4 of 8 Account Number: EFTA01429816 February 1, 2019 - February 28, 2019 SOUTHERN FINANCIAL LLC Process/ Settlement Date Transactions by Type of Activity Trade/ Transaction Date Activity Type Securities Withdrawals and Deposits 02/15/19 CUSTOMER AUTHORIZED TRANSFER AAPL Dividends and Interest 02/14/19 CASH DIVIDEND RECEIVED AAPL 02/19/19 02/15/19 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED PER980411 Total Dividends and Interest - U.S. DOLLARS Cash Withdrawals and Deposits 02/15/19 02/19/19 CUSTOMER AUTHORIZED TRANSFER USD999997 CUSTOMER AUTHORIZED TRANSFER USD999997 FDIC Insured Bank Deposits 02/15/19 FDIC INSURED BANK WITHDRAWAL USD999997 02/19/19 02/15/19 FDIC INSURED BANK DEPOSITS INTEREST REINVESTED PER980411 02/19/19 FDIC INSURED BANK WITHDRAWAL USD999997 Total FDIC Insured Bank Deposits - U.S. DOLLARS TRANS TO N4G-023804 TRANS TO N4G-023804 Total Cash Withdrawals and Deposits - U.S. DOLLARS INSURED DEPOSITS PROGRAM EFTA01429817 INSURED DEPOSITS INTEREST REINVESTED 0 00 Description APPLE INC COM TRANS TO N4G-023804 Total Securities Withdrawals and Deposits - U.S. DOLLARS 100000 SHRS APPLE INC COM RD 02/11 PD 02/14/19 INSURED DEPOSITS INTEREST CREDITED Quantity -100,000.000 0.00 Price Accrued Interest Amount Currency -17,042,000.00 USD -17,042,000.00 73,000.00 USD 37.43 USD 0.00 73,037.43 -73,100.14 USD -73,005.50 USD -146,105.64 100.14 USD -37.43 USD INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEMED 73,005.50 USD 0.00 73,068.21 Page 5 of 8 Account Number: EFTA01429818 Process/ Settlement Date Transactions by Type of Activity (continued) Trade/ Transaction Date Activity Type Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Your Investment Specialist: ZEM MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: BOND AMORTIZATION ELECTIONS First In First Out First In First Out First In First Out Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Include market discount in income annually: ELECTRONIC DELIVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication Statements and Reports Trade Confirmations Tax Documents Notifications Prospectus Proxy/Shareholder Communications You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences. Constant Yield Method No Description Quantity Price Accrued Interest 0.00 Amount Currency -17,042,000.00 USD Contact Information EFTA01429819 Telephone Number: Page 6 of 8 Account Number: EFTA01429820 February 1, 2019 - February 28, 2019 SOUTHERN FINANCIAL LLC Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, 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 EFTA01429821 disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. Pershing is a member of the Securities Investor Protection Corporation (SIPC®). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/about/strength-and- stability. This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (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 EFTA01429822 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 Page 7 of 8 Account Number: EFTA01429823 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. Page 8 of 8 Account Number: EFTA01429824 January 1, 2019 - January 31, 2019 Account Number: SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Portfolio at a Glance This Period Your Investment Specialist: MARTIN ZEMAN Commission Amount: $0.00 BEGINNING ACCOUNT VALUE Adjusted Previous Account Value Dividends, Interest and Other Income Net Change in Portfoliol ENDING ACCOUNT VALUE Estimated Annual Income $15,847,035.20 15,847,035.20 33.01 870,000.00 $16,717,068.21 $292,033.01 Year-to-Date $15,847,035.20 15,847,035.20 33.01 870,000.00 $16,717,068.21 1 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 (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Percent 1% 99% 100% Asset Summary Asset Type Cash, Money Funds, and Bank Deposits Equities Account Total Please review your allocation periodically with your Investment Specialist. Prior Year-End 73,035.20 Last Period EFTA01429825 73,035.20 15,774,000.00 $15,847,035.20 15,774,000.00 $15,847,035.20 This Period 73,068.21 16,644,000.00 $16,717,068.21 ii,o- I EFTA01429826 Summary of Gains and Losses Realized Long-Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the "ECB") and other credit institutions introduced "negative interest rates". Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Date FDIC Insured Bank Deposits Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 01/31/19 01/01/19 01/15/19 01/16/19 01/31/19 Closing Balance Total FDIC Insured Bank Deposits Opening Balance Deposit INTEREST CREDITED APY 0.55% Deutsche Bank Trst Co A/0 01/16 $73068.21 73,035.20 33.01 73,035.20 73,068.21 73,068.21 $73,068.21 $73,068.21 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. Income and Expense Summary Current Period Taxable EFTA01429827 Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses 33.01 $33.01 0.00 $0.00 33.01 $33.01 0.00 $0.00 Non Taxable Taxable Year-to-Date Non Taxable This Period 0.00 0.00 Year-to-Date 0.00 0.00 Unrealized -337,416.00 -337,416.00 Description Amount Balance Page 2 of 7 Account Number: EFTA01429828 January 1, 2019 - January 31, 2019 SOUTHERN FINANCIAL LLC Portfolio Holdings Opening Date Quantity Account Number Activity Ending CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 01/01/19 73,068.210 Total FDIC Insured Bank Deposits TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Date Acquired Quantity EQUITIES 99.00% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cash 12/07/17 Total Common Stocks TOTAL EQUITIES Total Portfolio Holdings 100,000.000 169.8140 Unit Cost Cost Basis N/A Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield Current Yield 01/31/19 73,035.20 $73,035.20 $73,035.20 73,068.21 $73,068.21 $73,068.21 Market Price EFTA01429829 Market Value 17.62 $17.62 $17.62 Unrealized Gain/Loss 33.01 $33.01 $33.01 Estimated Annual Income Estimated Yield N/A N/A Security Identifier: AAPL CUSIP: 037833100 16,981,416.00 $16,981,416.00 $16,981,416.00 Cost Basis $17,054,484.21 166.4400 16,644,000.00 $16,644,000.00 $16,644,000.00 Market Value $16,717,068.21 -337,416.00 -$337,416.00 -$337,416.00 Unrealized Gain/Loss -$337,416.00 Accrued Interest $0.00 292,000.00 1.75% $292,000.00 $292,000.00 Estimated Annual Income $292,033.01 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. EFTA01429830 Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10996, 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 Page 3 of 7 Account Number: EFTA01429831 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to 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 EFTA01429832 account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Important Reminder for Pershing's 2018 IRS Form 1099 (B, DIV, INT, MISC and OID): As a reminder, by February 15, 2019, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than March 15, 2019. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). Page 4 of 7 EFTA01429833 January 1, 2019 - January 31, 2019 SOUTHERN FINANCIAL LLC Messages (continued) For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://www.dws-investments.com/EN/products/money- market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are in base currency) Credits This Period Dividends and Interest FDIC Insured Bank Deposits Totals Transactions by Type of Activity Process/ Settlement Date Activity Type Dividends and Interest 01/15/19 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED PER980411 Total Dividends and Interest - U.S. DOLLARS FDIC Insured Bank Deposits 01/15/19 FDIC INSURED BANK DEPOSITS INTEREST REINVESTED PER980411 Total FDIC Insured Bank Deposits - U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Page 5 of 7 Account Number: A0100637CSF30020 INSURED DEPOSITS INTEREST REINVESTED Description INSURED DEPOSITS INTEREST CREDITED EFTA01429834 Quantity Price Accrued Interest Amount Currency 33.01 USD $33.01 $0.00 $33.01 Debits This Period $0.00 -$33.01 -$33.01 Net This Period $33.01 Credits Year-to-Date $33.01 -$33.01 $0.00 $0.00 $33.01 Debits Year-to-Date $0.00 -$33.01 -$33.01 Net Year-to-Date $33.01 -$33.01 $0.00 0.00 33.01 -33.01 USD 0.00 -33.01 0.00 0.00 USD EFTA01429835 Client Service Information Your Investment Specialist: ZEM Contact Information MARTIN ZEMAN 345 PARK AVENUE NEW YORK Telephone Number: NY 10154 Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: BOND AMORTIZATION ELECTIONS First In First Out First In First Out First In First Out Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Include market discount in income annually: ELECTRONIC DELIVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication Statements and Reports Trade Confirmations Tax Documents Notifications Prospectus Proxy/Shareholder Communications You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences. Important Information and Disclosures The Role of Pershing Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. EFTA01429836 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. Page 6 of 7 Account Number: Constant Yield Method No EFTA01429837 January 1, 2019 - January 31, 2019 SOUTHERN FINANCIAL LLC Important Information and Disclosures (continued) The Role of Pershing (continued) 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: www.pershing.com/about/strength-and- stability. This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (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 EFTA01429838 a claim is filed. Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (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 7 of 7 EFTA01429839 December 1, 2018 - December 31, 2018 Account Number: SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Portfolio at a Glance This Period Your Investment Specialist: MARTIN ZEMAN Commission Amount: $0.00 BEGINNING ACCOUNT VALUE Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income Net Change in Portfoliol ENDING ACCOUNT VALUE Estimated Annual Income $17,931,001.10 0.00 17,931,001.10 34.10 -2,084,000.00 $15,847,035.20 $292,229.53 Year-to-Date $16,956,877.74 -243,072.07 16,713,805.67 282,229.53 -1,149,000.00 $15,847,035.20 1 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 (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Percent 1% 99% 100% Asset Summary Asset Type Cash, Money Funds, and Bank Deposits Equities Account Total Please review your allocation periodically with your Investment Specialist. EFTA01429840 Prior Year-End 33,877.74 Last Period 73,001.10 16,923,000.00 $16,956,877.74 17,858,000.00 $17,931,001.10 This Period 73,035.20 15,774,000.00 $15,847,035.20 il elo. EFTA01429841 Summary of Gains and Losses Realized Long-Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the "ECB") and other credit institutions introduced "negative interest rates". Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Date FDIC Insured Bank Deposits Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 12/31/18 12/01/18 12/14/18 12/17/18 12/31/18 Closing Balance Total FDIC Insured Bank Deposits Opening Balance Deposit INTEREST CREDITED APY 0.55% Citibank N.A. A/0 12/17 $73035.20 $73,035.20 $73,035.20 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. Income and Expense Summary Current Period Taxable Dividend Income Equities Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses EFTA01429842 34.10 $34.10 0.00 $0.00 229.53 $282,229.53 0.00 $0.00 0.00 Non Taxable 0.00 Taxable 282,000.00 Year-to-Date Non Taxable 0.00 73,001.10 34.10 73,001.10 73,035.20 73,035.20 This Period 0.00 0.00 Year-to-Date 0.00 0.00 Unrealized -1,207,416.00 -1,207,416.00 Description Amount Balance Page 2 of 9 Account Number: EFTA01429843 December 1, 2018 - December 31, 2018 SOUTHERN FINANCIAL LLC Portfolio Holdings Opening Date Quantity Account Number Activity Ending CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 12/01/18 73,035.200 Total FDIC Insured Bank Deposits TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Date Acquired Quantity EQUITIES 99.00% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cash 12/07/17 Total Common Stocks TOTAL EQUITIES TOTAL PORTFOLIO HOLDINGS 100,000.000 169.8140 Unit Cost Cost Basis N/A Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield Current Yield 12/31/18 73,001.10 $73,001.10 $73,001.10 73,035.20 $73,035.20 $73,035.20 Market Price EFTA01429844 Market Value 17.61 $17.61 $17.61 Unrealized Gain/Loss 229.53 $229.53 $229.53 Estimated Annual Income Estimated Yield N/A N/A Security Identifier: AAPL CUSIP: 037833100 16,981,416.00 $16,981,416.00 $16,981,416.00 Cost Basis $17,054,451.20 157.7400 15,774,000.00 $15,774,000.00 $15,774,000.00 Market Value $15,847,035.20 -1,207,416.00 -$1,207,416.00 -$1,207,416.00 Unrealized Gain/Loss -$1,207,416.00 Accrued Interest $0.00 292,000.00 1.85% $292,000.00 $292,000.00 Estimated Annual Income $292,229.53 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. EFTA01429845 Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10996, 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 Page 3 of 9 Account Number: EFTA01429846 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to 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 EFTA01429847 account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Please note the following information for Pershing's 2018 IRS Form 1099 (B, DIV, INT, MISC and DID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019. By February 15, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than March 15, 2019. Page 4 of 9 Account Number: EFTA01429848 December 1, 2018 - December 31, 2018 SOUTHERN FINANCIAL LLC Messages (continued) 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. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://www.dws-investments.com/EN/products/money- market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts shown are in base currency) Credits This Period Dividends and Interest Cash Withdrawals Total Cash FDIC Insured Bank Deposits Totals Process/ Settlement Date Transactions by Type of Activity Trade/ Transaction Date Activity Type Dividends and Interest 12/17/18 12/14/18 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED PER980411 Total Dividends and Interest - U.S. DOLLARS Description INSURED DEPOSITS INTEREST CREDITED Quantity Price Accrued Interest Amount Currency 34.10 USD $34.10 EFTA01429849 0.00 $0.00 $0.00 $34.10 Debits This Period $0.00 0.00 $0.00 -$34.10 -$34.10 Net This Period $34.10 Credits Year-to-Date $282,229.53 0.00 $0.00 -$34.10 $0.00 0.00 $0.00 $243,025.18 $525,254.71 Debits Year-to-Date $0.00 -243,072.07 -$243,072.07 -$282,182.64 -$525,254.71 Net Year-to-Date $282,229.53 -243,072.07 -$243,072.07 -$39,157.46 $0.00 0.00 34.10 Page 5 of 9 Account Number: EFTA01429850 Process/ Settlement Date Transactions by Type of Activity (continued) Trade/ Transaction Date Activity Type FDIC Insured Bank Deposits 12/17/18 12/14/18 FDIC INSURED BANK DEPOSITS INTEREST REINVESTED PER980411 Total FDIC Insured Bank Deposits - U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Your Investment Specialist: ZEM MARTIN ZEMAN 345 PARK AVENUE NEW YORK NY 10154 Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: BOND AMORTIZATION ELECTIONS First In First Out First In First Out First In First Out Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Include market discount in income annually: 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. Constant Yield Method No Description INSURED DEPOSITS INTEREST REINVESTED Quantity Price Accrued Interest Amount Currency -34.10 USD 0.00 -34.10 0.00 EFTA01429851 0.00 USD Contact Information Telephone Number: Page 6 of 9 Account Number: EFTA01429852 December 1, 2018 - December 31, 2018 SOUTHERN FINANCIAL LLC Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, 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 EFTA01429853 disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. Pershing is a member of the Securities Investor Protection Corporation (SIPC®). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/about/strength-and- stability. This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (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 EFTA01429854 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 Page 7 of 9 Account Number: EFTA01429855 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. Page 8 of 9 Account Number: EFTA01429856 Page 9 of 9 Account Number: EFTA01429857