a Deutsche Bank

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Orviwe PAM .Pflid, VOtalOOMMIP, 114 Ma-4e• Ontia C•ccp De.ticht Bw Ncv,t, M. brit Mar 1.,Pant Annw. !Nit Portfolio at a Glance Account Number., Statement Period:12/011201 - This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value $7,714,548.35 18,208,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,714,648.35 1,208,772.67 ST THOMAS VI 00802 Doti/ends. Interest and Other Income 86.504.10 256,832.16 Net Other Activity •2.00 •24.00 Net Chu e Portfolio Accrued Interest 15.133.36 Your Chant Advisor: Estim ated Annual Income $182,933.01 MAN Asset Summary Prior Year-Ead Lad Period This Period % Allocation Casn. Money Funds. and Bank Deposits 3,778,045.15 5,306,090.75 5,388,291.31 69% Fixed income 2,961,547.52 2,408,457.60 2476,977.00 31% j Equities 1,467,180.00 0.00 0.00 0% Account Total (Pie Chart) 66,208,772.67 $7,714,548.35 0,665,268.31 100% P ease renew your allocation net wth yott Clent Advisee. Pap' of 9 Went, ROI I CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) i t ; Rated tamIlordi B0099381CSF30024 Go paperless (very M.P. Sims 2007 CONFID=iA DAUM. RATED COMMUNICATIONS SDNY_GM_00047029 OB-SDNY-0009853 EFrA_00157638 EFTA01253965 Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Long-Term Gainlloss Net GaIn/Lou This summary excludes transactions where cost basis information is rot available. For Your Information 0.00 0.00 -4,417.50 0.00 -4,417.50 0.00 The European Central Bank the 'ECG' ) 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 vAN be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes. and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Curreacy Posing Mount in Currency USO Equivalent per USD Currency Balance Base Currency USD BRITISH POIAD 1 2354 0.8094 BRITISH POUND 381.96010 471 873.38 Exchange rates are based on interbank exchange rates as of 12/30/2016 Exchange rates can vary Total Global Cash Balance $411,813.38 Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130116 12101/18 Opening Balance 4,914,841.31 4,914,841.31 12/02/16 Withdrawal MONEY FUND REDEMPTION -2.00 1,914,839.31 12/30/16 Deposit IN CON E REINVEST 1,578.62 1,916,117.93 12/30116 Closing Balance 64,918,417.93 Total All Money Market Funds 84,916,117.93 Income and Expense Summary Current Period Year-to-Dale Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 000 0.00 60.562 50 0.00 Money Market 1,578.62 0.00 13,065 51 0.00 Interest Income Bond Interest 84,92548 0.00 183,204 15 0.00 Total Dividends, Interest, Income and Expenses 588,504.10 50.00 $258,832.18 50.00 Page 2 09 Account Number inmw Go paperless rc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN OsTaNy i D. ricrnA Maid tacenordi [very V... Late 2007 DALOAR RATED COMMUNICATIONS 7XCALL7NC7 .r .S.,:"7"...Z.'.1133= SDNY_GM_00047030 DB-SDNY-0009854 EFrA_00 157639 EFTA01253966 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings BRITISH POUND (*.awe Ran. Pnwair *Main Paragenait Mantis CodwateGKM, De.ncht Wcynersc Yew. *A Mo. Pant Mask /60. I %v. Statement Period:12/01/2016 • 12/3112016 Opening Closing kaued 30-Day Description Quantity Belem Balance Cr rrenq Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance Total Cash, Money Funds, and Bank Deposits Description Fixed Income (In Maturity Da:e Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE CORY GBP 191JXS1043181269 8.875% 09120/88 REG DID 03/11/14 S 8 P Rating 130+ Security Identifier G63980UK3 Total Corporate Bonds : Total Fixed Income: Total BRITISH POUND U.S. DOLLARS Description Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL Total Money Market OttAkl ROLI 313,100.00 381,960.00 GBP 471.873 38 USD 313,200.00 301,960.00 GBP 0.00 471,873.38 USD 0.00 Quantity Market Price Markel Value Currency Acaued Interest Estimated Estimated Annual Income Yield 2,000,000.000 100.2500 2,005,000.00 2,476,977 00 GBP USD 4,155.22 5,133.36 137,500.00 169 867 50 6.85% 2,000,000.000 2,005,000.00 1.476.977 00 GBP USD 4,155.22 5.133 36 137,500.00 169 867 50 2,000,000.000 2,005,000.00 GBP 2,476,977 00 USD Market Value Currency 1,155.22 5.133 36 Accrued Interest 137,500.00 169 867 50 Estimated Annual Income Quantity Opening Balance 2,386,960.00 2.918.850 38 Closing Balance GBP USD 4,155.11 5,133 36 kaued Income 131,500.00 169 867.50 Income Ibis Year 30-Day Yield 4,916,417.930 4,914,841.31 4,916,417.93 0.00 13,085.51 0.38% 34,914,841.31 34,916,417.93 30.00 $13,065.51 Account Num bet Go paperless SOL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7r ERR OSTO,,,,ANYr I DAENTIAL Page 3 o19 Rsd tocellenti (very Vs.. Slate 2007 DALBAR RATED COMMUNCATIONS rxesurner SDNY_GM_00047031 DB-SDNY-0009855 EFTA_00 157640 EFTA01253967 Portfolio Holdings (continued) U.S. DOLLARS (continued) Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits $4,914,841.31 54,916,417.93 Market Value $0.00 $13,065.51 Accrued Estimated Interest Annual Income Total U.S. DOLLARS $4,916,417.93 $0.00 $13,065.51 Market Value Accrued Estimated Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Cash Fixed Income Total by Currency BRITISH P0unD 381.960 2.005.000 2.386.960 GBP L.S. DOLLARS 4.916.417 0 4.916.417 I, SD Total USD Equivalent 5,388,291 2,476,977 7,865,268 USD % of Allocation 69% 31% 100% Messages $7,865,268.31 $5,133.36 $182,933.01 Although a money market mutual fund seeks to preserve the value of your investment at SI per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual hinds processed on the sweep platform. The U.S. will adopt a shortened settlement Umeframe beginning with trade date September 5. 2017. for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a Ti.2 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delivesy of your account documents-including trade confirmations, account statements and more. Ask your advisor about how you can set up e-delivery. Activity Summary (Alt amounts shown are in base currency) Credits his Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $86,504.10 $0.00 $86,504.10 $256,832.16 $0.00 $256,132.16 Distributions $0.00 $0.00 $0.00 $1,426,000.00 $0.00 $1,425,000.00 Fees $0.00 -$2.00 -$2.00 $0.00 -$24.00 -$24.00 Totals $86,504.10 -$2.00 $86,502.10 $1,681,832.16 -924.00 $1,681,808.16 Page< of 9 OSAS ROtt SOL THERA COT enN YE CI D ADSMAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Go paperless Rated t•C011efie Every V.A. Slate 7007 DALOAR RATED COMMUNCATIONS rxesturtraer SDNY_GM_00047032 DB-SDNY-0009856 EFTA_00157641 EFTA01253968 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Oeuiv.v Ram Pon. \Wan Ma %rent Ms orn Cott Comp Otoem Selynts t. brk Ma Part Aortae. IM I to Nave wet AY 10154 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Activity Type Description Quantity Statement Period:12/01/2016 • 12/31/2016 Prim Accrued Interest Amount Currency Dividends and Interest 12121116 12/20116 FOREIGN BONO INTEREST G63980UK3 12130116 IA OK EY MARKET FLN D INCOME RECEIVED 233993682 2000000 00 SHARES NATIONWIDE BUILDING SOCIETY EURO ISSUE CO NV GBP ISINIXS1043181269 6875% 09120/88 REG DTO 03/11114 CLB FOREIGN BOND INTEREST RD 121916 PD 122016 AS OF 12119116 DEUTSCHE GOVT CASH 68.760 00 84.925 48 1.578.62 GBP USD USD Total Dividends and Interest BRITISH POUND TOTAL USD EQUIVALENT L S DOLLARS Fees 12101116 FOREIGN CUSTODY FEE G63980UK3 Fyn Safekeeping NOV 2016 CUSIP. 663980-UK-3 000 000 0.00 68,760 00 84.925 48 1,578.62 -2.00 GBP USO USD USO Total Fees • U.S. DOLLARS Transactions Summary Total Acaued Interest Total Amount Currency Total Accrued Interest USO Equivalent Total Amount USD Equivalent 0.00 4.00 BRITISH POUND U.S. DOLLARS The price and quantity displayed may have been rounded 0.00 68.760.00 GBP 0.00 1.57662 1.50 0.00 000 8492548 1,576 62 Client Service Information Your Client Advisor: ENJ !OSHA SHOShAN 280 PARK AVE • 3R0 FL NEW YORK NY 10017 Contact Information Telephone Number: (212) 454.4433 Page509 Account Number Go paperless SO THERM COrenNYEIDarnAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rated taceibra t very. Van Siva 2007 DAL OAR RATED COMMUNCATIONS rXeffill'Net A rieve. .....ittaterra reueran moos os rent mot SDNY_GM_00047033 OB-SDNY-0009857 EFrA_00 157642 EFTA01253969 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Weld Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your accounts). Prices for marketable securities are received from various pricing services thought to be reliable; however, liking services are sometimes unable to provide timely information. Where pricing sources are not readily available. estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price will purge and NIA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for intonational 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 De 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, potitical, 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 vrompershing.corrybusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial intonation concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional intonation regarding this procedure is available upon written request to your introducing firm. Page 6 of 9 I INA,' tt()fl Account Num ber Go paperless L LPAL Vat ID ENTIAL NF CONFIDENTIAL - PURSUANT TO FED. R DRINA, P. 6(e) TM ERN OSTC Ratml tacollmi Defy VAN M•O7 2007 CAESAR RA TED COMMUNICATIONS rxararner Ramey u0 Ream NARA Met MIC SDNY_GM_00047034 OB-SDNY-0009858 EFM_00157643 EFTA01253970 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) Or.lsot Ram Prsair Wean DANIrMIll Marais tonne 6,0.1) DeAsche ML SecteOes lira wan Mt* Na Pant Ass.. MOO ter Statement Period: 12/01/2016 • 1213112016 Proxy Vote Securities not hilly paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, intuited a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not pennitted without prior written authorization from Standard 8 Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pool's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sea securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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 wilt 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. II 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 awl 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this 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 vrivw.pershing.com/aboulfstrength-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 igniting 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. 100A0 ROLL Account Num her Go paperless L ERN Oscipm. Nr' DAENTIAL Y CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Rated [salient (very Vs. Lace 2007 DALBAR RATED COMMUNICATIONS rxesurner pap 7 of 9 SDNY_GM_00047035 OB-SDNY-0009859 EFrA_OO157644 EFTA01253971 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other ri court. including the right to a trial by pry. 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 join 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 WI typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied. (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 8 of 9 Account Number- 1f tAkl ROLL Go paperless SOL THERA OSTOvpm N Yr' D-514T1AL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) tacellerigi Evert Vs. Slate 2OO7 DAL BAR RAT ED COMMUNCATIONS rxesurtraer SDNY_GA4_00047036 DB-SDNY-0009860 EFTA_00 157645 EFTA01253972 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDADR SETTLED, OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER LS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES Fl YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COMES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL ALITHORITES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS n ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHNG LLC (*PERSHING, FOR ANY AMOUNT, ALL SECURRES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN RS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. 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WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHNG MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE 607(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST IMECIWION: NOTW RHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE. COUNTER AND EXCHANGE-LISTED SECUMTES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (M380). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET W THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONDITIONSARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-ONG IMMEDIATELY IN WRMNGEIT CERISE° MAIL TOONE PERSHING RATA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT DRAB ROLL Page 9 on Account Num be, Go paperless Rata. excellent beent Vow' Sin07 200] rOAxel L Ne ittO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) OsOrtiripar\niA L TH ERN n. .",.= rs= • SDNY_GM_00047037 OB-SDNY-0009861 EFTA_00157646 EFTA01253973 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Onisre Rana PO.* Weal M..r-w. Pdaeals p0.P Des-UM Sat Secte*es a. Yr. wan Ont• Na Pant A..~.1(4h I ber Na *A we BMA Portfolio at a Glance Account Number: Statement Period: 1110112016 - 11/3012016 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Amount Value $7,699,507.53 48,206,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,699,507.53 8,206,772.67 ST THOMAS VI 00802 Dmidends. Interest and Other Income 1.217.32 170.328.06 Net Other Activity -2.00 -220 A et Chan e in Portfolio 13.825 50 -662,530.38 Accrued Interest $76.496.43 Your Client Advisor: Estim ated Annual neon e 5183,251.89 DANIEL SAHA Asset Summary Prior Year-End Lad Period Ibis Period % Allocation Casa. Money Funds. and Bank Deposits 3378,045.15 5,295,949.23 5,306,090.75 69% Fixed Income 2,961,517.52 2,403,558.30 2,408,15710 31% L__ Equities 1,467,180.00 0.00 0.00 0% Amount Total (Pie Chart) 48,201,772.67 47,699,507.53 $7,714,518.35 100% OltAN MOIL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A010 036SCSF300 Go paperless CONFIDENTIAL P ease renew yoL. a:locatior cer c..dca wrt yov Cteri Acv Pap 1 of 8 Rated tacellera beefy Vs*. Since 2007 CALLUM RATED COMMUNICATIONS rxcamser Ma.. WI - nob.. rms. vac SDNY_GM_00047038 OB-SDNY-0009862 EFTA_00 157647 EFTA01253974 Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Long-Term Gain/Loss Net GaIn/Lou This summary excludes transactions where cost basis information is not available. For Your Information 0 00 0.00 -4,417.50 -4,417.50 0 00 0.00 The European Central Bank (the 'ECEE)and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account 4 you have a deposit of foreign currency. The interest vAl be reported on your Forms 1099 and/or 1042S. These rates are subject to change in response to market changes. and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Currency BRITISH POLkD USO Equivalent 1 2492 Cerreacy per USD 0,8005 Exchange rates are based on interbank exchange rates as of 11/30/2016. Exchange rates can vary. Money Market Fund Detail Date Activity Type Descriptioo Global Cash Currency BRITISh POUND Total Global Cash Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.30% Adivity Ending: 11130/16 11101/16 Opening Balance 11/02/16 Withdrawal 11/30/16 Deposit 11/30/16 Closing Balance Total All Money Market Funds MONEY FUNO REDEMPTION INCOME REINVEST Income and Expense Summary Current Period Taxable Noe Taxable Dividend Income Equities Money Market Interest Income Bond Interest Total Dividends, Interest, Income and Expenses ORAN von 0 00 0.00 1,217.32 0.00 0.00 0.00 SOL THERA co CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) $1,217.32 Account Number Go paper less 'an DrwriAL $0.00 Closing Balance 313 200 00 Mount in Base Currency USD 391 249 44 $391,249.41 Amount Balance 4,913,625.99 -2.00 1,217.32 4,913,625.99 4,913,623.99 4,914,841.31 14 114 841.31 5014341.31 Year-to-Dale Taxable Non Taxable 60.562 SO 0.00 11,488 89 0.00 98,278.67 0.00 $170,328.06 SLOG Page 2 of 8 Rated Emello Event VAN Some 2007 DAL BAR RAT ED COMMUNICATIONS rxesturmer SDNY_GM_00047039 DB-SDNY-0009863 EFTA_00 157648 EFTA01253975 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings BRITISH POUND Onisre Rana Pn.a. Wean haptagentos Weals r Wear 6,0.1) Dettsch4 ML Setteleflk. Nn. '.4 Ont• HI Pan Anneo. Ikh I ter War RA IWY 10114 Statement Period: 11/01/2016 • 11/30/2016 Opening Closing kaued 30-Day Description Quantity Balance Balance Currency Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 313,200.00 313,200.00 GBP 391,219 11 USD Total Cash, Money Funds, and Bank Deposits 313,200.00 313,200.00 GBP 0.00 391,249.44 USD 000 kaued Estimated Estimated Description Quantity Market Price Market Value Currency Interest Annual Income Yield Fixed Income (In Vaturnytve Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 96.4000 1,928,000.00 GBP 61,236.34 137,500.00 7.13% CONY GBP ISIANXS1013181269 2,403,157 60 USD 76,496.43 171)65.00 8.875% 09120188 REG 0TD 03/11/11 S 8 P Rating BB+ Security Identifier 6639801,10 Total Corporate Bonds : 2,000,000.000 1,928,000.00 GBP 61,238.34 137,600.00 2,408.457 60 US0 76,496.43 171,765.00 Total Fixed Income: 2,000,000.000 1,921,000.00 GBP 61,236.34 137,500.00 2,408,457.60 USD 76,496.43 171,785.00 /tailed Estimated Market Value Olrrency Mitered Annual Income Total BRITISH POUND 2,211,200.00 GBP 61,230.34 137,500.00 2.799.707 01 US0 76 196 13 171,765 00 U.S. DOLLARS Opening Closing kaued Income 30-Day Description Quantify Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL Total Money Market ONAft =on 4,914,841.310 4,913,625.99 4,914,841.31 0.00 11,486.89 0.30% $4,913,625.99 14,914,841.31 10.00 111,485.19 Account Number Go paperless SOL i CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA OsovrYr' EIENTIAL Page3 018 Raid tacelleril (very Va.Sinew 2007 DALBAR MUD COMMUNCATIONS 7XCIlL7NC, SDNY_GM_00047040 DB-SDNY-0009864 EFTA_00 157649 EFTA01253976 Portfolio Holdings (continued) U.S. DOLLARS (continued) Degf ipon Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits Quantity Opening Closing Awued Income 30.0ay Balance Balance Income This Year Yield 84,913,635.99 84,911,841.31 Total U.S. DOLLARS 80.00 811,486.89 Accrued Estimated Nadel Value Interest Annual Income 4,914,841.31 0.00 11,486.89 Market Value Accrued Estimated Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Casa Fixed Income Total by Currency BRITISH POL\D 313.200 1.928.000 2.241.206 GBP US DOLLARS 4.911.841 0 1.914141 t.,SD Total USD Equivalent 5,306,090 2,408,157 7,714148 USD % of Allocation 69% 31% 100% Messages 17,714118.35 676,49613 8183,25119 Please note the bliotting information for Pershing's 2016 IRS Porn 1099 (8, DIV. INT. OlD and MSC X Your form 1099 will be delivered as early as possible, beginning January 31, 2017. By February 15. you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice S be sent if issuers of securities you hold have not yet provided their final tax information. It wil inform you of the securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 15, 2017. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hind. 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. Account Num ber Go paperless C sis CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) SOUTHERN sunrip rnAL Page4 ore Rated tacellera Lyon, Year Since 2007 DAL BAR RAT ED COMMUNCATIONS rxenurraer SDNY_GM_00047041 OB-SDNY-0009865 EFrA_00157650 EFTA01253977 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Activity Summary (Afl amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $1,217.32 10.00 $1,217.32 $170,328.06 $0.00 1170,328.06 Distributions $0.00 $0.00 $0.00 $1,425,000.00 $0.00 $1,425,000.00 Fees $0.00 -12.00 •32.00 10.00 -$22.00 -122.00 Totals $1,217.32 -12.00 81,215.32 $1,595,328.06 -122.00 $1,595,306.06 ()PASO( Pnwe wean image-tan Marais todewe 6“) °new Iv Sank Stews irk. Mow *4 011ie HS Put Ass. nth I bar reetault. NY 101$4 Statement Period: 11/01/2016 • 11130/2016 Transactions by Type of Activity Proctst1 Settlement Date Activity Type Description Quantity Price Accrued Interest Assent Carney Dividends and Interest 11130116 MONEY MARKET FUND DELTSCFE GOVT CASE 1,217.32 LISO INCOME RECEIVED 233993482 Total Dividends and Interest • U.S. DOLLARS 0.00 1,217.32 Fees 11101/16 FOREIGN CL STUDY FEE Fgn Safekeeping OCT 2016 CIAIP G639804,10 .2.00 USO 663980LK3 Total Fees • U.S. DOLLARS 0.00 -2.00 Total Value of Transactions 0.00 1,216.32 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SASSA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 101514003 Account Number OftWal ROI t paperless SOUTHERN OsTal.PM Vat N DAENT1A L. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 5 448 Itatocil Lvov" Vas. Since 2007 DAL BAN MT ED COMMUNICATIONS IXCILLINCI SDNY_GM_00047042 DB-SDNY-0009866 EFTA_00 5765 I EFTA01253978 Your Account Information Tax Lot Default Disposition Method Default Method far Mutual Funds. FIRST IA FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant field Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn m unications for electronic delivery To register and turn off paper communications, log in to your account or contact your Client Advisor for more inform afion. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including shod 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 horn the actual sale price. Securities for which a price is not available are marked IRK and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however. pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wi not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset. the current price will purge and NIA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (RAY) figures are estimates and for intonational 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 tine, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vnwrpershing.cortaxisiness_continuity.htiri 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 MI not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firrn in maintaining current background and financial intonation concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional intonation regarding this procedure is available upon written request to your introducing firm. Page 6 of 8 Account Number Rated [salient Go paperless Ivory v... since 2007 DAMAN RA TEO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: 6THERNO sonriprwriA rxertimer vs-v.4 --.•••••,-,wir vim SDNY_GM_00047043 CS-SDNY-0009867 EFTA_00157652 EFTA01253979 SCLTHERN Oscici CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) 0.visreRan. Pr riFtle "mall h....vie,. Went% CpetrarGomp Dectscht Seownes 'ac MS PIA 26th I bet Newlin* M' 1011A 12121454.71119.1114178•4MS Statement Period: 11 / 0112016 - 11/3012016 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the tens outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & P0011. Reproducing and distributing any information received from Standard & Pools is not pennitted without prior written authorization from Standard 8 Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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. rts sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances. execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general. for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other 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 pedamed 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 (SIPCt I. 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/aboutistrength-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 wilting 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 (SC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Account Number Go paperless DAENT1A Rated Covadienti Ivory Vee. Loco 2007 DALOAR RATED COMMUNCATIONS rxerturnaer pa O es •—•-•.c SDNY_GM_00047044 OB-SDNY-0009868 EFTA_00157653 EFTA01253980 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by pry. 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 wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is fled, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Penhing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Nebo( 8 Account Number: ria...0 Excellent, ()PAN ,.01L Go paperless (very V... Late 2007 DALSAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 69:tusin DE1SITIA rxesturner = 7 14 ...eittC SDNY_GM_00047045 OB-SDNY-0009869 EFrA_00 57654 EFTA01253981 a Deutsche Bank P.O Box 1776, Baltimore, MD 212O3 Ogvist.v Rana Pnwerkainsmagenmt Mantis t 0,00.6,0.2 De.4.0,4 Mee Smote' 4%. Mn *4 011ar 30 Piot *.Mn 1400 fen Portfolio at a Glance Account Number: Statement Period: 10/0112016 -10O1/2016 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value $7,802,428.07 88,206,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,602,428.07 8,206,772.67 ST THOMAS VI 00802 Dnidends. Interest and Other Income 1.289.68 169.110 74 Net Other Activity .2.00 20.00 - NetChanainPoMolio -104.208 22 .676 355 88 nding Account Value 57.699 507.53 57,699.507.53 Accrued Interest 560.993 31 Your Client Advisor: Estimated Annual Income 5178 115 82 DANIEL SABBA Asset Summary Prior Year-6d Last Period This Period % Allocation Casn. Money Funds. and Bank Deposts 3,778,045.15 5,319,122.47 5,295,94923 69% Fixed Income 2,961,547.52 2,183,105.60 2,103,558.30 31% i Equities 1,487,180.00 0.00 0.00 0% Account Total (Pie Chart) 18,203772.67 $7,802328.07 17,699,507.53 100% CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F I D('35Pfa sAL A010200023230019 P ease review your &locator, cer cdca y wth you' Clent Acksor. Page tot 8 (very V... Since 2007 DALBAR MUD COMMUNICATIONS rxertuter ...."`"="r= SoN Y_Gat000n 7046 OB-SDNY-0009870 EFTA_00 157655 EFTA01253982 Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Long-Term Gain/Loss Net GaIn/Lou This summary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 -4,411.50 0.00 -4,417.50 0.00 The European Central Bank (the 'ECG') 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 *I be reported on your Forms 1099 and/or 1042S. These rates are subject to change in response to market changes, and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Currency Closing Mount in Currency USO Equivalent per USD Currency Balance Base Currency USD BRITISH POI, ND 1 2207 0.8192 BRITISH POUND 313.200 00 382 323 24 Exchange rates are based on interbank exchange rates as 01 10/31/2016. Exchange rates can vary Total Global Cash Balance $382,323.24 Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.29% Activity Ending: 10131116 10101/16 Opening Balance 4,912,338.31 4,912,338.31 10/04/16 Withdrawal MONEY FUND REDEMPTION -2.00 4,912,336.31 10131116 Deposit IN CON E REINVEST 1,289.68 4,913,625.99 10/31116 Closing Balance $4,913,626.99 Total All Money Market Funds 64,913,626.99 Income and Expense Summary Current Period Year-to-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 0 00 0.00 60 562 50 000 Money Market 1,289 68 0.00 10 269 57 000 Interest Income Bond Interest 0 00 0.00 9827887 0 00 Total Dividends, Interest, Income and Expenses 61,219.88 00.00 $169,110.74 $0.00 Page 2 of 8 Account Num be; Go paperless SOL THERA corennEIDErnAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rabid tacelle livery Year Since 2'007 DAUM. RAT CD COMMUNOTIONS rxeramer SDNY_GM_00047047 DB-SDNY-0009871 EFTA_00157656 EFTA01253983 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings BRITISH POUND 0ra'sof boa Pnwale Wean lAvogentot Mantels tonne 6.00 Destulv Sank Staotars at. Maw *4 Ma HS Pia ASSN% I bet Ws* WIM Statement Period: 1010112916 • 10/3112016 Opening Cleanly Accrued 30-Day Dewiption Quantity Belem Balance Duren, Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 313,200.00 313,200.00 GBP 382,323.24 USD Total Cash, Money Funds, and Bank Deposits Dewiption Fixed Income (In V atunty Da:e Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 98.4500 1,969,000.00 GBP 49,96525 137,500.00 6.96% COAV GBP ISIMIXSI043181269 2,403,558 30 USD 60 993 31 167,846 25 6.875% 09120188 REG OTD 03111114 S 8 P Rating 8B4 Sevin Identifier 6639806K3 49,965.05 Total Corporate Bonds : 2,000,000.000 1,909,000.00 GBP 137,500.00 313,200.00 313,200.00 GBP 0.00 382,323.24 USD 0.00 kneed Estimated Estimated Quantity Market Price Market Value Cerrenry Interest Annual Income Yield 2,403,558.30 USD 1,949,000.00 GBP 2,403,558 30 USD 60,993.31 167 846 25 49,965.85 60,993.31 Total Fixed Income: 2,000,000.000 Market Valet Currency 137,500.00 167.846.25 Accrued Estimated Interest Annual Income Total BRITISH POUND U.S. DOLLARS 2,282,200.00 GBP 2,785,881 54 USD 49,965.85 137,500.00 60,993 31 167 846.25 Opening Closieg Accrued Income 30-Day Description Quantity Silica Balance Income This Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL Total Money Market 4,913,625.990 4,912,338.31 4,913,625.99 0.00 10,289.57 0.31% 34,912,338.31 34,913,825.99 30.00 310,289.57 Account Number: OttAf4 401k Cso paperless SOL THERA C SOreninn D AnTIA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 of 8 Itnedi tacellera Event V... Since 2'007 DAL OAR RAT ILO COMMUNICATIONS rxenurnaer SDNY_GM_000470413 DB-SDNY-0009872 EFTA_00 I 57657 EFTA01253984 Portfolio Holdings (continued) U.S. DOLLARS (continued) Opening Dosing Accrued Income 30.0ay Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits $4,912,338.31 $4,913,625.99 Market Value $0.00 $10,269.57 Accrued Estimated Interest Annual Income Total U.S. DOLLARS $4,913,625.99 $0.00 $10,269.57 Market Value Accrued &tinted Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Cask Fixed Income Total by Currency BRIT& P0LK() 313,200 1.969.000 2.262,206 GBP L S. DOLLARS 4.913.625 0 4.913.625 USD Total USD Equivalent 5,295,949 2,403.550 7,699,507 USD % of Allocation 69% 31% 100% Messages $7,699,501.53 $60,993.31 1178,115.82 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 (Auamounts shown are in base CurrenCy) Credits ibis Period Debits This Period Net This Period Credits Year.to.Date Debits Year.to.Date Net YeartoD ate Dividends and Interest 81,289.66 $0.00 $1,289.68 $169,110.74 $0.00 $169,110.74 Distributions $0.00 $0.00 $0.00 $1,125,000.00 $0.00 $1,426,000.00 Fees $0.00 .$2.00 -$2.00 $0.00 •floso -130.00 Totals $1,289.68 •$2.00 11,287.68 $1,594,110.74 .$20.00 $1,594,090.74 Paget 08 Account Number Rai tacellordi G o p ap eriess (very Va. Since 2007 °BAB ROLL DAL Ma RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R 67e)LTHEtusin DALTITIA rxerartraer SDNY_GM_00047049 OB-SDNY-0009873 EFrA_00 I 57658 EFTA01253985 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Intered Arnaud eirrency Dividends and Interest 10131116 MONEY MARKET FUND DEUTSCHE GOVT CAB- 1 289 68 USD INCOME RECBVED 233993682 Total Dividends and Interest • U.S. DOLLARS Fees 10103(16 FOREIGN CUSTODY FEE G639801.1(3 Fgn Safekeeping SEP 2016 CUSIP 063980.LX3 0.00 1,289.68 -2.00 LSO Total Fees • U.S. DOLLARS 0.00 -2.00 Total Value of Transactions The pace and quantity displayed may have been rounded. 0.00 1,287.80 USD (Misr< Rana Pnwair Wean &Waren Weals CodrageGKM) Devisag ML Settongs +gc lire Ion Oat* Hobrt Anows. I I ter Wye leek in• ta lieu Statement Period: 1010112016 • 1013112016 Client Service Information Your Client Advisor: DAN DANIEL SABBA 305 PARK AVENUE. 26TH FLOOR KEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in inoom e annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper comet unicahons, tog in to your account or contact your Client Advisor for more information. U8A0 Rol SOUTHERN coreniariprwriAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Go paperless Page of 8 Rated excellent, Ln.y Va.Since 2'007 DAL OAR RATED COMMUNCATIP6 FxOLLrNC? SDNY_GM_00047050 DB-SDNY-0009874 EFTA_00157659 EFTA01253986 S0LTHERN OSTO,r1 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN 111E PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however. pricing services are sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an cider. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, 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 VAYtv pe rshing .c onto sines s_c o n tin u ity htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon vntten request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial intonation concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge. or received a credit. Transactions converted by agents (such as depositoiies) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pool's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does nit guarantee the accuracy. completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Porn's shall not be legally responsible for any fees. costs. expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not Page 5 of 8 Account Number Go paperless y l DrwriAL Rated [molls M bary year Same 2007 DAL BA. RATED COMMUNICATIONS rxesturner sat:Lo attlf. ==== ••••••• SDNY_GPL00047051 O13-SDNY-0009875 EFIA_00157660 EFTA01253987 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) (*Awe 0.A. won ',mange—via Mwoets Owego C•ccp De.tic W. Secn, Vinnvii Mar II, rant Anne.. /elk iloct tin tn. Pet I0VA Statement Period: 10/01/2016 - 10/31/2016 Ratings (continued) recommendations to purchase, hold or sel securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Rode 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 intructions 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. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the fast 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 posstrle circumstance. but as a general disclosure. If you have any questions regarding this notice or it you would like additional copies of the Disclosure Statement, ukase contact your financial institution. • Pushing is a member of the Sectaries 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 infatuation please vist NWM.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 • Al parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum n which a claim is filed. • Arbitration awards are generally Mal and binding; a partys ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generaly more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for they award, unless, in an eligible case, a joint request for an explained decision has been submitted by ad 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 a 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 piedispute 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 Account Num ber Go paperless L A CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) TM OSTOIN YE D ENT1AL Pagel of 8 Rabid excellonli (very Vest Sine 2007 MUM. RATED COMMUNICATIONS rxerturtraer SDNY_GM_00047052 OB-SDNY-0009876 EFrA_00 157661 EFTA01253988 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) claims encompassed by the putative class action until: (lithe class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page 8 of 8 liitAti Moll Account Number. Go paperless SO caor-REIDEstrunAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA Rated twalloni von! V.A. Slate 2007 OAL BAR RATED COMMUNCATIONS rxesurtraer SDNY_GM_00047053 DB-SDNY-0009877 EFTA 0015766? EFTA01253989 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Oesasee Mn„ Pon. wu. h Pdven vie , 4. p Detb1.4 Ike* SM p. ., net Ike wan Mt* Na Part Annet MTh I bet Weir *A Pet 10114 Portfolio at a Glance Account Number: Statement Period: 0910112016 -19/30/2016 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Amount Value $7,885,215.32 $8,206,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,05,215.32 8,206,772.67 ST THOMAS VI 00802 Dividends. Interest and Other Income 1.261.39 167.821.06 Net Other Adivity •2.00 -18.00 Net Chan in Portfolio -80.016 61 -572.11766 nding Account Value 57.802 428 07 57,802 428 07 Accrued Interest 54976959 Your Client Advisor: Estimated Annual Income $187564.69 DANIEL SABEA Asset Summary Prior Year-hd Lad Period Ibis Period % Allocation LSD Cast,. Money Funds. and Bank Deposits 3,117,813.92 1,911,078.92 1,912,338.31 62.96% hon-L SD Cash, Money Funds. and Bank Deposits 380,231.23 410,135.10 106,781.18 5.21% p tt on.L SD Axed Income 2.961,517 52 2,561,001.00 2.183,305 60 3183% LSD Equities 1,167,180 00 0.00 0.00 0.00% Account Total (Pte Chart) 0,206,712.67 $7,885,215.32 0,802,128.07 100.00% See the Asset Summary CaSdOraitO and Footnotes sedan for Important inimmation regarding your Asset Summary. CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) CON F I D('')EPplaqtjfisAL 5009849 C5F30024 P ease reiiiiew your allocation set celita y wth you, Client Adviser. Paget ot9 listed Cmcollordl Lvery Woo. 2007 DAL BAR RATEDCOMMUNICATIONS LXOILLLNCr "7:....t.n.... wtrt: •-••-eima —4-•••A err. r•c SDNY_GM_00047054 OB-SDNY-0009878 EFTA_00 157663 EFTA01253990 Asset Summary Disclosure and Footnotes All values are displayed m U.S. dollars based on interbank exchange rates as of 09/30/2016. Exchange rates can vary. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Lang-Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis information is rot available. For Your Information 000 0.00 -4,417.80 .4,417.60 0 00 0.00 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 charge in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Currency Currency USD Equivalent per USD Currency Closing Balance Mount in Base Currency USD BRITIS- POL\D 1 2988 0 7699 BRITISh FOUND 313 200 CO 406 784 16 Total Global Cash Balance $406,784.16 Exchange rates are based on interbank exchange rates as of 09/30/2016. Exchange rates can vary. Money Market Fund Detail Date Activity Type Desaiption Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.31% Activity Ending: 09/30116 09101116 Opening Balance 4,911 078 92 4,911,018.92 09102116 Withdrawal MONEY FUND REDEMPTION -200 4,911,076.92 09130116 Depots INCOME REINVEST 1,261 39 4.912.338.31 09/30116 Closing Balance 64,912,338.31 Total All Money Market Funds $4,912,338.31 RC)1.1. Page 2 of 9 Account Number Go paperless SOL tPM VF at I DrNtnAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) THERM OSTOlN listed Excellent, Every 7.7.7.5•007 2007 DALBAR RATEOCOMMUNCATIONS 7700.1.7NC7 SDNY_GN4_00047055 DB-SDNY-0009878 EFTA_00 157664 EFTA01253991 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Omisre Rant Pn.a. Wean Papmgenen Weals teem., GKM) °tout* MP sm. 034+ lire Ion Oat* Na Pant Anneo. last ter War int WI 10114 Statement Period:09/0112111 - 11/3012116 Income and Expense Summary Current Period Year-to-Date Taxable Nee Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 60,562 50 0.00 Money Market 1.261.39 0.00 8.919.89 0.00 Interest Income Bond Interest 0.00 0.00 98.278 67 0.00 Total Dividends, Interest, Income and Expenses $1,261.30 00.00 $187,821.06 $0.00 Portfolio Holdings BRITISH POUND Dews lion Opening Quantity Balance Dosing Balance Omency Accrued 30.Day Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 313,200.00 313,200.00 406,784 16 GBP USD Total Cash, Money Funds, and Bank Deposits 313,200.00 313,200.00 406,784.16 GBP USD 0.00 0.00 Description Quantity Market Price Market Value Currency Accrued Interest Estimated Estimated Annual Income Yield Fixed Income (In Maturity Dee Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE CONY GBP ISIAIXS1043181289 8.875% 09120188 REG 0TD 03111114 S 8 P Rating BB. Security Identifier 6639801.K3 2,000,000.000 95.6000 1,912,000.00 2.483,305 60 GBP tan 380,37191.5 4 6 178.585.00 679 137,500.00 7.19% Total Corporate Bonds : 2,000,000.000 1,912,000.00 2,483,305 60 GBP USD 36,319.47 49,769.59 137,500.00 178,585.00 Total Fixed Income: 2,000,000.000 1,912,000.00 2,483.305 60 GBP USD 38,319.17 49,769.59 137,500.00 178,585.00 Account Number: Raid tacellsnil 08A0 R011 Go paperless Veit Woo, 2(>07 DALBAR RATED OOMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 69:06THERhconn DAni sriA rxestimer Page 3 of 9 or a rattenen i.e c.wwnsundestt Mow* SDNY GM 00047056 DB-SDNY-0009880 EFTA_00 157665 EFTA01253992 Portfolio Holdings (continued) BRITISH POUND (continued) Market Value Currency literesl Acaued Estimated Annual Income Total BRITISH POUND 2,225,200.00 GBP 38,319.61 137,500.00 2.890 089.76 1,83 19,789.59 178,585.00 U.S. DOLLARS Opening Closing Aimed Income 39.Day Description Quaetity Balance Balance Imam This Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL 1,912,338.310 1,911,07812 4,912,338.31 102.38 5,979.59 0.31% Total Money Market $4,911,075.92 $4,912,338.31 $102.35 $5,979.59 Total Cash, Money Funds, and Bank Deposits $1,911,078.92 $4,912,338.31 Market Value $102.35 $5,979.59 Acaued Estimated Interest Annual Income Total U.S. DOLLARS $4,912,338.31 $0.00 $5,979.89 Market Value Acaued Estimated Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency CI 'roc). Cad Fixed Income Total by Currency BRITISII ROUX 313,200 1.912.000 2.225200 GBP U.S. DOLLARS 4.912.338 0 4.912.338 USO Total USO Equivalent 5,310,122 2,483,305 7,802,428 USO % of Allocation 58.17% 31.83% 100.00% Messages $7,802,428.07 $49,769.59 $157,561.89 Pursuant to the Securities Exchange Act 01934, Pershing LLC (Pershing), a 8NY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Rnancial Condition is now available. On June 30, 2016, Pershing's net capital of 32.171 billion was 12.59% of aggregate debit balances and exceeded the minimum requirements by $1.83 bilfron. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement note that on July 31, 2016, Pershing's net capita( of $2.227 billion was 13.17% of aggregate debit balances and exceeded the minimum requirement by $1.89 billion. Page 4 of 9 Account Number:1MM DRAB 009 Go paperless ag) 149.12..9199 tvory Vsse Sinto 2907 OALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERhconn DENTIA rxestimer SDNY_GM_00047057 DB-SDNY-0009881 EFTA_00 57666 EFTA01253993 P4 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages (continued) Orvisre Rana Pn.a. Wean •Aptagentos Pdaeals Codrage6KM) DeAsov SettonesW wan Ont• In Pan Ammo. lia r ter War lot Irt 10114 Statement Period: 0910112016 • 09/30/2016 A copy of the June 30, 2016, Statement of Anancial Condition is available at pershmg.comIstatemertol Monad condbon.htng. You may request a tree, pnnted copy by tang (888) 880-8510 or (201) 4134200, option AS. 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 (AU amounts shown am in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest 11,261.39 10.00 11,261.39 1167,821.06 $0.00 1167,621.06 Distributions $0.00 10.00 10.00 11,425,000.00 $0.00 11,425,000.00 Fees $0.00 -$2.00 -$2.00 $0.00 .118.00 .118.00 Totals $1,261.39 -12.00 11,259.39 $1,592,821.06 -$18.00 $1,592,803.06 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 09/30/16 MONEY MARKET FUND DEUTSCHE GOUT CASH 1.261.39 USD INCOME RECBVED 233993682 Total Dividends and Interest - U.S. DOLLARS 0.00 1,261.39 Fees 09101(16 FOREIGN CUSTODY FEE Fgn Safekeeping AUG 2016 CUSP. G639804.11(.3 •2.00 USD 663980UK3 Total Fees • U.S. DOLLARS 0.00 .2.00 Total Value of Transactions 0.00 1,259.39 USD The pace and quantity displayed may have been rounded. Page of 9 UBAB ROLL SOUTHERN csorennriprwriAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber Go paperless Rated tacellerigi (very Vs. Since 2007 0ALOAR RATED COMMUNICATIONS rxerturrier .17.12:17—'12,1:20=22.1211 . - 7,..flr. SDNY_GM_00047058 DB-SDNY-0009882 EFTA_00 157667 EFTA01253994 Client Service Information Your Client Advisor: DAN DANIEL SAHA 315 PARK MEN UE 26TH FLOOR NEW YORK NY 10151.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually- No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper tom m unications, log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are witted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities. including thinly-traded securities. debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EN) 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 tine, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to vAvw.pershing.cornrbusiness_continuity.html 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 wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the lime of execution and the name of the person from Page6 of 9 Account Number r ai veryVitSince ." 2007 I.1.1, Go paperless L THEM rcroirtiNeramAmumra"°16 CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) ObTrrtitiDAENTIA -Mt -2 et: rte:r.ne.r:t.."",— var. isc OlietA wilt. IOC SDNY_GM_00047059 OB-SDNY-0009883 EFTA_00157668 EFTA01253995 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) (*.awe Mn, 10•410 VAPOR ,. PAIAlle , ad Mats CoongeGv‘P °Muhl Sank Mu' 5S ,c. Now Minn 145Put Asia. 2/00 bet Statement Period: 0910112116 • 09/3012016 Reinvestment fcrint,nued.) whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinnatiics previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit Transactions converted by agents (such as depositories)vAll be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard 8 Poor's. Reproducing and distributing any information received from Standard 8, Poor's is not pemitted without prior written authorization from Standard 8 Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard 8 Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard 8; Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and Oil any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabily of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other 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. II you have any questions regarding this notice or if you would Ike additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC6). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing Page? of 9 I ! Account Num ber °RAP t Go paperless SO L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) El% Y A' I NEIDENT, Rated acelloni beefy Since 2007 OALIMII RATEDCOMMUNICATIONS rxciturtraer Par• tan wasaor —A ran. •••0 SDNY_GM_00047060 OB-SDNY-0O09884 EFrA_00 157669 EFTA01253996 Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comfabout/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 er 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 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 and, 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 vidl typically include a rrinorty 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 (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; Piga of 9 0770 ROI I Account Num ber Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERA OstmEi EIENTIAL Rated 7.70711•74 Every Vs. Slate 2007 DAL BAR RATED COMMUNC01DONS rxenurmer Par• M6 mamas IS Wilt 00C SDNY_GM_00047061 OB-SDNY-0009886 EFrA_00157670 EFTA01253997 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDMR SETTLED, OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS W H/CH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT Of ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES If YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COMES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A CONFINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITES. AT THAT TIME PERSHING WILL PROVDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST AID OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS Cl ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT, ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVVW.PERSHING COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COINDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION RFS- RULE 607(AX1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER.DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST ID:ECUDON: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HRH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AID CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-ENO IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PER9IING RASA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT 00A1YVLI CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) Account Num ber Go paperless Lmai veri V""4 ••• Swa•2007' SO L Th ERN OSTOI n DAENTIAL rI MLerBARu RATED COMMUNICATIONS x nger Page 9 of 9 O a t =On Valti= ....... Cne,Sta SW MS* ,AC •••••••••.... M, ^1. SDNY_GM_00047062 OB-SDNY-0009886 EFIA_00 I 57671 EFTA01253998 P2 Deutsche Asset & Wealth Management P.O. Box 1778, Baltimore. MD21203 PAIMIP,Int M*' t$ Ont.,* G.p.p De.ticht Bar Stcv,a, M. Yea.. Offite rant Anrea.)00tVirst tiny we. JIY I0VA Portfolio at a Glance Account Number: Statement Period: 0810112016 - 08/3112016 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value $7,673,085.27 18,206,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,673,065.27 8,206,772.67 ST THOMAS VI 00802 Dividends, Interest and Other Income 1.251.15 166.559 67 het Other Activity -2.00 46.00 et Chan re in Portfolio 10.890 90 499 101 02 nding Account Value S7.885.215 32 $7,885,215.32 Accrued Interest 63582090 Your Client Advisor: Estimated Annual Income $187.774 DANIEL SABRA Asset Summary Prior Year-End Lad Period This Period % Allocation LSD Cash. money Funds. and Bank Deposits 3,117,813 92 4,909,819.77 4 911,078 92 6218% hen-LSD Cash, Money Funds, and Bank Deposits 360,231.23 415.773.00 410.135 10 5.20% 1 hen-LSD Axed Income 2,961,517.52 2.517.172 50 2.564.001 00 32.52% LSO Equities 107,180 00 000 0.00 0.00% Account Total (Pie Chart) $1,206,772.67 17,873,065.27 57,615415.32 100.00% See the Asset Summary DOSSUM and Fodnoms section for importam dbmumon regarding ycurAssel Summary. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go paperless CONFIDrismAL Pease re-oew your allocation cer totta!y wth you tient Adviso• Poplin Rated Cocellorigi L....my 'Vs. Since 2007 ML BAR RATED COMMUNICATKIHS excrurmer otralitrOotrotCLr••=•• Y SIOV••••• SDNY_GM_00047063 OB-SDNY-0009887 EFTA_00I57672 EFTA01253999 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 08/3112016. Exchange rates can vary. Summary of Gains and Losses this Period Year-to-Date Unrealized Lang-Term Carillons 0.00 -4.417.50 0.00 Net GalniLoss This summary excludes transactions where cost basis inlormation is rot available. 0.00 .4,417.50 0.00 Realized For Your Information The European Central Bank (the 'ECW) and other credit instituticos introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Carreacy wing Mount in Currency USD Equiyakit per USD Wrenn/ Baum Base Currency USO I BRITISH POUND 1.3095 0.1636 BRITISH POUND 313,200.00 410 135 40 Exchange rates are based on interbank exchange rates as of 08/31/2016. Exchange rates can vary. Total Global Cash Balance $410,135.40 Money Market Fund Detail Date Activity Type Desaiption Armlet Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.31% Activity Ending: 08131116 07130/16 Opening Balance 4,909,819.77 4,909.8tti 77 08102/16 Wilhdrwal MONEY FUND REDEMPTION -2.00 4.909.817 77 08131/16 Deposit INCOME REIN VEST 1261.15 4.911.078 92 08131116 Closing Balance $4,911,070.92 Total All Money Market Funds $4,911,070.92 Page2 of 8 Account Number Rated excellong DOAN MOIL Go paperless [very Yee. Lace 2.007 DAUM. RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. 67e)LTHERk conn DAL1SITIA rxenurraer SDNY_GM_00047064 OB-SDNY-0009888 EFrA_00 157673 EFTA01254000 Deutsche Asset & Wealth Management PO Boa 1778, Ballimore, MO 21203 Income and Expense Summary Dividend Income Equities Money Market Interest Income Bond Interest Total Dividends, Interest, Income and Expenses Portfolio Holdings BRITISH POUND Oralsre an, Prmale wean warn.* ravens Codrafp6,.." MAUM in sm./es +..c Onto HI Pan Any. It" I ber New RA 1,tt 10114 Statement Period: 01/0112111 -1113112116 Current Period Year4o-Date Taxable Noe Taxable Taxable Non Taxable 0.00 0.00 60,562 50 0.00 1,261.15 0.00 7.718.50 0.00 0.00 0.00 98.278 67 000 81,261.15 $0.00 8166,559.67 $0.00 Opening Closing Accrued Description Quantity Balance Balance Currency Income Cash, Money Funds, and Bank Deposits Global Cash Balance 30•Day Yield Total Cash, Money Funds, and Bank Deposits Description Fixed Income (In Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE CO NV GBP MU 0100181269 8.875% 09120188 REG DTD 03111114 S t P Rating BED Security Identifier G639801.10 Total Corporate Bonds : Total Fixed Income: 313,200.00 313,200.00 GBP 410 135 40 USD 313,200.00 313,200.00 GBP 0.00 410 135 40 USD 0.00 Quantity Market Price Market Value Currency Awned Interest Estimated Estimated Annual Income Yield 2,000,000.000 97.9000 1,958,000.00 2.564,001 00 GBP la 27,049.18 35.420.90 137,500.00 180 056.25 7.02% 2,000,000.000 1,90,000.00 2,561,001 00 GBP US0 27,049.15 35,120.90 137,500.00 180,056.25 2,000,000.000 1,958,000.00 2,564,001 00 GBP USD 27,049.15 35,120.90 137,500.00 180,056.25 Account Number o"."ROI paperleSS SOUTHERN OSTO,RE DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) v I Page 3 oil Bww tacolleria L very V••• Sinfe 2007 DAUM,. MUD OOMMUN ICA TOOKS rxesturNer octitruttra.=0..=.- - "":"..r. SDNY_GM_00047065 DB-SDNY-0009889 EFTA_00 1 57674 EFTA01254001 Portfolio Holdings (continued) BRITISH POUND (continued) Market Value Currency Awued Estimated Interest Mnual Income Total BRITISH POUND 2,271,200.00 GBP 2 974 136 40 LS) U.S. DOLLARS 27,019.19 137,500.00 35,120.90 180.056 25 Opening Closing Atoned Income 30-Day Desorption Qualtity Balance Balance Immo This Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL Total M oney N arket Total Cash, Money Funds, and Bank Deposits 4,911,078.920 4,909,819.77 1,911,078 92 $4,901,819.77 $1,911.078.92 04,901,819.77 $4,911,078.92 $0.00 07,718.50 0.00 $0.00 7,718.50 0.30% 07,718.50 Market Value Accrued Estimated Interest Annual Income Total U.S. DOLLARS 51,911,078.92 Market Value $0.00 $7,718.50 Accrued Estimated Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Cask Fixed Income Total by Currency BRITISH POUND 313,200 1.958.000 2 271.200 GBP U.S. DOLLARS 4111.078 0 4.911.078 LSD Total USD Equivalent 5,321 211 2,561 001 7,885,215 USD % of Allocation 67.48% 32.52% 100.00% Messages $7,885,215.32 $35,420.90 5107,771.75 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. Account Number Go paperless rrn CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN so morwriAL Page 4 of 8 Rated tacelkinti beefy Vs.. Swots 2'007 DALBAR RATED COMMUNCATIONS rxenurraer in natrOMV•Th .. t antlil i t ". • Paste.11.6 • •• Mit WIC SDNY_GM_00047066 OB-SDNY-OOO989O EFTA_00 157675 EFTA01254002 Deutsche Asset & Wealth Management P.O. Om 1776, Skidmore. MD 21203 Activity Sum m a ry (Aft amounts shown ate in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $1,261.15 10.00 $1,261.15 $165,559.67 $0.00 $165,559.67 Distributions $0.00 $0.00 $0.00 $1,425,000.00 $0.00 $1,425,000.00 Fees $0.00 42.00 -$2.00 $0.00 -616.00 -$16.00 Totals $1,281.15 -$2.00 $1,259.15 61,591,559.67 -$16.00 11,591,543.67 Dv,IA Ram emir worm raimommi Mweelry COA0040.I. DeAtcht Mr 'Kw." AC Yew WA 01150, N>bn Anna, 17th / Mw Wet nY KIVA Statement Period: 0810112016 • 08/31/2016 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Anoint Cerreacy Dividends and Interest 08131/16 MONEY MARKET FUND DELTSCI-E GOVT CASI- 1,261.15 USD INCOME RECEIVED 233993482 Total Dividends and Interest- U.S. DOLLARS 0.00 1,261.15 Fees 08101116 FOREIGN CUSTODY FE Fgn Safekeeping LL 2016 CUSP. 663980.LK.3 -2.00 USD 66398011K3 Total Fees • U.S. DOLLARS 0.00 .2.00 Total Value of Transactions 0.00 1,259.15 USD The price and quantity displayed may have been rounded. Client Service Inform ation Your Client Advisor: DAN DANIEL SASSA 345 PARK AVENUE. 26TH FLOOR NEW YORK NY 10151-0003 Page 5 of 8 Account Number~ dame torrillerk ORAN ROLL Go paperless etry Lyon Vne VA07 2007 Wake RATED COMMIMICAT1O.6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: LTHERNedigri IDE1SITIA rxentrNer SONY GM 00047067 DB-S6NY:0009891 EFTA_OO 157676 EFTA01254003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annuity. No Electronic Delivery You have not selected any account comm unications for electronic delivery To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/Au and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be rekable; however. pncing services are sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wit not be revised. You should alvrays request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading. Or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vAwypershing.coirebusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial 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. Page 6 of 8 Account Num Der OftAI1 paperless SOUTHERN OSTOUPAhY DENTEA L A• • CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) NA Rated tacelloni Lvery Yew grey 2007 CALMAR RATED COMMUNICATIONS rxenurtraer -•"4 =tr . = SDNY_GM_00047068 OB-SDNY-0009892 EFIA_00157677 EFTA01254004 Deutsche Asset & Wealth Management P.O Om 1770, Balamore, MO 21203 Important Inform ation and Disclosures (continued) Draftee Sim PFP•IIP Ve/.100A.MI,Vid Marais Coon,. 4.0.p 0eaum M, secv—its •••< Mar Irert Ma, HS Pert Ammo. 160t, loct Mow Vert M' 101:4 Statement Period: 08/01/2016 - 08/31/2016 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, immured a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not pemitted without prior written authorization from Standard 8 Pools. Standard & Poors does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a cleaMg 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 fiable 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 crders: the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general. for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (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/aboutistrength-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 raging to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's cont n be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Account Num ber Maud tacellonti GO per less (very Year Since 2007 DALBAR RATED COMMUNICATIONS SOL THERA sorennYrIDALTITIA rxnurtraer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) page of 8 Sa rIZZion a."01Zrolitree•• n Ott .0~0 ••• •••••6+,•••••••c SDNY_GM_00047069 DB-SDNY-0009893 EFTA_00 157678 EFTA01254005 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by pry, 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 join 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 %nil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Pape of 8 Account Num tier Go paperless SC L IFAl Y NA D ENT1A CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) TM ERN OSTOL Rated Excellent, L very Van Woo. 2007 DAL DAD RAT ED COMMUNICATIONS rxentrnaer ••—••• gam ••• •• /yak int ••c SDNY_GM_00047070 DB-SDNY-0009894 EFrA_00 57679 EFTA01254006 Deutsche Asset & Wealth Management P.O. Box 1778, Baldmore, MO21203 Ocusre Mm Prmiln W.Yn Papmernmt Meats t some Gms MANN ML Musa %lc P,.4 OIM NT Am Amok MCI Portfolio at a Glance Account Number: Statement Period:07101120161)M This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value 67,803,890.11 $8,206,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,803,890.11 8,206,772.67 ST THOMAS VI 00802 Dividends. Interest and Other Income 1.274.28 165.298 52 het Other Activity -2.00 .14.00 et Chance in Portfolio 67.902 58 .498 991 92 nding Account Value 57 873 065 27 $7,873,065.27 Accrued Interest 520.44719 Your Client Advisor: Estrm aled Annual [noon e $188.98860 CAMEL SABBA Asset Summary Prior Year.End but Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 3,117,813 92 4.908.547.49 4 909,819 77 62.36% hon.L SD Cash, Money Funds, and Bank Deposits 360,231.23 418.623.12 415.773 00 5.28% I It on.l. SD Fixed Income 2.961,547 52 2.476.719 80 2.547.472 50 32.36% LSD Equities 1,467,180 00 060 0.00 0.00% Account Total (Pie Chart) $8,206,772.67 67,803,890.11 $7,873,065.27 100.00% See the Mset Summary Disclosure and Footnotes section l& importam maxmation regarding your Asset Strnmary. PAN VOI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 6.31F I DIsParKlieisAL Please review your allocation perlodicalty wthyotrCient Advto• Page lot 8 tacellera IAA,. Va. Some 2007 DALOAR RATED COMMUNICATIONS rxartonser :tat SDNY_GM_0004707I DB-SDNY-0009895 EFTA_00 157680 EFTA01254007 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 07/31/2016. Exchange rates can vary. Summary of Gains and Losses Ibis Period Year-to-Date Unrealized Long-Term Gain/Loss 0.00 -4,41.50 000 Net GaIn/Loss This summary excludes transactions where cost basis information is rot available. 0.00 -4,417.60 0.00 Realized For Your Information The European Central Bank (the 'ECEr) and other credit institutions introduced 'negative interest rates' Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S These rates are subject to charge in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances Exchange Rate Table Global Cash Currency Currency USO Equivalent per USD Currency Closing Balance Mount in Base Currency USD BRITISH POUND 1 3275 0.7532 BRITISH FOUND 313,200.00 41577300 Exchange rates are based cn interbank exchange rates as of 07/31/2016. Exchange rates can vary. Total Global Cash Balance $415,773.00 Money Market Fund Detail Date Activity Type Detaiption Annul Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.30% Adivity Ending: 07129118 07101118 Opening Balance 4,908,547.49 4.908.547.49 07105/18 Withdrawal MONEY ELKO REDEMPTION -2.00 4.908.545.49 07129/18 Deposit INCOME REINVEST 1,274.28 4.909.81917 07129116 Closing Balance $4,909,819.77 Total All Money Market Funds $4,909,819.77 Account Number URA,' Go paperless St3 L THERA OSTOILPAS Tat A tn L A• • • CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. 6(e) NFI DEN Page 2 of 8 'IMAM Emmons M (very v«. Seam 2007 DAL BAR RA TED COMMUNICATIONS rxerimier oarel,==. 1=" "tra SDNY_GM_00047072 OB-SDNY-0009896 EFFA_00157681 EFTA01254008 Deutsche Asset & Wealth Management PO Bat 1778, Skidmore, MD 21203 Only.. Um km,. *math iMaigenan Marais (wear Git.p °MUM MA SeclobesW. Maw Ibri OlIce HS PP% Asa. Mk I bet Wart. NY 101%4 Income and Expense Summary Current Period Taxable Dividend income Equities 0.00 Money Market 1,274.28 Interest Income Bond Interest 0.00 Total Dividends, Interest, Income and Expenses $1,274.26 Portfolio Holdings BRITISH POUND Description Cash, Money Funds, and Bank Deposits Global Cash Balance Ouantily Statement Period: 07/8112116 17/31/21111 YeaMo-Date Noe Taxable Taxable Non Taxable 0.00 60,562.50 0.00 0.00 6,457.35 0.00 0.00 98.27867 0.00 10.00 $165,296.52 $0.00 Opening Closing Accrued 30•Day Balance Balance Cwrrence Income Yield 313,200.00 313,200.00 GBP 415.77100 USD Total Cash, Money Funds, and Bank Deposits Description Fixed Income (In Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE CONY GBP ISIAIXS1043181269 6.875% 09120188 REG OTD 03111114 S t P Rating 13B. Security Identifier 6639801,K3 Total Corporate Bonds : 313,200.00 313,200.00 GBP 0.00 415,773.00 USD 0.00 Acaued Estimated Estimated Quantity Market Price Market Value Cerrency Interest Annual Income Yield 2,000,000.000 95.9500 1,919,000.00 GIP 2,541,472 50 LAO 2,000,000.000 1,919,000.00 GBP 2,547,472.50 USD 1,919,000.00 GBP 2,547.472 50 USD 15,403.01 137,500.00 7.16% 20.447.49 182.531.25 16,403.01 137,600.00 20,447.49 182,53125 16,403.01 137,600.00 20,447.49 182,53125 Total Fixed Income: 2,000,000.000 Ni 099387CSF OSA. ROLL Account Number GO wiperless SO O Tat CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) TM ERN STOIVANN F I DAENTIA L. Page 3 of 8 naiad tacelle (very Yew Since 2007 DAUM. RAT ED OOMMUNICATIONS Ix4lLINCI SDNY_G0.4_00047073 DB-SDNY-0009897 EFTA_00157652 EFTA01254009 Portfolio Holdings (continued) BRITISH POUND (continued) Market Value Currency Interest Acaued Estimated Annual Income Total BRITISH POUND 2,232,200.00 GBP 2 963 245 50 LS] U.S. DOLLARS 15,103.01 131,600.00 20,147 49 182,531 25 Datable Dosing Acaued Income 30-Day Dee:dello, Quatity Balance Balance Iacono This Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL Total Money Market Total Cash, Money Funds, and Bank Deposits 4,909,919.170 4,906,547.49 4,909,019.77 $4,908,547.49 54,909,619.77 $4,908,547.49 $4,909,619.77 $0.00 56,457.35 0.00 $0.00 6,457.35 0.30% $6,457.35 Market Value Acaued Estimated Interest Annual Income Total U.S. DOLLARS 14,909,819.77 10.00 0,157.35 Market Value Accrued Estimated Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Correa cy I BRITISH POLIO U.S. DOLLARS Total USD Equivalent % of Allocation Messages Cub Fixed lone Total by Currency 313,200 4.909.819 1,919,000 0 2132.200 4.909.819 GBP USD 5,325,592 2 541 472 7,873,065 USD 67.64% 32.36% 100.00% 37,873,065.17 $20,117.19 $98,988.60 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 Nnd. 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. If Article 15 of the EU Securities Financing Transactions Regulation ('SFTRP) is applicable to you, please refer to https:thinwrpershing.cornr_global-assetstpdfidisclosuresiper-eu-article-15-info-stmtpdf for access to an information statement disclosing the risks and consequences of delivering non-cash collateral under a relevant collateral arrangement vrith Pershing LLC (including a margin account). This statement does not amend or supersede the express terms of any transaction, collateral arrangement or otherwise affect your or our liabibties or obligations. Please contact your financial professional if you have any questions. Account Number t)070 MOIL Go paperless SOL TM ERN OSLO Y MPAL ILL I DranAL NF CONFIDENTIAL - PURSUANT TO FED. R CRISA. P. 6(e) Page 4 of 8 Rated tarellerigi t very Van' 51007 Z007 DAL BAR RA TED COMMUNCATIONS I %CM I NCI oatler SDNY_GM230047074 OB-SDNY-0009898 EFTA_001576B3 EFTA01254010 Deutsche Asset & Wealth Management PO Bat 1770, Ba!limey*, MD 21203 DnaIsre Rant Pnwale Wolin laymienait Pdaterts IWrap 4,..• MAIM •ank scoonaw Na Pan Annie. Ita I ter War lot Irt 10114 Statement Period: 0710112016 • 07/31/2016 Activity Sum m a ry (Aft amounts shown ate In base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest 31,274.28 $0.00 31,274.28 3165,298.52 30.00 $165,298.52 Distributions 30.00 30.00 30.00 31,425,000.00 $0.00 31,425,000.00 Fees 30.00 -32.00 .32.00 30.00 .$14.00 -314.00 Totals 31,274.28 -32.00 31,272.28 31,590,298.52 .314.00 $1,590,284.52 Transactions by Type of Activity ProctsM Settlement Date Activity Type Description Quantity Price Accrued Interest Modal Came, Dividends and Interest 07129116 MONEY MARKET FUND DELTSChE GOVT CASE 1,274.28 USO INCOME RECEIVED 233993682 Total Dividends and Interest - U.S. DOLLARS 0.00 1,274.28 Fees 01101(16 FOREIGN CUSTODY FEE Fon SatekeeMng N 2016 CU SIP. 063980-U K-3 .2.00 USD G63980UK3 Total Fees • U.S. DOLLARS 0.00 .2.00 Total Value of Transactions 0.00 1,272.28 USO The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SASSA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154-0003 Page 5 of 8 masa tacelleni A:099.51 ' Account Number: Go paperless Ivan. Year SOSO, 2007 °BAH von I DAL 0.01 RATED COMMUNICATDONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 ERNcowl DALTITIA exogamic, SONY GM_000470TS DB-SDNY-0009899 EFTA_00 57684 EFTA01254011 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Conant Yield Method: Yes Accrual market discount method for all other bond types- Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolo value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however. pricing services are sometimes unable to provide timely information. Ware pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wit not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are piked via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading. Or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vAwirpershing.convbusiness_continuity.htrik for specific deeds 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 wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial intonation concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page 6 of 8 Account Num ber Go paperless e k i) 7.0.004.40.0 Vs. san0.z007 SOUTHERN srennn DALTITIA DALBAR RATED COMMUNICATIONS rxcournser CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) -.1:1=Cerwr..."=•=:. 11••••••• IAA manes. nOltok 'Ink. WIC SDNY_GM_00047076 OB-SDNY-0009900 EFIA_00157685 EFTA01254012 Deutsche Asset & Wealth Management P.O ficw 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) Dralsre Ram F,,..'. wean Manap-nent Pdatert$ COMM! Gro‘P partsthe NA Sew nes Lac. M fen Ofk• us ran Mw. tau to Mew* in• Statement Period: 07/01/2016 • 0713112016 Proxy Vote Securities not hilly paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on ban. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherrine. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Pools is not pemitted without prior written authorization from Standard & Pools. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pool's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or set securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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 concembg 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. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account This notice is not meant as a definitive enumeration of every possble 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 (SIPCt 1 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.corniaboutistrength-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, indudiig 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 073991 . Errors and Omissions excepted. MIAN L TRERh OST IO tP 4 at 1/4R1 YE I DAENTIA L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Num ber Go paperless Itned excellent, Every Va. since 2007 DAL BAR it/Cr ED COMMUNICATIONS rxciturrier Wes SDNY_GM_00047077 OB-SDNY-0009901 EFrA_00157686 EFTA01254013 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by pry, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is fled, 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 lass action until; (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Papa of 8 Account Num ber Go paperless 90t, CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) THERA Oscar, DENT1AL R.i.d excellent L very V.. Since 2007 DALBAR RATED COMMUNICATIONS rxciturnaer tr. LtrZtt A.=.•" .= SDNY_GM_00047078 O13-SDNY-0009902 EFrA_00157687 EFTA01254014 Deutsche Asset & Wealth Management P.O. Box 1770 Skidmore. ND 21203 SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: DANIEL SABBA Drat,' •.e won PAIMIP, 114 Marotts (Int•gt6.0.9 0...tic la km StC,M1M. Mealy,' Me Marini Anis. lignik, Nero RA AY 101,4 Account Number: Statement Period: 0610112016 -1613012816 Portfolio at a Glance Beginning Account Value Adjusted Previous Account Value Drvidends. Interest and Other Income het Other Adivity het Chan in Portfolio noting Account Value Accrued Interest Estim aced Annual horn e Asset Summary Prior Year-End Last Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 3,117,813.92 1,907,324.65 4,908,547.19 62.90% Non-LSD Cash, Money Funds, and Bank Deposits 380,231.23 355,73333 418,623.12 5.36% I A on•L SD Axed Income 2.961,547 52 2,811,550.20 2,176,719 80 31.74% LSD Equities 1,467,180 00 0.00 0.00 0.00% Account Total (Pie Chart) 68,206,712.67 58,077,808.38 $1,603,890A1 100.00% See the Asset Summary D,sdosure and Footnotes section lot Important MomtatIon regarding your Asset Summary. This Period Year-to-Date $8,077,608.38 $8,206,772.67 8,077,608.38 8,208,772.67 99.503 51 161,024.24 •2.00 .12.00 .373 219 48 .566 894 50 $7,803,890.41 $7,803,890.41 5188.96S 57 P ease renew your allocabon cer ocilta y wth your Clent Acl.oscr. DOA° CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Rated Excelleria 110097717C3P3002.1 GO paperless (very Van Woes 2007 Cioulrik Sto. TEO COmodkeICOTIONS CONFIDEMIA rxesurnaer •••••••taft a.m.( Main Nan. rc SDNY_GM_00047079 OB-SDNY-0009903 EFTA_00157688 EFTA01254015 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 06/3012016. Exchange rates can vary. Summary of Gains and Losses This Period YearTo-Date Unrealized long-Term Gain/Loss 0.00 -4,417.50 000 Net GaIn/Loss This summary exckices transactions where cost basis intern-anon is rot available. 0.00 .4,417.60 0.00 Realized For Your Information The European Central Bank (tie 'ECEY) 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 charge in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances Exchange Rate Table Global Cash Currency Curren USO Equivalent per 1.15D Currency Going Balance Mount in Base Currency USD BRASH POUND 1 3366 0.7461 BRITISF FOUND 313,200.00 418 623 12 Exchange rates are based on interbank exchange rates as of 06/30/2016. Exchange rates can vary. Total Global Cash Balance $418,623.12 Money Market Fund Detail Date Activity Type Description Mont Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.34% Activity Ending: 06130/18 06101/16 Opening Balance 4,907,324.85 4,907,324.65 06102118 Wilhdresai MONEY FUND REDEMPTION -2.00 4,907.32215 01130118 Deposit INCOME REINVEST 1.224.84 4.908.547.49 00130116 Closing Balance $4,908147.49 Total All Money Market Funds 54108147.49 08 AB MOLL Account Nun bed Go paperless CUM Tat A N FID EWN L CONFIDENTIAL — PURSUANT TO FED. R CRINI P. 6(e) LTM ERN Page 2 of 9 rated tacollerdi (very Van Since 2007 DALBAII RATED COMMUNCATIONS rxenurnaer SDNY_GM_00047080 OB-SDNY-0009904 EFrA_00 157689 EFTA01254016 Deutsche Asset & Wealth Management PO Do. 1778. Baliimore. MO2t203 Income and Expense Summary Dividend Income Equities Honey Market Interest Income Bond interest Total Dividends, Interest, Income and Expenses Portfolio Holdings BRITISH POUND Description Quantity Cash, Money Funds, and Bank Deposits Global Cash Balance DraS04111.ma Prmair Wean lAptagenan Marets Canny 6.0‘P Devisch• NA starts at. Mew *4 Olice Hf Pin MOM. MOO kw *errant NY 10134 Statement Period: 01/0112118 - 1813012118 Current Period Year4o-Date Taxable Noe Taxable Taxable Non Taxable 0.00 0.00 60,562 50 0.00 1,224.84 0.00 5.183.07 0.00 98.278.87 0.00 98.278 67 0.00 399,603.51 80.00 8164,024.24 $0.00 Opening Closing Accrued 30•Day Balance Balance Currenq Income Yield Total Cash, Money Funds, and Bank Deposits Description Fixed Income (In Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE COhVGBPISMIX,M04318i289 6.875% 09120188 REG VG 03111114 S a P Rating BEis Security Identifier 663980LK3 Total Corporate Bonds : Total Fixed Income: 244,440.00 313,200.00 GBP 418,823.12 USD 244,440.00 313,200.00 GBP 0.00 418,823.12 USD 000 Quantity Market Price Market Value Den ney Annual Accrued l est eter Estimated Estimated Income Yield 2,000,000.000 92.6500 1,853,000.00 2,416,719.80 G8P LSD 3,766.83 5.021.38 137,500.00 183.782 50 7.42% 2,000,000.000 1,863,000.00 2,478,719.80 GBP USD 3,75613 5,021.38 137,500.00 183,782.50 2,000,000.000 1,863,000.00 2,478.719 114 GBP USD 3,758.83 5,021.38 137,500.00 183,782.50 Page 3 of 9 Account Numbers e.t.a 00Akl ROLL GO paperless 0..r, Vat Siva 2007 DALBAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. THERk conn DENTIA rxenurnaer SDNY_GM_00047081 DB-SDNY-0009905 EFTA_00157690 EFTA01254017 Portfolio Holdings (continued) BRITISH POUND (continued) Markel Value Currency Maued Estimated Interest knell Income Total BRITISH POUND 2,161,200.00 GIP 3,758.83 137,600.00 2.895.342.92 LSO U.S. DOLLARS 5.021.38 183.782.50 °peeling Closing Accrued luau 31.Day Description, Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH MR Total M oney Market Total Cash, Money Funds, and Bank Deposits 4,908,547.490 4,907,324.65 4,908,547.49 34,907,324.66 84,906,647.49 34,907,324.66 84,906,547.49 30.00 $5,183.07 0.00 30.00 5,183.07 0.30% 85,183.07 Market Value Accrued Estimated Interest Mnual Income Total U.S. DOLLARS $4,908,541.49 80.00 85,163.07 Market Value Accrued Estimated Interest Mnual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Casa Fixed Income Total by Currency BRMSF POLND 313.200 1.853.000 2,166.200 GBP L.S. DOLLARS 4.908.547 0 4.908.547 LSD Total USD Equivalent 5,327,170 2,476,719 7,803,890 USD % of Allocation 68.26% 31.74% 100.00% Messages 87,803,890.41 35,021.38 3188,985.57 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 Nnd. 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 COMM your advisor for additional information. Pursuant to SEC Rule 10b-10flag1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. If Article 15 of the EU Securities Financing Transactions Regulation ('SFTR') is applicable to you, please refer to htlps:thwiwpershing.conV_global-assetslpdf/disclosures/per-eu-article-15-info-stmtpdf for access to an information statement disclosing the risks and consequences of delivering non-cash collateral under a relevant collateral arrangement with Pershing LLC (including a margin account). This statement does not amend or supersede the express terms of any transaction, collateral arrangement or otherwise affect your or our liabilities or obligations. Please contact your financial professional if you have any questions. UltAN 14011 XLTHERA Co lar el D AENTIA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber Go paperless Rated Doll* M LAN, VAN Mom 2O07 DAUSAR RATED COMMUNICATIONS r %CR r NCI Page< of 9 SDNY_GM_00042082 DB-SDNY-0009906 EFTA_00I5769 I EFTA01254018 Deutsche Asset & Wealth Management P.O. Box 1776, Babimorce, MD 21203 Activity Sum m a ry (tfl amounts shown are in base currency) DraS C ••[ Bm, Pr.. Wea•n•Aptagenmt &inns wen. 6io‘ • Devlach• See* stare" at. Mow Ibri011t• HS pH Asa. lino bet Won* MI 101M Statement Period: 06/01/2016 • 06130/2016 Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $99,503.51 10.00 $99,503.51 $164,024.24 $0.00 $164,024.24 Distributions $0.00 $0.00 $0.00 $1,425,000.00 $0.00 $1,425,000.00 Fees 60.00 -$2.00 -$2.00 $0.00 .$12.00 .$12.00 Totals 999,503.51 •$2.00 $99,501.51 $1,589,024.24 -$12.00 61,589,012.24 Transactions by Type of Activity Protest/ Settlement Date Activity Type Description Quantity Price Awned Interest Amoral Canny Dividends and Interest 06/20116 FOREIGN BOND INTEREST G63980UK3 06/30116 SIDNEY MARKET FUND INCOME RECBYED 233993682 2000000.00 SHARES NATIONWIDE BUILDING SOCIETY EL RO ISSUE CO NV GBP 'SINS XSI043181269 6 875% 09120188 REG DTD 03/11/14 CLB FOREIGN BOND INTEREST RD 061716 PD 062016 AS OF 06/17/16 DEL TSCI-E GOVT CASH 68.760 00 98,278 67 1.224.84 GBP USD USD Total Dividends and Interest BRITISH POUND TOTAL LSD EQUIVALENT L.S. DOLLARS Fees 06101116 FOREIGN CUSTODY FEE G63980UK3 Fgn Safekeeping MAY 2016 CUSP. G63980-1; K-3 000 0.00 000 68,760 00 98,278 67 1,224 84 •2.00 GBP USD USO USO Total Fees • U.S. DOLLARS Transactions Summary Total Accrued Interest Total Amount Currency Total Atoned Interest USD Equivalent Total Amount USD Equivalent 0.00 -2.00 BRITISH POUND L S DOLLARS The price and quantity displayed may have been rounded. 000 68 760 00 GBP 000 1 222 84 LSD 0.00 0.00 98,278 67 1,222.84 liktM111 ROLL SOUTH ERA C SME CI D AENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number 4.10 paperless Page 5 of 9 Rsd tace0sra L very Year Sista 2007 DAL OAR RAT (0 COMMUNCATK*6 rxemmer :17:7:47Z.,4M —tttO:=. - 74.7= SDNY_GM_00047083 DB-SDNY-0009907 EFTA_00 157692 EFTA01254019 Client Service information Your Client Advisor: DM DANIEL SABBA 345 PARK AYR UE, 26TH FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method far all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accruai market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper con m unications, log in to your amount or contact your Oient Advisor for more inform afion. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements wil not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities. including thinly-traded securities. debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EM) 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 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 tine, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to vnwirpershing.cornthusiness_continuity.thrie for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI 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 Fade 6 of 9 Account Num berms ()BAD ROLL Go paperless L TH ERK OSTUPAt, Yat ETriA L A' • CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) NFI D Itatacl tacellerigi L very Va.Since 2007 DAUM. MUDD COMMUNICATIONS IXCRI.rtraer ?Cr reir =It 6,2= 1":= SDNY_GM_00047084 OB-SDNY-0009908 EFTA_00157693 EFTA01254020 Deutsche Asset & Wealth Management PO. em 1778. Ballimore, MA 21203 Important Inform ation and Disclosures (continued) Onlsee Ram Won IAnolnrat Peateets Coterie G.p.p IN.flutm NM 'Wynn mc MN. Vert Onto HI Pan annotimatcr war yen. 1,•Y NMI Statement Period: 06/01/2016 • 06/30/2016 Reinvestment 1,cont,nued.) whom your security was purchased, may De obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the tens outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pons. Reproducing and distributing any information received from Standard & Poor's is not penitted without prior written authorization from Standard & Pools. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as clearing bicker 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 conceming your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other 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. II you have any questions regarding this notice or it you would ike additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC6). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing Page 7 of 9 Account Number DRAB IOU Go paperless soL OT( C.r N DAENTIik L. CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) THERA S RAMS L very Vase Yam 2007 DASOAR RATED COMMUNICATIONS tret-tri...'====• groove IME •••••••••110A writ. MC SDNY_GM_00047085 OB-SDNY-0009909 EFIA_00 157694 EFTA01254021 Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: wbwrpershing.comiabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includitg unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your tights under the Securities Investor Protection Act. • Your financial organization's 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)4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other b court, including the tight 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 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 thipority 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 ill court. • The rules of the arbitration forum in which the claim is Ned, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Page 8 of 9 Account Number Rioted twalleria l)8A2 /021 Go paperless [very Year Sisto 2007 GALLIA. RATED COMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. 67: Hatusin DAL1SITIA rxeitirmer SDNY_GM_00047086 OB-SDNY-0009910 EFTA_00157695 EFTA01254022 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL, SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, Tit TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S 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 COREINED 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 S AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. PNESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PIERSH INCH) FOR ANY AMOUNT, ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNO TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES 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 LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FNANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS - RULE 607(AX1)-(28 PERSHING SENDS CERTAN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY MID OPTION ORDERS TO ITS AFFILIATE, BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF ThE ABOVE TERMS AND COMMONSARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-W.3 IMMEDUILTELY IN WRITING8Y CERTIFIED MAIL TO ONE PERSHWG PLAZA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT Page 9 on Account Nun be, RA O tscollone Go paperless a., Year SSW. 2007 SO L TH ERA Osoci.yr DrNtcriA ICZEIALIgNE°C°MMIAICA.3.6 T CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) SDNY_GM_00047087 DB-SDNY-0009911 EFIA_00 157696 EFTA01254023 Deutsche Asset & Wealth Management PO Boo 1778. BeOmar*. MO 21203 Devicee manair,tat Mwoets Co+ttneC•cco De..,0 1.01.14(n. M. mt. bete Office SI Ann... tek deer Portfolio at a Glance Account Number: Staten ent Period: 0 510112016 -1513112116 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value $8,001,203.05 $8,206,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 8,001,203.05 8,206,772.67 ST THOMAS VI 00802 Dividends. Interest and Other Income 31.297.87 64.520.73 Net Other Activity •2.00 •10.00 A et Chan in Portfolio 45.109 48 .193 675 02 noting Account Value S8 077 608 38 $8,077,608.38 Accrued Interest $89 11724 Your Client Advisor: Estim ated Annual Morn e $204.061.98 DANIEL SABBA Asset Summary Prior Year-End Last Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 3,417,813.92 3,451,028.78 4,907,324.65 60.76% Nan-LSD Cash, Money Funds, and Bank Deposits 360,231.23 358,031.27 355,733.53 4.40% ( hon.L SD Axed Income 2.961,547.52 2,788,283.00 2,814,55020 34.84% LSD Equities 1,467,180 00 1,423,860.00 0.00 0.00% Account Total (Pte Chart) 68,206,712.67 $8,001,203.05 18,077,608.38 100.00% See the Asset Summary Disclosure and Footnotes sectoo for imponam kgomtation regarding your Asses Summary. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON FlErgtfisAL 50098788CSF300l6 P ease renew your allocation cot cdca y wth your Clent Adviser. Page 109 Rated Encoder. Every Vder Sees 2.007 CALMAR RATED COMMUNICATIONS rxenurreer = reLz • SDNY_GM_00047088 DB-SDNY-0009912 EFTA_00157697 EFTA01254024 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 05/31/2016. Exchange rates can vary. Summary of Gains and Losses Realized This Period Yearstri•Date Unrealized Long-term Gain/Loss Net Gain/Loss This summary excluces transactions where cost basis inlormation is rot available. -1.111.50 -1.411.50 000 -1,117.50 -1,117.50 0.00 For Your Information The European Central Bank (he '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. Exchange Rate Table Global Cash Cerrency Current" USO Equivalent per USD BRITISH POUND 1.1553 0.6811 Exchange rates are based on interbank exchange rates as of 05/3112016. Exchange rates can vary. Money Market Fund Detail Date Activity Type Desaiption Closing Mount in Oarrenq Balance Base Currenq USD BRITISH POUND 211,110.00 355,133.53 Total Global Cash Balance 6355,733.53 Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.28% Activity Ending: 05131116 04/30116 Opening Balance 05103116 Withdrawal MONEY FUND REDEMPTION 05/18116 Deposit MONEY FUND PURCHASE 05117116 Deposit MONEY FUND PURCHASE 05131116 Deposit INCOME REINVEST 05/31(15 Closln0 Balance 3,151,028.18 3,151,028.78 •2.00 3,151,026.78 1,125,000.00 1,876,026.78 30,28125 1,906.30.9.03 1.016.62 1,907,321.65 61.907 321.65 Total All Money Market Funds $1.907,321.05 Account Num ber GO paperless - EN CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) SOLTHERA OSTON,rip -71AL Pap 2 of 9 Rated Camas rot Event Vs. Sims 2007 OALBAll NAT CO COMMUNICATIONS rxerturrier rat Mr Xurtsterw.r.wr":= —ISO --4-•••frAni —C SDNY_GM_00047089 OB-SDNY-0009913 EFTA_00157698 EFTA01254025 Deutsche Asset & Wealth Management Ocw 1770, Balamer*, MD 21203 Income and Expense Summary DraIwo Rant Prmair WeahnPaptagenan Pdverts CooraCe 6 '0 4, Dettsag M Settonerac lire Von Oincto In Put Ammo. 160. I *xi Statement Period: 05/0112016 • 05/3112016 Current Period Year-to-Date Taxable Na Taxable Taxable Non Taxable Dividend Income Equities 30,28125 0.00 60,562 50 0.00 Money Market 1.018.62 0.00 3.958 23 0.00 Total Dividends, Interest, Income and Expenses 331,291.67 30.00 $64,520.73 $0.00 Portfolio Holdings BRITISH POUND Description Opening Quantity Balance Posies, Balance Darrenq kaued 30-Day Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 211,140.00 214,410.00 355,733.53 GBP USD Total Cash, Money Funds, and Bank Deposits 211,140.00 244,440.00 355,733.53 GBP USD 0.00 0.00 Description Quantity Market Price Market Value Currency Accrued Interest Estimated Estimated Annual Income Yield Fixed Income (In Verunty DaIe Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 96.7000 1,934,000.00 GBP 61,236.34 137,500.00 7.10% C0AV GBP 'SIM XSIO13181259 2.814.550 20 USD 89.11724 200.103.75 6.875% 09120188 REG DTD 03111114 S S P Rating BF Security Identifier 663980LK3 Total Corporate Bonds : 2,000,000.000 1,934,000.00 GBP 61,236.34 131,500.00 2.814.55020 USD 89.117 21 200.103 75 Total Fixed Income: 2,000,000.000 1,934,000.00 GBP 61,236.34 137,500.00 2.814.55020 US0 89,117.24 200 10375 kaued Estimated Markel Valle I:Intact Interest Annual Income Total BRITISH POUND 2,176,440.00 GBP 61,236.34 137,500.00 3,170,283.73 USD 89,117.21 200,103.75 I IHAN .OI Page 3 ail Account Number Go paperless SOUTH ERN Osolyr.ciDENTAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Et Misr Irma • ra Every YearSince ?007 DALSAR RATED COMMUNICATIONS ISM L MCI SDNY_GM_00017090 DB-SDNY-0009914 EFTA_00 157699 EFTA01254026 Portfolio Holdings (continued) U.S. DOLLARS Descriptioa Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL Total Money Market Total Cash, Money Funds, and Bank Deposits Quaatlty Opening Balance Closing Balance Accrued Income Income 30-Day This Year Yield 4,907,374.650 3,451,028.78 4,907,324.85 83,181,028.78 $1,907,321.06 93,151,028.78 $1,907,321.86 0.00 $0.00 $0.00 3,958.23 0.28% $3,968.23 93,958.23 Market Value Accrued Interest Estimated Anneal Income Total U.S. DOLLARS 54,907,314.65 Market Value $0.00 Accrued Interest 53,958.73 Estimated Annual Income Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Cast Fixed Income Total by Currency IRMO POUND 244.440 1.931.000 2.178.440 GBP U.S. DOLLARS 4.907.324 0 4.907.324 LSD Total USD Equivalent 6,283,068 2.811,650 8,077.608 USD % of Allocation 86.16% 31.84% 100.00% Schedule of Realized Gains and Losses Current Period Description Long Term ALLY ANL INC Fix TO .50% FREQ.QTRLY =ABLE Q 25 000N A QTRLY BASIS AFTER 05/1 Security Identifier: 02005N308 Date Date Disposed Acquired Designation 05116116 06111113 toncovered. -13 $8,077.608.38 Disposition Method I Transaction First In First Out / REDEMPTION Original Cast Basis 1.459.698.75 Quantity 57.000 000 $89,117.24 5204,061.98 Realized Proceeds Coll Bads Gaud Loss 1,425,000.00 1,129,417.50 -4,417.50 Total Long Term 1-18A1 ROL/. Account Number Go paperless SOL _ NT1A L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA OsTO,Nrc Dr.. 1,125,000.00 1,129,417.60 -1,11730 Pap 4 of 9 Rabid [...WM (very Year Since 2007 DAL BAR RA TED COMMUNICATIONS rxesurNer SDNY_GM_00047091 DB-SDNY-0009915 EFrA_00 157700 EFTA01254027 Deutsche Asset & Wealth Management P.O. Boa 1778, Bahimoro, MD 21203 0ro'soy Rant Pnwale Wolin Mragenen PdantlY CP•MaCt 6,01, IX Se. WMOCI. Mao *A 000 Hf 7.0 Mow, MOO low 00. we 1ma Schedule of Realized Gains and Losses Current Period (continued) Description Date Da!e Disposed Acq. red Desig nal d- Disposition Method / Traesadion Statement Period: 0510112016 • 05/3112016 Realized Quantity Proceeds Cod Basis Gain( Loss Total Short and Long Term 1,425,000.00 1,429,411.50 •4,41750 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1988, as amended ("IRC') (incorporating amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2038) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. AI other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 7, 2014. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especialy for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital nformation and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be refable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shat not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources bekeved to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Is The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Pegs 5 of 9 Account Awake 'gated excethinei menu vot GO paperless Ivory Yew Since 2007 CAL RAVED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R DRIM. 67e)LTHERhconn DriTisiA exciarmer SDNY_GM_00047092 OB-SDNY-0009916 EFrA_00157701 EFTA01254028 Messages Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, It is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Sum m a ry (Aft amounts shaven are in base currency) Credits This Period Debits This Period Net This Period Credits Year.to.Dale Debits Year•to-Date Pitt Year•to•Date Dividends and Interest $31,297.87 50.00 $31,297.67 $64,520.73 9.00 $94,520.73 Distributions $1,426,000.00 $0.00 $1,426,000.00 $1,425,000.00 $0.00 $1,426,000.00 Fees $0.00 -$2.00 -$2.00 PM -$10.00 -$10.00 Totals $1,466,297.87 -$2.00 $1,466,296.87 $1,409,620.73 -$10.00 $1,409,610.73 Transactions by Type of Activity Process' Settlement Date Activity Type Description Quantity Price Accrued Interest Mount Lunen Dividends and Interest 05116116 CAS- DIVIDEND RECEIVED 02005N308 05131116 MONEY MARKET FUND INCOME RECEIVED 233993662 57000 SI-RS ALLY F1NL INC FIX TO FIT DIV.8.50% FREO.OTRLY CALLABLE 0 25100N A OTRLY BASIS AFTER 0511512018 RD 05/01 PO 05/16116 DEUTSCHE GO VT CASF 30,281.25 1,016.82 USD USD Total Dividends and Interest • U.S. DOLLARS 0.00 31,297.67 Distributions 05/16116 SECURITY REDEEMED ALLY FINL INC RX TO FIT DIV-6.50% FREO.OTRLY CALLABLE -57,000.000 1,425,000.00 USD 02005N308 0 2500 ON A OTRLY BASS AFTER 05/15/2016 Total Distributions • U.S. DOLLARS 0.00 1,426,000.00 Fees 05102116 FORBGN CUSTODY FEE Fan Safekeeping APR 2016 CUSP. 663980-UK-3 -2.00 USD G63980UK3 Total Fees • U.S. DOLLARS 0.00 •2.00 Total Value of Transactions 0.00 1,456,295.17 USD The price and quantity displayed may have been rounded. liBAN WOI I Pap 6 of 9 Account Number RANdemcabM Go paperless (very v«. Lae, 2007 DALBAR RATED COMMUMULTIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERhconn DAL1SITIA rxenunmer reitrawn r—rld.`="=". •—•-sk4c SDNY GM omkulyn DB-SDNY-0009917 EFTA_00 157702 EFTA01254029 Deutsche Asset & Wealth Management P.O. Om 1778. B*Mmore. MD 21203 Client Service Information Gram.< Rana ..wale Wean L.,p COMO. OW.. t) Des-boil lank Settoles lire von Oat* HI Pan Anie. lC Ice, Wye leek in• kmv Statement Period: 0510112016 • 05/3112016 Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE. 26TH FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for ail Other Securities: FIRST IN FIRST OUT Bond Amortisation Elections: Am orlize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not seleded any account corn m unications for electronic delivery. To register and turn off paper corn m unitarians, log in to your account or contact your Client Advisor for more information. Important Inform ation and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including shod 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. Marker vices do not constitute a tad or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked -N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from venous pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities. debt securities in default, securities that do not have a valid pitting source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and NIA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price. as well as the current bid and offer prices. I,rtn.fr Account Number Go paperless SOUTHERN OsTON, , CONFIDENTIAL — PURSUANT TO FED. R MM. P. 6(e) pap Tata kat.. Excellent, (very Va. SIAM 2007 DAUM. RATED COMMUNICATIONS rxarturmer otitr....T:3==="'"1= SDNY_GM_00047044 OB-SDNY-0009918 EFTA_00157703 EFTA01254030 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield tEAY) 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 YAWI.pershing.congbusiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial 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 won written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The fight 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 nurnber of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or avaitability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a dealing agreement wet 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 tiff 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 or 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 appticable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other 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. • Fcr 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 Pagel on Account Rum ber a Ratod facellonli U•AN 9011. Go paperless L....my Year Since 2007 L THERA sTCOOVI Dm TAP '''''''''''EDC°41.1.CATCHS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) rare UM meow IS Wet M.0 SDNY_GM_00047095 OB-SDNY-00O9919 EFIA_00157704 EFTA01254031 Deutsche Asset & Wealth Management PO Boa 1778. Baliimore. MO21203 Important Inform ation and Disclosures (continued) Orals ,. Ran.. nnln YAP lin Manapnerd Myatt Cowan 4%•.p °taunt sank smokes4%. *Inbar Olio, M pan Asa. lite' I Icor Mido l lotrf unsit Statement Period:0510112116 • 05/31/2016 The Role of Pershing (contmuel) provides coverage in excess of SIPC limits. For more detailed information please visit www.pashing.conriaboutistrength-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) 0134330. Errors and Omissions excepted. Important Arbitration Disclosures • At 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, n 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 affiiated 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; IME Account Num ber Go paperless SOUTHERN OsTarc DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page909 Itned Excellent, (very Y«. Sims 2007 DAL OAR RATEOCOMMUNICATIONS rxerturner octrit'a.tratrat.'1a"z azu...-6 = SDNY_GM_00047O96 OB-SDNY-0009920 EFTA_00157705 EFTA01254032 Deutsche Asset & Wealth Management P.O. Boa 1776, Ballimore. MD 21203 I/relive Rant Oro,. Main PALthitthan Pdaeals Crone GKOR Desesthe Mk Smoot, kc mr.v.4 Clic* Ill Path Ammo 160, I bet New loth nr le114 Portfolio at a Glance Account Number: Statement Period: 0 4/01/2016 - 1413812118 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value 17,903,589.27 18,205,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,903,589.27 8,206,772.67 ST THOMAS VI 00802 Dividends. Interest and Other Income 820.89 33,222.88 Net Other Adivity •2.00 4.00 Net Chan in Portfolio 94791 89 .239 784 48 noting Account Value 8 0 0 1 2 0 3 0 5 $8,001,203.05 Accrued Interest 572.634 11 Your Client Advisor: Estimated Annual Income $325.462.86 DANIEL SABBA Asset Summary Prior Year-End Lad Period This Period %Allocation USD Cash. Money Funds, and Bank Deposits 3,117,813.92 3,450,209.89 3,151428.78 43.13% Non-U SD Cash, Money Funds, and Bank Deposits 380,231.23 351,28412 358,03127 4.41% A on.L SD Axed Income 2.961,517.52 2,650,871.66 2,768,283 00 34.60% L SD Equities 1,167,180 00 1,151,220.00 1123,86000 17.80% Account Total (Pie Chart) 18,206,712.67 17,903,589.27 $8,001,203.05 100.00% See the Asset Summery poseurs and Footnotes section la Important Inlomtellon regarding your Asset Strnmsry. 08..I1 ROLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID('Mli sAL A00900O6CSF300l0 P ease review your allocation cer Fora y wth your ClentAdvmx. Pap 1 of8 Rated Oscollora Leery thm. Siam 2007 CALMAR RATED COMMUNICATIONS 7XCILLIINCO SDNY_GM_00047097 DB-SDNY-0009921 EFTA_00 157706 EFTA01254033 Asset Summary Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 04/30/2016. Exchange rates can vary. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized long-term Gan/Loss 0.00 0 00 -5.557 50 Net Gain/Loss This summary excludes transactions where cost basis intern-anon is rot available. 0.00 0.00 -5,557.50 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 wit be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Currency Currency USD Equivakit per USD Currency Dosing Balance Mount in Base Currency USD BRITISr- POL TT 11647 0.6827 BRITISH POUND 244,440.00 358,03127 Exchange rates are based on interbank exchange rates as of 04/30/2016. Exchange rates can vary. Total Global Cash Balance 9358,03117 Money Market Fund Detail Date Activity Type Description Amount labia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.29% Adivity Ending: 04129118 04101/16 Opening Balance 3,450,209.89 3,450,209.89 04104118 Withdrawal MONEY FUND REDEMPTION •2.00 3,450,207.89 04129/16 Deposit INCOME REIN VEST 820.89 3.451.02818 04129118 Closing Balance $3,451,028.79 Total All Money Market Funds 93,451,025.78 °BAN MOIL Account Number Go paperless Mat I DrariAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOLTHERN OVU NVF Page 2 of 8 Maud Camila M (very VAN Same 2007 DAL BAR RATED COMMUNICATIONS 7XO1117NCI .777.C71.,==.4111..r= (—gm, min SDNY_GM_00047098 OB-SDNY-0009922 EF114_00 157707 EFTA01254034 06111113'•'3 57.000.000 25 0780 1.429.417 50 24.9800 1,423,060.00 -5.557.50 Total Preferred Stocks 11,429,417.50 11,423,880.00 -15,557.50 Total Equities 11,429,417.50 11,423,860.00 -15,557.50 Cog Basis Market Value Deutsche Asset & Wealth Management PO 8c..• 1778. Baltimore. MO2t203 Income and Expense Summary P,,.,,, Weahn Mragenan Pditals Caen(' 6 '0,P Dettfor4 SettolesW livrt Olk* H. ion Any. It" I ter War leek ktt 10114 Statement Period:04/11/2M -14/3012111 Current Period Year-to-Date Taxable Nom Taxable Taxable Noa Taxable Dividend Income Equities oney V arket Total Dividends, Interest, Income and Expenses Portfolio Holdings U.S. DOLLARS Opening Date Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL 04101116 3.451.028.780 NIA 04129116 3,450,209.89 3.451.028 78 25.48 2.94161 Total Money M arket $3,450,209.85 $3,451,028.78 125.48 12,941.81 Total Cash, Money Funds, and Bank Deposits 13,450,209.88 13,451,028.78 125.48 12,941.61 0.00 0.00 30,28125 0.00 820.89 0.00 2,941.61 0.00 182059 1011 333,222.86 90.00 Accost Activity Opening Closing Mailed Income 30-Day Current Quantity Number Emdteg Bahasa Balance Income This Year Yield Yield 0.29% 0.29% Unrealized Estimated Estimated Dale AD:mired Quantity Unit Cog Cog Basis Market Price Market Value Gain! Loss Annual Income Yield Equities Preferred Stocks (Lured by expiration dale) ALLY F1NL INC FIX TO FLT Security Identifier: ALLY PRBC DIV-8.50% FRED-QTRLY CALLABLE I 25.00 Cis SIP 02009.308 ON A OTRLY BASIS AFTER 05/1512016 Dividend Option: Cash 121.125.00 8.50% 1121,125.00 $121,125.00 Unrealized Maned Estimated Gain/ Loss Interest Annual Income Total U.S. DOLLARS 14,880,446.28 14,874,888.78 -15,557.50 10.00 1124,066.61 Account Number A, 40i Go paperless SOL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERA OSTOVPAN EI DAENTIAL Page3ofS llama tsvollonli (very V••• Since 2007 DAL BAR MTEO COMMUNICATIONS rxesurner 22:12.trit SDNCGM_00047099 DB-SDNY-0009923 EFTA_00 157708 EFTA01254035 Portfolio Holdings (continued) BRITISH POUND Opening Dosing Awued 30-Day Description Quantity Balance Bataan Currency Wore Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 214,410.00 241,110.00 GBP 358,031 27 USD Total Cash, Money Funds, and Bank Deposits 214,440.00 241,440.00 GBP 0.00 358.031.27 USD 0.00 Awned Estimated Estimated Description Quantity Market Price Market Value Cottency Intend Anna' Inoue Yield Fixed Income (In Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 94.5000 1,890,000.00 GBP 49,690.18 137,600.00 7.27% CONY GBP ISINCIS1043181269 2.768.283 00 USD .25 72,634.71 201.396 6.875% 09120188 REG DID 03111114 68 P Rating B8+ Security Identifier: G63980UK3 Total Corporate Bonds : 2,000,000.000 1,890,000.00 GBP 2,768,283.00 USD 1,890,000.00 GBP 2,768,283.00 USD 49,590.16 137,500.00 72,634 71 201.396.25 49,690.16 137,600.00 72,634 71 201.396 25 Total Fixed Income: 2,000,000.000 Markel Value Currency Total BRITISH POUND 2,134,440.00 GBP 3 126 314 27 LSD Cost Basis Market Value Accrued Estimated Interest Annual Income 49,590.16 137,500.00 72.634 71 201.396 25 Unrealized Accrued Estimated Gain! Loss Interest Annual Income Total Portfolio Holdings • U.S. DOLLARS 24,880,116.29 38,001,203.05 .35,557.50 $72,634.71 3325,462.86 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC") (incorporating amendments enacted by P.L110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting ivies, and marked or denoted as such. All other securities in this section are securities which are 'covered" under the new cost basis reporting rules. Securities which are "covered under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wiN be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Page 4 of 8 Account Number Rated tacellonl KAN Lt01 Go paperless Lyon, Yoe. since 2007 DALBAR RA TED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 670"HERk aim DAMSTITA rxenurraer SDNY_GM_00047100 DB-SDNY-OOO9924 EFFA_00157709 EFTA01254036 Deutsche Asset & Wealth Management P.O. Box 1770, Banimore. MD 21203 Portfolio Holdings (continued) Oril400 Mn. , ..Mild' woo. Vinet% COnetarG.p..p Desti.04 '<Cy net• AC lire Vert Mc* HI Pan Annet It" I ter Wye leek ItY Statement Period: 0410112016 01/30/2016 Reporting requeements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dMidend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014. IS The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Current/ Case Fixed Income Equities Total by Currency L. S. DOLLARS 1,42 .860 4.874.88a USD BRITISI- POUND - = 1,890.000 0 2,134.440 GBP Total USD Equivalent 3.8C9.06C 2,768,283 1,123,860 8,001,203 USD % of Allocation 41.60% 34.60% 17.80% 100.00% M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Sum mary(Aaeunounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Ctoderds and Irteres: $820.89 $0.00 $820.89 $33,222.86 $0.00 $33,222.86 Fees $0.00 -$2.00 -32.00 30.06 -$8.00 -$6.00 Totals $830 .89 -$2.00 $818.88 333,222.88 -$8.00 333,211.86 DOAN 4011 Account Num ber Go paperless SOL THERA OsTarc DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Page5 of 8 Rated tscollerdi Lowy V... Woes 2007 Omani RATED COmmumiCatiOnS exCluiter „r.•vn rte. /IOWA rarer. —c SDNY_GM_00047101 OB-SDNY-0009925 EFTA_00157710 EFTA01254037 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued leterest Moult Currency Dividends and Interest 04129116 MONEY MARKET FUND DEUTSCnEGOVT CAS'. 82019 USO INCOME RECEIVED 233993682 Total Dividends and Interest • U.S. DOLLARS 0.00 820.89 Fees 04101116 FORBGN CUSTODY FEE Fgn Safekeeping MAR 2016 CUSP. G63980-UK-3 -2O0 LSD G63980UK3 Total Fees • U.S. DOLLARS 0.00 -2.00 Total Value of Transactions 0.00 81819 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 315 PARK AVENUE. 26Th FLOOR KEW YORK NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST It. FIRST OUT Default Method lot Stocks in a Dividend Reinvestment Ran- FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Am ortize premium on taxable bonds based on Constant Yield Method. Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually. No Electronic Delivery You have not selected any account corn m unit/bons for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform don. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available ate marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to podfolo value. Cash shown in this statement may not necessarily Page 6 of 8 Account Num be; a itatod V[nation., liitA0 ROLL rip paperless L very an' Woo, Z007 0ALOAR RATED COMMUNCATKINS SOUTHERN Caw' DrisrriAL rxciurrier CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e SDNY_GM_00042102 DB-SDNY-0009926 EFTA_OO 15771 I EFTA01254038 Deutsche Asset & Wealth Management PO &a 1778. Ballimoro, MA 21203 Important Inform ation and Disclosures (continued) 0nalsre Ram IfFfile VeItalhAlli4j,Nat Minsts C wear oe.fschf fanii smokes4%f Mow TM Olio 141Part ••••••• lite' Ilea Statement Period: 0410112116 • 04/3012016 Pricing (continued) be evadable for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-parry structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and NIA will be placed in the price field in the statement. The pricing of ksted options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are 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 wevrpershing.comthusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dMdend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintairing current background and financial information concemkig your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may retied a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or Page of 8 Account Num ber Rated tacellonli DRAB 4O1.1. Go paperless l-nrf Ven SSW,. 2007 SOUTHERN OS( 511SIEC D rairs/ A L -- ‘if erereitiittrpa3mmumcAT°6 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) rrarr == ..0".ttrt: —Ian —•-•••••• tin SDNY_GM_00047103 013-SDNY-0009927 EFIA_00 157712 EFTA01254039 Important Information and Disclosures (continued) Ratings (continued) omissions. regardless of the cause. cr for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitabdity for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other 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: vnwtpershing.congabout/strength-and-stabilily. • 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 reeonfinned in writing to further protect your rights, including your tights 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 tight to sue each other in court. including the tight 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 wil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. 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 govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 8 of 8 Account Number: e t :, kat.. tacelloni Go paperless (very Yea. SSW, 2007 DAL OAR it^ T ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R DRINA, P. 67,,LTHERNc sonn DAMTIA rxestur NCI SDNY_GM_00047104 OB-SDNY-0009928 EFFA_00157713 EFTA01254040 Deutsche Asset & Wealth Management P.O. Boa 1776, Ballimore, MD 21203 SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: CAMEL SABBA Gnaw.< Rant Prmair wean Daptagenan Pdatel$ Caen., 6 ,0‘p Dettfor4 Settonei LaC hewn Onct Hann eantia. Ha Isar New RA nY In I•A Account Number: Statement Period: 03101/2010 -1313112016 Portfolio at a Glance Beginning Account Value Adjusts Previous Account Value Dividends. Interest and Other Incom e Net Other Adivity het Chan in Portfolio ntling Account Value Acciued Interest Estim ated Annual horn e Asset Allocation Prior Year-ES la Period This Period % Allocation ',SD Cash. Money Funds and Bank Deposits 3,117,813.92 3,119,118.51 3.454209 89 43.66% tion-LSD Cash, Money Funds. and Bank Deposits 340,231.23 300,602.70 351,281.72 1.00% on.l. SD Axed Income 2.981,517,52 2,178,354.18 2,850,871 64 3351% LSD Equities 1,167,180 00 1,137,510.00 1,151,220 00 1836% Account Total (Pie Chart) 18,206,712.67 47,703,111.72 11,90309.27 101.00% See the knit 7dbaeon Disclosure and Footnotes secton br rsortant Jerome:in regarding your Asset Mocson. 011A0 ',Ott This Period Year-to-Date 57,703,911.72 88,208,772.87 7,703,911.72 6,201,772.67 793.35 32,101.97 -2.00 4.00 '99 886 20 .335 579 37 $7,903,589.27 $7,903,589.27 $3.20 • 946 9i P ease reiriew your allocation set sthca.y we, your Client Adviser. Page l of t0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) B00993.9ICSF3.0024 Go paperless CONFIDAMA et; Rated tacelkini Lyon, Ve %MOD 2'007 CALBAR RAW, COmmumiCatiOre exen.Le NCI rz• SDNY_GM_00047105 DB-SDNY-0009929 EFTA_001577 14 EFTA01254041 Asset Allocation Disclosure and Footnotes Al values are displayed in V.S. dollars based on interbank exchange rates as of 03/31(2016. Exchange rates can vary. Summary of Gains and Losses This Period Yearsto-Date Unrealized Lang-Term Gain/Loss 0.00 0 00 21.802 50 Net GainILoss This summary excludes transactions where cost basis inlormation is rot available. 0.00 0.00 21,802.50 Realized For Your Information The European Central Bank (the 'ECIEll and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash queasy Closing Mount in Currency USD Equivalent per USD Currency Balance Base Currency USD I BRIT'S- POLY,' 1.4371 0.8958 BRITISH POUND 244,440.00 351,284.72 Exchange rates are based on interbank exchange rates as of 03/31/2016. Exchange rates can vary. Total Global Cash Balance $351,214.72 Money Market Fund Detail Date Activity Type Desaiptioa Amount Bahia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Number: 0000001489 Curtent Yield 0.27% Activity Ending: 03131/18 03101118 Opening Balance 3,449,418.54 3,449,418.54 03102/18 Withdrvtai MONEY FUND REDEMPTION -2.00 3,449,416.54 03/31/18 Deposit INCOME REINVEST 793.35 3.450.209139 03131118 Closing Balance $3,450,309.89 Total All Money Market Funds 53,450,209.89 Account Num ber ch I Go paperless St3 L THERA OSTOILM Vat N F CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) I DAENTEAL Pap 2 of 10 lialed Dory Tom Sims 2007 DAL BAR RATED COMMUNICATIONS rxenurraer ot a relma"ZrIZErwitte araiNnONIVIIIMEM SDNY_GM_00047106 OB-SDNY-0009930 EFIA_001 57715 EFTA01254042 Deutsche Asset & Wealth Management PO Boa 1778, Babimore, MD 21203 Income and Expense Summary Orem.< Rana Pmale %Wain Paragenan NYf61 Donee 4,..p DeAschi Sank Scuola% +..c N.. v.4 Coto HI Pant Ass,. MTh 'Wei Na *A re/ 10114 Statement Period: 03//112116 -1313112116 Current Period Year-to-Date Taxable Noe Taxable Taxable Noe Taxable Dividend Income Equities Money Market Total Dividends, Interest, Income and Expenses Portfolio Holdings U.S. DOLLARS Opening Date Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL 03101116 3.450.209190 0000001489 03131118 3.119.418.51 3.150.209 89 0.00 2.12012 Total Money Market $3.111118.54 $3,450,209.89 $0.00 $2,120.72 Total Cash, M oney Funds, and Bank Deposits $3,449,418.54 $3,450,209.89 $0.00 $2,120.72 0.00 0.00 30,28125 0.00 793.35 0.00 2,120.72 0.00 $703.35 $0.00 132,401.97 $0.00 Actonet Activity Dowsing Closing Acaued Income 30-Day Current Quantity Number Ending Babace Balance Income This Year Yield YieM Unrealized Date Aokaired Quantity Vail Cod Cod Basis Market Price Market Value Gain! Loss 0.27% 0.27% Estimated Estimated Annual Income Yield Equities Preferred Stocks anted by expiration dole) ALLY F1NL INC FIX TO ELT DIV-8.50% FRED-OTRLY CALLABLE. 25.00 ON A OTRLY BASIS AFTER 05/1512016 Dividend Option: Cash 06111113 . •13 57100.000 25 0780 1,429./17.50 Total Preferred Stocks $1,429,417.50 Total Equities $1,429,117.50 Cost Basis Total U.S. DOLLARS $4,879,627.39 Seaulty Identifier: ALLY PRO CL SIP 02005N308 25.4600 1.451.220.00 $1,151,220.00 $1,051,220.00 Market Value 21.802 50 $21,802.50 921,802.50 121.125 00 8.34% $121,125.00 $121,125.00 Unrealized Accrued Estimated Gain) Loss Interest Annual Income $1,901,129.89 $21,802.50 $0.00 $123,245.72 Account Number ^M X111 Go paperless N ri DAENTIA L. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOLTHERA OSTOI Page 3 of 10 Rabid excellent, beefy Year Sinai 2007 DAL BAR RAT CD COMMUNCATIONS xelliMaCt rt.L,.."-atrtra, SDNY_GM_00047107 DB-SDNY-0009931 EFTA_00157716 EFTA01254043 Portfolio Holdings (continued) BRITISH POUND Dexcipon Cash, Money Funds, and Bank Deposits Global Cash Balance Quantity Opening Closing Actsued Balance Bahasa Correeq Iacono 30.Day Yield 244,440.00 241,110.00 GBP 351,184.72 USD Total Cash, Money Funds, and Bank Deposits Description Fixed Income (In Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE CONY GDP ISINO X61043181269 6.875% 09/20188 REG DTO 03111114 68 P Rating B84 Security Identifier: G63980UK3 Total Corporate Bonds : 244,440.00 241,110.00 GBP 0.00 351.181.72 USD 0.00 doused Estimated Estimated Quantity Market Price Market Value Currency Interest kunst Income Yield 2,000,000.000 92.2300 1,644,600.00 GBP 2.650.874 66 uso 39,319.67 137,500.00 1.15% 55.069 20 197.601.25 2,000,000.000 1,844,600.00 GBP 36,319.67 137,500.00 2.650.874.66 USD 1,644,600.00 GBP 2,650 874 66 USD 55.06920 197.601 25 36,319.67 137,600.00 55,069.20 197.601.25 Total Fixed Income: 2,000,000.000 Markel Value Cerreaq Awned Estimated Interest Animal Income Total BRITISH POUND 2,069,040.00 GBP 36,319.67 137,600.00 3.002.159.38 USD 55.069 20 197.601 25 Cost Basis Market Value Uonalizerl Accrued Estimated Gaunt Loss Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS $1.879.627.39 $7,903,589.27 621.802.50 $55,069.20 3320,846.97 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 a in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rlRC") (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered" under the new cost basis reporting rules. Securities which are "covered under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or alter their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DrwriAL Account Number ORA,' G pa o perless SOLTHERA CSTO Page 4 010 Rated two -atone tvery Yew 74007 2007 DALBAR RA TOD COMMUNICATIONS rxesturnaer SDNY_GM_00047108 DEI-SDNY-0009932 EFTA_00157717 EFTA01254044 Deutsche Asset & Wealth Management PO &a 1778. Sallimore, MD 21203 Portfolio Holdings (continued) Dests4,e Bml km,. wean Alvvirnamt Metreet$ 4,0“) Deautv sem smonts0c 1st MwM000, HS Pia MMO.lcnrtcr Wry* le Irt ICI 14 Statement Period: 03/0172016 03/31/2016 Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dNidend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instmments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014. IT The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency Cal Fixed Income Equities Total by Currency S DOLLARS 3,450,209 0 1.461220 4,901.429 UM ERVIN- POUND 244,440 1,844.600 0 2,089,040 GDP Total USO Equivalent 3,801,494 2,660,874 1,461,220 7,903,589 USD % of Allocation 48.10% 33.64% 18.38% 100.00% Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform Please be advised that Deutsche Investment Management Americas Inc. will be liquidating the NY Tax Free Money Fund and Tax Free Money Fund Investment (the 'NY Tax Free Funds') and the Tax-Exempt California Money Market Fund on or about April 8, 2016 and as such the NY Tax Free Funds and the Tax-Exempt California Money Market Fund will no bnger be availabie as money market funds in the DBSI cash sweep program (the 'Sweep Program'). What this means for you: If you are currently invested in the NY Tax Free Funds or the Tax-Exempt California Money Market Fund. your entire position in the applicable NY Tax Free Funds and Tax-Exempt California Money Market Fund will be automatically redeemed and the proceeds will remain as cash balances in your brokerage account. For more information about your available cash sweep options and to select a new cash sweep option you must contact your Client Advisor. If you are not currently invested in the NY Tax Free Funds or the Tax-Exempt California Money Market Fund, then this change will not affect the existing sweep for your cash balances and you do not need to contact your Client Advisor. For more information on the cash sweep options available to you in the Sweep Program. please visit our website at httornwmwealth.devischeawm.corryamericas/en/CashSweepOptions.htrnl and click on 'Cash Sweep Options'. Account Number ORAN ROI Go paperless SOUTHERN OST( 51,. , N Y DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 off0 Rated excellent, bray Lea 5007 CALOAR RATED COmmumiCaloONS exCILLINCI rwer4=== Or= SDNY_GM_00047109 OB-SDNY-00O9933 EFIA_001 57718 EFTA01254045 Activity Summary (All amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $793.35 $0.00 $793.35 $32,401.97 $0.00 932,401.97 Fees $0.00 .92.00 .$2.00 $0.00 -$6.00 •$6.00 Totals $793.35 -$2.00 $791.35 832,401.97 -$6.00 832,395.97 Transactions by Type of Activity Process( Settlement Date Adivity Type Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 03131116 MONEY MARKET FUND DEUTSCHE GOV'T CASh 193.35 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • U.S. DOLLARS 0.00 793.35 Fees 03/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping FEB 2016 CUSP: 6639130.UK.3 •200 USO G63980UK3 Total Fees • U.S. DOLLARS 0.00 .2.00 Total Value of Transactions 0.00 791.35 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26Th FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually. No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper con m unications. tog in to your account or contact your Client Advisor for mole inform alion. Page 6 of 10 LMA0 ROLL SOUTHERN C SOIN YE CI DESMAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Go paperless Railed Exponent, Utegy Van Sinew Z007 DAL BAR RA TED COmmuNCATIONS rxelti. SDNY_GM_00049110 DB-SDNY-0009934 EFTA_00I57719 EFTA01254046 Deutsche Asset & Wealth Management PO. Lica 1778. Sallimore, MO21203 Important Inform ation and Disclosures Destine Sim Pr mile VeItalAli4f Marais Conran Comp °taunt Sam smote 4.t. Na. *4 Moo HS Pia AsaY, IM, I bet Rs Vert. NY 101W Statement Period: 0310112116 • 03/3112016 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 othenvise 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 once. Securities for which a price is not available are marked did/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The rifting of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be evadable for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thrly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing Wili be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of ksted options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.conbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmation previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm, In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The light to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion Page 7 of 10 Account Num ber Rai excellent, [...r vs.Since 2007 vOlt Go paperless SQL THERA 0STOps1 CALMAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) YEIDAEN-- TIAL rxciumer rir.tro. Tr Z. 17 dr.=.:.rt7 SDNY_GM_00047111 OB-SDNY-0009935 EFM_00157720 EFTA01254047 Important Information and Disclosures (continued) Foreign Currency Transactions (continued) rate may differ from rates in effect on the date you executes a transaction. roared a charge, or received a credit Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, a for the results of using such content. Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pool's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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 (s) 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 pylons 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 a that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel_ Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable-, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. 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 limas. Fa more detailed information please visit: vAverpershing.comfabotrUstrength-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-conftmed 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) 4134330. 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 jay. 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 wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The 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 Page of 10 Account Num ber Go paperless SO Vat CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) TH ERN CSTO1t.PANN F I DrariAL Rated Caroller. L....my Vw/ Woos 2007 DAUM. RATED COMMUNOTIONS IXCIILLINCI SDNY_GM_00047112 OB-SDNY-0009936 EFIA_00157721 EFTA01254048 Deutsche Asset & Wealth Management PO Oa 1778, 8•8imore. MO21203 Important Information and Disclosures (continued) NM Prmaln *man Papmgenfot Pdatals Canoe OoLP MAU M L%LL.4n Mee wan Mar Na Pan Ammo. !auto War wit 11Y 10114 Statement Period: 03/01/2016 • 03/31/2016 Important Arbitration Agreement (continued) claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified: or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shat not constitute a waiver of any nghts under this agreement except to the extent stated herein. The laws of the State of New York govern. Pushing's contact intonation is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; Page 9 of 10 Account Number a Rated tacellonli OBALI MOLL Go paperlesS Va" SasCe NH" OALGAII RATED COMMUMCATIONS SO TH ERA no rrniarlD r %Ca Lir NCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 377.Ltr.:=7:, SDNY_GM_00047113 DB-SDNY-0009937 EFTA_00 157722 EFTA01254049 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDADR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, Tit TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF RS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES PI YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COMES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMMNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST MC OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS ro ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURRES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN RS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLINES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR RS 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 FNANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(AX1)-(28 PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHWG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST OCECUTION: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE. COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (IIBB0/ ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEN EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH.NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS MO SONOROUS ARE UNACCEPTABLE TO YOU. REASE NOTIFY PERS-ING IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING RASA JERSEYCITY. Ni DOA, ATTN. LEON DEPT WIAN MOIL Page 10 010 Account Num Der ItailwawcolloM Go papertess In. , S", c• 2007 SO L THERA OSTON Y1LC Auarort.erarie ••• • Px‘lalt rag C°MMUNICA1.3.6 EIDEN I IAL CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) it ga laniTh ..trja a"Ogyr rt. ..""" SDNY_GM_00047114 OB-SDNY-0009938 EFIA_00157723 EFTA01254050 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. ND 21203 °micro RIM POO. rosin manaread manes Coon., 68..8 oftisag StM108in,K lire vs OS to Na Pan 4r.y.lNn,tcr Portfolio at a Glance Account Num ber: Statement Period: 02101; 2016 - 1212912016 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value $7.926,362.70 16,208,772.67 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 7,926,362.70 1,200,772.67 ST THOMAS VI 00802 Dividends. Interest and Other Income 30985 05 31,608.62 Net Other Activity -2.00 net Dan ethPu zin stiii t th li ssi a s4.465.5. 7 Accfued Interest $37,166.65 Your Client Advisor: Estimated Annual Income $314,011.87 DANIEL SAHA Asset Allocation Prior Year-Bid Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposils 3,417,813.92 3,418,135.49 3,119,118.51 14.78% I,. on-L SD Cash, Money Funds, and Bank Deposits 380,231.23 348,889.25 340,802.70 4.42% Aon-LSD Fixed Income 2,981,517.52 2,724,837.96 2.178,35048 32.11% LSD Equities 1,487,180 00 1,436,400.00 1,137,510.00 18.86% Account Total (Pie Chart) 46,206,772.67 $7,926,362.70 $7,703,01132 100.00% See the Asset AmscatonDisciosure and Footnotes se/stoney important intormaten reganng your Asset fl otation. Dew', 9O1.1 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) B010018/CSF300// GO paperless CON FIDAENTEAL P ease review your allocation cei c0rta y wth your Clent Arlyistx. Page 1 of 9 listed [so-Mani [very 'Van Woes 2007 DALBAR RATED COMMUNICATIONS rxclartraer SDNY_GM_00047115 OB-SDNY-0009939 EFTA 00157724 EFTA01254051 Asset Allocation Disclosure and Footnotes Al values are displayed in V.S. dollars based on interbank exchange rates as of 02/29/2016. Exchange rates can vary. Summary of Gains and Losses This Period Yearsto-Date Unrealized long-Term Gan/Loss 0.00 000 8.12250 Net Gain/Loss This summary excluces transactions where cost basis inlormation is rot available. 0.00 0.00 8,122.50 Realized 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 viii be reported on your Forms 1099 and/or 1042 S These rates are subject to charge in response to market changes, and we may, in the future and based on cur normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances Exchange Rate Table Global Cash Nancy Currency UM Equivalent per UM Clirrenoi Going Mane Mount in Base Geffen, USD BRITISH POUND 1 3934 01176 BRITISF POUND 244,440.00 340,602.70 Exchange rates are based on interbank exchange rates as of 02/29/2016. Exchange rates can vary. Total Global Cash Balance $340,602.70 Money Market Fund Detail Date Activity Type Descriptioe Mont Bahia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num her 0000001489 Cunent Yield 026% Activity Ending: 02129/16 01130/16 Opening Balance 3,418,435.49 3,118,435.49 02/02118 Withdrawal MONEY RAO REDEMPTION -2.00 3,118,433.49 02/17/18 Deposit MONEY FUND PURCHASE 30,28115 3,448,711.74 02129118 Deposit INCOME RBA VEST 703.80 3,119,418.54 02121118 Closing Balance 83,419,118.51 Total All Money Market Funds 83,419,418.54 '1001,7CSF,' Ment, ROLL Account Num ber Go paperless N CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN OVUM YISLF I DAENTIAL Page 2 o19 Rated t. ocelleria I. very Year Lace 2'007 DALOAR RATED COMMUNCATIONS rxenurtaer oar.trott: tre="=". SDNY_GM_00047116 O13-SDNY-0009940 EFTA_00157725 EFTA01254052 Deutsche Asset & Wealth Management PO Lica 1778, Ballimore, MD 21203 Income and Expense Summary Gnaw.< Rana Pr.. vkatnatwienan rivets Coon." DeAsag lank *clones +gc lire %A OS to Ha ion Anneklia I ber New lot 1,tt 10114 Statement Period: 02/0112111 -0212912116 Current Period Year-to-Date Taxable Non Taxable Taxable Nos Taxable Dividend Income Equities Money Market Total Dividends, Interest, Income and Expenses Portfolio Holdings U.S. DOLLARS Opening Date Cash, Money Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL 01130116 3.449.118.540 0000001489 02129116 3.418.135.49 3.119.418 51 0.00 1.327 37 0 26% 0 26% Total Money Market $3.418,435.19 $3,419,418.51 $0.00 $1,327.37 Total Cash, Money Funds, and Bank Deposits $3,418,135.19 13,149,418.51 $0.00 $1,327.37 Unrealized Estimated Estimated Date Acquired Quantity UM Cost Cost Basis Market Price Market Value Gainl Loss Annual Income Yield Equities Preferred Stocks anted by expiration date) ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRB DIV-8.50% FRED-OTRLY CALLABLE. 25.00 CL.SIP 02009.308 ON A OTRLY BASIS AFTER 05/1512018 Dividend Oplion: Cash 06/11113 1.13 57,000.000 25 0780 1.429.117 50 252200 1,137,510.00 8.122,50 121.12100 8.42% Total Preferred Stocks 11,429,117.50 $1,437,510.00 $8,122.50 1121,125.00 Total Equities $1,029,117.50 $1,137,540.00 $6,122.50 $121,125.00 30,28125 0.00 30,28125 0.00 703.80 0.00 1,321.31 0.00 $30,985.05 30.01 331,08.82 $0.00 Await Activity Opening Closing Accrued Income 30-Day Current Quantity Number Ending Salaam Balance Income This Year Yield Yield Cost Basis Market Value Unrealized Acaued Estimated Gain/ Loss Interest Annual Income $8,122.50 Total U.S. DOLLARS $4,878,838.01 $4,886,958.54 Account Number OBAN ROLL Go paperless SOLTHERA OSTO,IpAN Y I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) $0.00 $122,452.31 Page 3 of 9 Rated Excellent, L very Van' Weer 2007 DAL BAR RA T CD COMMUNCATIONS Xellt t I NCI rtirro.r.== =art SDNY_GM_00047117 DB-SDNY-0009941 EFTA_00 157726 EFTA01254053 Portfolio Holdings (continued) BRITISH POUND Openlag Dosing Accrued 30•Day Description Quantity Balance Balance Currency Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 240,110.00 211,110.00 GBP 310,602.70 USD Total Cash, Money Funds, and Bank Deposits Description Fixed Income (In Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 88.8600 1,777,200.00 GBP 28,873.50 137,500.00 1.73% CONVGBPISINUS1043181269 2.476.350.48 US0 37.166.85 191.59250 6.815% 09/20168 REG DTD 03111114 S8 PRaling BETt Security Identifier: G63980UK3 Total Corporate Bonds : 244,440.00 211,110.00 GBP 0.00 340.807.70 USD 0.00 Awned Estimated Estimated Quantity Market Price Market Value Currency later's( Annul Income Yield 2,000,000.000 1,777,200.00 GBP 26,673.50 137,600.00 2,476,350.48 USD 1,777,200.00 GBP 2,476,350.48 USD 37,16615 191.592.50 26,673.50 37,16625 Total Fixed Income: 2,000,000.000 Markel Pelee Currency Total BRITISH POUND 2,021,540.00 GBP 2 816 953 18 LSD Cost Basis Market Value 137,500.00 191.592 50 ACtrued Estimated Merest Mnual Income 26,673.60 137,500.00 37.166 85 191.592 50 Unrealized Accrued Estimated Geld Loss Interest Mnual Income Total Portfolio Holdings • U.S. DOLLARS 34,878,836.04 $7,703,911.72 38,122.50 $31,166.85 3314,044.87 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (•IRC") (incorporating amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are covered under the new cost basis reporting rules. Securities which are "covered under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their 'applicable date(s)e at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. n risi CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) rip snAL Account Number: )1 Go paperless SOL THERM CSTO Pape 4 of 9 litaled Excellent, (very v«. Liu 2007 DALBAR RATED COMMUNICATIONS rxerarnaer litrOtralin= gterian thaw. SDNY_GM_00047118 DB-SDNY-0009942 EFTA_00157727 EFTA01254054 Deutsche Asset & Wealth Management P.O. Box 1778, BaMimorce, MO 21203 Portfolio Holdings (continued) Onosee Mn, Pnwe *man hapmgenan Peals COMM, Gnat) Des-bor4 lar* Sew net Lac. iin.v.4 Mar Na Put An~. Halter Statement Period: 02/01/2016 • 02/29/2016 Reputing requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for *Mich a yield to maturity can be easily determined acquired on or after January 1, 2014. IS The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency Cash Fixed Income Equities Total by Currency USDOLARS 3.449.418 0 1.437.540 4.885.95; USD BRITISH POUND 244.440 1.777.200 0 2.021.640 GBP Total USD Equivalent 3,790,021 2,476,350 1,437,540 7,703,911 USD % of Allocation 49.20% 32.14% 13.66% 100.00% Messages Although a money market mutual fund seeks to preserve the value of your investment at S1 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 tn base cummcy) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Nei Year-to-Date Dividends and Interest 130,985.05 10.00 130,985.05 131,608.62 10.00 131,608.62 Fees 10.00 -12.00 -12.00 10.00 -$4.00 -$4.00 Totals 130,985.05 -$2.00 130,983.05 331,608.62 -$4.00 331,604.62 Pages of9 liNAW u" „ SOUTHERN THERA C SON YE CI ElarriAL CONFIDENTIAL — PURSUANT it TO FED. R. CRIM. P. 6(e) Account Num ber Go paperless rated taceibrill Leery Year Stub 2007 DAL BAR RAT ED COMMUNCATIONS r xi:1u Cr SDNCGM_00047119 DB-SDNY-0009943 EFTA 00157725 EFTA01254055 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Acaved Merest Moult Currency Dividends and Interest 02/16/16 CASH DIVIDEND RECEIVED 57000 SF RS ALLY FIN L INC FIX TO FLT DIV-8 50% 30.281 25 LSO ALLY PRB FREQ.° TRLY CALLABLE CI 25.00 ON A QTRLY BASIS AFTER 05115/2016 RD 02/01 PO 02/16116 02129116 MONEY MARKET FUND DELTSCI-EGOVT CASE. 703.80 LSD INCOME RECEIVED 233993682 Total Dividends and interest • V.S. DOLLARS 0.00 30,985.05 Fees 02/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping AN 2016 CUSP. G63980.UK•3 •2.00 LSD G63980L,K3 Total Fees - U.S. DOLLARS 0.00 -2.00 Total Value of Transactions 0.00 30,983.05 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26Th FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinyeslm ent Man: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Am orate premium on taxable bonds based on Constant Yield Method: Yes Mani market discount method for ail other bond types- Constant Yield Method Include market discount in income annually- No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more information. Fage 6 of 9 MIAB ROI I SOUTHERN COrenNYEIDAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbers Go paperless Itatod excellent Lyon! Veer Since 2007 DAL BAR RATED COMMUNCA TIONS rxentrhier SDNY_GM_00047120 DB-SDNY-0009944 EFTA_OO 157729 EFTA01254056 Deutsche Asset & Wealth Management PO Boa 1778. Baliimoro. MD 21203 Important Inform ation and Disclosures Oralcev gam porno wean manirent Mnt% Coma,. 4.pyp Dtotem MM kwri Ac. Maw . brk IONA An . AM' kw Wet la• Statement Period: 0210112016 • 02129/2016 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 othenvise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked NW and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities odor to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are paced via third party sources believed to be reliable. For certain securities, including thinly4raded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing wil be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and WA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and pikes remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.comrbusiness_continudy html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives a financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to hell or others in accordance with the terms outlined in the Margin Agreement. The tight to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion Page 7 elk Account Number ilak.d tvely VI •T irSinCe ." 2007 OSAB YOU Go paperless DAIS*. RATED COMMUNICATIONS SO L THERA OSTCIDAk Nri DAENTIALL-Qt; rxenurmer CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00047121 OB-SDNY-0009945 EFIA_00157730 EFTA01254057 Important Information and Disclosures (continued) Foreign Currency Transactions (continued) rate may differ from rates in effect on the date you executed a transaction. mound a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating intonation obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, a for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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 (d) 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 nor hold Pershing or any person controlbng or under 0001M00 control with it liable for any investment losses incurred by you. • Pershing pylons several key functions al 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 a 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. M 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. 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. Fa more detailed information please visit: vffittipershing.condabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includag unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confrrned 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) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in cowl, 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 WI 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 fa 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 Page 8 of 9 Account Num ber Go paperless e t ) Rated Cocolls nil Lyon, SOSO, 2007 L THERA sorennri DENTIA DAL OAR it^ T CO COMMUNICATIONS rxesurnser CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00047122 OB-SDNY-0009946 EFIA_00157731 EFTA01254058 Deutsche Asset & Wealth Management PO Lica 1778, 8shimore. M021203 Important Information and Disclosures (continued) Gnaw.< Rana Prmale vkan Stpmgenen Pdaeat$ Cedrage 00.J Dettfor4 lank SCW LaC lire Ion Onal HI Part Annie. Ita I ter Statement Period: 0210112016 • 02/29/2016 Important Arbitration Agreement (connued) 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 Yak govern. Pershing's contact intonation is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 9 of9 Account Number a Rama Excel,* Si Go paperless 2°°7 ORAR ROLL CALLUM RA T CO COMMUNCATIONS S0L THERM csor 'an IDAENTIAL-'`. rxemmer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00047123 DB-SDNY-0009947 EFTA_00 157732 EFTA01254059 Deutsche Asset & Wealth Management Boa 1778, esllimoro. MD 21203 SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Oraisre Rana P',.,,. wean 8.4....rnms minim tonna Group Destaciv tomsm. ea int. Mow M0114* HS Pan Asa. loth IM rfrw* we lows Account Num ber: Statement Period: 0110112016 -11131/2018 Portfolio at a Glance This Period Year-to-Date Beginning Account Value $8,206,772.67 $8,206,772.67 Adjusted Previous Account Value 8,206,772.67 8,206,772.67 Dividends. Interest and Other Income 623.57 623.57 Net Other Adivity •2.00 •2.00 et Change in Portfolio -281,031.54 -281 031 54 nchng Account Value 57 926 362 70 07,926,382.70 Acaued Interest $22 378 81 Your Client Advisor: Estimated Annual Income $316 764 82 DANIEL SABRA Asset Allocation Prior Yoar-hd Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 3,417,813.92 3,417,813.92 3,416,13549 43.13% Non-U SD Cash, Money Funds, and Bank Deposits 360,231.23 360,231.23 346,68925 4.37% C_ A on-L SD Axed Income 2,961,517.52 2,961,547.52 2,724,837 96 34.31% LSD Equities 1,467,180 00 1,167,180.00 1,436,100 00 18.12% ci Account Total (Pie Chart) $8,206,772.67 18,206,772.17 17,924,362.70 100.00% See the Asset Allocation Disclosure and Footnotes a/don for important intonation regatdrig your Asset fl otation. DOAN 901.1 CONFIDENTIAL — PURSUANT TO FED. R CRIK P. 6(e) ' 1 CONFI D'EPffii s A L A009816205,300I8 (D P ease review your allocabon cer coca y yeah you' Cleft Adv'sa. Page Sofa Itned (very Vol'. Woo. 2007 DALBAM RATED COMMUNICATIONS rxesartraer SDNY_GM_00047124 OB-SDNY-0009948 EFTA_00157733 EFTA01254060 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 01/3112016. Exchange rates can vary. Summary of Gains and Losses Realized This Period YeantoGate Unrealized long-Term Gain/Loss 0.00 000 8.98250 Net GaIn/Loss This summary excludes transactions where cost basis information is rot available. 0.00 0.00 8,982.50 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. Exchange Rate Table Global Cash Cinema Owing Amount in Currency USD Equivalent per USD Wang Mace Base Cairene, USD I BRIM- POL ", '2 1.4183 0.7050 BRITISH POUND 244 440.00 346 689.25 Exchange rates are based on interbank exchange rates as of 01/31/2916. Exchange rates can vary. Total Global Cash Balance $346,689.25 Money Market Fund Detail Date lenity Ty e Desaiptioa Amount Balance Sweep Money M arket Fund DEUTSCHE GOVT CASH IN STI. Account Number: 0000001489 Current Yield 025% Activity Ending: 01/29116 01101116 Opening Balance 3,417,813.92 3,417.813 92 01105/16 Withdrawal MONEY FLA° REDEMPTION -2.00 3.417.811 92 01129116 Deposit INCOME REINVEST 623.57 3.418.435 49 01129116 Closing Balance $3,418,435.49 Total All Money Market Funds $3,418,435.49 AC.09e,i.2 VE ORAN Vol I SO ts THERA nennEIDAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) gV Page? de Account Num berms Go paperless Rated tacelbra t very Year Sim* 2007 DAL BAR RATED COMMUNICATIONS FXCILLINCE SDNY_GM_00047125 DB-SDNY-0009949 EFTA_00 157734 EFTA01254061 Deutsche Asset & Wealth Management P0. 8c..• 1778. Ils!wore MD 21203 Income and Expense Summary ()PASO( P,,.,', Wean IMAagenan Mareits Canny 6.00 Deelsch• Sank Seto On at. Mow *4 011ie HS Pm% Asa. member We We( NY 101W Current Period Taxable Noe Taxable Taxable Non Taxable Statement Period: 01/01/2016 • 01/31/2016 Year-to•Date Dividend Income Money Market Total Dividends, Interest, Income and Expenses Portfolio Holdings U.S. DOLLARS 623.57 0.00 623.51 0.00 $623.57 $0.00 $623.67 $0.00 Account Activity Opening Clodeg Awned Income 30.Day Current Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, M oney Funds, and Bank Deposits Money Market DEUTSCHE GOVT CASH INSTL 01101116 3,418,435.490 0000001489 01129118 3,417,813.92 3,418,435.49 Total Noney Market $3 417 813.92 $3,418,435.49 Total Cash, M oney Funds, and Bank Deposits 83,417,013.92 33,418,435.49 0.00 623.57 $0.00 $623.57 $0.00 873.57 0.20% 0.25% Unrealized Estimated Estimated Date Acquired Quantity Unil CoM Cod Basis Market Price Market Value Gain! Lou Annual Income Yield Equities Preferred Stocks (bated by expiration date) ALLY FINL INC FIX TO FLT Secierlty 'dandle,: ALLY PRB DIV.8.50% FREO.OTRLY CALLABLE0 25.00 CUSIP:02005N308 ON A OTRLY BASIS AFTER 05/15/2016 Dividend Option: Cash Nit 1/13 %II 57,000.000 25.0780 1,429,417.50 25.2000 1.436.400 00 6.98250 121.125.00 8.43% Total Preferred Stocks $1,479,417.80 $1,436,400.00 $6,982.50 $121,125.00 Total Equities $1,429,417.50 $1,436,400.00 $6,982.50 $121,125.00 Unrealized kaued Estimated Cod Basis Market Value Gain/ Loss Interest Annual Income Total U.S. DOLLARS 84,847,867.99 $4,854,835.49 $6,982.50 $0.00 $121,148.57 Account Number VSA.0 ROLL Go paperless SO I, THERA OSTa yr I DA.E._ NTIA L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 of 8 Rata. tacelle [vent Vs.. Sento 2007 DAUM. RATED COMMUNICATIONS rxemmer SDNY_GM_00047126 DB-SDNY-0009950 EFTA_00 157735 EFTA01254062 Portfolio Holdings (continued) BRITISH POUND OnSUISA0r1 Cash, Money Funds, and Bank Deposits Global Cash Balance Opening Closing Accrued 3D-Day Quantity Balance Balance Currency Income Yield 211,110.00 244,140.00 GBP 346,68925 USD Total Cash, Money Funds, and Bank Deposits DeViiplion Fixed Income On Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE 2,000,000.000 96.0600 1,921,200.00 GBP 16,770.19 137,500.00 7.15% CONY GBP ISM/X.51043181269 2.724.837.98 USO 25 22,378.91 195.016 6.875% 09/20188 REG DID 03111114 S81)12)30') 98+ Security Identifier G63980UK3 Total Corporate Bonds : 211,110.00 211,110.00 GBP 0.00 346.689 25 USD 0.00 Atoned Estimated Estimated Quantity Market Price Market Value Currency Interest Animal Income Yield 2,000,000.000 1,971,200.00 GBP 15,776.69 137,600.00 2,724,837.96 USD 1,921,200.00 GBP 2,724,837.96 USD 22,378.91 195.016.25 16,771.69 22,378.91 Total Fixed Income: 2,000,000.000 Markel Value Curtain 137,600.00 195.016 25 Acaued Estimated liters Animal Income Total BRITISH POUND 2,106,640.00 GBP 3.071.527.21 USD Cost Basis Markel Value 16,776.69 137,600.00 22,378 91 195.016 25 Benefited Acaeed Estimated Gals/ Lon liters Anima Income Total Portfolio Holdings - U.S. DOLLARS $4,847,852.99 37,926,362.70 $6,962.60 322,370.91 6316,16412 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rIRC") (incorporating amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered" under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or alter their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Account Number ORAN Well paperless SOL THERA OS IP J.A.0 CN A IF CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) I DAENTIA L Page 4 of 8 Rama tscollonil (very V... Sone7 2007 I:NUM.RATED COMMUNICATIONS rxciturner .117. SDNY_GM_00047127 OB-SDNY-0009951 EFrA_00 157736 EFTA01254063 Deutsche Asset & Wealth Management PO Cox 1776. Bs!more AID 21203 Portfolio Holdings (continued) (*awe e... Pnyie Wean lAmoroot Weals COMO., 6 ,0“) ofttscry MY Set...W.1W Ion Odd, In Pot Aso*. liar ter War Re\ Irt 10114 Statement Period: 0110112016 • 01/31/2016 Reputing requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dWidend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple faced payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. IS The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency Cash Fixed Income Equities Total by Currency U S DOLLARS 3.418 435 0 1.436.400 4 854.835 USD BRITISH POUND 244,440 1.921.200 0 2 165.640 GBP Total USD Equivalent 3,765,124 2,724,837 1,436,400 7,926.362 USD % of Allocition 47.50% 34.38% 13.12% 100.00% Messages Important Reminder for Pershing's 2015 IRS Forms 1099 (El. DIV, INT, OlD and MISC): As a reminder, by February 16. 2016, you will be mailed either your 1099 loan ora special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided they final tax information. It will inform you of the securities that are pending Mal reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2016. Although a money market mutual fund seeks to preserve the value of your investment at 31 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit produces 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 (ki amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Dividends and Interest $623.57 $0.00 $623.57 $623.57 $0.00 $623.57 Fees $0.00 -$2.00 -$2.00 $0.00 -$2.00 -$2.00 Totals $623.57 -$2.00 $621.57 $623.57 -$2.00 $621.57 Account Number. Go paperless Page 5 of 8 SOUTHERN COW) D ASSITIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rolod excellent, Lyon. Von. Slate 2007 DAL BAR RAT CO COMMUNICATIONS rxellultaCt L'ILfrut =sr..= =se' • —"Zatr. SDNY_GM_00047128 DB-SDNY-0009952 EFTA_00 157737 EFTA01254064 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued liters Amount Currency Dividends and Interest 01/29/16 MONEY MARKET FUND DELTSChEGOVT CAS'. 623.57 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • U.S. DOLLARS 0.00 623.57 Fees 01/04116 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2015 CUSP: 663980-UK-3 -2O0 LSD G639806K3 Total Fees • U.S. DOLLARS 0.00 -2.00 Total Value of Transactions 0.00 621.57 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 315 PARK AVENUE. 26Th FLOOR KEW YORK NY 10151.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Ran FIRST IN FIRST OUT Default Method for all Other Securites FIRST IN FIRST OUT Bond Amortization Elections: Am orbze premium on taxable bonds based on Constant Yield Method. Yes Acme' market discount method for all other bond types. Constant Yield Method Include market discount in income annually No Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper maim unications. log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to podfolo value. Cash shown in this statement may not necessarily Page 6 of 8 mum. you SOUTHERN COT enN YE CI D AENMA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber Go paperless Rated [no-WWI,' L von! Year Since 2007 DAL BAR RAT ED OOMMUNCA TONS rxentrnser :I t=..` 70.7.-.7=7:47"—.- - dt: SDNY_GM_00047129 DB-SDNY-0009953 EFTA_OO157738 EFTA01254065 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Important Inform ation and Disclosures (continued) °'.w,' BOK Pe.* vitae. Marts Cowie G w‘g, otautv ML setwoes Mow *ft Onc• HS Part Moat It" I *xi lent* Irt Statement Period: 01/01/2016 • 01/31/2016 Pricing (continued) be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary iwestments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-parry structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political and business conditions, they should not be retied on for making investment, trading, or tax decisions. These figures assume that the postion quantities. interest and dividend rates. and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to wivw.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firrn. 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 autocratically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distnbuting any information received from Standard & Pools is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or Page 7 of 8 Account Number - Nand [nailer/I 4011. GO paperless beery Yew Late Z007 L THERM DAUMUI RATED COMPAUNCATIONS Llt rxesur wet CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ST DAENTIA (-vac --.••••••••••••••••C SDNY_GM_00047130 O13-SDNY-0009954 EFTA_00157739 EFTA01254066 Important Information and Disclosures (continued) Ratings (continued) omissions. regardless of the cause, cr for the results of using such content Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or cable 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. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. 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. NW more detailed information please visit: vriwipershing.corrilabout/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 reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal 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 ether 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 moil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. 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 count Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 8 of 8 Account kum ber UB"" 20U paperless L THERA OSTO,N Yr' DrwriAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rated tmolloM Lvery v.,— 2909 DAL BAR RATU) COMMUNICATIONS rxesurnaer rtit7:6=73 SDNY_GM_00047131 OB-SDNY-0009955 EFTA_00 57740 EFTA01254067