PG ea 1771.0eleinalentiV203

PG ea 1771.0eleinalentiV203 SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SMITH DABlute Ram Footle M111.14,Ntentel levelsComm G.o.p Chita. NM Sen,lei AC liew IRA 0TIc• 345 Pull MONK Me I /cc! D ESE-MIL PM 7814091. Account Number: N4G-023112 Statement Period: 1210112013 -1213112113 Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Net Securities InlOut of Account Adjusted Previous Account Value Dividends, Interest and Other Income Net Chan e in Portfolio this Period YeeMeDate $4,828,234.42 10.00 0.00 1.665.414.47 1 585 000 00 3,106,900.00 6,413,234.42 1,772,311.17 13 00 30 313 45 ne rrar r iti tilmi it ää Esta ated Annual Income Asset Allocation Prior Year-End Last Period This Period % Meath» USD Cash. Money Funds, and Bank Deposits! 000 1,695,714.92 1,695,727.92 2626% USD Fixed Income 0.00 1,607,000.00 1,581,400.00 24.49% Non-USD Faced Income 0.00 0.00 1,650,000.00 25.55% USD Equities 000 1.525.519.50 1.530.450.00 23.70% A unt Total (Pie Chart) $0.00 $4,828,234.42 $6,457,617.92 100.00% I The Ben t Deposits in your account are FDIC insured Dana deposits. FDIC insured bark deposes are not securities and are rot covered by the Secuntes Investor Fraction Corpteatian (SIPC). These bank deposes are covered ty the Federal @Quart Insurance Coroorat on (FDIC). up to Mint* hints. See page 2 of this statement for important information regaMmg the Asset Alocaten section. CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) $221.157 20 Pie Chart alOcat on only nci udes products that are al positive value. Pagel 0410 B-0105i10CSF30022 CO N Rated (lets...AI. VICKILoci Go papertess ä Yeas M A Row d. • I 11. F I D EN TAL CALM" RATED COMMUNICATIONS arms sire. Neese -C. • WM% MIMI ISSI or name. Naas.. c wpwrilmMIT »MN ..,....,.c Ma. I. • reel SDNY_GA1 00007371 DB-SDNY-0010195 EFTA_00157980 EFTA01254068 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 12/31f2013. Exchange rates can vary. Summary of Gains and Losses Realized This Period Year.to-Date Unrealized She1.7m Gain/Loss Net Galnl Loss This summary excludes transactions where cost basis information is not available. 0 00 0.00 0.00 0.00 .378.130 00 -378,130.00 For Your Information Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the "Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet N46023812 11130/13 Opening Balance 12113113 Deposit 12/16113 Activity Ending: 12131/13 INTEREST CREDITED APT 0.01% BUT NO 12116 $231500.00 Bank of Am erica NO 12116 5237500.00 Citibank N A NO 12116 5237500 00 Deutsche Bank NO 12116 S237500,00 East West Bank NO 12/16 5237500.00 Comm AY unity Bank NO 12/16 $3322792 Texas Capital Bank NO 12/16 5237500.00 1,695.714 92 13.00 1.695.714.92 1.695.727 92 1,695,727.92 Page 2 of 10 Account Number. NIG-023 12 Go paperlesS CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e)6THERN nrIDENTIAL ReAledfm<ON.t SovenYemskvAPow OALANARAltOCCNONWHICATHIONIS EXCillENCIE 01400. Way. 0.1.01•10.1.6 • Meat OWNS •••••••••• 40 Tim 10 Mai Mt •Ner•Ca••••••••••••••••• Pea. ILC •••••••a•Ila ••••• SONY GM_00047372 DB-S6NY-0010196 EFTA_00157981 EFTA01254069 FDIC Insured Bank Deposits (continued) Date Adivity Type Description Draisre Wm. Prmaie W..*', 14.atenmil Weals CON. ftre Comp CVIANN lelltSenorlel Nes Wart Moo HI Fa, Sae. 1411. I keg lieslat. PM 10114 P 12)4544110. Mil M4015 Statement Period: 12/0112113 - 1213112113 Amount Belau* Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Com enity Bank NO 12/16 5237500 00 12131113 Closing Balance 11,695,727.92 Total FDIC Insured Bank Deposits The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other setf directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. 11,695,727.92 Income and Expense Summary Dividend Inc° m e Equities Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses $13.00 Current Period Year.to•Date Taxable 0.00 13.00 Portfolio Holdings Activity Opeteieg Opening Date Quantity Account Number Ending Balance Cash, Money Funds, and Bank Deposits 26.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11130/13 1.695.727 920 A4023812 12/31113 1,695.714 92 1,695,727.92 7.92 32.20 Total FDIC Insured Bank Deposits $1,695,714.92 $1,695,727.92 $7.92 $32.20 Total Cash, Money Funds, and Bank Deposits 11,695,714.92 31,695,727.92 Met $32.20 Non Taxable Taxable Noe Taxable 0.00 30,281 25 0 00 0.00 32.20 0 00 30.00 $30,313.45 $0.00 Closing Ao:reed Income 30.Day Current Balance Income This Year Yield Yield N/A N/A Page 3 of 10 Account hum ber NIG-023 12 Ravel F.c•114.1 e*I0SII0CSF300:2 GO paperless Seven Yeas In A Pow OA LIIPA ItaltOCOMMUNICAllONS CACMINCE CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67: "NC STOnn Dr N ITIAL 01.400••••91. Peralant1.0. • *Oar ••••• yeast re name we ve.....e.•••••••ave•Ner0 SONY GM_00047373 DB-S6NY-0010197 EFTA_00 157982 EFTA01254070 Portfolio Holdings (continued) Dale A sed Quantit Adjusted Unit Cost Cost Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Mnual Income Yield Fixed Income 5 0.0 0% of Portfolio (in Matunty Dale Sequence) Corporate Bonds HSBC USA INC MEDIUM TERM NTS Security Identifier: 404727077 BRAZILIAN REAL RELATIVE TO USG 0.000% 03/27/14 NE DE0 03/20/13 03/13/13'.12.11 1,000,000.000 100.0000 1.000.000.00 77.5900 775.900 00 -224,100.00 0.00 Original Cost Bails: $1,000,000.00 HSBC USA INC MEDIUM TERM NTS Security Identifier: 10432XES6 BRAZILIAN REAL RELATIVE TO USD 0.000% 04121114 81E DTO 04112113 04105113'.12.13 (.000.000.000 100.0000 1.000.000.00 80.5500 805,500 00 -194.500.00 0.00 Origins Cost Baits $1.000,00000 IPETROLEGS DE VENEZUELA Security Identifier: P7807HAF2 NOTES SENIOR lake XS0160516525 5.000% 10/28/15 REG DTO 10/28109 S8 P Rating 8+ Please Provide' 2,000,000.000 N/A Please Provide 82.5000 1.650.000.00 NIA 17.222.22 100.000 00 606% Originai Cost Bass: Reese Provide Total Corporate Bonds $2,000,000.00 $3,231,400.00 -9418,800.00 $17,222.22 $100,000.00 4 000 000.000 Total Fixed Income $2,000,000.00 $3,231,400.00 -$116,800.00 $17,222.22 $100,000.00 4,000,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Valle Gain/ Loss Mnual Income Yield Equities 24.00% of Portfolio Preferred Stocks Sind by expiration dale) ALLY F1NL INC PERP PFD FIXEDIFLTG RATE SERA CALLABLE Dividend Option: Cash 08111113 1.11 57.000.000 26.1400 1 489.980 00 26.8500 1.530.150.00 40.170.00 121.125.00 7.91% Total Preferred Stocks $1 489 980 00 $1 530 450 00 $40 170 00 $121 126 00 Total Equities $1,489,980.00 Cost Basis $1,530,450.00 Market Value $40,470.00 Unrealized Gain/ Loss Accrued late rep $121,125.00 Estimated Animal Income Total Portfolio Holdings Security Identifier: ALLY PRB CUSP 0200514308 35,185,707.92 16,457,577.92 -$378,130.00 $17,222.22 $221,157.20 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('iRt) (incorporating amendments enacted by P.L110-313, 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 Page 4 of 10 1146-023 12 PC10$410CSFI002: Account Number. OR% (til Go powerless a Seven RaKcl I xt Silent Yeaas In A Rove SOUTHERN O SO T "Inn DrRITIA L". " tx DAEILA van.c itRIED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) OlowSre MS, LW- • wapay elipao• ••••••••• ei name owe •••••••••• ass care maws twos. i“ ivaranNA tow ..< SONY GM_00047374 DB-S6NY-0010198 EFTA_00157983 EFTA01254071 PO Sc, Irns, RAMO. MO 21M) Portfol io Holdings (continued) Oralute li no Prmale wean Pia-utenme warats CanoeGPp DMUS Yr* Seto°. MC Naar\ Cake 345 Parli Mist !Uhl/cc Ms Wet PM 101,4 PO) 451-211111.poonnon Statement Period: 12/0112013 -1213112013 this section are securities which are covered under the new cost basis reporting rules. Secunbes Much are'covered" under the new cost basis reporting rules are defined as securities wench 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 afterJanuary 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of (cod income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essages Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at hrips://wmv.dvis-investments.corNEN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at 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 investment professional for additional information. Effective January 1, 2014, service and account-related fees will be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: 595 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention Page S of 10 Account hum ber NIG-023812 Olowleg anwelt•••••••,110. • ~Pt asionells~r BOI 1005F300:2 Go paperless It•Mcl rx<oll•nt Soren Yeas In A Row maasm.Nowteni rame••••••••••••••• made t OALSMI I Par* Lc orem FS MSS VC SCUTFIERt ST Ovripriv i riAr txcliwcnin)ce.m icAT"Dns SDW_GM_00047375 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010199 EFTA_00157984 EFTA01254072 M essages (continued) For a list of Program Banks, please visit http://nwricovandb.corrdamericasieniCashSweepeobons.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Activity Sum m a ry (All amounts shown are in base currency: USD) Credits This Period Yeardo.Date Debits This Period Year-to-Date Dividends and Interest $13.00 $30,313.15 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 000 1,665,414.47 Deposits 000 000 Total Cash $0.00 $1,665,414.47 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$13.00 -$1,695,727.92 Total Credits $13.00 $1,605,727.92 Total Debits -$13.00 .$1,695.727.92 Transactions by Type of Activity Neese/ Trade/ Settlement Transaction Date Date Activity Type Desalpllos Otiantit Price Accrued Interest Amount CCY Securities Withdrawals and Deposits 12104113 12103113 SECURITY RECEIVE.) PETRO LEOS DE evEZUELA NOTES SENIOR P7807HAF2 ISINOXS0460546525 5.000% 10128/15 FIG DTD 10/28109 2,000,000.000 0.00 USD Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 Dividends and Interest 12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 13.00 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 13.00 FDIC Insured Bank Deposits 12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST RBN VESTED -1300 USD DEPOSITSINTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 -13.00 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Page 6 of 10 Account Number NIG-023 12 RanNI r...,,..,, 0SII0CSF30022 IIMAR•C Go paperless Srven Yr.ws In A Row DALSA• RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. Sywisear , Ameolo• LUI • Most wad *SS/4 Ans. itC one ~IA ram SDNY_GM_00047376 DES-SDNY-00 10200 EFTA_00 157985 EFTA01254073 bar's Sam Pule WNW. Ha.. ental Weans CiNene 0 ,CM/ Deell4N Oak Senn, 'AL Now RDA Dam HI Fa, Messli, Nth I kw' lers'eat. 10114 0 D) ESE411R, Rin17.84095 Statement Period: 12/0112013 - 12/31/2013 Client Service Inform ation Your Client Advisor: IDS Contact Information TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10151 Your Account Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Mods In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications, log in to your account or C011186 your Oienl Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to Wifitpershing.com/businesscontinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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. 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 contimations previously furnished to you. A summary of this information is evadable 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 prornptty 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 1 of 0 Account Aumber N46-023 12 Raked I Acoliont B0105110CSF300:2 Go paperless sg-en -- In A aew DALA• RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 67:FERN ST DrNETTAL. LXCELLINCE arose ante. MS...LC. • wear ••••• 40 man as vett raw. cammemiscanv arm. tome. itC saranolm. MSS VC SDNY_GM_00O47377 DB-SDNY-0010201 EFFA_OO157986 EFTA01254074 Important Information and Disclosures (continued) Proxy Vote Secunties 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 & 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 onissions, 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 retied 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 (0) 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 a 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. ft acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuit of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (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 Writs. For more detailed information please visit vriwrpershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the 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 parlys ability to have a court reverse or modify an arbitration award is very tinted. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time knits for bringing a claim in arbitration. in some cases, a claim that is ineligit4e 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. Page 8 of 10 Account hum tier 114G-023 12 RMind xesilaNt B0105110CSFI002: Go paperless s— in L IF ERN CS OT T nrciprNTIALT nctr""`"ArccmmunicATI°Ns CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Owls. onkel. •••••• elimm••••••lion - - A - v a s s e c SDNY_GM_00047378 DB-SDNY-0010202 EF'FA_00157987 EFTA01254075 PC. Sta. 1176, Bat ntri VD 2'713 Important Inform ation and Disclosures (continued) Draisre Banc Prmaie Wog" Magatentm Mantels CoVirlee COIsP CestsOw W Sectantik Now Malta. Ha FM MS. Ilith lice! Wm *it PM 10114 111,1454421. VOW 21•409f Statement Period: 1210112013 - 12/31/2013 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 unti; (l)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 govem. Pershing's contact information is as follows. Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 9 of 10 Account hum ber 114S-023 12 Rsel weablIdelt 0SI loam= rmva.ctii Go paoerless Ye... 11,A Rew SO II- ERN CO r inrIDAFN In AL. LD„Act• RICO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) °WYSS SSW. Orailllorglle..- • Moat — Gre/rMSI LLC Seel. VS ..IS IISC SONY GM_00047379 DB-SDNY-0010203 EFTA_00157988 EFTA01254076 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS NC REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTMITION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OE 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 REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. 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. 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A COPY OF II WILL BE MAILED UPON YOUR RN I TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WVYW.PERSINNG.COMMUSiNESS_CONTINUTTY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POUCIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N(300 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES. IF ANY Of THE ABOVE TERMS ARO CCNDITI0NS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PERBENG IIALITCNATELY IN WRITING BY CERTIFIED UAL TO ONE PERSHING PLACA JERSEY CITY. NJ 07300. AMC LEGAL DE PT Page 10 of 10 t)ILAR•Cill Account Number. NIG-023 12 Go paperless SOUTHERN STM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rawl r.cMNnr Soren Yeas In A Pow °ALIAS, *AIM COMMUNICATIONS (AC SDNY_GM_00042380 DB-SDNY-0010204 EFTA_00157989 nbENTIAL EFTA01254077 PA Oar Int Ikelens.e1C2r203 SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAVA SMITH Draisre San* Poore Vraeh Marge-an mines Cornet 0 ,0•11 CersOw I. rt'k. Olinellid Mice Ma Put Ammsdfth Well" 101W (l U) 4W-Win PM) 28•4091. Account Number: N40-023812 Statement Period: 11/01/2013 -11/3012013 Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Net Securities IniOut of Account Adjusted Previous Account Value Dividends, Interest and Other Income K et Chan e in Portfolio Estimated Annual Income Asset Allocation Prior Year-End Lad Period This Period % Allocation ._. b.: :,,,,- .' c ley Funds. and Bank Deposits' 0.00 1,665,418.59 1,695,711.92 35.12% USD Fled Income 0.00 000 1,607,000.00 33.28% l USD Equities 0.00 1.539.000 00 1.525.519.50 31.60% Account Total (Pie Chartl $0.00 $3,204,418.59 $4,828,234.42 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured toe* defrosts are not securities and are not covered by We Securities Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporation (FDIC), up to atonable limits. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) This Period on s .5 tear.to.Date $3,204,418.59 $0.00 000 1.565111 17 0.00 1.521,900.00 3,204,410.n 3,107,314.47 30,296.33 30,300.45 .610.619.50 $121.14120 Pie Chart allocation only includes products that are at positive Yak*. Page 1 off( A0090 06CSF 30015 Rmked I At rkrt Go paperless s--A Ai inA COM Pow MUNtCATIONS CONFI D AENETT A rdt t rTED ars,/ reorrawairm LW. • wry rad serrreor r ir•arraibrnrs rear crirosiirrIT Moir peer sac SDW_GIA_00047381 DB-SDNY-0010205 EFTA_00157990 EFTA01254078 Summary of Gains and Losses Realized This Period Year-to-Date Unearned Short-Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 0.00 -357.460 50 0.00 -351,460.50 Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at wnw.myedocumentsuite.com for this easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564. Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Activity Type Desaiption Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46023812 Activity Ending' 11129113 11101/13 Opening Balance 1,665,418.59 1,665,418.59 11115/13 Deposit INTEREST CREDITED 15.08 1,665,433.67 APY 0.01% 11/18113 Deposit DEPOSIT 30.281.25 1,695,714.92 Associated Bank NA NO 11/18 S33214.92 BUT NO 11/18 5237500.00 Deutsche Bank NO 11/18 5237500.00 En West Bank NO 11/18 $237500 00 NY Comm unity Bank NO 11/18 5237500.00 Citizens Bank NO 11/18 $237500.00 Texas Capital Bank NO 11/18 S237500.00 Com enity Bank l'OAR•C ILI Page 2 of 8 Account Number NIG-023 12 Go paperless SOU bet riD ev riAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERM Rard 1.<•11•nt Seven Veen In A Raw W.W.II40W COMMUNICATIONS 61.1.04CI rairert , P.S.• MAC. :Woody SAW••••••S'I •••••••• PLC was. es *nut sec SDNY_GM_00047382 DB-SDNY-0010206 EFTA_00I 57991 EFTA01254079 PC. Bea 1116 Bat MD 2'203 FDIC Insured Bank Deposits (continued) Date Activity Type Description Gnaw e Sant Pr Felle Magatentm Mantis Canoe. C0P.P CesbOw Is* Mite nt Ilea Ibrlitelor NI Pad. MY. Ilith liter liesVist. WI 101W IMMI-MIN.0113128•409, Statement Period:1110112013 - 11/30/2013 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPORTS PROGRAM (continued) NO 11118 5237500 00 11129/13 Closing Balance $1,695,714.92 Total FDIC Insured Bank Deposits $1,695,714.92 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250.000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Oirreet Period Year-to-Date Taxable Not Taxable Taxable Non Taxable Dividend Income Equities Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses Portfolio Holdings 30,28125 15 08 $30,296.33 0.00 0.00 $0.00 30281 25 1920 $30,300.45 0.00 0.00 $0.00 Adivity Opelika° Closing Accrued Income 30-Day Current Opening Date Quantity Account Number Ending Balance Balsam Income This Year Yield Tow Cash, Money Funds, and Bank Deposits 3 5.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11/01113 1,695,114.920 N4G023812 11129113 1.665.418.59 1,695114.92 6.50 19.20 NIA NM Total FDIC Insured Bank Deposits 11 665 418 59 $1 695 714 92 Total Cash, Money Funds, and Bank Deposits $1,665,418.59 $1,695,714.92 $6.50 $19.20 $6.50 $19.20 Page 3 o18 Account hum ter N4G-023 12 A/00.M 0.401.0. WI • SONO/ impose eartan A: 0 9 0 8 06CSF3001/ Go imperless OF The Ma Miro. ,••• Sims Od••••••••• Mem* SO Lie ERN OsTeinr A W A , IT I EIT DALEA• RATED COMMUNICATIONS &wow. ttc ...feria sec EXCELLENCE A SONY GM_00047383 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-00 10207 EFTA_00157992 EFTA01254080 Portfolio Holdings (continued) Dale Acquired Quantity Adjusted Unit Cost Cod Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Mnual Income Yield Fixed Income 33.00% of Portfolio (in Matunty Dale Sequence) Corporate Bonds HSBC LISA INC MEDIUM TERM NTS Security Identifier: 40432X032 BRAZILIAN REAL RELATIVE TO 1.50 0.000% 03127114 B/E DTD 03120113 03/13/13 '.11.13 1,000,000.000 100.0000 1.000.000 00 78.9600 789.600 00 -210,400.00 0.00 Original Cost Basis: 51,000,000.00 HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XE56 BRAZILIAN REAL RELATIVE TO USD 0.000% 01/21/11 BIE DID 011112/13 04/05113 '.11.13 1.000.000.000 100.0000 1.000.000.00 81.7400 817.100 00 -182.600 00 0.00 Original Cost Bans $1.000,00000 Total Corporate Bonds $2,000,000.00 $1,607,000.00 .$393,000.00 $0.00 $0.00 2,000,000.000 Total Fixed Income $2,000,000.00 11,607,000.00 .$393,000.00 $0.00 $0.00 2,000,000.000 Unrealized Estimated Estimated Date Ai:mired Quantity Unit Cost Cod Basis Market Price Market Value Will/ Lou Mnual Income Yield Equities 32.00% of Portfolio Preferred Stocks (listed by exprabon daze) ALLY RAI INC PERP PFD RXEDIFLTG RATE SERA CALLABLE Dividend Option: Cash 06111/13'.13 57,000.000 26.1100 1,489,980.00 26.7635 1,525.519.50 35539.50 121,125.00 7.93% Total Preferred Stocks 11,459,9811.00 11,525,519.50 135,539.50 $121,125.00 Total Equities $1,489,9110.00 11,525,519.50 $35,539.50 9121,125.00 Security Identifier: ALLY PRB CUSP. 02005N308 Unrealized Cod Basis Market Value Gain/ Loss Atoned tattiest Estimated Anatol Income Total Portfolio Holdings 15,185,691.92 $4,828,234.42 .1357,160.50 $0.00 $121,141.20 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 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 012008) and are, therefore, considered " noncovered," under the new cost basis reporting rules, and marked or denoted as such. MI 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 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 1099-8 for the applicable tax year in which the security is disposed. Page of 8 Account hum ber. N46423 12 RSCI xtalikeit AM1901306CSF30015 DRAB en, Go paperless cc— Yeas In A Raw * EtAltO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)LIThERN Osumi Dristari Are CALM EXCELLENCE r egret rwareut.•••••••••••••••••••• ...ens to In SONY_GM_OOO47384 DB-SDNY-00 102O8 EFTA_00157993 EFTA01254081 PO. em 1776, 8.4 wolf SAD 2,143 Portfolio Holdings (continued) Draisre Sant Prmaie Wog'. Ma.tenan matins CM. CnCsti Ceettatiolh Sectanewt NoillartOrks 341 Par% SSW, MM. *cc liesVat. PM 10114 P 4514114. PISSIM409S Statement Period: 11/0112013 -1113012013 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 alter January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretory of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fered income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds. foreign bonds. variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa es Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit produces disclosure document or contact your investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://mwedvaiwesftnents.conVEN/productsimoneymarket-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through u5. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a list of Program Banks, please visit htto:Ifwww.owm.db.con'americaseen/Cash$weeDCDtons.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1, 2014, service and account-related fees will be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security Page S of 8 Account number. NIG-023 12 Rated Exollyot A00 9 0CCSF3 Go pa pier ieSS Ye... MA Raw SOL 0ALIW SWIM. COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: ThERNCSTannprN iTIAL lAC11.1O•CC er ne: weer •••••••• tower e.....•••••••••t wren tox memwa sots tole S.< SDNY_GM_00047385 DB-SDNY-0010209 EFTA_00157994 EFTA01254082 M essages (continued) • Foreign safekeeping fee: 56 per position, per quarter Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at iwmv.myedocumentsuite.com for this easy and convenient way to access as of your account information. Eliminating paper delivery of as your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time. help to preserve the enWronmenrs precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. Activity Sum m a ry (All amounts shown are in base currency: USD) Credits This Period Year-to-Date Debits This Period Year-foliate Dividends and Interest $30,296.33 $30,300.15 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 0 00 1.665.111 17 Deposits 000 000 Total Cash $0.00 $1,805,414.47 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits .$30,296.33 -$1,895,714.92 Total Credits 930,298.33 $1,695,114.92 Total Debits -$30,295.33 -$1,895,714.92 Transactions by Type of Activity Process/ Settlement Date Activity Type Des:TOW Quantity Price Accrued Interest Amorat OLY Dividendsand Interest 11/15113 CASI- DIVIDEND RECEIVED 51000 9-R5 ALLY ANL INC PERP PFD FIXEDIFLTG RATE SER A 30.281 25 1,50 ALLY PR I CALLABLE RD 11101 PD 11/15113 11/15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 15.08 USD DEPOSITS INTEREST RECEIVED 158997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 30,298.33 FDIC Insured Bank Deposits 11/15113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED •1548 USD DEPOSITS INTEREST REINVESTED 458997996 11)18113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .30 281 25 USD USD999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -30,296.33 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Page 6 of 8 Account Number. N1G-023 12 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN vonrIDECrialAL Raised f xtablikelt seven Yeas In A Row ("ALUM RAltO COMMUNICATIONS LAC EILLICE l ysisionir •••••••••• LLC. so••••••••Mwr owns. t“ maw4, S *n tat SDNY_GM_00047386 DB-SDNY-00 10210 EFTA_(() 157995 EFTA01254083 PC Sh. '776. BA Pt,. 2'112 Client Service Information Draisre Banc Prmale Plea, Maatenmi Weals Comer Comp CestsOw Is* Seagram .4. Now Part OPto .141Parlt Puss.. 16th I keg Prolgek. PM 10114 IM)• •••431.05.31M401% Statement Period: 1110112013 • 11/3012113 Your Client Advisor: TDS Contact Information TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10151 Your Account Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other amnia's: FIRST IN FIRST OUT Copies of Statement Sent £EFFREY EPSTEIN AI your request copies of this statem ent have been sent to the above. Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper corn in unications. log in to your account or contact your Client Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures I 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 have been obtained horn sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —NM— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, a tax decisions. These figures assume that the position quantities, interest and dividend rates. and pikes remain constant A capital gain a return of principal may be included in the figures for certain securities. thereby overstating them. Refer to wiwrpershing.corNbusiiess_continuitylaml for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 tine of execution and the name of the person from whom your security was purchased. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to cornmissions and other charges incuned 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 objectEves or financial situation. Expiring options which are valuable are exercised automatically pursuant to Page 7 of 8 Account Number 1446423 12 Rased mollont 9 0 8 06CSF3 0 015 DRAB Cu I Go panerless Seven Yeas In Pow SOVI-ERN OsT.comPAN oNn ISENT1 A L' RPTO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) arose an....Perasetaii. • soar ammo gmene owe yes memos cagsame awn.* SONY GM_00047387 DB-S6NY-00 10211 EFTA_00157996 EFTA01254084 Important Information and Disclosures (continued) Options (continued) 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 fuly 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. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate vrtfl 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. 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 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 wish 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 amount. 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 ($IPC°). 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 knits. For more detailed information please visit www.pershing.comfstrength_stabilityhtml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days alter receipt of this statement. 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 fight 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 fled. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who n 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. Page 8 of 8 Omen. ammo. pwins w1•••••••••••••••••••••• oe moon. ...yen isekeneormorrostmet maw - O l t < - . M a w r W C SDW_GM_000473B8 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010212 EFTA_00157997 Pershing's contact information is as fallays-Pefsaakil LI-Ci-l-a0a1DePaltrnent,Oneletshingaaza:_,Insey_City N wJersey_07399' (2011_411-nm Account Number. NIG-023812 Ita•inf I x<oliont Go powerless a., Seven Years In A Rov• LIA* (GILD COMMUNICATIONS ST DA U Th ERN in ENTIA °A EFTA01254085 Dralsre San* Pr.le vplan mamtenme Patens Cowan Gm,. Cettune W Upon. MC. Now Part Cake PO. em 177$. &Penn MO 2,203 34 PM lieslat. inn 451410i.grA) ASS. Mm, /cc PM 10114 naraoss Valuation at a Glance Account Number: N4G-023812 Statement Period: 0811912013 -10/31/2013 This Period Year•to•0ate Beginning Account Value $0.00 $0.00 SOUTHERN TRUST COMPANY INC Net Cash Deposits and Withdrawals Net Securities InlOut of Account 1,665,414 47 1,521,900.00 1.665.414 47 1.521.900 00 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 3,07,314.47 3,187,314.47 ST THOMAS VI 00802 Dividends, Interest and Other Income 4.12 4.12 Net Chan•e in Portfolio 17.100 00 17 10000 ndrng Account Value S3.204 418 59 $3.204.418.59 Estim ated Annual Income 5121 12912 Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-End Lad Period This Period %Albntioe ley Funds. and Bank Deposits' 000 0.00 1,665,41159 51.97% LSD Equities 000 0.00 1,539,000.00 46.03% C Account Total (Pie Chart) $0.00 $0.00 93,204,418.60 100.00% I The Bank Deposits In your account are FDIC insured bank deposits. FDIC insured bark deposes are not secunties and are rot peered by the Secuntes Investor Protection Corporation (SIPC). These bank deposns are covered by the Federal Deposn Insurance Corporation (FDIC). up to steads lints. See page 2 of the statement for imponam information regarding the AsSe Alocaton section. CONFIDENTAL — PURSUANT TO FED. R GRIM. P. 6(e) Pie Chart atocation only includes products that are of positive value. Page 1 of 9 0009722 CSF30016 Go paperless g .„, S...., ye... In A Onw RaScl I ...float coNFI D A•A No A L...........71„.. gP,cot=O COmmuPPCP.OOm5 5 SDNY_GM 00047389 DB-SDNY-0010213 EFTA_OO157998 EFTA01254086 Asset Allocation Disclosure and Footnotes Note: Unpnced secunties are not included in the Total Account Value. Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Sho rt.Term Gain/Loss Net Gain/ Loss This summary excludes transactions where cost basis information is nd available. For Your Information 0.00 0.00 0.00 49 020 00 0.00 49,020.00 Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. Go Papedess. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wealth Management clients. Sign up today at mmumyedocumentsuite.com for this easy, convenient and secure way to receive al of your sensitive account information. If you need assistance duriag enrollment, please contact your Client Advisor or Web Support at M-776-7564. FDIC Insured Bank Deposits Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Num bet N46023812 Activity Ending. 10/31113 08119113 Opening Balance 0.00 0.00 10/07113 Deposit DEPOSIT 1.660.413.12 1.660.413.12 10115113 Deposit DEPOSIT 5.000.00 1.665413.12 10/15113 Deposit INTEREST CREDITED 1.12 1,665,417.24 APY 001% 10116113 Associated Bank NA 1,885,417.24 NO 10116 5237500.00 BUT NO 10116 5237500.00 Deutsche Bank NO 10116 5237500.00 East West Bank NO 10116 5237500.00 NY Comm unity Bank NO 10/16 5237500.00 Texas Capital Bank NO 10116 5237500 00 Union Bank of CA NO 10116 52917.21 ',RAP< ti I Page 2 of 9 Account Number N1G-023 12 Go paperlesS b c ennriDnTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHER/1 12•Mcl rx<oll•nt Seven Years In A Roy* OALSAII EtAltOCOMAAUNICATIONS 0140010.•••••••• 0•1101••• LLC. • •••••V CS/ •••• ••••i RS Mc Vs% Mien C sate. {MY •••••• IL< new.. IBA A 04V is CDC SONY GM_00047390 DB-SDNY-0010214 EFTA_00 l 57999 EFTA01254087 FDIC Insured Bank Deposits (continued) Date Activity Type Description Orals° e San, Pr.le YMEO Maatenmil Mieetts I treeiteCoMP ....sat SR* Serum nt. *We bet OR,. in PIA •••••••• 20th I ter Mew Pot I,Y I0VA (M) 4S41.74121. MSS" 211.409S Statement Period: 08/19/2013 -10/3112013 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Com enity Bank A/0 10/15 $237500.00 10/21/13 Deposit DEPOSIT 1.35 1.665.418.59 10131113 Closing Balance 11,665,118.59 Total FDIC Insured Bank Deposits The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. $1,865,416.5e Income and Expense Summary Correa! Period Year4o•Date Taxable NO. Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 4.12 0.00 4.12 0 00 Total Dividends, Interest, Income and Expenses $4.12 $0.00 $4.12 $0.00 Portfolio Holdings Activity Openlag Closing Mend krone 30.Day Current Opening Date Quantity Account Number Ending Balance Balance Income liNYear Yield Yield Cash, Money Funds, and Bank Deposits 5 2.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08I19I13 1,665,418.590 N4G023812 10131113 0.00 1,665,418.59 7.29 1.12 kb> MA Total FDIC Insured Bank Deposits $0.00 $1,665,418.59 $1.29 $4.12 Total Cash, Money Funds, and Bank Deposits $0.00 $1,665,415.59 $7.29 $4.12 Page 3 of 9 Account Number N4G-023812 I 00114.1. PC 0972ZZCSF30016 Go paperless Sne en Yea., In A Rove SO ',THEW, sali TeNrIDA5NTIAL DAMAN RA LINCETED COMMUNICATIONS LXCEL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0WN Peon.' .- . yaw n windiest sea ei mans Peon.' reenoissis rem. ram An SONY GM_00047391 DB-S6NY-00 10215 EFTA_GOI 58000 EFTA01254088 Portfolio Holdings (continued) Dale Acquired Quantity Adjusted Unit Cost Cost Basis Market Price Market Value Unrealized Gain/ Loss Awued Interest Estimated Estimated Mnual Income Yield Fixed Income 0.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds tHSBC USA INC MEDIUM TERM NTS Security Identlaer: 40432XD32 BRAZILIAN REAL RELATIVE TO LSO 0.000% 03/27/11 BIE DTO 03/20113 03/13113 '.12.13 1,000,000.000 100.0000 1.000.000 00 k/A ti/A 0.00 5HSBC USA INC MEDIUM TERM NTS BRAZILIAN REAL RELATIVE TO LW 0.000% 04/21/11 BIE DID 04/12/13 04105113 '.12.13 1.000.000.000 Original Cost Baas SI ,000,000.00 Security Identifier: 40432XES6 100.0000 1.000.000.00 N/A h/A 000 Original Cost Bast 51.000.000 00 Total Corporate Bonds $2,000,000.00 $0.00 $0.00 $0.00 $0.00 2,000,000.000 Total Fixed Income $2,000,000.00 $0.00 $0.00 $0.00 $0.00 2,000,000.000 Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Unrealized Gain/ Lou Estimated Estimated Mnual Income Yield Equities 48.00% of Portfolio Preferred Stocks (listed by eipirabon daze) ALLY RNL INC PERP PFD FIXEDIFLTG RATE SERA CALLABLE Dividend Option' Cash 06111113 '.12.13 57,000.000 26.1100 Security Identifier: ALLY PRB CLSP. 02005/%308 1,189,980 00 27.0000 1,539,000.00 49.020.00 121,125 00 7.87% Total Preferred Stocks $1,489,980.00 $1,539,000.00 $49,020.00 $121,125.00 Total Equities $1,489,910.00 Cod Bads $1,539,000.00 Market Value $49,020.00 Unrealized Gain/ Lou Awued leered $121,125.00 Estimated Annual Income Total Portfolio Holdings $5,155,398.59 $3,204,418.59 149,020.00 $0.00 $121,129.12 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 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 repotting rules, and marked or denoted as such. Aft other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'cowered" under the new cost basis reporting rules are defined as 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 109943 for the applicable tax year in which the security is disposed. Page4 of 9 I)IkAR•C t I Account Number. NIG-023 12 Go paperlesS .. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN csbennYADENTIAL Roftod r.cMyn, Seven Veen InA Pow MIIwP itAltO COMMUNICATIONS EXCWOCI OW... wee.. ft eranly u.C. • wonav es/ ••St on. wan mos vaniesencansafM4SS vase. „c woe es 'iv sa SONY GM_00047392 DB-S6NY-00 10216 EFTA_001 58001 EFTA01254089 PO em 1776. Bait nee MO 2IPX) Portfolio Holdings (continued) Dralsre Sant Prmalevalan Pomigenan Patens Cowie 4,cm. Ctudve Op* Moon. Mc New IPA Wks 345 PMASS, 2•1hItcr lieslat. 10114 II 0) 4514111. DIM 2.8409S Statement Period: 08/1912013 - 10131/2013 Reporting requirements generally will be phased in over a three-year period, as follows: • Stack in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acqueed on or after January 1.2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or princeml paydowns. The method of calculation is based upon the type of feed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 13 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. 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 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 investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market kinds, please visit the DWS Investments website at htlps.thviwrdws-investments.coriVEN/products/money-rnarket-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a 1st of Program Banks, please visit http:llw+wvvwm.db.condamericaslen/CashSweepOotions.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry depose accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1. 2014, service and account-related fees will be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: 350 • IRA termination fee: $95 Page 5 of 9 e * o Account Kolar NIG-023812 i t ) Rapid rx<011ent usvinsapippPerielP40.1.0. • wear erStar, BOO 9722:C.SF3C 01 6 Go paperless seven Yeas In A Raw or Than. Sisnlasversis Masse SOUTHERN um n DArgriA iixActi hatz to communicATIONs ...SI F.Plasra Dty eilaPe em 00047393 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010217 EFTA_00158002 EFTA01254090 M essages (continued) • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: 56 per position, per quarter Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at vivAv.myedocumentsuite.com for this easy and convenient way to access a1 of your account information. Eliminatkig paper delivery of al your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the envnonments precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. Activity Sum m ary (All amounts shown are in base currency: USD) Credits This Period Year-to.Date Debits This Period Year-to.Date Dividends and Interest $4.12 $4.12 Dividendsand Interest $0.00 $0.00 Cash Cash Deposts 1 665.414 47 1.665.414.47 Deposits 0.00 0.00 Total Cash $1,665,414.41 $1,665,414.47 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$1,665,418.59 -$1,665,416.59 Total Credits $1,665,418.59 $1,665,418.59 Total Debits -$1,665,418.59 -$1,665,416.59 Transactions by Type of Activity Process' Trade/ Settlement Transaction Date Date Activity Type Descriptioe Quantity Price Awned Interest Amount CCY St CU rities Withdrawals and Deposits 10107113 SECURITY RECEIVED ALLY FM INC FRP PFD FIXEDIFLTG RATE SER A CALLABLE 57,900.000 0.00 USD ALLY PRO 0902 ,PIACBAA NC P 72500 10116113 10(07113 SECUF4TY RECEIVED HS8C USA INC MEDIUM TERM NTS BRAZILIAN REAL RELATIVE 1.000,000 000 0.00 USD 40432XD32 TO USD 0.000% 03(27114 B/E DTD 03/20113 0902 .PMCBAA NC P 72500 10/17/13 10(15113 SECURITY RECEIVE) HS8C USA INC MEDIUM TERM NTS BRAZILIAN REAL RELATIVE 1.000.000.000 0.00 USD 40432XE56 TO USD 0.000% 04(21114 DIE DTD 04/12/13 0902 PhICBKA NC P 72500 Total Startles Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 0.00 Dividends and Interest 10/15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 4.12 USD DEPOSITS IN TEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 4.12 Page of 9 (>14LAH.0 Account Number 1146-023 12 Go paperless SO U `'SC IDENTI L A T.° CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERM Rawl rx<ollent Seven Years In A Pow CAW.. COMAALINICATIONIS er r topo. , Poesy Lit. !wader Gs, oawatart reale. „c mamas IS in SONY GM_00047394 DB-S6NY-00 10218 EFTA_00 158003 EFTA01254091 0rals° e Pant Pule Wea0 Maigenan wrap Cowart 4,0.1. ChttOve Wit Set...W.1,Y. Pew Wha 0Mor Hf Put AsammijNh I *Du Ns ea( WIW 0 12) rl a1a.NSN ywon Transactions by Type of Activity (continued) Process' Trade Settlement Transaction Date Date Aaivit •e Dean is Wan Price Statement Period: 08/19/2013 • 10/31/2013 Accrued Interest Amount CCf Cash Withdrawals and Deposits 10107113 YOUR ASSET TRANSFERRED ACAT BALANCE 0902 .PA CBA A NC W89640002 1.660.413 12 USD US0999997 10115113 YOUR ASSET IRAN SFERREO ACAT BALANCE 0902 .FMCBNA NC W89640002 5,000.00 USD US0999997 10/21/13 YOUR ASSET TRANSFERRED ACAT BALANCE 0902 PM CBA A NC W89640002 1.35 IJSO US0999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 1,666,414.47 FDIC Insured Bank Deposits 10107113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1,681,413.12 USD USD999997 10/15/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM •5.000.00 USD US0999997 10115/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .1.12 USD DEPOSITS INTEREST REINVESTED 458997996 10/21/13 FDIC INSURED BANK DEPOSIT INSURE) DEPOSITS PROGRAM .1.35 USD 1150999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 .1,606,411.69 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: WS TAN SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Contact Information Telephone Number: Page? o19 Account hum ber NIG-023 12 BOO 922:CSF3C 016 Go paer-less S gra:t 1;r:it:VA Paw SO UTI- ERN csTeinr. CIA OAP ItAltO COW/UNICA I IONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P 6(e) I D 5N Ti AL DEC MIMI arose ass. PeralYwiAll • radar ••••••••• *I Timone r•••• oranceverras err ••••••• teen owo. row sow SDNY_GM_00047395 DB-SDNY-0010219 EFTA_00158004 EFTA01254092 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: Default Method for all Other Securities: FIRST IN FIRST OUT Copies of Statement Sent if/FREY EPSTEIN Al your request copies of this statem ent have been sent to the above. Electronic Delivery You have nal selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "WA"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic, political, and business conditions. they should not be relied on for making investment. trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to WINI. pershing.co NMI s in e s s_c on tin u it y html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 tine of execution and the name of the person from whom your security was purchased. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Infuriation with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your mitten request directed to your introducing Mn. 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 fun. 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, tamed a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 8 of 9 Account hum ber N4G-023 12 lband x<ollent 0009722:CSF300:4 Go PaPerleSS Seven VC,101 Int. Row OALIVA CLAIM communicArkoNs CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 67,;"" t sTannOrN ITIAL ',KILLING{ _Tr wan owe yrs •••••ncsa......n. sr.* vsy ,LC was/ VS ram sec SDW_GM_00047396 DB-SONY-0010220 EF1'A_00158005 EFTA01254093 PO Elm I M. EllatIMM MD 21N3 Important Information and Disclosures (continued) Dralsre Sant Poule w..00 Ma.zigenan Mats Coven* G,C,P CesbOw W Maori Mc Now Part Mar Ha ran •••••••.. fib I tcr Itrovat PM 10114 inn 4514314. n• -409S Statement Period: 0011912013 - 10/31/2013 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 (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 resuN of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the 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 knits. For more detailed information please visit vnwv.pershing.comistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned. • Arbitration awards are generally final and binding; a parlys ability to have a court reverse or modify an arbitration award is very knifed. • 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 wig 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 clean 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 inflated 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; al 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. Pershin's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 9 o19 Account hum tier tliG-023 12 Mood Inolkom BOO 9722:CSF3 0 01 6 A Paw SO II- ERN CST rn onn T A DCs°Pal,Nwirier L*, OALSA Owen A MUD COmmuNiCATtOrkr1 ..XC I lac CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Morse *so 14,06,110. I Wiest awed " re The Ma owe vett rain ca..••••••ISIT ma anodede Pen.. a“ *raw ••••,•••• leC SDNY_GA4 00047397 DB-SONY-0010221 EF1'A_00158006 EFTA01254094