I !I I Deutsche Bank

I !I I Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTBN DARREN K IN DYKE TTEES 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 041Avh• 6.int PtIsair Obrallt.141.n.etmest mantis contact 6, w: Owhiche Oar* Stem, 0w Yoe, C'ke 34S Put Avervva.)611• Flow Nero VW.. N11015.1 Tonne N,(017 SI-05 Clue , roan 5641 December 1,2017- December 31,2017 Account Number: Portfolio at a Glance TelePerlod Year4o4lett Your Investment Specialist. BEGINNINGACCOUNT VALUE $18,387,759.83 $46,880,282.80 JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 0.00 .20,580,845.83 Adjusted Previous Account Value 18,387,759.83 17,290,416.77 Dividends. Interest and Diner Income 1200.38 840,892.57 Net Change in Portfolio' -29,595.20 239,515.65 ffl DINGACCOUNT VALUE Accrued Interest 839,500.00 Estimated Annual Income 8817,011.02 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value alter activity. El • Ej Percent Asset Type Prim Year-BM Lad Period ThisPeriod 25% Cash, Money Funds, and Bank Deposits 33,971,632.06 5.653.033 25 4,643,819.22 17% Fixed Income 3,538,830.00 3,037,280.00 3,037,500.00 46% Equities 7,122,850.00 7,408,090.00 8,392,270.00 12% Mutual Funds 2,229,350.54 2,289,370.58 2,291,435.11 100% Account Total (Pie Chart) 346,860,282.80 018,387,759.83 518,370,824.99 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) AD 130 271CSF30025 CONFID6411AL- Page 1of t# Rated Escollent (rely Year Since 2(x07 DMIARmno COMMUNICATIONS EXCWANCE Clewing through Pealing 11C. invidy evened sabsklianr et The Mak el New Yak Melba Catontlan meNoo) Peel Fin; 11.C.wel• itioio.PkrniaiLM-00048337 DB-SDNY-001 1 161 EFTA 00158946 EFTA01254188 Summary of Gains and Losses Realized ThisPerlod Year-In-Die Untiefind Short-Term Gain! Loss 0.00 0.00 31,975.91 Long-Term Gain/ Loss 0.00 12,929.96 42,023.11 Net Gain! Loss 0.00 12,929.96 73,999.02 This summary excludes transactions where cost basis information is not available. For Your Information 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 will be reported on your Forms 1399 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. Money Market Fund Detail Dote Activity Typo Description Amount WNW Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 120% Activity Ending: 2/29/ 17 12/01/17 Opening Balance 5,653,033.25 5,653,033.25 12107/17 withdrawal MONEY FUND REDEMPTION 4014,015.20 4,639,018.05 12129/17 Deposit INCOMERBNVEST 401.17 4,043,81922 12/29/17 Closing Balance $4,643,619.22 Total All Money Market Funds $4,843,619.22 income and Expense SJrnmary Curie] Period Year-N.0M Taxed. Non Truett Tante Noe Taxable Dividend Income Equities 0.00 0.00 425,781.40 0.00 Money Market 4,601.17 0.00 67,478.31 0.00 Other Dividends 8,059.19 0.00 322,007.86 0.00 Interest Income Bond Interest 0.00 0.00 25,625.00 0.00 Total Dividends, Interest, Income and Expenses 112,660.36 10.00 1840,892.57 $0.00 Page 2 of 1' CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) A0130 2710S-30025 CONFIDO. L Rated Eltilikelt trey Yew Since 2007 DAtRAR MTFO COMMUNICATIONS LaCtattla Clewing through Pushing IIC a *bay evened sataldlery of The Usk a Ne Yak Mellon Ceeponelan Mae) ParteinglIC.met-bn FRAIkatilet seeive_00048338 DE1-SDNY-0011162 EFTA_00 I 58947 EFTA01254189 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings December 1,2017 - December 31,2017 THE HAZE TRU ST Axont Opening Dale Quaky Number Adivity Opening Ending Balance Clown; Balance acaued Income Income ThisYem 30-Day Carrot Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 25.00% of Portfolio Money Market DEUTSCHE GOVT CASH 'NUL 12/01117 4,643,619.220 N/A 12129717 5.653.033.25 4,643,619.22 0.00 87,478.31 1.10% 120% Total Money Market 55,653,033.25 $4,643,619.22 $0.00 $67,478.31 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $5,653,033.25 $4,643,619.22 $0.00 $61,418.31 Minted Unnoticed Acased Banded Estimated Dote Applied Qealky Unk Oad Cott Beds Paul Pilo Muth Vibe GINtlienSt MKS Maul Income Yield FIXED INCOME 17.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds Sil ORGAN CHASE& CO DEP SHSREPSIG Sea* Identifier 46625HHA1 110TH PFD SER1FIXED TO FLTG RT 80 7 900%04/29/49 BfEDTD 04/23/08M oody Rating 8AA3 S t P Rating BBB- 05/10111 ?as 3,000,000.000 111.2650 3,337,958.33 101.2500 3,031,500.00 300,458.33 39,500.00 237,000.00 7.80% Original Cost Basis: 53,337,950.33 Total Corporate Bonds $3,337,958.33 $3,037,500.00 4300,458.33 $39,500.00 $237,000.00 3,000,000.000 TOTAL FIXED INCOME $3,337,958.33 $3,037,500.00 4300,458.33 $39,500.00 $237,000.00 3,000,000.000 Unnelzed EAlirnal ed ESIIRMed Oat, At:nuked Quantity Unit CoM Cott Beds Mated Rice Market Value Gokilless Annual Income Yield EQUITIES 46.00% of Portfolio Common Stocks ALPHABET INC CAP STK CL C Dividend Opl ion: Cash 12/05/17 1.000.000 1.014.0150 Total Common Stocks 1.014.015.20 $1,014,015.20 CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) Securely Beatific GOOG CUSP 0207910)7 1,046 4000 1,046,400.00 $1,046,400.00 32,384.80 $32,384.80 AO 130 C2710ONS-30 025 FIDO. L $0 OD Page 3 of 1' Rated hareem trey Yew Since 2007 OMAR RATIO COMMUNICATIONS UMIAK( Clewing Omagh PealskylIC auk*, evened Maid/pry of The kek a New Yak Mellon Ceeponesain Amnon) Per Ihnx 11.C. nwristre FINRAAVYThielt 00048339 DE1-SDNY-0011163 EFIA_00 158948 EFTA01254190 Portfolio Holdings (continued) Untie'laid Estkoated Estkoaled Date At:gutted Quantity Unit Cod Cod Bads Market Prix dulcet Value Coinrless Annul Income Yield EQU IT I ES {continued) Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SKS REPSTG1100TH Security Identifier: C PRK PFD SER K DIV 6.875% PERPETUAL MATT CUSP: 82967341 PERPETUAL CALL 1Vt/2302500 Dividend Opl ion' Cash 02103114 71000.000 25.3090 1.999.118.90 28 5300 2.253.870.00 251.451 10 135.781 25 662% CITIGROUP INC DEP MIS REPSTG 1100 Security Idenlifier:C PRC PFD SER C DIY 5.8% PERPETUAL MATT CUSIP. 0967366 PERPETUAL CALI. 04/22/$T25.00 Dividend Option: Cash 10/28/14 49,033.000 24.0810 1,180,739.16 25.4600 1 248,380.18 67,641.02 71,097.85 5.69% 10/29/14 150.967.000 24.3130 3.670.430.48 254600 3.843.619.82 173,16934 218.902.15 5.69% Total Covered 200,000.000 4,851,169.61 5192,000.00 240.830.36 290,000.00 Total 200,000.000 64,851,169.61 85192,000.00 E240.830.36 5290.000.00 Total Preferred Stocks $6,850188.54 87,345170.00 8495,281.46 5425.781.25 TOTAL EQUITIES $7,864,603.74 $8,392,270.00 8527,666.26 5425.781.25 Unrealized Estimated Estimated Dale Acquired Quantity Unit Cod Cod Bads Market Price Market Value Colorless Annual Income Yield MUTUAL FUNDS 12.00% of Portfolio Ill ORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Oplion Reinvest: Capital Gales Option: Reinvest Security Wentifir ..PHSX CLIP 4012111 01/22/13'.3 198,216.056 10.0900 2,000,000.00 9.3800 1159,266.59 -140,733.41 70.206.14 3.77% 02101/13 ' •3 630.057 10.0670 6.342.92 9.3800 5,909.92 ♦3300 223.16 3.77% 03/01/13 " 711.578 10.0600 7.158.48 9.3800 6.674.60 -483.88 252.03 3.77% 04/01/13 " 789.547 10.1100 7,982.33 9.3800 7,405.95 -576.38 279.65 3.77% 05/01/13 " 751.550 10.1300 7.613.21 9.3800 7.049.54 463.67 266.19 3.77% 06/03/13'° 757.360 10.0900 7.641.77 9.3800 7.104.04 -537.73 268.25 3.77% 07/01/13'3 668.131 9.9700 6.661.27 9.3800 6.267.06 -394.21 236.64 3.77% 08/01/13 . '3 704.609 10.0600 7,088.37 9.3800 6.609/4 479.13 249.57 3.77% 09/03/13'3 709.175 10.0300 7.11303 9.3800 6.65206 -460.97 251.18 3.77% 10/01/13' 3 712.100 10.0240 7.137.8$ 9.3800 6.679.50 -458.35 252.22 3.77% Total Noncovered 204,650.163 2,064,73913 1,919,618.50 -145,120.73 72,485.03 Reinvestments to Date 40.279.024 9.5810 385.905.45 9.3800 377.817.27 -8.088.18 11.266.13 3.77% Page 4 of 1' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AO 10 066104 F D ~AL4 Rated banal Clewing %MVO PenhinglIC.aurlayevmed En-4.Oex SInce2007 seteldlarrof Tie Bank ether. Vat Mellor. DALIARPATILDCOINAUNICATIONS CorporatfonaNY maw ___, ,„, LICalltNa _00048340 ontrmuc.rerecat rimtA. twis4cia9ivi DB-SDNY-0011164 EFTA 00155949 EFTA01254191 lril Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) December 1,2017 - Decem ber 31,2017 HE HAZE TRUST Untested Sheeted Metaled Dale Acquired Quanlily Unit Cost Cost Bass Market Prim Market Value dales Maud lekerne Yield MUTUAL FUNDS (continued) .PM ORGAN FLOATING RATE INCOME FUND (continued) Total Covered 40.279 024 385.905 45 377,817.27 -8.088.18 14,266.43 Total 244,929 187 82,450,644.68 $2,297A35.77 4153,208 91 $86,751.46 TOTAL MUTUAL FUNDS $2,450,644.68 $2,297,435.77 4153208.91 $86,751.46 Unrealized Accrued alienated Cost Beals Market Value Gainr Loss Interest Annual Mom TOTAL PORTFOLIO HOLDINGS 518,296,825.97 $18,370,824.99 $73,999.02 $39,500.00 $817,011.02 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 201t in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 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 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 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. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as to fhe accuracy of this information. v 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 fo us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of Misinformation. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, w hich 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. THEASOF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUALTHESTATEMENT DATE AO 13061750g15F D CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 5 of 4 Rated Wallin, Owing through halms 11C • 11.1•3./ owned tray Vex Since 2007 IS0M., of The Bask a Mew Vat Mellon 0MJXl£ATE0C0MMMNICATI0NS Corporatfon (Ely Melba) ..... n A EXCELLENCE FirOint UK. rreentw F ih-RA. , tleM1hIt9m-00048341 DB-SDNY-00 11165 EFTA_00158950 EFTA01254192 Portfolio Holdings Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. 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, 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 securitiess, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. M essages Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, CIO and MISC. Your 1099 will be delivered as early as possible, beginning January 31.2018 By February t5.you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent it we have Page 6 of 1' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) AO 10 066104 F ID Rated ticellent fray Year Since 2007 OMAR MITO COMMUNICATONT Uallttla Clewing through Patin 11C. • Say anal sobsidiary of The Illok N New Ytelt Melba CarporatIon (OM Melba) na an Oing 11.C.nw-ter IthitA.Wilha91"- 01-" 400'44 DB-SDNY-00 11166 EFTA_00 I 5895 I EFTA01254193 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Messages (continued) December 1, 2017 - December 31, 2017 THE HA 7F TRUST not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1199 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15, 2018. For more information please visit mytaxhandbook.com. M UN ICIPAL SECURITIESRULEM AKING BOARDO(M SRB/a) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRB website, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, RN RA, and NYSE Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5,2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a 7+2 settlement cycle provides fester access to sale proceeds, but it also means that funds are due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial institution about how you can set up e•delivery. DISCLOSURE By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, Uwe authorize the named Financial Institution and Pershing LLC ("Pershing') and their affiliates to share my nonpublic personal information" held at Financial Institution and Pershing with the named trusted contact person( s) (the "Trusted Contact Person(s)") identified as such. Additionally, I/ we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of Financial Institution and Pershing. This authorization includes, but is not limited to, sharing or disclosing any information regarding securities, insurance, bank related, financial planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information I/ we may have provided to Financial Institution and Pershing. I/ we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my whereabouts or health status (i.e., if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone authorized to transact business on the account, or who is already otherwise able to receive the information described above. Account owners should contact their Financial Institution or financial representative with additional questions. Account owners may also contact FINRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments. CALL 844-57-HELPS (844-574-3577) MONDAY - FRIDAY; 9 - 5 P.M. ET • "Nonpublic personal information" includes, but is not limited to: financial account information and balances, information regarding the purchase of a security or insurance product, and any other personally identifiable financial information:(I) provided by a me/ us to my! our Financial Institution; (ii) resulting from any transaction in my/ our account or any service performed on behalf of me/ us by the Financial Institution; or (iii) otherwise obtained from me/ us by the Financial Institution. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AO 130271CSF30025 CONFIDO. L Rated Excelient Emmy Year Since 2007 DAtIlAR RATED COMMUNICATIONS CJICILL Page 7 of 1' Clewing through Pealtin LLC **bay evanad sobeldiary a Me Mak a New Yak Mellon CanceatIon (MY MAW Per I hnx 11.C. mento tuRAAR4 YLOM-00048343 DE1-SDNY-0011167 EFTA_00158952 EFTA01254194 Activity Summary (All amounts shown are m base currency) Credits TNsPeriod DebileThisPerled Net IbisPeriod CreditsYewtoDate DotesThar-to-Dote Net Yew-to-Dale Securities Securities Bought 0.00 .1,022,074.39 -1,022,074.39 0.00 4,115,123.60 4,115,123.60 Total Securities $0.00 41,022,074.39 41,022,074.39 $0.00 41,115,123.60 41,115,123.60 Dividends and Interest $12,660.36 $0.00 $12,660.36 $840,892.57 $0.00 $840.892 57 Distributions $0.00 $0.00 $0.00 $500,000.00 $0.00 $500,000.00 Cash Witidrawah 0.90 0.00 0.00 0.00 46,016,064.02 36,016,064.02 Deposits 0.00 0.00 0.00 6,446,218.19 0.00 6,446,218.19 Total Cash $0.00 $0.00 $0.00 $6,446,218.19 436,016,064.02 429,569,845.83 Totals $12,660.38 41,022,074.39 41,009,414.03 $7,787,110.76 437,131,187.82 429,344,078.86 Transactions by Type of Activity Process Trade Settlement TransactIon Date Dole Adiray Type Description Ovally Price Accrued Meted Amount Currency Securities Bought and Sold 12107/17 12105117 PURCHASED ALPHABET INC CAP STK CL C8I(CM A PERSHING AFRLIATE 1100 000 1.013.8852 -1.014.015.20 USD GOOD M AKES A MKT IN THIS SECURITY I ACTED AS PRINCIPAL UNSOLICITED ORDER 12128117 RBNVEST CASH INCOME PHORGAN FLOATING RATE INCOM E FUND CLASS I 859 189 1.059.19 USD .PHSx 244069.9980 SHFtSSHRSPURCH.AT 59.38000 RD 12/26 PD 4/28/17 Total Securities Bought and Sold - U.S. DOLLARS 0.00 -1,022,074.39 Dividends and Interest 12128/17 CASH DIVIDEND RECEIVED .Pm ORGAN FLOATING RATE INOOM E FUND CLASS I 8,059.19 USD SHSX 2110699980 SHRSRD 4126 PD 12128117 12/29/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 4,601.17 UM INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 12,660.36 Total Value of Transactions 0.00 -1,009,414.03 USD The price and quantity displayed may have been rounded. Page 8 of 1' CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AO130C 2710ON 5.-30025 FIDO. L Rated Excellent (my Yew Since 2007 DMIAR RATIO COMMUNICATIONS EXCILIANCE Clewing through Pate I1C nobly evened sobsidiary of The Milk N Neat Yak Melee CrporatIon My Mellon) Per I hnx nwrrion ONRAVV YLOM-00048344 DB-SONY-0011168 EFTA_00158953 EFTA01254195 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Client Service Information Yaw Invegment Spedaltst ENJ JOSHUA SHOSHAN Telephone Number: 280 PARK AVE- 3RD FL NEW YORK NY 10017 )ecem ber 1, 2017 - December 31, 2017 rH E HAZE TRUST Coated Information Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you w ill 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, w here 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 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 11 A010027CSF30025 CONFIDOs L Rated ticellent Clewing Ut S 1.1.C•aaprented bey Year Since 2007 Mak:liar! of The kelt ether Vat Mellon DALIARRAITO COMMUNCATCOS Carpoestlan (ONY Mellon) uauttia P no U.C.ertly-ber °WAS Vilel Stle— 00048345 DB-SONY-0011169 EFrA_00158954 EFTA01254196 Important I nf Or Mat tOn and Disclosures (continued) The Role of Pershing (continued) Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC€. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person 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 clan 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 clan is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page 10 of 1' CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) A0130271C SC30025 CONFIDO. L R$*d hotlient Crew Year Since 2007 DALBAR RATIO COMMUNICATIONS VICILLINCI Clewing liner Mein LLC *a.* evened istaldlarrof The kelt ether Yalt Mellon Carponban My Mellon) Perihnx 11.C. attnttt• RRIAVVilltleM-00048346 0B-SDNY-00 11170 EFTA_00158955 EFTA01254197 TERNS 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 ANDIOR 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, DE 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 N 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 COMM./ED 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 NC OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• 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 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 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 WLL 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 MIXER, 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 FWANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVALABLE 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 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 NMS - RULE 807(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. 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 OCECUTON: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURRES 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 (NEBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS 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 AND OCHINTIONSARE UNACCEPTASLE TO YOU, PLEASE NOTIFY PERK RIO IIIIFOIATIRN IN ref/RINGBY CERTFIED MAIL TO ONE PERSHING PLAZA, JERSEY CITY. NJ 07399, ATTH LEGA. DEFT CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AO V0271CSF30025 CONFIDO. L Pagerof 11 RAS Esoalent Every Yet Since 2007 DALSAR RATED COMMUNICATIONS EXCELLENCE Clewing lamer Pagel% MC wady wend mtaldlarr of The Mak N New Tat Mete Omporatsan Man/ Perthnx RCmeg-Pet FINRAARINittelt00048347 DB-SDNY-00 11171 EFTA_00158956 EFTA01254198 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 THE HAZE TRUST UAD 02/09199 JEFFREY EPST BN & DARREN K IN DYKE TTEES 6100 RED HOOK QUARTER B3 ST THOM ASVI00802 Otit.th• taM etlsoln &can h Manes (*enact (+043 0wetiche 80* 03. POW Yon Cwite 30 Park Ammo. )60 How New VcO. KY 10154 Tonne NU t17-33330 tree 130 eSS Sul Novem ber 1.2017 - November 30.2017 Account Number: Portfolio at a Glance Thus Period Yew-to-DS Your Investment Specialist BEGINNINGACCOUNT VAWE $18,359,054.54 848,860,282.60 JOSHUA SHOSHAN No Cash Deposits and Withdrawals 4,080.48 -29,589,845.83 Adjusted Previous Account Value 18,363,115.02 17,290,416.77 Dividends, Interest and Other Income 46,258.39 828,23221 Net Change in Portfolio) -21,613.58 269,110.85 818.387,759 83 Accrued Interest 519,750 00 Estimated Annual Income 5815,761 It Asset Summary 'Mel Change in Portfolio is the difference between the ending account value and beginning account value after activity. Paved Meet Type Prim Year-End Lad Period ThIsPerlod El 31% Cash, Money Funds, and Bank Deposits 33,971,632.06 5.610.510.16 5,653,033.25 17% Fixed Income 3,536,630.00 3,076,500.00 3,037,280.00 El 40% Equities 7,122,650.00 7,378,310.00 7,408,090.00 Eg 12% Mutual Funds 2,229,350.54 2,293,734.38 2,289,376.58 100% Account Total (Pie Chart) 848,860,26280 818,359,054.54 818,387259.83 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AO 0 9 96006P30 0 18 NFIDO' Rated hoellent byre Year Since 2007 DAtRAR MTV) COMMUNICATIONS EXCELLENCE Page 1 of 10 Clearing through Fenian IIC auk,/ evened istaidiacy a The an a New Yoh Mellon CarporatIon(ONY Mellon) Perlhnx11.C.mtrwtatt misIAARKOM- 00048348 DE1-SDNY-0011172 EFIA_OO 158957 EFTA01254199 Summary of Gains and Losses Boated Mt Period Year-to-Dote ltoreollad Short-Term Gain! Loss 0.00 0.00 480.53 Long-Term Gain/ Loss 0.00 12,929.96 104,074.75 Net Gain! Loss 0.00 12,929.96 103,694.22 This summary excludes transactions where cost basis information is not available. For Your Information 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 will be reported on your Forms 1399 and/ or 104 2 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. Money Market Fund Detail Ode Aaivity Type Demation Arnaud Brno Sweep Money Market Fund DEUTSCHEG0VT CASH INSTL Current Yield: 0.99% Activity Ending: 11 301 17 11/01/17 Opening Balance 11/10/17 Deposit 11/16/17 Deposit 11/30117 Deposit MONEY FUND PURCHASE MONEY FUND PURCHASE INCOMERBNVEST 5,610,510.16 4,060.48 33,945.35 4,517.26 5,610,510.16 5,614,570.64 5,648,515.99 5,653,03325 11/30117 Closing Balance $5,653,033.25 Total All Money Market Funds $5.663.033.25 Income and Expense Summary %So aunt Period Non Twat Taal. Yeado•Dole Noe Taxable Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest 33,945.35 4,517.26 7,795.78 0.00 0.00 0.00 0.00 0.00 425,781.40 62,877.14 313,948.67 25,625.00 0.00 0.00 0.00 0.00 Total Dividends, Interest, Income end Expenses 546,258.39 $0.00 5826,232.21 $0.00 Page 2 of 10 A0099413CSF300 18FID AL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON O' Rithed Limalent Claim Omagh Pagan IIC a May evened (very Year Since 2007 Maid/pry of The Make/ New Yak Mellon DALBAR RATED COMMUNICATKINS Canceabon(IINY man) VICILLINCI Per Ihnx 11.C. nitentan FINRAAVVELGM-00048349 DI3-SDNY-0011173 EFEk_00 158958 EFTA01254200 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings November 1 2017 - November 30,2017 THE HA ZE TRUST Amount Activity Opening Cole Nearby Number Biding Opemg Bars (bung Nuance Accrued Income Income lb is Yea 30Ory Omni Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 31.00% of Portfolio Money Market DEUTSCHE GOVT CASH ISM 11101117 5,653,033.250 N/A 11130/17 5,610,510.16 5,653,033.75 0.00 $0.00 $0.00 Unrealized alit:Loss 62,877.14 0.97% 0.99% Total Money Market $5,610,510.16 $5,653,033.25 $62,877.14 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS gaged Dale Acadia Nearby all Cod Cod Bads $5,610,510.16 Merkel Prim $5,653,033.25 Market Value $62,877.14 Armed Bared Muted EdkeMed Maud Income Yield FIXED INCOME 17.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds 3a11ORGAN CHASE & CO DEP SUS REPSTG 110TH PFD SERI FIXED TO FLTG RT BO 7900%04/79/49 8/E DTD 04/23/08M oody Rating BAA3 S 8 P Rating BBB• 05/10111 ?am 3,000,000.000 111.2650 3,337,958.33 101.2420 Original Cost Basis: 53,337,95833 Total Corporate Bonds $3,337,958.33 3,000,000 000 TOTAL FIXED INCOME $3,337,958.33 3,000,000.000 Cale Amara Nuaidlly Unit Coo Oust Bask Market Rice EQUITIES 40.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC CEP SHS REPSTG TSOOTH PFD SER K DIV 6.675% PERPETUAL II ATY PERPETUAL CALL rid/23025.00 Dividend Opl ion: Cash 02103111 79,000.000 25.3090 Sztority Ideolitier 46675HHA1 Seco rd y Identthe; C PRK CUSIP f72957341 1,999.118 90 28.7100 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 3,037,260.00 $3,037,260.00 $3,037,260.00 Market Value ,300,698.33 19,750.00 237,000.00 780% 4300,698.33 $19,750.00 $237,000.00 4300,898.33 $19,750.00 $237.000.00 fl eeted Gallese &anted Biala Annual Income Yield 7268.090.00 268,611.10 135.781 25 598% Page 3 of 10 A0099413CSF30018 CONFIDO. L Rated Excellent trey Year Since 2007 OMAR WM COMMUNICATIONS EaalliNCE Chinn through Pembina LC. a *bay evenad sttaldlary al The flask cellar Yoh Mellon Ceeporatlen Mae) Pen hex RC. menten ,IN ;j( DI3-SDNY-0011174 EFTA_00 158959 EFTA01254201 Portfolio Holdings (continued) Dole Acquired Nudity EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC CEP SHS REPSTG 11300 PFD SFR C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 04122/13025.00 Dividend Option: Cash Unit Cost Cost Basis Merkel Price Market Value Securdy Identifier C PRC CUSP 171967366 Untested Eslirnal ed Estimated CalWeete Aortalfro:ore Viet! 10128114 49.033.000 24.0810 1,180,739.16 251000 1260,148 10 79,408.94 71,09785 564% 10/29/14 150.967.000 24.3130 3.670 430.48 217000 3,879,851 90 209,421.42 218.901.15 564% Total Covered 204000 000 4,851,169 64 5,140,000 00 288,830.36 290,000 00 Total 200.000.000 $4,851,169.64 $5,140,000.00 $288,830.36 $290.000.00 Total Preferred Stooks $6,850,588.54 $7,408,090.00 $557,501.46 $425,781.25 TOTAL EQUITIES $6,850,588.54 $7,408,090.00 $557,501.46 $425,781.25 Uncoated Waded Mailed Date Acqtdeed Natty WO Cod Cod Beds Market Rice Market Value Gehiloss Maui Income Yield MUTUAL FUNDS 12.00% of Portfolio ,PHORGAN FLOATING RATE RICOH E FUND CUSS I Open End Fund Dividend Opl ion: Reinvest: Capital Cairns Option: Reinvest Security Idealdiet ..PHSX ONIP.4B12L513 01122113'.3 198,216.056 10.0900 2,000,000.00 9.3800 1,859,266.59 -140,733.41 13,175.42 3.93% 02/01113" 630.057 10.0670 6,342.92 9.3800 5.90913 432.99 232.60 393% 03101113 '.3 711.578 10.0600 7,158.48 9.3800 6,674.61 483.87 262.69 393% 04/01/13" 789.541 10.1100 7,982.33 9.3800 1,405.95 476.38 291.48 313% 05101113'" 751.550 10.1300 7,613.21 9.3800 7,049.54 163.67 277.45 393% 06103113" 757.360 10.0900 7,641.77 9.3800 7.104.03 -537.74 279.59 393% 07101113'" 668.131 9.9700 6,661.27 9.3800 6,267.08 -394.19 246.65 393% 08101113" 704.609 10.0600 7,068.37 9.3800 6,600.22 X79.15 260.12 393% 09103113" 709.175 10.0300 7,113.03 9.3800 6,652.06 X60.97 261.81 393% 10101113 ' " 712.100 10.0240 7,137.85 9.3800 6,679.51 158.34 262.89 393% Total Noncovered 204,650.163 2,064,739.23 1,919,618.52 -145,120.71 75,550.70 Reinvestments to Date 39,419.835 9.5850 377,846.26 9.3800 369.758.06 1,088 20 14,55212 393% Total Covered 39,419.835 377 846.26 369,758.06 -8 088 20 14,552.62 Total 244,069.998 $2,442,585.49 $2,289376.58 4153 209 91 $90,103.32 TOTAL M UTUAL FUNDS $2,442,585.49 $2,289,376.58 1153.208 91 $90,103.32 Unrealized Named blinded Cod Bads Merkel Value Gelatins Inlaid Annual Income TOTAL PORTFOUO HOLDINGS $1 8,284,165.61 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) $18,387,759.83 $103,594.22 919,150.00 $815,761.71 Page 4 of 10 A0099413CSF30018 CONFIDOP Rabid ficellent Clewing Ilintigh Pagel% I1C nob* evened (very Year Since 2007 semidry of TItt Make/Mew Yak Mellon DALBAR RATED COMMUNICATIONS Canceatfon Sly Mellon) VICILLINCI PerthnxlIC. meet.. iiim...44;neceM_00048351 DS-SONY-0011175 EFTA_00 158960 EFTA01254202 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Novem ber 1,2017 - November 30,2017 THE HAZE TRUST • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended bythe Emergency Economic Stabilization Act of 2008. and are marked as "noncovered" Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may markthe account as covered. However, if the account does not receive a 1099B, the cost basis will not be reported to the IRS. 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 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 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. The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. t3 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income ( EA I) and estimated annual yield ( EA Y ) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic, political. and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.comi disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. Page 5 of ID A00996PC6F30018 NFID CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated (smitten Clewing through PershinglIC.a wIlay corned trey Year Since 2007 sobsidiary a The Wok el New Ycelc MNbn DAMMAM:I COMMUNICATIONS CarporatIon (MY Malice) Mtlittla Perchnx 11.C.nter-to Ohio, fl•IOILet91"-00048352 DB-SDNY-00 11176 EFTA_00 I 58% I EFTA01254203 Portfolio Holdings Disclosures (continued) Reinvestment (continued) including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. 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, 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. 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 Rile 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note the following information for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and SI ISC. Your 1099 will be delivered as early as possible, beginning January 31, 2016. By February '6, you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1399 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15,2018. For more information please visit mytaxhandbook.com. PA UN ICIPAL SECURITIES RULEM AKING BOARD49( M SRO)) INVESTOR EDUCATION AND PROTECTION Page 6 of 10 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON O. AC 099413CSF30018FID L Rated ticellent bey Yew Since 2007 DALIAR IMO COMMUNICATIONS txauula Clewing through Penlikv I1C oak* evened sobsidiary of me kelt a New Vat Mellon CarporatIon (MY Mellon) Perfhnx 11.C.mento Ftrat•SAVYaGM_000 48353 OB-SDNY-0011177 EFTA_00 I 58962 EFTA01254204 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Messages (continued) govern ber 1 2017 - November 30,2017 l'HE HAZE TRUST An investor brochure that describes the protections available under M SR13 rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRB website, msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB, FIN RA, and NYSE A ct wity Summary (All amounts shown are in base currency) Credits This Period Debts This Period Net IbisPetiod CredNeYear4m0Me DebleYearAmDete Net YettmDate Securities Securities Bought 0.00 4.795 78 4,795.78 0.00 43,049.21 -93,049.21 Total Securities $0.00 37395 78 47,795.78 30.00 493,049.21 493,049.21 Dividends and Interest 348,258.39 10 00 348,258.39 $828,232.21 $0.00 $828,232.21 Distributions 30.00 10 00 30.00 $500,000.00 $0.00 $500,000.00 Cash Withdrawals 0.00 0.00 0.00 0.00 .36,016,064.02 .36,016,064.02 Deposits 4,060.48 0.00 4,060.48 6,448,218.19 0.00 6,446,218.19 Total Cash $4460.48 30.00 34,080.48 $8,448,218.19 436,016,084.02 429,589,845.83 Totals $50,318.87 47,795.78 342,523.09 37,774,450.40 436,109,113.23 428,334,662.83 Transactions by Type Activity of PANS Settlement Date Activity Type Securities Bought and Sold 11129/17 RBNVEST CASH INCOME .PHS3 DesalptIon Ovally Pike Accrued Intuell Amount twenty PIAORGAN FLOATING RATE INCOM E FUND CUSS I 143238.0040 SHRSSNRS PUROLAT 19.37000 RD 11,27PD 112914 831.994 4,795.78 USD Total Securities Bought and Sold - U.S. DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AC 099413CSF30018 CONFIDO' 0.00 -7,795.78 Page 7 of 10 Rated Excellent Every Year Since 2007 DMIAR UM) COMMUNICATIONS EXCIllatiCE Clewing through Pagel% IL( a.* evened sobildiary or me Bank N New Vat Mellon Camotatlan (MY WWI Perfhnx 11.C.mer-tan FiNsIAA4VELGM-00048354 DB-SDNY-0011178 EFTA_00 158963 EFTA01254205 Transactions by Type of Activity (continued) Proem* Settlement Date Activey Type Description Quantity Price Awued Interest Amount Currency Dividends and Interest 33,945.35 USO 11115/17 CASH DIVIDEND MCBVED 79000 SHRSCITIGROUP INC DEP SHSREPSTG /1300TH PFD CPRK SERK DIV 8.87511PERPETUAL MATY PERPETUAL CALL fft/23.25.00 RD 1103 PD TVA 11129117 CASH DIVIDEND RECEIVED .PNORGAN FLOATING RATE INCOM E FUND CUSS I 7,795.78 urn J'HSX 213238.0040 SHRSRD 1127 PD 1129117 11/30117 MONEY MARKET FUND DEUTSCHEGOVT CASH 4,517.26 USO INCOME RECEIVED FER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 46,258.39 Cash Withdrawals and Deposits 11109/17 FEDERAL FUNDS RECEIVED DSC BANK USA. NATIO 20061 4,080.48 USO 050999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 4,060.48 Total Value of Transactions 0.00 42,523.09 urn The price and quantity displayed may have been rounded. Oient Service Information Your Investment Spedalre ENJ Contact Information JOSHUA SHOSHAN Telephone Number: 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Informatics TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Page 8 of 10 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AO 0994 13CSF30 0 i8 CONFIDO' Rated Excellent Every Year Since 2007 OMAR WM COMMUNICATIONS EXClattiCE Clewing Heater PalenLC. eulogy evened sobeldiary al The Bank el New Yak Melee Carpotatlan My Medea) Per Om U.C.entr-bn inalAARKIlteM-00048355 DE!-SDNY-0011179 EFTA_00 158964 EFTA01254206 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures govern ber 1,2017 - November 30,2017 MEHAZETRUST The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and. in certain instances, execution of securities orders.the assessment of the suitability of those transactions. w here applicable. the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any am endm ents t hereto. 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 Page 9 of '0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) A0099,60c6F30KiFID 4 Rated EMNI•• Every Yea Since 2007 MAAR tam CCOMUNICATIONS Exauitia Clewing through halve& LLC, • Say owned seteldlary of The Bank col Now York Mellon CaPoraban (MY Mellon) PtrOirtt t LC. enerixt ,it,RA.W.niaGM—00048356 DB-SDNY-00 11180 EFTA_00158965 EFTA01254207 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (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 L1C, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page 'ID of '0 A0099, 63630K(FID CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) bled ticellett (very Year Since 2007 DAUIARMITO COMMUNICATIONS FACtlLINCI Clewing through Penl. (LC • Moly owned ittaldiary of The Bonk col Mew York Mellon Canceatlan (OM Wilco) na PersPira LICentetty RAU. tW,gqii9M-01-"48057 DB-SDNY-0011181 EFTA_00I58966 EFTA01254208 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 THE HAZE TRUST UAD 0 2/0 9/99 JEFFREY EPSTBN DARREN K INDYKETTEES 610 0 RED HOOK QUARTER B3 ST THOMASVI 0 0 80 2 044414,148 !Ant ensatr N•Sih 1•484gterwil Marini cptrate 6404 Oehiche Oar* Sr.e "el WV/ Yen Cece 484 P44 lot 4444 418.8, Mee VCA. I0554 nom,. ilte 81, 5405 Cote 140 845 5841 October 1,2017 - October 31 2017 Account Number: Portfolio at a Glance This Period Yeakallialt Your Investment Specialist. BEGINNINGACCOUNT VALUE JOSHUA SH OSHA N No Cash Deposits and Withdrawals 318,214,601.37 18,389.81 848,850,282.80 49,573,908.31 Adjusted Previous Account Value 18,232,670.98 17,288,355.29 Dividends. Interest and Olhe Income 202,734.43 781,973.82 Net Change in Portfolio' -76850 87 290,724 43 ENDINGACCOUNT VALUE 11U 318,359,054.54 818,359,054.5! Asset Summary Estimated Annual Income 5810.438.66 I Nef Change in Portfolio lathe difference between the ending account value and beginning account value after activity. n 0 Peicen1 Asset Type Prim Year-IN Lad Pedod This Period 31% Cash, M oney Funds, and Sank Deposits 33,971,832.06 5,398,779.21 5.810.510.18 17% Fixed Income 3,538,830.00 3,090,000.00 3,078,500.00 40% Equities 7,122,850.00 7,446,210.00 7,378,310.00 12% IA utual Funds 2,229,350.54 2,281,512.18 2,293,734.38 100% Account Total (Pie Chart) $48,880,282.60 $18,214,501.37 Et 8,359,054.54 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID6411AL- AO 131344 CSF30 020 Dam" s Wed ticellent trereleor Since 2007 DALIAR RATED COMMUNICATIONS uauttia Page 1 or 10 Clewing Omer PenblyglIC. oak* evened Moldier, of Tits lank a New Yak Melba Carponban (etly Mellon) P np U.C.rwren ithe"..W.'nf[2P0A_00048358 DB-SDNY-00 11182 EFTA_00158967 EFTA01254209 Summary of Gains and Losses Realized This Period Yew-to-Die Unrealized Short-Term Gain! Loss 0.00 0.00 .25.38 Long-Term Gain! Loss 0.00 12,929.96 125,233.18 Net Gain! Loss 0.00 12,929.96 125,207.80 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced negative interest tales' . 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 1399 and/ or 104 2 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. Money Market Fund Detail Ode Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHEG0VT CASH INSTL Current Yield: 0.95% Activity Ending: 10/ 31/ 17 09130/17 Opening Balance 5,396,779.21 5,396,779.21 10/13/17 Deposit MONEY FUND PURCHASE 18,369.61 5,415,148.82 10124/17 Deposit MONEY FUND PURCHASE 12,500.00 5,487,64822 10131/17 Deposit MONEY FUND PURCHASE 118,500.00 5,606,148.82 10/31/17 Deposit INCOME REINVEST 4,361.34 5,610,510.16 10131/17 Closing Balance 55,610,510.16 Total All Money Market Funds 55,610,510.16 Income and Expense Summary Orient Period Tenets-Oats Taxable Non Ink Taxable Weis:cable Dividend Income Equities 72,500.00 0.00 391,836 05 0.00 Money Market 4,361.34 0.00 58,359.88 0.00 Other Dividends 125,873.09 0.00 306,15289 0.00 Interest Income Bond Interest 0.00 0.00 25625.00 0.00 Total Dividends, Interest, Income and Expenses $202,734.43 $0.00 $781,973.62 $0.00 Page 2 of 10 CONFIDENTIAL — PURSUANT TO FED. R CRil),1 P. 6(e) A0131344 C SC30020 CONFIDO' Rated Estmilent (my Year Since 2007 DALIAR RATIO COMMUNICATIONS ()tall INCE Clewing through Pagan IIC eulogy evened sobsidiary a The Balk fl aw Yak Meta Ca am OM Mellon) Per I hnx 11.C. mn'tn FtivilAAM4YLELGM-00048359 DE1-SDNY-0011183 EFTA_00 158968 EFTA01254210 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings Opening Cote OurMy Number Ending CASH, MONEY FUNDS, AND BANK DEPOSITS 31.00% of Portfolio Money Market DEUTSCHE GOVT CASH HIM 09130/17 5,610,510.160 N/A 10131117 5,396.77321 5,610,510.16 0.00 58.359.88 Total Money Market $5,396,779.21 $5,610,510.16 $0.00 $56,359.88 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $5,396,779.21 $5,610,510.16 $0.00 $58,359.88 Mooted Umealized Mined Edbuled MUM Dale Modred Ouralky Oak Cod Cod Bads U.S Pram Market Woe Calnriess Interest Mod Iroise Yldd FIXED INCOME 17.0 0% of Portfolio (In Maturity Date Sequence) Corporate Bonds SW ORGAN CHASE& CO DEP SHSREPSTO Scarily Ideolifier:46625HHA1 TOTH PFD BM I FIXED TO FLTG RT 80 7100%04/29149 WE OTD 04/23/08Moody Riling 8AA3 S 8 P Rating BBB• 05110111 ..12-13 3,000,000.000 111.2650 3,337,958.33 102.5500 3,076,500.00 -261,458.33 0.00 237,000.00 710% Original Cost Buis: 53 7 5833 Total Corporate Bonds $3,337,958.33 $3,076,500.00 4261,458.33 $0.00 $237,000.00 3,000,000.000 TOTAL FIXED INCOME $3,337,958.33 $3,076,500.00 4261,458.33 $0.00 $237,000.00 3,000,000.000 October 1,2017 - October 31,2017 THE HAZE TRUST Accord Adkity Opening Chung Acaued Income 30Day Current Basco Balance Income !belles Yield Thad 0.94% 0.95% Unrested Estimated &heed Date Acquired Quaky Unit Cal Cod Bads Meeker Rite Merkel Value Celarless Annual Income Yield EQUITIES 40.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC CEP REPSTG /ROOTH PFD SER K DIV 6.675% PERPETUAL KATY PERPETUAL CAU. 1V15/23025.00 Dividend Option: Cash 02103/14 79,000.000 25.3090 1.999.418.90 28.8900 2 282.310.00 Securely Identdie; C PRK CUSIP 02967341 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AO 13 134 4 COC SF30 0 2 N0FIDOP 282.891.10 135.781.25 594% Page 3 of 10 Rated Excellent Clewing liner Fenian IIC a whale evened Every Year Since 2C07 Malaita of Tat Malta New Yak Mellon OMAR MUD COMMUNICATIONS Caper albs (any Maim) EXCILIANCE Peri ',fix 11.C.mtetan FINRA.figneceM_000 48360 DE1-SONY-0011184 EV1:4_00158969 EFTA01254211 Portfolio Holdings (continued) Date Acquired EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC CEP 91S REPSTG 1900 PFD SER C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 0412293025.00 Dividend Option: Cash Wordy Unit Col Cal Bali Market Price Securdy Went ther. C PRC CUSP 172967366 Market Value Unrealtzed Gain Lon Eslinal en Esiirr ated Annual irccrre Yield 10128114 49.033.000 24.0810 1,180,739.16 25.4800 1249,360 84 88,621.68 71,097 85 569% 10/29/14 150.967.000 24.3130 3,670,430.48 25.4800 3,846,639 16 116,208.68 218.902.15 569% Total Covered 200:000 000 4 851 169 64 5,096,000 00 244,830.36 290,000 00 Total 200.000.000 34,851.169.64 $5,096,000.00 $244,830.36 8290.000.00 Total Preferred Stocks 36,850,588 54 $7,378,310.00 $527,721.46 3425,781.25 TOTAL EQUITIES 36,850,588 54 $7,376,310.00 $527,721.46 $425,781.25 Unrealized Sneed &Muted Date kedged Ouantky Unit Cod Cod Bads Merkel Mai Market Value GalorLoss Annual Income Yield MUTUALFUNDS 20096 of Portfolio MORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Oplion: Reinvest: Capital Gales Option: Reinvest Security Ideal iher: ..PHSX CUSP. 4821.513 01122113 ' '° 198216.056 10.0900 2,000,000.00 9.4300 1,869,177.40 -130,822.60 72,769.07 3.89% 02701113 ' •3 630.057 10.0670 6.34212 9.4300 5.941.44 401.48 231.31 3.89% 03701113 ' •3 711.578 10.0600 7,158.48 9.4300 6,710.18 448.30 261.23 3.89% 0U01113 ' •3 789.547 10.1100 7,982.33 9.4300 7,445.44 436.89 289.86 3.89% 05701113 ' •3 751.550 10.1300 7,613.21 9.4300 7,087.11 416.10 275.91 3.89% 06103113 ' •3 757.360 10.0900 7,641.77 9.4300 7,141.91 499.86 278.04 3.89% 07701113'•3 668.131 9.9700 6,661.27 9.4300 6,300.48 360.79 245.28 3.89% 08/01/13 ..3 704.609 10.0600 7,088.37 9.4300 6,644.47 443.90 258.68 3.89% 09703113 ' •3 709.175 10.0300 7,113.03 9.4300 6,687.52 425.51 260.35 3.89% 10/01/13 712.100 10.0240 7,137.85 9.4300 6,715.11 422.74 261.43 3.89% Total Noneovered 204,650.163 2,064,739.23 1,929,851.06 -134,888.17 75,131.16 Reinvestments to Date 38,587.841 9.5900 370.050.48 9.4300 383,883.31 4,167.16 14,166.37 3.89% Total Covered 38,587.841 370.050 48 363,883.32 6,167.16 14,166.37 Total 213,238.004 52434,789 71 $2,293,734.38 4141.055.33 389,297.53 TOTAL M UTUALFUNDS $2,434,769.71 $2,293,734.38 4141,055.33 $89,297.53 TOTAL PORTFOU O HOLDINGS Cod Bads 318,233,848.71 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Market Value 818,359.054 54 Unmated UMW; $125,207.80 AC 13 1344 C SF30 020 CONFIDOP Wed ['mental hely Year Since 2007 DALIAR RATIO COMMUNICATIONS Amid lotus $0.00 blinded Annual Income $810,438.66 Page 4 of 10 Cks.viNoughPrshingUtawialyemmed subsnItalyofThaankcaglewYceltMelka CorpontionONYMMW PenPirml.K.rnertwHIAAAVVELCMIL00048361 DS-SDNY-0011185 EFTA_00158970 EFTA01254212 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) )ctober 1,2017 - October 31,2017 ME HAZE TRUST • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended bythe Emergency Economic Stabilization Act of 2008. and are marked as "noncovered" Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 1099B, the cost basis will not be reported to the IRS. 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 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 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. The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. t3 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income. Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. Page 5 of 10 A01013.61C6ORIOFID 0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated [smitten Clewing through Penhirg 11C. a Say ovmed trey Yew Since 2007 stosidiary of Me Mak eI New Yeelc Mellor. DAMAR IMO COMMUNICATIONS ConceatIon(atlY Wilco) a .. ,.., A IV:WINCE Per Ong 11.C.nlet-tt IthROIWO14391"_000 48362 DB-SDNY-00 11186 EFTA_00 15897 1 EFTA01254213 Portfolio Holdings Disclosures (continued) Reinvestment (continued) including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. 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, 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. M essages MUNICIPAL SECURITIESRULEM AKING BOARDO(M SRN) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRB website, msrb.org Pershing LLC is registered with the Securities and Exchange Commission (SEC). M SRB, FINRA. and NYSE Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Rease 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 10 b-10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 6 of '0 A 0 10 13.61060RI0F ID g CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rated timeliest hen Year Since 2007 DAUIAR &MD COMMUNICATIONS LXCIWINCE Charing through Penaing LC. • +Ate/owned stellar, of 114 Bank *I New Yea Mellon Corporation (MY Melba) Persbintliganerte !Ng*. tWVI‘i:L'40_00048363 DB-SDNY-00 11187 EFTA 0015597? EFTA01254214 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Activity Summary (All amounts shown are in base currency) Dctober 1,2017- October 31,2017 rHEHA ZETRUST Credits Tees Period Debits TbisPeiled Net ThisPetiod thaelteVetto-Date Deis War-to-Dote Net Yew-to-Date Securities Securities Bought 0.00 .7373 09 4,373.09 0.00 45,253.43 45,253.43 Total Securities $0.00 47,373 09 47,373.09 30.00 485,253.43 485,253.43 Dividends and Interest $202,734.43 $000 $202,734.43 $781,973.82 $0.00 $781,973.82 Distributions $0.00 50 00 $0.00 9500,000.00 90.00 $500,000.00 Cash Withdrawals 0.00 0.00 0.00 0.00 48,018084.02 48,018,084.02 Deposits 18,389.81 0.00 14389.81 8,442,157.71 0.00 8,442,157.71 Total Cash 918,389.81 $0.00 918,389.81 9444 2,15721 436418.0134.02 429,573,908.31 Totals $221.104.04 47,373.09 $213,730.95 $7,724,131.53 436,101,317.45 428,377,185.92 Transactions by Type Activity of Process Settlement Date Adivay Type Description Cluentily Price Accrued Initial Amount Wrong Securities Bought and Sold 10130/17 REINVEST CASH INCOME .PMORGAN FLOATING RATE INCOM E FUND PASS 781.876 4,373.09 USD $11SX 242456.280 SHRSSHRS PURGI. AT $9.43000 RD MI26 PD 11/30/17 Total Securities Bought and Sold - U.S. DOLLARS 0.00 -7,373.09 Dividends and Interest 10/23/17 CASH DIVIDEND RECEIVED 200000 SIRS CIT1GROUP INC DEP US REPSTG ft 00 PFD SER 72,500.00 USD C PRC C DIV 51% PERPETUAL MAW PERPETUAL CALL 04/22/142510 RD 1)/ PD 1)123/4 10130/t 7 CASH DIVIDEND RECEIVED 3000000 .PM ORGAN CHASE& CO DEP BIS REPSTG et TH PFD 118,500.00 USD 46625HHA1 SERIFIXED TO FLTG RT BD 7.900% 04/29/49 WE DID 04/23/08 CLB RD 1)10 2 PD 13/30/17 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) AO 131344 CO CSF30 020NFIDO' Page 7 of 10 Rated Catvilent Clain/glamor SIM% IIC nob./ evened Cvtry Year Since 2C07 sneakier! of Tice Maker New Yalt Md DALIAR RATIO COMMUNICATIONS Carponban (MY Mellon) LICILLINCI Perghnx 11.C.nwntat• FINRAAWYLEIGM-000483134 DB-SDNY-0011188 EFEk_00 158973 EFTA01254215 Transactions by Type of Activity (continued) Process settlement Dote Activity Type Description Dividends and Interest (continued) 10130/17 CASH DIVIDEND FEC13VED .PIIORGAII FLOATING RATE INCOM E FUND CLASS I $IISX 242456.280 SHRS RD 9126PD 2/30/2 10131117 MONEY MARKET FUND DEUTSCHEGOVT CASH INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 202734.43 Cash Withdrawals and Deposits 10112/17 FEDERAL FUNDS RECEIVED I4SBC BANK USA, NATIO 34861 18,369.61 USD USD99B997 Total Cash Withdrawals and Deposits-U.S. DOLLARS Quantity Price Awned interest Amount Curren, 7,373.09 USD 4,361.34 USD 0.00 18,369.61 Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 213,730.95 USD Your Investment Sogdian( DU Cooled Information JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Informati Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) Page 8 of 13 AO 131344CSF30020 CONFIDO' Rated Eacellent trey Year Since 2007 OMAR RAM COMMUNICATIONS uceuvicr Clewing through kali% IIC outlay evanad sabaldlary a The in a New Yak Meta CarporatIon (My Man) Panama 11.C. ma-txt inala.flAKTRGM-00048385 DB-SDNY-0011189 EFTA_00 158974 EFTA01254216 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures Dctober 1,2017 - October 31,2017 MEHAZETRUST 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 asthe 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. w here applicable. the rendering of investment advice. if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.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 LI_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any am endm ents t hereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LW 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 A01013.61060RI0F D CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rated Ein4lem trey Year Since 2007 IMOAR RATIO COMMOMCATIONS EXCIILLINCE Page 9 of '0 Clown. through P nebimg 'IC.* May owned stadia., of The Book of New Yool‘ Mellon Gnat-noon MY Mellon) P!r.P.n.: ‘11•RA.g4q21.6M_ 00048366 DB-SDNY-00 11190 EFTA_00158975 EFTA01254217 mpor t ant Information and Disclosures (continued) Important Arbitration Agreement (continued) (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 U_C, Legal Department, One Pershing Raze, Jersey City, New Jersey 07399, ( 201) 413-3330. Page 10 of 10 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) A0131344 CSF30020 CONFIDO. L Rabid Eltiliktit (my Year Since 2007 DMIAR la= COMMUNICATIONS EXClattla Clewing through Pagan IIC eulogy0mM sobsidiary a The Mak a New Yak Mem CarporatIon (MY Mellon) Per Ihnx 11.C.mnWon on) DE1-SDNY-0011191 EFIA_00158976 EFTA01254218 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 THE HAZE TRUST UAD 02/09/ 99 JEFFREY EPSTBN & DARREN K INDYKETTEES 6130 RS HOOK QUARTER B3 ST THOM ASVI 00802 DaAtl.th• Lint Privet, //earth IA One/ (men Marini Coteragt Woos Owvache Mal Swv•eiliwi Mew YOrk vace 34S Poi A.M. t. nib Flow New WO. iff 10114 Toll sive 1164-1.17-Stei tirecl. f ro S3S Sul September 1,2017 - Se tem ber 30.2017 Account Number: Portfolio at a Glance MOWN Year-to-We Your Investment Specialist: BEGINNINGACCOUNT VALUE 310,190,999.41 $48,880,282.60 JOSHUA SHOSHAN Ned Cash Deposits ad Withdrawals 2,737.57 -29,592275.92 Adjusted Previous Account Value 18,193,736.98 17,267,986.68 Dividends. Interest and elher lecome 10,814.39 579239.39 Net Change in Portfolio' 9.950.00 367,215.30 EN DINGACCOUNT VALUE 918,214,501.3 Accrued Interest 598.750.00 Estimated Annual Income 5807.388.08 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. im c Percent Asset Type Prior Yearad Last Period ThisPeriod 30% Cash, M oney Funds, and Bank Deposits 33,971,632.06 5 389.913 93 5,396,77921 17% Fixed Income 3,536,630.00 3,090.000 00 3,090,000.00 41% Equities 7,122850.00 7.436.260.00 7,446,210.00 12% M utual Funds 2,229,350.54 2274,825.48 2,261.512.18 100% Account Total (Pie Chart) $48,880,262.80 318,190,999.41 318,214,501.37 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRlIcl, P. 6(e) CONFIDWAL anew Page 1 of 11 Rated (ottlkot Inn, Year Smce 200/ DALBAR RATED COMMUNICATIONS (XCOJANCE Cleating through PM N% IIC. welienvinal stinidlaryof the Bart ei blomYek Mae Corporation My MONO Pennine 1.1C. mat.. FINRAWSYGM—00048368 DEI-SDNY-0011192 EFTA_00158977 EFTA01254219 Summary of Gains and Losses Rested Ms Period Tear-to-Dele Dareslized Short-Term Gain! Loss 0.00 0.00 40425 Long-Term Gain/ Loss 0.00 12,929.96 201,962.92 Net Gain! Loss 0.00 12,929.96 201,758.67 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECG, ) and other credit institutions introduced negative interest rates. Negative interest expense may be charged to your account it you have a deposit of foreign currency. The interest will be reported on your Forms 1399 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. Money Market Fund Detail Dale Adifity Type Description Mount Belence Sweep Money Market Fund DEUTSCHEG0VT CASH INSTL Current Yield: 0.93% Activity Ending: 09/ 29/17 09101117 Opening Balance 5,389,913.93 5,389,913.93 09/14/17 Deposit MONEY FUND PURCHASE 2,737.57 5,392,651.50 09/29/17 Deposit INCOM ERBNV EST 4,127.71 5.396.779.21 09129/17 Closing Balance $5.396,779.21 Total All Money Market Funds 55,396,779.21 Income and Expense Summary Omen Period Year4o-Date Taxable Non Tenable Teode Noe Tenable Dividend Income Equities 0.00 0.00 319,336.05 0.00 Money Market 4,127.71 0.00 53,998.54 0.00 Other Dividends 6,686.68 0.00 180,279.80 0.00 Interest Income Bond Interest 0.00 0.00 25,625.00 0.00 Total Dividends, Interest, Income and Expenses 510,814.39 50.00 5579,239.39 $0.00 Page 2 of 1' CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) CONFIDOWAL4 Rated (utile% hery Yew Sffice 200/ RATED COMUNICATTOM FICILIANCI Owing through Perstarell.C. a Sbaly owned adosidiary of **Barker Now Ycelt Melba CorporationOM Mete) Poshift 11C...seats. FINROARtilftelt 00048369 DB-SDNY-0011193 EFEk_00 I 58978 EFTA01254220 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings September 1, 2017 - Septem ber 30, 2017 rtiEHAZE TRUST Amaral Activity Opening Date Qualky Number Ending Openmp bin Posing Sallea AcaUed Income Mawr This Yem 30.Oey Current Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 30.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 09/01/17 5,308,779.210 N/A 09729/17 5.389.913.93 5,396,77921 138.18 53,998.54 0.93% 0.93% Total Money Market $5,389,913.93 $5,396,719.21 $138.18 $53,998.54 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Muted Date Acquired Quantky Unit Cost OA Bads 25,389,913.93 Markel Eike 35,396,719.21 Market Value $138.18 Untested GelarLose $53,998.54 Moved Meryl Estimated Ed haled Maul Income lad FIXED INCOME 17.0 0% of Portfolio (In Maturity Date Sequence) Corporate Bonds SY ORGAN CHASE& CO CEP SHS REMO Secerky Iderdilier 48625HHA1 /10TH PFD SERIFIXED TO FLTG RT BO 7.900%04/29/49 B/E DTD 04/23/08Moody Riling ELM3 S t P Rating BBB• 05/10111 %lin 3,000,000.000 Total Corporate Bonds 3,000,000.000 TOTAL FIXED INCOME 3,000,000 000 111.2650 Date Acquired Puratky Unit CoM EQUITIES 4 1.0 0% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC CEP SHS REPSTG /1000TH PVC SER K DIV 8.875% PERPETUAL II ATY PERPETUAL CALL 1V15/23015.00 Dividend Opl ion: Cash 02103114 79,000.000 25.3090 3,337,958.33 103.0000 Original Cost Basis: $3,337,9$8.33 $3,337,958.33 $3,337,958.33 Omt Beek Market Eike 3,090,000.00 $3,090,000.00 $3,090,000.00 Market Value 417,958.33 98,750.00 237,000.00 7.88% 4247,958.33 $98,750.00 $237,000.00 4247,958.33 $98,750.00 $237,000.00 Unrealized awls Stifled Blinded Maui Income Yield Securily Idealiliec C PRK CUSIP:11987341 1,999,418.90 28.9900 CONFIDENTIAL — PURSUANT TO FED. R MM. P. 6(e) 1290,210.00 290,791.10 135.781.25 592% Page 3 of 1' CONFIDMTAL ••••• Rated htelkot Inn, Ye., SoKe 2001 DALBAR RATED COMMUNICATIONS Mill DICE CleatinthroughPerstagLICawhollyewned aticliwyoldwiankONmYwkitOcia Capotathm(SNYWAm) PenhintUCrownteentiLlfic;n4C04-00048370 DS-SDNY-00111134 EFTA_00 58979 EFTA01254221 Portfolio Holdings (continued) Dote Acquired EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC CEP SUS REPSTG 11)00 FED SER C DIV 5.8% PERPETUAL la ATY PERPETUAL CALL 04/22/13025.00 Dividend Option: Cash 10128114 49.033.000 24.0810 1,180,739.16 25.7800 1,284,070.74 83,331.58 71,097 85 562% 10129114 150.967.000 24.3130 3,670,430.48 251800 3,891,929.26 221,498.78 218 902.15 562% Total Covered 200,000 000 4 851 169 64 5,156,000.00 304,830.36 290.000 00 Total 200.000.000 $4,851,169.64 $5,156,000.00 $304,830.36 $290.000.00 Total Preferred Stocks $6,850,588.54 $7,446,210.00 $595,621.46 $425,781.25 TOTAL EQUITIES $6,850,588.54 $7,446,210.00 $595,621.46 $425,781.25 Uncoated Estimated Estimated Crate Aciatied Quality UM Cod Cod Beds Market Price Market Value Gerais% Annual Income Yield Quantity Una Coil Ceilings Market Price Securely Identifier: C PRC CUSIP 172967385 Market Value Wreaked Gain toss Estinaled Eslirraled Annuel barre Vie]] MUTUAL FUNDS Q.00% of Portfolio »ORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Oplion: Reinvest: Capital Gaies Option: Reinvest Seemly Neelthet SNSX CUSIP 48121.513 01/22/13 ..3 198.216.056 10.0900 2,000,000.00 9.4100 1,865,213.08 -134,786.92 74,075.31 3.97% 02/01/13 ..3 630.057 10.0670 6,342.92 9.4100 5.928.83 414.09 235.46 3.97% 03/01113'•3 711.578 10.0600 7,158.48 9.4100 6,695.94 462.54 265.92 327% 04/01/13'•0 789.547 10.1100 7,982.33 9.4100 7,429.63 452.70 295.06 3.97% 05/01/13 751.550 10.1300 7,613.21 9.4100 7,072.09 441.12 280.86 327% 06103113'•3 757.360 10.0900 7,841.77 9 4100 7.1 28.76 -515.01 283.03 397% 07/01/13'•3 668.131 9.9700 6,681.27 9.4100 6,287.12 374.15 249.69 3.97% 08/01/13'•3 704.609 10.0600 7,088.37 9 4100 6.630.37 458.00 263.32 397% 09/03/13 709.175 10.0300 7,113.03 9.4100 6,673.33 439.70 265.03 397% 10/01/13'a 712.100 10.0240 7,137.85 9.4100 6.700.87 436.98 266.12 397% Total Noncovered 204,650.163 2,064,739.23 1,925,758.02 -138,981.21 76,479.80 Reinvestments to Date 37,805.965 9.5930 362,677.39 9.4100 355,754.14 43,923.25 14,128.47 3.97% Total Covered 37,805.965 362 677 39 355,754.14 4,923.25 14,128.47 Total 242 456.128 $2,427,416.62 $2,281,512.16 4145,904.46 $90,608.27 TOTAL M UTUAL FUNDS $2,427,416.62 $2,281,512.16 4145.904 46 $90,608.27 Unrealized Accrued Estimated coi Bads Martel Value Gelatins Mims Anneal Income TOTAL PORTFOUO HOLDINGS $18,012742.70 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $18,214,501.37 $201,758.67 $98,750.00 $807,388.06 Page 4 of 11 CON FiDenek fame Rated(ocelket (werYceSeoce200/ DALBARRATEDCOMMUNKAI1ONS txCruiret Cleelns through hears ima ut»ei mend nbediary of the lank el New Yee Mace CoMotatIonaNY Melloe) PasNrellf. merit. FINRA.ennelt00048371 DB-SDNY-0011195 EFTA_00158980 EFTA01254222 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Septem ber 1. 2017 - Septem ber 30,2017 rHEHAZETRUST • Noncovered under the cost basis rules as defined below. Securities acquired before 2011or 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 EL 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)" 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 1,20 /2 • 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 t 2014 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 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 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. 3 The cost basis of this security has been provided fo us by you or your introdudng firm and Pershing makes no representation as to the accuracy of this information. t2 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEERICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page 5 of 1' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated tictilent beef Yee/ &ace 2O0/ DAM* RA TED COMUNICATiOt6 otcautia Cloarlas through P.O.W. LUC a Many owned stinidiary Oft Barka New Yak Mellon Corporation Sly Mellon Pttshing Lit...sends FINRA.AW 00048372 DB-SDNY-OO 11196 EFTA_OO15898 I EFTA01254223 Portfolio Holdings Disclosures (continued) Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. 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, 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. M essages Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On line 30.2017. Pershing's net capital of S2.28 billion was 13.79% of aggregate debit balances and exceeded the minimum requirements by S1.95 billion. 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 3t 2017. Pershing's net capital of 52.47 billion was 15.12% of aggregate debit balances and exceeded the minimum requirement by 52.14 billion. A copy of the June 30, 2017, Statement of Financial Condition is available at pershing.conO statement_of_financial_condition.html. You may also request a free, printed copy by calling Page 6 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated (scallent heel Veal Saxe 200: DALIAlt RA TED COMMUNICATIONS mama Clueing through halts LAC a wig,/ ornied "ISSN. of the Bark of Nem Via Main Corporation (IINY PASO 00048373 Pershing Lit. entnis DB-SDNY-00 11197 EFTA 0015598? EFTA01254224 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages (continued) September 1, 2017 - Septem bet 30, 2017 THFHA7FTPlIST (888) 860.8510 or (201) 413-420 O. option 5. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5,2017. for equities, corporate and municipal bonds, and unit investment trusts. Moving from a 7+3 to a T+2 settlement cycle provides faster access to sale proceeds, but it also means that funds are due on purchase transactions earlier This may be a good time to consider e-delivery of your account documents-including trade confirmations. account statements and more. Ask your advisor or financial institution about how you can set up e-delivery. 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 (Ai, amounts shown are on base curreucy) Credits ThIsPeriod Debits ThisPetiod Net This Period GedittYeet-to•Date Debits Year-to-Date Net Yes-to-Date Securities Securities Bought 0.00 .6.686.68 6.686.68 0.00 -77,880.34 -77.880.34 Total Securities $0.00 46,686 68 46,686.68 $0.00 477,880.34 477,880.34 Dividends and Interest $10,814.39 $0.00 $10,814 39 $579,239.39 $0.00 $579,239.39 Distributions $0.00 $000 $0.00 $500.000.00 $0.00 $500.000.00 Cash Withdrawals 0.00 0.00 0.00 0.00 -36,016,064.02 -36,016,064.02 Deposits 2.737.57 0.00 2.737.57 6.423.788.10 0.00 6.423.788.10 Total Cash $2.737.57 $0.00 $2.737.57 $6.423.788.10 436.016.064.02 429.592.275.92 Totals $13,551.96 46,686 68 $6,865.28 $7,503,027.49 436,093,944 36 428,590,916 87 Page 7 of 1' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDOI r AL- Ralad (salient Cron Year &ace 200/ DAL/AR RATED COMMUNICATIONS amnia Owing through Pars/ars LC. a alb* owned stinithavy of **Bark el New Yak Mellon Corporation (IINY Mellon) WAffilke04_00048374 Pttshing 11C. mends FINRA. DB-SDNY-00 11198 EFTA_00158983 EFTA01254225 Transactions by Type of Activity Process Settlement Date Activity Type Description Quantity Price Acaued interest Amount Currency Securities Bought and Sold 09/28/17 REINVEST CASH INCOME *MORGAN ROAMSRATEICBMSFUND CUSS I 710.593 1118 24945.5350 SHRSSHRSPURCH.AT$9.41300 RD 09128 PD 09/28/17 6,686.68 USD Total Securities Bought and Sold - U.S. DOLLARS Dividends and Interest 09128/17 CASH DIVIDEND RECIOYED .PHORGIJI PLOKIlliG RATE INCOME FUND CIASS I 241745.5350 SHRSRO 09/26 PO 09128117 09/29/17 MONEY MARKET FUND DEUTSCHEGOVT CASH RICOH E RECBTED PER232045 0.00 1,686.68 8,686.68 4,127.71 UM UM Total Dividends and Interest - U.S. DOLLARS Cash Withdrawals and Deposits 09/13/17 FEDERAL FUNDS RECEIVED HSBC BANK USA, NATIO 4242 USD999997 0.00 10,814.39 2,737.51 USD Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 2,737.57 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 6,885.28 USD Dent Service Information Your Investment Spedektl:ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Your Account Information Contact Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No CONFIDENTIAL — PURSUANT TO FED. R CRilcl. P. 6(e) Page 8 of CONFIDMVAL ••••• Rated Excellent bay Yes, Since 2CO1 DALIAN RA TED COMUNICATiONS DICILLUICI Cleating throush Perstars LUC a abaft ("mod adnicliory of tMbrta Now Yak Melba Corporation (SN't maw Ptrshint mart. FINROARtlYfielt00048375 08-SDNY-0011199 EFTA_00 158984 EFTA01254226 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information (continued) September 1, 2017 - Septem ber 30, 2017 THFHA7FTRUST ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Imp rtant Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant toe clearing agreement with your financial Institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents, the acceptance and, in certain instances, execution of securities orders:the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and In general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 1' CONFIDWFAL-4 Rataltaallat Clearing through haft Lica sal,/ owned be Yaw Since 2007 Snider" of tinier. a Now Yeek Melba DAUM WM COMMUNICATORS carp:noon oNy maw occiamia FINRARtlYaGM-00048376 DB-SDNY-0011200 EFTA_00158985 EFTA01254227 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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; (201) 413-3330. Page '3 of ' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated Eugene" (rev Year SOICt 2C0/ DALBAR RATED COMMUNICATIONS actuura Cleating through Pars/ars LC, Sbany owned stinithory of the Bark of New Yak Mellon Corporation (OM Mellon Ptrshinellf.rnenix. FINRA.AW !R&M_00048377 DB-SDNY-0011201 EFTA_00 I58986 EFTA01254228 TERMS AND CONDITIONS TRANSACTIONS • AU. 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, 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 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 II 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 COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMNNED 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 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 MD OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• 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 PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC 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 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 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: WWW.PERSHFIG.COM/DISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NHS - 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 AFFILIATE13NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST SCECUIION: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURRES 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 (NERO). 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 THER 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 CONDITIONS ARE UNACCEPTABLE TO YOU. REUSE NOTIFY PERS-ING IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 0T399. ATTN. LEON, DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) CONFIDWFAL •••••• Page 1' of " RAS balks% hen, Yea, Since 2001 DALBAR RATED COMMUNICATIONS DIMING( Clearing flout' Pershing U.C.a Saw/ owned stosicliwy of theBark a mri. Yea Melba Corporation ONY NNW PeoNnt monk*. aNakfi Rtii eLelt 00048378 DEI-SDNY-0011202 EFTA_00158987 EFTA01254229 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 044Avtiv Lint Priekair ev•aiih IA.ntetmest Mantis COotratt C404: Oehichr lac* Se:AyPeri l", Nam York [Ake )45 Palk A.M.W RR! pp., Neer Vtelk. MY 10I54 Tall Stile W«5645 Greg1 /0 845 THE HAZE TRUST August 1,2017 - Au ust 31 2017 UAD 02109/99 .EFFREY EPSTBN & Account Number: DARREN K INDYKETTEES 6130 RS HOOK QUARTER B3 ST THOM ASVI 00802 Portf Glance olio at a ThisPerled Yete4aDole Your Investment Specialist: BEGINNINGACCOUNT VALUE 818,153,984.98 846,860,282.60 JOSHUA SHOSHAN Net Cash Deposits ad Withdrawals 113,584.32 -29,595,013.49 Adjusted Previous Account Value 18,267,569.30 17,265,249.11 Dividends. Interest and Olhef Income 45,348.81 568,425.00 Net Change in Portfolio' ,121,918.70 357,325.30 EN DINGACCOUNT VALU Accrued Intecest 879,000.00 Estimated Annual Income 8803,560.48 Asset Summary 'Net Change in Portfolio is the difference between The ending account value and beginning account value after activity. Percent Awl Type 30% Cash, Money Funds, and Bank Deposits in 17% Fixed Income • 41% Equities E§) 12% Mutual Funds 100% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Riot Year•End 1.40 Period This Period 33,971,632.06 5,238,241.35 5,389,913.93 3,536,630.00 3,112,500.00 3,090,000.00 7,122,650.00 1,623,630.00 7,436,260.00 2,229,350.54 2,279,613.63 2.274.825.48 848,860,262.60 818,153,984.96 818,190,999.41 Pageld 9 CONFIDWFAL Riled r,<tIIOµ bby Ye.' Sege 2001 DALBAR RATED COMMUNICATTONS actitifia Cleating through Perstft Lit. a *Iva owned stinithry of theft,. a Now York Mai. Corporation (MY 1i1e'eo' hewntic.mernhe. FINRA.6141 YELGOA_00048379 DB-SDNY-0011203 EFFA_00158988 EFTA01254230 Summary of Gains and Losses &Wed this Period Year4o-0ste Unrealized Short-Term Gain! Loss 0.00 0.00 174.55 Long-Term Gain/ Loss 0.00 12,929.96 191,983.22 Net Gain! Loss 0.00 12,929.96 191,808.67 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (t he ' ECEK ) 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 1399 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. Money Market Fund Detail Dote Actitity Type DescrIpthe Amount Balm Sweep M oney Market Fund DEUTSCHEG0VT CASH INSTL Current Yield: 0.93% Activity Ending: 08131/ 17 08101117 Opening Balance 5,238,241.35 5,238,241.35 08/15/17 Deposit MONEY FUND PURCHASE 147,529.67 5,385,771.02 08131117 Deposit INCOMERBNVEST 4,142.91 5,389,913.93 08131117 Closing Balance $5,389,913.93 Total All Money Market Funds 65,389,913.93 Income and Expense Summary Omen Pence Year-to-Dale Taxable Non route Triable Se Triable Dividend Income Equities 33,945.35 0.00 319,336.05 0.00 Money Market 4,142.91 0.00 49,870.83 0.00 Other Dividends 7,280.55 0.00 173,593.12 0.00 Interest Income Bond Interest 0.00 0.00 25,625.00 0.00 Total Dividends, Interest, Income and Expenses $45,348.81 80.00 1588,425.00 $0.00 Paget of 9 CONFIDENTIAL — PURSUANT TO FED. R CRINI, P. 6(e) CONFID anise Rated (Falb% tan Yew Sect MO/ DAUM RA TED CONNUNICATiONS txuatna Clestlas through P.O.W. LAC, NIKO/ owed adosithary old* Barka Now Yak theta Comontlas OM WNW Pt.- 11C. mont•N FINRATalye,Grvt_00048380 DI3-SDNY-0011204 EFTA_00158989 EFTA01254231 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings August 1,2017 - August 31,2017 THE HAZE TRUST Aeon* AdSity Opening Cote Oustky Number Ending OP4M49 Bin (bung Balance Mauer/ Income Income MOW/ 30.Oey Yield Quid Yldd CASH, MONEY FUNDS, AND BANK DEPOSITS 30.00% of Portfolio Money Market DEUTSCHE GOVT CASH 'NUL 08/01/17 5,389,913.930 N/A 08131/17 5238,241.35 5 389 913 93 $5 389.913 93 $5 389,913 93 Market Value 0.00 49,870.83 0.92% 0.93% Total Money Market 35,238,241.35 60.00 949,870.83 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS gouged Date Acquired Ourrarky Oak Cod Cod Bads 25,238,241.35 fl ail Prim 30.00 Unmixed OWL= $49,870.83 Awned Intend Edlooded SOUS keel Imes Yldd FIXED INCOME 17.00% of Portfolio fin Maturity Date Sequence) Corporate Bonds MORGAN CHASES CO DEP SHS REPS% /10TH PFD SER 1FIXED TO FLTG RT 80 r 900%04129/49 B/E DTD D4/23/0 8M oody Rating SAM 58 P Rating BBB• 05/10111 van 3,000,000.000 111.2650 3,337,958.33 103.0000 Original Cost Basis: $3,331,958.33 Total Corporate Bonds $3,337,958.33 3,000,000.000 TOTAL FIXED INCOME $3,337,958.33 3,000,000.000 Dale Acquired Quantity (MN Cod Cott Bads Markel Plitt EQUITIES 41.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP REPSTG VDOOTH PFD SER K DIV 8.975% PERPETUAL MATY PERPETUAL CALL tV15/23025.00 Dividend Option: Cash 02/03/11 79,000.000 25.3090 Scarily Ideelitier 48625NHA1 3,090,000.00 $3,090,000.00 $3,090,000.00 Market Value 247,958.33 79,000.00 237,000.00 7.86% 4247,958.33 $79,000.00 $237,000.00 4217,958.33 $79,000.00 $237,000.00 Unrealized Gakallose Estimated Bilrealt4 Annual Income Yield Secure y Identifier: C PRK CUSP: 13987341 1,999,418.90 28.9400 N4G424943 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1286,280.00 286.84 1 10 RAS turilent bay Y611 Since 200? DAUM RATED COMMUNICATIONS DICIILDICI 135.781.25 593% Page 3 of 9 Clearlas through Pershing LC. a Mai venal stinithory of Ow Barka New Yak Mdii' Corporation (MY MOW Pahi sne 11C. monhe. FINRA.6141 ifyGM 00048381 — DB-SDNY-0011205 EFTA_00 158990 EFTA01254232 Portfolio Holdings (continued) DateAcquired EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC DIP SHS REPSTG 1900 PST SER C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 04/22/13(125.00 Dividend Option: Cash Ceardity Una Cod Cod Bois Market Price Markel Value Security Iden1ifiecC PRC CUSP 92967366 Unrested OalaHore Earoaled Eslirated Anrual ircure Yield 10128/14 49.033.000 24.0810 1,180,739.18 25.7500 1,282,599 75 81.860 59 71,097 85 563% 10/19/14 150.967.000 24.3130 3.670 430.48 25.7500 3,887,400 25 216,969.77 218.902.15 563% Total Covered 200,000 000 4,851,169 64 5,150,000 00 298,830.36 290,000 00 Total 200.000.000 54,851,169.64 $5,150,000.00 6298430.36 $290.000.00 Total Preferred Stocks $8,850,588.54 $7,436,260.00 $585,671.46 $425,781.25 TOTAL EQUITIES $8,850,588.54 $7,436,260.00 $585,671.46 $425,781.25 Unrealized Estimated Estimeled Date Acqdred OustIty Unit Cod Cod Beds Merkel Mat Market Value Gelation Maud Income Yield MUTUAL FUNDS 12.00% of Portfolio MORGAN FLOATING RATE INCOME FUND CUM I Open End Fund Dividend Oplion: Reinvest: Capital Gain Option: Reinvest Secuiity CUSP:4812111 01122113 ' •° 198,216.056 10.0900 2,000,000.00 94100 1,865,213.08 -134,786.92 74,539.14 3.99% 02/01/13'4 630.057 10.0670 6,342.92 94100 5.928.83 414.09 236.93 3.99% 03/01/13" 711.578 10.0600 7,158.48 94100 6,695.95 482.53 267.59 3.99% 04/01/13" 789.547 10.1100 7,982.33 94100 7,429.65 152.68 296.91 3.99% 05/01/13 751.550 10.1300 7,613.21 9.4100 7,072.09 141.12 282.62 3.99% 06103113" 757.360 10.0900 7,641.77 9.4100 7.128.76 115.01 284.81 3.99% 07701113'•3 668.131 9.9700 6,661.27 94100 6,287.12 174.15 251.25 3.99% 08/01/13 704.609 10.0600 7,088.37 94100 6,630.37 458.00 264.97 399% 09/03/13" 709.175 10.0300 7,113.03 94100 6,673.34 439.69 266.69 3.99% 10101113 ' 712.100 10.0240 7,137.85 9.4100 6,700.86 436.99 267.79 389% Total Noncovered 204,650.163 2,064,739.23 1,925,758.05 -138,981.18 76,958.70 Reinvestm ents to Date 37,095.372 9.5970 355.990.71 94100 349,067.43 1,923.28 13,949.70 399% Total Covered 37,095.372 355.990 71 349,067.43 -6,923.28 13,949.70 Total 241)45.535 $2.420.729.94 $2,274,825.48 4145,904 46 $90,908.40 TOTALMUTUALFUNDS $2,420,729.94 12,274,825.48 4145,904 46 $90,908.40 Unrelated Accrued Wonted Cod Bads Markel Value Galatea Inlaid Annual Income TOTAL PORTFOUO HOLDINGS $17,999,190.74 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) $18,190,999.41 $191,808.67 679,000.00 $803,560.48 Page 4 of 9 CONFIDWAL-4 Rats bane% bery Year Sect 2001 DAUM RA TED COMMUNICATIONS trauma Cleating through Madre 1.1.C. a Sbaly owned stinicliary of tlw Barka Novo Yak Melba Corporation (ONY Melon) Ptrshine 11C. menty nortAgNieLeM_00048382 DB-SDNY-0011206 EFTA_00 I 58991 EFTA01254233 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) August 1, 2017 - August 31, 2017 THF H A 7F TRUST • Noncovered under the cost basis rules as defined below. Securities acquired before 2011or 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 EL 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)" 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 1,20 /2 • 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 t 2014 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 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 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. 3 The cost bass of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. • 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEERICEDATE DOES NOT EQUAL THE STATEN ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities. thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page 5 of 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated (soillent beet Yea/ Saxe 200? DALIAR RATED COMMUNICATIONS EXCCIAUla Clueing through Perstars LAC, a abaft owned "ISSN. of **Bel* New Yak Mellon Corporation (IINY Mellon) Pershing rntnis MiRA.VAPteteM_ 00048383 DB-SDNY-OO 11207 EFTA 00155992 EFTA01254234 Portfolio Holdings Disclosures (continued) Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poofs. 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, 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. 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. Reese 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 10 b-10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 6 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) C0NFIDOMPAL ••••• FINNI (mtelkot (tor Year Sopa 200/ DAL BAR RA TED COMMUNICATIONS EXCELLENCE Clestlas trough PerstArell.C. a NIKO/ owned stinithory of Ow Bark of Now Yak Meta Comontles(ONY WINN FNnt LIC. mernt•N FINRAtatlyeLGM_00048384 DB-SDNY-0011208 EFTA_00158993 EFTA01254235 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 A Ct Evi,y Summary (All amounts shown are in base currency) August 1, 2017 17 R -August 31,2017 THE iiA Credos Teas Period Debits ThisPerlod Net ThisPetiod QedltsTem-to-Dote Debneffir4o-Dite Net Yew-to-Die Securities Securities Boughl 0.00 -7,260.55 .7,260.55 0.00 -71,193.66 '71,193.88 Total Securities $0.00 47,260.55 47,260.55 $0.00 471,193.66 471,193.66 Dividends and Interest $45,348.81 $000 $45.348.81 $568,425.00 $0.00 $566,425.00 Distributions $0.00 $0.00 $0.00 $500,000.00 $0.00 $500,000.00 Cash Withdrawals 0.40 0.00 0.00 0.00 36,016,064.02 48916984.02 Deposits 113,584.32 0.00 113,584.32 6,421,050.53 0.00 8,421,050.53 Total Cash $113,584.32 $0.00 S113,584.32 $6,421,050.53 436,016,064.02 429,595,013.49 Totals $158,933.13 47.260 55 $151,672.58 $7,489,475.53 436,087,257.68 428,597,782.15 Transactions by Type Activity of Process* Settlement Dote Adivity Type Description (Molly Price Accrued Initial Amount Comenq Securities Bought and Sold 06130/17 RBNVEST CASH INCOME .PMORGAN FLOATING RATE INCOM E FUND CLASS I 771.578 -7,260.55 USD .1111SX 240973.9570 SHRSSHRS PURCH. AT $9.4900 RD 08/28 PO 08/30/17 Total Securities Bought and Sold - U.S. DOLLARS 0.00 -7,260.55 Dividends and Interest 08/15/17 CASH DIVIDEND RECEIVED 79000 SHRSCITIGROUP INC DEP SHSREPSTG /1700TH PFD 33,945.35 USD C PRK SER K DIV 6.875% PERPETUAL MATY PERPETUAL CALL ft V23025.00 RD 08104 PD 0811510 06130/17 CASH DIVIDEND RECEIVED .P110064/1 FLOATING RATE INCOM E FUND CLASS I 7,260.55 USD PHSX 240973.9570 SHRS RD 08/28 PD 08/30/2 08131/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 4,142.91 USD INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 45,348.61 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) N4G-024943 Page 7 of 9 CONFID AL armee Ras (salient beet Year Sect 2C0/ DALBAR RATED COMMUNICATORS mastic( Cleating through Pershing1Mo Sbaly owned stinithory a theBarka Now Yak Melba Corporation0NY 1i1eIenr holing FINRA.WilYftelt00048385 DB-SDNY-0011209 EFIA_00 I 59994 EFTA01254236 Transactions by Type of Activity (continued) Proms Settlement Dote Adivay Type Desalpt Ion Cash Withdrawals and Deposits 08115/17 FEDERAL RINDS RECEIVED USD994997 Total Cash Withdrawals and Deposits- U.S. DOLLARS NBC BANK USA, NATIO 40389 0uentily Price Acaued Interest Amount Omen, 113,584.32 USD 0.00 113,584.32 Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 151,672.58 USD Your Investment Spedsid: ENJ Contact Intonation JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10012 Your Account Informal] n Telephone Number: (212) 454-4433 TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Imp rtant Informati n and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 8 of 9 CONFIDWAL-4 Wed (salient bay Year Sesce 2001 DALIAlt RATED COMMUNICATIOP6 mama Cleating through Pershing1.Mo Sbaly owned att." of Ow Barra Now Ycelt Melba corporation (ONY Medonl hrshint 11C. motel FINROARtl)eLelt00048386 DE-SDNY-0011210 EFTA_00158995 EFTA01254237 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) August 1,2017 - August 31,2017 l'HE HAZE TRUST The Role of Pershing (continued) 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, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits For more detailed information please visit:www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement, Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings • The arbitrators do not have to explain the reason( s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed. and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Page 9 of 9 4 Rated balleet bay Year Sect 2007 DAM PA III) COMUNICATTOP6 ricataa Cleating trough Perstars LAC. a alb* owned stinicliary a*.Barra New Yak Mellon Co•Patatlan (MY Mace) A 00048387 Petshift 11.C. mtnin FiNRA.AWM1ERNm_ DB-SDNY-00 11211 EFTA_00158996 EFTA01254238 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTBN DARREN K IN DYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 Dtvische Nnl Mini, Meth lig•nntmest Mulcts “rerage 6•04 !Mobil.? ea* $IPC•Vill• • Mc New von ceke 3.0 NA Amnia. nik Pow New Wok JO 10154 Ton Oro 1.4-!11.5505 00tt: 110 an 5141 July 1, 2017 - July 3 2017 Account Number: Portfolio at a Glance This Period Year4o-Dalt Your Investment Specialist. BEGINNINGACCOUNT VALUE 818,087,159.70 846,860,262.60 JOSHUA SHOSHAN NM Dash Deposits aid Withdrawals 0.00 -29,708,597.81 Adjusted Previous Account Value 18,087,159.70 17,151,664.79 Dividends, Interest and other lemma 82,790.11 523,076.19 Net Change in Portfolio' -15,964.83 479,244.00 DINGACCOUNT VALUE Accrued 'literati $59,250.00 Estimated Animal Income 5800059.99 Asset Summary 1 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. al a El jai Percent Asset Type Prior Year-End Lad Period ThisPerlod 29% Cash, Money Funds, and Bank Deposits 33,971,632.06 5.161.792.65 5,238,241.35 17% Fixed Income 3,536,630.00 3,118,500.00 3,112,500.00 41% Equities 7,122,650.00 7,545,610.00 7,523.630.00 13% M utual Funds 2,229,350.54 2,261,258.85 2,279,613.63 100% Account Total (Pie Chart) 546,860,262.60 $18,087,159.70 518,153,984.98 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F ID OMR L ••••• Rated lialkot hart Year Sesce 2001 DALIARRATIDC0MMUNICATI0NS DICELLUICI Page t o19 Owing through haft1Mo abaft owned Snider" of Ow Bark of New Yak Melba CoMotation (MY Mellon) m_000483138 Peohint LIC.rnerrix• FIN W ! NE& RA. ON DB-SDNY-0011212 EFTA_00 155997 EFTA01254239 Summary of Gains and Losses RAM This Period Year4o-Dele Unrealized Short-Term Gain! Loss 0.00 0.00 342.82 Long-Term Gain/ Loss 0.00 12,929.96 313,384.55 Net Gain! Loss 0.00 12,929.96 313,727.37 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced • negative interest rates- Negative interest expense may be charged to your account it you have a deposit of foreign currency. The interest will be reported on your Forms 1399 and/ or 104 2 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. Money Market Fund Detail Dote Activity Type Cqualpthe Amount Beam Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 0.91% Activity Ending: 07! 31117 07/01/17 Opening Balance 5,161,792 85 5,161392 85 07125117 Deposit MONEY FUND PURCHASE 72,500 00 5,234392 85 07/31/17 Deposit IN COM E RBN VEST 3,948 50 5,238,241.35 07/31/17 Closing Balance $5,236,241.35 Total All M oney Market Funds $5,238,241.35 Income and Expense Summary Current Period Year4o-Ciate Taxable Non Taxable Taxable Nes Taxable Dividend Income Equities 72,500.00 0.00 285,390.70 0.00 Money Market 3,948.50 0.00 45,727.92 0.00 Other Dividends 6,341.61 0.00 166,332.57 0.00 Interest Income Bond Interest 0.00 0.00 25,625.00 0.00 Total Dividends, Interest, Income and Expenses $82,790.11 $0.00 $523,076.19 $0.00 Paget of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDOWAL law/ Riled iltatrtt (WV Ye., Sege 2C0/ DALBAR RA T ED COMMUNICATIONS txcettuc Cleating through Pershing LC, away owned Snider" of the Barka Now Yak Melba corporation (MY WIWI Pane LIC. merit. rume.g6ttisteM_00048389 DB-SDNY-0011213 EFTA_00 158998 EFTA01254240 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings July 1, 2017 - July 31, 2017 THE HAZE TRUST AoccmM Adirky Opening Cote Quardlly Number Biding 000909 Balsa (Mime Balance Accrued Mare. Income ThisYam 30.Omy Yield Docent Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 29.00% of Portfolio Money Market DEUTSCHE GOVT CASH WO. 07/01/17 5,238,211.350 N/A 07/31/17 5,161,792,85 5 238.241 35 55 238.241 35 55 238.241 35 Market Value 0.00 45,727.92 0.90% 0.91% Total Money Market $5,161,792.85 $0.00 $45,727.92 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Adjured Date Acquired Outstay Unll Cad Cod Bads $5,161,792.85 Medal Prim $0.00 Unrealized Gain. Loss $45,727.92 Acaved tinned Ed fl ed Estimated Maud Income Yield FIXED INCOME 17.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds SI ORGAN CHASE& CO DEP SHS REPS% Searity /10TH PFD Set 1FIXED TO RIG RT 80 7100%04/29/49 B/E DTD 01123/08M oody Riling 8AA3 S t P Rating BBB• 46625HHA1 05/10111 ?as 3,000,000.000 111.2650 Total Corporate Bonds 3,000,000 000 TOTAL FIXED IN COM E 3,000,000.000 Date Acquired EQUITIES 41.00% of Portfolio Preferred Stocks (Listed by expiration date) 01'18808994C CEP SHS REPSTG /1000TH PFD SER K DIV 6.675% PERPETUAL MATT PERPETUAL CALL tV15/23025.00 Dividend Option: Cash 02/03/14 79,000.000 25.3090 Nudity (MN Cad 3,337,958.33 103.7500 Original Cost Basis: $3,337,9$8.33 $3,337,958.33 $3,337,958.33 Oast Bads Market Pike 3,112,500.00 $3,112,500.00 $3,112,500.00 Market Value -225,458.33 59,250.00 237,000.00 7.61% 4225,458.33 $59,250.00 $237,000.00 4225,458.33 $59,250.00 $237,000.00 Untested Golakess Estimated &haled Annual Income Yield Seaway Identifier: C PRK CUSP: 12967341 1,999,418.90 29.9700 CONFIDENTIAL — PURSUANT TO FED. R CR[Ivl. P. 6(e) 2,367,630.00 368,211.10 135,781.25 5.73% Page 3 of 9 CONFIDWFAL SS. Rated (salient fray Year Sect 2CO1 DALIAR RATED COMUNICATiOt6 rxceitttia Cleating through Perstarell.C. milmay owned stinicliary of theBarka Now Ycelt Melba Camomile+, (My Mellon) Petshinell.C.mtnin. FINROAPNYELGM-00048390 DB-SDNY-0011214 EFTA_00 I 53999 EFTA01254241 Portfolio Holdings (continued) DoteAcquired EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC DEP SHS REPSTG 11300 PFD SER C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 0412293025.00 Dividend Option: Cash Cenatity Una Cal Cal Weis Market Price Seco rl y Identifier: C PRC CUSP 172967366 Market Value Unrealized pin Loss Eslinaled Eslirraled Annual frame Yield 10128114 49.033.000 24.0810 1,180,739.16 25.7800 1 264.070 74 83,331.58 71,097.85 5.62% 10/29/14 159.967.000 24.3130 3,670,430.48 25.7800 3,891.929 26 221,498.78 218.902.15 5.82% Total Covered 200,000 000 4 851 169 64 5,156,000 00 304,830.36 290,000 00 Total 200.000.000 $4,851,169.64 $5.156.000.00 $304,830.36 $290.000.00 Total Preferred Stocks 0,850,588 54 $7.523.630.00 $673,041.46 $425,781.25 TOTAL EQUITIES $6,850,588.54 $7,523,630.00 $673,041.46 5125,781.25 Unmated Estimated Blinded Date kedged Quality Una Ond Coat Bads Market Rke Market Value Gelalless Maud Income Yield MUTUAL FUNDS 13.00% of Portfolio ..PMORGAN FLOATING RATE INCOME FUND QASS I Open End Fund Dividend Oplion: Reinvest: Capital Gains Option: Reinvest Security Moldier: ‘PHSX CUSIP 4621.517 Oi /22/i 3'.3 198.216.056 10.0900 2,000,000.00 9.4600 1,875,123.89 -124,876.11 75,306.21 4.01% 02701113'•3 630.057 10.0670 6,34212 9.4600 5.960.35 -382.57 239.37 4.01% 03/01/13' 711.578 10.0600 7,158.48 9.4600 6,731.52 426.98 270.31 4.01% 04/01/13" 789.547 10.1100 7,982.33 9.4609 7,469.11 113.22 299.96 4.01% 05/01/13 751.550 10.1300 7,613.21 9.4600 7,109.66 103.55 285.53 4.01% 06103/13" 757.360 10.0900 7,641.77 9.4600 7.164.62 477.15 287.74 401% 07/01/13" 668.131 9.9700 6,661.27 9.4600 6,320.53 340.74 253.84 401% 08/01/13 704.609 10.0600 7,088.37 9.4600 6,665.59 422.78 267.69 401% 09/03/13" 709.175 10.0300 7,113.03 9.4600 6,708.79 404.24 269.43 401% 10101113'.3 712.100 10.0240 7,137.85 9.4600 6,736.46 401.39 270.54 4.01% Total Noncovered 204,650.163 2,064,739.23 1,935,990.52 -126,748.71 77,750.66 Reinvestm ents to Date 36,323.794 9.6010 348,730.16 9.4600 343,623.11 -5,107.05 13,800.14 401% Total Covered 36,323.794 348 730 16 343,623.11 -6,107.05 13,800.14 Total 240,973.957 $2.413469.39 $2,279,613.63 4133,855 76 191,550.82 TOTAL M UTUAL FUNDS $2,413,469.39 $2,279,613.63 4133,855.76 $91,550.82 Unedited Awned blinded Cod Bads Modal Value Gelation Intend Annul Income TOTAL PORTFOLIO HOLDINGS $17,840,25711 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $18,153,984.98 $313,727.37 $59,250.00 $800,059.99 Page 4 of 9 CONFIDWAL-4 Rats (salient fray Yew Sect 2001 DALBAR RA TED COMMUNICATORS mantra CleatIngtivoughPestaglitaitellyerrned minicliwyethellardcoMmYwkitam Comorathm(ONYNNW) AnshiftUCrmnisFINRAANWOA-00048391 DS-SONY-0011215 EFTA_00159000 EFTA01254242 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) July 1, 2017 - July 31, 2017 l'HE HAZE TRUST Noncovered under the cost basis rules as defined below. Securities acquired before 2011or 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 EL 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)" 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 1,20 /2 • 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 t 2014 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 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 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. 3 The cost basis of this security has been provided fo us by you or your introdudng firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEERICEDATE DOES NOT EQUAL THE STATEN ENT DATE Estimated Annual Figures The estimated annual income ( EA I) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 5 of 9 Cleating through Perstars LUX. a Sbany owned sticliary of ea Bark of New Yak Mellon Corporation (IINY PASO Petshinell.C.mtnis FiniRA.VAPteteM-00048392 DB-SDNY-OO 11216 EFTA_OO [5900 I EFTA01254243 Portfolio Holdings Disclosures (continued) Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. 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, 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. 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. Reese 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 10 b-10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 6 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDOMPAL Ratedtwine% hen, Yen Since 2001 DAUM RATED COMMUNICATTONS mama Caws through Penal% LAC a ..hay owned sticliory of tin Banked New Yak Melba Corporation (MY NNW Pa shine montet FINROARtlYeLelt00048393 DB-SDNY-0011217 EFTA_00159002 EFTA01254244 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 A c, Iv i .y Summary (All amounts shown are in base currency) July 1,2017 - July 31,2017 THE HA ZE TRUST Credits nus Period DebileTbisPetle4 Net ThisPerend CreditsTem440Date DetresVoar4o-Dets NN Yew-to-Die Securities Securities Boughl 0.00 4,341.61 .6,341.81 0.00 13,933.11 13,933.11 Total Securities $0.00 46 341 61 46,341.61 $0.00 463,933.11 463,933.11 Dividends and Interest $82,790.11 50 00 $82,790.11 $523,076.19 80.00 $523,076.19 Distributions $0.00 50 00 $0.00 8500,000.00 $0.00 $500,000.00 Cash Withdrawals 0.00 0.00 0.00 0.00 18,018,084.02 36118184.02 Deposits 0.00 0.00 0.00 8,307,488.21 0.00 8,307,488.21 Total Cash 80.00 80.00 80.00 86,307,466.21 436,016,064.02 429,708,597.81 Totals 882,790.11 -56,341 61 876,448.50 87,330,542.40 436,079,997.13 428,749,454.73 Transactions by Type Activity of Process Settlement Date Adhly Type Desrgtimu Dually Price Accrued Initial Amount Omency Securities Bought and Sold 07/28/17 REINVEST CASH INCOME P M ORGAN FLOATING RATE INCOME FUND CLASS I 670.360 1.341.61 USD PHSK 2403034970 SHRS SHRS PORCH. AT 8946000 RD 07/28 PD 07/28/1 Total Securities Bought and Sold -U.S. DOLLARS 0.00 43,341.61 Dividends and Interest 07124/17 CASH DIVIDEND RECEIVED 200000 SHRSCITIGROUP INC DEP SHSREPST681300 PFDSER 72,500.00 USD C PRC C OIV 58% PERPETUAL II ATY PERPETUAL CALL 04(22113§25.00 RD 0710 PD 07124/9 07128/17 CASH DIVIDEND RECEIVED P M ORGAN FLOATING RATE INCOME FUND CLASS I 8,341.81 USD DHSS 2403056970 SHRS RD 07/26 PD 07/28/17 07131/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 3,948.50 USD INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 82,790.11 CONFIDENTIAL - PURSUANT TO FED. R CRIPA P. 6(e) CONFIDWFAL Rated (uelkot Inn, Year Sege 2001 DALBAR RATED COMMUNICATTONS DICOAINCE Page 7 o19 Cleating through haft 11C. vilieWavnal sticliwy of ow Barra Nom York Atelkit Corporation (MY NNW/ Pennant LIC. merit. FINRAIROYELGM-00048394 DB-SDNY-0011218 EFTA_00 159003 EFTA01254245 Transactions by Type of Activity (continued) Process( Settlement Cote Activity Type Desaiption Quantity Price Acaued lamed Amount Curren, Total Value of Transactions The price and quantity displayed may have been rounded Client Service Information Your Investmeat ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 0.00 76,448.50 USD Your Account Information Contact Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities orders;the assessment of the suitability of those transactions, w here applicable; the rendering of investment advice. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) N4G424943 Page 8 of 9 CONFID AL armee Rated li allent beet Yew Sect 2001 DALBAR RA TED COMMUNICATIONS accituia Owl** through Pantiles11C. a Sbaly owned minithory Oft Barka Now Ycelt Melba Corporation (MY Melee) holing 11C. motel ArernefiRftlieLelt00048395 DB-SDNY-0011219 EFTA_00159004 EFTA01254246 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) July 1, 2017 - July 31, 2017 THE HAZE TRUST The Role of Pershing (continued) if any, to you and in general, for the ongoing relationship that it has with you • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement. please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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 alter receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. w itness 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 LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified: or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza. Jersey City, New Jersey 07399; (201) 413-3330. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Page 9 of 9 Rated (utile:at beef Yeat SONt 2C01 UMW RATED COMMUNICATIONS ricatuta Cleating Ilvoush Peal% LUC a Many owned sticliory elfinBark a New Yak Mellon CorporationMy Mellon Pa shine 11C. mat. FINRA.AW !R&M_ 00048396 DB-SDNY-00 11220 EFTA_00 159005 EFTA01254247 a Deutsche Bank 041/1v166 Lint Prisair •••••S11141.61etmen mantis <overate 16104 Devtiche Oarii16,eitini 16C P.O. Box 1 7 76, Baltimore, MD 21203 THE HAZE TRUST UAD 2/ 09/ 99 POW Yon Crnte 146 Put ituenva.1611416ce Nerd VC11, NV 10114 Tonne 1161 6171405 Cove 11-0 Si% 5641 June 1 20 17 - June30 2017 JEFFREY EPSTBN Account Number: DARREN K INDYKETTEES 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio at a Glance This Period Tema-Dote Your Investment Specialist. BEGINNINGACCOUNT VALUE 917,978,554.57 548,880,282.80 JOSHUA SHOSHAN NM Cash Deposits ad Withdrawals 5,719.51 49,708,591.81 Adjusted Previous Account Value 17,982,274.14 17,151,884.79 Dividends. Interest and Orhee Income 9,787.52 440,288.08 Net Chan e in Portfolio 95,098.04 495,208.83 Accrued Merest 939,500.00 Estimated Annual Income 5798,408.43 Summary Asset Partied Asset Type Prbr Year-3M Lad Peeled Thle Period MI 29% Cash, Money Funds, and Bank Deposits 33,971,632.06 5.152.664 58 5,161,792.85 17% Fixed Income 3,536,630.00 3,113,400.00 3,118,500.00 In 42% Equities 7,122,650.00 7,448,430.00 7,545,610.00 mg 12% M utual Funds 2,229,350.54 2,262,059.99 2,281,258.85 100% Account Total (Pie Chart) 948,880,282.80 917,978,554.57 $18,087,159.70 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F ID WFAL ••••• Pagel of 10 Rated htellent can Year SoKe 2C0/ DALBAR RATED COMMUNICATIONS (XCOAINCE Owing through Pershing LUX. a Sbaly owned WNW*" a**Barra New Yak Melba Corporation OW( Mew* WA1 Se&m_00048397 Pa shine 11C. mendx. FINRA. DB-SDNY-0011221 EFTA_00 159006 EFTA01254248 Summary of Gains and Losses %MIS Mt Period Year4o-Dele Unrealized Short-Term Gain! Loss 0.00 0.00 45.77 Long-Term Gain/ Loss 0.00 12,929.96 329,717.97 Net Gain! Loss 0.00 12,929.96 329,692.20 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced • negative interest rates' Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1399 and/ or 104 2 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. Money Market Fund Detail Cate Activity Type Destelption Amount Wince Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 0.66% Activity Ending:0 6/ 30/17 06/01/17 Opening Balance 5,152,664.58 5,152,664.58 06/14/17 Deposit MONEY FUND PURCHASE 5,71957 5,158,384.15 06/30117 Deposit INCOMERBNVEST 3,408.70 5,181392.85 06/30117 Closing Balance $5,161,792.85 Total All Money Market Funds $5,161,792.85 Income and Expense Summary Current Period Year-to-We bootie Non Tate Taxable Sainte Dividend Income Equities 0.00 0.00 212,890.70 0.00 Money Market 3,408.70 0.00 41,779.42 0.00 Other Dividends 8,378.82 0.00 159,990.96 0.00 Interest Income Bond Interest 0.00 0.00 25,625.00 0.00 Total Dividends, Interest, Income and Expenses $9,787.52 $0.00 $440,286.08 $0.00 Page 2 of 10 CONFIDENTIAL — PURSUANT TO FED. R CR[M. P. 6(e) CONFIDOMPAL4 Weld (KOWA bey Veer Sege 2C0/ DAIL!, RA TED COMMUNICATORS DICULDICI ClearIng VVOUgh Pershing LC, Sbaly turned stinicliwy of the Barka New Yee Melba Corporation (SN't Waal Pa shine 1.1C. mate nneA.fiRtileyeM_00048398 DB-SDNY-0011222 EFTA_00159007 EFTA01254249 a Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings June 1,2017 - June 30, 2017 THE HAZE TRUST Account Opening Cote *milky Number Adtelty 0144114119 Ending enlace posing Ban Accrued Income Income Pus Yes 3C•0ay Current Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 29.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSR 08/01/17 5,181,702.850 N/A 08130/17 5.152.88438 5 161.792 85 253.70 41,779.42 0.80% 0.88% Total Money Market $5,152,664.58 55 161.792 85 $253.70 $41,779.42 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $5,152,884.58 55 161.792 85 $253.70 841,779.42 Adjured Untedzed Awned MINS Model Dale Acquired Oumilky Unit Cost Cod Bads Market Prix Market Value Garton Mend AnalIncome Yield FIXED INCOME 17.0 0% of Portfolio (In Maturity Date Sequence) Corporate Bonds MORGANCHASE& CO DEP SHSREPSIG Stonily Ideellier 48525HHA1 /10TH PFD SMIRKED TO FLTG RT BO 7.900%04/29/49 BIE OTD 04/23/08M oody Riling EIAA3 S 8 P Rating BBB• 05/10/11 ?as 3,000,000.000 111.2650 3,337,958.33 103.9500 3,118,500.00 219,458.33 39,500.00 237,000.00 7.59% Original Cost Basis: $3,331$5B.33 Total Corporate Bonds $3,337,958.33 $3,116,500.00 4219,458.33 839,500.00 $237,000.00 3,000,000.000 TOTAL FIXED INCOME $3,337,958.33 $3,118,500.00 4219,458.33 $39,500.00 $237,000.00 3,000,000.000 Unrested Estimated Warded Dole Acquired Quantity Unit Cost Cott Beds Market Pilot Market Value Galarless Annual Income Yield EQUITIES 42.00% of Portfolio Preferred Stocks (listed by expiration date) CITIGROUP INC CEP SHSREPSTG /1000TH PFD SER K DIV 8.875% PERPETUAL lilATY PERPETUAL CALL 1115/2302510 Dividend Option: Cash 02/03/14 79,000.000 25.3090 Security Identifier: C PRK CUSP:12967341 1,999,418.90 29.5900 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 2337,810.00 338.191 10 135.781 25 580% Page 3 of 10 C0NFIDOMPAL Rated (scene" beet Vet, Sffice 200/ DAUM RA TED COMMUNICATIONS DICILLUICI Clearlas through Peal% LAC. a needy turned stinicliory Oft Bank a law Yak Meta Corporation (INY arpma Ptrshine 11C. menix. nmen.giliekelL00048399 DB-SDNY-0011223 EFrA_00 159008 EFTA01254250 Portfolio Holdings (continued) Dote Acquired Quality UnN Coal EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC DEP SHS REPSTG 11300 PFD SER C DIV 51% PERPETUAL MATT PERPETUAL CALL 0412293025.00 Dividend Oplion: Cash Cod Bele Market Price Securely Identifier: C PRC CUSP 172957366 Market Value Unrealized Gain Loss Estimated Estimated Annual Mame Yield 10128114 49.033.000 24.0810 1,90,739.18 26 0400 1,276,819.32 96,080.16 71.097.85 5.56% 10/29/14 150.967.000 24.3130 3,670,430.48 26.0400 3,931,180.68 280,750.20 218,902.15 5.56% Total Covered 200,000 000 4 851 169 64 5,206,000.00 356,830.36 290,000.00 Total 200.000.000 $4,851,169.64 $5,208,000.00 $356,830.36 $290,000.00 Total Preferred Stocks 0,850,588 54 37,545,610 00 $695,021.46 6425,781.25 TOTAL EOU ITIES 36,850,588 54 37,545,610 00 $695,021.46 $425.781.25 Unmated Estimated Estimated Date Acmied Natty UnN Cod Coat Bads Market Pike Market Value Gehrless Annual Income Yield MUTUAL FUNDS 12.00% of Portfolio "MORGAN ROATINGRATE INCOME FUND CUSS I Open End Fund Dividend Oplion: Reinvest: Capital Gads Option: Reinvest Security Identifier: ,PHSX CUSP. 4821.51 01122113'0 198216.056 10.0900 2,000,000 00 9.4100 1165,213.09 -134,786.91 77,409.31 4.15% 02/01/13'4 630.057 10.0670 6,342 92 9.4100 5,928.83 414.09 248.06 4.15% 03/01/13" 711.578 10.0600 7,158 48 9.4100 6,695.94 482.54 277.89 4.15% 04/01/13" 789.547 10.1100 7,982.33 9.4100 1,429.83 45210 308.34 4.15% 05/01413 751.550 10.1300 7,813.21 9.4100 7,072.08 141.13 293.50 4.15% 06103113" 757.360 10.0900 7,041.77 9.4100 7,126.78 -615.01 29517 4.15% 07/01/13" 668.131 9.9700 0,681.27 9.4100 6,287.11 -374.16 260.92 4.15% MO U13 " 704.609 10.0600 7,088.37 9.4100 6,630.37 -458 00 275.17 4.15% 09/03/13" 709.175 10.0300 7,113.03 9.4100 6,673.33 439.70 278.95 4.15% 10/01/13" 712.100 10.0240 7,137.85 9.4100 6,700.85 437.00 278.10 4.15% Total Noncovered 204,650.163 2,064,739 23 1,925,757.99 -138,981.24 79,922.01 Reinvestm ents to Date 35,653.434 9.6030 342,388.55 9.4100 335,498 86 1,889 69 13,92315 4.15% Total Covered 35,653.434 342 388 55 335,498 86 -5 889 69 13,923.75 Total 210103.597 $2,407,127.78 $2,261,256.85 -5145 870 93 693,845.76 TOTAL% UTUAL FUNDS $2,407,127.78 $2,261,256.85 4145 870 93 $93,845.76 Cod Bads Midst Value Unrealized Oalroloss Accrued Intend Estimated Annual Income TOTAL PORTFOUO HOLDINGS $17,757,467.50 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) $18,087,159.70 $329,692.20 $39,500.00 $798,408.43 Page 4 of 10 CONFIDWFAL SWIM Rated baller4 ben Yew Since 2001 DALIAlt RAM COMMUNICATORS FaittuDiCt Cleating through Peal% LUC a newly toned stinicliwy of theBark a Ns Ycelt Melba CoMotation (SNY al Pennine tic. nriekfiC8444Lelt00048400 DB-SDNY-0011224 EFTA_00 159009 EFTA01254251 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) June 1, 2017 - June 30,2017 THE HAZE TRUST • Noncovered under the cost basis rules as defined below. Securities acquired before 2011or 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 EL 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)" 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 1,20 /2 • 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 t 2014 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 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 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. 3 The cost basis of this security has been provided fo us by you or your introdudng firm and Pershing makes no representation as to the accuracy of this information. t2 Pershing has received updated cost basisinformation, 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.coml business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page 5 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID w•• Rated (scallent Cron Yea• &ace 200/ DAL/AR RA TED CO6MUNICAT•ONS actituta Cloarlas through Peal% LUC, alb* owned stinicliary of **Bark a New Yak Mellon Corporation (IINY Mellon) Pttshing 11.C. mends FINRA.WAffeeM_ 00048401 DB-SDNY-00 11225 EFTA_00 159010 EFTA01254252 Portfolio Holdings Disclosures (continued) Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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. 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 M argin 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. 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, 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 securitiess, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. 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 product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S.will adopt a shortened settlement timeframe beginning w ith trade date September 5.2017. for equities. corporate and municipal bonds. and unit investment trusts. Moving from a T.3 to a T+2 settlement cycle 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-delivery of your account documents-including trade confirmations. account statements and more. Ask your advisor or financial insititution about how you can set up e-delivery. Page 6 of '0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated (scallent Cron Year Lace 200/ DAL/AR RATED COMUNICATiONS amnia Cleating through Rea l% LUC, Sway owned "ASSN" of the Bark of New Yak Mellon Corporation OPNY /MOW Pttshing 11.C. mends FINRA.WVICAM_ 00048402 DB-SDNY-00 11226 EFTA_00 159011 EFTA01254253 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 June 1,2017 - June 30, 20 17 THE HA Z E TRUST A ct ty i ,y Su 01 Mary amounts shown are in base currency) Debits ThisPerloo Nat ThisPetiod orrileYeer-to•Dito OirbilsYtit-to-Deto Nat Yaw-to-Data Credits This Period Securities Securities Bought 0.00 4,37882 4,378.82 0.00 47,591 50 -57,591.50 Total Securities $0.00 46,378 82 46,378.82 $0.00 457,591 50 457,591.50 Dividends and Interest $9,787.52 $0 00 $9,787.52 $440,288.08 $0.00 $440,286.08 Distributions $0.00 $0.00 $0.00 $500,000.00 $0.00 $500,000.00 Cash Withdrawah 0.00 0.00 COO 0.00 36,016,064.02 16,016,064.02 Deposits 5,719.57 0.00 5,719.57 8,307,488.21 0.00 8,307,468.21 Total Cash $5,719.57 $0.00 $5,719.57 98,307,466.21 436,016,084.02 429.708.597.81 Totals $15,507.09 46,378.82 $9,128.27 $7,247.752.29 436.073.655.52 428.825.903.23 Transactions by Type of Activity Process Settlement Date Adivily Type Description Quantity Price Accrued hared Amount Currency Securities Bought and Sold 06129/17 RBNVEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND CLASS I 678.598 4,370.82 USD $119 239524 9990 SIRS SIRS PURCH AT S9 40000 RD 06127 PD 06/29/17 Total Securities Bought and Sold -U.S. DOLLARS 0.00 -6,378.82 Dividends and Interest 06129/17 CASH DIVIDEND RECEIVED P M ORGAN ROATING RATE INCOME FUND CLASS I 6,378.82 USD ?HS% 239624.9990 BNB'S RD 06127 PD 06129111 08130/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 3,408.10 USD INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 9,787.52 Cash Withdrawals and Deposits 06113/17 FEDERAL R1NDSREa3VED IISBC BANK USA, NATIO 4324 5,719.57 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 5,719.57 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) CONFIDOMPAL ••••• Rated ballast Evert Yew Since 2C01 DAL BAR P.A CONMUNICATTONS MIMIC Page 7 of 10 Ching through RIMY% LiLC, a way owned stinicliwy of theBonk M New Yak Meta Co•Ponelon OM NNW/ Pennine RC. ment. FINRARrtlYeelt00040403 DB-SDNY-0011227 EFTA_00 159012 EFTA01254254 Transactions by Type of Activity (continued) Process Settlement Ogle Adivity Type Description Quantity Price Acaued Interest Amount Caning Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 0,128.27 USD Your Investment Spedebt ENJ Canted Information JOSHUA SHOSHAN 280 PARK AVE- 3RD R. NEW YORK NY 10017 Your Account I nformati Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist (or more Information. Important Information and Disc. sxes The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 8 of 10 CONFIDWFAL ••••• Rated httlket Inn, Year SoKe 200/ DALBAR RATED COMMUNICATIONS OCCO.LINCE Clearing through Peal% IIC. • rthelkownal Snider" of are,rta Nat York Ateltiv CoMotation (MY MOW Pashint tic. mote. nrakfiRtlyeLOPL0004e4o4 DB-SDNY-0011228 EFTA_00 I 59013 EFTA01254255 I !A Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) June 1, 2017 - June 30,2017 THE HAZE TRUST The Role of Pershing (continued) if any, to you and in general, for the ongoing relationship that it has with you • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement. please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. w itness 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 LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified: or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza. Jersey City, New Jersey 07399; (201) 413-3330. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Page 9 of '0 Rated (scallent fray Year Lace 2001 DAL/Alt RA TED COMUNICATONS actuum Charting through Pars/,s LAC, alb* owned sticliary Oft Bark a New Yak Mellon Corporation (IINY Mellon) Pershing Lit...sends MIRA.WAffiliteM_00048405 DB-SDNY-00 11229 EFTA_00 159014 EFTA01254256 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 AND 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, 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 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 COMNNED STATEMENT OF YOUR GENERAL ACCOUNT MID 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 ACCTM INT 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 AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• 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 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 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 LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET WOCER, 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 AVALABLE 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: WWW.PERSHING.COMMISCLOSURES • 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 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 SECUMTES 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 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. PERSH:NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REUSE NOTIFY PERS-ING IMMEDIATELY IN WRITING BY CERT FED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ OT358, ATTN. LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) CONFIDWFAL •••••• RAMS [scant hart Yea, Since 2001 DAUM* RA TED COMMUNICATIONS DKELLOrla Page 10 of 10 Clowlas through Pershing LLC. a SRO/ owned mbikRacy old* Barra Nrw Yak Melba Corporation (MY meson) Ptnitm L1C. merit. FINFLAArtlYaelt00048406 DB-SDNY-00 11230 EFTA_00159015 EFTA01254257 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 0.81•888 t. nl ensair N•8/11. M,nr6rmen Mules Coneragt e8: Oevnche Sank S. e.ePte. .5c. New Yen C'Ace 345 P.Ii Atene. 2618 Pow Nes Y8t8 ref 10151 MAU., NW 812-'505 tine SID 845 5811 THE HAZE TRUST May 1,2017 - Mayi1 20 17 UAD 02/09/99 JEFFREY EPSTBN Account Number: DARREN K IN DYKE TTEES 6 10 0 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio Glance at a INsPeried Yeer4o-Dele Your Investment Specialist. BEGINNINGACCOUNT VALUE 317,831,837.40 346,860,262.60 JOSHUA SHOSHAN NM Cash Deposits ad Withdrawals 0.00 49,714,311.38 (212) 454-4433 Adjusted Previous Account Value 17,831,837.40 17,145,945.22 Dividends Interest and Other Income 188 825 08 430 498 56 Net Chan e in Portfolio -44,107.89 400,110.79 Accrued Newest 319,750.00 Estimated Annual Income $796,980.40 Asset Summary Percent Asset Type 29% Cash, Money Funds, and Bank Deposits a 17% Axed Income 41% Equities mg 13% Mutual Funds 100% Account Tot al ( Pie Chart) Please review your allocation periodically with your Investment Specialist CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F ID giTTA L •••••• Prim Year-BM Last Period IbisPeriod 33,971,632.06 4,471.736 26 5,152,664.58 3,536,630.00 3,635,000.00 3,113,400.00 7,122,650.00 7,468,550.00 7,448,430.00 2,229,350.54 2,258,551.14 2,262,059.99 $46,860,262.60 $17,831,837.40 317,976,554.57 Page 1 of 1' Niled(m<elkot Even, Year SoKe 2001 DAL BAR RATED COMMUNICATIONS DLCO.LINCE Chula through MAI% LLC, a alai wend stinithory of We tank el Now Yak Melba Corporation (My Mete) Pashnt 1.1C. merit. FINRA.AW hWril_00048407 DB-SDNY-0011231 EFTA_00159016 EFTA01254258 Summary of Gains and Losses Reeked ThisPeriod Year-le-Date Unrealised Short-Term Gain! Loss 0.00 0.00 464.37 Long-Term Gain/ Loss 12,929.96 12,929.96 234,129.79 Net Gain! Loss 12,929.96 12,929.96 234,594.18 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail DRa Attifity Type Danalpin Amount lialanoa &weep M oney M arket Fund DEUTSCHEG0VT CASH INSTL Current Yield: 0.74% Activity Ending:0 5/3V 17 04129/17 Opening Balance 05102/17 Deposit 05115/17 Deposit 05/16/17 Deposit 05119117 Deposit 05/31/17 Deposit MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE INCOMERBNVEST 4,471,736.26 118,500.00 500,000.00 33,945.35 25,625.00 2,857.97 4,471,736.26 4,590238.26 5,090238.28 5,124,181.61 5,149,808.61 5,152,684.58 05/31117 Closing Balance 95,152,664.58 Total All Money Market Funds $5,152,664.58 Income and Expense Summary Taxable Current Period Non Tackle bootie Yonr4o•Dite Na Taxable Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest 33,945.35 2,857.97 126,396.74 25 625.00 0.00 0.00 0.00 0.00 212,890.70 38,370.72 153,612.14 25 625.00 0.00 0.00 0.00 0.00 Total Dividends, Interest, Income and Expenses 8188,825.06 80.00 8430,498.56 80.00 Page 2 of 1' CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL Rated Euellent tan Year Sege 2C0/ DALBAR RA TED COMMUNICATIONS txcattna ClearIng INCOUgh Perstars LUC a Sbaly toned Snider" a tMearka Now Yee Melba corporation (ONY Pennine L1C. mat. FINROARtlifylt00048408 DB-SDNY-0011232 EFTA_00159017 EFTA01254259 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings H Opening Cote Quaky Number Endbp CASH, MONEY FUNDS, AND BANK DEPOSITS 29.00% of Portfolio Money Market DEUTSCHE GOVT CASH 'NUL Maeda Actielty 0848819 Bstnae M ay 1,2017 - May 31,2017 THE HA 7F TRUST 'Sculled Income Income Nunes 30-0sy Camel Yield Yield 04129/17 5,152,664.580 N/A 05/31/17 4.471.736.26 5.152.664.58 0.00 38370 72 0.69% 0.74% Total Money Market $4,471,736.26 $5,152,664.58 $0.00 $38,370 72 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $4,471,736.26 $5,152,664.58 $0.00 $36,370.72 %Sleeted Untealzed Accrued Estimated Estimated Date Aegokett Quantky Vet Cod OW Ms Market Peke Markel Value Whose tattiest Annual income Yield FIXED INCOME 17.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds MORGAN CHASE& CO DEP SHSREPSTO /10TH PFD SDI 1FIXED TO REG RT 80 7.900%04/29/49 WE DTD 04/23/08M oody Rating 8AA3S8 P Rating BBB- 05/10111 " 2- 3,000,000.000 Total Corporate Bonds 3,000,000.000 TOTAL FIXED INCOME 3,000,000.000 Otte Artuleed EQUITIES 41.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SHS REPSTG /1)00TH PFD SER K DIV 6.875% PERPETUAL MAR PERPETUAL CAU. 1V15/23025.00 Dividend Opl ion: Cash 02/03/14 79,000.000 25.3090 111.2650 Nastily UM Coed Scarily Ideelitier 46625HHA1 3,337,958.33 103.7800 Original Cost Basis:53,337,958.33 $3,337,958.33 $3,337,958.33 Cost Balls Nadel PIS 3,113,400.00 $3,113,400.00 $3,113,400.00 Market Value ,224,558.33 19,750.00 237,000.00 7.61% 4224,558.33 $19,750.00 $237,000.00 4224,558.33 $19,750.00 $237.000.00 Untested Wenn Estimated allotted ADS Income Yield Sootily Identifier: C PRK CUSIP: 02967341 1,999,478.90 29.1700 CONFIDENTIAL — PURSUANT TO FED. R CR[M. P. 6(e) 2,304,430.00 305,011.10 135.781 25 589% Page 3 of 1' CONFIDWAL-4 Rated twillent Gay Year Since 2007 DALIAR RAM COMMUNICATORS DICILLUICI Os /ft through P.O.W. 1.1.C, a abaft "mad stinithavy elfinBark Now Yak Melba Co•Ponelon(ONY maw Pa' hint merit/ nrakficilYftem_00048409 DB-SDNY-0011233 EFTA_00159018 EFTA01254260 Portfolio Holdings (continued) DoteAcquired EQUITIES (continued) Preferred Stocks (continued) CITIGROUP INC DEP SHS REPSTG 11000 PFD SER C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 04122/13025.00 Dividend Option: Cash 10128/14 10/29/14 Total Covered Total Total Preferred Stocks TOTAL EQUITIES Nudity Una Cod Cod Bates Mired Price 49.033.000 150.967.000 200100 000 200.000.000 24.0810 24.3130 Security Idenlifier:C PRC CVSIP. 172967366 1,180,739.16 3,670,430.48 4 851 169 64 25.7200 25.7200 Market Value 1261,17876 3,882,871 24 5,144,000 00 Crate Acquleed *malty UnN Cod MUTUAL FUNDS 13.00% of Portfolio P MORGAN BOATING RATE INCOME FUND CLAW I Open End Fund Dividend Oplion: Reinvest: Capital Gain Option: Reinvest 01/22/13 '.3 198,216.056 10.0900 02/01/13'4 630.057 10.0670 03/01/13 ' •3 711.578 10.0600 04/01/13 ' •3 789.547 10.1100 05/01113 ' •3 751.550 10.1300 06103113 ' •3 757.360 10.0900 07/01/13'•3 668.131 9.9700 08/01/13 ' •3 704.609 10.0600 09/03113 ' •3 709.175 10.0300 10/01/13 .1 712.100 10.0240 Total Noncovered 204,650.163 Reinvestments to Date 34,974.838 9.6070 Total Covered 34,974.836 Total 239.624.999 TOTAL M UTUAL FUNDS $4,851,169.64 96,850,588.54 $6,850,588.54 Cod Ms Market Prior $5,144,000.00 $7,446,430.00 $7,448,430.00 Market Value undeellzed Oeinflon 80.38910 212,440.76 292,830.36 $292,830.36 $597,841.46 $597,841.46 Unrealized Galnaoss Estimated Estimated Annual Income Yield 71,097 85 563% 218.902.15 563% 290:000 00 $290,000.00 $425,781.25 $425,781.25 Blended Muted Maudincome Yield Security Idol Wier...PHU CUSP: 4812t.51 2,000,000.00 6,342.92 7,158.48 7,982.33 7,613.21 7,641.77 6,661.27 7,088.37 7,113.03 7,137.85 2,064,739.23 336,009.73 336.009 73 $2.400.748.96 $2,400,748.96 94400 9.4400 94400 94400 94400 94400 94400 94400 94400 94400 94400 1,871,159.58 5,947.75 6,717.30 7,453.33 7,094.63 7,149.49 6,307.17 6,651.52 6,694.61 6,722.23 1,931,897.61 330,162.38 330,162.38 $2,262,059.99 $2,262,059.99 Cod Bads Mickel Value -128,840.42 -305.17 441.18 129.00 118.58 492.28 -354.10 -43615 418.42 415.62 -132,841.62 1,847 35 -5 847 35 4138 688 97 4130 688 97 Unrealized Galailoss 79,268.58 423% 251.91 423% 284.51 423% 315.75 423% 300.55 423% 302.88 423% 267.19 423% 281.78 423% 283.61 423% 284.78 423% 81,841.66 13,986.71 423% 13,986.77 Inlad Amid $95,828.43 $95,828.43 Edinded Annual Income TOTAL PORTFOU O HOLDINGS $17,741,960.41 CONFIDENTIAL - PURSUANT TO FED. R CRI6,1 P. 6(e) $17,976,554.57 5234,594.16 $19,750.00 $796,980.40 Page 4 of 11 CONFIDffitrAL ••••• Rated httlkot Even, Year SoKe 20O/ DALBAR RATED COMMUNICATIONS (XCOJANCE Cloarlas through Ponta,' LLC.a elvaanal stint." of ft Bark a Ntv Yak Main Corporation (MY NNW Pashint monhe. FINRA,fictOYIGM—°°°48.410 DEMSDNY-00 11234 EFrA_00 I 59019 EFTA01254261 O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Nay 1,2017 - May 31,2017 rHE HAZETRUST Noncovered under the cost basis rules as defined below. Securities acquired before 2011or 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 EL 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)" 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 1,20 /2 • 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 t 2014 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 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 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. 3 The cost basis of this security has been provided fo us by you or your introdudng firm and Pershing makes no representation as to the accuracy of this information. t2 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. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEN ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable, however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.coml business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 5 of CONFIDg Rated (tcellent (rev Year S.ritt 2CO1 DALBAR RATED COMUNICADONS 'nutria Clueing through haft LC. a Sway owned "ISSNr of tlw Bark of New Yak Mellon Corporation (WY PASO Pershing rntnis FINRA.VAPtegM_00048411 DB-SDNY-0011235 EFTA_00 159020 EFTA01254262 Portfolio Holdings Disclosures (continued) Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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. 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. 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, 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. Page 6 of CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (scallent Cron Year Lace 2O0/ DAL/AR RATED COMMUNICATIONS rxrunta Cloarlas through Pershing LUC a 'Many owned stinicliary of ea Bark of New Yak Mellon Corporation CONY maw Pttshing 11.C. mends FINRA.E*PriliteM_00048412 DB-SDNY-00 11236 EFTA_00159021 EFTA01254263 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period Ditseriposn Long Term IPAYM ENT INC GTD SR 05/21 BIE DID 11211CLB Meanly Identifier. 46282EAE5 Date Date Maeda Apt lied Odignation Nay 1, 2017 - M ay 31,2017 IHEHAZETRUST Realized Disposition Method Transaction Quantity Ramada Cod Bads Gain, Loss 05115117 10/02112 Nonceverel.n Total Long Term Fast In First Out I REDEMPTION 500,000.000 500,000.00 487,070.01 12129.96 Original Cost Basis: 415,000.00 Total Short and Long Term 500,000.00 487,070.01 12,929.96 500,000.00 487,070.04 12,929.96 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011or 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 P.L110-34 3, 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, UStaxpayers 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 1399-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 1,202 • 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. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-B 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. 1124. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 7 of 1' CONFIDO. Rated (Kenai (rev Year Sect 2C0/ DALBAR RATED COMMUNICAMIS actitu4a Cleating through PershingLIC a Wyly owned stinithory of theBarka Now Yak Melba Corporation0NY Melleal Ptrairc 11C. rnenix. FWIRA.MtlYfyelt00048413 DB-SDNY-0011237 EFTA_00 I 59022 EFTA01254264 Schedule of Realized Gains and Losses Current Period (continued) 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 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 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 t han 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. 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. 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 IRSForm 1099-B. 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 product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown Brain base currency) Credits ThisPetioe DebkoTbesPerlod Net ThisPetio4 Cleans Yer-to•Date DebeleYear4o•Dete Net Yetto•Date Securities Securities Bought 0.00 .7.896.74 4.896.74 9.90 51.212.68 51.212.68 Total Securities 80.00 47,896.74 47,896.74 $0.00 -$51,212.68 451,212.68 Dividends and Interest $188,825.06 $0.00 $188,825.06 $430,498.56 $0.00 $430,498.56 Distributions $500.000.00 $0.00 $500.000.00 $500.000.00 $0.00 $500.000.00 Cash Withdrawah I 00 0.00 0.00 0.00 -36,0I6,064.02 -36,016,064 02 Deposits 0.00 0.00 0.00 6.301.746.64 0.00 6.301.746.64 Total Cash $0.00 $0.00 $0.00 $6,301.746.64 436,016,064.02 429,714,317.38 Totals $688.825.06 47,896.74 $680,928.32 $7.232,245.20 -$36.067.276.70 -$28.835.031.50 Page 8 of '' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (scallent Cron Year &ace 200/ DAL/AR RA TED COMMUNICATIONS amnia Cloarlas through Pershing LC, Sbany owned .dear Oft Bark of New Yak Mellon Corporation (IINY Mace) IVI_00048414 Pershing 11.C...sends FINRA. AW St& DB-SDNY-00 11238 EFTA_00 159023 EFTA01254265 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity May 1,2017 -May 31,2017 THE HAZE TRUST Process; Settlement Date Admly Type Description Queenly Price Acaued Interest Amount °Hang Securities Bought and Sold 05/30/17 REINVEST CASH INCOME ,P MORGAN FLOATING RATE INCOM E FUND CLASS I 636.519 .7.896.74 USD .PHSX 238788.4800 SHRS SHRS BURCH AT 59.44000 RD 05125 PD 05130/9 Total Securities Bought and Sold - U.S. DOLLARS 0.00 -7196.74 Dividends and Interest 05/01/17 CASH DIVIDEND RECEIVED .PM ORGAN CHASE & CO DEP SHS REPSTG PATH PFD SER 1 118,500.00 USD 46625HHA1 7900% 04129149 WE RD 04/28 PD 04/30117 DIV PAID AT 39.50 3000000 05/15/17 CASH DIVIDEND RECEIVED 79000 SHRSCITIGROUP INC DEP SHSREPSTG TADOTH PFD 33145.35 USD CPRK SER K DIV 6.875% PERPETUAL MATY PERPETUAL CALL 1V6/23©25.00 RD 05/05 PD 05/6117 05/18/17 BOND INTEREST RECEIVED 500000 IPAYLI ENT INC GTD SR NT 11.250% 0516/1 B/E DID 25,625.00 USD 46262EAE5 W6111C1.18 RD 05/12 PD 05/16117 05/30117 CASH DIVIDEND RECEIVED P M ORGAN FLOATING RATE INCOME FUND CLASS 7.89674 USD PHSX 238788.4800 SHRS RD 05/25PD 05/30/17 05/31/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 2.857.97 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 188,825.06 Distributions 05/15/17 SECURITY REDEEMED IPAYM ENT INC GTD SR NT 1250% 05/1/13 EVE DTD WW1 -500,000.000 500,000.00 USD 46262EAE5 CLB Total Distributions- U.S. DOLLARS 0.00 500.00010 Total Value of Transactions 0.00 680,928.32 USD The price and quantity displayed may have been rounded. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Page 9 of A" Rated (talk.% bery Year Sect 2C0/ DALBAR RATED COMMUNICATIONS camera Cleating throush Pershing 1.1.C. Sbany owned stinicliary of Netarta New Yak Mellon Corporation0NY Melee) 00048415 hrshinell.C.rnenix. FINRA.Weile DB-SDNY-00 11239 EFTA_00 159024 EFTA01254266 Client Service Information Your !maimed Spedabd: ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW VOW NY 10017 Your Account Information Coated fidonswion Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 10 of 1' CONFIDNITAL ••••• Rated (mtelkot Even, Year SoKe 2001 DALBAR RATED COVIMUNICATTONS OCCILIANCE Cleating through Penal% LAC a .may need Snider" of the tank el New Yak Mew Corporation (Wly MOW Ftshine L1C.rnead. FINItkfiRlifyelt 00048416 DE1-SDNY-0011240 EFTA_00159025 EFTA01254267 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) M ay 1,2017 - May 31,2017 THE HAZE TRUST The Role of Pershing (continued) • 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 Raza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page " of " CONFIDg Rated (scallent Cron Year Sffice 200/ DAL/AR RA TED COMUNICATiONS actuttia Owing through Pershing LC, SI* , Owned stinicliary of theBark al New Yak Melon Corporation (IINY Mellon) E34 M_0004841 7 Petshift Lit...sends FiNRA. DB-SDNY-0011241 EFTA 00159026 EFTA01254268 O Deutsche Bank Drututiv Ynl 'riser N•sit. 10ns...eft Manes cperate C404 0einiche US, Sr.v.bei In(. P.O. Box 1776, Baltimore, MD 21203 POW a 345 P.A fittenva.16111kei NeId %Mc WV 10114 Tonne Olt') S1.05 Cote II-0 845 51441 THE HAZE TRUST April 1,2017 - April 30 2017 UAD 02/09/99 JEFFREY EPSTBN Account Number: DARREN K INDYKETTEES 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 P li Glance rtf at a tasfoorlod VeardwDele Your investment Specialist. BEGINNINGACCOUNT VALUE 815,301,201.13 846,860,262.60 JOSHUA SHOSHAN Net Cash Deposits ad Withdrawals 2,307,102.81 49,714,311.38 Adjusted Previous Account Value 17,608,303.94 17,145,945.22 Dividends. Interest and Olhei Income 81,803.45 241,673.50 Net Change in Portfolio 141,730.01 444,218.68 817,831,837.40 817,831,837.40 Accrued Nana 523 489 58 Estimated Annual Income 5845 021 18 Asset Summary Po*( Mid Type 25% 20% go 42% 13% 100% Cash, Money Funds, and Bank Deposits Fixed Income Equities M utual Funds Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDWFAL ••••• Prior Yoar-Ebd Lad Period Ms Period 33,971,632.06 2,089,952.00 4,471,736.26 3,536,630.00 3,543,750.00 3,635,000.00 7,122,650.00 7,416,070.00 7,468.550.00 2,229,350.54 2,249,429.13 2,258,551.14 $46,860,262.60 $15,301,201.13 817,831,837.40 Pap 1 of 10 Rated tuella( Van Year Sect 2C0/ DAUM RATED COMMUNICATORS acittu4a Cleating through Perstan WC shellyaned stinicliary of the Bel* N New Yen Mae Corporation0NY Mellee) hi shim U.C. rnenix. FINRA.AW 00048418 DB-SDNY-00 11242 EFTA 00159027 EFTA01254269 Summary of Gains and Losses Realized ThisPeriod Yew4o-Dele Unrealized Short-Term Gain! Loss 0.00 0.00 710.70 Long-Term Gain/ Loss 0.00 0.00 291,426.20 Net Gain! Loss 0.00 0.00 202,136.90 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail ArtkIty Type Deeartin Amount Sam Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 0.65% Activity Ending. 04/ 28/17 04101/17 Opening Balance 2,089,952.00 2,089,952.00 0005117 Deposit MONEY FUND PURCHASE 2,137,874.15 4,227,826.15 04117117 Deposit MONEY FUND PURCHASE 169,228.66 4,397,054.81 04125/17 Deposit MONEY FUND PURCHASE 72,500.00 4,469,554.81 04128/17 Deposit INCOM E REIN VEST 2,181.45 4,471,736.26 04/213/17 Closing Balance 54,471,736.26 Total All Money Market Funds $4,471,136.26 )come and Expense Summar/ OmeM Period Table Non Taxable Tettotute Taut Non Taxable Dividend Income Equities 72,500.00 0.00 178,945.35 0.00 Money Market 2,181.45 0.00 35,512.75 0.00 Other Dividends 7,122.00 0.00 27,215.40 0.00 Total Dividends, Interest, Income and Expenses $81,803.45 $0.00 9241,673.50 $0.00 Page 2 of 10 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDOWAL Rated beellog ben Year Sege 2C0/ DAL BAR RATED COMMUNICATIONS (XCLIAINCI Glealasibra4hPenhMigUCamftoftworned mdasidianelthellarkeeNwYceltMellea Gaporakm(ONYAGeam) PenhinellCrnente. Finft&Witifyelt00048419 DI3-SDNY-0011243 EFTA_00159028 EFTA01254270 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings la April 1,2017 - April 30,2017 THE HA ZE TRUST ActauM Activity Opening We Ouestey Number Ending OPaliA9 Bain (bung Balance Acaued income Income This YIN 304:my Current Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 25.00% of Portfolio Money Market DEUTSCHE GOVT CASH INS% 04101117 4,471,736.260 N/A 04728/17 2.089.952.00 4.471.736.26 0.00 35,512.75 0.65% 065% Total Money Market $2,089,952.00 $4,471,736.26 $0.00 $35,512.75 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Adjusted Dale Anointed %Mb tkk Cod Cost Bans $2,089,952.00 Market Pike $4,471,736.26 Market Value $0.00 Unmixed OWL= $35,512.75 Moved Interest Estimated &haled Annual income Yield FIXED INCOME 20 .00% of Portfolio (In Maturity Date Sequence) Corporate Bonds IPAYMENT INC GTD SR NT Secolily 48262EAE5 9250% 05/45/1B OlE 010 116/11 CALLABLE051514Q V0.00011 early Rating CAS& P Ratiag C 10/02/12 " t13 500,000.000 97.3130 486,565.15 100.0000 500,000.00 13,434.85 23,489.58 51,250.00 10.25% Original Cost Basis: S445.000.00 111ORGAN CHASE 8 CO DEP SHSREPSTG Searity Identifier 46625HHA1 VOTH PFD SER1FIXED TO RTG RT BO 7.000%04/29/49 8/EDTD 04/23/08M oody Raling 8AA3 S 8 P Rating BBB• 05110111'•x° 3,000,000.000 111.2650 3,337,958.33 104.5000 3,135,000.00 402,958.33 0.00 237,000.00 7.55% Original Cost Basis: $3,337958.33 Total Corporate Bonds $3,824,523.48 $3,635,000.00 4189,523.48 $23,489.58 $288,250.00 3 500 000.000 TOTAL FIXED INCOME $3,824,523.48 $3,635,000.00 4189,523.48 $23,489.58 $288,250.00 3,500,000.000 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 10 CONFIDWFAL Atom* Raid tuallent (ray vet, Saxe 2CO1 DSO RA TED COWAUNICATTOP6 eccautia Clearlas through PersSOLC. a *Iva aimed stinicliory elfin Bark a Nom Yin Mae Corporation eery NNW Ptrshint monSt. FINROARlifyGM-00048420 DEI-SDNY-0011244 EFTA_00159029 EFTA01254271 Portfolio Holdings (continued) Unrealized Estimated Edamled DateAcquired Quantity Una Coel Cod Bads Market Rice Market Value Quinlan Annual Income Yield EQUITIES 4 2.0 0% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SKS REPSTG 11000TH Seca y !dent Kier: C PRK PFD SER K DIV 6 675% PERPETUAL N ATY CUSP 172967341 PERPETUAL CALL 1Ft/23025.00 Dividend Oplion: Cash 02103114 79.000.000 25.3090 1.999.418.90 29.4500 2.328.550.00 327.131.10 135.78125 5 83% CITIGROUP INC DEP SiS REPSTG TO00 Seca y Identifier C PRC PFD SER C DIV 5.8% PERPETUAL MATT CUSIP. 172967366 PERPETUAL CALL 04/22/[email protected] Dividend Oplion: Cash 10/28/14 49.033.000 24.0810 1,180,739.16 25.7100 1260,638.43 79,899 27 71,097.85 5.63% 10/29/14 150.967.000 24.3130 3.670.430.48 25.7100 3.881.361 57 210.931 09 218.902.15 5.63% Total Covered 200,000.000 4,851,169.64 5 142,000 00 290,830.36 290,000.00 Total 200,000 000 64,851,169.64 $5,142,000.00 $290,830.36 3290.000.00 Total Preferred Stocks $6,850,588.54 $7,468,550.00 $617,961.46 5425.781.25 TOTAL EQUITIES $6,650,588.54 $7,468,550.00 $617.961.46 3425.701.25 Unrealized Estimated Estimied Date Acquired Quantity Unit Cod Cod Basis Markel Price Market Value Gainfloes Annual Income Yield MUTUAL FUNDS 13.00% of Portfolio ?MORGAN FLOATING RATE INCOME RIND CLASS I Open End Fund Dividend Option: Reinvest: Capital Gales Option: Reinvest Security Wenlifier PIS% CUSP 4812t513 01/22/13 ..3 198,216.056 10.0900 2,000,000.00 9.4500 1873,141.73 -126,858.27 79.254.70 423% 02101113 '.3 630.057 10.0670 6.342.92 9.4500 5,954.05 -388.87 251.92 4.23% 03101113'3 111.5/8 10.0600 2.158.48 9.4500 6.724.41 434.07 284.52 4.23% 04101113 ' '3 789.547 10.1100 7,982.33 9.4500 7,461.22 -521.11 315.69 423% 05101113'3 751.550 10.1300 7.613.21 9.4500 7.102.16 -511.05 300.50 4.23% 06/03113'° 757.360 10.0900 7.641.77 9.4500 7.157.06 -484.71 302.82 423% 07101113'3 668.131 9.9700 6.661.27 9.4500 6.313.83 347.44 267.15 4.23% 08101113'3 704.609 10.0600 7,088.37 9.4500 6,658.56 -429.81 281.73 423% 09103113'3 709.175 10.0300 7.113.03 9.4500 6.701.71 -411.32 283.56 423% 10101113'.3 712.100 10.0240 7.137.85 9.4500 6.729.35 408.50 284.73 423% Total Noncovered 204,650.163 2,064,739.23 1,933,944.08 -130,795.15 81,827.32 Reinvestments to Date 34.138.317 9.6110 328.112.99 9.4500 322.607.06 4.505.93 13.649.86 4.23% Page 4 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rats (salient Cnry Year Sect 2O01 DALBAR RA TED COMMUNICATTOP6 asthma Owing through baba LAC, Sbany owned adosidiary of **Bark New Yak Mellon Contotation (eta Melee) 'taint 11C...wit. FINRA.AW 5 -O&M_00048421 DB-SDNY-0011245 EFTA_00 159030 EFTA01254272 I !A I Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) kpril 1,2017 - April 30,2017 IIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIIII rHEHAZETRUST Ode Atqtii44 Outotky ANN Cost Cut Detis Market Price Market alle MUTUAL FUNDS (continued) P M ORGAN ROATING RATE INCOME FUND (continued) Total Covered 34,138.317 326,112.99 322,607 06 -5,505.93 13.649 86 Total 238,788.480 $2,392,852.22 $2.256.551.14 4136,301 08 $95,477.18 TOTAL M UTUAL FUNDS $2,392,852.22 $2.256,551.14 4136,301.08 895,477.18 Unrealized Gainless Estimated Edkaaled Annual Income Yield Cott Bads Market Value TOTAL PORTFOUO HOLDINGS $17,539,700.50 Unmated Pin/Loss Awned Intend abated Anneal Income 5845,021.18 $17,831,837.40 $292,138.90 523,489.58 Noncovered under the cost basis rules as defined below. Securities acquired before 20 llor 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 ("IRV') (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) 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)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 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: • Sock in a corporation acquired on or after January 1, 20 11 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 20 12 • 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. 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 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 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. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 12 Pershing has received updated cost basisinformation, 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. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) CONFIDgfficAL Page 5 of 10 Rated (m<elkot Even, Year Sege 2C0/ DAL BAR RA TED COMMUNICATIONS matins( Clearing through Perstars LUC a Sbaly toned stinicliary elfinBark Now Ycelt Melba Corporation OM Melee) Ptrshirc 11C. mint. nmins.fiRlitlYetelit00048422 DB-SDNY-00 11246 EFTA_00 159031 EFTA01254273 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THE AS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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. 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. 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, 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. Page 6 of '0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (Anneal Cron Year Sffice 200/ DAL/AR RA TED COMMUNICATIONS acme/a Cleating trough hairs LUC, Many owned stinicliary of **Bark a New Yak Mellon Corporation (itly Mellon Pershing II.C.nstais FINRA.AW 00048423 DB-SDNY-0011247 EFTA_00 159032 EFTA01254274 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Messages kpri11,2017-Apri130,2017 rHEHAZETRUST 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 10 b-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 on base currency) Credits ThisPerkol DebkeThisPerlod Net ThisPetiod Oaths Yeet-to-Die Debits Year-to-Cote Net Year-to-Date Securities Securities Bought 9.00 -7122.00 -7,122.00 0.00 -43,315.91 -43,315.94 Total Securities $0.00 47,122.00 47,122.00 $0.00 443,315.94 443,315.94 Dividends and Interest $81,803.45 $0.00 $81,803.45 $241,673.50 $0.00 $241,673.50 Cash Windrow* 0.00 0.00 9.00 0.00 -36.016.064.02 36116184.02 Deposits 2,307,102.81 0.00 2,307,10211 6,301,746 64 0.00 6,301,746.64 Total Cash $2,307,102.81 $0.00 $2,307,102.81 $6,301,746.64 436,016,064.02 429,714,317.38 Totals 12,388,906.26 17,122.00 $2,381,784.26 $6,543,420.14 436,059,379.96 429,515,959.82 Transactions by Type Activity of Process Settlement Date Activity Type Desaiption Quoit, Pia Awned littoral Amount Osseo, Securities Bought and Sold 04/27/17 RBNVEST CASH INCOME PHSX P M ORGAN FLOATING RATE INCOM E FUND CLASS I 238034.8290 SHRSSHRS PURCH. 89.45000 RD 04/25 PO 01/27/1 753.651 -7,122.00 USD Total Securities Bought and Sold - U.S. DOLLARS 0.00 -7,122.00 Page 7 of ID CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) N4G-024943 CONFID RAO (.talent fray Yea/ Sege 2001 DALIAR RA TED COMUNICATI0NS mama Closing through Pantiles LW. ttlx•Iy owned "tidier/ of the tart el Now Yak Melba CorpratIon (IINY Mellon) Petshint LC. meats ninArAlYsteNt_00048-424 DB-SDNY-0011248 EFrA_00159033 EFTA01254275 Transactions by Type of Activity (continued) Prows Settlement Clete Aclivay Type Description Ouanlily Price Awned Interest Amount Conn, Dividends and Interest 04124/17 CASH DIVIDEND RECEIVED 200000 SHRSCITIGROUP INC DEP SHSREPSIG 1000 PFDSER 72,500.00 USD C PRC C DIV 51% PERPETUAL MATT PERPETUAL CALL 04122113025.00 RD 04/13 PO 0412410 04127/17 CASH DIVIDEND RECEIVED P MORGAN ROATING RATE INCOM E FUND CLASS I 7,122.00 USO PHU 238034.8290 SIRS RD 04/25PD 04127/17 04128/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 2,181.45 USD INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 81,803.45 Cash Withdrawals and Deposits 04104/17 FEDERAL FUNDS RECBVED IMBC BANK USA, NATIO 22405 2,137,814.15 USD US0999997 04113/17 FEDERAL FUNDS RECBVED HSBC BANK USA. NATIO 39993 189,228.08 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 2,307,102.81 Total Value of Transactions 0.00 2,381,784.28 USD The price and quantity displayed may have been rounded. Called Bonds Pa Dote 05115/2017 IPAYM ENT INC GTD SR NT 500 000.000 500,000.000 100.0000 Full 10.250% 05115118 (3/ EDTD 15/11 CALLABLE 0 5/ 1St 17 0 100.000 Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Investment Specialist. Secerily Description Ellgibk Called Col Type Quantity Quantity Price of Redempllon Proceeds Client Service Information 500 000 00 Yew Inveament Specialed.ENJ Contact Info/melba JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Telephone Number: (212) 454-4433 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL Page 8 of 10 RRNe tutlkot hay Year Sege 2C0/ [ALMA RA TED COVIMUNICATTONS DKELLINCI Clearlas through Pershing 1.1.C. Sbaly owned stinicliary athnbrta Now ripe Melba Co•Pontion Melon) Pa shine 11C . mat. nia.,999YELdit0004s425 DB-SDNY-0011249 EFTA_00159034 EFTA01254276 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Informati n kpril 1, 2017 - April 30, 2017 rHE HA Z E TRUST TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AM ORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Informat ion and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise t hem. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing ads as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, In certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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 Ad. • 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) 41:3-3330. Errors and Omissions excepted. CONFIDENTIAL — PURSUANT TO FED. R CRilvl. P. 6(e) Page 9 of 10 CONFIDWAL-4- Rated 6ttlient het, Yen &Me 2C0 DALIAN RATED COMUNICATOt6 DKELLINCI Cleating throw Perstars LAC. a Sbaly owned stinicliwy of Ow Barka New Yak Melba corporation (MY MOW) Paging L1C. mernhe. FINRA.Witifyelt00048426 DB-SDNY-0011250 EPTA_00 159035 EFTA01254277 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 jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class 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; (201) 413-3330. Page '0 of '0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Rated (Anneal fray MY Sffice 2O01 DALLURATEDCOMMUNICATONS crcmura Cleating through hairs LUC, okay owned sticliary of **Bark of New Yak Mellon Corporation (IINY Mellon) Petshinell.C.mtnin MRA.VAPIII2PM—00048427 DB-SDNY-00 11251 EFTA_00159036 EFTA01254278 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Drutt.trw PtIsain ev•eih u.nretme•I IA mien (preratt C4.4 0wniche Ur* St.enin .Vd Yon C.te 345 Put Ammo. )641. Flow Nerd 'CO. NI 10154 MI MI?. 0th t17-Stei tire(' 110 845 5641 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTBN & DARREN K IN DYKE TTEES 6 10 0 RED HOOK QUARTER ST THOMASVI 00802 M arch 1,2017 - M arch 31.2017 Account Number: B3 Portfolio a Glance at This Period Yeur4aDele Your Investment Specialist. BEGINNINGACCOUNT VALUE $51.280,833.38 448,880,282.80 JOSHUA SHOSHAN Her Cash Deposes ad Withdrawals 48,000,128.02 42,021,420.19 Adjusted Previous Account Value 15,280,705.38 14,838,842.41 Dividends. Interest and Olhei Income 11102.43 159.870.05 Net Chan a in Portfolio 28,593 34 302,488 67 615,301,201.13 $15,301,201.13 Accrued Newest 5118,111 11 Estimated Annual Income 5843,985.84 Summary Asset Perceni Asset Type Ftem Yearad tad Period MsPeriod 14% Cash, Money Funds, end Bank Deposits 33,971,832.08 38,084.704 73 2,089,952.00 23% Fixed Income 3,538,830.00 3,548,820.00 3,543,750.00 El 48% Equities 7,122,650.00 7,379,300.00 7,418,070.00 )11 15% M utual Funds 2,229,350.54 2,250,008.85 2,249,429.13 100% Account Total ( Pie Chart) $48,880,282.80 $51,280,833.38 $15,301,201.13 Please review your allocation periodically with your Investment Specialist CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON FID giTTA L Paget of 1' too Rats li allent bery Yea, Sect 2CO/ DAKAR RATED COMMUNICATIONS murex( Clearlas through Pirstft LC. a Wart nod adnicliary of tlw Sank of Now Yak Melba Corpontion MOW cln~ DB Y 0 52 Pa shine 11C . FiNRA.AWN:s r N M: 0 00014;; 128 EFTA_00 159037 EFTA01254279 Summary of Gains and Losses Rested Ms Period Yeet4o-Dele Demand Short-Term Gain! Loss 0.00 0.00 906.32 Long-Term Gain! Loss 0.00 0.00 150,499.53 Net Gain! Loss 0.00 0.00 151,405.85 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Wow Currency USD EquNicol per USD EURO 1.0894 09351 Exchange rates are based on interbank exchange rates as of 03/ 3V2017. Exchange rates can vary. Money Market Fund Detail Oats Adiaity Type Destabilise Amount Belau Sweep M oney Market Fund DEUTSCHEGOVT CASH INSTL Current Yield: 0.83% Activity Ending: 03! 31/ 17 03101!17 Opening Balance 03110/17 Withdrawal 03114/17 Withdrawal 03131/17 Deposit MONEY FUND REDEMPTION MONEY FUND REDEMPTION 38,084,704.73 46,000,000.00 -128.24 5,375.51 38,084,704.73 2,084,704.73 2,084,576.49 2,89.952.00 INCOM E RBNV EST 03/31/17 Closing Balance 82,089,952.00 Total All Money Market Funds 82,089,952.00 Income and Expense Summary Wade °mint Pedal Non Tata nestle Tem-lo-Osto Noe Rabb Dividend Income Equities Money Market Other Dividends 0.00 5475.51 6,526.92 0.00 0.00 0.00 106,445.35 33,331.30 20,093.40 0.00 0.00 0.00 Total Dividends, Interest, Income and Expenses 811,902.43 8.00 8159,870.05 0.00 Page 2 of 11 CONFIDENTIAL — PURSUANT TO FED. R CRiM. P. 6(e) CONFIDWAL-4 Ratc4 ballast beef Yew Since 2001 DAL/Alt PA Kb COMMUNICATORS actituia Cleating through PesSOLC. a *Iva aimed stiniclian of **Bank et Nom York Mille, Corporation Sly MOW Ptrshine reakfiCittli eLGM_ 00048429 DI3-SDNY-0011253 EFTA_00159038 EFTA01254280 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings A arch 1,2017- March 31,2017 rHE HA ZE TRUST r Account Adkity Opening Cote Ouestky Number Ending OrOening BillICI Closing Balance Mai,ed Income Income This Yam 30-Day current Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 14.00% of Portfolio Money Market DEUTSCHE GOVT CASH 'NUL 03/01/17 2,089,952.000 N/A 03131117 38.084.704.73 1.089.952.00 72.82 33,331.30 0.57% 0.63% Total Money Market $38,064,704.73 $2,089,952.00 572.82 533,331.30 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Adjvnlea Ode Applied Ouistky MN Cod Cod Bads 538,084,704.73 Market Pdce $2,089,952.00 Midst Value 572.82 Welted Oelarlose 833,331.30 Moved Inters Ellealed Blinded Aened Income Yield FIXED INCOME 23.00% of Portfolio (Irt Maturity Date Sequence) Corporate Bonds IPAYNENT INC GTD SR NT Security Beni diet 46262EAE5 9250% 05/ tilt INEDTO 115/11 CALLABLE04/30/17. 132.563Moody Rating CA St P Rating C 10/02/12'•°i9 500,000.000 97.1130 485,568.19 87.0000 435,000.00 40,566.19 19,361.11 51250.00 11.78% Original Cost Basis: 8445.000.00 AMMAN CHASE& CO DEP SHSREPSTG Security Identdier:46625HHA1 VOTH PFD SER IFIXED TO RTG RT BD 7.900%04/29/49 BrEOTO 04/23/08Moody Raling BAA3 S 8 P Rating BBB• 05/10/11'•x° 3,000,000.000 111.2650 3,337,958.33 103.6250 3,108,750.00 429,208.33 98,750.00 237,000.00 7 62% Original Oast Basis: 53,337950.33 Total Corporate Bonds 53,823,524.52 53,543,750.00 4279,774.52 5118,111.11 $288,250.00 3,500,000.000 TOTAL FIXED INCOME $3,823,524.52 53,543,750.00 4279,774.52 5118,111.11 $286,250.00 3,500,000.000 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 1' CONFIDOMPAL armee Rated Gallen( (rev Year Sect 200/ DALBAR RATED COMMUNICATIONS minium Owing through Parsed% LC. a wilidlynnal stiniclian of tlw Nrta Nat Yak Aim Corporation My Mama Ptrshine 11C. rneni. FINRA.UktlifyGM—OOO4843O DB-SDNY-0011254 EFTA_00 159039 EFTA01254281 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Cost Basis Market Price dulcet Value Unrealized Barrios Estimated Edknaled Annual Income Yield EQUITIES 4 8.0 0% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SKS REPSTG YEOOTH Securely !dent Kier: C PRK PFD SER K DIV 6.875% PERPETUAL IA ATY CUSP 172967341 PERPETUAL CALL 1Ft/23(825.00 Dividend Opl ion: Cash 02/03/14 79.000.000 25.3090 1.999.418.90 28.3300 2.238.070.00 238.651 10 135.781 25 6 06% CITIGROUP INC DEP 915 REPSTG 7800 Securely Identifier: C PRC PFD SER C DIV 5.8% PERPETUAL MATY CUSIP. f/2967366 PERPETUAL CALL 04/22/[email protected] Dividend Opl ion: Cash 10/28/14 49.033.000 24.0810 1,180,739.16 25.9000 1269,954 70 89,215 54 71,097.85 5.59% 10/29/14 150.967.000 24.3130 3.670.430.48 259000 3.910.045 30 239.614 82 218.902.15 5.59% Total Covered 200,000.000 4,851,169.64 5 180,000 00 328,830.36 290,000 00 Total 200,000 000 54,851,169.64 85,180,000 00 8328,830.36 3290.000.00 Total Preferred Stocks 86,850,588.54 87,418,070.00 8567,48146 8425.781.25 TOTAL EQUITIES 86,850,588.54 $7,418,070.00 856748146 3425.701.25 Unnalized Estimated Esliinaled Date Acquied Quantity Unit Cocl Cod Bade Market Price Market Value Geinloss Annual Income Yield MUTUAL FUNDS 15.00% of Portfolio ?MORGAN FLOATING RATE INCOME RIND CLASS I Open End Fund Dividend Dalian Reinvest: Capital Gales Option: Reinvest Security Mealier YRS% CUP 4612t513 01/22/13 t 3 198,216.056 10.0900 2,000,000.00 9.4500 1,873,141.72 -126,858.28 80.459.85 429% 02/01/13 ' " 630.057 10.0670 6.342.92 9.4500 5,954.04 -388.88 255.75 4.29% 03/01/13" 711.578 10.0600 7.158.48 9.4500 6.724.42 -434.06 288.84 4.29% 04/01/13" 789.547 10.1100 7,982.33 9.4500 7,461.22 -521.11 320.49 429% 05/01/13'" 751.550 10.1300 7.613.21 9.4500 7.102.15 -511.06 305.07 4.29% 06/03/13'3 757.360 10.0900 7.641.77 9.4500 7.157.05 -484.72 307.43 429% 07/01/13" 668.131 9.9700 6.661.27 9.4500 6.313.83 -347.44 271.21 4.29% 08/01/13'" 704.609 10.0600 7,088.37 9.4500 6.658.56 429.81 286.01 429% 09/03/13" 709.175 10.0300 7.113.03 9.4500 6.701.70 -411.33 287.87 429% 10/01/13" 712.100 10.0240 7.137.85 9.4500 6.729.35 408.50 289.06 429% Total Noncovered 204,650.163 2,064,739.23 1,933,944.04 -130,795.19 83,071.58 Reinvestments to Date 33.384.666 9.6150 320.990.99 9.4500 315.485.09 4.505.90 13.551.51 4.29% Page 4 of 1' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated (salient (rev Year Sect 2OO/ DALBAR RA T ED COMMUNICATIONS etcetera Owing through PerstarelLC. a Sbany owned pastry old* Bark a New Yak Mellon Contention Mellon Ptrshinellf.rnenix. FINRA.ftW W1_00048431 DB-SDNY-00 11255 EFTA 00159040 EFTA01254282 Deutsche Bank PO Sox 1776. ga;tilitTr. MD 212)3 Portfolio Holdings (continued) M arch 1,2017 - M arch 31,2017 THE HAZE TRUST Ode Acquired Outstay IAN Cott Cad Bat Market Price Market Van. e MUTUALRJNDS (continued) P II ORGAN ROATING RATE INCOME RIND (continued) Total Covered 33,384.666 Total 238,034.829 TOTAL M UTUAL FUNDS 320,990.99 315,485.09 Unrealized Gainless Estimated &landed Annual Income Yidd •5.505.90 $2,385,730.22 $2,385,730.22 Cod BS $2,249,429.13 $2,249,429.13 MAN Value 4136,301 09 4136,301.09 Undated Pia ton Acaued Intend 13.551 51 $96,623.09 $98,623.09 Unaided Annul Income TOTAL PORTFOLIO HOLDINGS $15,149,795.28 $15,301,201.13 $151,405.85 $118,111.11 $843,985.64 • Noncovered under the cost basis rules as defined below. Securities acquired before 20 11or 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 ("IRV') (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) 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)" 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: • Sock in a corporation acquired on or after January 1, 20 11 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 20 12 • 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. 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 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 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. 3 The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. t2 Pershing has received updated cost basisin formation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. o The cost bags 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL lava. Rated (mtelkot Inn, Year SoKe 2C0/ DAL BAR RATED COMMUNICATTONS CzCOAINCE Page 5 of 1' Owing trough Pars/dog LC, milbaly owed NinicINry a theBark a Now Yalt Mace Comotalas OM AMINO FNne LIC. meNdx. FIN ukralyeLGM_00048432 DS-SONY-0011256 EFTA_00 I 5904 I EFTA01254283 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield ( EA Y ) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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. 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. 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, 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. Page 6 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg Rated Gallia% Every Year S.ritt 2C0/ DALBAR RATED COWAUNICATTOP6 accauta Owing through Peal% LC. a wlbany owned stinicliary of Ow Bark a New Yak Mellon Co•Pontion(ONY Mellon) en . n PtrshinellCrnenix. FINRA.AW 50"_Ovu 40q3a DB-SDNY-00 11257 EFTA 00159042 EFTA01254284 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Messages 1.1 arch 1,2017 - March 31,2017 THE HAZE TRUST 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 13 b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. will adopt a shortened settlement timeframe beginning with trade date September 5,2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to a T+2 settlement cycle 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-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor or financial insititution about how you can set up e-delivery. Activity Summary (All amounts shown are in base currency) Qedlts 1NsPeriod Debits ThisPeliod Net IbisPertod OetlitorYanr-to-Date DeblIsYearao-Date Net Year-to-Date Securities Securities Bought 0.00 43,655.16 4,655.16 0.00 46,193 94 46,193.94 Total Securities $0.00 46,655.16 46,655.16 $0 00 436,193.94 436,193.94 Dividends and Interest $11,902.43 $0.00 $11,902.43 $159,870.05 $0.00 5159,870.05 Cash Withdrawals 0.00 46,000,128.02 46,000,128.02 0.00 46,016,064.02 46,016,064.02 Deposits 0.00 0.00 0.00 3,994,643.83 0.00 3,994,643.83 Total Cash $0.00 436,000,128.02 436,000,128.02 $3,994,643.83 436,016,064.02 432,021,420.19 Totals $11,902.43 438,006,183.18 435,994,880.75 $4,154,513.88 436,052,257.96 431,897,744.08 Transactions by Type Activity of Prows Trade, Settlement Transaction Date Dale Adhity Type Securities Bought and Sold 031f 4117 03/10117 PURCHASED 03/30117 REINVESTCASH INCOME ..PHSX DeaulptIon Ouantlly Mot Accrued interest Amount Orrrency EURO .P M ORGAN FLOATING RATE INCOME FUND SELECT SHARES 237342.6850 SHRS SHRS PURCH. AT S9.43000 RD 03128 PO 03130117 120.000 1.0687 692.144 -12814 USD 4.526 92 USD Total Securities Bought and Sold - U.S. DOLLARS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0.00 -6,655.16 Page 7 of 11 CONFIDfifrAL-4 Rated (scant Envy Year Sffice2C0/ DAL/AR RATED COMUNICATiONS D anioc( Clearing through ha4UUCd vilieRkanal stinicliwy of tinier. a Nom Yak Ateltiv CoMontion (MY MOW Ptrshine liC. nt*t. FINOSIWYaLM_00048434 DI3-SDNY-0011258 EFTA_00159043 EFTA01254285 ansact ions by Type of Activity (continued) Process' Trade; Settlement Transaction Dote Date Adivily Type Description Quantity Price Awued Mint Amount Curren, Dividends and Interest 03/30/17 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 8,528.92 USD $11SX 2373425850 SHRSRD 03/28 PD 03130/V 03/31117 MONEY MARKET FUND DEUTSCHEGOVT CASH 5,375.51 USD INCOMERECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 11,902.43 Cash Withdrawals and Deposits 03110/17 FEDERAL FUNDS SENT DEUTSCHESANK TRUST 48,000,000.00 USD USD99999 7 03/14/17 OUTGOING NON USD CURRENCY OUTGOING NON USD CURRDICY W IRE EURO CURRENCY 420.00 EUR WIRE -128.02 USD EUR999995 Total Cash Withdrawals and Deposits EURO 0.00 -120.00 EUR TOTAL USD EQUIVALENT 0.00 428.02 USD US DOLLARS 0.00 48,000,000.00 USD Total Awued Interest Total Amount Tronsudionsbanmay Total Amami Merit Total Amount Cotroncy USDEquivalent USDEquivaltrit EURO 0.00 -120.00 SIR 0.00 -128.02 U.S. DOLLARS 0.00 -35,994,752.73 USO 0.00 -35,994,752.73 The price and quantity displayed may have been rounded. Client Service Information Your Investment Semliki ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 13017 contact Information Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 8 of 1' CONFIDWFAL armee Raved (salient Crecy Year Since MO/ DALBAR RATED COMMUNICATiONS mastic Clwh, trough Pirselogil.C. a Sal,/ owned stiosidiry of OwBarka Now Yielt Mace Co•Pinelon(ONY Mellon) mentit. Filito,ficKilLelt 00048435 DB-SDNY-0011259 EFTA_00 I 59044 EFTA01254286 Deutsche Bank P.O.Box 1776, Baltimore, MD 21233 Your Account Information M arch 1,2017 - M arch 31,2017 THE HAZE TRUST TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing ads 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 institutionit acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain Instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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 Ad. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 1' CONFIDWAL Rated halkot Even, Year Sege 2001 [AMR RATED COMMUNICATIONS EXCLUANa Os/ft through hrthing LLC,t Sbaly turned stinkliary of *»Barra Now YM Melba ComontlanaNY WNW Ptrshine 11C. member FINRAWftelt00048436 DB-SDNY-0011260 EFTA_00 59045 EFTA01254287 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 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, w itness 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 will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (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 10 of 11 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID 4 Rated twellent bay Yes, Since 200? DALAI!, PATO) COMMUNICATIONS DICIILDICI Cleating throush haftLC.4 Many owned "ASSN" of tlw Bark a New Yak Mellon Co•Potatlan OPNY Mete) Pershing 11.C...sends FINRA.AW SyWIVI—Ow48437 DB-SDNY-0011261 EFTA 00159046 EFTA01254288 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 ANCADR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND 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 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 14 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 COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGN 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 REOUIRED 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 AM) OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS (-• 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 NDEBTED 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 PERSHNO TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEEITED 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 FNANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVALABLE 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.COMADISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NHS - RULE 607(AX1)-(2H 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 EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG 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 (NERO). 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 THER 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 QUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REUSE NOTIFY PERS-ING IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY, NJ 0T399, ATTN. LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) CONFIDWFAL •••••• Page 1' of '1 RES EmtikrA Lary Yea, Since 2CO1 DALBAR RATED COMMUNICATIONS DICILLOICI Cleartins through Porstarell.C.• Sbaly tonal ad:8*m of **Bark el Nag Yak Melba Corporation (MY WNW Ptishint merit/ FINREfiRtlYELGM_00048438 DEI-SDNY-0011262 EFTA_00 I 59047 EFTA01254289 a Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Deutsche Bank Securities Inc. Boston Office 1 International Place, 12th Floor Boston, MA 02110 Toll Free: 866-612-5505 Direct: 410.8953841 THE HAZE TRUST February 1, 2017 - Februar 28 2017 UAD 02/09/99 JEFFREY EPSTBN Account Number: DARREN K INDYKETTEES 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio Glance at a This Period YewereDele Your Client Advisor. BEGINNINGACCOUNT VALUE 850,995162 01 846,860,262.60 JOSHUA SH OSHA N Net Cub Deposits aid Withdrawals 0.00 3,978,101.83 Adjusted Previous Account Value 50,995,662.01 50,836,970.43 Dividends, Interest and Other Income 54,771 51 147.96712 Net Change in Portfolio 210,399 86 273.895 33 oli 851.260133.38 851,260,833.38 Accrued Interest Estimated Annual Income 592.246 52 5839.871 91 Summary Asset RES Awl Type PS, Yeatad Late Period This Period 74% Cash, M oney Funds, and Bank Deposits 33,971,632.06 38,036.554 51 38.084.704.73 a 7% Fixed Income 3,538,630.00 3,505,470.00 3,548,820.00 15% Equities 7,122,650.00 7,214,690.00 7,379,300.00 4% M utual Funds 2,229,350.54 2,238,84/.50 2,250,008.65 100% Account Tot al (Pie Chart ) $48,860,262.60 $50,995,662.01 851,260,833.38 Please review your allocation periodically with your Client Advisor. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID Page lot ID Rated ( itelket Every Ye., Since 20O/ ()MBAR RATED COWPUNICA11O141 MCD.I.INCE ClearinelbroughParstringlIX,a Male timed stamidlary of Ow Bark of Mew York Mean Corporation (SHY Melon) MV l. Pershing L1C. menet. rinRA.ftioRt O&M—Om-4843m DB-SDNY-OO11263 EFTA OO159O48 EFTA01254290 Summary of Gains and Losses Mt Period Realized Teer4o-Dale Unrealized Short-Term Gain! Loss Long-Term Gain! Loss 0.00 0.00 0.00 0.00 1,505.56 122 94.96 Net Gain! Loss This summary excludes transactions where cost basis information is not available. 0.00 0.00 123,800.52 Money Market Fund Detail %WOW Amount Salm Date Attivity Type Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.48% Activity Ending: 02/ 28/ 17 02/01117 Opening Balance 02116/17 Deposit 02128/17 Deposit MONEY FUND PURCHASE INCOMERBNVEST 38.036,554 51 33,945 35 14,204 87 38.036.554.51 38,070,499.86 38,084,704.73 02128117 Closing Balance $38,084,704.73 Total All Money Market Funds 538,084,704.73 Income and Expense Summary Taxable Current Period tem Taxable Taxable Tealco0de Hon Taxable Dividend Income Equities Money Market Other Dividends 33,945.35 14,204.87 6,621.29 0.00 0.00 0.00 106,445.35 27,955.19 13,566.48 0.00 0.00 0.00 Total Dividends, Interest, Income and Expenses $54,771.51 50.00 $147,967.82 $0.00 Page 2 of 10 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWITAL4 Rated (scelket bey Yew Sege 2C0/ DALIAlt RATED COMMUNICATIONS mamma Clearlas through haft LAC a Wally owned Snider" of the Bank el New Yak Meta Corporation (INY Mae) Pennine RC motto FINROARtlYfielt00048440 DB-SDNY-0011264 EFTA_00 I 59049 EFTA01254291 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings February 1, 2017 - February 28, 2017 Tea 14 A 7r TPI ICT Account Acclivity C— Opening Dde Ouestay Number Biding flame Posing tralence Accrued IMMO Income This YIN 304:my Curtest Yield Yield CASK MONEY FUNDS, AND BANK DEPOSITS 74.00% of Portfolio Money Market DEUTSCHE GOVT CASH 'NUL 02101117 38,084,704.730 N/A 02/28/17 38.036.554.51 38,084,704.73 0.00 27,955.79 0.49% 0.48% Total Money Market $38,036,554.51 $38,084,704.73 $0.00 $27,955.79 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $38,038,554.51 $38,084,704.73 $0.00 $27,955.79 Adjusted Unmixed Acare4 Estimated Estimated Date Acquired Oustky Unit Cod Cattiest Market Peke Market Value Gela/Lese Meted Annul Income Yield FIXED INCOME 7.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds IPAYM ENT INC GTD SR NT Security Identifier 46262E4E5 9250% 05/15/13 B/E DID 116/11 Price Estimated as of 0 MN V CALLABLE03/30/2 92563 Moody Ration CA Sd P Ratig C 10102112 '.4.0 500,000.000 96.9160 484,577.96 85.3640 426,820.00 57,757.96 14,663 19 51,250.00 12.00% Original Cost Basis: 5445,000.00 SWORGAN CHASE 8 CO DEP SHSREPSTG Security Identifier 46625HHA1 19TH PFD SER 1FIXED TO FLTG RT BO 7.900% 04/29/498a OTO 04123/0 88I oody Riling 8M3 S8 P Rating BBB. 05110111'•00 3,000,000.000 111.2650 3,337,958.33 104.0000 3,120,000.00 ,217,958.33 17,883.33 237,000.00 7.59% Original Cost Basis: 53,337958.33 Total Corporate Bonds $3,822,536.29 $3,546,820.00 4275,716.29 $92,348.52 $288,250.00 3,500,000 000 TOTALAXED INCOME $3,822,536.29 $3,546,620.00 4275,716.29 $92,348.52 $288,250.00 3,500,000 000 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 10 CONFIDWAL-4 Rated [salient bay Yew Since 2007 DALIAR RATED COMMUNICATORS DICIILDICI Clearing INCOUgh Pantie LUC, abaft owned stinicliory of ereer.a New Yak Melba CoMotation(SNY Mae) Perham: tic. mernhe. FINRA.44,14yelt00048441 DB-SDNY-0011265 EFTA_00159050 EFTA01254292 Portfolio Holdings (continued) Unrealized EsIrraled EsIrraled Dete Anned Quiddity Unit Cod Cod Omit Markel Price Market Value Gainfloss Aare& frame Yield EQUITIES 15.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEPSHS REPSTG /900TH Security Identifier CPR% PFD SER K OW 6.675% PERPETUAL MAT/ CUSIR 172967341 PERPETUAL CALL tab/242500 Dividend Opl ion: Cash 02103114 79.000.000 25.3090 1,999.418 90 28 7000 2 267.300 00 267.881 10 135.781.25 5 98% CITIGROUP INC DEPSHS REPSTG /900 Security Identifier. C PRC PR) SER C DIV 5.8% PERPETUAL MATT CUSP. 22967366 PERPETUAL CALL04/22/13025.00 Dividend Option: Cash 10/28114 49,033.000 24.0810 1,180,739.16 25.5800 1253,283.48 72,544.32 71,097.85 5.87% 10/29/14 150.967.000 24.3130 3,670,430.48 25.5600 3.858.716.52 188,286.04 218,902.15 5.67% Total Covered 200,000 000 4,851,169.64 5,112,000.00 260,830.36 290,000.00 Total 200.000 000 84,851.169 64 85,112,000.00 5280,830.36 5290 000.00 Total Preferred Stocks 56,850,588.54 57,379,300.00 $528,711.46 5425.781.25 TOTAL EQUITIES $6,850,588.54 $7,379,300.00 5528,711.46 $425.781.25 Unmated Edimated Estimated Date Acquied Quantity UnN Cod Cost Bads Market Price Market Value Galetrlom Annual Income Yield MUTUAL FUNDS 4.00% S.MORGAN FLOATING RATE SELECT SHARES Open End Fund Dividend Oplion: Reinvest: Capital of Portfolio INCOME FUND Gain Option: Remvest Security CUSP. Nenlitin ..PHSX 482131 01/22/13'-3 198,216.056 10.0900 2,000,000.00 9.4800 1,879,068.20 -120,911.80 81218.27 4.35% 02101/13'.3 630.057 10.0670 6,342.92 9.4800 5,972 94 -369.98 259.85 4.35% 03/01/13 ' •0 711.578 10.0600 7,158.48 9.4800 6.745.75 412.73 293.47 4.35% 04/01/13'•5 789.517 10.1100 7,982.33 9.4800 7,484.90 497.43 325.62 4.35% 05/01/13'•3 751.550 10.1300 7,613.21 9.4800 7.124.70 488.51 309.95 4.35% 06/03/13 ' •3 757.360 10.0900 7,641.77 9.4800 2179.78 461.99 312.35 4.35% 07/01/13'•3 668.131 9.9700 6,661.27 9.4800 6.333.89 -327.38 275.55 4.35% 08/01/13'•3 704.609 10.0600 7,088.37 9.4800 6,679.69 408.68 290.59 4.35% 09/03/13'•3 709.175 10.0300 7,113.03 9.4800 6.722.98 -390.05 292.48 4.35% 10/01/13'3 712.100 10.0240 1,131.85 9.4800 8,750.70 -387.15 293.68 4.35% Total Noncovered 204,650.163 2,064,739.23 1,940,083.53 -124,655.70 84,401.81 Reinvestments to Date 32,692.522 9.6190 314,481.07 9.4800 309.925.12 4,538.95 13,483.06 4.35% Page 4 of tO CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 6(e) CONFIDgfffrÅL Rated («WWI hen Veer Sitge 2CO1 DAIL« RA TED COMUNICA11O16 NettetriCt CloarIng grout ~Its LC, ~My turned stirsidiry of theBank 41a Yea Melba corporation atlY Mace) it shim nnim.4I4(YeLOM_ 00040442 DB-SDNY-0011266 EFTA_001 5905 I EFTA01254293 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) February 1, 2017 - February 28, 2017 THE HAZE TRUST OMe Acoired Notify AN Cod Cost Wit Mallet Price Market Van. e MUTUALRJNDS (continued) PMORGAti FLOATING RATE INCOME FUND (continued) Total Covered 32,692.522 Total 237,342.685 TOTAL M UTUAL FUNDS 314,464.01 $2,379,203.30 $2,379,203.30 Cott his 309.925.12 $2,250,008.65 $2,250,008.65 Market Value Unrealized Pintoes Estimated Edimated Annual Income Yield -4,538.95 4129,194.65 4129,194.65 Unmated Philos; Acaued Intone 13,483.06 $97,884.87 $91,884.87 Whaled Anneal Income TOTAL PORTFOLIO HOLDINGS $51,137,032.86 $51,260,833.38 $123,800.52 $92,346.52 $839,871.91 • Noncovered under the cost basis rules as defined below. Securities acquired before 20 llor 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.1.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) 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)" 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: • Sock in a corporation acquired on or after January 1, 20 11 • 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 1, 2014. 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 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 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. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. t2 Pershing has received updated cost basisin formation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. o 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of 10 CONFIDOWAL-41 Rated [scab% buy Year Sffice 2C0/ tiAllAlt RAM COMUNICAMIS DICULDICI Cleatlas through Perstarell.C. Sbaly ("mod minicliary of **Bark el Now YM Melba Corporation (INY WNW Ptrshinellf.rneatty FwakfiRtlyepL0004a443 DS-SONY-0011267 EFTA_00159052 EFTA01254294 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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. 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. 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, 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. Page 6 of '0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Rated bailout bay Yew Sect 2007 DAISAlt PAM COMUNICATiONS DICILLOICI Owing through Pirthirell.C. a alb* owned stinidlavy of tlw tank of New Yak Mellon Como-melon (MY PASO Petshift Lit...sends FINRA.E*PtakeM_00048444 DB-SDNY-00 11268 EFTA_00 159053 EFTA01254295 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M essages February 1, 2017 - February 28, 2017 THE HAZE TRUST 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 lob-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. A ct i v it y Summary (All amounts shown are in base currency) Credits ThisPerise DebasThisPetIod Net laisPeriod Credits Yew-to-Dale DebiloYeor-to-Dete Net Yem-to-Date Securities Securities Bought 9.00 .1621.29 1,621.29 0.00 -29,53818 -29,53818 Total Securities $0.00 46,621.29 46,621.29 $0.00 429,538.78 429,538.78 Dividends and Interest $54,771.51 $0.00 $54,771.51 $147687.82 $0.00 $147,987.82 Cash Withdrawals 0.00 0.00 0.00 0.00 45638.00 45,938.00 Deposits 0.00 0.00 0.00 3,904,843.83 0.00 3,904,843.83 Total Cash $0.00 $0.00 $0.00 $3,994,643.83 415,936.00 $3,978,707.83 Totals $54,771.51 48.821 29 $48,150.22 $4,142,811.45 445,474.78 $4,097,13817 Transactions by Type Activity of Process Settlement Date Aclkgy Type Securities Bought and Sold 02127/17 REINVEST CASH INCOME .P MORGAN FLOATING RATE INCOM E FUND SELECT SHARES 699.186 PSIS% 236643.4990 SHRSSHRS PURCH.AT $9.47000 RD 02/23P0 02/27/17 Total Securities Bought and Sold - U.S. DOLLARS Dualities Quanthy Pda Accrued lateral Amount Wrong 4621.29 USD CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N4G424943 CON F ID ONFA L 0.00 4621.29 Page 7 of 10 armee Rated (Kent.% beet Yew Sffice 2C0/ DATUM RA TED COMUNICATiONS marina Clearlas through Perstarell.C. a Sbaly ("mod stinicliary of **Bark Na. Ycelt Melba Corporation My Mellon) Pershing Lit...sends FINRAMOYakelt00048445 DB-SDNY-00 11269 EFTA_00 159054 EFTA01254296 Transactions by Type of Activity (continued) Process Settlement Date Adivity Type Description Quantity Price Acaued Interest Amount Congo, Dividends and Interest 02115/17 CASH DIVIDEND MUG) CPRK 79000 SHR$CITIGROUP INC DEP SHSREPSTG /1300TH PFD SERK DIV 6.875% PERPETUAL MATY PERPETUAL CALL 1/E/23025.00 RD 02!03 PD 021%lV 02127/17 CASH DIVIDEND RECEIVED it MORGAN FLOATING RATE INCOM E FUND SELECT SHARES ,PHSK 238643.4990 SIRS RD 02/23 PC) 02/2711 02/28117 MONEYMARKETFUND DEUTSCHEGOVT CASH INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 33,945.35 USD 6621 29 USO 14,204.87 USD 0.00 54,771.51 Total Value of Transactions The price and quantity displayed may have been rounded. C lent Service Information 0.00 48,150.22 USD Your stmt Amisor:EW Cooled Intonation JOSHUA SHOSHAN 280 PARK AYE-3RD FL NEW YORK NY 10017 Your Account Information Telephone Number: (212) 454-4433 TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDOMPAL WNW., Page 8 of 10 Rated (.<elkot Inn, Year SoKe 2001 DALBAR RATED COWAUNICATTONS DICOAINCE Clearlas through hating Lig. a atbay owned stinicliory elfinBarka New YM Melba Corporation (MY NNW Pennine 11C . mat. FINROARtlYeLlt00048446 DEI-SDNY-0011270 EFTA_00 159055 EFTA01254297 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures February 1, 2017 - February 28, 2017 FHB HAZE TRUST 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 asthe 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. w here applicable. the rendering of investment advice. if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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 LI_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award. unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any am endm ents t hereto. 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 Page 9 of '0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' Rated balk.% [rev Yew S.ritt 2C0/ DALBAR RATED COMMUNICATIONS trauma Owing throush Perstarell.C. a iittbany tamed adosidiary of theBark New Yak Mellon Corporation (MY Melee) Ft shine 11C. rnenix. FINRA.AW Se&IVI_00048447 DB-SDNY-0011271 EFTA_00 159056 EFTA01254298 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing ILC, Legal Department. One Pershing Plaza. Jersey City. New Jersey 07399; (201) 413-3330. Page '0 of 10 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDWFAL armee Rated (salient Lady Yea, Sffice2C0/ DALBAR RATED CONMUNICATiOt6 acrama Clearlas through P.O.W. Lig.a mixeierrnal stinicliory of tlw Bark a Now YM Melba Corporation0NY WIWI PtraintlIC. monSt. FINRAMOYELGM_00048448 DB-SDNY-0011272 EFTA_00 159057 EFTA01254299 a Deutsche Bank °M... Rona P.a. Wean .4.p -flan Weals tonna Gro.10 DeAsov M . Sew nes vic P.O. Box 1776, Baltimore, MD 21203 Mee van Ont• Hann •••••••.160. I bet New It rt. Irt 10114 IMPI:441414. ) THE HAZE TRUST January 1 2017 - Januar 31 2017 UAD 02/09/99 JEFFREY EPSTBN Account Number: DARREN K IN DYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMASVI 00802 Portfolio Glance at a This Period Year4o4We Your Client Advisor. BEGINNINGACCOUNT VALUE $46,860,262.60 346,860,262.60 JOSHUA SH OSHA N Net Cash Deposits ad Withdrawals 3,978,707.83 3,978,101.83 Adjusted Previous Account Value 50,838,970.43 50,836,970.43 Dividends. Interest and Othes Income 93,198.11 93.198.11 Net Change in Portfolio 63,495 47 63.495 47 350,995,662.01 $50,995,662.01 Accrued litwesl 570,069.44 Estimated Annual Income 5827,276.56 Asset Summary Pncenl Met Type mi 75% Es 7% IN 14% a 4% 100% Cash, Money Funds, and Bank Deposits Fixed Income Equities M utual Funds Account Total ( Pie Chart) Please review your allocation periodically with your Client Advisor. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL Prior Yew-Aid Lad Period ThisPeriod 33,971,632 06 33.971.632 06 38.036.554.51 3,536,630 00 3,536,630.00 3,505,470.00 7,122,650 00 7,122.650.00 7,214,990.00 2,229,350 54 2,229,350.54 2,238,641.50 $46,860,282.60 346,880,262.60 350,995,662.01 Pagel of 10 GI MIST, 43 . repa i tiq Oxid•ONMPASSOK•whe gal lia•iiied Os Yaw Ms Et v :. , : . ., '4.y. SUM IstreICOMMOnalt allentopelnafft Nay thatIKI .""a ttlire15_00048.449 DB-SDNY-00 11273 EFTA_00 159058 EFTA01254300 Summary of Gains and Losses Reeked This Period Yeareo-Dde Ilareelaed Short-Term Gain! Loss 0.00 0.00 1,688.62 Long-Term Gain/ Loss 0.00 0.00 47 519.35 Net Gain/ Loss 0.00 0.00 45,621.73 This summary excludes transactions where cost basis information is not available. Exchange Rate Ta le *treaty Quincy USD *Weil per lia) EURO 1.0806 09254 Exchange rates are based on interbank exchange rates as of 0 1/ 3V 2017. &change rates can vary. Money Market Fund Detail Date /wavily Type Dostilpthe Amount Nina Sweep Money Market Fund DEUTSCHEGOVT CASH 1NSTL Current Yield: 0.50% Activity Ending: 0 V 31, 17 12/31/16 Opening Balance 33,971,632.06 33,971,632.06 01/17/17 Withdraw al MONEY FUND REDEMPTION -15,972.30 33,955,659.16 01/24/17 Deposit MONEY FUND PURCHASE 72,500.00 34,028,159.76 01/21/17 Deposit MONEY FUND PURCHASE 3,994,643.83 38,022,803.59 01/31/17 Deposit 13,750.92 38,036.554.51 1NCOM E REMY EST 01/31/17 Closing Balance 338,036,554.51 Total All Money Market Funds 338,036,554.51 Income and Expense Summary Cuuerl Penad Yore o-Oile Terelee Non Tnabk Tamale Me Taxable Dividend Income Equities 72,500.00 0.00 72,500.00 0.00 Money Market 13,750.92 0.00 13,750.92 0.00 Other Dividends 6,945.19 0.00 6,945.19 0.00 Total Dividends, Interest, Income and Expenses 393,196.11 $0.00 393,196.11 30.00 Page 2 of 10 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL Pros lb lac*. adeaddlmill*Ntelliall VanO SIINYINIsi airomersicnrit ""' eG"1511rtaltoousoo OB-SDNY-0011274 EFTA_00159059 EFTA01254301 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings January 1, 2017 - January 31, 2017 7H E HA Z E TRUST AocouM Adteity 01140109 Opening Cote Corny Number Ending Balsa Mang Balance Acaued Income Income Males 30.0ry Current Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 75.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 12/31116 38,036,554.510 WA 01131/17 33,971,632.06 38,036,554.51 0.00 13,750.92 0.46% 0.50% Total Money Market 633,971,632.06 $38,036,554.51 $0.00 $13,750.92 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $33,971,632.06 538,036,554.51 $0.00 $13,750.92 Adjusted Ureedzed Maud BOUM Blinded da AcquYed Ousalky Unll Cod Cod Bade Market Ma Midst Value GalVliaso Mired MEMU.0M laid FIXED INCOME 7.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds IPAYMENT INC GTD SR NT Security Idenl diet 46262EAE5 9250% 05/t5/13BIEDTO TWO Price Estimated as of:0126/17 CALLABLE03/02140 132.663 Moody Rating CA S8 P Ratieg C 10/02/12 . ' 72' n 500,000.000 96.7200 483,600.35 83.0940 115,470.00 -68.130.35 10,819.44 51,250.00 12.33% Original Cost Basis: $445,000.00 SinORGAN CHASES CO DEP SHSREPSTG Searity 466251.01AI 19TH PFD SER1FIXED TO RIG RT BD 7.900%04/29/49 WE OTO 04123/08Moody Rating BAA3SS P Rating BBB. 05/10/11 '.12.0 3,000,000.000 111.2650 3,337,958.33 103.0000 3,090,000 00 447,958 33 59250.00 237,000.00 7.66% Original Cost Basis: $3,337958.33 Total Corporate Bonds $3,821,558.68 $3,505,470.00 4316,088.68 $70,069.44 $288,250.00 3,500,000.000 TOTAL FIXED INCOME 63,821,558.68 $3,505,470.00 4316,088.68 $70,069.44 5288,250.00 3,500,080 000 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL Page 3 of 10 ae pap Mess ziC r.). anSMICSatina 3.0•001“.••••••••• sista*. 0••••••••••••114•** •••••••••itilhotedlintwe ks"'"Lettlfirdltoso 4 8451 flattift DEI-SDNY-00 11275 EFTA_00159060 EFTA01254302 Portfolio Holdings (continued) Unrealized Estimated Eslimaled DateAcquired Quantity Unit Cod Cod Basis Market Price Market Value Gaintoss Annual Income Yield EQUITIES 14.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP 915 REPSTG 77100TH Sourly Identifier: C PRK PFD SER K DIY 6.875% PERPETUAL IA ATY COVE. V2967341 PERPETUAL CALL 1Ft/23025.00 Dividend Oplion: Cash 02103/14 79.000.000 25.3090 1.999.418.90 27.8100 2 196.990 00 197.571 10 135,781 25 6.18% CITIGROUP INC DEP SKS REPSTG TE00 Securify Identifier: C PRC PFD SER C DIV 5.8% PERPETUAL MATT CUSIP .172967366 PERPETUAL CALL 04/22/13025.00 Dividend Option: Cash 10128/14 49.033.000 24.0810 1,180,739.16 25.0900 1230,237.97 49,498.81 71,097.85 5.77% 10129/14 150.967.000 24.3130 3.670.430.48 25.0900 3.787.762.03 117.331 55 218.902.15 5.77% Total Covered 200,000.000 4,851,169.64 5:018,000.00 166,830.36 290,000.00 Total 200,000.000 $4,851,169.64 $5:018,000.00 $166,830.36 3290.000.00 Total Preferred Stocks 66,850,588.54 $7,214,990.00 $364,401.46 $425281.25 TOTAL EQUITIES $6,850,588.54 $7,214,990.00 $364,401.46 3425.781.25 Unseated Estimated Estlinded Date Acquired Quantity Unit Cosl Cod Basis Merkel Price Market Value frakillose Annual Income Yield MUTUALFUNDS 4.00% of Portfolio .15 MORGAN FLOATING RATE INCOME RIND SELECT SHARES Open End Fund Dividend Oplion: Reinvest: Capital Gains Option: Reinvest Security Wenlifier ..PHSX CUSIP Mtn 01/22/13 ..3 198216.056 10.0900 2,000,000.00 9.4600 1,875,123.90 -124,876.10 83.337.96 4.14% 02101/13 ' •3 630.057 10.0670 6.342.92 9.4600 5,960.33 -382.59 264.90 4.44% 03101/13 -3 711.578 10.0600 7.158.48 9.4600 6.731.52 -426.96 299.18 4.44% 04/01/13 ' '3 789.547 10.1100 7,982.33 9.4600 7,469.11 51322 331.96 4.44% 05101/13''3 751.550 10.1300 7.613.21 9.4600 7.109.65 503.56 315.98 4.44% 06/03/13'3 757.360 10.0900 7,641.77 9.4600 7.164 63 -477.14 318.42 4.44% 07/01/13'3 668.131 9.9700 6.661.27 9.4600 6.320.53 440.74 280.91 4.44% 08/01/13 . '3 704.609 10.0600 7,088.37 9.4600 6.665.60 -422.77 296.25 4.44% 09103/13''3 709.175 10.0300 7.113.03 9.4600 6.708.80 -404 23 298.17 4.44% 10101/13'.3 712.100 10.0240 7.137.85 9.4600 6.736.47 -401.38 299.40 4.44% Total Noncovered 204,650.163 2,064,739.23 1,935,990.54 -128,748.69 86,043.13 Reinvestments to Date 31.993.336 9.6220 307.842.78 9.4600 302.656.96 4.185.82 13,46126 4.44% Page 4 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL te papOSIS tlk IsItaita O lairieSsiNel nasilsOP•allog ILC•May einifidmilkwill•titeltsvot aI:4 lailef dukuniocetauderas .10.•001.•••01•••••••1 001 P's."`"tbritt0004s452 DB-SDNY-00 11276 EFTA_0015906 I EFTA01254303 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) January 1,2017 - January 31,2017 THE HAZE TRUST Ode Acquired Quantity Unit Coal Cod Me Merkel Price Market Value MUTUAL FUNDS (continued) P MORGAN ROATING RATE INCOME RIND (continued) Total Covered 31,993.336 Total 236,643.499 TOTAL M UTUAL FUNDS 307,842.78 Unrealized Clinton Estimated Edimated Annual Income Yidd 302,656.96 -5,185.82 62,372,682.01 $2,372,582.01 Coot Bees $2,236,647.50 $2,238,647.50 Medal Vim 4133,934.51 4133,934.51 Untested Gelation Accrued Intone 13,451.26 $99,494,39 $99,494.39 &tinged Annual Income TOTAL PORTFOUO HOLDINGS $51,081,283.74 $50,995,662.01 486,621.73 $70,069.44 $827,276.56 • Noncovered under the cost basis rules as defined below. Securities acquired before 20 llor 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.L.110-34 3, the Emergency Economic Stabilization Act of 20 0 8) 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)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 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: • Sock in a corporation acquired on or after January 1, 20 11 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 20 12 • 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, 20 14. 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 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 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. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. 32 Pershing has received updated cost basisinformation, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. o 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL Page 5 of 10 Gin paperloss OW" a •ellIMMISION ISOMPASSIII 11C OA* Mk. • `.• SUM 011010)WASOCOOS CIIPOOlel Plerthliel tatrerba 00141041111174110 Ohs MI 1.112,I CI hsgat'illirretoos4s453 DB-SDNY-0011277 EFTA_00 159062 EFTA01254304 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable. however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ business_continuity.htm I for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing 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. 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. 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, 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. Page 6 of '0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL te Coy Mt Ono/ sidierif *alai es nt ha Oilier ** 6.4 Wit ft."'" -115Thrtit0004s4s4 DB-SDNY-00 11278 EFTA_00159063 EFTA01254305 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 M essages January 1, 2017 - January 31, 2017 THE HAZE T RU ST 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 lob-10(6)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (All amounts shown are on base currency) ()edits ThisPetiaci Debits ThisPetio4 Net lbisPetiol Oetlits Yeato-Date Debits Yeor4o-Date Net Yew-to-Date Securities Securities Bought 9.00 -22,917.49 -22,917.49 0.00 -22,917.49 -22,917.49 Total Securities $0.00 422,917.49 422,917.49 $0.00 422,917.49 422,917.49 Dividends and Interest $93,196.11 $0.00 $93,196.11 $93,196.11 $0.00 $93,196.11 Cash Willtdrawak 0.00 -15,936.00 45,936.00 0.00 -15,936.00 45,936.00 Deposits 3,994,643.83 0.00 3,994,643.83 3,994,643.83 0.00 3,994,643.83 Total Cash $3,994,643.83 415,936.00 $3,978,707.83 $3,994,643.83 415,936.00 $3,978,707.83 Totals 84,087,839.94 438,853.49 $4,048,986.45 $4,087,839.94 438,853.49 $4,048,986.45 Transactions by Type Activity of Process Trade Settlement Transaction Date Date Activity Type Securities Bought and Sold 01117/17 01113117 PURCHASED 01130/17 REINVESTCASH INCOME .PHSX Dosaiption Ciuntily Rico Aarued Interest Amount Currency EURO 15,000.000 1.0648 -15,972.30 USD PM ORGAN ROATING RATEINCOM E FUND SELECT SHARES 733.389 4,945.19 USD 23591).100 SIRS SHRSPURCH. AT $9.47000 RD 0126 PD 0130/4 Total Securities Bought and Sold - U.S. DOUARS Ss papering 0.00 -22,917.49 Page 7 of 10 0.01 "1" Mdelt0 "lin rierillt i tt 01.4toollar CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL •1/4y,. ratritscowskaos tzarins attifi ren ds, DB-SDNY-0011279 00048455 EFTA_00159064 EFTA01254306 Transactions by Type of Activity (continued) PrOCtit; Trade Settlement Traria:Non Date Dale AdivRy Type Description Ouadily Price Awned Interest Amount currency Dividends and Interest 01/23/17 CASH DIVIDEND RECEIVED 200000 SHR$CITIGROUP INC DEP SHSREPSTG 1100 PFDSER 72300 00 USD C PRC C DIV 5.8% PERPETUAL MATT PERPETUAL CALL 84/22/13026.00 RD 0143PD 0123/17 01/30/17 CASH DIVIDEND RECEIVED .P IA ORGAN FLOATING RATE INCOME FUND SELECT SHARES 6.945 19 USD ,PHSX 235911100 SHRS RD 0126 P00/301V 01/31/17 MONEY MARKET FUND DEUTSCHEGOVT CASH 13,750 92 USD INCOME RECEIVED 233993682 Total Dividends and Interest - U.S. DOLLARS Cash W it hdrawals and Deposits 01117/17 OUTGOING NON USD CURRENCY OUTGOING NON USD CURRENCY W IRE EURO CURRENCY WIRE EUR999995 01/26/17 FEDERAL FUNDS RECEIVED HSBC BANK USA, NATIO 20432 USD999997 0.00 93,196.11 -15,000.00 -15.936.00 3,994,643 83 EUR USD USD Total Cash Withdrawals end Deposits EURO TOTAL USD EQUIVALENT U S. DOLLARS Transedions Sammy Told Accrued Interest Told Amount currency Told Awued Meted USD Equivalent Total Amount USDEquivalent 0.00 0.00 0.00 -15,000 00 -15,936.00 3.994.643 83 EUR USD USD EURO 0.00 -15,000.00 EUR U.S. DOLLARS 0.00 4,064,922.45 USD The price and quantity displayed may have been rounded. 0.00 0.00 -15,936.00 4,064,922.45 Client Service Information Yew Client Advisor ENJ JOSHUA SHOSHAN 280 PARK AVE- 3RD FL NEW YORK NY 10017 Contact Information Telephone Number: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 8 of "0 CONFIDENTIAL So proles ''"'""' cas.••••••tic•••••, oindidmilkivolaaand•••ve. lafiKetalef WM It= COVIAWSOIS • AltiMmegi 00048456 DB-SDNY:00 11280 EFTA_00159065 EFTA01254307 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Your Account Information January 1, 2017 - January 31, 2017 THE HAZE TRUST 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 M ethod for all Other Securities: FIRST IN FIRST OUT BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. Important I nfor mat I n and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing ads 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 institutionit 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, w here applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333.All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.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 Ad. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing U.C. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 10 CONFIDENTIAL Pe crenseetlaiatticogrit ....nadamomortsowar res ik INS as "" - Stitrai_00048457 DB-SDNY-0011281 EFTA_00159066 EFTA01254308 Import ant Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding:a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. w itness 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 will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except t0 the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page '0 of '0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL Go paperless 4...... Ind tellat (spa tuaNitt Clielly••••OPribmilliCnkoly astookliletat OM int d km TA ka.2O:11 >aptly %., ZaAle WIC COUNAKITC•6 WY <A4• , UMIritt N"."1" ,151relt0004 ads 5s DB-SDNY-0011282 EFTA_00 159067 EFTA01254309