Deutsche Asset

Deutsche Asset & Wealth Management P.O. Bc. 177e, fialiinxire. MD 21203 Gnaw, sin, PP...leW.1h Magatentm Mleatt ferry, C0IsP Myna* Mk Woo ori a. *Wart Once Valuation at a Glance Account Number: Statement Period: 12/01/2014 - 12/31/2014 This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 3233,025.17 353,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,025.17 233,000.29 Dividends, Interest and Other Income 555 41 12 Total Taxes Withheld C CO '0 5? :nd Acccvit \la ue $233,030.72 $233,030.72 Estimated Annual Income Your Client Advisor: DANIEL SAHA Asset Allocation Prior Year-led Last Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 63.00029 233.025.17 233.03012 100.00% Please review y0ur vocation Account Total 363,000.29 3233,025.17 $233,03012 100.00% YouAmur is 100% invested in USD Cash. Money Funds. and Bank Deposits. I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Secuntes Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Deposit. I nuance Corporation (FDIC). up to 'towable limits. ISAI4 RoL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 1 o19 paperless "^", WW• 2007 OALSAR PIAUI) COMMUNICATIONS Rated excolla.nt 80100620CSF10023 CONFIDENTIAL MalleN01 et a riwilie 'Asa van •••••••••La ••••••ree-A inn. oec SDNY_GM_00049523 DB-SDNY-0012347 EFTA_00160132 EFTA01254572 For Your Information On June 5. 2014, the European Central Bank (the 'ECI3') introduced 'negative interest rates'. This negative interest rate applied to an deposits held at the ECB and other credit institutions. Effective February 1. 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andfor 1042-5 for tax year 2015. 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. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED PROGRM Accounl N um ber: Activity Ending: 12/31/14 11129/14 Opening Balance 233,025.17 233,025.17 12/15114 Dimwit INTEREST CREDITED 5.55 233,030.72 APY 0.03% 12/16114 Deutsche Bank Trsl Co 233,030.72 NO 12/16 S233030.72 12131111 Closing Balance 2233,030.71 Total FDIC Insured Bank Deposits $233,030.72 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 6250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Noa Taxable Interest Income FDIC Insured Bank Deposits 5.55 0.00 41.12 0.00 Total Dividends, Interest, Income and Expenses $5.55 $0.00 $41.12 $0.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 100.00% of Portfolio 233,030.720 233,025.17 233,030.72 3.26 41.12 NM Total FDIC Insured Bank Deposits $233,025.17 $233,030.72 $3.26 $41.12 Page 2 of 9 Account um ber Rated IIIIC•Ilent !MAIL R. I Go paperless "WY Y....S . C. ?OW SOUTI- ERN LLC. OAS0AR RA TOD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL ma WA SD hif_GM_00049524 DB-SDNY-0012348 EFTA_00I60133 EFTA01254573 Deutsche Asset & Wealth Management PO. Boa 1776. Baltimore. MD 21203 Portfolio Holdings (continued) Description Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits Quantity Gnaw e Banc Pr nale YNY I, Magagentm Pewees Core WOK.. Cettsche Sank Settanti Novo etn. aY 10114 Statement Period: 12/0112814 - 12131/2014 Opening Closing Awued Income 30-Day Balance Balance Income This Year Yield $233,025.17 $233,030.72 Market Vain $3.26 $41.12 Awued Estimated Interest Annual Income Total Portfolio Holdings $233,030.72 M essa es Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). $0.00 $41.12 For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpsiNnwv.dws-investments.cornrEN/products/money-market4undslields.ysp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at 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. Please note the following information for Pershing's 2014 IRS Forms 1099 (B. DIV. INT. OlD and MISC): Your form 1099 will be deWered as early as possible, beginning January 31, 2015. By February 17. you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than Mara 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.combusiness_contmuity. You may also request a printed copy of this information by calling (888)367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer inflates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the Page 3 of 9 Account hum ber Rated (*collard .1% )l Go paperless Ma r U ^ C• 2007 S0UTFERA CtI3 A. , ?zeal:4v o COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFID ENTIAL :tan etsreal•rg,=••••• " onftwou4 awl*. noRa Prow ,,er SDNY_GM_00049525 DB-SDNY-0012349 EFTA_00I 60 I 34 EFTA01254574 M essa es (continued) number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caled security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Client Account Par Value Number of Trading Unita ABC-123234 $100,000 4 DEF-325465 $76000 3 EOR567433 $150,000 6 EGT-876574 $50,000 2 EGT-888345 $25,000 1 FRT-435234 $25,000 1 FRI-658797 $75,000 3 u In brief, the donation process Solves the foloving steps: ' The number of trading units held in each account is identified. ' A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). ' A random number is generated that wil result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the alocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. • Men a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing caries and clears those accounts). No allocation will be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. Men a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. Page4 of 9 Rated [...Mont F,C1006219CSF300:.: Account hum leer Go parerless tYlIA0 am. .c:orgicrR#AT CD C200:47MUNICAT IONS SO IF ERN ONO C F CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) Ste Illamt SDNY_GA4_00049528 DB-SDNY-0012350 EFTA_00160135 EFTA01254575 Deutsche Asset & Wealth Management P.O. Dos 1776, Etahimare. MD 21203 M essages (continued) bv,uae boa none WAIN Mamientm Await CommeCTAT MANN NM Settaom lem ven.. IN ION Statement Period: 12/0112014 - 12/3112014 • If the partial call is made at a price above the current market price as captured in Pershingils price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Penhing's price reporting system, Pershing WI generally categorize that call as one that is unfavorable to holders of the security. • Clients have the right to withdraw uncalled. fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. UCkents also have the right to withdraw excess margin securities. provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. u Activity Summary RI amounts shown are in base uarency) Credits This Period Year.to.Date Debits This Period Year.to-Date Dividends and Interest $5.55 $41.12 DIvIdendsand Interest $0.00 $0.00 TaxesWithheld $0.00 $0.00 Takes Withheld $0.00 -$10.69 Cash Cash Deposrs 000 170000.00 Deposits 0 00 0 00 Total Cash $0.00 1170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $10.69 FDIC Insured Bank Deposits .55.55 4170,041.12 Total Credits $5.55 5170,051.81 Total Debits 45.55 .5170,051.81 Transactions by Type of Activity Noma/ Settlement Date Activity Type Dividendsami Interest 12115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 5.55 DSO DEPOSITS INTEREST Description Deantity Price Acased littered Amount Gauen, Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5.55 Page 5 of 9 Account Number Riled Cmollent EMAIT ROLL tray Yam 1Ato 2007 $WF ERN CAC I C.4,43 Pa,Perless OAUTAA RATCO COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 60) NIFIDENTIAL "auma „v. " on.. pas, ,...- SDNY_GM_00049527 DB-SDNY-00 12351 EFTA_00160136 EFTA01254576 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiptioa Cleantity Nice Accrued Interest Amount Currency FDIC Insured Bank Deposits 12115114 FDIC INSURED BANK D EPOSITS IA TEREST SID IkSt, RED DEPOSITS INTEREST REINVESTED .5 55 USD Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 435 Total Value of Transactions The Nice and quantity displayed may have been rounded. 0.00 0.00 USD Client Service Information Your Client Advisor: DAN DANIEL SABBA NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST lk FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (COD): No Am olive premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Ratable 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 Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless othenvise noted. have been obtained from eidependent 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/As and are omitted hom the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at arty time, and may be affected by current and future Bennie, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position Page 6 of 9 „ten ROtt Account Number. Go paperless lt d,•1:17t:::.2OO7 SIDLTHERZON F I DArl\MAr OAXxcilr:NRAcrOCOMMUNICATIOIIIS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00049528 DB-SDNY-00 12352 EFTA_00160137 EFTA01254577 Deutsche Asset & Wealth Management PO. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) Drvisrellant PrmaieWeith maatenan Prat, tonne Owp Cestuhe •M Mixon.% at. Ms,* Pet 10114 Statement Period:12/0112014 - 12/31/2114 Estimated Annual Figures (continued) 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 vriwv.pershing.corrsbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. wcurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation fri 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 resue 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 atm operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit, vnwe .pershing.coml strength _stability .html • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (nclude%) unauthorized trading) promptly, but no alter 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 AcL • 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)1134330. Errors and Orrissions 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 lied. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very hinted. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. Pagel of9 Account Humber Rated (*.Mont e0100626CSF300_• Go paperless :ran etsreasa tia Orstlan .MISINAlat UtlAtl 'KUL Inl ,••••LA a...et/W. Wilt 'MIK SO UTI- ERN CFO ' F I DAENTI breatu'c2cmilmcAT* AL 'I' Ns SOW_GM 00049529 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0012353 EFTA_00160138 EFTA01254578 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The arbitrators do not have to explain the reason(s) for their award. unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wig typically include a minorAy of arbitrators who were or are affiliated with the securnes industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is inefigibee for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page lel 9 Account Aum tier Rated excollont MAO putt GO paperless Y."' Sk" 2007 SO VI - ERN Cat, F I D^ENTIAL °NAAR RATCD COMMUNICATIONS fItC711(NOI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) M a tt. etwerCalLA:e "" O••• :Moe 1•0•••• SDW_GM_00049530 DB-SDNY-0012354 EFTA_00160139 EFTA01254579 TERMS AND CONDIDONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE SUBJECT TO THE CONSTITUTION, RULES. REGULATIONS. CUSTOMS, USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACLITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FNANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATION& • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. F SO. TIE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR 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 TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTREUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHNG LLC ('PERSHNG') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FCR YOU D4 ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. RV IT MOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR AU. OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED 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 LIABILITIES 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, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES, WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE 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 WWVY.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: VYWW.PERSHING.COMIBUSINESS_CONTINURY.HTML • THE STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NM- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS ANO 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 SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR 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 DUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERNS AND CCAOGIONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFYPERS-ENG IMMEDIATELY IN WRITING BY CERTIFIED MPS TOONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTN LEGAL DEPT Acounl Mum ber Go SO UTFERA Cht, N LLC. F I Dp\rrIA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) paperless Page 9 of 9 Riled excellent • tray Year Sent* 2007 :ran .twee RATED COMMUNICATIONS • OASOAB rxtre true, •••••-•44c, CATIONS SDNY_GM_00049531 DB-SONY-0012366 EFTA_00160140 EFTA01254580 Orals(' e Ban, PinwaleW.1h Maarnmi M le NU I ore cm C0IsP Chischt Sank Stooneint Year* Once PA Oa I771.0elairois1/02i203 Valuation at a Glance Account Num ber: Statement Period:11/01/2014 - 11/30/2014 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 033,020.88 03,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,020.88 233,000.29 Dividends, Interest and Other Income 613 35 57 Tots Taxes Withheld •A( '0 5? nchng Account Value $233,025.17 $233,025.17 Estim sled Annual Income Your Client Advisor: DANIEL SAWA Asset Allocation Prior Year•&d Last Period This Period % Mloation I.,SD Cash, Money Funds, and Bank Deceits' 63.00029 233.020.88 233.025.17 100.00% Please review your allocation IICO3Unt Total 03,000.29 3233,020.88 3233,02517 100.00% Your Account is WO% invested in USD Cash. Money Funds. and Bank Deposits. I The Bank Deposes In your account are FDIC Insured bank deposes. FDIC insured bank deposits are not securities and are not covered by the Secureos Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Depose Insurance Corporaton (FDIC). up to attest* limits. 110A14 ROL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 1 o16 Raided (koala% A0111,380CSF10016 Go paperless Ylre• Sento 2007 OMBASt RAW" COMMUNICATIONS CONFIDENTIAL [Mal IONOI •••••••%in ••••••tron. Pent /MC SDNY_Gat00049532 DB-SDNY-0012356 EFTA_OOI D0I 4 I EFTA01254581 FDIC Insured Bank Deposits Date Activity Type Dewi Aunt Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum ber: Activity Ending. 11128114 11101114 Opening Balance 233,020.88 233,020.88 11114114 Dermal INTEREST CREDITED 6.13 233,027.01 APY D03% 11117114 Withdrawal WITHDRAWAL -1.84 233,025.17 Deutsche Bank Trt4 CO NO 11117 5233025.17 11120114 Closing Balance $233,025.17 Total FDIC Insured Bank Deposits $233,025.17 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Corrent Period Yeahlo-Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 8.13 0.00 35.57 0.00 Total Dividends, Interest, Income and Expenses $11.13 $0.00 $35.57 $0.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,025.170 233,020.88 233,026.11 2.66 36.67 WA Total FDIC Insured Bank Deposits $233,020.88 $233,025.11 22.66 $35.57 Total Cash, Money Funds, and Bank Deposits $233,020.88 $233,025.17 Market Value $2.88 Accrued Interest $35.57 Ealwated Aimee] Income Total Portfolio Holdings 5233,025.17 $0.00 $35.57 Page2of8 Account h umber: Rated ILKcylkont 1)10.18,1tOla Go paperless er PATCC7C2OO:47MNICATIONS SOUTI- ERN C.OLI LLC. F I D^ENTIAL Olen WW1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) SDNY_GM_00049533 DB-SDNY-00 12357 EFTA 00160142 EFTA01254582 Draisre n, Preale Wealth Maagentni Wiens Cermet ComP Ceetsche Sank Setionei nt. Meeyen Once PC. B4. 17/6, id% mom MO 272..n Statement Period: 11/01/2014 - 11/301201/ 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. Federal Deposit Insurance Corporation (FIDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporabon.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vnwrdws-investments.conVEN/productsimoney-market-hinds-yields.jsp. Please note that all money market funds hsted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Activity Summary (Al arnounts shorm are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $6.13 $35.57 Olvidendsand Interest $0.00 $0.00 TaxesWithheld $0.00 $0.00 Taxes Withheld -11.84 -110.69 Cash Cash Deposits 0 00 170 000 00 Deposits 0 00 0 03 Total Cash $0.00 $170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $1.84 110.69 FDIC Insured Bank Deposits -$6.13 -$170,035.57 Total Credits $7.97 $170,046.26 Total Debits -$7.97 .$170,046.26 Transactions by Type of Activity Process/ %ttlement Date Activity Type Description Dividends and Interest 11/14/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 6.13 USO DEPOSITS INTEREST Quantity Price Awued littered Amaral CUrrency Total Dividends and Interest • UNITED STATES DOLLAR t/anit a I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6; THERN riFl DENTIAL 0.00 0.13 Page 3 of 6 Account Number. Go paperless Rated Excellent Lvery Yee* Slat. 2007 041.0AR RATED COMMLINICATIONS F)02111.1NCI SDNY_GM_00049634 DB-SDNY-00 12358 EFTA_00160I43 EFTA01254583 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaiptioa Taxes Withheld 11/14/14 Oriantity Mee Accrued Interest Amorist Cirrency S ENT ALIEN TM NRA TAX WITFFELD ON INSURED DEPOSITSINTEREST •1.84 I./S0 CREDITED Total Taxes Withheld • UNITED STATES DOLLAR 0.00 -1.84 FDIC Insured Sank Deposits 11/14/11 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .6.13 LSO DEPOSITS INTEREST N TD 11/17114 FDIC INSURED BANN INSURED DEPOSITS PROGRAM 1.84 6S0 WITHDRAWAL LS0999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -1.29 Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Inform ation 0.00 0.00 USD Your Client Advisor: DAN f iANIEL SABBA NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method Ica Stocks in a Dividend Reinven eel Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OlDi: No Am oraze premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account cam • unications for electronic delivery. To register and turn oil paper communications: log in to your account or contact your Client Advisor for m ore information. Paged of 5 Account Number Riled Excellent ()NAN MAL CPO paperless L very Vas Siva 2007 FJCL1NfJ~L PLC, CIA10AR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN F I DEl\ITIAL FXCNItINCIf 00••uktz i.•••: .nl••••jt•Cz ..•••.m .*r SDW_GM_00049535 DB-SDNY-00123.59 EFTA_00160144 EFTA01254584 01.114.. Banc PonleMotain Ma.zienan Mine% CO•nee G,C,P CetiSIN Ilara secv vg. Now von Mho PO Elm ins. Uwe. MO 21N3 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the dose of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A1 and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (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 wwwpershing.corn/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others n accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate 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 belled at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) orders for the purchase and sale of securities and other property and (A) 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 sukabity 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 (SIPCS). 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 linits. For more detailed information please visit wiwepershing.ccrnIstrength_stability.html. • This statement wilt 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 Page 5 of 6 Statement Period: 11/0112014 - 11/3012014 Account Kum her Rated [...mat A011lBS0CSF300:, :CU et we vconamtresin Non art MLA stOlt Go paperiess ="*;;;;;;;TISZMUNICATIONS esi.e.• ••••••••••••ta, Wye sire SOU " ER4 Cht5 F I DAENTIAC-- "a"'"a SDNY_GM_00049538 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DEI-SDNY-0012360 EFTA_OO16O145 EFTA01254585 Important Information and Disclosures (continued) The Role of Pershing (continued) your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed 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 fight to a trial by jury, except as provided by the roles of the arbitration forum in which a claim is fled. • Arbitration awards are generaly floral and binding; a party's abibty to have a court reverse or modify an arbitration award is very Wilted. • 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 2O days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page 6 GIS Account hum ber RiteiW[licoMM paperless ti er Yo Wa 207 SO II- ERN cr, LLC. ONAPARATEDCOMMUNKATK*6 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(8) NF I D-ENTIAL "a"nn :tan etwertatt 0=••••n " IOW WI Intmou4 ••••••••••••• vow ..,- SDNY_GM_00049537 DB-SDNY-0012361 EFTA_OO16O146 EFTA01254586 PA ea 17* Wow+ WO 2,2C0 blase,. Sant PrmaieWeath Maatentm Maesals Contact Comp Cestuht Sank Settonei it, Sfive 4rpMoo Valuation at a Glance Account Number: Statement Period: 10/01/2014 - 10/31/2014 This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 1233,016.86 03,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Account Value 233,016.0 233,000.29 Dividends, Interest and Other Income 575 29 44 Tots Taxes Withheld 73 -885 :nd rg AcccL.nt ue $233,020.88 $233.020.88 Estimated Annual Income $29 44 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-fad Last Period This Period %Allocadoe USD Cash, Money Funds, and Bank Deposits' 63.00029 233.016.86 233.020 18 100.00% Please renew your allocation Account Total 963,000.29 9233,016.16 1233,020.88 100.00% Youkooky is 100% invested m USD Cash. Money Funds. and Bank Deposits. I The Bank Deposes in your account ale FDIC insured bank deposes. FDIC insured bank deposits are not securities and are not covered by the Searites Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Deposit Insurance Corporaton (FOIC). up to allowable knits, 1.20A0 Pell CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page I o16 (..„....00 Rated euendont A0097939CSF30017 Go paperless Va. Since 2007 et a rroloastarsasiaLt.ers•Zannottlamaim. OAl0AR RATCD COMMUNICATIONS etat. wive_ . 00 C ONFIDAMTIAL rxere NO SDNY_GA4_000495313 DB-SDNY-0012362 EFTA_00160147 EFTA01254587 FDIC Insured Bank Deposits Date Activity Type Descri Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum ber: Activity Ending. 10131114 10101/14 Opening Balance 233.01686 233,016.86 10115114 Deposit INTEREST CREDITED 5.75 233,022.61 APY 0.03% 10116114 Withdrawal WITHDRAWAL 4.73 233,020.88 Deutsche Bank flat Co NO 10116 5233020.88 10131114 Closing Balance $233,020.88 Total FDIC Insured Bank Deposits $233,020.88 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary DJ trent Period Yeahlo-Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 5.75 0.00 29.44 0.00 Total Dividends, Interest, Income and Expenses 55.75 $0.00 $29.44 $0.00 Portfolio Holdings Desaiptiom Quantity Opening Balance Posing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.0o% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,020.880 233,016.86 233,020.88 3.45 29.44 NIA Total FDIC Insured Bank Deposits $233,016.86 $233,020.88 $3.45 $29.44 Total Cash, Money Funds, and Bank Deposits $233,016.86 $233,020.88 Market Value $3.45 Ached Interes1 $29.44 &Sated *Emil Income Total Portfolio Holdings $233,020.88 $0.08 $29.44 LALAK ROLL SO F N LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) UTFERN CONFI DAENTIAL Page 2 o15 AccountNumber: Go paperless Rated Ibicellent Lvery Yea, Since 2007 OALSAA RATED COMMUNICATIONS — - oarasetweetraTilsiga Lt‘e ' PeeGartrw. . Met lesillso ••••••••LL0 ••••••••••••• •••*,R —v- SDNY_GM_00049539 DB-SDNY-00 12363 EFTA_00160148 EFTA01254588 0...awe San, P,,nie Wet, Maatentm Peseetts Coreute(00.2 Cavisthe Sank Setwari Illak bet Ono, PO 8a. Int Barra* MD2IN3 Statement Period: 10/0112014 • 10/3112014 Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Awnv.thvs•investments.comEN/products/money•market-fundsilelds.jsp. Please note that all money market funds hsted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Activity Summary RI amounts shown are in base currency) Creeds This Period Year-to-Date Debits This Period Yeapto•Date Dividends and Interest $5.75 $29.44 Olvidendsand Interest 20.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$1.73 -$8.85 Cash Cash Deposits 000 170000.00 Deposits 0 00 0 00 Total Cash $0.00 5170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $I.73 $8.85 FDIC Insured Bank Deposits -$5.75 -$170,019.44 Total Credits $7.48 $170,038.29 Total Debits .$7.18 .$170,038.29 Transactions by Type of Activity Process/ &Niemen! Date Activity Type Description DIvidendeand Interest 10115114 FDIC INSURED BANK IASLRED DEPOSITS INTEREST CREDITED 5.75 LSD D EPOSITS IA TEREST Quantity Price Accrued liters Amorist Currency Total Dividends and Interest • UNITED STATES DOLLAR VINO ROL SOUTF ERN CO LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NF I D^ENTIAL 0.00 616 Page 3 of 8 Account hum ber Go paperless ROAN. IsKollent I. very Yea. Since 2007 OALBAA RATC0 COMMUNICATIONS EXCII INC ono.. ,..,- SDNY_GM_00049540 DB-SDNY-00 12364 EFTA_00160149 EFTA01254589 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiptioa Cioantity Nice Amend Inters Amorist Currency Taxes Withheld 10/15/14 T ALIEN TM NRA TAX WITHHELD ON INSURED DEPOSITSINTEREST •1.73 USD Mirk CREDITED Total Taxes Withheld • UNITED STATES DOLLAR 0.00 .1.73 FDIC Inwred Bank Deposits 10115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .S.75 USD DEPOSITS INTEREST IN TD 10/16/14 FDIC INSURED BANN INSURED DEPOSITS PROGRAM 1.73 6S0 WITHDRAWAL USD999997 Total FDIC insured Bank Deposits - UNITED STATES DOLLAR 0.00 -4.02 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TAN $1,/ ITh Telephone Number: NEW YORK. NY 10!54 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as otiginal issue discount (OlDi: No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account cam • unications for electronic delivery. To register and him off paper communications. log in to your account or contact your °lent Advisor for m ore information. Page 4 of 6 Account Number. Rated Cecellent Veen! Rol Go paperless trine Yeas Since 2007 Onli3AR MUD COMUN IO M ICATNS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN CO RI FIDAnsrriAL )02111.0407 :tan etwererasireseis.. nottlimeni essireun airframe neer ....- SONY_GM_00049541 DB-SONY-0012365 EFTA_00160150 EFTA01254590 Important Information and Disclosures lisc le Sant Prmile Wok Pi 143-4.0en00 Myatt Carrie (00.11. Dtsisthe Sank know% vg, Nes bet Olio, Statement Period: 10/0112014 - 10131/2014 Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A1 and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be 'viable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to mwtpershing.comtusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars 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. 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 ovm 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 sukabity 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 (SIPC1). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.comrstrength_stability.html. • 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 Page 5 of 6 Account lumber Go paperless Rated (—Ism 'ear Seat* 2007 r41=1:47.4.1Lt DSB- Dec.1" 3[3: 9AY:701429642 SOUTHERN co CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) F I DA tan ova 366 EFTA_0016015. EFTA01254591 Important Information and Disclosures (continued) The Role of Pershing (continued) your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, inckiding 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)013-3330. 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 lied. • Arbitration awards are generaly final and binding; a party's abibty to have a court reverse or modify an arbitration award is very larded. • 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 fix arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page 6 o16 Account humber t r Rated Excellent 011A11 ROLL paperless :±r eicrit=a0; 41. 4icAnows SO U TI- ERN CO Ni 4x4m4Ner CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I DA.ENTIAL Maras Ms= alsi" r " Ogerotrin . OW/ SOW* enr..a.4 menial roma Pam - SDNY_GM_00049543 DB-SDNY-00 12367 EFTA_OOINN52 EFTA01254592 0...awe earn 0,..0eWeithitvatenmi Weans I oreare tow2 Cesische I Seitanti Mc. von Once P0. am 177$. &ArmsMO21203 Valuation at a Glance Account Number: Statement Period:09/0112014 -09/30/2014 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 9233,012.98 383,000.29 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 000 170,001100 ST THOMAS VI 00802 Adjusted Previous Account Value 233,012.98 233,000.29 Dividends, Interest and Other Income 5.55 23.69 Tots Taxes Withheld .1 67 -712 ndrng Account Value $233,016.86 $233,016.86 Estim aled Annual Income Your Client Advisor: TAW& SMITH Asset Allocation Prior Year-led Last Period This Period % AlloatIon USD Cash. Money Funds, and Bank Deposits' 63.00029 233.012.98 233.016.88 100.00% Please review your al locatok Acoaunt Total 363,000.29 3233,012.98 $233,016.81 100.00% YouAppoint is 100% invested in USD Casn. Money Funds. and Bank Deposes. I The Bank Deposits In your account are FDIC Insured bank deposits. FDIC insured bank deposits are not securites and are not covered by the Securities Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Depose Issuance Corporabon (FDIC). up to stowable limes. URA° ROIL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 1 oil A0101300CSF20023 Go paperless sr „ors Riled ILuellent L very Yoe, 5400, 2007 OALSAR RATIO COMMUNICATIOh6 CONFID=TAL "Cri 1Na et a ri.1.0. el•Zralos'a:0::•• • •••• • 1604.0 SDNn'_GM_00049544 DB-SDNY-0012368 EFTA_00160153 EFTA01254593 FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account K um ber: Activity Ending. 09130114 08130/14 Opening Dianne 233,012.98 233,012.98 09115114 Deposit INTEREST CREDITED 5.55 233,018.53 APY 0.03% 09/16/14 Withdrawal WITHDRAWAL -1.67 233,016.86 Deutsche Bank NI Co NO 09116 S233016.86 09130114 Closing Balance $233,011.66 Total FDIC Insured Bank Deposits $233,016.86 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary rrent Period Yeahlo•Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 5.55 0.00 23.69 0.00 Total Dhildends, Interest, Income and Expenses WU $0.00 $23.69 $0.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Acaved Income Income Ibis Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233.016.860 233,012.9$ 233,016.66 2.8? 23.69 NIA Total FDIC Insured Bank Deposits $233,012.98 $233,016.86 $2.8? $23.69 Total Cash, Money Funds, and Bank Deposits $233,012.98 $233,016.96 Markel Value $2.67 Mused lateral $23.69 &deleted Annual Income Total Portfolio Holdings $233,016.56 $0.00 $23.69 Page 2 ol T Account hum ber Riled emollont MOAB ROLL paperless "'NY Y..' Um* 2007 SO UTI- ERN CNCLI LLC. OAL AAA RATCD COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I DAERTIAL EXISII W, SDNY_GM_00049545 DB-SDNY-0012369 EFTA_00160154 EFTA01254594 .1 PO Ba 1776. Bat omee pt011an Gnaw e Pant prone Weal, Maatenmi Wiens CoreareComP Cesisthe On Saloon .4. *rebel Once Statement Period: 09/0112016 -0913012014 M essa es Pursuant to the Securities Exchange Ad of 1934, Pershing LLC (Pershing) a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershils June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of 51.848 bilbon was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 bdfion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2014. Pershing's net capital of $1.88 billion was 12.74% of aggregate debit balances and exceeded the minimum requirement by $1.59 billion. A copy of the June 39 2014, Statement of Financial Condition is available at pershing.comistatement_of_financial_condition.html. You may also request a free, printed copy by calling (888) 860-8510 or (201) 4134290. option #5. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://www.dws-investments.com/EN/products/money-market-lunds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at $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. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Weakh Management brand and future communications WI reflect this change. Your account wdl continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc.. a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Su m m a ry (A I I ampules shoe» are in base cuffency) Credits This Period Year-to-Date Debits Dividends and Interest WU $23.69 Dividends and Interest TaxesWithheld $0.00 $0.00 Taxes Withheld Cash Cash Deposits 0 00 170,000.00 Deposits Total Cash $0.00 $170,000.00 Total Cash FDIC Insured Bank Deposits KIP $7.12 FDIC Insured Bank Deposits Total Credits $7.22 $170,030.81 Total Debits Account Number: 11:)L Go paperless TI-ERA LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) O N F I DAENTIAL This Period $0.00 -$1.67 Year-to-Date $0.00 -$7.12 0.00 0.00 $0.00 $0.00 -UM -$170,023.89 -$7.22 -5170,030.131 Page 3 of 7 Rated evolient tray Yoe. since 2007 OALOAR PATO:. COMMUNICATIONS 01(71 11,01 etwerratt 2•=•••r fi t'/ •••••••LA memo. roma vow ..,- SDNY_GM_00049546 DB-SDNY-00 12370 EFTA_00160155 EFTA01254595 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioa Otantity Price Atoned Riling Mont Omen, Dividends and Interest 09/15/14 FDIC INSURED BANK DEPOSITSINTEREST ail in SLRED DEPOSITS INTEREST CI:EDITED 5.55 USD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5.56 Taxes Withheld 09115/14 NON-RESIDENT ALIEN TAX NRA TAX WITHHELD ON INSURED DEPOSITS INTEREST 467 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -1.67 FDIC Insured Bank Deposits 09/15114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .5.55 USD DEPOSITS INTEREST 11,1D 09/16/11 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1.67 USD WITHDRAWAL US0999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 -318 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor TOS NEW YORK NY 10151 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: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account comm unicalionskii electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Page 4 of 7 Account Number Riled excellmnit 08AB R:11. I Go paperless 44 3.... iv-vv....is,- 2007 °ALMA PA T CO COMMUNICATIONS :raw et warratt 0.7...ts. .. Orin Ida* ihnows•LA •••••••••aw. Wilt ..0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 693 (er F ERN co NF IDAnturiAue rXerliaNOr SDW_GA4_00049547 DB-SDNY-0012371 EFTA_00160156 EFTA01254596 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked 'WA— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield RAY) 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. Slice 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 mwr.pershing.cordbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not tufty paid for in your margin account may be lent by Pershing to itself or others in accordance wilt, the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate WI not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) 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 suitabiity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCs). 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 vmve.pershing.comlstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt Page 5 off DrAsoe &m PootieWealh MA•Agenan Mitatts Corry', C, C,P Dtascht Sant Uteri me Yes bet Olio, A Statement Period: 09/01/2014 • 0913012014 Account Number Rated [...Mat OKA° Itt.al Go paperless ae t 'ea r W•C• 2007 0A110 PATO) COMMUNICATIONS SOUTHERN F I DrmTTAc--0 --0t- CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00049548 DB-SDNY-0012372 EFTA_00160157 EFTA01254597 Important Information and Disclosures (continued) The Role of Pershing (continued) of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your tights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n 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 generaly final and balding; a pan's ability to have a court reverse or modify an arbitration award is very hrrited. • 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 loran 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 govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201) 413-3330. Page 6 *IT Account A umber: Riled [...Hat DilAit RCM Go paperless t "v ., "...k . C. 2007 M a rla. etwerreat teen" Olottli••••• SO VI- ERN CO LLC. NF I DAENTIAL OA1SAR RATED COMMUNICATIONS •••••••••La es,....... 1/4 mn. ....° [Mal IIINCS SDNY_GM_00049549 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012373 EFTA_00160158 EFTA01254598 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF 50. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME OUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FILINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR 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 CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHINGS OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVVW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWWPERSHING.COMMUSiNESS_CONTINUHY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N680 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF THE ABOW TERMS AND COMMONS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PF-FULENG &SEDATELY IN WRITING BY CERTIFIED VAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ 0TJe0. ATTtt LEGAL CENT Page? of 7 (MAO ROIL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN CON F I DninAL Accounl humber Rated Excellent Go paperless Lvery Yeas Sisce 2007 OAH3AR RATED COMMUNICATIONS a/train SDNY_GM_00049550 DB-SDNY-00 12374 EFTA_00160159 EFTA01254599 0res° e Bare Pewee Woe Maearnmil levant ferry* Calse Ceasche See Setteeel ere Verb Once PA Oa 1776. eitronjDMW Valuation at a Glance Account Number: Statement Period: 08/0112014 - 08/31/2014 This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 3233,008.56 $63,000.29 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 000 170.000 00 ST THOMAS VI 00802 Adjusted Previous Account Value 233,008.56 233,000.29 Dividends, Interest and Other Income 632 18 14 Tots' Taxes Withheld 490 .545 nding Account Value $233,012.98 $233.012.98 518 14 Your Client Advisor: TAM SMITH Asset Allocation Prior Year•EAd Last Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 63.00029 233.008.56 233.012.98 100.00% Please review your allocation Account Total 163,000.29 3233,008.56 1233,01211 10010% Your Account is 100% invested in USD Casn. Money Funds. and Bank Deposits. I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured bank deposits are not secunt es and are not covered by the Securees Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Depose I nuance CorpOraton (FDIC). up to allowable limits. OBA0 ROLL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page I o16 Rated Year A009733SCSF30015 Go paperless Leery Year We 2OO7 MAMMA RATED COMMUNICATIONS CON F I DA.ENTIAL et a Telme eller erarael l4et =nee" now SDW_GM_00049551 DB-SDNY-0012375 EFTA_00160160 EFTA01254600 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber: Activity Ending. 08129114 08101114 Opening Balance 233.008.68 233,008.58 08115114 Deposit IN TBREST CREDITED 6.32 233,014.88 APY 0.03% 08118114 Withdrawal WITHDRAWAL -1.90 233,012.98 Deutsche Bank NI Co NO 08118 5233012,98 08(29/14 Closing Balance $233,012.98 Total FDIC Insured Bank Deposits $233,012.98 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are inured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Taxable Noe Taxable Taxable Noe Taxable Interest Income FDIC Insured Bank Deposits 8.32 0.00 18.14 0.00 Total Dividends, Interest, Income and Expenses $1.32 $0.00 $11.14 $0.00 ell rrent Period Year.to.Oate Portfolio Holdings Description Quantity Opening Balance Posing Balance Actrond Income Income This Year 30.0ay Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,012.980 233,008.66 233,012.98 2.87 16.14 NM Total FDIC Insured Bank Deposits $233,008.66 $233,012.98 $2.87 $16.14 Total Cash, Money Funds, and Bank Deposits $233,006.51 $233,012.96 Markel Value $2.87 Accrued Interest $um Estimated Annual Income Total Portfolio Holdings $233,012.98 $0.00 $16.14 Page 2 o18 Account t\ um bet: IINA It t, a I TI- ERN co paperless SO U LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDAnTIAL Rated excellent tray Year Since 2007 0.410AR RATCD COMMUNICATIONS f):711/NCI ...,- SDNY_GM_00049552 DB-SDNY-00 12376 EFTA_00160161 EFTA01254601 OrdisOe Ban, Ponlevften104.2gental Myatt% COonge WP P- Sant 14(teri Nes *A Mar PO &.• 1PPS. eat Pee MD 21P.13 .4 Statement Period: 08/0112014 • 08/3112014 M essages Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPCI. For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsiNnwrdws-investments.com/EN/products/money-market-fundsorields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing In a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications wit reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (All amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest 86.32 $18.14 Dividends and Interest $0.00 $0.00 Taxes Withheld 80.00 $0.00 Taxes Withheld -S1.90 -S5A5 Cash Cash Deposits 0 30 170.000.00 Deposits 0 30 0 33 Total Cash $0.00 6110,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $1.90 $5.45 FDIC Insured Bank Deposits -$6.32 -$170,018.14 Total Credits 98.22 9170,023.59 Total Debits -$8.22 -$170,023.59 Page 3 of& Account h um tier Rated [...Hoot MIMI Mall GO paperless Va. 2007 S0UTI-FRk mac. OA.O3Aft RA TCD COMMUNICATIONS ExamINCII CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 605) N F I DArWrIAL et Neettlit7•01":""Ovistein essonn aviseema. Inn see SDNY_GM_00049553 DB-SDNY-0012377 EFTA_00160162 EFTA01254602 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioe Chianti Price Atoned Wired Mont Corm, Dividends and Interest 08/15114 FDIC INSURED BANK DEPOSITSINTEREST in St RED DEPOSITS INTEREST CREDITED 6.32 USD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6.32 Taxes Withheld 08/15/14 NO N-RESIOEN T ALIEN TAX NRA TAX WITI-FELD ON INSURED DEPOSITS INTEREST •1,90 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -1.90 FDIC Insured Bank Deposits 08/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -632 DSO DEPOSITS INTEREST IN T D 08118114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1.90 USD WITHDRAWAL U93999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 .4.42 Total Value of Transactions o.00 0.0e USD The puce and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TA IA MTI- NEW YORK NY 10154 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: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account nom m unications lot electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Account hum ber ""AR ROIL Go paperless SOuTh ERN CNO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NiN F I DAENTIAL Pagel DIE Rated Excellent Exley V... Since 2007 OAXIIAR RATED COMMUNICATIONS EXCSIIENCE etas darawatt: term" dm seed en e .. • LA rem. meow -,- SDNY_GM_00049554 DB-SDNY-00 12378 EFTA_00160163 EFTA01254603 PO em 1776. 8•Ie nee MO 2I2 Important Information and Disclosures DrdisOe gam Ponle Wei11. Ma,Agental Mitatit CO•neet, C,P Dtatthe Sant SeiterimC Nesbit Mar A Statement Period: 0 8101/2 01 4 • 0 8131/2 014 Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked —N/As and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of Mute results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to vAvw.pershing.corntbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others n accordance with the terms cutbned in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal to your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wifi not exceed the highest interbank conversion rate identified from customary banking sources on the emersion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (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 resuit of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabiity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquines regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit: wiwrpershing.corn/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt Page 5 of 6 Account Number Go paperless Riled I very Year Unto 2007 SOUTHERN CNO LIG. NFID gt.lor t: PATCD COMMUNICATPDhe CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) et a rit:In etreee Van eat '" Ontrin " Mott Ida* &new.. in menial—Mat =IC SDW_C4.4_00049555 DB-SDNY-0012379 EFTA_00160164 EFTA01254604 Important Information and Disclosures (continued) The Role of Pershing (continued) of this statement. Please be advised that any oral communication should be re-confined in writing to further protect your rights, including your fights 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 n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is fled. • Arbitration awards are generaly final and beiding; a pan'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 loran 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 vino has not opted out of the class with respect to any claims encompassed by the putative class action until; (l)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. Pershitg's contact information is as follows: Pershing US; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Pap of I Account h umber: Rated Exc•lia A l DILAIL Go paperless Every Year* 2007 et a rlareletrarCaM a rtt te.:••••• •• 501111- ERN CZ, Lit MAUMEE RATED COMMUNICATIONS •••••••••La avare•IS•Peille CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) NJ F I Dri\riTAL "":1"""7 SDW_GA4_00049556 DB-SDNY-0012380 EFTA_00160165 EFTA01254605 PA Oa tin itervercee D 2r203 DrAsoe gam, Pony. Wealh MA•Agenan Matt Coorne WMp Dtaut. Sant Sewn. Nes *A Olio, A Valuation at a Glance Account Number: Statement Period: 07/01/2014 -0713112014 This Period Yea r.to.Dale SOUTHERN FINANCIAL LLC Beginning Account Value $63,006.69 $63,000.29 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 170,000.00 170,000.00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,006.89 233.000.29 Dividends, Interest and Other Income 2.39 11.82 Tots Taxes Withheld -0.72 455 :nd rg Acccvit \la ue 5233 008 56 5233 008 56 Estimated Annual Income 511.82 Your Client Advisor: TANA SMITH Asset Allocation Prior Year•Ead Lad Period This Period % Allocation I.40 Cash, Money Funds, and Bank Deposits' 63.000 29 63.006.89 233.008.56 100.00% Your Accounts 10396 invested ri USD Cash. Money Funds, and Bank Amount Total 663,000.29 663,008.89 6233,008.56 100.00% Deposits I The Bank Deposits In your account are FDIC insured bank deposits. FDIC insured be* deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These Dank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to aim* Unit CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 1 o16 Rated Excellent A0098161CSF1001, Go paperless DASIMA RATED COMMUNICATIONS CONFIDENTIAL FXCIMONCS et a tte et Netalsi ttrsttaeon " •••••• SDW_Get00049557 DE-SONY-0012381 EFTA_00160166 EFTA01254606 FDIC Insured Bank Deposits Date Activity Type Deraipllon Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account k um ber: Activity Ending: 07131114 07101114 Opening Balance 83,006.89 63.008.89 07110114 Deposit DEPOSIT 170,000.00 233,006.89 07115/14 Dermot lk TEREST CREDITED 2.39 233.009 28 APY 0.03% 07116114 Withdrawal WITI- DRAWN. •0.72 233.008.56 Deutsche Bank Trst Co NO 07116 3233008.56 07131114 Closing Balance $233,008.56 Total FDIC Insured Bank Deposits $233,008.56 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 2 39 000 11 82 0.00 Total Dividends, Interest, Income and Expenses $2.39 $0.00 $11.82 $0.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits too.00x of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,008.560 63,006.89 233,008.56 3.06 11.82 N/A Total FDIC Insured Bank Deposits $63.006.89 6233,008.56 63.06 $11.82 Total Cash, Money Funds, and Bank Deposits $63,006.89 6233,008.56 Market Value $3.06 Accrued Interest $11.82 Estimated Annual income Total Portfolio Holdings $233,008.56 $0.00 $11.82 Paget of 6 Account Aumber. Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN FIDENTIAL Rated CumMent Every Yam Sime 2007 DALBAR RATED COMMUNICATIONS EXCEIRTNOT ettine=alm 'agt.'" 0••;••• se " Ilimm SONY_GM_00049558 DB-SDNY-00 12382 EFTA_O011o011 67 EFTA01254607 0rdisOe liana Prmale Wealth 14”igentril MYfut eerie C01,P Dtsischt Sank Sector Y« bet Once Statement Period: 07/0112014 - 0713112014 M essages Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at Si per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation (SIPC(. For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htlpsiNnwrdws-iwestments.convEN/products/money-market-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brcnvnainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications wit reflect this change. Your account MI continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary RI amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $2.39 $11.82 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$0.72 -$3.55 Cash Cash Deposits 170.000 00 170.000.00 Deposits 000 033 Total Cash $170,000.00 $110,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.72 $3.55 FDIC Insured Bank Deposits -$170,002.39 -$170,011.82 Total Credits $170,003.11 $170,015.37 Total Debits -$170.003.11 -1170,015.37 Page 3 of 6 Account h umber: Riled excolla.nt GC' PaPedess MHO RCIll CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6": "N CON F I DAENTIAL )14711(NO1 ctlisn'W= n roueet . ' o !Inv MAO* •••••••••in ounime nalk Wilt INK SDNY_GM_00049559 DB-SONY-0012383 EFTA_DO I 60 I 68 EFTA01254608 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Dentin Price Accrued Interest Amount Curren Dividends and Interest 07/157'4 FDIC INSLRED BAK IN St, RED DEPOSITS INTEREST CREDITED DEPOSITS IA TEREST Total Dividends and Interest • UNITED STATES DOLLAR Taxes Withheld 07115114 NON-RESIDENT ALLEN TAX NRA TAX WITHFELD ON IKSbREO DEPOSITS INTEREST CREDITED 0.00 2.39 2.39 -0.72 L SO LSD Total Taxes Withheld - UNITED STATES DOLLAR Cash Withdrawals and Deposits 07/09/14 CUSTOMER ALTFORIZED TRAK S FRM N4G•023804 TRANSFER 05O999997 0.00 -0.72 170.000 00 LSO Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR FDIC Insured Bank Deposits 07/10/14 FDIC INSURED BANN DEPOSIT INSURED DEPOSITS PROGRAM 1:SO999997 07/15/14 FDIC INSLRED BAK INSURED DEPOSITS INTEREST Rah VESTED DEPOSITS INTEREST REINVESTED 07116114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM WITHDRAWAL USO999997 0.00 170,000.00 -170.000.00 -2.39 0.72 LSD L SO 6 SO Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -170,001.67 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 0.00 USD Client Service Information Your Client Advisor: TDS TAZIA SMITF KEW YORK NY 10154 Contact Information Telephone Number: Page 4 of 6 Account Number Rated Excellent OlIAB.ROLL Go paperless I:eery Yeas Since 2007 0At0AR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67: FERN N F I DAnTriAL EXCINRIINCI et a rwil••• • =erbrasi airOjest" Ste Soo SDNY_GM_00049560 DB-SDNY-00 12384 EFTA_OO II 60 II 69 EFTA01254609 Your Account Inform ation Drosoe liana Prmaie Weal, Maagenan MitartstorenteC0WP Dtsisthe Sank We vg, Nes bet °Ike Statement Period: 07/0112014 • 07/3112014 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stodcs In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.° Securities for which a price is not available are marked "'NM"' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Slice 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 postion 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 wvAv.pershing.corn/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself o others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate 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, Mooned a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it 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 Fage 5 ol 5 Account Number t , itniL Go paperless SOUTHERN Ckb LLC. N F I DrwriAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated excolla.nt Every Year S•ru. 2007 oasflfl PARC. COMMUNICATIONS I'MC/11(NOI et a rints else veva Mr COreeein " MEV WINO ontemst LA avow rea• panic SDNY_GM_00049561 DB-SONY-0012385 EFTA_00160170 EFTA01254610 Important Information and Disclosures (continued) The Role of Pershing (continued) 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. • Fa a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: hwirpershing.com/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generaly final and balding; a party's abifty 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 mincrty 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 cabled 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 US; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Page 606 A00 96161CSF30017 Olu9Roll $00Th ERN CO LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF I DAENTIAL Account hum bet (so paperless ItstodexcoWM LvIrryYncSince20O7 MUSMOMUDCOMINUNKATKM6 EMMflOWV •••••••••ta4 amt.nate. ,wt. SIG SDNY_GM_00049562 DS-SDNY-0012386 EFTA_OO16O171 EFTA01254611 Gnaw e San' Prmaie We klaagentne Vitals Cane C0c•P Dtsisthe Sank Uteri Nes *A Olke PA Om 17* 2121:0 AV In IM Valuation at a Glance Account Number: Statement Period:06/0112014 - 06/30/2014 This Period Yea r.to.Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,005.76 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,005.76 63,000.29 ST THOMAS VI 00802 Dividends. Interest and Other Income 161 Y43 Tots Taxes Withheld .pen 2 63 riding Account Value $63,006.89 $63,006.89 Estim ated Annual Income SF 43 Your Client Advisor: TARA SMITH Asset Allocation Prior Year-End ua Period This Period % Allocation I.,S0 Cash, Money Funds, and Bank Depositst 63.000.29 63.005.16 63.006.69 100.00% Amount Total 163,000.29 163,006.16 163,008.69 100.00% I The Bank Deposits In your account are FDIC Insured bank deposits. FDIC insured bark deposits are not securities and are rot covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Depose Insurance Corporation (FDIC). up to ainwable limn ()SAO ItC)ILL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Your Account .s 100% invested in USD Cash. Money Funds. and Bank Deposits. Paget ore Rill.. Excellent A00977S7CSF10022 GO paper-less t t l twny Siewe 2007 ABM RA TCD COMMIROCATIOh6 CONFOnSinAL :taw etreerratitreasen NS MS* est./Am avow •••••• elf. SDNY_GM_00049563 DB-SDNY-0012387 EF1'A_00160172 EFTA01254612 FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum ber: Activity Ending. 06130114 05131/14 Opening Balance 63.005 76 63.00516 06113114 Deposit IN TB EST CREDITED 1.61 63.007.37 APY 0.03% 06116/14 Withdrawal WITHDRAWAL -0.48 63.006.89 Deutsche Bank TM CO NO 0611666300629 00130114 Closing Balance 363,006.89 Total FDIC Insured Bank Deposits 363,006.89 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year.to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.61 0.00 9.43 0.00 Total DIvIdends, Interest, Income and Expenses 11.61 30.00 39.43 30.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Accrete Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 1 o 0.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,006.890 63,005.76 63,006.69 0.79 9.43 NM Total FDIC Insured Bank Deposits 03,006.71 363,006.89 30.78 39.43 Total Cash, Money Funds, and Bank Deposits 363,005.76 $63,006.89 Markel Value 30.78 Parsed Interest 39.43 Estimated Annual Income Total Portfolio Holdings 363,008.89 30.00 39.43 1>IlAil 11‘)L I SO LI TI- ERN CNO LIC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NJ F I DA.ENT AL I Account Number Go paperless Railld Excellent Lbsy Yea, vows 2007 00.1.0ASI RATCD COMMUNICATIONS )077117NCIF Page 2 dB ...,- SDNY_GM_0004956.4 DB-SDNY-0012388 EFTA_00160173 EFTA01254613 DrdisOe Sant Penn[ Wealth Maagental Myatt Carrie C0C,P DtASIM Sank 14tori Nes *A OR,. PO &. 1776, ammo., MD 2IN3 A Statement Period: 06/0112014 • 06/3012014 M essages Federal Deposit Insurance Corporation (FDIC)4nsured Bark Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpsAwnv.dwskwesbnents.com/EN/products/money-market-fundsoyields.isp. Please note that all money market funds hsted on the website may not be offered through us. Customer Co lateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit produces disclosure document or contact your advisor for additional information. Please note that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process: Partial Calls: Pershing's Impartial Lottery Process: Partial Calls When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been incorporated into the FINRA Consolidated Rulebook, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processIMien an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or °Tee) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. Wien Pershing is notified that it received an alocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that vat be selected and the number of securities in the account that wt be redeemed. flotations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker ealers whose introduced accounts have received an alocation. Securities registered in the clients name, either in transit or held n custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caned security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = $25,000): Client Account ABC-123234; Par Value: $100,000; Number of Trading Units: 4 Client Account DEF-325465; Par Value: $75,000; Number of Trading Units: 3 Client Account EDR-567433; Par Value: $150,000; Number of Trading Units: 6 Client Account EGT-876574; Par Value: $50,000; Number of Trading Units: 2 Client Account EGT-888345; Par Value: $25,000; Number of Trading Units: 1 Page 3 of Account I\ um bet Riled IL ...silent ()Unit ihni PaPerless 00.1 "wYBAYPtt w'c lr(O. C201. 001PfloCATP3NS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6743)UTF ERN CO F I DAENTIAL Olen IINC etripnrtirtra=O•••Zionlfl•••• SDNY_GM_00049565 DI3-SDNY-0012389 EFTA_00160174 EFTA01254614 M essa eS (continued) Client Account: FRT-435234; Par Value: 525.000, Number of Trading Units: 1 Client Account: FRT658797; Par Value: $75,000; Number of Trading Units: 3 In brief, the alocation process involves the folovring steps: > The number of trading units held in each account is identified. > A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). > A random number is generated that v.11 result in one of these trading units being the first unit in the selection process. > Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. When a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts vril include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (rf Pershing carries and clears those accounts) No allocation will be made to these proprietary and employee accounts until all other client positions at Pershing in such securities have been called. When a partial cal is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. If the partial call is made at a price above the current market price as captured in Pershing's price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing vAll generally categorize that cal as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. Activity Summary (All amounts shown are in base currency) Credits This Period Year.to.Date Debits This Period Year-to-Date Dividends and Interest $1.01 $9.43 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 TaxesWithheld -$0.48 -$2.83 FDIC Insured Bank Deposits 20.40 $2.83 FDIC Insured Bank Deposits -$1.61 $9.43 Total Credits $2.09 $12.26 Total Debits -$2.09 -$12.26 Page 4 of 8 Account h um ber: t Rated C llont GO paperless (Jewry Year ncy SInce 2007 et In a" nr a et serarrttrearn " Marilat S0UTI- ERN COL I LLC. N F I DA.ENTIAL CIALOMI RAM) COMMUNICATIONS ....aun aarra.... a . 00 [Mal WW1 SDNYS4.4 00049566 CONFI DENTAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012390 EFTA_00160175 EFTA01254615 NEW YORK NY10154 A I PO Beg 1775. Bat mw MO 2IP33 Transactions by Type of Activity Proces4 Settlement Date Activ e Dividends and Interest 06113114 FDIC INSURED BARK DEPOSITS INTEREST RECEIVED Total Dividends and Interest • UNITED STATES DOLLAR TaxesWithheld 06113114 NONRESIDENT ALIEN TAX Total Taxes Withheld • UNITED STATES DOLLAR FDIC Insured Bank Deposits 06113/14 FDIC INSURED BANK DEPOSITS INTEREST Mir 06116114 FDIC INSURED BANK WITHDRAWAL VS0999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Drdisoe P.m Portle Reda kra.ritentni Myatt% Cornet Gm, • Dtaut. Ian. Sewn. Row Verb CM.. Statement Period: 06/0112014 • 06130/2014 Dear 1011 Price Accrued Interest Amount Curren INSURED DEPOSITS INTEREST CREDITED 1.61 USD 0.00 1.61 NRA TAX WITHHELD ON INSURED DEPOSITS INTEREST -0.48 USD CREDITED 0.00 .0.48 INSURED DEPOSITS INTEREST RONVESTED -1.61 USD INSURED DEPOSITS PROGRAM 0.48 USD 0.00 -1.13 0.00 0.00 USD Your Client Advisor: TDS Contact Information Telephone Number: Page 5 o18 Account hum ber Rated Excelient tray Year Since 2007 SOUTH ERN CNO F I Dch' RATED COMMUNICATIOn6 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) et a riwirra et wee W. eat • O•retneen " SOY IlleRrat aserfla0ereraelndurrr Yr.. IOC SDNn'_GM_00049567 DB-SDNY-0012391 EFTA_00160176 EFTA01254616 Your Account Inform ation Tax Lot Default Disposition ,Method Default Method for Mutual Funds: FIRST lk FIRST OUT Default M ethod for Stocks In a Dividend Reinvestment Plan: Default II elhod for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have nol selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Oient Advisor for more information. FIRST IN FIRST OUT Important Inform ation and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price Securities for which a price is not available are marked "WC and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (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 behaved 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 vnwtpershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not rutty paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. 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 secunties transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement. please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit vmwpershing.cceVstrength_stabity.html. A00977S7CSF300:: DINO ROIL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: "ERN CONFID NTIAL AE Account Number Go paperless Page 6 of 8 Rolm. Cm•Illend Every Van Um. 2007 OASOAR RATED COMMUNICATIONS oars...rime shwa Van ii.= .0.7r•••••. " MEV row nsoun tan ••Pc SDNY_GIA 00049568 DB-SDNY-0012392 EFTA_OO16O177 EFTA01254617 PC Bc.a. '176, BA no-. 2'713 Important Information and Disclosures (continued) Devisee &m Pootie wean Ma.zienan Mines C00.4•0 tOosp Dtsitthe Sara Uteri vt Yes bet Cillor Statement Period: 06/0112014 • 0613012014 The Role of Pershing (continued) • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generaly final and binding; a party's abifity to have a court reverse or modify an arbitration award is very hinted. • 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. Pagt7 018 Account Number excollat SO ERN coac. Go paperless N F I DAENTIAL "a"`"a CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) Ma rian et 77:7:a101,i e'..a Ors•Zon NNW MO*. SDNV_GM_00049569 DB-SONY-0012393 EFTA_00160178 EFTA01254618 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS NC REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF 50. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED 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 FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR 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 INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECUFtff ES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING, BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WHIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING.COMMUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 6071A)(1)-(2)1 PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE M3430 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF THE MOVE TERMS ANO COMMONS ARE UNACCEPTABLE TO YOU. PLEASE NOTSY PERSMIC BALEDIATELY N WRITINGSY CERTIFIED VAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ OT30E. ATTN: LEGAL DEPT Page8 of 8 OBAB ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:THERNCONFIDALTITIAL Account h um bet Rated Excellent Go paperless Every Yee* Since 2007 OASCIAR RATED COMMUNICATIONS Olen LENGE w as":7,=.7:Zirat:=••• •—"'s ...- SCINY_GM_00049570 DB-SDNY-00 12394 EFTA_00160179 EFTA01254619 DivIsne bm Prnale Wog Pt Ma.zieneni idaniett COnfy. COMP DMUS Gas Sectones MC Mrs *4 Mk* PO em 1216.8* ma* MD 21N3 Account Number: Statement Period:05/01/2014 - 05/31/2014 SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SMITH Asset Allocation Valuation at a Glance Beginning Account Value Adjusted Previous Account Value Dividends. Mimes: and Other Inoome Total Taxes Withheld This Period 163,004.68 63,004.68 1.55 -OAT Year-to-Date 163,000.29 63,000.29 7.82 -2.35 ncling Account Value Estimated Annual Income 563 005 76 $63 005 76 Prior Year•Ead Last Period This Period % Allocation 57.82 IJSD Cash, Money Funds, and Bank Deposits' 63.000.29 63.004.68 63.005.76 100.00% Account Total 183,000.29 163,004.68 163,006.16 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposits are not securities and are rot covered by tne Securities Investor Protection C.:cordon (SIPC). These Dank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). LIP to atimatile lint CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Your Account .s WO% invested n USD Cash, Abney Funds. and Bank Deposits. Pagel 446 Riled [...Pont A01051 30CSF30016 paperless 4 ), Eve n/ Va . W I" 2007 CASPAR RATED COMMUNICATIONS coNFIDENTTAL ?Mtn f NC/ a... eyes en SDNY_GM_00049571 DB-SDNY-0012395 EFTA_00160180 EFTA01254620 FDIC Insured Bank Deposits Date Activity Type Descipeae Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber: Activity Ending: 05130114 05101114 Opening Balance 63.004.68 63.004.68 05115114 Deposit INTEREST CREDITED 1.5$ 63,006.23 APY 0.03% 05116114 Withdrawal WITHDRAWAL pentad'. Bank Tr% Co -0.47 63.005.76 NO 05116 663005.76 05130114 Closing Balance $83,005.76 Total FDIC Insured Bank Deposits 663,005.76 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 6250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.55 0.00 7.82 0.00 Total DIvIdentla, Interest, Income and Expenses 11.5$ 60.00 67.82 60.00 Portfolio Holdings Description Quantity Opening Balance Closing Balsam Awned Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,005.760 63,004.61 63,006.76 0.88 7.82 NIA Total FDIC Insured Bank Deposits 363,004.68 $63,005.76 $0.68 67.82 Total Cash, Money Funds, and Bank Deposits 363,004.68 $63,005.76 Markel Value $0.88 Awned Interest $7.82 &Mated Aameal Income Total Portfolio Holdings 663,005.76 $0.00 1>NAll .N.H. I Account 1\ umber: Go paperless ii-ERN LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO NF I D^ENTIAL Page 2 o16 Rated exceeent Leery Year Since 2007 OALSAet RAUL, COMMUNICATIONS fealleNel :1741 SOY MOMMOT7:7===IN.VMWNWOMI. ••••••••La anis V•I. *NM — SDNY_GM_00049572 DB-SDNY-0012396 EFTA_00160181 EFTA01254621 Ot..isc Bans Pootie wean Ma.ligenan Mats COottIVC, WP Dtsitthe Sank 141teri mi Mho PO Elm I776. *Wynn MO2W) Statement Period: 05/0112014 - 05131/2014 M essages Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporahon.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsiNnvw.dws-investments.convEN/products/money-market-funds-yiebds.fsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preservethe 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. Activity Sum mary(Allarnounts shorn are in base twenty) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest Taxes Withheld FDIC Insured Bank Deposits $1.55 $0.00 $0.47 $7-82 30.00 $2.35 Dividends and Interest Taxes Withheld FDIC Insured Bank Deposits $0.00 40.47 -$1.55 $0.00 42.35 -57-82 Total Credits $2.02 $10.17 Total Debits 42.02 -010.11 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioa Quantity Prla Accrued Interest Amaral Currency Dividends and Interest 05115/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 155 LSD DEPOSITS INTEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.55 TaxesWithheld 05115/14 AUER TM NRA TM WITHHELD ON INSURED D800SITS INTEREST -0.41 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.17 Page 3 oft Account umber: Rated Excellent 0S130l-SF30016 SO UTI- ERN FaX.TAL c. Go PaPerless torarl(ATEDC2rImutoCallOntS octanZtars i t ta " see ea* CONF I DAENTTAL "a"— CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNYS4.4 00049573 DB-SDNY-0012397 EFTA_00160182 EFTA01254622 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Description Quentin/ Price Accrued Interest Amount Currency FDIC Insured Bank Deposits 05115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED •1.55 USO DEPOSITS INTEREST NV TD 05116114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 047 LW WITHDRAWAL US0999997 Total FDIC Insured Sank Deposits • UNITED STATES DOLLAR 0.00 4.08 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZIA SMITE. NEW YORK NY 10154 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: Default Method for all Other Searrides: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "WC and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (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 rekable; 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, arid prices remain constant. A capital gain or return of preicipal may be included in the figures for certain securities, thereby overstating them. Refer to monv.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page4of5 Account Number Rated linvollont MIA0 ItOlt Go paperless "'Per Y*" 5'104. 2007 ()ALMA RATCD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 64(6)THERKCIOKI F I DniTir A (WM MC, M a tt. etiamVank •Iolism .Ctrean" NNW Saw* •••••••••La ••••••os wee =Pc SDNY_GM_00049574 DB-SDNY-0012398 EFTA_00160183 EFTA01254623 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) PO &e. 1776. eat nee MD 21N3 Important Information and Disclosures (continued) DrulsOe Barra Footle Wei/0, 147,Agental Mine% CO•nee Dtascht Sant Sewn. MC. Nes Wei Mar A Statement Period: 0510112014 -0513112014 Proxy Vote Securities not fury paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms Wired in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prier business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (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 copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit Vetwcpershing.ccin/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned • Arbitration awards are generaty final and binding; a party's abilty to have a court reverse or modify an arbitration award is very lorded. • 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. Account Number SOUTF ERA chsriLiII Ki Page 5 of 6 Go paperless -a. Rated (Koollent Mar %into 2007 et raetanr se a0aLt‘t"Pa OrseZein SINIVIII•••• , PATCDCOMMUNICATI0h6 •••••7.0.0 anisrinly tenie •IC F IDAENTIAL-4- `•rill`"" SDNY_GM_00049575 DB-SDNY-0012399 EFTA_00160184. EFTA01254624 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration lorum in which the claim is Idea. ara 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 lass who has not opted out of the class with respect to any claims encompassed by the putative class action unU; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 6 o16 Account Number umnrsoir Go paperless S0UTI- ERN ( I D I NCJAL LL N AL F ^ET CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) RidwidetwolloM (ArtyYn,Usco2007 MMOMIRAUDCOMNWNICATIONS FXCIIIPWS et cairtartret weost= "4 ........w.ietenec SDW_GA4_00049576 DB-SDNY-0012400 EFTA_00160185 EFTA01254625 ea ore rex Beinkne san v203 DrAsOe gam Ponle wean 1A.,Agental PAttaM COretateGS.P. Dtatthe Sant Uteri mt. Nrsbri A Account Number: Statement Period: 0410112014 - 04/30/2014 Valuation at a Glance This Period Year.to.Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,003.59 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,003.59 63,000.29 ST THOMAS VI 00802 Dividends. interes: and Other Income 1.56 6 27 Total Taxes Withheld 447 -1 88 ndrng Account Value $63 004 68 $63.004 68 Estimated Annual Income $6.27 Your Client Advisor: TATA SMITH Asset Allocation Prior Year-End Last Period This Period % Allocation IJSD Cask Money Funds, and Bank Deposits' 63.000 29 63.003.59 63.004.68 100.00% Your Account is 100% invested n USD Cash. Money Funds, and Bank Deposit. Account Total 113,000.29 163,003.69 163,001.68 100.00% I The Bank DeposNs In your account are FDIC insured bank deposits. FDIC inured hark deposits are not sec rd es aid are rot covered by the Sureties Investor Froth:tic Corporaton (SIPC). These bank deposits are covered by the Fedral Ceposd Insurance CorporatOn (FDIC), tie ba Salad limit Page 1 of 6 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1.O7704C3. Go paperless CONFIDENTIAL Raga Excellent Saven Yearns In A Pew OALSAII RAIIO COMMUNICATIONS LAC MINCE artior••••••••••••••• LW. •••••••••••••elaiernr rne ma ern owns% worn caysescarnarerne vow.. „C =wens.. rata VC SDW_GA4 00049577 DB-SONY-0012401 EF1'A_00160186 EFTA01254626 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet Activity Ending: 04130114 04101114 Opening Balance 63.003 59 63,003.59 04115/14 Deposl INTEREST CREDITED 1.56 63,005.15 APY 0.03% 04116/14 Withdrawal WITHDRAWAL -047 63,004.68 Union Bank of CA NO 04116 563004.68 04130114 Closing Balance $83,004.68 Total FDIC Insured Bank Deposits $83,004.68 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.56 0.00 6.27 0.00 Total DIvIdentle, Interest, Income and Expenses $1.56 $0.00 $6.27 $0.00 Portfolio Holdings Description Quantity Opening Balance Closing Etaliece Nerved Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,004.680 63,00319 63,004.68 0.78 6.27 N/A Total FDIC Insured Bank Deposits $63,003.59 663,004.68 $0.78 $8.27 Total Cash, Money Funds, and Bank Deposits $63,003.59 883,004.68 Markel Value $0.78 Panted Interest 18.27 adulated Animal Income Total Portfolio Holdings 683,004.66 $0.00 16.27 Page 2 of 6 Account hum ber afael mcolie nt A,097701CSF30016 Go paperless R Seven Yeas In A Rove SO bill-ERN LLC. A • A I l• • Y CALSAA *AIM COMAIUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDENTIAL: 01.010#1111SPPOTIONOWI•••••••••••••••••~1 Cf•••••••••••••••••••••MC••••••••••=ll =MOS •••••••ILC •••••IIMIA Perlit 'WC SONY GM_00049578 DB-S6NY-0012402 EFTA_OOI 60'87 EFTA01254627 Drvisee Sant Prmaie Weal, Magagenan Myatt Conf C0O.P Dtsis0. Sank Senn, vt grebe* Clue PA Sot 1771 Barron 21203 Statement Period: 04/0112014 - 0413012014 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. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DINS Investments website at https:thwar.dws-iwesbnents.conVEN/products/money-market-funds-yields.isp. Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts show are in base currency) Credits This Period Year.toDate Debits This Period Year.to•Date Dividends and Interest Taxes Withheld FDIC Insured Bank Deposits $1.56 $0.00 $0.47 $8.27 $0.00 $1.88 Dividends and interest Taxes Withheld FDIC Insured Bank Deposits $0.00 .10.47 .$1.56 $0.00 .$1.88 .$6.27 Total Credits $2.03 $8.1$ Total Debits .$8.15 Transactions by Type of Activity Process) Settlement Date Achy Ty Type Desaiplioa Quantity Price Accrued Interest Amoral Currency Dividends and Interest 04115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 156 LSO DEPOSITS INTEREST RECEIVED Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.56 Taxes Withheld 04/15114 tiOf il lESI ENT ALIEN TAX NRA TAX WITH hELD ON INSbRED DEPOSIT$INTEREST 4)47 LW CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 .0.47 Page 3 of 5 11.0097704C5F30016 Account Number: Go paperless SOLTHERN C1NO iF CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DrICITIAL R.I.d r.e.IMnt Seven Years In A Pow OALSAA PAID COMMUNICATIONS IldOCI Own" Wow. 'Nesse LW- • wilWave.••• •••••Mwt es ease es ors ves Nese caws ere awry vases es see eves sec SDW_GIA_00049579 DB-SDNY-0012403 EFTA_00160188 EFTA01254628 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiption Chantal/ Price Accrued 'elated Amount Currency FDIC Insured Bank Deposits 04115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED •1.56 USO DEPOSTS INTEREST IN T D 04118114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 047 LW WITHDRAWAL U50999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 4.09 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TI AZIA SMITH KEW YORK NY 10154 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: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have nol selected any account corn o unications tot electronic delivery. To register and turn off paper com m unications. log in to your account or contact your Client Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - NM" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and pikes remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vnwr.pershing.combusiness_confinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page e 015 Account Nun her Use I A,C197701CSF30016 ()RAS COI Go paprerless :::::ve.,;" Pc" , SOUTHERN Cr, LLC. [NW. RAUD COMMUNtCATIONS CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) N F I DrNITI AL an§ ...eh PM...NI /AG • ',tory am.. ner 40 I •••• ant Wilms Consaw. Poona* „C •••••••• Bala MUSK SDNY_GM_00049580 DE:-SONY-0012404 EFTA_00160189 EFTA01254629 Important Information and Disclosures (continued) DrdisOe gam Footle VItiah Mamtentni Myatt% CO•nie 4,041. Dtatthe kr% Setter. New *A Clew Nerve WAAY 101•A Statement Period: 04/01/2014 - 04/30/2014 Proxy Vote Securities not futy paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prier business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing tattles 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 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. tt acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resul 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 1201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit Wowe.pashing.can/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generaty final and binding; a party's abMy to have a court reverse or modify an arbitration award is very Silted. • 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. Antmo‘csncoi6 Account Number SOLIFERN ceiKi Page 5 GIG Go paperless It:V=17:AR— ararq•••••• PatiS.1.1.0. • radar aips• •••••••••• PALMA RAIED COMAALNVICATIONS • tear. ....eanrearala F DisNETIAr rxcruncr SDW_GA4_00049581 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012405 EFTA_00160190 EFTA01254630 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 (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 intonation is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey City, New Jersey 07399; (201)413-3330. Page 6 of 6 Account hum tier Railed I Anolidnt S.., earl'aftariOnla. • s...f ............." A,097704CSF30016 nme.ciii Go paperless t S'w^ Y^.""A Rew SO Lit ERN CNO LLC. DALIA• RATED COMMUNICATIONS Iva" IL< •••••••••••••• MS SIC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) N F I DA5NTI AL. "a""sc I SDW_Glit0 0 C49582 DB-SDNY-0012406 EFTA_00160191 EFTA01254631 Druisc le gam, Footle \Yeah Ma.itenan PAYart% ferry', 4 , 0•P Dt•sitthe kV* Setwri vg, Nes *A Once pa ea 1771 BA now 1021203 Account Number: Statement Period: 0310112014 - 03/31/2014 Valuation at a Glance This Period Year.to.Date SOUTHERN FINANCIAL LLC Beginning Account Value 363,002.62 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,002.62 63,000.29 ST THOMAS VI 00802 Dividends. Interest and Other Income 1.39 4.71 Total Taxes Withheld 442 -1.41 ncling Account Value $63.003.59 $63.003.59 Estimated Annual Income 34.71 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-End last Period This Period % Allocation IAD Cash. Money Funds, and Bank Deposits' 63.000 29 63.002.62 63.003.59 100.00% Account Total 963,000.29 163,002.62 9133,003.69 100.00% I The Bait Deposes In your account are FDIC Insured bank deposits. FDIC insured bank deposits are not securities and are rot covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposrt Insurance Corporaton (FDIC). up to allowable bell& CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Your Accounts IDA invested o USD Cash, Money Funds, and Bank Deposits. Paget of 7 Ratted rnolient 0400.0.11.•••••h POOSIS4 LLC. • IMMO/ •••••• •••••••bre A0207233CSF30022 Go oaorerless Seven Yeas In A Pow IMIND Nan Of WM/ V••• 4.0•••••• cart MOM. 0.• LIMA RA ItO COMMUNICA *OOHS •••••••• t“ male fart.. Pena lee A• • A I VArba Y I.XC I IdOCC CONFIDENTIAL SDW_GA4_00049583 DB-SDNY-0012407 EFTA_00160192 EFTA01254632 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number Activity Ending 03131114 03101/14 Opening Balance 63.00262 63.002 62 03114/14 Deposl INTEREST CREDITED 1.39 63.004.01 APY 0.03% 03117/14 Withdoveal WITHDRAWAL -0.42 63.003 59 Taste Capital Bank NO 03117 $63003.59 03131114 Closing Balance 563,003.59 Total FDIC Insured Bank Deposits 3133,003.59 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year•to-Date Taxable Moe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.39 0.00 431 0.00 Total Dividends, Interest, Income and Expenses 91.39 $0.00 $4.71 60.00 Portfolio Holdings Description Quantity Opening Balance Closing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,003.590 63,002.61 63,003.69 0.77 4.71 NIA Total FDIC Insured Bank Deposits 03,002.62 $63,003.69 90.77 04.71 Total Cash, Money Funds, and Bank Deposits $63,002.62 $63,003.69 Markel Value 60.77 Awned Interest 94.71 Estimated Masai home Total Portfolio Holdings 663,003.59 60.00 14.71 Page 2 of 7 Account Number Rased f Aeoll•nt arose ••••••• •.onW • ••••• •••••••• /1/40107233CSF30022 Go paper,iess ve.— in A Row OP Malian of Oki. Von Weals Covseibistainailipme SO L II- ERN CNO LLC. NJ F I 1:i5N "NAL DALEA• RAU O COMMUNICATIONS ft ..* I. LC Neer non A revile 'Sc excecLoNcr SONY GM_00049584 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-S6NY-0012408 EFTA_00160193 EFTA01254633 Draisc gam Ponlev•taah Mamitenan Myatt Cornet G,C,P Dtsischt Sara Seltari Nes Wei Mar PO flax 1)16.8* troy M021200 Ifni Wet 101A Statement Period: 03/0112014 - 03131/2014 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. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DNS Investments website at httpsiNnwrdws-iwesbnents.conVEN/products/money-market-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the following information is available to you: i) the identity of the venue to which your orders were routed for execution in the sic months prior to the request, i) whether the orders were directed orders or non-directed orders, I) the time of the transactions, if any, that resulted from such orders We will notify you on an annual basis of the availability of the above information upon request. Activity Sum m a ry (AN amounts shown we in base currency) Credits This Period Year-to.flate Debits This Period Year-to-Date Dividends and Interest Taxes Withheld FDIC Insured Bank Deposits $1.39 30.00 $0.42 $4.71 $0.00 $1.41 Dividends and Interest Taxes Withheld FDIC Insured Bank Deposits $0.00 -t0.42 -$1.39 $0.00 -$1.41 -$4.71 Total Credits $1.81 $6.12 Total Debits 31.01 -$43.12 Page) off AO1 072 33=3 0 On T CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)L ft ERN CON F IDA ENTIAL Account Num ber Go paperless Paed rx<ollent Seven Yean In A Pow GIL,RRAICO COMAAUNICATIONS I.XCildOCC Mr Pas, Lit. • ••••••• IOW OSOMMI fa VS Nam Nap Voi aMa••••••••• ••••••• •.••••I•C d••••••• FOS. MIS VC SDNY_GM_00049585 DB-SDNY-0012409 EFTA_00160194 EFTA01254634 Transactions by Type of Activity Process( Settlement Date Activity Type Description Ounti Price Accrued Interest Amouet Cawing Dividends and Interest 03/14/14 FDIC INSURED BANK DEPOSITS INTEREST III in St, RED DEPOSITS INTEREST CREDITED 1.39 USD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.39 Taxes Withheld 03'14.4 NOR-RESIDENT ALIEN TAX NRA TAX WITFFELD ON INSURED DEPOSITS INTEREST .0.42 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.42 FDIC Inwred Bank Deposits 03114/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST RENVESTED -139 USD DEPOSITS INTEREST sill) 03117114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 042 LSO WITHDRAWAL U$0999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 -0.97 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor MS AMA SMITH NEW YORK NY 10151 Your Account Information Contact Information Telephone Nem bar: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications lot electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Page 4 of T Account hum ber Railed xcellent A010723:CSF3002: Go paperless Stven Yeaas In A Rove SOLTFERNCO F DAENTIAL,„ DAMAN RATED COMMUNICATIONS ilmCCI. LOCI CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) r azor, ut. • way c.a./ eassawr f.......„“ase roma rais sec SDW_GA4 00049586 DB-SONY-0012410 EF1'A_00160195 EFTA01254635 Important Information and Disclosures Orvlw Mn, P•male Weal' Ma virntal Myatt% Coeria Gto.p Ofautu w. StUnaign< Mr. Vert CIM14. SIFII 'kn. ler 101•A Statement Period: 03/01/2014 - 03131/2014 Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future 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 bustess 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 prncipal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vole than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit 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, ncurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (6) 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 hinds and securities you may deposit with it directly or through your financial institution or that it receives as the resuit of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC mt. more detailed information please visit www.pershing.comIstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, inckiding your rights under the Securities Investor Protection Act. A010723ICSF300:2 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 5 oil Accounl humleer RaSel I Aeolhiest Go paperless sr— Yea' , in A Pew DAL•A• RATED Bit,, SO II- ERA Ct, F I Dr NETI A L. uccumcg awinositmet P.m.. tit- • any ••••• •• name of sive nasees c roes Len.... Moe. „C •••••••001A my Sec SDW_GM_00a49587 DB-SONY-0012411 EFTA_00160196 EFTA01254636 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact intonation 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 patties 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 generaty final and binding; a party's abilly 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 cant. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)4134331 Page 6 of 7 AC 107233CSF3002: Account hum bet Go palettes ItScl Exeolkint Srven Yeaas In A Row MAR.( ti I SO it RN CO LLC. L* 0A ix er tufric •RIED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I D5NETIA Olowist amp. •••••••010. • inparese•••••••••••• es made onivain. ramospersa =awe t TI/S4 PIV•15 SDW_GA4_00049588 DB-SDNY-0012412 EFTA_00I60197 EFTA01254637 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 SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED 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 FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR 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 CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECUFUTES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYYVV.PERSHING.COMMUNNESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POUCIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N1380 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF THE ABOVE TERMS AND CCNDITI0NS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERSWC IIALEDIAIELY IN WRITING BY CERTIFIED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07300. ATTN: LEGAL DEPT Page? of? Accounl Number. AO I OT233CST30022 DRAB Cul Go paperiess ttt i;:::stan Paw S0U DAIS** *AIM COMPAIJNICATIONS 1 C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN F D AENTIAL --- gaga 'fly a a we away LW- c away e•••• sa•••, •• •a earsue • mos IS m ld SONY GM_00049589 DB-S6NY-0012413 EFTA_00160198 EFTA01254638 P0. em 1778. 841t mats M021203 SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAM SMITH (*.awe tam wean 143.Mgenaill Mats Cornet C.a.P DtsisOw liana Sewn. mc Yrs vert R. wet A Valuation at a Glance Beginning Account Value Adjusted Previous Account Value Dividends. 'Metes: and Other Income Total Taxes Withheld Account Number: Statement Period:02/0112014 - 02/28/2014 This Period 163,001.42 63,001.42 1/1 -0.51 Year-to-Date 163,000.29 63,000.29 3.32 -0.99 ncling Account Value Estimated Annual Income 663 002 62 $63 002 62 3332 Asset Allocation Prior Year-End Last Period This Period % Allocation I.,S0 Cash. Money Funds, and Bank Deposits' 63.000 29 63.001.42 61002.62 100.00% Your Account s 100% invested n USD Cash. Money Funds, and Bank Deposits Account Total 663,000.29 $63,001.42 $63,002.62 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposts are not sec rd es and are rot covered by the Securer's Investor Proteclion Corporation (SIPC). These bank deposits are covered by tire Federal Deposit Insurance Corporator (FDIC). up to atwable Mob. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page I of 6 itmed I mcollent A01200 ISCSFI0015 Go papferless * a PIA Pow OALSAft itAltO COmmuniCAtiONS T A•• A I +I I CONFIDEN TAL VICII3OCI omeowtea. eme. Peraseu.a. • ...way ••••• *say •• mu...ow Pant wousneswobscare omen oar* ac wrens Dena rc SDW_GIA_00049690 DB-SDNY-0012414 EFTA_00160199 EFTA01254639 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FDIC Insured Bank Deposits Date Activity Type Desai Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet Activity Ending. 02128114 02/01/14 Opening Balance 63,001.42 63 001 42 02114/14 Deposl INTEREST CREDITED 1.11 63 003 13 APY 0.03% 02118/14 Withdrawal WITHDRAWAL -0.51 63.00262 TriSale Capital Bank NO 02118363002.62 02128114 Closlnc Balance 383,002.82 Total FDIC Insured Bank Deposits $63,002.62 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposk Insurance Corporation (FDIC) up to $250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposks you may have at each respective bank. ncome and Expense Summary Current Period Taxable Non Taxable Year-to-Date Taxable Non Taxable Interest Income FDIC Insured Bank Deposits I 71 0.00 Total Dividends, Interest, Income and Expenses $1.11 $0.00 Portfolio Holdings 3.32 0.00 $3.32 $0.00 Desaiptioe Quantity Opening Balance Oodng Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 83,002.620 63,001.42 83,00212 0.67 3.32 N/A Total FDIC Insured Bank Deposits 863,001.42 383,002.62 30.67 $3.32 Total Cash, Money Funds, and Bank Deposits 36310112 363,002.62 Market Value 30.67 Accrued Interest 33.32 Estimated kin' Income Total Portfolio Holdings 363,002.62 $3.32 Page 2 of 6 Account Num ber Rsel I ...Mont A:1200ISCSF3001S Go IN yer1ess sr— ve-s "A aow SOGil-ERN CN(pj LLC. F I 1:i5NNAL: N " DAMAN RATED COMMUNICATIONS IXCEI.LlfaCt (SYS. WIMP MS.WI • •••••• 00. 0 0••••••••••! f. The it••• O. Noe Ts% asaa Cd.e•WS tad”...0 SONY GM_00049591 DB-S6NY-0012415 EFTA_001 60200 EFTA01254640 Draisee Sam Pr.le YNYI, Maatenmil Mleatt CO•er/VCOMP Devnthe Sn St(t *Ira W,. Once PO. Pax Ins as no-4r MO 272P0 Statement Period: 02/0112014 -0212812011 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. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please vise the DWS Investments website at httpsfAwrmdws-investments.conVEN/productsimoney-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Activity Summary (M amounts shown are en base currency) Credits This Period Year-to•Date Debits This Period Ye a r .to•D ate Dividends and Interest $1.71 $3.32 Dividendsand Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld 40.51 40.99 FDIC Insured Bank Deposits $0.51 $0.99 FDIC Insured Bank Deposits .$1.71 43.32 Total Credits $2.22 $1.31 Total Debits 42.22 44.31 Transactions by Type of Activity Proceed Settlement Date Adivity Type Dee:Melia Clantity Price Accrued Interest Amorist Currency Dividends and Interest 02/14/11 FDIC INSURED BANK SLRED DEPOSITS INTEREST CREDITED 1.71 IJSO DEPOSITSINTEREST Total Dividends and interest • UNITED STATES DOLLAR 0.00 1.71 TaxesWithheld 02/14/14 M/ IEN T ALIEN TM NRA TAX WITHPIID ON INSURED DEPOSITS INTERP_ST •051 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 4.51 Page 3 of 5 Account Number: Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)6ThERNCONFIDETIAL Posed P.<4.1ont Soren Yeas In A Pow W.W.II Pa 1 tO COmnsuPPC* I iOnS *Nay raw. Passp u.C. • pone. cars 4. Tr Pawpaws Pam axes caseses...• ...ens mu ..< SONY GM_00049592 DB-S6NY-0012416 EFTA 00160201 EFTA01254641 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaiptioa Qeantity Price Accrued Interest Amount Currency FDIC Insured Bank Deposits 02/14/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -1.71 LSD DEPOSITS INTEREST REIN VESTED 0211811/ FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.51 IJSO WITHDRAWAL 15O999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 4.20 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: T0S TAZIA I SMITH KEW YORK AY 10154 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: Default Method for all Other StaltidIS: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications lot electronic delivery. To register and turn off paper communications. log in to your account of contact your Client Advisor for more information. FIRST IN FIRST OLT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources ?Mich we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A- and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future 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 wvAv.pershing.conVbusiness_conbnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Page c of 1)14•0•C i, I Account Number Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)UTHERN L. FIDEWIAL SO Lt . RM•cl Excellent Seven Yee. In A Pow CALL* *AID) COMMUNICATIONS lucuweca erase semen Peewee LLO. • tear wood *sem, *a mama et ars Tea earn cam...camerae reuse t“ waerrosex re to sec SONY_GM_00049593 DB-SDNY-0012417 EFTA_OO I 60202 EFTA01254642 Important Information and Disclosures (continued) Drvisoe gam Ponle Wei11. Ma.ziental Myatt% Cern* 0 ,WP Dtsische Sant Stitarimc Yr. bet Olio, Statement Period: 0210112014 • 02/2812014 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. 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 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 resu* 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 1201) 413-3333. All other equines 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 (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC lints. For more detailed information please visit Wevitpershing.can/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generaly final and binding; a party's abiMy to have a court reverse or modify an arbitration award is very Ignited. • 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. Page 5 of 6 F I DAENTIAL.:"--- 'xAcuscru) C °m—AH'ns CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number Aeollhent A01200:5-r.SF3001S Go paperless c-entiinAative SOL Th ERN Cl 1/4(ffi awls. swat Pniseu.0.•••••••••••••••••~t MT. inannin• •••...:0•0•••••••lery miss reels. t“ ..••••• °OA ran VC SDW_GA4_00049594 DB-SDNY-0012418 EFTA_00160203 EFTA01254643 Important Inform ation and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration forum in which the claim is filed. aro 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 lass who has not opted out of the class with respect to any claims encompassed by the putative class action until; (l)the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department. One Pershing Plaza; Jersey City. New Jersey 07309: (201)413-3330. Page 6 of 6 /0120015-CSF300:!, Accounl Num tier Go paperless Raked I Yea'' in eoll.i t A Raw SO L. ILL DAMAN RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) TI- ERN Clo N F I 1:i5 NT' A cr ag over PoniMme LW. • wfrobersorao• OS'S, Sas. t“ weer e teas sec SDW_GA4_00049595 DB-SONY-0012419 EFTA_00160204 EFTA01254644 NUNN INN Pooele THAN Mamienui INeartt CAPUT* GIMP °MUM Sant Secterimc ,Laved Olke PA la4 177S. aslintee 2t203 Valuation at a Glance Account Number: Statement Period: 0110112014 -0113112014 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,000.29 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,000.29 63,000.29 ST THOMAS VI 00802 Dividends. 'Metes: and Other Income 1.61 161 Total Taxes Withheld -0A8 -0 48 ndrng Account Value $63,001.42 $63.001.42 Estimated Annual Income $1.61 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-End Last Period This Period % Allocation IJSD Cash, Money Funds, and Bank Depositsl 63.000 29 63.000.29 61001.12 100.00% Your Amount d 100% invested n USD Cash. Money Funds. and Bank Deposits. Account Total $63,000.29 963,000.29 I The Bank Deposits In your account are FDIC Insured bank deposits. FDIC insured bark deports are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporation (FM). PP to alma* limi s. 963,001.12 100.00% Page 1 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A010033SCSF30016 GO paperless CONFIDETNAL Naiad rx<olkont Soren Veen MARNA °AWOL PATIO COMMUNICATIONS Ix< illOCE OMAN eamMONTIANUC. mAparmaNINANIIM, ei NT Pa NINA IITA P.m TeneraamMIT MINN Msg. liC wasp /sperm sec SDW_GA4_00049596 DB-SDNY-0012420 EFTA_00160205 EFTA01254645 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h umber: Activity Ending: 01131114 01/01114 Opening Balance 63.000 29 63.000 29 01115/14 Deposit INTEREST CREDITED 1.61 63.001.90 APY 0.03% 01116/14 Withdrawal WITHDRAWAL -0 48 63.001 12 Miele Capital Bank NO 01116 $63001.42 01131114 Closing Balance 963,001.42 Total FDIC Insured Bank Deposits 1133,001.42 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year•to-Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 161 0.00 1.61 0.00 Total Dividends, Interest, Income and Expenses $1.01 $0.00 $1.61 $0.00 Portfolio Holdings Description Quantity Opening Balance Oodng Balance Accrued Income Income This Year 30•Day Yield Cash, Money Funds, and Bank Deposits 100.0o% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,001.420 63,000.29 63,001.42 0.93 1.61 N/A Total FDIC Insured Bank Deposits $63,000.29 $63,001.42 $0.93 $1.61 Total Cash, Money Funds, and Bank Deposits $63,000.29 $63,001.42 Market Value $0.93 Accrued Interest Sim Estimated Annual Income Total Portfolio Holdings $63,001.42 $0.00 $1.61 Page 2 of 6 F DAENTIAL EACCLUINCT CONFIDENTIAL —PURSUANT TO FED. R. CRIM. P. 6(e) Account hum ber RaSed I .emant A0100338CSFI0016 Go PaPerless 1.7,,,Thvirp bAct.t....iwKATioNs SO LTF ERN CNO SDNY_GM_00049597 DB-SDNY-00 12421 EFTA_00 160206 EFTA01254646 Draisee Sam Stale Walt Marna Mleatt CO•erIVG.MP DeeNhe SW Waal nt. Yrak Veri Ont. Pa &et 1776, Barrow 1021203 Statement Period: 0110112014 -0113112014 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 hind or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information. Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vniew.dws-investments.com/EN/productsimoney-market-hinds-yields.jsp. Please note that all money market funds hsted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Activity Summary (Al amounts shown are in base currency) Credits This Period Year.to-Date Debits This Period Year-to-Date Dividends and Interest $1.61 $1.61 Dividendsand Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$0A8 .$0.48 FDIC Insured Bank Deposits $0.48 $0.48 FDIC Insured Bank Deposits -$1.61 -31.61 Total Credits $2.09 $2.09 Total Debits -$2.09 -$2.09 Transactions by Type of Activity Process' Settlement Date Adivity Type DesaiNice Quantity Price Accrued Interest Amorist Currency Dividends and Interest 0111511/ FDIC INSURED BANN IkSlo RED DEPOSITS INTEREST CREDITED 1.61 LSO DEPOSITS INTEREST Total Dividends and interest • UNITED STATES DOLLAR 0.00 1.61 TaxesWithheld 01/15/14 ALIEN TAX NRA TAX WITHHELD ON INSURED DEPOSTS lk TERF_ST •0.48 LSO SIENT CREDITED Tout Taxes Withheld - UNITED STATES DOLLAR 0.00 .0.48 Page 3 of6 Account Number DRAB < p I Go paperless SOUTHERN CIO LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDatriAL alga inCellent Scan Yea In A Rew OALaa •AliO COMMUNICATIONS ucurueCE Cala areasase LLC. • Way sae aa es •a va awn caw...stay aau rya. i LC ....efseA a is sec SONY GM_00049598 DB-S6NY-00 12422 EFTA_00 160207 EFTA01254647 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaation Quantity Price Acaued hatred Amon' Carreno FDIC Insured Bank Deposits 01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -1.61 LSD D EPOSITS IN INTEREST REIN VESTED 01118/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.48 LSO WITHDRAWAL SO999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 .1.13 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: T0S TAZIA SMITH KEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default M ethod for Mutual Funds: FIRST IA FIRST O I,T Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account Dom m unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources ?Mich we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A- and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future 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 wyriv.pershing.cornibusiness_conhnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Page 4 of 6 Account Number Sevenxcellent 1)1kafi ( .1 Go paperless Seven Yeas In A Rove SO eAltO COMAAUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)umERN RI RIFIDantiAL ..c„,„.., weree.Penstee u.C. • weeer Geese •••••St re name et ars Tenets, cams can manes verse. t wee VS re le en SONY GM_00049599 DB-S6NY-00 12423 EFTA 00160208 EFTA01254648 Important Information and Disclosures (continued) DraIsOe gang, Ponle VItiah Mitatt% CO•neet, C,P Dtsitthe Sant 141ten. mC, Yes *A Once Wit SY 1014 Statement Period: 01/0112014 -0113112011 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate vrill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept horn 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 Rs employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuN of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC lints. For more detailed information please visit vnwe.pershing.corn/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generaly final and binding; a party's ability to have a court reverse or modify an arbitration award is very hinted. • 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. Page 5 GIG Account number d I Ateliinb t 01.014101.8•91••••••••410.•••••••••••••Agnier A010033&:SF30016 Go paperless 44, It/a SI•400 Veaes In A Row • OP Ma. Ma Of Nara TN gleam. Clopseist••••••••• F K L C A • A ) O . O ,.. azr; i itr . RAPD COMMUNICATIONS f••••••ii.0 Nese IMO. ra KI.,11- ERN c dii let SDW_GM_00049600 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012424 EFTA 00160209 EFTA01254649 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the atherabon forum in which the claim is flea. 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; (lithe class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page6 of6 Account hum ber RM.! xt *Mont M10033PCSF300:4 Go paperless s..... Yeas In A Row Si) LIM ERN CN(ci F DA5 NETTA tx DAESAR „ •RTC) COMMONICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) awls. swoop. •••••••• MAC. ••••••••••••••••14W, ei mesa mew Tem us.. ca.reses min asses Po.w .LC format esa.....sa sec SDW_GIA_00049601 DB-SONY-0012425 EFTA_00160210 EFTA01254650