EFTA Document EFTA01289724

Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 SOUTHERN FINANCIAL LLC 6'130 RED HOOK QUARTER B3 ST THOM ASVI00 802 Dtv1W.he Flfit MI,M, Neatth WIMIlemeti mains (Ornate Gma; °vetch, nark Setwites Sic 1.14w net MO 3.114 Pol. Awing+. MI Moe New hr Cir IS Toll live t(t. January 1, 2019 - Januar 31 2019 Account Number: Portfolio at a Glance ThisPerled Year4o-Dale Your Investment Specialist. BEGINNINGACCOUNT VALUE 394,404,553.11 394,404,553.11 Net Cash Deposits and Withdrawals -0,000,000.00 -0,000,000.00 Adjusted Previous Account Value 86,404,553.11 88,404,553.11 Dividends, Interest and Other Income 210,317.04 210,317.04 Other Transactions 50 .38 50.38 Net Change in Portfolio' 5 268.838 69 5.268.838 69 ENDINGACCOUNTVAt858.48 SB13,858.4(3 Accrued Interest 6416.117 33 Estimated Annual Income 33,235.282 89 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Ass Type Ma Yawed Lae Period ThIshrlod • 1% Cash, Money Funds, and Bank Deposits 8,127,337 23 8,127,337.23 337,551.57 • 28% Fixed Income 24,993,470.70 24,993,470.70 25,651,747.33 • 71% Equities 81283,745.18 81,283,745.18 85,894,359.56 100% Account Total (Pie Chart) 394,404,553.11 $94,404,553.11 $91,883,858.48 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 65 1\1 F I D fff IFAL-4- Page ' of '5 Rated “cdent Owing through Main LIC, a wbolly owned Every Vex Sice 2007 subsidiary el The Sank of New York Mellon DAISAR RAIEDCOMM.RACATICMS Corpontim (MY Mellon) nm . EXCIALLNa Perstwe 11C, nverrter illiRAAIARIYUPA_ 00046752 DB-SONY-OOO9576 EFTA_OO I 57361 EFTA01289724 Summary of Gains and Losses Reeked ThieFeriod Yetto•Date Unrelated Short-Term Gain! Loss 0.00 0.00 -3,243009.11 Long-Term Gain/ Loss 0.00 0.00 3,337,948.06 Net Gainf Loss 0.00 0.00 94,138.95 This summary excludes transactions where cost basis information is not available —or Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. :xchange Rate Table G ooar Casn Oarency 050Equieitsnt Offing per US) Omen" 00 Balance Amount in Bare Carew USD EURO t.1473 0.8716 EURO -42.57 -48.84 HONG KONG DOLLAR 0.1274 7.8465 HONG KONG COLLAR 183,242,25 23,353.31 APANESE YEN 0.0091 108.8100 ,APANESE YEN .49.00 -0.45 Exchange rates are based on interbank exchange rates as of 0 V 311 20 19 Exchange rates can vary. Total Global Cash Balance 523,304.02 M ney Market Fund Detail Dote AdIvity Type Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.30% Activity Ending:0V 311 89 01/01119 Opening Balance 8,103,932.51 8,103,932.51 01103/19 Withdrawal MONEY FUND REDEMPTION -2.00 8,103,930.51 01110/19 Withdrawal MONEY FUND REDEMPTION 4,000,000.00 103,930.51 01116/19 Deposit MONEY FUND PURCHASE 150,000.00 253,930.51 01128/19 Deposit MONEY FUND PURCHASE 250.00 254,180.51 0141119 Deposit MONEY FUND PURCHASE 55,112.40 309,292.91 01/31/19 Deposit INCOM E REMY EST 4.954.64 314 247.55 01131/19 Closing Balance $314,247.55 Total All Money Market Funds $314,247.56 Dwaiption Amount NINO CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 15 Account Number. 8: CONFIDO. CS,3,1:020 Rated Entilent Evay Yaw Since 2007 DAUM WED commumcAnats ExCULENC Owing through Pining PIC. oplally mend mbar/ aT e Bonk of New York Makin Cannatim MY Meta) Penile.; MC. iSIMber Antall:1142Po 00046253 DB-SDNY-00O9577 EFTA_00157362 EFTA01289725 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Income and Expense Summary January 1, 2019 - January 31, 2019 SOUTHERN FINA N CIA L LLC Dividend Income Equities Money M arket Other Dividends Interest Income Bond Interest Taxable Current Period Non Taxable 0.00 0.00 0.00 0.00 Taal* Year-to-Dale Non Unable 250.00 4,954.84 55,112.40 150,000.00 250.00 4,954.84 55.112.40 150,000.00 0.00 0.00 0.00 0.00 Total Dividends, Interest, Income and Expenses Distributions Other Distributions $210,311.04 48.38 S0.00 0.00 $210,317.04 48.38 S0.00 0.00 Total Distributions 448.38 $0.00 448.38 $0.00 Portfolio Holdings Atria), Biding OParil49 Benno Going Sluice Ataved lame 110:11110 DIY= 30•Day Current Yield Yield U.S. DOLLARS Account Opening Dale Ouentily Number CASH, MONEY FUNDS, AND BANK DEPOSITS Money Market CASH AC TR DWSGOYT 8 AG INSTL 01101/19 314247.550 NM 01131119 8,103,932.51 314,247.55 0.00 4,954.64 2.30% 2.30% Total Money Market $8,103,932.51 $314,247.55 $0.00 $4,954.84 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS DeteAoivired Quantity Unit Cad Alluded Coot Baia $8,103,932.51 Merkel Price $314,247.55 Merkel Wee 80.00 Laireanized Guirlos $4,954.64 'Seated !funnel Estimated Estimated Annual Income Yield FIXED INCOM E On Maturity Date Sequence) Corporate Bonds CITIZENSC011 M 1.INICATIONSCO SR NT FULLY EXCHANGED FROM 17453BAX9 Securely Identifier: 17453BAW1 7.45% 031L19 WE DTD03/231071loody Rating CAMS 6 P Rating CCC• 10/03f17 1,000,000.000 100.0090 1,000,094.64 98.5000 985,000.00 -15.094.64 26,916 67 71.250 00 7 23% Original Cosl Basis:S*1001006.00 Page 3 of 15 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number C ONIFIDO. AL- Med hallent Every Yew Shwa 2007 DAYAR RAI ID COMMLNICATICMS EX.:MD.10E Owing tinge,. ,mks'. PC. • wholly owned subsidiary SIM Bordtel New York Mellon Colnatim (OW Mellon) Penn.'s MC. 'wan FiliitAVAWAPM_00048754 DB-SDNY-0009578 EFTA_00157363 EFTA01289726 Portfolio Holdings (continued) U . S. D O LLA RS (continued) Date Aquila Quantify Unit Out FIXED I NCOM E (continued) Corporate Bonds (continued) DELA INTER LLC I DELA RN INC GM FIRST PRIORITY SR SECO NT 514A 13.000% 07/15123 B/E DTD 07/214 Clef/ oody Rating B3 5b P Rating Adjusted Cot Basis Market Price Market Value Sedulity Id enl Wier 30 S2RAA9 10/24/17 2,000,000.000 97.0250 1,940,506.00 100.0000 2,000,000.01 Original Cosl Basis: $1940,506.00 07/09/18 1.000.000.000 102.6200 1,026,197.29 100.0000 999.999.99 Original Cosl Basis: $1028,758.00 Total Covered 3,000,000.000 2,966,703.29 3,000,000.00 Total 3,000,000.000 52,966,703 29 53,000,000.00 SS INVTS GM BR GTD SR NT REG S INNS USA29866AB53 7.250%04/03/24 B/E DTD 04103/MS& P Rating BB Security Identifier: A29866A95 10/31/17 2.000.000.000 99.0650 1.981.300.00 103 4070 2,088,140.00 DEUTSCHE BANK AG NTSI9Ht US25'625AM 33 4296%05/24/28 B/E DTO 05/24113 FOREIGN SECURITY 1ST CPN DTE 41124/43M oody Riling Ba2 S8 P Rating BB- Original Cosl Basis: 51981300.00 Security Idenlifiec 251525AM 3 06/01/18 1.000.000.000 91.7780 917,776.00 88.7940 887.940.00 DEUTSCHE BK AG N Y BRH VAR MN* LIS25%26BN89 4 875% 2/0132 WE DTD 12/0117 CALLABLE 2/0127 Original Cost Basis:599,776.00 Security Identifier: 255268118 06/01/18 1,000.000 000 86.8260 868,256.00 84.3000 843.000 00 ASSURANT INC FXD TO FLTG WO NT 7.000% 03/27148 WE DTD 03/27/S CALLABLE 03/27128@ 130.000M oody Rating BA1 Original Cosl Basis 5868255.00 Security Identifies. 0462%AK4 03/29/18 2,000,000.000 101.9830 2,039,653.55 96.5000 1,930,000.00 Original Cosl Basis: 52,040,006.00 Unrealized Gallons Accrued Whaled alined Interest AnnualIncome Yield 59.494 01 8,888.89 200,000.00 10.00% -26.197.30 4,444.44 100.000.00 10.00% 33,296.11 13,333.33 300,000.00 533,296.71 $13,333.33 5300,000.00 86.840.00 47,125.00 145.00900 701% -29.836.00 7.995.33 42,960.00 483% -25.256.00 8.125 00 46.750 00 5 78% -109,653.55 48,222 22 140,000.00 7 25% Account Number BIC:535=02C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Raleaweilent Every Vex Since 1007 DAUM MUD COMMLINICATICOS EXCIMENCE Page 4 of Clewing IMO. hating LIC, a wbolly owned subsidiary 011ie en of New York Mellon Cannatim (MY Mellon) n a... a a Perlhe. MC. intryta fitiRnAlAftl 04- -1M—U0040755 DB-SDNY-0009579 EFTA_00 157364 EFTA01289727 FA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date kilted Ouantily Unit Cod FIXED INCOME (continued) Corporate Bonds (continued) ORGAN CHASES CO DEP SHS REPSTG 18TH PFD SER 'FIXED TO FLTG RT BD 5.990% 04123/58 B/E DID 04/23/08M oody Rating Baa3 S 8 P Rating BB8- 06/15/11 ..3,t2 1,100100.000 101.2500 06/15/11 .." 2.500.000.000 106.7680 Total Nonoovered 3,600100.000 Total 3.600100.000 SOUTHERN CALIF EDISON CO PREF SER E 6250% Of 1/62 TMEDTO 0117/12 CALLABLEOMJ0122Q 130.000Moody Rating Baal S8 P Rating 01/30/12 ••112 3100.000100 991090 GENERAL REC CO GTD FXBTO•RTG RT NON-CUMULATIVE PERPETUAL PREFERRED 4000% 2/03/64 REG DID 11J03/tAloody Raling A3 S 8 P Rating BBB 12/03115' 2,469.000 000 88.0930 LLOYDS BANKING GROUP PLC FXD RATE RESET ADM. TIER 'SECS ISOM US539439AG42 7.500% 04/27/88 B/E DID 04/07/515 8 P Raliry BET 04/10/14 '1,12 1.903.000.000 102.3910 Adjusted Cost Betts Market Price Security Identifiet 46625HHA1 1,179,750.41 100.6000 Original Cosl Basis: 51182.500 00 2.669.212.15 100.6000 Original Cosl Basis:52,675100.00 3,848,962 56 $3,848,962.56 Security Identifier 842400 FU2 2,997,261.33 94.0000 Original Cosl Bee: $2.992.564.97 Security Identifier: 369604BM 4 2,175,016.17 671000 Original Cosl Basis:52,175.01 17 Security Identifier: 539439AG4 1,948,500.00 101.7500 Original Cosl Basis: $1,948.500 00 January 1,2019 - January 31,2019 SOUTHERN FINANCIAL LLC arV:el yak e 1,106,600.02 2.51499998 3,621,600.00 53,621,600 00 2,820.000 00 1.676.451.00 1136.302.50 Unrealized Gain Loss Accrued Interest Metaled Blinded Annuli Income Yield -73,150.39 18314 65,894 .18 595% -154.212.17 416.00 149.759.50 5 95% -227,362.56 59914 215,653.68 4227,362.56 5599.04 5215,653.68 -177.261.33 93,750 00 187,500.00 6 64% 498,565.17 12,619.33 98,760.00 5.89% -12,197.50 13.479 58 142.725 00 7 37% Account Number: BMS9501$1:0/C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Page 5 of '5 Riled Emellent Owing Sae. holes LLC. a Mlolly owned Every Vex Saco 2007 sobledEmy of The UM, of New York Mellon DAMN, MUD COMMWICATICMS Comonthm (WIT Mellon) EXCIMENC( Pertre.U.C.Illet,ttlEll4RAAWIIYULGMJ)0046756 DB-SDNY-0009580 EFTA_00 157365 EFTA01289728 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Applied Quantity Unit Out FIXED INCOME (continued) Corporate Bonds (continued) CITIGROUP INC RD RT SR NT PERP DEP RECPT 5.950% 08/6/88 B/E DID 081415 CALLABLE 0876120 0 0.00011oody Rating BA2 S8 P Rating 88+ 08106/15 3,000,000.000 100.0000 Total Corporate Bonds 23,972,000.000 TOTAL FIXED INCOM E 23,972,000.000 DeleAcqdred EQUITIES Common Stocks ALIBABA GROUP ROG LTC SPONSORED ADR istit USO SO9W 1)27 Dividend Option Cash Quantity Unit Cod Adjusted Cost Bois Merkel Price Sturdy Identifier 17296745 3,000,005.99 100.8750 Oe loaf Cosl Basis: $3900,00600 $23,743,529.53 $23,743,529.53 Cod Bads Market Pram Merkel Valve 3,026250.00 $22,794,683.50 $22,794,683.50 Matt Veen Uffealited Oninnese 26,244.01 4948,846.03 4948,848.03 Unrested Gelation 06/10115 5.000.000 86.9500 AMAZON COM INC Dividend Option: Cash 03129/18 500.000 1,423.8620 04/02118 500.000 1,367.0210 Total Covered 1,000.000 Total 1,000.000 APOLLO GLOBAL MGM T LLC CL A SKS Dividend Option: Cash 263,67.00 of these shares are in your margin acconnl 03/29/11 .13 263157.000 19.0000 APPLE INCCOM Dividend Option: Cash 12107/17 214,000.000 169.8140 06/20/18 50,000.000 186.1940 10/15/18 40.000.000 219 0180 Total Covered 304,000.000 Total 304.000.000 36,340,223.40 9,339,691.00 8,760,702.00 54.440.622 40 $54,440.622 40 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number. 711,930 80 683,510.38 1,395,441.18 $1,395,441.18 Securely Idylltiler MBA CUSP. 0409W 1)2 444,749.00 168.4900 Security Identifier: AUDI CUSP. 0234646 1,718.7300 1,718.7300 %curdy Identifier: APO CUSP 03764306 4,999,983.00 29.2800 Security Identifier: AAPL CUSP:037833TO 166.4400 166.4400 166 4400 842,450.00 859,365.00 859,365.00 1,718,730.00 $1,718,730.00 7,705,236.96 35,618,160.08 8,321,999.19 6.657.600.13 50 597,760 00 $50.597,760.00 CONFIDO. Acased E9imaled Estimated haunt Mimi Income Yield 82,308.33 $354,473.83 $354,473.83 178,500.00 5 89% $1,571,098.68 $1,571,098.68 Estimated Estimated Annual Income Yield 397.70110 147,434.20 175,854.62 323,288.82 $323,288.82 2,705,253.96 422,063.32 1,017,691.21 4,103,101.87 -3 842,882.40 43,842,862.40 $0.00 481477.31 8.25% 624,880.00 146,000.00 116,800.00 887,680 00 6887.680 00 1.75% 1.15% 1.75% Page 6 of 15 RstaleadleM EmyYerSme2007 DMAARLMEDCOMMLWATICN5 MUM( cow tinge,. Penton. Ilt. a Sally craned subsidiary The Baia New York Mellon Cal:anti:a (MY Mellott) U.C.ITterfter fliactlYaGM_ 00046757 DB-SDNY-0009581 EFTA_00157366 EFTA01289729 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Dort folio Holdings (continued) U.S. DOLLARS (continued) Unrealized &haled Estimated DeleAcquired Duality Unit Cost Cot Beds Marker Pin Market Value OW: Loss Annual Income Yield EQUITIES (continued) Common Stocks (continued) AlOGEN DEC INC COM Security Identifier: DID Dividend Option: Cab CUSP 09062X133 02114112 ' •4 2.095.000 110.2720 231.019.65 333.7800 699.269 10 468 249 45 7CENTENECOW Da 031 Security Identifier CNC Dividend Option: Cab CUSIR151355111 09106/14 15,550.000 63.6450 989.67915 130.5700 2,030,363.50 1,040,683 75 KARYOPHARM THERAPEUTICS INC COM Security Idealdim: KPTI Dividend Option: Cab COW. 48576U136 07112/18 25.000.000 18.6840 481106.00 8.4700 211.750.00 455.356.00 Total Common Stocks $62,968,600.98 $83,805,559.56 $836,958.58 $1,369,257.31 Preferred Stocks (Listed by expiration date) GMAC CAP TR I GTO TR PFD SECSSER 2CPN- Seardy IdeetilletALLY PRA SIM FREOORTLY MATY•02/6/2040 CALL CUSIP.361380208 ANYTIME02511730 DAYS BEGINS02/15/13 Dividend Option: Cub 02/22/12 80.000.000 23.5350 1,882,773.60 28.1100 2.088.800.00 206.028.40 163.588.48 7A3% Total Preferred Stocks 51,882173.60 52,088,800.00 $206,026.40 $163,568.48 TOTAL EQUITIES 564,851,374.58 365,694,359.56 31,042,984.98 Unrealized licatied 81,532,825.79 Estimated Cost Beds MEW Vine GrinGas 'Merest Annul Income TOTAL U.S. DOLLARS EURO January 1, 2019 - January 31, 2019 SOUTHERN FINA NCIA L LLC Description CASH, MONEY FUNDS. AND BANK DEPOSITS Global Cash Balance $88,909,151.66 Quantity CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number Opening Balance 0.00 $89,003,290.61 Mang Balance Canemy $94,138.95 $354,473.83 53,108,879.11 42.57 EUR -4814 USD Acaued name 30-Day Yield Page 7 of 15 CONFIDO. Rated (want Every Yaw Since 2007 DAUM WED COMMUMCATIONS EX( MD< t caw throw* Peaking la. a near aimed subsidiarft *Me DEMO New York Macon CorMatkol (MY mann) Pentint 11C.ritterter fildlactiterytt 00046758 DB-SDNY-0009582 EFTA_00157367 EFTA01289730 Portfolio Holdings (continued) EURO (continued) Desolation Dernly Opening Balance Oosing Briscoe Caning Acerved Isom 30 tri Yieei CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00 A2.57 EUR 0.00 48.84 USD 0.00 Awned Estimated Estimated Destripthn Ouantrty Market Pra Market Value Currency Interest Annual Income ?IS FIXED INCOME (In Maturity Date Sequence) Corporate Bonds CASINO. 6UIDIARO-PERRACHON 2,500,000.000 99 6100 2,490,250.00 EUR 53,729.18 110,175.00 4.42% SA ISOM FROO 1001180 2,857,063.83 USD 61,643.49 126,403.78 4.407% 0810611 REG DTD 08/0312 Moody Raliag Balsa PRatiog 88 Scarily Idestilier.F111310I4 Total Corporate Bonds: 2,500,000.000 2,490,250.00 EUR 53,729.18 110,175.00 2,857,083.83 USD 61,643.49 126,403.78 TOTAL FIXED INCOME 2,500,000.000 2,490,250.00 EUR 53,729.18 110,175.00 2,857,063 83 USD 61,643.49 126,403.78 Atoned Estimated Market Value Currency Unlaced Annual Income TOTAL EURO 2,490,207.43 EUR 53,729.18 110,175.00 2,857,014.99 USD HONGKONG D 0 LLA R 81,843.49 128,403.78 Opening Goring Mated May Description Quantity Balance Mince Oaten, lame Yield CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183,242 25 183,242.25 liKD 23,353.31 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 183,242.25 183,242.25 NW 23,353.31 USD TOTAL HONG KONG DOLLAR CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Market Vohs Oren, 183,242.25 HKO 23,353.31 USD 0.00 0.00 Accrued Interest 0.00 0.00 Page 8 of 15 Account Number t O 5,, M.020 CNFIDO. AL- Rated (wart Every Vex Soo 2007 DALIAR RATED CONVOCATIONS EXCELLENCE Owing Swab ',fl ing ELL a slay MVOS subsidNy a IN UK of New York Melba ONTINATIN (IINY NANO Penne. Etc. nwrter FitatiklYEEPM_000443759 DB-SDNY-0009583 EFTA_00157368 EFTA01289731 Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Portfolio Holdings (continued) JA PA N ESE Y EN January 1,2019 - January 31,2019 SOUTHERN FINANCIAL LLC Description CASH. MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance Quantity TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS TOTAL JA PA N ESE YEN Total Portfolio Holdings - U.S. DOLLARS Opening Closing Accrued 30•Day Balance Balance Oaring Income Yield 49.00 49.00 JPY -0.45 USD 49.00 -49.00 JPY 0.00 .0.45 USD 0.00 Acacia Maker Value Curtency Inletest -49 00 JPY 0.00 -0.45 USD 0.00 Unrealized Acaued Estimated Cod Bat Miter Value Gain, Loss Inlered Annual Income $88,909,151.66 $91,883,658.46 $94,138.95 $416.117.32 $3,235,282.89 ' Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non•U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered" Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1399-9 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments. or principal payd owns The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 2 A corporate action is occurring for this security. Please review the Corporate Action Events Not Yet Processed section of your statement for more details. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 11 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. t3 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Account Number BICS35.1,1:3/C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Ratedbcant Every vex Sme 2007 DAISMI MUD COMMaKATIONS EXCLUENCt Page 9 of 5 Clang dewy. habeg LI.C, a ally armed risirva The loch of New York Mellon Conmertim (MT Man) Penhat LI.C.immter milinAWirGPM_00046760 DB-SDNY-OOO9584 EFTA_00 157369 EFTA01289732 Holdings Summary by Currency °maw Cash Fixed Income Equities Toll by Connor US. DOLLARS 314,247 22,794,683 65,894,359 89,003,290 USD EURO 42 2,490,250 0 2,490,207 @JR HONG KONG DOLLAR 183,242 0 0 183,242 HKD APANESE 49 0 0 -49 JPY Total USD Equivalent 337,551 25,651,747 65,894,359 91,883,658 UED % of Allocation 1% 28% 71% 100% Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N! A" and are omitted from the Total. THEAS OF PRICEDATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THESTATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (MY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ disclosuresfor specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income,Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your 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 S. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 10 of 15 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accout Number CONFIDO AL- Rated (warm Every Yaw Since 2007 DAUM WED co...monomer* MULI:NC( Owing tinge. Pining PIC a Sally weed subsidiary ti me MKa New York Mellon Cal:anti:a (MY Meta) Pentre. LI.C. 'newt*, Filiata 00048761 DB-SDNY-0009585 EFTA_00157370 EFTA01289733 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) January 1, 2019 - January 31, 2019 SOUTHERN FINA NCIA L LLC Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Messages Important Reminder for Pershing's 2018 IRS Form 1099 (8, OIV, INT, M ISC and CID): As a reminder, by February 15, 2019, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1399 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099 Your 1099 will be mailed no later than M arch 15, 2019 Although a money market mutual fund seeks to preserve the value of your investment at 51per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 ti-10 ( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (Au amounts snown areal oase.urren4) Credits TNsPeikkd Debits ThesPeliod Net ThisPeriod *kits Yesi4o-Dete DebitaYear-to-Date Net Yew-lo-Dale Dividends and Interest 5210.317.04 50 00 $210.317.04 $210,317.04 50.00 5210.317.04 Fees 50.00 $2.00 42.00 50.00 $2.00 42.00 Other 50.00 448.38 448.38 50.00 $48.38 $48.38 Cash Withdrawals 0.00 8,000,000.00 -8,000,000.00 0 00 -8.000,000.00 -8.000,000.00 Total Cash 50.00 $8,000,000.00 $8,000,000.00 50.00 48,000,000.00 48.000.000.00 Totals 5210,317.04 48,000,050.38 47,789,733.34 5210,317.04 48,000,050.38 47,789,733.34 Page 1' of 15 Account Number BIE:535=3/C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Rated taceilent Clearing SwabAmboy LIC, a wliolly owned Every Vex Since 2007 subsidiary el Ilwa &onkel New York MeBon DAUM& MUD COMMSCATICOS Caponthan (SW Mellon) n . EXCIMENC( Penne. MC. mtrytt, FiliRnAIMYLISAA-00046762 DB-SDNY-0009586 EFTA_00157371 EFTA01289734 Transactions by Type of Activity Process Trade Settlement Transaction Date Dote Activity Type Description Ousmity Rice *caved Interest Amount Currency Dividends and Interest 01115/19 BOND INTEREST RECEIVED 3000000 EXELA INTER LW? DELA FIN INC GTD FIRST 150,000.00 USD 30162R449 PRIORITY SR SECO NT 114410.000% 07f81238fE DTD 071414 CLB RD 2/31PD 0 YEA 01125119 CASH DIVIDEND RECEIVED 25000 SIRS GENERAL ELECTRIC CO COM RD 12/20 PD 0125/I 250.00 USD GE 01130119 CASH DIVIDEND RECEIVED -FM ORGAN CHASE 8 CO DEP SKS REPSTG it TH PFD SERI 4.600.000.000 55,112.40 USD 46625HHAI 5.990% 04/23/58 WE RD 0129 PO 0730IS INT PAID AT 6309 3600000 01131/19 MONEY M ARKS' FUND CASH AC TR DWSGOVT 4,954.64 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 210,317.04 Fees 01/02119 FOREIGN CUSTODY FEE Fgn Safekeeping DEC 2018 CUSP'. PNOLCN4 -2.00 USD UW999997 Total Fees - U.S. DOLLARS 0.00 -2.00 Other Transactions 01122119 01/19119 FREE CREDIT BALANCE EURO CURRENCY FREE CREDIT BALANCE INTEREST CHARGE -42.57 EUR INTEREST CHARGE FREE CRWIT INT CHRG 2-20-I TO 01-13-1 FOR CUSTOM ER 48.38 USD EUR399995 ACCOUNT Total 01 her Transactions - EURO 0.00 42.57 Total USD Equivalent 0.00 46.38 Cash Withdrawals and Deposits 01110119 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 4,000,000.00 USD USDOW997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 4,000,000.00 impactions Summary Totd Acaued Intact Told Amount Currency Total Arrived littered USDEquivolail Told Awn, USD Equlvdent EURO 0.00 -42.57 EUR 0.00 46.38 U.S. DOLLARS 0.00 -7,789881.96 USD 0.00 -7,780,684.96 The price and quantity displayed may have been rounded. Page 12 of 15 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number a: c CONFIDO. AL- Rated (Kant Every Yaw Since 2007 DAUM WED COMMUNCATIM EX( CIL DK Owing through holing PIC a mood subsidiary alines* a New York Mellon Caporal._ (MY Meta) Penhas MC. ~ter FillatAtYaGlit 0004. 763 DB-SDNY-0009587 EFTA_00157372 EFTA01289735 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Corporate Action Events Not Yet Processed Security Securities Not Yet Received CENTEHECORPCEL COW Total Securities Not Yet Received January 1, 2019 - January 31, 2019 SOUTHERN FINA NCIA L LLC Event Type Et-Dividend Didributian Evert ID Dale Dale Quantity Held Rale Event Cuanhily Current Price Market Vibe STOCKSPLIT 02107119 02111119 15,550.000 1.0000000 15,550.0000 0.0000 0.00 DANOWOOOLSA The above information has been obtained from sources we believe to be reliable. All items are subject to receipt. Fixed IncomeAnalysis Bond Quality Band Quality A 1,676,451.00 1% BAA 6,441,600.00 25% BA! Lower 16,690,696.33 65% Not Rated 843,000.00 3% Total 25.651,747 33 100% 0 $0.00 %ol Bond Markel Value Nagel Value Percent al Fixed Income 20 40 60 80 100 Bond Maturity Schedule %ol Bone Bond MMurply Market Value Markel Value Mite 6 months 985,000 00 4% i= 7 to 12 months 2 857.063 83 11% M1 to 5 years 3.000 000 00 12% 6 to 10 years 2 956 080 00 12% IIII Over 10 years 15,853 603 50 61% Total 25,651,747 33 100% Percentages of bond market values are rounded tothe nearest whole percentage. Bond quality ratings reflect M oody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Client Service Information Your Investment Specialist: zai MARTIN ZEMAN Telephone Number 345 PARK AVENUE NEW YORK NY 10 154 Dented Information Page 13 of '5 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Acoount Number: Bit: SZCSIME CONFIDO L bled Exceilent Every rev Saxe 2007 DA UM fen ED COMMUNICATIONS EXC0ADa Otering through Pelham PIC. %Sully armed sobehliari MTh* ft * of New York Mellon Corporrtim Ma Mellon) U.C. FreIrtel flMOYULGM_00046764 DB-SDNY-0009588 EFTA_00 157373 EFTA01289736 Your Account Informati n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DEUVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication • Statements and Reports • Trade Confirmations • Tax Documents • Notifications • Prospectus • Proxy/Shareholder Communications You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences. Important Information and Disci sures 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 . All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re•confirmed in writing to further protect your Page 14 of 15 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accout Number CONFIDO. AL- Rated Etcaent Every Vex Sine. 2007 OMAR RAT ED COMMUNICATIONS EXCIA t Owing tiwomb Pants ISC.• Stay mooed solmieliarft Slim &onkel New York Mellon °fleabag (SPO' Melon) Penh...* LI.C. f I HillatiklYMPM_00046765 DB-SDNY-0009589 EFTA_00157374 EFTA01289737 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) January 1, 2019 - January 31,2019 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be f n n h fir t page of this statement. Pershing's contact information is as follows Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain docum ents. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitratorswho were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class w ith 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; Account Number BICS35=3/C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated taceilent Every Vex Since 2007 DALIN, MUD C0MMLINICATICt* EXCIILENCt Page '5 of '5 Clewing tTheaNnbeg LIC, a wholly owned sublicharni Ilwa &onkel New York Mellon Cannatim (MY Mellon) onn Penfrre. LLC. mtryta f iliRA,R4W, -1.10-101-uuumo 7u° DB-SDNY-0009590 EFTA_00 I 57375 EFTA01289738 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6'130 RED HOOK QUARTER B3 ST THOM ASVI00802 OtuttChe 114n\ fMair &talk M.no(eenect Meneti (went< 000; °retch, GM Se:w Pu POW Ten Unto }AS Pot Awnas. )40 flow New a Tell tree Over February 12019 - Februar 28 2019 Account Number: Portfolio at a Glance ThisPerbd Year4o-Dele Your Investment Specialist. BEGINNING ACCOUNT VALUE $91,883,658.46 $94,404,553.11 A R1 61 AN Nei Cash Deposits and Withdrawals .11,892,834.15 49,892,834.15 InA ii •M Net Securities InfOul of Account 43,952,355.75 43,952,355.75 Adjusted Previous Account Value 36,038,468.56 30,559,363.21 Dividends, Interest and Other Income 802,145.33 812,462.37 Other Transactions 4.00 42.38 Net Change in Portfolio' 2.335.319.60 7.604.158.29 MOINIZEKEINIEW $38.975,931.49 $38.975,931.4 Estimated Anneal Income 9665 952 93 Asset Summary Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Percent Meet Type Prlor Yew-End Last Period Ms Period 1% Cash, Money Funds, and Bank Deposits 8,127,337.23 337,551.57 190.331.49 99% Equities 61,283,745.18 65,894,359.56 38,785,600.00 0% Fixed Income 24,993,470.70 25,651,747.33 0.00 100% Account Total $94,404,553.11 $91,883,658.46 $38,975,931.49 Meese review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CUNFIDFIT'FAL- Rated Eicallent Every Vex Since 2007 DALBAR RATED CONVOCATIONS EXCIALENCt Page ' of '6 Owing through holing LI.C, a wholly owned subsklin e4 The Unto. New Yea Mellon CA•Potatim MYMellon) Penshat LI.C.nwnlan FiliRn304/1 itS-V P"—uuum° 7u 7 DB-SDNY-0009591 EFTA_001 57376 EFTA01289739 Summary of Gains and Losses This Period Reseed Yea-lo-Dale Unrealized Short-Term Gain! Loss -132,436.95 -132,436 95 -2,516,898 77 Long-Term Gain/ Loss 314.042 71 314.042 71 447.003.42 Net Gain! Loss 181 605.76 181.605 76 -2,069.895.35 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the • ECB' ) and other credit institutions introduced ' negative interest rates' Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Wing EURO HONG KONG DOLLAR APAIIESE YEN Exchange rates are based on interbank exchange rates as of 02! 28/ 20 19 Exchange rates can vary. alimony USDEquivalent per USD 1.1386 0.8782 0.1273 7 8496 0.0089 111.3000 Money Market Fund Detail Date Adivity Type Dosaction Amount Bianco Sweep Money Market Fund CASH AC TR DWSGOVT 4. AG INSTL Current Yield. 2.31% Activity Ending:02/ 28/19 02/01/19 Opening Balance 314.247 55 314.247.55 02/04119 Withdrawal MONEY FUND REDEMPTION -200 314,245.55 02/06/19 Deposit MONEY FUND PURCHASE 93,750.00 407,995.55 02/07/19 Deposit MONEY FUND PURCHASE 1.979.776.99 2.387.772.54 02/08119 Deposit MONEY FUND PURCHASE 4.080.228.72 6,468,001.26 02/11/19 W ithdrawal MONEY FUND REDEM PTION 800.012.80 5.867.988.46 02/13119 Deposit MONEY FUND PURCHASE 6.129.51119 12.097.499.65 02/14119 Deposit MONEY FUND PURCHASE 96235 04 12.193.734.69 02/15119 Deposit MONEY FUND PURCHASE 221.920 00 12,415,654.69 02/19/19 W ithdrawal MONEY FUND REDEMPTION -12.415.654.69 0.00 02/19/19 Withdrawal SHARES RED EM ED 4.893 84 4,893.84 02/19/19 Deposit ACCRUED DIVIDEND CREDIT 6.893 84 0.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number CONFIDO' BItnitttAIS L-- RAW tangent Every Ygmr Since 2007 DAUMRATED CONVOCATIONS EMI LEW( Page 2 of '6 Oang dash hang LIC, a ally armed wbsdlayel The eat of New York Man Camonthm (MY Man) Penhe. LI.C.rrow-ter liRRANIYIUGM_00° 46768 DB-SDNY-0009592 EFTA_00 157377 EFTA01289740 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) February 1,2019 - February 28, 2019 SOUTHERN FINANCIAL LLC Date Activity Type Desaiption Amount Bain Sweep Money Market Fund (continued) CASH AC TR DWSGOVT & AG INSTL (continued) 02/20/19 Deposit MONEY FUND PURCHASE 42,939.12 42,939.12 02128/19 Deposit INCOM ERBNVEST 24.45 42,963.57 02/28/19 Closing Balance $42,963.57 Total All Money Market Funds $42,963.57 Income and Expense Summary Taxable Quieet Period Non Taxable Tuft Yeat-lo-Date Non Treble Dividend Income Equities 221,920.00 0.00 222,170.00 0.00 Money Market 8,918.29 0.00 11,872.93 0.00 Other Dividends 89,250.00 0.00 144,382.40 0.00 Interest Income Bond Interest 93,750.00 0.00 243,750.00 0.00 Other Interest 42,939.12 0.00 42,939.12 0.00 Total Dividends, Interest, Income and Expenses 8454,777.41 $0.00 $665,094.45 $0.00 Distributions Alternative Investments 0.00 147,367.92 000 147,367.92 Other Distributions 0.00 0.00 48.38 0.00 Total Distributions 80.00 $147,367.92 448.38 $147,367.92 Portfolio Holdings U.S. DOLLARS Cpering Dale CASH, MONEY FUNDS, AND BANK DEPOSITS Margin Balance Account Activity Opening doing Maria home 30-Day Defeat Cluaraily Number Ending Baron Balm become %NY,* Yield Yield CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 0.00 147,367.92 Page 3 of 16 Account Number , 6 CONFIDO. L-- Rateamoont Eon vox Since 2007 DAUM MI ED COMMUNCATICt* EXCIMENCt Owing throidthnbing PIC a Sally owned subsidiary e4 The Bonita New York Melee CarPontim (MY Melon) Penne. u.C.FTwrter FthetalkiteCoM_00046769 DB-SDNY-0009593 EFTA_00157378 EFTA01289741 ort folio Holdings (continued) U.S. DOLLARS (continued) Amon' Opening Cale Ovally Number CASH, MONEY FUNDS, AND BANK DEPOSITS(continued) Money Market CASH AC TR DWSGOVT 8 AG INSTL 02101119 42,963.570 N/A Total Money Market TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Adhlty CIPAIN9 Belem GAR Biwa Moved Income Income This Tex 30-Day Comsat Yield Yield 02128/9 314.247.55 $314,247.55 3314,247.55 OdeAosired Ovally Unit Colt OA Beds Merkel Pao EQUITIES Common Stocks APPLE INCC011 Semite Ideatifiet AAPL DivWead Option: Cask CUSP:0378331)0 12/07/17 34,000.000 169.8140 5,773,680.35 173.1500 12/07/17 332 100,000.000 169.8140 16,981,416.00 173.1500 06/20/18 50.000.000 186.7940 9,339,697.00 173.1500 10/15/18 40,000 000 219 0180 8,760,702.00 173 1500 Total Covered 224.000 000 40,855,495 35 Total 224,000.000 $40,855,495.35 Total Common Stocks $40,855,495.35 TOTAL EQUITIES $40,855,495.35 Cod Bads TOTAL U.S. DOLLARS EURO OnstrIplioa $41,045,826.84 Qualify CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 42,963.57 $42,963.57 $190,331.49 Market Value 0.00 $0.00 $0.00 Unrested Ceinflon 11,872.93 $11,872.93 $11,872.93 2.31% 2.31% Ealimelell blinded Annual Immo Yield 5,887,099.83 17,314,999.94 81357,500.17 6 926 000.06 38.785,600 00 $38,785,600.00 538,785,600.00 538,786,600.00 Mad Value $38,975,931.49 Opening Balance Posing Balance 0luency 113.419.48 333,583.94 182,196 83 .1 834 701 94 -2.069,895 35 42,069,895.35 42,069,895.35 42,069,895.35 Uarealind Carnes 42,089,895.35 Mated Mead 90.00 Amend lama 99280.00 1.68% 292,000.00 168% 146,000.00 1.68% 116800 00 1.68% 654.080 00 $654,080.00 $654,080.00 $654,080.00 EdIrealed Anneal Income $665,952.93 3"', Mid 42.57 0.00 EUR 0.00 USD 0.00 EUR 0.00 USD TOTALCASH, MONEY FUNDS, AND BANK DEPOSITS .42.57 &Arkin Value Coming 0.00 0.00 Awued lined TOTAL EURO CONFIDENTIAL - PURSUANT TO FED. R CRI AA. P. 6(e) 0.00 EUR 0.00 USD 0.00 0.00 Page 4 of '6 Ataxy( Number. 2:[:5 :SAIL) CONFID AL- Rated Eicallent (my Veit Since 2007 DALBAR RATED COMMUNICATICNS ExCtiaNa Owing tlwonsh Penton. PIC. • %okay waned subsidiary a The brat of New York Mellon CoPotatimi (MY Meta) Penne.* MC. 'newts. ilitagatrige. 4 .4_ 00046 770 DB-SDNY-0009594 EFTA_00157379 EFTA01289742 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) HONGKONG DOLLA R February 1, 2019 - February 28, 2019 SOUTH ERN FINA N CIA L LLC DRIES Closing Acaued 30.0n Desolation Duran Bine Una Canino income Yin CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 183342.25 0.00 HKO 0.00 USD 183,242.25 0.00 HKD 0.00 0.00 USD 0.00 Awned Merkel Vane Cunene Mead TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL HONG KONG DOLLAR JAPANESEYEN 0.00 HKD 0.00 0.00 USD 0.00 Opening Closing Atoned 30.017 Description Clamor Bence San Catena Immo field CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance 49.00 0.00 JPY 0.00 USD 49.00 0.00 JPY 0.00 0.00 USD 0.00 Awned Medial Vain Oman lettered TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS TOTAL JAPANESE YEN 0.00 JPY 0.00 USD 0.00 0.00 Unmade Acaued Estimated Cod Bois Medal Voss GaMILose Intern Minutemen Total Portfolio Holdings - U.S. DOLLARS 941,045,826.134 $38,975,931.49 -$2,069,895.35 $0.00 $665,952.93 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of 16 Account Number CONFIDO. AL- Raltamlint Every Yaw Since 2007 DAUM WED C0MMUNCATICNS EX( MEW Clewing Dime. Penbets LLC a Si* owoM subMarft ci the orb O New York Melon CaDonEki0 (MY Melon) Penne. UC. rrrrte FiliRAVAtreaGM_00046771 DB-SDNY-0009595 EFTA_00157380 EFTA01289743 Portfolio Holdings (continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered" Securities marked as "coveree, were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. Holdings Summary by Currency Cuirfilry Cash amities Total by Pommy U.S. COLLARS 190.331 38.785.600 38,975.931 USD EURO 0 0 0 EUR HONG KONG DOLLAR 0 0 0 HKD APANESE YEN 0 0 0 JPY Total USD Equivalent 190.331 38.785.600 38.975.931 USD % of Allocation 1% 99% 100% Portfolio Holdings Disclosures Pricing This section includesthe net market value of the securities in your account on a settlement date basis. including short positions. at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for w hich a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Page 6 of 16 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number SIMMONS CONFIDO. L Rated taceilent Every Vox Since 2007 DAIL& ltAl ED C0MMUCATI0NS EXCELLENCE Owing IMO. Paging M. a who* owned subsidiary as Unto. New V. Mellon CAgnatim (MY Melon) Pemag MC. nwIreef I lkt,e-m" —U"-m° 0 7 74 DEt-SDNY-0009596 EFTA_00157381 EFTA01289744 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Hold ngs Disclosures (continued) February 1, 2019 - February 28, 2019 iiOUTH ERN FINA NCIA L LLC Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to rib, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Schedule of Realized Gains and Losses Current Period Dale Date Ruined Description Disposed Acquired Designation Disposition Method) TrmsectIon Quantity Noceeds Cot axis Oeinaoss Short Term EUROCURRENCY 02107119 02107/19 Noncovered' First In First Out! SELL 2,588,881 950 2,934.083 47 2,939,157 68 -5,074.21 Security Identifier: 83R999995 02/11/19 02107/19 Noncoveref Arst In Fitt Out! BUY 42.570 48.25 46.03 0.22 Total 2,588,839.380 2,934,131.72 2,939,205.71 4,073.99 CASNO.GUICHARD-FER 02107119 09112/18 Coveted First In First Out! Sal 2,500,000.000 2,874,437.69 2,907,743.60 43,305.91 ISMS FR001001480 4.407%0810 6/111 REG OW 0810312 Security Identifier. Fit t3LCN4 Original Cost Basis: 2,907,74390 HONGKONG DOLLAR CUR 02/14/19 06/01/18 Noncovered. First In Rot Out! Sal 113,600.000 14,478.71 14,175.39 3.32 Security Ideutifier:1110999999 02/14119 06105/18 Noncoverel First In First Out! SELL 69,642.250 8,876.15 8,872.53 3.62 Total 183,242.250 23,354.86 23,347.92 6.94 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 7 of 16 Atom% Number. CONFIDO. AL- Rated (Kant Every Vex Since 2007 DALIAN MI ED COMMUNCATIONS EX(ULEMI Owing through Anti% IIC.• Sally owned subsidiary of The Bonita New York Mow Corporal._ (MY Melon) Penha LI.C.rmmber FIIIRAAMESM 00046773 DB-SDNY-0009597 EFTA_OD157382 EFTA01289745 Schedule of Realized Gains and Losses Current Period (continued) Dale Dale Realized Description Disponi! Acquired Designation Cisposition del had Transed ion Quality Proceeds Cod Basis Cellulose Short Term (continued) APANESE YEN CURRENC 02/11119 06119118 Noncovered' First In First Out I BUY 49.000 0.45 0.44 0.01 Security Identifier PY999993 DEUTSCHE BANK AG NTS 02/11119 06/01/18 Covered First In First Out I at 1100,000.000 818.474 00 917376.00 .39,302.00 625033 4296%05124)28 81E Adjustment- 4,38113 Adjustment Type: R DTD05/24/13CLB Original Cost Basis: 94,776.00 Security Identifier 216254113 DEUTSCHERK AG N Y B 02/11119 06/01/18 Covered First In First Out! sat 1.000.000.000 813.494 00 868256.00 -54.762.00 NiUS25626BN89 4.876%21013 Adjustment- 3,9691 Adjustment Type: R 2 EI/EDTD 12/0117 CLB Original Cost Basis: 868256.00 Security Identifier 21626BN8 Total Short Term 7,523,892.72 7,656,329.67 -132,436.95 Long Term CENTER E CORP DEL COM 02/05119 09/08114 Covered First In First Out! SELL 15.550.000 1.979.776.99 989.679.75 990.097.24 Security Identifier 1513561131 GENERAL B.EC CO GTO 02111/19 12103115 - Noncovered First In First Out! SELL 2,469,000.000 1.691.259.00 2,175,016.17 483.757.17 G RT NON-CUM ULATIVEPERPETUAL Adjustment. 5.13.45 Adjustment Type R PREFERRED 4.000% 2/03/65 REG Original Cost Basis: 2,175,05.4 Security Identifier: 369604BM4 SOUTHERN CALIF EDISO 02111/19 01130/12 Noncovered" First In First Out! SBA 3,000,000.000 2.804194.00 2,997,291.36 -192.297.36 SERE 6250%0117/62 8IE DID Original Cost Basis: 2,992,564.97 0117/12CL8 Security Identifier 842400FU2 Total Long Term 6,476,029.99 6,161,987.28 314,042.71 Total Short and Long Term 13,999,922.71 13,818,316 95 181,605.76 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as "covered". were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However. if the account does not receive a 1099B, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made alter year-end, in particular, for return of capital adjustments. but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you. Page 8 of '6 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number: t nittg)) le CONFIDO. L Rated (mearnt (very Vex Since 2007 DAIJAR Glen C0MNAMICATICMS EX W.0 Oaring (Them Pagans LIC, a wholly owned sbs:Mc/el The en.. New York Mellon CoMembm (SHY Mellon) Penne. MC. immte filiRnAckli'll12g40_00046774 DB-SDNY-0009598 EFTA_00157383 EFTA01289746 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) February 1,2019 - February 28,2019 SOUTHERN FINANCIAL LLC When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustmentswhich you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal payd owns The calculation is based upon the taxpayer election. type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event. one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. R Reportable Income- This adjustment is the deferred market discount on a disposed tax lot from the Original Settle Date. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account If you do not select a method, your account will be defaulted to First In. First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10 ( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary rfro sno,inare,n oase—rLn4) dedits TN, Period Debits ThisPeilod Net IhisPerboe Credits Yew-to-Date Mils Year-to-Date Net Yew-to-Date Securities Securities Bought 0.00 -48.47 -48.47 0.00 .48 47 -48.47 Securities Sold 14106.029.24 0.00 14.106.029 24 14.106.029 24 0.00 14.106.029.24 Securities Withdrawn 0.00 -71,198,985.75 -71,198.985 75 000 -71.198,985 75 -71.198.985.75 Securities Deposited 27,246,630.00 0.00 27.246.630 00 27246.630 00 0.00 27,246,630.00 Total Securities 641,352,659.24 -$71,199,034.22 429,846,374 98 $41,352,659.24 371,199,034.22 -$29,846,374.98 Dividends and Interest $464.777.41 $0.00 5454,777.41 5665.094 45 $0.00 6666.094.46 Distributions 5147,367.92 $0.00 $147,367.92 $147.367.92 $0.00 $147,367.92 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number Al t MtCON S CONFIDO L Rated Eacedlont Every Vex Since 2007 DALIAR ell ED COMMLINICATMOS EXCELLENCE Page 9 of '6 Owing Sae. Pelbeg LLC, a wholly owned subsernillies brief New York Mellon Corponthan (MY Melon) Perhe. ux moznAcaaltaLGM_00046775 DB-SDNY-0009599 EFTA_00 I 57384 EFTA01289747 Activity Summary (continued) Qedits This Period IMO Tbis Period Net Thts Wed treditsYsts-to-Dite Debits Yeat-to-Date Net Yen-to-Date Fees $0.00 $2.00 42.00 $0.00 44.00 44.00 Other $0.00 $0.00 $0.00 $0.00 448.38 448.38 Cash Midweek 0.00 -16,215,403.55 -16.215.403 55 0.00 -24,21503.55 -24.215,403.55 Deposals 4,322,569.40 0.00 4,322 569 40 4,322,589.40 0.00 4,322,569.40 Total Cash $4,322,669.40 416,215,403.56 411.892,834 15 $4,322,589.40 424,216,403.66 419,892,834.16 Totals $46,277,373.97 487,414,439.77 441.137.055 80 $46,487,691.01 495,414,490.16 448,926,709.14 Transactions by Type Activity of Protest Trade! Sell lenient Transection Dale Delo Activity Type Description Quantity Ma Moved lateral Amount twenty Securities Bought and Sold 02/07/19 02105119 SOLD CSITBIE CORP DEL =WITH DUE BILLS UNSOLICITED -15,550.000 127.3588 1,979,776.99 USD CNC ORDER AVERAGE UNIT PIKE TRANSACTION YOUR BROKER ACTED AS AGENT 02/11/19 02/07119 SOLD EURO 4.588,924 520 1.1333 2,934,131.72 USD 02/11119 02107/19 SOLD CASINO. GUICHARD• PERRACHON SA ISINS FR001B0880 -2,500,000.000 101.2750 57,049.52 2,588,924.52 EUR Ft %CIA 4.407% 0810619 REG08308/On VARIABLE RATE AS OF 64.768.32 2,939,206.01 USD 02/07/209 02113/19 02111/19 PURCHASED EURO 42.570 1.1283 .48.03 USD 02/13/19 02111119 PURCHASED ,APANESE YEN 49.000 110.3495 •0.44 USD 02113119 02111/19 SOLD DEUTSCHE BANK AG NTS ISMS US25825AM 334296% -1.004000.000 87.8480 9.427.33 887,901.33 USD D8400955 05/24128 WE DTD 05/24/0 CU YID 6.023TO MAT 02113119 02111/19 SOLD DEUTSCHE 8K AG N Y BAH VAR MINI U5251268889 4,975% -1,000,000.000 81.3500 9,750 00 823,244 00 USD DB457574 180132 EUE DTI/ 1210,17CLB YLD 7.004 TO MAT 02/13119 02111119 SOLD GENERAL B.EC CO GTD FXD-TO•FLTO RT NONCUMULATIVE -2,489,000.000 68.5000 15,911.33 1,707,170.33 USD 439670 PERPETUAL PREFERRED 4.000% 12/03165 REG DID 12/0315 CIO VARIABLE RATE 02113/19 02111119 SOLD SOUTHERN CALIF EDISON CO PREF SER E6250% 012/82 WE 4,000,000.000 93.5000 6,250.00 2,811,244.00 USD BXAA DID 012112 CLB VARIABLE RATE 02/19119 02114/19 SOLD HONG KONG DOLLAR ,183,242.250 7.8460 23,354.86 USD Total Securities Bought and Sold EURO 57,049.52 2,588,924.52 EUR TOTAL USD EQUIVALENT 64,768.32 2,939,206.01 USD U.S DOLLARS 41,338.66 11,166,774.76 USD Page 10 of 16 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Atom( Number. CONFIDO. 2: t:)i! )::6 Rated (Kant Evert Vex Since 2007 DAWN MI ED COMMUNCATIONS Excateta Owing tiwonsh P.n IIC.• wholly owned subsidiary or The brat W New York Mellon Cennatim (OW Mellott) Pen w, LIX. mutter tinalter-/M_00048776 DB-SDNY-0009600 EFTA_00157385 EFTA01289748 Deutsche Bank R 0. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) February 1,2019 - February 28,2019 SOUTHERN FINA NCIA L LLC Proms Trade/ SNllemenl Deneadion DIM Dele Actively Type Desaiplion Ovenlity Mee Accrued lateral Amount Cumency Securities W it hd r awals and Deposits 02107119 CUSTOMER AUTHORIZED ALPHABET INC CAP STK Cl. C TRANS FRM N10.021913 3,000.000 3,296,130.00 USD TRANSFER GOOG 02107119 CUSTOMER AUTHORIZED CARVANA CO CL A TRANSFRM N46.024943 25.000.000 825.500.00 USD TRANSFER CYNA 02107119 CUSTOMER AUTHORIZED CITIGROUP INC DEP SHS REPSTG 11300 TH PFD SER K DIV 79,000.000 2.101.400.00 USD TRANSFER C PRX 6.875% PERPETUAL LI ATY PERPETUAL CALL IV512302510 TRANS FRY N46-024943 02107119 CUSTOMER AUTHORIZED SW ORGAN CHASE 8 CO DEP SHS REPSTG 113N PFD SER 1 2,160,000 000 2,170,800.00 USD TRANSFER 46625HHA1 FIXED TO RTC RT BD 5.900% 04123/58 B/E DTD 04123/08 CIO TRANS FRIA N4G 024943 02107119 CUSTOMER AUTHORIZED UNITED TECHNOLOGIES CORP COM TRANSFRM H40-024943 15.000.000 1,810,800.00 USD TRANSFER UTX 02111119 YOUR ASSET TRANSFERRED AUBABA GROUP HLDG LTD SPONSORED ADR -5,000 000 -837.250.00 USD BABA USO 109W 127 DEB TO AM FRITRADE CLEARING. INC. A/C 867730320 02111119 YOUR ASSET TRANSFERRED ALPHABET INC CAP STK CL C 018 TO AM ERITRAD E CLEARING, -3,000.000 .3.285,030.00 USD GOOG INC. A/C 867730320 02111/19 YOUR ASSET TRANSFERRED AMAZON COM INC 018 TD AM OMTRADE CLEARING, INC. NC .1,000.000 .1,591,000.00 USD AM ZN 867730320 02111/19 YOUR ASSET TRANSFERRED BIOGEN IDEC INC CON 0138 TD AM FRITRADE CLEARING. INC. -2.095.000 -663.812 65 USD BUB AMC 867730320 02111119 YOUR ASSET TRANSKieitD CARVANA CO CL A 0138 TO AM ERITRADE CLEARING. INC. A/C -25.000.000 499,500.00 USD CYNA 867736320 02111119 YOUR ASSET TRANSFERRED KAI0OPHARM TH EMPEUTICS I NC COM 0138 TO AM ERIMADE .25,000.000 ,215,500.00 USD KPTI CLEARING. INC. A/C 867730320 02111119 YOUR ASSET TRANSi- UNITED TECHNOLOGIES CORP COM 018 TO AM ER1TRADE -15.000.000 4.810.800.00 USO UTX CLEARING. INC. NC 867730320 02115119 CUSTOMER AUTHORIZED APPLE INCCOM TRANSFRM N46.02611 100.000.000 17,042,000.00 USD TRANSFER AAPL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number: Bttnittg3)t. CONFID L- Page " of 13 bled tamient Clewing tbramb Prom. MC, a ebony armed Every Yew Shea 2007 sub~ of Me bake. New York ~on DAMMt RM ED COMMUMCATIM* Cemontim MMY Melon) n , EXCIUMICt Penhas MC. nWirte. fi liR,V;IWIYUPIVI 00046777 DB-SDNY-0009601 EFTA_00 I 57386 EFTA01289749 Transactions by Type of Activity (continued) Process, Had& Sell kneel Hapsection Dale Dale AdivAy Type Description Quantity Price Arrived lateral Amount Currenq Securities Withdrawals and Deposits (continued) 02128119 YOUR ASSET TRANSFERRED .135 INYTS GM BH GTD SR NT REG SISINt USA29866A653 .2.000.000.000 4.066.020.00 USD A29856ABS 7.250% 04/03/21 WE DTD 01103/14 CL8 018 TD AY ERITRADE CLEARING. INC. NC 867730320 02128/19 YOUR ASSET TRANSFERRED APOLLO GLOBAL MGM T LLC CL A SHS 0 118 TD AM ERITRADE -263.157.000 -7,710.500.10 USD APO CLEARING. I NC. NC 867730320 02128/19 YOUR ASSET TRANSFERRED APPLE INCCOM 018 TD AMDTITRADE CLEARING, I NC. NC -180,000.000 -31.167,000.00 USD AAPL 867730320 02128/19 YOUR ASSET TRANSFERRED ASSURANT INC FXD TO FLTG SUB NT 7.000% 03/271488/E DTD 4,000,000.000 .1,960,000.00 USD 0 462TAAK4 03/27/1 CLB 018 TD AM ERITRADE CLEAR NG. INC. NC 867730320 02128119 YOUR ASSET TRANSFERRED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5 950% 4,000,000.000 -3.037,500.00 USD 9296725 0 8/ V88 B/E DTD 081215 C1B 0138 TD AM ERITRADE CLEARING. I NC. NC 867730320 02128119 YOUR ASSET TRANSFERRED CITIGROUP INC DEP SHS REPSTG 1800TH PFD SER K DIV -79.000.000 -2.137.710.00 USD C PR% 6.875% PERPETUAL MATT PERPETUAL CALL 11112302510 0 118 TO AM ERITRADE CLEARING. INC. NC 867730320 02/28/19 YOUR ASSET TRANSFERRED CITIZENS COM MUNICATKINS CO SR NT FULLY EXCHANGED ,000,000.000 -998,750.00 USD 174538AWI FROM 945381X9 7 25% 0311/1 WE DID 03/23/07 018 TO AM ERITRADE CLEARING, INC. A/C 867730320 02/28/19 YOUR ASSET TRANSFERRED EXELA INTER LLC l MLA FIN INC GTD FIRST PRIORITY SR SECD .3.000.000.000 4.060.000.00 USD 30162RAA9 NT 144A 0.000% 07/15/23 WE DTD 0712/17 CLB 018 TB AM ERITRADE CLEARING, INC. NC 867730320 02/28/19 YOUR ASSET TRANS- GM AC CAP TR I GTO TR PFD SECS SER 2 CPN- 8.25% FREO -80.000.000 -2.079,200.00 USD ALLY PRA DRILY MATT-02/1/2040 CALL AN YTIM EQ25 W/30 DAYS BEGINS 02/15/1 018 TO AM ERITRADE CLEARING. INC. NC 867730320 02128/19 YOUR ASSET TRANSFERRED "MORGAN CHASE 8 CO DEP SHS REPSTG 19TH PFD SER 1 4,760,000.000 4,787,360.00 USD 46625HHA1 FIXED TO FLTG RT 80 5.990% 04/23/58 BtE DTD 04/23/08 CLB 088 TO AM ERITRADE CLEARING. INC. NC 867730320 02128119 YOUR ASSET TRANSFERRED LLOYDS BANKING GROUP PLC FXD RATE RESET ADD L TIER I -1.903,000.000 -1.961,993.00 USD 539439A64 SECS ISOM US539439AG4 2 7 500% 04/27/88 WE DTD 0 4/0 7I14 CLB 018 TO AM ERITRADE CLEARING. I NC. NC 861730320 Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 43,952,355.75 Dividends and Interest 02105(19 BOND INTEREST RECEIVED 3000000 SOUTHERN CALIF EDISON CO PREF SERE 6250% 93,750.00 USD 842400F02 0117/62 B/E DID 011712 CLB RD 0131PD 02/015 021109 CASH DIVIDEND RECEIVED 304000 MRS APPLE INC COM RD 02/11PD 02111/19 221,920.00 USD AAPL Page '2 of '6 Amount Number AI t nitttAt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Med Excellent Clearing dimes Pining LIC, a wholly owned Every Vex Since 2007 subsidiary*. Ilwa Sank of New VO4 Melon DAUM WED COMMSCATICOS esponthal (SW Mellon) EXCELLENCE Pemba* MC. mtrytt. F iliRnAIMYLEP10-000467 78 DB-SDNY-0009602 EFTA_00 157387 EFTA01289750 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) February 1, 2019 - February 28, 2019 )0UTH ERN FINA N CIA L LLC Roca' Tram Settlement Transaction Deg Me Activity Type Description Quantity Price Raved interest Amount Currency Dividends and Interest (continued) 02115119 CASH DIVIDEND RECEIVED CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5 950% DOO DOO .000 89,250.00 USD 172957.26 08/6188 B/E DID 08112/1CL6 RD 0201 PO 02/15/9 02119119 MONEY MARKET FUND CASH AC TR EMS GOVT 8 AGENCY INSTI. INCOM E REDEEMED 6,893.84 USD INCOME RECEIVED PER232045 02119119 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GTO TR PFD SECS SER 2 CPR. 42,939.12 USD ALLY PRA 8.125% FRED ORTLY M ATY-0 2/ 6/20 4 0 CALL ANYTIME 025 inner, 9 MONEY MARKET FUND 111130 DAYSBEGINS02MS RD 02f14 PD 021619 CASH AC TR DWSGOVT 24.45 USD INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 454,777.41 Distributions 02128/19 PARTNERSHIP DISTRIBUTION 26367 SHRS APOLLO GLOBAL M GM T LLCCL A SHS RD 02/21PD 117,367.92 USD APO 02/28/13 Total Distributions - U.S. DOLLARS 0.00 147,367.92 Fees 02/01119 FOREIGN CUSTODY FEE Fon Safekeeping AN 209 CUSP F613L-CII-4 -2.00 USD US0995197 Total Fees - U.S. DOLLARS 0.00 -2.00 Cash Withdrawals and Deposits 02107/19 CUSTOMER AUTHORIZED TRANS FRU N4G•024943 4.080.228.72 USD TRANSFER US0999997 02111/19 YOURASSET TRANSFERRM ACAT BALANCE 098 TD AM ERITRADE CLEARING. INC. NC 3,534,144.52 USD US0999997 861730320 02113119 FEDERAL FUNDSRECEIVED DEUTSCHE BANK TRUST 04851 96,235.04 USD USD999991 02/15/19 CUSTOMER AUTHORIZED TRANS FRY N46-02661 13,100.14 USD TRANSFER US0999997 Account Number CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Page '3 of '6 Rated Excellent Clearing Sae, Amboy LLC, a wholly owned Every Vex Site 2007 sublichme et The Rent of New York Mellon DAUM WED COMMUMCATIM Comentke (WIT Mellon) Cita/ANC( Penns[ rren-ter EniRnAckiiltar-IM_000467 DB-SDNY-0009603 EFTA_DO I 57388 EFTA01289751 Transactions by Type of Activity (continued) Process Trade Settlernerl Transadmn Date Date Adroit). Type Cash Withdrawals and Deposits (continued) 02119/19 COSTNERAUTHORIZED TRANSFER VS0999991 02119119 FEDERAL FUNDS SENT USD999997 02119/19 FEDERAL FUNDS66NT U50999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS Total Atoned Interest Total Amount Titieittions%mntery Totil Ammon Murat Total Amount Oniony USDEquivolent USD Equivskil EURO 57449.52 2,588,924.52 EUR 64,768.32 2,939,208.01 U.S. DOLLARS The price and quantity displayed may have been rounded. Desorption TRANS FRU N48428131 DEUTSCHE SANK TRUST DEUTSCHE SANK TRUST Quantity Price Admed tittered Amount Omar" 73,005 50 USD -12,808,253.53 USD -73,005.50 USD 0.00 -11,892,834.15 Client Service Information Your investment Swan:ZEN MARTIN ZBA AN 345 PARK AVENUE NEW YORK NY 13154 Your Account Informati n 4143888 44,078,271 81 USD 41,338.88 44,078,271.81 Doman termination Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield M ethod: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) Page 14 of 16 Atom( Number CONFID AL- Rated (Kant Every Yaw Since 2007 DAUM WED COMMUNCATIONS EXCULDCI C1n Swish Penton. U.C. • Sally owed subsidiary as Osaka New York Mete Carpontim (SW Mao) Penh...* IL C. rrrrte FiliFLAAWYDPA_00046780 DB-SDNY-0009604 EFTA_00157389 EFTA01289752 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Your Account Information (continued) February 1, 2019 - February 28, 2019 SOUTH ERN FINA NCIA L LLC ELECTRONIC DELIVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication Statements and Reports O Trade Confirmations O Tax Documents O Notifications O Prospectus • ProryiStarehoWerCommeniNtions You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • 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 . All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accout Number. CONFID AL— ,:c„„cm, Page 15 of 16 Rated Eicallent Every Vest Since 2007 OMAR RAC ED COMMUNICATIONS Vail INC t Clewing thconsh Penbang IIC.• wholly owned subsklin a The Bonita New York Mellon CorPonthm (MY Melba) Penhat 4C. newts. iliFLAUSELCat00046781 DB-SDNY-0009605 EFTA_00157390 EFTA01289753 Important Information and Disclosures (continued) The Role of Pershing (continued) One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitratorswho 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 w ith 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 U_C, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page '5 of '6 Account Number: 8[E111ttrAtti CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L bled CaMent Every Yea Since 2007 PALM MI ID COMMUNICATIONS EXCISLENC( Clam iThel habeg LIC, a .lolly armed vafdlcya The ear of New Yo4 Melba Caponthm (MY Man) Penne. LIX.rner-ter EilivACeily,em_00046782 DB-SDNY-0009606 EFTA_0015739 I EFTA01289754 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6/30 RED HOOK OUA RTER B3 ST THOM ASVIO 0 402 DeuttChe ROM POIsain *teeth MinMemet4 Mann. (*.watt 6m o; °retch, Omit Semerbes hc POw Yen Me 34$ NA 4.4w. )401bOr Now la Tog ;nit a',"' March 1,2019 - M arch 31 OS Account Number: Portfolio at a Glance This Period Year4o-Dele Your Investment Specialist. BEGINNINGACCOUNT VALUE 338,975,931.49 894,404,553.11 MARTIN ZEMAN Nel Cash Deposits and Withdrawats -199,415.39 .20,083,249.54 Nel Securities InfOuI of Account 40,073,800.00 .84,025,955.75 Adjusted Previous Account Value -1,288,063.90 -9,704,652.18 Dividends. Interest and Other Income 83.90 812,548.27 Other Transactions 0.00 42.38 Net Change in Portfolio' 1.288.000.00 8.892.158.29 EN DINGACCOUNT VALIT S0.00 so og Estimated Annual Income $11.956 83 Asset Summary 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Percent Mat Type Prlor Tuand Last Period DasPeriod 0% Cash, Money Funds, and Bank Deposits 8,127,337.23 190.331.49 0.00 0% Equities 81,283,745.18 38285:600.00 0.00 0% Fixed Income 24,903,470.70 0.00 0.00 0% Account Total $94,404,553.11 $38,975,931.49 $0.00 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ono nN F I D I A L-- Page 1 of 9 Rated tacaNnt Every Vox Since 2007 DAIJAR RAT ED COMMUNICATIONS EXCULENCC Owing Swish Paging PIC a Sally owned subsidiary The Bonita New York Mellon CorPontim (MY Mellon) Penmag LIX. inerrta 5-410-101—uuln 0 7 04 DB-SDNY-0009607 EFTA_00 I 57392 EFTA01289755 Summary of Gains and Losses ThisPeriod Realized Yer4o•Dale Uweaits4 Short-Term Gain! Loss 0.00 -132,436.95 0.00 Long-Term Gain! Loss 0.00 314,042.71 0.90 Net Gain! Loss 0.00 181,605.76 0.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1399 and/ or 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table angry EURO 1.1227 08907 HONGKONG DOLLAR 0.1273 7 8497 Exchange rates are based on interbank exchange rates as of 03/ 29/ 2019. Exchange rates can vary. Oairong USD Equivalent per VW Money Market Fund Detail Dote Activity Type Desalptlon Amount Blom Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.37% Activity Ending: 03! 07/ 19 03101119 Opening Balance 42,983.57 42,983.57 03/01/19 Deposit MONEY FUND PURCHASE 147,387.92 190,331.49 03/08119 Withdrawal MONEY FUND REDEMPTION -190,331.49 0.00 03108/19 Withdrawal SHARES REDEEM ED 13.90 -83.90 03108/19 Deposit ACCRUED DIVIDEND CREDIT 83.90 0.00 03/07/19 Closing Balance $0.00 Total All Money Market Funds $0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 9 Atom% Number. CONFIDO. Rated taceNnt Ern Vox Since 2007 DAIJAR WED COMMUNICATICt* EXC0AD.Ct Owing Inc. Pining LLC. • Say mend subsidiary ti Thellordtel New York Melon CoWatim (MY Melba) Penmet LIX. nimbi(F111nA1tY'JCSI2PM00046784 DB-SDNY-0009608 EFTA_00157393 EFTA01289756 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 M arch 1, 2019 - M arch 31, 2019 SOUTH ERN FINA N CIA L LLC Income and Exoense Summa y Taxable Current Period Non Taxable Taxable Year-to-age Non Taxable Dividend Income Equities 0.00 0.00 222,170.00 0.00 Money Market 83.90 0.00 11,956.83 0.00 Other Dividends 0.00 0.00 144,36240 0.00 Interest Income Bond Interest 0.00 0.00 243,750.00 0.00 Other Interest 0.00 0.00 42,939.12 0.00 Total Dividends, Interest, Income and Expenses $83.90 $0.00 $665,178.35 $0.00 Distributions Alternative Investments 0.00 0.00 0.00 147,36792 Other Distributions 0.00 0.00 48.38 0.00 Total Distributions $0.00 $0.00 448.38 1147,367.92 Portfolio Holdings Opening Ming Acatted Income 30•Day Desolation Ovally Balance Behest Wane This Year Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio Margin Balance Money Market CASH AC TR lAVSGOVT 8 AG INSIL 147,367.92 42,963.57 0.00 0.00 0.00 11,956.83 2.32% Total Money Market $42,963.57 $0.00 $0.00 $11,956.83 TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS $190,337.49 $0.00 $0.00 $11,956.83 Total Portfolio Holdings Merkel Value Awued Estimated IMaat Annul Income $0.00 $11,956.83 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) $0.00 Page 3 of 9 Account Number: a:wan:on CONFIDO. AL- Medea-64W Every War Shwa 2007 DALSAR WED COMMUNCATIONS MULE/4U Owing tlwoninenling PIC emboli/owned subsidiary or The Sank of New York Melba Cal:wake (SW Meson) Penne. LK. ritterter f IliatiAteaGM_ 00046785 DB-SDNY-0009609 EFTA_00157394 EFTA01289757 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price Securities for w hich a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www Pershing corn/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Sank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( is) (t) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 4 of 9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number: AI:6917O3,1:33 CONFIDO. L Rated taceilent Every Yew Sac 2007 DAIL& WED COMMLINICATICOS EXC0AD4C C Owing Sae. Pathan LIC, a wbolly owned subsidiary 011ie Sank of New York Mellon Cannatim (SHY Mellon) a... a a at Penne. KC iliRnAletql -410-101_,J004070° DB-SDNY-0009610 EFTA_00 I 57395 EFTA01289758 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Activity Summary (AD amounts snown vein oase currency) M arch 1,2019 - M arch 31,2019 SOUTHERN FINANCIAL LLC Credits Tits Period Debits This Period Net IbisPetiod Credits Yam-to-Date DebitsYear-to-Date Net Year-to-Date Securities Securities Bought 0.00 0.00 0.00 0.00 48.47 -48.47 Securities Sold 0.00 0.00 0.00 14,106.029.24 0.00 14,106.029.24 Securities Withdrawn 0.00 40.073.600.00 -40.073.600.00 0.00 -111.272,585.75 -111.272.58515 Securities Deposits 0.00 0.00 000 27.246.630 00 0.00 27,246.630.00 Total Securities $0.00 440.073.600.00 440.073,600.00 $41.352.659.24 4111272.634.22 469,919,974.98 Dividends and Interest $83.90 $0.00 $83.90 $665.178.35 $0.00 $665,178.35 Distributions $0.00 $0.00 $0.00 $117.367.92 $0.00 $147,367.92 Fees $0.00 $0.00 $0.00 $0.00 44.00 44.00 Other $0.00 $0.00 $0.00 $0.00 448.38 448.38 Cash Withdrawals 0.00 -190,415.39 -190,415.39 0.00 -24405.818.94 -24.405,818.94 Deposits 0.00 9.00 0.00 4,322,569 40 0.00 4,322.569.40 Total Cash $0.00 4190,415.39 4190,415.39 $4,322,569.40 424,405,818.94 420e83.249 54 Totals $83.90 410,264,015.39 440.263.931.49 $46.487.774.91 4135.678.50554 489.190.730.63 Transactions by Type Activity of Procne Nadel Settlement Transaction Date Dote Activity Type Description Quantity Price Accrued Intere9 Amount Currency Securities Withdrawals and Deposits 03111/19 03118119 SECURITYDELIVERED APPLE INCCOM 0534 INTERACTIVE BROKERS LLORETAIL NC -224.000.000 40,073,600.00 USD AAPL U2268698 Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 -40,073.600.00 Dividends and Interest 03/08/19 MONEY MARKET FUND CASH AC TR OWSGOVT 8 AGENCY INSTL INCOME REDEEM ED 83.90 USD INCOME RECEIVE) PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 83.90 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Acoount Number: At: CONFID L Rated hernent Every Veer Since 2007 DAIL& WED C0MMUMCATICMS EXC0AD4CC Page 5 of 9 Omit. Smith Patens LIC, a wholly owned subekhady or tae WS of New York Mellon Ceeponban (MY Mellon) Penne. µCinema,. f ineta:411YGM_00046787 DB-SDNY-0009611 EFTA_00 157396 EFTA01289759 Transactions by Type of Activity (continued) Process Trade Sett'user' Transadron Date Date Activity Type Cash Withdrawals and Deposits 03/08119 FEDERAL FUNDS 011 US0999991 Total Cash Withdrawals and Deposits -U.S. DOLLARS Description Quantity Price *caved Maid Amount Coning DEUTSCHE BANK TRUST 490,415.39 USD 0.00 -190,415.39 Total Value of Transactions 0.00 40,263,931.49 USD The price and quantity displayed may have been rounded, Client Service Information Your inwornantSpedakt.Zal MARTIN ZEMAN Telephone Number: 345 PARK AVENUE NEW YORK NY 13154 Canted laroemation Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication • Statements and Reports CO Trade Confirmations O Tax Docaments • Notations CO Prospectus • Proxy/Searencilder Communications You have not enrolled any of the above documents for electronic delivery. Please log in to your account to make any changes to your preferences. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 6 of 9 Accost( Number CONFIDO. AL- heed Cacellent Every Yew Shwa 2007 PAW RAI ID C0MMUNCATI0NS CO:WM( Owing tinge,. ',mks'. PIC. • wildly owned subsidiary a The brat ar New York Mellon Ccnaatim (MY Melon) Penhas MC. 'sent. F ilatatAtitgPM_00046 788 DB-SDNY-0009612 EFTA_00157397 EFTA01289760 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Standing Instruct' ns M arch 1,2019 - M arch 31,2019 SOUTHERN FINANCIAL LLC We are providing the below information on your behalf to allow you to confirm the Standing Instructions on this account. Our records indicate that you previously provided these Standing Instructions to your Investment Specialist as part of the account opening process or subsequent to opening your account. A standing instruction is an instruction an account holder gives to their Investment Specialist to permit the withdrawal or transmittal of funds or other assets from the account holder's account at regular intervals, or as needed. The items included below are both Instructions that appear to be third party asset movements, as well as first and third party journal Instructions for accounts that are custodied with Pershing. We may remove any standing instructions that have not been used in the past 36 months (except for Automated Clearing House (ACH) which does not expire). You have the ability to re-establish those instructions through your Investment Specialist. Please review all the below information carefully. If you have any questions or if any information is inaccurate, please contact your Investment Specialist. Ttaesadloo Type Redplent Rune Bank Name Receiving Account Nubby Sled Dale Reenact Amount Went, NON-USO WIRES DEUTSCHE BANK AG, LONDON DEUTG821 FED FUND WIRES DEUTSCHE BANK AG LONDON Important Information and Disclosures DEUTSCHE BANK POLSKA SA. ""3035 DEUTSCHE BANK TRUST CO. AMERIC ""-739 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 . All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 7 of 9 Account Number A: :,ittSc):32. CONFIDO. AL- Rated Clairol Every Year Shwa 2007 DALIMRAIIDC0MMLINICATI0NS EXCLUDICt Owing Sough holing PIC a Sally owned subsidiary albs Bonita New York Melon Cannatim (MY Mellon) Pentree u.0 arta fi ti RAVAtiliegt 00 046789 DB-SDNY-0009613 EFTA_00157398 EFTA01289761 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial organization's contact information can be found on the fir t page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time lim its 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 extant stated herein. The laws of the Rate of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 8 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number A: :,it'MO213 CONFIDO. AL- Rated (414rnt Every Vex Since 2007 DALBAR RAT ED CONVOCATIONS EXCIAL INC( Owing tfl# Paging ISC.• Sally owned subsidiary as Bonk of New York Mellon Cannatim (MY Meta) RentwwLI.C. 'newt*, Filitagtia00046790 DB-SDNY-0009614 EFTA_00157399 EFTA01289762 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION, RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOW TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES 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 REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX 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 GfVEN. 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 I'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 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 POSff IONER 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 WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: YVVAVBERSHING.COM/DISCLOWRES • 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 EQUITY AND OPTION ORDERS TO EXCHANGES. OR BROKER-DEALERS AS MARKET MAKERS OR AUTOMATED TRADING SYSTEMS (ATSS). CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. IN ADDITION, PERSHING ROUTES CERTAIN EQUITY TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THECOUNTER 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 I NB80) IN CERTAIN SECURITIES THAT ARE NOT ELECTRONICALLY QUOTED. 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 AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOIR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. If ANY Of 114 A•04 TERMS MD CONOMONS ARE UNACCEPTASEE TO TOO. PLEASE NOTIFY PEI4/410 RAMEOIMELY NWRRNOSY CERTIFIED MAA. TO CASE PERSHING PLAZA JERSEY Mt NJ 07399, ATM: LEGAL DUI Account Number: ItIMittnIff CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated helot Every Vox Since 2007 DALY.), RAlED COIMALNICATICt* EXCELLENCE Page 9 of 9 Owing Sae. habeg LLC, a wbolly owned subsdiarft of The Sank of New York Mellon Camonthal (MY Mellon) Panting LLC. metre. filiRAAPAIKeLGM_00046791 DB-SDNY-0009615 EFTA_00I57400 EFTA01289763