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efta-efta01290105DOJ Data Set 10Correspondence

EFTA Document EFTA01290105

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EFTA Disclosure
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15 I Deutsche Bank Baltimore, MD 212O3 SOUTHERN TRUST COMPANY INC ST THOM ASVI 00802 uteche Bank Securities inc M arch 1,2019 - M a 31 2019 Account Number: Portfolio at a Glance ThisPerIod Year-lo-Dale Your Investment Specialist. BEGINNINGACCOUNT VALUE Net Cash Deposits and Withdrawals Alta. $0.00 459.18 $5,205,298.67 4,290,057.99 Adjusted Previous Account Value 450.18 44,759.32 Dividends. Interest and Other Income 850.18 36,016.51 Net Change in Portfolio' 0.00 48342.15 tf4DINGACCOUNT VAWn $0.01n $0110 Estimated Annual Income 53.491 43 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Percent Ansel Type Prior Year-End Last Period llds Period 0% Cash, Money Funds, and Bank Deposits 4,392,828.67 0.00 0.00 0% Fixed Income 812,470.00 0.00 0.00 0% Account Total $5,205,298.67 $0.00 $0.00 Please review your allocation periodically with your Investment Specialist Summary of Gains and Losses This Perkd Raked Year4mDde traresized Long-Term Gain! Loss 0.00 -161.230.36 0.00 Net Gain! Loss This summary excludes transactions where cost basis information is not available. 0.00 -161,230.36 0.00 Page 1 of 7 Rated Emarnt Every Vex Sae. 2007 OMAR RATED COMMUNCATIONS EXCUIUKt CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) Owing enoYD. ',entity PIC a Sally owned subsidiary aT e Bonita New York Mellon CS (MY Melon) Penme. LIX arta MiFlatikiterAt 00041348 DB-SDNY-0010172 EFTA_OO157957 EFTA01290105 For Your Information The European Central Bank (the' ECB' ) and other credit institutions introduced negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 142 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. 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 142 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Deseription Amount Biwa Sweep Money Market Fund CASH AC TRDWSGOVT & AG INSTL Current Yield: 2.29% Activity Ending: 05/13/19 05101/19 Opening Balance 0.00 0.00 05/13/19 Deposit MONEY FUND PURCHASE 650.14 650.14 05/14/19 Withdrawal MONEY FUND REDEMPTION 150.14 0.00 05/14/19 Withdrawal SHARES REDEEM ED 41.04 .0.04 05/14/19 Deposit ACCRUED DIVIDEND CREDIT 0.04 0.00 05113/19 Closing Balance 50.00 Total All Money Market Funds 50.00 Income and Expense Summary Current Period Trade Non Toll* Year-to-Csale Retitle Non Taxable Dividend Income Money Market 0.04 0.00 3,491.43 0.00 Interest Income Bond Interest 650.14 0.00 32 52514 0.00 Total Dividends, Interest, Income and Expenses 5650.18 50.00 $36,018.57 50.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 7 Account Number. CONFIDO. A: crt c:a) Med Cacellent Every Year Shwa 2007 DALIAlt RAI ID COMMUNICATIONS EXCLUDICE Owing Sough penting ac a wally owned subsidiary e4 The brat a New York Mellon CAS (OW Mellon) LIX.rnerrter FIllaktiaGM_ 00047349 DB-SDNY-0010173 EFTA_00157958 EFTA01290106 Deutsche Bank Baltimore, MD 21203 Portfolio Holdings M arch 1,2019 - M ay 31,2019 SOUTHERN TRUST COMPANY INC Opening posing Acauecl Description Quantify Balance Balance Income CASH. MONEY FUN DS.AND BANK DEPOSITS 0 00% of Portfolio Money Market CASH AC TR 911/SCTOVT & AG INSTL Total Money Market $0.00 $0.00 $0.00 $3,491.43 TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS Income 30•Day Tittles Yield 0.00 0.00 0.00 3,491.43 2.31% Total Portfolio Holdings Portfolio Holdings Disclosures $0.00 $0.00 $0.00 $3,491.43 Mania Value $000 Aimed &imaled Were* Annuallecome $0.00 $3,491.43 Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services. w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "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 (EA!) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic, political, and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, 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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Amount Number CONFID At 0(1:3X:20 L Rateamant Every Vex dice 2007 DAIJAR MUD COMMUMCATIONS EXCOAD.Ct Page 3 of 7 Mat dwout. Pelbeg LIC, a wholly armed va+:ifna The lock of New York Mellon Conmeathm OINY Man) ElliRAg*IYULGMJ)0047350 DB-SDNY-0010174 EFTA_00 I 57959 EFTA01290107 Portfolio Holdings Disciosures (contsnued) 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 S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (to arn,un,s sno“n are .n case CreditsThis Perk4 Debits ThIsPerk4 Net TbisPeried CreelternMeate DetitsYeateci-Dete Net Year-le-Date Securities Securities Sold 0.00 6.00 0.00 861.21215 0.00 861.212.75 Total Securities $0.00 $0.00 $0.00 $861.212.75 $0.00 $861,212.75 Dividends and Interest $650.18 $0.00 $650.18 $36 016 57 $0.00 $36,016.57 Cash Withdrawals 0.00 450.18 450.18 0.00 4.290.057.99 -5 290 057 99 Total Cash $0.00 5650.18 4650.18 $0.00 45.290.057.99 45.290.057.99 Totals $650.18 4650.18 $0.00 $891229.32 45,290,057.99 44,392,828.67 Page 4 of - CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number A/CM:Mt:20 CONFIDO. L Med hallent Every Yew Shwa 2007 DRUM ItAl ID COMMLINICATICNS EXCIMENCC Owing IMO. Pegging LIC. a.lgpy owned subsidiary*. Ille &onkel New York Mellon CAMmatim (MY Mellon) Penan LIX. note,F liRA.4041 00047$51 DEt-SDNY-0010175 EFTA_00I57960 EFTA01290108 Deutsche Bank Baltimore, MD 21203 Transactions by Type of Activity Process Settlement Date Ai:flyby Type March 1, 2019 - May 31, 2019 SOUTHERN TRUST COMPANY INC Description OuentIty Dividends and Interest 05/10119 FOREIGN BOND INTRUST 780097AUS 05114119 MONEY MARKET WND INCOME RECEWED PER232045 Total Dividends end Interest - U.S. DOLLARS Cash Withdrawals and Deposits 05114119 FEDERAL FUNDS SENT 993999997 Total Cash Withdrawals and Deposits -U.S. DOLLARS ROYAL BK SCOTLAND GROUP PLC ADR SERU REPSTG PREP U 4,000,000.000 SITS 7 640% 1310 4/88 BIE RD 06/28 PD 06129113 RATE ADS CASH AC TR DWSGOVT d AGENCY INSIL INCOME REDEEM ED Price Accrued Interest Amount Currency 650.14 UST) 044 US0 PMORGAN CHASE BANK, Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 650.18 450.18 USD 0.00 450.18 0.00 0.00 UST) Your Invetiment Specialist: ABR Contact Infoimition NEW YORK NY 10154.0003 Your Account Informal' n Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: Default Method for Stocks in a Dividend Reinvestment Plan Default Method for all Other Securities: BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Accrual market discount method for all other bond types: Include market discount in income annually: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) First In First Out First In First Out First In First Out Yes Constant Yield Method No Page 5 of 7 Assault Number EtfU li:25 CONFIDg AL- Rated (scant [very Vex Sect 2007 DALUR RAT ED COMIWAICATIONS ExCULENCt Owing through Meting LLC • Mealy owned subsidiary ollbe brad New York ~ha CaPonth20 (IIMY MOM Penh... MC. imnter latagritePA 00047352 DB-SDNY-0010176 EFTA_00157961 EFTA01290109 Your Account Information (continued) ELECTRONIC D ELI V ERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication Slaternents and Reports O Trade Confirmations O Tax Comments O Notifications Prospectus Proxy/Sliareholder 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 Disclosures The Role of Pershing Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does It assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 113-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. Pershing is a member of the Securities Investor Protection Corporation (aPct. 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.comi 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. Yur fin ni l r nization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 6 of 7 Account Number A: crtat:::?3 CONFIDO AL- Rated fire ant Every Ye• Shwa 2007 OMANIRAIID CONVOCATIONS CO:WM( Owing through holing IIC.• Sally owned subsidiary e4 TM Bonita New York Mao CoPoratim (MY Melba) Penhal; MC. rrenkar m,Rng4;fCaCat00047353 DB-SDNY-0010177 EFTA_00157962 EFTA01290110 Deutsche Bank Baltimore, MD 21203 Important Information and Disclosures (continued) M arch 1,2019 - M ay 31,2019 SOUTHERN TRUST COM PA NY INC Important Arbitration Disclosures (continued) The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date The panel of arbitrators 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, Jersey City, New Jersey 07399; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number CONFID L4- RaleamearM Every Vex Site 1007 DAL/MtMUD COMMUNICATIONS EXCIMENC( Page.' of °wring Sae. Paging LIC, a Mlolly armed subekharft et The km of New York Mellon Ceeponthm (111a Mellon) PerItre. . Ell4RA 1;:SYY42LCAl_0004 7354 DB-SDNY-0010178 EFTA_00 157963 EFTA01290111 Deutsche Bank Baltimore, MD 21203 SOUTHERN TRUST COMPANY INC ST THOM ASVI 008 02 DeutwTheNn1P6saireittikMNI4e..... Malets“veratt Ow, Dretcheihodnewmeinc. ToU'rtie Cirtc: February 1,2019 - Februar 28 2019 Account Number: Portfolio at a Glance thisPerlod Yew-to-Ciete Your Investment Specialist BEGINNINGACCOUNT VALUE $1,297,789.90 $5,205,298.67 Mialid i ln AN Net Cash Deposits and Withdrawals 4,289,40711 4,289,407.81 Adjusted Previous Account Value 8,382.09 44,109.14 Dividends, lathiest and Other Income 405.16 35,366.39 Net Change in Portfolio' -8.787.25 48,742.75 hi t Ir i,S;t~UI III i_tl: $0.00 Estimated Annual Income 53.491 39 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Percent Prom Type Prior Trim-Bid Last Period Tills Period 0% Cash, Money Funds, and Bank Deposits 4,392,828.67 127.769.90 0.00 0% Fixed Income 812,470.00 870.000.00 0.00 0% Account Total $5,205,298.67 $1.297.789.90 $0.00 Please review your allocation periodically with your Investment Specialist. Summary of Gains and Losses This Period Rafted Year4otinte Umeslized Long-Term Gain! Loss -161,230.36 -161.230.36 0.00 Net Gain/ Loss This summary excludes transactions where cost basis information is not available. -161,230.36 -161,230.36 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 1 of 8 E PUNFID I . ANNAssalint Every Vox Since 2007 DAIJAR MUD CONVOCATIONS Owing Swab holing Li t.• Sally owned subsItliNy e4 The Bonita New York WON CielnatiNI (MY NAN) Penn.'s U.C. myna, FilatagtreaGM_CICI047355 DB-SDNY-OO1O179 EFTA_OO157964 EFTA01290112 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 1342 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Adivity Type Desatlion Amount Blom Sweep Money Market Fund CASH AC TR DWSGOVT 8 AG INSTL Current Yield: 2.31% Activity Ending: 02/ 13119 02101/19 Opening Balance 427,789.90 427,789.90 02113/19 Deposit MONEY FUND PURCHASE 861,212.75 1,289,002.65 02/14/19 Withdrawal MONEY FUND REDEMPTION 4,289,002.65 0.00 02/14119 Withdrawal SHARES REDEEM ED 405.16 405.16 02/14/19 Deposit ACCRUED DIVIDEND CREDIT 405.16 0.00 02/13/19 Closing Balance $0.00 Total All Money Market Funds $0.00 Income and Expense Summary Current Period Yeer4o.Date Taxable Non Taut* Tootle Non Usable Dividend Income Money Market 405.16 0.00 3,491.39 0.00 Interest Income Bond Interest 0.00 0.00 31,87500 0.00 Total Dividends, Interest, Income and Expenses $405.18 50.00 535,388.39 50.00 Portfolio Holdings 0 Going Awned IMMO 30.0ay Description Duality Bins Bans Income This Yon Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio Money Market CASH AC TR DWS GOVT S AG PM Total Money Market CONFIDENTIAL — PURSUANT TO FED. R CRI AA. P. 6(e) 427,789.90 $427,789.90 0.00 $0.00 0.00 3,491.39 2.31% $0.00 $3,491.39 Page 2 of 8 Account Number CONFIDO. L Rattassant Every Vex Since 2007 DALIIM WED COMMUNCATIONS EX( CIL DrC Owing tinge,. holing Ilt. a wholly craned subsidiary e4 TM Bonita New York Melba Cannatim (MY Melba) Penne.* MC. 'smite. ninfiakkaat00047356 DB-SDNY-0010180 EFTA_00157965 EFTA01290113 Deutsche Bank Baltimore, MD 21203 Portfolio Holdings (continued) February 1,2019 - February 28, 2019 SOUTHERN TRUST COM PA NY INC Description Quantity CASH, MONEY FUNDS, AND BANK DEPOSITS (continued) TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Opening Closing Balance Balance $427,789.90 00.00 Market Value Austad looms locome 30-Day TidsYear Yield 00.00 83,491.30 Accrued Estimated IMerest Annuid Income Total Portfolio Holdings so 00 90.00 83.491.39 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. M arket prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THESTATEM 84T DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.corni disclosures for specific details as to formulas used to calcu late 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. 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 196, unless a particular rate is required by applicable law. Your financial CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: AiOnt:6 CONFIDO. AL- Page 3 of 8 bled baked Every Year Age 2007 DA UM RAI ID CONVOCATIONS EXCWINCIE Owing engemPent/in. Ilt. a Sally craned subsidiary a The Bonita New York Melee Colneatim (OW Meta) Ptnhet; LI.C.inernte. FIIIRactlYIELCat00041357 DB-SDNY-0010181 EFTA_00157966 EFTA01290114 Portfolio Holdings Disclosures (continued) Foreign Currency Transactions (continued) 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 gate Description Dispowl Date Acquired Designation Deposition Method r Tiamadion Quantity Proceeds Cod Basis Realized Debates Long Term BUCKEYE PARTNERS LP 02111119 FLTG RATE NT 6.375%0122/78 B/E DID 0122/1 CLB Security Identifier: 11230A50 Total Long Term Total Short and Long Term 01125118 Covered Rrst In First Out I sat Original Cost Basis: 1013.756.00 1,000,000.000 857.494 00 857.494.00 857.494.00 1,018,724.36 1,018,724.36 1,018.724 36 -161,230.36 ,161,230.36 ,161,230.36 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 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. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments. but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing 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. Page 4 of 8 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number: At OWW))19 CONFIDO L Rated (want Every Vex Sine 2007 DAUM), MAIM COMMUNICATIONS Cita/ANC( Owing tlarartim LI.C, a -holly owned subsay or The Ilardi or Net York Mellon Conmeathm OW Man) Pentmg MC. rren-ter miRAAcklguLGM_OOO47358 DB-SDNY-0010182 EFTA_00 I 57967 EFTA01290115 Deutsche Bank Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) February 1,2019 - February 28, 2019 SOUTHERN TRUST COMPANY INC 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. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRSForm 1099-B. Messages Although a money market mutual fund seeks to preserve the value of your investment at 51 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 (Au an'our:s sitvirn are))) one ...„%y) Cr edits TNs Period Debits TillsPerkid Net TIOsPeriod Credits Yesio..Date DealtsYearimaate Net Year.to.Date Securities Securities Sold 861,212.75 0.00 861.212 75 861.212.75 0.00 861,212.75 Total Securities $861.212.75 $0.00 $861,212.75 8861,212.75 50.00 $861,212.75 Dividends and Interest $405.16 $0.00 5405.16 $35.366.39 $0.00 $35.366.39 Cash Withdrawals 0.00 .1,289,407.81 1,289,407.81 0.00 4,289,407.81 5.289.407.81 Total Cash $0.00 41,289,107.81 41,289,407.81 $0.00 45,289,107.81 45,289,107.81 Totals $861.617.91 41.289.107.81 4427.789.90 $896,579.14 45.289.407 81 41.392.828.67 Account Number At 0W'S)) IS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Mcd baked Every Yew Age 2007 DALIMA RATED COMMUMCATICMS EXCIUNCIE Page 5 of 8 aerie Sae. Pathan Ltd, a wholly owned subekhady or Ilya UM of NeveYork Menon &notation (MY Mellon) ucnwritafilien StlYGM_00047359 DB-SDNY-0010183 EFTA_00157968 EFTA01290116 Transactions by Type of Activity Process Trade Settlernerl Transaction Date Date Acrid)* Type Description Quantity Price Maud Interest Anus' Currinq Securities Bought and Sold 02/13/19 02111/19 SOLD BUCKEYE PARTNERSL P AXED TO FLTG RATE NT 8.375% 4,000,000.000 85.7500 3,718.75 861,212.75 USD BPL4588115 0122/78 WEND 0 /MB CUI VARIABLERATE Total Securities Bought and Sold -U.S. DOLLARS 3,718.75 861,212.75 Dividends and Interest 02114/19 MONEY MARKET FUND CASH AC TR DWSGOVT 8 AGENCY INSTL INCOM E REDEEMED 405.16 U50 INCOME RECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 405.18 Cash Withdrawals and Deposits 02114/19 FEDERAL FUNDS SENT DEUTSCHEBANK TRUST 4,289,407.81 USD USD999197 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -1,289,407.81 Total Value of Transactions 3,718.75 427,789.90 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Seedalitt: ZEN NEW YORK NY 10154 Your Account Information Caned inrommion Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: Default Method for Stocks in a Dividend Reinvestment Plan Default Method for all Other Securities: BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Accrual market discount method for all other bond types: Include market discount in income annually: CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) First In First Out First In First Out First In First Out Yes Constant Yield Method No Page 6 of 8 Account Number: CONFID At ODE/CMS Paled (wart Levy Yaw Since 2007 DAUM MILD COMMUMCATICM EX( MENU Owing through Posting PSC. nob* mond suboldiarft time Bonita New York Malan CoMatimi (MY Meta) Penne. MC. intrite Alitatikkur- 40 00041360 DB-SDNY-0010184 EFTA_00157969 EFTA01290117 Deutsche Bank Baltimore, MD 21203 Your Account Information (continued) February 1,2019 - February 28,201 SOUTHERN TRUST COMPANY INC ELECTRONIC DELIVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication O Statements aid Reports Trade Confirmations O Tax Documents O Notifications O Prospectus O 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 I nformat ion and Disclosures The Role of Pershing Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders: the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. Pershing is a member of the Securities Investor Protection Corporation (SIKES) 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 perching corn/ 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, Account Number At OPFS))1. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated (want Every Yaw Slate 2007 DAISMI MI ED commumcAncres EXCIILENCt Page 7 of 8 Clang tlaraang LIC, a ally armed Smear/ of The ear or New Yak Mellon Camonthm (MY Man) Pentmg Emen.g4nuf-Al_00047361 DB-SONY-0010185 EFTA_00 I 57970 EFTA01290118 Important Information and Disclosures (continued) The I f P rhin ntinued) 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 ants. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class 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, Jersey City, New Jersey 07399; Page 3 of 8 Account Number: AMMONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated heternt Oeming Swot. Pining LI.C, a wholly owned Every Yew Saxe 1007 sunshine/ aline &onkel New Yon; Mellon DALSAR WED COMMUMCATICMS Comonthen (SHY Mellon) nm EXCELLENCE Pr,an LIX. merott. Filien3OWql2P10-00047362 DB-SDNY-0010186 EFTA_00157971 EFTA01290119 I 5 I Deutsche Bank Baltimore, MD 21203 SOUTHERN TRUST COMPANY INC ST THOM ASV100802 Otunelve Sank Private Neagh litonsgenen4 Mulct Coaratt &owe 0vatsclw Sank Secy.'s.. Inc Frn Illrecl January 1,2019 - n r 19 Account Number: Portfolio at a Glance ThisPerlad Yeur4o-Date Your Investment Specialist: BEGINNINGACCOUNT VALUE 85,205,298.67 $5,205,298.67 MARTIN ZEMAN Net Cash Deposits and Withdrawals 4,000,909.00 4,000,000.00 Adjusted Previous Account Value 1,205,298.67 1,205,298.67 Dividends. Interest and Other Income 34,961.23 34,961.23 Net Change in Portfolio' 57,530.00 57,530.00 :12: I 4c .1.;:t..ro; LI I!: Accrued Interest $1,593.75 Estimated Anneal Income 368,838.23 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. IN El Permit Asset Type Arlie Yem-End Lad Period Ills Purled 33% Cash, Money Funds, and Bank Deposits 4.392.828 67 4,392,828.67 427,789.90 87% Fixed Income 812,470.00 812,470.00 870,000.00 100% Account Total (Pie Chart) 95,205,29887 $5,205,298.67 $1,297,789.90 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON At D FA L4- Rated Cmollent (way Yew Slme 2007 DALIAR ft/411D COMMLIMCATIOM5 EICallENU Page ' of S Owing themeliPenlong LI.C, a Mlolly armed soboldiady oiTM UM, of New York Mellon Comeabm (IMY in MC. rremter inRIAINALGM_0004 7363 DB-SONY-0010187 EFTA_00 157972 EFTA01290120 Summary of Gains and Losses Realized Long-Term Gain! Loss Net Gain/ Loss This summary excludes transactions where cost basis information is not available. For Your Information This Period Yetto•Dale Urealized 0.00 0.00 0.00 -141,725.42 0.00 -148,725.42 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. Money Market Fund Detail Date Adivity Type Dosaiplkol Amount Uwe Sweep Money Market Fund CASH AC TR DWSGOVT 8 AG INSTL Current Yield: 2.30% Activity Ending: 0 V 311 S 01/01119 Opening Balance 01/10/19 Withdrawal 01/23/19 Deposit 01/31119 Deposit MONEY FUND REDEMPTION MONEY FUND PURCHASE INCOM EREINV EST 4,392,828.67 -4,000,000.00 31,875.00 3,086.23 4,392,828.67 392,828.67 424,703.67 427,769.90 01131/19 Closing Balance $427,789.90 Total All Money Market Funds $427,789.90 Income and Expense Summary Untie 0.1111111 Period Non Taxable Taxable Yes-le-Date Non Taxable Dividend Income Money Market Interest Income Bond Interest 3,086.23 31,875.00 0.00 0.00 3,088.23 31,875.00 0.00 0.00 Total Dividends, Interest, Income and Expenses 534,961.23 $0.00 $34,961.23 $0.00 Page 2 of 8 CONFIDENTAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: ACC:Want:21 CONFIDO. AL- Mal balks* Every Yew Shwa 2007 0ALSAR RAI ED COMMJNICATIONS exattma twin: through holing Ilt. • Salk owned subsidiary SIMUnita New York Mellon Cal:anti:a (MY Mellon) Penne. MC. newt*, FilitallAWALGIA 00047364 DB-SDNY-0010188 EFTA_00157973 EFTA01290121 Deutsche Bank Baltimore, MD 21203 Portfolio Holdings January 1, 2019 - January 31, 2019 SOUTH ERN TRUST COMPANY INC I flown' Adivity clown Date Ouantiy Number Siding CASH, MONEY FUNDS, AND BANK DEPOSITS 33.00% of Portfolio Money Market CAM AC TR DWSGOYT 8 AG INSTI. 01101/19 427,789100 WA 01131119 Total Money Market TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Aquaria Dote Acscrked neatly Wit coal Cod eat FIXED INCOME 67.00% of Portfolio (In Maturity Date Sequence) Corporate Bonds BUCKEYE PARTNERS L P TO RIG RATE NT 6.375% 0122/78 WE OTD0122113CALLA8110122/23Moody Rating Elatsla P Rating BB 01125/18 1,000,000.000 101.8730 1,018,725.42 87.0000 Original Cost Basis: St01,75000 870,000.00 -148,725.42 1,593.75 63,750.00 Total Corporate Bonds 1,000,000.000 31,018,725.42 3870,000.00 4148,725.42 31,593.75 363,750.00 TOTAL FIXED INCOME 1,000,000.000 31,018,725.42 $870,000.00 4148,725.42 31,593.75 363,750.00 Opening Nance Closing Baknce Acaued Income income nitsZeie 30-Day Current Yield Yield 4,392,828.67 427,789.90 0.00 3,088.23 2.30% 34,392,828.67 $427,789.90 30.00 $3,086.23 34,392,828.67 3427,78990 30.00 93,086.23 Mulud Rice Market Value Security Identifier 18230893 2.30% Unrealized Accrued EshmMed Estimated Gan!' Loss Interest Annual income Yield Codes* MarkelWS llarealized Gilt/Loss Total Portfolio Holdings 31,446,515.32 31,297,789.90 4148,725.42 Acaued Voted $1,593.75 7.32% Ediented Annual locum 366,836.23 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 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as 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 paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may Page 3 of a CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: ecomessem CONFIDO. AL- Rated (wart Every Vex Since 2007 DAUM WED commumcAncres EX( CIL t Owing tinge. Pasting Ilt, a wholly craned subsidiary a The Unit a New York Mellon Cannatim (MY Maw) Penne. LIX.inerrte, F ilitactlYIELGM_000473135 DB-SDNY-0010189 EFTA_00157974 EFTA01290122 Portfolio Holdings (continued) 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. 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 "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.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. 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 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 convened 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. Page 4 of 8 Account Number: At 0:53WS10:21 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L eateameamt Every Vex Sect 1007 DAIJAR MUD COMMUMCATICMS CICOAD.Ct Oaring iThel habeg LIC, a wholly owned subekhady el Ilie Snake. New York Mellon Ceeponthal (SPO' Mellon) Penh...* u.c.neirta tatetAlAtlY42PM_00°47366 DB-SDNY-0010190 EFTA_(( )157975 EFTA01290123 Deutsche Bank Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) January 1,2019 - January 31,2019 SOUTHERN TRUST COMPANY INC 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 (3, DIV, INT, M ISC and DID): 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 1099 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 10 99 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 $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 (Au amoun,ssnon n are.n case ...erren_y) (Neils TN; Period Debits This Peilod Net ThisPeriorl Credits Yemeo-Date Debits Year4o-Date Net Year-to-Date Dividends and Interest $34.961.23 $0.00 $34.961.23 $34.961.23 $ 0 00 $34,961.23 Cash Withdrawals 0.00 4.000.000.00 4,000,000.00 0.00 4.000.000.00 -4.000.000.00 Total Cash $0.00 44.000.000.00 44.000,000,00 $0.00 44.000.000 00 44.000.000.00 Totals $34.961.23 44,000,000.00 43,965,038.77 $34.961.23 44,000,000.00 43,965,038.77 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number At 0:5)!CS10:2) CONFID L Rated Emeeent Every YON Axe 2007 DMJARRMEDC0MMUMCATICMS EXCIEILENCl Page 5 of 8 Meng Sae. Penbeg LIC, a wholly armed subekhady ol The km of New Yeti; Mellon CemontSi OW Melon) Penh,* mete, f iliRIANItar-Al_ 0004 7367 DB-SDNY-0010191 EFTA_00 157976 EFTA01290124 Transactions by Type of Activity Process, setiement Chute Activity Type Dividends and Interest 01122/19 BOND INTEREST RECEIVED 1000000 BUCKEYE PARTNERS L PH= TO FUG RATENT 19230ASO 8376%0122178 EVE DTD 0122/11 CL8 RD 0111 P00922/1 01/31/19 MONEY MARKETFUND CASH AC TR DWSDOVT INCOME RECEIVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 34,901.23 Cash Withdrawals and Deposits 01110119 FEDERAL FUNDSSENT DEUTSCHEBANK TRUST 4,000,000.00 USD US0999997 Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 4,000,000.00 Description Quantity Price AoQued lateral Amount ClIMIllq 31,815.00 USD 3,086.23 USD Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Your Investment Specialist ZEM NEW YORK NY 10 154 Your Account Information 0.00 4,966,038.77 USD Contact Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION B_ECTIONS 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 Page 6 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: At 0:531WX:21 CONFID AL- Med Exam Every Yew Shwa 2007 DALIAlt ItAl ID COMMUNICATIONS EXCLUENCl Owing tinge,. hating LLC. • Way owned subsidiary el Ilwa &onkel New York Mellon Cannatim (MY moon) Penhnt LLC. intetar f I lillactlYASIM_00047368 DB-SDNY-0010192 EFTA_00157977 EFTA01290125 Deutsche Bank Baltimore, MD 21203 Your Account Information (continued) January t 2019 - January 31, 2019 SOUTH ERN TRUST COMPANY INC ELECTRONIC D EUVERY Your electronic delivery selections for account communications are listed below: Electronic Delivery Enrollment Communication O Statements and Reports Trade Confirmations O Tax Documents Notifications Prospectus O Proxy/ShareholderCommunication, 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 (201) 4134333. 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 (SIPC11). 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.cornt 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, Page 7 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: ACC:SW:SIMI CONFIDO. AL- RAW t•eawn (wry Veit since 2007 OMAR RATED COMMUNICATIONS EXCIA INC t Oaring tn# •ants ISC. • wholly owned Smear/ el The Simko. New York Mellon Omponthal (MY Meta) Penh...* nwrter Filatikkeyeat 00047369 DB-SDNY-0010193 EFTA_00157978 EFTA01290126 Important Information and Disclosures (continued) The l fPrhin ntinued) 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 ants. w itn ess statements and other discovery is generally more limited in arbitration than in court proceedings. The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class 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, Jersey City, New Jersey 07399; Page8 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number Ate:Si:MOM CONFIDOWAL4 Rated (meet Every Vex Sine Mel DAIL& ItAl ED COMMUNICATIONS EXCOAENC( Owing IMO. Mains LI.C, a wholly ...toed subsidiary*. Ilie &onkel Haw York Mellon CciPontim (MY Mellon) aaa a a Pemba* 4C. note itS-le l —uuv"707u DB-SDNY-0010194 EFTA_00 I 57979 EFTA01290127

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