EFTA Document EFTA01290128

Deutsche Asset & Wealth Management P.O. Box 1778, Balamer*. MD 21203 OraIsre Ram go...W.4i PIMamie,. Pdvects °siege 4.p.p Dettuht Mai sewn.. Ac lir. %A Oat* Part Anne,. 160. I to 14,. vest 10. 1011.4 Ilul 4,44,821. Ins) 7.114,11S Valuation at a Glance Account Number: Statement Period:1210112014 - 12131/2114 This Period Year-to-Oate JEEPERS INC Beginning Account Value $28,0114,881.62 $45,708,211.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 168,911.94 -19,498,214.84 ST THOMAS VI 00802 Adjusted Previous Account Value 18,251,600.46 21,211,041.27 Dividends. Interest and Other Income 13,801.95 81,982.97 Net Change in Portfolio -32,183 94 *810.77 ncling Account Value $26 233 218 47 S26,233 2'3 4" Eslcm ated Annual Income 576 527 05 Your Client Advisor: DANIEL SABBA Asset Allocation Prior Year-hd Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 44,148,000.42 24,493,658.23 24,651,191.32 94.01% LSD Fixed Income 1.560.280 69 1.591.030.29 1 572.024 15 5.99% r Account Total (Pie Chart) $45,708,261.11 128,084,618.62 $26,233,218.47 100.00% See the Asset Mocation Disclosure and Footnotes secton for mportant informaton regarding your Asset Alscateso CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFI D('DEPAt fisA L soloimicsr3m3 P ease RI ioza! o- Page 1011 Rated Excellenti L....my year Sine. 2007 DALBAR RATED COMMUNICATIONS rxenurrder oatarre=rro..7.Z.rt," SDNY_GM_00047398 OB-SDNY-0010222 EFTA_00158007 EFTA01290128 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year4o-Date Short-Term Gain/Loss 000 0 00 2.10788 Long-Term Gain/loss 000 0 00 -54.077.21 Net Gain/Lou 0.00 0.00 -59,185.09 This summary excludes transactions where cost basis information is not available. For Your Information Cr June 5, 2014, the European Central Bank (the -BCE) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECG and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as Tree Credit Balance Interest Charge. The interest will be reported on your Forms 1099 and/or 1042S for tax year 2015. These rates are subject to change in response to market changes, and we may. in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Adivity Type Description Sweep Money Market Fund DWS GOVERN II ENT CASH INSTL Account Number: 0000001491 Current Yield 0.03% Activity Ending: 1213f114 11129114 Opening Balance 12/31114 Deposit INCOME REIN VEST 12131114 Closing Balance Total All Money Market Funds Amount Balance 24,493,65823 624.15 24 493,858 23 24 494,282 38 $24,494,282.38 $24,494,282.38 ncome and Expense Summary DJ rrent Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 624.15 0.00 5,356.54 0.00 Other Dividends 13,177.80 0.00 72,57423 0.00 Interest Income FIX Insured Bank Deposits 080 0.00 4,052.20 0.00 Total Dividends, Interest, Income and Expenses 813,801.96 60.00 $81,982.97 60.00 Page 2 011 Account Number 1,(iAi paperless JEEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON Fl DrIcTIAL Rabid Lao-SYS Event Year Sava 2007 DAL BAR RATED COMMUNCATIONS 8,m:tunic? SDNY_GM_00047399 DB-SDNY-0010223 EFTA_00 I 58008 EFTA01290129 O Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Portfolio Holdings Account Activity Opening Date Quantity 'lumber Ending Cash, Money Funds, and Bank Deposits 9 4.0 0% of Portfolio Cash Balance Money Market DWS GOVERN M BIT CASH INSTL 11129114 24,494,282.380 000000t491 12131/14 Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11129114 N4G024935 12(31114 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Date Acquired Chastity Unit Cost Cost Basis Onto< Ram Ionle w,Y n Manapnern Went, Cpetrar Gtcs.p Des-b04 ML SCIA,lei Na Nyev.40st* PiA 4.1/409. MTh I ber New** M' 10114 454.71119.1115178•471S Statement Period: 1210112114 • 12/3112014 Opening Balance Closing Bataace Accrued Income Income IbisYear 30-Day Carrell Yield Yield 0.00 166,911.94 24,193,658.23 24,494,282.38 0.00 5,356.54 0.03% 0.03% $24,493,658.23 524,494,262.38 $0.00 55,356.54 0.00 0.00 0.00 4.052.20 NM NM 60.00 30.00 6100 54,052.20 524,493,658.23 $24,661,194.32 $0.00 thirealited $9,408.74 Estimated Estimated Market Price Markel Valle Gait! Loss Annual Income Yield Mutual Funds 6.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND SELECT STARES Open End Fund Dividend Option: Reinvest. Capital Gains Option: Reinvest Security Identifier: .PHSX USW- 481211510 02113113 13 148,957.299 10 0700 1.500.000.00 9 7200 1,447,664.94 -52,135.06 61,817.27 4.26% 03101113 13 533.047 10 0600 5,362.46 9 7200 5,181.22 -181.24 221.21 4.26% 04101113 13 591.454 10.1100 5,979.61 9 7200 5,748.94 -230.67 245.45 4.26% 05101/13 13 562.992 10.1300 5,703.11 9 7200 5,472.28 .230.83 233.64 4.26% 06103113 13 567.343 10 0900 5,724.50 9.7200 5.514.57 .209.93 235.45 4.26% 01101/13 13 500.501 9.9700 1,990.00 9.7200 4,864.86 •125.14 201.11 4.26% 08101113 13 527.821 10.0600 5,309.94 9.7200 5,130.47 .179.47 219.05 4.26% 09103113 13 531.248 10.0300 5,328.42 9.7200 5163.74 464.68 220.47 4.26% Reinveslments to 8.959.169 10.0250 89.811.20 9.7200 87,083.13 -2.728.07 3.718.06 4.26% Date Total Covered 161,730.880 1 626 209 24 1,572,024.16 -66,186.09 67,118.31 Total 161,730.880 $1,626,209.24 $1,572,024.16 -$56,165.09 $67,118.31 Total Mutual Funds $1,626,209.24 51,572,024.16 -256,185.09 $67,118.31 80100117CSF3 Account Num be, BAH ROLL Go paperless .EEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6() CON FIDAENTIAL Page 3 of t1 listed enrolls rdi (very Vs., Lace 2007 DAL BAR RA TED COMMUNCATIONS rxesturner SDNY_GM_00047400 OB-SDNY-0010224 EFTA_00 I 58009 EFTA01290130 Portfolio Holdings (continued) Unrealized Accrued Estimated Cod Basis Markel Valve Gain( loss Interest Annual Income Total Portfolio Holdings 126,289,403.56 126,233,218.47 • $56,185.09 10.00 116,577.05 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered " noncovered.' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 10994 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Cotter securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa•es Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection ComorationtSIPC). For disclosure of rates for DWS money market funds, please vise the DWS Investments website at https:friwter.dvesinvestments.conVEN(productsimoney-market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing In a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Please note the toclowng information for Pershmg's 20f 4 IRS Forms 1099 (8. DIV. INT O/D and MISC): Your form 1099 AA be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of sect rities you hold have not yet provided their final tax information. It will inform you of the securities that are pending Mal reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.cornibusiness_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Alocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers Whose introduced accounts have received an allocation. Securities registered in the clients name, either in transit or held in custody, are Page < of 11 Account Number Rau OftAit GO paper-less a LEPERS INC t‘rcr,iAV "°7 YMCA T LirrArtro CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFI DriScrii1/4L a "a SDNY_GM_00047401 OB-SDNY-0010225 EFrA_00 I 58010 EFTA01290131 Deutsche Asset & Wealth Management PO, Box 1778, Bahimore, MD 21203 M essa • es (continued) (Misr* Ram Vona nmanalunnd Pent% Iowa,. Gtcs.p Des-b1h4 la* Sel•nlei Mr Mt* Na Part Asere••. Ikh I bgr Neve RA 1,tt 10114 01114:44414.11151704,91, Statement Period: 1210112114 -1213112114 excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security. the total par value of the called securities held. and the trading unit of the security. Example (unit of trade r 525.000): Clknt Account ABC-123234 CEF-325465 EDR-567433 EGT-876574 RG7468345 FRT-435234 FRT.658797 575,000 3 Par Value Number of Trading Units $100,000 4 575,000 3 5150,000 6 $50.000 2 525.060 1 525000 1 u In brief, the allocation process involves the following steps: • The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). • A random number is generated that will result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. Account Nun ber °PAN MOI GO paperleSS ..EEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRII1,1. P. 6(e) CON FIDnetrAL Page 5 of 11 lila. 4..000 Every Vow' Woes 2007 DALBAR RATED COMMUNCATIONS rxerturnaer ..W.L."-ree..t.tgr4 MarAq r =r SDNY_GM_00047402 OB-SDNY-0010226 EFrA_00 15801 I EFTA01290132 M essages (continued) ' When a partial call is deemed favorable to the holders of the called security. Pershing will exclude certain accounts horn the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing taffies and clears those accounts). No allocation eel be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market pike as captured in Pershing's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one that is unfavorable to holders of the security. ' Clients have the right to withdraw uncaled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cat iiCtierns also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation Tor that such withdrawal will not cause an under-margined condition. Activity Sum m ary (Alf amounts show) are in base currency) °red Is This Period YearitoiDate Debits This Period Year-to-Date Securities SecuAbes Bought Total Securities Dividends and Interest Cash 0.00 10.00 $13,801.95 C: $0.00 111,982.97 Securities Secunties Bought Total Securities Dividends and Interest Cash -13.177.60 -$13,177.80 WOO -72,574.23 -$72,514.23 10.00 Withdrawals 000 000 Withdrawals 0.00 -26.563,460.12 Deposits 166 911 94 7.067 245.28 Deposits 0.00 0.00 Total Cash 5166,911.94 $7,067,245.28 Total Cash 00.00 421,663,480.12 FDIC Insured Bank Deposits $0.00 046,246,022.60 FDIC Insured Bank Deposits 00.00 -$2,000,022.11 Money Market Funds $0.00 112,011,513.28 Money Market Funds 4624.11 -031,665,195.06 Total Credits 6180,713.89 066,460,761.13 Total Debits -013,801.95 -$65,299,152.19 Pape 60 II Account A un ber MIAI1 Go paperiess LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F I ID-EN TEA L Rated tacolleril Only V... Some 2007 DAL OAR RATED COMMUNICATIONS rxciurrder r o..=... 1-=... SDNY_GM_00047403 DB-SDNY-0010227 EFIA_001 58012 EFTA01290133 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Transactions by Type of Activity Proceed Setthoed Data Activity Type Desaiotion (Misr< Rana Ponti wean IANI•eentIll Nyf6CPMIp4MY0 Dettlffil M sec.e*es lire *A Cali* IIIbnAnneklkhilber Neve vett. M. 1011.4 vuI 41:441188.111517M4M. Quid Statement Period: 12/01/2014 • 12/3112014 Price Awned littered Moult CUrrenq Securities Bought and Sold 12101114 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME RAD SELECT SHARES 533 542 -5,292.74 USD PH SX 180386.1180 SHRS SPAS PURCH. AT 69.92000 RD 11126 PD 12101111 12/31/14 REINVEST CAB- INCOME ?MORGAN R.OATING RATE INCOME FUND SELECT SHARES 811 220 -7,885.06 USD ,PI-SX 180919/800 SIRS SI- RS PURCH. AT $9.12000 RD 12129 PO 12131114 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -13,177.80 Dividends and Interest 12/01114 CASH DIVIDEND REEVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,292.74 USD PI SX 160386 1180 SHRS RD 11126 PD 12101/14 12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL 621.15 USD INCOME RECEIVED 233993882 12/31/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 1,886.06 USD Pr SX 180919.6600 SHRS RD 12129 PD 12131/14 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 13,801.05 Cash Withdrawals and Deposits 12/31/14 FEDERAL RADS RECEIVED P MORGAN CHASE BANK 27809 166,911 94 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 186,911.04 Money Market Funds 12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL INCOME REINVESTED -624.15 USD REN VESTM EN T 233993682 Total M oney M a rket Fund s • UNITED STATES DOLLAR 0.00 424.15 Total Value of Transactions 0.00 166,911.04 USD The pace and quantity displayed may have been rounded. OMAN ROLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page/ of 11 Account Number: excellent, Go paper beery Vas. Lace 2'007 et a rlarlat von is:wc.. %ear.. OW Ms* EEPERS CONFIDAriTriA ,D aLO xA tA RArTEDCOMMUMCATIONS SDNY GM 00047404 DB-SDNY-0010228 EFTA_00 158013 EFTA01290134 Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AMEN LE 267F FLOOR NEW YORK AY 10l54 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original issue discount (OID): No Amortize pram ium on taxable bonds based on Constant Yield Method: Yes ACCIUS market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Client Advisor for more inform anon. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information Isom 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 tine, 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 wiwrpershing.corNbusiness_continuity.htril for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 vii not receive confirmation of these reinvestments. Upon vntten 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. Options 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 km. 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 fmancial 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. 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 8 of 11 ORAlt e<>11. Account Num bar Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: PERS IN O N F I DAENTIA L Rai [mons nil Every VAN Siam 2007 CAL OAR RATED COMMUNICATIONS rxciturtraer et a rl. , =tat 'fait late ...... C.,4040.1inS4. Isa•IVACamir riS no SDNY_GM_00047405 OB-SDNY-0010229 EFrA_00I 58014 EFTA01290135 Deutsche Asset & Wealth Management PO Boa 1778. Baliimoro. MD 21203 Important Information and Disclosures (continued) Oralsre Ram °file 7MM n PAIMI,Nat I If•et% CO" v it 4.0., 177.004 Mai Se4wri Idrellert Olk• Hann Anovek Halter New Vert 10 10114 vu)eAaNL MAI 7$7001 Statement Period:1210112114 • 12/3112014 Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as cleating 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 (a) any other instructions concerning your account. Pershing is not responsible or kable 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. AI 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. II 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 (SIPCt). 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: vnviv.pershing.corrifstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed • Arbitration awards are 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 awsd, 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. Wt , col Account Num ber Go paperless Rs CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. INCC ON F I D AENTIA L Page Oaf it &Rod Locolioni tn.y v«. 5.100, 2007 DALBAR RAT ED COMMUNICATIONS w.t aaa —4-•••••••arvir SDNY_GM_00047406 OB-SDNY-0010230 EFTA_00158015 EFTA01290136 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413.3330. Page 10 of 11 Account Number Go paperless vEEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) CON FIDArarIAL Rasa tacelloni [Any Year Sine 2007 DAUM. RATED COMMUNICATIONS exclumer rt . a,. . 1" " "0. .7. "'It; SDNY_GM_00047407 O13-SDNY-0010231 EFrA_00 I 58016 EFTA01290137 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 SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH 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 COPES. MARGIN INFORMATION: IF YOU MAINTAN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE Aren INT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHNG MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DUALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WTYIN,PERSHING,COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: VW/W.PERSHING.COWBUSINESS_CONTINUITY.HTM. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 807(A)(1H2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECE NES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTA/N OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE MOVE TERMS AND OONDMONS ARE UNACCEPTABLE TO YOU, FLEASE NOTIFY PERM** NAMEMATRY W WRITING BY CERTFED WA. TO ONE PERMING RATA JERSEY CITY, NI OT3M, ATM LEOAL DEPT L)8A0 ROLL Account Number Go paperless EPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDEmismAt Page II of 11 Rated tacellbrill L vent Vs. Slate 2007 DAUM. RATED COMMUNKATIONS rxesurpser fm, /P....awe/a •••••.•,- SDNY GM 00047408 DB-SDNY-0010232 EFTA_00 158017 EFTA01290138 PO Om 1770. Mere" DM203 Onalsre Ram Pon. Wealth Ma nary Mir at, COM•4,4,0‘P ChtlAIX Mani StM1,34.. , K lire von Oat* Hann anew. bet New wet. %V 17114 0 20 0.4.7114. mat 78/74791, Account Number: Statement Period:11101/2014 - 11130/2114 Valuation at a Glance This Period Year-to-Date JEEPERS INC Beginning Account Value $28,143,228.77 646,708,261.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 43,453.28 -19,683,128.78 ST THOMAS VI 00802 Adjusted Previous Account Value 18,079,776.49 20,046,134.33 Dividends. Interest and Other Income 6,516.89 88,181.02 In et Chan e in Portfolio -1.60386 .28 626 83 nding Account Value 5 2 6 0 84 6 8 8.5 2 $26,084,688.52 Estmated Annual Income 574.703 2E Your Client Advisor: DANIEL SABEA Asset Allocation Prior Year-Fed Ltd Period This Period % Allocation USC Cast. Money Funds. and Bank Deposits 44,148,000.42 24,558,506.88 24,493,658.23 93.90% LSD Fixed Income 1.580.280.69 1.588.721.89 1.591.030 29 6.10% Account Total Ole Chart) 645,708,281.11 $26,143,228.77 $26,084,688.52 100.00% Seethe Asset kocaton Disclosure and Footnotes secton for important inbmtation revving yoirAsset Alocation. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) P ease re. Lew yo.• a *cep - Pop 1 of 8 A0111732CSP30016 CONFIghPagiderAL Baled Cmcolloni beefy Yew SW•Ce 2007 DAUM. RATED COMMUNICATIONS rxerumer ..-r.frazarsztratr=t--='..- SDNY_GM_00047409 OB-SDNY-0010233 EFTA_00 I 58018 EFTA01290139 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•to•Date Short•Term Gain/Loss 0.00 0 00 -944.23 Long•Term Gain/Loss 000 0 00 -23.056.92 Net Gain/Lou 0.00 0.00 44,00115 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Demriplion Amount Balance Sweep Money Market Fund DWSGOVERNI41347 CASH INSTL Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 11/28/14 11/01/14 Opening Balance 21551506.88 24,556,50818 11/12114 Deposit POKEY RAO PURCHASE 8,060.00 24,564,566.88 11/13/14 Withdrawal MONEY RAO REDEMPTION .71,51328 24,493,053.60 11128/14 Deposit INCOME REINVEST 604.63 24.493.658.23 11126114 Closing Balance $24,493,668.23 Total All Money Market Funds 624,493,668.23 Income and Expense Summary Curren) Period Year•toSale Taxable Noe Taxable Taxable Nom Taxable Dividend Income Money Market 604.63 0.00 4,732 39 0.00 Other Dividends 5.912 26 0.00 59.396 43 0.00 Interest Income FDIC Insured Bank Deposits 000 0.00 4.052.20 0.00 Total Dividends, Interest, Income and Expenses $6,516.89 $0.00 461181.02 $0.00 Page 2 of 8 Account Number: Monad tacelhinfi vent, Rou paperless Lvery Vest Lace 2007 LEPERS INC CALM. RATED COMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEErriA rxenurraer SDNY_GM_00047410 OB-SDNY-0010234 EFTA_00158019 EFTA01290140 Isre RIM Of 'file v....in Manair-wan Minett. COetrarGsp,p Desti.04 IP** Sel•nlei Yrs von Ci710, HI Part Annet Ikh I bgr War RA PA' 10114 01114:441114. OM) 7./.4,9S Statement Period:1110112114 • 11/3012014 Portfolio Holdings Account Opening Date Quantity 'lumber Activity Endiig Opening Balance Closing Balance Accrued Income Income This Year 30-Day Carrot Yield Yield Cash, Money Funds, and Bank Deposits 94.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 1110111/ 24,193,658.230 0000001/91 11128/14 24,556,506.88 24,493,658 23 0.00 1,732.39 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 1110111/ N16024935 11128114 324,558,506.81 0.00 324,493,668.23 0.00 30.00 0.00 34,732.39 1,052 20 NIA NIA Total FDIC Insured Bank Deposits 10.00 30.00 10.00 14,052.20 Total Cash, Money Funds, and Bank Deposits Date Asaeired Quantity Unit Cod Cod Bads 124,556,506.88 Market Price 324,193,658.23 Market Value 30.00 Unrealized Gaird Loss 31,784.59 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P M ORGAN FLOATING RATE IN COME FUND SELECT PARES Open End Fund Dividend Option: Reined; Capital Gains Online: Reined Security .PHSX CUSP. 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 9.9200 1,477,658.40 -22,313.60 61,221.45 4.14% 03101113 13 533.041 10.0600 5,362.46 9.9200 5,287.82 -74.64 219.08 4.14% 04101113 13 591.454 10.1100 5,979.61 9.9200 5,867.23 .112.38 243.09 4.14% 05101113 13 562.992 10 1300 5,703.11 9 9200 5,584.88 -11823 231.39 4.14% 06103113 13 567.343 10.0900 5,724.50 9.9200 5,628.05 46.45 233.18 4.14% 07101113 13 500.501 9.9700 1,990.00 9.9200 4,964.97 -25.03 205.71 4.14% 08101113 13 527.827 10.0600 5,309.94 9.9200 5,236.05 -73.89 216.94 4.14% 09103113 13 531.248 10.0300 5,328.42 9.9200 5,269.99 -58.43 218.34 4.14% Reinvestin eats to 7,614.407 10.0640 76,633.40 9.9200 75,534.90 -1,098.50 3,129.51 4.14% Date Total Covered 160,386.118 1,015,021.44 1,591,030.21 -24,001.16 65,918.69 Total 110,381.118 $1,116,131.44 41,611,030.29 421,001.15 466,911.60 Total Mutual Funds 31,615,031.44 31,591,030.21 424,001.16 165,918.611 Page 3 of 8 Account Number °BAN M011 Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON FIDAENT1AL Rabid excellent (very V... SOSO, 2007 DAL MR it^ T COMMUNICATIONS [)!GILL[ NCI ot t7»..retiro."=" -= SDNY_GM_00047411 OB-SDNY-0010235 EFTA_00 I 58020 EFTA01290141 Portfolio Holdings (continued) Cost Basis Market Value Unrealized Maned Estimated Said Loss Interest Annual Income Total Portfolio Holdings 826,108,689.67 06,084,688.52 .$24,001.16 10.00 $74,703.28 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered " noncovered." under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable dates)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be repotted to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering fun or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Please note the !diming infompation to Pershing's 2014 IRS Form 1099(8, DIV,1NT, O10 and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17. you will receive either your 1099 form ova special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. it will inform you of the securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Comoration.(SIPC). For disclosure of rates for DINS money market funds, please visit the DVVS Investments website at htlps://www.dws-investments conVEN/productshroney-madrettunds-nelds.jsp. Please note that all money market funds listed on the website may not be offered through us. Paget of 8 Account Nun ber uktmt vOtt Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON ForanAL Rat.. tacollenti (very Vow' Siva 2007 DALBAR RATED COMMUNICATIONS IXIMILLINCt SDNY_GM_00047412 DB-SDNY-00 10236 EFTA_00158021 EFTA01290142 Ogvitoc ile *Mall nManair-wan Monts OntfteC•ccp De.ticta Bar Secy.-an n< ...nv brit Mar Annw. iloct tine tr.\ n't 101:4 P 1))4,4-.7143. 11111 >a con Activity Summary (AU amounts shown are in base currency) Credits This Period Year-to-Date Securities Securities Scbcht 000 000 Total Securities $0.00 $0.00 Dividends and Interest $8,516.89 $68,181.02 Cash Withdrawals 0.00 0 00 Deposits 230.609.24 6 900 333 34 Total Cash $230,609.24 $6,900.333.34 FDIC Insured Bank Deposits $0.00 146,246,022.60 Money Market Funds $71,513.28 512,071,513.28 Total Credits $308,639.41 $85,288,050.21 Transactions by Type of Activity Process, Settlement Date Actii ay Type Depletion Quantity Price Awued littered Amount Currency Securities Bought and Sold 11103/14 REA VEST CASI- INCOME P MORGAN FLOATING RATE INCOME Rail) SELECT SHARES 595.394 -5.91226 LSO PHSX 159790.7240 StrliS SPRS MACH. A7 59.93000 RO 10130 PD 11103114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,912.28 Dividends and Interest 11103114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,912.26 LSD Pr SX 159790 7240 SHRS RD 10130 PD 11103/14 11/28/14 MONEY MARKET FLND DWSGOVT CASH INSTL 604.63 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 8,516.89 Statement Period: 11/0112114 -11/3012814 Debits This Period Year•to•Date Securities Securities Bought -5.912.26 -59.396.43 Total Securities -$5,912.26 459,398.40 Dividends and Interest $0.00 $0.00 Cash Withdrawals -294,062.52 -26.563,460.12 Deposits 0.00 0.00 Total Cash -$294,082.52 .$26,563,460.12 FDIC Insured Bank Deposits $0.00 -$2,098,022.18 Money Market Funds 48,684.63 .06,665,171.51 Total Debits .1308,639.41 .K5,286,050.24 Account Number Mine Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL Page 5 o18 Rated tacollordi Utegy V.ar Late 2007 DALOAR MUD COMMUNICATOOPIS IXCILLINCr SDNY_GM_00047413 DB-SDNY-0010237 EFIA_00 I 58022 EFTA01290143 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Accrued littered Amount Currency Cash Withdrawals and Deposits 11/10/14 FEDERAL FUNDS RECEIVED CITIBANK N A 38774 7.11L00 LSO LS0999997 11/10/14 FEDERAL FUNDS RECEIVED CITIBANK N A. 38617 949.00 LSO USD999997 11/12/14 FEDERAL FUNDS RECEIVED M ORGAN ChASE BANK 11355 222849 24 LSD USD999997 11/13/14 FEDERAL FUNDS SENT .FIAORGAA ChASE BANK. -222.549.24 LSD USD999997 11/13/14 FEDERAL FUNDS SENT FLAGLER BANK -71,51328 LSO USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -63,453.28 Money Market Funds 11112114 MONEY FUND PIAChASE DWSGOVT CAST INSTL -8.060.00 LSD U$0999997 11/13114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 71,513.28 LSD USD999997 11/28/14 MONEY MARKET FUND DWS GOVT CAST INSTL INCOME REINVESTED -604.63 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 62,848.65 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVEN LE, 26Th FLOOR NEWYORK NY 10154 Pap 6 of 8 LMAE1 MOI Account Number. Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEISMAL Raid tacelbrifi beery Year Since 2007 DAUM. RAT (0 COMMUNCA TOG exClurnser SDNY_GM_00047414 DB-SDNY-0010238 EFTA_00 158023 EFTA01290144 Your Account Inform ation OediSre Ran. nn•arr V.I.4111 Pal Mie, tat M If•tt{ I veer or G•pyp Des-UM Bali SCIVri ihm.V.4 Mt* Na PIA Mist 1141. I to New*** rtt 1011.4 inn 454.71119. (MI 78•471IS Statement Period: 11/0112014 • 11/3012014 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original iswe discount lOID), No Amortize premium on taxable bonds based on Constant Yield Method: Yes Aecieal market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alien. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherviise 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 horn the actual sale price. Securities for which a price is not available are marked 'WA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (SAS) and estimated annual yield (SAY) figures are estimates arid for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or lax 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 VAYtv.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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. Options 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 fine. 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 Marge: 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 7 018 Account Number e k l Placid tacollonil I IrtA. Go paperless (very Year Since 2'007 LEPERS INC DAL OAR RAT CO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEMIA rxenurraer ?It SDNY_GM_00047415 OB-SDNY-0010239 EFIA_00158024 EFTA01290145 Important Information and Disclosures (continued) Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to a from U.S. dollars for dividends and sender corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (-Many other instructions concerning your account. Pershing is not responsible or cable 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 controNng 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 secumies 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 owe 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, }Of the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M other inquiries regarding your account or activity should be directed to your financial institution. Your financial organdation's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wiverpershing.corn/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201) 413.3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by juiy, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits fa 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 fled, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza. Jersey City, New Jersey 07399: (201) 413.3330. Page 8 of 8 Account Number: DRAB 901.1 Go paperless ir Excellent, Evert Year Woe. tool LEPERS INC DAUM. RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEITTIA SDNY_GM_00047416 OB-SDNY-OO1O24O EFrA_00 I 58025 EFTA01290146 Set 1776. blieren1.02i203 Oralsre Ram 10•410 VrIflin Ma napnera Pdvon CowarGto." Des-b1.4 la* St4wari, X. linve4 Oat* Na Pan /am*. MTh I btr Neve M' 1011.4 454.711,11. 7.114MS Account Number: Statement Period: 1010112014 -10131/2014 Valuation at a Glance This Period Year-to-Oate JEEPERS INC Beginning Account Value $21,261,271.53 115,708,261.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,875,302.13 -19,599,613.50 ST THOMAS VI 00802 Adjusted Previous Account Value 26,136,573.16 26,108,587.61 Dividends. Interest and Other Income 6,655.11 81,661.13 Net Chan e in Porlfolio 000 .27 022 97 Eslm ated Annual Income 573.534 3: Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-lid Last Period This Period % Allocation l, SC Cast!! Money Funds and Bank Deposits 11,118,000.12 22,680,598.51 24,556,506 88 9393% Please review your allocation LSD Fixed Income 1.560.280.69 1.580.672.99 1 586.721 89 607% Account Total (Pie Chart) 115,708,211.11 121,261,271.53 $26,143,226.77 100.00% Seethe Asset Mocaton Disclosure MI Footnotes secton for important inlomiation regardeig yea Asset Alscabyt. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A00971392CSP3001/ Go Paperless Paget of 8 CON F I DAENTIAL Lied Excellent, Every 'Yaw Sinew 2'007 DAUM' RATED COMMUNICATIONS XelltlTher SDNY_GM_00047417 OB-SDNY-0010241 EFTA_00 I 58026 EFTA01290147 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•lo•Date Short-Term Gain/Loss 0.00 0.00 -969.05 Long-Term Gain/Loss 0.00 0.00 -21.126.24 Net Gain/Loss 0.00 0.00 42,39711 This summary excludes transactions where cost basis intimation is not available. Money Market Fund Detail Date Activity type Description Amount Balance Sweep Money Market Fund OWS GOVERNMENT CASH INSTL Account Number: 0000001491 Current Yield: 0.03% Adivity Ending: 10/31/11 1010111/ Opening Balance 22,680.598.54 22,680,598.54 1010211/ Withdrawal MONEY FUND REDEMPTION -2,500.000.00 20,180,598.54 10107/11 Deposit MONEY FUND PURCHASE 4,375,302.13 21,555,900.67 10131111 Deposd INCOME Reb/EST 606.21 21.556.506.88 1013111/ Closing Balance 924,556,606.88 Total All Money Market Funds 324,556,606.88 Income and Expense Summary Current Period Year-to-Date Taxable Hoe Taxable Taxable Non Taxable Dividend Income Money Market 606.21 000 4,127 76 0.00 Other Dividends 6.048.90 0.00 53.181.17 0.00 Interest Income FM Insured Bank Deposits 0.00 0.00 1052.20 0.00 Total Dividends, Interest, Income and Expenses 66,666.11 90.00 81,681.13 30.00 OBAN ROLL Account Nun ter Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 14CC ON F I L Page 2 of 8 Rated tacollordi ',soy Va.. Lace 2007 DAL BAR RA TED COMMUNCA TIONS rxesurtraer :It SDNY_GM_00047418 DB-SDNY-0010242 EFTA_DO 158027 EFTA01290148 Oruiwo Ram woo. miner I over an 4.p.7 (*.lute Oar Stwits Mee brk Mot N>enM4ww_) Sao Fn. Wet AY 101M P OISSI 7.14VIS Portfolio Holdings Account Opening Date Quantity 'Sumter Activity Ending Opening Balance Closing Balsam Statement Period: 1B/0112114 • 10/3112014 Income Aimed 30.Day Carrent Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 94.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 10101114 24,556,506.880 0000001491 10131114 22,680,598.54 24,556,506.88 40.37 4,127.76 0.03% 0.03% Total Money M at k et FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 10101114 N46024935 10131114 622,680,598.54 0.00 624,658,508.88 0.00 $40.37 0.00 $4,127.78 4,052.20 WA WA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $4,062.20 Total Cash, Money Funds, and Bank Deposits Date Acquired Quality Veit Cod Cod Bads $22,110,591.54 Market Prim $24,556,506.88 Market Value $40.37 Umtata Gaid loss $5,179.95 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P M ORGAN FLOATING RATE IN COME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reined MialrIty Identifier: .PHSX CUSP. 461211510 02113113 13 148,957.299 10.0700 1,500,000.00 9,9300 1,479,145.99 -20.854.01 60,923.53 4.11% 03101113 13 533.041 10.0600 5,362.46 9.9300 5,293.16 49.30 218.02 4.11% 04101113 13 591.454 10.1100 5,979.61 9 9300 5,873.14 -106.47 241.90 4.11% 05101/13 13 562.992 10 1300 5.703.11 9 9300 5.590.51 -11260 230.28 4.11% 06103113 13 567.343 10.0900 5,724.50 9 9300 5,633.72 40.78 232.04 4.11% 07101113 13 500.501 9.9700 4,990.00 9.9300 4,969.98 -20.02 204.71 4.11% 08101113+3 527.827 10.0600 5,309.94 9.9300 5,241.32 48.62 215.88 4.11% 09103113 13 531.248 10.0300 5,328.42 9.9300 5,275.29 -53.13 217.28 4.11% Reinvestments to 7,019.013 10.0760 70,721.14 9.9300 69,698.78 .1.022.36 2,870.78 4.11% Date Total Covered 169,790.721 1,109t119.15 1,555,721.59 -22,397.29 65,354.40 Total 169,790124 $1,609,119.11 $1,610,721.119 -$22,397.29 $65,354.40 Total Mutual Funds 61,609,111.19 $1,616,721.19 -322,397.29 $65,354.40 Pap 3 of 8 Account A un be, WIA0 Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON FIDA=TAL Rsd excellent (very Yaw Sinew Z007 DAL BAR RAT ED COMMUNCATIONS rxciurnaer SDNY_GM_00047419 OB-SDNY-0010243 EFTA_00 58028 EFTA01290149 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Value Gainf Loss Interest Annual Income Total Portfolio Holdings $26,165,626.06 $26,143,226.77 -222,397.29 10.00 173,534.36 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered" noncovered." under the new cost basis reporting rules, and marked or denoted as such. All ether securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be repotted to the IRS on form 1099-8 for the applicable tax year in which the secumy is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at httpsAwriv.dws-investments.corn/ENfproductsimoney-market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, It is possible to lose money by investing In a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Activity Summary (A& amounts shown are in base currency) Credits This Period Year.to.0ate Debits This Period Year.to.Date Securities Securities Securities Bought 0.00 000 Securities Bought -5 048 90 -53 484 17 Total Securities $0.00 $0.00 Total Securities -16.048.90 -$53,464.17 Dividends and Interest 16,656.11 161,664.13 Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals 2 500 000 00 -25 259 .33' 50 Deposits 4 375 302 13 6 669 720 10 Deposits 0 00 3 Total Cash 14,375,302.13 $6,669,724.10 Total Cash -22,500,000.00 -126,269,397.60 FDIC Insured Bank Deposits 10.00 $46,246,022.60 FDIC Insured Dank Deposits $0.00 42,098,022.18 Money Market Funds $2,500,000.00 $12,000,000.00 Money Market Funds -$4,375,908.34 -136,556,506.68 Total Credits $6,881,957.24 164,977,410.93 Total Debits -$5,881,957.24 -164,977,410.63 Page 4 at 8 Account Num bur GO paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) .EEPERS INCCONFID=TAL Natal tacellond Even. Va.Slate 2007 DALOAR RATED COMMUNICATIONS 7XO0.1.7Ner SON Ni_GM_0004 7420 OB-SDNY-0010244 EFTA_00158029 EFTA01290150 MO 21203 Transactions by Type of Activity Process/ Settlement Date Activity T Description (*also* Rana Pnwalr. Weida •Aptagenmt Peweits Coon,. 4,0.1) Des-WM ML StM10 Oft ,•C mr. yen ON to HI Part einneo.160. I ber War RaL 7tt 10114 01114:4.71114.111,17.14,91, Dont Statement Period: 10/01/2014 • 1013112014 Price Mated Interest Amount Curren Securities Bought and Sold 10101114 REINVEST CASF INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 609.154 O 048 90 1,5D ,PHSX 159181.5700 SHRS SHRSPURCH. AT 5913000 RD 09129 FD 10101111 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,016.90 Dividends and Interest 10101/14 CASH DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOM E FUND SELECT SHARES 6,048.90 LSD PHSX 159181.5700 SHRS RD 09129 PD 10101/14 10131114 MONEY MARKET FUND DWSGOVT CASH INSTL 606.21 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,665.11 Cash Withdrawals and Deposits 10/02/14 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 4,500,000.00 USD USD999997 10/06/14 FEDERAL FUNDS RECEIVED "MORGAN CHASE BANK 31494 4,375,302.13 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 1,876,302.13 Money Market Funds 10102/14 MONEY FUND REDEMPTION OWSGOVI CASF INSTL 2,500,000.00 USD USD999997 10107/14 MONEY FUND PURCHASE DWSGOVT CASF INSTL -1,375,302.13 USD USD999997 10131114 MONEY MARKET FUND DWSGOvT CASH INSTL INCOME REINVESTED 406.21 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 4,678,908.31 Total Value of Transactions 0.00 0.00 USO The price and quantity displayed may have been rounded. I.tlM1ir '+0-111 Account Num hr Go paperless ,E EPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENT - TAL Page 5 of 8 Rated' tacellerigi [vont Yew Since 2007 DALBAR RATED COMMUNCATIONS 7XCIFIL7NCI SDNY_GM_00047421 DB-SDNY-0010245 EFTA_00 158030 EFTA01290151 Client Service Information Your Client Advisor: WS TAZIA SMITH 305 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST lk FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original issue discount (O1D): No Amortize pram ium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Client Advisor for more inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at 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 YAW., pershing.corNbusiness_continuity.herl for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 wit 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. Options 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 voting 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. Proxy Vote Securities not fully paid for o 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 Oft 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. Account Num be, tilt.0 von t Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F I DAEWNAL Page 6 of 8 katedl taceilonl (way Vs. LSO. 2007 DAL OAR RATED COMMUNICATIONS rxenurner SDNY_GM_00047422 OB-SDNY-0010246 EFTA_OO I 58O31 EFTA01290152 Important Information and Disclosures (continued) OnKr* Ram e.f lir 'Ansa nmanapnad I vett% Iowa,. Gto.p Des4104 St4,0, 3CI lire wa n Mt* Hann Anne0.1601ber /Me Rio M' )%14 01114:441114. 78/1,4TS Statement Period:1810112114 • 10/3112014 Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate van not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation @orders for the purchase and sale of securities and other progeny and (a) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the 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. M 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 (unctions 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnviv.pershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (Including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other it 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 MI 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. Account Number Cio paperless ErcItS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON Fl DarariAL pap7 of 8 Rated tscolleni [very Von WOO. 2007 DALOAR RATED COMMUNICATIONS rxestower ••••••• LIAM nina. wet. M.N3 SDNY_GM_00047423 OB-SDNY-0010247 EFrA_00158032 EFTA01290153 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The taws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legs Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413.3330. Page 8 of 8 Account Nun tier GO paperless IN EN- CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) LEPERS CCON Flip NAL Rated excellent Ivory •••••• Since 2007 DAUM. PATO! COMMUNKATIONS rxesurnaer SDNY_GM_00047424 OB-SDNY-0010248 EFrA_00158033 EFTA01290154 PA Os 1770. Swam MD2i203 Ora'sofRana Pon. Wealth Manip--frent Pdaeats Coonge6,0“) °Mut* sank *wpm+ ma. 44 (11.1 141 Pan Mist lkh I bet New** IVY 1011.4 vul 454.71119, OM) 78/.4,9S Valuation at a Glance Account Number: Statement Period:09101/2114 -09/3012114 This Period Year-to-Date JEEPERS INC Beginning Account Value $21,271,120.12 $46,706,261.11 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 .21,01,975.63 ST THOMAS VI 00802 Adjusted Previous Account Value 21,271,120.12 24,233,286.46 Dividends. Interest and Other Income 5 953 20 55,009.02 KM Chan e in Ponlolic 19,101 79 27 02297 EsIn aced Annual !nom e 672.679 • Your Client Advisor: TADA SIA Asset Allocation Prior Year•Cad La Period This Period % Allocation L SC Cast. Money Funds and Bank Depoals 0,118,00012 22,680,03927 22.680 598 54 93484 LSD Fixed Income 1.560.260 69 1.591.380.85 1 580 672 99 6 52', Account Total (PI! Chart) See the Asset Al:cation Disclosure aro Footnotes secton for $15,701,281.11 324,271,420.12 mount miormaton moaning sow Asset AticiatMrt. $24,261,271.53 100.00', DOAN ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON Fl ErEPaiTA L B01012SECSP30023 P ease rElleVe )0,." a 10:a! 0' Poplin Rabid facolloni Every Vest Woo, 2'007 DALBAR RATED COMMUNICATIONS rxenurNet SDNY_GM_00047425 OB-SDNY-0010249 EFTA_00 158034 EFTA01290155 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0 00 -1.022 31 Long-Term Gain/Loss 000 0 00 -21.374.98 Net GaIn/Lou 0.00 0.00 42,397.29 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Amount Balaica Sweep Money Market Fund CMS GOVERNMENT CASH I NM. Account Number: 0000001491 Current Yield 003% Activity Ending: 09130(14 08130(14 Opening Balance 09130114 Deposit INCOME REINVEST 09130114 Posing Balance Total All Money Market Funds ncome and Expense Summary 22,880,039.27 559.27 Curren) Period Year-to-Date Taxable Non Taxable Taxable Non Taxable 22380.039 27 22,680.598 54 $22,680,598.54 922,680,594.54 Dividend Income Money Market 559.27 0.00 3,521.55 0.00 Other Dividends 5.393.93 0.00 47,43527 0.00 Interest Income FDIC Insured Bank Deposits 000 0.00 4,052.20 0.00 Total Dividends, Interest, Income and Expenses 15,963.20 $0.00 856,009.02 90.00 Account Nun ter OftAR ROLL Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID=TAL Page 2 of 9 Rated [scenes (very Yew sine, 2007 DAL BAR RATED COMMUNKA 'ROHS rxesurnaer SDNICGM_00047426 DB-SDNY-0010250 EFTA_00 158035 EFTA01290156 O.w•e Ram Pon. Wealth Manam-tent Pdinet% COMIC, 6.o.to De.7s0,7 • Sewnet Lac 'Innen Cali* 341 Part Asira0. Ikh I ter It's RA IW 10114 01114:44414. (MI 78/.4,91, Statement Period: 0910112114 • 09/3012014 Portfolio Holdings Axount AdIvily Opening Date Quantity 'lumber Ending Cash, Money Funds, and Bank Deposits 93.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 08130114 22,680,598.540 0000001491 09130114 Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08130114 N46024935 09130114 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Cost Cost Basis Opening Balance Dosing Balance Accrued Income Income This Year 30•Day Owen Yield Yield 22,880,039.27 22,680,598.54 0.00 3,521.55 0.03% 0.03% 122180,039.27 0.00 122,680,598.54 0.00 10.00 0.00 33,521.56 4,052.20 WA WA $0.00 $0.00 10.00 $4,052.20 122,680,039.27 Market Price 122180,598.54 Market Value 30.00 Unrealized Gaial Loss $7,573.75 Estimated Estimated Annual Income Yield Mutual Funds 7.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SI-ARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSIP 48121L510 02113113 13 148.957.299 10.0700 1,500,000.00 9 9300 1,479,145.98 -20,85492 60,923.53 4.11% 03101113 13 533.041 10.0600 5,362.46 9.9300 5,293.15 49.31 218.02 4.11% 04101/13 13 591.454 10.1100 5,979.61 9 9300 5,873.13 -108.48 241.90 4.11% 05101/13 13 562.992 10 1300 5.703.11 9 9300 5,590.51 -112.80 230.26 4.11% 06103113 13 567.343 10.0900 5,724.50 9.9300 5,833.71 40.79 232.04 4.11% 07101113 13 500.501 9.9700 4,990.00 9.9300 4,989.97 -20.03 204.70 4.11% 08/01113 13 527.827 10.0600 5,309.94 9 9300 5,241.32 48.82 215.88 4.11% 09103/13 13 531.248 10.0300 5,328.42 9 9300 5,275.29 -53.13 217.28 4.11% Reinvestments to 8,409.859 10.0890 64,672.24 9.9300 63,649.93 -1,022.31 2,621.65 4.11% Date Total Covered 151,181.579 1,603,070.28 1,589,872.91 .22,397.29 65,105.26 Total 169,181.679 81,603,070.28 11,510,672.19 -$22,397.29 565,105.26 Total Mutual Funds 11.603.070.28 91,889,672.99 -$22,397.29 $65,105.26 Account Nun tter °BALI ,tc • (1O paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON FID-ENTIAL Page 3 of 9 Rated Eocene...I Every Yew SOSO. 2007 DALOAR RATED COMMUMGTIONS rxeiturnaer .117..L=C:t17 ri4Zr..1"...rd= SDNY_GM_00047427 OB-SDNY-0010251 EFrA_00 I 58036 EFTA01290157 Portfolio Holdings (continued) Unrealized Maned Estimated Cost Basis Markel Value Gard Loss Interest Annual Income Total Portfolio Holdings $24,283,668.82 $24,261,271.63 -07,397.29 MOO $72,679.01 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are. therefore. considered " nor:covered.' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 10994 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa es Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing). a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of $1.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 Nihon. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2014, Pershing's net capital of $1.881:Shen was 12.74% of aggregate debit balances and exceeded the minimum requirement by $1.59 billion. A copy of the June 30, 2014, Statement of Financial Condition is available at pershing.comestatement_of_financial_condition.html. You may also request a free, printed copy by calling (B88)860-8510 or (201) 413-4200, option #5. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpslAwnv.dws-investments.com/EN/products/rnoney•market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA. NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Page 4 of 9 Account flu. Der t , Rend teconera Went, WOI k Go paperless twiny Yew Late 2007 LEPERS INC DALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDriTriAL rxenurraer SDNY_GM_00047428 DB-SDNY-00 10252 EFTA_00158037 EFTA01290158 Isre Ram !h.. Wealth Ma.an-nen Pdaests Cooent GK." DeAsov Sat %Ivry mc Vert Mot Hann earae. IM h Mc.. War wet AV KIVA inn VA.7818. On SI >SSC.% Activity Summary (All amounts shown are in base currency) Statement Period: 09/0112814 • 09/30/2014 Ciedits This Period Year.to.Date Debits This Period Year-to-Date Securities Securities Secunties Bought 0 00 ".• CC SPCJ'Ili es Sough! -5.39393 -8.435.27 Total Securities 10.00 $0.00 Total Securities •$5,393.93 -$47,135.27 Dividends and interest $5,953.20 555.009 02 Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals 0.00 -23.769.397 60 Deposits 0 00 2.294.421.97 Deposits 000 003 Total Cash $0.00 92,291,121.97 Total Cash $0.00 423,769,397.60 FDIC Insured Bank Deposits $0.00 $46,248,022.60 FDIC insured Bank Deposits $0.00 42,098,022.18 Money Market Funds $0.00 $9,500,000.00 Money Market Funds 4559.27 432,180,598.51 Total Credits 85,953.20 $58,095,153.59 Total Debits .15,953.20 ,168,096,463.59 Transactions by Type of Activity Process/ Settlement Date Adivity Type Description Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 09102/14 REINVEST CASH INCOME ?MORGAN FLOATING RATE INCOME FUND SELECT SHARES 536709 -5.393.93 LSD ?IX 158644.8610 SHIS SIRS FL RCH. AT $10 05000 RD 08/28 PD 09/02114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,393.93 Dividends and Interest 09/02/14 CASH DIVIDEND RECEIVED PM ORGAN FLOATING RATE INCOM E FUND SELECT SHARES 5,393.93 USD PN SX 158611.8610 SHRS RD 08128 PD 09/02/11 09/30/11 MONEY MARKET RIND DWSGOVT CASH INSTL 559.27 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 1.00 5,963.20 Page 5 of 9 Account Number Go paperless LE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) RS INCCON FonsnAL Italia Excellent, (very V.a. Since 2'007 DAL BAR RAT CD COMAILOOCATIONS rxenurner .1.="70,:"="0..r.arnt= SDNY_GM_00047429 OB-SDNY-0010253 EFrA_00 158038 EFTA01290159 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Merged Meted Mount Currency oney Market Funds 09130114 MONEY MARKET FUND ASH VESTM ENT 233993682 D WS G 0 VT CASI- IK ST1 INC° M E REINVESTED -55927 USD Total N oney M arket Funds - UNITED STATES DOUAR 0.00 -569.27 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 0.00 USD Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14TH FLOOR KEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OLT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper nom m unicafions, log in to your account or contact your Qient Advisor for more inform alien. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may nal use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked 'N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to vnwtpershing.cornibusiness_continuity.html for speak detads as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 Page6 of 9 URAR ROLL Account Num be; •~ LEPERS INC GO paperless Ven SSW* 2.007 COMAI DALBAR RA TM LI...CATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFInnerfAL: "a"'"R SDNY_GM_00047430 DB-SDNY-0010254 EFTA_00158039 EFTA01290160 Important Information and Disclosures (continued) °voluteRam Manaluntar Myatt Cowan Gtcs.p Dettfor4 la* SCW, lei AC. ihm.V.4 Mt* Na riff% Moat lit I ber New Vest rtt 1011A I/12145471a1114178114MS Statement Period: 0910112/14 • 09/3012014 Reinvestment (contnued) whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in 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. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and Many other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it receives as the 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 appbcable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCs). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vrnm.pershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be round on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Page? of 9 Account Number: e k l Rated excellent, °RAF v011 Go paperless (very Vs, Siva 2'007 SEPERS INC DAL BAR RAT ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) CONFIDEINTIA rxesurme SDNY_GM_00047431 OB-SDNY-0010255 EFTA_00158040 EFTA01290161 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a join 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 wit typically include a rrinordy of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative den action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 8 of 9 Account Number; Oen.° .olk Go paper ft lecl ve less ek DA tscolYrdi RA E r T LC r Skvai 2OO7 LEPERS INCCONFIDriTriA "`"""" CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E"—Gmcels = SDNY_GM_00047432 DB-SDNY-0010256 EFIA_00158041 EFTA01290162 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIAAGFS. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH 00 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 I: YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf 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 YCUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHCWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TI IE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING COES 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 GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS OSCRETION AT ANY TIME, WITHOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL 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 8Y LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR 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 I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WVPAI.PERSHIN(3COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION MIS- RULE 607(A)(1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MALE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880 PERSH NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF MY OF DE ABOVE TERMS NO CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFYPERI:POND PAIEDIATELY IN WRITING BY CERTFIED WA.10 CM PERSHING PLAZA, JERSEY PTY. NJ 07399, ATM WOOL DEPT Page 9 of 9 UBAB 90Lt. Account Num Der Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDESITIAL Rated excePorA L very Yew. Since Z007 DAL BAR RATED COMMUNICA TIONS rxciurnaer SDNY_GM_00047433 DB-SDNY-00 10257 EFTA 0015804? EFTA01290163 I% Os 1710. BolserenLID2i203 Oralsre Ram Ponle *Mall PI Manaluntar Pent% Cowan Comp Dests04 Mai Se4v, lei Ilea wan Onto HI Part Anne0.26th I ber War lot 1,tt 1011.4 45441114. (MI 78/1,4MS Account Number: Statement Period: 0810112/14 -0813112014 Valuation at a Glance this Period Year-to-Date JEEPERS INC Beginning Account Value 828,767,000.64 $46,708,881.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 4,500,000.00 -21,474,975.83 ST THOMAS VI 00802 Adjusted Previous Account Value 24,267,000.84 24,833,286.18 Dividends. Interest and Other Income 5.833.04 49,055.82 et Chan e in Portfolio 1.58644 .7 921 18 ncling Account Value fain aced Annual Income Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-fed Last Period This Period % Allocation (..SD Cash. Money Funds. and Bank Deposits 11,148,000.12 25,179,424.36 22,680,039.27 93.434 at LSD Fixed Income 1.560.260 69 1.58/.578.28 1.594.380 85 6.57% Account Total file Chart) 845,708,281.11 326,767,000.64 $24,274,420.12 100.00% See the Asset Gloat on Disclosure and Footnotes section for important informaton regarding yow Asset Aboaton. $24,274,420.12 $24,274,420.12 571 424 29 Pease re.levv a lora' o- Paget 448 OPAL, 9(>1.1. CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) A0097292CSP300IS GO paperless (very taa Year Siva S 2007 Ra'd l CON FIDASSiTiAeisa 'DAXM L•AJI NC RAIL"C ifriCATC.15 SDNY_GM_00047434 DB-SDNY-0010258 EFTA_00 I 58043 EFTA01290164 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0 00 -242.50 Long-Term Gain/Loss 0.00 000 -3,053.00 Net Gain/Lou 0.00 0.00 -3,295.50 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Demriptioa Amount Balance Sweep Money Market Fund ow S GOVERNMENT CASH !USTI Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 08/29114 08101114 Opening Balance 25,179,424.36 25,179,424.38 08119/14 Withdrawal MONEY FIND REDEMPTION -2,500,000.00 22,879,424.38 08/29/14 Deposit INCOME REINVEST 614.91 22:680,03927 08129114 Closing Balance $22,880,039.27 Total All Money Market Funds 822,180,039.27 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable No. Taxable Dividend Income Money Market 614.91 0.00 2,962.28 0.00 Other Dividends 5.218 13 0.00 42,041.34 0.00 Interest Income FDIC Insured Bank Deports 000 0.00 4.052.20 0.00 Total Dividends, Interest, Income and Expenses $5,833.04 60.00 649,055.82 80.00 Account Number ,x^N.111 paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDAENTIAL llama excellent Every Year Slate 2007 MUM. RA T OD COMMUNICATIONS rxestirtraer Page2 of 8 et a relstrnor veinis:Lo% c ;.......mignert Mae SDNY GM 00047435 DB-SDNY-0010259 EFTA 00158044 EFTA01290165 ()PASO( 'm Pr rfild, V./.4111 PA/ Marais Coon,. 4.p..p Deaulv Sat Stool. Lac Mew *4 Mkt HS Pan Awns,. 26th I to Mew** NY 1011.4 Il VI 49141/IL (MI 16614 Statement Period: 0 81011211 4 • 08/3112014 Portfolio Holdings Account Opening Date Quantity 'lumber Activity Ending Opening Balance Doing Balance Accrued Income Income This Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits 9 3.0 Money Market DIVS GOVERN M ENT CASH INSTL 08/01114 2200,039 270 0000001491 0% of Portfolio 0812911/ 25,179,424.36 22,680,03927 18 64 2 962 28 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08101114 k4G024935 08129114 $26,179,424.36 0.00 122,660,039.27 0.00 118.64 0.00 12,962.28 4,052 20 NIA N/A Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $4,062.20 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Coll Cost Banc 126,179,424.38 Market Price $22,680,039.27 Market Value $18.64 Umeallzed Gala! Loss $7,014.48 Estimated Estimated Annual Income Yield Mutual Funds 7.00% of Portfolio P el ORGAN FLOATING RATE IN COME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 10.0500 1,497,020.84 -2,979.18 80,476.68 4.03% 03101113 15 533.047 10.0600 5,362.46 10.0500 5,357.12 -5.34 216.42 4.03% 04101113 13 591.454 10.1100 5,979.61 10.0500 5,944.11 45.50 240.13 4.03% 05101113 13 562.992 10 1300 5,703.11 10.0500 5.658.07 -45.04 228.57 4.03% 06103113 13 567.343 10.0900 5,724.50 10.0500 5,701.79 -22.71 230.34 4.03% 07/01/13 13 500.501 9.9700 1,990.00 10.0500 5,030.03 4003 20320 4.03% 08101113 13 527.827 10.0800 5,309.94 10.0500 5,304.88 -528 214.30 4.03% 09103113 13 531.248 10.0300 5,328.42 10.0500 5,339.04 1062 215.69 4.03% Reinvestments to 5,873.150 10.0930 59,278.31 10.0500 59,025.19 -253.12 2,384.50 4.03% Date Total Covered 168,844.1111 1,597,676.35 1,5114,3110.15 .3,296.60 64,409.81 Total 168,644.161 $1,597,676.35 $1,694,36005 -13,296.60 $64,409.81 Total Mutual Funds $1,597.676.35 $1,594,380.16 .$3,296.60 04,409.81 Page 3 of 8 11.)8A0 Li% Account Nun ber Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67toNFIDAranAL listed tacelkinfl (very Year Since 2007 DALBAR RATED COMMUNICATIONS rxciturner a.ww.a aura SDNY_GM_00047436 OB-SDNY-0010260 EFTA_00158045 EFTA01290166 Portfolio Holdings (continued) Unrealized Accrued Estimated Cod Basis Markel Value Saki Loss Interest Annual Income Total Portfolio Holdings 620,277,715.62 $20,271,120.12 -0,29510 60.00 671,424.29 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered " noncovered.' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis repotting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be reported to the IRS on form 10994 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Cher securities, principally debt securities and options, acquired on or after January 1, 2010, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:thinvw.dvesinvestments.corn/EN/productsimonemarket-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing In a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional Information. Deutsche Bank has combined its asset and wealth management opeiationsaincluding Deutsche Bank Alex. Brcnvnainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered brokerdealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA. NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. ' , KAN V011 Account Nun ber Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 61,7 1tON F I DranAL Page it of 8 Rabid tacelle nil [very Vow' since ?007 DAL BAR RATED COMMUNICATIONS rxesurtraer SDNY_GM_00047437 DB-SDNY-0010261 EFTA 00158046 EFTA01290167 Drafflell•rtc Pr riFile Wolin Mamie-wad Myatt Cowan Comp Destfthe Sank Sectorrac Mew *4 Oat* HS PM% AS.% 2600 Mb Mew** NY 1011.4 0 1 4914,18. OM) 711114MS Activity Sum mary (All amounts shown are in base currency) Statement Period: 0810112814 • 08/3112014 Credits This Period Year-to•Date Debits This Period Year-to-Date Securities Securities Sec unties Eat.cht 0 00 CO Secunties Bought -5.218.13 -42.041.34 Total Securities 10.00 $0.00 Total Securities -$5,218.13 442,041.34 Dividendsand Interest $5,833.04 $49.055.82 Dividends and Interest Woo $0.00 Cash Cash Withdrawals 000 0.00 Withdrawals -2,500,000.00 -23.769,397 60 Deposits 0 00 2.294.421.97 Deposits 0.00 000 Total Cash $0.00 82,294,421.97 Total Cash 42,500,000.00 -823,769,397.60 FDIC Insured Bank Deposits $0.00 $48,248,022.60 FDIC Insured Bank Deposits 50.00 -$2,098,022.18 Money Market Funds $2,500,000.00 $9,500,000.00 Money Market Funds 4814.91 432,180,039.27 Total Credits 32,505,833.04 $58,089,600.39 Total Debits 42,505,833.04 458,089,500.39 Transactions by Type of Activity Process Settlement Date Activity Type Description Quantity Price Accrued leterest Ammon Currenry Securities Bought and Sold 08101114 REINVEST CASH INCOME ?MORGAN FLOATING RATE INCOME FUND SELECT SHARES 519.734 -5.218.13 USD PHSX 158125.1270 SHRS SIRS PORCH. AT 510.04000 RD 07/30 PD 08101114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,218.13 Dividends and Interest 08/01/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SIIECT SHARES 5,218.13 USD .PH SX 158125.1270 SHRS RD 07/30 PD 08/01/14 08129114 MONEY MARKET FUND DWS GO VT CASH INSTL 814.91 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 8.00 5,833.04 Page 5 of 8 IRAN ROL Account Num Der Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: PERS INCC ON F D AENTIA f Rated [nailer/ L....my V.I. Sento 2007 CAL BAR RA T ED COMMUNCATIONS IXCILITher trwrt:="0...7.....r tr, SDNY_GM_00047438 OB-SDNY-0010262 EFrA_00 158047 EFTA01290168 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Awned Interest Amount Currency Cash Withdrawals and Deposits 08119114 FEDERAL FL ADS SEAT DEL TSChE DANK TRUST -2.500.00000 LSO USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -2,500,000.00 Money Market Funds 08119114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 2500,000 00 LSD USD999997 08129114 MONEY MARKET FUND DWS COW CASI. INSTL INCOME REINVESTED -61491 LSO REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 2,499,315.09 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEWYORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IA FIRST OLT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other StailititS: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform anon. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, Page6 of 8 Account Num ber. Rated excelbroll ORAN /IOU Go paperless Lvery Year Siva 2'007 EEPERS INC COMNI DALBAR RATED UNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDETriAL-_-- --rim, — SONY GM 00047430 DB-SDNY-0010263 EFTA OO158O48 EFTA01290169 Important Information and Disclosures (continued) deli •e Ram I...mile 4.41 lr PM nal P-wtat Pdanitt% C Petra,. Group Ottlfffil Baia Secv•es Mee 44 C•Ii• Na PIA ••••••• l'kh I to New*** rtt 10114 1/121454.71114.1115178•471S Statement Period:0810112814 • 08/3112014 Estimated Annual Figures (continued) 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 mwrpershing.cornibusiness_continuity.html 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 kw. Options 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 wrung of any material change in your investment *dives 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 iron written request to your introducing firm. 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 amount. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution a 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. Al other inquiries regarding your account or activity should be directed to your financial institution. Your triennial 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. II 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 Page 7 eta Account Num be; Go paperless EPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON F I Drat IA L Rasa tac••••• t vent Y«. Since 2'007 DAL BAR RATEDCOMMUNICATIONS rxesturNer ::11.1.:74==== "4—= L•C SDNY_GM_00047440 OB-SDNY-0010264 EFrA_00158049 EFTA01290170 Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: vaivepershing.comistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized traditg), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very finiited. • 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 wil 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 tinging 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 ercompassed by the putative class action until; (lithe class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page 8 of 8 Account Number: Go paperless T e k Rata. tacelloni IAMB Mel way Year SNOT 2007 LEPERS INC DAL BAR RATED COMAILINICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEErriA rxerturimer Jit.rwt:ft="0..=•..'irra Mew. ukal meow 01111.. Wet MK SDNY_GM_00047441 OB-SDNY-0010265 EFIA_00158050 EFTA01290171 PO. Sc, 1776, (Mimes MD 21203 Onimm Ram P',.,', Weida Ware.% Firms I wrap 66m, De.mM ML SeAmlmm 11,m164 06m lo Part Ammo. 114h 1 Mei War Rot MC 1011A In I) 4:441114. mfl au•W1 Valuation at a Glance Account Num ber: Statement Period: 07101(2014 -0713112014 This Period Year-to-Date JEEPERS INC Beginning Account Value 128,772,044.90 145,708,261.11 6100 RED HOOK QUARTER B3 jet Cash Deposits and Withdrawals -2.000.000 00 •18.974.975.63 ST THOMAS VI 00802 Adjusted Previous Account Value 28,772,011.90 26,733,285.18 Dividends. Interest and Other Income 6.024.50 43.222.78 jet Chan in Portfolio -11,068 76 .9 sr 52 ncling Account Value $26 767 000.64 26,767,000.64 Brim Wed Annual Incom e 570 Your Client Advisor: TAZIA SMITI- Asset Allocation Prior Year-fed Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposals 44,118,000.42 27,178,758.09 25,179,424.36 94.07% USD Fixed Income 1.580.26049 1.593186.81 1.587.570.28 5.93% Account Total (Pie Chart) $45,708,261.11 128,772,044.90 128,787,000.64 100.00% See page 2 of this statement for important information regarding the Asset Alocatkm section. 8..0 ROLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) A0091311 3CSP30017 paperless P e Chart alocation only Includes oroducts that are of posztote vak*. Page iota CON Fl I:YEN-NAL Rama tmemina (way Year Since 2'007 DAL BAR RAT ED COMMUNOTIONS I %CIL L NCI ocr: girrin== SDNY_GM_00047442 DB-SDNY-0010266 EFTA_00158051 EFTA01290172 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•lo-Date Short-Term Gain/Loss 0.00 0.00 317.15 - Long-Term Gain/Loss 0.00 0.00 -4.56479 Net Galn/Lou 0.00 0.00 -4,881.94 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Oate Activity Type Desaiptioa Amount Balance Sweep Money Market Fund ow S GOVERNMENT CASH !MBE Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 07/31/14 07/01/14 Opening Balance 27.178.758.09 27,176,758.09 07/16114 Withdrawal MONEY FUND REDEMPTION -2,000.000.00 25.178.758.09 07/31114 Deposit INCOMEREINVEST 666.27 25.179.424.36 07/31/14 Closing Balance 626,179,424.38 Total All Money Market Funds $26,179,424.38 Income and Expense Summary Oment Period Year-to-Date Taxable Nos Taxable Taxable NM Taxable Dividend Income Money Market 666.27 0.00 2,347.37 0.00 Other Dividends 5.358 23 0.00 36,823.21 0.00 Interest Income FDIC Insured Bank Deposits 0.00 0.00 4.062.20 0.00 Total Dividends, Interest. Income and Expenses 46,024.50 10.00 $43,222.78 $0.00 Account Nun bar EMIAR ROLt Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAranAL Page 2 of 8 Rats. tacelleria (very Vow' Since 2007 DAUM. RATED COMMUNCATIONS rxenarmer SDNY_GM_00047443 DB-SDNY-00 10267 EFTA_00 158052 EFTA01290173 On...04 RIM onin "Mall n PAanaluntat Pent% Coen,. Gomp Desti.04 Yr Se4v, 34s AC. lin• Clint* HI Pan /yeast Ikh I ber War RA 1,tt 1011 4:44414.111151 78114MS Statement Period: 0710112114 • 07/3112014 Portfolio Holdings Axeunt Opening Date Quantity 'lumber Activity Ending Opening Balance Closing Balance Accrued Inomne Income Ns Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits 94.0 Money Market DWS GOVERNMENT CASH INSTL 07101114 25,179,424.360 0000001491 0% of Portfolio 0713111/ 27,178758.09 25,179,424.36 0.00 2.347.37 0.03% 0.03% Total Money Market FDIC Insured Bank Depodts INSURED DEPOSITS PROGRAM 07101/14 N46024935 07131114 $27,175,751.09 0.00 325,179,424.36 0.00 10.00 000 32,347.37 4,052.20 NIA N/A Total FDIC Insured Bank Deposits $0.00 10.00 10.00 $4,052.20 Total Cash, Money Funds, and Bank Deposits Date &mined Quantity Unit Cost Cod Basis 327,171,7150.09 Mattel Price 325,179,424.36 Market Value 30.00 Unrealized Gaial Loss $6,399.57 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 10.0400 1,495,531.29 -4.468.71 60,625.81 4.05% 03101/13 13 533.047 10.0600 5,362.46 10.0400 5,351.80 -10.66 216.95 4.05% 04101113 13 591.454 10.1100 5,979.61 10.0400 5.938.20 41.41 240.72 4.05% 05101113 17 562.992 10 1300 5.703.11 10.0400 5.652.44 -50.67 229.14 4.05% 06103/13 13 587.343 10.0900 5,724.50 10.0400 5.696.13 -28.37 230.91 4.05% 07101113 13 500.501 9.9700 4,990.00 10.0400 5,025.03 35.03 203.70 4.05% 08101113 13 527.827 10.0600 5,309.94 10.0400 5,299.38 -10.56 214.83 4.05% 09103113 13 531.248 10.0300 5,328.42 10.0400 5,333.73 5.31 216.22 4.05% Reinvestments to 5,353.416 10.0980 54,060.18 10.0400 53,748.28 -311.91 2,178.84 4.05% Date Total Covered 156,125.127 1351;451.22 1,587,576.28 -1,III1.94 64,358.92 Total 166,126.12? 51,692,458.22 $1.587,576.28 -$4,881.94 384,358.92 Total Mutual Funds $1,692,458.22 $1.587.576.28 •34,081.94 $64.388.92 Page 3 of 8 Account Number Cso ORAN MOLL paperlesS LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F I D'ENt TEA L !LSO [sangria (very yen Slate 2007 DALBAR RATED COMMUNCATIONS rxantrwer relt.."--Jt.=.C.T.' rs .= GEN Y_GM_0004 7444 OB-SDNY-0010268 EFTA_00158053 EFTA01290174 Portfolio Holdings (continued) Cost Basis Market Value Unrealized Awued Estimated Saint Loss Interest Annual Income Total Portfolio Holdings $26,771,882.58 $26,767,000.64 -S4,801.94 $0.00 $70,756.49 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are. therefore. considered " noncovered.• under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee `applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock is a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering Mn or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your Investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpslAwm.dws-investments.com/EN/productsirrioney-maricet-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser. which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Account Nun ter tilt&E, ROI I Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDAMSMAL Page408 Rated tamolloni Every Van lame 2007 CALMAR RATEDCOMMUNICATIONS rxesur NCI SDNY_GM_00047445 DB-SDNY-0010269 EFrA_00158054 EFTA01290175 Isre Mn. 'Ansa 1i Univ.-wan VinttforetarG.c., Des-b1h4 lam kcv.,aes Yre *A Mc* Hann Rama. IM I kci. New en WI IOVA inn itA.7.18. msuua»s Activity Summary (All amounts shown are in base currency) Statement Period: 0710112011 • 07/31/2014 Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunties Bought 0 00 0 OD Secirties thug Itt -5.358.23 -36.823.21 Total Securities $0.00 $0.00 Total Seal !lilts -85,368.23 -136,823.21 Dividends and Interest $6,024.50 $43.22278 Dividends and Interest $0.00 9.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals -2,000,000.00 -21,269,397.60 Deposits 0 00 2.294.421.97 Deposits 0.00 0.00 Total Cash $0.00 $2,294,421.97 Total Cash -12,000,000.00 .$2t,269,397.60 FDIC Insured Bank Deposits $0.00 146,246,022.60 FDIC Insured Bank Deposits $0.00 -12,098,022.16 Money Market Funds $2,000,000.00 17,000,000.00 Money Market Funds •$666.27 -532,179,424.36 Total Credits 12,006,024.60 05,583467.36 Total Debits .$2,006,024.50 .$55,683,661.35 Transactions by Type of Activity Process Settlement Date Activity Type Description OsanUty Price Attain Imbued Moist Wrrenq Securities Bought and Sold 07101114 REINVEST CAS1- INCOME "MORGAN FLOATING RATE INCOME FUND SELECT SHARES 529.993 -5,358.23 USD ,PHSX 157595 1310 9-RS SHRS MACH AT 51011000 RD 06127 PO 07101114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .5,3511.23 Dividends and Interest 07101114 CAST DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,358.23 LSD PH SX 157595.1310 SHRS RD 06127 PD 0710111/ 07/31/14 MONEY MARKET FL.ND DWS GOV; CASH INSTL 666.27 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,024.60 Account Number Go paperless LE r CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)PE RS INCCON F I D iScriAL Page 5 of 8 Rated tocollonli t very Von Late 2007 DAL OAR RA TED COMMUNCATIONS rxenuter ..altn===" -=' k4c ..0c SDNY_GM_00047446 OB-SDNY-0010270 EFIA_00158055 EFTA01290176 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Accrued leterest Moult Currency Cash Withdrawals and Deposits 07/16114 FEDERAL FL NOS SENT DEL TSChE DANK TRUST -2,000,00000 LSD US0999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -2,000,000.00 Money Market Funds 07/16114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 2D00,000 00 LS) USD999997 07/31/14 MONEY MARKET FLND DNS GOVT CASH INSTL INCOME REINVESTED -66627 LSO REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 1,999,333.73 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TA& SMITH 345 PAR( AVE'', LE 14TH FLOOR NEWYORK NY 10151 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default M ethod for Mutual Funds: FIRST IN FIRST OLT Default M ethod for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Stailitit$: FIRST IN FIRST OUT Electronic Delivery You have not selected any account cam m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more intone ation. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section indudes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine, Page 6 of 8 Account Num her USAN ROIL Go paperless tn., yes siacaota LEPERS INC DAL tLINC? BAR RAT ED COMMUNCAUDIVS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEISITIAL SDNY_GM_00047447 DB-SDNY-0010271 EFTA_DO 158056 EFTA01290177 Important Information and Disclosures (continued) Estimated Annual Figures (continued) 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 vnwrpershing.corn/business_continuity.htiri 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 whin your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in 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 wring 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 Lyon written request to your introducing firm. 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 sight to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Clammy Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as cleating 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 (iany 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 confiding or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it receives as the 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. Al 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing Page? of 8 Gnaw* Ram r. n. Wealth Manip-nait Mats teeny GW‘P Dettsag la* Sewn. Mee Vert Ont• HI Pan Ramo. 160. I bet Nervier\ 7tt 10114 eA.74$11. OM) 70109f Statement Period:0710112114 • 07/3112014 Account Number Rated tacellerigi beery Vs.Since 2007 } Pt. i r Go paperless LEPERS INC -'2 4; Fran RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) coNiForarbkL ammo "mar. MC mamas. /MA. Ivrea. •••C SDNY_GM_00047448 OB-SDNY-0010272 EFrA_00 158057 EFTA01290178 Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: vAwrpershing.comistrength_stabilityltml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very finned. • 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 wit typically include a wino* of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbrtration, 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 ercompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. P494808 Account Num bet MIAB MOLL GO paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) CON FIDA.ENTIAL Rated taalloni Event Year Siva 2007 DAL OAR RAT CD COMMUNICATIONS rxerturnser — AC meow 011•... Wet —c SDNY_GM_00047449 OB-SDNY-0010273 EFrA_00158058 EFTA01290179 PA Os 1778, ElpleenooMDPIXO Gnaw* Mn. a 'runt Vona PI Mamie-wan Penis Caret. it 4.0.4 Detts4.4 Fr '<won mc lire bet Pik* Hann A,. Mu to bet Nerre stn hY 10114 01))4:4.7010.11111)71.4091 Valuation at a Glance Account Number: Statement Period: 06011914 - 0613012114 This Period Year-to-Date JEEPERS INC Beginning Account Value $31,709,110.42 246,708,281.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Wiihdrawals •2.944,36269 46,974875.63 ST THOMAS VI 00802 Adjusted Previous Account Value 28,784,747.73 28,733,286.48 Dividends. Interest and Other Income 5.721.21 31,198.28 Net Chan in Portfolio 1,575 96 1,561.11 Acting Account Value 2 8 772 044 9 0 2 8 7 7 2 C. .1 90 Eslimated Annual Income 570 032 11 Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-bad Lai Period This Period % Antiphon USD Cash. Money Funds. and Bank Deposits 11,118,000.42 30,122,126.69 27,178,758.09 91.16% USD Axed Income 1.560.260,69 1.586.683 73 1.593.286 81 5,51% Account Total (Pie Chart) 815,708,261.11 131,709,110.12 528,772,011.90 100.00% Seepage 2 of Misstatement for important information regarcing me Asset Ahocatox sector DRAB lion CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) B0097.107CSP30022 GO paperless CON Fl DrITNAL e Omar: allooaAr my [-c .cles o'oo.cts :na: are of oost ye vale Page 1 of 10 listed facellordi Lyon, Year since 2007 DALBAlt RATED COMMUNICATIONS rxesurner SDNY_GM_00047450 OB-SDNY-0010274 EFTA_00158059 EFTA01290180 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realized Unrealized This Period Tear.to-Date Sr olt.Term GaintLoss 0.00 0.00 201.82 Long-Term Gain/Loss 0.00 0.00 5185.00 Met Gain/Lou 0.00 0.00 8,188.82 This summary excludes transactions where cost basis intumation is not available. Money Market Fund Detail Date Activity Type Daription Amount Balance Sweep Money Market Fund (MS GOVERN M ENT CASH INSil Account hum bei. 0000001491 Cuirent Yield 0.03% Activily Ending: 06/30114 05131114 Opening Balance 30,122,426.69 30,122,426 69 06111/14 Withdrawal MONEY FUND REDEMPTION -3,000,000.00 27,122,426 69 06118/14 Deposit MONEY FUND PURCHASE 55,637.31 27,178,064 00 08130/14 Deposit INCOME REINVEST 694.09 27.178.758.09 08130114 Closing Balance $27,170,758.09 Total All Money Market Funds 827,170,768.09 Income and Expense Summary Current Period Yearici-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 694 09 0.00 1.681 10 0.00 Other Dividends 5.027 12 0.00 31.46418 0.00 Interest Income FDIC Insured Bank Deports 0.00 0.00 4.052 20 0.00 Total Dividends, Interest, Income and Expenses 31,721.21 30.00 837,198.28 80.00 Page 2 of 10 Account Number: v.., [mans nil ORA ROL Go paperleee Eve Ve..• Sinte 2007 LEPERS INC DAUM. RA T COMMUMCATOONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEVriA rxenummer SDNY_GM_00047451 OB-SDNY-0010275 EFrA_00158060 EFTA01290181 (*also* Mn. eo..r wrYn Pent% .were,* 4.0.4 Des-01.4 lam '<woes mc Mrs bet 011k• 341 Pan .y. Ammo. Ita I ter Neve RA 1W 10114 01/14:441114. 1.15178•4,91, Statement Period: 0 61 011 211 4 • 06/3012014 Portfolio Holdings Axount Opening Date Quantity 'lumber Activity Bldg Opening Balance posing Balance Accrued Income Income Ibis Year 30.0ay Carrot Yield Yield Cash, Money Funds, and Bank Deposits 9 4.0 Money Market DWS GOVERN M ENT CASH INSTL 05131114 27,178358.090 0000001491 0% of Portfolio 0600114 30,122,426.69 27,178.758.09 0.00 1,691.10 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 05131114 N46024935 06130114 $30,122,426.69 0.00 521,118,768.09 0.00 10.00 0.00 $1,881.10 4152.20 NIA N/A Total FDIC Insured Bank Deposits 10.00 10.00 10.00 $4,062.20 Total CS, Money Funds, and Bank Deposits Date AWaired Quantity Unit Cod Cod Bads $30,122,426.69 Market Price 127,178,768.09 Market Value 10.00 Unrealized Gaird Loss $6,733.30 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identl0er: .PHSX CUSIR 461211510 02113113 13 148.957.299 10.0700 1100.000.00 10.1100 1,505,958.30 5.958.30 60,771.57 4.03% 03101113 13 533.041 10.0600 5,362.46 10.1100 5,389.10 2164 217.48 4.03% 04101113 13 591.454 10.1100 5,97911 10.1100 5,979.61 0.00 241.31 4.03% 05101113 13 562.992 10 1300 5,703.11 10.1100 5,691.84 -11.27 229.70 4.03% 0610311313 567.343 10.0900 5,724.50 10.1100 5,735.83 11.33 231.48 4.03% 07101113 13 500.501 9.9700 4,990.00 10.1100 5,060.07 70.07 204.20 4.03% 08101113 13 527.827 10.0600 5,309.94 10.1100 5,336.33 26.39 215.35 4.03% 09103113 13 531.248 10.0300 5,328.42 10.1100 5,310.92 42.50 216.75 4.03% Reinvedm eats to 4,823.423 10.0910 48,701.95 10.1100 48,784.81 62.86 1,987.97 4.03% Date Total Covered 167,596.134 1 517 099.99 1,593,28811 8,186.82 64,298.81 Total 167,696.134 $1,687,099.99 11,613,288.01 $6,166.82 $64,298.81 Total Mutual Funds $1,687,099.90 $1,593,286.81 $6,116.82 $64,298.81 Page 3 of 10 Account Number: Plated Caroller. DRAB Div Go paperless (very Veal, Leer Z007 .F.EPERS INC DAL OAR RA TED COMMUN CATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEErriA AR RA. P-ne.L.c pen. src SDNY_GM_00047452 OB-SDNY-0010276 EFTA_00158061 EFTA01290182 Portfolio Holdings (continued) Brutalized Acaued Estimated Cod Basis Market Valor Bald Loss Interest Maud Income Total Portfolio Holdings $28,765,055.08 020,772,044.90 16,186.52 10.00 170,032.11 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered" noncovered.' under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting des. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be reported to the IRS on form 1099-8 for the applicable tax year in which the secumy is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stod in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this information. M essa•es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpslAwnv.dws-investments.corn/ENIproductsrinoney.marketfundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $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. Please note that the follovnng language supersedes previous versions of our disclosure. Pershing's Impartial Lottery Process: Partial Calls: Pershing's Impartial Lottery Process: Partial Calls When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been incorporated into the FINRA Consolidated Rulebook, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery prOceSS.When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of cared securities, Pershing conducts a similar, coniputer-generated random lottery. The lottery detenrines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade =125,000): Page 4 of 10 Account Num ber. Rated excellent, Oent, it01 GO paperless Lvery Yew Since 2007 $EPERS INC DALOAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) C NI F I D ASSITii ° k rxartmser etreliali a"reatirient•entrer reennOSSele. ...A SDNY_GM_00047453 OB-SDNY-0010277 EFrA_00 158062 EFTA01290183 Oraisre Ram en, ,r all ,mantle,. Pent% Cowan Gtcyp DestAh• Yr SeIVIgs Ye~wan Mar HI Part Anne0.16th I tit Neve RA 1,tt 1011.4 01/14:441114.111517.14TS M essa • es (continued) Statement Period: 0 61 011 211 4 • 06/3012014 Client Account: ABC-123234; Par Value: $100,000; Number of Trading Units: 4 Client Account: DEF-325465; Par Value: $75,000; Number of Trading Units: 3 Client Account: EDR-567433; Par Value: $150,000; Number of Trading Units: 6 Client Account: EGT-876574; Par Value: $60.000, Number of Trading Units: 2 Client Account: EGT-888345; Par Value: $25,000; Number of Trading Units: I Client Account: FRT-435234; Par Value: $25,000; Number of Trading Units: 1 Client Account: FRT•658797; Par Value: $75,000; Number of Trading Units: 3 In brief, the allocation process involves the following steps: > The number of trading units held in each account is identified. > A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). > A random number is generated that will result in one of these trading units being the first unit in the selection process. > Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information The alocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at al. When a partial cal is deemed favorable to the holders of the called security, Pershing wit exclude certain accounts from the lottery. Excluded accounts wit include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and dears those accounts). No allocation will be made to these proprietary and employee accounts until all other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing wit not exclude any accounts from the lottery. If the partial call is made at a price above the current market price as captured in Pershing's price reporting system, Pershing will generally categorize the partial cal as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system. Pershing will generally categorize that call as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wit not cause an under-margined condition. Account Number MtAt1 MOLL Go paperless SEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) CON F I DrWrIA L Page 5 of 10 Rated excellent, Um". Year LAO, 2007 DAL BAR RAT ED COMMUNICATIONS rxartmsaer SDNY_GM_00047454 OB-SDNY-0010278 EFrA_00158063 EFTA01290184 Activity Sum m ary (AU amounts shown are in base currency) Credits This Period Year-to-Date Debits Ibis Period Year-to-Date Securities Securities Securthes Bought 0.00 1 C Securities Bought 4,027.12 .31,461.98 Total St011ititS $0.00 $0.00 Total StalfltIOS 46,027.12 431,181.00 Dividends and Interest $5,721.21 $37.198.2$ Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals -3 000 000 00 .19.269,397.60 Deposits 55,637.31 2.294 421.97 Deposits 000 0.00 Total Cash 655,837.31 62,294,121.97 Total Cash -$3,000,000.00 411,289,397.80 FDIC Insured Bank Deposits $0.00 $48,216,022.60 FDIC Insured Bank Deposits $0.00 42,098,022.18 Money Market Funds $3,000,000.00 $5,000,000.00 Money Market Funds 456,331.10 432,170,758.09 Total Credits $3,061,358.52 153,571,642.85 Total Debits 43,081,358.52 453,677112.85 Transactions by Type of Activity Procest Settlement M AthvdTp Us y Ch Price Accrued literW Mount Currenry Securities Bought and Sold 36102:1S PElh VEST CASH INCOME ?MORGAN ROAMS RATE INCOME FUND SELECT SHARES 497.735 -5 021 12 USO PrISX 157091.3990 SIRS SIRS PORCH. AT $10.10000 RD 05/29 PD 0610211/ Total Securities Bought and Sold - UNITED STATES DOUAR 0.00 -5,027.12 Dividends and Interest 06102114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5027.12 L SO SX 157097.3990 SIRS RD 05129 PD 0610211/ 0813011/ MONEY MARKET FUND DWS GOUT CASh INSTL 591.09 LSO INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5,721.21 Cash Withdrawals and Deposits 08/11/14 FEDERAL RADS SENT DEUTSCHE BANK TRUST 4,000,000.00 USD USD999997 0611711/ FEDERAL RADS RECEIVED P MORGAN CHASE BANK 23793 55,637.31 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -2,911,362.69 Page 6010 liftAll V. I Rated tacolloni Lowy Vs*. Yaw Z007 LEPERS INC DAUM. RA TED COMMUNICATIONS CONFI rxesturtraer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: DEErriA Go paperless r igta ."" Ztorr reat in'a feeitaierr i at VouneuA avoirm Loom WM. OM SDNY_GM_00047455 OB-SDNY-0010279 EFrAixii 58064 EFTA01290185 PC. Bct 17/E. Bah moot AID 21203 Orulsre Pep Pn.air. Weida &Waren Weals Cisme 6,o‘P Oftisop Setvnes +.p li re bet 011p, In Pon A . 160. I Per War wet PT 10114 4:44414. WWI MCP% Transactions by Type of Activity (continued) Protest/ Settlement Date Activity Type Description Quantity Statement Period: 0610112114 -0613012114 Price Accrued Interest Amount Correnry Money Market Funds 06/11/14 MONEY FUND REDEMPTION DWSGOVT CASI• 3.000.000.00 USD US0999997 06/18114 MONEY FUND PURCHASE DWS GOV'T CASE! INS% .55.837.31 LSD USD999997 06130114 MONEY MARKET FUND DWSGOVT CASI• ma INCOME REINVF_STED -694.09 LSO REIN VESTM ENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR 0.00 2,943,668.60 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AMEN LE 14TH FLOOR KEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IA FIRST OLT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OLT Electronic Delivery You have not selected any account corn m unications for electronic dehvery. To register and turn off paper communications, b0 in to your account or contact your Client Advisor for more inform anon. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is Page? of 10 Account Number Rated tacellenti tient, ROLL GO beery Van Since 2007 LEPERS INC PaPerless .eery 0LBAR A PATEO UNICA COMM TIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CO I\JFIDENTI,6,1:- SDNY_GM_00047456 DB-SDNY-0010280 EFTA_00158065 EFTA01290186 Important Information and Disclosures (continued) Pricing (continued) not available are marked —N/A" and are cr-itted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. 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 mwe.pershing.convtusiness_continuity.html 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 lime 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. Options 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 intonation regarding this procedure is available upon written request to your introducing firm. 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 Margn Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified horn 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. 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 (u) 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 had 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 cum 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 appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnimpershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized Kadin), to your financial organization and Pershing. Within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 8 off0 Account kum ben .(>1% Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON FIDAENTIAL Rated tscollerdi L very V... Woos 2007 OALBAll Roam COMMUNCATIONS rxenur NCI SON Y_GM_00047457 OB-SDNY-0010281 EFrA_OO158O66 EFTA01290187 Gnaw* 0i, oonin 'Ansa n Mamie-wan Mateets Coteriep. 4. p Des-11O* Y. Sew nes Lac. Vert Oat* HI Pan Annet 16th I Vs Y,4'lot n10114 4:44414. mu 78114MS Statement Period: 06/0112014 • 06/30/2014 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC: Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a patty'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 wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed. and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Pap 9 el 10 Account Number: 'Rabid [APIS. Go paperless beery Year Since 2'007 $EPERS INC Oman O, COmmuNCA TiONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDenTriA RAT n SDNY_GM_00047458 OB-SDNY-0010282 EFrA_00158067 EFTA01290188 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LMAOFS. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATION& • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. 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 IA YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. RE 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 SHCWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF II IE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE, IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL. INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC OPERSHING') 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 CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAIMNG 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 8Y LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR 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 I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: VAMN.PERSHINC3 COMNUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(A)(1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS 10 EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROWED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF TIE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU, FtEASE NOTIFY PERSHING IMMEDIATELY IV WRITING BY CERTFIED MAL 10 OM MMHGPLAZA. JERSEY OW. NJ WM. ATM LEGAL OM Page10010 108A13 MOLL Acoaunl Num Der Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEiSMAL Rsd Excelbril Lvery Vs. Since 2007 DAL BAR RATED COMMUNICATIONS rxalunser riZi.....-rjratrar icavtit" SDNY_GM_00047459 DB-SDNY-00 10283 EFTA_0015£1068 EFTA01290189 rilliet1776.blieren1.02i203 bylsre Ram • r file WI' 411i Ma na luntot Pent% COevar Comp Des-b04 LW Sel,olgs limier* -to Na PIA Asereet MTh I to New** VI 10114 03)1454.71114.11M17144,9% Valuation at a Glance Account Number: Statement Period: 05/0112114 • 15/3112114 this Period Year-to-Date JEEPERS INC Beginning Account Value $33,700,193.75 $16,708,211.11 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -2.000,000.00 44,030812.94 ST THOMAS VI 00802 Adjusted Previous Account Value 31,700,193.75 31,177,111.17 Dividends, Interest and Other Income 5.474.72 31,177.07 het Change in Portfolio 3.141 95 -11.82 nding Account Value S31 7C9 1'0 2.2 S31 7C9 "1 42 fain aced Annual Incom e 569 134 94 Your Client Advisor: TAZIA SIAID1 Asset Allocation Nor Year-End lad Period This Period 11 Allocatioe 1,30 Cash. Money Funds and Bank Depose 44,148,000A2 32,121,650.91 30,122,426.69 95.00% USD Fixed Income 1.560.260.69 1.578.842.84 1.586.613.73 5.00% Account Total (Pie Chart) $45,708,261.11 $33,700,193.75 131,709,110.12 100.00% See page 2 of the statement (or important tnlormaton renaming the Asset Aaccatan section. e Cart alloceo- only rc ixles yoO..cts ::13; are of post ye vane Page 1 of? 108A11 Mt>I CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) t very Year Since 2007 e t :, Mod tacelloni A01O0131CSP30016 GO paperless CON FIDEFiriA rcrertLiNReAr °c°mmuNicaTials •-•-eoet —o-monne•xxe SDNY_GM_00047460 OB-SDNY-0010284 EFTA_00158069 EFTA01290190 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0.00 113.65 Long-Term Gain/Loss 0.00 0.00 1,167.21 Net Gain/Lou 0.00 0.00 01016 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Desaiption Amount [Sabine Sweep Money Market Fund 0 W S GOVERNMENT CASH I NSTL Account Number: 0000001491 Current Yield: 0.03% Activits Ending: 05/30111 0510111/ Opening Balance 32,121,650.91 32.121.65011 0510611/ Withdrawal MONEY FIND REDEMPTION -2,000.000.00 30,121,650.91 05130/11 Deposit INCOME REINVEST 775.76 30.122.426.69 0513011/ Closing Balance 130,122,426.69 Total All Money Market Funds $30,122,426.69 Income and Expense Summary Current Period Year-to-Date Taxable Nos Taxable Taxable Noe Taxable Dividend Income Money Market 775 78 0.00 987.01 0.00 Other Dividends 4.698 94 0.00 26.137 66 0.00 Interest Income FDIC Insured Bank Deposits 0 00 0.00 1.052.20 0.00 Total Dividends, Interest, Income and Expenses 65,174.72 00.00 $31,477.07 $0.00 Page 2 of? Account Number: Go paperless e k Rated Excel S leiva 2007 nt OftAkl ROL L Lyon, •••••• LEPERS INC LAMAR RATED COMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEVriA rxemmer SDNY_GM_00047461 DB-SDNY-001 0285 EFTA_00 158070 EFTA01290191 Destinegra Ponle V./.40•14.1111.-N. MYfOC.NrNYf„0.p °Muhl Sank Stivnes , N New SO Put Ass. INNINSr Ns** NY 1011.4 Up/ 491.7119L in ,811N1! Statement Period: 0610112114 • 05/3112014 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balsam Accrued Income Income This Year 30-Day Carrot Yield Yield Cash, Money Funds, and Bank Deposits 95.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 05101114 30,122,426.690 0000001491 05130/11 32,121,650.91 30,122,426.69 21.76 987 01 0.03% 0.03% Total Money Market FDIC Insured Bank Depodts INSURED DEPOSITS PROGRAM 0510111/ N16024935 0513011/ $32,121,660.91 0.00 $30,122,426.69 0.00 124.76 0.00 $987.01 4,052.20 NM NM Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $1,052.20 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Cod Cod Basis $32,121,660.91 Market Price 130,122,426.69 Market Value 124.76 Unrealized Gall Loss $5,039.21 Estimated Estimated Annual Income Yield Mutual Funds 5.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: DHSS CUSIP 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 10.1000 1,504.468.71 4,468.71 60,774.57 4.03% 03101113 13 533.041 10.0600 5,362.46 10.1000 5,383.78 21.32 217.48 4.03% 04101113 13 591.454 10.1100 5,979.61 10.1000 5,973.69 4.92 241.31 4.03% 05101113 13 562.992 10 1300 5,703.11 10.1000 5.686.21 -16.90 229.70 4.03% 06103113 13 567.343 10.0900 5,724.50 10.1000 5,730.17 5.67 231.48 4.03% 07101113 13 500.501 9.9700 4,990.00 10.1000 5,055.06 65.06 204.20 4.03% 08101113 13 527.827 10.0600 5,309.94 10.1000 5,331.05 21.11 215.35 4.03% 09103113 13 531.248 10.0300 5,328.42 10.1000 5,365.61 37.19 216.75 4.03% Reinvestments to 4,325.688 10.0970 43,674.83 10.1000 43,689.45 14.62 1,764.89 4.03% Date Total Covered 157,097.391 1,582,072.87 1,588,883.73 4,610.68 64,095.73 Total 10,00.3911 $1,582,072.87 $1,616,183.13 $4,610.86 $64,095.73 Total Mutual Funds $1,582,072.87 $1,586,683.73 $4,610.66 161,095.73 Page3 oil Account Num bar OMAN Lek Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON FoncrriAL Rabid eacelloni (very Year Siva 2007 DAL OAR RATED COMMUNICATIONS VXCILL NCI .11::LtrrZtr.3, SDNY_GM_00047462 OB-SDNY-0010286 EFTA_00 I 58071 EFTA01290192 Portfolio Holdings (continued) Unrealized Maned Estimated Cost Basis Markel Value Gaialloss Interest Annual Income Total Portfolio Holdings $31,704,199.56 431,709,110.42 14,610.86 $0.00 169,134.94 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered." under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securnies which have been acquired on or after their 'applicable datersr at which they are subject to the cost basis reporting rules and the adjusted basis vAl be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as foams: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (0RP) shares acquired on or after January 1, 2012 • Cher securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this intonation. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC) For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/rinviv.dws-investments.conEtifproductsimoneynarket-funds-rields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $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 seethe money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Activity Sum m a ry (AU amounts shown are in base currency) Credits This Period Year-to-Date Securities Secunties Bought 0 00 0 00 Total Securities 10.00 10.00 Dividends and Interest $5,474.72 $31,477.07 Cash Withdrawals 0.00 0.00 Deposits 0 00 2.238.784.66 Total Cash $0.00 $2,238,784.86 FOIC Insured Bank Deposits 10.00 4-W218,022M Money Market Funds 12,000,000.00 42,000,000.00 Total Credits 42,005,471.72 150,516,284.33 Debits This Period Year-to-Date Securities Securities Bought .4 698 94 -26.437.86 Total Securities -14,698.94 -426,437.86 Dividends and Interest $0.00 $0.00 Cash Withdrawals -2.000.000.00 .16.269.397 60 Deposits 0 00 0 00 Total Cash -12,000,000.00 -416,269,397.60 FDIC Insured Bank Deposits WOO -42,098,022.18 Money Market Funds -4775.78 -432,122,426.69 Total Debits -42,005,471.72 -450,516,284.33 Page 4 of 7 Account Num ber IIKONN eon Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDAENTIAL Rated too-SYS (very v«. Since 2007 OALBAR RATED COMMUNICATKIHS rxesartraer :term... • ". -- SDNY GM 00047463 DB-SDNY-00 10287 EFTA_00 158072 EFTA01290193 PC. Sat 17/S. Balt moot MD 21203 Transactions by Type of Activity Process/ Settlement Date Activit T Description (*shoe Ban, Pnwe Wean •Aragenmt Marais Can.'. 4,04) Deelsch• NM Smelts +gc Mow Int Olt to HS Past Ammo. lkh I to its** 10. 10114 Il VI 4914,111. OM) 70109.1 Quantity Statement Period: 0510112814 • 05/3112014 Price Accrued Interest Amount Curren Securities Bought and Sold 05101/14 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME RAD SELECT SHARES 468.165 -.698.94 LSD $1- SX 156631.2340 SHRS SHRS PURCH. AT 510.08000 RD 04129 PD 05101114 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -1,890.91 Dividends and Interest 05/01/14 CASH DIVIDEND RECEIVED P M ORGAN FLOATING RATE INCOM E RAD SELECT SHARES 4.698.94 LSD .PHSX 156631.2340 SHRS RD 04129 PD 05101/14 05130114 MONEY MARKET FUND DWSGOVT CASH INSTL 775.78 LSO INCOME RECEIVED 233993682 Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,474.72 Cash Withdrawals and Deposits 05106/14 FEDERAL FL NOS SENT DEUTSCHEBANK TRUST .2,000,000.00 LSO USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -2,000,000.00 Money Market Funds 05106114 MONEY FUND REDEMPTION DWSGOVT CASH 'NUL 2.00Q000 00 LSD USD999997 05130114 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -775.78 LSO REINVESTMENT 233993682 Total N oney Market Funds- UNITED STATES DOLLAR 0.00 1,999,224.22 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TA7JA SMITH 345 PARK AVEN LE 14Th FLOOR KEY/YORK KY 10154 Contact Information Telephone Number: Account Nun ber OBA0 ROLL GO paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON F I L Page5of7 Rated tocollorigi (very Vs. Since 2007 0ALBAll MUD COMMUNICATIONS r xest Lir NCI SDNY_GM_00047464 DB-SDNY-0010288 EFTA_00 158073 EFTA01290194 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST Ile FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST Ik FIRST OUT Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con in unications, log in to your account or contact your Client Advisor for more inform alien. FIRST lk FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in you account on a settlement date basis. including short positions. at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace There your position was purchased as the 'Market Price.' Securities for which a price is not available axe marked "'N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. 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 ynwr.pershing.cormbusiness_continuity.htrni for specific deeds as to formulas used to calculate the figures. Accrued interest represents interest eamed 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 wit not receive confirmation of these reinvestments. Upon wntten 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 now. Options 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 wfding 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. 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 Margn Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. notated a charge, or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents use. The Role of Pershing • Pershing caries your account as cleating 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 (n) 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 hoed Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing penorms several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it dnectiy or through your financial institution or that it receives as the result of securities transactions it processes. Account Number IIRAV (so paperless EERERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIN't P. 6(e) coNForwri,°kL Paged off Rated tocellenti (very Van Siam 2007 CALM. RATIO COMMUNICATIONS IXCIllrnaer 071.....7===sr= win•C SDNY_GM_00047485 OB-SDNY-0010289 EFrA_00 I 58074 EFTA01290195 Isre kn. 1, 0•410 "Mall h Wnalrmmr I worn COn ar C..p..p Dests0A St4V WS MC. mr. von Mar HI Pan Anows. Ikh I ber War leek 1,tt 1011.4 inne.4.7414.111%1781.471S Statement Period: 0510112014 • 0513112014 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its aim 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 appbcable; 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. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vAwrpershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. Within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other Si can, including the right to a trial by pry, 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 vii typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page ? of ? Account Number: GO paperless livery Year 2007 DOAN lit 011 LEPERS INC DAL BAR RATED COMNIUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDriTriA rxerturnaer SDNY_GM_00047466 DB-SDNY-0010290 EFTA_001 58O75 EFTA01290196 ee11779, BeierrenseDer203 JEEPERS INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SMIDi 0en'coeliac.. PonIn "Hall n Ma nalrmmr a• etf Detract 4.wp Ohba* San %WIN% C ',- Mn Vart Clat• N a Par% Mist ten, to linir stn M 1011.4 inn 454.71119. WA) 781.471S Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income et Chan e in Portfolio Account Num ber: Statement Period: 0410112014 -1413012114 This Period Year•to.Data $36,964,156.49 $46,708861.11 .3,255,34219 .12,030,612.94 33,611813.60 33,677,646.17 6,319.19 26,002.35 -4.698 94 .3 156 77 ncling Account Value Estmated Annual Income $33 700 4 9 3.7 5 $33,700,49315 Asset Allocation Prior Year-Tad Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Depoals1 44,148,000.42 35,375,788.72 32,121 650 9t 95.32% ■ USD Axed Income 1.560.260.69 1,578,389.77 1.578.842 84 4.68% Account Total (Pie Chart) $45,708,261.11 $36,954,156.49 $33,700,493.75 100.00% I The Bank Deposes In your account are FDIC Insured bank deposits. FDIC insured bank deposits are rot securities and are not covered by the Securer's Investor Protection Corporation (SIPC) These bank deposes are covered by the Federal Depose Insurance Corporatfon (FDIC), up to alknvable See page 2 of the statement for important informaton regardng the Asset Alrocatch section. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) S69.10.8 F e Crrart allocation only includes pros -cts that are of poldive yak*. Pees sof 9 800976V/CSF39016 Co papedess 4 .,„ Sty., YearS In A Rein DAWN* RATED OMMUNICAT1ONS RIPOnd I ...tient iinSpienuoin Only • •1600. awed enabling CON FIDENTIAL:''''' SDNY_GM_00O47467 OB-SDNY-0010291 EFTA_00158076 EFTA01290197 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•to•Date Short•Term Gain/Loss 0.00 0 00 1351 Long•Term Gal&Loss 0.00 0 00 1 482 48 Net GaIn/Loss 0.00 0.00 1,468.91 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Oate Activity Type Deuription Amount Balance Sweep Money Market Fund owS GOVERNMENT CASH I NSTI. Account Number: 0000001491 Current Yield 0.03% Activity Ending: 04130(14 04101/14 Opening Balance 0.00 0.00 04123/14 Deposit MONEY FIND FURCHASE 32,121,439.61 32,121,439.68 04130/14 Deposit INCOME REIN VEST 211.23 32.121.650.91 04130114 Closing Balance 132,121,850.91 Total All Money Market Funds 132,121,650.91 FDIC Insured Bank Deposits Date Activity Type Desaiption Amount Balance Other FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024935 Activity Ending: 04130/14 04101/14 Opening Balance 35,375,766.72 35,375,766.72 04111/14 Withdrawal WITHDRAWAL -3,400,000.00 31,975,766.72 04115/14 Owed INTEREST CREDITED 858.28 31,976,825.00 APY 0.03% 04/16114 Associated Bank NA 31,976,625.00 NO 04/16 $250000.00 BB&T NO 04/16 $250000.00 Bank of America NO 04/16 5250000.00 Citibank NA. NO 04/16 $250000.00 Deutsche Bank Trst Co Page2 of 9 Account Num ber ~V.... E.*09/657CSF30016 paperhass Seva, ts In A Rem FIIIAlt Lir LEPERS INC A• • • • I C LAW:RATED COMMUNICAT1ONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL EXCIE UMW', OINI•lbell•••411R01.1•-1. "a. • ins. ••••••••....s., SDNY_GM_00047468 DB-SDNY-0010292 EFTA_00 158077 EFTA01290198 FDIC Insured Bank Deposits (continued) Date Activity Type Description Onisre Rana Pn.a', worn Paragenen Weans Cedrage 4 ,0.1) Des-bag Mw Settonerac lire 5.4 alit* Hare. Annus. ≥Nu I bet War Int VI 10114 inn 4:44M. MIS) 7µ COS Statement Period:0410112114 • 04/3012014 Amount Balance Other FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (cortirued) NO 04116 529726625. East West Bank NO 04116 5250000.00 NY Corn m unity Bank NO 04116 $250000.00 Texas Capital Bank NO 04116 $250000.00 TnState Capital Bank NO 04118 $250000.00 Com enity Bank NO 04116 $250000.00 04122114 Withdrawal WITHDRAWAL 04122114 Depoti1 INTEREST POSTED 04130/14 Closing Balance Total FDIC Insured Bank Deposits The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ovmership including individual retirement accounts and certain other self directed retirement accounts. Please review this m connection with other deposits you may have at each respective bank. -31 976.782 67 157.67 -157.67 0.00 $0.00 $0.00 Income and Expense Summary Dividend Income Money Market Other Dividends Interest Income FDIC Insured Bank Depot* Total Dividend; Interest, Income and Expenses Current Period Year-to-Dale Taxable Non Taxable Taxable Non Taxable 211.23 0 00 211.23 0 00 5,152.01 000 21,731.92 000 1,015.95 0.00 4,052 20 0 00 $6,379.19 $0.00 026,002.36 $0.00 Page 3 of 9 Account Number' Rabid twellent CMI iptlieS6 8. LEPERS INC CAW* ItAT ID COMMUMICAlIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL: ""`"- COnabp••••••• onemoS.C. node/ *good es...8n SDNY_GM_00047469 DB-SDNY-00 10293 EFTA_00 I 58078 EFTA01290199 Portfolio Holdings Account Opening Date Quantity Number Activity Fading Opening Balance Closing Balance Accrued Income Income This Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits 95.00% of Portfolio Money Market DVI S GOVERN M ENT CASH I NSTL 04101114 32.121 650910 0000001491 04130114 0.00 32,121,650.91 0.00 211 23 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 04101114 N46024935 0/130114 60.09 35,371766.72 132,121,660.91 0.00 $0.00 0.00 $211.23 4,052 20 NIA N/A Total FDIC Insured Bank Deposits $35,375,766.72 1 $0.00 $4,052.20 Total Cash, Money Funds, and Bank Deposits Date Annulled Quantity Unit Cost Cod Basis $35,375,766.12 Market Price $32,121,6500..9010 Mickel Value $0.00 Umealtied Gal/ Loss $4,263.43 Estimated Estimated Annual Income Yield Mutual Funds 5.00% of Portfolio S' M ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Staidly Identlfier.PHSX CUSP 481211510 02113113 13 146,957.299 03101113+3 533.047 10.0700 10.0600 1.500.000.00 5,362.16 10.0800 10.0800 1.501.48458 5,373.12 1,489 14 68 61,668.32 220.68 4.10% 4.10% 04101113 13 591.454 10.1100 5,979.61 10.0800 5,961.85 -17.76 244.86 4.10% 05101113 13 562.992 10.1300 5,703.11 10.0800 5.674.96 -28.15 233.08 4.10% 08103113 13 567.343 10.0900 5,724.50 10.0800 5.718.82 -518 234.88 4.10% 07101113 13 500.501 9.9700 1,990.00 10.0800 5,045.05 55.05 207.21 4.10% 08101113 13 527.827 10.0600 5,309.94 10.0800 5,320.50 10.56 218.52 4.10% 09103113 13 531.248 10.0300 5.328.42 10.0800 5.354.98 26.56 219.94 4.10% Reinvestments to 3.859.523 10.0990 38.97519 10.0800 38.903.98 41.91 1,597.84 4.10% Date Total Covered 156,831.234 1,577,373.93 1,578,84214 1,468.91 64,845.33 Total *56.631.234 $1,577,373.93 $1,57 1842.84 11,468 31 164,845.33 Total Mutual Funds $1,577,373.93 $1,578,842.84 $1,408.91 164,845.33 Unrealtied Acu laterlest ed Estimated Cost Basis Market Value Wit Loa Annual Income Total Portfolio Holdings $33,699,024.84 $33,700,493.75 $1,408.91 $0.00 $69,106.76 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(sy at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 for the applicable tax year in which the security is Page< on P*09/657CSF30016 011.414 (III Account Num ber Palwriess *, 1:54.Efa tAc.— umoatws LEPERS INC A•••• 'jilt( CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID5NTIAL tx"`". ` CN•••••••••••••••••”110.••••••••••••••••••., SDNY_GM_00047470 DB-SDNY-0010294 EFTA_00 158079 EFTA01290200 PO. liso 1771 GOirro•MC121203 Portfolio Holdings (continued) (*.Owe gam Pon. Wealth Ma nap -nal, M worn Com r an tot,p Oros( Marla 54.4w net lire bet ON* Ma* Pot Al...... Mk I kw ve Wet AY 10154 CM) VA.7.16. MSS, 7µ4V1/1 Statement Period: 04/01/2014 • 04/30/2014 disposed. Reporting requirements generally w61 be phased in over a Three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (0RP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa es Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC}Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for °WS money market funds, please visit the DWS Investments website at htlps:/Nniter.dws.investments.comEN/products/money.market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Summary (NI amounts shown in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunties Bought 0 00 0 00 Securities Bought -5,152.01 -21.738.92 Total Securities $0.00 $0.00 Total Severities -$5,162.01 -$21,738.92 Dividends and Interest $6,379.19 124,002.35 Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 000 0.00 Withdrawals .3.400 000 00 .14,289,397.80 Deposits 144.657 01 2 238 784 66 Deposits 0 CO 000 Total Cash $144,057.01 $2,238,784.86 Total Cash -13.400,000.00 ,114,269,397.60 FDIC Insured Bank Deposits 636,370,625m 146,246,022.80 FDIC Insured Bank Deposits •f858.28 -12.098,022.18 M oney M arket Funds $0.00 $0.00 Money Market Funds -$32,121,650.91 -$32,121,650.91 Total Credits $35,527,661.20 148,510,809.61 Total Debits ,135,527,661.20 .$48,510,809.61 Page 5 of 9 Account Num ber Go paperless was EEPERS INC TIONS LOA RAT OMMUNICA Ygyatti oAc CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDAENTIAL "`"""" noway tat. a am...6d ••••••••••• SDNY_GM_00047471 DB-SDNY-0010295 EFrA_00158080 EFTA01290201 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quality Price Atoned Interest Amount Currency Securities Bought and Sold 04101/14 REINVEST CASH INCOME 'MORGAN FLOATING RATE INCOME FUND SELECT WRES 509 PH SK 156121.8390 SHRS SHRSPLRCH. AT S10.11000 RD 03/28 PD 0/101111 595 -5.152.01 6S0 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,152.01 Dividends and Interest 04/01/14 CASH DIVIDEND RECEIVED 'MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,152.01 LSD PHSK 156121.6390 SHRS RD 03/28 PD 0/101114 04/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 858.28 LSD DEPOSITS INTEREST RECEIVED /58991996 04/22/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME 157.67 LSD DEPOSITS INTEREST REDEEMED RECEIVED /58997996 04/30114 MONEY MARKET FUND DWSGOVT CASH INSTL 211.23 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,379.19 Cash Withdrawals and Deposits 04/11/14 FEDERAL FUN DS SENT DEL TSCHE BANK TRUST 1.100.000.00 LSO USD999997 04/11/14 FEDERAL FUNDS RECEIVED "MORGAN CHASE BANK 15913 111,857.01 LSO USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -3,256,312.99 FDIC Insured Bank Deposits 04/11/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 3.400.000.00 LSO WITHDRAWAL USD999997 04115114 FDIC INSURED BANK INSURED DEPOSITSINTEREST REINVESTED -85828 LSD DEPOSITS INTEREST REINVESTED 458997996 04/22/14 FDIC INSURED BANK INSURED DEPOSITSPROGRAM FULL PidkCIPAL REDEEMED 31.976,625 00 LSD WITHDRAWAL U 50999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 35,375,168.72 8009/637CSP30016 Page 6 of 9 Account Number LEPERS INC GA0 paperless Ral*d tiallent LAMM PATEDCOMMUNICA110•41 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL -a-. Seer% VO/II4 In A Row LIA. • WWI. ••••••• SDNY_GM_00047472 DB-SDNY-0010296 EFTA_00 I 5808 I EFTA01290202 PC. Sat 1226. &di nom AID 21203 Transactions by Type of Activity (continued) Protest/ Settlement Date Activity Type Money Market Funds 04123/14 MONEY FUND PURChASE 1,50999997 04/30/14 MONEY MARKET FUND REIN YESTM EAT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 42,121.650.91 (*awe Rana Pnwill, weak au-wren Weans Cedrapp6KM) Destsch4 M. %Plows nc Mee yen Mar Inert Ammo. Ito mei War wet. PT 10114 01))4:44,914. 7$144,91, Statement Period: 0410112014 • 04/3012014 Description Quantity Price Acased interest Amount Currency DWSGOVT CASE 'ASTI -32 121.439 68 LSD DWS GOVT CAST INSTL INCOME REINVESTED •211.23 LSO Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 0.00 USD Your Client Advisor: TDS TAZIA SMITh 345 PARK AVEA LE 14Th FLOOR NEV/YORK AY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic dehvery. To register and turn off paper tom m unications, log in to your account or contact your Client Advisor for more inform alien. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A- and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Page? of 9 Account Num ber Go (Ili paperless EPERS . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) INCCON FIDA5NTIAL Milord I woollen. Seven V.... In A Reno EM MA!! RATt D COMAILIPOCATIOHS IRCELIANCI IS& . M.*/ 41•••••• SDNY_GM_00047473 DB-SDNY-0010297 EFTA_00 158082 EFTA01290203 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimatea annual yield tEAY) 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 intonation 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.conVbusiness_continuity.htiri 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. Options Information we 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 tpon written request to your introducing firm. 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 Margn Agreement. The light to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the 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 appboable; the rendering of investment advice, if any, to you and in general, to the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI 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 (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.constrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City. New Jersey 07390; (201)413-3330. Errors and Omissions excepted. Page 8 of 9 Account Nura ber Rabid I wollent 8001O657CSF30116 Go paper less ea JEEPERS INC DAMAO, ItAT ED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) CON Fl 1AL: ""`"N" -- Onsimiu.a nib...rots no. s.n SDNY_GM_00047474 OB-SDNY-0010298 EFIA_00 158083 EFTA01290204 PC. Bcp 1770. Elul Pap MD 2120 Important Information and Disclosures (continued) 0gvisot emit km,. Wea•nstragenen weans Cisme Crap Destschp Sp* Smola. w iivevart Mc* Mann Ass,. 114h item New RA /IT 1011A (MI 414-71M. (MI 7./.4,91, Statement Period:0410112114 • 04/3012014 Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are 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 wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413.3330. Account Number Go 4 k , Rape I...Pent p 'per-less Sea.' " Yea la A Row LEPERS INC DA MAR RATED COMMUNOCA/1004% CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL VICELLIPPCI Pease of 9 C••••••••'.1. IONS. 116 • lallegall•*•••••1116.1 SDNY_GM_00047475 DB-SDNY-0010299 EFTA_00158084 EFTA01290205 AQ ber flit fissindekted03 OralsooMmPowe\WW.M.vmwm. Maes4CPMftVG,V.P Des-IUMWNSew6mML illndi4me0.2600X4r Ww*AM . I0M IMP*44INIATIWWW9S Valuation at a Glance Account Number: Statement Period: 0310112114 - 0313112114 This Period Year-to-Date JEEPERS INC Beginning Account Value $36,263,966.63 946,708,261.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 696.146.65 -8.775,269.95 ST THOMAS VI 00802 Adjusted Previous Account Value 38,950,113.18 36,932,991.16 Dividends. Interest and Other Income 5,604.52 19,623.16 Net Chan e in Portfolio .1.581 21 1.542.t7 nding Account Value $36.954.156.49 $36,954.156.49 Estimated Annual Income S68 919 58 Your Client Advisor: TAZIA SM ITN Asset Allocation Prior Year-Lad Lad Period This Period % Alocalios LSD Cash. Money Funds and Bank Depouts1 44,148,000.42 34,678,840.54 35,375,766.72 9513% USD Fixed Income 1.560.260.89 1.575.125.99 1.578.389.77 4.27% r Account Total (Pie Chart) 845,708,281.11 336,253,966.53 $36,954,156.49 100.00% I The Bank Deposes In your account are FDIC Insured bank deposits. FDIC insured bank deposits are not scones and are not covered by the Securities Investor Protection Corpcation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to Arab* emits. See page 2 of the statement (or important informatian regerdng the Asset Allocate on section. CONFIDENTIAL - PURSUANT TO FED. R CRIIIA. P. 6(e) B010718 CSF30022 e Cart allocato- only rc '.des yo.1-cts that are of post ye vane Paget of 9 Go paperless CONFIDENTIA RM•d(KOWeit SereeiYeatInARow MMAARRATEDCOMMUNCATCW4M ExCILUNCII ammv0ww0Oweenpuolawir...M.Mmon SON Y_GM_0004 7476 OB-SDNY-0010300 EFTA_00 I 58085 EFTA01290206 Asset Allocation Disclosure and Footnotes 1 Fixed Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realized This Period Year-tante Unreality/ Short•Term Gam/Loss Lang-Term Gain/Loss Net GaIn/Loss This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Achy. Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024935 Activity Ending: 03/31/14 03101114 Opening Balance 03107/14 Deposit 03114114 Deposit 03/17114 Demi ion 0.00 0.00 0.00 0.00 0 00 0.00 Amount 182 90 5.984 95 6,167.85 Balance DEPOSIT INTEREST CREDITED APT 0.03% Associated Bank NA NO 03/17 5250000.00 BBC NO 03117 $250000.00 Bank of America NO 03117 5250000.00 Citibank H.A. NO 03(17 S250000.00 Deutsche Bank Trst Co NO 03117 $33125766. East West Bank NO 03(17 $250000.00 NY Community Bank NO 03117 5250000.00 Texas Capital Bank NO 03/17 $250000.00 Union Bank of CA NO 03/17 5250000.00 34,678,840 54 696.146.65 779.53 34.678,840 54 35.374.987 19 35,375.766 72 35.375,76672 Page? of 9 Account Number.- 'Land t nollent Go paperless Screen Yeas In A Row JEERERS INC DALSAR RATED CCANALINICATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) CON FIDAarriA c__ . LIA. • %AAA *Ann Asann SDNY_GM_00047477 DB-SDNY-0010301 EFDC00158086 EFTA01290207 PC Bat 177O. 21203 FDIC Insured Bank Deposits (continued) Date Activity Type Description (Misr* Rana Pnwair Weida &trap-tan Pdaeals Coon., GKM) MAUISat Smelts +gc lire %et Oat* In Pan Anneo. 114h I leer War leek 1,tt ICIIA 011)4:4411311.11151741.4,91, Statement Period: 03/0112014 • 0313112014 Amount Balm Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Com enity Bank NO 03/17 $250000.00 03131/14 posing Balance 336,375 766.72 Total FDIC Insured Bank Deposits $35,375,788.72 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Other Dividends 4.824.99 000 16,586.91 000 Interest Income FDIC Insured Bank Deposits 779.53 0.00 3,036.25 0 00 Total Dividends, Interest, Income and Expenses $5,804.62 $0.00 $19,623.11 90.00 Portfolio Holdings Account Adivity Opening Date Quantity /lumber Ending Openly Balance Closing Balsam Acan d Income home This Year 30-Day Yield Cermet Yield Cash, Money Funds, and Bank Deposits 96.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 03101I14 35.375.766 720 A40024935 03131/14 34.678.840.54 35.375.766.72 438.12 3,036.25 N/A NIA Total FDIC Insured Bank Deposits $34,678,840.54 $35,375,766.72 $438.12 $3,036.25 Total Cash, M oney Funds, and Bank Deposits $34,678,640.54 135,375,768.72 $438.12 $3,038.26 Page 3 of 9 Account Number Itne4 I .e411.0.4. B0ICOISICSF30022 Go paperless S'w^ weanA cites. DA LEPERS INC RAT ID A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F I IDA51"TIAL CS" ••••••• ••••••••11•2. nos. ammo. ••••11184 SDNY_GM_00047478 DB-SDNY-0010302 EFTA_00158087 EFTA01290208 Portfolio Holdings (continued) Unrealized Dale Acquired Quantity Unit Cost Cost Bays Market Price Markel Value Gala! Loss Estimated Estimated Annual Income Yield Mutual Funds 4.00% of Portfolio R M ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP: 481211510 02113/13 13 148,957.299 101100 1,500,000.00 10.1100 1,505,958.30 5,958.30 62,859.98 4.1T% 03/01/13 13 533.047 10.0600 5,362.46 10.1100 5.389.11 26.65 224.95 4.17% 04101113 13 591.454 10.1100 5,979.61 10.1100 5,979.60 -0.01 249.59 4.17% 05101113 13 562.992 10.1300 5,703.11 10.1100 5.691.85 .11.26 237.58 4.17% 06103113 17 567.343 10.0900 5,724.50 10.1100 5.735.84 11.34 239.42 4.17% 07101113 13 500.501 9.9700 4,990.00 10.1100 5.060.07 70.07 211.21 4.17% 08101/13 13 527.827 10.0800 5,309.94 10.1100 5.336 33 26.39 222.74 4.17% 09/03/13 13 531.248 10.0300 5,328.42 10.1100 5.370.91 42.49 224.19 4.17% Reinvestments to 3,349.928 10.0970 33,823.88 10.1100 33,867.76 43.88 1,413.67 4.17% Date Total Covered 156,121.639 1 572 221 12 1,578,389.77 6,167.85 65,863.33 Total 156,121.639 11,572,221.12 $1,571,369.77 16,167.66 166,683.33 Total Mutual Funds $1,572,221.92 31,571,389.77 16,167.65 $65,663.33 Untaxed heaved Estimated Col Bads Markel Value Gala/ loss liters Moll Income Total Portfolio Holdings 336,947,188.64 336,964,156.49 16,167.85 30.06 388,919.56 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities vitich are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *appticable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis vii be reported to the IRS on form 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as blows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your investment at 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. Page 4 of 9 soioneicmoon Account Number. () Go paperless SeRabo., ye d ellont n liccw. la A LEPERS INC LAW* RATED COMMUNICA11O.41 CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) CONFIDE TIAL EXCILIANCI Csieworiftmaes Owns., tit. • meow eons radar.. SDNY_GM_00047479 OB-SDNY-0010303 EFTA_OOI 58088 EFTA01290209 PC. Brol Ills. Bat moot AID 21203 M essages (continued) Dean Bm, P,,.,', Wean up...gene* Mprens Cisme 6,04, Derewlip Sonit Sectenes Mae Int Mt* Ms Psi Amos,. 260.1bgr Mrs** NY 1011.4 P VI 4914,18. 01141 78114P9S Statement Period: 0 31 011 211 4 • 03/31/2014 Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at https://wiver.dws-investments.conVEN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the follovring information is available to you: i) the identity of the venue to which your orders were routed for execution in the six months prior to the request, ii) whether the orders were directed orders or non-directed orders, I) the time of the transactions, if any. that resulted from such orders We will notify you on an annual basis of the availability of the above information upon request. Activity Sum m ary (Ail amounts shown are in base currency) Credits This Period Year.totate Debits Thu Period Year-to-Date Securities Securities Setuntes Bought 000 000 Seeu nes Bought -1,82199 -16.586.91 Total Securities $0.00 $0.00 Total Securities .14,824.99 .$18,586.91 Dividends and Interest $5,601.52 $19,623.18 Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals 0.00 -10.869,397.80 Deposits 696,146.65 2,094,127.65 Deposits 000 0.00 Total Cash $698,146.65 $2,091,127.65 Total Cash $0.00 -010,669,307.60 FDIC Insured Bank Deposits $0.00 $10,869,397.60 FDIC Insured Bank Deposits -$696,926.16 -$2,097,163.90 Total Credits $701,751.17 112,983,148.11 Total Debits -$701,751.17 -$12,983,118.41 Page $ of 9 Account Nu® Der' Ral•d tweetlent Ps)10) IP ICSF 30 022 Go Palwriess fiZenweiTtlioacraluiricwworrs CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. ••••• . • •,. 6: PERSINCCONFIDEN TiA IPCILIANCI Olnap0•••••• INIIIISOLL6 • wooer •••••• SDNCGM_00047480 DB-SDNY-0010304 EFTA_00 158089 EFTA01290210 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Moult Currency Securities Bought and Sold 03/03/14 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME FUND SELECT %ARES .FHSX 155644.8610 SHRS SHRS MACH. AT 510.12000 RD 02/27 P0 03103/14 476.778 -4124.99 LSD Total Securities Bought and Sold • UNITED STATES DOLLAR Dividends and Interest 03103114 CASH DIVIDEND RECEIVED 2 MORGAN FLOATING RATE INCOME FUND SELECT SHARES .F1- SX 15564/8610 SHRS RD 02/27 PD 03/03/14 03/14114 FDIC INSURED MK INSURED DEPOSITS INTEREST CREDITED DEPOSITS INTEREST RECEIVED 458997996 0.00 .4,824.99 4.824.99 779.53 LSD LSD Total Dividends and Interest • UNITED STATES DOLLAR Cash Withdrawals and Deposits 03106/14 FEDERAL FUNDS RECEIVED CITIBANK NA. 36072 bS0999997 03106/14 FEDERAL FL N DS RECEIVED .P MORGAN CHASE BANK 16739 b S0999997 0.00 5,604.52 417.960 10 278.186 55 LSO LSO Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR FDIC Insured Bank Deposits 03107114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM USD999997 03114/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED DEPOSITS INTEREST REINVESTED 458997996 0.00 696,146.65 .696.146 65 -779.53 LSO LSO Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 496,926.18 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 0.00 USD Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVE/. LE 14TH FLOOR NEWYORK NY 10154 Contact Information Telephone Number: Page 6 of 9 Account Number rlaihred I IIAI1 Lis Go paperless Sten ye.. ea A Row JEEPERS INC CONFIDAENTIAL D:trat D COMMUNICAT10.6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Am... use. • aloft awed •••••••••• SDNY_GM_00047481 DB-SDNY-0010305 EFTA_00I58090 EFTA01290211 Your Account Inform ation Ora'so< Ram Po.* Wealth DANIrMIll Marais (*decree 6.00 Destsche Sank Secteftes Inc MnYw4lblw Na ion Moat 1141. I ber New*** rtt 1011.4 1/121454.71119.1115178•471S Statement Period: 031011914 - 03/31/2014 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST ifi FIRST OUT Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more inform Minn. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained horn sources whkh we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information horn 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 vnwr.pershing.comibusiness_continuity.htri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil 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. Options 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 fin. 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. 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 Margm Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute (deign 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 horn customary banking sources on the conversion date cc 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. Page ?of 9 Account Num ber Ral•d venom 8010/181CSF30022 Go paperless _Sine^ V... er. A Itew LEPERS INC rmittl iRWDCOMMUNOCAT1ONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F ID 5NTIAL Canso& •••••••••••••‘. l.u. •••••••••••••1.4.1180 SON Y_GM_00047482 OB-SDNY-0010306 EFTA_00158091 EFTA01290212 Important Information and Disclosures (continued) The Role of Pershing • Pershing carves your account as clearing broker pursuant to a cleanng 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 (il) any other instructions concerning your account. Pershing is not responsible or kable 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 appkcable; the rendering of investment advice, if any, to you and is 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. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial mandating'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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wwwpershing.comfstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includeig unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is 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 vii typically include a minority of arbitrators who were or are affiliated with the secuhties industry. • The rules of some arbitration forums may impose tine 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 shaft be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 8 of 9 eoloneicsnoon Account NU® ben' Rabid [Welkin? Go paperless S.•••• ,^ A Row OPoisp Onus& Owenby WI nib.. aura rAoe*I" es no oar •• mast coopwalatilm maw. .EEPERS INC OALOAll RATED COMMUNICADONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) CON FIDA5NTIAL: "a"' SDNY_GM_00047483 OB- 010307 -0010307 EFTA_00158092 EFTA01290213 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO AU. APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT GATE. 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 I; YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. DE 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 Ti IE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING COES 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 SUCHADVICE, IF GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS OSCRETION AT ANY TIME, WITHOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL 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. TERMS AND CONDMONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSMONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCLAJ. INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHINGS OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYPN.PERSHING COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION MIS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY, PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF TM ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU. FtEASE NOTIFY PEREMNG IMMEDIATELY IN WRITING BY CERTFIED WM 70 ONE PERSHING PLATA. JERSEY CRT. NI 07399. ATM LEGAL DOT Page 9 or 9 Aco3unl Number BOI071SICSF30022 00.4114-1 IT Go paperless SR:7" ice= = A R DA MAR RATED COmmuesCATOM CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:7LEPERS 1tONFIDttITIAL !MELON< a..., p.m.% •••••••• WC • •••••• Owned ••••••••••• SDNY_GM_00047484 DB-SDNY-0010308 EFTA_00 158093 EFTA01290214 PO. Pox 1776. &P pm. MD 21203 Gramm 11am Pmalp *math /mmeempl Pamir Comm, Mom DemO,4 M Semmms Ha Put OPM bit menet Ikh I ber Na Rra Pet 1011.4 454.7414. (MI 78/.4,91, Valuation at a Glance Account Number: Statement Period: 02101(2014 -0212812014 This Period Year-to-Date JEEFERS INC Beginning Account Value $39,959,714.00 545,708,261.11 6 100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals .3 711 678 00 -9.471.416.60 ST THOMAS VI 00802 Adjusted Previous Account Value 36,248,038.00 38,238,844.51 Dividends. Interest and Other Income 5.930 54 14,018.64 et Chan e in Portfolio .001 3 193 39 Estrm aled Annual lncom e Your Client Advisor: TAZIA SM III- Asset Allocation Prior Year-yd Lod Period This Period %Ababa USD Cash. Money Funds and Bank Decocts+ 44,148,000 42 38,389,398.28 34,878,84054 95.60% USD Fixed Income 1 560 260 69 1.570.315.71 1.575.125.99 4.34% r - Account Total (Pie Chart) $45,708,281.11 139,959,714.00 838,253,988.53 100.00% I The Bank Deposils in your account are FDIC insured bank deposits. FDIC insured bank deposits are rot securities and are not covered try the Securities Investor Protection Corporation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to alknvable limas. See page 2 of this statement tor important intormatonregarcing the Asset Abocatonsecoon. IMAIR tk . e Chart allocation only inchvies products that are of positive value. Page tor 8 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) A011 9968CSF30015 Rain' CI° PaPerless Cit DA St IVIt ertAnTDACROMMUNICAlIONS CONFIDENTIAL Conose••••••• Os". Lit. fl amer ••••••••• SDNY_GM_00047485 DB-SDNY-00 10309 EFTA_00 158094 EFTA01290215 Asset Allocation Disclosure and Footnotes Fred Income contain Fixed Income Mutual Funds Summary of Gains and Losses Realized This Period Year-tante Unrealized Short•Term Gam/Loss Lang-Term Gain/loss Net Gain/Loss This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Activity T pe Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024935 Acteily Ending: 02/28/14 02101(14 Opening Balance 02114(14 Deposit 02118/14 Demi ion 0.00 0.00 0.00 0.00 0 00 0.00 Amount 281.19 7.447 87 7,729.06 Balance INTEREST CREDITED APY 0.03% Assoaated Bank NA NO 02118 $250000.00 BUT NO 02(18 S250000.00 Bank of America NO 02118 $250000.00 Citibank N.A. NO 02118 S250000.00 Deutsche Bank TN Co NO 02118 $36140518. East West Bank NO 02118 5250000.00 NY Community Bank NO 02(18 S250000.00 Texas Capital Bank NO 02118 5250000.00 Union Bank of CA NO 02(18 525000000 Corn 'pity Bank NO 02118 S250000.00 38,389,398 26 1.120 28 38,389,398 26 38.390.518 54 38.390,518 54 Page 2 of 8 Account Number.— Go Raton tannin.' paperless Seven Venn A Ran EFF'ERS INC *, CALM* RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) CONFIDENT-TEA VICCISENCI •••••••• Lit. • ...ere...1 •••••••••• SDNY_GM_00047486 DB-SDNY-0010310 EFIA_00158095 EFTA01290216 PC. Bat 1770. &I .1,10 21203 FDIC Insured Bank Deposits (continued) Date Activity Type Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSTS PROGRAM (continued) 02120114 Withdrawal 02128114 De post 02128114 Closing Balance Total FDIC Insured Bank Deposits The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please reviewthis in connection with other deposits you may have at each respective bank. °.,,p.* Rana Pnwair Were •Apmernall Idaeals Codrapp6KaP MAUI M Sette*es Ht. Pre wart Pinto in Port Ass.. 260. I Wei Neve M' ICCA inn 454.71114. CCM 78/.4,91, Description Statement Period: 0210112014 • 02128/2014 Mosel Balance WITHDRAWAL -1,000,000.00 31,390,518.54 DEPOSIT 288,322.00 34 678,840.54 334,618,840.54 $34,878,840.54 Income and Expense Summary Current Period Year-lo-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Other Dividends Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses Portfolio Holdings A:lin Account Opening Date Quantity Number Cash, Money Funds, and Bank Deposits 96.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 02101114 31.678.810.510 N4G024935 02128/14 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits 4.810.16 0 00 11,761.92 0.00 1.120.28 0 00 2,256.72 000 $5,930.51 $0.00 $11,118.81 $0.00 Opening Balance Closing Balance Weaved Income home Ns Year 38•Day Yield Omit Yield 38.389.398.26 34.678.810.51 371.74 2.256.72 N/A NM $38,389,398.28 $34,678,840.51 $374.71 $2,256.71 $38,389,398.26 $31,678,840.51 $371.71 $1,256.71 Page 3 of8 Account Number &PPS /11)119968CSF3001S Go paperless Soren Years In A Row LEPERS INC A•• • IT. C DALOAR RATED CCPAPAUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL exC1UNC6 Ompolviono. Pores•usa. ••••••• wars ••••••••• SDNCGM_00047487 DB-SDNY-00 10311 EFTA_00 158096 EFTA01290217 Portfolio Holdings (continued) Unrealized Estimated Estimated Cale Acquired Quantity Unit Cost Cost Basis Market Pria Markel Value Gala! Loss Annual Income Yield Mutual Funds 4.00% of Portfolio J? M ORGAN FLOATING RATE IN COME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP. 481211510 02113113 13 118,957299 101100 1,500,000.00 10.1200 1,507,417.87 7,447.87 63,902.88 4.23% 03101113 13 533.047 10.0600 5,362.46 10.1200 5,394.13 3511901 228.68 423% 01!01113 13 591.454 10.1100 5,979.61 10.1200 5,985.51 253.73 4.23% 05101113 13 562.992 10.1300 5,703.11 10.1200 5,697.18 -5.63 241.52 4.23% 06!03113 13 567.343 10.0900 5,724.50 10.1200 5,741.51 17.01 243.39 4.23% 01101113 13 500.501 9.9700 4,990.00 10.1200 5,065.07 75.07 214.71 4.23% 08101113 13 527.827 10.0600 5,309.94 10.1200 5,341.61 228.41 4.23% 09103113 13 Reinvestments to 531.248 2,873.150 10.0300 10.0930 5,32812 28,998.89 10.1200 10.1200 5,376.24 29,076.27 13 71 .4827 77.38 227.91 1,232.58 4.23% 4.23% Date Total Covered 156,641161 1 507 396 13 1,676,12191 7,729.06 66,771.61 Total 166,614161 91167,39613 91,676,128.99 97,72106 368,771.64 Total Mutual Funds $1,567,316.13 $1,575,125.19 $7,729.06 366,771.64 Total Portfolio Holdings Unrealized Acaeed Estimated Cod Snit Market Vale* le/ Lou liters Anneal Income 336,216,23717 936,263,966.63 9?!729.011 90.00 669,020.36 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities winch are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis vii be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual 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. Page 4 of 8 Account Number: Rated I wellent A0119968CSF3001S GO paperless tt.. 1 Seven Year. In A Raw LEPERS INC A, . Tit (NW* RAT ID COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDErNITIAL eXCELIANCE Oisaw..•••••• Owenby •••••• gamma roaring SDNY_GM_00047488 OB-SDNY-0010312 EFrA_00158097 EFTA01290218 PC. Bp, 1218. ablz mat MD 21202 M essages (continued) °Mu ,. Ran, Meaernalt Pewit's I ~ate Dettsffie Oat 5«, net " Mrs bet M(* Ha Part Anne*. 161.• I loci *re It". NY IC VA 01))4M.74,1.0r1S1 >I14:91. Statement Period: 02/01/2014 - 02/28/2014 Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporaticd.(SIPC). For disclosure of rates for DWS money market funds. please visk the DWS Investments website at https:/Aw.w.dws-investrnents.conVEN/products/money•market4undslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Sum m a ry(NtEIMIXIMS shown are in base currency) Credits This Period Tear4eDste Debits This Period Year.to.Date Securities Securities Secuntes Bauchi 0 00 0.00 Securifies Bought .4 810 26 11 761.92 Total Securities $0.00 $0.00 Total Sodalities 44,810.26 411,761.92 Dividends and Interest $5,930.54 $14,018.64 Dividends and interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals -4 000 000 00 •10.869.397 60 Deposits 288.322.00 1.397.981.00 Deposits 0 CO 0 00 Total Cash $268,322.00 $1,397,981.00 Total Cash 44,000,000.00 410,869,397.60 FDIC Insured Bank Deposits $4,000,000.00 $10,$69,397.60 FDIC Insured Bank Deposits 4289,442.28 41,400,237.72 Total Credits $4,294,252.54 $12,231,397.24 Total Debits -$4,294,252.54 412,281,397.24 Transactions by Type of Activity Pratte Settlement Date Securities Bought and Sold 02103114 RDAVEST CASH INCOME SX Adivity Type Dmaiotion Omni*/ Price kneed Interest Amount Currency ?MORGAN FLOMING RATE INCOME FUND SELECT SHARES 475.322 155169.5390 SHRS SHRSPURCH. AT 810.12000 RD 01130 RD 02103114 •1.810.26 LSO Total Searritles Bought and Sold • UNITED STATES DOLLAR 0.00 Account Number (*) Ralsd .rell•nt k,119968C5F3001S Go paperless Seven Wens In A Raw LEPERS INC CAW* RAT ID COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL IXCIELUNCI 4,810.28 Page5 of 8 borbinnuei."•••••” use, • imam ••••••• ~1St. SDNY GM 00047489 DB-SINY:00 10313 EFTA_00I58098 EFTA01290219 Transactions by Type of Activity (continued) Process/ Sttlement Date Activit T e D_e_saiption Quantity Price Accreted liter.* Amount Curren Dividends and Interest 02103114 CASH DIVIDEND RECBVED PhIORGAN FLOATING RATE INCOME FUND SELECT SHARES .PH SK 155169.5390 SHRS RD 01130 PD 02103114 02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED DEPORTS INTEREST RECEIVED 468997996 1,610.26 1,120.28 USD USD Total Dividends and Interest - UNITED STATES DOLLAR Cash Withdrawals and Deposits 02/20114 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST USD999997 02127114 FEDERAL FUN DS RECEIVED CITIBANK NA 11198 USD999997 02127114 FEDERAL FUNDS RECEIVED CITIBANK AA 11197 USD999997 0.00 6,930.61 -1,000,00000 254,37300 33,91910 USD USD USD Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR FDIC Insured Bank Deposits 02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED DEPOSITS INTEREST REINVESTED /58997996 02120114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM WITHDRAWAL USD999997 02128114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM USD999997 0.00 .3,711,678.00 -1,120.28 1.000.000.00 -288,32200 USD USD USD Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 3,710,551.72 Total Value of Transactions The price and quantity displayed may have been rounded. o.00 0.00 USD Client Service Information Your Client Advisor: TDS TAZIA Sid ITN 345 PARK AVENUE 14Th FLOOR NEW YORK NY 10154 Contact Information Telephone Number: Page 6 of 8 Account Num ber RabS twollent M119968CSF300IS Go paperless ,EEPERS INC ri 44A . iTIC [wane RATED COMMUNICAllOi CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAr IPICALSICI CONa•p••••••• niNdl• •••••••••••118M1 SDNY_GM_00047490 DB-SDNY-0010314 EFTA_00158099 EFTA01290220 Your Account Inform ation DraSC•feana P.,..', Weak n ma nvif-ncat Marais I Donee GKM) Destulv Met Sew Parr.% Mow *A Cato HS Pan Asap. lkh I ben Pars** ItY 10114 4914,18. (MI 7$114,9S Statement Period: 02/0112014 • 0212812014 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Sloth In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more inform ation. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future 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 vnwrpershing.conbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 wil 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. Options 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 form. 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. 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 Memel Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate vnfl 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. Pagel of 8 Account N u ra ber 1.40.41 I .eellent /0119968CSF30015 GO paperleSS SM." Year., In A Renw JEEPERS INC MAMA* RATED COMMUNICA110.41 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDMTIAL 1"`"'"" tondo. ••••••• swab. •••••• roam essatewsl SDNY_GM_00047491 OB-SDNY-0010315 EFIA_00158100 EFTA01290221 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a cleanrg 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. vitere applicable, the rendering of investment advice, if any, to you and n 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. AI 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. II 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 (SIPCT). 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: vrivrtpershing.conVstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are 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 ill dust'''. • 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 roles 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 shad be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 8 of 8 Account Nu® Der' Miaow' w•ellent A0119968CSF3011S PaPerleSS Seven Years In A Row JEERERS INC LAMA* RATED COMMUNICA11OW1 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL eXCIELIINCI boa" ono. Owenby u.C.••••aor wombs easy SDNY_GM_00047492 OB-SDNY-0010316 EFTA_00158101 EFTA01290222 PO. Sc, 1776. agirree MD 21203 Onimm e.... Pnwile wean Pm-marmot Mann Comae CMP MAUI M %Ilona +Ic Proven Onto Na ion memo. I ter New RA M' 10114 0 II/ 4:4411M.11115.17$1.4291 Valuation at a Glance Account Number: Statement Period: 01/01/2014 - 01/31(2014 This Period Year-to-Date JEEFERS INC Beginning Account Value $45,708,261.11 $45,708,261.11 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -5.759,138.60 -5 759.738 60 ST THOMAS VI 00802 Adjusted Previous Account Value 39,948,522.61 39,948,522.51 Dividends. Interest and Other Income 8:088.10 8,088.10 het Chan rein Portfolio 3 103 39 3 103 39 ncling Account Value $39,959,714.00 $39,959,714.00 Estimated Annual Income Your Client Advisor: TAZIA SM ITF Asset Allocation Prior Year-Tad Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposit:1 44,148,000.42 44.148,000 42 38,389,398 26 96.07% nia-- ; USD Fixed Income 1,560,260.69 1.560.260.69 1.570.315.74 3.93% Account Total (Pie Chart) $45,708,281.11 $45,708,281.11 $31,959,714.00 100.00% I The Bank Deposes In your account are FDIC Insured bank deposits. FDIC insured bank deposits are rot securties and are not covered by the Securities Investor Protection Corporation These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to alknitable limits. See page 2 of the statement for important information regardng the Asset Allocation section. See CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F e Cart alloceo- only [-c .ces o'oO.ots thr. are of postye val.'? Paget of 8 Rated I ocotiont A010 0289CSF30016 Go paperiess Se.••• Year. m A Row CONFIDENTIAL' MAMA* RATED COmmumIC*11O.41 IMMAILISNOt Oppappopeuss swam Pt. ...prams eras, SDNY_GM_00047493 DB-SDNY-00 10317 EFTA 00155102 EFTA01290223 Asset Allocation Disclosure and Footnotes Fared Income contains Fored Income Mutual Funds Summary of Gains and Losses Realised Uniealited This Period Year•to•Date Short-Term Gain/Loss 0.00 0 00 7.729 07 Net GaIn/loss This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Adivity Type Dewiption 0.00 0.00 Amount 7,729.07 Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024935 Activity Ending 01/31/11 01101(14 Opening Balance 41,148,000.42 44,148,000.42 01110114 Deposit DEPOSIT 1.109.659.00 45,257,659.42 01115114 Deposit INTEREST CREDITED 1,136.44 45,258,795.86 APY 003% 01116114 Associated Bank AA 15.258.795.86 NO 01116 $250000.00 BUT NO 01116 $250000.00 Bank of America NO 01(16 $250000.00 Citibank N.A. NO 01(16 $250000.00 Deutsche Bank NO 01(16 $43008795. East Wesl Bank NO 01(16 $250000.00 NY Community Bank NO 01(16 $250000.00 Texas Capital Bank NO 01(16 $250000.00 Union Bank of CA NO 01116 $250000.00 Com end), Bank NO 01(18 $250000.00 Page? o18 Account Num ber GO paperless „EEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRI6,1 P. 6(e) CONFIDeNTIAL Rated (waling' Seem Yeas In A Re., [IMAM% RATED COMMUNICATIOtel EXCELIANCI tyre. eapeot Amory we. • weer apes vanlien SDNY_GM_00047494 DB-SDNY-0010318 EFIA_00158103 EFTA01290224 DNS, ' en, Pnwair Wean haptagenmt Marais Can.'. GKM) Destulv Met Secteifei +gc Mow bri Mt* HS Pan Ammo. l01 1I bet WI/001W 1011A IMI49141/4.1114178114,9S FDIC Insured Bank Deposits (continued) Date Activity Type Description Statement Period: 01/01/2914 • 01/3112014 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) 01130114 Withdrawal WITFDRAWAL 4869.39710 38.389.398 26 01131114 Closing Balance $38,389,398.26 Total FDIC Insured Bank Deposits $38,389,398.26 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits al each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self diected retirement accounts. Please review this n connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Dale Taxable Mon Taxable Taxable Non Taxable Dividend Income Other Dividends 6.951.66 0.00 6.951.66 0.00 Interest Income FDIC Insured Bank Deposts 1.136.44 0.00 1,136.44 0.00 Total Dividends, Interest, Income and Expenses $8,088.10 10.00 11,088.10 60.00 Portfolio Holdings Account Activity Opening Date Quantity Number Ending Opening Balance Oosing Balance Awned Income Income Thin Tor 31-Day Yield Cnrrint Yield Cash, Money Funds, and Bank Deposits 96.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 01101114 38.389.398.260 N4G024935 01131114 44.148.000.42 38.389.398 29 647.01 1.136.44 NIA NIA Total FDIC Insured Bank Deposits 144,141,000.42 138,389,318.26 $647.01 $1,131.44 Total Cash, Money Funds, and Bank Deposits $44,146,000.42 $31,389,398.26 1647.01 11,136.44 Page 3 of 8 Account Number: Ratedyea ing' /1.010 0 289CS F 30 Olt Go paperless t it MAW* PAYED COMMLINSCADONS LEPERS INC evccueNce CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDn\ITIAL balm p •••41ip ••••••*I.LO. slower •••••••••..., SDNY_GM_00047495 DB-SDNY-00 10319 EFTA_00 158104 EFTA01290225 Portfolio Holdings (continued) Unsettled Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gala/ Loss Estimated Estimated Annual Income Yield Mutual Funds 4.00% of Portfolio FM ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP. 481211510 02113113 13 148,957.299 10.0700 1,500,000.00 10.1200 1,507.441737 7,447.81 64,617.46 4.28% 03101113 13 533.047 10.0600 5,362.46 10.1200 5.394.44 31.98 231.31 4.28% 04101113 13 591.454 10.1100 5,979.61 10.1200 5,985.51 5.90 256.69 4.28% 05101113 13 562.992 10.1300 5,103.11 10.1200 5.697.18 -5.63 244.34 4.28% 06103113 13 567.343 10.0900 5,724.50 10.1200 5.741.51 17.01 246.23 4.28% 07101113 13 500.501 9.9700 4,990.00 10.1200 5.06507 75.07 217.22 4.28% 08101113 13 527.827 10.0600 5,309.94 10.1200 5,341.60 31.66 229.08 4.28% 09103113 13 531.248 10.0300 5,328.42 10.1200 5.37623 47.81 230.56 4.28% Reinvestments to 2,397.828 10.0880 24,188.63 10.1200 21,266.03 77.40 1,040.65 4.28% Date Total Covered 156,119.539 1 502 WI 67 1,670215.74 7,720.01 62,343.67 Total 166 169.530 S1 602 MAT $1 570 315.14 $1 ,720.07 S67 343.67 Total Mutual Funds $1,662,686.17 $1,670,315.74 6732007 $67,313.57 Uarealked Awned Estimated Col Bads Markel Valet Is/ loss Interest Menai Income Total Portfolio Holdings 639,051,961,93 $392169,114.00 57,729.07 $0.00 168,480.01 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information. Page 4 of 8 AO1002/9CSF30116 Account Number. zt Go paperless SP UevNSen e I Y.c a e.lent s In A all,. LEPERS INC [ALM* ItATEDCOMMUNsCAlIONS CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) C ON FID-5NITIAL IPICCLUNCI CONISP 0•••••• Iii•ii•IAIOU.C. • IMINOI •••••• ••••11/10,1 SDNY_GM_00047496 OB-SDNY-0010320 EFTA_00158105 EFTA01290226 PC. Sot 17 lb. Ball moot AID 21202 M essages (continued) Gnaw< Rana Pnwair Wealth lapmgenea Pew, large C..11 °tout* lanii Settones +gc yen OPIp, HI Pon Ammo. Ita iber War wet 10. 10114 0 In 4:44414. IPA) 71.4:9$ Statement Period: 01101/2114 • 01/3112014 Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httrisiNnwv.dws-investments.comIEN/products/money-market4unds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. Important Reminder for Pershing's 2013 IRS Forms 1091 (8, DIV, INT, 010 and MISC): As a reminder, by February 18, you will receive either your 1099 form ota special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. it wit inform you of the securities that are pending final reporting, and ail provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2014. Activity Sum m ary (All amounts shown are In base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Eloughl 0 00 0 00 Secunties Bought -6.951 66 -6.95166 Total Securities 30.00 90.00 Total Securities -96,951.66 -96,951.66 Dividends and Interest $8,088.10 $8,088.10 Dividends and Interest 30.00 90.00 Cash Cash Withdrawals 0 00 0 00 Withdrawals -6,869,397.60 -6.869,397.60 Deposits 1.109 659 00 1.109.659.00 Deposits 000 000 Total Cash 31,109,659.00 31,109,659.00 Total Cash 46,869,397.60 -96,869,397.60 FDIC Insured Bank Deposits 36,869,397.60 36,869,397.60 FDIC Insured Bank Deposits 41,110,795.44 -91,110,795.44 Total Credits 97,987,144.70 37,967,144.70 Total Debits 47,987,144.70 47,987,144.70 Transactions by Type of Activity Proceed Settlement Date Activity Type DeSeription Securities Bought and Sold 01102114 REINVEST CAS- IA COME Gustily Price Aoreed Interest Amount DI trenCy PMORGAI. FLOATING RATE INCOME FUND SELECT SFARES 688.283 154481 2560 9-RS SFRSMACH. AT 510.10000 RD 12130 PO 01102114 4.951 66 USD Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,951.66 Pages of 8 Account Number Go paperless Step R.e., CIAMPI! RATED COMPALINICA110.8 RAuru xis CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:7INCCONFIDAnTIAL fay e<arY Anse. we. • am. eons ••••••in SDNY_GM_00047497 DB-SDNY-0010321 EFTA_OOI5A106 EFTA01290227 Transactions by Type of Activity (continued) Process/ Settlement Date Adivit T e Description Onantity Price Accrued interest Amount Curren Dividends and Interest 01102114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOM E FUN 0 SELECT SHARES PH SX 151481.2560 SHRS RD 12/30 PD 01/02/14 01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED DEPOSITS INTEREST RECEIVE/ 458991996 6,951.66 1,136.44 USD USD Total Dividends and Interest - UNITED STATES DOLLAR Cash Withdrawals and Deposits 01109114 FEDERAL FI, k DS RECEIVED CITIBANK NA 31801 USD999997 01130114 FEDERAL FUNDSSENT GRAND BANK & TRUST 0 US0999997 01130114 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST USD999997 0.00 8,088.10 1,109,659.00 -4,869,397.60 -2,000,000.00 USD USD USD Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR FDIC Insured Bank Deposits 01/10114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM USD999997 01/15/I4 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED DEPOSITS INTEREST REINVESTED 458997995 01/30/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM WITHDRAWAL USD999997 0.00 .5,759,738.60 -1,109,859.00 -1,136.44 6,889,397.50 USD USD USD Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 5,758,802.18 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 0.00 USD Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14Th FLOOR NEVI TOPA NY 10154 Contact Information Telephone Number: Account Nu■bet' lak Rated Yeatsa.' /0100289CSF30016 Go paperless Seven In A Rey LEPERS INC • ITIC IDALOAR ItATtDCOMUMUNICAlIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F ID EN TIAL a ul a1 Ca Page 6 of 8 01.1•••011.0. • ••••• •••••• SCINCGM_00047408 DB-SDNY-0010322 EFTA_00158107 EFTA01290228 Your Account Inform ation (Misr* Ram Pon.. Vona n manapnerd Pent% COevar Gto.p Des-b04 km %IVY. ,X wan Cato Hann A . MTh I to Ilu1New RA 1,tt lam 4,44111. MfPNNR Statement Period: 0110112114 - 01/3112114 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST lh FIRST OUT Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con in unications, log in to your account or contact your Client Advisor for more inform afion. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained horn sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates. and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to kwAv.pershing.corrybusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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. Options 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 fin. 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. Proxy Vote Securities not fully paid for ui your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified horn customary banking sources on the conversion date cr 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, incur ed a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page? *la Account Nun ber Go paperless se—Yea" la You. A01002/9CSF30016 JEEMERS INC rtatA gl iirleek-creot oommueocano.al CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDAFINTITIAL COnavOnup Onin.0.1.6•oliNer arid restats01 SON Y_GM_00047499 OB-SDNY-0010323 EFrA_00158108 EFTA01290229 Important Information and Disclosures (continued) The Role of Pershing • Pershing carves your account as clearing broker pursuant to a cleanrg agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the 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. AI 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. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (icludig unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is 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 v I typically include a minority of arbitrators vino were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page8 of 8 A01002I9CSF30016 Account Nu, Go paperless Mtn 11=C:A Reny LEPERS INC pA LOA* RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) CONFID -.5NT/A esasivismuls otivaispu.C6 ••••••• ammo. •••••••••• SDNY_GM_00047500 OB-SDNY-0010324 EFTA_00158109 EFTA01290230