EFTA Document EFTA01290526

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Valuation at a Glance Account Num ber: N4G-024935 Statement Period: 12/01/2013 - 12/31/2013 This Period Year-to-Date Beginning Account Value $36,429,453.85 $0.00 JEEPERS INC et Cash Deposits and Withdrawals Net Securities In/Out of Account 9,273.026 65 0.00 44,145,594.02 1,538,411.13 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 46,702,480.60 46,884,005.16 ST THOMAS VI 00802 Dividends, Interest and Other Income 1,326.85 19,643.37 Net Chan•e in Portfolio .1.546 24 4 612 59 ndrng Account Value 545.708.261 11 $45,708,261.11 Estimated Annual Incom e $70,841 59 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-Fad Lad Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 0.00 34,874,17121 44,148,000.42 96.59% USD Fixed Income 0.00 1,555,282.64 1,560,260.69 3.41% Account Total (Pie Chart) $0.00 330,429,453.85 845,708,201 .1 I 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposits are not securities and are rot covered by the Securities Investor Protection Cogitation (SIPC). These bank deposes are covered by tet Federal Deposit Insurance Corporation (FDIC). up to abrade See page 2 of this statement tor imponam information regarding the Asset Alocation section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pie Chart allocation only includes products that are of positive value. Pagel of 10 B0105 * Railed Fmcollo.t MOST 300 G 22 o p tperiess Stan YedIS in A Row GIALLO, *AIM COMMUNICATIONS l a A. * , ,, , ,‘ CONFIDEN 1AL liEC 'UDC{ awls. Omagh PereSeLL0. • radar segmalliwr na....••••• vets orreasoismis. set aro" rya. ,t<wesestame. VC SDW_GIA_000478439 DB-SDNY-0010713 EFTA_00158498 EFTA01290526 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P.67 INCCONFIDENTIAL Asset Allocation Disclosure and Footnotes Fixed Income ccrtains Fixed Income Mutual Furds. Summary of Gains and Losses Realized This Period Year•to-Date Unrealized ShorbTerm Glasses Net Gain/Loss This summary excludes transactions where cost basis intonation is not amiable For Your Information 0.00 0.00 0.00 4.625 68 0.00 4,625.68 Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the *Messages' section at the end of this statement for details. FDIC Insured Bank Deposits (late Activity Type Desorption Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G024935 Activity Ending: 12131113 11130113 Opening Balance 34,874,171.21 34,874,171.21 12113113 Deposit INTEREST CREDITED 802.58 34,874,97317 AM 0.03% 12116113 Deposit DEPOST 11,128,369.64 46,003,343.41 Associated Bank NA NO 12/16 525000010 BUT NO 12/16 $25100010 Bank of America NO 12116 5250000.00 Olibank NA NO 12116 525000010 Deutsche Bank NO 12116 $43753343. East West Bank NO 12/18 5250000.00 NY Community Bank NO 12116 5250000.00 Texas Capital Bank NO 12116 5250000.00 Union Bank of CA Paget of 10 Account Number Raged I Ae Rant P.C.ICISISICSF30022 M.S( Go I kg yer less Sty en Yeats In A Row DALBA• RATED COMMUNICATIONS Olowlso•••••••• Pers•SRLI.C. • ••••••• SAW ••••~, clan of einnen•••••• ['sea larna•••• /vase. oast f ft. A on IS UPC SONY GM_00O47890 DB-SDNY-0010714 EFTA_OCII 58499 EFTA01290527 PC. B,M 1776, Bat rrow MO 2'2..n FDIC Insured Bank Deposits (continued) Date Activity Type Description Draisre Bin, Finnic Wtsith Magatentm Wiens /Weft* CoWP ChM.. Sank Settanti *re van OR,. 315 Pot Air, m. Halter Mew etA ItY IOVA PM CA .21$4. MSS, 211. 409S Statement Period: 12/0112013 - 12/3112013 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) NO 12116 $250000.00 Corn enity Bank NO 12116 $250000.00 12120113 Withdrawal WITHDRAWAL -1.855312.99 11.118,000 12 12131113 Closing Balance $44,148,000.42 Total FDIC Insured Bank Deposits 914,118,000.42 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership kicluding individual retirement accounts and certain other self diected retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Priest Period Year•to•Date Taxable Non Taxable Taxable Not Taxable Dividend Income Other Dividends 5,076.59 0.00 15,789.27 0.00 Interest Income FDIC Insured Bank Decorate 802.58 0.00 2,406.40 0.00 Total Dividends, Interest, Income and Expenses $5,819.15 $0.00 $18,195.17 $0.00 Distributions Long - Tenn Capital Gain Distributions 756.26 0.00 756 26 0.00 Short • Term Capital Gain Distributions 691.44 0.00 691 44 0.00 Total Distributions $1,447.70 $0.00 $1,447.70 $0.00 Page 3 of 10 Account Number: N46-024935 [Wed rm<ollont P*10SISICSF30022 Go paperless Seven Yeas In A Pow LIFERS INC ' "----- CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) CON F I DA5NTIAL v." 01•0010. •••en Lit. • VOWS/ •••••••••• et AlOWN•••• u,-SIS ,Sew •WISO „C ••••••• • MA A Pe•III ,nn SONY GM_00047891 DB-S6NY-0010715 EFTA_00158500 EFTA01290528 Portfol io Holdings Activity Owing Date Quantity Account Humber Cash, Money Funds, and Bank Deposits 9 7.0 0% of Portfolio Ending FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11130113 44,148,000.420 N4G024935 12/31113 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Coll Cod Balls Opening BaMnce Closing Balance Accrued Income Income This Year 30.Day Current Yield Yield 34674,17121 44,148.00042 622.93 2.406 40 N/A MA 634 874 171.21 144 141 000.42 6622.93 $2,406.40 $34,874,171.21 644,146,000.42 $622.93 $2,406.40 Unrealized Estimated Estimated Market Price Market Value Dalai loss Annual Income Yield Mutual Funds 3.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHU CUSP: 48121L510 02/13/13 13 148.957.299 0.0700 1,506000.00 10.1000 1,504,468.72 4,468.72 65,988.08 4.38% 03101/13 13 533.047 0.0600 5,362.46 10.1000 5,383.77 21.31 238.14 4.38% 04/01/13 13 591.454 0.1100 5,979.61 10.1000 5,97369 -5.92 282.01 4.38% 05/01/13 13 562.992 0.1300 5,703.11 10.1000 5,68621 -16.90 249.41 4.38% 06103/13 13 567.343 0.0900 5,721.50 10.1000 5,730.17 5.67 251.33 4.38% 07/01/13 13 500.501 9.9700 4,990.00 10.1000 5.055.06 65.08 221.72 4.38% 08101/13 13 527.827 0.0600 5,309.94 10.1000 5,331.05 21.11 233.83 4.38% 09/03/13 13 531.248 0.0300 5,328.42 10.1000 5,365.61 37.19 235.34 4.38% Reinvestments to 1,709.545 0.0830 17,236.97 10.1000 17266.41 29.14 757.33 4.38% Dale Total Covered 154,481.256 1 655 635.01 1,560,260.69 4,625.66 66,435.19 Total 164,481.266 61,655,635.01 61,560,260.69 64,625.61 669,435.19 Total Mutual Funds 61,565,635.01 91680,26019 64,625.66 668,435.19 Unrealized /weed Estimated Cost Basis Market Value Gain/ loss Interest Annual Income Total Portfolio Holdings $45,703,635.43 $45 708 261 11 $4,625.68 $0.00 $70,841.59 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.L110-343, 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 wtich 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 v4 be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Page 4 of 10 B01051SICSFI 0 02: CONFIDENTIAL - PURSUANT TO FED. R CRI Account Num ber Go paperless t 12•4•41 I x<ollent Seven Yeas In A Row (MIAMI PAIM COMMUNICATiONS EXCELLING{ 01401144 Weal. 0•11111•4 Ile. • IMMO/ 04•••• ISIS, 40 ......................,............... .......oatc gesso s se. eves sec SDW_GA4_00047892 DB-SDNY-0010716 EFTA_00158501 LEPERS INC A W A r M. P. 6(e) CONFID5N TIAL EFTA01290529 0 *kw 1776, BA welt MD 2110.1 Portfol io Holdings (continued) Dmisre San, Pootle wean ma-utentne Pestor0 CoorneGwp Ce.tsche Sank Sectenek Mw verb 011os 315 Pot earne.3011. I locr Statement Period: 12/0112013 - 12131/2013 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 cc 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 delvering firm or transferrrg agent and Pershing makes no representation as to the accuracy of this information. M essages Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Coryoration.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:Mwm.dws-investments.conVEN/products/money-market-funds-yields.fsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at ft 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, Effective January 1, 2014, service and account-related fees wit be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded secunty and $25 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a kst of Program Banks, please visit hfitx/Awywnwm.db.conVemerieaSienrCashSweePOPbons.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. BOIOSIS3aF30022 Account Number DILAS.0 II I • SUERS INC - • . . , I C. .. y .... GO WW1" ieSS. Seven Yeas Inn Pow * Rated 0.collont &natal *AIM COmmunsiCATtONS 1XCII.104CC C 5 of 10 OW'Scaw Mee tall. • wear awed inils~ir es Tim rs vas •••••••:•••••Se vas" ..,.e.. can sees new rase sec SDNY_GIA 00047893 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0010717 EFTA_00158502 EFTA01290530 Activity Summary (All amounts shown are in base currency: USD) Credits This Period Year-to-Dale Debits This Period Year-to-Date Securities Securities Secunbes Bought 000 000 Secunbes Bought -6.524.29 .17 236 97 Total Securities $0.00 $0.00 Total Securities .16,524.29 ,117,236.97 Dividends and Interest 15,879.15 $18,195.87 Dividends and Interest 10.00 $0.00 Distributions 11,447.70 $1,447.70 Distributions 10.00 10.00 Cash Cash Withdrawals 0 00 0.00 Withdrawals -2.000.000.00 .7.005.173 24 Deposits 11.273.026 65 51 150.767 26 Deposits 0.00 0 00 Total Cash 01,273,026.85 01,150,767.28 Total Cash -12,000,000.00 -$7,005,173.24 FDIC Insured Bank Deposits 0,855,342.98 $6,885,689.47 FDIC Insured Bank Deposits ,111,129,172.20 -01,013,689.89 Total Credits 113,135,698.49 158,036,100.10 Total Debits .03,135,896.49 ,158,036,100.10 Transactions by Type of Activity Process/ Settlement Date Activity Type Decriptios Quantity Price Acaued Interest Amour OCT Securities Bought and Sold 12102/13 REINVEST CASH INCOME ,P MORGAN FLOATING RATE INCOME PAD SELECT SNARES 502.136 -5,076 59 USD ,PhSX 153836 0670 *RS SHRS PURCH. AT 510 11000 RD 11127 PD 12/02/13 12/13/13 REINVEST CASH INCOME .P MORGAN, FLOATING RATE INCOME FUND SELECT SHARES 68.324 -691.44 USD .1314SX 154338 2030 S -RS SHRS PORCH. AT 510 12000 RD 12111 PD 12/13113 12/13/13 REINVEST CA* INCOME MORGAN FLOATING RATE INCOME FUND SELECT *ARES 74.729 •756.26 USD PFSX 154338.2030 S-PS *RS PURCH. AT 510.12000 RD 12111 PD 12/13/13 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .6,624.29 Dividends and Interest 12/02/13 CASH DIVIDEND RECEIVED MORGAN FLOATING RATE INCOME FUND SELECT *ARES 5.07659 USD .P+SX 153836 0670 SF RS RD 11127 PD 12102113 12/13113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 802.56 USD DEPOSITSINTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,879.15 Page 6 of 10 Account Numbe Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDE\MAL Rased 1.<•ilont Sean Yeas In A Pow OALSAA PAID COMAAUNICATIONS OlisloravemphOeniglo• LLC. • wade. son., •••••St •• manager Tea user, wrangle, caw eras ti Mw „ C sea sin SONY GM_00047894 DB-S6NY-0010718 EFTA_00 158503 EFTA01290531 Pa em )771 Eamon MD 21203 Transactions by Type of Activity (continued) Process' %pitmen; Date Adivih Tvoe Decal ion DnitiOs Wu ionic W..11. Ma.zienen Mann Corey, G,C,P Dimly he Sank Sefton. mc Nee *45k. US PM Mom. nib MC, PM 10114 (1141 Wan NW 2104014 Quant Statement Period: 12/0112013 - 12/31/2013 Price Accrued littered Amount Ca DIstributiors 12/13/13 LONG TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FliN 0 SELECT SHARES DISTRIBUTION 1513312030 S-RS RD 12111 PD 12113/13 .PtiSX 12/13/13 SHORT TERM CAPITAL GAIN P MORGAN FLOATING RATE INCOME FUND SELECT *ARES DISTRIBUTION 154338.2030 ShRS RD 12/11 PD 12/13/13 PHSX 756.26 691.11 USD USD Total Distributions • UNITED STATES DOLLAR 0.00 1,447.70 Cash Withdrawals and Deposits 12/13/13 FEDERAL FUNDS RECBVED BANK OF AM ERICA N.A. 20777 11,128,369.64 USD USO999997 12/19/13 FEDERAL FUN DS RECBVED P MORGAN CHASE BANK 24003 141.657.01 USD USO999997 12/20/13 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .2,000.00100 USD LSO999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 9,273,026.65 FDIC Insured Bank Deposits 12/13/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .802.56 USD DEPOSITS INTEREST REINVESTED 458997996 12/16/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .11.128.369.64 USD USD999997 12/20/13 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1,855,342.99 USD WITHDRAWAL USO999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -9,273,829.21 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Page 7 of 10 1,11AP-Cti I Account Number Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRim. P. 6(e) CONFIDECITIAL RsAed mcolkont Seven YeiS In A Pow OALSAA ItAltO COMMUNICATIONS r oomer.. •••••••miLLC. • 'Away sonie••••••Sr SDW_GA4_00047895 DS-SDNY-0010719 EFTA_OO1585O4 EFTA01290532 Client Service Information Your Client Advisor: TDS TARA SMITH 345 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 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 delivery. To register and turn off paper corn in unications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST 01ST 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 evadable are marked - WA- and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for intonational 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 WNW. pershing.comlbusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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. 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 n 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 conceming 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 converted by agents (such as depositories) will be billed at the rates such agents use. B01 0SISICSF3 0 02: Page 8 of 10 Account Number Raged I xt Skint Go paperless CO CONIF I Dr A NTIAL DAUM, RATED COMA/UNICA TIONIS EXCEILTICI LEPERS INC r ag onro f 11.•P••••• US. • MN... ••••• tea. arc nnenanwens sec SDW_Ge.4_00047096 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010720 EFTA_00158505 EFTA01290533 Important Information and Disclosures (continued) 0gIAMW e•Ill p, Mm We.. Marten. IIIVORISCIAMICI GIMP of riv he Se* Woo ain 14. Ma *4 CIn HS PM% Msst, Mallon Statement PeriOd: 1210112013 - 12/31/2013 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 lti 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 resuN of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC Ins. For more detailed information please visit vawv.pershing.cornIstrength_stabilay.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Sed. • Arbitration awards are generally final and binding; a partys ability to have a court reverse or modify an arbitration award is very Ignited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wifi 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 clain in arbitration. In some cases, a claim that is ineligible fa 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; (tithe 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 of 10 Account Num berms Rawl I 'Reliant BO 1 0SOICSF3 0 On INillerieSS Sawn Yew IRA Row LEPERS INC einem. *Alio COMAILPHICaaTIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL: OWN. p Penny tie. • •••••• ••••• SOWS, et Melia MA.. Tata Mean C40.0PSIIISIT MINOS ti ns. „C f•OA Pan saR SDW_GM_00047897 DB-SDNY-0010721 EFTA_00158506 EFTA01290534 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FiNANCLAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FILINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING, AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC 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 NDEEITED TO PERSHING FOR ANY AMOUNT. ALL SECUFUTES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING, BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHINGS OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING.COMMUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBB0). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE M3430 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF THE ABOVE TERMS MW CCNOMONS ARE UNACCEPTABLE TO YOU. PLEASE NOTE/ PERS•NG EAEDIAIELY IN WRITING BY CERTIFIED LIAR 10 ONE PERSHIC PLAZA JERSEY CITY. NJ 07300. AMC LEGAL DEPT Page 10 0110 flRAR•C I I Account h um bed Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDatnAL Rea! F xi< Nal. Sven Yeas In A Pow OA ISA. eta I CO COMMUNICATIONS CAC It MICE 0.010.1•••••••• PM'S., Ile. • •••••, emwes.a...•,v •• a ma as as as [rasa gay a$4.4 ••• ••TLC mama woo^ mu sax SONY GM_00047898 DB-S6NY-00 10722 EFTA_00 158507 EFTA01290535 PA Pm 17rq etnnenlADartali De...tune Ilam nownie Wea11.1naNtentni Winans Corry', .C.na.P ~RI'. Not Intwori II.. Vert Offlor Shrift Misr. 30th floc, Valuation at a Glance Account Number: N4G-024935 Statement Period:1 1/011291 3 - 1 1/30/2013 This Period Year-to-Dale Beginning Account Value 538,421,555.28 50.00 JEEPERS INC 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals Net SeowiliesInIOut of Account Adjusted Previous Account Value -2,000.000 00 0.00 36,421,566.21 34,872,567.37 1,538,411.13 36,410,978.50 ST THOMAS VI 00802 Dividends, Interest and Other Income 2359.21 12,316.52 Net ChaneinPadlolio 1.53836 6.75683 Estim ated Annual Income 569,755 Your Client Advisor: Asset Allocation Prix Year-End Last Period This Period % Allocation 051) Cash, Money Funds. and Bank Deposits' 0.00 36273177.67 34,874,171 21 95.73% USD Fixed Income 0.00 1,548,371.61 1,555.282 64 4.27% Account Total (Pie Chartl 10.00 838,421,56228 836,429,453.85 10020% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured be* deposits are not securities and are not covered by the Secunties Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporation (FDIC). up to anawarge See page 2 of the statement for important information regarding the Asset Arocaton section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pie Chart allocation only rd.( udes products that are or posstrve value Page I of 9 Rraed fneellnot 9-009$049C5130015 Go paperless sr.en Yeas In A Row n net i) CIALtAll RAUD COMMUNICATIONS CONFIDNITTAL EXCILLINCC DrAme_ ~MAC, •mmat monnemSe •• Trust • • • ••••••.• err. ewpwera asea• Ms. i“ ens vs ran SDW_Ge.4_00047899 DB-SDNY-0010723 EFTA_00158508 EFTA01290536 Asset Allocation Disclosure and Footnotes I Fused Income contains Fked Income Mutual Funds. Summary of Gains and Losses Realized This Period Year-to-Oats Unrealized Short-Term GainlLoss Net Gain/ Loss This summary excludes transactions where cost basis information is not avalable. For Your Information 0.00 0.00 0.00 6.17192 0.00 6,171.92 Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wealth Management clients. Sign up today at wiwr.myedocumentsuite.com for this easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564. Deutsche Rank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Activity Type Descrktion Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum bet. N4G024935 Activity Ending 1129113 11/01/13 Opening Balance 36.873.177.67 36.873.177.67 11111113 Withdrawal WITFORAWAL -2.000.000.00 31.873.177.67 11115113 Deposit INTEREST CREDITED 993.51 34.874.171 21 APY 0.03% 11118113 Associated Bank NA 31,871,171.21 NO 11/18 5250000.00 BBBT NO 11/18 5250000.00 Deutsche Bank NO 11/18 532621171. East West Bank NO 11/18 5250000.00 NY Comm unity Bank NO 11/18 5250000.00 Citizens Bank NO 11/18 5250000 00 Texas Capital Bank NO 11/18 $250000.00 TnSlate Capital Bank Page 2 of 9 Account Number V 0. U4q..r' 0... DRAB CU i Go paperless PIRS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) INCCONFICinscriAL Rare r.celwnr Sean 'teams In A Pow tiesItAll eta 1 CO COMMUNICA T IONS lICC11.11HCC er e. seresenee MAC nese/ case •••••Mer ryar tt.c meow oat^ wens sec SDW_GM_00047900 DB-SDNY-0010724 EFTA_00158509 EFTA01290537 PC. Bea 1176 Bat -cm MD 2,13 FDIC Insured Bank Deposits (continued) Date Activity Type Description Draisre Banc Prmaie Wealth Manentm Weetts Carew Con Cettsche 1st Settoran Mc. 1I•• 0111c• HI PIO Si..... lilt, I ber Nvi nri4 Statement Period:11/0112113 - 11/31/2113 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) NO 11118 $250000.00 Union Bank of CA NO 11118 $250000.00 Com enity Bank NO 11118 5250000.00 11129/11 Closing Balance $34,874,171.21 Total FDIC Insured Bank Deposits 134,874,171.21 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Ptotection Corporation (SIPC). The Bank Deposts at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership Mcluding 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 Oirrent Period Year-to-Date Taxable Non Taxable Taxable Noe Taxable Dividend Income Other Dividends 5.365 67 0.00 10,712 68 0 00 Interest Income FDIC Insured Bank Depots 993.54 000 1.603.84 0.00 Total Dividends, Interest, Income and Expenses 18,369.21 $0.00 $12,318.52 $0.0 0 Page 3 of 9 Account Num ber ?CD 9081 9CSF3001/ MAR( u i Go paperless LEPERS INC A • A + T I 11. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEN t IN: RAW' rx<ollont %I.e.Ye...1"A Pew Wang, *AIM COMMUNiCATiOniS I.XCII.WICI Cues..••••••••reibmitul•••••••••••••••••~1, or manna. vent •••••caopearstav rams •••••••itc sea. no.. taw sec SONY GM_OOO429O1 DB-SDNY-0010725 EFTA_00I58510 EFTA01290538 11101/13 34874.171210 N1G024935 11129/13 36.873,17717 34.874.17121 401.31 1,603.81 Total FDIC Insured Bank Deposits 635 873 177.67 634,574,171.21 $401.31 $1,603.64 Total Cash, Money Funds, and Bank Deposits 936,573,177.67 634,874,171.21 $401.31 $1,503.54 Dale Acquired Quantity Unit Cod Cud Bads Market Price Market Value Portfolio Holdings Income Activity Accrued Income This Year 30•Day Current Opening Opening Date Quantity Account Number Balance Balance aia Yield Yield Cash, Money Funds, and Bank Deposits 9 6.0 0% of Portfolio Ending FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM N/A N/A Unrealized Estimated Estimated Gain/ Loss Annual Income Yield Mutual Funds 4.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: ANSX CUSP. 18121L510 02/13113 13 148,957.299 0.0700 1,500,000.00 10.1100 1.505,958.30 5,958.30 85,988.08 4.38% 03101/13 13 533.047 0.0600 5,362.46 10.1100 5,389.10 26.61 236.14 4.38% 04/01113 13 591.454 0.1100 5,979.61 10.1100 5,979.60 401 282.01 4.38% 05/01113 13 562.992 0.1300 5,703.11 10.1100 5,691.85 .1126 249.41 4.38% 06103/13 13 567.343 0.0900 5,721.50 10.1100 5,735.84 11.31 251.33 4.38% 0770111313 500.501 9.9700 4.990.00 10.1100 5.060.07 70.07 221.72 4.38% 08101113 13 527.821 0.0600 5,309.94 10.1100 5,336.33 26.39 233.83 4.38% 09/03/13 13 531.248 0.0300 5,328.42 10.1100 5,370.92 42.50 235.34 4.38% Reinvestments to 1,064.356 0.0650 10,712.68 10.1100 10,760.63 47.95 471.51 4.38% Date Total Covered 153,1338.007 1,549,110.72 1,555,282.04 8,171.92 68,149.37 Total 153,836.067 $1,549,110.72 $1,555,252.64 $6,171.92 $88,149.37 Total Mutual Funds $1,549,11022 $1,555,252.64 $8,171.92 $68,149.37 Unrealized Accrued Estimated Cost Basis Market Value Gain/ Loss Interest Anneal Income Total Portfolio Holdings $36,423,281.93 $36,429,453.85 $6,171.92 $0.00 $69,753.21 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.L110-343, 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 109943 for the applicable tax year in which the security is disposed. P*090849CSF30015 (NUR pf p CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page c °I9 Account Num ber FIFERS INC Go pa)erless RaNNI INNSINNI Seven Years In A Pow CONFIDAENTIAL OALSAII LOCO GOMMUNICAVIONS °CULLING( arose non Nesse LLO. • 'most ass e.t.a ns,v of Tian owe ventaseen caopmess...} Poste. ac 'rens 'nut sec SONY M1_00047902 DB-S6NY-00 10726 EFTA_001585 I I EFTA01290539 PO am 1776. 8•Ittrcait M02l2. 13 Portfolio Holdings (continued) Dralsre Sam Poule Yae10 maatentm rowans Coorioe Comp Chnthe Sank Settanel "re bet Ono' 315 Part Oars. Halter Statement Period: 1110112013 - 11130/2013 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, 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 deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essa es Please note the following information for Pershing's 2013 IRS Forms 1099 (B, DIV, INT, 0ID and MISC): Your form 1099 will be delvered as early as possible, beginning January 31, 2014. By February 18, you will receive either your 1099 form ora 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 17, 2014. 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 hind. 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. 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 htlps:/Aviviv.dws-investments.conVEN/products/money-market-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program Investments Changes in Program Banks have taken place which require your attention. For a Fist of Program Banks, please visit http://vmwowm.db.corrifamericasienrCashSweep0ptions.Mml or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1, 2014, service and account-related fees viii be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded securty and $25 per non-publicly traded security • Foreign safekeeping fee: S6 per position. per quarter Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at iwnv.myedocumentsuitecom for this easy and convenient way to access al of your account information. Page 5 o19 tc Account Number R•Mid N011erit D 9084 9CSF30011 Oltall•C I Go paperless Sean PPar+ Inn Pow LEPERS INC uum.ruoiltaltOCOmmuNICAT.O•6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENTIALrs"`"wa Cameloy 0•111*, 1.1.0. • *Oar •••••• •••••••••1 40 me Man Nos yeast. ospnialarnaser• 0••••••ILC roam no^ term sy.< SONY GM_00047903 DB-SDNY-0010727 EFTA _00158512 EFTA01290540 M essages (continued) I Eliminating paper delivery of all your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and. at the same time. help to preserve the environment's precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. Activity Sum m ary (All amounts shown are in base curtency: USD) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunhes Bought 0.00 000 Secunties Bought 5 365 67 10.712 68 Total Securities 60.00 WOO Total Securities -$5,365.67 -110,712.88 Dividends and Interest 66,359.21 612,318.52 Dividends and interest 10.00 $0.00 Cash Cash Withdrawals 000 000 Withdrawals .2,000,000.00 .5005,173.21 Deposits 0 00 39 877.740 61 Deposits 0.00 0.00 Total Cash $0.00 $39,877,740.61 Total Cash -12,000,000.00 -$5,005,173.21 FDIC Insured Bank Deposits $2,000,000.00 $5,010,316.46 FDIC Insured Bank Deposits -1993.51 •131,681,517.69 Total Credits 62,006,359.21 $44,900,103.01 Total Debits -62,006,369.21 -144,900,103.61 Transactions by Type of Activity Process' Settlement Date Activity Type Description Quantify Price Awned liters Amount Ca Securities Bought and Sold 11101113 REINVEST CASH INCOME .12 MORGAN FLOATING RATE INCOME FUND SELECT SHARES 531 251 -5,38587 USD JPHSX 153301.8130 SIRS SHRS PURCH. AT $10.10000 RD 10)30 FO 11/01/13 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -5,365.67 Dividends and Interest 11101113 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SPARES 5,385 67 USD PHSX 153301.8130 SHRS RD 10130 PD 11101)13 11)15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 993.51 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 6,359.21 Cash Withdrawals and Deposits 11)1013 FEDERAL FUNDS SEk T DEUTSCHE BANK TRUST .2.000 000 00 LSD USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -2,000,000.00 Fags 6 ol9 e• 0901349CSF30015 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num ber Rased tx<ollont Go paperless Seven Yeas. in* Pow EEFERS INC cO A • A ) 0 ft*. OAL4.0 MILO COMMUNICATIONS txCEILIMCC Owww.••••••ftrass US. • 'Meat •••••Mwt 40 Melia Neat% Men Cat. IOW Meer* ••••••••••••••••••• UPC SONY GM_00047004 DB-S6NY-00 10728 EFTA_001585B EFTA01290541 0nitiOe Ram IsrmaleWath Magatenmi SWIMS COMO. GIMP Ihm114hI I SeCuael IiC. Ilwt Mo. US Park /what ]MR I ker Ian. PM own coss)M-4091. Transactions by Type of Activity (continued) Process/ Settlement Date Adivih Tvoe Delaiotioa Quantity Price Statement Period:11/0112013 • 1113012113 Arced Interest Amount OCY FDIC Insured Bank Deposits 11114113 FDIC INSURED BANN SL RED DEPOSITS PROGRAM 2,000.000 00 USD WITHDRAWAL USD999997 11115113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED •993.54 LSD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 1,199,006.46 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TAM SMITH 345 PARK AVEALE 14Th FLOOR NEW YORK NY 10154 Your Account 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 M ethod for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unicalions for eledronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Page? of 9 Account Number DRAB-Cu I Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL RM.! mono.. Sean Veen Ina Rove COMMUNICATIONS OCC MPS{ ars" weeme. II•niSsi.LC. none. e•••••••nden, ei man ors ...Nero caenscare maws •••••••„c noses in is Sac SONY GM_OOO479O5 DB-SONY-00 10729 EFTA_00158514 EFTA01290542 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 - NIA- 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 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 vItAN. pershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed 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. 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 Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not lay 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 organisation may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuN of securities transactions it processes. • Your financial institution rs responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwrpershing.comdstrength_stability.html. Page 9 of 9 Account Number RoRocl mallont arse aspeawassual no••••••••••••••INVI B0098B19CSF3CIn (MIMI • I Go oaiyeriess Swen Veal. In A Row din•••••••mwo vas rein copoeses. ease LEPERS INC A• A OALIAR COMPAUPRCATiONS ast 0•••••i• MIL, MSS VC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDED " TIAL EXCILLEACI SDW_GM_00047906 DB-SDNY-0010730 EF'FA_00158515 EFTA01290543 Important Information and Disclosures (continued) DIVilOt Nna Mule weeps maagentra belatIOIS COMM* COMP DMUS Setwarl /In %Ix* Olio. us pM Amome, nIh MC, Statement Period: 11/0112013 - 11/30/2013 The Role of Pershing (corninued) • 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; (291)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 generaly final and binding; a party's abiMy to have a court reverse or modify an arbitration award is very knifed. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 9 Gift Account Number: s Rifled I mtnilant 1100701,49CSF3C01: Go paperless Stwn Yea., In A Raw DALItn• RAlED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67, CONFIDE I NTI A Excnatict *MOAN WIPmet ••••••• wad 'sell , ei maws *nits natiareineombrmeaery r.p.ave .......•••••• POMO -C SDNY_GIA_00047907 DB-SONY-0010731 EFTA_00158516 EFTA01290544 PO. 8a.1776, EIStrfas Ø21N3 Drulisne Ilan' Prpule Wok» 114a.tenan maestes (wear Gtwp cesium is+ stn.«, w. *We Vert Clik* HS Pawl ANN«. 2» I ter Pin »N 10214 Valuation at a Glance Account Number: N4G-024935 Statement Period:1010112013 -10131/2013 This Period Year-to-Date Beginning Account Value $11,399,691.39 $0.00 JEEPERS INC Net Cash Depoits and Withdrawals Net Securities InlOut of Account -2,991,826.76 0.00 36,872,567.37 1,538,411.13 6100 RED HOOK QUARTER B3 Adjusted Previous Amount Value 38,404,887.83 38,110,978.50 ST THOMAS VI 00802 Dividends, Interest and Other Income 5.957 31 5,957 31 Net Chan e in Portfolio 0.73134 4 620 47 Estim ated Annual Incom e $58.830 94 Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year•Eed Lad Period This Period % Allocation USD Cash, Money Funds. and Bank Deposits' 0.00 39,867,391.13 36,873,177.67 95.97% USD Fixed Income 0.00 1,532,30028 1,518.378.61 1.03% Account Total (Pie Chart) $0.00 $41,399,694.31 $38,421,556.23 100.00% I The Bank Deposits in your account are FDIC Insured bank deposits. FDIC insured be* deposits are not securities and are not covered by the Secunbes Investor Protection Camalion (SIPC). These hank deposts are covered by the Federal Depose Insurance Corporaton (FDIC). unto usable limit See page 2 or this statement (or important information regarding the Asset mocaton section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pie Chart abscatian any ',dudes products that are of positive value. Page 1 of 9 80097269:5130016 Go pap Raaed NeNiknt erless s-- ye— in^ Re- DALSA• RATED COMMVNICATIONS CON F I DÅENIETI AL "`rEE"E firlarn:r ~ISO. • **~•••••• ~WWI Peel~11.< •••••••• VINPA MY VC SDNY_GM_00047908 DB-SDNY-0010732 EFTA_00158517 EFTA01290545 Asset Allocation Disclosure and Footnotes Fixed Income certain& Fixed Income Mutual Fuds Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Tern Gam/Loss Net Gain/ Loss This sunvnary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 0.00 4.633 56 0.00 4,633.56 Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at www.myedocumentsuite.com for this easy, convenient and secure way to receive al of your sensitive account information. If you need assistance (tulip enrollment, please contact your Client Advisor or Web Support at 800-776-7564. FDIC Insured Bank Deposits Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet. A46024935 Activity Ending: 10131113 10101/13 Opening Balance 39.867.394.13 39.857.394.13 10/07113 Deposit DEPOSIT 10.346.48 39.877.740.61 10111113 Withdrawal WITI•DRAWAL -3.000,000.00 36,877,740.61 10/15113 Withdrawal WITFORAWAL -5,173.24 36,872,567.37 10115113 Deposit INTEREST CREDITED 610.30 36,873,177.67 APY 0.03% 10116113 Deposit DEPOSIT 5.173.24 36.878.350.91 Associated Bank NA NO 10/16 5250000.00 8867 NO 10/16 6250000.00 Bank of America NO 10/16 S250000,00 Deutsche Bank NO 10/16 $34628350 East West Bank NO 10/16 6250000 00 ILY Comm unity Bank NO 10/16 $250000.00 Page 2 of 9 Account Number lct ). 12•Oed rm<ollent ., Lit. • WINO/ 00.••••••••••fit Go paperless Seven Yeas In A Rove OP M..= •••••••••••• IMMO Cellefate MUT •••••••• DRAB Cud LEPERS INC &WW1 Italie. COmmuwiCactiONS •••••••• I LC me/WO/IA !Ole ILIPC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F I DaTliAL ... Col n SONY GM_00047909 DB-S6NY-00 10733 EFTA_00158518 EFTA01290546 PO &e. 1776. °Armee MD 212u3 FDIC Insured Bank Deposits (continued) Date Activity Type Description (Mlle. Sam .,male Wealth Maatentell hlanett I OreFIVC, IsP Cettfthe Sank Settoneint. elm *A HI Part Aso*. Halter Statement Period:1110112113 - 1113112113 Amount 631110 Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Texas Capital Bank NO 10/16 5250000 00 TriState Capital Bank NO 10116 $250000 00 Union Bank of CA NO 10118 $250000.00 Corn enity Bank NO 10/16 $250000.00 10117113 Withdrawal WITHDRAWAL -5.173 24 38.873.177.67 10131113 Closing Balance 338,673,177.97 Total FDIC Insured Bank Deposits 336,873,177.67 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 Mcluding individual retirement accounts and certain other sell 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 5,347.01 0.00 3,347 01 0 00 Interest Income FDIC Insured Bank Deposits 610.30 0.00 610.30 0 00 Total Dividends. Interest, Income and Expenses $6,967.31 30.00 $5,957.31 $0.00 Page 3 of 9 Account Num ber amen 1.<*iient PC, 0 97269CSF30016 DRA B Go paper-less .0 Seven Years In A Row LEPERS INC OALIuUt *AIM COmmuNICATtOrkr1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID AENTIAL n""`NCe Oleeriee ••••••• PernmiLLO. • wear owed seaSafee ne ei ass Teens,. Ca••••••leanallye OSIILC tame. Fs re...AP< SONY GM_00047910 DB-SDNY-0010734 EFTA_0015 8519 EFTA01290547 Portfolio Holdings Adivity Opening Date Quantity Account Number Ending Cash, Money Funds, and Bank Deposits 96.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 10101(13 36.873.177.870 N4G024935 10131i13 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Dale Acquired Quantity Unit Cod Cod Basis Opel* Balance Closing Balance Parsed Income Income This Year 30•Day Owed Yield Yield 39 867.394 13 38,873,177.67 484.93 610.30 NSA MA 139.867 394.13 136 873 177.87 1484.93 1610.30 939,867,394.13 Market Price $36,873,177.67 Market Valle 1484.93 Unrealized Gated Loss 1610.30 Estimated Estimated Annual Income Yield Mutual Funds 4.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP:481211510 02113113 13 148,957.299 0.0700 1,500,000.00 10.1000 1,504468.71 4,468.71 66,286.00 4.40% 03101113 13 533.047 0.0600 5,362.46 10.1000 5,383.77 21.31 237.21 4.40% 04101113 13 591.454 0.1100 5,979.61 10.1000 5,97389 -5.92 283;20 4.40% 05101113 13 562.992 0.1300 5,703.11 10.1000 5,686.22 -16.89 250.53 4.40% 08103113 13 567.343 0.0900 5,724.50 10.1000 5,730.18 5.66 252.47 4.40% 07101113 13 500.501 9.9700 4.990.00 10.1000 5.055.05 65.05 222.72 4.40% 08101113 13 527.827 0.0600 5,309.94 10.1000 5,331.05 21.11 234.88 4.40% 09103113 13 531.248 0.0300 5,328.42 10.1000 5,385.81 37.19 236.41 4.40% Reinvestments to 533.102 0.0300 5,347.01 10.1000 5,384.35 37.34 23722 4.40% Date Total Covered 153,304.113 1,543,745.05 1,548,378.81 4,633.58 68,720.84 Total 153,301.813 $1,543,745.05 11,548,378.81 $4,833.56 $68,220.64 Total Mutual Funds 11,543,745.05 11,648,378.81 $4,833.58 $68,220.64 Unrealized Accrued Estimated Cost Basis Market Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $38,416,922.72 $38,421,556.26 $4,633.56 $0.00 $68,830.94 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting miles set forth in the Internal Revenue Code of 1988, as amended ('IRC') (incorporating amendments enacted by P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered' noncovered,' under the new cost basis reporting rules, and marked or dended 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 v4 be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Page 4 of9 Account Num ber Go Rape' FAeolhent P*097269CSF30016 ()RAS Cul PaPeTlesS 11...'VeZ:sigsActamucAnoris CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 61E : El INcCONFIDEN g IA Owns" sitterawhe LI.C. • 'Apar aware = Mar: „c mammas snit sin SONY_GM_00047911 DB-SDNY-00 10735 EFTA 00158520 EFTA01290548 PO. em 1716, 8.4 wolf MD 21203 Portfolio Holdings (continued) Dralsre San, Ponle Wei11. Mamtentill Weals COntiteG,C,P Chnthe Sank Setwan v4, Mrs bet Once 315 Pot Aire, Halter Mew %A ItY IOVA I/ 1?) VA.M..1111.,211.409S Statement Period: 10/0112013 • 10/31/2013 Reporting requirements generally will be phased n over a three-year period, as follows: • Stack 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, 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 delvering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the OWS Investments website at https:/Awm.dws-investments.com(EN/products/monerrnarket-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention For a fist of Program Banks, please visit httplAwwiovmdtaconVameriCaSlen/CashSweeD0olions.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program. instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1, 2014, service and account-related fees win be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at www.myedocumentsuite.com for this easy and convenient way to access al of your account information. Eliminating paper delivery of a your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environments precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. 00077269CSF3C016 Page 5 of 9 On...ftrieSs110. M. Mat iwarneolimr •• name v,. ••••nea..••••slaY =were rear* /sad FS M Y l e c SDW_GM_00047912 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010736 EFTA_00158521 Account Num tier Ralscl I xeollont Go paper leSS LEPERS INC [toe CONFIEIENTIA °AL L MA IO OMwaNVICATNS lACEILMIC EFTA01290549 Activity Sum m ary (All amounts shown are in base currency: USO) Credits This Period Year-lo-Date Debits This Period Year-to-Date Securities Securities Secunties Bought 0 00 0 00 Secunhes Bought -5.34101 -5.347.01 Total Securities $0.00 $0.00 Total Securities -$6,347.01 -$5,317.01 Dividends and Interest $5,957.31 $5,957.31 Dividends and interest $0.00 $0.00 Cash Cash Withdrawals 000 000 Withdrawals -3.005.173 21 3.005.173 24 Deposits 10.346 18 39.877.740 61 Deposits 0.00 0.00 Total Cash $10,346.18 $39,877,740.61 Total Cash -$3,005,173.21 -$3,005,173.24 FDIC Insured Bank Deposits $3,010,316.111 $3,010,346.48 FDIC Insured Bank Deposits -$16,130.02 -$39,883,524.15 Total Credits 63,0200017 $42,894,044.40 Total Debits -$3,026,850.27 -$42,891,044.40 Transactions by Type of Activity Nast' Settlement Date Amon •e Desai be Quant Price Accused Interest Amount Ca Securities Bought and Sold 10/01/13 REINVEST CASE INCOME $ MORGAN FLOATING RATE INCOME FUND SELECT SF ARES 533 102 -5,34701 USD PISX 1527711110 Sin SIRS PORCH. AT $10.03000 RD 09/27 PO 10101/13 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.I0 -5,317.01 Dividends and Interest 10101113 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,317 01 USD .PHSX 1527713110 SHRS RD 09/27 PD 10/01/13 10/15/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 610.30 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 5,961.31 Cash Withdrawals and Deposits 10107113 YO UR ASSET TRAK SFERRED ACM BALANCE 0902 .PA CB/kA MC W60975005 3,173.21 USD U50999997 10/07/13 YOUR ASSET TRAI• SFERRED ACAT BALANCE 0902 PtICBRA NC W60975005 5,17321 USD US4399997 10/11/13 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -3,000.000.00 USD USD999997 10117/13 YO UR ASSET TRANSFERRED ACAT BALANCE 0902 SKICBNA NC W60975005 -5,173_21 USD 050999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -2,991,826.76 Page 5 o19 Account Number Raked I evolidnt ec097269CSF30016 Go paperless s—YrieThinA Rev, LEPERS INC " EN ""c DAM% RAr ED COMMON CA IONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO N F I DA ITI OrApiense.MaloseLLO. • Maw •••••• •••••••t on. min.'s. ••••••••• caoleas gnaw. Oats* i“ oar. es rn a sin SONY GM_00017913 DB-S6NY-00 10737 EFTA_00 158522 EFTA01290550 Gnaw, e Ban' .rune Weal. Maatentm M seats I (melee COMP Cettsche Sank Sett* on .4. Mrs Verb Once .115 Pin •••••• Halter Transactions by Type of Activity (continued) Process/ Settlement Date Adis e Death ion Ouantil Price Statement Period: 10/0112013 -1013112013 Acaued Interest Amount CCi FDIC Insured Bank Deposits 10107/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -10.34648 USD USO999997 10111113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 3,000,000.00 USD WITHDRAWAL USD999997 10115113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 5,173.24 USD WITHDRAWAL USD999997 10115113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -610.30 USD DEPOSITS INTEREST REINVESTED 458997996 10116113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -5.17324 USD USO999997 10117113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 5.17324 USD WITHDRAWAL USO999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 2,994,216.46 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TAN Ss/ ITh 345 PARK AVENUE 1411- FLOOR NEW YORK NY 10154 Your Account Information Telephone Number: 1212)454-2885 Investment Objective Investment Objective: GROV/TI- Investment Objective: INCOME Page? of 9 Account Numbers Raa.ci igt gilded eCC197269CSF30016 LEPERS IN CC N FI DN TIA GAEPA, wrless*, Oar: RLLD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) .O1,.. Wallet wow...A0. nvirlys es also eves os ,v a. aranA we... cri vows, „c ems wow^ vent sec SONY GM_0oo47914 DB-S6NY-00 10738 EFTA_OO 158523 EFTA01290551 Your Account Information (continued) Risk Exposure: NONE SPECIFIED Please review your investment objective. If you wish to make a change or have any questions please contact your Client Advisor. 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 sere cted any account cot r, unicatiors for electronic delivery To register and turn off paper con m unications, log in to your account or coated your Client Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securties 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 —NIA— 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 vmw.pershing.cornibusthess_conlinuity.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. 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 evadable 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 concernimg 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 itseff or others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without Inquiry or investigation (i) orders for the purchase and sale of securities and other property and (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. ti acts as custodian for funds and securities you may deposit with it directly or through your fmancial institution or that it Page 8 of 9 00097:49CSF300:4 1, nAl • ; I Account Number Rand I Atoll...1 Go Palwriess 14), LEPERS INC tewn wwr Peva.. \LC ••••••••••la Wild VC CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) CONFID5N"nAL SDNY_GA4_00047915 DB-SDNY-0010739 EFTA_00158524 EFTA01290552 Important Information and Disclosures (continued) Gnaw, e Banc Prmaie Weal. Maatentra carne Gawp Comp Cavtsche Mr* Sett* vie. Mew bet Once .115100 •caw, 20th MC' Statement Period: 10/0112013 - 10131/2013 The Role of Pershing (taxi/hied) receives as the result of securities transactions ft processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabiity of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 4134333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCA). 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: vnwrpershing.conttrength_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-confined in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's corded information can be found on the first page of this statement. Pershing's contact information is as blows: 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 tied. • Arbitration awards are generaly final and binding; a party's abilly to have a court reverse or modify an arbitration award is verylirrited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 9 of 9 Account Number: Raftpd xollont Owns. sienwrombise ut- • 1.000/ ••••••• •••• B009.7.769CSF3C016 GO PaPerless .nnanumennarsence••••••••••••••••••••• LEPERS INC A WA )1111 0 AMY, MAC •••••••••041A tetia CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID5NTIAL EXCIIIOCC SDW_GM_00047916 DEt-SONY-0010740 EFTA_00158525 EFTA01290553 eat 1771 Ea/rag IC 21XO Draisee gam, Ponle \Yeah Ma.ztenan M wets COreFIVG.AP Sank Senoneint Mrs bet OR,. 315 Pot S. leth I ter JEEPERS INC Valuation at a Glance Account Number: N4G-024935 Statement Period: 0911912013 - 09/30/2013 This Period Year-to-Date Beginning Account Value het Cash Deposits and Withdrawals et Securities Inl0ut of Account $0.00 39.867.394 13 1.538.411.13 $0.00 39.867,39413 1.538.411 13 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 41,405,805.26 41,405,805.26 ST. THOMAS VI 00802 et Change in Portfolio .6.110 87 .6,110 87 nchno Account Value $41,399,694,39 $41,399,694,39 Estim aced Annual Income $69.511 12 Your Client Advisor: TAM SMITH (2121 151-2889 Asset Allocation r.2. .::- '.' cley Funds, and Bank Deposits' 0.00 I, SD F.xed income 0.00 Account Total (Pie Chart) $0.00 Prior Year-End Last Period This Period % Allocation 000 39,867,394 13 0.00 1.532.300.26 $0.00 611,399,691.39 I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured benic deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC) Tnese bank deposes are covered by the Federal Deposit Insurance Corporaton (FDIC). up to arowable knits. See page 2 of INS statement for imponam riformation regarding the Asset Ai:Kahan section. 96.30% 3.70% 100.00% Pre Chart albcauon only ildodes products that are of positive value. Page 1 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) B009 8.4 OCSF3 0022 Go paperless CONFIDECMAL Rated r.cMynt Seven Vea.. In A Pan OALSPJI RAICOCOMAALINICATIONS uCILIOKE .....vrtrowns.• u.c. • ••••• «se sans. ....as pens SDW_GA1_00047917 DB-SDNY-0010741 EFTA_00158526 EFTA01290554 Asset Allocation Disclosure and Footnotes Fixed Income ccrtains Fixed Income Mutual Ferds. Summary of Gains and Losses Realized This Period Year-to-Date Unrealaed Short-Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis intonation is not avalable For Your Information 000 0.00 0.00 6.097.78 . 0.00 -6,097.78 Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. Go Fearless. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at vAnw myedocumentsuite.com for this easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564. FDIC Insured Bank Deposits Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number. N46024935 Activity Ending: 09130113 09119113 Opening Balance 0.00 0.00 09127113 Deposit DEPOSIT 39.867.39413 39.867.394 13 09/30113 Closing Balance 939,867,394.13 Total FDIC Insured Bank Deposits $39,661,394.13 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Page 2 of 9 P.C.0915810CSF3002: Account Num ber REFERS INC Go paperless . coNFIDEN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) IT I El. * 1AL Rotral ccrarat Seven Yeas In A Rove .Creortriandse. 1.1.6 • Meat ••••• •••••104, °ALCOA trattOCOTratraatiCATIONS re... „C •••••••••••A sin SDNY_GM_00047918 DB-SDNY-0010742 EFTA_00158527 EFTA01290555 PO em 1776. Plok no-a MO Dan Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 96.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 09/19113 39.867.394.130 k46024935 09/30/13 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Activity Quantity Account Number Edina Only,. Ram Connie Wok', maagental 1.1•90ISCOMfatfeComp CeMUM Mit Setionei k. Now *tt Once In PIO Si,'..,. Ha I ter Date Acquired Quantity Unit Coal Cost Basis Opening Balance Closing Balance Accrued WNW Statement Period: 09/19/2013 • 0913012013 Income 30-Day Current This Year Yield Yield 0.00 39.867,3941 3 000 131.0$ N/A N/A 10.00 139 861 394.13 $131.06 $0.00 tom $39,567,394.13 0131.05 10.00 Uarealized Estimated Estimated Market Price Market Value Gale/ Loss Annual Income Yield Mutual Funds 4.00% of Portfolio P MORGAN FLOATING RATE1NCOM E FUND SELECT SPARES Open End Fund Dividend Option: Reinvest. Capital Gains Option: Reinvest 02/13113 19,17 118,957.299 03/01113 $2.13 533.047 04/01113 12.13 591454 05/01113 $2.13 562.992 06/03173 11,f 3 567.343 O 07/01113 1 3 08/01113 13.13 500.501 527.827 09/03/13 11.13 531248 Total Covered 152,771.711 Total 152 771.711 10.0700 10.0800 10.1100 10.1300 10.0900 9.9700 10.0800 10.0300 Security Identifier: PHSX MIR. 481211510 1,500,000.00 10.0300 5,362.46 10.0300 5,979.61 10.0300 5,703.11 10.0300 5,724.50 10.0300 4,990.00 10.0300 5,309.94 10.0300 5,328.42 10.0300 1,538,398.04 31 538 395.04 1,494,041.71 5,346.48 5,932.29 5,646.80 5,690.48 5.020.03 5,294.10 5,328.41 1,532,300.26 $1,632,300.26 -5,958.29 -16.00 •47.32 -56.31 -34.04 30.03 -15.84 -001 4,097.75 -$6,097.78 67,775.56 242.54 269.11 256.16 258.14 227.73 240.16 241.72 69,511.12 $69,511.12 4.53% 4.53% 4.53% 4.53% 4.53% 4.53% 4.53% 4.53% Total Mutual Funds 11,530,395.04 11,532,300.28 -36,091.18 $69,511.12 Cod Basis Market Value Unrealized Acciued Estimated Gain/ loss Interest Masai Income !Total Portfolio Holdings 941.405.792.17 S41,399,694.39 -$6.097.75 30.00 369,511.12 Footnotes Securities acquire: before 2011 are generally rot subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended (9RC') (int0rp0rating amendments enacted by Page 3 of 9 Account Num bur BOO MI CCSF3 0 On Go paper-less LEPERS INC E ' A CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CO N F I 1:i5N Rated f x<ollont 7,,. Sta. Ynn in A Pew (swim, *AIM COMMUNICAltONS Csseseaw•ros ...no.' WI • WO", 0000414•••~1 •• ss Ns" wants, Sea POaEM VC SDNY_GIA 00047919 DB-SONY-0010743 EFTA_00158528 EFTA01290556 Portfolio Holdings (continued) 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 c' 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 (DRP) 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. It Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. it The cost basis of this security has been provided to us by the delivering fimi or transferring agent and Pershing makes no representation as to the accuracy of this information. M essages Pursuant to the Securities Exchange Act of 1934. Pershing LLC (Pershing), a BNY Melon company. provides individual investors with certain financial nformation on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2013, Pershing's net capital of $1.6 bdion was 12.92% of aggregate debit balances and exceeded the minimum requirements by 51.4 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2013, Pershing's net capital of $1.7 billion was 13.56% of aggregate debit balances and exceeded the minimum requirement by $1.5 ban. A copy of the June 30. 2013. Statement of Financial Condition is available at pershing.comistatement_of_financial_condition.html. You may also request a free. printed copy by calling (888) 860-8510 or (201) 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 DINS Investments website at htlpsitymw.dws-investments.corNEN/products/money-market-funds-yields.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. Please see the money market mutual fund's prospectus or contact your investment professional for additional information For any position noted as a restncted security, the Market Price reflected is the market price for the unrestricted and freely tradeable security. An investor holding a restricted security may not be able to sell that security at the price indicated, if at all. Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at WNW. myedocumentsuittcom for this easy and convenient way to access all of your account information. Eliminating paper delivery of all your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a list of Program Banks, please visit httoliwwworms.db.condamericasferdCashSweepOptions.html or contact your Client Advisor. Page .1 of 9 BOV.10SICCSF3002: Account Number MM. Go paperless R"`" Extelldelt in A 'tow CONFIDENTIAL DALIA LEN/C RATED COMMUNICATIONS LAM I WM INC r oomer. , PordSgli.C. • .••••••••desseeman sccsastsc was sec SDW_Glit00047920 CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. 6(e) DB-SDNY-0010744 EFTA_00158529 EFTA01290557 PO &ix 1776.8* troy MO212u3 M essages (continued) Dnire Exn PinwaleW.1M Magatentm Miff ts Corey, C0O.P, CHUM SW know% nt Yr. *A HI Piet Ann Halter Statement Period:09/19/2013 - 09/30/2013 You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in cider to maintain the maximum protection under terms of FDIC coverage. ADV PART 2 IS AVAILABLE UPON REQUEST FROM YOUR DEUTSCHE BANK SECURITIES INC. CLIENT ADVISOR. Effective January 1, 2014, service and account-related fees will be adjusted as follows: • Trade confirm service charge: $6.00 per trade • Annual IRA fee: $50 • IRA termination fee: $95 • Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and 525 per non-publicly traded security • Foreign safekeeping fee: $6 per position, per quarter Activity Sum m ary (Al amounts shown are in base currency. USD) Credits This Period Year-to-Date Debits This Period Year•to-Date Cash Cash Deposits 39,867 394 13 39,867,394 13 DeposIs 0.00 0.00 Total Cash $39,867,394.13 $39,867,394.13 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits •$39,8$7,301.13 -$39,007,304.13 Total Credits $39,887,394.13 $39,867,394.13 Total Debits .$39,867,394.13 -$39,887,394.13 Transactions by Type of Activity Process' Trade! Settlement Transaction Date Date Activity Type Desuiptles (apathy Nice Awoed Interest Amount CCY Securities Withdrawals and Deposits 09/27113 09/26113 YOUR ASSET TRANSFERRED ,P MORGAA FLOATING RATE INCOME FUND SELECT SHARES 152 771 711 0.00 USD 4 • FRAC 7110 0902 .FMCBNA NC W60975005 Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 Cash Withdrawals and Deposits 09127113 YOUR ASSET TRANSFERRED ACAT BALANCE 0902 PM C8kA A/C W60975005 39,867,394.13 DSO LS13999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 39,687,394.13 Page 5 of 9 Account Number Raised f weablInot P*0 MIOCSF30011 Go paperless Sawn 'errs In A Rove LEPERS INC A 4 A ' T 1 11 11 Y CONFIDEN 1AL ...„..„,„„ gx 0Act ainc •RIED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Orniteanmin Ansette. • *oar asmosaniN.IP ei no sae no. vernier. egoinstav mese 'snout mesas vast sin SONY GM_00047921 DB-S6NY-0010745 EFTA_00 158530 EFTA01290558 Transactions by Type of Activity (continued) Process Trade! Settlement Transaction Date Date Activity Type FDIC Insured Bank Deposits 09/27113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -39 867,394 13 USD USD999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR Description Ouantity Price Accrued Interest Mount CCY 0.00 -39,667,394.13 Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 0.00 Your Client Advisor: TDS Contact Information TAZIA SM ITh 345 PARK AVENUE 14Th FLOOR NEWYORK NY 10154 Your Account Information Telephone Num bet Investment Objective Investment Objective: GROWTh Investment Objective: INCOME Risk Exposure: NONE SPECIFIED Please review your investment objective. If you wish to make a change or have any questions please contact your Client Advisor. Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Copies of Statement Sent ,EFFIEY EPSTEIN At your request copies of this stalem enl have been sent to the above. Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reiable. 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 cuitent 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. at may be affected by current and future economic, poetical, and business conditions, they should not be reied on for making investment, trading, or tax decisions. These figures assume that the position Page 6 of 9 Account Number ORAII Cul a. eF°w Go paperless re:41;:ttA LEPERS INC „ TiAr O.. iletr iwic litOCOMAAUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDS\J pr o aver •••••••• LW. wear canoe wawa..? SONY GM_00047922 DB-S6NY-00 10746 EFTA_O0I58531 EFTA01290559 Important Inform ation and Disclosures (continued) Draisre Ban, Poo/lewean mamtenan weans Conn. 4,isP Dettsche M Sectantinc. Mrs bri Once Hf VMe Si...,. 15Th I ter mail ilia. Statement Period: 09/19/2013 • 0 9130/2 01 3 Pricing (conimue0) 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 Wffiv.pershing.cornThesiness_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. 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 automaticaly 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 Ann. 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 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) veil be billed at the rates such agents use. Important Arbitration Disclosures and Important Arbitration Agreem ent 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 abibty 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, it 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 attested 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. Page? el 9 Account Number- Rafted Excellont B0090S1 CCSF3 0 0:2 Go i N liwrIess Se... VA.. 'AA RAY. OALliAll EtAlt0 COMMUNICATIONS LEPERS INC ^ " ]T i ii -. • ou T ca r EXCEILINCI C Til• WM Of NO. •••••• C•••••••••• MCI ••••••• tense. ttc ...•.s •e..... SDW_GM_OOO47923 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010747 EFTA_OO158532 EFTA01290560 Important Arbitration Disclosures and Important Arbitration Agreement (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 we respect to any clams encompassed by the putative class action until, (I) the class certification is denied; (II) the class is decertified; or (II1)11w 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; Pagel of 9 Account Number: N46-024936 Rano.] I .e•mint BOO 'PM 0CSF3 0 02: Go paperless Srven Yeaes In A Row LEPERS INC A WA )3, tinny' DALlin• RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFID5NTIAL Excgauct Olowia. ramp Pgessasua.•••••••••••~INVI •• •a of am Voo• Oa. Caa••• Ma, ••••••• I. LC mama 00^ Mal IOC SDNY_GM 00047924 DB-SDNY-0010748 EFTA_00158533 EFTA01290561 TERMS AND CONDITIONS GENERAL INFORMATION I. ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BODES CR RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. 2. ALL OCOS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISE SHALL TM SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES, RULINGS AND INTERPRETATIONS OF THE EXOUNGE OR MARKET AND THE CLEARING FACILrY, E ANY, WHERE THE TRANSACTIONSARE EXECUTED ANC/OR SETTLED. OR IF APPUCABLE, DE DIE FINANCIAL INDUSTRY REGUIATORY AUTHORITY AND TONE APPLICABLE LAWS AND REGULATIONS, B. WHENEVER YOU ME INDEBTED TO PERSHING LLC (*PERSHING') FOR MY AMOUNT. ALL SECURTIMS CID BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SMALL SECURE ALL YOUR UAMUTIES TO PERSHING. AND PERMIING MAY IN IR DIXRETION AT ANY THE, WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ML OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH Of ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; AM BALANCE REMATMIN DUE PERSHING TO BE PROMPTLY PAID BY YOU. 4. WHENEVER YOU ME INDEBTED TOPERSHING FOR ANY AMOTNET, ALL SECURITIES CARRIED FOR YOUR ACCOUNT ME OR MAYBE. WITHOUT FURTHER NOTICE TO YOU. WANED OR PLEDGED BY PERSHING, EITHER SEPAMTLLY OR UNDER CXRCULISTANCESWIIKII WILE PERMIT THE COMMINGLING 'HEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, MUM TO OR GREATER MAN YOUR UMIUTIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. S. 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 MA RECEIVED CONFIRMATIONS FOR TRANSACT IONS WHICI DO NOT APPEAR ON YOUR STATEMENT. If SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIOOIC STATEMENT. SUCH TRANSACTIONS MUST GE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE st YOU HAVE WRITTEN OPTiONS WHICH HAVE BEEN EXEROSED. IF YOU MUMPS. A MAJNIN ACCOUNT, THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T Of THE BOARD Of GOVERNORS OF THE FEDERAL RESERVE SYSTEM THE PERMANENT RECORD OF THE SEPARATEACCOUNT AS REQUIRED BY REGULATION T IS AVANABLE FOR YOUR INSPECTION UPON REQUEST. R. INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST MO PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEYRAMS OR OTTER REASONS *MEREST IS COMPUTED AS DESCRIBED IN NUTRIA( PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTIONS YOU DEL RE ADDITIONAL COPIES DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED COT CERTAIN INFORMATION KNONTIES CE THE DISTRIBUTION DATE. THIS CUSSWICATIONIS SMUT TO CHANCE AND IS SOLELY INTENDED FOR USE AS GENERAL INCANTATION ALTER YEAR ENO, PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL REVENJE SERVICE ANO OTHER GOVERNMENTAL AUTHORITIES. AT THAI TIME PERSHING WILL PETARD( THAT INFORMATION ON THE ANNJAL 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. 10. PERSHING DOES NOT PROMO! TM, INVESTMENT OR LEGAL ADVISORYSI/NOS 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 TAY AMMAN TO DETERMINE THE APPROPRIATE TAX TREATMENT Of THEIR BUSINESS. II. PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIAUST, ODD LOT DEALER. MOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT TN TIME Of ANY TRANSACION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SEOJRCES, WHICH POSITION MAY BE PARTIALLY OR COMPLETELY KEDGED. 12. If AVERAGE PIKE TRANSACTOR. IS INDICATED ON ME FRONT Of TEN STATEMENT YOUR FINANCIAL INSTITUTION OR PERSTENG MAY HAVE ACTIONS NINON; AGENT OR BOTH. DETAILS AVARACE UPON REQUEST. IS. A FINAIJOAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTIONAT PERSHING'S OFFICES. A COPY OF TT WILL BE LURED UPON YOUR WRITTEN REQUEST C4 YOU CAN VIEW a ONLINE AT DAWN PEFASHING.00.4 14. 'MISSTATEMENT MOND BE RETAINED FOR YOUR RECORDS. THE ROLE OF PERSHING PERSHINGCARRIESYOUR ACCOUNT AS ELWIN BROKER PURSUANT TO A CLEARING AGREEMENT WITH YOUR FiNANON. INSTITUTION. PERSHING MAY ACCEPT FROM YOUR FINANCIAL INSTITUTION WITHOUT INQUIRY OR INVESTIGATION MOWERS FOR THE PURCHASE AND SALE Of SECURITIESMOOTHER PROPERTY AND DO ANY OTTER INSTRUCTIONS CONGERVIPIG YOUR ACCOUNT. PERSHING IS NOT RESPONSIBLE OR TIME FOR ANY ACTS OR OMISSIONS Of YOUR FINANCIAL INSTITUTION OR ITS EMPLOYEES AND IT DOES NOT SUPERVISE THEM. PERSHING PROVIDES NO INVESTMENT ADVCE NOR DOES IT ASSESS MI SUITABIU, OF AM TRANSACTION OR ORXR. PERSHING ACTS AS THE AGENT OF YOUR TRIANON. INSTITUTION MID YOU AGREE THAT YOU WILL NOT HOLD PERSHING OR ANY PERSON CONTROLLING OR UNDER COMMON CONTROL WITH TT LIABLE FOR ANY INVESTMENT LOSSES INCURRED BY YOU. PUSHING PERFORMS SEVERAL KEY FUNCTIONS AT TIE DEMOTIONOF YOUR FINANOAL INSTITUTION. ET ACTS AS CLESTOEXAN FOR FUNDS AND SECURITTES YOU MAY DEPOSIT WITH IT DIRECTLY OR THROUGH YOUR FINANCLM. INSTITUTION OR THAT IT RECEIVES AS Tilt RESULT OF SECURITIES TRANSACTIONS IT PROCESSES. YOUR FINANCIAL RESTITUTION IS RESPONSIBLE TOR ADHERENCE TOME SECURITIES LAWS. REGULATIONS Ne RULES WHIG, APPLY TO TT REGARDING ITS OWN OPERATIONS .NO THE SUPERVISION OF YOUR ACCOUNT, ITS SALES REPRESENTATIVES AND OTHER PERSONNEL YOUR I: NANOAL INSTITUTION IS ALSO RESPONSIBLE FOR APPROVING THE OPENING Of ACCCHNOT. AND CAMDEN° ArCOuNT DOCUMENTS; NE ACCEPTANCE AND. UNCERTAIN 'PITTANCES. EXECUTION OF SECURITIES ORDERS: THE ASSESSMENT OF THE SUITABILITY OF THOSE TRANSACTIONS. WHERE APPLKABIX; 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 ANO BALANCES IN YOUR ACCOUNT MAY BE DUCTEDTO THE PERSIWN CUSTOMER SERVICE DEPARTMENT AT (201) 413-3333 ALL OTHER INQUIRIES REGARDING YOUR ACCOUNT OR MINTY SHOULD BE DIRECTED TO YOUR FINANCIAL INSTITUTION. YOUR FINANCIAL ORGANIZATIONSCONTACT INFORMATION CAN BE MUNITION THE MIST PAGE Of THIS STATEMENT. FOR A DESCRIPTION OF OTHER FUNCTIONS PERFORMED BY PERSHING CEASE CONSULT THE DISCLOSURE STATEMENT PROVICCO TO YOU UPON THE OPENING Of YOUR ACCOUNT. THIS NOTICE S NOT MEANT AS A DEFINITIVE ENUMERATION Of EVERY POSSIBLE CIRCUMSTANCE. BUT ASA GENERAL DISCLOSURE. It YOU HAVE ANY QUESTIONS REGARDING THIS NOTICE OR IF YOU WOULD UKE ADDITIONAL COPIES OF THE DISCLOSURE STATEMENT, PLEASE CONTACT YOUR MAMMA INSTITUTION. PERSHING SA MEMBER Of THE SECURITIES INVESTOR PROTECTION CORPORATION (MI. PLEASE NOTE THAT SRC DOES NOT PROTEGE AGAINST LOSS DUE TO MARKET FLUCTUATION. IN AM MON TO SC PROTECTION. PERSHING PROVIDES COVERAGE IN EXCESS OF TUC LIMOS. FOR MORE DEMME) INFORMAT ON PLEASE VISIT. VAVW.PERSHINGCOWSTRENGTH_STABILM(NTML THIS STATEMENT WILL BE DEEMED CONCLUSIVE. YOU ARE ADVISED TO REPORT ANY INACCURACY OR DISCREPANCY ONCLUOING UNAUTHORTZIO 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 UNCAP THE SECURITIES INVESTOR PROTECTION ACT. YOUR FINANCIAL ORGANIZATION'S CONTACT INIORMATION CAN BE FOUND ON THE FIRST PAGE OF THIS STATEMENT. PERSHING'S CONTACT INFORMATION IS AS FOLLOWS: PERSHING EEC; LEGAL DEPARTMENT; ONE PERSHING PLAZA. IERSEY CITY, NEW JERSEY 07/99. (201) 4113120. ERRORS AND OMISSIONS EXCEPTED. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS —RULE 607[AX l)-(2)) PERmiliff SENDS CARMEN EQUITY ORDERS TO EXCHANGES, LUCE RONK. COMMUNICATION NETWORKS. OR BROKE ADEAURS DURING NORMAL BUSINESS HOURS ANC/ DURING EXTENDED TRADING SESSIONS CERTAINOF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FELL TO PERSHINGOf PENDING UPON THE CHARACTERMICS OF THE GILDER AND ANY SUOSMENT EXECUTION. N ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERSAS PRINCIPAL. THE WAILS OE THESE PAYMENTS AND TEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTI° OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM Of A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION NOTWITHSTANDING TIE PREVOUS PARAGRAPH REGARDING MINIM FOR ORDER FLOW, PERSHING CEOSCOMM MARKET CENTERS TO PROMO EXECUTION Of OVER-THE-COUNTER AND ExCHANGE.USTIO SECUPETTES 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 (CBOT ON CERTAIN LARGER ORDERS, OR ir NE DEC HATED PARROT CENTERSDO NOT MAKE A MARKET IN THE SUBJECT SECURITY, PERSHING DAECTLY CONTACTS MARKET CENTERS TO °VAN AN EXECUTION. THE DESIGNATED AMPICET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTEDAM SELECTED RASED ON THE CONSISTENT HIGH QUALITY Of THEIR EXECUTIONS IN ONE OR ACRE MARKET SEGMENTS AND THEN AMITY TO PROVO( OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TOME INTRO PERSHING Al SO PI GuiAATY REVIEWS REPORTS FOR DUALITY OF EXECUTION PURPOSES. IF ANY Of THE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU, PLEASE NOTIFY PERSHING IMMEDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSHING PLAZA. JERSEY WV, NI 0735.9, ATTN: LEGAL DEPT Page 9 of 9 Account Number HAMA In 50098840CSF3002: Go paperless Steen Ye.. In Row LEpERs IELTALtUT RA COMMUNICATiONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) awwwwwer. weave u.o. • ••••••••••••••••••AMI MT/Ia. IPI••MIS•••••Canismibleasiv miss New. Luc oast vow* Tom MC SDNY_GM_00047925 DB-SDNY-0010749 EFTA_00158534 EFTA01290562