EFTA Document EFTA01290563

Deutsche Asset & Wealth Management P.O. Boa 1776, Ballimore, MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TIMES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: DANIEL &MBA Deuiv.v Ram Pon. Wealth Mantrent Mweets Cowan Gtap Deotem MM Sewlei AC Maw brk Pik* SI, Part Mtgs. AM' kci. Valuation at a Glance Account Num berms Statement Period: 12/01/2014 -1213112014 This Period Year-to-Date Beginning Account Value 962,350,593.99 $22,994,662.96 Nei Casa Deposits and Withdrawals 000 38,193,547.84 Adjusted Previous Account Value 62,350,592.99 61,486,210.79 Dividends. Interest and Other Income 24.116.12 916.905.76 Tots Taxes Withheld 0 00 410 het Charlie in Portfolio -72,363.20 -132,444.74 riding Account Value 562 302 676 21 562 302 676 21 Estim ated Annual Morn e 51.111.295.52 Asset Allocation Prior Year-End lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposits LSD Fixed Income LSD Equities 7,589,036.35 15,405,626.60 000 43,913,182.65 11,434,280.34 7,003,130,00 43,922,655.69 11,400,200.52 6.979.820 00 70.50% 18.30% 1120% P ease re. le.‘yov a lozea- j_ Amount Total {Pie Chart) 122,994,662.95 $62,350,592.99 See the Asset flocabon Disclosure and Footnotes secton lor important informaton renewing your Asset flotation. $62,302,678.21 100.00% DRAB ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 1015 Rated tmellonl B0100378CSP30023 Go I)aP€rless r ok ; Ever/ VAN. Sims 21)07 DAL BAR RATED COMMUNICATIONS CONFIDENTIAL `,calumet SDNY_GM_00047926 OB-SDNY-0010750 EFTA_00158535 EFTA01290563 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 -146.09 126.41713 Long-Term Gain/Loss 73 87 2.095.36 -384213.17 Net Galn/Lou 73.87 1,119.27 -267,79161 This summary excludes transactions where cost basis information is not available. For Your Information Cn June 5, 2014, the European Central Bank (the -ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S fa tax year 2015. These rates are subject to change in response to market changes. and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Desaiption Amount Babette Sweep Money Market Fund MSGOVERNMENT CASH INSTL Account Number: 0000001492 Current Yield: 0.03% Activity Ending: 12131/14 1112911/ Opening Balance 43,913,182.65 13,913,182.65 12/3011/ Deposit MONEY FUND PURCHASE 8,354.03 13,921,536.68 12131/11 Deport INCOME REINVEST 1119.01 13.922.655.69 1213111/ Closing Balance $13,922,655.69 Total All Money Market Funds 143,922,655.69 Income and Expense Summary Carrot Period Year-to-Date Taxable Nos Taxable Taxable Noo Taxable Dividend Income Equities 0.00 0.00 101,836.05 0.00 Money Market 1,119.01 0.00 4,534.22 000 Other Dividends 17,591.35 0.00 593,971.58 0 00 Account Number. ox avon Go paperless THE e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE Trd-sTO N F I D AENTI AL Pap 2015 Italled excellent Ivory Year Since 2007 DAL BAR RATED COMMUNCATIONS rxesurnaer SDNY_GM_00047927 DB-SDNY-00 10751 EFTA_00 158536 EFTA01290564 Deutsche Asset & Wealth Management P.O. Boa 1776. Beiimore. MO 2t203 Income and Expense Summary (continued) DraIst.< Rana Prmair Wean &Waren Pdatert$ Caen., 6 ,0‘p Des-bOx Mk Settonei'M HI Put Annus. 160. Met War int nr,mw Statement Period: 12//112114 -12/3112114 Current Period Tear-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income Bond Interest 5,736.06 0.00 245,681.66 0.00 FDIC Insured Bank Deposts 0.00 0.00 882.26 0.00 Total Dividends, Interest, Income and Expenses $24,446.42 1010 $046,005.16 $0.00 Distributions Other Distributions 0.00 2,617.97 0.00 30,081.73 Total Distributions $0.00 $2,617.07 $0.00 $30,081.13 Portfolio Holdings Opening Date Account Adivity Opening Closing Awned lawn 31.Oay Omit Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 7 1.0 0% of Portfolio M oney M arket CMS GOVERN M ENT CASH Mk 11129114 43.922.655 690 0000001492 12/31114 43.913.182.85 43.922.655.69 0.00 4.534.22 0.03% 0.03% Total Money Market $43,013,162.65 $43,022,655.69 $0.00 $4,634.22 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11/29114 40024943 12131114 0.00 0.00 0.00 882.25 NM NM Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $882.25 Total Cash, M oney Funds, and Bank Deposits $43,913,15215 $43,922,655.69 $0.00 $5,416.41 IIRA.1t .011 Account Number TI-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON Fl dEiVisA L Page 3 of IS listed Excellent (very Year Sera 2'007 DAUBS. BAT ED COMMUNICA MN'S rxeseirtraer SDNY_GM_00047928 DB-SDNY-0010752 EFTA_00 I 58537 EFTA01290565 Portfolio Holdings (continued) Date Aott:ted Fixed Income 1 5.0 0% of Portfolio (In Maturity Dee Sequence) 'Asset Backed Securities OS M TO SECS CORP 2005.5F M TG PASSTHRU CTF CL 81 VAR 5.752% 06/25/35 WE DID 05101/05 S 8 P Rating B. Factor: 0.79603595 Effective Date:12101111 Current Face Value: 1,194,053925 12/13/13 '•1.11 1,500.000100 97.1780 Guaet6Y UmNCod Adjusted Cod Basis Market Price Markel Value Unrealized Gain, Loss Accrued Interest Estimated Estimated Annual Income Yield Total Asset Backed Securities 1,500,000.000 Total Current Face Value : 1,194,053.925 Corporate Bonds PEABODY ENERGY CORP SR NT 1.315% 11101118 WE DTD 10112106 MULTIPLE GUARANTORS 1ST CPN DTE 05/01/07 Moody Rating BA3 S t P Rating BB- 05110/11 1,200,000.000 104.9590 IPAYM ENT INC GTO SR NT 10.250% 05115/18 WE DID 11115111 CALLABLE 05115/15 Q 105.125 Moody Rating CAA3 S& P Rating CCC 10102112 %UM 500,000.000 92.4590 FM ORGAN CHASE & CO DEP SHS REPSTG 1/10Th PFD SER I FIXED TO FLTG RT BO 7.900% 04/29/49 WE DTD 04/23/08 Moody Rating BM St P Rating BBB- 05/10/11 3,000,000.000 111.2650 BANK AM ER CORP PERP NON CON ULADVE DEP StiS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04/30/08 CALLABLE 05/15118 Moody /Wing 8A3 St P Rating BB 05110111 '.12,13 3,000,000.000 112 9870 Security Identifier: 3624207X6 1,160,355.99 Original Cost Be $1,160,355.99 97 0240 51.189.588.80 Security Identifier: 704549AE4 1259,504.58 102.7500 Onginal Cod BaSit 51.363.500.00 Security Identifier: 46262EAB 162,295.37 89.0000 Onginal Cost Basis: 5445.000.00 Staidly Identifier: 18625HHA1 3,337,958.33 107.6300 Original Cost Basis. 53.337.958.33 Security Identifier: 060505018 3,389 620.83 107 8750 Account Number T1- E I-AZE 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1,158,518.88 91,150118.88 1,233,000.00 445,000.00 3,228,900.00 3,236,250 00 .1,837.11 -$1,837.11 .26,504.58 .17,295.37 •109,058.33 5,723.51 $5,723.61 14,750 00 6,548.61 39,500 00 -153,370.83 31,145 83 $0.00 88,500.00 7.17% 51,250.00 11.51% 237,000.00 7.33% 213,750.00 7.53% Page 4of1S Go ON Fl A L Rasa [salient Every Year since 2'007 DAUM. RAT COMMUNICATIONS rxenurtaer L.a SDNY_GM_00047929 OB-SDNY-0010753 EFrA_001 58538 EFTA01290566 Deutsche Asset & Wealth Management P.O. Om 1778, fla!ammo, MD 21203 Portfolio Holdings (continued) ()nacre. Bana Pnur. YhyIr m7mgental Mains CO•ene GK.." Otrisch7 Secteftes New brir011t• 34% Far% Mora MOO ter Statement Period: 12/01/2014 • 12/31/2014 Adjuded Umealized Acuued Estimated Estimated Dale Acquired Ormetity limit Cod Cat Bads Market Price Market Vann Gals/ Loss Merest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON COM ULATIVE DEP (continued) Original Cosl Basic $3,389.620.83 Total Corporate Bonds $8,449,371.11 7,700,000.000 9,143,150.00 -1308,221.11 391,944.44 $620,500.00 Total Fixed Income 1,200,000.000 19,606,735.10 $9,301,661.86 -1301,066.22 $17,667.15 $620,500.00 Unrealized Dale Acquired Quantity Veit Cod Cod Bads Market Price Markel Value Gala( Loss Equities 11.00% of Portfolio Preferred Stocks (Lasted by expiration dais) CITIGROUP INC DEP SHS REMO 111000TH PM SER K DIV 6.875% PERPETUAL MATY PERPETUAL CALL 11/15123(1 25.00 Dividend Option: Cash 02103/14 79.000.000 CITIGROUP INC DEP SITS REPSTG 111000 PFD SER C DIY 5.8% PERPETUAL MATY PERPETUAL CALL 04/22118025.00 Dividend Option: Cash 10/28/14 49.033.000 10129/14 150,967.000 Total Covered 200,000.000 Total 200,000.000 Total Preferred Stocks Total Equities Estimated Estimated Anneal Income Yield Security Identifier: C PRK CUSP: 172967341 252090 1.999.418,90 26.5800 2,099,820.00 100,401.10 135,781.25 6.46% Security Idendfler: C PRC CUSP. 172967366 24.0810 1,180.73916 24.4000 1,196,405.20 15.866.04 71,097.85 5.94% 24.3130 3,670,430.48 24.4000 3,683,594.80 13,184.32 218,902.15 5.94% 1,851,111.04 4,880,000.00 28,830.36 200,000.00 $4,651,169.14 $4,680,000.00 $26,830.36 1210,000.00 16,650,518.54 16.179.620.00 $121,231.48 $425,161.25 $6,650,581.54 16,979,620.00 1129,231.46 $425,761.25 menu you Account Number ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) lia())1(His ON F I A L Page 5 of 15 listed taconenti (very Vo.7. Slate 2007 DAUM. MUD COMMUNICATIONS rxesartraer SDNY_GM_OM34n3G OB-SDNY-0010754 EFrA_00158539 EFTA01290567 Portfolio Holdings (continued) Unrealized Dale Asgeired Ouaitity Unit Cost Cost Basis Market Prim Markel Valle Gain! Loss Estimated Estimated Annual Income Yield Mutual Funds 3.00% of Portfolio R M ORGAN FLOATING RATE INCOME FUND SELECT SFARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP. 181211510 01122113'.3 198,216.056 10.0900 2,000.000.00 9.1200 1,926,660.01 -13,339.93 82,259.66 1.26% 02101113'.3 630.057 10.0670 6,342.92 9.1200 6,124.14 -218.78 261.47 4.26% 03101113'.3 711.578 10.0600 7,158.18 9.7200 6,916.53 -24195 295.30 1.26% 04101113'.3 789.547 10.1100 7,982.33 9.1200 7,674.39 -307.94 327.66 4.26% 05101113'•3 751.550 10.1300 7,613.21 9.7200 7.305.07 -308.14 31119 4.26% 06103113'.3 757.360 10.0900 7,641.77 9.1200 7,361.54 •280.23 314.30 4.26% 07101113'.3 668.131 9.9700 6,661.27 9.7200 6,494.24 -167.03 277.27 1.26% 08101113'.3 104.609 10.0600 7,088.37 9.7200 8,848.81 .239.58 292.41 4.26% 09103113'.3 709.175 10.0300 7,113.03 9.7200 6,893.17 -219.86 291.31 1.26% 10101113'.3 712.100 10.0240 7,137.85 9.7200 6,921.61 •21624 295.52 4.26% Total Mono:meted 204,660.163 2,084,739.23 1,989,91.57 -75,539.66 54,929.19 Reinveslm ants to 11,248.154 10 0210 112,75319 9.7200 109,332.07 -3421.12 4,668.01 1.26% Date Total Covered 11,218.154 112 753.19 119,332.07 -3,421.12 4,561.01 Total 215.898.317 52,177,492,42 22,096,531.64 478,960.78 289,597.9 Total Mutual Funds $2,177,492.42 22,098,631.84 -378,960.76 $89,597.80 Unrealized Awned Estimated Cod Bade Market Value Gain! Loss hayed Anneal Income Total Portfolio Holdings $52,560,471.75 $62.302,676.21 -$257,79511 $97,867.95 $1,141,295.52 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securdies which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 6 of 15 Account Number.WM Deno ,“>1 Cio paperless L V•45.= 2007 TFE FAZE O N FonTIAL roa xaLlIer litArTEOCOAVAUNICATDONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00047931 OM-SDNY-0010755 EFTA_001 58540 EFTA01290568 Deutsche Asset & Wealth Management P.O. Bat 1778, Bahimore, MO 21203 Portfolio Holdings (continued) DraIsov Rant P".!" wean &Warne* Peals Caen., Gnat) Dettsag lar* Sew on +IL lire bet Cillict in Put An~. Ita be, Statement Period: 12/01/2014 • 12/3112014 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is detemined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 17 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. 13 The cost basis of this security has been provided to us by the delivering tin or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Dispositior Acquisition Disposition Date Date Transaction Description Ouaotity Cost 8asis Proceeds Realized Gain/ Loss/ Disallowance Long Term 12126114 12/13113' PPP GS LI TG SECSCOPP 200 ASSN RU CTF CL 81 VAR 5.752% 06125135 8/E OTD 05101105 Security Identifier 3624207X5 0 rioi nal Cost Basis 2 544 09 1.500.000.000 2.544 09 2617.96 73 87 Total long Term $2,544.00 $2,617.96 973.67 Total Short Term and Long Term 92,544.09 $2,617.96 973.87 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered,- under the new cost basis reporting rules, and masked or denoted as such. AI 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 wig 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, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after yearend, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have availaWe to you. OAS ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number Go paperless THE FAZE Te rO N F I DIAL Page? of 15 Rated t acelkini bray V... sine. 2.007 CAL BAR RATED COmmuroCalsOnS 'Kammer it7r...It a =yr . SDNY_GM_00047932 DB-SDNY-0010756 EFTA_00 158541 EFTA01290569 Schedule of Realized Gains and Losses Current Period (continued) When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, thee may be other adjustments which you need to make, but are not requited to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reiance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method winch you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation,(SIPC) For disclosure of rates for DINS money market funds, please visa the DWS Investments website at haps Mom dws-investments.comtENI1productstrroney-market-funds-yields.jsp, Please rote that all money market funds listed on We website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 DIV, INT OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their real tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.com/business_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and imparhat participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar. Gs:neuter-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Page 8 $15 DRAB 9.O9 Account Aum ber TI-E FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go ON Fl A L Lmry Va. Same 2907 DAUM. RATED COMMUNICATIONS rxesturNer SDNY_GM_00047933 OB-SDNY-0010757 EFrA_00158542 EFTA01290570 Deutsche Asset & Wealth Management P.O. Box 1778, flalamer*. MD 21203 M essa a es (continued) Client Account Par Value Number of Trading Units ABC-123234 $100.000 4 CEF-325465 575.003 3 EDR-567433 5150.000 6 EGT-876574 550.000 2 EDT-888345 525.000 FRT-435234 525.000 1 FRT-658797 575.000 3 DraIsre RIM Po.or roan Manrent Minet% COM•IaGro‘P OtOs014 6.8 Selynel M1 4 ONO NanPo Annum. 1141. I to I I I II I I I I I IN Statement Period: 1210112014 • 12/3112014 0 In Niel, the allocation process involves the following steps: ' The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account E0R-567433 would be assigned six numbers). • A random number is generated that will resuk in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at a. ' Wien a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts wil include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation wit be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. ' lithe partial call is made at a price above the current market price as captured in Pershingils price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of Page 9 of 15 Account Num ber 901.1 Go paper......_s Plated [salient, Lyon. Vs, siva 2007 ThE FAZE It o N _ graregrepocommumomoeis CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FIDA 1A L rt. L.••• • ;T. ^C. Air= SDNY_GM_00047934 OB-SDNY-0010758 EFIA_00158543 EFTA01290571 M essages (continued) such security. II the partial call is made at a price that is equal to a below the current market price of the security as captured in Pershing's pike reporting system. Pershing will generaty categorize that call as one that is unfavorable to holders of the security. • Clients have the right to withdraw uncaled, fully paid securdies from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. (Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. Activity Sum m ary (AO amounts shown are in base currency) Credits Ibis Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 0.00 000 SecuritiesBought -17.591.35 -6,963.810.12 Secunhes Sold 000 2 760 359 19 Secunties Sold 000 0.00 Total Securities 10.00 $2,760,359.19 Total Securities .$17,591.35 -$6,963,010.12 Dividends and Interest $24,446.42 $946,905.76 Dividends and Interest $0.00 $0.00 Distributions $2,617.97 $1,099,337.08 Distributions $0.00 -$2,724.81 Taxes Withheld 10.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 000 38 493.547 84 Deposits 0.00 0.00 Total Cash 10.00 $38,493,547.84 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits 10.00 110,381,873.66 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $0.00 34,668,419.64 Money Market Funds -$9,473.04 -$48,611,075.33 Total Credits $27,064.39 $58,370,447.57 Total Debits .$27,064.39 -158,370,447.57 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiption Quantity Price Awned Interest Mount Currency Securities Bought and Sold 12101/14 REINVEST CASI. In CO ME 'MORGAN FLOATInG RATE INCOME RAD SELECT SI. ARES 712236 -7,06540 LSD 51-SX 214103.1620 SI-RS ShRSPLRCH. AT $9.92000 RD 11126 PO 12/01/14 12/31/14 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME RAO SELECT SNARES 1.082.917 -10.525.95 LSD Pr SX 214815.4000 S-RS SF RS PLRCH. AT $9.72000 RD 12/29 PO 12/31/14 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -17,591.35 Page 10 of 15 Account Number llitAW von k Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE TURLsTO N F I DAENTIAL 11-E Rabid tscolkini beery V••• Wow 2007 0ALBAR RA702 COMMUNICATOONS rxenurraer SONY GM 00047935 DB-SDNY-0010759 EFTA_00158544 EFTA01290572 Deutsche Asset & Wealth Management P.O. Box 1778, Babimore, MO21203 Transactions by Type of Activity (continued) Process( Settlement Date Activity Type Description Dralsoo Rota Prmair Wean &Warne* Peareits COMM* 6 ,0.1, °tow* ML smongs Oat* HI Part Ammo. Ita I ter War lot IrtImw 4:441114. MIS) 7009 .1 Want Statement Period: 1210112114 -12/3112114 Price Accrued Interest Amount Curren Dividends and Interest 12101(14 CAS,- DIVIDEND RECEIVED Pr SX 12/29/11 BOA 0 INTEREST RECEIVED 3621207X5 12/31/14 MONEY MARKET FUND INCOME RECEIVED 233993682 12131/14 CAS' DIVIDEND RECEIVED Pr SK 'MORGAN FLOATING RATE INCOME FUND SELECT ShARES 214103.1620 *RS RD 11126 PO 12101/14 1500000 GS II TG SECS COW 2005-5F MTG PASSTH RU CTF CL B1 VAR 5.752% 06/25135 WE DTD 05101105 RD 11128 PD 12/25114 DWSGOVT CASI- INSTL PMORGAN FLOATING RATE INCOME FUND SELECT SHARES 214815.1000 ShRS RD 12(29 PD 12131/14 1.065.10 5.136 06 1,119.01 10.525 95 USD LSO LSD LSD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 24,418.12 Distributions 12129/14 RETURN OF PRINCIPAL 1500000 GSM TG SECS CORP 2005-5F NTG PASSTHRU CTF 2,617.97 LSD RECEIVED CL B1 VAR 5.752% 06125135 BIE DTD 05101/05 RD 11128 PD 3624207X5 12/25/14 Total Distributions • UNITED STATES DOLLAR 0.00 2,617.97 M oney Market Funds 12/30/14 MONEY FUND PURCI-ASE DWS GO VT CASP INSTL -8.354.03 LSD USD999997 12/31/14 MONEY MARKET FUND DW$ GOVT CASI1 'NUL INCOME REINVESTED -1.119.01 LSO REINVESTMENT 233993682 Total Money Market Funds- UNITED STATES DOLLAR 0.00 -9,473.04 Total Value of Transactions o.00 0.00 USD The price and quantity displayed may have been rounded. UPAII ROIL Account Number. Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE ICON F I DENTIAL TI,E Page II of Rated [...NYS L von. V... Slate 2007 DAL OAR RAT (0 COMMUN TOG rxesurnact iircr ..2..:7"......17,1..:."-Zin ta:NriallOeleilltf MIS* SDNY_GM_00047936 DB-SDNY-00 10760 EFTA_00 155545 EFTA01290573 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 years 1.678,00000 18% 0 Ove. 10 yeas 7.623.668 88 82% LI Total 9,301,668.88 100% Bond Quality Bond Quality Market Value % of Bond Market Value 2NLower 9.301,668 88 100% Percentages of bond market values are Total 9,301,668.88 100% rounded to the nearest whole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. Percentages of bond market values are rounded to the nearest whole percentage. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 26Th FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Man. FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount COID): No Am orOze premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types. Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more inform alion. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otheriase noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. O .11 Y1111 (, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E TerazTO N F I DESITIAL E FAZ Account Number. Go paperless P89.12015 Rasa fac.IN1R t VW" V... Lace 2007 DAL BAR RATED COMMUNICATIONS rxerturnser SDNY_GM_00047937 DB-SDNY-0010761 EFTA_00I58546 EFTA01290574 Deutsche Asset & Wealth Management PO Boa 1776. Pa!Wore MD 21103 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to VAwepershing.cornibusiness_continuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available on 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 vole 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard S Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do rot address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. (Misr< Rana Pnwalr wean im.tagewen Nantis (Dome Oat, De.isch4 Oa* Sectem“c. wan 06ar HI Part 4..y.Ikh I to Statement Period: 12/0112114 • 12/3112014 Account Number TF E FAZE TRLSl CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 13 of IS Go E)iaqii s 0 N F I A L Rated twiAlenti Event Yew Sinew 2007 DAL MR RATED COMMON1C*710MS IPPOIL I. MCP ...r.t. SDNY_GM_00047938 OB-SDNY-0010762 EFIA_OO158547 EFTA01290575 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (*any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable. the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wompershing.com/strength_stabilityhtml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) for their award. unless, th an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators v I typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is fled, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLD, Legal Department, One Pershing Plaza. Jersey City, New Jersey 07399: (201) 413.3330. Page 14 of IS Account Num berms Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FAZE TOR6210 N F I DAENTiAL E Rated tacelloni Ln.y Ye sne. 2007 DAL BAR RATED COMMUNICATIONS rxesurner =Ara= SDNY_GM_00047939 OB-SDNY-0010763 EFTA_00 158548 EFTA01290576 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT, SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCE& INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT, THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED, THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, THE PERMANENT RECORD OF THE SEPARATE ACCJMINT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITES AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM 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 PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED 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 PERSHNG 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 PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHNG. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHNG MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. 000 LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHNG MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DUALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW rr ONLINE AT WWW,PERSHING,COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WY/W.PERSHING.COWBUSINESS_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 TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. 8NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF 1TE MOVE TERMS ANO OGNINTIONS ARE I maraPTAIRE TO YOU. PLEASE NOTE', POMPOM MIEMATELY IN WRITING BY GOOFED WA TO ONE PERSHNG PLAZ.A. JERSEY CITY. Nl 0T3S9. ATTN. LEON. DEPT DRAB MOLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE TG ELSTO N F I DENTIAL ThE Account Num hr Go paperless Page15,3115 Rated tacellerill ',ay Year Sac 2'007 DAL BAR RATED COMMUNICATIONS rxempaer Maer.H. SDNY_GN_00047940 DB-SDNY-0010764 EFTA_00158549 EFTA01290577 PO. Sc, 1776, fUltrream MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: CAMEL SABBA °raw< Mn, Pnwerkahnimmtenem Pram Omen. 6,0.6 DM% OR NM Ssoonet Me Put 06c• .141 Pan mime. Itaitcr Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld het Chan e in Portfolio nding Account Value Estim ated Annual Incom e Account Number: Statement Period:11/0112014 - 11/30/2014 This Period 962,094,408.77 0 00 62,094,408.77 240.423 05 0 00 15 761 17 Year-to-Date $22,994,662.95 38.493.547 84 61,188,210.79 922.459 31 440 -60,081 51 S62.350 592 99 $62 350 592 99 Asset Allocation Prior Year-End Lad Period This Period USD Cash. Money Funds. and Bank Deposits 7,589,036 35 17,318,340.05 43,913,182.65 LSD Axed Income 15.405,626.60 11.443.713.96 11,434,280.31 LSD Equities 0.00 3 302 354 76 7,003.130 00 Account Total (Pie Chart) 922,991,662.95 962,094,408.77 962,350,592.99 See the Asset Allocation Disclosure and Footnotes section tor iniportant intormahon regarting your Asset Atcabon. UOAO ROI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) % Allocation 51.138.575.10 70.43% 18.34% 11.23% 100.00% 631,:i2,73:3:,:14 Go paperless CONFIDEmismAL Please review your allocabort Paget of 13 Rated Cacelbroll 1.very Pm. Smop 2007 OALBAR PATEOCOMMUN1CATIOI4S rxarturnser SDNY_GM_00047941 DB-SDNY-00 10765 EFTA_00 158550 EFTA01290578 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 77.39 646.09 149 427 91 Long-Term Gal&Loss 0.00 2,021 49 -336 632 51 Net GsIn/ Lou 77.39 1,376.46 -187,204.60 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Dreription Amount Balance Sweep Money Market Fund D w a GOVERNMENT CASH I NSTI. Account Num bei. 0000001492 Current Yield: 0.03% Activity Ending: 11128/14 11101114 Opening Balance 47,148,340.05 17,348,340.05 11103114 Withdrawal MONEY FUND REDEMPTION -3,626,180.18 13,722,159.57 11/18114 Deposit MONEY FUND PURCHASE 181,445.35 13,903,604.92 11/28114 Deposit MONEY FUND PURCHASE 8,491.61 43,912,098.53 11/28114 Deposit INCOME REINVEST 1,086.12 13.913.182 65 11/28114 Closing Balance $13,913,182.65 Total All Money Market Funds $43,913,182.65 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equates 33,915.35 0.00 101,836.05 0.00 Money Market 1,086.12 0.00 3,415.21 0.00 Other Dividends 129,767.11 0.00 576,380.23 0.00 Interest Income Bond Interest 75,624.17 0.00 239,945.60 0.00 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest. Income and Expenses 9210,423.06 $0.00 8922,459.34 60.00 Distributions Other Distributions 0.00 2.712.44 0.00 27.463.76 Total Distributions $0.00 $2,712.41 $0.00 827,163.76 OEMS BOLL Account Num ber TI-E FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 13 Go ONFIErrWilisAL Rind tmolleM Inn. VAN Lace 2'007 OALIMII RATED COMMUNICATIONS rxclurnaer SDNY_GM_00047942 DB-SDNY-00 10766 EFTA_00 [5855 I EFTA01290579 Ocuiv.v Ram 'noneWealth minim-v.4 Mines Codragt4,0‘P Dens0A Selvnessc Yee brk Mc* Ma Pot Anorffits. )Mn, /at Statement Period: 11/01/2114 • 11/30/2014 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balance Accrued Income income This Year 30-Day Yield Carrell Yield Cash, Money Funds, and Bank Deposits 71.00% of Portfolio Money Market DWS GOVERN M DI T CASH INSTL 1110111/ 13,913,182.650 0000001/92 1112811/ 17,318,310.05 13,913182.65 0.00 3,115.21 0.03% 0.03% Total Money Market $17,318,310.05 $43,913,182.56 10.00 $3,115.21 FDIC Insured Bank Depodts INSURED DEPOSITS PROGRAM 1110111/ N16021913 11128711 0.00 0.00 0.00 882.25 WA NM Total FDIC Insured Bank Deposits $0.00 10.00 $0.00 $88216 Total Cash, Money Funds, and Bank Deposits 847,311310.05 813,913,18216 $0.00 81,297.18 Adjueled Brutalized Acaued Estimated Estimated Date Mildred Quantity Unit Cod Cost Basis Market Price Market Value Gaieties, lamed Annual Income Yield Fixed Income 15.00% of Portfolio (In Marunry Dee Sequence) 'Asset Backed SOIXIMIOS GS M TG SECS CORP 2006.5F I116 PASSTHRU CTF CL 61 VAR 5.751% 06125135 WE DID 05701105 St P Rating Ela Factor: 0.79778126 Eileen)* Date:11103/14 Current Face Value: 1,198.671.890 12/13/13 %LI! 1,500,000.000 97.1780 Security Identifier: 36242D7X5 1,162,900.08 97.0230 Original Cod Basis: $1,189,588.80 1,161,018.97 -1,853.11 5,511.82 Total Asset Backed Securities $1,182,900.08 51,161,010.97 -$1,853.11 $5,511.82 $0.00 1,500,000.000 Total Current Face Value : 1,196,671.890 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11(01116 BIE DTD 10/12/06 MULTIPLE GUARANTORS 1ST CPN DTE 05101107 Moody Rating 9A3 Sd PPM*, Bli• 05110111'.17.15 1,200,000.000 105 1710 1,282,089.10 103.7500 1.245.000.00 -17,089.10 7,129 17 88,500 00 7.10% Original Cost Basis: $1,363,500.00 Page 3 of 13 Account Number: e t :, Rated tocellone 801111333CSP, : Go paperless Von Slate 2007 MM, MOIL DAL OAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 61: 414ZE to N F I DrWriA rxentrwer SDNY_GM_00047943 DB-SDNY-0010767 EFTA_00158552 EFTA01290580 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Dale Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain! Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 16262EALS 10.250% 05115118 WE DTD 11115111 CALLABLE 05115115 0 105.125 Moody Rating CAA3 S 8 P Rating C 10102/12 '.12.13 500,000.000 92.3110 161.556.99 83.0000 415,00000 .46.556.99 2,135.42 51,250.00 12.34% Original Cog Basic 8415,000.00 PM ORGAN CHASE d CO DEP SHS REPSTG Security Identifier: 48825HHA1 1/10TH PFD SER 1 FIXED TO FLTG RT BO 7.900% 01/29149 WE MD 0/123108 Moody Rating BM S& P Rating 8B8- 05110111'.1L13 3.000.000.000 1112850 3,337,958.33 108.5610 3,256,830.00 41,128.33 19,750.00 237,000.00 7.27% Original Cod Basic 53.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060606018 SHS FIXED TO FLOAT 8.125% 0/130158 WE DID 0/130108 CALLABLE 05115118 Moody Rating 8A3 S& P Rating BB 05110111'.12,13 3,000,000.000 112.9870 3,389,820.83 101.7500 3,232,500.00 •157,12083 10,15625 243,750.00 7.54% Original Cod Basit 53.389.621.63 Total Corporate Bonds $8,151,225.26 56,119,330.00 .$301,095.25 $39,110.51 8620,500.00 7,700,000.000 Total Fixed Income 99,611,125.33 89,310,378.97 -8303,718.36 844,715.56 8620,500.00 9,200,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Gain! Loss Annual Income Yield Equities 11.00% of Portfolio Preferred Stocks (Listed by etpitetion dale) CITIGROUP INC DEP SHS REPSTG 111000TH Security Identifier: C PRK PFD SER K DIV 6 875% PERPETUAL MATT CUSP. 1729873/1 PERPETUAL CALL 11/151230 25.00 Dividend Open: Cash 0210311/ 79,000.000 25.3090 1,999,118.90 26 4700 2,091,130.00 91,711.10 135,781.25 6.49% Page 4 of 13 Account N um e t :, Ital.. tacelleria WiAli von k GO paperless (very Yew W,e. 2007 PALMA RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e 67 AZE 'CON F I DAriTriA rxesurner rtret==.2...." -fZir'sra SDNY_GM_000479.44 DB-SDNY-0010768 EFTA_00158553 EFTA01290581 Portfolio Holdings (continued) Date Acquired Equities (continued) Preferred Stocks (continued) CITIGROUP INC DEP SHS REPSTG 111000 Security Identifier: C PRC PFD SER C DIV 5.8% PERPETUAL MAW CUSP. 172967366 PERPETUAL CALL 04/221180 25.00 Dividend Option: Cash 10/28114 49.033.000 240810 1,180,739.16 24.5600 1,204,250.48 23,511.32 71.097 85 5.90% 10/29114 150,967.000 24.3130 3,670,430.48 24.5600 3,707,749.52 37,319.04 218,902 15 5.90% Total Covered 200,000.000 4 851 109.64 4,912,000.00 80,1130.38 290,000.00 Total 200,000.000 $4,851,169.64 34,912,000.00 280,830.38 $290,000.00 Total Preferred gods $8,860,688.54 67,003,130.00 $112,541.48 $64425:1768 Total Eq uities 68,850,638.54 37,003,130.00 $152,641.46 1.256 Uarealited Estimated Estimated Dale Acquired Quantity Usk Col Cost Basis Market Price Market Value Galt Los Annual Income Yield Mutual Funds 3.00% of Portfolio JP IA ORGAN FLOATING RATE INCOME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP: 481211510 01122113 '.3 198,216.056 10.0900 2,000,000.00 9.9200 1,966,303.28 -33,696.72 81,466.79 4.14% 02101113'•3 630.057 10.0670 6.342.92 9.9200 6.250.16 -92.78 258.95 4.14% 03101113 '.3 711.578 10.0600 7,158.48 9.9200 7,058.86 -99.62 292.46 4.14% 04101113'.3 789.547 10.1100 7,982.33 9.9200 7,832,30 -150.03 324.50 4.14% 05101113'.3 751.550 10.1300 7,613.21 9.9200 7,455.37 -157.84 30089 4.14% 06103/13 '.3 757.360 10.0900 7,641.77 9.9200 7,513.01 -128.76 311.27 4.14% 07101113'.3 668.131 9.9700 8,661.27 9.9200 6,627.85 -33.42 274.60 4.14% 06101113'.3 704.609 10.0600 7,088.37 9.9200 6,989.72 -98.65 289.59 4.14% 09103113'.3 709.175 10.0300 7,113.03 9.9200 7,035.03 -78.00 291.47 4.14% 10101113'.3 712.100 10.0240 7,137.85 9.9200 7,064.04 -73.81 292.67 4.14% Total Noncovered 204,850.183 2,004,739.23 2,030,129.82 -34,609.81 84,111.19 Reinvestments to 9.452.999 10.0670 95,161.84 9.9200 93,773.75 -1,388 09 3,885.20 4.14% Date parr,ar•ngam Pon. Wealth Manirent Mv•et% CINtrarG•mp De.nO4 MM Secylei mC Maw brk Ma Part Anew. lth I kw von. wrt IOVA Statement Period: 11/01/2014 - 11/30/2014 Unrealized Quantity Unit Cost Cost Basis Market Price Market Value Gale/Lou Estimated Estimated Annual Income Yield 04,1),FLICSF,,' MiAt1 irerr TFE ris CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FAZE N F I D mAL Page 5 of 13 Account Number Go paperless Itotod Excellonli (very Van Lowe 2'007 DAUM. RATED COMMUNICATIONS XelltlrNet 4/%1LIT,II .. 111=40 .."." = .• SDNY_GM_00047945 OB-SDNY-0010769 EFTA_00 I 58554 EFTA01290582 Portfolio Holdings (continued) Date Acquired Mutual Funds (continued) JP N ORGAN FLOATING RATE INCOME FUND (continued) Total Covered 9,452.999 05,161.14 93,773.76 .1,388.09 3,885.20 Total 214,103.162 $2,159,901.07 $2,123,903.37 -$35,997.70 187.996.39 Total Mutual Funds $2,159,901.07 32,123,903.37 -$35,997.70 187,996.39 Unrealized Quantity Unit Cost Cost Bads Mutat Prko Nadir Valet Gala/ Loss Estimated Estimated Mnual Income Yield Cod Basis Market Value Unrealized Acaued Estimated Gainl Loss Interest Mnual Income Total Portfolio Holdings 362,637,797.69 $62,350,592.99 -$187,204.60 144,715.66 $1,138,575.10 Footnotes • Noncovered under the cost basis rules as defined below. 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 (IIRC*) (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered; under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee 'applicable date(si at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B 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 • Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. I The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transadion Description Short Term 11125114 12/13113' R1:9 GS MTG SE-CSCORP 200 ASSThRL, CTF CL 81 VAR 5.751% 06125135 WE DID 05/01105 Security Identifier M242D7X5 Original Cost Basis: 2,665.05 O8..0 ROLL Realized Gain/ Lout Quantity Coll Oasis Proceeds Disallowance 1.500.000 000 2,665.05 2,742.44 77.39 Account Number Go paperless ThE FAZE DUST CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDrariAL Page 6 of 13 Rated f.satlera (very Visor Since 2007 DALOAR RATED COMMUMCATIONS rxesurrier SDNY_GM_00047946 DB-SDNY-OO 1O77O EFTA_OO 58555 EFTA01290583 P.O. ea I7PP BoHaan MD 21203 ocuicry Ram Power wean. Manirnall I•lamet% COMIC! GIOI.P OttasIt4 Selt.Ilei Yee bet ON* MI Pot Ant.... 16.1k SIM Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Date Date Tranradion Description Total Short Term Statement Period: 111/112114 -1113012114 Realized Gain/ Leal Quantity Cost Basis Proceeds Disallowance $2,665.05 $2,142.44 171.39 Total Short Term and Long Term $2,665.05 $2,142.44 Mit Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. M 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 1099-0 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtains from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event one or more of these atbtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations Hill not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method *With you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your accounts selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selects at the time of the security disposal, and this may be reported on the IRS Form 1099-8. pap? of 13 Account Number— Rand excellent, I /I 1/4II Go paperless bray Year woo. 2007 IF AZE S IA CHUMP RA T ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) to N F I DriSrriA rxesurnaer rat CZ.= Sr= SDNY_GM_00047947 OB-SDNY-0010771 EFrA_OOI 58556 EFTA01290584 Messages Please note the following information for Pershing's 2014 IRS Forms 1099 fa DIV. 11O; CND and MSC ): Your form 1099 will be delivered as early as possible. beginning January 31, 2015. By February 17. you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of 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 vnli be mailed no later than March 16. 2015. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for OWS money market funds, please visit the DWS Investments website at https://wwerdws-investments.cornEN/productsimoney-market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Sum m ary (All amounts shotim are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 000 000 Secunties Bought -3,678.322.89 -6.918.218.77 Secunties Sold 000 2 760 359 19 Seounties Sold 000 0.00 Total Securities $0.00 $2,780,359.19 Total Securities -$3,678,322.89 -$8,916,218.77 Dividends and Interest $710,123.05 9922,159.31 Dividends and Interest $0.00 $0.00 Distributions $7,712.44 $1,096,719.11 Distribudons $0.00 -$2,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 000 38 193 547 84 Deposits 0 00 0 00 Total Cash 10.00 138,493,547.84 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits 10.00 $10,381,873.66 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $3,626,110.48 91,688,419.84 Money Market Funds .$191,023.08 -$48,601,602.29 Total Credits $3,889,345.97 $58,313,383.18 Total Debits -$3,869,345.97 -$58,343,311.18 Page 6 o113 Account Nu■ ber. Go paperless :`,7:7;1 :1:11::•)O11F YOI k TI-E FAZ rgiletlii)C MIPICAT*3.6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E braISTONFIDrwriAL =v. SDNY_GM_000479.48 DB-SDNY-0010772 EFTA_00 155557 EFTA01290585 PC. Box 177S. Bat moot MC) Transactions by Type of Activity Procesti Tradel Settlement Transaction Date Date Activit Securities Bought and Sold 11103/14 1012911/ FL RCFASED C PRC 11103(14 REINVEST CASH INCOME PHSX Total Securities Bought and Sold • UNITED STATES DOLLAR Dividends and Interest 11/03/14 CASH DIVIDEND RECEIVED PF SK 11/03/14 BOND INTEREST RECEIVED 704549AE4 11/17/14 CAST. DIVIDEND RECEIVED 060505DT8 11/17/14 CASH DIVIDEND RECEIVED C PRK 11/17/14 80AD INTEREST RECEIVED 46262EAE5 11/25/14 BOND INTEREST RECEIVED 3621207X5 11/28/14 MONEY MARKET FL ND INCOME RECEIVED 233993682 Total Dividends and Interest - UNITED STATES DOLLAR WOI 0nowe Ram km'. Wolin Parageneit Miniet% Caen., GKM) De.nO4 kr* ,X lire bet Mc* in Part Anne. lthitcr Statement Period: 11/01/2014 - 11/30/2014 Death ion Nan Price Accrued Interest Amount Curren CITIGROUP INC DEP SFS REPSTG 1/1000 PFD SER C DIV 150.967.000 24.2528 .3.670.430.48 LSO 5.8% PERPETUAL 14 ATY PERPETUAL CALL 04122/180 25.00 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 791.805 .7.892.41 USD 213308.3570 SFRS ShRS PATCH. AT $993000 RD 10130 PO 11/03/11 0.00 4,670,322M P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7.892.11 LSO 213308.3570 WAS RD 10130 PD 11103/14 1200000 PEABODY ENERGY CORP SR NT 7 375% 11101/16 44.250.00 LSO WE DTD 10112/06 RD 10131 PD 11103/14 BANK AMER CORP PER, NO N COM ULATIVE DEP SFS FIXED 121.875 00 LSD TO FLOAT 8.125% 04130/58 B/E RD 11114 PD 11115114 DIV PAID AT 40.6250 3000000 79000 SF RS CITIGROL P INC DEP SFS REPSTG 111000Th PFD 33.945.35 LSD SER K DIV 6275% PERPETUAL MATT PERPETUAL CALL 11115/23. 25.00 RD 11105 PD 11117/14 500000 'PAYMENT INC GTD SR NT 10.250% 05/15118 WE 25.625 00 LSD DID 11115M CLB RD 11/14 PD 11117/14 1500000 GS M TG SECS CORP 2005-5F MTG PASSTII RU CTF 5.749.17 LSD CL F11 VAR 5.751% 06/25135 WE DTD 05101/05 RD 10131 PD 11125/14 DWSGOVT CAST INSTL 1.086 12 LSD 0.00 240,123.05 Page 9 of 13 Account Number Italia tacellone Go paperless Ivory Year Late 2'007 TI•E FAZE r DALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) O N F I DENTIA PXOPILPNCP SDNY_GM_00047949 DB-SDNY-0010773 EFTA_001585511 EFTA01290586 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Activity Type Desairdion Quantity Price Awued littered Mount Currency Distributions 11125114 RETURN OF PRINCIPAL 1500000 GSM TG SECS CORP 2005-5F MTG PASSTHRU CTF 274244 LSO RECEIVED CL B1 VAR 5.751% 06125135 81E DID 05101105 RD 10131 PD 3624207X5 11125/14 Total Distributions • UNITED STATES DOLLAR 0.00 2,712.44 Money Market Funds 11103114 MONEY FUND REDEMPTION DWSGOVT CASh INSTL 3,626,180.48 LSD 1/SO999997 11118114 MONEY FUND PtiliChASE DWS GOUT CASI- INSTL -181,44535 LSD USD999997 11126114 MONEY FUND PURCHASE DWSGOVT CASh INSTL 4.491.61 LSD USD999997 11128114 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVESTED -1.086.12 LSO REIN VEST M ENT 233993682 Total Money Market Funds- UNITED STATES DOLLAR 0.00 3,435,157.40 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value % of Bond Markel Value I to 5 yen 1 660.000 00 18% Over 10 yen 7 650 376 97 82% Total 9,310,376.97 100% Bond Quality Bond Quality Market Vain % of Bond Market Value BA/Lower 9.310,376 97 100% Percentages of bond market values are Total 9,310,376.97 100% rounded to the nearest whole percentage. You are 100% invested it bonds with a bond quality of BArLoo•ver. - Percentages of bond market values are rounded to the nearest whole percentage. litIAN MOLL ThE FAZ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) E TeRuTO N F I DAENTIAL Page10013 Account Number. Go paperless Raid tace.lera (very Year Slate 2007 DAL OAR RATIO COMMUNCA TSONS rxenurnser SDNCGM_00047950 DB-SDNY-0010774 EFTA_00I58559 EFTA01290587 MD 21203 Client Service Information ocuisov Rant Pnnie Weahn Papmernmt Pdaeals CodrageG,o‘P WARM M* Sew +.R R.. wan Onto in Pan Ammo. Ita I *xi Statement Period: 11/01/2014 • 11/30/2014 Your Client Advisor: DAN DANIS. SAW 345 PARK AVER IJE, 26111 FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat ad interest as original issue discount fOlD): No Am orbze premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types- Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alien. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price M not available are marked 11/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EM) and estimated annual yield (EMI 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 Meov.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution, intonation pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information we respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this Page It of 13 °RAS ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) MOM nt Num ber Cio paperless THE HAZE DUST N F I DrwriAL Rated tacollenti Lyon. Vn. Lace 2007 DAUM* RATED COMMUNICATIONS rxesartraer SDNY_GM_00047951 DB-SDNY-0010775 EFTA_00 155560 EFTA01290588 Important Inform ation and Disclosures (continued) Options (continued) information is available to you prorptty upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance With the terms outlined in the Marge) Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poets. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poets shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controgng or under 00010100 control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wevespershing.corNstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page 12 of 13 Account hum Der 11-E FAZE T Go TONFIdheleisAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rated taconenti Lowy Yew woo. 2007 DALOAR RATED COMMUNKATIONS rxesurtraer SDNY_GM_00047952 OB-SDNY-0010776 EFIA_00 I 58561 EFTA01290589 PC &, 1776 B40 Port MD 21203 Important Information and Disclosures (continued) (*awe Rana Pnvip warn swarms Weans teeny Groao Dettsch4 lariSeudnet Mrs bet Plot In Pon Ammo. /Wm:v. Statement Period: 110112014 • 11/3012014 Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very firnited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than n court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum n 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 Account Num berms .01 Go paperless DIE FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDAEWNAL Page 13 of 13 Rata. Lawns ni Ever, Veil. Slats 2007 DAUM. RATED COMMUNISTIONS rxarturres SDNY_GM_00047953 DB-SDNY-0010777 EFTA_00158562 EFTA01290590 Et Mal 1776. Mere" PADM203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: Davie IIMT Palm WeRIMPAANNAMI Alarm{ Comft• GAM MEND,' Seaderes Ma *a ono MS PTA /mom MAI Me Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income Total Taxes Withheld het Chan e in Portfolio nding Account Value Estim aced Annual Thom e Account Number: Statement Period: 10/01/2014 -1013112014 This Period 823,480,819.75 38,485,359.85 81,986,179.40 133,379.70 0 00 -515033 Year•to.Date 622,994,662.96 38,493,547.84 81,488,210.79 682,036.29 4 40 .75.842 71 $62,094,408.77 862,094.408.77 $917.833.55 Asset Allocation Prior Year-bid Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposes LSD Fixed Income LSD Equities 7,589,038.35 16.105.626.60 0.00 9,915,881139 11,481,271.06 2,080,880.00 47,348,340.05 11,443,713.98 3,302.35478 76.25% 18.43% 5.32% Pease re. le,‘ [),. loceo- 1 Account Total {Pie Chart) $22,994,662.95 523,460,81925 See the Asset Amotabon Disclosure and Footnotes section for Impotent inlornsaton regarding yourAsset notation. 982,094,408.77 101.00% CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) E1009 T /3 3CSP 3 00 IT Go paperless Pap 1013 CONFIDAEriAL limed GAMINS L very. Yew Since 2007 DAL BAR RATED COMMUNICATIONS rxesurnaer Isle. WI - no... POIN. dec SDNY_GM_00047954 OB-SDNY-0010778 EFTA_OO158563 EFTA01290591 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•to•Date Short-Term Gain/Loss 76.93 723.48 118 650 01 Long-Term Gain/Loss 000 2.021.49 -323 392 68 Net GaIn/Lou 76.93 1,296.01 -204,732.67 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Dexriptioa Amount Balance Sweep Money Market Fund ow S GOVERNMENT CASH !USTI Account Num ber. 0000001492 Current Yield 0.03% Adivity Ending: 10/31114 10101/14 Opening Balance 9.915,68819 9,915,688.69 10107/14 Deposit MONEY FUND PURCHASE 38,465,359.65 48,401048.34 10128114 Deposit MONEY FUND PURCHASE 8.486.17 48,409,536.51 10131114 Withdrawal MONEY RAO REDEMPTION •1,062,239.16 47,347,297.35 10/31114 Deposit INCOME REINVEST 1,042.70 47,348,340.05 1/131114 Closing Balance $47,348,340.05 Total All Money Market Funds 647,340,340.05 Income and Expense Summary Current Period Year•to•Dale Taxable Non Taxable Taxable Roe Taxable Dividend Income Equities 000 0.00 67,890.70 0.00 Money Market 1.042.70 0.00 2,329.09 0.00 Other Dividends 126.574 82 0 00 446.812 82 0.00 Interest Income Bond Interest 5 762 18 0.00 164,321.43 000 FDIC Insured Bank Deposits 000 0.00 882.25 OR Total Dividends. Interest, Income and Expenses 6133,379.70 $0.00 $602,039.29 $0.00 Distributions Other Distributions 0 00 2.725.99 0.00 24.721.32 Total Distributions 30.00 $2,726.99 $0.00 $21,721.32 097893CSFIC BAB 11(>lt Account Nun ber Tel FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 13 Go ErEPAt ilis ON Fl A L Paid Caen na tray Vest 544.0• 29.)7 DALBAR RATIO COMMUNICATIONS tXCRIANCE SDNY_GM_00047955 DB-SDNY-0010779 EFTA_DO [58564 EFTA01290592 0rvitre Voslin Pas nair,tat Marotts (Intiegt De.ticta Bar Storm. M. brit 14,Pant Ann**. ,loe, Statement Period: 18/0112114 • 10/3112014 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balance Cash, Money Funds, and Bank Deposits 76.00% of Portfolio Money Market DW S GOVERNMENT CASH INSTL 10101114 47,348,340.050 0000001492 10(31114 9,915,688.69 47,348,340.05 Total Money Market FDIC Insured Bank Depodts INSURED DEPOSTS PROGRAM 10101114 N46024943 10131/14 $9,915,688.69 0.00 147,348,340.05 0.00 Total FDIC insured Bank Deposits $0.00 10.00 Total Cash, Money Funds, and Bank Deposits Date Acquired Quality Unit Cost Adjusted Cast Basis 19,915,688.69 Market Price $41,348,340.05 Markel Value Fixed Income 15.00% of Portfolio (In Malunty Date Sequence) Accrued Income 30-Day Carrot Income This Year Yield Yield 77.84 2.32909 0.03% 0.03% 177.84 $2,329.09 0.00 882 25 WA WA $0.00 1882.25 $77.84 $3,211.34 UsitalIzed Maud Estimated Estimated Golf Lou Merest Annual Income Yield 'Asset Backed Securities GS M TG SECSCORP 2005.5E M TG PASSTHRU Security Identifier: 3624207X5 CTF CL 81 VAR 5.751% 06125135 BIE DID 05101105 S 8 P Rating Bs Factor 0.79980956 Effective Date:10/01/14 Current Face Value: 1,199,414.340 12/13/13 %LIZ 1,500,000.000 97 1780 1.165.565.13 96.9900 1,163,311.97 -2.253.16 5,749.11 Original Cost Basis: $1.189.588.80 Total Asset Backed Securities $1,165,565.13 $1,163,311.07 1,500,000.000 Total Current Face Value : 1,199,414.340 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11/01/16 WE DTD 10112106 YULTIPLEGUARANTORSISTCPN DTE 05/01/07 Moody Rating 0/t3 Sd PRO%) BB- 05110/11 '. 12.15 1.200.000 000 105.3890 1,261,663.85 103.0000 1,236.000 00 Original Cast Basis: $1,363,500.00 BOW 8,3CSF,' WIAR ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: HAZECIO N F I DAENTIAL Account Number Go paperless -62,253.16 15,741.11 $0.00 -28,863.85 44.250 00 88.500 00 7.16% Page 3 of 13 Rated tscollonli L very Va. Slate 2007 DAL OAR RAT OD COMMUNICATIONS rxciturnaer SDNY_GM_00047956 OB-SDNY-0010780 EFrA_00158565 EFTA01290593 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Quantity Unit Cod Cog Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 46282EALS 10250% 05115118 WE DTD 11115111 CALLABLE 05/15115 0 105.125 Moody Rating CAA3 S 8 P Rating C 10102112'.13.13 500,030.000 921650 460.826.53 84.0000 Original Cod Basic $445,000.00 PM ORGAN CHASES CO DEP SHS REPSTG Security Identifier: 46625HHA1 1/10Th FCC) SER 1 FIXED TO FLTG RI BO 7.900% 04/29149 WE DM 04123108 Moody Rating BA1 S & P Rating BBB- 05110/11 12.1S 3.000.000.000 1112850 3,337,958.33 108.3750 3,251250.00 46,708.33 0.00 237,000.00 7.28% Original Cost Bags $3.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505078 ShS FIXED TO FLOAT 8.125% 04130158 WE DID 04130108 CALLABLE 05115118 Moody Rating 8A3 S & P Rating B8 0511011112,1* 3,000,000.000 112.9870 3,389.620 83 108 5000 3,255,000.00 ,134,620.83 112,395.83 243,750.00 7.48% Original Cost Basis. $3.389.620.83 Total Corporate Bonds $8,453,059.54 $8,162,250.00 4290,819.54 $90,277.77 $620,500.00 7,700,000.000 Total Fixed Income $9,618,631.67 9,200,000.000 420.000 00 40.826.53 . 23,631 94 51,250.00 12.20% 19,325,561.97 4293,072.70 Unrealized Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Loss Equities 5.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SHS REPSTG 1/1000TH Security Identifier: C PRK PFD SER K DIV 6.875% PERPETUAL MATY CUSP: 172967341 PERPETUAL CALL 11/15/230 25 00 Dividend Ophon Cash 02/03114 79.000 000 25.3090 1,999,418.90 26.7600 2,114,040.00 114,621.10 135,781.25 6.42% CMGROUP INC DEP SHS REPSTG 111000 PFD SER C OIV 5.8% PERPETUAL MATT PERPETUAL CALL 04/22/18025.00 Dividend Option: Cash 1186,026.81 $620,500.00 Estimated Estimated Annual Income Yield OftAlf ROLL Security Identifier: C PRC CUSP 172967366 Account Nun ber ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ONFIliE)ArnsAL Page 4 of 13 Rated [.c70•80 Every Vs.. Sena 2007 DAL BAR MUD COMMUNCATIONS rxentrwer SDNY_GM_00047957 DB-SDNY-0010781 EFTA_00158566 EFTA01290594 dal. Pnwe Wean manran Marais rap Gw‘P DerbOv Sank kw nes sc Mow Int Cilk• HS ran It•••••.11" I kit Statement Period: 10/0112014 - 10131/2014 Portfolio Holdings (continued) Dale Acquired Equities (continued) Preferred Stocks (continued) CITIGROUP INC DEP SKS REPSTG 111000 (continued) 10/28114 49,033.000 24.0810 Total Preferred Stocks Total Equities Uarealized Quantity Unit Cost Cost Basis Market Price Market Value Galaf Loss Estimated Estimated Annual Income Yield Date Acquired 1.180.739.16 24.2350 1.188 314.76 7,575.60 71.09715 5.98% $3,180,158.06 $3,302,354.76 $122,198.70 $206,679.10 $3,180,158.06 $3,302,354.76 $122,198.70 $206,679.10 Unrealized Estimated Estimated Quality Unit Cost Cost Basis Market Price Market Value Gals/ Loss Annual Income Yield Mutual Funds 4.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SI-ARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier:11SX CI,S1I1 481211510 01/22/13 '.3 198,216.056 10.0900 2.000.000.00 9 9300 1.988.285.45 -31,714.55 81,070.36 4.11% 02/01113 '.3 630.057 10.0670 6,342.92 9 9300 6,256.47 46.45 257.69 4.11% 01101/13 '.3 711.578 10.0600 7.158.48 9 9300 7.065.96 -92.52 291.04 4.11% 04101113 '.3 789.547 10.1100 7,982.33 9.9300 7,840.19 -142.14 322.92 4.11% 05101113 '.3 751.550 10.1300 7,613.21 9.9300 7.462.88 -150.33 307.11 4.11% 06103113 '.3 757.360 10.0900 7,641.77 9.9300 7,520.58 421.19 309.76 4.11% 07101/13 %El 668.131 9.9700 6,661.27 9.9300 6,634.54 -2173 273.27 4.11% 08101113 '.3 704.609 10.0600 7,088.37 9.9300 6,996.76 41.61 288.18 4.11% 09103113 '.3 709.175 10.0300 7,113.03 9.9300 7,042.11 -7192 290.05 4.11% 10101113 '.3 712.100 10 0240 7,137.85 9.9300 7,071.15 -66.70 291.25 4.11% Total Noncovered 204,660.163 2,084,739.23 2,032,178.01 -32,683.14 83,70110 Reinvestments to 8,658.194 10 0790 87,269.43 9 9300 85,975.90 -1,293.53 3,541.21 4.11% Date Total Covered 8,151.194 67 209.43 65,975.90 -1,293.53 3,541.21 Total 213,308.367 $2,152,008.66 $2,116,151.99 -$33,651.17 $87,243.11 Total Mutual Funds $2,152,008.66 $2,116,151.99 433,65817 $87,243.11 Unrealized Awued Estimated Cod Basis Nadel Value Gala/ Loss Interest Animal Income Total Portfolio Holdings $62,299,141.44 162,094,408.77 -$204,132.67 $16$,026.6$ $917,833.65 Account berms °PAN vel Go paperless E MAL MS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) FAZE TPLSTCON FIDA Page 5 of 13 Rated t t very Van Slate 2007 DAUM. RATIO COMMUNICATIONS rxenur NCI SDNY_GM_00047958 OB-SDNY-0010782 EFrA_00 158567 EFTA01290595 Portfolio Holdings (continued) Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis repotting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable dates)' at which they are subject to the cost basis reporting rules and the adjusted basis vita be reported to the IRS on form 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default. index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. I The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivemg firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaaion Description Duality Cost Bids Proceeds Realized Gain/ Loss/ I:Hullo/an* Short Term 10127114 12/13113' latP GS LITG SECSCORP 200 ASSTHRU CTF CL 81 VAR 5.751% 08125135 WE DTD 05101105 Security Identifier 3624207X5 Original Cost Basis: 2.609.06 1,500,000.000 2,61906 2,725.99 76.93 Total Short Term 62,649.01 $2,725.99 $76.63 Total Short Term and Long Term $2,149.06 $2,725.99 $76.93 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis repotting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Page 6 of 13 Account Nun Der INNS et) kilted tacellenti Go paperless (very Vow' Woes 2007 THEN DAUM. PATO) COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) Tt5o N F I DriSiTiA rxarturraer •—•-• gam es-floe...Nat ••••= SDNY_GM_00047959 OB-SDNY-0010783 EFrA_00158568 EFTA01290596 DPASOf Sim PrpnleVNISOOMAIrNat Marais Conran Group °Muhl Sank StuettesAc Now *4 Ma. MS Pan ilonat. ad, I leer New Vert Ptt 101W Statement Period: 910112114 • 10/3112014 Schedule of Realized Gains and Losses Current Period (continued) Reportirg requirements generally will be phased in cver a three-year pencil, as tcllows • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Retum of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you. When you report your cost basis on your tax return. ft should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or mote of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds. foreign bonds. variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method winch you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Cryporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DVVS Investments website at IfflpslAwvwdyrs-iwestrnents.conVENfooducts/money-market-fundsryields.jsp. Please note that all money market hinds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Page? of 13 Account Number Rated excellent, , • . €o paperless Lyon, Vs.. Slate 2'007 DAL OAR RATED COmmuniCaliONS CONFIDENTIAL - PURSUANT TO FED. R 6: HAZE N F I DrErriA exammer etiraran von we.. c.w.o.*. 0•17= •••••••Mc••••••••••....'*r SDNY_GM_00047960 OB-SDNY-0010784 EFrA_00158569 EFTA01290597 Activity Sum m ary (All amounts shown are in base currency) Oedits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunbes Bought 0 00 0.00 Secunbes Bought .1.188 813 98 .3.267.895.88 Secunties Sold 0 00 2,760,359 19 Secuntres Sold 0 00 0 00 Total Securities $0.00 $2,760,359.19 Total Securities -$1,166,613.98 -$3,267,895.68 Dividends and interest $133,379.70 $682,036.29 Dividends and Interest $0.00 $0.00 Distributions $2,725.99 $1,093,976.87 Distributions $0.00 42,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 31.485.359 65 38.493.547.84 Deposits 000 000 Total Cash $38,485,359.65 $38,493,547.84 Total Cash 50.00 $0.00 FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $1,062,239.18 $1,082,239.18 Money Market Funds 438,494,890.52 448,410,579.21 Total Credits $39,683,704.50 $54,474,037.21 Total Debits -$39,683,704.50 -$54,474,037.21 Transactions by Type of Activity Proceed Trade! Settlement Transaction Date Date Activity Type Description Quantity Price Aweed Merest Amount Currency Securities Bought and Sold 10101/14 REINVEST CAST-. INCOME ,P MORGAN FLOATING RATE INCOME FLND SELECT SHARES 813.174 .8.074.82 LSD Pr SX 212495.1830 SHRS SI-RS FILRCH. AT 59.93000 RD 09129 PO 10/01114 10/31/11 10/28114 PURCHASED CITIGROUPIAC DEP SHS REMO 111000 PFD SER C DIV 49.033 000 24.0205 -1,180,739.16 LSD C PRC 5.8% PERPETUAL MATT PERPETUAL CALL 04/22118. 25.00 0401 AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -1,186,613.911 Dividends and interest 10101/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 8,074.82 LSO P-SX 212495.1830 SHRS RD 09129 PD 10101114 10127114 80AD INTEREST RC-C8VED 1500000 GS MTG SECS CORP 2005.5F M TG PASSTHRU CTF 5,762.18 LSD 36242D7X5 CL B1 VAR 5.751% 08125135 WE DID 05101105 RD 09130 PD 10125/14 P19.80113 IJOAE1 14O1 I (very Year Lace 2007 DALBAR RAM. COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) HAZE N F I DriTriA rxenurnser Account Number Go paperless Rated tacellera .11141,...°T.,== • -- c.....«Th—rwr. DB-SDNY-0010785 EFTA_001524570 EFTA01290598 Ute-0 2:1 PC. BoL I no BA wort M021202 Transactions by Type of Activity (continued) Process( Trade/ Settlement Transaction Date Date Activity T Description ()micro Ram 0,0,0 %Wain PA400, 011 Pewals Coerce 4,04, Destut• UM %woes Ac WmIRA 0710P. Mann AMMO. Ma I to Quint Statement Period: 1010112014 • 1 0/3112014 Price Accrued littered Amount CO rrenq Dividends and Interest (continued) 10/30/14 CASH DMDEAD RECEIVED PMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 118.50010 USD 46625H HA1 7.900% 04129/49 B/E RD 09/30 PD 10/30114 CASH PAYMENT 3400000 10131/14 MONEY MARKET FUND DWSGOVT CASH INSTL 1,042.70 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 133,370.70 Distributions 10/27/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS CORP 2005-5F MTG PASSTHRU CTF 2,725.99 USD RECEIVED CL 81 VAR 5.751% 08125135 WE DTD 05101105 RD 09/30 PD 36242D7X5 10/25/14 Total Distributions • UNITED STATES DOLLAR 0.00 2,725.99 Cash Withdrawals and Deposits 10106114 FEDERAL FENDS RECEIVED HSBC BANK USA, NA 09422 38,485,359.65 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 38,465,359.65 Money Market Funds 10107/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL 48,485,359.65 USD USD999997 10128114 MONEY FUND PURCHASE DWSGOVT CASH INSTL 4,488.17 USD USD999997 10131/14 MONEY FUND REDEMPTION DWS GO VT CASH INSTL 1,062,239.16 USD USD999997 10131/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -1,042.70 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 .37,432,651.36 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. OSAR ROLL Page 9 of 13 Account Number Go paperless Rated excellent, (very Yen since 2007 THE HAZE trONFID=iAL 0ALBAII RATED COMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) rxesturrder rat= ""."" SDNY_GM_00047962 DB-SDNY-0010786 EFTA_0015857 EFTA01290599 Cash Not Yet Received Send, Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Interest BANK AMER CORP PEW NON COMULATIVEOEP 11101/14 11115114 3.000,000 000 0 010625 Cash 121.675.00 SES Fl) TO FLOAT PAYMENT INC GTD SR NT 11101114 11/15/14 500.000.000 0.051250 Cash 25125.00 10.250% 05115118 WE F'EAI30DY ENERGY CORP SR NT 10131114 11/03/14 1 200,000 000 0036875 Cash 44.250.00 7.375% 11101116 WE Total Cash Not Yet Received 0191,150.00 Bond Maturity Schedule Bond Maturity Martet Value %of Bond Markel Value I to 5 years 1,656,000 00 18% Over 10 yea's 7.669.561 97 82% In Total 9,325,561.97 100% Bond Quality Bond Quality Market Vale %of Bond Market Value Percentages of bond market values are rounded to the nearest whole percentage. BNLower 9.325.561.97 total 9,325,561.97 You are 100% invested in bonds with a bond quality of BA/Lower. Trades Not Settled Settlement Date 11103/14 Irade Date 10/29/14 Buy Activity Type Description CITIGROLP INC DEP SI-SREPSTG 1/1000 PFD SRC DIV 5 8% PERPETUAL MATY PERPETUAL CALL 04122118(g 2500 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION 100% 100% Quanti Percentages of bond market values are rounded to the nearest whole percentage. Price Matted Stem, Sfillemett Mont 150,967 000 24.2528 Total Amount of Trades Not Settled Client Service Information -$3,670,430.48 Your Client Advisor: TOS TAM SMITH 345 PARK AVEn LE 14Th FLOOR NEWYORK AY 10154 Contact Information Telephone Number: (212) 4512889 Page 10 of 13 (very Year Since 2007 DALBAR RAM:. COAWILINCATIONS CONFIDENTIAL - PURSUANT TO FED. R HAZE N F I DAni snA rxenurNer Account Number Go paperless Excellent SDNY_GM_00047963 OB-SDNY-0010787 EFrA_00 158572 EFTA01290600 Oe."1,0 Si. We a In. miner -icor Weals C %Wale Darts( he MA kw net mc Na. Int Mc* MINH Monet lth %v. MEM Statement Period: 1010112014 • 10/3112014 Your Account Inform ation Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as OMAN issue discount i OlDji No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform align. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid a an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) fgures 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 VAYetv.pershing.cornibvsiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in cons orations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing far. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Fage 11 of 13 IRAN Veit Account Number TI-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ess oNFID'ilo eiTAL RAMO tmelloni 099 Yoe. Seme 2907 DAL BAR RATED COMMUNICATIONS rxarturrier Crin.retir SDNY_GM_00047964 OB-SDNY-0010788 EFrA_00 I 58573 EFTA01290601 Important Information and Disclosures (continued) Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard 8. Pool's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard 8. Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets sham here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Duality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing perromis several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413.3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wiwrpershing.comistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. Page 12 o113 Account Nur Der i t listed tszellene Go paperless Every V.9 Late 2907 ThE DA COMA LBAR RATED IUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) fa Ito N F I DriSiTiA SIDNY_Gki_00047965 DB-SDNY-0010789 EFTA_00158574 EFTA01290602 Gnaw< NM Wealavaragenmt Pangs tedrage Gnat) Destsag lank %tn. Lac. BB. bet Onto Habit Any. 160. Met NM= Important Information and Disclosures (continued) Statement Period: 10101/2914 • 10/3112014 Important Arbitration Disclosures (continued) • 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 Lie shat 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. III) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enlace an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Account Melba Rated tocellenti OBAS ROLL Go paperless beefy Year Since 2007 CALMAR RA TE0 COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e 6(7 HAZE to N F I DrErriA rxartimer Page 13013 ili a reitroatr... - Ltt«.rosmistates..... SDNY_GM_00047966 DB-SDNY-0010790 EFTA_00158575 EFTA01290603 PO. Sc, 1770 Balt mom MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SMITI- Oevicov Ram Power wean. Manw.nall 1•0”.11$ COMM! 4,011, OtrAtthl kr* Seltdri AC lire bet ON* Na Pot Aivorek 114h I kw Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld Net Chan e in Portfolio nding Account Value Estim ated Annual Incom e Account Number: Statement Period: 0910112/14 •09130(2014 This Period 323,113,956.92 0 00 23,113,956.92 13.219 96 0 00 -246 357 13 Year.to-Date 322,994,662.95 8.188.19 23,002,851.14 548.656.59 440 40,69238 $23,480.819.75 $23,480.819.75 Asset Allocation Prior Year•End Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 7,589,036 35 9,906.952,32 9.915,688 69 4223% LSD Axed Income 15,405,626.60 11.675.584.60 11,484,271.06 4891% LSD Equities 0.00 2.131.420.00 2.080.860 00 8.86% Account Total (Pie Chart) 322,994,662.95 323,713,956.92 323,460,819.75 100.00% See the Asset Mlocabon Disclosure and FooMotes section ix important intonation regarding your Asset Alsocabon. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) peerless .ry CONFIEr517ffiXL B01012S9CSF30023 5845 36041 P ease re. law your a loceo- Pap14813 Rated twalbrigi Lvery Yew 00072007 DALISAR RATED COMMUNICATIONS rxesurnaer SDNY_GM_00047967 OB-SDNY-0010791 EFTA_00 158576 EFTA01290604 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Vitalized This Period Yearto-Date Short•Term Gain/Loss 76.67 -800A1 77.810.54 Long•Term Gal&Loss 000 2.021.49 .279.158.36 Net Gain/Lou 76.67 1,221.0 ,201,347.82 This summary excludes transactions where cost basis intamation is not available. Money Market Fund Detail Date Activity Type Deuription Amount Balms Sweep Money Market Fund CMS GOVERNMENT CASH !NM Account Number: 0000001192 Current Yield: 0.03% Adivity Ending: 09/30111 08130114 Opening Balance 9.906.952 32 9,906,952.32 09126114 Deposit MONEY FLNO PURChASE 8 192 04 9,915,444.36 09130114 Deposit INCOME REIN VEST 211 33 9 915 688.69 0930114 Closing Balance $9,916,688.69 Total All Money Market Funds 59,915,888.89 Income and Expense Summary Current Period Year.to•Date Taxable Nos Taxable Taxable Noo Taxable Dividend Income Equities 010 0.00 67,890.70 0.00 Money Market 244.33 0.00 1.286.39 0.00 Other Dividends 7,200.48 0.00 320,038.00 0.00 Interest Income Bond Interest 5,775.15 0.00 158,559.25 0.00 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest, Income and Expenses 213,219.96 60.00 $50,8611.59 20.00 Distributions Other Distributions 000 2,718.89 0.00 21,995.33 Total Distributions $0.00 $2,716.89 $0.00 $21,995.33 litt ,gt trot k Account Nun bar TFE FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ON Fl A L Page 2 of 13 Rated [sangria Every Vs.. since 2007 DALBAR RATED COMMUNICATIONS rxemr NCI SDNY_GM_00047968 DB-SDNY-0010792 EFTA_00158577 EFTA01290605 01,41.0t VOtlin hump—via Mooets IPt ,1{t4.0.p De.tic kw M. gr. lovie Mar 14,rant Annw. /Mk Hoct Statement Period: 0910112111 • 09/3012014 Portfolio Holdings Account Opening Date Quantity 'lumber Adivity Ending Opening Balance Doing Balance Awued Income Income This Year 30.0ay Yield Oared Yield Cash, Money Funds, and Bank Deposits 42.00% of Portfolio Money Market DWS GOVERN M DI T CASH INSTL 08130114 9,915,688.690 0000001492 0900114 9,906,952.32 9,915,688.69 0.00 1,286.39 0.03% 0.03% Total Money Market 19,906,952.32 19,915,818.69 10.00 $1,286.39 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08130114 N46024943 09(30114 0.00 0.00 0.00 882.25 NIA N/A Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $682.25 Total Cash, Money Funds, and Bank Deposits 19,906,952.32 19,915,888.69 30.00 $2,168.64 Adjusted Unrealized Awned Estimated Estimated Date AsOaired Quantity Veit Cod Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income 40.00% of Portfolio (In MalurityDale Sequence) tAsset Backed Securities GS M TG SECS CORP 2005.5F M TG PASSTHRU CTF CL 81 VAR 5.751% 06/25/35 WE DID 05/01105 58 P Riding Eln Fedor: 0.60112689 Effective Dale.09/02/14 Current Face Value: 1,212,140.335 12113113'.3,5! 1.500.000.000 Total Asset Backed Securities 1,500,000.000 Total Current Face Value : 1,202,140.335 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11/01/16 WE DTO 10112106 MULTIPLE GUARANTORS 1ST CPN DTE 05101107 Moody Rating BA3 Sd PRO%) BB- 05/10/11 '.ILII 1.200.000.000 105 6020 1,267,228.87 106.0000 1,272.000 00 Original Cost Basis: $1,363,500.00 Security Identifier: 362420745 97.1780 1,168,211.19 96.9890 Original Cod Bads: 51.189 588.80 $1,166,214.19 1,165,913.89 -.270.30 5.570 05 51,185,913.89 •$2,270.30 ?.:10,259CSP, I HAW vell Account Number ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) (io ON Fl ErrPiV isA L $5,570.05 $0.00 4771.13 36.629 17 88,500.00 6.95% Page 3 of 13 tacellonil Lvery V0.0.200:0 2007 OALBAR PATO) COMMUNICATIONS rxertmsser SDNY_GM_00047969 Ce-SDNY-0010793 EFTA_001 58578 EFTA01290606 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Duality Umit Cod Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 46262EAES 10.250% 05/15/18 BIE DTD 11115111 CALLABLE 05/15/150 105.125 Moody Rating CAA3 S d P Rating CC 10/02112'.13.13 500,000.000 92.0210 460.103.92 88.2500 441,250.00 .18.853.92 19.218 75 51.250.00 11.61% Original Coal Basic $445,000.00 PM ORGAN CHASES CO DEP SHS REPAID Security identifier: 46825HHA1 1/10TH PFD SER 1 FIXED TO FLTG RT BO 7.900% 04129149 WE DID 04123108 Moody Rating BA1 P Rating 888- 05l10111 12.11 3.000.000.000 111_2850 3,337,958.33 108.2500 3,247,500.00 .90,458.33 98,750.00 237,000.00 7.29% Original Cost Basis 53.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security identifier: 060505018 SHS MED TO FLOAT 8.125% 04130158 WE DID 041301013 CALLABLE 05115118 Moody Rating BA3 Sd P Rating BB 05!1011112,11 3,000,000.000 112.9870 3,389,620.83 108.2500 3,241,500.00 ,142,120.83 91,406.25 243,750.00 7.50% Onginal Cost Basis 53.389.620.83 Total Corporate Bonds $8,454,911.95 $8,206,250.00 -$246,661.95 $246,004.17 $620,500.00 7,700,000.000 Total Fixed Income $9,623,126.14 $9,374,193.89 -$248,932.25 $251,574.22 $620,500.00 9,200,000.000 Unrealized Estimated Estimated Date Acquired Duality Unit Cod Cod Basis Market Price Market Value Gain/ Lou Mini Income Yield Equities 9.00% of Portfolio Preferred Sods (Listed by option dale) CITIGROUP INC DEP SHS REPSTG 111000TH Security Identifier: C PRK PFD SER K DIV 6.875% PERPETUAL MATT CU SIP- 172967341 PERPETUAL CALL 11/15/23025.00 Dividend Opbon: Cash 02/03114 79,000.000 25.3090 1,999,418.90 26.3400 2,080,860.00 81 441 10 135,781.25 6.52% Total Preferred Stocks $1,990,416.10 $2,080,660.00 $81,441.10 $135,781.25 Total Equities $1,999,41110 62,080,660.00 $81,441.10 $135,781.25 Page { of 13 Account Num ber. Rabid 2scollorigi 08013 ROI I lJO paperless (very Von Woos 2007 THE FAZ DALOAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E mo sTO N F I DriTriA rxenurraer sciraisaa 'ron von los- c.w.o... mar Ns* SDNY GM 00047970 DB-SDNY-00 10794 EFTA_00158579 EFTA01290607 OraIwo Ram Pon. Wealth Alvmp-nent Pdaent$ COM•404,0‘P Des41.04 la* Settonts lireven Olik• HI Pan Annie. Halter +..n t7, IM)4:44414. ins) swims Statement Period: 09/01/2014 • 09/3012011 Portfolio Holdings (continued) Unrealized Date Acquired Quantity UM Cost Cost Basis Market Price Market Value Gain/ Loss Mutual Funds 9.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest: Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP 481211510 01122113'.3 198,216.056 10.0900 2,000,000.00 9.9300 1,968.285.13 -31,714.57 81,070.38 4.11% 02101113'.3 630.057 10.0670 6.342.92 9.9300 6.256.16 -86.46 257.69 4.11% 03101113 '.3 711.578 10.0600 7,158.48 9.9300 7,065.97 -92.51 291.04 4.11% 04101113'.3 789.547 10.1100 7.982.33 99300 7.840,20 14113 - 322.92 4.11% 05101113'.3 151.550 10.1300 7,613.21 9.9300 7,462.90 .150.31 307.38 4.11% 06103113'.3 757.360 10.0900 7,641.77 9.9300 7,520.59 -121.18 309.76 4.11% 07101113'.3 688.131 9.9700 6,661.27 9.9300 6,634.65 -26.72 213.27 4.11% 08/01/13 '.3 704.609 10.0600 7,088.37 9.9300 6,996.76 -91.61 288.18 4.11% 09103113'.3 109.175 10.0300 7,113.03 9.9300 7,042.11 -70.92 290.05 4.11% 10101113'•3 712.100 10.0240 7,137.85 9.9300 7,071.14 -66.71 291.25 4.11% Total Noncovered 204,650.183 2,084,739.23 2,032,170.11 -32,563.12 13,701.90 Reinvedm ents to 7.845.020 10.0950 79,194.61 9.9300 77.901.06 -1.293.55 3,208.62 4.11% Date Total Covered 7,845.020 79 194.81 77,901.06 .1,293.55 3,208.62 Total 212,495.183 32,143,933.14 17,110,077.17 ,133,856.67 $86,910.52 Total Mutual Funds $2,143,933.84 17,110,077.17 -133,856.67 106,910.52 Estimated Estimated Annual Income Yield Cost Basis Market Value Unrealized Awued Estimated Gain/ Loss Interest Annual Income Total Portfolio Holdings 123,682,167.57 123,480,819.75 .1201,347.82 1251,574.22 1845,360.41 Footnotes • konccvered under the cost basis rules as defined below. 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')(ncorporating amendments enacted by P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wi8 be reported to the IRS on form 1099-8 for the applicable tax year in which the securty is disposed. Page 5 of 13 Account Num be Itned tscolloni tt, )1% Go paperless (very vs. Late 2007 E HAZE TC' DAL BAR RA TED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ONFIDArErriA rxemmer War. Lag amine OS Peat SO SDNY_GM_00047971 DB-SDNY-0010795 EFTA_001 58580 EFTA01290608 Portfolio Holdings (continued) Repornrg requremerts generally will be phased in over a three-year period, as follows: • Stock n a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 'The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering rem or transferring agent and Pershing makes no representation as to the accuracy of this infomkabon. Schedule of Realized Gains and Losses Current Period Dispositioe Acquisition Disposition Dale Date Transaction Description Quantity Col Basis Proceeds Realized Gain/ Lord Disallowance Short Term 09125114 12)13113' RPP GS NIG SECS CO RP 200 ASSTPRL CTF CL 81 VAR 5.751% 06125135 FRE DID 05(01/05 Security Identifier 36212D7X5 Original Cost Basis: 2,610.22 1.500.000.000 2.610.22 2,718.89 7817 Total Short Term 32,610.22 $2,716.89 376.67 Total Short Term and Long Term 32,610.22 $2,716.69 376.67 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered.- under the new cost basis reporting rules, and marked or denoted as such. Al 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 nil 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 hinds 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, 2914, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect aft cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Page 6 of 13 Account Number excellenti I }rt.,' .4: Go pe rless Every, Yea. Since 2'007 DALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINI. 67 AZE nto N F I DaimErriA rxciturraer SDNY_GM_00047972 OB-SDNY-0010796 EFrA_OOI 58581 EFTA01290609 Oren Kam POW.. VeAtahn Manip-ncat Innen teeny, Gnat) Penn laria Sewairs Mc. lee V.4 Oleo Na Pon Anne Inn, be 0.1.11111= Statement Period: 0910112014 • 09/3012014 Schedule of Realized Gains and Losses Current Period (continued) Aziustments to cost basis can be made after year-end. in particular. for return cf capital adjustments, but nay also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly dent brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by Pershing as it relates to M.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities. and, accordingly, disclaims any and all liability that may arise with respect to your use and retiance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydovms. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event one cc more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. M essa es Pursuant to the Securities Exchange Act of 1934, Pershing I1C (Pershing), a BNY Mellon company, provides individual investors will certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of 51.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by 51.55 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requitement, note that on July 31, 2014, Pershing's net capital of 51.88 billion was 12.74% of aggregate debit balances and exceeded the minimum requirement by 31.59 billion. A copy of the June 30, 2014. Statement of Financial Condition is available at pershing.conistatement_ollmancial_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 DVVS Investments websie at httpslAwnv.dws-investrnents.cornUEN/products/rnoneyanarket-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus a the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operabonsaincluding Deutsche Bank Alex. Browntinto a single division operating under the Deutsche Asset 8 Wealth Management brand and future ccirrrunications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc.. a registered broker-dealer and investment adviser. which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. Page 7 of 13 Account Number e tsrimene Go paperless Lwiny Year Since 2007 THE DALBAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) MAZE Trio N F I DriTriA rxestimer (—v.., —4- nomo-fla SDNY_GM_00047973 OB-SDNY-0010797 EFrA_00 I 58582 EFTA01290610 M essages (continued) The new beard name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (Ail amounts them are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities SOCJV es 0 00 o CO 0 00 2 760 359 19 Securities Secunties Bought Secunties Sold -7,200 48 0 CO -2,079 081 90 0 CC Total Securities $0.00 $2,760,359.19 Total Securities .17,200.48 -$2,079,081.90 Dividends and Interest 113,219.96 $548,656.59 Dividends and Interest $0.00 $0.00 Distributions 12,716.89 11,091,250.68 Distributions $0.00 -12,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits '0: 1,55 '3 Deposits 0.00 0.00 Total Cash $0.00 $8,188.19 Total Cash $0.00 MOO FDIC Insured Bank Deposits $0.00 $10,381.873.66 FDIC Insured Bank Deposits $0.00 42,792137.31 Money Market Funds 10.00 $0.00 Money Markel Funds -$8,738.37 -W915,08819 Total Credits $15,936.85 $14,790,332.71 Total Debits 416,936.86 ,114,190,332.71 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiption Quantity Price Paned lutend Mont CO nag Securities Bought and Sold 09102114 REIN VEST CASH INCOME P MORGAN R.OATING RATE INCOME FUND SEI.ECT SHARES 716.466 4,200.48 USD .PHSX 211778.7170 SHRS SHRS PORCH. AT 510.05000 RD 08/28 PD 01102114 Total Securities Bought and Sold - UNITED STATES DOLLAR 6.00 -7,200.48 Dividends and Interest 09102114 CASH DIVIDEND RECEIVED ,P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7,200.48 USD PF Sa 211778.7170 &IRS RD 08128 PD 09/02114 09125/14 BOND INTEREST RECEIVED GS MTG SECS CORP 2005-5F MTG PASSTHRU CIF CL 81 VAR 5,775.15 USD 3624207%5 5.751% 06125135 BARD 09/24 PD 09/25/14 INTEREST 3.850097 1500000 SOS 09/30/11 MONEY MARKET FUND DWS GO VT CASH INSTL 244.33 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 13,219.96 Page 8 M13 1787.0 10)1.1. AccountNumber THE FAZE TRUST CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go aperless 1 ONFIErrPaiTAL Rated tacelloni tv.,y V.7.7. Sinew 2007 CALMAR MUD COMMUNICATIONS rxemmer -•"Cr TT: = "..Lr =I SDNY_GM_00047974 OB-SDNY-0010798 EFFA_00158583 EFTA01290611 PC. Bcp 1776 P-40 Port MO 2121Y3 Otvisre Pant Pnwair. Werth &Worm Weals Cisme GnaP Dettsag NA Salons von Oncio la Pon Ammo. Ita I ter P.. wet WY tem Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Statement Period: 09/01/2014 • 09130/2014 Price Maud litered Mount CU ram Distributions 09125/14 RETURN OF PRINCIPAL GS MTG SECS CORP 2005-5F MTG PASSTERU CTF CL BI VAR 2,716.89 USD RECEIVED 5.751% 06125/35 WE RD 09/24 PD 09/25114 INTEREST 3624207X5 (11.811282 1500000 MIS Total Distributions - UNITED STATES DOLLAR 0.00 2,716.89 Money Market Funds 09/26/14 MONEY FUND PURCHASE DWSGOVT CASH owl. 4,492.04 USD USD999997 09/30/14 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVF_STED -211.33 USD REINVESTMENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR 0.00 -8,736.37 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value I to 5 years 1.7t3.25000 18% Over 10 years 7 660,94389 82% Total 9,374,193.89 100% Bond Quality Bond Quality Market Value % of Bond Markel Value 1=1 LI Percentages of bond market values are rounded to the nearest whole percentage. BA/Lower Total 9,311,193.89 100% Percentages of bond market values are 9,374,193.69 100% rounded to the nearest *tole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. Page 9013 Account Number; Rotel tocellenti DRAB POLL Go paperless Cary Veer SMOD 2007 DALEY& RATED COMPALINICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)E HAZE to N F I DrErriA exclaimer SDNY_GM_00047975 DB-SDNY-0010799 EFTA_0015S584 EFTA01290612 Client Service Information Your Client Advisor: TDS Contact Information TAZM SMITH 315 PARK AVENUE 11TH FLOOR NEW YORK NY 10154 Your Account Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST ik 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 com m unications for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked 'N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to WWW.pershing.ccfnibusiness_continuity.htni for speck detads as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shovel on your statement may have been reinvested. You wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing film in maintaining current background and financial information concerning your option accounts, please promptly advise therm 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 ton written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date a the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Fage 10 of 13 Account Number: ated [mallard, Go papedess R(way War Since 2007 Wiwi; ROIL I DAL BAR RA TCD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINit 67 HAZE O N F I DAriSiTiA rxerturtraer /in.-sue --•-••••••• SDNY GM 00047976 DB-SDNY-0010800 EFrA_00 58585 EFTA01290613 Important Information and Disclosures (continued) Oracre Kam Poole Weahn Maxernalt Mats Codnee 6 Deststhi MY %woes AL ion PIN* MI Put Annie. Mal/at Nn wet le114 Statement Period: 0910112014 • 09/3012014 Ratings This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written authorization from Standard & Poors. Standard & Poors does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties includttg warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included, Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (*any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which appty 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 appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC9. 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: vAvw.pershing.canffitrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reasons) 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. Account Number Go paperless e t ) Rated esallonli I k (very vs. Since woo. E FAZE DAUM. RATED COAVALINICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) TC P UTO N F I DrgriA rxciturtaer Page It of 13 Oa t littrOalt L•P••••••• Ott WON* Par. LAC ••••11.111•• A 44. 'SC SDNY_GM_00047977 OB-SDNY-0010801 EFEk_001 58586 EFTA01290614 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of some arbitration forums may impose time limits for bonging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 12 of 13 Account Number el k ). Rabid [mallard, l)BA1 ROLL Go paperless twinyV*4r Sante 2007 THE FAZE DAL BAR RATED COM...YMCA T1ONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) E brIlsO N F I DriTriA rxemmer SDNY_GM_00047978 DB-SDNY-0010802 EFrA_00 I 58587 EFTA01290615 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. URAQFS. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Of YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TM INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING COES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. CO NOT RELY UPON ANY SUCHADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC EPERSHING, FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR UABILMES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE RENAMING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED 8Y LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK 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 I I WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COTI. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING COM/BUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION N MS- RULE 607(A)(1)-(2)I PERSHING SENDS CERTAIN EQUITY ORDERS I t) EXCHANGES, ELECTRONIC CONIMUNICAI ION 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. PER$HtNG RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN ITTE SUBJECT SECURITY, PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSH NG ALSO REGIAARLY REVIEWS REPORTS FOR QUALITY Of EXECUTION PURPOSES. IF ANY OF THE ABOVE TERMS AND CONDITIONS ARE UNACaPTABLE TO YOU. PLEASE NOTIFY PERSIWO IMMEDIATELY IN WRITING BY CERTFIED MAIL TOONE PERSHING PLAZA. JERSEY CITY. NJ 073ft ATTIC LEGAL OM Pogo130(13 Account Number. ORA', von paperless THE FAZE Terd" STON Fl DArNTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIAA. P. 6(e) Rabid lacelloni (very Year Siva 2007 DALBAR RATED COMMUNICATIONS rxenumaer SDNY_GM_00047979 OB-SDNY-0010803 EFrA_00 I 58588 EFTA01290616 PM Set 1776. bliers•PADM203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TIMES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAD% SM Ilk OrelsooMmor.0r , 040,00‘0^, 0 4 Nww0C0evact4.0. INvIuNIWASN,dnAc. INevertOTIt• Nal404eNAINhMer New R.L M' IOIL Valuation at a Glance Beginning Account Value her Cash Deposits and Withdrawals Adjusted Previous Account Value Drvidends. Interest and Other Income Toter Taxes Withheld Net Chan e in Portfolio nding Account Value Estim aced Annual horn e Account Num ber Statement Period: 08/01/2114 OSI3112114 This Period $23,813,01313 0 00 23,613,013.63 48,951.02 0 00 53 992 27 Year-to-Date $22,994,662.95 8,18119 23,002,851.14 535,436.83 410 175 661 75 $23.713.956.92 $23,713.955.92 Asset Allocation Prior Year-End Ltd Period Ibis Period % Allocation USD Cast. Money Funds and Bank Deposes 7,589,036.35 9,864,258.28 9,906,952 32 41.78% LSD Fixed Income 15.105.626.60 11,626,025.35 11,875,584.80 49.23% LSD Equities 000 2,122,730.00 2,131,420 00 8.99% Account Total {Pie Chart) $22,994,662.95 $23,613,013.63 $23,713,95192 100.00% See the Asset kocaton Disclosure and Footnotes secton for trnpomant intormaton regandmg yots Asset Alocatian. $844,187.71 P ease re.leva a lora' o- Pato 1012 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) B0097291CSP3001S Go paperless CON F IDFSITiA et) Rai tualleni Every Veer Since 2907 DAL OAR RATED COMMUNICATIONS rxen ismer Nat SDNY_GM_00047980 OB-SDNY-0010804 EFrA_00 I 58589 EFTA01290617 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realized Vitalized Ms Period Year 404* Sr or Term GaintLoss 78.44 477.08 129.28514 LonipTerm Gain/Lou 0.00 2,021.49 48140.42 Net Gain/Lou 76.44 1,144.41 43,245.52 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Adivity Type Descriclios Amount Babace Sweep Money Market Fund owS GOVERNMENT CASH INSTL Account Num bet 0000001492 Current Yield 0.03% Activity Ending: 08129114 08101/14 Opening Balance 9164,25821 9,864,258.28 08118114 Deposit MONEY FUND PURCHASE 33,945.35 9,898,203.63 08126/14 Deposit MONEY FUND PURCHASE 8.496.90 9,906,700.53 08129/14 Deposit INCONERBNYEST 251.19 9.906.952.32 08129114 Closing Balance $9,906,952.32 Total All M oney Market Funds $9,906,952.32 Income and Expense Summary Current Period Year4o-Dale Taxable Noe Taxable Taxable Nom Taxable Dividend Income Equities 33,945.35 0.00 67,890.70 0.00 Money Madre! 251.79 0.00 1,042.06 0.00 Other Dividends 6,965.80 0.00 312,837.52 0.00 Interest Income Bond Interest 5,788.08 0.00 152,784.10 0.00 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest, Income and Expenses 116,951.02 10.00 $636,436.13 10.00 Distributions Other Distributions 0.00 2.70812 0.00 19 278 44 Total Distributions $0.00 52,70612 $0.00 $19,276.44 Account Num ber OBAD ROI Go paperless E I LIA L EM CONFIDENTIAL - PURSUANT TO FED. R CRIPA. P. 6(e) HAZE Co T N F I D Pap 2 of12 Rated tscollenti t very Year Slate 2007 DAL BAR RATEDCOMMUNICATIONS rxesartraer Ittrra SDNY_GM_00047981 OB-SDNY-0010805 EFTA_00158590 EFTA01290618 Destine14ra Pr If lir W.4.1 I,Ma nalunrat Marais Carew. Gotap °Muhl Sank kW Se 4%. Ilea *4 Moo HS Put MY. 'Sd, I bet lbw* iv/ IQ' Portfolio Holdings Account Activity Opening Date Quantity 'lumber Bldg Opening Balance Ckeing Balance Statement Period: 0 810112114 • 011/31/2014 Accrued Income 30.Day Arrest Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 4 2.0 0% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 0810111/ 9R 0809114 06 952.320 0000001492 9,8612 58.28 9,906,952.32 8 '.4 1,012.06 083% 0.03% Total Money Market 19,551,255.28 19,906,962.32 $5.14 11,012.05 FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 08/01/14 A4G024943 0809114 0.00 0.00 0.00 N/A N(A Total FDIC Insured Bank Deposits 882.25 10.00 $0.00 1552.26 Total Cash, Money Funds, and Bank Deposits $9,564,255.28 $000 19,906,962.32 OM $1,924.31 AMuMed Unrealized Maned Estimated Estimated Date Acquired Quality Unit Cod Cost Basis Market Price Market Value Gal Los lateral Annual Income Yield Fixed Income 40.00% of Portfolio (In Monty Date Sequence) tAsset Bathed Securities GS M TG SECS CORP 2006.5F M TG PASSTHRU Security Identifier: 3624207X5 CTF CL 81 VAR 5.751% 06/25/35 WE DID 05101/05 58 P Rating B4 Fador: 0.80323815 Effective Dale:08101/11 Current Face Value: 1,201,857.225 12/13113 '. 3,12 1,500,000.000 97.1780 1,170,851.41 96.9790 1,168,158.49 .2.395.92 5,775.09 Original Cod Basis: $1.189,588.80 Total Asset Backed Securities 11,170,551.11 $1,166,158.19 1,500,000.000 Total Current Face Value : 1,204,557.225 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 701519AM 7.375% 11101116 WE DTO 10/12/06 ULTIPLE GUARANTORS 1ST CPS DTE 05101107 Moody Rating IM3 Sd P Rating 05/10/11 '. 12.15 1.200.000.000 105.8150 1,269,78119 108.1250 1,297.500 00 Original UM Basis 51,363,500.00 800,12e3CSF!, OSAN 9On CONFIDENTIAL — PURSUANT TO FED. R CRIAA. P. 6:: HAZE ICO N F I DAENTIAL Account Number: Go paperless -52,395.92 15,776.09 $0.00 27,715 81 29.500 00 88.500 00 6.82% Page 3 of 12 !Wed [atelier'', Lvenr Year Late 2007 DALBAR PATO) COMMUNICATIONS rxciturnaer genera um, moor 0111.. fl . INK SDNY_GM_00017982 OB-SDNY-0010806 EFIA_00 I 58591 EFTA01290619 Portfolio Holdings (continued) Date Acquired Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 46262EAE5 10.250% 05/15/18 WE DID 11115111 CALLABLE 05115115 @ 105.125 Moody Rating CAA3 S 8 P Rating CC 10102/12 500,000.000 911780 459.38916 86.5000 Original Cost Basic $445,000.00 PM ORGAN CHASE & CO DEP StiSREPSTG Security Identifier: 46625HHAt 1/10TH FED %R 1 FIXED TO FLTG RT BO 7.900% 04129149 WE DID 04/23108 Moody Rating BAt S & P Rating BBB 05110/11 12,11 3.000.000100 1112650 3,337,958.33 110.6250 Original Cosl Basis:53.337.9913 BANK AM ER CORP PERP NON COM ULAT1VE DEP Security Identifier: 060505018 SliS FIXED TO FLOAT 8.125% 04130158 WE DID 04130108 CALLABLE 05115/18 Moody Raling 8A3 S & P Rating BB. 05110111 12.1$ 3,000,000.000 112.9870 3,389,620.83 111.0000 0 nginal COSI Wait $3,389.620.83 Total Corporate Bonds $6,456,752.41 7,700,000.000 Total Fixed Income $9,627,606.82 9,200,000.000 Adjusted Quantity Unit Cost Cod Basis Market Price Market Value Unrealized Accrued Estimated Estimated GaintLoss Interest Mnual Income Yield 432,500.00 -26.889.06 15,090 28 51,250.00 11.84% 3.318.750 00 -19,208.33 79,000.00 237,000.00 7.14% 3.330.000 00 -59.620.83 71,77013 243,750.00 7.31% $8,378,750.00 -118,002.41 $195,361.11 5820,500.00 $9,547,208.49 -580,398.33 Unrealized Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value GainfLoss Equities 9.00% of Portfolio Preferred Stocks (Listed by ovation dale) CITIGROUP INC DEP Sli 5 REPSTG Security Identifier: C PRK 1/100011- PFD SER K 6 875% CUSP. 172967341 Dividend Option. Cash 02/03/14 79.000 000 25.3090 1,999,418.90 26.9800 2,131,420.00 132101.10 Total Preferred Stocks $1,999,418.90 $2,131,420.00 $132,001.10 Total Equities $1,999,418.90 $2,131,420.00 $132,001.10 $201,136.20 $620,500.00 Estimated Estimated Mnual Income Yield 135,781 25 6.37% $135,781.25 $135,781.25 Page4 of 12 Account Number Rated Caroller. IIRAW ROLL GO paperless Every VAN Slate 2.007 TXE HAZE ntONFIDEMiA DALOAR RATEDCOMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) rxesturner SDNY_GM_00047983 DB-SDNY-0010807 EFTA 00158592 EFTA01290620 awn, ii4Moonievota•nManair- vra Mwoet$ Co...ta G•mp De.itc Ikin. 5/w.f .% M. Mrs ISA Mop 10 Pant Annw. /ink Vioct %yr WA Pa W1t.4 Statement Period: 0810112014 - 08131/2014 Portfolio Holdings (continued) Unrealized Date Acquired Quality UM Cap Cod Bads Market Price Market Value Gainl Loss Mutual Funds 9.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SPARES Open End Fund Dividend Option: Reinvests Capital Gains Option: Reinvest SecurIty Identifier: .PHSX CUSP. 481211510 01122113 '.3 191216.056 10 0900 2,000,000.00 10.0500 1,992,071.37 -7,928 63 80,175.71 4.03% 02101113'.3 631057 10 0670 6.342.92 10.0500 6,332.07 10.85 25180 4.03% 03101113'.3 711.578 101600 7,158.48 10.0500 7,151.37 .7.11 288.90 4.03% 04101113 '.3 789.547 10.1100 7.982.33 10.0500 7,934.95 -47.38 320.58 4.03% 05101113 '.3 751.550 10.1300 7,613.21 10.0500 7,553.07 4014 305.13 4.03% 06103113 '.3 757.360 10.0900 7,641.77 10.0500 7,611.48 •30.29 307.49 4.03% 07101113 '.3 688.131 9.9700 6,661.27 10.0500 6,714.71 53 44 27128 4.03% 08101/13 '.3 704.609 10.0600 7,088.37 10.0500 7,081.32 •705 288.07 4.03% 09/03/13 '.3 709.175 10 0300 7,113.03 10.0500 7,127.21 14 18 287.92 4.03% 10101113'.3 712.100 10.0240 7,137.85 10.0500 7,156.60 18 75 289.11 4.03% Total Noncovered 204,660.163 2,004,739.23 2,050,734.16 .8,006.08 83,087.95 Reinvedments to 7,128.554 10.0990 71,994.13 10.0500 71,641 96 -352.17 2,894.20 4.03% Date Total Covered 7,128.664 71 994.13 71,611 96 .312.17 2,894.20 Total 211.778.717 $2,136,733.36 12,128,376.11 -18,357.25 385,982.15 Total Mutual Funds 12,135,733.36 $2,178.376.11 -18,367.26 086,982.16 Estimated Estimated Annual Income Yield Cost Basis Market Value Uerealized Accrued Estimated Gold loss Interest Anneal Income Total Portfolio Holdings 123,670,711.40 $23,713,956.92 143,246.62 $201,136.20 3844,187.71 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securibes which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. littAt, ROLL Account Number. la Go paperless ThE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FAZE TRLSTCON FIDAENT1AL Page 5 of 12 Ram. tamale M Every Year Same 2OO7 DALSAR RATED COMMUNICATIONS rxarturner SDNY_GM_00047984 OB-SDNY-0010808 EFTA_00 158593 EFTA01290621 Portfolio Holdings (continued) Reporting requremerts generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1.2011 • Mutual hinds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portion° system is amended to reflect this change. These calculations will not be performed under certan circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 'The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering Mn or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Dale Date Tranudion Desruiotion Quantity Cost BUS Proceeds Realized Gain/ Lad Disallowance Short Term 08125114 12113113' RPP GS LUG SECS CO RP 200 ASSTI-RL CTF CL fil VAR 5.751% 06125135 8/E OTD 05101105 Security Identifier 3624207X5 Original Cost Basis: 2,632.38 1,500,000.000 2.632 38 2,708.82 76,44 Total Short Term 82,632.38 82,708.82 376.44 Total Short Term and Long Term $2,632.36 82,708.82 376.44 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore. considered "noncovered' under the new cost basis reporting rules, and marked or denoted as such. Al 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-e for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1. 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we bebeve to be reliable. Page 6 of 12 Account Num bet GO e t ). itned tscolleni 1) (M, O ROIL paperless Every Yew Since 2007 to N F I DrISITIA rxesturger E DAIS*. RA T ED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) AZE I war..1=7-1'.=.="0"r=.." SON Y_GM_00047985 OB-SDNY-0010809 EFTA_00158594 EFTA01290622 0141.1. 01.4.4 PO•DIP *Mahn PAWItnall Minet% C denaG,O, oe.itcht 8014 WW1. AC Yev.ligni Mat JI,Pant AMMO. )Nu kw trine Sr\ AY lel Statement Period: 08/0112014 • 08/3112014 Schedule of Realized Gains and Losses Current Period (continued) Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you. When you report your cost basis on your tax retum, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed lo be reliable. In the event one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/or loss. unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099.8. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Comoration.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsfivnwe.dvis-investments.conVENfproductshnomey-market-tunds-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. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. OPAB ROLL Account Nun ber ME FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ss 1 ON Fl DElfrsfrA L pate/ of 12 Rated t mcolkini (very Vt.. Woes 2007 DAL BAR MUD COMMUNICATIONS rxciurtraer SDNY_GM_00047986 DB-SDNY-0010810 EFTA_00 158595 EFTA01290623 Activity Sum m ary (All amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 0 00 0.00 Securities Bought .6.96580 •2.071.88142 Secunties Sold 0 00 2,760,359.19 Secunties Sold 0 00 0 00 Total Securities $0.00 $2,780,351.19 Total Securities -$5,965.80 -$2,071,081.12 Dividends and interest $46,951.02 $535,13863 Dividends and interest $0.00 $0.00 Distributions $2,708.12 $1,088,533.79 Distributions $0.00 42,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 0 00 8.188 19 Deposits 0 00 0 00 Total Cash $0.00 $8,188.19 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $0.00 $0.00 Money Market Funds -$42,694.04 49,908,952.32 Total Credits $49,859.81 $14,771,395.86 Total Debits -$19,659.81 411,774,395.86 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Acased Interest Amount Currency Securities Bought and Sold 08101114 REINVEST CASI- INCOME 2 MORGAN FLOATING RATE INCOME FLA D SELECT STARES 693.805 -6 965 80 LSD .PI- SX 211084 9120 S,-RS SI-RS RACK AT 510 04000 RD 07130 PO 08101111 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,9035.80 Dividends and Interest 08101114 CAS,- DIVIDEND RECEIVED "MORGAN FLOATING RATE INCOME FUND SELECT SNARES 6,965.80 LSD PH SK 21108/9120 SPAS RD 07130 PD 08101/14 08115114 CAS,-. DIVIDEND RECEIVED 79000 SP RS CITiGRO P INC DEP SP S REPSTG 111000Th PFD 33,915 35 LSD C PRK SER I< 6 875% RD 08105 PO 0811 5114 08125114 80AD INTEREST RECEIVED 5500000 GS M TG SECS CORP 2005-5F M TG PASSTH Rt./ CTF 5,788.08 LSD 3624207X5 CI. B1 VAR 5.751% 08125/35 DIE DTD 05101105 RD 07131 PD 0812511/ 08129114 MONEY MARKET FUND DWS GOUT CAS,- INSTL 251.79 LSD INCOME RECEIVED 233993682 Total Dividends and Interest . UNITED STATES DOLLAR 0.00 10,951.02 Page 8 of 12 k (hE CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ET CO NFIDErnAL I-AZ Account Number. Go paperless Raced tacellonl (very Vear Siva 2007 DAL BAR RATED COMMUNCATIONS IX070.7Net ..:71=2.222r......"1".= ....ay= SDNY_GM_00047987 DB-SDNY-00 10811 EFTA_0(115£3596 EFTA01290624 PC Bat 17/V. &It mom MD 21203 Onan Ram Weahn Paptagenap Mats Cednee 6KM) Densthi Mw Sel.”la law bet Mao Ma Pot Anows. *xi Transactions by Type of Activity (continued) Procest/ Settlement Date Activity Type Description Quantity Statement Period: 08/01/2014 • 08/3112014 Price Aimed littered Amount Wrung Distributions 08125114 RETUFA OF PRINCIPAL 1500000 GS M TG SECS CORP 2005.5F M TG PASSTHRU CTF 2,708.82 USD RECEIVED Cl B1 VAR 5 751% 08125135 BIE DID 05101105 RD 07/31 PD 3624207%5 08/25114 Total Distributions - UNITED STATES DOLLAR 0.00 2,706.62 Money Market Funds 08/18114 MONEY FUND PURCHASE DWS GOUT CASH INSTL .33,945.35 USD US0999997 08126/14 MONEY FUND PURCHASE DWS GO VT CASH INSTL -8.496.90 USD USD999997 08129114 MONEY MARKET FUND DWS GO VT CASH INSTL INCOME MIN VESTED -251.79 USD REINVESTMENT 233993682 Total M oney Market Funds • UNITED STATES DOLLAR 0.00 .42,694.04 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity to 5 years Over 10 years Total Market Value 1,730.000 00 7.817.208 49 9,547,206.49 ORAN U(111 % of Bond Market Value 18% ri 100% Percentages of bond market values are rounded to the nearest whole percentage. Page 9012 kilted Excellent [very Ye Since 2007 6T: E: AZEICO N F I DAUM. RATED OOMMUNCATIONS [YriSMA rxemmer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e Account Number. Go paperless ek ) SDNY_GM_00047988 DB-SDNY-00 10812 EFTA_00158597 EFTA01290625 Bond Quality Bond Quality Market Valve % of Bond Markel Value BNLower 9,541,208.49 100% Percentages of bond market values are Total 9,547,208.49 100% rounded to the nearest whole percentage. You are 100% invested it bonds with a bond quality of BAkower. Client Service Information Your Client Advisor: TDS TAZIA SNITF 345 PARK AYEt, LE 14Th FLOOR k RV YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default M ethod for Mutual Funds: FIRST IN FIRST OUT Default Method for &odd 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 comm unications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EM) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to swnv.pershing.convbusiness_conbnuity.htni for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other secunties shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confimations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or 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. Account Number...a l004.0 ROLL Go paperless ThE FAZE T T t • • CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFID AEN -NAL Fage 10 of 12 Rated twallone 0.0y Velor S00,2007 DAL OAR RAT CD COMMUNICATIONS rxciurnaer ?Car SDNY_GM_00047989 DB-SDNY-0010813 EFrA_00 I 58598 EFTA01290626 Important Information and Disclosures (continued) Oralsrellatta Prtvaie Wealth 1.4.4•yentiu Margin Carnet 4.0.0 Destulv S ta Inc Now *A tao 011t• /Ore. itoenes. 26th I low Statement Period: 0810112014 • 0813112014 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 shams 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. incuired a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, bmehness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poets makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 @orders for the purchase and sale of securities and other property and On 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 controlfing or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representabves 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, Ater° appicable. the rendering of investment advice, if any, to you and it general, lathe ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC"). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vninypershing.corrilstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includng unauthorized Kadin), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Pagett of 12 Account Numbe Rated twallordi DOAN 90L1 Go paperless been Vnt Lace 2'007 FAZE DAL OAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) TUFSIST N F I DEISITIA rxcia Imo Itrir AZZTS.="0...7.r.te SDNY_GM_00047990 OB-SDNY-0010814 EFrA_00158599 EFTA01290627 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department Cne Pershing Plaza: Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The noes 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 n which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; Page 12 of 12 OSAII ROM Account Nun ber TF E FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIErEPArnsAL Rated tmellonl (very Vs. Sento 2007 DALMR RATED COMMUNICATIONS rxciarner ...====.-LetliZetiSII W SW Mao SDNY_GM_00047991 O8-SDNY-001O616 EFrA_00158600 EFTA01290628 Ita DOK 177,4 571,~1.1021203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE MES 6100 RED HOOK QUARTER 23 ST THOMAS VI 00802 Your alun Adrian: Ocmiln•c gam Vo4a. mr.0"-~ Pavlos CoonitG•cxp Otrisdx Mar IM Clinct Ml Paa Pust )NN ker Valuation at a Glance Beginning Account Value kel Cash Deposits and Withdrawals AdJuded Preelous Account Value Dividends. Inlerest and Other timme Total Taxes Wrthheld het Change in Portlak Account Num ber: Statement Period: 07101/2014 -0713112014 This Period 123,796,798.42 0 00 23,796,198.42 13.204.96 0 00 -195.989 75 Tear-to-Date $22,994,082.94 8,108.19 23,002,851.14 488,485.81 440 121 672 48 ncling Account Value Estim ated Annual Inom e 523.613 013.6 3 523.613 013.63 Asset Allocation Prior Tear-End Lad Period This Period % Alloation SO Cash. Noney Funds and Bank Deppats 7,589,036.35 9,855,506.19 9,864,258 28 41.77% USD Fixed Inørne 15.405.626.60 11,796,23223 11,626,025.35 49.24% I USD burks 0.00 2144,060.00 2,122,730.00 B.99% Awount Total (Pie alert) 122,994,662.95 $23,7115,108.42 123,613,013.53 100.00% See pege 2 of the statement for important information regardng the Asset Mouton «chock CONFIDENTIAL — PURSUANT TO FED. R CRII\A P. 6(e) 5843 865 32 Pm Chart donation only kludes Fabels that are ol popbve vak*. Page bor 12 cB0o0 9 B I I 1 N CSP30F 017 i dtWiTAL katod tacelloni ban. Ymp. Since 2'007 DALOAR RATE° COMMUNICATOIS %MUN« ...c .0.... SDNY_GM_00047992 OB-SDNY-0010816 EFTA_00158601 EFTA01290629 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year.to.Dale Short-Term Gain/Loss 76 19 -953 52 120.068.32 Long-Term Gain/Loss 0 00 2 021 49 -132,577.10 Net Gain/Loss 76.19 1,067.97 .12,609.79 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Desaidde Amount Balance Sweep Money Market Fund owS GOVERNMENT CASH !USTI Account Num bet 0000001492 Current Yield: 0.03% Adivity Ending:07131114 07/01114 Opening Balance 07/28114 Deposit MONEY FUND PURCHASE 07/31114 Deport INCOME REINVEST 07/31114 Closing Balance Total All Money Market Funds Income and Expense Summary 9.855.506.19 8.500 92 251.17 Current Period Year-to-Date Taxable Non Tuat4e Taxable Non Taxable 9.855.506 19 9.864 007.11 9164.258 28 69,664,258.20 $9,864,258.28 Dividend Income Equities 0.00 0.00 33,945.35 0.00 Money Market 251.17 0.00 790.27 000 Other Dividends 7.152,83 0.00 305,871.72 000 Interest Income Bond Interest 5,800.96 0.00 146,998.02 0.00 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest, Income and Expenses $13,214.98 $0.00 $488,496.81 $0.00 Distributions Other Distributions 0 00 2,899.98 0.00 16,569.62 Total Distributions $0.00 $2,699.96 $0.00 $16,669.82 1U8A0 1101.1 Account Nun be, TFE FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 12 Go ErEPiVis ON Fl A L Raid facolloni (very YearSince 2'007 DAL BAR RATED COMMUNCA MN'S rxarturnact SDNY_GM_00047993 DB-SDNY-0010817 EFTA_00158602 EFTA01290630 Deasre OMR 'Sate Wealth Maaagenetel IelamIS (MOP 4.10 °ft.loam% sesaen.E. Now *4 Ono HS PP% MOM. IMP I bast Statement Period: 0 71 011 211 4 • 07/3112014 Portfolio Holdings Account Activity Opening Closing Accrued income 30-Day Carrell Opening Date Quantity 'lumber Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 42.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 07101114 9,864,258 280 0000001492 07131114 9,855,506.19 9,864,258.28 0.00 790.27 0.03% 0.03% Total Money Market 19,866,606.19 19,854,268.28 10.00 $790.27 FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 07101114 N46024943 07/31114 0.00 0.00 0.00 88225 NIA N/A Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $882.26 Total Cash, Money Funds, and Bank Deposits 19,865,606.19 19,864,268.28 30.00 11,672.52 Uarealind Adjusted Maned Estimated Estimated Date Acquired Quantity Unit Cod Cod Bads Market Price Markel Value Gaial Loss Merest Annual Income Yield Fixed Income 40.00% of Portfolio (In Maturity Dale Sequence) 'Asset Backed Securities GS M TG SECSCORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X5 CTF Cl. 81 VAR 5.751% 06/25/35 WE DID 05101105 S8 P Rating Ein Factor:0.60504403 Effete Date:07101/14 Current Face Value: 1,217,566.045 12113113'•'.11 1.500.000.000 97.1780 1,173,466.79 96.9440 1,170,64213 -.82396 5 788 02 Original Cod Basis: 51.189.568.80 Total Asset Backed Securities $1,173,486.79 $1,170,862.83 -12,823.96 $5,788.02 $0.00 1,500,000.000 Total Current Face Value : 1,207,566.045 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11/01/16 WE DTD 10/12/06 YULTIPLEGUARANTORSISTCPN DTE 05/01/07 Moody Rating 11/t3 Sd P Rating B8- 05110/11 %MI 5 1,200.0W.000 106.0270 1,272,329.84 107.0000 1,284,000 00 11,670 16 22.125 00 88.500 00 6.89% Original Cod Basis 51,383,500.00 Page 3 of 12 Account Num Derma Rated [nailer/I 800,6111CSFIA' : Go paperless L very V.A. Late Z007 ()PAP ROL I THE FAZ CALMAR RA TED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) E TG ESISTO N F I DriTriA rxesartraer SDNY_GM_00047994 OB-SDNY-0010818 EFrA_00 I 58603 EFTA01290631 Portfolio Holdings (continued) Adjuded Unrealized Accrued Estimated Estimated Date Acquired Qua Unit Cod Cod Bads Market Price Market Value Gale/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTO SR NT Security identifier: 46262EAE5 10.250% 05/15118 BIE DTD 11/15/11 CALLABLE 05/15115 (I 105.125 Moody Rating CAA3 S 8 P Rating CC 10!02112'.12.13 500,000.000 91.7380 458.681.88 85.5000 Original Cod Basis $445,000.00 PM ORGAN CHASES CO DEP SHSREPSTG Security identifier: 48625M1A1 1/10TH PFD SERI FIXED TO FLTG RI BO 7.900% 04129149 B1E DTD 01123108 Moody Rating BAt S & P Rating BBB 05110/11 12.1) 3,000,000.000 111_2650 3,337,958.33 110.1250 Original Cosl Basis: $3.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security identifier: 060505078 SliS FIXED TO FLOAT 8.125% 04/30/58 WE DID 0/130108 CALLABLE 05115118 Moody Rang BA3 S & P Rating BB' 05710/11 12.1$ 3,000,000.000 112,9870 3,389,620.83 110.6940 Original Cost Basis 53.389.620.83 Total Corporate Bonds $8,458,590.88 7,700,000.000 Total Fixed Income $9,832,077.87 9,200,000.000 427,500 00 3,303,750.00 3.320.820.00 $8,335,070.00 $9,606,732.13 Date Acquired Quantity Ueit Cod Cod Basis Market Prim Markel Value Equities 9.00% of Portfolio Preferred Stocks (Listed by expiration date) CMGROUP INC DEP SKS REPSTG Security identifier: C PRK 1/1000Th PFD SERK 6 875% CUSP. 172967341 Dividend Option: Cash 02/03/14 79,000.000 25.3090 1,999,418.90 26.8700 2,122,730.00 123,311.10 Total Preferred Stocks $1,999,418.10 $2,122,730.00 $123,311.10 Total Equities $1,990,418.90 $2,122,730.00 $123,311.10 11.1.1. :' . 2921:4CSF!' Account Number MIA2 MOIL Go paperless DIE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ONFIDAENTIAL .31.181.88 10,819 44 51,250.00 11.98% .34,208.33 59,250.00 237,000.00 7.17% 08,800.83 51,458.33 243,750.00 7.34% .$122,520.85 $143,55217 $820,500.00 -$125,344.84 $149,440.79 $620,500.00 Unrealized Estimated Estimated Gala/ Loss Annual Income Yield 135,781.25 6.39% $136,781.26 $136,781.26 Page 4 012 Rated tacellon. Ivory Vs.. Lea 2007 DAL BAR RATED COMMUNICATIONS rxenmser Venom LAC miaow 0110A rent. OK SDNY_GM_00047995 OB-SDNY-0010819 EFTA_00158604 EFTA01290632 e itint Mwoets Owego C•Ctp 0...,u la Nom Yin bet Mar JA)Pstit Annw. 101k noct th-..•Ert IOVA Statement Period: 07/01/2014 - 07/31/2014 Portfolio Holdings (continued) Unrealized Date Acquired Ouautlty UM, Cod Cod Basis Market Price Markel Value Gal/ Loss Mutual Funds 9.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Stonily Identifier: .PHSX CUSP 481211510 01/22113 '.3 198,216.056 10 0900 2,000,000.00 10.0400 1,990,089.22 -9,910.78 80,673.93 4.05% 02/01113 '.3 630.057 10 0670 6.342.92 10.0400 6,325.77 -17.15 256.43 4.05% 03/01113 '.3 111.578 10.0600 7,158.48 10.0400 7,144.24 -14.24 289.61 4.05% 04/01/13 '.3 789.547 10.1100 7.98223 10.0400 7.927.04 -55.29 321.35 4.05% 05/01/13 '.3 751.550 10.1300 7,613.21 10.0400 7,545.57 -67.64 305.88 4.05% 06/03113 '.3 757.360 10.0900 7,641.77 10.0400 7,603.89 -37.88 308.25 4.05% 07101113 '.3 688.131 9.9700 6,661.27 10.0400 6,708.03 46.76 271.93 4.05% 08/01113 '.3 704.609 10 0600 7,088.37 10.0400 7,074.28 -14.09 288.78 4.05% 09/03/13 '.3 709.175 10 0300 7,113.03 10.0400 7,120.12 7.09 288.63 4.05% 10/01/13 '.3 712.100 10 0240 7,137.85 10.0400 7,149.48 11.63 289.82 4.05% Total Noncovered 204150.163 2,064,739.23 2,054,68714 .10,051.59 53,292.61 Reinvestments to 6.434.749 10.1060 65,028.33 10.0400 64.604.88 -423 45 2,618.94 4.05% Date Total Coveted 6,434.749 65 028.33 r 61,604.88 -423.45 2,616.94 Total 211,064.912 32,129,767.55 32.119.292.52 -510,475.04 $65,911.55 Total Mutual Funds $2,129,767.56 32,119,292.52 ,510,475.04 366,911.55 Estimated Estimated Annual Income Yield Unrealized Accrued Estimated Cod Basis Markel Value Gain/ Lou Interest Anneal Income Total Portfolio Holdings 323,625,522.41 323,613,013.63 -512,508.78 5149,440 79 3613166.32 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section we 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 *appbcaNe date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. one nun Account Number TI-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go ONFIErETHisAL Page 5 oft? Rated tacolleril Bray Vn. siva 2007 DAL OAR RATED COMMUNICATIONS rxeiturtraer SDNY_GM_0004 7996 OB-SDNY-0010820 EFTA_00158605 EFTA01290633 Portfolio Holdings (continued) Reporerg requremerts gererally will be phased in over a three-year period, as follows: • Stock n a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portion° system is amended to reflect this change. These calculations will not be performed under certan circumstances. including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. f The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering frrn or transferring agent and Pershing makes no representation as to the accuracy of this inforniation. Schedule of Realized Gains and Losses Current Period Disposition Aossisition Disposition Date Date Tranudion Description Quantity Cool Barn Proceeds Realized Gain/ Lola Disallowance Short Term 07/25/14 12113113' RPP GS la TG SECS CO RP 200 ASSTI-RL CTF CL 81 VAR 5.751% 06125135 8/E OTD 05101/05 Security Identifier 36242D7X5 Original Cost Basis: 2,623.76 1,500,000.000 2,623 76 2.699 95 76.19 Total Short Term $2,623.16 $2,699.95 $76.19 Total Short Term and Long Term $2,623.76 $2,699.95 $76.19 • Noncovered under the cost basis rules as defined below. 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')(Mcorperating amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered." under the new cost basis reporting rules, and marked or denoted as such. Al 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 folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect aN cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a retum of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Page 6 of 12 Account hum ber. N4G-024943 I t kn. (...,.,P OPA L, /IOU Go paperless (very Vs. Since 2007 TrE FAZ DAL liaft RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) E Terd"STO N F I DriSrriAL rxernmer SDNY_GM_00047997 OB-SDNY-001O821 EFrA_00158606 EFTA01290634 Drain Rant Pon. Wean minim-tan Mantis todrage 4, P Deautv Secvnes 0‘ New b4 Mc* MIEN Amon 160. tcr Statement Period: 0710112014 • 07/3112014 Schedule of Realized Gains and Losses Current Period (continued) Adjustments to cost basis car be made after year-end. in particular. for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly chant brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have evadable to you. Vvhen you report your cost basis on your tax retum, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to property report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event one cr move of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wit be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 10998. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments webste at hipsiNmw.dws-investments.conVEN/products/moriey-rnarket-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Deutsche Bank has combined its asset and wealth management operationsainckrding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities void continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a menter of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Page? of 12 °SAN ROIL AccountNumber D•E FAZE TRl.S1 CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) ONFIDCA PetLf s iAL Rated tscollerdi (very yea, Since 2007 DAUM. R^T02 COMMUNCATIONS rxenurtraer SDNY_GM_00047998 OB-SDNY-0010822 EFrA_00158607 EFTA01290635 Activity Sum m ary (All amounts shown are in base currency) Oedits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 000 0.00 Securities Sought .7.152.83 -2.064.915.62 Securities Sold 0 00 7,760 359.19 Securities Sold 000 0 00 Total Securities $0.00 $2,780,359.19 Total Securities -$7,152.83 -$2,064,915.62 Dividends and Interest $13,204.96 $488,486.61 Dividends and Interest $0.00 $0.00 Distributions $2,699.96 $1,085,824.97 Distributions $0.00 42,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld WOO $0.00 Cash Cash Deposits 0 00 8.188 19 Deposits 0 00 0 00 Total Cash $0.00 $8,188.19 Total Cash WOO $0.00 FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds So.00 $0.00 Money Market Funds 46,762.09 .$9,864,258.28 Total Credits $15,904.92 $14,724,736.02 Total Debits -$15,904.92 -$14,724,736.02 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued littered Amount Currency Securities Bought and Sold 07101/14 RDA VEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 707.500 -7,152.83 LSD SI-SX 210377.4120 SIRS SHRS PORCH. AT 510.11000 RD 08127 PD 07101114 Total Securities Bought and Sold • UNITED STATES DOLLAR 8.00 -7,152.83 Dividends and Interest 07101114 CAST DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOM E FUND SELECT SHARES 7,152.83 USD SX 210377.4120 SIRS RD 06127 PD 07101114 07/25/14 BOND INTEREST RECEIVED 1500000 GS M TO SECS CORP 2005-5F M TG PASSIM RU CTF 5,800.98 USD 3824207X5 CL B1 VAR 5.752% 08125135 B/E DTO 05101105 RD 06130 PD 07125114 07131114 MONEY MARKET FUND DWSGOYT CASH INSTL 251.17 USD INCOME RECEIVED 233993682 Total Dividends and interest • UNITED STATES DOLLAR 0.00 13,204.96 Page 8 oft? RQO. Account Number THE FAZE 7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ErEPrisfis ON F I A L listed tacellone Lv..y Year Senor 2007 DAUM. RATED COMMUNICATIONS rxenurrier SDNY_GM_00047999 DB-SDNY-00 10823 EFTA_00158608 EFTA01290636 °.,i,, ,* Um Pnnie Wealth vaagenerno Margit. Cfsenie 4.00 IXMUM Mee Sew 9csW. Mew *4 Cillt• MS Part Mow*. !Wilber Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Statement Period: 0 71011211 4 -0713112014 Price Accrued Interest Amount Currency Distributions 07/25114 RETURN OF PRINCIPAL 1500000 GS MTG SECS COW 2005-5F M TG PASSTHRU CTF 2.699 96 USD RECEIVED CL Ell VAR 5.752% 06/25135 BIE DTD 05101105 RD 06130 PD 3624207X5 07/25/14 Total Distributions - UNITED STATES DOLLAR 0.00 2,099.90 Money Market Funds 07/28114 MONEY FUND PURCHASE DWSGOYT CAS1- INSTL 4.500.92 USD USD999997 07131114 MONEY MARKET FUND DWS GOVT CASH INSTL INCOME REINVESTED -251.17 L.S0 REINVESTMENT 233993682 Total money Market Funds - UNITED STATES DOLLAR 0.00 4,152.09 Total Value of Transactions 0.00 0.00 UN The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Valle % of Bond Market Value 1 to 5 years 1,711,500.00 18% 0 Percentages of bond market values are Over ID years 7,795,232 83 82% n rounded to the nearest whole percentage. Total 9,505,732.83 100% Page 9 of 12 1'01 :ICS?: 2 , Account Number Cio paperless THE I-AZ E TC, Fd° Rated 4a,. l. Lyon. Year Sava 2007 DAL BAR RAT ILO COMMUNCA TIONS r %OIL 'NCI O N F I DrismAL SDNY_GM_00048000 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0010824 EFTA_00158609 EFTA01290637 Bond Quality Bond Qualdy Market Value % of Bond Markel Value BAJLower 9,506,732.83 100% Percentages of bond market values are Total 9,506,732.83 100% rounded to the nearest whole percentage. You am 100% invested in bonds with a bond quality of BA/Lawer. Client Service Information Your Client Advisor: TDS TAN SMITh 345 PARK AVEh LE 14Th FLOOR It.EIV YORK k110154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default M ethod for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Man: Default Method for all Other Securities: FIRST IN RRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more inloim alien. FIRST lk FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be rehable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a once is not available are marked —N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to wimpershing.cortvtusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon mitten request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in 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. Account kumba OBAB NMI Go paperless TFE CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE Tt O N F I EIENTIAL Fage10 of 11 Ostacl tacolleria (very Veer Since 2007 DAL LIAR RAT CO COMMUNICATIONS rxenurrier var.. m SDNY GM 00048001 DB-SDNY-0010826 EFTA_00158610 EFTA01290638 Important Information and Disclosures (continued) Ocuiwc Vots• Manair-wrat Mootts OntiegtO•ccp De.tic la Bar Sec, Yin bete Mar Annw. !Mk noct Statement Period: 0710112014 • 07/3112014 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign cunency transactions as principal for your account Pershing may automatically convert foreign cunency to or from U.S. dollars for dividends and sirnilar 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 cunency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. named a charge. or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard 8 Poor's. Reproducing and distributing any information received from Standard 8 Pools is not permitted without prior written authorization from Standard 8 Poor's. Standard 8 Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 @orders for the purchase and sale of securities and other property and (-loony other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances. execution of securities ciders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnvw.pershing.comrstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includiog 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 wining to further protect your rights, including your rights under the Securities Investor Protection Act. Page It of 12 Account Number Rated Excellent, 1,14.r Go paperless beefy Va./ SOOKI 2.007 DAL OAR RATED COMMUNOCATIONS THE HAZE TECO NI F I Drvri,k rxentrwer CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) SDNY_GM_00048002 013-SDNY-0010826 EFEk_00 I 5861 I EFTA01290639 Important Information and Disclosures (continued) The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very faded. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for 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 di 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 unlit (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows. Pershing LLC; Legal Department One Pershing Plaza: Jersey City, New Jersey 07399 Page 12 of 12 ORAN ROLE Account Num bet ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) tip ONFIErelatrerleisAL kind Excellent (very Van Woe, 2007 CALMAR RATEOCOMMUNICATIONS rxesartraer SDNY_GM_00048003 OB-SDNY-0010827 EFTA_00158612 EFTA01290640 I% bet 17/6. Mee" PADM203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SM ITN Oeuiv Itim .mild, WfalOOMMIP- wrat We WS Cerra,. 4.c.,p Ontscht Sant sew,. n< Mn *4 Pro HS Pant Moot 160.31.1 Pin VI ItY IOVA Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld Net Chan e in Portfolio nding Account Value Estrn ated Annual Morn e Account Num ber. Statement Period: 0610112/14 -0613012014 This Period $23,877,368.62 0 00 23,877,368.82 12.768 11 0 00 105.661 69 Year-to-Date $22,994,662.95 8,188.19 23,002,851.14 475.280.65 410 317.662 23 523.795.798.42 $23.795.798,42 Asset Allocation PON Year-Eed La Period This Period % allocation USD Cash. Money Funds. and Bank Deposits 7,589,038.35 9,846,764.76 9,855,508.19 41.12% USD Fixed Income 15,405,626.60 11,715,773.86 11,198,232.23 49.57% I USD Equities 0.00 2114.830.00 2,144,060.00 9.01% Account Total (Pie Chart) 322,994,682.95 823,677,388.62 623,795,798.42 100.00% See page 2 of the statement for importart $nformaton regardng me Asset *Neat*, section. 5843.536 58 Fe C-ar.allooer only [-c. -des cr.-vs tnal are of oos,t.ie ‘al.e Page lot 14 DOAN 90.1.1. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Raled Von [saner. Event Since 2007 B00977013CSP30022 GO paperless CONFIDENTiA re.‘art IrtitiNclitAIEDC°N.AuNiCAT".6 SDNY_GM_00048004 OB-SDNY-0010828 EFrA_OO 158613 EFTA01290641 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized UnaNzed Tids Period Year4o-Date Short-Term GainfLoss 75.74 -1,02931 142,121.09 Long•Term Gal&Loss 000 2.021.49 39.599.64 Net Gain/Loss 75.74 991.78 181,720.73 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Acclivity Type Demiptioo Amount Balance Sweep Money Market Fund ow a GOVERNMENT CASH I NM. Account Number: 0000001492 Currenl Yield 0.03% Activity Ending: 06130114 05131114 Opening Balance 9,846,764.76 9,846,764.76 06126/14 Deposit MONEY FUND FtiRCFASE 8,498.57 9,855,263.33 03130/14 Deposit INCOME REINVEST 242.86 9 855 506.19 08130114 Closing Balance $9,1158,608.19 Total All Money Market Funds $9,665,606.19 Income and Expense Summary Current Period Year•to-Date Taxable Nos Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 33,945.35 ON Money Market 242.86 0.00 539.10 0.00 Other Dividends 6310 82 0.00 298,71819 0.00 Interest Income Bond Interest 5,81413 0.00 141,195.06 000 FDIC Insured Bank Deposits 0 00 0.00 882.25 000 Total Dividends, Interest, Income and Expenses 312,768.11 30.00 2475,280.66 $0.00 Distributions Other Distributions 0 00 1684.14 0.00 13.869.66 Total Distributions $0.00 $2,884.14 $0.00 $13,869.66 Of 1..11 ROLL Account Nun ber TF E FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 14 ONFIDciPPAT o erieisAL Rated [..Mane (very Vow' Woo. 2007 DAL BAR RATED COMMUN CATIONS rxcittrhier SDNY_GM_00048005 DB-SDNY-00 10829 EFTA_00158614 EFTA01290642 (Micro Kam POWSII.Weahn Manimnalt Idwals CARED Do‘P OMAN MA Sew Ats TR Ilow NA CONE MS IN Newt !Rh I Act Steve m Timm Statement Period: 06/0112114 • 06/30/2014 Portfolio Holdings Axount Opening Date Quantity 'Sumter Adivity Ending Opening Balance Closing Etsbact Actrued Income Income This Year 30.0ay YieW Cured Yield Cash, Money Funds, and Bank Deposits 41.00% of Portfolio Money Market OWS GOVERNMENT CASH INSTL 05131114 9,855,506.190 0000001492 06(30114 9,816,764.76 9,855,506.19 0.00 539 10 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 05(31114 N40024913 06(30114 $9,046,764.76 0.00 19,655,506.19 0.00 10.00 0.00 $539.10 182.15 NIA NM Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $612.26 Total Cash, Money Funds, and Bank Deposits Date AcOauN Quantity Unit Cost Adjusted Cost Basis 19,646,764.76 Market Price 19,655,506.19 Market Value 30.00 Unrealized GaialLoss $1,421.36 Awned Interest Estimated Estimated Annual Income Yield Fixed Income 41.00% of Portfolio (In Mawrity Dee Sequence) 'Asset Backed Securities GS M TG SECS CORP 2006.5F M TG PASSTii RU CTF CL 81 VAR 5.752% 06125135 EUE DID 05/01105 58 Pitting Bs Fedor: 0.60684401 Effective Date:06/02/14 Current Face Vain: 1,210,266.015 12113113'•x.17 1.500.000 .000 97 1780 Security Identifier: 3624207X5 1,176,110.55 96.9470 Original Cost Basic 51,189,568.80 Total Asset Backed Securities $1,176,110.55 1,500,000.000 Total Current Face Value : 1,210,266.015 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 1110111681E DTD 10112106 ULTIPLE GUARANTORS 1ST CPA DTE 05/01/07 Moody Rating BA2 Sd P Rating BB- 05n0/11 '.17.15 1.200.000 000 1061390 1,274,865.87 109.8750 1818.500 00 Original Cost Basis: 51,363,500.00 8OO1O7O8CSE3' OMR ROU CONFIDENTIAL - PURSUANT TO FED. R CRIN1. P. 6:e: HAZE TrO N F I DAENTEAL Account Number Go paperless 1,173,318.59 -2 793 96 5 609 18 $1,173,316.59 -92,793.96 95,608.18 90.00 43.634 13 14,504 17 88,500 00 6.71% Page 3 of 14 Rated Dollen' TR.", v«. voce 2'007 DAL BAR RA TED COMMUNICATIONS rxclar NCI .c::..—r...7.tta="..„r..' rt. SDN Y_GM_0004 8006 OB-SDNY-0010830 EFTA_00158615 EFTA01290643 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Dale Acquired Quaetity Ueit Cost Cost Bans Market Price Markel Value Gain, Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) 'PAYMENT INC GTO SR NT Security Identifier: 46262EAE5 10.250% 05115118 WE DTD 11115111 CALLABLE 05/15115 0 105.125 Moody Rating CAA3 S t P Rating CC 10102112'.12.13 500,000.000 91.5960 457,98229 90.0000 Original Coal Basis: $445,000.00 PM ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 48625HHA1 1110TH FED SER 1 FIXED TO FLTG RT BO 7.900% 04/29/49 WE DID 04123108 Moody Rating BM St P Rating BBB 05110111 12.13 3.000.000 000 1112850 3.337 555 33 111.7500 Onginal Cost Bans 53.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 080505018 %ISSUED TO FLOAT 8.125% 04130158 WE DID 04130108 CAU.ABLE 05115118 Moody Rating 8A3 S& P Rating B84 05110/11 12.1$ 3,000,000.000 112.9870 3,389,620.83 112.5000 Original Cost Buis: $3&89.621.83 Total Corporate Bonds 58,480,427.32 7,700,000.000 Total Fixed Income 39,838,637.87 $9,80,318.59 332,771.72 $18,487.36 $620,500.00 9,200,000.000 450,000.00 .7.982.29 6.10625 51,250.00 11.38% 3,352,500.00 14.51167 39.500 00 237,000.00 7.08% 3,375,000.00 .11,620.83 30,468.75 213,750.00 7.22% $8,496,000.00 536,572.68 590,879.17 5820,500.00 Unrealized Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Galaf Loss Equities 9.00% of Portfolio Preferred Stocks (Listed by expiration date) CMGROUP INC DEP SHS REPSTG Security Identifier: C PRK 11100071- PFD SER K 6 875% CUSP: 172987341 Dividend Option Cash 0210311/ 79,000.000 25.3090 1,999,118.90 27.1100 2,144,060.00 111,641.10 Total Preferred Stocks $1,999,418.90 52,144,080.00 $144,641.10 Total Equities $1,990,418.90 $2,144,060.00 $144,841.10 Account Number: ? • D977Q8CSF!' . I }PAN 9011 Go paperless THE MAL MS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FAZE TraCO N F I DA Estimated Estimated Annual Income Yield 135,781.25 6.33% $136,781.26 5136,781.26 Page 4 of 14 Rated excellent (very V.A. Since 2007 GALLIA. RATED COMMUNICATIONS rxesurnaer .7r. it "J .7: dIre SON Y_GM_0004 8007 OB-SDNY-001O831 EFrA_00 I 58616 EFTA01290644 Ocuicev Ram PoweVhattniAvviena0 Myatt Cony 0,0‘P Destut• 8.7 Se0, 0ei 7K lire yen Olk• Na Put 00~. )60, kw MSS Statement Period: 06/01/2014 - 06130/2014 Portfolio Holdings (continued) Unrealized Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Glint Loss Estimated Estimated Annual Income Yield Mutual Funds 9.00% of Portfolio JP M ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest: Capital Gains Option: Reinvest Security Identifier:PHU CUSP. 481211510 01122113 '.3 198216.056 10.0900 2,000900.00 10.1100 2,003,964.33 3,964.33 88872.15 4.03% 02101113'.3 630.057 10.0670 6.34292 10.1100 6.36988 26.96 257.06 4.03% 03101113'.3 711.578 10.0600 7,158.48 10.1100 7,194.06 35.58 290.32 4.03% 04101113'.3 789.547 10.1100 7.982.33 10.1100 7.982.31 -0.02 322.13 4.03% 05101113 '.3 751.550 10.1300 7,613.21 10.1100 7,598.17 -15.04 306.63 4.03% 06103113'.3 757.360 10.0900 7,641.77 10.1100 7,656.92 15.15 309.00 4.03% 07101113'.3 888.131 9.9700 6,661.27 10.1100 6,754.81 93.54 272.80 4.03% 08101113'.3 704.609 10.0600 7,088.37 10.1100 7,123.59 3522 287.48 4.03% 09103113'.3 709.175 10.0300 7,113.03 10.1100 7,16977 56.74 289.34 4.03% 10101113'.3 712.100 10.0240 7,137.85 10.1100 7,199.33 61.48 290.54 4.03% Total Noncovered 204,860.163 2,004,739.23 2,00,013.17 4,273.94 83,497.25 Reinvedm ents to 9727.249 10.1050 57,875.50 10.1100 57,902.47 26.97 2,336.73 4.03% Date Total Covered 5,727.249 57 875.50 57,90 2.47 26.97 2,338.73 Total 210,377.412 $2,122,614.73 $2,126,915.64 $4,300.91 $86,833.98 Total Mutual Funds $2,122914.73 $2,129916.04 $4,300.91 $66,633.98 Total Portfolio Holdings Unrealized Awued Estimated Cod Basis Markel Vain Gale loss Interest Annual Income 23,814,0 77.69 23,796,798.42 181,720.73 99487.35 843,538.58 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section we 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 *appbcaNe 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. 1007.0 ROIL Account Number P-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ON FIErelg aPefi sAL Page 5 of 14 Itatod 4caII.S (very War Slows 2007 0ALBAII RATEOCOMMUNICATIONS 7XCIIIL7NC7 =Tr ".....t..=" •= 1.2' ti Wua -•••••••••A vac SON11_00_00048008 OB-SDNY-0010832 EFTA_00158617 EFTA01290645 Portfolio Holdings (continued) Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaction Description Quantity Coll Basis Proceeds Realized Gain/ Loaf Disallowance Short Term 06125114 12/13/13' nif GS It TG SECS CO RP 200 ASSTFRL CTF CL B1 VAR 5.752% 06125135 B/E 0T0 05/01/06 Security Identifier 3624207X5 Original Cost Basis: 2,608.39 1.500.000.000 2.608 39 2,614.13 75.71 Total Short Term 12,608.39 $2,684.13 $76.14 Total Short Term and Long Term $2,608.39 $2,684.13 $76.74 Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ('IRC') (incorporating amendments enacted by P.1_110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered." under the new cost basis reporting rules, and marked or denoted as such. Al 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(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect an cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Page 6 of 14 OKA!, vVlt Account Num ber Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: HAZE TtO N F I DrwriAL Rated Lacolleria Bray Von Late 2007 DAL OAR RATED COMMUNICATIONS rxarturnaer SDNY_GA4_00048009 DB-SDNY-00 10833 EFTA_00 158615 EFTA01290646 Gnaw.< 0." 00.410 vessin mamarmt Penis Iowa,. 4.p..p Dettsthi Sewnes lire bet Oncto HI Part Annie. Halter w4'wet 10114 01/14:441114. ma 741.4,91, Statement Period: 0610112014 • 06/30/2011 Schedule of Realized Gains and Losses Current Period (continued) Aodustments to cost basis can be made after year-end. in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly chant brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you. When you report your cost basis on your tax retum, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by Pershing as it relates to M.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wit be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vnwrdws-investments.com/EN/productshnoney-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 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 products disclosure document or contact your advisor for additional information. Please note that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process: Partial Calls: Pershing's Impartial Lottery Process: Partial Calls When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been incorporated into the FINRA Consolidated Rulebook, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processAnThen an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are Page 7 of 14 Account Num na be; Rated [mallard, 1,1001 VOI Go paperless 4 ,%,) L very Year Since 2'007 THE FAZE buTO N F I DAENTIA rxDAenur L OAR ReA r ED T OOMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00048010 OB-SDNY-0010834 EFTA_00158619 EFTA01290647 M essa es (continued) excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security. the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = $25,000): Client Account: ABC-123234; Par Value: $100,000; Number of Trading Units: 4 Client Account: DEF-325465; Par Value: $75,000; Number of Trading Units: 3 Client Account: EDR-567433; Par Value: $150,000; Number of Trading Units: 6 Client Account: EGT476574; Par Value: $50,000; Number of Trading Units: 2 Client Account: EGT-888345; Par Value: $25,000; Number of Trading Units: 1 Client Account: FRT-435234; Par Value: $25,000-, Number of Trading Unts: 1 Client Account: FRT-658797; Par Value: $75,000-, Number of Trading Unts: 3 In brief, the allocation process involves the following steps: > The number of trading units held n each account is identified. > A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). > A random number is generated that will result in one of these trading units being the first unit in the selection process. > Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. When a partial cal is deemed favorable to the holders of the called security, Pershing wil exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation wit be made to these proprietary and employee accounts until all other client positions at Pershing in such securities have been called. Wien a partial call is deemed unfavorable to holders of the called security. Pershing wil not exclude any accounts from the lottery. If the partial call is made at a price above the current market price as captured in Pershing's price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wil not cause an under-margined condition. Pagel of 14 Account Nun Der Mal [malls nil Go paperless Every Vest Woes 2007 t H DAL BAR RATED COMMUN CATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) AZE I o N F I DE1SMA SDNY_GM_00048011 OB-SDNY-0010835 EFTA_00158620 EFTA01290648 Sc. 00. 1776, Balt mote MD 21203 Dnalsrellana Pe.* Weahn Manyrwat MareitstedrageGm‘P Destulv Mee Sets, net mc Mw*4 Mc* HS Put Mos. Ha ibcr Activity Summary (AU amounts shown are in base currency) Credits This Period Year-to-Date Debits Statement Period: 0610112014 • 06/30/2014 This Period Year-to-Date Securities Securities Securities Enyht 000 000 Secullies Sc6g ht .5 710 P2 -2.057.762 79 Seeuntes Sold 0 00 2 760 359 19 Seca eves S:Id 0.00 Total Securities $0.00 $2,760,359.19 Total Securities •$6,710.82 -$2,057,762.79 Dividends and Interest $12,768.11 $475,280.65 Dividends and Interest $0.00 $0.00 Distributions $2,684.14 $1,083,125.01 Distributions $0.00 -92,72411 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 000 8,188 19 Deposits 7 0.00 Total Cash so.00 $8,188.19 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 110,301,87168 FDIC Insured Bank Deposits $0.00 -$2,792137.31 Money Market Funds $0.00 $0.00 Money Market Funds 49741.43 -09,655,506.10 Total Credits $15,452.25 $14,708,831.10 Total Debits -$15,452.25 •814,708,131.10 Transactions by Type of Activity Process; Settlement Date Activity Type DesedrIlon Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 06102114 REIN VEST CAST lk CO ME 8F• Sk "MORGAN FLOATING RATE INCOME FUND SELECT SHARES 2097129740 SIRS SHRS PURCH. AT $10.10000 RD 05129 PD 06102114 664.438 4.710.82 LSD Total Securities Bought and Sold • UNITED STATES DOLLAR 08.4, RCM Account Number TI•E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go ON Fl A L 0.00 43,71022 Page 9 of 14 Rated tscolhinfi Lrwy Vn. Since 2007 OALBAR DATED COMMUNICATIONS rxestuNCI SDNY_GM_00048.012 O13-SDNY-0010836 EFrA_00 158621 EFTA01290649 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 06/02/14 CASH DIVIDEND RECEIVED PH SX 06125/14 BOND INTEREST RECEIVED 3624207X5 06130114 MONEY MARKET FUND INCOME RECEIVED 233993682 PP/ORGAN FLOATING RATE INCOME FUND SELECT SHARES 209712.9740 SIRS RD 05129 PD 08102114 1500000 GS MTG SECS CORP 2005.5F M TG PASSTHRU CTF CL B1 VAR 5.759% 08125135 DIE DID 05101105 RD 05130 PD 08125111 DWS GO VT CASH INSTL 6110.82 5,814.43 242.88 USD USD USD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 12,761.11 Distributions 06125/1! RETURN OF PRINCIPAL 1500000 GS MTG SECS COPP 2005-5F M TG PASSIM RU CTF 2.684.14 LSD RECEIVED CL D1 VAR 5.159% 06125135 WE DTD 05101105 RD 05130 PD 3624207X5 08125111 Total Distributions - UNITED STATES DOLLAR 0.00 2,684.14 Money Market Funds 06126/14 MONEY FUND PURCHASE DWS GO VT CASH INSTL 4498.57 USD USD999997 06130114 MONEY MARKET FUND DWSGOVT CAP! INSTL INCOME ReN VESTED -242.86 USD REINVESTMENT 233993682 Total N oney M ante Funds - UNITED STATES DOLLAR 0.00 -$.141.43 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Account Nun ber OBAN ROLL Go paperless E CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) FAZE T ONFID-ENTIAL Page 10 o114 Rated Lacellerigi (very Year Since 2007 DALBAR RATED COMMUNICATIONS 7X00.1.7NC, SDNY_GM_00048013 DB-SDNY-0010837 EFTA_00 158622 EFTA01290650 FE PC. Boi 1770 Elul rr(xt MD 2120 Bond Maturity Schedule Oruisev Ram Pon. Weain havvienan Mantis C Donee 6 ,o.t) Ohisthi Mai Seworrac. limier* Cs co Na Pot Annus. Hai/ow. Mon wet In• Bond Maturity Market Value of Bond Market Value 1 to 5 years 1.768,500 00 18% Over 10 years 7.900,816 59 82% Total 9,669,316.59 100% Bond Quality Bond Quality Statement Period: 06101/2014 • 06/30/2014 Market Valet % of Bond Market Value BA/Lower 9.669316 59 100% Total 9,669,316.59 100% You are 100% invested in bonds with a bond quality of BA/Lower. Client Service Information .• Percentages of bond market values are rounded to the nearest whole percentage. Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: TDS Contact Information TAZIA SMITF 345 PARK MULE 14TH FLOOR NEV/ YORK AY 10154 Your Account Information Telephone Number: i 212) 454.2889 Tax Lot Default Disposition M ethod Default Method for Mutual Funds: FIRST IA FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications for electronic delivery To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in you account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from Page t t of 14 Account Number liAAN tiOlk GO paperless Itmled[ncollow4 41 4 ) I vegyV.a. Since 2007 TF E FAZE TLAT,,,-.‘ kir in Uk e.linilr IL; Prgit;„42PDC AUPOCA100•6 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00048014 DB-SDNY-0010838 EFTA_00 158623 EFTA01290651 Important Information and Disclosures (continued) Pricing (continued) sources which we believe to be reliable Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to VAViv.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order lbw. 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 fern. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terns 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 wit not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does net guarantee the accuracy, completeness, timeliness or availabilty of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not reconsnendations to purchase, hold or sell securities; and do not address suitabibty for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or Gable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Page 12 of 14 OKA,' V011 Account Num be; Go paperless THE is CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FAZE t sTO N F I DrmAL tacoller4 Ivory V.7.7. Since 2007 DAL BAR RATED COMMUNICATIONS rxenurraer rrel,===="0..r...'r= -ISO- •wAnrw.lC SDNY_GM_00048015 DB-SDNY-0010839 EFIA_00 158624 EFTA01290652 0cuiv "Mall PI Ma mir-MM MarNts CumgmG•ap De.cie N Nom Xlvan M. rab...Me 1.,Pant Ann**. 'me Statement Period: 0610112014 • 06/30/2011 Important Information and Disclosures (continued) The Role of Pershing icor:rim/0d) • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its cent operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413.3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organizations 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.corNstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershin's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n can, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators WI typically include a ninority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; ( Page13014 Account Number TI- E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 6 .°)Dlagf i s ON F AL R.i.d tocellordi Even. Vem Lace 2007 DAL DAD RATED COMMUNICATIONS rxesurnaer rat LtJr.:7:171=7,=="1= SDNY_GM_00048016 OB-SDNY-0010840 EFTA_00158625 EFTA01290653 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIcar•FS. 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 AU. APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF' YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHCWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TI IE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE, IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*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, DEAW/0 OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINNG DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED 8Y LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSMONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT YVWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: Mat PERSHING COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS 10 EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSH NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF GB ABOVE TERMS AND CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERSHING IMEDIMELY .4 WRITING BY CERTIMO MAIL 70 OM PERSHING RNA. JERSEY CITY. NJ 07399, ATM LEON. DEPT Page 14 of 14 08AO ROLL Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 61140:FAZE TRIIST CONFIDESMAL Rated [walking, Lyon.. Year Slate 2007 DAL OAR RA TED COMMUNCA TONS /Kammer etrelimrHateltWIFI.1,01. PM IMMO SDNY_GM_00048017 DB-SDNY-0010841 EFTA_00 158626 EFTA01290654 PA Om AM Siena* MD21203 THE HAZE TRUST HAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SMITH ONIN.0 a, 00•110 VNY I, Mli4je, Ild Mines I wrap Gnat) Deaulv Mee Waren at. New %A Olio MINA Oseesk anti bet Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld Net Chan e in Portfolio ndinq Account Value Estim ated Annual Income Asset Allocation Prior Year-6d Lad Period This Period % &location USD Cash. Money Funds. and Bank Depot& 7,589,036.35 8,509,554.57 9,846,764.76 41.59% USD Axed Income 15.105.62810 12,782,108.32 11,115,773.86 49.48% USD Equities 0.00 2,119,570.00 2,114,830.00 B.93% Account Total (Pie Mart) 822,994,662.95 123,411,532.89 $23,677,366.62 100.00% See page 2 of the statement for important information regardng the Asset Allocation section. Account Number: Statement Period: 0510112014 -0513112014 This Period 823,411,532.89 0.00 23,411,532.89 274,252.51 0 00 -8.116.81 Year-to-Data 522,994,862.95 8,168.19 23,002,851.14 162,512.54 4.40 212,000.54 S23 677 368 62 S23 :377 338 52 $843,022.83 Pe Chart allocatice only indultam products that are of posaste value. Page1013 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Raid I...alien@ BOICISOMSF30016 Go paperless Event Vs. Soso. 2007 CONFIDENTiA ri"AxentatLRAPTEDC°""uNicaTials rearra=====""= ° SDNY_GM_00048018 OB-SDNY-0010842 EFTA_00 158627 EFTA01290655 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realized Unrealized Ibis Period Year4o-Date Short-Term GainfLoss 76.19 -1105.45 45.561.29 Lon •Term Gainlloss 69.560 34 2.021.49 28.739.14 Net Gain/Loss 59,636.53 111.14 74,300.43 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Mont Nam Sweep Money Market Fund OWS GOVERNMENT CASH IBID. Account Num bet: 0000001492 Current Yield: 0.03% Activity Ending: 05130114 05101114 Opening Balance 8,391,051.57 8,391,054.57 05101114 Deposit MONEY FUND PURCHASE 118,500.00 8,509,554.57 05102/14 Deposit MONEY FUND PURCHASE 44,250.00 8,553,804.57 05109114 Deposit MONEY FUND PURCHASE 1,066,530.54 9,620,335.11 05112114 Deposit MONEY FUND PURCHASE 36,208.33 9,656,543.44 05116114 Deposit MONEY FUND PURCHASE 181,445.35 9.837.988.79 05129114 Deposit MONEY FUND PURCHASE 8.534.87 9.846523.66 05130114 Deposit INCOME REINVEST 211.10 9.846.764.78 05130114 Closing Balance $9,146,784.76 Total All Money Market Funds $9,146,764.76 Income and Expense Summary Current Period Year•toNate Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 33,945.35 0.00 33,945.35 0.00 Money Market 241.10 0.00 298.24 0.00 Other Dividends 128,147.72 0.00 292,008.07 000 Interest Income Bond Interest 111,918.37 0.00 135,380.83 0.06 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest, Income and Expenses $274,252.54 50.00 5452,512.54 $0.00 Page 2 of 13 08A11 1011 Account Num ber THE FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ON F I ErrtitfisA L Rated tacoller4 Lyon, Van' Lace 1007 DAL BAR RATED COMMUNICATDONS rxciainaer SDNY_GM_00048019 DB-SDNY-00 10843 EFTA_00158628 EFTA01290656 ()micro Ram Pon. Witahn hia.arnalt Myatt Cedena4,0“) Ott.s04 Una Selt.ri lire bet Mc* la Pan Moms. Ma I kw Statement Period:05/1112114 -1513112114 Income and Expense Summary co Current Period Year-to•Date Taxable Non Taxable Taxable Non Taxable Distributions Other Districuticns 0.00 2,699.83 0.00 11,185.52 Total Distributions $0.00 $2,699.53 $0.00 911,185.52 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balance lamed Income Income This Year 30•Day Dural Yield Yield Cash, Money Funds, and Bank Deposits 02.00% of Portfolio Cash Balance Money Market DWSGOVERNM ENT CASH INSTL 05101114 9 846 764.760 0000001492 05130114 118,500.00 8 391 054.57 0.00 9 846 764.76 8.09 296.24 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 05101114 NIG024943 05/30/14 $8,391,054.57 0.00 $9,845,784.76 0.00 58.09 0.00 $290.24 882.25 N/A NIA Total FDIC Insured Bank Deposits $0.00 $0.00 50.00 $852.25 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Cod Mated Cod Bads $5,509,554.57 Market Price $9,848,784.78 Market Value $8.09 Unrealized Gain( Lou $1,178.49 Awued Interest Estimated Estimated Annual Income Yield Fixed Income 40.00% of Portfolio (In Mortify Date Sequence) 5Assel Backed Securities GS N TG SECS CORP 2005.5f M TG PASSTH RU CTF CL 81 VAR 5.759% 06/25/35 WE DID 05101105 S8 P Rating BY Fedor. 0.80863343 Effective Date:05101114 Current Face Value: 1,212,950.145 12113113 %LH 1,500,000.000 97.1780 Security Identifier: 3624207X5 1,178 718.94 WOAD ROI Account Number TI•E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 91.4030 1,108,672.62 .70,046.12 5,822.08 P49.3013 ON Fl ErerVisA L facelleril (very Year SOSO, 2007 DALBAR RATED COMMUNICATIONS r)(MLINC, SDNY_GM_o0048020 OB-SDNY-001O844 EFTA_001 58629 EFTA01290657 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Fixed Income (continued) 'Asset Backed Securities (continued) GS M TG SECS CORP 2005.5F MTG PASSTHRU (continued) Adjusted Cost Basis Market Price Market Value Unrealized Gain! Loss Accrued Interest Estimated Estimated Annual Income Yield Total Asset Backed Securities 1,500,000.000 Total Current Fact Value : 1,212,950.115 Corporate Bonds PEABODY ENERGY CORP SR NT 7.315% 11/01/16 B1E DTO 10112106 MULTIPLE GUARANTORS 1ST CPA DTE 05/01/07 Moody Rating BA2 St P Rating BEI- 05/10/11 . .11.13 1.200.000.000 106 4490 IPAYM ENT INC GTD SR NT 10.250% 05/15/18 WE DTD 11/15/11 CALLABLE 05/1915 Q 105.125 Moody Rating CAA3 S 8 P Rating CCC 10102111 .MM 500.000.000 91.4580 PM ORGAN CHASE & CO DEP SHS REPSTG 1/10TF PFD SER 1 FIXED TO FLTG RI BD 7.900% 011291/9 WE DTO 0/123108 Moody Rating MI S P Rating BBB 05110111 12.13 3.000.000.000 111 2650 BANK AM ER CORP PERP NON COM ULAT1VE DEP SFS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 01130/08 CALLABLE 05/15118 Moody Rating BA3 S 8 P Rating BB• 05110111 12.1: 3.000.000.000 112 9870 Total Corporate Bonds 7,700,000.000 Onginal Cosl Basis $t 189 588.80 $1,176,718.94 Security Identifier: 701519AE1 1.277.391 31 110 7500 Original Cost Bast $1.363,500.00 Security Identifier: 46262EAES 157.290.21 74.5000 Original Cost Basis: $445,000.00 Security laminar 46625HHA1 3.337.958.33 112.7500 Original Cosl Basis $3.337,958.33 Security Identifier: 060505(M 3.389.620.83 113.5000 Original Cost Basis $3.389.620.83 $8,162,261.66 $1,108,672.82 1.329.000 00 372.500 00 3.382.500 00 470,016.12 51.60709 -84.790 21 44.541 67 $5,822.08 7.375.00 2.27778 19.750 00 $0.00 88.500.00 6.65% 51.250.00 13.75% 237.000 00 7.00% 3.105.000 00 15.379.17 10.833 33 243.750.00 7.15% $6,489,000.00 $26,736.32 $10,236.11 $620,500.00 Total Fixed Income 9,200,000.000 liEtAtt YOlk $9,640,960.62 Account Number. Rated excellent, Every V.a. Slate Z007 THE DAL OAR MUD COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67: 1AZE ICON F I DrErriA rxciturraer $9,597,672.82 ,543,307.80 $46,058.19 $620,500.00 Paged of 13 Go paperless DB-SDNY-0010845 EFTA_00 158630 EFTA01290658 °nacre Ram Po.70,00/0.M.vmeena0 Myatt I wrapG .0.10 Otolut• MY Se4vnes0c Ya• bet 0100P. Ma Pan Anows. )Mn t kw SIM Statement Period: 05/01/2014 • 05131/2010 Portfolio Holdings (continued) Date Acquired Equities 9.00% of Portfolio Preferred Stotts (Listed by expiration date) CI TIGROUP INC DEP SHS REPSTG Security Identifier: C PRK 11100071. PFD SERK 6 875% CL DP 172967341 Dividend Option: Cash 02/03114 79,000.000 25.3090 1,999.418 90 26 7700 2,114,830.00 115.411.10 Total Preferred Stocks $1,999,418.90 $2,114,830.00 $116,111.10 Total Equities $1,999,418.90 $2,114,830.00 $115,111.10 Unrealized Quantity Unit Cost Cost Basis Market Pria Market Value Gain( Loss Estimated Estimated Annual Income Yield Date ••aired 115,781.25 642% 6135,761.25 $135,781.25 Uarealtzed Estimated Estimated Quantity Deft Cost Cod Basis Market Pria Market Value Gale/ Loss Annual Income Yield Mutual Funds 9 .DO% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CLSIP 48121LSIO 01122113 '.3 198,216.056 10.0900 2,000,000.00 10.1000 2,001,982.17 1,982.11 80,872.15 4.03% 02/01113 '.3 630.057 10 0670 6,342.92 10.1000 6,363.58 2066 257.06 4.03% 03101113 ..3 711.578 10.0600 7,158.48 10.1000 7,186.93 28.45 290.32 4.03% 04101113'.3 189.547 10.1100 7,982.33 10.1000 7,974.42 •791 322.13 4.03% 05101113 '.3 751.550 10.1300 7,613.21 10.1000 7,590.66 -22.5S 306.63 4.03% 06103/13 '.3 757.360 10 0900 7,641.77 10.1000 7,649.33 7.58 309.00 4.03% 01101113 '.3 661131 9.9700 6,661.27 10.1000 6,746.12 86.85 272.60 4.03% 08101113 '.3 704.609 10 0600 7.088.37 10.1000 7,116.54 28.11 287.48 4.03% 09103113 '.3 709175 10 0300 7,113.03 10.1000 7,162.68 1915 289.34 4.03% 10101113'.3 712.100 10 0210 7.137.85 10.1000 7,192.20 54.35 290.54 4.03% Total Noncovered 204,850.163 2,064,739.23 2,066,96163 2,227.10 83,197.25 Reinvestments to 5.062.811 10.1060 51.164.68 10.1000 51134.11 .3027 2.06514 4.03% Date Total Covered 5,062.811 5118418 51,134.11 .30.27 2,065.61 Total 209 712.974 22 I IS 903.91 $2 11 101.01 $2,197.13 $85,562.89 Total Mutual Funds 12,115,903.91 $2,116,101.04 $2,167.13 $85,562.89 1007.0 ROI Account Num bey E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ONFIErr isAL Page 5 of 13 Rated 407000 Evay Year Siva 2007 DALBAll RAT LO COMMUNICATIONS rxenurmer rt. t = "4" = •••••••,Ac•••••••••••+••••• SDNY_GM_00048022 OB-SDNY-0010846 EFrA_00158631 EFTA01290659 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Market Value Gainf Loss Interest Annual Income Total Portfolio Holdings $23,603,068.19 $23,677,368.62 $74,300.43 $46,058.19 3843,022.63 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis bill be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Cher securities, principally debt securities and options, acquied on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 1 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Date Date Disposition Transaction Description Quantity Cod Bads Proceeds Realized Gain! Loss! Disallowance Short Term 05127/14 12/13113' RPP GS M TG SECSC0 RP 200 ASSTh RI, CIF CL 81 VAR 5.759% 1,500,000.000 2.62364 2.699.83 76.19 06125135 WE OTD 05101105 Security Identifier 3624207X5 Original Cost Basis: 2.823.64 Total Short Term 92,823.64 62,699.13 $76.19 Long Term 05109114 10!02/12' RDMG laKINDRED HEALTFCARE 106101119 WE DTD 06101111 CLB 1,000,000.000 996,910.20 1,066330.54 69.560,34 NM In First Out Security Identifier: 494580A89 Original Cost Basis 996.970.20 Total Long Term $996,970.20 31,068,530.54 $69,560.34 Page 6 of 13 ROLL Account Nun ber T1- E FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON Fl dEiVisA L listed Luang nii (very Von Since 2007 DAUM. RATED COMMUNCATIONS rxciturnaer SDNY_GM_00O48O23 DB-SDNY-0010847 EFTA_00158632 EFTA01290660 PO Sec 1770 Oat mom MD 21202 Ocgivee PAM .Pfl.Votall n PAIMIP, 114 mweets Co...tar 0.2., De,net.• Nom Stcvws Mee *A Mot Anne. )tor, loci Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Date Date Transadion Oesaiptice Total Short Term and Long Term Statement Period: 0510112014 • 05/3112014 Realized Gain/ Lose Quantit Cod 8asis Proceeds Diullorance 9999,593.81 1,089,230.37 959,838.53 Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered." under the new cost basis reporting rules, and marked or denoted as such. Al 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, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered secuaties. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent repots, including your 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to property report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reiance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-la disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Account Number TbE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Clio ON F I ErriThi sA L page? or 13 Italia Excellent, (very V.A. SOSO, 2007 OAL BAR RA TED COMMUNICATIONS rxesurnaer rite SDNY_GM_00048024 OB-SDNY-0010848 EFTA_00158633 EFTA01290661 Messages Federal Depose 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 vist the DWS Investments website at httpsrfivriwedws-investments.com/EN1products/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. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Activity Summary (AU amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunses • 0.00 0.00 Secultes Bought 4,272.72 -2,051,051.91 Secuntes Sc 000 2360.359.19 Secuntes Scid 000 000 Total Securities $0.00 $2,760,359.19 Total Securities -16,272.72 -$2,051,051.97 Dividends and Interest 1274.252.54 1462.512.54 Dividends and Interest $0.00 $0.00 Distributions $1,069,230.37 $1,080,440.87 Distributions $0.00 .12,72411 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 0 00 8 188 19 Deposits 000 0.00 Total Cash $0.00 $8,188.19 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 110.361.873.66 FDIC Insured Bank Deposits $0.00 -82,792,037.31 Money Market Funds $0.00 $0.00 Money Market Funds -$1,455,710.19 49,844764.76 Total Credits $1,343,482.91 $14,693,378.85 Total Debits -$1,461,982.91 -$14,693,378.86 Transactions by Type of Activity Process( Settlement Date Adivity T) ae Discipline Quality Price Atand Mend Mont prong Securities Bought and Sold 05/01/14 REINVEST CASH INCOME P-SX .P MORGAN FLOATING RATE INCOME FloN T SELECT SNARES 209090 6800 SI-RS SI-RS FL RCN. AT 510 08000 RD 04/29 PD 05101114 622 294 4.272.72 USD Total Securities Bought and Sold • UNITED STATES DOLLAR OSAB 7(71.1 Account Number THE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go ONFIErEPIVisAL 0.00 -6,272.72 Itoted txcellerel (very Vow' Siva 2007 0ALBAR RATEDCOMMUPOCATIONS rxenurtrier Page 8 of 13 SDNY_GM_00048025 OB-SDNY-0010849 EFIA_00 158634 EFTA01290662 Transactions by Type of Activity (continued) Process( Settlement Date Activi Pe Dual on (Misr< Rana PnvieWealtn•Atagenait Pdaeals Coon., 6 ,0‘P Dettsch4 lank %flows +Ic Mee Ion Onto In Pant Ammo. 160. I ter War int WI 10114 Dividends and Interest 05/01/14 CASK DIVIDEND RECEIVED .F1- SK 05101114 8OND INTEREST RECEIVED 704549AE4 05109114 BOND INTEREST RECEIVED 494580A89 0511511/ CASK DIVIDEND RECEIVED 060505018 05/15/14 05115114 05128114 05130114 CASF DIVIDEND RECEIVED C PRK BOND INTEREST RECEIVED 46262EAE5 BOND INTEREST RECEIVED 3624207X5 MONEY MARKET FLND INCOME RECEIVED 233993682 MORGAA FLOATING RATE INCOME FLA D SELECT SNARES 209090.6800 ShRS RD 04129 PD 05101114 1200000 PEABODY ENERGY COFtP SR NT 7.375% 11101116 WE DTD 10(12/06 RD 04130 PD 05101114 KINDRED h EALTF CARE INC 8 250% 06101119 B/E DID 06/01111 CLB ACCRUED INTEREST BANK AMER CORP PEPP NON COM ULATIVE DEP SII5 FIXED TO FLOAT 8.125% 04130158 8/E RD 05114 PD 05115114 INT PAID AT 40 6250 3000000 79000 SF RS CITIGROLP INC DEP SH S REPSTG 111000Th PFD SERK 6 875% RD 05105 PD 05/15114 500000 !PAYMENT INC GTD SR NT 10.250% 05115118 WE DID 11115111 CLB RD 05114 PD 05115114 1500000 GS M TG SECS COPP 2005.5F M TG PASSTH RU CTF CL B1 VAR 5.759% 06125135 BIE DID 05/01105 RD 04130 PD 05125/14 DWS GO VT CAST INSTL Total Dividends and Interest - UNITED STATES DOLLAR Distributions 05109/14 05/28/14 SECURITY REDEEMED 494580A89 RETURN OF PRINCIPAL RECEIVED 3624207X5 KINDRED FEALTFCARE INC 8 250% 06/01/19 WE DID 06/01/11 CLB 1500000 GS M TG SECS CORP 2005.5F NM PASSTHRU CTF CL B1 VAR 5.759% 06125135 BIE DTD 05101105 RD 04/30 PD 05/25/14 Total Distributions • UNITED STATES DOLLAR }OAP von CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E I FISTONFIDETTIAL TI-E FAZ Statement Period: 0510112014 • 05/3112014 Qua Price Accreed Interest Amount Curren 6 272 72 LSO 44,250 00 LSD 36.208 33 LSO 121.875 00 LSO 33.945.35 LSD 25.625.00 LSD 5,835.04 LSD 241.10 LSD 0.00 274,252.54 -1,000,000000 1,066,530 51 LSD 2.699.83 LSD 0.00 1,069,230.37 Account Numbers Go paperless Pip 9 013 Rated tacelbra L eefy Year Lace 2'007 DAL BAR RATED COMMUNCATONS rxenurmer SDNY_GM_00048026 DB-SDNY-00 10850 EFTA_00 158635 EFTA01290663 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Awued littlest Mount Currency Money Market Funds 05101114 MONEY FUND PURCHASE DWSGOVT CASH INSTL -118.50000 USD USD999997 05102114 MONEY FUND PURCHASE DWSGOVT CASH INSTL -44,250.00 USD USD999997 05109/14 MONEY FUND PURCHASE DWSGOVT CASF INSTL -1,066,530.54 USD USD999997 05/12/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -36,208.33 USD USD999997 05/16/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -1(11A45.35 USD USD999997 05/29/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -8.534.87 USD USD999997 05/30111 MONEY MARKET FUND DWSGOVT CASH 'NUL INCOME REINVESTED -211.10 USD REINVESTMENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR 0.00 -1,455,710.19 Total Value of Transactions 0.00 -111,600.00 USO The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value I to 5 years 1,701,500.00 Over 10 years 7,896,172.82 Total 9,697,472.82 Bond Quality Bond Quality Market Valve % of Bond Market Value BAILower 9.597 672 82 100% Percentages of bond market values are Total 9,697,672.62 100% rounded to the nearest whole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. IS% E2% 100% Percentages of bond market values are rounded to the nearest whole percentage. .01 Account Num bur TI-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ON Fl A L Page 10 of 13 RANI ENNA NI Every VAN SIAN 2007 DAL DAR RAT ED COMMUNICATIONS rxciurnaer rtettr........'"Ta, =Ct.' -- Intr. SDNY_GM_00048027 DB-SDNY-00 10851 EFTA_00158636 EFTA01290664 PC. Bo, 1776 BLO n.yc MD 21203 Client Service Information Gramm Ram Pr.. Math mmagenan Weals Immo CAM Des4LOP MA *woos LA MATTA blot ID MA A . Hamm. Statement Period: 0510112114 • 0V3112014 Your Client Advisor: TDS TAZIA SM 'TM 345 PARK AYEk LE 14TH FLOOR ABU YORK KY 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 comm unications. lag in to your account or contact your Client Advisor for more inform ation. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be rekable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future 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. potitical, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vnwrpershing.comfbusiness_continury.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Opdons Information well respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confrmations previously finished to you. A summary of this information is available to you promptly upon your written request directed to your introducing Nm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page II of 13 Account Pi um bet RAM tmallenti ORM ROLL Go paperless Ivory VAN Same 2007 THE HAZE It DALOAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDE1SITIA rxciamer SDNY_GM_00048028 DB-SDNY-00 10852 EFTA_00 158637 EFTA01290665 Important Information and Disclosures (continued) Proxy Vote Securities not fully paio for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate win 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. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pods shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recornrnendabons to purchase, hold or sell securities: and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wiwcpershing.comIstrength_stabilityhtml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includitg unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award. unless. in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. Fage12 of 13 Account hum banal= 00A11 Go paperless Th. E FAZE T T CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ONFID=TAL Rated tuallonfl 0.0y Vow' SAW* 2007 DAUM. RATE0 COMMUNICATIONS 7XCILL774Ct •••-•-sgml —••••••••A inn ti•c SDNY_GM_00048029 OB-SDNY-0010853 EFTA_00158638 EFTA01290666 PC. ba qlG flu • MO Mtn Important Information and Disclosures (continued) Oralsoo Rana km,. Weida •Aptagenan Weals tonna Gro‘P Destulv PP* starts Inc Mar bit Oita Hs PH Mesa ILIA I Past Statement Period: 0510112014 • 05/3112014 Important Arbitration Disclosures (continued) • The panel of arbitrators wil typically include a ninority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shah be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied. (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. ORA.° Poll. Account Nun ber TF E FAZE T CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) liortHis ON F I A L Page 13 of 13 kited L•colle (very Pear Sinop 2007 DAL BAR RATED COMMUNICATIONS. r)Iesturnaer O a t LT7.....ttarettelwas• SDNY_GM_00048030 DB-SDNY-0010854 EFTA_00158639 EFTA01290667 P.O. ed 17/6. bliteren1.02103 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TIMES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: Desna< OMR Pita Wealth Maaaernet. manes cants GK., o Devbaht /mein In. /kw vi.n ono ms PH Mara nth I bet Account Number: Statement Period: 04/01/2114 - 0413012114 Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld het Chan e in Porlfoho nding Account Value Estim Wed Annual !nom e Asset Allocation Prior Year-tad Lad Period This Period % Allocation 1,50 Cash. Honey Fonds. and Bank Deposal:1 7.589.036.35 8,382,205.86 8,509,554.57 36.35% USD Fixed Income 15,405,626.60 12,821,575.19 12.782.408.32 54.60% 1 USD Equities 0.00 2,059.530 00 2.119.570 00 9.05% Account Total (Pie Chart) $22,994,662.95 023,263,311.05 023,411,532.81 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securmes Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to &invade limits. See page 2 of ths statement for important information regardng the Asset Allocation section. This Period Year•lo-Date 523,263,311.05 522,994,602.95 0 00 8.188.19 23,263,311.05 23,002,051.14 131 528 49 188.260.00 0 00 440 16 693 35 220 417 35 $23,411.532.89 $23,411.532.85 5926 282 18 Pie Chan allocation only acmes products that are of positive value. Page 1 of 14 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Rat•d J 'Cat 1 Go papeoless yeas In A O Ram CALM* RATED CMMUNICAlIONS CONFIDAENTIAL """ is& • am. oasts •••••••in SDNY_GM_00048031 DB-SDNY-0010855 EFIA_00 158640 EFTA01290668 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized Ibis Period Yearito.Date Short•Term Gam/Loss 76.13 •1.181.64 50.069 22 Long-Term Gainlloss 0.00 47.538 85 100.464 38 Net Gain/Loss 76.13 .68,720.19 150,533.60 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Sweep Money Market Fund OWS GOVERNMENT CASH INSTL Account Number: 0000001492 Current Yield 0.03% Activity Ending: 04130114 04101114 Opening Balance 0.00 000 04123(11 Decreed MONEY PAO FtilICFASE 8,382,153.76 8,382.153 76 04128114 Deposit MONEY FUND MICFASE 8.545 67 8.390.999 43 04130114 Deposit INCOME REINVEST 55.14 8.391.054.57 04130114 Closing Balance $8,391,054.57 Total All Money Market Funds $8,381,054.51 Deem on Amount Balance FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Other FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number N4G024943 Activity Ending. 04130114 04101114 Opening Balance 8.382.205.86 8.382.205.86 04115114 Deposit INTEREST CREDITED 206.59 8,382,412.45 APY 003% 0411671/ Assooaled Bank NA 8.382.412 45 NO 04(16 $250000.00 DIST NO 04(16 5250000.00 Bank of America NO 04(16 5250000.00 Citibank NA. NO 04(16 $250000.00 Deutsche Bank Trst Co Page? of 14 Account Num Der Go paperless m ace. a•••••• ....re msg. • •••••• ••••••• «saw.. FAZ E TCONFID AarriAL CALMAR RATED COMMUNICAlIONS tt . SoN Y_GM_0004 8032 CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) DB-SDNY-0010856 EF1A_001 58641 EFTA01290669 FDIC Insured Bank Deposits (continued) Date Activity Type Description Gram se Ram Peeve Weeinsammeneys Myerts Cerny, 6 ,04, DesesIte Sala Seleors ere bre Oily la Put Ammo. ≥Nu I to Statement Period: 0410112114 • 04/3012014 Amount Balance Other FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) NO 04116 50132112.4 East West Bank NO 04116 $250000.00 NY Comm unity Bank NO 04116 $250000.00 Texas Capital Bank NO 04116 5250000.00 ramie Capital Bank NO 04116 $250000.00 Com enity Bank NO 04116 5250000.00 04122114 Withdlawal WITHDRAWAL 04122/14 Depotil INTEREST POSTED 01130114 Closing Balance Total FDIC Insured Bank Deposits The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement accounts. Please review this m connection with other deposits you may have at each respective bank. 1.382.453.76 41.31 X131 0.00 $0.00 $0.00 Income and Expense Summary Commit Period Yea4o•Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 55.14 0.00 55 14 000 Other Dividends 125,377.51 0.00 163.860 35 0.00 Interns Income Bond Merest 5.841.91 0.00 23 462 26 0 00 FDIC Insured Bank Deposits 247.90 0.00 882 25 0 00 Total Dividend; Mintiest, Income and Expenses 0131,621.40 $0.00 $188,260.00 $0.00 Distributions Other Distributions 0.00 2,697.16 0.00 00519 Total Distributions 00.00 02,691.76 $0.00 HACH Page 3 or 14 Account Num hr Fu.k.d V,:0,708CSFI GO PaPerless 3 , 05=. ';;;;;TTDACROZMUNICATtOM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: HAZE TtO N F I DrivariAL EXCELS/NCI asewm•reeey eorsetersel.C. • easy *Nays reales" SDNY_GM_00048.033 DB-SDNY-00 10857 EFTA_00158642 EFTA01290670 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balance Accrued Income Income This Year 30•Day Currie Yield Yield Cash, Money Funds, and Bank Deposits 36.00% of Portfolio Cash Balance 0.00 118,500.00 Money Market DWS GOVERN M ENT CASH INSTL 04101/14 8.391 054 570 0000001492 04130114 0.00 8.391.054.57 0.00 55.14 0.03% 0.03% Total Money Market 10.00 18,391,064.57 $0.00 sum FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 04101114 N1G024943 04130114 8.382.205.86 0.00 0.00 682.25 WA NIA Total FDIC Insured Bank Deposits SI 382 206.86 10.00 $0.00 $88216 Total Cash, Money Funds, and Bank Deposits 56,382,208.86 18,509,554.57 10.00 1937.39 Adjusted Unrealized /caved Estimated Estimated Date Acquired Quantity Unit Cod Cost Basis Market Price Market Value Gain/ Loss Meted Annual Income Yield Fixed Income 46.00% of Portfolio (In Matunty Date Sequence) 'Asset Backed Securities GS M TG SECS CORP 2005.5F M TG PASSTHRU Security Identifier: 3624207X5 CTF CL 61 VAR 5.759% 06125135 WE DID 05101105 St P Rating B• Factor: 0.81043332 Effective Date.04101/14 Current Face Value: 1,215,649.980 12113113'.x.12 1,500.000 000 97.1780 1,181,342.58 91.4140 1,111,274.27 -70,064.31 5,640.46 Original Cod Basis: 51,189,588.80 Total Asset Backed Securities 51,181,342.58 51,111,274.27 -570,068.31 15,640.46 $0.00 1,500,000.000 Total Current Fact Value : 1,215,849.980 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11101116 WE DTO 10/12106 1ST CFN DM 05101107 CM PMT SEMI ANNUAL Moody Rating BA2 Sd P Rating BB 05110/11 %OM 1,200,000.000 106 6590 1,279,909.20 112.2500 1,347,000.00 67,090.80 44.004 17 88.500.00 6.57% Original Cod Basis: 51,363,500.00 Security Identifier: 48262EAE5 IPAYM ENT INC G7D SR NT 10.250% 05/15118 B/E DTO 11/15/11 CALLABLE 05/15115 a 105.125 Moody Rating CAM S 8 P Rating CCC 10102/12 %I2," 500,000 000 91 3210 456.605.56 70.0000 Original Cod Basis: $445,000.00 350,000 00 .106905.56 23,489.58 51,250.00 14.64% Page 4 of 14 Account Number It ". Rated Excellent Re Pn.0 9/ 658CS F 30 016 Go paperless ye.. en A n. THE HAZE TW OALSAII RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFID EN TIAL EXCELIANCI Owe& Oases swain. ••••••• rms. ono...so SDNY_GM_00048034 DB-SDNY-0010858 EFTA_00 158643 EFTA01290671 OraKee Rana P,,.,,, warn 14.4gentin Pdaeals wrap Gro.p DestuN Sank *won Lac Now *A Onc• PC. .M0 2120 HS Put Awns,. Halter W.* 11,114 Portfolio Holdings (continued) Dale Annulled Fixed Income (continued) Corporate Bonds (continued) KINDRED HEALTHCARE INC 6.250% 06101/19 BIE DT0 06/01/11 CALLABLE 06101114 0 106.188 Moody Rating 63 S8 P Rating B. 10102112'•12.12 1.000.000.000 99 6960 PM ORGAN CHASE & CO DEP SHSREPSTG 1/107F FfD SER 1 FIXED TO FLTG RT BD 7.900% 04129/49 BIE DTD 04/23/08 Moody Rating BAI S8 P Rating BBB 05110/11 12.12 3,000,000.000 111 2650 BANK AM ER CORP PERP NON COM UtATIVE DEP SI- S FIXED TO FLOAT 8.125% 04130/58 B/E DTD 04/30108 CALLABLE 05/15/18 Moody Rating BA3 S8 P Rating BEit 05/10/11 12.12 3,000,000.000 112 9870 Statement Period: 0410112/14 -04/3012114 Adjusted Unrealized Awued Estimated Estimated Quantity Unit Cost Cost Basis Market Price Market Value GaInfloss Interest Annual Income Yield Total Corporate Bonds 8,700,000.000 Total Fixed Income 10,200,000.000 Security Identifier: 494560A89 991958.13 107.0000 1170.000.00 71041.87 34,145.83 82100.00 7.71% Onginal Cost Basis: $996,250.00 Security Identifier: 46625HHA1 3.337.958.33 113.0000 3.390.000.00 52,041.67 0.00 237.000.00 6.99% Original Cost Basis. $3.337.958.33 Security Identifier: 060505078 3,389,620.83 113.5500 3.406.500.00 16,879.17 111,71815 243.75100 7.15% Onginal Cosl Basis: $3.381620.83 09,481,052.05 $9,563,500.00 $102,447.95 $213,358.33 $703,000.00 $1 0,642,394.63 $10,674,774.27 $32,379.64 $218,998.79 $703,000.00 Page 5 of 14 Account Number. N46-024943 Ralsd Nollent Go paperless Saran Vets In A Rene TI4E FAZE ef rica, r caal itarDCOMMUNICA110.4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) TO NFIDarriTAL a.... a...ft uLC. • %w es, oases •••••••••• SDNY_GM_00048035 DB-SDNY-0010859 EFTA_00 158644 EFTA01290672 Portfolio Holdings (continued) Unrealized Oate Acquired Quantity Unit Cost Cog Basis Market Price Markel Value Gale/ Loss Equities 9.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP MIS REPSTG Security Identifier: C PRK 111000Th PFD SER K 6 875% CUSIP: 1729673/1 Dividend Option: Cash 02103/14 79.000.000 25.3090 4999.416.90 26.8300 2.119.570.00 120.151.10 Total Preferred Stocks 11,999,418.90 12,119,570.00 6120,151.10 Total Equities 51,999,418.90 $2,119,570.00 $120,151.10 Dale •wired Unrealized Quantit Unit Cost Cost Basis Market Price Market Value Gaud Loss Estimated Estimated Annual Income Yield 135.781.25 6.40% $135.761.25 $136,781.25 Estimated Estimated Annual Income Yield Mutual Funds 9.00% of Portfolio JP M ORGAN FLOATING RATE INCOME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CUSIP: 481211510 01122/13 '.3 198,216.056 10.0900 2,000,000.00 10.0800 1,998.017.84 .1,982.16 82,061.45 4.10% 02101113'.3 630.057 10.0670 6.312.92 10.0800 6.350.98 8.06 26014 4.10% 03101113'•3 711.578 10.0600 7,158.18 10.0800 7,172.70 14.22 294.59 4.10% 04101113'.3 789.517 10.1100 7,982.33 10.0800 7.958.61 -23.69 326.87 4.10% 05101113'.3 151.550 10.1300 7,613.21 10.0800 7,575.62 -37.59 311.11 4.10% 06103113'.3 757.360 10.0900 7,611.77 10.0800 7.631.19 -7.58 313.55 4.10% 07101113'•3 668.131 9.9700 6,661.27 10.0800 6,731.75 73.18 276.61 4.10% 08101113'.3 704.609 10.0600 7,088.37 10.0800 7,102.45 14.08 291.71 4.10% 09103113'.3 709.175 10.0300 7,113.03 10.0800 7,118.48 35.45 293.60 4.10% 10101113'.3 712.100 10.0210 7,137.85 10.0800 7,177.97 40.12 294.81 4.10% Total Noncovered 204,660.163 2,064,739.23 2,042,673.62 -1066.61 84,725.17 Reinvestments to 4,140.517 10.1100 44,891.98 10.0800 44,760.43 •131.53 1,838.37 4.10% Date Total Covered 4,440.617 44,191.98 14,760.43 -131.63 1,131.37 Total 209,090.611 12,109,831.1! $2,107,834.05 -$1,997.14 $18,503.$4 Total Mutual Funds $2,109,131.10 $2,107,634.05 -$1,997.14 986,563.54 Col Bads Market Value Unrealized Awued Estimated GaInfloss Interest Annual Income Total Portfolio Holdings $23,260,999.29 623,411,532.89 $150,533.60 5210,998.79 9926,202.18 Footnotes • Nonccvered under the cost basis rules as defined below. 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 Page of 14 Account Num ber * L. w„e lxcellent P*09/ 658CSF 30 016 Go paperless se. Years in A Ray THE Ft OALOAR Slat CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AzneFatN Fl DEN TAL IXCIELUINCi allliefill••••••••••••11.. We. •••••41 SDNY_GM_OOO48O36 DB-SDNY-00 10860 EFTA_00 158645 EFTA01290673 Destine e.n. Pnwair Warn lAymienms Marais tonne 6.0..P Deelsch• Sank Sta. hic Mar Teri Olio HS Pia Asa. loth Ike Mrs Ve( NY 101W Portfolio Holdings (continued) Statement Period: 04/0112014 • 04/3012014 P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered noncovered,' under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 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 hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those invoking continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. F The Current Face value represents the outstanding principal balance of the undedying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaction Description Quality Coe Buie Proceeds Realized Gain/ Lord Disallowance Short Term 04125114 12/13113' RPP GS LITG SECSCORP 200 ASSThRli CTF CL 81 VAR 5.759% 06125135 WE DTD 05101105 Security Identifier 362420735 Original Cost Bait 2.621.62 1,500,000.000 2,621.62 2,697.75 76.13 Total Short Term $2,621.62 $2,667.76 676.13 Total Short Term and Long Term $2,621.62 $2,697.76 676.13 Pagel of lc E,09/08CSF 30 016 Account Num hr Go paperless S.vm n r t — THE HAZE TtO N F I DAENTIAil CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Cs& *nue& Owisin. use. • near eons. ••••••••• SDNY_GM_00048037 DB-SDNY-00 10861 EFTA_00 158646 EFTA01290674 Schedule of Realized Gains and Losses Current Period (continued) • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered "ncocovered.- under the new cost basis reporting rules, and marked or denoted as such. Mother 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 hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options. acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not requted to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attrtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wil be used to determine the cost basis for calculating gain andfor loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, It is possible to lose money by Investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional Information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Awnv.divs-investments.conVENfproducts/rnoney-market-funds-Welds.jsp. Please note that all money market funds listed on the website may not be offered through us. Page 8 of 14 BOW) 6S8CSF 30116 Account Plus Dr S Go Ras W.I paper less S.a.•. , " A ""w TNE DA RAT ED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) HAZE Tt MAO, O N F I Dr NnA L 113CCMPIC4 CONS. •••••••••1.1M.1.4. • ••••• •••••• ••••1118•P SDNY_GM_00048038 OB-SDNY-0010862 EFFA_00158647 EFTA01290675 Ocuicry Ram Power Weahn Manran Miniet$ COM•la 4,04P OtOsIt• Una Se4V,le.,X Mrs bet Mc* Ma Pot Ant.... 1141. Activity Summary (All amounts shown are in base currency) Credits This Period Year-lo-Date Debits Statement Period: 04/01/2014 - 04/30/2014 This Period Tear-to-Date Securities Securities Setunnes E5ccht 0 00 0.00 Securities Baught -6.877 54 -2.314 779 25 Securities Sold 0 CO 2 760 359.19 Securities Sold 000 0 03 Total Securities $0.00 $2,760.359.19 Total Securities -$6,877.54 -$2,044,779.25 Dividends and Interest $131,528.49 $188,260.00 Dividends and Interest 10.00 10.00 Distributions $2,697.76 $11,210.50 Distributions $0.00 -$1,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash e posa 0 00 4188 19 Deposits 7:: 0.00 Total Cash $0.00 $8,188.19 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $8,382,412.45 $10,381,173.68 FDIC Insured Bank Deposits -$206.59 -$2,792,837.31 Money Market Funds $0.00 $0.00 Money Market Funds -0,391,051.57 -0,391,051.57 Total Credits $8,516,639.70 $13,349,895.0 Total Debits -$8,30,138.70 413,231,396.91 Transactions by Type of Activity Process/ Settlement Date AMiyity Type Description Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 04/01114 REIN VEST CAS1-1 INCOME M ORGAN FLOATING RATE INCOM E FUND SELECT StiNkES 880271 4,877.51 USD P1-5k 208110.1090 Ski RS SN RS PORCH. AT $10.11000 RD 03/28 PD 01101114 Total Stultifies Bought and Sold • UNITED STATES DOLLAR 0.00 4,877.51 Dividends and Interest 01101/14 CASE. DIVIDEND RECEIVED ..1) MORGAN FLOATING RATE INCOME RIND SELECT SNARES 8,877.51 USD .F6 SX 208410 1090 SHRS RD 03128 PD 04101114 04115/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 208.59 USD DEPOSITS INTEREST RECEIVED /58997998 Page 9 of 14 B009/658CSF30'16 Account Nun ber Ralvd weellent PaTliwriess cr =D ACRew UNICAT.0041 TNE HATE ONFIDA5NTIAL Inctrumica CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) COnsiOnuoir livestri.U.C.•••••••••••••••••••••• SDNY_GM_00048039 OB-SDNY-0010863 EFIA_00158648 EFTA01290676 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Desaiplion Quantity Price Accrued Interest Amount Currency Dividends and Interest (continued) 04122114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME 4111 USD DEPOSITS INTEREST REDEEMED RECEIVED 458997996 04125114 BOND INTEREST RECEIVED 1500000 GS MTG SECS CORP 2005-5F MTG PASSTHRU CTF 5,847.91 LSD 3624207X5 CL DI VAR 5.759% 06125135 DIE DTO 05101/05 RD 03131 PD 04/25/14 04130114 MONEY MARKET FUND DWSGOVT CASH INSTL 55.14 LSD INCOME RECEIVED 233993682 04130114 CASH DIVIDEND RECEIVED .PMORGAN CHASES CO DEP SHS REPSTG 1/10TH PFD SER 1 118,500 00 LSD 46625H HAI 7 900% 04/29149 B/E RD 03/31 PD 04/30114 INTEREST PAYMENT 0 39.5 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 131,621.49 Distributions 04/25/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS COPP 2005-5F M TG PASSTHRU CTF 2,697.16 USD RECEIVED CL B1 VAR 5.759% 06125135 EJE DTD 05101/05 RD 03131 PD 3624207X5 04125/14 Total Distributions - UNITED STATES DOLLAR 0.00 2,097.70 FDIC Insured Bank Deposits 04/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -206.59 LSO DEPOSITS INTEREST REINVESTED 458997996 04122114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL FFINCIPAL REDEEMED 8,382,412 45 LSD WITHDRAWAL USD999997 Total FDIC insured Bank Deposits • UNITED STATES DOLLAR 0.00 8,362,205.16 Money Market Funds 04/23114 MONEY FUND PURCHASE DWSGOVT CASH INSTL .8,382,453.76 LSD USD999997 04128/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL -8.545.67 LSD USD999997 04/30/14 MONEY MARKET RIND DWSGOVT CASH INSTL INCOME REINVESTED -55.14 LSD REINVESTMENT 233993682 Total Money Market Funds- UNITED STATES COLLAR 0.00 .8,391,054.67 Total Value of Transactions o.00 118,500.00 USD The price and quantity displayed may have been rounded. Page Hof 14 Account Num ber Go paperless 4 6 :1 Ztedini:VARea. CIALOA:RA it 0 COMMUNICATIOHS THE FAZE tO N F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) own.. we. • am. *sad ••••••••••• SONYGM_0004804o DB-SDNY-00 10864 EFTA_00 158649 EFTA01290677 DrgiVOC Na. ann,n Vona n Pareits Coon, 6,0“) Destulv Mee Secoots W. New %A Mu MINA 0010. lath I ter Statement Period: 04/0112014 - 04/30/2014 Cash Not Yet Received Security Record Date Payable Date Creamily Held Rate Dividend Option Amount of Payment Interest PEABODY ENERGY CORP SR ST 0C30,14 05101114 1 200.000 000 0 036875 Cash 44 250 CO 7.375% 11101116 WE Total Car Not Yet Received $44,250.00 Bond Maturity Schedule Bond Maturity Market Value 1 to 5 years 1.697.000 00 6 to 10 years 1.070.000.00 Over 10 yeas 7.907.77427 Total 10,614,774.27 % of Bond Markel Value Bond Quality Bond Duality Martel Value % of Bond Markel Value Percentages of bond market values are rounded to the nearest whole percentage. BA/Lower Total 10.674.774.27 100 % Percentages of bond market values are 10,014,174.21 100% rounded to the nearest %%Die percentage. You are 100% invested irt bonds with a bond quality of BA/Lower. Called Bonds Call Date r C5'0912014 Securitt Description KINDRcD FEALTHCARE INC 8.250% 06101119 WE DTO 06/01111 CALLABLE 06101/14 9 106.188 Eligible Balled Call Type Redemption Quantity Chantey Price of Call Proceeds 1,000,000.000 1.000.000.000 100.0000 Full 1.000 000 00 Page ft of 14 Account Num Der- Go paperless et t B009/6$8CSF30016 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. eill(e: HAZE TCO N F I DAE NITTA Wiled I .eollent Seven Years In A Renw DALSAft PA TED COMMUNICAlIONS L EXCEL...NCI Cowry Novo 1001.1.1. use. • sorer. ars •••••n SDNY_GM_00048041 OB-SDNY-0010865 EFTA_00158650 EFTA01290678 Client Service information Your Client Advisor: TDS TAM SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK AY 10'54 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stods in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST Ik FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register arid turn off paper comm unications. log in to your account or contact your Client Advisor for more inform ation. FIRST lk FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to WWW pershing.comibusiness_conbnuity.html for specrfic details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shovel on your statement may have been reinvested. You war not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously fumished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available icon 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 Transaction 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. Page 12 of 14 Account Plum ber a ) KOPKO wrong.' BOW 6SOCSF 30 016 paiverless Seven VOA'S in A Rene THE HAZE Tto N F I DA5NITIAL LAMM EXCILIANCI RATCDCOMPALSPOCAlIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CNN." Ovate Oniry WC- • ••••••••••••1••••••••• SDNY_GM_00048042 OB-SDNY-0010866 EFTA_00158651 EFTA01290679 Important Information and Disclosures (continued) Dnalsre Ram POIFtle was n Mange-wan Marais Coon,. G•cap Destulv Met %Iwo. o< Maw TM Ollo, MS Pia "Mist 360t,loct PArreint ref 101:4 Statement Period: 0410112014 • 01/30/2011 Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received (tom Standard & Pools is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties inducing warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and dO not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. Callable Bonds Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Client Advisor. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a cleating agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (-Many other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controling 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 Cr that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its OAT operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.cornatrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department, One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Page 13 of 14 Account Nut ber a l, R•Md ...teller... B0097 6S8CS F 30 '16 Go paperless Srvr•n Vt.". A Pc". THE HATE TAUT C:O N F I DrNrriAr N` ,D.Acitil ItA,TEDCOMMUNICA11O.4 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OnsfivIramliftnalowile.••••••••••••••••••••••• SDNY_GM_00048043 OB-SDNY-0010867 EFTA_00158652 EFTA01290680 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other s court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or (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 14 of 14 *09/ 658CSF30016 Account Number Go paper-less a. ), Z.-= Pc" . THE HAZE TPILST rALatirtwocommumicaliows CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) GO N F I DAENTIA Cs' an s. ••••••• -••`Y-C ••••••• ammo. ••••11180 SDNY_GM_00048044 O13-SDNY-00 10868 EFTA_00158653 EFTA01290681 r0. bet 17/6. &Soren MDM203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: sib 0•vitre xis siin•Aamin-wrat Mw•ets ntiretG•ccp De.tith• Stc•••••• Vin bet Pico Altar, Annw.h•thilcct Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld Net Chan e in Portfolio nding Account Value Eshin ated Annual limn e Account Number: NIG-024943 Statement Period:03/91/814 9313112114 This Period 123,246,803.09 0.00 13,246,803.09 12,487.58 0 00 4.220.10 Year•to-Date 622,994,882.95 8,188.19 23,002,851.14 56,731.51 4.40 203.721.00 S23 263 3' . .OS S23.263.3' LOS Asset Allocation Prior Year-End UN Period This Period 1, Allocation ISD Cash. Money Funds. and Bank Depouls1 7,589,038.35 8,373,501.18 8,382,205.86 36.03% USD Axed Income 15,105,62610 12,825,418.93 12,821,575.19 55.12% I USD Equities 0.00 2,047,680.00 2,059,530.00 8.85% Account Total (Ple Chart) $22,091,662.95 $23,248,803.09 823,263,311.05 I The Una Deposits in your account are FDIC insured bank deposits. FDIC insured bra deposits are not securities and are not covered by the Securities Investor Protection Cowden (SIPC). These bona deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to arowatse amts. See page 2 of the statement for important information regardng the Asset Allocation section. 100.00% CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 5927,361.79 F e Car alloceo- cnly rc ales yo-£ts !tat are of post ve Paget of 15 Ral•d t•totIont 5.0107102CSF30022 Go impel-less et Ser., Years la A Rd. •. • • • I C CALM* RATED COMMUN•CAT•ONS CONFIDENTIAL ""`""" Consonme ••••••• tit. • •••••••••••••••••••••• SDNY_GM_00048045 OB-SDNY-0010869 EFTA_00 158654 EFTA01290682 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realized Unrealized This Period Yar•to-Date Shon•Term Gain/Loss 71 28 -1.257.77 -10,558.43 Long•Term Gain/Loss 0.00 47,538.85 142184.70 Net GaIn/Lou 71.28 48,796.82 132,126.27 This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Adiv T pe Dedsi on knout Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024943 Adiviry Ending: 03131114 03101114 Opening Balance 8,373,504.16 8,373,504.16 03112/14 Withdrawal WITHDRAWAL 42.31 8.373.461.85 03114/14 Depotit INTEREST CREDITED 185.78 8,373147.63 APE 013% 03117/14 Associated Bank NA 8,373,647 63 NO 03/17 $250000.00 BUT NO 03/17 $250000.00 Bank of Arnefica NO 03/17 S250000.00 Citibank N.A. NO 03/17 $250000.00 Deutsche Bank Trd Co NO 03117 $6123647.0 East Wesl Bank NO 03117 S250000.00 NY Community Bank NO 03117 $250000.00 Texas Capilai Bank NO 03/17 5250000 00 Union Bank of CA NO 03/17 $250000.00 Com eniry Bank Page 2 of15 Account Numbers Wiled I ...tient 8010/ 102CSF 30 022 'less *, ot Y;;I:TTDActrim....-„,,ewn THE HAZE TtON F I DAENTIAL exCELIAINCI CONFIDENTIAL - PURSUANT TO FED. R CRIDA. P. 6(e) Onsineveliativeadowil.“.•••••••••••••••••••••• SDNY_GM_00048046 OB-SDNY-0010970 EFTA_00158655 EFTA01290683 PC. Bit, 1770. Etili moot MD 2120 °mist.< Rana kmair Wean laptagenfot Weals COMM, Gna Sat Stwoari n.. Oilt• In Pant Aneo. 160. Me, MIS FDIC Insured Bank Deposits (continued) Date Activity Type Description Statement Period: 0310112014 • 03131/2014 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) 03126/14 Depout NO 03/17 $250000.00 DEPOSIT 8 55823 8,382,205.86 03131114 Posing Balance $8,382,205.86 Total FDIC Insured Bank Deposits $0.382,205.86 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Invests Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary grenl Period Year-lo-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Other Dividends 6.440.99 0.00 38.48211 0.00 Interest Income Bond Interest 5,860.79 0.00 17,614.35 0.00 FDIC Insured Bank De posts 185.78 0.00 634.35 0 00 Total Dividends, Interest, Income and Expenses $12,187.56 $0.00 $56,731.61 $0.00 Distributions Other Distributions 0.00 2,655.13 0.00 5.787 93 Total Distributions $0.00 $2,666.13 $0.00 $5,787.93 Page 3 of 15 Account Number: N4G•024943 Rated (Wahl.' 010/ le2CSF 30 022 Go paperless sewn years In A Row LOA CIA D OI INTL COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e: HAZE t rO N F I DMTIAL """"" bisepoommeoPorisinpu.C.•••••••••••••••••••wi SCINCGM_00048047 DB-SDNY-0010871 EFTA_00 158656 EFTA01290684 Portfolio Holdings Account Activity Opening Opening Date Quantity Number Ending Balance Cash, Money Funds, and Bank Deposits 36.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0310111 4 8.382 205 860 k4G024943 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits (Using Balance Accrued Income Income This Year 30-Day Curtest Yield Yield Date Acquired Fixed Income 46.00% of Portfolio (In Al atunty Dee Sequence) 'Asset Backed Securities GS M TG SECS CORP 2005.5F M TG PASSTHRU CTF CL 91 VAR 5.759% 06/25/35 WE DTD 05101/05 S 8 P Rating B• Factor: 0.81223183 Effective Dale:03103114 Current Face Value, 1.218.347.745 12113113'.3.12 1.500.000.000 97 1780 03(31/14 8.373.504 16 18,373,504.18 18,373,504.16 Adjusted Quantity Unit Cost Cost Basis Market Price 8,382,205.86 18,382,20526 68,382,205.86 Market Value 103 26 $103.26 $103.26 Unrealized Gain/ Loss 634 35 $834.35 $834.35 N/A NIA Acaued Estimated Estimated Interest Anna' Income Yield Total Asset Backed Securities 1,500,000.000 Total Current Face Value : 1,218,347.745 Corporate Bonds PEABODY ENERGY CORP SR NT 7.375% 11/01/16 WE DM 10/12/06 1ST CPN UTE05/01107 CPN MIT SEMI ANNUAL Moody Rating BA2 SS P Rating BB 05110/11 '.12.13 1,200,000 000 106 8680 IPAYM ENT INC GTD SR NT 10.250% 05115118 WE DTO 11/15/11 CALLABLE 05115115 () 105.125 Moody Rating CAA1 SI P Rating CCC 10102112 %IL" 500.00.00 91 1860 KINDRED HEALTHCARE INC 8.250% 06/01/19 BIE DTO 06101111 CALLABLE 08101114 Q 108.188 Moody Rating 83 S1 P Rating B- 10102/12 %IL" 1.000.000.000 99 6920 Security Identifier: 3624207X5 1.183.964.20 91.3570 Original Cosl Basis: 51.189.588.80 61,183,964.20 Security Identifier: 704549AE4 1,282.416 57 112.0000 Original Cosl Basis: 51,363,500.00 Security Identifier: 48282EAES 455.928.27 73.7500 Original Cosl Basis: 5445,000.00 Security Identifier: 494580AB9 996.918.17 107.1250 Original Cosl Basis: 5996,250.00 1.113.045 95 11,113,045.95 1,344,000 00 368,750 00 1.071.250 00 .70.918 25 5.84784 -170,918.25 $5,847.84 61,58343 -87,178 27 36,875 00 19,381 11 74.331 83 27,500 00 $0.00 88,500.00 6.58% 51,250.00 13.89% 82.500.00 7.70% Page 4 of 15 f I I Ai, THE FAZE ICON F DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Go paperless Raledtztellent Seven Yea/. In A Row CALM* RATED CCMAPAUNICATIONS .- we. • sopa. a.. a.. +v., SDNY_GM_00048048 DB-SDNY-001 0872 EFTA_00 158657 EFTA01290685 PC. Bcp 1770. Eli It moot MD 2120 Portfolio Holdings (continued) Dale Acquired Fixed Income (continued) Corporate Bonds (continued) RN ORGAN CHASE & CO DEP $H$ REPSTG Security Identifier 46625HHA1 1110TH WO SER 1 FRED TO FLTG RT BD 1.900% 04/29/49 BM DM 01123108 Moody Rating BA1 S P Rating BBB 05110111 12.1$ 3,000,060.000 1112650 3.337.958.33 113.0000 3,390,000.00 52,011.61 98,750.00 237.000 00 6.99% Original Cod Basis: $3,337,958.33 BANK AMER CORP PERP NON CON ULATIVE DEP Stonily identifier: 0605050Th SHS F1 TO FLOAT 8.125% 04130/58 NE DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 Si& P Rating BB• 05110111 12.1$ 3.000.000.000 112.9870 3,389,620.83 114.2500 3,427,500.00 31,819.17 92,083.33 243,750.00 7.11% Original Cosl Basis: $3,389,620.83 Total Corporate Bonds $9,462,842.17 $9,601,500.00 $138,657.13 $274,569.44 $703,000.00 6 700 000 000 Total Fixed Income $10,646,806.37 10,200,000.000 Gnaw.< Rant Pnwile Wok'. Paragenan I/WNW Caen., 6 ,0‘p Dettsag Ian %won +IL lin. wan Mao la Pan 4..y_ )(alter Nn len Adjusted Gustily Ued Cod Cod Basis Market Price Market Value Statement Period: 03/01/2014 • 03131/2014 Usrealbed Awued Estimated Estimated GAN Loss Merest Annual Income Yield Date Acquired Equities 9.00% of Portfolio Preferred Stocas (bared by expiration dale) CITIGROUP INC OEP SHS REPSTG Security Identifier: C PRK 171000Th PFD SER K 6 875% CUSP: 172967341 Dividend Option: Cash 02103114 79,000.000 25.3090 1,999,418.90 26.0700 2,059,530.00 Total Preferred Mods $1,999,418.90 $2,069,530.00 Total Equities $1,999,418.90 $2,059,530.00 310,714,545.95 $67,739.68 Unrealized Quantity US Cod Cod Basis Market Price Markel Value Gild Loss $250,417.20 $703,000.00 Estimated Estimated Annual Income Yield 60,111.10 $60,111.10 680,111.10 Account Num Der_ Raled Kollent BOW le2CSF 30 022 f ilAit GO paperless #36 ) 5.-- Veal. I " 64' .. THE HATE TRLST cONFID'ENTIAL bAtlAlt RATED COMMUNICNTIONS EXCILIANCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 135,781.25 6.59% $135,781.25 $136,781.25 Page 5015 COnavOraseli •••••••• WC. • woo. iinsa••••••••.~r SDNY_GM_00048049 DB-SDNY-00 10873 EFTA_00158658 EFTA01290686 Portfolio Holdings (continued) Unrealized Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gold Loss Estimated Estimated Annual Income Yield Mutual Funds 9.00% of Portfolio FM ORGAN FLOATING RATE INCOME FUND SELECT STARES Open End Fund Dividend Option: Reinvest: Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP. 481211510 01122113 '.3 198,216.056 10.0900 2,000,000.00 10.1100 2,003,964.33 3,964.33 83,817.17 4.11% 02101113'.3 630.057 10.0670 6.342.92 10.1100 6.369.89 26.97 265.88 4.17% 03101113'.3 711.578 10.0600 7,158.48 10.1100 7,194.05 35.57 300.29 4.17% 04101113'.3 789.547 10.1100 7,982.33 10.1100 7,982.31 -0.02 333.19 4.17% 05101113'•3 751.550 10.1300 7,613.21 10.1100 7,598.18 -15.03 317.15 4.17% 06103113'.3 757.360 101900 7,641.77 10.1100 7.656.90 15.13 319.81 4.17% 07101113'.3 668.131 9.9700 6,661.27 10.1100 6,754.80 93.53 281.95 4.17% 08101/13 '.3 104.609 10.0600 7,088.37 10.1100 7,123.59 35.22 297.34 4.17% 09103113'.3 709.175 10.0300 7,113.03 10.1100 7,16916 56.73 299.27 4.17% 10101113'•3 712.100 10.0240 7,137.85 10.1100 7,199.34 61.49 300.51 4.11% Total Noncovered 204,660.163 2,084,739.23 2,069,01316 1,273.92 86,362.36 Reinvestments to 3,760.246 10.1100 38,014.42 10.1100 38,016.09 1.67 1,586.83 4.17% Date Total Covered 3,760.216 38,014.42 38,016.09 1.67 1,588.83 Total 208.410.101 $2,102,753.65 $2,107,029.24 $4,275.59 $67,919.19 Total Mutual Funds $2,102,753.65 $2,107,029.24 $4,275.59 $67,949.19 Cost Basis Market Value Uarealized Accrued Estimated Gals/ Loss lateral Annual Income Total Portfolio Holdings $23,131,184.78 $23,263,311.05 $132,128.21 $280,411.26 $927,364.79 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are 'covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2011, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in defauk, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consuk your tax advisor in the preparation of your tax returns. Page 6 0115 BOW le2CSF 30 022 1.itAlt lip r Account Number Go paperless Rar d VZ:117:a itor THE HAZETto N F I DAENTIAL DAtla RAT ED COMMUNICA11O.6 exCiLlINCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0010•1410•••41111.01.0.114. • MOW. ••••i••••...../ SDNY_GM_00048050 DB-SDNY-0010874 EFTA_00 158659 EFTA01290687 PC Boi 1770. Elul mote MD 21203 Portfolio Holdings (continued) Onilso< Rana Pnnie worn Paragenmt Pdaeals Coon., 6 ,0“) DeAscht Sat Se00 on Lac Ike Vert 011t• Hann4aay_lN iter Nra alert ICIL Statement Period: 03/01/2014 • 03/3112014 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 11 The cost basis of this security has been provided to us by the delivering Grit or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaction Description Quantity Cost Basis Proceeds Realized Gain/ Loss/ Disallowance Short Term 03125/14 12/13/13' PPP GS LI TG SECSC0PP 200 ASSTHRU CTF CL BI VAR 5 759% 06125135 WE OD 05101105 Security Identifier 3624207X5 0rigin* Cost Basis 2.454.66 1.500.000.000 2,454.66 2,525.94 71 28 Total Short Term 62,464.66 62,626.94 171.2$ Total Short Term and Long Term $2,451.66 $2,625.94 171.2$ • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting ivies, and marked or denoted as such. Al 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, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have availaWe to you. Page 7 of 15 n Account Number R.0•41..ellet P010/1132CSF30022 nap II . C o 7 GC) paperless Saver, VC011, In A Row THE HAZE TRLST CON F I ISEPNITIAL: ..... mitauit;,............., CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rwombiereup Rionown...C. • amon...... SDNY_GM_00048051 DB-SDNY-00 10876 EFTA_00 I 58660 EFTA01290688 Schedule of Realized Gains and Losses Current Period (continued) When you report your cost basis on your tax return, it should be venfied using all of your own records. In particular, thee may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be rebate. In the event one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations nth not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index4nked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax4ct disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain andior loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 10998. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporatica.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:thwm.divs-invesrinents.comIEN/productshnoney-market-fundspelds.jsp. Please note that all money market funds listed on the website may not be offered through us. In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the following information is available to you: 0 the identity of the venue to which your orders were routed for execution in the six months prior to the request, ii) whether the orders were directed orders or non-directed orders. ii) the time of the transactions. it any, that resulted from such orders We will notify you on an annual basis of the availability of the above information upon request. Page 8 of 15 8010/102CSF30022 Account Num ber Go paperless 4 .,k Raw THE HAZE TRIAST Mtallt rOCCAmautaCJOIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) GO N F I DA5NTIAr bra. ensue,. soresiow s& •••••• awe. raw." SDNY_GM_00048052 OB-SDNY-0010876 EFIA_00 I 58661 EFTA01290689 Oroisev Ram Pnwile Weahn &Warm.% Pdwats Caen., waP Dests0A la* Selt,,la LaC Cskt PC moot MD 2120 HI Pan. /falter Activity Sum m a ry (All amounts shown are in base currency) Credits This Period Year-lo-Date Debits Statement Period: 03/01/2014 • 03/3112014 This Period Year-to-Date Securities Securities Secunties Bought 0 00 0 00 Secunties Bought 4.440.99 -2.037.901.71 Ucunties Sold 000 2.760 359.19 Securities Sold 0.00 0.00 Total Securities $0.00 92,760,359.19 Total Securities .96,440.99 42,037,901.71 Dividends and interest 912,487.60 158,73131 Dividends and Interest $0.00 WOO Distributions $4379.94 98,512.74 Distributions 42,724.11 42,72441 Taxes Withheld sum 94.40 Taxes Withheld 90.00 90.00 Cash Cash Deposits 0.00 8,188 19 Deposits 0.00 0.00 Total Cash 91.11 $8,188.10 Total Cash $0.00 80.00 FDIC Insured Bank Deposits $42.31 $1,199,461.21 FDIC Insured Bank Deposits 48,744.01 -$2,792,030.72 Total Credits 917,909.81 $4,833,257.24 Total Debits -$17,909.81 -84,833,257.24 Transactions by Type of Activity Process, Trade! Settlement Transaction Date Date Activity Type Securities Bought and Sold 03103114 REIN VEST CAS? ih CO ME ,P MORGAN FLOATING RATE INCOME FUND SELECT SPARES 638.481 4.440.99 LSO PI- SX 207773.9480 SHRS SF RS FL RCH. AT 510.12000 RD 02/27 PD 03103/14 Desaiption Quantity Price Accrued Interest /mould Currency Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,440.99 Page 9015 PQ10/1,32CSP 30 022 Account Num ber Go paperiess THE H AZE It° N F I IDAEN "NAL DALIN* RA IXCELLENCi TED COMMUNCATIdel CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Ors, Powell PoreiSp uc ••••••••••••••••••••• SDNY_GM_00048053 DB-SDNY-00 10877 EFTA 00158662 EFTA01290690 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) E Trt ONFIDarriAc THE FAZ Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Activity Type Desaiption Quality Price Amsted Interest Amount Currency Dividends and Interest 03103114 CASH DIVIDEND RECEIVED PFSK 03114114 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED /58997996 03125/14 80AD INTEREST RECEIVED 3624207X5 "MORGAN FLOATING RATE INCOME RAO SELECT WIRES 2077739/80 SHRS RD 02127 PD 03103114 INSURED DEPOSITS INTEREST CREDITED 1500000 GS MTG SECS CORP 2005-5F P4 TG PASSTHRU CTF CL B1 VAR 5.759% 06125/35 BIE DTD 05101105 RD 02128 PD 03/25/14 6.110.99 185.78 5.860.79 LSO LSD LSD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 12,117.66 Distributions 03111114 02125114 RETURN OF PRINCIPAL 1500000 GSMTG SECS CORP 20054F II TG PASSTHRU CTF .2.724.81 LSD ADJUSTMENT CL B1 VAR 5.759% 06125135 131E RD 01131 PD 02/25/14 ADJ 3624207X5 RATE e 1.7883350 03111114 0212511/ RETURN OF PRINCIPAL 1500000 GSMTG SECS CORP 2005.5F M TG PASSTHRU CTF 2,682.50 LSO RECEIVED CL 81 VAR 5.759% 06125135 WE RD 01/31 FD 02/25/14 ADJ 3624207X5 RATE 0 1.7883350 03125/14 RETURN OF PRINCIPAL 1500000 GSMTG SECS COW 2005-5F NM PASSTHRU CTF 2.697 44 LSD RECEIVED CL B1 VAR 5.759% 06125135 WE DTD 05101105 RD 02128 PD 3624207X5 03125114 Total Distributions • UNITED STATES DOLLAR 0.00 2,665.13 FDIC Insured Bank Deposits 03/12/14 FDIC INSURED BANK INSURED OEPOSITS PROGRAM 42.31 LSD WITHDRAWAL 050999997 03111/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -185.78 LSO DEPOSITS INTEREST REINVESTED /58997996 03/26/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 4.558.23 LSD 0 50999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 .1,701.70 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 10 of 15 Account Number ReSedfiallent BO1O1e2CSP30022 Go paperless Seven 'fan In A Raw EMMA* RATED COMMUNICAT1ONS neeesyneeetet Amy. use. . wean ease eebenter SCulv_GM_00048054 DB-SDNY-0010878 EFTA_00158663 EFTA01290691 OgYISOC .4111 01.410 "Malin Manale,tat Vinett. pony 4.0.p 0teUllig Sat SMOCK'S Mt. Mew Mr% Olke HS Part AO WI. nth bet Statement Period: 03/01/2014 - 03/31/2014 Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Interest PM ORGAN CHASE II CO OW SHS REMO 1110TH PFD SER 1 Total Cali Not Yet Received $118,500.00 Bond Maturity Schedule Bond Maturity Market Value i to 5 years 6 to 10 years Over 10 years 1,712,750 00 1,071,250 00 7.930.545.95 Total 10,714,516.95 Bond Quality Bond Duality Market Value %of Bond Market Value SAILower 10,714,545.95 100% Percentages of bond market values are Total 10,714,515.95 100% rounded to the nearest whole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. 03131114 0/130114 3 000 000 000 0 039500 Cash 118 500 CO % of Bond Market Value 16% I I 10% 74% C 130% Percentages of !mod market values are rounded to the nearest whole percentage. Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Contact Information Telephone Number: 1212) 454-2889 Page It of 15 o Account Num her Rioted *tenn,' Boione2cmoo2z Go paperless LM* RAT ED CO THE HAZE Trado N F I on\rnAL CA eXCALUNCI MMUNICAT1O.11 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ,+w...,.+••.» ,.<. • Muer arra ••••••••• SON Y_GM_0004805.5 OB-SDNY-0010879 EFIA_00158664 EFTA01290692 Your Account Information Tax Lot Default Disposition M ethod Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Seomities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alion. FIRST fir FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securales m your account on a settlement date basis. including short positions. at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A— and are omitted from the Total. The 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 vAwv.pershing.corrybusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securlies shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in wilting 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 wit not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) wit be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & POP'S. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Pools. Standard & Pools does not guarantee the accuracy. completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or emissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with Me use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase. hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Page 12 of IS Account Num her Rated veellent P4,10/102CSF30022 enne,l /I Go papedess 4,., Seven Yee* In A Re.. THE H [vtaf ieNitoctDCOMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Tt sb N F I D A5 N ITTA II'S ' ars boos • • it Ando. LW. ....n......,....,. SDNY_GM_00048056 OB-SDNY-0010880 EFFA_00158665 EFTA01290693 Important Information and Disclosures (continued) 0.•n., e an Mamie. -v. MnO 0 wego G•ccp De. . Nom M. bit Mar Pant Anne.. hat loct .tn • Statement Period: 03/0112114.03/3112014 Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 controling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and it general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vninv.pershing.com/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department: One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is fled, and any amendments thereto, shall be incorporated into this agreement. Page 13 415 B010, War 30 On Account Plus ber Go paperless Rated I .eallent Sewell Year, an A Raw ME HAZE TRUST A, , Ati „,„,_ * A_ Ern sItNED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) UONFIDE TIAL bee. i••••••• ••••••wilia.••••dor *wood ••••••••••• SDNY_GM_00048057 OB-SDNY-001O881 EFIA_OO158666 EFTA01290694 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing% contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399 Page 144115 R•ted I ...Mont Account Num ber IxITI?Friess Ct, =;;;TTDActa",.---„,,,„s P*10/ /e2CSF30022 THE li TtO N F I DA5NTIAL EXCMINCE CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) COMMI•fili•OUIP U.& • 101110.•••••••••••••• SDNY_GM_00048058 DB-SDNY-0010882 EFrA_00 158667 EFTA01290695 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. Uc&RFS. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO AU. APPLICABLE LAWS AND REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION I; YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE 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 TIM 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 GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL. INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DSCRETION AT ANY TIME, WITHOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY PERSHING, EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PEHSHINGS OFFICES. A COPY OF I f WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: W/ANI.PERSHIN(3COWBUSINESS_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 LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSH NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF MY OF PE ABOVE TERMS MID CONDITIONS ME UNACCEPTABLE TO YOU, FtEASE NOTIFY PEEPING IMMEDIATELY IN MIMED BY CERTIFIED MAIL 10 OM PERSHING PLAZA. JERSEY CITY. NI 07399. ATM MOH. DEPT Page 15 of 15 paperless Account Number SOL OVISLICSF10022 f717.411•17717 Go st."Vtorr A Rear THE FAZE MAMA* RATMCOMmutMATIOM uuLLanca CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) braIST ONFIDtirriAL •— we. • am. aro SDNY_GM_00048059 DB-SDNY-0010883 EFTA_00158668 EFTA01290696 PO. Box 1776. SaimaaMD 21203 0gviltre Pant ,1/2 .4. mamip,an mroets (Int•gt0•c•P De.ncla Bw 141,,a, M. VInv bet Mar JA)Pant Anne.. 1011•11cce tine 'kr\ IOVA THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & Valuation at a Glance Account Number: Statement Period: 02/01/2114 -0212812014 This Period Year-to-Date DARKEN K INDYKE TTEES Beginning Account Value $23,037,616.59 622,994,662.95 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 8.18619 ST THOMAS VI 00802 Adjusted Previous Account Value 23,037,616.59 23,002,851.14 Dividends. Interest and Other Income 12.552 86 44.243 95 Total Taxes Withheld 4 40 440 het Chan e in Portfolio 196 429 24 199 50360 nding Account Value $23.246.603.09 823.246.603.09 Your Client Advisor: Estimated Annual Incom e $928.364.84 TAZIA SI/ IIH Asset Allocation Prior Year-End Lad Period This Period % Allocation USD Cash. money Funds. and Bank Deposds1 7.589.036.35 10,364,062.31 8,373,504.16 36.02% USD Fixed Income 15.405628.60 12.673.554.28 12.825.41893 55.17% I USD Equities 0.00 0.00 2.047.680 00 8.81% Account Total (Pie Chart) $22,994,662.95 $23,037,616.59 523,246,603.09 100.00% I The Bank Deposes in your account are FDIC insured bank deposits. FDIC insured bath deposits are not secunties and are not covered by the Securmes Investor Protection Corporation (SIPC). These bank deposits covered by the Federal Deposit Insurance Corporation (FDIC). up to allonvable limts. e See page 2 of t are portant information regardng the Asset Allocation section. Pe Chart allocation only includes products that are of positive value. Page tor 12 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) MOPS tiamem Go paperless Row CON FIDarnAL LAMAR RATED COMMUNICATIONS RRCI LOIN< I c.............0•••••••.u.C.••••••••••••Ionesse SDNY_GM_00048060 DB-SDNY-0010884 EFTA_00158669 EFTA01290697 Asset Allocation Disclosure and Footnotes Fred Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realized Unrealized This Period Yeaoto•Date Short-Term Gain/Loss 80.54 -1.329.05 -22,131.24 Lon -Term Gain/Loss 0.00 47 538.85 148.449.41 Net GaIn/Loss 80.54 48,867.10 120,39.17 This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Achy' T Devi• ion Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024943 Actisily Ending: 02128114 02101114 Opening Balance 11364162.31 10,364,062.31 02106114 Withdrawal WITHDRAWAL 4.999.41810 8,364,643.41 02114114 Deposil INTEREST CREDITED 258.96 8,364,902.37 API 013% 02118114 Oeposil DEPOSIT 4.40 8,364,906.77 Associated Bank NA NO 02118 S250000.00 BUT NO 02118 $250000.00 Bank of America NO 02118 S250000.00 Citibank N.A. NO 02118 5250000.00 Deutsche Bank Trst Co NO 02118 $6114906.7 East Wesl Bank NO 02118 $250000.00 NY Community Bank NO 02118 1250000.00 Texas Capital Bank NO 02(18 $25000000 Union Bank of CA NO 02118 S250000.00 Corn enity Bank Page 2 of 12 B0119969CSFI0,IS Account Nun Derma a et Itoted I Go ppe a rless CAA!. Yews ' . A AAA DIE HAZE TRUS r T DAeARNIVDCOMMUNICAlIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) eO NFIDfNiiA away& ••••411 Morin. ••••••• •••••• •••••••• SDNY_GM_00048061 OB-SDNY-0010885 BPI:4_00158670 EFTA01290698 PC. Brix a.11 21203 Ocuicov Ram Pnwair Wean &Warne% Myatt COMO., 6,0.1) Des.sthi la* Setto 934.“C lire yen C≥IU Ma Pot Ammo. Ita I ter FDIC Insured Bank Deposits (continued) Date Activity Type Description Statement Period: 02/01/2014 • 02/28/2014 Amount Salaam Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) 02/26114 De oat NO 02/18 $250000.00 DEPOSIT 8,597.39 8,373,501.16 02128114 Postn0 Balance $8 13 504.16 Total FDIC Insured Bank Deposits $8,373,504.16 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please reviewthis 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 interest Income 6,121.32 0.00 32.04112 0.00 Bond Interest 5,812.58 0.00 11.75336 0.00 FDIC Insured Bank Depots 258.96 0.00 448 57 0 00 Total Dividends, Interest, Income and Expenses 812,55216 $0.00 $44,243.95 $0.00 Distributions Other Distributions 0.00 2324.81 000 3.132 80 Total Distributions $0.00 $2,724.81 $0.00 $3,132.110 Pap 3 of 12 Account Number: vellent P*119969CSF 30 OIS Go paperless t t l Sinenn • la A Rss E HAZE ntO N F I DAENTIAL itreA cii ItAiETIDCOMMUNICATONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Oreugli OtiostrwiLit. • seal. ass ••••••••tr SDNY_GM_00048062 DB-SDNY-0010886 EFTA_00 I52167 I EFTA01290699 Portfolio Holdings Account Activity Opening Opening Date Quantity Number Ending Balance Cash, Money Funds, and Bank Deposits 36.00% of Portfolio FOIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0210111/ 8373.504.160 A10021913 0212811/ 10,361,062.31 Total FDIC Insured Bank Deposits 610,364,052.31 Total Cash, Money Funds, and Bank Deposits $10,360,062.31 Oosing Balance Accrued Income Income This Year 30-Day Current Yield Yield Date ired Fixed Income 46.00% of Portfolio (In I minty Dale Sequence) 'Asset Backed Securities GS M TG SECS CORP 2005.5F M TG PASSTHRU CTF CL 81 VAR 5.759% 06125135 IDE DID 05101105 58 P Rating B• Fedor: 0.81391579 Effective Dalc02/03/11 Current Face Value: 1,220.871685 12113/13 '.3.12 1.500.000.000 Muted Quail' Veit Cosl Cod Bads Market Price 8,373,504.16 18,373,504.16 15,373,501.16 Markel Valle 89 40 $89.40 089.40 Unrealized Gainf Loss 146 57 $446.67 $440.57 Arxrued Estimated Estimated Interest Annual Income Yield Security Identifier: 3621207X5 97.1780 1,186,418.88 91.3810 Original Cosl Basic $1.189,588.80 Total Asset Bodied Securities 1,500,000.000 Total Current Face Value : 1,220,673.685 Corporate Bonds PEABODY ENERGY CORP SR NT 7.375% 11/01116 WE DT0 10112106 1ST CPN DIE 05101/07 CPN FIAT SEMI ANNUAL Moody Rating BA2 S 8 P Rating BB 05110/11 'UM 1,200,000 000 107 0760 IPAYM ENT INC GTO SR NT 10250% 05/15/18 B/E DTD 11/15/11 CALLABLE 051151150 105.125 Moody Rating CAA1 S 8 P Rating CCC 10/02112 '.12.13 500,000.000 91.0520 KINDRED HEALTHCARE INC 8.250% 06/01/19 WE DID 06/01/11 CALLABLE 06101114 0 106.188 Moody Rating 83 58 P Rating B. 10102112 'AM 1,000,000.000 99.6880 81,186,418.86 Security Identifier: 704549AE4 1,281,914.46 112.7500 Original Cosl Bads: $1,363,500.00 Security Identifier: 46262EAES 455.25824 78.0000 Original Cost Basis: $115,000.00 Security Identifier: 494580A89 996.878.48 107.7500 Original Cosl Basis: $996,250.00 1,115,816.58 $1,116,646.51 1,353,000 00 390,000 00 1.077.500 00 .70.772.28 5,273.55 -170,777.28 $5,273.55 68,085 51 28,762 50 -65,258 21 14,663 19 80.621 52 19.937 50 So.00 88,500.00 6.54% 51,250.00 13.14% 82.500.00 7.65% Page 4 of 12 B0119969CSF300IS Account Number Go WWI-less -16"v i'rnt".:::ilt AcRotouNicovto•m THE HATE Ito N F I D'ENITI A r CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) Clar40••••••••••••vi.“.••••••••••••••••••••• SDNY_GM_00048063 OB-SDNY-0010887 EFTA_00 158672 EFTA01290700 Portfolio Holdings (continued) Dale Acquired Ousitity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE& CO DEP SHSREPSTG Security Identifier: /66250'41 1710Th FfD Sgt I FIXED TO FLTG RT BO 7.900% 04/291/9 WE DM 01123108 Moody Rating BA1 Sd P Rating BBB 05/10111 12,12 3,000,000.000 1112650 3.337.958.33 112.2200 3.366.600.00 28,641.67 77,083.33 237.00000 7.03% 0 nginal Cost Basis: $3,337,958.33 BANK AM ER CORP PERP NON CON ULATIVE DEP Security Identifier: 06050SDP3 SKS FIXED TO FLOAT 8.125% 04130/58 BIE DTD 04/30/08 CALLABLE 05/15118 Moody Rating BA3 SS P Rang B8• 05!10/11 12.12 3,000,000.000 112.9870 3,389,620.83 114.0000 3.420.000.00 30,379.17 69,739.58 213,750.00 7.12% Original Cod Bask $3,389,620.83 Total Corporate Bonds $9,464,630.34 $9,607,100.00 $142,469.66 6211,786.10 $703,000.00 8 700 000 000 Total Fixed Income 610,651,049.20 10,200,000.000 Adjusted Cost Basis Oraisre Ran. Pon. Wealth minim,. Pdane$ CeenneSe..0 Deence4 • Selee% Lac R,. vet Coke Na Pon name Ike I ex, ear RA. SY 10114 Market Plitt Market Value Statement Period: 02/01/2014 - 02128/2014 Vitalized Accrued Estimated Estimated Gild Loss Interest Annual Income Yield 810,722,746.58 $71,697.38 Uareallzed Date Acquired (Meatier Limit Cod Cod Bads Market Pria Markel Value Gala Loss Equities 9.00% of Portfolio Preferred Stotts (Listed byexpiration date) CITIGROUP INC DEP Sid REPSTG Sorority Identifier: C PRK 1/1000TH PFD SER K 6 875% CUSP: 172967341 Dividend Option: Cash 02/03/14 79,000.000 25.3090 1,999,418.90 25.9200 2,047,680.00 48,261.10 Total Preferred Sloth $1 999 418.90 $2 047 680.00 $48,261.10 Total Equities $1,999,41810 $2,047,680.00 648,281.10 6210,069.66 $703,000.00 Estimated Estimated Annual Income Yield 135,781.25 6.63% $136,781.25 6135,781.25 Page 5012 80119969CSF 10015 Account Num ber Rated Callen\ Go paperless Seven Yews In A Row bean* RATED COMPALINICATiONS L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 61: HE 11AZE TCONFID -EiCITIA 018••••••••• semen. uLe. • awe easeionanen SDNY_GM_00048064 OB-SDNY-0010888 EFTA_00158673 EFTA01290701 Portfolio Holdings (continued) Date A iied Uarealized Ountit Unit Cost Cost Basis Market Price Markel Valle Gals/ Loss Estimated Ealmaled Maual Income Yield Mutual Funds 9.00% of Portfolio FN ORGAN FLOATING RATE INCOME FUND SELECT STARES Open End Fund Dividend Option: Reinvest; Capital Gains Option Reinvest Security Identifier: .PHSX CUSP. 481211510 01122113 '.3 198,216058 10.0900 2,000,000.00 10.1200 2,005,946.48 5,948.48 85,03418 4.23% 02101113'.3 630.057 10.0670 6.342.92 10.1200 6,376.19 2 270.29 4.23% 03101113'.3 01101113',3 711.578 789.547 10.0800 10.1100 7,158.48 7,982.33 10.1200 10.1200 7,201.17 7.990.22 13 23 697 7.89 305.27 338.72 4.23% 4.23% 05101113'•3 751.550 10.1300 7,613.21 10.1200 -7.53 7,605.68 322.41 4.23% 06103113'.3 757.360 10.0900 7,641.77 10.1200 7,664.49 22.72 324.91 4.23% 07101113'.3 668.131 9.9700 8,881.27 10.1200 8,761.48 100.21 286.63 4.23% 08101113'.3 104.809 10.0600 7,088.37 10.1200 7,130.65 4228 302.28 4.23% 09103113'.3 709.175 10 0300 7,113.03 10.1200 7,176.84 304.24 4.23% 10101/13 '.3 712.100 10.0240 7,137.85 10.1200 7,206.45 68.60 6381 305.49 4.23% Total Noncovered 204,650.163 2,014,739.23 2,071,05965 6,320.42 17,794.92 Reinveslm total° 3,123.785 10.1070 31,573.43 10.1200 31,612.70 3927 1,340.10 4.23% Date Total Covered 3,123.716 31,573.43 31,612.70 39.27 1,310.10 Total 207,773.940 $2,096,312.66 $2,102672.35 $6,359.69 389,135.02 Total Mutual Funds $2,096,312.66 $2,102,672.35 $6,359.69 $89,135.02 Unrealized Awned Estimated Cost Basis Market Value Gala/ Loss Interest Annual Income Total Portfolio Holdings $23,120,284.92 $23,246,603.09 $126,318.0 $216,059.65 $928,364.84 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their °applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1. 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfobo system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 6 of 12 Account Num be Itiasd E.C119969CSF300IS Go paperless la A Rew A • • ill 0 ,DAt•Aft RATED COMMUNICAliONS xCIELIANCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e: HAZE TtO NFID EN ariAr ans. ••••••••••••mi U.C. • add. egos. ••••••Per SDNY_GM_00048065 DB-SDNY-00 10889 EFTA_00158674 EFTA01290702 PC. Poi 1716 Elul Port MD 2120 Portfolio Holdings (continued) Dnisov Rana Pnnie Viola up.agenmt Mats Cisme 6 ,0.1) Deau Iv Sank Stew titn Now *4 Mar HS Pert Asia nth IM Pile ve Statement Period: 02/01/2014 • 02128/201/ The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering tin or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaction Description Quantity Cost Basis Proceeds Realized Gain/ tow Disallowance Short Term 02103114 12/13113' PPP GS 117G SECSCORP 200 ASSTHRU CTF CL Bt VAR 5 759% 06125135 WEDTD 05101105 Security Identifier 36242D7X5 0 rioi nal Cost Basis 2.773.46 1.500.000.000 2,773.48 2,854.00 80 54 Total Short Term $2,773.16 82,861.00 $10.64 Total Short Term and Long Term 12,773.16 12,851.00 $80.64 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered." under the new cost basis reporting rules, and marked or denoted as such. Mother securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "coverer 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 folows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options. acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have avalable to you. Page 7 of 12 Account Herein Rated I meaner/It PC119969CSF30015 Go paperless .177-7.7w. Pews In A Raw THE HAZE 0. 0, lIIIC An T'1 O N F I IWNTIAL t.". „al:N.4W D COMMUNICAllONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) bale. nibs*. •••••• •••• SDNCGM_00048066 DB-SDNY-00 10890 EFTA_00 158675 EFTA01290703 Schedule of Realized Gains and Losses Current Period (continued) When you report your cost basis on your tax return, d should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds• foreign bonds• variable rates, bonds in default, index4inked bonds, bonds sold short or bonds that have a negative yield. This intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax4rt disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. M essages Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FOICylnsured Bank Deposits are not protected by Securities Investor Protection Cornoratica.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vowtdws-investrnents.conVEN/rtoductshnoney•market-Itindslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Sum m a ry OW amounts shown are in base currency) Credits This Period Year•to•Date Debits Thu s Period Year•to.flate Securities Securities Secunhes Sought 0 00 000 Secuntres Bought .2,005.840.22 .2,031.460.72 Secunbes Sold 0 CO 2 760 359 19 Secunhes Sold 0 00 0 00 Total Securities $0.00 $2,780,359.19 Total Securities .12,005,840.22 -12,031,460.72 Dividends and Interest $12,552.86 $44,243.95 Dividends and Interest $0.00 $0.00 Distributions $2,724.81 63,132.80 Distributions $0.00 $0.00 Taxes Withheld $4.40 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deports 000 8.18819 Deposits 000 000 Total Cash $0.00 $8,188.19 Total Cash 60.00 60.00 FDIC Insured Bank Deposits $1,909,418.90 $1,999,418.90 FDIC Insured Bank Deposits ,611,860.76 -M76306.71 Total Credits $2,014,100.97 64,816,341.43 Total Debits -T2,014,100.91 -$4,1116,347.43 Nene 12 B0119969CSF301IS Account Pius tier Go p iperless Mtn tY:=A Rom THE HAZE T T mtarcomm AU oo.cAlloos CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(3) GO N F DAENTIArff era*. *map sionipwrise. • sow rms. snow., SDNY_GM_00048067 0B-SDNY-0010891 EFIA_00158676 EFTA01290704 PC. Sat 177S. BPI MD 212x! Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Activit T e Desai ion (*awe Rana Pnweripaia upon—tap Weans Coon., Gro.P Devisag IP** Sewn. +Ic lin. wan Cali* In Put Annus. 1(4h to War lot Irt 10114 Quantity Statement Period: 0210112/14 - 0212812814 Price Accrued Interest knonat Currency Securities Bought and Sold 02103111 REINVEST CASK INCOME SF SX 02106114 0210311/ PURCHASED C PRK P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 207139/300 SF RS SFRSPL RCH. AT $10.12000 RD 01130 PD 02103111 CITIGROUP INC DEP SF S REPSTG 1/1000Th PFD SER I( 6 875% ',AWL AVERAGE LNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGEN T 634.518 79.000.000 25.2491 .6.421.32 -1.999,118.90 LSD LSD Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -2,005,040.22 Dividends and Interest 02103/11 CAST- DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 6.421.32 LSD PhSX 207139.4300 SIRS RD 01130 PD 02'03/14 02114114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 258.96 USD DEPOSITS INTEREST RECEIVED 458997996 02125/14 80AD INTEREST REC8VED 1500000 GS MTG SECS COPP 2005.5F M TG PASSTHRU CTF 5.872.58 USD 3624207X5 CL B1 VAR 5.765% 06125135 EJE DTD 05101105 RD 01131 PD 02125/14 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 12,552.06 Distributions 02125/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS CORP 2005-5F NTS PASSTHRU CTF 2.724,81 IAD RECEIVED CI. DI VAR 5.765% 06125135 WE DTD 05101105 RD 01131 PD 3624207X5 02125/14 Total Distributions - UNITED STATES DOLLAR 0.00 2,724.81 Taxes Withheld 0211/114 NON-RESIDENT ALIEN TAX INSURED DEPOSITS PROGRAM REV OF ARA TAX FROM .1.000 1.10 ISO PRIOR YEAR AD.USTM ENT 10-15.2013 458997996 Total Taxes Withheld • UNITED STATES DOLLAR 0.00 4.40 Page 9 of 12 Account Num Der Go paperless (it) PUPS I" zollem Seven Pan In A Raw THE FAZ LAMAR RATED COMMUN1CATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E Tt ON FIDENTIAL exCIELIANCI 0,..........•••••••• we. . WIS./ 4110SO M.. SDNY_GM_00048068 DB-SDNY-0010892 EFTA_00 158677 EFTA01290705 Transactions by Type of Activity (continued) Process/ Tradel Sttlement Transaction Date Date Activity Type Description Quantity Price Named lutenist Amount Currency FDIC Insured Bank Deposits 02106114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1,999,418.90 USD WITHDRAWAL USD999997 02114/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .258.98 USD DEPOSITS INTEREST REINVESTED 458997996 02/18/14 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .4.40 USD USD999997 02126114 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 4,597.39 USD USD999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 1,990,658.16 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value % of Bad Market Value 1 to 5 years 1.743.000 00 18% - 6 to 10 years 1,077,500.00 10% F.71 Over 10 yeas 7,902,246.58 74% r Total 10,722,746.68 100% Bond Quality Bond Quality Market Value V. of Bond Market Value Percentages of bond market values are rounded to the nearest whole percentage. 8AiLower Total 10,722,746 58 100% Percentages of bond market values are 10,722,710.58 100% rounded to the nearest vfiole percentage. You are 100% invested mi bonds with a bond quality of BAA.ower. Client Service Information Your Client Advisor: TDS Contact Inform anon TAZIA SMITH 345 PARK AVENUE 14Th FLOOR NEW YORK NY 10154 Telephone Number: 1212) 454.2889 Page 104112 Account Nun bur & Ral*d !venom r119969CSF300IS (MAI, Go paperless 5-- Yea Itew THE HAZE TtO N F I DA5N la TIAL EXCALUNCI OALSAR RATIDCOMMUNICAliONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) COS" 0••••••••••••• WC. • ••••• •••••1 nee SDNY_GM_00048069 DB-SDNY-00 10893 EFTA_00158678 EFTA01290706 Your Account Inform ation urn., NM Pelf Ile "Mall Manair-wa Maniets CrwetneC.c.P pe.ruN N. Xlv.n n< mewbADFrq Pant Arens.. Ittit nocr ten. ',an nY Statement Period: 0210112/14 -0212812114 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Storks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Eledronic Delivery You have not selected any account com m imitations for electronic delivery. To register and turn off paper coin m unications, log in to your account or contact your Client Advisor for more inform ation. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions. at the close of the statement period. The market prices have been obtained from sources which we believe to be minable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked —N/A— and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and divided 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 vnerpershing.cornibusiness_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, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this Information is available to you promptly upon your written request directed to your introducing en. In order to assist your introducing firm in maintaining current background and financial Information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, intuited a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page It of t2 Account Num be r Italod I .ollent B0119969CSF 30 015 Go pardess Sawn Years In A Ray THE HA TC;ONFIDALl\ITTAC ' r x elA tLi RAITIDCOMMUNICAT10.% CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Olinsa Onus& sorrow...A. •••••• amiss •••••Sag SDNY_GM_00048070 OB-SDNY-0010894 EFIA_00158679 EFTA01290707 Important Information and Disclosures (continued) Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Pools S not permitted without prior written authorization from Standard & Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are riot recommendations to purchase, hold or sell securities: and do riot address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 (n) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and mules 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 appicable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wwwpershing.cornifstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC: Legal Department: One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very hinged. • 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 pnor 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 illegible for arbitration may be brought in court. • The rules of the arbitration forum it 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 12 of 12 50119969CSF30,/S n ono. t 6? Account Num her GO paperless lial*d Year I xollont Seven * In A Row DALSA* RATED COMMUNICA11O.11 CONFIDENTIAL - PURSUANT TO FED. R CRIM. 6: Ilia ICON Fl DAENMA u.4.•••••••••••••••••bolian SDNY_GM_00048071 DEI-SDNY-0010895 EFrA_00158680 EFTA01290708 PA Ike Mt Same MD2e203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: Asset Allocation Dredifle Pnwiln Wean havvran Marais Coon(' G K.1) Deaulv Met *woes Lac Mow bri Mc* HS Pia Asnetlia I bet PO.o.v ir Prior Yeu-End Lad Period Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income het Change in Porlfolio Account Number: Statement Period:01101/2114 -01/3112114 This Period $22,994,862.95 8,188.19 23,002,851.14 31 691 09 3 074 36 Year-to-Date 122,994,892.96 8.188 19 23,002,851.14 31 691 09 3 O't 35 nding Account Value Estimated Annual Income $23,037,616.59 $23,037,616.59 This Period % Allocation USD Cash. Money Funds. and Bank Deposts1 USD Fixed Income Account Total (Pie Chart) I The Bank Deposds in your account are FDIC insured bank deposits. FDIC insured oank deposits are rot secureies and are not covered by the Securities Investor Protection Corporation (SIPC) These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to allowable limits. See page 2 of the statement for imports rt information regarding the Asset Allocate.) section. 7.589.036.35 7,589,036.35 15.405.626 60 15.405.626 60 $22,994,662.95 $22,994,682.95 10,364,062 31 12.673.554 28 $23,037,816.59 44.99% 55.01% 100.00% Pm Chan allocation only cc.L.des products that are of positive value. Page 1 0115 DOAR.ri IT CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) twollent I', J:90:2? 3 .,:16 Go papedess so— ye... DC A Re.. LAMA* RATED COMMUNICAllONS CONFIDAENTIAL """ C•••••••••••••••••••••••• Is& • •••••••••••••••••••• SDNY_GM_00048072 DB-SDNY-0010896 EFrA_00158681 EFTA01290709 Asset Allocation Disclosure and Footnotes Fried Income contains Fixed Income Mutual Funds Summary of Gains and Losses Realised Ibis Period Year•to•Date Unrealized Short•Term Gam/Loss Lang-Term Gain/Loss Net GalnlLou This summary excludes transactions where cost basis information is not availed.. FDIC Insured Bank Deposits Date kW. T pe Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG024943 Activity Ending: 01131114 01101(14 Opening Balance 01115(14 Deposit 01116(14 -1.421 10 -67.53885 -68,959.95 -1.421.10 -67.538 85 -68,958.85 413 20 -320 05 Descri ion Amount 93.15 Balance INTEREST CREDITED APY 003% Associated Bank NA NO 01(16 5250000.00 BEAT NO 01(16 S25000100 Bank of America NO 01(16 5250000.00 Citibank N.A. NO 01(16 $250000.00 Deutsche Bank NO 01(16 55339225.9 East West Bank NO 01116 $250000.00 NY Community Bank NO 01(16 5250000.00 Texas Capital Bank NO 01(16 $250000.00 Union Bank of CA NO 01(16 $25000000 Com enity Bank NO 01(16 $250000.00 7.589,036 35 189.61 7,589.036.35 7.589.225 96 7,589,225.96 Page 2 of 15 Account Num Der Go paperless tik "•a^ tt•' C. Re. TF E FAZE RAMA* RATED COMMUNICAllONS excnunca CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) TFd"STO N F I DAENTIAL a••••• •••••••• U.& • •••••• ••••••••• SEIY_GM_00048073 DB-SDNY-0010897 EFrA_001586.32 EFTA01290710 DraSOf Beta Prwaie WO P. minim,. Meals teen. 4,o,P Male NA See net ec Na. Vet Mc* HS Pad /meek len I kw FDIC Insured Bank Deposits (continued) Date Activity Type Descr stron Statement Period: 0110112014 • 01/31/2014 Amount Bailees Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) 01117114 Deposit DEPOSIT 2,760,359.19 10,349,585.15 01129114 Deposit DEPOSIT 14,177.16 10,364,082.31 01131114 Posing Balance 810,364,062.31 Total FDIC Insured Bank Deposits 810,361,062.31 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection vrith other deposits you may have at each respective bank. Income and Expense Summary Olgrenl Period Year-to-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Other Dividends 25,620.50 0.00 25.620.50 0.00 Interest Income Bond 'merest 5,880.98 0.00 5,880.98 0.00 FDIC Insured Bank De posts 189.61 0.00 189.61 0 00 Total Dividends, Interest, Income and Expenses $31,691.09 30.00 $31,691.09 $0.00 Distributions Other Distributions 0.00 407.99 0.00 407.99 Total DIMdbutions $0.00 $407.99 $0.00 8407.99 Page 3015 Account Nue Dert♦ (*). Rated I ...deal 8010 0 290CS F 30116 Go paperless Steen Veal' in Rew THE HAZE Tto N F I DA5NITIAL DALM* RATED COMPAUNKATONS CONFIDENTIAL - PURSUANT TO FED. R CRIM, P. 6(e) CONSP *Me 1.10.••Wilie. • WINO. ••••• •••••••• SDNY_GM_00048074 OB-SDNY-0010898 EFTA_00158683 EFTA01290711 CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) Portfolio Holdings 0penmq Date Cash, Money Funds, and Bank Deposits 45.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0110111/ 10.361,062 310 41G021913 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Account Quantity ?lumber Activity Ending Opening Balance Ming Balm' Accrued Income Income This Year 30.Oay Current Yield Yield Date Ned Fixed Income 48.00% of Portfolio (In Manuity Date Sequence) 'Asset Backed Securities 565 TG SECS CORP 2005.5F NIG PASSTHRU Security Identifier: 3621287%5 CTF CL 81 VAR 5.765% 06125135 WE DID 05101105 S 8 P Rating B• Fador: 0.81581816 Effete Dale 01102/1/ Current Face Value: 1,223,727.690 Please Provide' 1.500M:000 hiA Please Provide 91 2910 Original Cost 8ams Please Provide Total Asset Backed Securities 1,500,000.000 Total Current Face Value : 1,223,727190 Corporate Bonds PEABODY ENERGY CORP SR NT 7.375% 11101116 WE DM 10/12/06 1ST CPN DIE 05101/07 CPN FIAT SEMI ANNUAL Moody Rating BA2 Sd P Rating 88 05110/11 '.12.13 01131111 7,589,036 35 $7,589,036.36 47,589,036.36 Adjusted Quad Veit Cod Cod Basis Market Price 10 361,062 31 $10,361,062.31 $10,361,062.31 Markel Value 150.92 $150.92 $150.92 Unrealized Gain/ Loss 189 61 $189.61 $189.61 ',IA NiA Accrued Estimated Estimated Merest Annual Income Yield 1,200,000 000 107 2810 IPAYM ENT INC GTO SR NT 10250% 05/15/18 B/E DM 11/15111 CALLABLE 05/15115a 105.125 Moody Rating CAA1 S 8 P Rating CCC 10/02/12 '.12.13 500.000.000 90.9190 KINDRED HEALTHCARE INC 6250% 06/01/19 BlE DID 06/01/11 CALLABLE 06/01114 Q 106.188 Moody Rating 83 S4 P Rating 10102112 *AM 1,000,000.000 99.6810 $0.00 Security Identifier: 701519AE1 1,287,402.90 112.5000 Original Cosl Basis 51,363,500.00 Security Identifier: 46262EAE5 151.595.41 76.2500 Original Cod Basis: 4115,000.00 Security Identifier: 494580A89 996,839.07 107.2500 Original Cod Basis: 5996,250.00 1,117,153.25 11,117,153.26 1,350,000 00 381,250 00 1172100.00 N/A 5,879.02 $0.00 55,879.02 62,597 10 -73.345.41 22.125 00 10.819 11 75,680.93 13.750 00 50.00 88,500 00 6.55% 51.250 00 1.44% 82,500 00 7.69% Page 4 of15 Account Number Riel•d•xollent 80100290CS F 30016 Go paperless Seven Yea s In A Rene DI HAZE NFI D A ••IT I • • IDALSAR RATED CC•AMUNICAY1ONS t rO ENTIAL 0••••••••••1411 01•10•111.114. • i•••••.••••• SDNY_GM_00048075 OB-SDNY-0010899 EFTA_00158684 EFTA01290712 PC. Bcp 1776 Elul Port MD 21203 Portfolio Holdings (continued) Date Acquired Fixed Income (continued) Corporate Bonds (continued) RY ORGAN CHASE & CO DEP SHSREPSTG Security Identifier: 466251111A1 MOTH FR) SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 WE DM 0023/08 Moody Rating BM SE P Rating BBB 05110/11 UM 3,000,000.000 1112650 3337.958.33 110.6200 3.318.600.00 .19.358.33 59.250 00 237.000.00 7.14% 0 npinal Cost Basis: 53.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8 SF S FIXED TO FLOAT 8.125% 04/30/58 BIE DTD 04(30/08 CALLABLE 05/15118 Moody Ruling BA3 $i& P Wing BIM 05110111 12.1$ 3,000,000.000 112.9870 3,389,620.83 111.2600 3.337 800 CO -51,820.83 $1,458.33 243,750.00 7.30% Original Cost Bait $3,389,620.83 Total Corporate Bonds $9,486,418.54 $90160,150.00 -$8,216.61 $157,402.77 $703,000.00 8 700 000 000 Total Fixed Income $9,166,416.54 10,200,000.000 Gnaw.< Ram Pnwale Vita* P. IMAagentot Pdaeat$ COorage Gnat) Y. 01.4)04 Sank *Clones 1.4 Onto HI Put Annie. 160. I to Adjusted Quality Unit Cost Cod Basis Market Price Market Value Statement Period: 0110112014 • 01/31/2014 Unrealized Accrued Estimated Estimated Gain( Loss Interest Annual Income Yield $10,577,303.25 -16,286.61 $163,281.79 $703,000.00 Umealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market ha Markel Value Gala/ loss Annual Income Yield Mutual Funds 9.00% of Portfolio BM ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: ..PHSX CUSIP 481211510 01122113'.3 198.218,058 10.0900 2,000,000.00 10.1200 2,005,948.49 5.948.49 88,025.77 4.28% 02101113'.3 630.057 10.0670 6342.92 10.1200 6,376.17 3325 273.44 4.28% 03101113',3 711.578 10.0600 7,158.48 10.1200 7,201.17 42.69 308.82 4.28% 04101113'.3 05101113'.3 789.547 751.550 10.1100 10.1300 7,982.33 7,613.21 10.1200 10.1200 7,990.22 7.605.68 7.89 •7.53 342.68 326.17 4.28% 4.28% 06103113'.3 757.360 10.0900 7,641.77 10.1200 7,664.48 22.71 328.69 4.28% 07101113 '.3 08101113'.3 668.131 704.609 9.9700 10.0600 6,661.27 7,086.37 10.1200 10.1200 6,761.48 7,130.65 100.21 4228 289.97 305.80 4.28% 4.28% Page 5 of 15 Account Number. Go o tperless Pi,10 0 290CSF 30 016 a et Road I -retie.' 110.411-C‘ PT THE HAZE ce—nYearsiati T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) UONFIDAENITTAr tEL2424 lj" A ON•afinmael itisin. fl ea.. *Neva •••••••••• SDNY_GM_00048076 DB-SDNY-00 10900 EFTA_OO 158685 EFTA01290713 Portfolio Holdings (continued) Date Acquired Duality Usk Cod Cod Bads Markel Price Markel Valle Uerealized Gale! Loa Estimated Estimated Annual Income Yield Mutual Funds (continued) P M ORGAN FLOATING RATE INCOME FUND (continued) 09103113 '.3 709.175 10.0300 7,113.03 10.1200 7,176.85 63.82 307.78 0.28% 10101113'.3 712.100 10.0240 7,137.85 10.1200 7,206.15 68.60 309.05 0.28% Total Noncovered 204,650.183 2,064,739.23 2,071,059.64 6,320.11 88,810.15 Rrinvedments to 2.489.267 10.1040 25,152.11 10.1200 25.191.39 39.28 1,080.36 4.28% Date Total Covered 2,489.267 25 152.11 25,191.39 39.20 1,080.3$ Total 207,139.130 12,001,691.31 82,016,251.03 86,369.59 $59,898.51 Total Mutual Funds 12,089,691.31 $2,095,251.03 96,369.69 $89,898.51 Uareallzed Muted Estimated Cod Basis Markel Vales Gals! Loss Mitered Annual Income Total Portfolio Holdings 821,920,370.19 823,037,518.59 $93.15 $163,28t.79 $793,088.12 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore. considered " noncovered.' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee 'applicable date(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 folows: • Stair in a corporation acquired on or after January 1, 2011 • Mutual hinds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of Mese attriiutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This intonation is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not avaiable. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 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. 13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this intonation. Page 6 of 15 Account Num Der E,100290CSF30016 Go paperless S Ras° tt:PIT:A Rem MAMA* ItATEDCOMMUNICAllOtel CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6rilo: E HAZE tO N F I DAENTIAr Claiefill•••••• 1.010•101* LIA. • MAO. .we. •••••••• el no Oa. OF 'SM.% t. CONY MS" rams LIC see res. rasa sec SDNY_GM_00048077 DB-SDNY-0010901 EFTA_00158686 EFTA01290714 PC. Boi 1770 Elia mxt MD Mtn Oruisov Rant Priam %Wain rapmgenmt mantis Coon., 6,0.4) Devisag M Savor lin. wan Olict In Poe Amuse Itah Met War int Irt 10114 4:4,74A.1111,171.arel Statement Period: 0110112014 • 01/3112014 Schedule of Realized Gains and Losses Current Period Disposition Date Acquisition Date Disposition Transaction Description Quantity Cost Oasis Proceeds Realized Gain/ Loud Disallowance Short Term 01/16/11 02/01113' SELL P MORGAN HIGH YIELD CT CLASS 1,569.741 12.87188 12.65211 -219.77 First In First Out Security Identifier: OHYFX 01/1611/ 03/01/13' SELL P MORGAN HIGH YIELD CT CLASS 1,577.590 12,936.24 12,715.38 -220.86 Rd In First Out Security Identifier. OHYFX 01/1611/ 04101113' SELL PMORGAN HIGH YIELD CT CLASS 1,614.301 13,318.01 13,011 29 -306.72 First In First Out Security Identifier. OHYFX 01/16/14 05/01113' SELL PMORGAN HIGH YIELD CT CLASS 1.753.886 14.660.65 14,131.55 -526.10 First In First Out Security Identifier: OHYFX 01/16/11 06/03113' SELL first In First Out P MORGAN HIGH YIELO CT CLASS Security Identifier: OHYFX 1.550.004 12.818.54 12.493.03 .325.51 01116114 07/01113' SELL P MORGAN HIGH YIELD CT CLASS 1,601.052 12,880.54 12,928.66 48.12 First In First Out Security Identifier: OHYFX 01/16/11 08/01113' SELL P MORGAN HIGH YIELD CT CLASS 1,552.108 12,621.08 12,512.41 -108.67 First In First Out Security Identifier: OHYFX 01116114 09/03113' SELL P MORGAN HIGH YIELD CT CLASS 1,700.764 13,657.14 13,708.16 51.02 First In First Out Security Identifier: OHYFX 0111611/ 10/01113' SELL PIA ORGAN HIGH YIELD CT CLASS 1,539.195 12,121.09 12,405.91 -I5.18 First In First Out Security Identifier: OHYFX 0111611/ 11/01/13 SELL ,P MORGAN HIGH YIB.0 CT CLASS 1,638 055 13,161.81 13,202.72 0.00 FRS In First Out Security Identifier: OHYFX -262.09 01/16/11 12/02/13 SELL P MORGAN HIGH YIELD CT CLASS 1,609.990 13,201.92 12,976.52 -168.05 First In First Out Security Identifier: OHYFX .57.351 01/16/14 12/13113 SELL P MORGAN HIGH YIELO CT CLASS 7.653.121 61,227.37 61,686.57 159.20 First In First Out Security Identifier: OHYFX 01/1611/ 12/13113 SELL P MORGAN HIGH YIELO CT CLASS 1.117.273 8.938.18 9.005.22 67.04 First In First Out Security Identifier: OHYFX 01/16/11 01/02114 SELL PMORGAN HIGH YIELO CT CLASS 1,638.055 13,333.77 13,202.72 -131.05 Fug In firs Out Security Identifier: OHYFX 76 day(s) added to your holding period as a resull of a wash sale. Page 7 of15 110100290a,, 30014 I IlAik ' THE HAZE ICrat N F I DENTIAL: ""`""" CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number Go paperless Rated fetelNM Seven Years In A Row OALSAlt RAYED COMMUNICATIONS tYewawyn-Lot. • ••••••••••• ••••••len SDNY_GM_00048078 DB-SDNY-0010902 EFTA_00I58687 EFTA01290715 Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Realized Gain/ Loss( Dale Date Transaction Descr.paon Quantity Cost Oasis Proceeds Disallowance Disallowance llowan Short Term (continued) 01/1611/ 01102111 SELL P MORGAN HIGH YIELD CT CLASS 409 635 3,32623 3,301.66 .2457 first In Firs Out Security Identifier OHYFX 45 delfts) added to your holding period as a resull of a wash sale. Total Short Term 3231,677.15 1229,936.91 -$1,421.10 Long Term 01116114 05110111' SELL P MORGAli, HIGH YIELD CT CLASS 227,966.660 1,920,262.95 1,837A11 28 -82.851.67 Ars1 In First Out Security Identifier. OHYFX 01116114 06/01111' SELL P MORGAli. HIGH Y18.0 CT CLASS 3,706.904 30,915.58 29.877.65 -1.037.93 RS In Firs Out Security Identifier. OHYFX 01/16/14 07101111' SELL P MORGAh, HIGH YIELD CT CLASS 3.428.920 28.117.15 27.637.10 -480.05 Arid In first Out Security Identifier. OHYFX 01/16114 08101111' SELL P MORGAA HIGH YIELD CT CLASS 3.595.321 29.481.64 28.978.29 -503.35 Firs In Firs Out Security Identifier: OHYFX 01116114 09101111' SELL PMORGAN HIGH YIELD CT CLASS 3,894.861 30263.07 31.392.58 1,129.51 Firs In First Out Security Identifier: OHYFX 01116114 10103111' SELL P MORGAN HIGH YIELD CT CLASS 3.822.476 28,630.35 30,809.16 2.178.81 Firsl In Fug Out Security Identifier: OHYFX 0111611/ 11/01111' SELL PMORGAN HIGH YIELD CT CLASS 3,513.891 21,581.05 28,321.96 737.91 RS In First Out Security Identifier: OHYFX 01116114 12101111' SELL P MORGAA HIGH YIELD CT CLASS 3,948.776 30,208.11 31,827.13 1,618.99 FM In Fug Out Security Identifier: OHYFX 01116114 12116111' SELL PMORGAN HIGH YIELD CT CLASS 7,928.226 60,095.96 63,901.50 3.805 51 Firs In Firs Out Security Identifier: OHYFX 01/16/14 12/16111' SELL P M °ROM HIGH YIELD CT CLASS 4.859.519 36,835.61 39,168.21 2.332.60 Ars1 In First Out Security Identifier. OHYFX 01/16114 01103112' SELL P MORGAA HIGH YIELD CT CLASS 1.071.946 31.028.23 32.819.88 1.791.65 Firs In First Out Security Identifier: OHYFX 01116/14 02101/12' SELL P M °RCM HIGH YIELD CT CLASS 3.349.916 26.129.35 27,000.32 870.97 Firs In First Out Security Identifier: OHYFX 01/16114 03101112' SELL P MORGAN HIGH YIELD CT CLASS 3.559.172 28.188.65 28,686.93 498.28 Firs In Fug Out Security Identifier: OHYFX 01/16/11 04/02112' SELL PMORGAN HIGH YIELD CT CLASS 3,755.851 29,633.67 30,272.16 638.49 firs In Fa Out Security Identifier. OHYFX 01116/14 05/01112' SELL PMORGAN HIGH YIELD CT CLASS 3,108.928 24,622.71 25.057.96 435 25 firs In First Out Security Identifier: OHYFX 01116/14 06/01/12' SELL P MORGAli, HIGH YIELD CT CLASS 3,523.859 27,345.15 28,102.30 1,057.15 Firs In Fug Out Security Identifier. OHYFX Page 8 of 15 Account Number 80100290CSF30016 Go paperless *:). THE HAZE rd DAtlaRATMCOmmutdiCi1/4110•43 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Te 'srO N F 11:Y51\1111AL IPICEIAINCII c- sprat •••••••• Lit. • ••••• 0••••• .64SM/ SDNY_GM_00048079 DB-SDNY-0010903 EFTA_00 I 58688 EFTA01290716 PO Sc, 17713 Etat trace MD 21203 Draiwv Pam Po...wean Marrat Mantis Canna GK." Dawn. let Setv net ',P. New *A Mc* MINA ArlowAlta I kw Statement Period: 0110112/14 -0113112114 Schedule of Realized Gains and Losses Current Period (continued) DisposItioe Acquisition Disposition Realized Gainl Loss/ Dale Date Transadion 0escri lee Guinn Cod Basis Proceeds Disallowance Long Term (continued) 01116/11 07/02112' SELL P MOR0N% HIGH YIELD CT CLASS 3.493.412 27,493.16 28.156.90 663.74 ROM Fug Out Security Identifier: OHYFX 01116/1/ 08/01112' SELL P IA ORGAk HIGF YIELD CT CLASS 3,637.695 28,956.06 29,31982 363.76 first In First Out Security Identifier: OHYFX 01116/1/ 09104112' SELL P SI ORGAk HIGH YIELD CT CLASS 3,630.438 29,116.12 29,261.33 115 21 first In First Out Security Identifier. OHYFX 01116/1/ 10101112' SELL P MORGAk HIGH YIELD CT CLASS 3.623.250 29.275.86 29.203.10 -7246 First In First Out Security Identifier: OHYFX 01/16/11 11101112' SELL P MORGAN HIGF YIELD CT CLASS 2.628.011 21.287.14 21,181.79 .10535 First In first Out Security Identifier: OHYFX 01116/1/ 12103112' SELL P MORGAk HIGH YIELD CT CLASS 2.575.903 20,916.34 20,761.78 -151.56 First In First Out Security Identifier: OHYFX 01116/1/ 12114112' SELL P MORGAN HIGH YIELD CT CLASS 3.180.012 25,980.70 25,630.90 .319.80 First In Firs Out Security Identifier OHYFX 01116/1/ 01102113' SELL P MORGAk HIGH YIELD CT CLASS 3,111.163 25,593.49 25,341.95 .251.51 first In First Out Security Identifier: OHYFX Total Long Term $2,597,961.13 32,530,422.28 ,367,538.85 Total Short Term and Long Term 32,829,838.58 32,760,359.19 .168,95945 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noricovered." under the new cost basis reporting rules, and marked or denoted as such. M other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee 'applicable date(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, 2O13, or later, as determined by the Secretary of the Treasury. Account Number Go paperless Page 9 of 15 CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) HAZE tONFID ENT A IAL E Rated 1"!141420 Yea. 4. In A Row [LUSA* RATED COMMUNICATIONS IXCIELLENCI ewe.. ars.% Aida.. We. • WINO/ *Mild SDNY_GM_00048080 DB-SDNY-OO1O9O4 EFrA_OO 158689 EFTA01290717 Schedule of Realized Gains and Losses Current Period (continued) This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly dent brokerage statement at year end versus any subsequent reports, including your 1099.8 or online displays you may have available to you. When you report your cost basis on your tax return. it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance on the intonation provided herein for such reporting. 3 Realized loss is net of a disallowance due to a wash sale. Please refer to the Your Account Information Section n your brokerage account statement for your accounts existing tax-lo disposition method. The disposition method is the method