EFTA Document EFTA01288772

Deutsche Asset & Wealth Management PO Bon 1778. Beware. MO 2t203 Dpaisre Rant PnweWeein Paragenms Pdaterts Cisme 6.• oestscry Pat %w ,. ort +.c licenen Oikt Na Pant Ammo. Hal bet Portfolio at a Glance Account Number: Statement Period: 12/01/200 -1213112015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 3106,248,127.78 8126,714,293.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -548.663.17 •18.2l6.493 88 ST THOMAS VI 00802 Net Securities InlOut of Account 060 .5.861,790.80 Adjusted Previous Account Value 105,097,404.59 102,630,000.34 Dividends, loftiest and Othet Income 555,11817 3.813,797 20 Total Taxes Withheld 0.00 -S561.18 Net Other Activity -1.00 -305.00 Your Client Advisor: Net Chan ,e in Portfolio -2.968.261.66 -3.152.321 56 DANIEL SABBA nding Account Value S103 284 617 80 3103 284 617 80 Accrued Interest $319.008 14 Estimated Annual Income 53.596.773 94 Asset Allocation Prior Year-fait Lad Period This Period % Allocation LSD Cash. Money Funds and Bank Deposits 44,273,98433 26,827,392.13 26,831,113.83 25.98% LSD Axed Income 18,177,455.58 20,288,106.47 20142,233M 19.60% Non-LSD Axed Income 7.150,052 50 5,335,220.00 5.196,705.00 5.03% LSD Equities 54,120,544 61 50,481,923.16 47,972,851.11 46.45% honSSO Equities 2.986.2543.00 3.335.480.00 3.038.824,00 2.94% Account Total (Pie Chart) 3126,714,293.02 3108,246,12116 3103,284,617.80 101.00% See the Asset Mutation Disclosure and Footnotes secton b- important information muesli" your Asset Mouton. osAli aQtt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Please review your allocation perockally wth you' Giant Advisor. Page 14020 B0097111 1CSF30024 Go paperless (it Litiged nry Vira. sine. 2007 CONFIDENTiA reaXCIALLCRAPDC°MMUNICAT°6 SDNY_GM_00045B00 DB-SDNY-0008624 EFTA_00156409 EFTA01288772 Asset Allocation Disclosure and Footnotes M values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2015 Exchange rates can vary. Equities contains Equity Mtrtual Funds. Summary of Gains and Losses Realized Utilesbred This Period Year-to-Date Short-Term Gain/Loss 0.00 100.107 03 -787.297.04 Lang•Term Gain/Loss 53.721 12 -111.674 91 3.112.278.66 Net GalnlLoss 53.721.42 -11,867.88 2,324081.82 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Amount Balm Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num ber 0000001490 Current Yield: 0.13% Activity Ending: 12/3tfl 5 12101115 Opening Balance 26,735.287.18 26,735,287.18 12/01115 Deposit MONEY FUND PURCHASE 92,104.95 26,827,392.13 12/02/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.827.388.13 12/04115 Withdrawal MONEY FUND REDEMPTION -596.777.26 26.230.610.87 12/07115 Deposit MONEY FUND PURCHASE 66,500.00 26,297,110.87 12/11/15 Depend MONEY FUND PURCHASE 24,996.00 26,322,106.87 12/16115 Deposd MONEY FUND PURCHASE 51,360.16 26,373,467.03 12/17/15 Deposit MONEY FUND PURCHASE 148,125.00 26.521.592.03 12/23/15 Withdrawal MONEY FUND REDEMPTION -0.08 26.521.591.95 12/29115 Deposit MONEY FUND PURCHASE 61,285.44 26,582,857.59 12/30115 Deposit MONEY FUND PURCHASE 168,540.60 26,751,398.19 12/31115 Deposit MONEY FUND PURCHASE 3.483.00 26,754,881.19 12131115 Deposit INCOMEREINVEST 1169.55 26.756.850.74 12131115 Closing Balance $26,756,650.74 Total All Money Market Funds $16,758,650.74 Income and Expense Summary Commit Period Year-to-Dale Taxable Mee Taxable Taxable No. Taxable Dividend Income Equities 93,035.16 0.00 1,134,818.48 000 Money Market 1.76955 0.00 15,077.58 000 Other Dividends 27,032.72 0.00 111,090.12 000 Page 2 of 20 Account Number: taamordi BAN ROLL Go paperless etc Every Yoe, SOSO. r007 DAL BAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67: HEIMCON F I DriTrIA rxenurraer SDNY_GM_00045801 DB-SDNY-0008625 EFTA_00156410 EFTA01288773 Deutsche Asset & Wealth Management P.O. &a 1778, Bahimore. MD 21203 (*On a na Pnyve wean im.ge-ian Pram tOdene4.0.4) DeNsche M Stao0e. at. Mar le t c Hs Pia Out/cm. Nth 007 Weer** NY 10IM Income and Expense Summary (continued) Qinent Period Statement Period: 1 2101/2115 Year-to-Bak -1213112116 Taxable Noe Taxable Taxable Non Taxable Interest Income Bond interest 300,14914 0.00 1,081,091.58 0.00 Other Interest 0.00 0.00 162,500.16 0.00 Expenses Withholding Taxes 0.00 0.00 -6,561.18 0.00 Fees(Foieign Securities) 0.00 0.00 -225.00 0.00 Total Dividends, Interest, Income and Expenses 1421,967.27 10.00 13,167,791.70 10.00 DlsUlbudons Long • Term Capital Gan Institutions 87,731.40 000 87,731.40 0.00 Short - Tem Capital Gan Distributions 45,70020 0.00 45.70020 0.00 Alternative Investments 0.00 0.00 0.00 515,78732 Other OistAbutions 0.00 0.00 0.00 89.616.40 Total Distributions 1133,431.60 10.00 $133,431.60 1605,404.12 Portfolio Holdings Amount Activity Opening Gahm no Income sed 39-Day Cement Opening Date Omanlity Number Ending Balance Balance Income Pas Year Yield Yield Cash, Money Funds, and Bank Deposits 26.00% of Portfolio Cash Balance Margin Balance Money Market DEUTSCHE GOVT CASH INSTL 12/01115 26.756.650.740 0000301490 Total Money M arket Total Cash, Money Funds, and Bank Deposits 12131115 92,104.95 0.00 26.735.287.18 74,010.09 3.483.00 26.756.650.74 0.00 15077.56 0.08% 013% $16,736,287.18 321,766,850.74 116,077.66 116,627,392.13 $20,934,143.83 1$ 90..00 116,077.66 Page 3 of 20 Account Number: torellerigi 7007764)C573012: UBAO MOLL Ga paperless L very Yea. Lace 2007 DAMAN RATED COMMUNICATION6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERIMI F D AMSITIA rxenurraer SDNY_GM_00045802 DB-SDNY-0008626 EFTA_GO [5641 I EFTA01288774 Portfolio Holdings (continued) Date Acquired Ouselity Urnit Cog Fixed Income 2 5.0 0% of Portfolio (In Maluary Dee Sequence) ‘Asset Backed Securities WASHINGTON NUT NTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 3.187% 07125133 WE DTO 06/01/04 S 8 P Rating 0 Factor. 0.53648940 Effects. Date:12[01/15 Current Face Value: 692.045 526 12113/13',3,12 1,290,000.000 76 5190 Adjusted Cod Basis Market Price Market Value Unrealized Gain/ Lou Accrued Interest Estimated Estimated Annual Income Yield Total Asset Birdied Securities 1,290,000.000 Total Current Face Value : 692,045.526 Corporate Bonds EARTHUNK INC GM SR NT FULLY EXCHANGED CUSP FROM 210321AB8 8.875% 05/15/19 WE DID 05117111 CALLABLE 12/31115 68 P Rating CCC. 10/22/12 ',LIT 146,000 000 102 6360 10/23/12 ' •3.12 600.000 000 102 5550 Total Nononered 748,000.000 Total 746,000.000 FRONTIER COM M UNICATIONS CORP SR KT 8.500% 04/15/20 WE DID 04112110 1ST CPN DTE 10/15/10 Moody Rating 13A3 S P Rating BB- 07106115 3,000,000.000 105.2140 Security Identifier: 939338520 529 543 61 84.6460 Original Cost Basil $838.906.71 $529,543.61 Security Identifier: 2103214C8 149.849.05 101.7500 0 nginal Cod Basic $151.110.00 615,332.25 101.7500 Original Cod Basic $819,500.00 766,181.30 585.788 86 $585,788.88 148.555 00 610.500 00 759,055.00 $760,055.00 56.24525 $58,245.25 .1.294.05 4.632 25 -8,126.30 -$8,121.30 $8,459.65 1.838 41 $1,836.41 1.655.68 6.604.17 8,459.65 $0.00 12.957 50 8.72% 53.250 00 8.72% 86,207.50 LLOYDS TSB BK PLC EURO ISSUE M EOIUM TERM NOTES IUD XS0717735822 9.875% 12118/21 REG DTO 12/16111 Moody Rating Bat S8 P Rating BBB 12104113 'AM 1,500.000.000 1068300 BARCLAYS BK PLC CONTINGENT CAP NT ISK 8U6067390403 7.750% 04/10123 B/E DID 04110113 CALLABLE 04110118 S8 P Rating BP. 04103/13 'AM 300,000.000 100.0000 01,09/843CSF3 .' OBAB 901.1. $785,181.30 Security Identifier: 35906AAHI 3.156.430.37 100.2500 Original Cost Basis. S3 171,006 00 Security Identifier: GISISPP48 1.602.454.90 106.8280 Original Cosl Basic $1,627,500.00 Security Identifier: 06739FHK0 300.00080 106.7500 Original Cost Basis: $300,000.00 3.007.500.00 1,602,420.00 320,250.00 -148.930.37 .34.90 20,250 00 53,833.33 5,760.42 5,231 25 $86,207.50 255,000.00 8.47% 148,125.00 9.24% 23,250.00 7.25% Page 4 of 20 Account Number: Go rless etsoi Cyr, V... Sims 2007 Rasa Lawns rigi Sa „En CO DAL BAR RATED COMMUMCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Lin F I DENTIA rxenurnser SDNY_GM_00045803 OB-SDNY-0006627 EFTA_00156412 EFTA01288775 Deutsche Asset & Wealth Management PO Boa 1778. Beware. MO21203 Portfolio Holdings (continued) Date Acquired thiantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1110TH PFD SER 1 FD TO MG RT BO 1.900% 04129149 BlE DTD 04123108 Moody Rating BAA3 S P Rating BBB- 06115111 '.3,12 2,500,000.000 107.5000 06115111 ..3.12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130158 B/E DTD 01130168 CALLABLE 05115/18 Moody Rating BA2 St P Rating Bei 01110111 '.3.12 2,000,000.000 1023500 Adjusted Cost Basis (*„cost 8.4 P0.1,0 W,41 P.m...vie,. Mann. Comm< Gmap IXMUM Mk smeces4%. Na, *4 Olk• 30770 Nowa lie01 ice woe. *A NY 101W Market Price Market Value Statement Period: 12/01/2015 - 12131/2015 Unrealized Gen/ Loss Accrued Estimated Estimated Interest Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117/62 INE DTD 01117112 CALLABLE02/01122 Q 100.000 Moody Rating BAAt 58 P Rating BBB- 01130112'.3.12 3,000,000.000 99 8310 GENERAL SIC CO GTD FXD-TO•ELTG RT NONCUMULATIVE PERPETUAL PREFERRED 4.000% 12103/85 WE DTD 12/03/15 Moody Rating A3 58 P Rating AA- 12103115 2,469,000.000 88.0930 Security Identifier: 46825HHA1 2,687,500.00 101.8000 Original Cost Basis: 52,687,500.00 2,675,000.00 101.8000 Original Coal Basis. 52,675,000.00 2,545,000.00 2,545,000.00 .142.500.00 -130.000.00 32,916.67 32,916.66 197.500.00 197.500.00 7.76% 7.76% 6,362,500.00 5,090,000.00 ,272,500.00 65,833.33 395,000.00 $5,302,500.00 $5,090,000.00 .$272,500.00 $65,833.33 $395,000.00 Security Identifier: 0605050 T8 2,055,000 00 101.7500 2,035,000.00 -20,00000 20,763.89 162 500 00 7.98% Original Cost Basis: 52.055,000.00 Security Identifier: I42400FU2 2,994,938.15 110 1750 3,305,250 00 310,313 85 78,125 00 187 500 00 5.67% Original Cost Basis $2 992.564 97 Security Identifier: 369604B114 2,175,016.17 100.0000 2,169,000 00 293,983.83 4,389 33 98,760.00 IVO% Original Cost Basis: $2.175.016.17 OMAN 001.1 Account Num berms paperIess 93 ti tUb LLC. F I DrarTAL CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) TH ERA N Page 5 of 20 Rated tocellerdi ',ay Vs. I 2007 CALMAR RATED COMMUNICATIONS 7XCILL774Ct =17 SDNY_GM_00045804 OB-SDNY-0006626 EFIA_00 I 56413 EFTA01288776 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115188 NE DID 08112115 CALLABLE 08115120 0 100000 Moody Rating BA2 S8 P Rating BB• 08/06115 3,000,000.000 100 0000 3.000.006.00 99.6880 anginal Cost Basic 53.001006.00 2990.640 00 -9.366.00 68,920 83 1)&500.00 5.96% LBG CAPITAL NO 1 PLC 144A Security Identifier: G543388G8 ISNOXS0173108283 8.000% 09115/88 REG DID 12115109 CALLABLE 06115/20 S8 P Rating BB* 12/04/13 'AM 1,200,000.000 108 2500 1,299,000.00 103.9500 1,247,400.00 -51.600 00 4.26-667 96.000 00 7.69% Original Cosl Basis: 51,299,000.00 'LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 519439)104 ADDL TIER 1 SECS ISNOUS539439AG42 7.500% 09127188 BJE DID 0/107111 S 8 P Rating BB- Please Provide' 1.903.000.000 N/A Pease Provide 106 5000 2.026.695 00 N/A 1.565 83 112.725.00 7.04% Ong nal Cost Basis Please Provide Total Corporate Bonds 522,110,524.59 124,863,210.00 1115,990.11 1317,189.73 11,753,587.50 24,118,000.000 Total Fixed Income 523.240.068.50 126,438,998.80 1172,235.38 1311,008.14 11,753,587.50 25,408,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain! Lou Animal Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISIAAL0010831061 Dividend Option: Cash 0810111/ 800.000 25 0000 AKORN INC COM Dividend Option: Cash 06110115 5.000.000 46 8410 AUBABA GROUP BLDG LTD SPONSORED ADS IS% OUS01609W1027 Dividend Option: Cash 06f 10/15 5.000.000 88.9500 ALUANZ SE SPONS ADR REPSTG 1/10 SIIS Dividend Option: Cash Adjusted Cost BM Market Price Market Value Unrealized Gain! Lou /teased Interest Estimated Estimated Annual Income Yield Security Identifier: 17296725 IDOAN ROI Security Identifier: M BLY CUSP. 651488117 20,000.00 422800 Security Identifier: AKRX CUSP. 009728106 234,206.00 37.3100 Security Identifier: BABA CUSP: 01609W102 414,719.00 811700 Security Identifier: AZSEY CUSP: 018805101 33,824.00 186.550.00 406,350.00 Account Number Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6 9:THERA COL N' LC F I DAENTIAL 13,824.00 -47.656.00 -38,399.00 Page 6 of 20 Rated ocellonfi Ivory YawLace 2007 0ALOAR RATED COMMUNICATIONS rxOltL INC.' aw.r. ore —a-no..., 'sync SDNY_GM_00045805 OB-SDNY-0008629 EFTA_OOI 56414 EFTA01288777 Deutsche Asset & Wealth Management P.O. Us 1778, Ba'lima*, MO 21203 Portfolio Holdings (continued) Dralsoo Ic Pnvievieualaptagenes Weals Coon., Des4s0r4 ML Smolt. +a. lire len Oilt• In Pant Aneo. 160. I ter N.* Wet 10. 10114 Dale Acquired Quantity Unit Cost Cost Basis Market Price Market Value Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS ADR REPSTG 1110 SHS (continued) 04113115 5.000.000 18.0110 90.056 00 17 7660 88.830.00 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash Security Identifier: APO CUSIP. 037612306 03129111 '.13 263.157,000 19 0000 4.999.983 00 15.1800 3.994.723 26 APPLE INC COM Dividend Option: Cash Security Identifier: AAPL CUSP 037833100 09/05114 110.180.000 98 9500 10.902.315 41 105 2600 11,597.546 80 ARIAD PHARMACEUTICALS INC Dividend Option: Cash Security Identifier: ARIA CL SP. 04033A100 02114112'•13 7,535 000 15 2090 114,597 40 6.2500 47.093 75 01/24113 '.13 9 000 000 19 6000 176.400 00 6 2500 56.250 00 Total Noncovered 16,535.000 290.997.40 103,343.75 Total 16,535.000 $290,997.40 3103,343.75 ASCENA RETAIL GROUP INC CON Dividend Option: Cash Security Identifier: ASN A SIP 043510101 01/16/01 70.500.000 21 2770 1.500.000 00 9.8500 694.425 00 AVALANCHE 810 TECHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares ate in your margin account Security Identifier: AAVL CLSIP 053376107 04120115 10.000 000 39.8610 398.606 00 9.5200 95.200 00 BASF SE SPONS ADR !SUL60552625057 Dividend Option. Cash Security Identifier: BASFY CUSIP 055262505 04/13115 5.000.000 101.6110 508,056.00 76.8230 184,115 00 BANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash Security Identifier BK CUSP. 064058100 06/25114 250,000.000 36.3060 9,076,406.00 41.2200 10,305,000 00 USA° Roll CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)LTHERk 14/0 C F I DESITIAL Statement Period: 1210112015 • 12/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 4.226.00 •1.005.259.74 695,231.39 -67,50365 •120.15000 -167,653.65 -1167,653.65 -805.57500 -303.40600 -123,941.00 1.228,594 00 283314 3.19% 515.787.72 12.91% 229,174.40 1.97% $0.00 11,276.50 2.93% 170.000.00 1.64% Page 7 of 20 Account Num ber. Go paperless Rated twaller4 Every Year Lace 2007 DALOAR RATED COMMUNCATIONS XCILLI'Ner =2:..».•=2:1,7= SDNICGM_00045806 DB-SDNY-0008630 EFTA_00156415 EFTA01288778 Portfolio Holdings (continued) Date ired Quill limit Cost Equities (continued) Common Stocks (continued) BIOGEN ID EC INC COM Dividend Option: Cash 02/14112 '.13 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 FACEBOOK INC CL A Dividend Option: Cash 05111112 '.13 17,500.000 38.0000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 25,000.000 08105114 24,830.000 Total Covered 49,830.000 Total 49,630.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.13 GENERAL MTRS CO COM Dividend Option: Cash 11118110 ' 12(09/10 ' Total Monavered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02/05114 03107114 Total Covered Total 5,100.000 GLAXOSM1THKUNE PLC SPONS ADR Dividend Option: Cash 06110115 5,000.000 430010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 6 1 WT DIP Dividend Option: Cash 07130/15 ' 2.000.000 10 0000 2,095 000 119 5490 5.000 000 72 9960 Cal Basis Market Pria Market Value Unrealized Gale/ Loss Estimated Estimated Annual Income Yield Scanty Identifier: Bile CUSP: 09062X103 250.454.95 306.3500 Security identifier: DISH CUSP. 2547011109 364.97000 57.1800 Security Identifier: FB CUSP: 3030311102 665,000.00 104.6600 Security Identifier: FM I CUSP: 350465100 27.5070 687863.50 21.0600 232530 577.37302 21.0600 1,2115,036.52 23.000 000 21 5700 10,988 200 86,536.800 97,625.000 36 4010 36 8160 5,000.000 792810 3.100.000 79 6120 8,100.000 396.407.00 246,797.00 643,204.00 $1,206836.52 Security Identifier: GE CUSP: 369604103 498109.06 31.1500 Security Identifier: GM CUSP: 37045V100 34.0100 34.0100 399,978.16 3,185,969.22 3,556,947.38 $3,656,947.38 Security Identifier: GILD CUSP: 375558103 101.1900 101.1900 641.803 25 285.900 00 1,831,550.00 526,500.00 522.919.80 1,049,41980 $1,049,419.80 716,450.00 373,708.69 2,943,116.56 3,316,826.26 $3,316,626.26 505.950.00 313,689.00 419,639.10 391.348.30 -79.078 00 1,166,550 00 .161,163 50 -54,453.22 -215,614.72 -$216,618.72 220 340 92 -26,269.47 .242,85206 -289,122.13 -$269,122.13 109.543 00 66,892 00 176,436.00 $0.00 21.160.00 2.95% 15,823.01 4.23% 124,612.99 4.23% 140,436.00 9140,436.00 8.600.00 1.69% 5,332.00 1.69% 13,932.00 VP N 901 $643,204.00 Security Identifier: GSK CUSP: 37733W105 215,006.00 40.3500 Security Identifier: GPACU CUSP: 37954X204 20.000.00 9.9000 Account Number: Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) F I I:YENTIAL $819,639.00 201,750.00 $176,435.00 -13,256.00 -200.00 $13,932.00 12,128.20 6.01% Page 6 020 KLTHERh criin 19.800 00 Rated tscolkini (very Van Woe, 2007 DAL OAR RA TED COMMUNICATIONS rxciusnaer SDNY_GM_00045807 OB-SDNY-0008631 EFIA_00 I 56416 EFTA01288779 Deutsche Asset & Wealth Management P.O. Oat 1778, Bahimore, Ma 21203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Equities (continued) Common Stotts (continued) GODADDY INC CL A Dividend Option: CS 04/01/15 700.000 HEALTH NET INC COM Dividend Option: Cash 09/05/14 25.000.000 MATCH GROUP INC COM Dividend Option: Cath 11/18/15 200.000 SAMOAN 0 BIOSCIENCES INC COM Dividend Option: Cash 05/28113 ti 3 50,000.000 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option: Cash 01123114 1.000.000 24 0000 SQUARE INC CL A Dividend Option: Cash 11119115 200.000 9 0000 TERRAFORM GLOBAL INC Ct. A Dividend Option: CS 07131115 400.000 15 0000 TWITTER INC CON Dividend Option: Cash 11/07/13 1.500.000 26 0000 VIACOM INC NEW CL 8 Dividend Option: Cash 06/10/15 5.000 000 67 7490 VOLKSWAGEN A G ADR (SPONS) Dividend Option. Cash Otållsre P.... Wolin lAneintat Mantis I then« 4,0‘P Otauli. Setw ~Tr. OS«. HfPHMwJMnrtcr Wm*" MI le». Cost Basis Market Price Market Value Statement Period: 12/01/2015 - 12/31/2015 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 20 0000 46 9800 12 0000 8.4440 DOWD ROLL Security Identifier Gil DY CUSIP 380237107 14.000 00 82.0600 Security Identifier HNT 422226108 1,174,508.00 68.4600 Security Identifier: M TCH CUSP. 57665R108 2,400.00 13.5500 Security Identifier: SONO CUSH>. 800677166 422,214.00 9.1300 Security Identifier: SC CUSP. 80283M 101 24.000.00 15.8500 Security identifier: SO CUM? 852234103 1.800.00 13.0900 Security 'denfiller:OWL CUSP 88104M101 6,000.00 5.5900 Security Identifier: TYi TR CUSP. 90184L102 39.000.00 23.1400 Security Identifier: VIAB CUSP. 92553P201 338.745.00 41.1600 Security Identifier: VLKAY CUSP 928662303 22.442.00 1,711,500.00 2,710.00 456,500.00 15.850.00 2,618.00 2,236.00 34.710.00 205,800.00 8.442.00 536.994.00 310 00 34,286.00 -8.150.00 818.00 .3,764.00 4,290.00 .132.945.00 272 64 1219% 8.000 00 3.88% Page 9 of 20 Itstas0 tAcello nil [very Yen Since 2007 DALBAR IIATEOCOMMUNKATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: "HERk CO F I DAnTriA rxenLrNer Account Number: Go paperless ek :‘ SDNY_GM_00045808 OB-SDNY-0008632 EFTA_OOI 56417 EFTA01288780 Portfolio Holdings (continued) Date ired Quantity Unit Cost Equities (continued) Common Stocks (continued) VOLKSWAGEN A G ADR (SPONS) (continued) 04113115 5,001000 50.8610 WISDOM TREE IN YTS INC COM Dividend Option: Cash 03131115 15100.000 211110 Total Common Stocks Preferred Stocks (Listed by expiration date) ALLY ANL INC AX TO FLT DIV4.50% FREO-OTRLY CALLABLE O 2510 ON A OTRLY BASS AFTER 05/15/2018 Dividend Option: Cash 02103112'•(3 46.601000 02/09112 %13 80.000.000 Total Noncovered 128,800.000 Total 126,600.000 GM AC CAP TR I MD TR PFD SECS SER 2 CPN• 8.125% FRU) ORTLY MATT-0211512040 CALL ANYTIME 0 25 W130 DAYS BEGINS 02115116 Dividend Option: Cash 02122112 '.13 80,000.000 23.5350 ROYAL BK SCOTLAND GP PLC WON AOR REPSTG SER T PFD CPN.7.25% FRED ORTLY PEW N TY CALLO 25 ANY W130 D NOTICE AFTR 12131112 Dividend Option: Cash 10124112 '.13 40,000.000 23.7900 01107/13 40,000.000 24.4400 01114/13 *.I3 40,000.000 241800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities Cat Basis Market Price Markel Value Unrealized Gelid Loss Estimated Estimated Annual Income Yield 254.306 00 30 9160 Security Identifier: W ETF CIJSIP 97717P104 324,157.50 15.6800 154,580.00 235,200.00 .99,726.00 •88,951.50 4 004 38 259% 4,800.00 2.04% 19 3820 20 1250 131672,239.24 Security Identifier: ALLY PRB CI, SIP 02005N308 903.217.51 1,610,000.00 2,513,217.51 25 7400 257400 139,617,191.11 1,199184.01 2.059.199.99 3,251684.00 11,044,95117 291268.50 449,199.99 745,466.49 11,133,805.68 99,025.00 8.25% 170.000.00 8.25% 289,025.00 32,613,217.51 Security Identifier: ALLY PM CUSP 361860208 1,882,773.60 25.3600 Security Identifier: RBS PRT CUSP. 780097713 951,600.00 977,600.00 995.200.00 2,924,400.00 25.8500 25.8500 25.8500 13,258,884.00 2,028 800 00 1,033,999.99 1.033.999.99 1,034,000.02 3,102,000.00 1745,461.49 146.026 40 82,399.99 56,399.99 38,800.02 117100.00 3289,025.00 162.500.00 8.00% 72,500.00 7.01% 72.500.00 7.01% 72,500.00 7.01% 217,500.00 ? DEO 813CSEE' 120,000.000 12,924,400.00 17,320191.11 $45,892130.35 33,102,000.00 18,389,484.00 148,008,875.11 $171,600.00 11,089,092.89 32,114,044.78 3217,500.00 3849,025.00 31,712,830.68 Page 10 of 20 Account Num ber Go paperless L THERA tt, LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) N Rated [mallard, Every Va. Siva 2'007 DAUM. RAT ED COMMUNICA TIONS EXCEL EIKE ear. AC =mow IS wet 'mot SDNY_GM_00045809 OB-SDNY-0008633 EFIA_00 I 56418 EFTA01288781 Deutsche Asset & Wealth Management PO Boa 1778. Baliimore. MO2t 203 Portfolio Holdings (continued) Date Acquired fleantity Vail Cat Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DU Dividend Option. Cash: Citadel Gains Option: Cash CUSP: 91717W651 60,00000 of these shares are in your margin account 12111113 60.000.000 49.4350 2,988,098.50 50.0800 3,004,800.00 38,70t50 Total Exchange-Traded Products $2,960,018.50 $3,001,800.00 $38,701.50 ()PASO( P.,.,,. won Manirnent Mareits COMM, 6 ,0“) De...4N sem smote' M. Now *4 Mk* HS P.m An*. IM, I leer Mrs** NY 10114 Statement Period: 12/01/2015 - 12131/2015 Unrealized Cod Bails Market Price Market Value Gall Loss Estimated Estimated Annual Income Yield 45,298.20 1.50% $45,290.20 Unrealized kaued Estimated Cost Basis Markel Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $98,932,111.18 $103,284,617.80 12,324,981.62 $319,008.14 $3,596,773.94 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or In retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended rIRC") (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 non-retirement, US taxpayers 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-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 a after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on a after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on (cod income securities may be adpsted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be pertomved under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 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 tine and are obtained from sources we believe to be reliable. 13 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. 33 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. Page 1 f 020 Account hum her Rated tmacolle I rtA )1: PareTless ;.-7...zwzricraiumcATioNs SC L THERA C. OKJFI DAENTIAC-- rxetturtaer CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) -.1:1:73.==="e= ....,.% NamlistinileS.n.wilt SDNY_GM_00045810 OB-SDNY-0006634 EFEk_001 56419 EFTA01288782 Schedule of Realized Gains and Losses Current Period Dispositioft Acquisition Disposition Dale Date Transaction Description Quantity Cod 8asis Proceeds Realized Gain! Lossl Disallowance Long Term 12/03715 06127112' MERE GENERAL ELEC CAP COR PFD SERA 7.125% 06112162 WE 2000,000.000 2,121,753.26 2,175,016.17 53,262.91 Fun In First Out DTD 08112/12 CLB Security Identifier: 369622%6 Original Cost Basis. 2,122,916.67 12/23115 12/13/13' FSP WASHINGTON MUT MTG S 004.RA2 LUG PASSTHRU CTF CL 1.290.000.000 1,494.16 1,952.67 458.51 C. RI VAR RATE 3.187% 07125133 Security Identifier 939336520 Original Cost Bait 1A04.16 Total Long Term 32,123,247.42 32,176,988.84 353,721.42 Total Short Term and Long Term 32,123,217.12 $2,176,966.84 $53,721.42 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended CIRC") (incorporating amendments enacted by P1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered anoncovered," 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 defied as non-retirement, US taxpayers 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 1099E 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 melioration acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Options and any Debt Instruments that provide a simple Axed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1. 2014. 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 beleve to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of caudal 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 1099E 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 requited to be made by Pershing as it relates to M.R. 1424. You should consuk with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fizzed income security, and certain attributes. obtained from sources bebeved to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consul 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 taxict 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 wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the tine of the security disposal, and this may be reported on the IRS Form 1099-8. Page 12 of 20 Account Number * Rated Excellent, ,ttooe v, ›It Go paperless Lvery Yaw Sate Z007 ... astrirs.... .""TIL, ...."Ano...t i ...- " at7 SC L TH ERN cheii ñ F I D. A _ CALMAR RATED COMMUNCATIONS •••••••0 4 ••••••• nine. n. MC FXCIRLINCI SDNY_GM_00045811 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0008635 EFTA_00156420 EFTA01288783 tvialLicerle r. M essages Mn, WMYV MIMIC.'WM Mweet$ CIntarG.“, 0...tuhr Secv.n. M. Vey IS A M N,Pant Aire. Mb Jicct Wave tn. 101•A Statement Period: 12/01/2015 - 12131/2015 Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the falloeing information for Pershmg's 2015 RS Forms 1099 fa DIV. INT OID and MISC 1: Your form 1099 will be delivered as early as possible. beginning January 31, 2016. By February 16. you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice vrill be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form Your 1099 will be mailed no later than March 17, 2016. Activity Sum m ary (AO amounts shown are m base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits year-to-Date Net Year-to-Date Securities Securities Bought 000 000 000 0.00 -9,518.227.50 -9.518.227S0 Securities Sold 0.00 000 000 170,757.03 0.00 170,757.03 Securities Withdrawn 0.00 000 000 0.00 -3.383,998.80 -3.383.99880 Total Securities $0.00 $0.00 $0.00 5170,757.03 -512,902,220.30 -$12,731,469.27 Dividends and Interest 5425,279.27 -53,292.00 $421,967.27 $3,167,869.88 -$3,292.00 $3,161,677.88 Distributions $133,131.60 $0.00 $133,431.60 16,966,112.11 $0.00 $6,966,412.15 Fees $0.00 -51.00 -54.00 $0.00 -5305.00 .1305.00 TaxesWithheld $0.00 $0.00 $0.00 $0.00 -56,561.18 -16.561.18 Other 52,175,016.17 -52,175,016.17 $0.00 $2,243,708.90 -12,213,708.90 $0.00 Cash Withdrawals 0.00 -596.777.26 -596.777.26 0.00 -20.961.316.55 -20,964.316.55 Deposits 18,111.09 0.00 48.111.09 2,717,822 67 0.00 2,717,822 67 Total Cash $48,114.09 -5596,777.26 -5546,663.17 52,717,822.67 -120,961,316.55 -518,216,49316 Money Market Funds $0.00 $0.00 $0.00 52,14952.63 .54,780,931.93 -12,331,979.30 Totals 12,781,011.13 -$2,775,089.43 $6,751.70 $17,715,523.26 -$10,901,341.66 -$23,165,818.60 Account Number Go paperless C1 LLC. FIDE1SMAL ON CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN Page 13 of 20 Rated tacelleni Lvery Woo, 2'007 DAUM', BAT ED COMMUNICATIONS rxesurtraer 'wZIarest.».. '""s («op..: «p.n.« wrio SDNY_GM_00045812 DB-SDNY-0008636 EFFA_00156421 EFTA01288784 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Adivit T pe Dewi an Quad Price Accrued Interest Automat Curren Securities Bought and Sold 12103/15 MERGER SECURITY EXCHANGED GENERAL ELEC CO NT 1000% 12/31199 B/E DID 12/03/15 2.069.000 000 010 LSD 3696040M4 12/03/15 MERGER SECURITY EXCHANGED GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% .2,000,000.000 0.00 LSD 3696225/16 06112/62 WE DTO 06/12/12 CLB Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 0.00 Dividends and Interest 12/04115 80AD INTEREST RECEIVED GENERAL ELEC CAP COPP NON CUM PFD SER A 7.125% 66.500.00 LSO 3696225/%6 06112/62 WE RD 12/02 PD 12/03/15 2000000 WS 12115115 FOREIGN BOND INTEREST 1200000 LBG CAPITAL NO 1 PLC 141A ISINCXS0473106283 18,000.00 LSD G5133BBG8 8.000% 09115188 REG OTD 12115/09 CA.B RD 12/11 PD 12/15115 12/15/15 BOND INTEREST RECEIVED 2469000 GENERAL ELEC CO GTD FXD•TO•FLTG RT 3.292.00 LSO 3696048M4 NON-CUMULATIVE PERPETUAL PREFERRED 4000% 12/03/65 BIE DTD 12103/15 CLB RO 12/14 FO 12/15/15 12/15/15 CAW DIVIDEND RECEIVED 400 SI- RS TERRAFOIN GLOBAL INC CL A RD 12/01 PO 68.16 LSD GLBL 12115/15 12/16115 FOREIGN BOND INTEREST 1500000 LLOYDSTSB BK PLC EL RO ISSUE MEDIUM TERM 118.125 00 LSD G4S1SPP48 NOTES ISINUXS0717735822 9.875% 12/16121 REG DTO 12116/11 CLB RD 12/15 ED 12/16/15 12/22/15 12/15/15 BOND INTEREST ADJUSTMENT 2469000 GENERAL ELEC CO GTD FXD•TO•FLTG RT .3.292.00 LSO 369604BM4 NONCUMULATIVE PERPETUAL PREFERRED RD 12114 PD 12115/15 TO CORRECT PAYMENT FROM SOL RCE CODE INZ TO DYE 12122115 CAW DIVIDEND RECEIVED GENERAL MC CO GTD FXO-TO-FLTG RT NONCUMULATIVE 3.291.92 LSO 3696048M4 4.000% 12/03/65 B/E RO 12/14 PD 12/15115 DIV PAID AT 1.3333 2469000 12/28/15 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35.681.25 LSO 539439AG4 ADDL TIER 1 SECS 'SINN US539439AG42 7.500% 09/27/88 WE DTO 04107/11 CLB RO 12/11 PD 12/27/15 12128115 BOND INTEREST RECEIVED 1290000 WASHINGTON M L T Nit SECS CORP 2000•17A2 1.843.59 LSO 939336520 MTG PASSTI-RU CTF CI. C.B.1 VAR RATE 3.187% 07125/33 WE DTO 06101/04 RD 11130 PD 12125/15 12128115 CASH DIVIDEND RECEIVED 60000 SI-RS WISDOM TREE TR aPAN HEDGED EQUITY ED RD 23,710.80 LSD OXJ 12/23 FD 12/28/15 12/29/15 CAW DIVIDEND RECEIVED 97525 SHRS GENERAL MTRS CO COM RD 12/18 PD 12/29115 35,109.00 LSD GM 12/30/15 CASH. DIVIDEND RECEIVED 8100 SI-RS GILEAD SCIENCES INC RO 12/16 PO 12/30/15 3,183.00 LSO GILD låge 14 of 20 Account Nora her. Go paperless SOL THERA Nell KFIDETTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Itated taalikerdi iInfy r«. Siva 2'007 DALBAR RATED COMMUNICATO6 rxciurNer SDNY GM00045813 DB-S6NY:0008637 EFTA_00 156422 EFTA01288785 Deutsche Asset & Wealth Management P.O. Box 1778, Behimore, WO21203 Transactions by Type of Activity (continued) Process' Trader Settlement Transaction Date Date Activity T Demriptioe DraIsev Si,,, Po.or Wealth .117770-nn7 Mv705 Coma,. 4.0.p sewnet lire bet 00c• Na Part PLOPOW. lth I bcr Wait Statement Period: 1210112115 • 12/3112015 Price Acaued Interest Amotat Correa Dividends and Interest (continued) 12131115 MONEY MARKET FUND INCOME RECEIVED 233993682 12/31115 FOREIGN SECURITY DIVIDEND RECEIVED RBS KT DEUTSCHE GOVT CASH 120000 SHRS ROYAL BK SCOTLAND GP PLC SPON ADR RESTS SER T PFD CPN-7.25% FRED DRILY PEW MTV CALL@ 25 ANY W130 D NOTICE AFTR 12131/12 RD 12116 PO 12131115 1.769.55 54.375 00 USO LSO Total Dividends and interest - UNITED STATES DOLLAR 0.00 421,987.27 Distributions 12129/15 LONG TERM CAPITAL GAIN 60000 *IRS WISDOMTREE TR .APAA HEDGED EQUITY FO RD 87231.40 LSO DISTRIBUTION 12123 PO 12128115 DXI 12129115 SHORT TERM CAPITAL GAIN 60000 SH RS WISDOM TREE TRJAPAN HEDGED EQUITY FO RD 45,700 20 USO DISTRIBUTION 12123 PD 12128/15 DXI Total Distributions- UNITED STATES DOLLAR 0.00 133,431.80 Fees 12101115 FOREIGN CUSTODY FE Fun Safekeeping NOV 2015 CUSIP. G1S15P-P4-$ -2.00 USD GIS15PP48 12101115 FOREIGN CUSTODY FE Fgn Safekeeping NOV 2015 CUSIP G5133B-BG-8 -2.00 USD 65133BEIG8 Total Fees • UNITED STATES DOLLAR D.00 .4.00 Other Transactions 12/30115 12103/15 CORPORATE ACTIONS FAIR GENERAL ELEC CO GTD FXD-TO-FLTG RT NON-CUMULATIVE -2.175.016.17 USD MARKET VALUE NEW SECURITY PERPETUAL PREFERRED 4.000% 12/03165 B/E OTD 12/03115 3596048M4 CLB 2169000.00000 12130115 12/03115 CORPORATE ACTIONS FAIR GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 2,175,016.17 USD MARKET VALUE OLD SECURITY 06112162 BIE DTD 06/12/12 CLB 369622%6 Total Other Transactions • UNITED STATES DOLLAR 1.00 0.00 W(.7.8 Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67er ERN C IO F I Drum L Page 15 of 20 Rated taalibra Every V«.57007 2007 DAL BAR RATED COMMUN'CATIONS rxenurmer SDNY_GM_00045814 OB-SDNY-0008638 EFT:4_00156423 EFTA01288786 Transactions by Type of Activity (continued) Process/ Tradel Settlement Transaction Date Date Activity Type Desairdioe Quantity Price Accrued lutenist Amourit currency Cash Withdrawals and Deposits 1210/115 FEDERAL FUNDS SENT THE BANK OF NEW YORK -596.77726 USD USD999997 12110115 FEDERAL FUNDS RECEIVED DEUTSCHE BANK TRUST 12219 21.996.00 USD USD999997 12131115 FEDERAL FUNDS RECEIVED HS8C BANK USA, NATIO 51467 23.118.09 USD USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -540,863.17 Total Value of Transactions 0.00 5,761.70 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Moult of Payment Dividends GENERAL ELECTRIC CO COM 12121115 01125116 23.000.000 0 230000 Cash 5.29000 VIACOM INC NEW CL B 12115115 0110//16 5.000.000 0.100000 Cate 2.00000 Total Cash Not Yet Received 17,290.00 Bond Maturity Schedule Bond Maturity Market Value %of Bond Markel Value 1 to 5 years 3.766,555.00 15% I I 6 to 10 yea's 1.922.670 00 8% Over 10 )ears 19.749.713.86 77% Cl Total 25,438,998.86 100% Account Number OLIAtl ROLL Go paperless SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F ID-EN-NAL V% LLC. Percentages of bond market values are rounded to the nearest whole percentage. Page 16 of 20 Rated Cacelloria Every Vow' LSO. 2007 DAL BAR RATED COMMUNICATOG rxerustraer SDNY_GM_00045815 DB-SDNY-0008639 EFTA_00 156424 EFTA01288787 Deutsche Asset & Wealth Management P.O. Bat 1778, Skidmore. M021203 Bond Quality DnalireRant Prmile Wealth myminmt meats terrace emir ontom sem semenMC Now Teri Onto MSeLrL kam Ha I to Pond Quality Market Value of Bond Markel Value A 2A69,000 00 10% BAA 8,395,250 00 33% - BA/loner 14.574,748 86 57% M Total 26,438,998.86 100% Client Service Information Statement Period: 12/01/2015 • 12/31/2015 Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAN DANIEL SA88A 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and Win off paper communications, login to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless othervnse 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 'NW and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. IMAM Mel I Account Num ber. Go paperless L TH ERIN I CONF D-A annoni,. ENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page IT of 20 natal tmelloni (very Vow. Sc.a 2O07 DAUM. RATED COMMUNICATIONS rxerturNet 0..:Z.r= SDNY_GM_00045816 OB-SDNY-0008640 EFTA_00156425 EFTA01288788 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield tEAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using 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 YAWI.pershing.congbusiness_continuity.htrri 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, 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 won 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 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 & Pools. 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 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 & Ponies 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. The Role of Pershing • Pershing canes your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and roles 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 Page 18 of 20 Account hum her Rata. twallerill (so Lvery Yew Since 2.007 [MAO ROI". paperless MLB•R RATEDCOMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e)s THERh t t.\O F I DAENTriAk rxenurtraer SDNY_GM_00045817 OB-SDNY-0006641 EFTA_00156426 EFTA01288789 Deutsche Asset & Wealth Management P.O. Om 1778, Bahimore, MD 21203 Important Inform ation and Disclosures (continued) Dryly R•n, PAanair,tat M.I4ets De.cie la Bar 14(w•ri M. Yin brit Mc* lilts?' Ann... "Mk rIcce line Sr\ nY 101:4 Statement Period: 12/01/2015 - 12131/2015 The Role of Pershing (contrnue orders; the assessment of the suitability of those transactions, where appicable; the tendering of investment advice. if any, to you and in eneral. for the ongoing relationship that it has with you. • Inquries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at Al other inquines 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 possige circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would hke 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 friars. For more detailed information please visit vnwrpershing.coraraboubstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy a 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; Errors and Omissions excepted. Important Arbitration Disclosures • Al 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 part'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 generaly more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, n 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 a are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for barging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Account Num berms Go paperless L THERA CNO N LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIIVI P. 6(e) Page19 of 20 tacellera Every Year Lace 2'007 DAL BAR RATED COMMUNICATIONS exam Limes 2:4:=70=7.==="'"=" SDNY_GM_00045818 OB-SDNY-00O8642 EFrA_00156427 EFTA01288790 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 ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO 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, DE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERMOIC 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 PI 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 S COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COMES. 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 AVALABLE 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 FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS ro ASSFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX, INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SMALL 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 PERSHNO TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. 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 LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.PERSHING.COMIDISCLOSURES • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NM- RULE 607(AX1)-(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. 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 MID OPTION ORDERS TO ITS AFFILIATE13NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST SCECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER.THE, COUNTER AND EXCHANGE-LISTED SECURITES 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 F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET N 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 HRH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSH.NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF DE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. REASE NOTIFYPERS-ENG IMMEDIATELY IN WRITING8Y CERTFED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07329, ATTN' LEGAL DEPT Page 20 e120 Go paperless ** 2°°7 Account Num ber SC La d Y•.• L TH ERN r, LLC. DAR RATED COMMUNKATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) oNFID-rwriALL'' rxesturtraer SDNY_GM_00045819 OB-SDNY-0008643 EFIA_00156428 EFTA01288791 Deutsche Asset & Wealth Management P.O. Boa 1778, Balamoro, MD 21203 DNS, ' Um PrmalP *man P......enan rivets <Dom. G.ouo IXMUM ML Sew Oa W. Mat *4 011ie HS Pia Asa. nth I bet Portfolio at a Glance Account Number: Statement Period: 1110112015 - 1113012015 This Period Year-to-Data SOUTHERN FINANCIAL LLC Beginning Account Value 1106,062,716.64 1126,711,213.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .17,667.830.71 ST THOMAS VI 00802 Net Securities InlOut of Account 0 00 4.867190.80 Adjusted Previous Account Value 106,052,716.54 103,178,671.61 Dividends, Interest and Other Income 422,971 55 3.258.378 33 Total Taxes Withheld 0 00 -6.561.18 Net Other Activity -1.00 -301.00 Your Client Advisor: Net Chan e in Portfolio -229.556.33 -181.059.90 DANIEL SABI3A nding Account Value 1 0 6 246 1 2 7 76 $106 246 127 76 Accrued Interest $471,817 28 Estimated Annual Income 53.638.68259 Asset Allocation Prior Year-Cad Lag Period This Period % Allocation LSO Cash. Money Funds and Bank Deposits 11,273,981.33 26,408,624.58 26,827,392.13 25.25% LSO Axed Income 18,177,455.58 20,407,884.87 20,266,106.17 19.07% Non.L SD Axed Income 7.150,052 50 5,326,122.50 5,335,22810 5.02% LSD Equities 5026,544.61 50.675.968.59 50,481,923.16 47.52% Non•OSD Equities 2.986.256.00 3.233.816.00 3.335.180.00 3.14% Account Total (Pie Chart) 1126,714,213.02 3106,052,716.54 1106,246,127.76 100.00% See the Asset A, bcabon Disclosure end Footnotes section for important intonation reganling your Asset flotation. } ttiltt ttt)t t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) BO 09 6 989CSP 3 0 I> Go paperless CON FIDMTIAL Please review your allocation pen:Kiraly wth you Clent Adyscr. Pate 1018 Rated [mall* Si L very vs. since 2007 DAL BAR RAT ED COMMUNICATIONS rxesurNer SDNY_GM_00045820 DB-SDNY-0008644 EFTA_00 156429 EFTA01288792 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 1113012015. Exchange rates can vary. Equities contains Equity Mtrtual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 100,107.03 -914.334 24 Long•Term Gain/Loss 455.73 .165.396.33 6.267.271.31 Net GaIn/Loss 455.73 -65,289.30 5,352,937.07 This summary excludes transactions where cost basis information is rot available. Money Market Fund Detail Date Activity Type Description Mont Bahia Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Number: 0000001490 Cement Yield: 004% Activity Ending 11130115 10131/15 Opening Balance 25,605,043.43 25,805,043.43 11/02115 Deposit MONEY FUND PURCHASE 803,581.15 26,408,624.58 11/03/15 Withdrawal MONEY FUND REDEMPTION -4.00 26.408.620.58 11/05/15 Withdrawal MONEY FUND REDEMPTION -89,331.36 26,31928922 11/08115 Deposit MONEY FUND PURCHASE 89,331.36 26,408,610.58 11113115 Deposit MONEY FUND PURCHASE 57,293.60 26,465,914.18 11/16115 Deposit MONEY FUND PURCHASE 42,500.00 26,508,414.18 11/17115 Deposit MONEY FUND FURCHASE 222,235.04 16,730,649.22 11/24115 Withdrawal MONEY FUND REDEMPTION -4,200.00 26,726,44922 11/27115 Deposit MONEY FUND PURCHASE 7,985.38 26,734,414.60 11/30115 Deposit INCOMEREINVEST 872.68 26,735,287.18 11130115 Closing Balance 326 735 87.18 Total All Money Market Funds 126,735,257.8 Income and Expense Summary Current Period Year-taate Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 171.999 85 0.00 1,041,783.30 0.00 Money Market 872 58 0.00 13,308.01 000 Other Dividends 81,150.00 0.00 744,057.40 0.00 Page240 18 Account Number: e k ) naiad Excellent 11,1,4..011 Go paperless Even. Visor Since 2007 DALBAR rxatL,RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERk F I DENTIA SDNY_GM_000451321 DB-SDNY-0008645 EFTA_00156430 EFTA01288793 Deutsche Asset & Wealth Management PO &a 1778. Ballimore. MO21203 Income and Expense Summary (continued) DraS C ••[ Bm, Prmair Wean Pm.genan mints tonna Gio‘p Deelsch• ML stare" M. Now Mbin SO Pia Oa* loth l lea Ms** NY 101M Interest Income Bond Interest Other Interest Expenses Withholding Taxes Fee Foiii n SearNiesl Total Dividends, Interest, Income and Expenses Distributions Alternabve Investments Other DiNributions Total Distributions Portfolio Holdings Opening Date Cash, M oney Funds, and Bank Deposits 25.00% of Portfolio Cash Balance Current Period Statement Period: 1110112015 • Year4o-Date 11130/2015 Taxable Noe Taxable Taxable Non Taxable 36,119.13 40,625.04 0.00 0.00 780,941.74 162,500.16 0.00 0.00 0.00 0.00 -6.561.18 0.00 010 0.00 -22500 0.00 1330166.60 10.00 $2,735,804.43 $0.00 0.00 92,104.95 0.00 515.787 72 0.00 0.00 0.00 89.616 40 10.00 $92,104.9$ $0.00 $605,404.12 Account ACIO114 Opening Closter; Awned hoar 30-Day Current Quantity Number Ending Balance Balance Inane This Year Yield Yield Money Market DEUTSCHE GOVT CASH INSTL 10131115 26.735.287 180 0000001490 Total Money Market Total Cash, Money Funds, and Bank Deposits 11130/15 803.591.15 25.605.043.43 92,104.95 26335.287.18 0.00 13.308.01 0.04% 0.04% 626,605,043.43 $262361202.16 10.00 113,308.01 626,406,62446 126,627,312.13 $0.00 $13,308.01 B*096 9 e 9CSF 30, 1 Account Num ber Ott,,,, +01 Go paperless SOUR ERA CSNO LLC.F I DranAL N CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 3 of 18 Rated tarolle nil t very V.*. Late 2007 DAL BAR MUD COMMUNICATIONS rxesartaer -I- —.0- arc. SDNY_GM_00045822 DB-SDNY-0008646 EFTA_001 56431 EFTA01288794 Portfolio Holdings (continued) Date Ned Quad Ualt Cod Adjusted Cod Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Fixed Income 24.00% of Portfolio (In Mown?), Dale Sequence) 'Asset Backed Securities WASHINGTON NUT NTG SECS CORP 2004-RA2 NIG PASSTHRU CTFCL C-B-1 VAR RATE 5.199% 07/25/33 WE DM 06/0110/ S 8 P Rating D Factor. 0.53798310 Effective Date:11/02/15 Current Fact Value: 693.998 199 12113/13'•3.12 1,290,000.000 76_5190 531,037.77 84.7000 Original Cost Basic $638.906.71 587,81647 Total Asset Backed Securities $631,037.77 3587,818.47 1290,000.000 Total Current Face Value : 693,998.199 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15119 WE DID 05117/11 CALLABLE 12/02/15 38 P Rating CCC. Scantly 'deadlier: 270321AC6 10/22/12 'Ain 146,000 000 102 6620 149,886.88 102.5000 149,650.00 Original Cod Wit $151,110.00 10/23/12 '.3.12 600.000 000 102 5760 615,457.52 102.5000 615.000.00 Original Cod Basis: 9119,500.00 Total Nom:owed 718,000.000 766,344.40 764,850.00 Total 746,000.000 $706,344.10 3764,650.00 FRONTIER CON N UNICATIONS CORP SR NT 6.500% 04/15720 WE DTD 04112110 1ST CPN DTE 10115110 Moody Rating 843 S P Rating Elf3 Security Identifier: 36906AAH1 07/06115 3,000,000.000 105.3010 3,159,022.74 100.1250 3,003,750.00 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISM XS0717735622 9.875% 12118121 REG DM 12/16111 Moody Rating Bat SI P Rating 808 Original Cod Basis: 53,171,006.00 Security Identifier: GISI5PP48 12104/13 'AM 1,500,000.000 106 9040 1.603.555.00 107.8120 1,617,180.00 BARCLAYS BK PLC CONTINGENT CAP NT ISN U936739R403 7.750% 0/110123 B/E DID 04110113 CALLABLE 04/10118 38 P Rating 88' Original Cost Basic 91,627,500.00 Security Identifier: 06739FHK0 04103/13 '.12.13 300,000.000 100.0000 300,000.00 108.4060 325218.00 Security Identifier: 930338520 BE092989CSF :: Original Cod Basis: 5300.000.00 UM/ER ROIT Account Num Der. Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRINA P. 6(e) F I DAENTIAL SOL THERA rt5 56,778.70 2.905 74 $56,271.70 $2,906.71 $0 .0 0 436.88 539.90 12.957 50 8.65% -457.52 2,218.75 53.250 00 8.65% .614.40 2,758.65 66,207.50 -$891.10 $2,758.66 $66,207.60 ,155,272.71 31,875.00 255,000.00 8.48% 13,825.00 111,511.87 148,125.00 9.15% 25,218 00 3,229.17 23,250.00 7.14% Page 4 of 18 Rated Emellent Day `Mar TANN 2007 DAL BAR RA TED COMMUNICATIONS rxciturwer t= ta "-'"e4tr SDNY_GM_00045823 OB-SDNY-0008647 EFrA_00 56432 EFTA01288795 Deutsche Asset & Wealth Management P.O Boa 1776, Balamore. MD 21203 Portfolio Holdings (continued) Dale Acquired thiantig Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SHS REPSTG 1110TH PFD SER 1 FD TO FLTG RT BO 1.900% 01129149 BlE DTD 01123108 Moody Rating BM3 S P Rating BBB- 06115111 '.3.t2 2,500,000.000 107.5000 06/15/11 '.3.12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AN ER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04130/58 WE DTD 0/130108 CALLABLE 05115118 Moody Rating BA2 58 P Rating BB4 01/10111 '.3.12 2,000,000.000 102.7500 Adjusted Cost Basis (*.hoe PAIMIP, Int MWCS Co.vt•gt De.tic pl. *A Office 'Pant Anne.. nalk /ICC. %Ye Sr\ IOVA Market Price Meld Value Statement Period: 11/01/2015 • 11/30/2015 Unrealized Gain! Low Paned Estimated Estimated Interest Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01/17/62 INE DTD 01/17/12 CALLABLE 02/01122 4) 100.000 Moody Rating BM1 S 6 P Rating BB8- 01130112 ..3.12 3.000,000 000 99 8290 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06112162 WE DT0 06112/12 CALLABLE 06/15/22 Moody Rating BAA1 Si& P Rating A+ 06127112'•12.13 2,000,000.000 104.1550 E. :09e9t9,1"F ,' Security Identifier: 16625HHA1 2,687,500.00 103.0000 Original Cost Basis: 52,687,500.00 2,675,000.00 103.0000 Odgnal Cost Basis 52,675,000.00 2,515,000.00 2,515,000.00 .112.500.00 -100,000.00 16,158.31 16,458.33 197.500.00 197.500.00 7.66% 7.66% 6,362600.00 5,150,000.00 -212,500.00 32,916.67 395,000.00 55,362,500.00 35,150,000.00 -$212,50060 532,916.67 3395,000.00 Security Identifier: 060505D 78 2,055,000 00 103.8750 2,077,500.00 22,500 00 6.770 83 162 500.00 7.82% Original Cost Basis: 52.055,000.00 Security Identifier: 112100FU2 2,991,879.33 1 it 0000 3,330,000.00 335,120.67 61,979.17 187,500.00 5.63% Original Cost Bares: 52,992,564.97 Security Identifier: 369622916 2,089,096.17 It8.8750 2,377,500.00 288,403 53 65,312 50 142,500.00 5.99% 08A1 ROI Original Cost Bans: 52.122.916.67 Account Num ber Go paperless s✓JLTHERA CNO N LLC. F I D-ENTIAL CONFIDENTIAL — PURSUANT TO FED. R CR[6,1. P. 6(e) Page 5 of 18 kat.. Lowlier.' (very Va. Since 2'007 DALBAR RATED COMMUNCATOOKS rxenurner SDNY_GM_00045824 OB-SDNY-0008648 EFIA_00156433 EFTA01288796 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cog Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECP7 5.950% 08/15/88 BJE DTD 08112115 CALLABLE 08/15120 Q 100 000 Moody Rating BA2 S8 P Rating BB* Security Identifier: 17296725 08106115 3.000.000.000 100 0000 3.000.006.00 99.1630 2.974.890 00 45.116 00 53,550 00 178.500.00 6.00% Original Cog Basis' $3.000.006.00 LBG CAPITAL NO 1 PLC 144A Security Identifier: G5433BBG8 ISIA$XS0473106283 8.000% 09/15/88 REG DTD 12115/09 CALLABLE 06/15120 S 8 P Rating BB. 12104113 %Elf 1.200.00,0.000 108 2500 1,299,000.00 112.1000 1.345.200.00 46.200 00 44.000 00 96.000.00 7.13% Original Cog Basis: 51,299,000.00 5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439AG4 ADDL TIER 1 SECS ISIA liS539439AG42 7.500% 09127188 81E DID 04107114 Sd P Rating BB. Please Provide' 1.903.000.000 NIA Pease Provide 107.6000 2.047.628 00 NIA 24.976 88 142.725.00 6.97% Original Cog Basis. Pease Provide Total Corporate Bonds $22,626,403.94 325,013,516.00 6337,484.06 1468,910.54 31,797,307.50 23,649,000.000 Total Fixed Income 923,159,441.71 125,601,332.47 1394,262.76 5471,617.26 51,797,307.50 24,939,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cog Cod Basis Market Price Market Value Gain/ Loss Menai Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORO SHS ISIML0010831061 Dividend Option: Cash 08/01/14 AKORN INC COM Dividend Option. Cash 06110115 Adjusted Cog Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield 800.000 25.0000 5.000 000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS ISIN 6 LS0160941/1027 Dividend ()pion Cash 06110115 5.000 000 88 9500 ALUANZ SE SPONSADR REPSTG 1(10 SHS Dividend Option: Cash IntAit u011 Security Identifier M BLY CUSP. N51488117 20.000.00 43.6000 Security Identifier: AKRX CUSP. 009728106 234.206.00 33 3000 Security Identifier: BABA CLSIP 01609W102 444.749.00 84.0800 Security Identifier: AMY CUSP: 018805101 Account Num tier Rated tocelleni SOUTHERN CP1 Go PaPerless OMANI RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 34,880.00 166.500 00 420,400.00 14,880 00 -67.706.00 -24,349.00 Paged of 18 Lvery Voar Since 2007 SDNY_GAt_00045825 DB-SDNY-0008649 EFTA_001564134 EFTA01288797 Deutsche Asset & Wealth Management PO Boa 1778, Babimore, MO 21203 Portfolio Holdings (continued) Date Acquired Gamily Wit Cod Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS AOR REPSTG 1110 SIM (continued) 04713/15 5,000.000 18.0110 APOLLO GLOBAL MGM T LLC CL A VS Dividend Option: Care 03129/11 '.13 263.157.000 19.0000 APPLE INC COM Dividend Option: Cash 09105114 110.180.000 98 9500 ARIA ft PHARMACEUTICALS INC Dividend Option: Cash 02114112'•17 7.535.000 15 2090 01124113 '.13 9.000.000 19.6000 Total Nonovered 18,535.000 Total 18.535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cat 01/16101 '.3 70.500.000 21 2770 AVALANCHE BIOTECHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares ate in your margin account 04120115 10.000.000 39.8610 BASF SE SPONS AOR IA0650552625057 Dividend Option: Cash 04/13115 5,000.000 101.6110 SANK OF NEW YORK M ELLON CORP CON Dividend Option: Cash 06125114 250,000.000 36.3060 Draw, Sam Pon. Wealth Marnent Iftrat$ COMM, 6 ,0‘ p Devlativ SOS 5~0" at. New *A Olio M PPli /MO. nth I bet Wm Viet NY INM Cost Basis Market Pria Market Value Statement Period: 11/01/2015 - 11/30/2015 Unrealized Wind Loss Estimated Estimated Annual Income Yield 90,056.00 17.7060 Security Identifier: APO CUSP 037612306 4.999.983 00 16.3300 Security Identifier: AAPL CUSP 037833100 10,902,315.41 118 3000 Security Identifier: ARIA CUSIP:04033A100 111.597 10 64100 176.400.00 6.4100 290,997.40 3290,997.40 Security Identifier: ASNA OAP 043510101 1.500.000 00 11 3300 Security Identifier: AAVL CUSIP: 053376107 88.530.00 4.297.353.81 13,014,294 00 48.299 35 57.690.00 105.989.35 .1.526.00 402.629.19 2,131.978 59 -66,29805 .118,710 00 -185,008.05 2.833.81 3.20% 515.787.72 12.00% 229.174.40 1.75% ()PAN ROI SOUTH ERA e4 ONFIDAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 398.606.00 10.4800 Security Identifier: BASET CUSIP 055262505 5043,056.00 82.7380 Security Identifier: BK CUSIP. 064058100 9,076,406.00 43.8400 9105,989.35 798,765.00 104.800 00 413,690.00 10,960,000 00 Account Num ber. Go paperless -$185,008.05 -701.23500 -293.80600 -94.366 00 1.883,594 00 90.00 11.276.50 2.72% 170.000.00 1.55% Page 7 of 16 Rabid tacelle nil Lyn', V... Slate 2'007 DAL BAR RATED COMMUNICA TOG rxeit unser or a rlame =a7rarna ta • IS OriatSin .. •••••• SDNY_GM_00045826 OB-SDNY-0008650 EFrA_00 156435 EFTA01288798 Portfolio Holdings (continued) Dale ••aired Quiet Wit Cost Equities (continued) Common Stocks (continued) BIOGEN 10K INC COM Dividend Option: Cash 02/14112 *.I3 2,095.000 119 5490 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 5.000.000 72 9960 FACEBOOK INC CL A Dividend Option: Cash 05117112'•'3 17,500.000 38.0000 FOUNDATION NEDICINEINCCOM Dividend Option: Cash 01113114 25,000.000 08105114 24,830.000 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113 '.13 GENERAL M TFtS CO COM Dividend Option: Cash 11118/10 ' 12109/10 ' Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105114 03107/14 Total Covered Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 06110115 5.000.000 430010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 8 1 WT EXP Dividend Option: Cash 07130/15 ' 2.000.000 10.0000 Cod Basis Market Price Market Value Unrealized Gaid Loa Estimated Estimated Annual Income Yield Security Wenner: BUB CUSP: 09062X103 250.454 95 286.8600 Semitic)! Identifier: DISH CUSP. 25470M 109 364,978.00 62.7100 Security Identifier: Fll CUSP: 3030311102 665,000.00 1042400 Security Identifier: MI CUSP. 350465100 2730/0 687,683.50 17.0100 232530 577,373.02 17.0100 1,265,038.62 23.000 000 21 5700 10888 200 86,536.800 91026.000 36 4010 36 8160 5,000.000 792010 3.100.000 79 6120 8,100.000 396,407.00 246,797.00 843,204.00 31,206,038.52 Security Identifier: GE CUSP: 369604103 496,109.08 29.9400 Security Identifier: GM CUSP: 370450100 399,978.16 36.2000 3,185,969.22 36.2000 3,585,947.38 33,506,947.38 Security Identifier: GILD CUSP: 375558103 105.9600 105.9600 600.971 70 313.550 00 1,824,200.00 125,25040 122.358.30 847,608.30 2847,608.30 688,620 00 397,772.85 3,132,632.15 3,630,405.00 33,530,405.00 529.000.00 328,476.00 868,276.00 350.516 75 -51.428 00 1,159,200.00 ,262,413.50 -155.014.72 -417,428.22 -3417,428.22 19251092 -2,205.31 .53,337.07 -60642.38 -$55,642.38 133,393 00 81,679 00 216,072.00 30.00 21,180.00 3.07% 15,823.01 3.97% 124,812.99 3.91% 140,436.00 3140,436.00 8.600.00 1.62% 5,332.00 1.62% 13,932.00 98..0 vL I $643,204.00 Severity Identifier: GSK CUSP: 37733W105 215,006.00 40.5100 Severity Identifier: OPACU CUSP: 31954)Q04 20.000.00 10.0000 Account Number: Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) F I DEN t" 3858,276.00 202550 00 SOUTHERN cr5. 20.000.00 3216,072.00 .12,156.00 0.00 313,932.00 12,128.20 5.98% Page 8 of 18 14900 [malls rid 10.9y year Sara 2907 DAL OAR RATED COMMUNICATIONS Ixarumer .7 Cro.....377.= ra t= SDNY_GM_00045827 OB-SDNY-0006651 EFIA_00156436 EFTA01288799 Deutsche Asset & Wealth Management PO Boa 1778, Babimore, MO 21203 Portfolio Holdings (continued) Date Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) GODADDY INC CL A Dividend Option: Cat 04101115 700.000 HEALTH NET INC COM Dividend Option: Cash 09/08114 25.000.000 MATCH GROUP INC COM Dividend Oplion: Caffi 11118115 200.000 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05128113'•'3 50.000.000 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option: Cash 01113/14 1.000.000 SQUARE INC CL A Dividend Option. Cash 11119115 200.000 TERRAFORN GLOBAL INC CL A Dividend °pliant Cant 07131/15 400.000 TWITTER INC COM Dividend Option: Cash 11101/13 1.500.000 VIACOM INC NEW CL 8 Dividend Option: Cash 06710/15 5.000.000 VOLKSWAGEN A G ADR (SPON Dividend Option: Cash Dralu.v Ram Pon. Wealth Manrent Mv705C0•07,74.pyp M.1477 law wcwIts.mc. Mee brk ONO IONA AMMO_ IM i %if Woe We\ 1,0 101•A Cost Basis Market Price Market Value Statement Period: 11/01/2015 - 11/30/2015 Unrealized Gain! Lon Estimated Estimated Annual Income Yield VItAll 20 0000 46 9800 12 0000 8 4440 24 0000 9 0000 15 0000 26 0000 67 7490 Security Identifier: GOD? CU SIP. 380137107 14.000.00 31.0700 Staidly Identifier: HNT CUSP: 422226108 1.174.506.00 63.2600 Security Identifier: M TCH COP 57665R106 2,400.00 14.4800 Security Identifier: SGM 0 CUSIP: 800677106 422.214.00 8.2800 Security Identifier: SC CUSP. 8028311101 24.000.00 17.6400 Security Identifier: SO CUSIP. 852234103 1,800.00 12.0400 Security Identifier: GLBL CUSP 88104M101 6.000.00 4.0300 Security Identifier: TW TR CUSP:. 901841102 39.000 00 25.4000 Security Identifier: WAS CUSIP 91553P201 338.745 00 49.7900 Security Identifier: VLKAY CUSIP. 928662303 21.749.00 1.581.500.00 2,896.00 114,000.00 17.640.00 2,108.00 1,612.00 38.100.00 248.950.00 Account Number. Go paper CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6:)LTHERA CO .1I F I DrisrnAL 7.749.00 406.994.00 49600 .8,214.00 -6260.00 608 00 -4,3a8.00 •90000 .89.795.00 272.64 16.91% 8.000.00 3.21% Page 9 of 18 litatod 407117ra (very Year 9007 2007 DAL BAR RAT ED COMMUN ICA MONS rxarturnser SDNY_GM_00045828 OB-SDNY-0008652 EFIA_00 156437 EFTA01288800 Portfolio Holdings (continued) Date Monad Quantity Unit Cost Equities c:- Common Stocks .: • VOLKSWAGEN A G ADR (SPONS) (continued) 04113115 5 000 000 50.8610 Cost Basis Market Price Markel Valle Unrealized Gelid Loss Estimated Estimated Annual Income Yield WISDOM TREE INVTS INC COM Dividend Option: Cash 03131115 15100.000 211110 Total Common Stocks Preferred Stocks Noted by expiration date) ALLY FINL INC Ax TO FLT DIV-8.50% FREQ-QTRLYCALLABLE% 25.00 ON A OTRLY BASIS AFTER 05/15/2018 Dividend Option: Cash 02103/12 '.13 46.800.000 02109/12 '.13 80.000.000 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN• 8.125% FRECI OMIT MATT-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/15116 Dividend Option: Cash 02122112 '.13 80,000.000 23.5350 ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPN.7.25% FRED ORTLY PERP M TY CALLO 25 ANY W130 D NOTICE AFTR 12131112 Dividend Option: Cash 10124112 '.13 10,000.000 23.7100 01107/13 40,000.000 24.4400 01114113 *.ls 10,000.000 21.8800 Total Noncovered 120,000.000 Total Total Preferred Stocks Total Equities 254.30600 29 8470 Security Identifier: W ETF CIJSIP 97717P104 321,157.513 21.7500 119,235.00 326,250.00 •05.07100 2,092.50 4 004 38 2.68% 4,860.00 1.17% 191020 20.1250 135,572,239.21 Security Identifier: ALLY PRB CUSP 020059308 903.217.51 1,610,000.00 2,513,217.51 25.8000 25.8000 342015,723.16 1,202,280.01 2.063.999.99 3,266,280.00 13,543,483.92 299,062.50 453,999.99 753,062.49 31,133,195.6e 99,025.00 8.23% 170,000.00 6.23% 289,025.00 $2,513,217.51 Security Identifier: ALLY PRA CUSP 361860208 1,882,773.60 25.5000 Security Identifier: RBS PRT CUSP: 780097713 951,600.00 977,600.00 995,200.00 2,924,100.00 25.1900 25.7900 25.1900 83,266,280.00 2,010,000.00 1,031,599.99 1,031,599.99 1,031,600.02 3111,800.00 3753,062.49 157,226 40 79,999 99 53,999 99 36,400 02 170,400.00 $269,025.00 162,500.00 7.96% 72,500 00 7.02% 72.500 00 7.02% 72,500 00 7.02% 217,500.00 E !.01,09,9CSF3, 120,000.000 82,924,400.00 87,320,39111 815,892,530.35 00A11 MOLL 33,094,800.00 $6,401,060.00 350,616,603.16 $170,400.00 $1,0110,661119 $4,624,172.51 8217,500.00 8649,025.00 81,182,830.68 Page 10 of 18 Rated beery v« Lace 2007 LAMAR RA T ED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: THERM F I DAirriA rxciturraer Account Number: Go paperless et c SDNY_GM_00045829 OB-SDNY-0O08653 EFTA_00 156438 EFTA01288801 Deutsche Asset & Wealth Management PO Boa 1778, Skidmore, MD 21203 Portfolio Holdings (continued) Opaline Sim PonieWniinManalunnd WINO teeny f„0.0 IXMUM ML smokes C. Mn *4 Mal SO Pan AM*. medico Mrs.:ANY 10114 Statement Period: 11101/2015 - 11/30/2015 Unrealized Date Acquired Quality NO Cod Cod Basis Market Price Market Value Gala Loss Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Stonily Identifier: DXJ Dividend Option. Cash: Capital Gains Option: Cash CUSP. 97717W851 61000.00 of these shares are in your margin account 12/11113 60.000 000 49.4350 2,966,09830 55.0100 3.309600.00 334,50110 Total Exchange-Traded Products 12,966,09810 13,30000.00 1334,601.50 Estimated Estimated Annual Income Yield 45,236.40 1.37% $45,236.40 Unrealized kaued Estimated Cod Basis Markel Value Gainl Loss Interest Annual Income Total Portfolio Holdings 198,145,562.69 $106,246.127.76 16,352,937.07 1411,817.28 53,635,682.59 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaly nit subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended FIRC') (incorporating 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 non-retirement, US taxpayers securities which have been acquired on or after their 'applicable dateisr 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 a after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on a after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easy determined acquired on or after January 1, 2014. Cost Basis on tad income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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 infommtiai Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 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. 11 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 11 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. PagelioH8 Account Number u.....de.....u.s .Isia... - 7.... -- T=inai «...i...' ,. .--- =.." MIMI 9On Go Paperless .1 0 LOALEZINTEDC=ILINCATIONS SOL THERA Chti RC- N F I DAENTIA If UNCIILITher •.a.• ,AC remaer INIOA Melt OOP SDNCGM_00046830 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) OB-SDNY-0006654 EFTA_00156439 EFTA01288802 Schedule of Realized Gains and Losses Current Period Oispositiol Acquisition Disposition Oate Date Transaction Oescriptios Quantity Cost Basis Proceeds Realized Gain/ Lose Disallowance Long Term 11124115 12113113' FO°P ViASHAGTON MUT M TG S 001-RA2 M TG PASSTItRU CTF CL C- B-1 VAR RATE 5.199% 07/25133 Security Identifier 939336520 Original Cost Bait 1.485.07 1.290.000.000 1,185.07 1,910.80 155.73 Total Long Term $1,415.01 $1,940.80 3455.13 Total Short Term and Long Term $1,415.01 $1,940.10 $45513 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (*IRO, (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered enoncovered," 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 non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1. 2014. This Schedule may not reflect alt 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 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 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 O11 the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization. accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of foxed income security, and certain attributes, obtained from sources believed to be rabble. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your 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 will be used to determine the cost basis for calculatng 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 Please note the totiowng information for Persieng's 2015 IRS Points 1099 (8, DIV. INT. OID and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you will be mailed 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 Wii inform you of the Page 12 of 18 USAB ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e:ouTHurOKIFIDAirriAL Account Number: Go papedess Rated [.ale,. levy Year Sista 2907 OALBAR RATED COMMUNCATIONS rxesturmer SDNY_GM_00045831 DB-SONY-0008655 EFTA_00156440 EFTA01288803 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 M essages (continued) Onlug< Ram Pnwale vkanstwienan reaca8 <wrap oe.8047...* salons Lac Mee *A Mar 341 Part Annie. It" I ter War Rot nr 1011.4 Statement Period: 110112015 • 11/3012015 securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 17, 2016. Akhough 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 (Alf amounts shown are in base cumency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Mel Year-to-Date Securities Securities Bought 0.00 -4.20000 -4.200.00 0.00 1.518.227.50 -9.518.227.59 Securities Sold 0.00 000 0.00 170,757.03 0.00 170.757.03 Securities Withdrawn 0.00 000 000 0.00 -3.383.998.80 -3.383.998.80 Total Securities $0.00 -$4,200.00 -$4,200.00 $170,757.03 -$12,902,225.30 -$12,731,469.27 Dividends and Interest $330,886.60 $0.00 $330,866.60 $2,742,590.61 $0.00 $2,742,590.61 Distributions $92,104.95 $0.00 $92,104.95 $6,832,960.55 $0.00 $6,832,960.55 Fees $0.00 -$4.00 -$4.00 $0.00 -$301.00 -$301.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$6,561.16 -$6,561.16 Other $0.00 $0.00 $0.00 $66,692.73 -$68,692.73 $0.00 Cash Withdrawals 000 000 000 0.00 -20,367.53929 -20,367,53929 Deposis 0.00 000 000 2.699.708 58 000 2,699.708 58 Total Cash $0.00 $0.00 $0.00 $2,699,708.58 -$20,367,539.29 -$17,667,830.71 Money Market Funds $0.00 $0.00 $0.00 $2,448,952.63 -$4,780,931.93 -$2,331,979.30 Totals 6422,971.56 -$4,204.00 $416,767.55 $14,063,882.13 -$38,126,252.43 -$23,162,570.30 Page13018 Account Num ber IIHAM 4011 (so pa perless SO L TH ERA N t LLO. F I DrarIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rita. tacellone Envy YearSiva 2007 DAL BAR RATED COMMUNCATIONS rxenurmer :Tr .t.,:77-retta, SDNY_GM_00045832 DB-SDNY-0008656 EFTA_00156441 EFTA01288804 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Adivit T pe Dean-an Qua Price kneed Interest Moult Curren Securities Bought and Sold 11124115 11118/15 PURCHASED MATCH GROUP INC COM PROSPECTLSLNDER%PARATE 200.000 12.0000 -2.100.00 LSO TCF COVER 11/24115 11119115 PURCHASED SQUARE INC Cl. A PROSPECTUS LA DER SEPARATE COVER 200.000 9.0000 .1.800.00 LSD SO Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .4,200.00 Dividends and Interest 11/12/15 CASH DIVIDEND RECEIVED 110180 SF RS APPLE INC COM RD 11/09 PD 11112/15 57.29310 LSD AAPL 11/13/15 CASH DIVIDEND RECEIVED 250000 SF RS BAN K OF NEW YORK MB.LON CORP COM RD 42,500.00 LSO 8K 11102 PD 11/13/15 11/16/15 CASH DIVIDEND RECEIVED 126600 SF RS ALLY FIN L INC FIX TO FLT DIV-8 50% 67,256.25 LSO ALLY PRB FREQ-QTRLY CALLABLE Q 25.00 ON A QTRLY BASIS AFTER 05/15/2916 RD 11/01 PD 11/16115 11/16/15 CASH DIVIDEND RECEIVED BANK AMER CORP PERP NON COM ULATIVE DEP SFS AXED 81.250.00 LSD 060505018 TO FLOAT 8.125% 04/30/58 B/E RD 11113 Ft 11/15115 DIV PAID AT 40.625 2000000 11/16115 BOND INTEREST RECEIVED 716000 EARTH LINK INC GTD SR NT FULLY EXCHANGED 33.103.75 LSO 270321AC6 CUSIP FROM 270321A88 8.875% 05115119 B/E DID 05/17/11 CLB RD 11113 PD 11/15/15 11/16/15 BOND INTEREST RECEIVED 80000 SF RS GM AC CAP TR I GTD TR FFD SECS SER 2 CA. 40.625.04 LSO ALLY PRA 8.125% FRED ORTLY M ATV-02/15/2040 CALL ANYTIME @ 25 *130 DAYS BEGINS 02/15/16 RD 11/13 PD 11/15/15 11/25/15 BOND INTEREST RECEIVED 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 3,015.38 LSD 939336S20 MTG PASSTHRU CTF Cl. C-B.1 VAR RATE 5.199% 07125/33 BIE OTO 06/01/04 RD 10130 PD 11125/15 11/25/15 CASH DIVIDEND RECEIVED 15000 SF RS WISDOM TREE INVTS INC COM RD 11111 PC 4.950.00 LSD WETF 11/25/15 11130/15 MONEY MARKET FUND DEUTSCHE GOVT CASH 872.58 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 330,865.60 Distributions 11/30/15 PARTNERSHIP DISTRIBUTION 263157 SF RS APOLLO GLOBAL MGM T LLC CL A SFS RD 92,104 95 LSO APO 11/20 PD 11/30/15 Total Distributions • UNITED STATES DOLLAR 0.00 62,104.66 Page 11 of 18 ORM, 4011 t e4 LLC. FIDESMAL ON CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN Account Number paperless Rated tace.l. (very Year Siva 2007 DAL BAR RAT ED COMMUNICATIONS rxerturres SDNY_GM_000458.33 DB-SDNY-0008657 EFTA 0015644? EFTA01288805 Deutsche Asset & Wealth Management P.O. Boa 1776, Skidmore. MD 21203 Dnalsi Ne M..,. Pnwale vinia up.genmt wrens tonne Oat) Peautv Ponk Sectongs Mew5M 000. 301140 Ammo. Ha Mc Pal./ *A WY 10114 Transactions by Type of Activity (continued) Process/ Trade! Settlement Transaction Date Date Activity Type Description Quantity Statement Period: 11/01/2015 • 11/30/2015 Price Accrued Interest Amoent Carrency Fees 11102(15 FOREIGN CUSTODY FEE Fgn Safekeeping OCT 2015 USW G4S15P-P48 •2.00 USD G1S15FP48 11102115 FOREIGN CUSTODY FE Fgn Safekeeping OCT 2015 CU IR 65433(313GS -2.00 USO G513313868 Total Fees • UNITED STATES DOLLAR 0.00 400 Total Value of Transactions 0.00 411,767.55 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rale Dividend Option Amount of Payment Interest GE‘ERAL ELEC CAP CORP kOh CUM PFD SER A Total Cash Not Yet Received 11130/15 12115115 2,000,000.000 0.035625 Casn 71 250 30 Bond Maturity Schedule acted Maturity Market Value V. of Bond Market Value $71,250.00 1 to 5 years 3,768,100.00 15% 6 lo 10 years 1,912,398.00 Eta Li Over 10 years 19,890,531.17 77% Total 25,601,332.47 100% Percentages of bond market values are rounded to the nearest whole percentage. Page 15 of 18 Account Number: excellent, OBAM Molt Go paperless L very vat since 2007 DAUM. RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERMIFID ALTITIA NCR •r.—•-nt4n SDNY GM 00045834 DB-SDNY-0008658 EFTA_00156443 EFTA01288806 Bond Quality Bond Duality Market Valle Ili of Bond Market Value FAA 10,857,500.00 42% M EArlovier 14.743.832.47 58% Total 25,601,332.47 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: DAN O AN IEL sAssa 345 PARK AVENUE 26Th FLOOR NEW YORK NY 10154.0003 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: Am orbze premium on taxable bonds based on Constant Yield Method: Yes lomat market discount method for all other bond types- Constant Yield 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 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 is not available axe marked NM" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any 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 cedain securities, thereby overstating them. Refer to viworpershing.cornbusiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the lime of execution and the name of the person from URAR ROIL Account Numbers Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DrwriAL XLTHERA ti Fage 16 of 18 'gated tacellenti (very YearSera 2007 DAL BAR RATED COMMUNICA TICKS rxeiturtraer SDNY_GM_00045835 DB-SDNY-0008659 EFTA_00156444 EFTA01288807 Deutsche Asset & Wealth Management Oat 1770, Balamore, MD 21203 Important Inform ation and Disclosures (continued) Drdhat Sim Pon. VMY ',Maine,. Weals I wear 4.0.,p °eau iv s sew on 4%. Now Mbin 30 PM Asa. loth Ilev Am** NY 10IM Statement Period: 1110112015 • 11/3012015 Reinvestment (continued( whom your security was purchased, may De obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order how. 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 Mn. 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 fight to vote your shares held on margin may be reduced by the amount of shares on ban. 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 automaticaly 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 & P006. Reproducing and distributing any information received from Standard & Poor's is not pemtitted without prior written authorization from Standard & Pooes. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sel 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 Pod'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 Rote 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. • Pushing 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 Account Number: Go paperless ., CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) „.k con F I DIAL Fage17 of 18 tmellone I von. Yam Sims 2007 OALBAR RATED COMMUNICATIONS rxesurnaer •--. "Al SDNY_GM_00045836 OB-SDNY-0008660 EFTA_00 156445 EFTA01288808 Important Information and Disclosures (continued) The Role of Pershing (continued) orders, the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, d any, to you and in eneral 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 . 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: mvetpershing.cortrabouUstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrrned in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's conta 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; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators 'AO were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for fringing 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; Page IS of 18 Go Mess (very vs.. since 2'007 Account Number: listed torelleril lE)8At, ROI SOUTHERN - DALIMR RA T CO COMMUNICATICed CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) F I DriTriA rxesurrier SDNY_GM_00045837 OB-SDNY-0008661 EFIA_OO 156446 EFTA01288809 Deutsche Asset & Wealth Management P.O. Box 1778, Balamore, MD 21203 DnalsrefilM Pr If tle "mall 'amine,. 8688 Coonge 8,8.8 Ontsciv NA Smote' Mar *nOok• P aft 5MY, IM, I bet 10118 Portfolio at a Glance Account Number: Statement Period: 10/0112015 -1013112015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 1105,363,013.88 $116,714,113.02 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals -3,791,288.18 .17,567.830.71 ST THOMAS VI 00802 Net Securities 'rant of Account 010 .5.867,790.80 Adjusted Previous Account Value 101,571,726.70 103,178,871.61 Dividends, Interest and Other Income 414.01712 2.835,406 78 Total Taxes Withheld 0 00 -6,561.18 Net Other Activity -3110 -297 00 Your Client Advisor: Net Charlie in Portfolio 4 067.003 92 45.496 43 DANIEL SABBA nd[ng Account Value $ 1 0 0 5 2 7 1 6.5 4 5106,052 716 54 Accrued Interest 6440,763.61 Estim ated Annual Incom e 13,633,217.37 Asset Allocation Prior Year-6d Lan Period This Period X Allocation S0 Cash. Money Funds. and Bank Deposits 44,273,984.33 27,285,925.84 26,408,624.58 24.90% USD Axed Income 18,177,455.58 20,185,466.73 20,407,884.87 19.24% hon4, SO Axed Income 7.150,052.50 7,730,472.70 5.321422 50 5.02% SD Equities 54,121,544 61 47,225,164 61 50,675,968.59 47.79% hon•LISO Equities 2.988.256 00 2.955.984.00 3.233.816.00 3.05% Account Total (Pie Chart) 1128,714,293.02 1105,363,01318 1108,062,716.54 100.00% See the Asset A, beaten Disclosure and Footnotes secton tor important information reveling you Asset Alocabon. Please review your allocation peosclicalry wth your Clent Adviser Page ler 18 B014028183830018 [veer ri„, Raid facellonl Siva 7007 DAL BAR RATED COMMUNCATDONS CONFIDEMiA """'"" Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) rereitreertri="0«:“%e'r *-= SDNY_GM_00045838 OB-SDNY-0008662 EFTA_00156447 EFTA01288810 Asset Allocation Disclosure and Footnotes AI values are displayed in U.S. dollars based on interbank exchange rates as of 1W3112015. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 000 100,107.03 -906.643.38 Long-Term Gain/ Loss 452 94 112,389.23 6.508.653.68 Net GalnlLoss 452.94 212,47128 6,802,010.30 This summary excludes transactions where cost basis information is not available. For Your Information Please note that the Valua6on at a Glance section on page one of your account statement wdl be updated and renamed Palk:0 al a Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Account Num bar 0000001490 Commit Yield 0.04% Activity Ending: 10130115 10101115 Opening Balance 27,231,556.84 27,231,556.84 10101/15 Withdrawal MONEY FUND REDEMPTION 12,86325 27,168,693.59 10/02115 Withdrawal MONEY RiND REDEMPTION -6.00 27,188,887.59 10114115 Deposit MONEY FUND PURCHASE 11,625.00 27,180,312.59 10116115 Deposit MONEY FUND PURCHASE 127,500.00 27,307,812.59 10/19115 Withdrawal MONEY FUND REDEMPTION -25,277.78 27,282,53411 10/27115 Deposit MONEY FUND PURCHASE 9.091.64 27,291,826.45 10129115 Withdrawn MONEY FUND REDEMPTION -4,187,50000 23,104,126.45 10130115 Depost MONEY FUND PURCHASE 2,500,000 00 25,604,128.45 10130115 Deposit INCOME REINVEST 916.98 25,605,043.43 10130115 Closing Balance 425,405,043.43 Total All Money Market Funds 625,605,043.43 Page 2 of 18 Account Num berms Go paperless SOUTHERN N LLC. F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) RAM Emmons M (way Vs. Sims 2007 DAUMR MUD COMMUNICATIONS rxenurtraer a=1," SDNY_GM_00045839 OB-SDNY-0006663 EFTA_00 156448 EFTA01288811 Deutsche Asset & Wealth Management P.O. Boa 1776, Banimore, MD 21203 Income and Expense Summary Devi., 'Ana PI Ma nair-wan Marotts Ontia C•ckp De.cie Bou Xlv.n M. w brit Oat* Pant Ann**. loct tine writ n't vA Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest Other Interest Expenses Withholding Taxes Fees(Foreign Securities' Total Dividends, Interest, Income and Expenses Distributions Alternative Investm ents Other Distributions Total Distilbutlons Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 25.00% of Portfolio Cash Balance Current Period Statement Period: 11/0112115 -1013112115 YeaMoDate Taxable Non Taxable Taxable Non Taxable 10,174.30 0.00 869,783.45 0.00 916.98 0.00 12,435.43 0.00 197,500.00 0.00 662,807.40 0.00 205,426.64 0.00 744,822.61 0.00 0.00 0.00 121,875.12 0.00 0.00 0.00 .6,561.18 0.00 -25.00 0.00 •225.00 0.00 $413,192.92 80.00 $2,404,137.63 $0.00 0.00 0.00 0.00 423,682.77 0.00 0.00 0.00 89.616.40 $0.00 $0.00 $0.00 $513,299.11 Account Acdvily Opening Closing Accrued Inmate 31•Day Current Quantity Number Ending lialmme Balance Income This Year Yield Yield M oney N arket DEUTSCHE GOVT CASH INSTL 10101115 25.805.043.430 0000001490 Total Money Market Total Cash, M oney Funds, and Bank Deposits 10130115 54.369.00 27.231.556.84 803,581.15 25.805.043.43 28 06 12.435.43 0.04% 0.04% $27,231,556.64 $25,605,043.43 528.06 312,435.43 $27,215,925.84 $26,408,824.58 $28.06 512,435.43 Account Number: .rtAft RCM Go paperless L TH ERA CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) ONFIDENTIAL IP4 L LC. Page 3 of 18 Rated tocolls L very Vw. Wife 2007 DAUM. RA TED COMMUNICA TIONS rxesurtraer oaltrirrontrL...“`"== ••••••-•L.c —.-ns•Ainnrc SDNY_GM_00045840 OB-SDNY-0008664 EFTA_00156449 EFTA01288812 Portfolio Holdings (continued) Date ACAl ;red Fixed Income 24.00% of Portfolio (In Maturity Date Sequence) 'Asset Backed Securities WASHINGTON NUT N TO SECS CORP 2004•RA2 MTG PASSTHRU CTF CL C-B•1 VAR WE 6.537% 07125133 81E DTO 06/01/01 S 6 P Rating 0 Factor: 0.53948760 Effective Date:10101/15 Current Face Value: 695.939 004 12/13113 '•1.12 1,290,000.000 Adjusted Quality Limit Cod Cod Basis Market Price Markel Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield Security identifier: 939338620 76.5190 532,522.84 84.5390 Original Cosi Basis. $638.906.71 Total Asset Birdied Securities 1,290,000.000 Total Current Face Value : 695,939.001 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED Cl/SIP FROM 210321AB8 8.875% 05/15/19 EWE DTD 05117/11 CALLABLE 10130115 S 6 P Rating CCC• 10122/12 '.342 146.000 ON 102 6880 10123/12 '.1.12 600.000.000 102.5970 Total Nonmetal 710,000.000 Total 748,000.000 FRONTIER COM M UNICAT1ONS CORP SR T 8.500% 04/15/20 81E DTD 04112110 1ST CPN DTE 10/15110 Moody Rating BA3 S P Rating BB• 07106115 3,000,000.000 105 3870 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISMS XS0717735822 9.875% 12/16/21 REG DM 12/16/11 Moody Rating Bat S P Rating BBB 12104113 '.1.12 1,500,000.000 106 9760 BARCLAYS BK PLC CONTINGENT CAP NT ISM el.936739F1- KO3 7.750% 04/10123 B/E DTD 04110113 CALLABLE 04/10118 S 6 P Rating BB4 04103/13 '.12.13 300,000.000 man 9532,522.81 Security Identifier: 270321AC6 149.924.01 103.2500 Original Cosi Bat 5151.110 00 615.58013 103 2500 Original Cosl Basic $619,500.00 766,604.44 3786,504.44 Security Identifier: 35906AAH1 3.161.599.88 103.0000 Original Cosi Basis. $3,171,006.00 Security Identifier: G4S16PP48 1.604.647.45 108.5740 Copal Cosl Basis $1.627.500 00 Security Identifier: 06739FHKO 300.000.00 108.6250 Original Cosi Basis' $300,000.00 588,339 87 3568,339.87 150,745 00 619.50000 770,245.00 3770,245.00 3,090,000.00 1.628.610 00 325,875 00 55,817 03 05,817.03 820.99 3.919.57 1,710.60 3.791.13 $3,791.13 5.974.85 24.554 16 30,621.01 91,710.66 330,629.01 41.599.88 11.333 33 23.96255 129,197.92 25,875 00 1,356.25 $0.00 12.957.50 8.59% 53.250.00 8.59% 86,207.60 388,207.50 255.000.00 8.25% 148,125.00 9.09% 23,250.00 1.13% Page 4 of 18 Account Num Der. Rated [notion, 2007 Utery V 4) OAL 0Aft RATED COMMUNCATIC*6 .a. Lace SOL THERA CZ" F /cynm, `CAI rXellur NC. CONFIDENTIAL - PURSUANT TO FED. R CRI6,1. P. 6(e) Go paperless :t Ls =tr= SDNY_GM_00045841 OB-SDNY-0008665 EFIA_00156450 EFTA01288813 Deutsche Asset & Wealth Management PO. Bca 1776. Ballimore. MO 21203 Portfolio Holdings (continued) Date Acquired Qoanfity Unit Cost Fixed Income (continued) Corporate Bonds (continued) PM ORGAN CHASE & CO DEP SNS REPSTG 1/10TH PFD SERI FDB) TO FLTG RT BO 7.900% 0029149 WE DTD 01123108 Moody Rating BM3 S P Rating BBB• 06115111 '.3,t2 2,500,000.000 107.5000 Adjusted Cost Basis Dean Sint P • If lir \Wall I, Ma~ulr-vin Marat$ °taunt unii smote 4%. Nourbri Mar SO Pia Asa. lothlbw Mos** NY 101M Market Price Market Value Statement Period: 10/0112015 - 10/31/2015 Unrealized Gain/ Loss Accrued Estimated Estimated Interest Annual Income Yield 06115111 '.3.12 2,500,000.000 107.0000 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AMER CORP PERP NON CON ULATIVE DEP SH5 FOB TO FLOAT 8.125% 04130158 B/E DTD 04130108 CALUBLE 05115118 Moody Rating BA2 S8 P Rating BB• 01/10111 '.3.12 2,000,000.000 102.1500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117162 WE DTD 01117112 CALLABLE02/01122 Q 100.000 Moody Rating BAA1 5S P Rating BBB- 01130112 '.3.12 1000,000 000 99 8270 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06112/62 EVE DTD 06112/12 CALLABLE 06/15/22 Moody Rating BAA1 SS P Rating A+ 06127112'.11,13 2,000,000.000 101.5010 Security Identifier: 46825HHA1 2,687,500.00 103.9000 Original Cost Basis: 52,687,500.00 2,675,000.00 103.9000 Original Cost Basis. 52,675,000.00 6,362,600.00 55,362,500.00 Security Identifier: 060505D 78 2,055,000.00 104.1340 Original Cost Basis: 52.055,060.08 Security Identifier: I42400FU2 2,994,822.81 111.2500 Original Cost Basis 52,992,564 97 Security Identifier: 3696225N6 2,090,011.89 117.5000 Original Cost Basis: 52.122.916.67 2 597.500 00 2 597.500 00 •90.00000 •77,50000 0.00 0.00 197.500.00 197.500.00 7.60% 7.60% 5,195,000.00 157,500.00 0.00 395,000.00 $5,195,000.00 -$167,500.00 50.00 5395,000.00 2,082,680.00 27.580 00 74,930.56 162,500.00 7.80% 3,337,500.00 342,677 19 46,875.00 187 500 00 5.61% 2,350,000 00 259,988.11 53,833 33 142 500 00 6.06% Pap 5 of 18 Lvay VI... sine. ?OW Account Number: Rawl excellent, 'IA CSF!' : Go paperless DO AN ROIL THEM n DAMAN RATED COMVAUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRICA. P. 6(e) F I DrTriA rxesurner SDNY_GM_00045842 OB-SDNY-0008666 EFrA_00 15645 I EFTA01288814 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 BIE DTD 08112115 CALLABLE 08115120 @ 100 000 Moody Rating BA2 S8 P Rating BB* Security Identifier: 17296725 08106115 3.000.000.000 100 0000 3.000.006.00 99.8040 2.994.120 00 .5.886.00 39,170 83 178,500.00 5.96% Original Cosl Basis: 93.000.006.00 LBG CAPITAL NO 1 PLC 144A Security Identifier: 654338868 ISIASXS0473106283 8.000% 09/15188 REG DTD 12115/09 CALLABLE 06/15/20 SB P Rating BB' 12/04113 %En 1.200.000.000 108 2500 1.299.000.00 112.5000 1.350.000.00 51.000 00 36.286 67 96.000.00 7.11% Original Cosl Basis 51,299,000.00 5LLOYDS BANKING GROUP PLC FXD RATE RESET Security Identifier: 539439A04 ADDL TIER 1 SECS1S%* ldS539439AG42 7.500% 09127188 EUE DTI) 04/07114 Sd P Rating BB. Please Provide' 1.903.000.000 N/A Please Provide 106.2500 2.021.937 50 N/A 13.179 58 142,725.00 7.05% Original Cosl Basis Please Provide Total Corporate Bonds $22,633,092.47 825,145,967.50 8490,937.53 1136,972.48 31,797,307.50 23,649,000.000 Total Fixed Income 823,165,615.31 825,734,307.37 8546,754.56 1440,783.61 11,797,307.50 24,939,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain( Loss Mosel Income Yield Equities 46.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISIML0010831061 Dividend Option: Cash 08101/14 800.000 25 0000 AKORN INC COM Dividend Option Cash 06110/15 5.000 000 46 8410 AUBABA GROUP HLDG LTD SPONSORED ADS ISINSLS01609W1027 Dividend Option Cash 06110/15 5.000.000 88 9500 ALUANZ SE SPONSADR REPSTG 1/10 SHS Dividend Option: Cash Adjusted Cost Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield peAe 4011 SOUTHERN cti4 ONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Security Identifier: M BLY CUSP. N51488117 20.000.00 45.5200 Security identifier: AKRX CUSP. 009728106 234.206.00 26.7400 Security Identifier: BABA CLSIP 01609W102 444.749.00 83.8300 Security Identifier: AZSEY OAP 018805101 36,116.00 133.700.00 119,150 00 16.416 00 -100.506 00 -25,599.00 Page 6 of 18 Account Num tier Go paperless Rated tocellonfi L very Vs. Siva 2007 DAL BAR RATED COMMUNICATIONS rxenurmer SDNY_GM_00045843 DB-SDNY-0008667 EFTA_00 156452 EFTA01288815 Deutsche Asset & Wealth Management PO Bat 1778, &Amore, M021203 Portfolio Holdings (continued) Diviv R•rn Paamir-wrat Mootts tuntiegtG•ap Le-,u Bar Secv.4. M. “tw brit My 'Pant Ann**. iloct Sne writ n't la vA Date Acquired Omanllly Unit Cost Cost Basis Market Price Market Value Equities (continued) Common Stocks (continued) ALLIANZ SE SPONS AOR REPSTO 1110 MS (continued) 04/13115 5,000.000 18.0110 90,056.00 17.6030 88,015.00 APOLLO GLOBAL II GMT LLCCL A SH Dividend Option: Cash Security Identifier: APO CUSIP 037612306 03129/11 '.13 263.157.000 19.0000 4.999.983 00 18.2700 4.807.878.39 APPLE INC COM Dividend Option: Cash Security Identifier: AAPL CUSIP 037833100 09105114 111180.000 98 9500 10,902115.41 119 5000 13,166.510.00 ARIA() PHARMACEUTICALS INC Dividend Option: Cash Staidly Identifier: ARIA MIR 04033A100 02/14112 ..13 7.535 000 15 2090 114,597 40 6.8400 51.539 40 01124113 '.13 9.000.000 19.6000 176,400.00 6.8400 61.560.00 Total Noncovered 18,535.000 290197.40 113,099.40 Total 18,535.000 3290,997.40 $113,099.40 ASCENA RETAIL GROUP INC COM Dividend Option: Cash Security Identifier: ASNA COP 043510101 01/16101 '.3 70.500.000 21 2770 1.500.000 00 13 3200 939.060 00 AVALANCHE BIOTKHNOLOGIES INC COM Dividend Option: Cash 10.000 00 of these shares are in your margin account Security Identifier: AAVL CLSIP 053370107 04120115 10.010.000 39.8610 398.60610 8.4300 84.300 00 BASF SE VONS AOR ISINIt LS0552625057 Dividend Option: Cash Security Identifier: BASF! CUSIR 055262505 04113/15 5,000.010 101.6110 508.056.00 82.3300 411,650.00 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash Security Identifier: BK CUSIR 064058100 06/25114 250,000.000 36.3060 9,076,406.00 41.6500 10,412,500 00 1)8A I, .011 SOL THERA LIC. N F I DrismA L CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Statement Period: 10/01/2015 - 10/31/2015 Unrealized Gain/ Loss •2,041.00 -192.104.61 2.264.194 59 -63,058 00 -114,840.00 -177,895.00 -$177198.00 -560140 00 -314.306.00 16,406 00 1,336,094 00 Estimated Estimated Annual Income Yield 2.833.84 3.21% 515.787.72 10.72% 229,174.40 1.74% 90.00 11,276.50 2.73% 170,000.00 1.63% Page 7 of 18 Account Num ber. Go paperless katod two-MSS (von Vow' Since 2'007 DAUM. RATED COMMUNCATIONS ex.:muse, swampy tiAl mamas Ms.. wet. witc SDNY_GM_00045844 OB-SDNY-0008668 EFIA_00156453 EFTA01288816 Portfolio Holdings (continued) Date ••aired Quiet Liait Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) BIOGEN 10K INC COM Dividend Option: Cash Security Identifier: 8118 CUSP: 09062X103 02/14112 '.13 2,095.000 119 5490 250,454.95 290.5100 DISH NETWORK CORP CL A Dividend Option: Cash Security Identifier: DISH CUSP: 2547011109 06110115 5.000.000 72 9960 364,978.00 62.9700 FACEBOOK INC CL A Dividend Option: Cash Staidly Identifier: FB CUSP. 30303M 102 05117112 '.13 17,500.000 38.0000 665,000.00 101.9700 FOUNDATION MEDICINE INC COM Dividend Option: Cash Security Identifier: FM I CUSP. 350465100 01113114 25,000.000 27.5070 68703.50 22.4200 08105114 24.830.000 232530 577.373.02 22.4200 Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO CON Dividend Option: Cash 1,285,038.52 $1,285,038.52 Security Identifier: GE CUSP: 369604103 04123113 '.13 23.000 000 21 5700 496,109.08 28 9200 GENERAL MTRS CO COM Dividend Option: Cash Security Identifier: GM CUSP: 3704511100 11118/10 ' 10,988 200 36 4010 399,978.16 34.9100 12109/10 ' 86.538.800 36 8160 3,185,969.22 34.9100 Total Noncovered 91,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 3,585,947.39 $3,555,947.38 Security identifier: GILD CUSP: 375558103 02105114 5,000.000 792810 396.407.00 108.1300 03107/14 3,100.000 79.6120 246,797.00 1081300 Total Covered 8,100.000 Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 643,204.00 $643,204.00 Security Identifier: GSK CUSP: 37733W105 06110115 5,000.000 43.0010 215,006.00 43.0600 GLOBAL PARTNER ACQUISITION CORP UNIT 1 CON 8 1 WT EXP Dividend Option: Cash Security Identifier: GPACU CUSP: 37954X204 07130/15 ' 2.000.000 10.0000 20.000.00 10.0800 Account ORAN ROIL Number: Mantel Valet Unrealized Gala! Lou Estimated Estimated Annual Income Yield 608,618.45 314,850.00 1,784,475.00 560,500.00 556,688.60 1,117,188.00 81,117,188.80 665,160 00 383.598.07 3,020,999.68 3,404,597.75 $3,404,597.75 540,650.00 335,203.00 875,853.00 $875,853.00 215.300.00 20.160 00 Go paper-less CONFIDENTIAL — PURSUANT TO FED. R CRI6,1. P. 6(e) F I DAENTIAL sot,THERh cr5.N 358,163.50 -50,128.00 1,119,475 00 .127,163 50 -20.684.42 -117,817.92 -$117,817.92 169,050 92 -16,38099 ,164,969.54 -181,319.93 -$181,34913 144,243.00 88,408.00 232,819.00 9232,819.00 294.00 160.00 $0.00 21,160.00 3.18% 15,823.01 4.12% 121,612.99 4.12% 110,13100 $110,43100 8.600.00 1.59% 5,332.00 1.59% 13,932.00 $13,932.00 12,128.20 5.83% Page 8 of 18 Mould tsren• re, (very Va. SMOD 2007 DAL BAR RAT CO COMMUNICATIONS rxenurraer .73=7:6=1%."`"=.... ."""=" ... van —a...a SDNY_GM_00045845 0B-SDNY-0008669 EFL/COO156454 EFTA01288817 Deutsche Asset & Wealth Management P.O. Bat 1778, Babimore, MO 21203 Portfolio Holdings (continued) Ram Pon. wean Manirnent PAVRIS COM•ligt 4,04P Ott.s014 MY Se4wrisC Yee bet Mc* Na Pot Anerffits. /Inv Wet nr NIL Date Acquired Quantity Unit Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) CODA° DV INC CL A Dividend Option: Cath Security Identifier: MT CU SIP 380237107 04101115 700.000 20 0000 14.000 00 27.4800 HEALTH NET INC COM Dividend Option: Cash Security Identifier: HNT CUSP:422226108 09108114 25.000.000 48 9800 1.174.506.00 64 2600 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash Security Identifier: SGM 0 CUSIP 800677106 05126113 '.I 3 50,000.000 8.4440 422,214.00 7.0500 SANTANDER CONSUMER USA HLDGS INC CON Dividend Option: Cash Security Identifier: SC CUSIP .802831101 01123114 1.000.000 24.0000 24,000.00 18.0100 TERRAFORM GLOBAL INC CI. A Dividend Option: Cash Security Identifier: GLBL CUSP. 8810411101 07131115 400.000 15.0000 6.000.00 7.6300 TWITTER INC COM Dividend Option: Cash Security Identifier: TW TR CL SIP 901841102 11107113 1,500.000 26 0000 39.000 00 28 4600 VIACOM INC NEW CL B Dividend Option: Cash Security Identifier: VIAB CUSIR. 92553P201 06110115 5,000.000 67 7490 338.745 00 49.3100 VOLKSWAGEN A G ADR ISPON Si Dividend Option: Cash Security Identifier: VLKAY CUSIP 928662303 04113/15 5.000.000 50 8610 254.306.00 27.8590 WISDOM TREE INVTS INC CON Dividend Option, Cash Security identifier: W ETF CUSIP 977179104 03131115 15.000 000 21 6110 324.157 50 19.2300 Total Common Stocks 338,568,039.24 qoik CONFIDENTIAL — PURSUANT TO FED R CRIM. P. 67e)LTHERMN FIDESTTIAL Markel Value Statement Period: 10/01/2015 - 10/31/2015 Unrealized Gainl Loss Estimated Estimated Annual Income Yield 19.236.00 1.606.500.00 352,500.00 18.010.00 3.052.00 42,690.00 246,550 00 139.295.00 281.450 00 5.216.00 431.994.00 •69,71400 .5.990.00 -2,948.00 3,690.00 -92,195 00 ,115,011.00 -35.707 50 8.000.00 3.24% 4.004.38 2.87% 480.00 0.16% 342,334,764.59 33,765,725.35 31,129,213.04 Page 9 of 18 Account Number: Go paperless Rated [amiss (v., Year Slate 2007 DAL BAR RATED COMMUNICATIONS IXCILLI'Net SDNY_GM_00045846 OB-SDNY-0006670 EFrA_00 156455 EFTA01288818 Portfolio Holdings (continued) Date "sired Quail Uoit Cost Equities (continued) Preferred Rocks (listed by expiretiort date) ALLY FINL INC FIX TO FLT DP/-8.50% FREQ-QTRLY CALLAISE@ 2510 ON A QTRLY BASIS AM 05/1512016 Dividend Option: Cash Security Identifier: ALLY PRB CL SIP 02005k 308 02/03/12 ..13 18.600100 19.3820 903,217 51 25.7000 1,197,620.01 294,402.50 99,025.00 8.26% 02109/12 '.13 80,000.000 20.1250 1,610,000.00 25.7000 2,055,999.99 415,999.99 170,000.00 6.26% Total Noncovered 128,600.000 2,513,217.51 3,253,620.00 740,402.19 269,025.00 Total 128,600.000 $2,613,217.51 $3,253,620.00 3740,402.49 $269,025.00 GM AC CAP TR I GTD TR PFD SECS SER 2 CPN - 8.125% FRED DRILY MATY-0211512040 CALL ANYTIME 025 W130 DAYS BEGINS 02/15116 Dividend Option: Cash Security Ideellffer: ALLY PRA CUSP. 361860206 02122/12'.13 80,000.000 23.5350 1,882,773.60 25.8300 2,086,400.00 183,626 10 162,500.00 7.86% ROYAL BK SCOTLAND GP PLC WON ADR REPSTG SER T PFD CPS-7.25% FREQ DRILY PERP M TY CALLO 25 ANY W130 D NOTICE AFTR 12/31112 Dividend Option: Cash Security Identifier: RBS PRT CUSP. 780097713 10/24/12 '.13 10,000.000 23.7900 951,800.00 25.4800 1,019,199.99 67,599 99 72,500.00 7.11% 01107/13 ..13 10,000.000 21.4100 977,800.00 25.4800 1,019,199.99 41,599 99 72,500.00 7.11% 01114113 '.13 10,000.000 24.8800 995,200.00 25.4800 1119,200.02 24,000 02 72,500.00 7.11% Total Noncovered 120,000.000 2 924 400.00 3,057,600.00 133,200.00 217,500.00 Total 120,000.000 $2,924,100.00 13,057,600.00 $133,200.00 $217,500.00 Total Preferred Stocks $7 320 391.11 18 377,020.00 $1,057,228.89 1649,025.00 Total Equities 315,888130.35 150,712,384.59 14,823,954.21 11,778,238.01 Unrealized Estimated Estimated Date Acquired Quality Uok Cod Cost Bads Market Price Markel Valle Gala/ Loss Monet Income Yield Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cate 60,000.00 of these shares are in your margin account 12/11/13 80.000.000 49.4350 2.986.098.50 53.2900 3.197 000 00 231 301 50 45.236.40 1.41% Total Exchange-Traded Products 12,986,098.50 Cost Bads 33,117,400.00 Markel Value 3231,301.50 Unrealized Gain] Loss Attend Interest $15,238.10 Estimated Amnia' Income Total Portfolio Holdings $16,421766.74 6108,052,718.54 15,802,010.30 $110,783.61 13,833,217.37 Cod Basis Market Price Markel Value Unrealized Golf Loss Estimated Estimated Annual Income Yield Security Identifier: DXJ CUSP 97717W851 ?':110283CSF,, °BAN ROIL Account Number GO paperiess S'JL7M ERN ten N LLC. F I DAMSMAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 10018 Rated Emelloni Every Van Same 2007 DALBAR RATEDCOMMUNICATIONS rxentrwer rs ti n] AC - va —0nos.ra arc SDNY_GM_00045847 OB-SDNY-0008671 EFrA_00 156456 EFTA01288819 Deutsche Asset & Wealth Management P.O. Bat 1770, Balamore, MO 21203 Portfolio Holdings (continued) Device e Ram Ihmile wean &Waren Mit70% COMM< GK.." 0...Kehl Mar Steyr' AC. Yra ISA MO JO Park Arens.. 101k Iccr WaveSr\ Pet 10114 Statement Period: 10/01/2015 • 10/31/2015 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally net subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended rIRC') (incorporating amendments enacted by P.L.110-34 3, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ft:covered,' under the new cost basis repotting rules, and matked 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 non-retirement. US taxpayers securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis repotting rules and the adjusted basis will be reported to the IRS on form 1099E 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 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. t 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. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 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 tine 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 Date Acquisition Date Disposition Transaction Description Quantity Cod Bans Proceeds Realized Gain/ Lost/ Disallowance Long Term 10122/15 12/13/13' RPP WASNINGTOk MUT IITG S 00444/12 MTG PASSTHRU CIF CL 1.290.000 000 1.475.98 1.928.92 452.94 C- B-1 VAR RATE 6.537% 07125133 Security Idenbfier. 939336S20 Original Cost Basis: 1,475.98 10/29/15 12/01/13' RD MG first In First Out PETROLEOS DE VENEZIA ENIOR 'SNP Y30460546525 5.000 % 10/28/15 REG OTD 10/28/09 CL 2.500.000.000 2.500.000.00 2.500.000.00 0.00 Security Identifier P7807HAF2 Original Cost Basis: 2.250.000.00 Page 11 of 18 Account Number: Rasa Excellent, VINO ROLL Go paperless Every Year siva 2007 DAMAO RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: UTHERN CO F I DALTITIA rxenurraer -cterl,.. 1-74.7ZTO:C=7"te SDNY_GM_00045848 DB-SDNY-0008672 EFTA_00156457 EFTA01288820 Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Realized Gain/ Loss/ Date Date Transaction Description Quantity Cod Basis Proceeds Disallowance Total Long Term $2,501,475.98 52,501,928.92 1452.94 Total Short Term and Long Term $2,501,475.98 12,501,928.92 1452.94 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generafty not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (9RC") (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 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 non-retirement, US taxpayers 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 yew in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as blows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 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 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 beieve 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 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 may be adjusted for amortization, accretion. original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reiable. In the event, one or more of these attributes is changed, there may be a temporary ncorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-k4 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. Messages Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfotio at a Glance beginning with the October 2015 statement This change does not apply to accounts which display only opening and closing balances on page one. 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. Account Number: Go paperless TM ERN co CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) N"- F I DrErriA 1404•0 Excellent ,.very Vs. Soso. 2007 MUM. RATED COMMUNCATIONS rxenirmer Pap 12 of 18 L4C SDNY_GM_00045849 OB-SDNY-0006673 EFTA_00 I 56458 EFTA01288821