EFTA Document EFTA01288997

a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 MP" Portfolio at a Glance Account Number: N40-023804 Statement Period: 12/0112016 -12/31/2016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $114,618,198.25 8103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 .3 278.060 93 ST THOMAS VI 00802 net Securities InlOut of Account 0 00 5 185,557.00 Adjusted Previous Account Value 114,618,198.2$ 105,192,113.87 Dividends, Interest and Other Income 311.998 62 3,882.558.30 Total Taxes Withheld 0 00 -5.558.07 Net Other Activity -2 00 -430.00 Your Client Adelson Net Chan e in Portfolio 2.139.761 39 8 001,272.18 ncling Account Value 5117,069 956 26 5117,069 956 26 .DSFLASHOSNAN Accrued Interest $250.76877 Estim ated Annual Income 83.121.344 91 Asset Summary Prior Year-End Lag Period Ibis Period % Allocation Cash. Money Funds. and Bank Deposits 26,834,143.83 14,052,449.32 15,864,145.94 14% Fixed Income 25,438,998.88 20,831,839.41 19,233,099.80 16% Equities 48,000375.11 76.982.109.52 79,000.010.52 Exchange-Traded Products 0.00 2,952,000.00 2,972,400 00 3% Mutual Funds 3.004.800,03 0.00 0.00 0% Account Total (PIe Chart) 8103,284,817.80 $111,818,198.26 $117,089,958.26 100% 11, 8AO /1011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F I DAENTIA Please review your allocation perioclicalty wth your Clete Advisor. Page 14019 Ratedma il. nti B009 9380CSF30024 Go paperless E (very Vs.. Since 2007 CALMAR RATO)COMMLIFOCATIONS rxesar NCI SDNY_GM_00046029 DB-SDNY-0008849 EFTA_00 156634 EFTA01288997 Summary of Gains and Losses Realized Unrealised Ibis Period Year-to-Date Short-Tenn Gain!Loss 0.00 3.039 76 1.201.993.80 Long-Term Gain/Loss -88,74809 1,147,088.09 5.338.614 20 Net GaIn/Loss -80,748.09 1,150,127.85 9,543,608.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported en your Forms 1099 andior 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Adivity Type Desidiptioe Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130f18 12101116 Opening Balance 13,960,314.37 13.960.344.37 12101/16 Deposit MONEY RAD RiRCFASE 92.101.95 14,052,419.32 12/02116 Withdrawal MONEY FUND REDEMPTION -2.00 14,052,117.32 12/16(16 Deposit MONEY FUND FtiRCFASE 19,380.00 11.101,827 32 12/19116 Deposit MONEY FUND RACFASE 1,648,125.00 15.749,952.32 12/23116 Deposit MONEY FUND FURCFASE 37.059.50 15.787.011.82 12128116 Deposit MONEY FUND PURCFASE 39,11823 15,826,130.05 12130(16 Deposit MONEY FUND FtiRCFASE 3,807.00 15,829,937 05 12130(16 De 01 %COME REINVEST 4.774.69 15.834 711.74 12/30(16 Closing Balance $15,834,711.71 Total All Money Market Funds $15,831,711.71 Income and Expense Summary DIrrent Period Taxable Noe Taxable Dividend Income Equities 40,866.50 0.00 Money Market 4.771 69 0.00 Other Dividends 29.734.20 0.00 Interest Income Bond Interest 236,623 23 0.00 Other Interest 000 0.00 °HAT; +olk CONFIDENTIAL — PURSUANT TO F SOUTHERN ED. R. CRIM. P. 6(e) ON FIDENTIAL LLC. Account Number. N4G-023804 Go paperless Year-to-Dale Taxable Noe Taxable 1.628.229.19 0.00 23,034 96 0.00 1,033,201.69 0.00 730,160 43 0.00 139.146.88 0.00 Page 2 of 19 !loud [mallard, (vary Voar Loco 2007 oar DAL BAR RATED COMMUNICATIONS rxOLLNCr SDNY_GM_00046026 DB-SDNY-0008850 EFTA_00 156635 EFTA01288998 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Income and Expense Summary (continued) Current Perkd Statement Period: 12//112116 -1213112116 Year4o-Date Taxable Noe Taxable Taxable Non Taxable Expenses Margin Mimed 000 0.00 0.00 -161.I0 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Foreign Securities] 0.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses 1311,998.62 10.00 13,547,915.08 4161.10 DIstrIbudons Alternative Investments 0.00 0.00 0.00 328146.25 Total Distributions 10.00 10.00 10.00 1320,946.26 Portfolio Holdings Activity Opening Codas Income 30-Day Cuirent Account Accrued Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 14.00% of Portfolio Cash Balance 92,104.95 0.00 Margin Balance 0.00 29,734.20 Money Market DEUTSCHE GOVT CASH INSTL 12/01116 15.834.711.740 NM 12/30/16 13.960.344.37 15,834,711.74 0.00 23.034.96 0.38% 0.43% Total Money Market $13,960,344.37 111834,711.74 123,034.96 Total Cash, Money Funds, and Bank Deposits 114,162,449.32 115,164,446.94 123,034.96 1$0:000 Page 3 of 19 Account Number: N4G423804 Rated excellent, OLIALI ROLL GO paperless beery vs. Since 2007 SOUTHERN DAL OAR RA T ED COMMUNCATIONS K1 F I DrErriA rxestimer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046027 DB-SONY-0008851 EFTA_00156636 EFTA01288999 Portfolio Holdings (continued) Adjusled Date Acquired Quantity hit Con Cost Bads Fixed Income 16.00% of Portfolio (In Makin?), OM Sequence) 'Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2004-RA2 TG PASSTH RV CTF CL C-01 VAR RATE 6.693% 07125133 WE DTO 06/01/04 Factor. 0.47620036 Effective Date:12101/16 Current Face Value: 614.298 464 12113/13 1,290,000.000 76.5190 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 614,296.461 Corporate Bonds EARTHUNK INC GTO SR NT FULLY EXCHANGED CUSP FROM 27032IAB8 8.875% 05/15/19 BIE DTD 05117/11 CALLABLE 01/29/17 10123/1 2 '.3.12 351.000 000 102 2970 BARCLAYS 8K PLC CONTINGENT CAP NT ISINPIS06739FEK03 7.750% 04/10123 B/E DTD 04110/13 CALLABLE 04/10118 38 P Rating 889 04103113 '32.13 300,000.000 100.0000 1711 ORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04129/49 B/E DTD 04/23/08 Moody Rating BAA3 S & P Rating BBB- 08/15/11 '.3.12 2.500.000 000 107 5000 2,687,500.00 103.5500 Original COSI Bans: 52,687,500.00 06/15111 2.500.000 000 107 0000 2.675.000.00 103.5500 Market Price Security Identifier: 939333620 470.052.63 84.9500 Original Cost Basis: 5638.906.71 $470,052.63 Security Identifier: 270321AC8 359.061.88 102.3250 Original Cost Basis. 5362.407 50 Security Identifier: 06739FHK0 300.000.00 105.1400 Original Cosl Basis: 5300,000.00 Security identifier 48625111M1 Total Noncovered 5,000,000.000 Total 5,000,000.000 BANK AM ER CORP PERP NON COM ULAT1VE DEP SH S FIXED TO FLOAT 8125% 04/30/58 WE DTD 04130108 CALLABLE 05/15/18 Moody Rating BA2 S d Rating BB* 01/10/11 '.3.12 2,000500.000 102.7500 rer:099350CSF30 Original Cosl Basis: 59675,000.00 5,362,500.00 85,362,500.00 Security Identifier: 0605050T8 2,055,000.00 103.8750 Original Cost Bank 52,055,000.00 mi..° vet SOL THERA C5. LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I liErnAL Markel Value 521,846.55 $521,846.55 359,160 75 315.420 00 2,588,750.00 2,588,750.00 5,177,500.00 $5,177,600.0 2,077 500 00 Unrealized GainI Loss 51,793.92 $51,793.92 98 87 15.420 00 •98.750.00 •86.250.00 -185,000.00 -$185,000.00 22,500 00 Accrued Interest 3,426.37 63,426.37 3.980 44 5.231.25 32,916.67 32.916 66 85,833.33 Estimated Estimated Annual Income Yield $0.00 31,151.25 8.67% 23.250 00 7.37% 197.500 00 7.62% 197.500 00 7.62% 395,000.00 $65,833.33 $395,000.00 20,783 89 162.500.00 7.82% Page 4 of 19 Account Number. N4G-023804 Go paperless listed tacellordi (very yes. Since 2'007 DAL BAR RATED COMMUNCA MN'S rxertuNer SDNY GM_00046028 DB-SDNY-0008852 EFTA_00 156637 EFTA01289000 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01(17162 B/E DTD 01/17/12 CALLABLE 02/011221 100.000 Moody Rating BM1 S8 P Rating BLS 01/30!12'.3.12 3,000,000.000 991550 Adjusted Cost Basis 0ruisev Ram Pnwale Wean PAWItnall Pdanels Coon., 6 ,0‘P Market Price Market Value Statement Period: 1210112016 • 12/3112016 Unrealized Gain/ Loss Acaued Interest Estimated Estimated Annual Income Yield GENERAL ELEC CO GTD FXD-TO-FLTG RT NONCUMULATIVE PERFETL AL PREFERRED 4.000% 12103/65 REG DTD 12/03)15 Moody Rating A3 S P Rating A 12/03115' 2.469.000.000 88.0930 'LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS13'5SL 6539439AG42 7.500% 04127/88 B/E DTD 04/07/14 S8 P Rating BB. Please Provide' 1,903,000.000 N/A CITIGROUP INC FXO RT SR NT PERP DEP RECPT 5.950% 08(15/88 B/E DTD 08/12/15 CALLABLE 08/151201 100.000 Moody Rating BA2 S8 P Rating BB" 08/06/15 3,000,000.000 100.0000 3,000,006.00 101.4950 Original Cost Basis: 53,000,006.00 Total Corporate Bonds 115,247,225.67 18,023,000 000 Total Fixed Income $16,717,278.30 10,313,000.000 Security Identifier: 842400FU2 2.995.641.62 110.8750 Original Cost Basis: $2,992,564.97 Security Identifier: 369604814 2,115,016.17 99.2500 Original Cost Bair $2,175,016.17 Security Identifier: 539439AG4 Please Provide 103.0000 Original Cost Basis: Please Provide Security Identifier: 17296725 .38..M ROLL 3.326.250.00 2 450.482 50 1 960,090 00 3,044,850.00 111,711,263.25 $19,233,099.90 330.608 38 78.125.00 187.500.00 5.63% 275,466.33 4,389.33 98,760.00 4.03% NIA 1,585 83 142,725.00 7.28% 44,844 00 67,433.33 178,500.00 5.86% $503,937.58 $247,342.40 $1,219,386.25 $565,731.50 3250,768.77 81,219,386.26 Pate5019 Account Number: N46423804 F I DrTriA Go paperless ft...de-4k" SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) (very Year Sinew 2007 CALMAR RAT ED COMMUNICATIONS rxenurraer SDNY_GM_00046029 DB-SDNY-0008853 EFTA_00 156635 EFTA01289001 Portfolio Holdings (continued) Date Acquired Gustily Usk Cost Equities 67.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD 5115 ISKRA L0010831061 Dividend Ophon Cash 08101114 800.000 25.0000 MERU BIOTECHNOLOGIES INC CON Dividend Option: Cash 10,000.00 of these shares are in your margin account 04120115 10,000.000 39.8610 AKORN INC COM Dividend Option: Cash 06110/15 5.000.000 46.8410 AUBABA GROUP H LOG LTD SPONSORED ADS IS% OUS01609W1027 Dividend Option: Cash 06110/15 5.000.000 88.9500 ALUANZ SE SPO NS ADR REPSTG 1110 StIS Dividend Option: Cash 04113/15 5,000.000 18.0110 APOLLO GLOBAL M GM T LLC CL A SIM Dividend Option: Cab 03129/11 ..I3 263,157.000 19.0000 APPLE INC COM Dividend Option: Cash 250.000.00 of these shares are in your margin account 10128/13 1 14.000.000 75.5800 1,058,120.50 115.8200 09105/14 124.180.000 98 9500 12,287,815.97 115.8200 09105/14 1 7.200.000 98 9500 712,440.29 115.8200 09105/14 s 18.620.000 98 9500 1,842449.74 115.8200 01111116 250,000.600 99 0000 24,750,006 00 115.8200 Total Covered 114,000.000 10,650,632.50 Total 414,000.000 140,660,832.50 ARIAD PHARMACEUTICALS INC Security Identifier: ARIA Dividend Option: Cash CL SIP 040334100 02114712'•13 7.535.000 15 2090 114.597 40 12 4400 01124113 9.000.000 19 8000 176.400 00 12 4400 Cod Basis Market Price Markel Value Unrealized Gadd Loss Estimated Estimated Annual Income Yield Security idendlier: M BLY CUSP N51488117 20,000.00 38.1200 Security Identifier: MN CUSP 00773U108 398,606 00 2 9000 Security Identifier: AKRX CUSP. 009728106 234,206.00 21.8300 Security identiller BABA CUSP. 01609W102 444,749.00 87.8100 Security Identifier: AZSEY CUSP 018805101 90,056.00 16.4800 Security Identifier: APO CUSP: 037612306 4,999,983.00 19.3600 Security Identifier: AAPL CUSP: 037833100 01'099 3,0CSF!' . mm, voi CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) 30,496.00 29,000 00 109,150.00 439.050 00 82.400 00 5,094,719.52 1,621,180.23 14,382,527.56 833.903.79 2,156.568.62 28,954,999.80 47,919,160.00 147,949,460.00 93.73540 111.980.00 10,496.00 -369,606 00 •125,05800 -5.699.00 •7.656.00 94,736.52 563,359.73 2,094,911.59 121,463.50 314,118.81 4,204,993.80 7,291,647.50 17,298,847.50 -20,862.00 -64,440.00 3,059.77 3.71% 328,946.25 6.45% 31,920.00 1.96% 263.130.40 1.96% 16,418.00 1.96% 42,453.60 1.96% 570,000.00 1.96% 913,920.00 8943,920.00 Page 6 of 19 Account Number: 1440-023804 s Rated tscerninti Go paperless tn.) , Veer Since 2007 SOUTHERN F I DriTriAr DAL BAR RAT CO COMMUNICATIONS er rx turraer SDNY_GM_00046030 OB-SDNY-0008654 EFrA_00 156639 EFTA01289002 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired Equities (continued) Common Stocks (continued) ARIAD PHARMACEUTICALSINC (continued) Total Noncovered 18,535.000 Total 15,636.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01116101 '.3 BASF SE SPONS ADR ISING L 50552625057 Dividend Option: Cash 04113115 <hardy UaN Cost Oevilm.e. Rana Nta Wean lAeaernais Cost Basis Market Price 290,997.40 Market Value 205,695.40 Statement Period: 12/01/2016 - 12131/2016 Unrealized Gain! Loss .15,302.00 Estimated Estimated Annual Income Yield 70,500 000 5.000 000 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06125/14 250.000.000 BIOGEN IDEC INC CON Dividend Option: Cash 02/11112 '3 3 CENTENE CORP DEL CON Dividend Option: Cash 09/08/14 DISH NETWORK CORP CL A Dividend Option: Cash 06/10/15 FACE800K INC CL A Dividend Option: Cash 05/17/12 '3 3 17.500.000 FOUNDATION MEDICINE INC CON Dividend Option: Cash 01/13/14 08/05/14 2.095.000 15,550.000 5.000.000 25,000 000 24,830.000 OPAI, 'IOU 21 2770 101.6110 36 3060 119.5490 63 6450 72 9960 38 0000 27 5070 23 2530 $290,997.40 Security Identifier: ASNA CLSIP. 013510101 1,500.000 00 6.1900 Security Identifier: BASFY CUSIP 055262505 508,056.00 92.5700 Security Identifier: BK CUSIP. 064058100 9.076.406.00 17.3800 Security Identifier: BIIB CUSP: 09062X103 250.151.95 283.5800 Security Identifier: CNC CUSP: 151358101 989,679.75 56.5100 Security Identifier: DISH CUSP: 2517011109 364.978.00 57.9300 Security Identifier: FB CUSP 3030314102 665.000.00 115.0500 Security Identifier: FM I CUSP 350165100 687.663.50 17.7000 577,373.02 17.7000 1206,096.40 136,395 00 462,850.00 11.845.000.00 591,100.10 878,730.53 289,650.00 2,013,375.00 412,500 00 439,491.00 -$66,302.00 -1.063.605 00 -45,206.00 2,768,594.00 313,615.15 -110,949.25 .75,328.00 1,348,375.00 -215.163.50 ,137,882.02 50.00 12,163.55 2.62% 190.000.00 1.60% Pa947 of 19 Account Num her. MG-023804 Rapiscl tAalikerdi SOLTHERA F DrffirTA L t, rDAxeilAttitme •ArTEOCOMMUNCATIONS Go paperless Lvwy vs. 5~ 2007 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00046031 OB-SDNY-0006855 EFIA_00156640 EFTA01289003 Portfolio Holdings (continued) Dale Availed Equities (continued) Common Stocks (continued) FOUNDATION MEDICINE INC COM (continued) Total Covered 49,830.000 Total 49,830.000 11,215,036.52 $881,991.00 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.1) Quality Uait Cosi Cod Bads Martel Price 1,285,038.52 Markel Vale* Serialized Geld Lose 811,911.10 -383,015.52 23,000 000 21 5700 Security identifier: GE CUSP: 369604103 496,109.08 31 6000 GENERAL M TFtS CO COM Security Identifier: GM Dividend Option. Cash CU SIP 37045V100 11/18110 ' 10.988.200 36.1010 399.978.16 31.8400 12/09(10' 86.636.800 36.8160 3,185,969.22 34 8400 Total Noncovered 97,525.000 3,515,947.31 Total 97,525.000 03,515,917.38 03,397,771.00 GILEAO SCIENCES INC Dividend Option: Cash 02105/11 5.000.000 79 2810 03/07114 3,100.000 79 6120 Total Covered 8,100.000 Total 8,100.000 1643,204.00 $580,041.00 GLAXOSM ITHKUNE PLC SPONS ADR Security Identifier: GSK Dividend Option: Cash CUSP 37733W105 06/10115 5,000.000 43 0010 215.006.00 38.5100 GLOBAL PARTNER ACQUISITION CORP Security Identifier: GPACU UNIT 1 COM 8 1 WT EXP CL SIR 37954X204 Dividend Option: Cash 07/30115' 2.000.000 10.0000 20,000.00 10.0500 20,100.00 GODADDY INC CL A Security Identifier: GDDY Dividend Option: Cash CL.SIP: 380237107 04101115 700.000 20 0000 11.000 00 31.9500 24,465.00 MATCH GROUP INC COM Security Identifier: M TCH Dividend Option Cash CUSIR 57665R106 11118115 200.000 12 0000 2,100.00 17.1000 3,420.00 SANGAM 0 BIOSCIENCES INC CON Security Identifier: SGM 0 Dividend Option: Cash CUSP. 800677106 05128113 '.13 50,000.000 8.4440 422,211.00 3.0500 152.500.00 SANTANDER CONSUMER USA MIMS INC COM Security Identifier: SC Dividend Option Cash CUSP. 80283M101 01123/14 1.000 000 24 0000 21.000.00 13 5000 13.500.00 Estimated Estimated Annual Income Yield -$383,015.52 WOO 726.800 00 230.690 92 22,080.00 3.03% 382.828 90 -17,11926 16,702.06 4.36% 3.014.942 10 ,171,027.12 131.535.91 4.36% 3,397,771.00 -188,171.38 148,238.00 Security Identifier: GILD CUSP: 376558103 396.407.00 71.6100 246 797.00 71.6100 843 204 00 358.050.00 221.991.00 580,011.00 -$188,178.38 $148,238.00 -38.357.00 .24,806 00 -63,163.00 9.400.00 2.62% 5,828.00 2.62% 15,228.00 192.550 00 Account Number. N46.023804 Cio l}tt W011 paperless SO t, TH ERN ttri LLC. N F I DAENTEA L CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ,163,103.00 315,220.00 -22.156.00 10.335 20 5.36% 100.00 10.465.00 1,020.00 -269,71400 -10.500.00 Page 8 019 Rated [wallas Um". Vow Woo:m.2007 DAL OAR RAT COMMUNCATIONS rxestimer GCNY_GeA_00046032 DB-SDNY-0008856 EFTA_00156641 EFTA01289004 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Equities (continued) Common Stocks (continued) SQUARE INC CL A Dividend Option: Cash 11/19115 200.000 9.0000 TERRAFORM GLOBAL INC CL A Dividend Option. Cad) 07/31115 400.000 14 6300 TWITTER INC COM Dividend Option: Cash 11/07113 1 500 000 26 0000 VIACOM INC NEW CL B Dividend Option: Cash 06/10/15 5.000.000 67 7490 VOLKSWAGEN A G AO R ISPO N S) Dividend Option: Cash 04/13115 5.000.000 50 8610 WISDOM TREE 'NM INC COM Dividend Option: Cash 03/31/15 15,000.000 21 6110 Total Common Stocks Preferred Stocks (Listed by expirarion dale) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN. 8.125% FRED ORTLY MAP/112/1512040 CALL ANYTIME. 25 W130 DAYS BEGINS 02115/16 Dividend Option: Cash 02/22/12'.13 80,000.000 Total Preferred Stocks Total Equities 09 7 3 80CS Ordisov Ram Pnnle Weahn Atragenmt Pdanet$ CedrateG,O‘p Cost Basis Market Price Market Value Statement Period: 12/01/2016 • 12/31/2016 Unrealized Gain/ loss Estimated Estimated Annual Income Yield Security Identifier: SQ CUSIP 852234103 1.800.00 13 6300 Security Identifier: GLBL CUSIP 88I04M101 5.931 84 3.9500 Security Identifier: TW TR CUSIP. 901841102 39,000.00 16.3000 Security Identifier: VIAB CUSIP. 92553P201 338.745 00 35.1000 Security Identifier: VLKAY CUSP. 928662303 251306.00 28.6850 Security Identifier: W ETF CUSP 97717P104 324,157.50 11.1400 2 726 CO 1.580.00 24.450 00 175.500.00 143.125.00 167,100.00 $88,136,661.92 Security Identifier: ALLY PRA CUSIP. 361860208 23.5350 1,882,773.60 25.4000 $1,882,773.60 370,018,135.62 ORAB $76,061,010.62 2 032.000 00 $2,032,000.00 070,000,010.62 926 00 -4,351.81 440 00 2784% .11,550.00 ,163,215.00 4.000 00 2.27% .110.881.00 91.85 0.06% -157.05750 1,800.00 2.87% 38,832,348.60 31,663,302.62 149,226.40 136,786.88 6.73% $110,226.10 3136,78616 $8,98137S.00 $1,820,081.50 Page 9 of 19 Account Number:NO.023804 F I DrWriA Go paperless e k Rated tacelleni SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7v7Iry Year Sava 2007 DALBAR RATED COMMUNOCATIONS ex.:sumer SDNY_GM_00346033 DB-SDNY-0008857 EFTA 00156642 EFTA01289005 Portfolio Holdings (continued) Date Acquired Quantity Unit Cod Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60,000 00 of these shares are in your margin account 12/11113 60.000.000 49 4350 2.966.098.50 49.5400 2.972.400.00 6.301.50 58.834.20 1.97% Total Exchange-Traded Products $2,966,098.50 Cost Basis $2,972,400.00 Market Value $6,301.50 Unrealized Geld loss Accrued Interest $58,834.20 Estimated Maud Income Total Portfolio Holdings $105,566,258.26 $117,069,956.26 $9,543,608.00 $250,768.77 $3,121,344.91 Unrealized Cod Bads Market Price Markel Value Gain! Loss Estimated Estimated Annual Income Yield Security Identifier DXJ CUSIR 9771718851 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 ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered." 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 alter their 'applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • 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 rued 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 information. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. g The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this information. ORAN Rpll Account Number. N46923804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDAENTIAL SOL THERA ttz.„ Page 10 of 19 Rated excelleril Every v«. La 2007 DAL OAR RA TED COMMUMCATIONS rxesurtraer SDNY_GM_00046034 DB-SDNY-0008858 EFTA_00156643 EFTA01289006 O Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 .0•11. PI ma mapnent Schedule of Realized Gains and Losses Current Period Date Date Description Disposed Acquired Designation Disposition Method I Trasadion Quantity Statement Period: 1210112016 - 12131/2016 Realized Proceeds Wank Gold Loss Long Term LLOYDS TS8 BK PLC EU 12/16116 12/04113 Noncovered" Fast In First Out I REDEMPTION 1,500,000.000 1.500.000 00 1,589,194.49 -89,194.49 EDIUM TERM NOTES 'SIN/ XS071773 Original Cost Basis: 1,527,500.00 5822 9.875% 12116121 REG DTD Security Identifier G4515PP48 WASHINGTON MIT MTG S 12/23116 12/13/13 Noncovered" REPYM T OF PRIN 1,290,000.000 1,901 11 1,454.71 446 40 004402 M76 PASSTHRU CIF CL C- Original Cost Basis: 1,454.71 B-1 VAR RATE 6893% 07125133 Security Identifier: 939336S20 Total Long Term 1,01,901.11 1,590,11020 -88,748.09 Total Short and Long Term 1,601,901.11 1,510,649.21 418,748.09 • 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 ("IR') (incorporating amendments enacted by P.L.110-34 3. 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 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • 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 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 reelable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have available to you. °SAO ROLL Account Number N4G-023804 Go paperless SOLTHERA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) K1 F I DriTriAL Page It of 19 R.I [scones bray Yom.. since 2007 DAL BAR RAT CO COMMUNICATIONS rxenurtraer •••••=,.':.**=. SDNY_GM_00046035 DB-SDNY-0008859 EFTA_00 156644 EFTA01289007 Schedule of Realized Gains and Losses Current Period (continued) When you repel 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 requied to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and rekance on the information provided herein for such reporting. Cost Basis on fixed income securities 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. 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 bformation. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-Ict disposition method. The disposition method is the method *Nth you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method will be used to detemine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. will adopt a shortened settlement fimeframe beginning with trade date September 5, 2017, for equities, corporate and municipal bonds. and unit investment trusts. Moving from a Tr3 to a T+2 settlement cycle will provide faster access to sale proceeds, but it also means that funds will be due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations, account statements and more. Ask your advisor about how you can set up e-delivery. Page 12 of 19 Account Number; N4G•023804 OAS Rent SOUTHERN F I DriSrriA Go paperless e t c Italia excellent twiny year LSO, 2'007 DAUM. RATED COMMUNICATIONS rxentmer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Lum •••••••••••••• .0c SDNY_GM_00O46O36 DB-SDNY-0008860 EFrA_00 156645 EFTA01289008 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Gnaw,. Mn, Prvwm swahn .14.arnan Pere., CodrageGrod) Activity Summary (NI amounts shown are in base currency) Credits This Period Statement Period: 12/01/2016 • 12/31/2016 Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Debits This Period Net This Period Securities Securities Bought 0.00 000 0 00 0.00 -24.758.406.00 -21.758.10600 Securities Sold 0.00 0 00 0 00 3,921,433 T6 0.00 3,921,433 76 Securities Deposited 0.00 0 00 0 00 5.185.557 00 0.00 5.185.557 00 Total Securities $0.00 $0.00 $0.00 $9,106,990.76 -$24,758,406.00 415,651,115.24 Dividends and Interest $311,998.62 $0.00 $311,998.62 $3,824,510.64 -$270,898.59 $3,553,612.05 Distributions $1,500,000.00 $0.00 91,500,000.00 $9,597,711.30 $0.00 $9,597,711.30 Fees $0.00 -$2.00 -$2.00 $0.00 -$430.00 -$430.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 45,558.07 -$5,556.07 Cash Withdrawals 0.00 000 000 0.00 -11,891,59192 -11.891,59192 Deposits 0.00 000 0 00 8,613.530 99 0 00 8.613.530 99 Total Cash $0.00 $0.00 $0.00 $8,613,530.99 411,891,591.92 43,278,060.93 Totals $1,811,998.62 -32.00 $1,811,996.82 $31,142,743.89 ,838,928,684.58 -85,784,140.89 Transactions by Type of Activity Proust/ Settlement Date Activity Type Description Quantity Price Accrued Interest Mc« Dartemq Dividends and Interest 12115116 BOND INTEREST RECEIVED 2169000 GENERAL ELEC CO GTD FXD.TO.FLTG RT 09,38000 US0 369604BI/1 NON-CUMULATIVE PERPETUAL PREFERRED 000% 12/03/65 REG DTD 12103115 CLB RD 11130 PD 12/15/16 12116(16 FOREIGN BOND INTEREST 1500000 LLOYDS TSB 8K PLC EURO ISSUE MEDIUM TERN 118,125 00 USO GISI5F448 NOTES ISING X93717 735822 9 875% 12/16121 REG DTD 12/16/11 CIO RD 12/15 PD 12/16/16 12122(16 CASH DIVIDEND RECEIVED 97525 SHRS GENERAL N TRS CO COM RD 12107 PO 37.059 50 BSC, GM 12122116 12127/16 FOREIGN BOND INTEREST 1903000 LLOYDS BANKING GROUP PLC FXD RATE RESET 35.881 25 USO 539439AG4 AD DL TIER 1 SC-CS ISINIUS539139AG42 7.500% 04/27/88 WE DID 04107111 CIO RD 12112 PD 12/27/16 0"13 RO11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERN LLC. CiN FIDENTIAL SOU Tåge 13 of 19 Account Num her. N4G-023804 Go paperless !Laud faalibera (very Vs. Sacs 2007 DAL La RATED COMMUNICATIONS rxenu Net SDNY GM 00046037 DB-S6NY:0008861 EFTA 00156646 EFTA01289009 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Acaved Interest Monet Currency Dividendsand Interest (continued) 12127116 BOND INTEREST RECEIVED 939336520 12/29/16 CASH DIVIDEND RECEIVED GILD 12/30116 MONEY MARKET FUND INCOME RECEIVED 233993682 12/30/16 CASH DIVIDEND RECEIVED OXJ 1290000 WASHINGTON MUT MTG SECS CORP 2001.RA2 VG PAW'. It CTF CL C.8-1 VAR RATE 6.693% 07/25/33 BIE OTD 0610110/ RD 11130 PD 12125/16 8100 SH RS GILEAD SCIENCES INC RD 12115 PD 12129116 DEUTSCHE GOVT CASH 60000 SH RS WISDOM TREE TR APAR HEDGED EQUITY FD RD 12/28 PD 12/30116 3.136 98 3,807.00 4.771.69 29,731 20 6S0 USD USD USD Total Dividends and Interest - U.S. DOLLARS 0.00 311,998.62 Distributions 12/16116 SECURITY REDEEMED LLOYDS TSB BK PLC El. RO ISSUE MEDIUM TERM NOTES •1,500,000000 1.500.000.00 LSO G1S15P1348 'SINN X93717735822 9.875% 12116121 REG CITD 12116711 CLB Total Distributions - U.S. DOLLARS 0.00 1,500,000.00 Fees 12/01/16 FOREIGN CUSTODY FEE Fgn Safekeeping NOV 2016 CUSIP: G1S15P.P1.8 -2.00 USD G/1515PP18 Total Fees • U.S. DOLLARS 0.00 1.00 Total Value of Transactions 0.00 1,811,996.62 USD The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Dividends GENERAL ELECTRIC CO COM 1207/16 01/25/17 23,000.000 0.210000 Cash 5.520,00 VIACOM INC NEW CL B 12115/16 01/03/17 5,000.000 0.200000 Cash 1.000 .00 Total Cash Not Yet Received 16,520.00 liftAT, 701 CONFIDENTIAL — PURSUANT TO F SOUTHERN LLC. ED. R. CRIM. P. 6(e) ONFI DENTIAL Page 14 of 19 Account Number. N4G-023804 Go paperless f. acellenl t very Vow' sane. 2007 OALBAR RAT (0 COMMUNICATSONS rxciurnser an". SDNY_GM_0O346038 DB-SDNY-0008862 EFTA 00156647 EFTA01289010 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Bond Maturity Schedule Bond Maturity Market Value 1 to 5 years 359,160 75 6 to 10 years 315.120 00 Over 10 years 18.558,519 05 Total 19,233,099.80 Bond Quality 0euict,e RIM Pow. Wealth Ma na rent MIntl% Clem act fro. % of Bond Market Value 2% 2% 96% 100% Bond Duality Market Value % of Bond Market Value A 2,450.482 50 13% BAA 8,503,750 00 44% BA/Lower 7.397.860.00 38% Not Rated 881,007.30 5% Total 19,233,09920 100% Client Service Information Statement Period: 1210112616 • 12131/2016 I I 0 Percentages of bond market values are rounded to the nearest whole percentage. -r FT 0 Percentages of bawd market values are rounded to the nearest whole percentage. Your Client Advisor: ENJ Contact Information DSFLA SI-OSFAA 280 PARK AYE - 3R0 FL NEW YORK NY 10017 Your Account Information Telephone Number: (212)451-4433 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: 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 ORAN vet I Page 15 of 19 Account Number. N46.023804 Go paperless ttrj LLC. F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN N Rated Lao-Slant Evert Vs, Since 2007 DALBAR RATED COMMUNCATIONS rxarturnaer SDNY_GM_00046039 OB-SDNY-0008663 EFTA_00156648 EFTA01289011 Your Account Information (continued) Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more inform alion. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are witted from the Total THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to poMolo value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from venous pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Mere pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements vd not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts nclude several categories of secuntes. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.corrkbusiness_conbnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon mitten request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased, may be °Maned. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margn Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified horn customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Page16 of 19 USAII 9011 Account Num be; N46.023801 Go paperless SOUTHERN co NLL F I DrariAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AMA tacelloni LAN, VS. SIAM 2007 DAISAA RATED COMMUNICATIONS rxentrwer Posey NG awes. ANS. INIC SDNY_GM_00046040 OB-SDNY-0008864 EFTA_00156649 EFTA01289012 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) Oeuiv, e Si,, Pon. Wealth Ma na rent MWRISIDevarG•pyp Statement Period: 12/01/2016 • 12/31/2016 Ratings This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poor's is not omitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets 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 (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 suitabiity of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and. in certain instances, execution of securities orders; the assessment of the suitabity of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at AI other inarines 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 ft 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: wthy.pershing.com/about/strength-and-stabifity. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; 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 bled • 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 generaly more limited in arbitration than in court proceedings. pap Account Number N4G-023804 •A.• tocelkini OfIAN Vet GO erless 77°7 7 ° 7' 9 °C° 2007 FA TH ERA F LLC. MOMVECPCOMNILINICATIO•6 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ONFID-neTTAL Page 17 of 19 .:W.:19.tr&-'1=1'...•= Saar. am, amararnieta. rerION. WIC SDNY_GM_00046041 OB-SDNY-0006865 EFEk_00156650 EFTA01289013 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The Ivies 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 clairns 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 Plata, Jersey City, New Jersey 07399; vent .011 Account Number. N46.023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOL THERA ttz, Page IS of 19 14704 tscollona (very Year Late 2007 OAL6All RA TED COMNIUMULTIONS rxesartraer ••••••• mamas. IIMA MVOS. MC SDNY_GM_00046042 OB-SDNY-0008866 EFIA_00 I 56651 EFTA01289014 TERMS ANDCONDITIONS 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 UNTL 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 PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES FI YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A GOWNED 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 TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST MA OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS Co 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 INDEBTED TO PERSHING LLC (*PERSHING, FOR ANY AMOUNT. ALL SECURRES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHNG 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 WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY LORE. 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 FFLANCIAL 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.COMMISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 807(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 AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST SCECUTTON: NOTWRHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURfTES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NSW). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS ANO THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CCNINTONS ARE UNACCEPTABLE TO YOU. PLEASE NOTRYPERS-INO IMMEDIATELY IN WRITING BY CERTFED MAIL TOONE PER9IING RATA JERSEY CITY. NJ 07399, ATTN' LEGAL DEPT Page 19 of 19 DRAB ROIL Account Num Der N4G-023804 Go paperless I. very V7.7. sante Z007 " SOUTH ERA DALBAR RATED CCRAMUNCATIONS "mama CO CONFIDENTIAL - PURSUANT TO FED. R. CRAM. P. 6(e) N F I =IA SDNY_GM_00046043 DB-SDNY-0008867 EFTA_00156652 EFTA01289015 Deutsche Bank P.O Box 1776, Baltimore, MD 212O3 bvisrellana Prsair *Mahn mymiened Materts t %Pao 4w.10 Portfolio at a Glance Account Number: N 4S-0 2 380 4 Statement Period: 11/01/2016 - 11/3012016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $111,001,111.87 6103,284,617.80 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 -3.278,060.93 ST THOMAS VI 00802 het Securities InlOut of Account 0 00 5,185,557.00 Adjusted Previous Account Value 111,008,11117 105,192,11317 Dividends, Merest and Other Income 511,200 26 3.570.559 68 Total Taxes Withheld 0 00 -5,558 07 Net Other Activity -2.00 -428 00 Your Client Advisor: Net Chan e in Porlfolio 95 855 12 5.861.510 77 nding Account Value $114,618.198.25 5114,618 198.25 DANIEL SABBA Accrued Interest $373,350 44 Estill Wed Annual Incom e 53,257.781 82 Asset Summary Prior Year-End Last Period This Period % Allocation Cash. Money Funds. and Bank Deposits 26.834.143.83 13,538,251 06 14,052,449.32 12% Fixed Income 25,438,998.86 20.833.394 55 20.631.639.11 18% Equities 48,006,675.11 76.927,199 26 76.982.109 52 67% Exchange-Traded Products 000 2,709.000 00 2.952,000 00 3% Mutual Funds 3 004.800 00 0.00 0.00 0% Account Total fPle Chart) 5103,204,617.80 $111,008,14117 81141111,198.25 100% VP N v, CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 5010 03 64 CSF30 Go paperless Pease renew your allocation per:ArcaI/ we, you' Client Advisor. Page Iona CONFIDESTTIAL kilted Lacelbrigi (very v.a. since 2007 DAL OAR RAT lE0 COMMUNCATKINS rxememer reratr="="= SDNY_GM_00046044 OB-SDNY-0008868 EFTA_00156653 EFTA01289016 Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short. Tenn Gain/Loss 000 3.039 76 3.204.840.14 Long.Term Gain/Loss 443 83 1,235,836.18 4,126,730.15 Net GalnlLoss 443.83 1,338,875.91 7,331,570.29 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest wig be reported on your Forms 1099 anclior 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Descried°. Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.30% Activity Ending: 11130116 11101118 Opening Balance 13,340,751.06 13.340.751.06 11101116 Deposit MONEY RAD RIRCFASE 197.500.00 13.538,251.06 11102116 Withdrawal MONEY FUND REDEMPTION -2.00 13,538,249.06 11114(16 Deposit MONEY FUND FURCFASE 283,480.00 13.821,729 06 11116116 Deposit MONEY FUND FURCFASE 130.569.15 13,951,298.21 11115116 Deposit MONEY FUND FURCFASE 1.200.00 13.953.498.21 11128116 Deposit MONEY FUND PURCFASE 3,435.24 13,956,933.45 11130(16 Deposit INCOME REINVEST 3,410.92 13960,34437 11130(18 Closing Balance 813,960,344.37 Total All Money Market Funds $13,960,344.37 Income and Expense Summary Current Period Yeattaate Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 284,680.00 0.00 1.587.362.69 0.00 Money Market 3,410.92 0.00 18,260.27 0.00 Other Dividends 81.250.00 0.00 1,003.467,49 0.00 Interest Income Bond Interest 19.010.87 0.00 493.537 20 0.00 Other Interest 33,743.51 0.00 139.146 88 000 Page 2 of 18 I , K,NM +Olt CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDENTIAL SOUTHERN LLC. Account Number. N4G-013804 Go paperless RSd Excellera beefy Veer Since 2007 DAL OAR RAT CO COMMUNICATIONS rxesurnaer SDNY_GM_00016046 DB-SDNY-0008869 EFTA_00 156654 EFTA01289017 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (*.Kee Rant Pnvieweainstragenen Pdateris Coon., 6,o‘t) Income and Expense Summary (continued) Current Period Statement Period: 1110112116 -11130/2116 Year-to-Date Taxable Na Taxable Taxable Non Taxable Expenses Margin Interest 0.00 0.00 0.00 -161.I0 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Foreign Securities] 0.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses $422,095.31 $0.00 $3,235,916.45 4161.10 Distributions Alternative Investments 0.00 92.104.95 0.00 328.946.25 Total Distributions $0.00 $92,104.95 $0.00 $328,946.25 Portfolio Holdings Account Activity Opening Date Quantity Number Ending Opening Balance (Insley Balance kaued 1110311* Income Ibis Year 30-Day Conant Yield Yield Cash, Money Funds, and Bank Deposits 12.00% of Portfolio Cash Balance Money Market DEUTSCHE GOVT CASH INSTL 11/01116 13.960.344.370 NIA 11130116 197.500.00 13.340.751.06 92.104 95 13.960.311 37 0.00 18.280.27 0.30% 0.30% Total Money Market $13,340,751.06 $13,960,344.37 $0.00 $18,260.27 Total Cash, Money Funds, and Bank Deposits Adjusted Date Acquired Citantity UM Cod Cod Basis $13,534251.06 Market Price $14,052,449.32 Market Value $0.00 Unrealized Gain/ Loss $10,260.27 /sand Interest Estimated Estimated Annual Income Yield Fixed Income 18.00% of Portfolio (In Maturity Dote Sequence) ‘Asset Backed Securities WASHINGTON M UT M TG SECS CORP 2004-RA2 Security Identifier: 939336620 M TO PASSTEIRL, CIF CL C-B-I VAR RATE 8.669% 07125/33 WE DTD 06/01104 S1 P Rating D Factor: 0.47767409 Effective Date:11101/16 Ca trent Face Value: 616,199.576 12113113 '.3.12 1,290,000.000 76.5190 471,507.34 84.8890 523,085.66 51,578.32 3,31048 Page 3 of 18 Account Number: N40.023804 ..s ..., Mod excellent, PC10036ICSFI0 'I mom; MOLL Go paperless Every Von since 2O07 LW. F I DrWri A 1:411 rxALentmer SOUTHER/ DBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7:7"0-7=.'0..?...,"""t: SDNY_GM_00046046 DB-SDNY-0008870 EFTA_00156655 EFTA01289018 Portfolio Holdings (continued) Date As;LIred Quantity Unit Cosl Fixed Income (continued) 'Asset Backed Snaffles (continued) WASHINGTON MUT NTG SECS CORP 2004•RA2 (continued) Adjusted Cost Basis Market Prke Markel Value Uarealked Gale/ Loss Accrued Estimated Estimated Interest Annual Income Yield Original Cosl Basis: 3638,906.71 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 616,199.578 Corporate Bonds EARTHUNK INC GTD SR NT FULLY EXCHANGED CUSP FROM 270321AB8 8.875% 05/15119 WE DTD 05117111 CALLABLE 12/30118 10123112 351100 000 102 3200 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISM. XS0717735822 9.875% 12/18/21 REG 070 12116111 Moody Rating Baal S & P Rating BOB 12104113 '.3.12 1,500.000.000 1051890 BARCLAYS BK PLC CONTINGENT CAP NT ISKOUS36739FHK03 7.750% 04110/23 B/E DTD 04110113 CALLABLE 04110118 SB P Rating BB' 04103/13 'AM 300,000 000 100 0000 JPY ORGAN CHASE & CO DEP MIS REPSTG 1/1016 PFD SER I FIXED TO FLIG RT BO 7.900% 04129149 WE DID 04/23/08 Moody Rating BAA3 S B P Rating BBB- 06115111 '.3.12 2,500,001.000 107 5000 2,687.500 00 102.1250 Original Cosl Basis: $2187,500.00 06115/11 '.3.12 2,500,000.000 107.0000 2,675,000.00 102.1250 Original Cost Bait $2175100.00 Total Noncovered 5,000,000.000 5 382 SOO 00 Total 5,000,000.000 $5,362,600.00 BANK AM ER CORP PERP NON CON ULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04130108 CALLABLE 05115118 Moody Rating BA2 S & P Rating BB' 01110111 '.3.12 2,000.000 000 102 7500 5471,507.34 Security Identifier: 270321AC8 359,141.45 102.3750 Original Cosl Bait $362,407.50 Security Identifier: GIS15PP4I 1,589.832.53 100.6030 Original Cord Bait $1,627,500.00 Security identifier: 08739FIIK0 300.000.00 103.5000 Original Cost Basis. 5300.000 00 Security Identifier: 46625HHAl et!,036CCSF3, Security identifier: 060505018 2155,000.00 101.8750 Original Cost Bait $2,055,000.00 $523,06518 359,33625 1,509,045 00 310,500.00 2,553.125.00 2,553,125.00 5,108,250.00 $5,106,250.00 2,037,500 00 551,578.32 $3,310.58 $0.00 194.80 1,297.97 31,151.25 8.66% -80,787 53 141,54L67 148.125 00 9.81% 10,500 00 3,229.11 23,250.00 7.48% .134,375 00 16,458 34 197,500.00 7.73% ,121,875.00 16,458 33 197.500.00 7.73% -258,260.08 32,918.87 395,000.00 -$256,250.00 $32,916.07 $395,000.00 .17.500 00 6.770 83 162.500 00 7.97% Page 4 e118 uewy ROLL Account Number:1440423804 RaiNdtsalbM Go paperless F I DENTIA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) vny Vs. Visor 2'007 DAUM. RATED COMMUNCATIONS rxarturder SDNY_GM_00046047 DB-SDNY-0008871 EFTA_00156656 EFTA01289019 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01/17/62 8/E OTD 01/17/12 CALLABLE 02/01122 i3 100.000 Moody Rating BARI St P Rating BBB• 01130112 3,000,000.000 99 8530 Adjusted Cost Basis 0ruicev Ram Fn.!. Weahn Mira" Penns Costar Gto..p Market Price Market Value Statement Period:11/01/2016 • 11/30/2016 Unrealized Gain! Loss !called Interest Estimated Estimated Annual Income Yield GENERAL ELEC CO GTD FXD•TO•FLTG RT KON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12(03/65 REG DTD 12/03/15 Moody Rating A3 St P Rating A 12103115' 2.469.000.000 88 0930 5LLOYOS BANKING GROUP PLC FXD RATE RESET AD DL TIER 1 SECS !SIAS L 6539439AG42 1.500% 04122/88 B/E DTD 04/07/I! S 8 P Rating BB- Please Provide' 1,903,000.000 MA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08115/88 8/E OTD 08/12/15 CALLABLE 08/15120 0 100.000 Moody Rating BA2 St P Rating BB! 08/06/15 3,000,000.000 100.0000 3,000,006 00 100.5000 Original Cost Basis: S3.000,006.00 Total Corporate Bonds 19,623,000.000 $17,837,077.26 Total Fixed Income 20,813,000.000 $18,308,504.62 Security Identifier: 842400FU2 2.995.581 13 111.0000 Original Cost Baas: 52192,564.97 Security Identifier: 389601B114 2.175.016 17 101.2500 OriginM Cost Bats: $2.175,016.17 Security Identifier: 539439A64 Please Provide 102.0000 Original Cost Basis: Please Provide Security Identifier: 17296726 3.330.000.00 2,499,862.50 1.911,060 00 3.015,000 00 120,108,553.75 120,631,639.41 Account Num ber. N4G-023804 Go paperless 334.418.82 61.979,12 187.500.00 5.63% 324.846 33 45.265 00 98.760.00 3.95% MA 21,976.88 142.725.00 1.35% 11,994 00 52,062.50 178 500 00 5.92% 1330,016.47 1370,039.86 11,367,511.25 1381,994.79 1373,350.41 11,367,511.25 Page 5018 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDESMAL SOUTHERN LLC. Plated tacelbni (very 'Year Since 2007 OALBAR RATED COMMUNCATOIS rxenurmer SDNY_GM_00016048 DB-SDNY-0008872 EFTA_00 156657 EFTA01289020 Portfolio Holdings (continued) Date Acquired Equities 67.00% of Portfolio Common Stocks M OBILEYE NV AM STELVEEN ORD SHS ISORNL0010831061 Dividend Option. Cash 08101/14 600.000 250000 ADVERUM BIOTECHN OLOGIES INC COM Dividend Option Cash 10,000.00 of these shares are in your margin account 04120/15 10,000.000 39.8610 AKORN INC COM Dividend Option: Cash 06/10/15 5.000.000 46.8410 AUBABA GROUP BLDG LTD SPONSORED ADS ISININS01609W1027 Dividend Option: Cash 06110115 5,000.000 88.9500 ALUANZ SE SPO NS ADR REPSTG 1/10 SUS Dividend Option: Cash 04/13/15 5,000.000 18.0110 APOLLO GLOBAL MGM T LLC CL A MS Dividend Option: Cash 03129/11 '.13 263,157.000 19.0000 APPLE INC COM Dividend Option: Cash 250.00100 of these shares are in your margin accounl 10/28/13 1 14.000.000 75.5800 09105/14 124.180.000 98 9500 09105/14 7 7,200.000 98 9500 09105114 s 18.620.000 98 9500 01111116 250,000.000 99 0000 Total Covered 114,000.000 Total 114,000.000 MAO PHARMACEUTICALS INC Dividend Option: Cash 02114112'.17 7.535.000 15 2090 01124113 'A 9.000.000 19 6000 Quantity Unit Cost Cost Basis Market Price Market Vane Unrealized Gold Loss Estimated Estimated Anoual Income Yield 041,0364("F,:: Security Wenner: M BLY CUSP. N51488117 20.000.00 37.2300 Security Identifier: AIM CUSP 007730108 398,606.00 2.8500 Security Identifier: AKRX CUSP: 009728108 234,206.00 21.2200 Security Identifier: BABA CUSP: 01609W102 444,749.00 94.0200 Security identifier: AZSEY CUSP. 018,505101 90,058.00 15.8650 Scarily idenWier: APO CUSP: 037612308 1,999.983 00 192800 Security Identifier: AAPL CUSP. 037833100 1,058,120.50 12.287,615.97 712,440.29 1,842,449.74 24,750,006 00 40,650,632.50 110.5200 110.5200 110.5200 110.5200 110.5200 S40,660 3230 Security Identifier: ARIA CUSP 040334100 114.597.10 13.4800 176.400.00 13.4800 OftAt, ROIL 29.781.00 28,500 00 106,100 00 470,100.00 79,325.00 5,088,403.82 1,547,280.22 13,724,373.56 795.743.80 2,057.882.61 27,629,999.81 45,755,280.00 316,755,280.00 101.571 80 121.320 00 Account Number. N46.023804 Go paperless SOUTHERN co NLL F I DrariAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 9.784.00 .370,106 00 .128,106 00 25.351 00 -10.731.00 3.059.77 3.85% 68,120 82 328,946.25 6.49% 489,159.72 31,920.00 2.06% 1,436,757.59 283.130.40 2.06% 83.303.51 16116.00 2.06% 215,432.87 42,453.60 2.06% 2,879,993.81 570,000.00 2.06% 6,101,617.50 913,920.00 56,111,817.50 1913,920.00 -13,025.80 -55,080.00 Page 6 of 18 listed Excelleril (very Year Sine 2007 DAL BAR RATED 0CATI0NS rxesturnaer .r-r..,44 —.•••••44mrom SDN Y_GM_0004 6049 OB-SDNY-0006873 EFIA_00 156658 EFTA01289021 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquired Cleanllly UM Cost Equities (continued) Common Stocks (continued) ARIA() PHARM ACEUTICALSINC (continued) total Noncovered 18,535.000 Total 18,535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01/11/01 ta BASF SE SPONSADR ISMO U S0552625057 Dividend Oplien: Cash 04113115 Cost Basis Market Price Market Value Statement Period: 11/01/2016 - 11/30/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 290,997.40 222,891.80 411,105.60 70,500 060 5.000 000 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06/25114 250,000.000 BIOGEN IDEC INC CON Dividend Option: Cash 02114112 **I3 2,095.000 CENTENE CORP DEL CON Dividend Ohl's»: Cash 09108114 15,550.000 DISH NETWORK CORP CL A Dividend Option: Cash 06110115 5,000.000 FACE800K INC CL A Dividend Option: Cash 05117112 MI 17,500.060 FOUNDATION M EDICINE INC CON Dividend Option: Ceti 01/13114 25.000 000 08105114 24E30.000 $290,997.0 Security Identifier: ASNA CUSP: 043510101 212770 1.500.000 00 6 0400 Security Identifier: BASFY CUSP: 055262505 101.6110 38.3060 119.5490 63 6450 72 9960 38 0000 27 5070 23 2530 ()BAN RCM CONFIDENTIAL — PURSUANT TO FED. R CRINA. P. 6(e) 508,056.00 85.6900 Security Identifier: BK CUSP 064058100 9.076.406 00 47.4200 Security Identifier: BIIB CUSP: 09062X103 250.454 95 294.0700 Seaulty Identifier: CNC CUSP: 151358101 989,679 75 57.6300 Security Identifier: DISH CUSP. 25470M109 164.978 00 57.4500 Security Identifier: FB CUSP: 30303M102 665.000.00 118.4200 Security Identifier: FM I CUSP 350465100 687,663 50 20.5500 577,373.02 20.5500 $222,891.80 425,820.00 428,450.00 11.855,000.00 616,076.65 896,146.50 287,250.00 2,072,350.00 513,750.00 510,256.50 -$1,105.80 -1,074,18000 -79,808.00 2,778.594 00 365.621.70 -93,53325 -77,728.00 1,407,350.00 -173.913.50 -87,116.52 $0.00 12,163.55 2.83% 190 000 00 1.60% pe987 of 18 Account Number: N4G-023804 SOL THERA Go paperless Rated tmellm• Every Vni. Wee, 007' F I DUSITIAL DAL DAR RATEDCOMMUNICATIONS rxestuNer SDNY_GM_00046050 OB-SDNY-0008874 EFTA30156659 EFTA01289022 Portfolio Holdings (continued) Dale ired Quaint Usk Cod Cost Bads Nadel Price Equities (continued) Common Stocks (continued) FOUNDATION II EDWIN! INC CON (continued) Total Covered 49,830.000 Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 1,265,030.52 $1,215,031.52 Semidry Identifier: GE CUSP. 369604103 04123/13 '.I$ 23,000 000 21.5700 496.109.08 30.7600 GENERAL M TM CO COM Dividend Option: Cash Security Identifier: GM CUSP 3704511100 11118110 ' 10.988.200 36.4010 399.978.16 34.5300 12109/10' 86.536.800 36.8160 3,185.96922 34.5300 Total Noncovered 97,525.000 Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 3,585,947.38 $3,585,947.38 Security Identifier: GILD CUSP: 375558103 02/05114 5,000.000 79 2810 396.407.00 73.7000 03107/14 3,100.000 798120 246,797.00 73.7000 Total Covered 8,100.000 Total $,100.000 GLAXOSM 'MUNE PLC SPONS ADR Dividend Option Cash 643 204 00 9643,204.00 Security Identifier: GSK CUSP: 37733W105 06/10/15 5.000.000 43 0010 215.006.00 37.7900 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM & 1 WT EKP Dividend Option: Cash Security Identifier: GPACLI CUSP: 37954%204 07130/15 ' 2,000.000 10.0000 20.000.00 9.8900 GODADO Y INC CI. A Dividend Option: Cash Security Identifier: GDDY CUSP 380237107 04101115 700.000 20 0000 14,000.00 35.3400 MATCH GROUP INC CON Dividend Option: Cash Security Identifier: N TCH CUSP: 57615R106 11116115 200.000 12 0000 2,400.00 17.9800 SANGAN 0 BIOSCIENCES INC CON Dividend Option: Cash Security Identifier: SGM 0 CUSP 800677106 05128113 '.13 50,000 000 8 4440 422,214.00 3.2000 SANTANDER CONSUMER USA HLOGS INC COM Dividend Option: Cash Security Identifier: SC CUSP. 80283M 101 01123/14 1,000.000 24.0000 Merkel Valve Unrealized Gall Loss Estimated Estimated Annual Income Yield 1,024,008.50 -241,030.02 $1,024,006.50 -$241,030.02 $1.00 707,480.00 211.370 92 21,160.00 2.99% 379,422 56 2,988,115.69 3,367,536.26 $3,367,538.25 388.500.00 228,470.00 596,970.00 1596,970.00 -20,555.60 -197.853.53 -218,409.13 16,702.06 4.40% 131,535.94 4.40% 148,238.00 -$218,409.13 9148,238.00 -27.907 00 .18,327 00 -16,231.00 9.400.00 2.55% 5,828.00 2.55% 15,220.00 -$46,234.00 915,228.00 188.950 00 -26.05600 10,335.20 5.46% 19.180.00 .220.00 14.738.00 3.596.00 160,000.00 24.000.00 13.7800 13,180.00 Account Number: N4G423804 ORAN MOIL Go paper-less CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 6(e) K1F I DAENTIAL SOUTHERN 10.738 00 1,196 00 -262,214 00 -10,220.00 Pap 8 of 18 Rated Lawn* rigi Event Vow' Since 2007 DAL OAR RATED COMMUNICATIONS rxeirurNer v--.0.c --ma. ••••• SDNY_GM_00046051 OB-SDNY-0008875 EFIA_00156660 EFTA01289023 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) °nosey Rant Pnnie *Math uptagenen Mantis Coon., 6,0.4) Dale Acquired Quantity thin Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) SQUARE INC CL A Dividend Option: Cat Security Identifier: 5Q CUSIP. 852234103 11119115 200.000 9.0000 1,800.00 12.9400 TERRAFORM GLOBAL INC CL A Dividend Option. Cash Security Identifier: GLBL CUSIP 88104M101 07131115 400.000 it 6300 5.931.84 3.8000 TWITTER INC CON Dividend Option: Cash Security Identifier:1W TR CUSP. 901841102 11/07113 1,500.000 26 0000 39,000 00 18.4900 VIACOM INC NEW CL B Dividend Option: Cash Security 'dentine,: NAB CGSIP 92553P201 06110115 5.000.000 67.7490 338.745 00 37.4800 VOLKSWAGEN A G AD R ISPONS) Dividend Option: Cash Security Identifier: VLKAY CUSIP. 928682303 04113115 5.000.000 50.8610 254.306.00 27.3300 WISDOM TREE 'NM INC COM Dividend Option: Cash Security Identifier: WETF CUSIP 97717P104 03131115 15,000.000 21.6110 324,157.50 11.0600 Total Common Stocks 068,135,481.92 Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN. 8.125% FRED ORTLY MATT-0211512040 CALL ANYTIME g 25 W/30 DAYS BEGINS 02/15/16 Dividend Option: Cash Security Identifier: ALLY PRA CUSP 361860208 02122112'.13 80,000.000 23.5350 1,882,773.60 25.1500 Total Preferred Stocks $1,882,773.60 Total Equities $70,016,435.52 E.C100364CSFIOM OKA*, "on Market Value Statement Period: 11/01/2016 • 11130/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 2.588.00 1520.00 27.735 00 187.400 00 131.650 00 165,900 00 $74,910,109.52 2,012,000 00 02,012,000.00 $71,982,109.52 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I ID-Ea/1AL Account Number. N46.023804 Go paperless SOUTHERN teri 788.00 .4.411.84 440 00 2894% •11,26500 .151.345.00 4 000 00 2.13% •117.65600 91 85 0.06% -158257.50 4 800 00 2.89% $6,834,447.60 $1,682,362.62 129,226.40 136 786 88 6.79% $129,226.40 $136,786.88 $6,963,674.00 81,819,169.50 Pays 9 of 18 Rated taCelle Event Yen Siva 2007 DAL BAR RATED COMMUNICATIONS rxenurnaer SDNY_GM_00046052 DB-SDNY-0008876 EFTA_0015666 I EFTA01289024 Portfolio Holdings (continued) Oate Acquired Quantity Unit Cost Exchange-Traded Products 3.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Sanity !denttier: DXJ Dividend Option: Cash; Capital Gains Option: Cash CUSP: 97717W851 60,000.00 of these shares are in your margin account 12111/13 80.000.000 49 4350 2.966.098.50 49.2000 2,952.000 00 -14.098.50 52,840.80 1.79% Total Exchange-Traded Products $2,966,098.50 -$14,098.50 Cost Basis $2,952,000.00 Market Value Unrealized Gale loss Anneal Accrue d Estimated Interest 852,840.80 Income Total Portfolio Holdings $105,345,567.96 $114,618,198.25 $7,331,510.29 4313,350.44 3,257,781.82 Cost Bads Market Price Markel Value Unrealized Gold Loss Estimated Estimated Annual Income Yield 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 ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered lioncovered," under the new cost basis reporting rules, and marked or denoted as suck 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 alter 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 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 teed 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 intonation 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 evadable. The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering fern or transfening agent and Pershing makes no representation as to the accuracy of this intonation. Page 10 of 18 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I L Account Number N46.023804 liktAl1 Ron Go paperless SOL THERA teci Rated tamales Every Vs. Unto 2007 CAL OAR RATrD COMMUNICATIONS rxerturtraer .1C.L=4...trter..=•trs= SDNY_GI14_00046053 DB-SDNY-0008877 EFTA_001 56662 EFTA01289025 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Oruisev Ram Pon. Wean Marnan Mans Canna Schedule of Realized Gains and Losses Current Period Date Date Description Disposed Acquired Designation Disposition Method/ Transaction Quantity Statement Period:11/01/2016 • 11/30/2016 Realized Proceeds Cod Bads Gain! Loss Long Term WASFIAGTOK NUT LNG S 11123116 004•RA2 M TG PASSTHRU CTF CL 8.1 VAR RATE 6169% 07125133 Security Identifier. 939336520 12/13113 Noncovered" REPYIA T OF ERIN Original Cod Basis: 1.446.33 1,290,000.000 1,890.16 1,446.33 443.83 Total Long Tern 1,890.16 1,446.33 443.63 Total Short and Long Term 1,890.18 1,446.33 443.83 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generally nct subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered "noncovered," under the new cost basis reporting rules. and marked or denoted as such. Al other securities in this section are securities which are 'covered under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stxk 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 fried payment schedule for welch 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. Retum of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reiable. 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-B or online displays you may have available to you. Wien 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 we your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shal 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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I L Account Number 646.023804 MAX .40I Go paperless SOLTHERA teti Page 11 of 18 Itnacl excellent, (very Year Since 2007 DAUM. RATED COMMUNICATIONS rxciarnaer SDNY_GM_00046054 DB-SDNY-0008878 EFrA_00156663 EFTA01289026 Schedule of Realized Gains and Losses Current Period (continued) 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 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 perfotmed 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. 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. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method wt ich 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 wit be used to detemine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Messages Pease note the faiowng information for Pershing's 2016 IRS Fenn 1099 (8, DIV, INT, OID and MSC y Your form 1099 will be delivered as early as possible, beginning January 31, 2017. By February 15, you will be mailed either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their 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 15, 2017. Although a money market mutual fund seeks to preserve the value of your Investment at $1 per share, It is possible to lose money by Investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Sum mary (All amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Tear-to-Date Securities Securities Bought 0 00 0 00 0 00 0.00 -24.758,406 00 •24,758,405.00 Securities Sold 0 00 0 00 0 00 3,921,433.76 0 00 3,921,433.76 Securities Deposited 0 00 0 00 0 00 5,185,557.00 0 00 5,185,557.00 Total Securities 10.00 $0.00 $0.00 $9,106,990.76 .$24,758,406.00 -$15,651,415.24 Dividends and Interest $422,095.31 $0.00 $422,095.31 $3,512,512.02 .$270,898.59 $3,241,613.43 Distributions $92,104.95 $0.00 $92,104.95 $8,097,711.30 WOO $8,097,711.30 Fees $0.00 -$2.00 -$2.00 WOO -1428.00 -1428.00 Taxes Withheld 10.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07 Cash Withdrawals 0.00 0.00 0 00 0.40 .11,891.591.92 .11.891.591.92 Deposits 0.00 0 00 0 00 6.613.530.99 0.00 6.613.530.99 Total Cash $0.00 $0.00 $0.00 $8,613,530.99 .$11,891,591.92 -$3,271,060.93 Totals $514,200.26 -$2.00 $514,118.26 $29,330,745.07 -936,926,882.56 -$7,596,137.51 Page 12 of 18 UBA ROLE Account Number: N4G4123804 F I DrErriA Go paperless et) Naked Camollmi SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Every Year sane. 2007 DAL BAR RATED COMMUNICATIONS rxciturnaer SDNY_GM_0004605.5 DB-SDNY-0008879 EFTA_00 156664 EFTA01289027 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity Process/ Seillement Date Activit Diviclendsand Interest 11110(16 CASH DIVIDEND RECEIVED AAPL 11110116 CASH DIVIDEND RECEIVED AAPL 11110116 CASH DIVIDEND RECEIVED BK 11115116 CASH DIVIDEND RECEIVED 060505DT8 11115116 11115116 11123116 11125116 11130116 BONO INTEREST RECEIVED 27032 tAC6 BONO INTEREST RECEIVED ALLY PM CASH DIVIDEND RECEIVED WETF BONO INTEREST RECEIVED 939336520 MONEY MARKET PAD INCOME RECEIVED 233993682 Oruisre Ram Pr.. Wean Paptarnmt Pdaeats teem.,4wLP Dew. ion Quart Statement Period:11/01/2016 • 11/30/2016 Price Accrued Interest Amara Carre 164000 SHRS APPLE INC COM RD 11107 PD 1 1/10 /1 6 250000 SHRS APPLE INC COM RD 11107 PD 11110116 250000 SHRS BANK OF NEW YORK MELLON CORP COM P:0 11101 PO 11110116 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8,125% 04/30/58 WE RD 11/14 PD 11/15/16 OIV PAID AT 40 625 2000000 351000 EARTHLINK INC GTO SR NT FULLY EXCHANGED CU SIP FROM 270321A88 8175% 05115119 B/E DTD 05/17/11 CLB RD 11114 PD 11/15/16 80000 SHRSGMAC CAP TR I GTD TR PFD SECS SER 2 CFN• 8.125% FRED ORRY MATY.02/1512040 CALL ANYTIME Q25 W130 DAYS BEGINS 02115116 RD 11/14 PD 11/15/16 15000 SHRS WISDOM TREE IINTS INC COM RD 11/09 FO 11/23/16 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.669% 07125133 WE DTO 06101104 RD 10131 PD 11125116 DEUTSCHE GOVT CASH 93.480 00 USO 142.500 00 USO 47,500 00 USO 81,250 00 USO 15.575 63 USO 33,743 52 USD 1.200.00 USO 3,435 24 USO 3.41012 USO Total Dividends and Interest • U.S. DOLLARS Distributions 11130116 PARTNERSHIP DISTRIBUTION APO 263157 SHRS APOLLO GLOBAL MGMT LLC CL A SHIS RD 11/21 PD 11/30/16 0.00 422,095.31 92.104 95 USO Total Distributions • U.S. DOLLARS min0 ROI I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDESMAL SOL THERA LLC. 0.00 92,104.95 Page 13 of 18 Account Number. N40-023804 Go paperless Rated [mann ra (very Vs. Since 2007 0ALSAR RATED COMMUNCA TOG rxciurnser SDNY GM 00046056 DB-SDNY-0008880 EFTA_00 156665 EFTA01289028 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Fees 11101116 FOREIGN CUSTODY FEE Fun Safekeeping OCT 2016 CLSIP 64615P-P4-8 -200 LSD G4S15PP48 Total Fees • U.S. DOLLARS Quantity Price Accrued Interest Mount Currency 0.00 -2.00 Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received Severity Interest GENERAL ELEC CO GTD PAD-TO-FLTG RT NON-CUMULATIVE Total Cash Not Yet Received Record Date Payable Date 0.00 514,196.26 USD Quantity Held Rate Dividend Option Mont of Payment Bond Maturity Schedule 11130/16 12/15116 2.469.000 000 0 020000 Cash 49 380 00 Bond Maturity Market Value % of Bond Market Value 1 to 5 years 359,336.25 2% n 6 to 10 years 1.819.545.00 9% [ I Over 10 years 18,452,758.16 89% ri Total 20,631,630A1 100% Bond Quality 149,360.00 Bond Quality Market Value %ot hod Market Vain A 2 499 862 50 12% • BAA 9 945 295 00 48% • BA1Lower 7 827 145 66 38% ID hot Rated 359 336 25 2% • Total 20,631,639.41 100% 0.1^•0 "OIL Percentages of bond market values are rounded to the nearest whole percentage. Account Number. N46-023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I ID-51\MA L SOUTHERN elCeLs Percentages of bond market values are rounded to the nearest vtole percentage. Page 14 of 18 Itapemd tacelbrdi tvny v«. Lair 2'007 DAL BAR RA TED COMMUNICATIONS rxesatrNer SDNY GM 00046057 DB-S6NY:0008881 EFTA_00156666 EFTA01289029 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (Misr< Rana Pnwe wean ,.4•41,v. manes Codrage6,o‘t) Statement Period: 1110112016 • 11/30/2016 Called Bonds Eligible Called Call Type Redemption Call Date Security Description Quantity Duality Price of Call Proceeds 12/16/2016 LLOYDS TSB Bk PLC EURO ISSLEMEDILM 1.500.000 006 1.500 000 000 100 0000 Full 1.500.000 00 TERM NOTES ISINIX93717735822 9.875% 12116121 REG DTD 12116111 Client Service Information Your Client Advisor: DAN DANIEL SAHA 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 kaug 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 com m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more information. m portant Information and Disclosures Pricing This section includes the net market value of the securities n your account on a settlement date basis, including shod posrtkons, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked *NW and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The *Mg of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your accoungs3 Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements S not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an Page15 of 18 Account Number. N4G-023804 ii.....d.......u.... ..W.t.tr....=. 14 r. t ORM, von 1 Go paperless 4.1 1, ..) , V•••SMC• 2007 SOUTHERN CAO Lit I' NJ F I D-ENTIAL am„ r x LB?, RICO COMMUNCATIONS SDNY_GM_00046058 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0008882 EFTA_00 156667 EFTA01289030 Important Information and Disclosures (continued) Pricing (continued) order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of tine deemed appropriate for that asset the current price win purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to WVAV pershing.comibusiness_confinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You 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 intonation regarding this procedure is available upon written request to your introducing firm. Proxy Vete Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also inctease 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 8 Pools. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written authorization from Standard & Poors. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard E. Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poors makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do net 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. Pap 16 of te Account Number: R4G423804 Rated twallordi ORA.1t V011 Go paperless L very Van' Since Z007 SOUTHERN SNMC LL DAL BAR RA CD COMMUNOTIONS K1 F I DrTriA rxesurnaerT CONFIDENTIAL — PURSUANT TO FED. R CISIIVI. P. 6(e) SDNY_GM_00046059 OB-SDNY-0008883 EFrA_00 156668 EFTA01289031 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) GIVISI.V Mm POW.. h Ma rille-rent Statement Period: 11/01/2016 - 11/30/2016 Callable Bonds Pershing LLC receives the called bond information from several information sources which Pershing believes are reliable. Pershing does not guarantee the accuracy of the information. For callable options that are available to you please contact your Client Advisor. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and Many other instructions concerning your account Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances. execution of securities orders; the assessment of the suitaMity of those transactions, where appicable; the rendering of investment advice, if any, to you ' or 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 state • 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 hke 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 vnwcpershing.com/aboutistrengthand-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 reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Depanment, 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 Bed. • 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 aMity 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, Si an eligible case, a joint request for an explained decision has been submitted by al parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typicaty include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time knits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement Account Number. N4G-023804 MIAN NW Go paperless SO L ERN OKI F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) TM Page IT of 18 Rated [saner. Ivory V... Since 2007 DAUM...MED COMMUNCATIONS neaten ra'" ar —4-•••••..nonc SOnlY_GM_00046060 O13-SDNY-00O8884 EFIA_00156669 EFTA01289032 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; oxnx ,4011 Account Num be; N46.023804 Go PaI)erless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL SOUTHERN cr.) ri Page IS of 18 Itatad tocellenti (very Year Since 2007 DALBAR RATED COMMUNICATIONS IXULLtN CF SDNY_GM_00046061 DB-SDNY-0008885 EFTA_00I56670 EFTA01289033 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 0vviu•V RIM vow, Wealth Ma ma real Ma'WS Clover Con Portfolio at a Glance Account Number: N4G-023804 Statement Period: 10/01/2016 - 10/3112016 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 8112,837,058.89 0103,784,617.80 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 4278,060.93 ST THOMAS VI 00802 k el Securities InlOut of Account 0 00 5,185,557.00 Adjusted Previous Account Value 112,837,058.99 105,92,11317 Dividends. Interest and Other Income 351.548 57 3.055,359 42 Total Taxes Withheld 0 00 -5,558 07 Net Other Activity -27.00 .426 00 Your Client Advisor: Net Chan e in Portfolio 819 566 31 5.765.655 65 nd:ng Account Value 51 1 4,0 0 8 1 4 4 8 7 $1 1 4 0 0 8 1 4 4 87 DANIEL SABBA Accrued Interest $358.974 27 Estimated Annual Incom e 53,280 084 02 Asset Summary Prior Year-End Lad Period This Period % Allocation Cash. Money Funds. and Bank Deposits 26.834.143.83 9.982.985.49 13,538,251.06 12% Fixed Income 25.438.998.86 24.050.234.03 20.833.394.55 18% Equities 48.006.675.11 76.229,237 47 76.927.499 26 68% Exchange-Traded Products 0 00 000 2.709.000 00 2% Mutual Funds 3 004.800 00 2.574.600.00 0.00 0% Account Total (Pie Chart) $103,284,617.80 8112,837,0509 8114,008,144.87 100% U!MB V t CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 50101999CSF30019 cig<ffis CO N F I D AL 1111111111111 Please review your allocation persulicalty %rah your Client Mateo. Pate 1 of 18 Rated Exalt. SL Lyon. V.L. Lace 2'007 DAL BAR RATED COMMUNICA TIOMS rxegurnaer ream tat r.rrRwn sec SDNY_GM_00046062 OB-SDNY-0008886 EFTA_00156671 EFTA01289034 Summary of Gains and Losses Realized Uorealized This Period Year-to-Date Short-Term GainlLoss 0.00 3,039.76 3,975,392.59 Long-Term Gam/Loss 69.463 82 1,235,392.35 3,238,610.37 Net OaIn/Loss 69,483.82 1,238,432.11 7,214,032.96 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECB') and other credit institutions introduced 'negative interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 andior 1042 S. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Description Amount Belau* Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.29% Activity Ending: 10131116 10/01/16 Opening Balance 9,979,985A9 1979.985.49 10/03116 Deposit MONEY FUND PURCHASE 3,000.00 9,982,985.49 10/04/16 Deposit MONEY FUND PURCHASE 998.00 9,983,983.49 10112/16 Deposit MONEY FUND PURCHASE 11,625.00 9,995,608.49 10/14116 Depot/ MONEY FUND PURCHASE 2,307.63 9,997,916.12 10118/16 Deposit MONEY FUND PURCHASE 127,500.00 10,125,116.12 10121/16 Deposit MONEY FUND PURCHASE 3,203,741.00 13,329,160.12 10126/16 Deposit MONEY FUND PURCHASE 8,666.95 13,337,827.07 10131/16 De °it INCOME REINVEST 2,923.99 13,340.751.06 10/31116 Closing Balance 113,310,761.06 Total All Money Market Funds 113,310,761.06 Income and Expense Summary Current Period Year-to-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 8,62213 0.00 1,302,682.69 0.00 Money Market 2.923.99 0.00 14,819.35 0.00 Other Dividends 197,500.00 0.00 922,217.49 0.00 Interest Income Bond Interest 142,501.95 0.00 474,526.33 090 Other Interest 0.00 0.00 105,403.38 0.00 Page 2 of 18 VBA RC)Ill Account Number. N46.023804 Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F I DrwriAL SOUTHERN ttz" muted [notion, Ln.y Va.. Since 2007 DAL BAR RATED COMMUNCATIONS xesit INC! ..°1-413. 11-2.11,-rettt"0.4.N.- - et. SDNY_GM_00046063 DB-SDNY-0008887 EFTA_00156672 EFTA01289035 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Oeuicev RIM ...or Wean. Manrnalt hOteets Conn.. 4,04, Income and Expense Summary (continued) Current Period Statement Period: 11/0112116 -101311211B Year-to-Date Taxable Noe Taxable Taxable Non Taxable Expenses Margin Interest 0.00 0.00 0.00 •161.10 Withholding Taxes 0.00 0.00 4,558.07 0.00 Fees(Fomign Securities] -25.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses 1351,523.57 10.00 12,813,821.15 -1151.10 DIstrIbudons Alternabve Investin ens 0.00 0.00 0.00 236.841.30 Total Distributions 10.00 10.00 10.00 1236,641.30 Portfolio Holdings Account Opening Date Quantity Number Adivity Ending Opening Balance Gong Balance Aimed lame Income Ws Year 36-Day Yield Current Yield Cash, Money Funds, and Bank Deposits 12.00% of Portfolio Cash Balance Margin Balance Money Market DEUTSCHE GOVT CASH IMSTL 10101116 13.340.751.060 NM 10131116 0.00 3,000.00 9.979.985.49 197400.00 0.00 13.340.751.06 0.00 14,849.35 0.31% 0.29% Total Money Market 19,979,965.49 113,340,751.06 $0.00 $14,149.35 Total Cash, Money Funds, and Bank Deposits $9,982,985.49 $13,538,251.06 $0.00 114,849.35 Page 3018 Account Number: H4G423804 SOUTHERN Go paperless eib Rated tocellerigi MIA0 /lel k L very V... Since 2007 DALMAR RATED CONINIUMCATIONS F I DrErriAL rxenurner CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00046064 DB-SDNY-0008888 EFTA_00156673 EFTA01289036 Portfolio Holdings (continued) Date Acquired Fixed Income 18.00% of Portfolio (In Maiuriry Dee Sequence) ‘Asset Backed Securities WASHINGTON NUT M TG SECS CORP 2004-RA2 MTG PASSTHRU CTFCL C-B-1 VAR RATE 6.536% 07125133 WE DTD 06/0110/ S 8 P Rating 0 Factor:0.47913933 Effective Date:10103/16 Current Face Value: 616.089 736 12/13/13 'AM 1,290,000.000 76.5190 Quaid limit Out Adjusted On Basis Market Price Markel Value Unrealized Gain, Loss Accrued Interest Estimated Estimated Annual Income Yield Security Identifier: 939336520 472,953.67 84.8690 Original Cosi Basis: 5838.906.71 524,56838 Total Asset Backed Securities 1,290,000.000 Total Current Face Value : 618,089.736 Corporate Bonds EARTHUNK INC GM SR NT FULLY EXCHANGED CUSP FROM 210321AB8 8.875% 05/15119 WE DID 05117111 CALLABLE 11/15/16 S8 P Raring CCC+ 10123112 ',3,12 351,000.000 102.3420 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISN8 X93717735622 9.875% 12/18721 REG DID 12/16111 Moody Rating Baal S P Rating BBB 12104/13 'AM 1,500.000000 106.0680 BARCLAYS BK PLC CONTINGENT CAP NT ISA LS067390-K03 7.750% 04/10123 B/E DTD 04110113 CALLABLE 04110118 S S P Rating B8.6 04103/13 '.12.13 300.000 000 100 0000 PM ORGAN CHASE & CO DEP SHS REPSTG 1/10TH Ff0 SERI FIXED TO FLTG RT BO 7.900% 04/29/49 NE DID 01/23/08 Moody Rating BAA3 S P Rating BB& 06115/11 %VII 2,500,000.000 107 .5000 2,687,500.00 103.0750 Original Cosl Basic 52.687.500.00 08115/11 '.3.12 2,500,000.000 107 0000 2,675,000.00 103.0750 Original Cosi Basic 52.675000.00 Total Noncove red 5,000,000.000 5 362 500.00 Total 5,000,000.000 $5,362,500.00 $472,953.67 Security Identifier: 270321AC$ 359.219.52 102.5000 Original Cod Bali $382,407.50 Security Identifier: GISOPP48 1.591.020.52 101.0540 0 nginal Cosi Basis $1.627.500.00 Security Identifier: 06739FHK0 300000.00 105.0000 Original Cosi Basis: 5300,000.00 Security Identifier: 46625HHA1 $524,556.58 359,775.00 1.515.810 00 315.000 00 2.576.875 00 2.576.875 00 5,153,750.00 $5,153,750.00 51.612 91 3.366.65 $51,612.91 $3,368.85 $0.00 555 48 14.364 19 31,151.25 6.65% 75.210.52 129.609 38 148,125.00 927% 15.000 00 1.35825 23 250 00 7.36% 410,62500 0.00 197,500.00 7.66% -98,125.00 0.00 197,500.00 7.66% -208,750.00 0.00 395,000.00 -$208,750.00 $0.00 $395,000.00 Pager of 18 MIAN 'IOU Account Number: N46423804 listed tacelkina Go paperless F I DriTriA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Inc., Van Swots 2007 DAUM', RA TED COMMUNCATIONS rxesurnaer rr==....." 41== ••••••no•A SDNY_GM_00046085 OB-SDNY-0008889 EFIA_00156674 EFTA01289037 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Quantity Unit Cost Fixed Income (continued) Corporate Bonds (continued) BANK AMER CORP PERP NON COM ULATIVE DEP SHS FIXED TO FLOAT 8 125% 04130/58 B/E DID 04130108 CALLABLE 05115/18 Moody Rating BA2 S8 P Rating BB4 01110111 4.3.12 2,000,000.000 102.7500 Adjusted Cost Basis Oruisov Rant PnnieWeahnParagenan Pdaeals Coon., Gnat) Market Price Market Value Statement Period: 10/01/2016 .10/31/2016 Unrealized Gain/ Loss Accrued Interest Estimated Estimated Annual Income Yield SOUTHERN CALIF EDISON CO PREF SER E 6.250% 01117/62 81E DID 01/17/12 CALLABLE 02/01122 Q 100.000 Moody Rating MAI S8 P Raling BBB- 01130112 ..3.12 3,000,000.000 99 8510 GENERAL ELK CO GTD FXD-70•FLTG RT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12103/65 REG DID 12103/15 Moody Rating A3 St P Rating A 12103115' 2.469.000000 88 0930 5LLOYOS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIN 9 U S539439AGS2 7.500% 04127188 B/E DID 04/07/14 SS P Rating BB- Please Provide • 1,903,000.000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/15/88 8/E DTD 08/12/15 CALLABLE 08/15120 0 100.000 Moody Rating BA2 S 8 P Rating BRI 08/06115 3,000,000.000 100.0000 l}tt.. +0 SOUTHERN LLC. 1 t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDENTIAL Security Identifier: 0605050 78 2.055.000 00 102.6750 Original Cost Bat 52.055,00000 Security Identifier: 842400FU2 2.995.520 95 111.8750 Original Cost Bans: $2.992,564.97 Security Identifier: 361160413N 4 2.175.016 17 101 8130 Original Cost Basis 52.175.016 17 Security Identifier: 539439AG4 Please Provide 103.0000 Original Cost Basis: Please Provide Security Identifier: 17296725 3.000,006 00 102 5630 2,057,500.00 3,356,250.00 2.513,76297 1,960090 00 3,076090 00 Account Num ber. N4G-023804 Go paperless 2.500.00 74.930.56 162 500.00 7.89% 360,729.05 46,875.00 187 500 00 5.58% 338,746.80 37,309.33 98,760.00 3.92% NIA 13,479.58 142,725.00 7.28% 76084 00 37083.33 172000.00 6.80% Page 5018 tacoll• ',try Year Since 2007 DAL BAR RATED COMMUNCATIONS rxeurnser =tit 7...... 1"—M a."0.=- -- "Ittr. somccoL0004soes DB-SDNY-0008890 EFTA_00 156675 EFTA01289038 Portfolio Holdings (continued) Date Acquired Quantity Limit Cod Fixed Income (continued) Corporate Bonds (continued) CITIGROUP INC FXD RT SR NT PERP DEP RECPT (continued) Original Cost Bads: 53,000,006.00 Total Corporate Bonds $17,838,283.16 Adjusted Cod Bads Market Price Markel Value Unrealized Gadd Loss Accrued Interest Estimated Estimated Mnual Income Yield Total Fixed Income Date sired 19,523,000.000 20,813,000.000 Duaatit Unit Cod Equities 68.00% of Portfolio Common Stocks OBILEYE NV AM STELvEEN ORD SHS 1S/4K10010831061 Dividend Option: Cash 08101/14 800.000 25.0000 ADVERLIN BIOTECHNOLOGIES INC COM Dividend Option. Cash 10.000 00 of these shares are in your margin account 04120115 10.000.000 39 8610 AKORN INC CON Dividend Option. Cash 06110/15 5.000.000 4684t0 AUBABA GROUP HLDG LTD SPONSORED ADS Mkt L5011309W1027 Dividend Option Cash 06110115 5.000.000 88 9500 ALUANZ SE SPONSADR REPSTG 1110 SHS Dividend Option: Cash 04113115 5.000.000 18.0110 APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option: Cash 03129/11 I ." 263.157.000 19.0000 APPLE INC COM Dividend Option. Cash 250.000.00 of these shares are in your margin account 10128113 1 14.000.000 75.5800 I :HAN ROI CONFIDENTIAL — PURSUANT TO FED. R P. 6( SOUTH ERA LLC. e) FIDEsmAL 018,311,236.03 Cod Bads Market Price Security !dentine!: M BLY CUS1P 101488117 20.000.00 37.1800 Security Identifier: ADVM CUSIP 00773L108 398,606.00 2.9500 Security Identifier: AKRX CUSP: 009728106 234,206.00 23.9500 Security Identifier: BABA CUSP 01609W102 444.749.00 101.6900 Security Identifier: AZSEY CUSP. 018805101 90.056.00 15.5300 Security Identifier: APO CUSP 037612306 4.999.983.00 18.2800 Security Identifier: AAPL CUSP: 037833100 1.058.120.50 113.5400 $20,308,827.97 $20,533,394.55 Markel Value $510,454.81 $355,807.62 11,357,511.25 $562,067.72 $358,974.27 $1,367,511.25 Unrealized Glint Loss Estimated Estimated Mnual Income Yield 29,744 00 29.500 00 119,750 00 508.450.00 77,650.00 4.810.509.96 1.589.560.23 9.744.00 -369,106 00 .114,456 00 63,701 00 •12,406.00 3.059.77 3.94% •189.47304 328.946 25 6.63% 531,439.73 31,920.00 2.00% Page 6 of 18 Account Num ber. N4G-023804 Go paperless Rsd excellent belny Sivote 2007 DAL OAR RAT ED COMMUNCA TOO/4S rxesurnaer SDNY_GM_00046067 OB-SDNY-0008891 EFTA_00 156676 EFTA01289039 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Acquired Equities (continued) Common Stocks (continued) APPLE INC COM (continued) 09/05114 124,180.000 09105114 3 7.200.000 09105114 3 18,620.000 01/11/16 250.000.000 Total Covered 414,000.000 Total 414,000.000 ARIAD PHARMACEUTICALS INC Dividend °plain: Cash 02111112'.I3 7.535.000 01124113',33 9.000.000 Total Noncovered 16,535.000 Total 18,535.000 ASCENA RETAIL GROUP INC CON Dividend Option: Cash 01116101 *.3 70.500 000 BASF SE SPONS ADR ISM U93552625051 Dividend Option: Cash 04113115 5.000.000 BANK OF NEW YORK M ELLON CORP COM Dividend Option: Cash 06125114 250.000.000 BIOGEN IDEC INC COM Dividend Option. Cash 02111112 '3 3 2,095.000 CENTENE CORP DEL CON Dividend Option: Cash 09105114 15,550.000 %entity Vail Ozel 98 9500 98 9500 98 9500 99 0000 Cost Basis Market Price 12,287,615.97 712.110.29 1,842,149.71 24.750.006.00 40 850 632 60 $40,650,632.50 113.5100 113.5100 113.5100 113.5400 Markel Value 14.099.397 16 817.487 80 2.114.115 02 28.384.999 79 47,005,580.00 Statement Period:10101/2016 - 10/31/2016 Unrealized Gain/ Loss 1,811.781 19 105.017 51 271.665 28 3.631.993 79 6,354,927.50 Estimated Estimated Annual Income Yield 283.130.40 2.00% 16.416.00 2.00% 12.453.60 2.00% 570.000.00 2.00% 943,920.00 15 2090 19 6000 114.597.40 178,100.00 290,997.10 1290,997.40 Security Identifier: ARIA CUSP 01033A100 8.7200 8.7200 Security Identifier: ASNA CUSP: 043516101 21 2770 1,500,000.00 4.8900 Security Identifier: CASEY CUSP. 055262505 101 6110 36 3060 119.5490 63.6450 MIAS Poll 508.056 00 88.1800 Security Identifier: BK CUSP 064058100 9.076.406 00 43.2700 Security Identifier: BIIB CUSP 09062X103 250.154 95 280 1800 Security Identifier: CNC CUSP: 151358101 989,679.75 62.4800 947,005,580.00 65.705.20 78,180.00 114,185.20 1144,185.20 344,745.00 440.900.00 10,817,500.00 586,977.10 971.561.00 $6,354,927.50 -48.892 20 47,920.00 -146,812.20 4141,112.20 -1.155,25500 •67.15600 1,741.094 00 336.522 15 •18.115 75 1943,920.00 $6.00 12,163.55 2.75% 190,000.00 1.75% Pape? 018 Account Num Der. 946.023801 Cio paperless r-ty.•%=":«» '007 DAL BAR RAT ED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. TH ERN en F I DAEN1lAra, rxcituNer ::::="27.=t5A.. =sr= SONY GM 00046068 DB-S6NY:0008892 EFTA_00 156677 EFTA01289040 Portfolio Holdings (continued) Date Ned Quiet Umit Cosi Cod Basis Market Price Markel Value Unrealized Geld Loss Estimated Estimated Annual Income Yield Equities (continued) Common Stocks (continued) DISH NETWORK CORP CL A Dividend Option: Cash 06110/15 FACEBOOK INC CL A Dividend Option: Cash 05117112 FOUNDATION MEDICINE INC COM Dividend Option: Cash 01113114 08105114 Total Covered Total 49,830.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04123113'.13 GENERAL SIRS CO COM Dividend Option: Cash 11118/10 12109/10 ' Total Noncovered Total 97,525.000 GILEAD SCIENCES INC Dividend Option: Cash 02105114 03107114 Total Covered Total 8,100.000 GLAXOSMITHKUNE PLC SPONS ADR Dividend Option: Cash 06110115 5,000.000 43 0010 GLOBAL PARTNER ACQUISITION CORP UNIT 1 COM 81 WT EXP Dividend Option: Cash 07130/1 5 ' 2,000.000 10 0000 GO DADDY INC CL A Dividend Option: Cash 04101115 700.000 20.0000 Security Identifier: DISH CUSP. 2541011109 5.000.000 72 9960 364,978.00 58.5600 Security Identifier: F13 CUSP: 3030311102 17,500.000 38 0000 665,000.00 130.9900 Security Identifier: FM I CUSP: 350465100 25,000.000 27.5070 687,663.50 22.7000 21,830.000 23_2530 577,373.02 22.7000 49,830.000 1 285 038.52 292.800.00 2,292,325.00 567,500.00 563,641.00 1,131,141.00 •72,178.00 1,827,325.00 -120,183.50 43,732.02 ,133,695.52 23.000.000 21.5700 10,988.200 86,536.800 91,525.000 36 4010 36 8160 $1,215,031.52 Security Identifier: GE CUSP: 369604103 496.109.08 29.1000 Security Identifier: GM CUSP: 37045V100 399.978.16 31 6000 3,185,969.22 31.6000 3 585 947.36 63,585,941.36 Security Identifier: GILD CUSP: 375558103 396.407.00 73.6300 216.797.00 73.6300 $1,131,141.00 669.300.00 317.227 13 2,731,562.87 3,081,790.00 -$133,895.52 173.190 92 -52.75103 .451.106 35 .504,157.3B $0.00 21,160.00 3.16% 16,702.06 4.81% 131,535.94 4.81% 148,238.00 5.000 000 3.100 000 8,100.000 79 2810 79 6120 843 204 00 $3,081,190.00 368,150.00 228.253 00 596,403.00 .$504,157.38 -28.257.00 .18 511 00 -18,801.00 $148,238.00 9,400 00 2.55% 5,828 00 2.55% 15,221.00 PTITITTIITTF, : $643,204.00 Security Identifier: GSK CUSP. 37733W105 215,006.00 40.0100 Security Identifier: GPACU CUSP: 3795471204 20,000.00 10.0000 Security Identifier: GDDY CUSP. 380237107 14,000.00 35.7900 I>R7.7 ROI I IN c• F I Dri\ITIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN IN $596,403.00 200,050.00 20.000 00 25.053 00 Account Number: N4G423804 Go paperless -818,801.00 14.956 00 0 00 11,053.00 $15,221.00 10,335.20 5.16% Page 8 of 18 RSA [moiler. Every VAN SA07 2007 DAUTAR RATEDCOMMUNICATIONS rxesarwer stritroaZ Isua "amte'r"= SDNY_GM_00046069 OB-SDNY-0008893 EFTA_00 1 5667 8 EFTA01289041 a Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Oruicov Mn, Pon. Wean Maxernan Mients CodnreGro.p Dale Acquired Quantity Unit Cost Cost Basis Market Price Equities (continued) Common Stocks (continued) MATCH GROUP INC CON Dividend Option: Cub Security Identifier: M TCH CUSP. 57665R106 11116115 200.000 12 0000 2,400.00 18.0600 SANGAM 0 BIOSCIENCES INC COM Dividend Option. Cash Security Identifier: SGM 0 CUSIP 800677106 05428113 I ." 50.000 000 8 4440 422.214 00 3.5500 SANTANDER CONSUM ER USA HLDGS INC COM Dividend Option. Cash Security Identifier: SC CUS1P: 8028314101 01123114 1000.000 24 0000 24.000 00 12.2000 SQUARE INC CL A Dividend Option: Cash Security Identifier: SQ CU SIP 852234103 11119115 200.000 9.0000 1.800.00 11,2000 TERRAFORM GLOBAL INC CL A Dividend Option: Cash Security Identifier: GLBL CUSP. 8810414101 07131115 400.000 14 8300 5.931.84 3 7500 TWITTER INC CON Dividend Option: Cash Security Identifier: TW TR CUSP 901841102 11107113 1,500 000 26 0000 39,000 00 17.9500 VIACOM INC NEW CL 8 Dividend Option: Cash Security Identifier: VIAB CUSIP 92553P201 06110115 5,000 000 67.7490 331)15.00 37.5600 VOLKSWAGEN A G ADR (SPONSI Dividend Option: Cash Security Identifier: VLKAY CUSIP-. 928662303 04113115 5.000.000 50 8610 254,306.00 29.7450 WISDOM TREE INVTS INC COM Dividend Option. Cash Security 'deadlier: WETF CUSP 97717P104 03131115 15.000.000 216110 324.157 50 8.5800 Total Common Stocks $88,135,661.92 00A81201.1. Market Value Statement Period: 10/01/2016 • 10/31/2016 Unrealized Gain/ Loss Estimated Estimated Annual Income Yield 3,612.00 177,500.00 12,200.00 2.240.00 1,500.00 26,925.00 187,800.00 148,725.00 128,700.00 1.11100 ,241,714.00 -11,800.00 440.00 -4,431.84 -12,075 00 -150.945.00 -105.581.00 .195.457.50 440.00 29.33% 1,000 00 2.12% 91.85 0.06% 4.80000 3.72% 874,885,099.26 Account Number: N40423804 Go paperless 0.F I DrwriAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN N 66,149,437.34 81,882,382.62 Pap 9 of 18 Rated tocollordi Every V.A. Saws 2007 DALOAR RATED COMMUNCATIONS I %Ca Li NCI SDNY_GM_00046070 DB-SDNY-0008894 EFTA_00 156679 EFTA01289042 Portfolio Holdings (continued) Unrealized Cate Acquired Ousetfty Wilt Cost Cod Basis Market Price Markel Value Gain, Loss Equities (continued) Preferred Rods (Listed by upkeep dale) GM AC CAP TR I GTD TR PFD SECS SER 2 CPN 8.125% FRED ORTLY MATT-02/1512040 CALL ANYTIME Q 25 W130 DAYS BEGINS 02115/16 Dividend Option: Cash 02122112'.'7 Total Preferred Stooks Total Equities Estimated Estimated Annual Income Yield Security 'dentition ALLY PRA CUSP. 361860208 80.000.000 23.5350 1,882,773.60 $1 812 773.60 370,011435.52 25.5300 2 042 400 00 82,012,100.00 876,927,199.26 159.628 40 $159,626.40 16,909,063.74 162.50010 7.95% $102,500.00 $1,644,882.62 Unrealized Estimated Estimated Date Acquired Quantity Unit Cog Cod Basis Market Price Market Value Gait/ Loss Annual Income Yield Exchange-Traded Products 2.00% of Portfolio WISDOM TREE TR JAPAN HEDGED EQUITY FD Security Identifier: DXJ Dividend Option: Cash; Capital Gins Option: Cash CUSP: 97717W851 60,000 00 of these shares are in your margin account 12111113 60,000.000 19.1350 2,966,098.50 15.1500 2,709 000.00 -257,098.50 52,840.80 1.95% Total Exchange-Traded Products 82,966,098.50 82,709,000.00 -$257,098.50 352,140.10 Cog his Market Value Unrealized Mooed Estimated Geld Loss liters Anneal Income Total Portfolio Holdings 8104,831,021.91 8114,008,114.87 57,211,032.96 8358,971.27 83,280,081.02 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaly not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (*IRC") (incorporating amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered snoncovered," 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 *Stich 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 or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple rued payment schedule for which a yield to maturity can be easty 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 hired income security, and certain attributes, obtained from sources bekeved to be reliable. In the event, one or more of these attributes is changed, there may be a temporary Mcorrect 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 information. Fage10 of 18 Account Kum Der N4G-023804 Rated excellordi WOI I GO paperless tn."' Vaim 900.2007 SOUTHERN LI.C. • MeeragED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ON FID An alTrii 1/4L SDNY_GM_00046071 DB-SDNY-0008895 EFTA_00 156680 EFTA01289043 lril Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Statement Period: 10101/2016 - 10/31/2016 6 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. Is 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 Date Description Disposed Long Term FRONTIER COMMUNICATI 10118116 07/06/15 Covered R NT 8.500% 04/15/20 8/E DTD 04112/10 Security Identifier 359068/11 WASHINGTON MUT MTG S 004442 MTG PASSTHRU CTF CL C- 01 VAR RATE 6.536% 07/25133 Security Identifier 939336520 Date Acquired Designation 10124116 12113113 Noncovered..1 Disposition Method I Trassaction Quantity Proceeds Cost Basis First In First Oul / SELL 3,000,000.000 3,190494.00 3,130,474.39 Original Cost Basis: 3,171,006.00 REPYMT OF PRIN Original Cost Basis 1.447.56 1,290,000.000 Realized Gain! loss 59 :1951 1,891.77 1,447.56 444.2t Total Long Terre 3,201,38 5.71 3,131,921.95 69,46302 Total Shod and Long Term 3,201,38 511 3,131,921.95 69,463.82 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 or in retirement accounts are generaNy nee subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P1..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. Mother securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as 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 yearn which the security is disposed. liktAll 14011 Account Number: NG-023804 Go paperless et:, Rated taallena F I DENTIA Page 11 of 19 SOL THERA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) (very V.A. Lace 2007 DALBAR MUD COMMUNOTIONS EXCIItLf NCI Ltr;.... 11-11==.•.' .—"%t. SDNY_GM_00046072 DB-SDNY-0008896 EFTA_00 I5668 I EFTA01289044 Schedule of Realized Gains and Losses Current Period (continued) Reporting requirements generally will be phased in over a three-year period, as follows • Stock in a corporation acquired on or alter 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 Iced 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 believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B 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 reiance 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 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. 1 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 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 defauked to Fist In, Fest ON (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-B. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Page 12 of 18 Account Number. N49.023804 G pa o perless 90 6THERA ct 1,6 NLL F I DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rated Iacono nri (very Ye.. Lace 2007 DAL OAR RATED COMMUNICATIONS rxesartraer •••••.,.•—••••••A wit ••• SDNY_GM_00046073 OB-SDNY-0008897 EFTA_00156682 EFTA01289045 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 (Micro Kn. Pon,, WeekniAinagenern Activity Sum m a ry (All amounts shown are in base currency) Credits This Period Statement Period: 10/0112016 • 10/31/2016 Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Debits This Period Net This Period Securities Securities Bought 000 000 0.00 0.00 -2058.406.00 -24,751.106.00 Securities Sold 3 203 744 00 000 3,203,744.00 3,921,133.76 0.00 3,921,133.76 Securities Deposted 000 0.00 0.00 5,185,557.00 0.00 5,185,557.00 Total Securities $3,203,744.00 $0.00 $3,203,141.00 $9,108,190.78 ,524,758,106.00 .$15,651,115.24 Dividends and Interest $351,548.57 $0.00 $351,518.57 $3,090,118.71 -$270,898.59 $2,819,518.12 Distributions $0.00 $0.00 $0.00 $8,005,606.35 $0.00 $8,005,606.35 Fees $0.00 •$27.00 -$27.00 $0.00 .$428.00 .$128.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 -$5,558.07 -$5,558.07 Cash Withdrawals 0.00 0.00 0.00 0.00 .11 891 591 92 .11 891,591 92 Deposits 0.00 0.00 0 00 8,613,530.99 0 00 8.613.530 99 Total Cash $0.00 $0.00 $0.00 $8,813,530.99 .$11,891,591.92 •$3,275,080.93 Totals $3,555,292.57 -$27.00 $3,555,265.57 $28,816,544.81 .06,926,880.58 .$8,110,335.77 Transactions by Type of Activity Process/ Trade/ Settlement Transaction Date Date Activity Type Securities Bought and Sold 10/2106 10/18/16 SOLD FTR36845I7 Detription Quantity FRONTIER COMM UNICATIONS CORP SR NT 8.500% 0/115/20 WE DID 01/12/10 YLD 6,312 TO MAT .3,000,000 000 Total Sea Niles Bought and Sold • U.S. DOLLARS Dividends and Interest 10/03(16 CASH DIVIDEND RECEIVED VIAB 10/11/16 FOREIGN BOND INTEREST 05739F1-K0 USAS ROLL 5000 SHRS VIACOM INC NEW CL B RD 09/21 PD 10/03/16 300000 BARCLAYS 8K PLC CONTINGENT CAP NT ISINIUS06739FHK03 7.750% 04110123 WE OTD 04/10/13 CLB RD 10107 PD 10/10/16 Price Accrued Interne Mont Comm 106 6500 1250.00 3 203,744 00 L.S0 1.250.00 3,203,7/1.00 1.00000 11.625 00 LSO LSO Page 13018 Account Number: 1440-023804 Br.. excellent, Gommle's F I DriTriA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) L very. Vs.. Slate 2007 DAL BAR MUD COMMUNCA TIONS r )Iar. ur NCI SDNY_GM_00046074 DB-SDNY-0008898 EFTA_00 156683 EFTA01289046