EFTA Document EFTA01289764

Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Ogy W,Yn 14.14.1.,tat Pdinets Cop,p Des-barn la* Sewnes cwt. Na Pan Atom*. lkh I ber Newlin* rtY 1011.4 01/1454.71114. (MI 78•471IS Valuation at a Glance Account Number: WIG-023812 Statement Period: 1210112014 -12/31(2014 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value 0,517,059.11 36,157,677.92 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 911.801.66 ST THOMAS VI 00802 Adjusted Previous Account Value 7,517,00.11 7,369,365.58 Dividends. Interest and Other Income 107,529 86 393,870.82 Net Other Activity 0 00 -3800 Net Chan e in Portfolio -205.321 75 -313.953 18 nding Account Value 57.449 267.22 57,449 267 22 Your Client Advisor: DANIEL SABBA Estimated Annual Morn e 5435.800 88 Asset Allocation Prior Year-Fad Last Period Ibis Period % Allocation LSO Cash. Money Funds. and Bank Deposits 1,695,727 91 1,195,973.26 1,196,003.71 16.06% Please review your allocation Non-LSD Cash, Money Funds, and Bank Deposits 0.00 59,750.93 166,68828 2.21% [ I Nan-LSD Axed Income 1.650.000 00 1,776,551.92 1.551.11520 61.13% LSD Equities 1.530,150.00 1,512,780.00 1,532,160 00 20.57% l LSO Fixed Income 1.581./00.03 0.00 0.00 0.00% Account Total (Pie Chart) $6,157,577.92 67,617,059.11 67,119,267.22 100.00% See the Asset AI nation Disclosure and Footnotes secton for important intonation regaudmg you Asset Moreton. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIErrPfa sAL 5010 OS 36CSF3002 Page 1013 Rated Excellent, (very Vs.. Since 2'007 DAUM. RATED COMMUNCATIONS exam rmer ostatrisint.' sc=t -""=: uec SDNY_GM_00046792 O13-SDNY-0009616 EFTA_00 I 57401 EFTA01289764 Asset Allocation Disclosure and Footnotes AP values are displayed m U.S. dollars based on interbank exchange rates as of 12/31r2014 Exchange rates can vary. Summary of Gains and Losses Realized Ibis Period Year-to-Date Unrealized Lang-Term Gain/Loss Net Galnaoss This summary excludes transactions where cost basis information is rot available. For Your Information 0 00 0.00 -193,740.76 -294,442.87 -'93740 76 -294.442.87 On June 5, 2014, the European Central Bank (the ECG) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest MI be reported on your Forms 1099 andbor 1042-S for tax year 2015. These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Global Cash Cerreacy Currency USO Equivalent per USD Queasy Closing Balance Mount In Base Offrency USD BRITISF P06 1.D 1 5590 0 6414 BRITISF POUND 106,920.00 166688.28 Exchange rates are based on interbank exchange rates as of 12/31/2014. Exchange rates can vary. Total Global Cash Balance 6166,888.28 Money Market Fund Detail Oate Activity Type Desolation Amount Balance Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Account Number: 0000001489 Current Yield 0.03% Activity Ending: 12/31114 11129114 Opening Balance 1.195,97326 1,195,973.26 12131114 Dimwit !NCO,/ E RBA VEST 30.48 1.196.003.74 12131/14 Closing Balance $1,1911,003.74 Total All Money Market Funds $1,198,00324 Page2013 Account Number N46-023812 i t ) Itateatace000 00100536032300: GO paperless hrocy Van Woes 2007 0800 ROLL CALMAR RAT OD COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:06THERtsOnrIDAMSITIA SDNY_GM_00046793 DB-SDNY-0009617 EFTA_00157402 EFTA01289765 Deutsche Asset & Wealth Management PO Boa 1778, Baltimore, ?JD 21203 Gnaw* Rana P,,.,,. Wean Papmgenms Pdatert$ Cednee 00.p Dettfor4 Set Sew net w[. lire wan Mo. HI Put einows. Min 1 %v. *rye en AV VA in))454.71111. EM KII >SSC% Income and Expense Summary Current Period Statement Period: 1210112014 • Year-to-Dale 12/3112014 Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 121,12500 000 Money Market 30.48 0.00 232.82 000 Interest Income Bend Interest 0.60 000 100,000.00 000 FDIC Insured Bank Deposits 000 0.00 80.56 0 00 Total Dividends, Interest, Income and Expenses $30.48 10.00 $221,438.38 $0.00 Portfolio Holdings U.S. DOLLARS Account Opening Date Quantity Number Activity Opening Ending Balance Closing Balance Accrued Income Income This Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits Money Market DWS GOVERN M ENT CASH INSTL 11129/14 1,196,003.740 0000001489 12131114 1.195,973 26 1.I96 003 74 0.00 23212 003% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 11129114 N1G023812 11,190973.26 12131(14 0.00 11,196,003.74 000 $0.00 0.00 $23222 60.56 N/A NIA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.66 Total Cash, Money Funds, and Bank Deposits Date Applied Quality Unit Cost 11,195,973.26 Adjusted Cost Basis Market Price $1,196,003.74 Market Value $0.00 Unrealized Gal/ Loss 1313.38 Awued Interest Estimated Estimated Annual Income Yield Fixed Income (In Maturity Date Sequence) Corporate Bonds PETROLEOS OE VENEZUELA NOTES SENIOR 'SIN* X30460546525 Security Identifier: P7807HAF2 5.000% 10/28/15 REG DID 10/28/09 S8 P Rating al 17,22222 75 5000 1110,00010 100,00000 6.62% 12/04/13 '.3.12 2,000,000.000 95 3590 1.907,185 37 -397,185.37 Page 3 of 13 Account Number: N4G-023812 Rated Excellent, OBALI MOLL GO paperless Every Vim.. Lea 2907 DALBAR RATEDCOMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 69: 11ERk cum DENTIA exorarNCI SDNCGM_00046794 DB-SDNY-0009618 EFTA_00157403 EFTA01289766 Portfolio Holdings (continued) U.S. DOLLARS (continued) Crate Acquired Fixed Income (continued) Corporate Bonds (continued) PETROLEOS DE VENEZUELA (continued) Onginal Cost Basis $1 800 000 00 Total Corporate Bonds 2,000,000.000 61,907,185.37 $1,510,000.00 -6397,185.37 $17,222.22 $100,000.00 Total Fixed Income 2,000,000.000 $1,907,185.37 $1,510,000.00 .$397,185.37 $17,222.22 $100,000.00 Adjusted Unrealized Accrued Estimated Estimated Quantity Unit Cost Cost Basis Market Price Market Value Gain, Loss Interest Annual Income Yield Unrealized Cate Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gainflots Equities Preferred Stocks (Listed by expitatiort date) ALLY ANL INC Ax TO FLT DIV43.50% FREQ-QTRLY CALLABLE° 25.00 ON A QTRLY BASIS AFTER 05115/2016 Dividend Option: Cash 06111113'.13 57,000.000 25.0780 1.429.117.50 26 8800 1.532.160.00 102,742.50 121.125.00 7.90% Total Preferred Stocks $1,429,417.50 $1.532,180.00 $102,712.50 $121,125.00 Total Equities $1,429,417.50 $1,532,160.00 $102,712.50 $121,125.00 Estimated Estimated Annual Income Yield Security Identifier: ALLY PRB CL SIP 02005A308 Cod Basis Market Value Unrealized Accrued Estimated Gain! Loss Interest Annual Income Total U.S. DOLLARS $4,532,806.61 $1,238,163.71 .$294,442.87 $17,222.22 $221,430.30 BRITISH POUND Opening Posing Awned Description Quantity Balance Balance Currency Income Cash, Money Funds, and Bank Deposits Global Cash Balance 38,160.00 108,920.00 GBP 166.686 28 1,S0 Total Cash, Money Funds, and Bank Deposits 38,180.00 108,920.00 GBP 0.00 166.688 28 LSO 0.00 Account Number: 1446423 12 INIMI ROLL Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 693(6)6THERk OST.I.DATAA N YE I DAENTEAL 30.0ay Yield Page 4 013 Rated tmolloni Every V... Nate 2007 CALMAR RATED COMMUNICATIONS rxesamer oattarta.r.r.a=2.1r.... -1 =. SDNY_GM_00046795 DB-SDNY-0009619 EFTA_00 157404 EFTA01289767 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Portfolio Holdings (continued) BRITISH POUND (continued) Description Quantity Market Price Market Value Currency Acaued Interest Estimated Estimated Annual Income Yield Fixed Income Marnay Dare Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE COM/ GBP ISINS X51043181269 6.875% 09/20/88 REG DID 03111114 S8 P Rating BB Security Identifier G63980UK3 2,000,000.000 97.6400 1,952,800.00 GBP 3,044,41520 USD 4,155.22 6,477.99 137,500.00 7.04% 214,362.50 Total Corporate Bonds : 2,000,000.000 1,952,800.00 GBP 1,156.22 137,600.00 3,044,415.20 USD 6,477.99 214,362.50 Total Fixed Income: 2,000,000.000 1,952,800.00 GBP 1,156.22 137,600.00 3,044,415.20 USD 8477.99 214,362.50 Acaued Estimated Market Value Currency Interest Memel Income Total BRITISH POUND 2,059,720.00 GBP 4,155.22 137,600.00 3 211 103 48 LS) 6 477 99 214,362.50 Unrealized Accrued Estimated Cost Basis Market Value Gain( Loss Interest Mewl Income Total Portfolio Holdings - U.S. 14,532,605.61 17,449,267.22 .$294,442.87 $23,700.21 1435,800.88 DOLLARS (Misr< Rant Pnnie *man ..tptagenmt Weals Cisme 6,0.1) Destsev lank Sette*es lire wan Cali* HI Pan Ass.. Mk I ber Nor leek 1,tt )fl 1 01214:4-71114.11115 14,91, Statement Period: 1210112014 • 1213112014 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered.' under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'apple:able 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 knows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1.2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Page 5 of 13 Account Number 1446423812 Itsted [salient, Go paperless Ivory Year Woo. 2'007 SOUTHERN csonn DAMSTITA DALBAR RATED COMMUNCATIONS rxciturnaer CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) .17Z1.4. 11-72.74":="0.=erti= SDNY_GM_00046796 DB-SDNY-0009620 EFTA_00157405 EFTA01289768 Portfolio Holdings (continued) Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invaviig continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering km or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Carting Cub Fixed Income Equities Total by Curency U.S. DOLLARS 1,196,003 1.510 000 1 532.160 4 238 163 LSD BRITISH POIAD 106,920 1.952,800 0 2.059,720 GBP Total USD Equivalent 1 362 692 4 654 415 1 532 160 7 449 267 USD % of Allocation 11.29% 61.14% 20.57% 100.00% M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Caporation(SIPC) For disclosure of rates for DINS money market funds, please visit the OWS Investments website at https:fivrtwndws-invesbnents.conVENIproducts/money-market4unds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV. INT, OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.corn/business_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an inaemental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial. participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Page 6 of 13 Account Number. N4G-023812 Rated t•collordi i . V S. Rat Go paperless typify Woes 2'007 DALOAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:THERreynn DrISITIA rxeittrwer SDNY_GM_00046797 DB-SDNY-0009621 EFTA_00 157406 EFTA01289769 Deutsche Asset & Wealth Management PO Bat 1770, Skidmore, MD 21203 Is.. Ram Pow. VeAtahn Manip-ntar Weals ONe077 0KM) Des-00/7 M Smelts +x. N....4 cwt. Na Pon Annet 16017.0 New** aT 1004 0 30 04.7108. 78114791, Statement Period: 1210112014 • 12/3112014 M essa • es (continued) Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the clients name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 125,000): Ghent Account Par Value Number of Trading Units ABC-123234 5100,000 4 DEF-325465 $75,000 3 EDR-567433 $150,000 6 EAT-876574 $50.000 2 EGT-888345 $25.000 1 FRT-435234 $25,000 1 FRT-6513797 $75,000 3 In brief, the allocation process involves the following steps: *The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account EOR-567433 would be assigned six numbers). • A random number is generated that will result in one of these trading units being the first unit in the selection process. Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information ' The allocation of called securities not made on a pro-rata basis. Therefore, it is possible that a client may receive a full a partial redemption of shares held. Conversely. it is also possible that a client may not Page 7 of 13 I Q' >I CO Nn DENTIA SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Nuaber. N46-023812 Go paperiess R.I.d Excellent, I very V.7.7. Lace 2007 DAL OAR RATED O0MMUN CATIONS r xcit r met SDN Y_GM_00046798 OB-SDNY-00O9622 EFIA_00157407 EFTA01289770 M essageS (continued) have any securities selected for redemption at all. ' When a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts tom the lottery. Excluded accounts ill include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing caries and clears those accounts). No alocation wit be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial can is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. ' If the partial call is made at a price above the current market price as captured in Pershingris price reporting system, Pershing bid generaly categorize the partial call as one that is Favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price repotting system, Pershing will generaly categorize that call as one that is unfavorable to holders of the security. • Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent andlor depository with respect to the partial cal. tiClients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal wiN not cause an under-margined condition. u Activity Sum m ary (Ail amounts shovm are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 0.00 0.00 Secuntres Bought 0.00 -6.897.364.62 Total Securities $0.00 $0.00 Total Securities $0.00 -$8,897,384.82 Dividends and Interest $107,529.86 $393,870.82 Dividends and Interest $0.00 $0.00 Distributions $0.00 $1,808,259.24 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees $0.00 -$38.00 Cash Cash Deposits 000 911 807 66 Deposits 0 00 000 Total Cash $0.00 $911,807.86 Total Cash Woo $0.00 FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -$1,748,423.06 Money Market Funds $0.00 $1,000,024.00 Money Market Funds -$30.48 -$2,196,027.74 Total Credits $107,529.16 $7,558,112.70 Total Debits -$30.48 -$10,841,861.42 Page 8 of 13 OKA', + lt SOUTHERN Cal lart DENTAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. N4G-023 12 Go paperless Rated tmellme Event Yea. Sims 2007 DALSAR RATED COMMUNICATIONS rxarturnser SDNY_GM_00046799 DB-SDNY-0009623 EFTA_00157408 EFTA01289771 Deutsche Asset & Wealth Management P.O Ocw 1770 Bahimore, MD 21203 (Misr* Ram Pon. 'Oath Manip-ntar Pdaeats I Deena 6 ,0‘P Dettsch4 M Sectongs ,Ic ew q 141Part AsemO. Ikh I ter New** rtt 1011.4 VA4VIII. (MI 78/.4,91, Transactions by Type of Activity Process' Trade' SWlenient Transaction Date Date Activity Type Description Quantity Statement Period: 1210112014 • 1213112014 Price Accrued Interest Amount Currency Dividends and interest 12124114 12120/14 FOREIGN BOND INTEREST 2000000.00 SHARES NATIONWIDE BUILDING SOCIETY EURO 68.760 00 GBP G63910UK3 ISSUE CONY GBP ISINd XS1013 181269 8.875% 09120188 107.499 38 LSD REG DTO 03111/14 CLB FOREIGN BOND INTEREST RD 121914 PD 122011 ASOF 12/19111 Exchange Rate: 1.5631 12131114 MONEY MARKET FUND DWS COVE CASH INSTL 30.18 LSD INCOME RECEIVED 233993682 Total Dividends and Interest BRITISH POUND 0.00 68.76010 GBP TOTAL USD EQUIVALENT 0.00 107,499.38 USD UNITED STATES DOLLAR 0.00 30A8 U93 Money Market Funds 12131111 MONEY MARKET FUND DVS GOVT CASI- MIL INCOME REINVESTED -30.18 USD REINVESTMENT 233993682 Total M oney M arket Funds. UNITED STATES DOLLAR 0.00 .30.18 Tolal Acaued lattrest Total Amount Transadices Summary Trial Acaued Interest Trial Amount Currency USD Equivalent USD Equivalent BRITISH POUND 0 00 68.760,00 GBP 0.00 107.49938 L KITED STATES DOLLAR 000 0.00 USD 0.00 0.D0 The price and quantity displayed may have been rounded. Client Service information Your Client Advisor: DAN DANIEL SABBA 315 PARK AVENUE 261/1 FLOOR NEW YORK NY 10151 Page 9 of 13 (very vac. 2007 CALMAR RATED COmmum.CAMONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. 6rer HERNOunn DrwriA exClurtaer Account Number: NG-023812 RaNdencollor4 GO paperless SDNY_GM_000461300 O13-SDNY-00O9624 EFDL00157409 EFTA01289772 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original issue discount (DID): No Amortize premium on taxable bonds based on Constant Yield Method Yes Accrual market discount method for all other bond types Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications. log in lo your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE, Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information 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 mwtpershing.corrybusiness_continuity.hbri 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 *Item request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poofs. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written Page10 of 13 Account Number. MG-023812 Go paperless L very Vs.Siva 2007 „MAN WA( DALBAR RAT COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R ORIM, 67e)LTHERN cseinn DENTIA rxclurner ED SON Y_GM_OOO4643O1 OB-SDNY-0009625 EFIA_001 57410 EFTA01289773 Deutsche Asset & Wealth Management P.O. &a 1778, Bahimore. 88021203 Important Information and Disclosures (continued) Oralsre Mn, Y,..0 Votall mamair-.. I/worn Cowan 0tp‘p Ohba* •••• Se4•08e1 AC 40744 Mt* 1417.0 •••••••.. lkhltn New** 7tt 100.4 030 474.7014.111:078/74MS Statement Period:1210112114 • 12/3112014 Ratings (ccn:inued) authorization from Standard ft Poor's. Standard d Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard ft Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard ft Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard ft 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. 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 Oh any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its omi operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice. if any, to you and in general. faille ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.corrdstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201)4133330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the tight to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators vAio were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The ivies of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. WRAP ROI Account Number N46-023 12 Go paperless SOL OSE.COMPAI at NYE I ID-EN TEAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P 6(e) THERA Page II of 13 Rated tacellonli L very v«. Woes 2007 CALMAR RATED COMMUMCAT00•6 rxesartraer •--. •••0 •••777a 0707 —•c SDNY_GM_00046802 OB-SDNY-0009626 EFIA_00 I 57411 EFTA01289774 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action: who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page 12 of 13 Account Number: N46-023812 i t . Rated torelleS OBA2 ROLL Go paperless [very 'Yaw IMOD 2007 CALMAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 69: m c soln DAENTIA rxesturder SDNY_GM_00046803 DB-SDNY-0009627 EFrA_001 57412 EFTA01289775 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING 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, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS W HCH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT, THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED, THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPES. MARGIN INFORMATION: IF YOU MAINTAN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTANED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE INT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHNG LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHNG MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST, ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DUALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A CONY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT IIVINV,PERSHING,COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: VVV/VV.PERSHING.COWBUSINESS_CONTINUITY.HTIA. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(A)(1H2)J PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTA/N OPTION EXCHANGES. IN MORON, PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. 8NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF DE MOVE TERMS AND =EDITIONS ARE I marePPTMEE TO YOU, RIME HOTFY PEREPEN3 BAUEDIATELY IN WRITING BY CERTFED WA TO ONE PERSHING RAM, JERKY CITY, NJ OT3M, ATTN. LEGAL DEPT OBAO MOLL SO ts TH ERA noreniarlDrismAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Nu® Der. N4G-023 12 Go paperless Page 13 of 13 Rabid Excellent Every Yes. Lace 2007 DALBAR RATED COMPAUNKATIONS rxentrttes =sr' t. SDNY_GM_00046804 DB-SDNY-0009628 EFTA_00157413 EFTA01289776 Pt OM mallMiran MDM203 SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: DANIEL SABBA Oeuiv.v Si,, ...mt. Wean minim-war Mweeis Cowan Gomp 0ftisem law Secyri WasWA Mar Pitt Aortae. AM I kci. Nave Wet AY 10154 PI))4!...7.16.0r1S)7ss.:ns Account Number: N40.023812 Statement Period:11101/2014 -1113012014 Valuation at a Glance Beginning Account Value het Cash Deposits and Wilhdrawals Adjusted Previous Account Value Dividends. Interest and Other Income het Other Activity het Chan e in Portfolio nding Account Value Estim ated Annual Incom e This Period Year-to-Date 17,650,237.41 $6,457,577.92 0 00 911,801.66 7,550,237.44 7,369,385.58 30310 32 286.34096 0 00 3600 .133.488 65 -108 631 43 57.547 059 11 57,547 059 11 5436.705.40 Asset Allocation Prior Year•End Lad Period This Period % Allocation (.90 Cash. Money Funds. and Bank Deposits 1,695,727.92 1.165.662.94 1.195.973 26 15.85% Please review your allocabort howl, SD Axed Income 1,650,000.00 4.914.173.76 4,778.55492 63.32% I Assets of less than -Mot holdirgs L SD Equities 1,530450 00 1.509.360.00 1,512,780.00 2004% we rot dspkay on this pie than. h SD Cash. Money Funds. and Bank Deposis 000 61,040.74 59,750 93 0.79% L SD Axed Income 1,581,400.00 0.00 0.00 0.00% Account Total (Pie Chart) $6,457,577.92 $7,650,237.44 37,547,059.11 100.00% See the Asset Allocabon Disclosure and Footnotes secton b important informatan regerclog your Asset Alocaton. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 50111796CSF30016 GO CONFID AL Page 1 of 10 Rated tacellera L very Year Since 2007 ML BAR RATOZ.COMMUNCATIONS rxesurtraer SDN Y_GM_0004 61305 OB-SDNY-0009629 EFTA_00157414 EFTA01289777 Asset Allocation Disclosure and Footnotes Al values are displayed in V.S. dollars based on interbank exchange rates as of 11/30/2014. Exchange rates can vary. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0 00 0.00 -200.293.05 Long-Term Gain/Loss 0.00 -193,740.76 83,362.50 Net Galn/Loss 0.00 -193,740.76 -116,930.65 This summary excludes transactions where cost basis information is rot available. Exchange Rate Table Global Cash Corning Closing Amount in Datong USD BpiOiled per USO Cowley Mance Base amen, 660 BRITISH POUND 1.5651 0.6386 BRITISH POUND Exchange rates are based on interbank exchange rates as of 11/30/2014. Exchange rates can vary. Total Global Cash Balance 38.160.00 59.750.93 $59,760.93 Money Market Fund Detail Date Activity Type Description Amount Waite Sweep Money Market Fund OW 6 GOVERNMENT CASH INSTL Account Number: 0000001489 Cement Yield: 0.03% Activity Ending: 11/28114 11101114 Opening Balance 1,165,682.94 1,165,882.94 11118/14 Deposit MONEY FUND PURCHASE 30,28115 1,195,944.19 11/28/14 Deposit INCOME REINVEST 29.07 1,195,973.26 11/20/14 Closing Balance 61,196,973.26 Total All Money Market Funds $1,196,973.26 Income and Expense Summary Current Period Year-to-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 30,281.25 0.00 121.125 00 0.00 Money Market 29.07 0.00 202.34 0.00 Page 2 of 10 Account Number: 1446-023812 Go less e h ) naiad tscolkinti paper bar, V.. W,es 2007 OALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6:THERNCsOnn DATA et a reltrOstranit3:4• " :0•••••••••••••• visieiviviu iivn44 SDNY_GM_00046806 OB-SDNY-0009630 EFTA_00I 57415 EFTA01289778 Income and Expense Summary (continued) OreHoe gin. ....In W. PA.Mlintat PIII•tt% CPet r fray P- Secvnes a. lin...4 Mar 10 Put asenet lieh I to Hewlett. M' 1011.4 0 III 454.71114.1114.178114MS Current Period Taxable Non Taxable Statement Period:111111211 4 - 1 1/3012114 Year-to-Date Taxable Non Taxable Interest Income Bond Interest 0.00 0.00 100,000.00 0.00 FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00 Total Dividends, Interest, Income and Expenses $30,310.32 $0.00 $221,407.90 80.00 Portfolio Holdings U.S. DOLLARS Account Deeming Date Quality Number Activity Eadig Opening Balance Closing Balance Accrued Income loose ibis Year 30-Day Carrell Yield Yield Cash, Money Funds, and Bank Deposits Money Market MS GOVERN M DIY CASH Mil 11/01114 1.195.973.280 0000001489 11128/14 1.165.682.94 1.195.973.26 0.00 202 34 0.03% 0.03% Total Money Market $1,185.112.94 91,195,113.28 $0.00 $202.34 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11101114 N46023812 1108114 0.00 0.00 0.00 80 56 NiA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.56 Total Cash, Money Funds, and Bank Deposits 31,165,662.94 11,195,913.26 10.00 1282.90 Adjusted Unrealized Accrued Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gale/ Loss Interest Annual Income Yield Fixed Income (!r, Maturity Date Sequence) Corporate Bonds PETROLEOS DE VENEZUELA DIES KkIOR ISA 0 AS0460546525 5.000% 10128/15 REG DTO 10/28109 S t P Rating Be 12104113 '.3.11 2,000,000.000 91 9150 1,898,293.05 84.9000 Original Coal Basis: 51,800,000.00 1,698.000 00 -200,29305 8.888 89 100,000 00 5.88% Total Corporate Bonds 2,080,000.000 $1,896,293.05 $1,696,000.00 -$200,293.05 $8,888.89 $100,000.00 Total Fixed Income 2,000,000.000 $1,696,293.05 61,696,000.00 -$200,293.05 $6,688.89 $100,000.00 Security Identifier: P7807HAF2 Ufte.0 WM Account Number: MG-023 12 (30 paperless SOL THERA ObrennriprwriAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 10 Illated [wailer. Every Veer 5J001 2007 DAL OAR RATED COmmuN.CATIONS exaartraer SDN Y_GM_0004 6807 OB-SDNY-0009631 EFrA_00 I 57416 EFTA01289779 06111113'•x3 57,000.000 25.0780 1,429,417.50 26.5400 1,512,780.00 Total Preferred Stocks 81,420,41710 81,512,780.00 Total Equities 81,420,41730 Cod Basis 81,512,780.00 Market Value Total U.S. DOLLARS 54,523,683.81 84,406,753.26 BRITISH POUND Portfolio Holdings (continued) U.S. DOLLARS (continued) Unrealized Dale Acquired Quaky Usk Cod Cod Basis Market Price Markel Vain GaislLoss Equities Preterite Stocks (Used by expiration date) ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRO DIV4.50% FREO.OTRLY CALLABLE e 25.00 CU SIP. 020058308 ON A OTRLY BASIS AFTER 0511512016 Dividend Option: Cash 83,362.50 383,382.50 $83,362.50 Estimated Estimated Annual Income Yield 121.125.00 8.00% 8121,125.00 8121,125.00 Unrealized Accrued Estimated Gain/ loss Interest Annual Income .1115,930.55 18,868.89 1221.407.90 Opening Posing Accrued Description Quantity Balance Balance Currency Income Cash, Money Funds, and Bank Deposits Global Cash Balance 30-Day Yield 38,160.00 38,160.00 GBP 59,750.93 LSO Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 0.00 59,750.93 USD 0.00 Description Onantity Market Price Market Value Currency Accrued Interest Estimated Estimated Annual Income Yield Fixed Income (in A laturtiy Date Sequence) Corporate Bonds NATIONW IDE BUILDING SOCIETY EURO ISSUE CONY GBP ISINOXSI013181269 6.875% 09120188 REG DTD 03111114 S8 P Rating BB Security Identifier 063980663 2,000,000.000 98.3700 1,967,100.00 3.080.554 92 GBP LSD 61,236.31 95,883.86 137,500.00 215,297.50 6.98% Total Corporate Bonds : 2,000,000.000 1,967,400.00 3,080,551.92 GBP USG 61,236.34 95,883.86 137,600.00 215,297.50 Total Fixed Income: 2,000,000.000 1,907,400.00 3.080.554.92 GBP USD 61,236.34 95.883 86 137,600.00 215.297 50 I l79C CS F3 l'HAN L TH ERA OM CONFIDENTIAL - PURSUANT TO FED. R CRIPA P. 6(e) Page4010 Account Number. N4G-023 12 Go paperless YADrwrIAL Itstocl Excellent Even. Vs'. Since 2007 DAL BAR RATED COMMUNICATIONS rxenmier SDNY_GM_00046808 OB-SDNY-0009632 EFrA_00157417 EFTA01289780 PC. Sot 1776. &It room AID 21203 Portfolio Holdings (continued) BRITISH POUND (continued) Onisre cuff. Pnnie weahn Paragenmt Pdaent% COR•nt4,0‘P Desitthe Oar Stcylet M.e ISA Mat 14)Parlt AITW. 10th I Szcr yen, pet AY IOVA CM) 1111S1 >114:31 Market Value Currency Statement Period:11/01/2014 • 11/30/2014 Accrued Estimated Interest Mnual Income Total BRITISH POUND 2,005,560.00 GBP 3,140,305.85 LSO 61,236.34 137,500.00 95,883 86 215 297 50 nonsked Accrued Estimated Cost Basis MarkelVille Galaf loss littered Mnual Income Total Portfolio Holdings - U.S. DOLLARS 34,523,683.81 $7,547,069.11 .3116,930.56 3104,772.76 9436,705.40 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these arkbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Account kum Der. N4G-023 12 I }WNW von Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) I DAENTIAL SO L TH ERN OSTOIN vrt Page5010 Itsted tacellenil (very V... Siva 2007 DAL BAR RATED COAVALINICATIONS rxerarnaer SDNY_GM_00046809 DB-SDNY-0009633 EFTA_00157418 EFTA01289781 Holdings Summary by Currency Currency Case Fixed Intone Equities Total by Currency U.S. DOLLARS 1,195 973 1.698 000 1,512,780 4 406,753 LSD BRITISH POUND 38,160 1.967,400 0 2,005560 GBP Total USO Equivalent 1 55 724 4 778 664 1 612 780 7 647 069 USO % of Allocation 18.64% 83.32% 20.04% 100.00% Messages Please note the fdlowing inlonnation for Pershing's 2014 IRS Forms 1099 (8, DIV INT, 010 and MC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting. and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Although a money market mutual fund seeks to present 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 produces disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpalfronvot dws-investments.conVEN/prOduCt/mOney-market-fundayields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts shown are in base currency) Credits This Period Year-to-Dale Debits This Period Year.to.fiate Securities Securities Securities Bought 0.00 0.00 Securities Bought 000 -6.897.364.62 Total Securities $0.00 $0.00 Total Securities $0.00 .$6,897,364.62 Dividends and Interest $30,310.32 $286,340.96 Dividends and Interest $0.00 $0.00 Distributions $0.00 11,806,259.24 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees $0.00 -$36.00 Cash Cash Deposits 000 911 807.66 Deposits 0 00 000 Total Cash $0.00 $911,807.66 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits $0.00 .$1,748,423.06 Money Market Funds $0.00 $1,000,024.00 Money Market Funds .$30,310.32 -$2,195,997.26 Total Credits $30,310.32 $7,448,682.84 Total Debits -$30,310.32 410,841,820.94 Page 6 of 10 °BAH ROLL Account Number:NG-023 12 Cio paperless SOU Ost5..0 NmYr' DAENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERN Rated [mono Ni Ivory VAN Since 2007 DAL &Mt RAT CO COMMUNICATIONS rxesurnaer SDNY_GM_000464310 DB-SDNY-0009634 EFTA_00l 57419 EFTA01289782 PC eat 1775. BPI mom AID 21203 °paw< Rana Prmair Wean uptagenan Weepy CodrapeCK•P MAUM Settones +gc Ya Oat* In Pant An.*. 160. I ter War int in• 10114 inn 4:444/4. ISIS) 71114:9.1 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Statement Period: 11101/2814 • 11/30/2014 Price Accrsed interest Amount Currenry Dividends and Interest 11/17/14 CASF DIVIDEND RECEIVED 57000 SFRS ALLY Fiat INC FIX TO FLT DIV-8 50% 30.281 25 LSO ALLY PR8 FREO-OTRLY CALLABLE Q 25.00 Ok A OTr.Y BASIS AFTER 05/15/206 RD 11/01 FO 11117114 11/28/14 MONEY MARKET FUND DWSGOVT CASF INSTL 29.07 LSO INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 30,310.32 Money Market Funds 11/18/14 MONEY FUND PURCFASE DWSGOVT CASF INSTL -30,281 25 USD USD999997 11/28/14 MONEY MARKET FUND DWSGOVT CAM-, INSTL INCOME REINVESTED -29.01 LSD REIN VESTM ENT 233993682 Total Money Market Funds- UNITED STATES DOLLAR 0.00 -30,310.32 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVEh LE. 26Th FLOOR NEWYORK NY 10154 liSAD ROI I SOUTHERN COT eniarl DESMA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. N4G-023 12 Go paperless Pate 7 of 10 Paced tacelbre• L very Year Siva 2007 DALBA RAVED COMMUNKATIONS PPOILLPNCE :et SDNY_Gf0.4_00046811 DB-SDNY-0009635 EFTA_00 157420 EFTA01289783 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount lOID): No Amortize premium on taxable bonds based on Constant Yield Method. Yes Accrual market discount method for all other bond types Ratable Method Include market discount in income annually. No Electronic Delivery You hare not selected any account Comm unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Diem Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless othenwse 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 am marked 'WA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (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 wmtpershing.coMbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You veil 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 reimestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available won written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itseff or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poors. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written Page 8 of 10 Account Number 1446423 12 Rated cacellenti L 0e..0 RCM Go paperless nry Va. Since 2007 SO L THERA O SO T min YEI DrNi alA roaxci LIM ILItrwe RArTEOCOMPALINICATOONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) sciratro...M .""frourimorn= SDNY_GM_00046812 OB-SDNY-0009636 EFIA_00157421 EFTA01289784 Important Information and Disclosures (continued) doll •, Ram Pon. "Mall n Ma mo.,tat Vinci% Cow. r Des-UM I Sew nes w[ ihm.V.4 Mt* 14S PIA Moat 1141. I to Newli* rtt 1011.4 a 121454.71114. (MI 78•471IS Statement Period: 1110112114 • 11/3012014 Ratings (con:mued) authorization from Standard & Poor's. Standard 8 Pools does not guarantee the accuracy, completeness. timehness or availability of any information. Standard & Pools is not responsible for any errors or emissions, regardless of the cause, a for the results of using such content. Standard 8 Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not 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. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or kable for any acts or omissions of your financial institution a 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 comma control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice. if any, to you and in general. for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 4134333. M other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. Fa more detailed information please visit: vninv.pershing.cornistrength_stability.html. • This statement will be deemed concknive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201)4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators via typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits fa bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. nc CONFIDENTIAL — PURSUANT TO FED. R ORIA4. P. 6(e) r i DAENTIAL Account Nuaber N46-023 12 DOAN 9O1.1 Go paperless SO U THERA OSTO Page 9 of 10 Rsd [.colon (very Year Siva 2007 DAL BAR RATED COMMUNICATIONS IXCILITher ..W.Ltr».=."0.=n• •••-••••44 SDNY_GM_00046813 OB-SDNY-0009637 EFTA_00157422 EFTA01289785 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 meter of a putative class who has not opted out of the class with rasped to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legs Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page 10 of 10 Account Number: MG-023812 e k Mod facellerigi Go paperless E , vs. siva 2007 DAL BAR RAT OD COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R 67e)LTHErthc sonn DAENTIA D AL =Kr aur.* SDNY_GM_000494314 OB-SDNY-0009638 EFM_00157423 EFTA01289786 PO Sac 1726. flatiron> MD 21203 Omisev Rant P,,.,,, *Malin Papmgenen ,.tutu Coon., 6,0.4) Des-041* Ian %won Lac lire wan Onto HI Pon Ammo. Heater War stn hY 10114 01))4:44,1110.1111117/44:I1 Valuation at a Glance Account Number: N46-023612 Statement Period:10101/2014 -10/3172014 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value 57,561,682.17 96,457,577.92 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0 00 911.807 66 ST THOMAS VI 00802 Adjusted Previous Account Value 7,561,682.17 7,369,385.58 Dividends. Interest and Other Income 50.028.55 256.030 64 et Other Activity -1200 3600 Net Chan e in Portfolio 38.538 72 24.857 22 nding Account Value $7.650 237 44 $7,650.237 A4 Your Client Advisor: Estim ated Annual Incom e 5441 323 83 TAZIA SMITH (212) 454-2889 Asset Allocation Prior Year•End Last Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 1,695,727.92 1.115.646.39 1,165,662 94 15.24% 1111111111111 It on-L SD Axed Income 1,650,000.00 4.849.172.24 4.914.173.76 64.23% I LSD Equities 1,530,450 00 1.535.010.00 1,509,360.00 19.73% Kola SD Cash. Money Funds. and Bank Deposits 0.00 61,853.54 61,040 74 0.80% LSD Axed Income 1,581,400.00 0.00 0.00 0.00% Account Total (Pie Chart) 36,457,577.92 87,561,682.11 $7,650,237.44 100.00% See the Asset Allocation Disclosure and Footnotes section for important intonation regarding your Asset flocaton. 1.28M, YO„ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO GP paperless EMT NFID AL Please review your allocation Assets of less than 1% of holdings MI not (Moray on the pie than. Page lob 10 Rated C•44414n4 L very Year Since 2007 OALIIMI RATED COMMUNKATIONS XCIIIIThet rt: Lt at. ''•ra SDNY_GM_00046815 DB-SDNY-0009639 EFTA_00 157424 EFTA01289787 Asset Allocation Disclosure and Footnotes All values are displayed m U.S. dollars based on interbank exchange rates as of 10/31/2014 Exchange rates can vary. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term GainlLoss 0.00 0 00 -119,480.70 Long-Term Gain/Loss 0.00 -193,740.76 79,942.50 Net GelnlLoss 0.00 -193,740.76 -39,638.20 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Global Cash Currency Currency USO Equivalent per USD Currency Closing Balance Amount in Base Omen, USD ElRITIS- P01,0 1 5996 06251 BriSh POLND 38,160.00 61,040.74 Exchange rates are based on interbank exchange rates as of 10/31/2014. Exchange rates can vary. Total Global Cash Balance 961,040.74 Money Market Fund Detail Date Adivity Type Description Aunt Balance Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Account Num ber: 0000001489 Current Yield 0.03% Activity Ending: 10/31/14 10101114 Opening Balance 1,115,616.39 1,111846.39 10102114 Wdhdrawal HONEY FUND REDEMPTION -12.00 1,115,634.39 10/29114 Deposit MONEY FLND PURCHASE 50,000.00 1,165,634.39 10/31114 Deposit INCOME REINVEST 28.55 1,165,662.94 10131114 Closing Balance $1,166,862.94 Total All Money Market Funds 91,166,862.94 Income and Expense Summary Currenl Period Year-to-0ate Taxable Non Taxable Taxable Non Taxable Dividend Income Edges 000 0.00 90.843.75 0.00 Money Market 28.55 0.00 173.27 0.00 °009/133SCSF30% ' Page 2 of 10 Account Number: N46423812 Rated tacollerdi MtAki 1.011 Go paperless DALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6; THERNCONn DATA rxesturnaer SDNY_GM_00046816 DB-SDNY-0009640 EFTA_00157425 EFTA01289788 OraIsre Mn. oo.on VrnalOrManarna N. Iow. 4.ca.p Dests0A km Sew nes mc lire wan Oilt• HI Pan 4+~. MTh I ter War lot 1,tt 10114 01114:444$11. mu 78/.4,91, Statement Period: 11//112114 -1013112114 Income and Expense Summary ( co n ttn ued) Current Period Taxable Non Taxable Year-to-Date Taxable Non Taxable Interest Income Bond Interest 50,000.00 0.00 100,000.00 0.00 FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00 Total Dividends, Interest, Income and Expenses $50,028.55 $0.00 $191,097.58 80.00 Portfolio Holdings U.S. DOLLARS Account Opening Date Quantity Number Activity Opening Endre Balance Posing Balance Awned Income Inane This Year 30-Day Curtest Yield Yield Cash, Money Funds, and Bank Deposits Money Market DWS GOVERN M ENT CASH INSTL 10101114 1.165 662 940 0000001489 10/31/14 1,115,048.39 1 165 662 94 1.92 173 27 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 10101/14 A4G023812 $1,115,646.31 10131/14 0.00 $1,165,862.94 0.00 $1.92 0.00 $173.27 80 56 N/A MA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $80.56 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Dolt Cod 11,115,648.39 Adjusted Cod Basis Market Price 11,165,662.94 Muhl Vales $1.92 Unrealized Gold loss $253.83 Accrued Interest Estimated Estimated Annual Income Yield Fixed Income (In Al Monty Date Sequence) Corporate Bonds PETROLEOS DE VENEZUELA NOTES SENIOR ISAaX.60460546525 Security Identifier: P7807HAF2 5.000% 10/28/15 REG DTO 10/28109 St P Rating B' 12104113'.3.12 2,000,000.000 94.4740 1,889,480.70 88.5000 Original Cost Basis: 51,800,000.00 1,770000 00 .119,480 70 555.56 100,000 00 5.64% Total Corporate Bonds 2,000,000.000 $1,809,480.70 11,770,000.00 -$119,460.70 $555.56 $100,000.00 Total Fixed Income 2,000,000.000 $1,889,480.70 $1,770,000.00 -5119,460.70 $555.56 $100,000.00 OttAt, 4W I Account Number:NG-023 12 Go paperless SOUTHERN OST AN CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 10 listed tscolkinvi (very V.A. Slate 2007 CALMAR RA TED COMMUNCATIONS rxestmser SDNY_GM_00046817 OB-SDNY-0009641 EFTA_00 I 57426 YEIDAricrnAL EFTA01289789 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Equities Preferred Stocks (Listed by expiration date) ALLY FINL INC FIX TO FLT DIV4.50% FREO-OTRLYCALtABLE (8 25.00 ON A OTRLY BASIS AFTER 05/15/2016 Dividend Option: Cash 06111113 '43 57.000.000 250780 1,429,417.50 26.4800 1.509.360.00 79.942.50 121.125.00 8.02% Total Preferred Stocks 91,429,417.50 81,509,360.00 979,942.50 9121,125.00 Total Equities $1,429,417.50 11,509,360.00 $79,942.50 9121,125.00 Unrealized Quality UNA Cod Coat Beds Markel Price Markel aloe Geld Loss Estimated Estimated Annual Income Yield Security identifier: ALLY PRO CUSP. 02005N308 Unrealized Accrued Estimated Cost Bans Market Value Gain/ loss Interest Annual Income Total U.S. DOLLARS 14.444561.14 BRITISH POUND 14,444022.94 439,538.20 $555.56 $221,378.83 Opening Closing Accrued Descripitcn Quantity Balance Balance Currency Income Cash, Money Funds, and Bank Deposits Global Cash Balance 30.0ay Yield 38,160.00 38,160.00 GBP 61.040.14 USD Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 0.00 61,040.74 USD 0.00 Desuiplioe Quantity Market Price Market Value Currency Awued Interest Estimated Estimated Annual Income Yield Fixed Income (in Maturity Date Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE OONV GBP ISINOXS1043181269 6.875% 09120188 REG DID 03111114 S8 P Rating BB Security Identifier: G63980UK3 2,000,000.000 98.2800 1,965,600.00 3.144.173 76 GBP USO 49,965.86 79,925.37 137,500.00 219.945.00 6.99% Total Corporate Bonds : 2,000,000.000 1,986,600.00 3,144,173.76 GBP USD 49,966.95 79,925 37 137,600.00 219,945.00 Total Fixed Income: 2,000,000.000 1,985,600.00 3,144,173.76 GBP USO 49,955.15 79,925 37 137,500.00 219,945.00 n iparNTIAL CONFIDENTIAL - PURSUANT TO FED. R CRIM, P. 6(e) Account Number: N4G423 12 1)8&11 ROIL Go paperless SOUTHERN OST(.5 r Pape 4 of a Rated 1..ceibrei Lsrery V... since 2007 DALOAR RATED COMMUNICATIONS rxestmier ..1.1C-703=13333."`•".3.23="*-=2: SDNY_GM_00046818 OB-SDNY-0009642 EFrA_00157427 EFTA01289790 PC fkol Int. Bali moot MD 21203 Portfolio Holdings (continued) BRITISH POUND (continued) OPIISOfeana Pn•DIPVekatnIAWINT1 ManitIS (PM. GKM, Otellffil SSA WWI...SW Now irk Olti• JO Pan kao. lkh I 7.4r Mew *M1 10. )0114 Il 711 4914112L (MI 7.114,9S Market Value Currency Statement Period: 10/01/914 • 10/3112014 Accrued Estimated Interest Annual Income Total BRITISH POUND 2,003,760.00 GBP 3,205,214.50 Is SO 49,965.85 137,500.00 79,925 37 219.945 00 Uarealized Acaued Estimated Cost Basis Markel Valle Gainf lots Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS 54,484,661.14 67,860,237.44 -639,538.20 $80,480.93 6441,323.63 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities. principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attrisutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. 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. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Account Number:Ntsitna G-023 12 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:)UTHERh O s N YE I DAENTIAL Pate 5 of 10 Rsd tocellerigi (very Vs. Slows 2007 DALOAR RATED COMMUNICATIONS rxesturtraer SDNCGM_00046819 DB-SDNY-0009643 EFTA 00157425 EFTA01289791 Holdings Summary by Currency Currency Cask Fixed Income Equities Total by Currency L.S. DOLLARS 1 165 662 1 770 000 1 509 360 4 445,022 LSD BRIT'S'. POIAD 38,160 1.965 600 0 2 003 760 GBP Total USD Equivalent 1,220,703 1.914,173 1,509,360 7,650,237 DSO % of Allocation 18.03% 64.24% 19.73% 100.00% Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection CorporatioNSIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htlpslAwm.dws-investments.corn/EN/productsimoney.market-tundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage amount Please see the money market mutual hind's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Activity Sum m a ry (AU amounts shown are in base currency) Credits This Period Year.to.Date Debits This Period Year.to.Date Securities Securities Securities 8oughl 0 00 0 00 Securities Bough: 0 00 -6.897.364.62 Total Securities $0.00 $0.00 Total Securities $0.00 -0,697,364.62 Dividends and Interest $50,026.55 $256,030.64 Dividends and Interest $0.00 $0.00 Distributions $0.00 $1,406,259.24 Distributions WOO $0.00 Fees 60.00 $0.00 Fees -$12.00 -$36.00 Cash Cash Deposits 0 00 911 807 66 Deposits 000 0.00 Total Cash $0.00 $911,1107.86 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits 100 $3,444,150.98 FDIC Insured Bank Deposits $0.00 -11.748,423.06 Money Market Funds $12.00 $1,000,024.00 Money Market Funds -$50.020.55 -82,166,686.94 Total Credits 150,010.55 $7,418,272.52 Total Debits ,150,040.55 -$10,811.510.62 Pap 6 of 10 littAtc trot k Account Number: N4G-023 12 Go paperless SO t,THERk OST IN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rated [nailer. L very V.A. M 2007 DALBAR RATED COMMUNOCATIONS SDNY_GM_00016820 DB-SDNY-0009644 EFTA_00 157429 rip-EN-NAL EFTA01289792 by'sr. Mn, 10•410 VrIflin Mamie-via Vinet% Cowan Gtcs.p Des-INN M . Yw wan Oat. MI Pan Asemo. 114h I btr Nerrlest10. 1011A 454.71114. (MI 774.4,11, Statement Period: 10/01/2014 • 10/31/2014 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Duane Price accrued Interest Mount Curren Dividends and Interest 10/28/14 FOREIGN BOND INTEREST P7807HAF2 10/31/11 MONEY MARKET FUND INCOME RECEIVED 233993662 2000000 PETROLEOS DE VENEZUELA NOTES Sal0 R 1St/J*0160516525 5.000% 10/28/15 REG OTO 10/28/09 RD 10127 PD 10128114 DWS GOV'T CASF INSIL 50.000.00 28.55 USD USD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 50,026.55 Fees 1010111/ FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIP. 603980-UK-3 -600 LSD G63980UK3 1010111/ FOREIGN CUSTODY FEE Fgn Safekeeping SEP 2014 CUSIR P780711-AF-2 .600 LSD F7807HAF2 Total Fees • UNITED STATES DOLLAR 0.00 -12.00 Money Market Funds 10/02/14 MONEY FUND REDEMPTION °WS GOVT CASE INSTL 12.00 USD USD999997 10/29/11 MONEY FUND PURCHASE DWSGOVT CAST- INSTL .50.000.00 USD USD999997 10/31/14 MONEY MARKET FUND DWS GOV CASF INSTL INCOME REINVESTED -28.55 USD REINVESTMENT 233993682 Total Money Market Funds- UNITED STATES DOLLAR 0.00 -50,016.55 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZ1 SMITH 345 PARK AVENUE 14TH FLOOR hE17 YORK NY 16151 Contact Information Telephone Number: (212) 454 2889 100A0 RCM Account Number 1446-023 12 Go paperless OMPAL NYE I L CONFIDENTIAL — PURSUANT TO FED. R CRIN,1. P. 6(e) SOUTHERN OST_C pap? of 10 limed tnellordi Every V.A. Late Z007 CALMAR RATED COMMUNICATIONS exclaimer oatimt7».....—Trre..7......-1 SDNY_GM_00046821 O8-SDNY-0009646 EFTA_00157430 EFTA01289793 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as original issue discount (DID): No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for mote inform ation. Important Information and Disclosures Pricing This section includes the net market value of the securities in you account on a settlement date basis, including short positions, at the close of the statement period. The market prices, 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 am marked 'WA' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (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 vAwripershing.cornThusiness_continuity.htinl 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 coil not receive confirmation of these reinvestments. Upon when request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order lbw. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available won written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itseff or others in accordance vrith 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 a from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otheorirse. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poofs. Reproducing and distributing any information received from Standard & Poots is not permitted without prior written Page 8 of f0 mitrgiv,,,commumrsrois SDNY_GM_00046822 CONFIDENTIAL - PURSUANT TO FED. R CRINI P. 6(e) DB-SDNY-0009646 EFDLOOI 57431 Account Number. N40423 12 URA' , , t0 .1 Go paperless Lttit:L. Om.. LAC ••••••vOISIOril• SOUTHERN Osciski r D.EN EFTA01289794 Important Information and Disclosures (continued) DestineSim P If lir VrItal ,l Ma ml Int. Marat$ Cowan 4.p.p Des.$01 Sank Settonel NOtarriOlti• HS put AMIN*. 26l, to Mew** nv 1011.4 1.1214914718.11141 78114 MS Statement Period:1810112114 • 10/3112014 Ratings (ccn:inued) authorization from Standard & Poor's. Standard 8 Poor's does not guarantee the accuracy, completeness, timeliness or availabilay of any information. Standard 8 Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content Standard ex Pools makes no express or implied warranties includng warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitabiMy for investment purpose. Credit ratings should not be relied upon as investment advice. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controling or under cornrow control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appicable; the rendering of investment advice, if any, to you and in general, faille ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vmw.pershing.corn/strength_stability.html. • This statement will be deemed concksive. 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 urge the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more linked in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wit typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Page 9 010 Account Number: NG-023812 Italad excellent, WOAD Mel GOP aperless Ct; (very Van SOSO, 2007 CALMAR MUD COMMUNCATIONS rxenummer CONFIDENTIAL - PURSUANT TO FED. R CRIM, 67Hutz5NriprwriAL .11:L.trorx.r,==tr i= SDNY_GM_00048823 OB-SDNY-0009647 EFTA_OO157432 EFTA01289795 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department One Pershing Plaza, Jersey City, New Jersey 07399; (201) 013-3330. Page 10 of 19 Account Number:NG-023 12 MOtt Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 69:erreLTNERN j34 ann DAENTIAL Rama excellent [very Yew Since 2007 DALOAR RATED COMMUNICATIONS rxciartraer •••••••••.c —4-••••••• ••••• SDNY_GM_00046824 DB-SDNY-0009648 EFTA_00 157433 EFTA01289796 P.O S.1775, Swam seD2IXO SOUTHERN TRUST COMPANY INC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SM ITF (212) 454.2889 (Misr< 0." lionie w,Yn mamip-wa Pent, oen,. GK., Destutm 'swots M. Mrs *A Mc* HI Part einows. )Mu Szcr War int WI 10154 (M)454.78141.1.1”7.114:31 Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income het Other Activity net Chan e in Pollak° nding Account Value Estim aced Annual Income Account Number: N46-023812 Statement Period: 09101/2114 -0913012014 This Period $7,949,244.06 0.00 7,949,244.06 21.51 0 00 -387.58910 Year-to-Date 36,467,677.92 911.807.66 7,369,365.58 206,002.09 -2100 -13,681.50 67.56 1 682 17 57,561 682 17 Asset Allocation Prior Year.Ead Last Period This Period % Allocation 4-SD Cash. Money Funds. and Bank Deposits 1,695,727.92 1,115,618.88 1,115,616.39 14.75% A on-USD Fixed Income 1,650,000.00 5,215,870.50 1,819,172.21 64.13% LSO Equities 1.530,15000 1,554,390.00 1,535,010.00 20.30% h on-U SD Cash, Money Funds, and Bank Deposits 0.00 63,361.68 61,853.51 0.82% LSD Fixed Income 1.581.100.00 0.00 0.00 0.00% Account Total (Pie Chart) 36,457,577.92 $7,949,214.06 $7,501,662.17 100.00% See the Asset A location Disclosure and Footnotes secten for important informaten regarding your Asset Atosabon. 5444 124 03 Please review your allocation Assets of less than 1% of holdings we not &Spy on thtS pe Man. Page Hifi MIAS ROtt CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) B010121/CSP30023 CON F Go paperless to , ir „job Rated tacollenii Envy Year Late 2007 DALOAR RATED COMMUNICATIONS exalt unser vas.. use ••••••••••.. mac SDNY_GM_000461325 OB-SDNY-0009649 EFTA_00157434 EFTA01289797 Asset Allocation Disclosure and Footnotes All values are displayed m U.S. dollars based on Interbank exchange rates as of 09/3012014. Exchange rates can vary. Summary of Gains and Losses Realized Unrealized This Period Year.to-Date Short-Term Gain/Loss 0 00 000 -165,747 60 Long-Term Gain/Loss 000 ,193,740.76 105,592.50 Net Galn/Loss 0.00 413,140.76 40,166.10 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Global Cash Currency Currency USD Equivalent per USD Currency Closing Balance Mount in Base Correa, USD BRITISt- POL ND 1 6209 0 6169 BRMSI- POLND 38.16000 61,853.54 Exchange rates are based on interbank exchange rates as of 09/30/2014. Exchange rates can vary Total Global Cash Balance 651,863.54 Money Market Fund Detail Date Activity Type Desaiption Mont Balsa Sweep Money Market Fund DWS GOVERN M ENT CASH INSTL Account Number: 0000001189 Current Yield 0.03% Activity Ending: 09/30111 08130/11 Opening Balance 09130/11 Deposit INCOME REIN VEST 1,115,818.88 27.51 1,115416.88 1,115,646.39 09130114 Closing Balance $1,116,646.39 Total All Money Market Funds $1,116,646.39 Income and Expense Summary Current Period Year•laale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 90,813.75 0.00 Money Market 27.51 0.00 111.72 0.00 Interest Income Bond Interest 0.00 0.00 50,000.00 0.00 FDIC Insured Bank Depaits 0.00 0.00 80.58 0.00 Total Dividends, Interest, Income and Expenses $27.51 $0.00 6141,069.03 $0.00 Account Number: N46423012 Bray v... since 2007 Rated tscolierigi Go paperless DALBAR RATED COMMUNCATIONS SOUTHERN csONYADriTriAllt rxesturner CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6 Page? of 11 et a r•orrrOanal. .r......•••••••••IV NS, SDNY GM 00046826 DB-SDNY-0009650 EFTA_00 157435 EFTA01289798 OraIsre Ram Pon. Vestal n Manalunnd Pdinet% Gtcs.p Des-WM I** Sew nes Ac wan Mar MI Part At~. MTh I bgr New** /IT 1011.4 0 Ili 454.71114.11.4178/.4,91, Portfolio Holdings U.S. DOLLARS Account Opening Date Quantity Number Activity Opening Ending Balance Closing Balance Statement Period: 0910112114 • 09/3012014 Accrued Income 30.Day Carrot Income This Year Tied Yield Cash, Money Funds, and Bank Deposits Money Market DWS GOVERNMENT CASH INSTL 08130114 1.115,616.390 0000001489 0900/14 1,115,618.88 1,115,616.39 0.00 144.72 0.03% 0.03% Total Money Market FDIC Insured Bank Depodts INSURED DEPOSITS PROGRAM 08130/14 N46023812 61,116,616.60 0913011/ 0.00 $1,115,646.39 0.00 10.00 0.00 $144.72 80.56 WA N/A Total FDIC Insured Bank Deposits $0.00 10.00 10.00 180.66 Total Cash, Money Funds, and Bank Deposits Date Acquired Ouaetity U.MCol 61,116,616.06 Adjusted C011 Basis Market Price $1,115,646.39 Market Value 10.00 Unrealized Gain/Loss $225.28 Accrued Interest Estimated Estimated Annual Income Yield Fixed Income (In Maturity Dare Sequence) Corporate Bonds PETROLEOS OE VENEZUELA KOTESSEKIOR ISIAB XS0460546525 Security Identifier: P7607HAF7 5.000% 10/28/15 REG DID 10/28/09 Sd P Rating Be 12101/13 %tit 2.000.000.000 940370 1,880,747.60 85.7500 Ofiginal Col Bade $1.800.000.00 1,715,000.00 ,165,717.60 42,22222 100,000.00 5.83% Total Corporate Bonds 2,000,000.000 $1,880,747.60 41,716,000.00 .416074710 142,222.22 $100,000.00 Total Fixed Income 2,000,000.000 $1080,747.60 $1,115,000.00 •4165,747.40 $42,222.22 $100,000.00 Page3011 Account Number: N46423812 (i t nal tscolkingi • ,I217 ,7SF!' Cso paperless Every 'ear Sento 2'007 08AB IOU DAL OAR PAT ED COMMUNOLTIONS CONFIDENTIAL — PURSUANT TO FED. R 67,,LTHERtic soln DENTIA rxemmer Pale. um, •••••••• rasa maw. MC SON Y_GM_0004 61327 OB-SDNY-0009651 EFTA_00 I 57436 EFTA01289799 Portfolio Holdings (continued) U.S. DOLLARS (continued) Unrealized Dale Acquired Quantity Usk Cod Cod Basis Market Price Markel Value Geld Loss Equities Prelerred Stoats (Used by expiration date) ALLY FINL INC FIX TO FLT Security Identifier: ALLY PRO DIV4.50% FREO-OTRLYCALLABLEC 25.00 CUSP. 020051408 ON AOTRLY BASIS AFTER 05115/2016 Dividend Option: Cash Estimated Estimated Annual Income Yield 06111113 ..I3 57,000.000 25.0780 1,429,417.50 26.9300 1,535,010.00 105,592.50 '2' 125 JD 1121,125.00 7 , c)(1 Total Preferred Stocks 51,429,417.50 $1,535,010.00 $105,592.50 Total Equities 51,420,417.50 Cod Basis $1,535,010.00 Market Value $105,592.50 Unrealized Gam/ loss Accrued Interest 1121.125.00 Estimated Annual Income Total U.S. DOLLARS BRITISH POUND Cescr $4,425,811A9 Quantity Opening Balance 14,365,656.39 Closing Balance Currency ,160,155.10 142,222.22 Accrued Income 1211.350.28 30-Day Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 38,160.00 38,180.00 GBP 61,853.54 USO Total Cash, Money Funds, and Bank Deposits 38,160.00 38,160.00 GBP 61,853.54 USD 0.00 0.00 Disc:idiot Duality Market Price Market Value Currency Accrued Interest Estimated Estimated Annual Income Yield Fixed Income fin ;Manly Date Sequence) Corporate Bonds NAIIONW IDE BUILDING SOCIETY EURO ISSUE CONY GBP MIN/ XS1043181269 6.875% 09120188 REG DTD 03111114 SS P Rating Brir Security Identifier G63980UK3 2,000,000.000 96.8800 1,933,600.00 3.134.17224 GBP USD 39,319.07 62,112.36 137,500.00 222.873.75 7.11% Total Corporate Bonds : 2,000,000.000 1,933,600.00 3,134,172.24 GBP USD 38,39.67 62,112.36 137,600.00 222,873.75 Total Fixed Income: 2,000,000.000 1,933,600.00 3.134.172.24 GBP USO 38,319.67 62,112 36 137,500.00 222,873 75 Account Number N4G-023 12 Go OltAN Mel paperless rn dr' DAENTIA CONFIDENTIAL - PURSUANT TO FED. R 6rejLTHERk u Page 4 of 11 Rata. tacollona [very Y.L. Woes 2007 DAL BBB RATED COMMUNICATIONS SDNY_GM_000464328 OB-SDNY-0009652 EFTA_00 57437 EFTA01289800 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e) PC. Sot 1776. 9,8 moot MD 21202 Portfolio Holdings (continued) BRITISH POUND (continued) Gnaw< Rana 7rmair Wealth lapmgeneit Weals %ewe GnaP Dettsch4 M Smolt. +a. lire Ion Onto HI Put A . 160. I ter War wet 1,tt 10114 vul 454.7114.11151774.4,91, Market Value Currency Statement Period: 0910112014 • 09/3012014 Accrued Estimated Interest Annual Income Total BRITISH POUND 1,971,760.00 GBP 3,196,025.78 1,50 38,319.67 137,500.00 62,11236 222 87375 Ilereallzed Accrued Estimated Cost Basis Merkel Valle Gale( loss Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS 34,425,811.49 $7,561,012.17 .S60,155.10 3104,334.50 $444,224.03 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt secunties and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfoko system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering fern or transferring agent and Pershing makes no representation as to the accuracy of this information. Page S of II Account Number: NG-023812 OBAI1 ROLL SO U TH ERN Go paperless cs; Rabid Excellent, Event YearSince 2907 csoln DrISITIA DALBAR RATED COMAILIPOCATIONS rxerturimer SDNY_GM_00046829 DB-SDNY-0009653 EFrA_00157438 EFTA01289801 Holdings Summary by Currency Currency Cash Fixed Income Equities Total by grimy L S. DOLLARS ' 115,646 1.715 000 1,58,010 4.385,651 US0 BRITISh POL `1, C 38,160 1 933 600 0 1,971,760 GBP Total USD Equivalent 1,177,499 4.849,172 1,535.010 7,661,682 ISO % of Allocation 16.67% 64.13% 20.30% 100.00% M essa es Pursuant to the Securities Exchange Act of 1934, Pershing LLc (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of 51.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 billion. Pershing is also requeed to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2014, Pershing's net capital of $1.88 billion was 12.74% of aggregate debit balances and exceeded the minimum requirement by $1.59 billion. A copy of the June 30, 2014, Statement of Financial Condition is available at pershing.corratatement_of_financial_condition.html. You may also request a free, printed copy by calling (888) 860-8510 or (201) 413-4200, option *6. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Nnwrdws-investments.corn/EN/products/money•market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hind. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Page 8 of it Account Number: N46423812 Go paperless r i te*. Rated taceibriti [very Year Lace 2007 SO U TH ERN csorin DrISITIA DALBAR RATED COMMUNCATIONS rxarartraer CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) • lac,. VS ,wa.-c SON Y_GM_000464330 OB-SDNY-0009654 EFIA_00 157439 EFTA01289802 PC. Boi 1776 Elul rr(xt Mtn (Misr* Rana P.m,. Weida stragenmt Weals Coon., 6,0‘P Oftisov Sat Settones +Ic lire wan (/IN Hann •••••••• 160. I bet Nem wet 10114 IM)41.4.71114. mat 741.4,91, Activity Sum m ary (At/ amounts show are in base currency) Statement Period: 0910112014 • 09/30/2014 Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunties Bought 000 000 Secunties Bought 000 -6.897.361.62 Total Seaulties 10.00 $0.00 Total Securities $0.00 -$8,897,364.82 Dividends and Interest $27.51 $208,002.09 Dividends and Interest $0.00 30.00 Distributions $0.00 $1,806,259.21 Distributions $0.00 $0.00 Fees $0.00 $0.00 Fees $0.00 -$24.00 Cash Cash Deposits 000 911 807 66 Deposits 0 00 0 00 Total Cash $0.00 $911,807.68 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 33,441,150.98 FDIC Insured Bank Deposits $0.00 -$1,718,423.06 Money Market Funds $0.00 $1,000,012.00 Money Market Funds .$27.51 -$2,115,658.39 Total Credits $27.51 $7,388,231.97 Total Debits -$27.51 -$10,781,470.07 Transactions by Type of Activity Process/ Settlement Date Adivity Type Description Quantity Price kneed Interest Amount Currency Dividends and Interest 09130114 MONEY MARKET FUND DWSGOVT CASK INS% 2751 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 27.51 Money Market Funds 09130114 MONEY UNMET FUND DYVSGOVT CASI- INCOME REINVESTED .27.51 LSD REINVESTMENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR 0.00 -27.51 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. c CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 13(e) riDrismAL Account Number: 1446423 12 atA0 gat 60 papa-less SOUTHERN CST()n Page? of 11 Raid [walking, tvenf Van Lace 2007 LAMAR RA TEO COMMUNICATIONS rxesturwer SDNY_GM_000468.31 DB-SDNY-0009655 EFTA_00 1574410 EFTA01289803 Client Service Information Your Client Advisor: TDS Contact Information TAZIA SMITH 305 PARK AVENUE 14TH FLOOR NEWYORK NY 10154 Your Account Information Telephone Number: f212) 454-2889 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account comm unications for electronic delivery. To register arid turn off paper comm unications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the secunbes in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked 'eNJA— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to VAWI.pershing.ccfnibusiness_continuity.html for specific detais as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wet not reserve 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 conformations previously fumished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vole your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 8 of 11 Account Kum Der N4G-023812 e k tocolkingi OttAl, ROI{ Ceo paperless (very VS SOSO, 2007 [MIAMI RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R DRINA. P. 67,,LTHERhc sONn DrISITIA rxesurner SDNY_GM_000461332 OB-SDNY-0009656 EFTA_00157441 EFTA01289804 Important Information and Disclosures (continued) Ora'sr. Ram 00.410 "Malin Manalinern Pdinet% COnetartnyp Des-WM Mai Sewn..., Lac. Yw 1.4 Mt* lo Pan Artist. Ikh I ber New** rtY 1011.4 454.71114. Ins)774.4711, Statement Period: 09/0112014 • 09/30/2014 Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, of 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 & Popes 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. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or hable 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 no hoed Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable, the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. Fa more detailed information please visit: vrivw.pershing.conttrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-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 02399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. DRAB MOLL SOL THERA OSTOT1 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) Page 9 of it Account Number. N4G-023 12 GO paperless rip-51\111AL Rated excellent, L very Vsr Sante 2007 DAL OAR RATED COSMIUMICATIONS rxciartraer ••C SDNY_GM_00046833 OB-SDNY-0009657 EFIA_00157442 EFTA01289805 Important Inform ation and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration. nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until: (I) the class certification is denied: (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza: Jersey City, New Jersey 07399; (201)413-3330. Page 10 of 11 IntAN 4011 Account Number N46-023 12 Go paperless Oo CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) S0UTHERk srennn DriscriAL Rated tacollonl Lyon, Yew Lace 2007 DALOAR RATED COMMUNICATIONS rxesiurnaer SDNY_GM_00046834 DB-SDNY-0009658 EFTA_00157443 EFTA01289806 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIAAfIFS. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION l; YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHCWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TIM DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING GOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE, IF GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL. INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC rPERSHING1 FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE CR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE, WITHOUT FURTHER NOTICE TO YOU, LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. b :,IC::1, 7SFYA22 TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSIT1ONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF I T WILL BE MAILED UPON YOUR WRIT TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYMIPERSHING COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE COUNTER AND EXCHANGE.LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSH NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF TIE ABOVE TERMS AND CONDITIONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERENINO IWEDIATELY IN WRITING BY CERTIRED MIL TO LYE PERSHING PLAZA. JEREMY CITY. HI MW, ATM LEGAL DEPT Page11011 LMAD ROLE SO TH ERA CCM D AENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number N4G-023 12 Go paperless RANA Eaco.NrA Every year Siva 2007 DALOAR RATEOODONALINICATIONS f7CIRISIOCI SDNY_GM_00046835 DB-SDNY-0009659 EFTA_00 157444 EFTA01289807 PA. Set 1776. bliers•MD2i203 Onalsre Ram PonI, Wirolin Manapnad PdiniCs Cowan ta, p Desfunf M Setionci 4%. Mn wan Ma. Ma not Alatieg. OMOOP New Vest WY 10114 I/ In 4914W. 1.14178114TS Valuation at a Glance Account Number: N46-023812 Statement Period: 0810112814 -0813112014 This Period Year-to-Date SOUTHERN TRUST COMPANY INC Beginning Account Value 98,019,724.87 $0,457,577.92 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 0 00 911.801.66 ST THOMAS VI 00802 Adjusted Previous Account Value 8,019,724.81 7,369,385.5$ Dividends, Interest and Other Income 30.309.25 295.974.58 het Other Activity 0 00 -2100 het Charlie in Portfolio -100,790B6 373,907.90 nclinp Account Value S7.949 244 06 57,949 244.06 Your Client Advisor: Estimated Annual tricorn e 5449,641 52 TAZIA SM ITF (212) 454-2889 Asset Allocation Prior Year-End Last Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 1,695,727.92 1,085,309.63 1,115.618.88 14.03% hoe-LSD Fixed Income 1,650,000.00 5,323,587.34 5,215,870.50 65.62% i LSD Equities 1,530,15000 1,546,410.00 1.554,390 00 19.55% hon-L SD Cash, Money Funds and Bank Deposits 0.00 61,417.90 63,361 68 0.80% LSD Fixed Income 1.581.400.00 0.00 0.00 0.00% Account Total (Pte Chart) 96,157,57712 18,019,72417 $7,919.214.06 100.00% See the Asset A bcabon Disclosure and Footnotes secton (Of Important informaton regardrig your Asset Allocation. DRAB ((Diu CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Please review your allocation Assets of less than 1% of holdings wil not dsoay on ins pre Man. Page 1 of 9 B00972S 3CSP300IS CON Fl D('EKDIfisA L Rated tszellerell Ever, Yoe. Sine. 2007 DAL BAR RATED COMMUNICATIONS rxarturner SDNY_GM_000461136 OB-SDNY-0009660 EFTA_00157445 EFTA01289808 Asset Allocation Disclosure and Footnotes Al values are displayed m U.S. dollars based on interbank exchange rates as of 08/31r2014 Exchange rates can vary. Summary of Gains and Losses Realized Unrealized Ibis Period Year-to-Date Short-Term Gain/LOSS 000 000 -12.093.03 Long-Term Gain/Loss 0.00 -193,740.76 124,972.50 Net Galn/Loss 0.00 -193,740.76 112,179.47 This summary excludes transactions where cost basis information is not available. Exchange Rate Table Global Cash Currency Currency USO Equivalent per USD Currency Closing Balance Amount in Bale Currency USD 8RITIS- POL 1 6605 0.6022 BRITISI- POLND 38,160.00 63,364.68 Exchange rates are based on interbank exchange rates as of 08/31/2014. Exchange rates can vary. Total Global Cash Balance 963,364.68 Money Market Fund Detail Date Adivity Type Descriqica Amount Balance Sweep Money Market Fund DWS GOVERN II ENT CASH INSTL Account Number: 0000001489 Current Yield 0.03% Activity Ending: 08129/14 08101114 Opening Balance 1,085,109.63 1,085,309.63 08118114 Dapped MONEY FUND PURCHASE 30,28115 1,115,590.88 08129114 Deposit INCOME REINVEST 28.00 1,115,618.88 08129114 Closing Balance $1,115,618.81 Total All Money Market Funds 11,115,618.81 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Mon Taxable Dividend Income Equines 30,181.25 0.00 90,843.75 000 Money Market 28.00 0.00 117.21 0 CO Page 2 oil Account Number: N46-023812 Raced twat,* rdi 0..7 701 t GO paperless Lvery Vest WoCe 2007 DAL OAR RA TED 007/110100CATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:""Et seinnDAL1SITIA rxestimer SDNY_GM_00046837 DB-SDNY-0009661 EFTA_00 157446 EFTA01289809 Income and Expense Summary (continued) Ora'sof Mn, Pon. Weahn Pamagenen Pdaeals Cisme 6 ,0.p Dettschi Sank Smelts %..c Mn Mt* 14S Pan Ass,. 260. I Wei. Newlin* rev 1011.4 0121454.71119.1115178/.4,91, Current Period Taxable Non Taxable Statement Period: 0810112114 -0$131!2114 Year-to-Date Taxable Non Taxable Interest Income Bond Interest 0.00 0.00 50,000.00 0.00 FDIC Insured Bank Deposits 0.00 0.00 80.56 0.00 Total Dividends, Interest, Income and Expenses $30,309.25 $0.00 $141,041.52 $0.00 Portfolio Holdings U.S. DOLLARS Account Opening Date Quantity Number Activity Opening Bldg Balance Dosing Balance Accrued Income Wore This Year 30-Day Carrell Yield Yield Cash, Money Funds, and Bank Deposits Money Market DV/S GOVERN M ENT CASH I NSTL 08/01114 1.115.618 880 0000001489 08129114 1.085.309.83 1.115.618.88 0.92 117 21 003% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08101/14 A4023812 $1,085,309.63 0809/14 0.00 $1,115,811.58 0.00 $0.92 0.00 $117.21 80.56 6,1A NiA Total FDIC Insured Bank Deposits $0.00 $0.00 30.00 680.58 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Cost $1,085,309.83 Adjusted Cost Basis Market Price $1,115,618.88 Market Value $0.92 Unrealized Gala, Loss $197.77 Accrued Interest Estimated Estimated Annual Income Yield Fixed Income (in Maturity Date Sequence) Corporate Bonds PETROLEO S OE VENEZUELA NOTES SEA IQ R ISIASX.93460546525 SEM% 10/28/15 REG DTO 10/28109 S 8 P Rating tPi Security Identifier: P7807HAF2 12104/13 '.3.11 2.000.000 000 93 6050 1172.093 03 93.0000 1.860.000 00 -12,093 03 33.888 89 100.000 00 5,37% Original Cost Basis: $1.800,000.00 Total Corporate Bonds $1,872,093.03 $1,860,000.00 ,112,093.03 333,888.49 $100,000.00 2,000,000.000 Total Fixed Income $1,672,093.03 11,860,000.00 ,112,093.03 $33,888.89 $100,000.00 2,000,000.000 Mint, ROI t Page 3 of 9 Lyon, Vast Sato 2007 CALMAR RATED COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6; HERhusign DAENTIA rxeratmer Account Number: N46-023812 Rated tocellordi Go paperless SDNY_GM_00046438 DB-SDNY-0009662 EFTA_00157,4417 EFTA01289810 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Equities Preferred Stocks (Listed by 'spine« des) ALLY FINL. INC PERP PFD FIXEDIFLTG RATE Security Identifier: ALLY PRB SERA CALLABLE COUPON 8.5% CL.SIE. 02009%308 PERPETUAL MATURITY CALL° 25 05115116 Dividend Option: Cash 06111113'•'3 57.000.000 25.0780 1,429,417.50 27 2700 1,554,390.00 124,972.50 '2' 12533 Total Preferred Stocks $1,429,417.50 $1,554,390.00 $124,972.50 1121,125.00 Total Equities $1,429,417.50 $1,554,390.00 $124,972.50 1121,125.00 Unrealized Accrued Estimated Cost Basis Market Value Gam/ loss Interest Annual Income Total U.S. DOLLARS 84,417,119.41 Uarulited Quantity Uel1 Coal Cost Basis Market Price Markel Value GalalLoss Estimated Estimated Annual Income Yield ., y% BRITISH POUND $4,530,008.88 $112,879.47 133,888.89 1221.322.77 Opening Posing Accrued Description Daintily Balance Balance Currency Income Cash, Money Funds, and Bank Deposits Global Cash Balana 30-Day Yield 38,160.00 38,160.00 GBP 63,361 68 tiSD Total Cash, Money Funds, and Bank Deposits 30,160.00 38,160.00 GBP 0.00 63,361.68 USD 0.00 Desaiptioe 1/entity Market Price Market Value Currency Acaued Interest Estimated Estimated Annual Income Yield Fixed Income (In Maturity Oat* Sequence) Corporate Bonds NATIONWIDE BUILDING SOCIETY EURO ISSUE CONY GBP ISIN/XSIG13181269 6.875% 09/20188 REG DTD 03111114 SI P Rating 8B• Security Identifier: 6639801/K3 2,000,000.000 101.0500 2,021,000.00 3.355.870 50 GBP US() 0.00 0.00 137,500.00 228.318.75 6.80% Total Corporate Bonds : 2,000,000.000 2,021,000.00 3,355,870.50 GBP US° 0.00 0.00 137,500.00 228,318.75 Total Fixed Income: 2,000,000.000 2,021,000.00 3,355.870.50 GBP USD 0.00 0.00 137,500.00 228.318.75 Page 4 of 9 6Aso(eccorti untERNrebers:6N4Gin -0238112r Rated Leaner. Every Veer Since ?OW' Mint, VOI. DALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. IDGc>=PaPeriesslAtIki. rxertuNer SDNY_GM_00046839 DB-SDNY-0009663 EFIA_00 157448 EFTA01289811 PC fkol Int. Bali moot MD 21203 Portfolio Holdings (continued) BRITISH POUND (continued) Or.isot Rana PnwPIP *main Paragenen Pavans Coon. 6,04, 01.1141*M SttlelelW wan Mt* 10PIA A . MTh I bgr New** IT 10114 IMI454.711114.111%)78/.4,91, Market Value Currency Statement Period: 08/0112014 • 0813112014 Accrued Estimated Interest Annual Income Total BRITISH POUND 2,059,160.00 GBP 3,419,235.18 140 0.00 137,500.00 000 228 318 75 Unrealized Accrued Estimated Cod Basis MartelWee Gainfloss Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS $4,417,129.41 27,949,244.06 3112,879.47 $33,868.89 3449,641.52 Footnotes Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period. as follows: • Stock in a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt secunties and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and cedar attnbites. obtained from sources believed to be reliable. In the event, one or more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. 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. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page 5 of Account Number:NG-023M Go rless e t ir kat.. tscolloni ORA* ROLt pape (very Vest Sante 2007 CALMAR RA UN TED COMM ICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 69:06THERhcsogn DENTIA rxesturtaer SDNY_GM_00046840 DB-SDNY-0009664 EFTA_00157449 EFTA01289812 Holdings Summary by Currency Currency Cask Fixed Income Equities Total by Currency L S DOLLARS 1,115618 1.860 000 1 554 390 4 530 008 LSD BRITISH POUND 38.160 2.021 000 0 2 059 160 GBP Total USD Equivalent 1.178,983 6.20,870 1,654,390 7,949,244 USD % of Allocation 14.83% 85.62% 19.55% 100.00% Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Comoration.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://swnv.dws-investments.conVEN/products/money-market-tunds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary WI amounts show are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunbes Sought 0.00 0.00 Secunbes Bought 0.00 -6.897.364.62 Total Securities $0.00 WOO Total Securities WOO -0,697,384.82 Dividends and Interest $30,309.26 $205,974.68 Dividends and Interest Woo $0.00 Distributions $00 $1,808,259.24 Distributions WOO $0.00 Fees WOO WOO Fees $0.00 -$24.00 Cash Cash Deposits 0.00 911 807.66 Deposits 000 000 Total Cash $0.00 $911,807.88 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $3,444,150.98 FDIC Insured Bank Deposits WOO .$1,748,423.06 Money Market Funds $0.00 $1,000,012.00 Money Market Funds -$30,309.25 -$2,115,630.88 Total Credits $30,309.25 $7,368,204.46 Total Debits .$30,309.25 .$10,761,442.56 Page 6 of 9 OAAT, +c>I SOL THERA CbennElDrISITIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Num be; N4G-023 12 Go paperless kilted 2...0.0.ra (very Vs. $100, 2007 DAL BAR SAUD COMMUNICATIONS exclaimer SDNY_GM_00046841 DB-SDNY-0009665 EFTA_00 157450 EFTA01289813