EFTA Document EFTA01290128

Deutsche Asset & Wealth Management P.O. Box 1778, Balamer*. MD 21203 OraIsre Ram go...W.4i PIMamie,. Pdvects °siege 4.p.p Dettuht Mai sewn.. Ac lir. %A Oat* Part Anne,. 160. I to 14,. vest 10. 1011.4 Ilul 4,44,821. Ins) 7.114,11S Valuation at a Glance Account Number: Statement Period:1210112014 - 12131/2114 This Period Year-to-Oate JEEPERS INC Beginning Account Value $28,0114,881.62 $45,708,211.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 168,911.94 -19,498,214.84 ST THOMAS VI 00802 Adjusted Previous Account Value 18,251,600.46 21,211,041.27 Dividends. Interest and Other Income 13,801.95 81,982.97 Net Change in Portfolio -32,183 94 *810.77 ncling Account Value $26 233 218 47 S26,233 2'3 4" Eslcm ated Annual Income 576 527 05 Your Client Advisor: DANIEL SABBA Asset Allocation Prior Year-hd Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 44,148,000.42 24,493,658.23 24,651,191.32 94.01% LSD Fixed Income 1.560.280 69 1.591.030.29 1 572.024 15 5.99% r Account Total (Pie Chart) $45,708,261.11 128,084,618.62 $26,233,218.47 100.00% See the Asset Mocation Disclosure and Footnotes secton for mportant informaton regarding your Asset Alscateso CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFI D('DEPAt fisA L soloimicsr3m3 P ease RI ioza! o- Page 1011 Rated Excellenti L....my year Sine. 2007 DALBAR RATED COMMUNICATIONS rxenurrder oatarre=rro..7.Z.rt," SDNY_GM_00047398 OB-SDNY-0010222 EFTA_00158007 EFTA01290128 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year4o-Date Short-Term Gain/Loss 000 0 00 2.10788 Long-Term Gain/loss 000 0 00 -54.077.21 Net Gain/Lou 0.00 0.00 -59,185.09 This summary excludes transactions where cost basis information is not available. For Your Information Cr June 5, 2014, the European Central Bank (the -BCE) introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECG 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 Tree Credit Balance Interest Charge. The interest will be reported on your Forms 1099 and/or 1042S 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. Money Market Fund Detail Date Adivity Type Description Sweep Money Market Fund DWS GOVERN II ENT CASH INSTL Account Number: 0000001491 Current Yield 0.03% Activity Ending: 1213f114 11129114 Opening Balance 12/31114 Deposit INCOME REIN VEST 12131114 Closing Balance Total All Money Market Funds Amount Balance 24,493,65823 624.15 24 493,858 23 24 494,282 38 $24,494,282.38 $24,494,282.38 ncome and Expense Summary DJ rrent Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 624.15 0.00 5,356.54 0.00 Other Dividends 13,177.80 0.00 72,57423 0.00 Interest Income FIX Insured Bank Deposits 080 0.00 4,052.20 0.00 Total Dividends, Interest, Income and Expenses 813,801.96 60.00 $81,982.97 60.00 Page 2 011 Account Number 1,(iAi paperless JEEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON Fl DrIcTIAL Rabid Lao-SYS Event Year Sava 2007 DAL BAR RATED COMMUNCATIONS 8,m:tunic? SDNY_GM_00047399 DB-SDNY-0010223 EFTA_00 I 58008 EFTA01290129 O Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore. MD 21203 Portfolio Holdings Account Activity Opening Date Quantity 'lumber Ending Cash, Money Funds, and Bank Deposits 9 4.0 0% of Portfolio Cash Balance Money Market DWS GOVERN M BIT CASH INSTL 11129114 24,494,282.380 000000t491 12131/14 Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11129114 N4G024935 12(31114 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Date Acquired Chastity Unit Cost Cost Basis Onto< Ram Ionle w,Y n Manapnern Went, Cpetrar Gtcs.p Des-b04 ML SCIA,lei Na Nyev.40st* PiA 4.1/409. MTh I ber New** M' 10114 454.71119.1115178•471S Statement Period: 1210112114 • 12/3112014 Opening Balance Closing Bataace Accrued Income Income IbisYear 30-Day Carrell Yield Yield 0.00 166,911.94 24,193,658.23 24,494,282.38 0.00 5,356.54 0.03% 0.03% $24,493,658.23 524,494,262.38 $0.00 55,356.54 0.00 0.00 0.00 4.052.20 NM NM 60.00 30.00 6100 54,052.20 524,493,658.23 $24,661,194.32 $0.00 thirealited $9,408.74 Estimated Estimated Market Price Markel Valle Gait! Loss Annual Income Yield Mutual Funds 6.00% of Portfolio P MORGAN FLOATING RATE INCOME FUND SELECT STARES Open End Fund Dividend Option: Reinvest. Capital Gains Option: Reinvest Security Identifier: .PHSX USW- 481211510 02113113 13 148,957.299 10 0700 1.500.000.00 9 7200 1,447,664.94 -52,135.06 61,817.27 4.26% 03101113 13 533.047 10 0600 5,362.46 9 7200 5,181.22 -181.24 221.21 4.26% 04101113 13 591.454 10.1100 5,979.61 9 7200 5,748.94 -230.67 245.45 4.26% 05101/13 13 562.992 10.1300 5,703.11 9 7200 5,472.28 .230.83 233.64 4.26% 06103113 13 567.343 10 0900 5,724.50 9.7200 5.514.57 .209.93 235.45 4.26% 01101/13 13 500.501 9.9700 1,990.00 9.7200 4,864.86 •125.14 201.11 4.26% 08101113 13 527.821 10.0600 5,309.94 9.7200 5,130.47 .179.47 219.05 4.26% 09103113 13 531.248 10.0300 5,328.42 9.7200 5163.74 464.68 220.47 4.26% Reinveslments to 8.959.169 10.0250 89.811.20 9.7200 87,083.13 -2.728.07 3.718.06 4.26% Date Total Covered 161,730.880 1 626 209 24 1,572,024.16 -66,186.09 67,118.31 Total 161,730.880 $1,626,209.24 $1,572,024.16 -$56,165.09 $67,118.31 Total Mutual Funds $1,626,209.24 51,572,024.16 -256,185.09 $67,118.31 80100117CSF3 Account Num be, BAH ROLL Go paperless .EEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6() CON FIDAENTIAL Page 3 of t1 listed enrolls rdi (very Vs., Lace 2007 DAL BAR RA TED COMMUNCATIONS rxesturner SDNY_GM_00047400 OB-SDNY-0010224 EFTA_00 I 58009 EFTA01290130 Portfolio Holdings (continued) Unrealized Accrued Estimated Cod Basis Markel Valve Gain( loss Interest Annual Income Total Portfolio Holdings 126,289,403.56 126,233,218.47 • $56,185.09 10.00 116,577.05 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.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 10994 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 • Cotter securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 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. M essa•es Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection ComorationtSIPC). For disclosure of rates for DWS money market funds, please vise the DWS Investments website at https:friwter.dvesinvestments.conVEN(productsimoney-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 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 toclowng information for Pershmg's 20f 4 IRS Forms 1099 (8. DIV. INT O/D and MISC): Your form 1099 AA 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 sect rities you hold have not yet provided their final tax information. It will inform you of the securities that are pending Mal 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.cornibusiness_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and 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. Alocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers Whose introduced accounts have received an allocation. Securities registered in the clients name, either in transit or held in custody, are Page < of 11 Account Number Rau OftAit GO paper-less a LEPERS INC t‘rcr,iAV "°7 YMCA T LirrArtro CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFI DriScrii1/4L a "a SDNY_GM_00047401 OB-SDNY-0010225 EFrA_00 I 58010 EFTA01290131 Deutsche Asset & Wealth Management PO, Box 1778, Bahimore, MD 21203 M essa • es (continued) (Misr* Ram Vona nmanalunnd Pent% Iowa,. Gtcs.p Des-b1h4 la* Sel•nlei Mr Mt* Na Part Asere••. Ikh I bgr Neve RA 1,tt 10114 01114:44414.11151704,91, Statement Period: 1210112114 -1213112114 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 r 525.000): Clknt Account ABC-123234 CEF-325465 EDR-567433 EGT-876574 RG7468345 FRT-435234 FRT.658797 575,000 3 Par Value Number of Trading Units $100,000 4 575,000 3 5150,000 6 $50.000 2 525.060 1 525000 1 u 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 EDR-567433 would be assigned six numbers). • A random number is generated that will result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. Account Nun ber °PAN MOI GO paperleSS ..EEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRII1,1. P. 6(e) CON FIDnetrAL Page 5 of 11 lila. 4..000 Every Vow' Woes 2007 DALBAR RATED COMMUNCATIONS rxerturnaer ..W.L."-ree..t.tgr4 MarAq r =r SDNY_GM_00047402 OB-SDNY-0010226 EFrA_00 15801 I EFTA01290132 M essages (continued) ' When a partial call is deemed favorable to the holders of the called security. Pershing will exclude certain accounts horn the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing taffies and clears those accounts). No allocation eel be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market pike as captured in Pershing's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing will generally categorize that call as one that is unfavorable to holders of the security. ' Clients have the right to withdraw uncaled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cat iiCtierns also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation Tor that such withdrawal will not cause an under-margined condition. Activity Sum m ary (Alf amounts show) are in base currency) °red Is This Period YearitoiDate Debits This Period Year-to-Date Securities SecuAbes Bought Total Securities Dividends and Interest Cash 0.00 10.00 $13,801.95 C: $0.00 111,982.97 Securities Secunties Bought Total Securities Dividends and Interest Cash -13.177.60 -$13,177.80 WOO -72,574.23 -$72,514.23 10.00 Withdrawals 000 000 Withdrawals 0.00 -26.563,460.12 Deposits 166 911 94 7.067 245.28 Deposits 0.00 0.00 Total Cash 5166,911.94 $7,067,245.28 Total Cash 00.00 421,663,480.12 FDIC Insured Bank Deposits $0.00 046,246,022.60 FDIC Insured Bank Deposits 00.00 -$2,000,022.11 Money Market Funds $0.00 112,011,513.28 Money Market Funds 4624.11 -031,665,195.06 Total Credits 6180,713.89 066,460,761.13 Total Debits -013,801.95 -$65,299,152.19 Pape 60 II Account A un ber MIAI1 Go paperiess LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F I ID-EN TEA L Rated tacolleril Only V... Some 2007 DAL OAR RATED COMMUNICATIONS rxciurrder r o..=... 1-=... SDNY_GM_00047403 DB-SDNY-0010227 EFIA_001 58012 EFTA01290133 Deutsche Asset & Wealth Management P.O. Box 1778, Bahimore, MD 21203 Transactions by Type of Activity Proceed Setthoed Data Activity Type Desaiotion (Misr< Rana Ponti wean IANI•eentIll Nyf6CPMIp4MY0 Dettlffil M sec.e*es lire *A Cali* IIIbnAnneklkhilber Neve vett. M. 1011.4 vuI 41:441188.111517M4M. Quid Statement Period: 12/01/2014 • 12/3112014 Price Awned littered Moult CUrrenq Securities Bought and Sold 12101114 REINVEST CASH INCOME "MORGAN FLOATING RATE INCOME RAD SELECT SHARES 533 542 -5,292.74 USD PH SX 180386.1180 SHRS SPAS PURCH. AT 69.92000 RD 11126 PD 12101111 12/31/14 REINVEST CAB- INCOME ?MORGAN R.OATING RATE INCOME FUND SELECT SHARES 811 220 -7,885.06 USD ,PI-SX 180919/800 SIRS SI- RS PURCH. AT $9.12000 RD 12129 PO 12131114 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -13,177.80 Dividends and Interest 12/01114 CASH DIVIDEND REEVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,292.74 USD PI SX 160386 1180 SHRS RD 11126 PD 12101/14 12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL 621.15 USD INCOME RECEIVED 233993882 12/31/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 1,886.06 USD Pr SX 180919.6600 SHRS RD 12129 PD 12131/14 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 13,801.05 Cash Withdrawals and Deposits 12/31/14 FEDERAL RADS RECEIVED P MORGAN CHASE BANK 27809 166,911 94 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 186,911.04 Money Market Funds 12/31/14 MONEY MARKET FUND DWS GO VT CASH INSTL INCOME REINVESTED -624.15 USD REN VESTM EN T 233993682 Total M oney M a rket Fund s • UNITED STATES DOLLAR 0.00 424.15 Total Value of Transactions 0.00 166,911.04 USD The pace and quantity displayed may have been rounded. OMAN ROLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page/ of 11 Account Number: excellent, Go paper beery Vas. Lace 2'007 et a rlarlat von is:wc.. %ear.. OW Ms* EEPERS CONFIDAriTriA ,D aLO xA tA RArTEDCOMMUMCATIONS SDNY GM 00047404 DB-SDNY-0010228 EFTA_00 158013 EFTA01290134 Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AMEN LE 267F FLOOR NEW YORK AY 10l54 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 (OID): No Amortize pram ium on taxable bonds based on Constant Yield Method: Yes ACCIUS 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 corn m unications for electronic delivery. To register and turn off paper coin m unications. log in to your account or contact your Client Advisor for more inform anon. 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 Isom providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to wiwrpershing.corNbusiness_continuity.htril 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 vii not receive confirmation of these reinvestments. Upon vntten 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 km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or fmancial 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. Page 8 of 11 ORAlt e<>11. Account Num bar Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: PERS IN O N F I DAENTIA L Rai [mons nil Every VAN Siam 2007 CAL OAR RATED COMMUNICATIONS rxciturtraer et a rl. , =tat 'fait late ...... C.,4040.1inS4. Isa•IVACamir riS no SDNY_GM_00047405 OB-SDNY-0010229 EFrA_00I 58014 EFTA01290135 Deutsche Asset & Wealth Management PO Boa 1778. Baliimoro. MD 21203 Important Information and Disclosures (continued) Oralsre Ram °file 7MM n PAIMI,Nat I If•et% CO" v it 4.0., 177.004 Mai Se4wri Idrellert Olk• Hann Anovek Halter New Vert 10 10114 vu)eAaNL MAI 7$7001 Statement Period:1210112114 • 12/3112014 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. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (a) any other instructions concerning your account. Pershing is not responsible or kable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCt). 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: vnviv.pershing.corrifstrength_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) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their awsd, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Wt , col Account Num ber Go paperless Rs CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. INCC ON F I D AENTIA L Page Oaf it &Rod Locolioni tn.y v«. 5.100, 2007 DALBAR RAT ED COMMUNICATIONS w.t aaa —4-•••••••arvir SDNY_GM_00047406 OB-SDNY-0010230 EFTA_00158015 EFTA01290136 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 10 of 11 Account Number Go paperless vEEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) CON FIDArarIAL Rasa tacelloni [Any Year Sine 2007 DAUM. RATED COMMUNICATIONS exclumer rt . a,. . 1" " "0. .7. "'It; SDNY_GM_00047407 O13-SDNY-0010231 EFrA_00 I 58016 EFTA01290137 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPES. MARGIN INFORMATION: IF YOU MAINTAN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE Aren 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 AUTHORITES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE 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. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHNG 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 COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WTYIN,PERSHING,COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: VW/W.PERSHING.COWBUSINESS_CONTINUITY.HTM. • THIS STATEMENT SHOULD BE RETANED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 807(A)(1H2)] 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 RECE NES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTA/N OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST 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 THE MOVE TERMS AND OONDMONS ARE UNACCEPTABLE TO YOU, FLEASE NOTIFY PERM** NAMEMATRY W WRITING BY CERTFED WA. TO ONE PERMING RATA JERSEY CITY, NI OT3M, ATM LEOAL DEPT L)8A0 ROLL Account Number Go paperless EPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDEmismAt Page II of 11 Rated tacellbrill L vent Vs. Slate 2007 DAUM. RATED COMMUNKATIONS rxesurpser fm, /P....awe/a •••••.•,- SDNY GM 00047408 DB-SDNY-0010232 EFTA_00 158017 EFTA01290138 PO Om 1770. Mere" DM203 Onalsre Ram Pon. Wealth Ma nary Mir at, COM•4,4,0‘P ChtlAIX Mani StM1,34.. , K lire von Oat* Hann anew. bet New wet. %V 17114 0 20 0.4.7114. mat 78/74791, Account Number: Statement Period:11101/2014 - 11130/2114 Valuation at a Glance This Period Year-to-Date JEEPERS INC Beginning Account Value $28,143,228.77 646,708,261.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 43,453.28 -19,683,128.78 ST THOMAS VI 00802 Adjusted Previous Account Value 18,079,776.49 20,046,134.33 Dividends. Interest and Other Income 6,516.89 88,181.02 In et Chan e in Portfolio -1.60386 .28 626 83 nding Account Value 5 2 6 0 84 6 8 8.5 2 $26,084,688.52 Estmated Annual Income 574.703 2E Your Client Advisor: DANIEL SABEA Asset Allocation Prior Year-Fed Ltd Period This Period % Allocation USC Cast. Money Funds. and Bank Deposits 44,148,000.42 24,558,506.88 24,493,658.23 93.90% LSD Fixed Income 1.580.280.69 1.588.721.89 1.591.030 29 6.10% Account Total Ole Chart) 645,708,281.11 $26,143,228.77 $26,084,688.52 100.00% Seethe Asset kocaton Disclosure and Footnotes secton for important inbmtation revving yoirAsset Alocation. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) P ease re. Lew yo.• a *cep - Pop 1 of 8 A0111732CSP30016 CONFIghPagiderAL Baled Cmcolloni beefy Yew SW•Ce 2007 DAUM. RATED COMMUNICATIONS rxerumer ..-r.frazarsztratr=t--='..- SDNY_GM_00047409 OB-SDNY-0010233 EFTA_00 I 58018 EFTA01290139 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•to•Date Short•Term Gain/Loss 0.00 0 00 -944.23 Long•Term Gain/Loss 000 0 00 -23.056.92 Net Gain/Lou 0.00 0.00 44,00115 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Demriplion Amount Balance Sweep Money Market Fund DWSGOVERNI41347 CASH INSTL Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 11/28/14 11/01/14 Opening Balance 21551506.88 24,556,50818 11/12114 Deposit POKEY RAO PURCHASE 8,060.00 24,564,566.88 11/13/14 Withdrawal MONEY RAO REDEMPTION .71,51328 24,493,053.60 11128/14 Deposit INCOME REINVEST 604.63 24.493.658.23 11126114 Closing Balance $24,493,668.23 Total All Money Market Funds 624,493,668.23 Income and Expense Summary Curren) Period Year•toSale Taxable Noe Taxable Taxable Nom Taxable Dividend Income Money Market 604.63 0.00 4,732 39 0.00 Other Dividends 5.912 26 0.00 59.396 43 0.00 Interest Income FDIC Insured Bank Deposits 000 0.00 4.052.20 0.00 Total Dividends, Interest, Income and Expenses $6,516.89 $0.00 461181.02 $0.00 Page 2 of 8 Account Number: Monad tacelhinfi vent, Rou paperless Lvery Vest Lace 2007 LEPERS INC CALM. RATED COMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEErriA rxenurraer SDNY_GM_00047410 OB-SDNY-0010234 EFTA_00158019 EFTA01290140 Isre RIM Of 'file v....in Manair-wan Minett. COetrarGsp,p Desti.04 IP** Sel•nlei Yrs von Ci710, HI Part Annet Ikh I bgr War RA PA' 10114 01114:441114. OM) 7./.4,9S Statement Period:1110112114 • 11/3012014 Portfolio Holdings Account Opening Date Quantity 'lumber Activity Endiig Opening Balance Closing Balance Accrued Income Income This Year 30-Day Carrot Yield Yield Cash, Money Funds, and Bank Deposits 94.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 1110111/ 24,193,658.230 0000001/91 11128/14 24,556,506.88 24,493,658 23 0.00 1,732.39 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 1110111/ N16024935 11128114 324,558,506.81 0.00 324,493,668.23 0.00 30.00 0.00 34,732.39 1,052 20 NIA NIA Total FDIC Insured Bank Deposits 10.00 30.00 10.00 14,052.20 Total Cash, Money Funds, and Bank Deposits Date Asaeired Quantity Unit Cod Cod Bads 124,556,506.88 Market Price 324,193,658.23 Market Value 30.00 Unrealized Gaird Loss 31,784.59 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P M ORGAN FLOATING RATE IN COME FUND SELECT PARES Open End Fund Dividend Option: Reined; Capital Gains Online: Reined Security .PHSX CUSP. 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 9.9200 1,477,658.40 -22,313.60 61,221.45 4.14% 03101113 13 533.041 10.0600 5,362.46 9.9200 5,287.82 -74.64 219.08 4.14% 04101113 13 591.454 10.1100 5,979.61 9.9200 5,867.23 .112.38 243.09 4.14% 05101113 13 562.992 10 1300 5,703.11 9 9200 5,584.88 -11823 231.39 4.14% 06103113 13 567.343 10.0900 5,724.50 9.9200 5,628.05 46.45 233.18 4.14% 07101113 13 500.501 9.9700 1,990.00 9.9200 4,964.97 -25.03 205.71 4.14% 08101113 13 527.827 10.0600 5,309.94 9.9200 5,236.05 -73.89 216.94 4.14% 09103113 13 531.248 10.0300 5,328.42 9.9200 5,269.99 -58.43 218.34 4.14% Reinvestin eats to 7,614.407 10.0640 76,633.40 9.9200 75,534.90 -1,098.50 3,129.51 4.14% Date Total Covered 160,386.118 1,015,021.44 1,591,030.21 -24,001.16 65,918.69 Total 110,381.118 $1,116,131.44 41,611,030.29 421,001.15 466,911.60 Total Mutual Funds 31,615,031.44 31,591,030.21 424,001.16 165,918.611 Page 3 of 8 Account Number °BAN M011 Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON FIDAENT1AL Rabid excellent (very V... SOSO, 2007 DAL MR it^ T COMMUNICATIONS [)!GILL[ NCI ot t7»..retiro."=" -= SDNY_GM_00047411 OB-SDNY-0010235 EFTA_00 I 58020 EFTA01290141 Portfolio Holdings (continued) Cost Basis Market Value Unrealized Maned Estimated Said Loss Interest Annual Income Total Portfolio Holdings 826,108,689.67 06,084,688.52 .$24,001.16 10.00 $74,703.28 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') incorporating amendments enacted by P.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 dates)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be repotted 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. 13 The cost basis of this security has been provided to us by the delivering fun or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Please note the !diming infompation to Pershing's 2014 IRS Form 1099(8, DIV,1NT, O10 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 ova 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 preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Comoration.(SIPC). For disclosure of rates for DINS money market funds, please visit the DVVS Investments website at htlps://www.dws-investments conVEN/productshroney-madrettunds-nelds.jsp. Please note that all money market funds listed on the website may not be offered through us. Paget of 8 Account Nun ber uktmt vOtt Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON ForanAL Rat.. tacollenti (very Vow' Siva 2007 DALBAR RATED COMMUNICATIONS IXIMILLINCt SDNY_GM_00047412 DB-SDNY-00 10236 EFTA_00158021 EFTA01290142 Ogvitoc ile *Mall nManair-wan Monts OntfteC•ccp De.ticta Bar Secy.-an n< ...nv brit Mar Annw. iloct tine tr.\ n't 101:4 P 1))4,4-.7143. 11111 >a con Activity Summary (AU amounts shown are in base currency) Credits This Period Year-to-Date Securities Securities Scbcht 000 000 Total Securities $0.00 $0.00 Dividends and Interest $8,516.89 $68,181.02 Cash Withdrawals 0.00 0 00 Deposits 230.609.24 6 900 333 34 Total Cash $230,609.24 $6,900.333.34 FDIC Insured Bank Deposits $0.00 146,246,022.60 Money Market Funds $71,513.28 512,071,513.28 Total Credits $308,639.41 $85,288,050.21 Transactions by Type of Activity Process, Settlement Date Actii ay Type Depletion Quantity Price Awued littered Amount Currency Securities Bought and Sold 11103/14 REA VEST CASI- INCOME P MORGAN FLOATING RATE INCOME Rail) SELECT SHARES 595.394 -5.91226 LSO PHSX 159790.7240 StrliS SPRS MACH. A7 59.93000 RO 10130 PD 11103114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,912.28 Dividends and Interest 11103114 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,912.26 LSD Pr SX 159790 7240 SHRS RD 10130 PD 11103/14 11/28/14 MONEY MARKET FLND DWSGOVT CASH INSTL 604.63 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 8,516.89 Statement Period: 11/0112114 -11/3012814 Debits This Period Year•to•Date Securities Securities Bought -5.912.26 -59.396.43 Total Securities -$5,912.26 459,398.40 Dividends and Interest $0.00 $0.00 Cash Withdrawals -294,062.52 -26.563,460.12 Deposits 0.00 0.00 Total Cash -$294,082.52 .$26,563,460.12 FDIC Insured Bank Deposits $0.00 -$2,098,022.18 Money Market Funds 48,684.63 .06,665,171.51 Total Debits .1308,639.41 .K5,286,050.24 Account Number Mine Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL Page 5 o18 Rated tacollordi Utegy V.ar Late 2007 DALOAR MUD COMMUNICATOOPIS IXCILLINCr SDNY_GM_00047413 DB-SDNY-0010237 EFIA_00 I 58022 EFTA01290143 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Accrued littered Amount Currency Cash Withdrawals and Deposits 11/10/14 FEDERAL FUNDS RECEIVED CITIBANK N A 38774 7.11L00 LSO LS0999997 11/10/14 FEDERAL FUNDS RECEIVED CITIBANK N A. 38617 949.00 LSO USD999997 11/12/14 FEDERAL FUNDS RECEIVED M ORGAN ChASE BANK 11355 222849 24 LSD USD999997 11/13/14 FEDERAL FUNDS SENT .FIAORGAA ChASE BANK. -222.549.24 LSD USD999997 11/13/14 FEDERAL FUNDS SENT FLAGLER BANK -71,51328 LSO USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -63,453.28 Money Market Funds 11112114 MONEY FUND PIAChASE DWSGOVT CAST INSTL -8.060.00 LSD U$0999997 11/13114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 71,513.28 LSD USD999997 11/28/14 MONEY MARKET FUND DWS GOVT CAST INSTL INCOME REINVESTED -604.63 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 62,848.65 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 AVEN LE, 26Th FLOOR NEWYORK NY 10154 Pap 6 of 8 LMAE1 MOI Account Number. Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEISMAL Raid tacelbrifi beery Year Since 2007 DAUM. RAT (0 COMMUNCA TOG exClurnser SDNY_GM_00047414 DB-SDNY-0010238 EFTA_00 158023 EFTA01290144 Your Account Inform ation OediSre Ran. nn•arr V.I.4111 Pal Mie, tat M If•tt{ I veer or G•pyp Des-UM Bali SCIVri ihm.V.4 Mt* Na PIA Mist 1141. I to New*** rtt 1011.4 inn 454.71119. (MI 78•471IS Statement Period: 11/0112014 • 11/3012014 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 iswe discount lOID), No Amortize premium on taxable bonds based on Constant Yield Method: Yes Aecieal market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alien. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherviise 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 horn the actual sale price. Securities for which a price is not available are 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 (SAS) and estimated annual yield (SAY) figures are estimates arid for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or lax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to VAYtv.pershing.comibusiness_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 will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing fine. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Marge: Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Page 7 018 Account Number e k l Placid tacollonil I IrtA. Go paperless (very Year Since 2'007 LEPERS INC DAL OAR RAT CO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEMIA rxenurraer ?It SDNY_GM_00047415 OB-SDNY-0010239 EFIA_00158024 EFTA01290145 Important Information and Disclosures (continued) Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to a from U.S. dollars for dividends and sender corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (-Many other instructions concerning your account. Pershing is not responsible or cable 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 controNng 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 secumies 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 owe 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, }Of the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. M other inquiries regarding your account or activity should be directed to your financial institution. Your financial organdation'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: wiverpershing.corn/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: (201) 413.3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court. including the right to a trial by juiy, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The 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 fled, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza. Jersey City, New Jersey 07399: (201) 413.3330. Page 8 of 8 Account Number: DRAB 901.1 Go paperless ir Excellent, Evert Year Woe. tool LEPERS INC DAUM. RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEITTIA SDNY_GM_00047416 OB-SDNY-OO1O24O EFrA_00 I 58025 EFTA01290146 Set 1776. blieren1.02i203 Oralsre Ram 10•410 VrIflin Ma napnera Pdvon CowarGto." Des-b1.4 la* St4wari, X. linve4 Oat* Na Pan /am*. MTh I btr Neve M' 1011.4 454.711,11. 7.114MS Account Number: Statement Period: 1010112014 -10131/2014 Valuation at a Glance This Period Year-to-Oate JEEPERS INC Beginning Account Value $21,261,271.53 115,708,261.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,875,302.13 -19,599,613.50 ST THOMAS VI 00802 Adjusted Previous Account Value 26,136,573.16 26,108,587.61 Dividends. Interest and Other Income 6,655.11 81,661.13 Net Chan e in Porlfolio 000 .27 022 97 Eslm ated Annual Income 573.534 3: Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-lid Last Period This Period % Allocation l, SC Cast!! Money Funds and Bank Deposits 11,118,000.12 22,680,598.51 24,556,506 88 9393% Please review your allocation LSD Fixed Income 1.560.280.69 1.580.672.99 1 586.721 89 607% Account Total (Pie Chart) 115,708,211.11 121,261,271.53 $26,143,226.77 100.00% Seethe Asset Mocaton Disclosure MI Footnotes secton for important inlomiation regardeig yea Asset Alscabyt. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) A00971392CSP3001/ Go Paperless Paget of 8 CON F I DAENTIAL Lied Excellent, Every 'Yaw Sinew 2'007 DAUM' RATED COMMUNICATIONS XelltlTher SDNY_GM_00047417 OB-SDNY-0010241 EFTA_00 I 58026 EFTA01290147 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•lo•Date Short-Term Gain/Loss 0.00 0.00 -969.05 Long-Term Gain/Loss 0.00 0.00 -21.126.24 Net Gain/Loss 0.00 0.00 42,39711 This summary excludes transactions where cost basis intimation is not available. Money Market Fund Detail Date Activity type Description Amount Balance Sweep Money Market Fund OWS GOVERNMENT CASH INSTL Account Number: 0000001491 Current Yield: 0.03% Adivity Ending: 10/31/11 1010111/ Opening Balance 22,680.598.54 22,680,598.54 1010211/ Withdrawal MONEY FUND REDEMPTION -2,500.000.00 20,180,598.54 10107/11 Deposit MONEY FUND PURCHASE 4,375,302.13 21,555,900.67 10131111 Deposd INCOME Reb/EST 606.21 21.556.506.88 1013111/ Closing Balance 924,556,606.88 Total All Money Market Funds 324,556,606.88 Income and Expense Summary Current Period Year-to-Date Taxable Hoe Taxable Taxable Non Taxable Dividend Income Money Market 606.21 000 4,127 76 0.00 Other Dividends 6.048.90 0.00 53.181.17 0.00 Interest Income FM Insured Bank Deposits 0.00 0.00 1052.20 0.00 Total Dividends, Interest, Income and Expenses 66,666.11 90.00 81,681.13 30.00 OBAN ROLL Account Nun ter Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 14CC ON F I L Page 2 of 8 Rated tacollordi ',soy Va.. Lace 2007 DAL BAR RA TED COMMUNCA TIONS rxesurtraer :It SDNY_GM_00047418 DB-SDNY-0010242 EFTA_DO 158027 EFTA01290148 Oruiwo Ram woo. miner I over an 4.p.7 (*.lute Oar Stwits Mee brk Mot N>enM4ww_) Sao Fn. Wet AY 101M P OISSI 7.14VIS Portfolio Holdings Account Opening Date Quantity 'Sumter Activity Ending Opening Balance Closing Balsam Statement Period: 1B/0112114 • 10/3112014 Income Aimed 30.Day Carrent Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 94.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 10101114 24,556,506.880 0000001491 10131114 22,680,598.54 24,556,506.88 40.37 4,127.76 0.03% 0.03% Total Money M at k et FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 10101114 N46024935 10131114 622,680,598.54 0.00 624,658,508.88 0.00 $40.37 0.00 $4,127.78 4,052.20 WA WA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $4,062.20 Total Cash, Money Funds, and Bank Deposits Date Acquired Quality Veit Cod Cod Bads $22,110,591.54 Market Prim $24,556,506.88 Market Value $40.37 Umtata Gaid loss $5,179.95 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P M ORGAN FLOATING RATE IN COME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reined MialrIty Identifier: .PHSX CUSP. 461211510 02113113 13 148,957.299 10.0700 1,500,000.00 9,9300 1,479,145.99 -20.854.01 60,923.53 4.11% 03101113 13 533.041 10.0600 5,362.46 9.9300 5,293.16 49.30 218.02 4.11% 04101113 13 591.454 10.1100 5,979.61 9 9300 5,873.14 -106.47 241.90 4.11% 05101/13 13 562.992 10 1300 5.703.11 9 9300 5.590.51 -11260 230.28 4.11% 06103113 13 567.343 10.0900 5,724.50 9 9300 5,633.72 40.78 232.04 4.11% 07101113 13 500.501 9.9700 4,990.00 9.9300 4,969.98 -20.02 204.71 4.11% 08101113+3 527.827 10.0600 5,309.94 9.9300 5,241.32 48.62 215.88 4.11% 09103113 13 531.248 10.0300 5,328.42 9.9300 5,275.29 -53.13 217.28 4.11% Reinvestments to 7,019.013 10.0760 70,721.14 9.9300 69,698.78 .1.022.36 2,870.78 4.11% Date Total Covered 169,790.721 1,109t119.15 1,555,721.59 -22,397.29 65,354.40 Total 169,790124 $1,609,119.11 $1,610,721.119 -$22,397.29 $65,354.40 Total Mutual Funds 61,609,111.19 $1,616,721.19 -322,397.29 $65,354.40 Pap 3 of 8 Account A un be, WIA0 Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON FIDA=TAL Rsd excellent (very Yaw Sinew Z007 DAL BAR RAT ED COMMUNCATIONS rxciurnaer SDNY_GM_00047419 OB-SDNY-0010243 EFTA_00 58028 EFTA01290149 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Value Gainf Loss Interest Annual Income Total Portfolio Holdings $26,165,626.06 $26,143,226.77 -222,397.29 10.00 173,534.36 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.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 ether 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 wit be repotted to the IRS on form 1099-8 for the applicable tax year in which the secumy 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. 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. Messages 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 0WS Investments website at httpsAwriv.dws-investments.corn/ENfproductsimoney-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 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. Activity Summary (A& amounts shown are in base currency) Credits This Period Year.to.0ate Debits This Period Year.to.Date Securities Securities Securities Bought 0.00 000 Securities Bought -5 048 90 -53 484 17 Total Securities $0.00 $0.00 Total Securities -16.048.90 -$53,464.17 Dividends and Interest 16,656.11 161,664.13 Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals 2 500 000 00 -25 259 .33' 50 Deposits 4 375 302 13 6 669 720 10 Deposits 0 00 3 Total Cash 14,375,302.13 $6,669,724.10 Total Cash -22,500,000.00 -126,269,397.60 FDIC Insured Bank Deposits 10.00 $46,246,022.60 FDIC Insured Dank Deposits $0.00 42,098,022.18 Money Market Funds $2,500,000.00 $12,000,000.00 Money Market Funds -$4,375,908.34 -136,556,506.68 Total Credits $6,881,957.24 164,977,410.93 Total Debits -$5,881,957.24 -164,977,410.63 Page 4 at 8 Account Num bur GO paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) .EEPERS INCCONFID=TAL Natal tacellond Even. Va.Slate 2007 DALOAR RATED COMMUNICATIONS 7XO0.1.7Ner SON Ni_GM_0004 7420 OB-SDNY-0010244 EFTA_00158029 EFTA01290150 MO 21203 Transactions by Type of Activity Process/ Settlement Date Activity T Description (*also* Rana Pnwalr. Weida •Aptagenmt Peweits Coon,. 4,0.1) Des-WM ML StM10 Oft ,•C mr. yen ON to HI Part einneo.160. I ber War RaL 7tt 10114 01114:4.71114.111,17.14,91, Dont Statement Period: 10/01/2014 • 1013112014 Price Mated Interest Amount Curren Securities Bought and Sold 10101114 REINVEST CASF INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 609.154 O 048 90 1,5D ,PHSX 159181.5700 SHRS SHRSPURCH. AT 5913000 RD 09129 FD 10101111 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -6,016.90 Dividends and Interest 10101/14 CASH DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOM E FUND SELECT SHARES 6,048.90 LSD PHSX 159181.5700 SHRS RD 09129 PD 10101/14 10131114 MONEY MARKET FUND DWSGOVT CASH INSTL 606.21 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,665.11 Cash Withdrawals and Deposits 10/02/14 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST 4,500,000.00 USD USD999997 10/06/14 FEDERAL FUNDS RECEIVED "MORGAN CHASE BANK 31494 4,375,302.13 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 1,876,302.13 Money Market Funds 10102/14 MONEY FUND REDEMPTION OWSGOVI CASF INSTL 2,500,000.00 USD USD999997 10107/14 MONEY FUND PURCHASE DWSGOVT CASF INSTL -1,375,302.13 USD USD999997 10131114 MONEY MARKET FUND DWSGOvT CASH INSTL INCOME REINVESTED 406.21 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 4,678,908.31 Total Value of Transactions 0.00 0.00 USO The price and quantity displayed may have been rounded. I.tlM1ir '+0-111 Account Num hr Go paperless ,E EPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENT - TAL Page 5 of 8 Rated' tacellerigi [vont Yew Since 2007 DALBAR RATED COMMUNCATIONS 7XCIFIL7NCI SDNY_GM_00047421 DB-SDNY-0010245 EFTA_00 158030 EFTA01290151 Client Service Information Your Client Advisor: WS TAZIA SMITH 305 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST lk 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 (O1D): No Amortize pram ium 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 coin m unications. log in to your account or contact your Client Advisor for more inform ation. 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 resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to YAW., pershing.corNbusiness_continuity.herl 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 wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in voting 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 o 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 Oft 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. Account Num be, tilt.0 von t Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON F I DAEWNAL Page 6 of 8 katedl taceilonl (way Vs. LSO. 2007 DAL OAR RATED COMMUNICATIONS rxenurner SDNY_GM_00047422 OB-SDNY-0010246 EFTA_OO I 58O31 EFTA01290152 Important Information and Disclosures (continued) OnKr* Ram e.f lir 'Ansa nmanapnad I vett% Iowa,. Gto.p Des4104 St4,0, 3CI lire wa n Mt* Hann Anne0.1601ber /Me Rio M' )%14 01114:441114. 78/1,4TS Statement Period:1810112114 • 10/3112014 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 van not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as cleating broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation @orders for the purchase and sale of securities and other progeny and (a) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. 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. 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 (unctions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnviv.pershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (Including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other it 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 MI 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. Account Number Cio paperless ErcItS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON Fl DarariAL pap7 of 8 Rated tscolleni [very Von WOO. 2007 DALOAR RATED COMMUNICATIONS rxestower ••••••• LIAM nina. wet. M.N3 SDNY_GM_00047423 OB-SDNY-0010247 EFrA_00158032 EFTA01290153 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 (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 taws 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 8 of 8 Account Nun tier GO paperless IN EN- CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) LEPERS CCON Flip NAL Rated excellent Ivory •••••• Since 2007 DAUM. PATO! COMMUNKATIONS rxesurnaer SDNY_GM_00047424 OB-SDNY-0010248 EFrA_00158033 EFTA01290154 PA Os 1770. Swam MD2i203 Ora'sofRana Pon. Wealth Manip--frent Pdaeats Coonge6,0“) °Mut* sank *wpm+ ma. 44 (11.1 141 Pan Mist lkh I bet New** IVY 1011.4 vul 454.71119, OM) 78/.4,9S Valuation at a Glance Account Number: Statement Period:09101/2114 -09/3012114 This Period Year-to-Date JEEPERS INC Beginning Account Value $21,271,120.12 $46,706,261.11 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 .21,01,975.63 ST THOMAS VI 00802 Adjusted Previous Account Value 21,271,120.12 24,233,286.46 Dividends. Interest and Other Income 5 953 20 55,009.02 KM Chan e in Ponlolic 19,101 79 27 02297 EsIn aced Annual !nom e 672.679 • Your Client Advisor: TADA SIA Asset Allocation Prior Year•Cad La Period This Period % Allocation L SC Cast. Money Funds and Bank Depoals 0,118,00012 22,680,03927 22.680 598 54 93484 LSD Fixed Income 1.560.260 69 1.591.380.85 1 580 672 99 6 52', Account Total (PI! Chart) See the Asset Al:cation Disclosure aro Footnotes secton for $15,701,281.11 324,271,420.12 mount miormaton moaning sow Asset AticiatMrt. $24,261,271.53 100.00', DOAN ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON Fl ErEPaiTA L B01012SECSP30023 P ease rElleVe )0,." a 10:a! 0' Poplin Rabid facolloni Every Vest Woo, 2'007 DALBAR RATED COMMUNICATIONS rxenurNet SDNY_GM_00047425 OB-SDNY-0010249 EFTA_00 158034 EFTA01290155 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0 00 -1.022 31 Long-Term Gain/Loss 000 0 00 -21.374.98 Net GaIn/Lou 0.00 0.00 42,397.29 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Description Amount Balaica Sweep Money Market Fund CMS GOVERNMENT CASH I NM. Account Number: 0000001491 Current Yield 003% Activity Ending: 09130(14 08130(14 Opening Balance 09130114 Deposit INCOME REINVEST 09130114 Posing Balance Total All Money Market Funds ncome and Expense Summary 22,880,039.27 559.27 Curren) Period Year-to-Date Taxable Non Taxable Taxable Non Taxable 22380.039 27 22,680.598 54 $22,680,598.54 922,680,594.54 Dividend Income Money Market 559.27 0.00 3,521.55 0.00 Other Dividends 5.393.93 0.00 47,43527 0.00 Interest Income FDIC Insured Bank Deposits 000 0.00 4,052.20 0.00 Total Dividends, Interest, Income and Expenses 15,963.20 $0.00 856,009.02 90.00 Account Nun ter OftAR ROLL Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID=TAL Page 2 of 9 Rated [scenes (very Yew sine, 2007 DAL BAR RATED COMMUNKA 'ROHS rxesurnaer SDNICGM_00047426 DB-SDNY-0010250 EFTA_00 158035 EFTA01290156 O.w•e Ram Pon. Wealth Manam-tent Pdinet% COMIC, 6.o.to De.7s0,7 • Sewnet Lac 'Innen Cali* 341 Part Asira0. Ikh I ter It's RA IW 10114 01114:44414. (MI 78/.4,91, Statement Period: 0910112114 • 09/3012014 Portfolio Holdings Axount AdIvily Opening Date Quantity 'lumber Ending Cash, Money Funds, and Bank Deposits 93.00% of Portfolio Money Market DWS GOVERNMENT CASH INSTL 08130114 22,680,598.540 0000001491 09130114 Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08130114 N46024935 09130114 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Cost Cost Basis Opening Balance Dosing Balance Accrued Income Income This Year 30•Day Owen Yield Yield 22,880,039.27 22,680,598.54 0.00 3,521.55 0.03% 0.03% 122180,039.27 0.00 122,680,598.54 0.00 10.00 0.00 33,521.56 4,052.20 WA WA $0.00 $0.00 10.00 $4,052.20 122,680,039.27 Market Price 122180,598.54 Market Value 30.00 Unrealized Gaial Loss $7,573.75 Estimated Estimated Annual Income Yield Mutual Funds 7.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SI-ARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSIP 48121L510 02113113 13 148.957.299 10.0700 1,500,000.00 9 9300 1,479,145.98 -20,85492 60,923.53 4.11% 03101113 13 533.041 10.0600 5,362.46 9.9300 5,293.15 49.31 218.02 4.11% 04101/13 13 591.454 10.1100 5,979.61 9 9300 5,873.13 -108.48 241.90 4.11% 05101/13 13 562.992 10 1300 5.703.11 9 9300 5,590.51 -112.80 230.26 4.11% 06103113 13 567.343 10.0900 5,724.50 9.9300 5,833.71 40.79 232.04 4.11% 07101113 13 500.501 9.9700 4,990.00 9.9300 4,989.97 -20.03 204.70 4.11% 08/01113 13 527.827 10.0600 5,309.94 9 9300 5,241.32 48.82 215.88 4.11% 09103/13 13 531.248 10.0300 5,328.42 9 9300 5,275.29 -53.13 217.28 4.11% Reinvestments to 8,409.859 10.0890 64,672.24 9.9300 63,649.93 -1,022.31 2,621.65 4.11% Date Total Covered 151,181.579 1,603,070.28 1,589,872.91 .22,397.29 65,105.26 Total 169,181.679 81,603,070.28 11,510,672.19 -$22,397.29 565,105.26 Total Mutual Funds 11.603.070.28 91,889,672.99 -$22,397.29 $65,105.26 Account Nun tter °BALI ,tc • (1O paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON FID-ENTIAL Page 3 of 9 Rated Eocene...I Every Yew SOSO. 2007 DALOAR RATED COMMUMGTIONS rxeiturnaer .117..L=C:t17 ri4Zr..1"...rd= SDNY_GM_00047427 OB-SDNY-0010251 EFrA_00 I 58036 EFTA01290157 Portfolio Holdings (continued) Unrealized Maned Estimated Cost Basis Markel Value Gard Loss Interest Annual Income Total Portfolio Holdings $24,283,668.82 $24,261,271.63 -07,397.29 MOO $72,679.01 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are. therefore. considered " nor:covered.' 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 10994 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 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. 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 $1.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 Nihon. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2014, Pershing's net capital of $1.881:Shen 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.comestatement_of_financial_condition.html. You may also request a free, printed copy by calling (B88)860-8510 or (201) 413-4200, option #5. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpslAwnv.dws-investments.com/EN/products/rnoney•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 fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & 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 4 of 9 Account flu. Der t , Rend teconera Went, WOI k Go paperless twiny Yew Late 2007 LEPERS INC DALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDriTriAL rxenurraer SDNY_GM_00047428 DB-SDNY-00 10252 EFTA_00158037 EFTA01290158 Isre Ram !h.. Wealth Ma.an-nen Pdaests Cooent GK." DeAsov Sat %Ivry mc Vert Mot Hann earae. IM h Mc.. War wet AV KIVA inn VA.7818. On SI >SSC.% Activity Summary (All amounts shown are in base currency) Statement Period: 09/0112814 • 09/30/2014 Ciedits This Period Year.to.Date Debits This Period Year-to-Date Securities Securities Secunties Bought 0 00 ".• CC SPCJ'Ili es Sough! -5.39393 -8.435.27 Total Securities 10.00 $0.00 Total Securities •$5,393.93 -$47,135.27 Dividends and interest $5,953.20 555.009 02 Dividends and Interest $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals 0.00 -23.769.397 60 Deposits 0 00 2.294.421.97 Deposits 000 003 Total Cash $0.00 92,291,121.97 Total Cash $0.00 423,769,397.60 FDIC Insured Bank Deposits $0.00 $46,248,022.60 FDIC insured Bank Deposits $0.00 42,098,022.18 Money Market Funds $0.00 $9,500,000.00 Money Market Funds 4559.27 432,180,598.51 Total Credits 85,953.20 $58,095,153.59 Total Debits .15,953.20 ,168,096,463.59 Transactions by Type of Activity Process/ Settlement Date Adivity Type Description Quantity Price Accrued Interest Amount Currency Securities Bought and Sold 09102/14 REINVEST CASH INCOME ?MORGAN FLOATING RATE INCOME FUND SELECT SHARES 536709 -5.393.93 LSD ?IX 158644.8610 SHIS SIRS FL RCH. AT $10 05000 RD 08/28 PD 09/02114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,393.93 Dividends and Interest 09/02/14 CASH DIVIDEND RECEIVED PM ORGAN FLOATING RATE INCOM E FUND SELECT SHARES 5,393.93 USD PN SX 158611.8610 SHRS RD 08128 PD 09/02/11 09/30/11 MONEY MARKET RIND DWSGOVT CASH INSTL 559.27 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 1.00 5,963.20 Page 5 of 9 Account Number Go paperless LE CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) RS INCCON FonsnAL Italia Excellent, (very V.a. Since 2'007 DAL BAR RAT CD COMAILOOCATIONS rxenurner .1.="70,:"="0..r.arnt= SDNY_GM_00047429 OB-SDNY-0010253 EFrA_00 158038 EFTA01290159 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Merged Meted Mount Currency oney Market Funds 09130114 MONEY MARKET FUND ASH VESTM ENT 233993682 D WS G 0 VT CASI- IK ST1 INC° M E REINVESTED -55927 USD Total N oney M arket Funds - UNITED STATES DOUAR 0.00 -569.27 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 0.00 USD Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14TH FLOOR KEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OLT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper nom m unicafions, log in to your account or contact your Qient Advisor for more inform alien. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may nal use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked 'N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any 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 vnwtpershing.cornibusiness_continuity.html for speak detads as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from Page6 of 9 URAR ROLL Account Num be; •~ LEPERS INC GO paperless Ven SSW* 2.007 COMAI DALBAR RA TM LI...CATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFInnerfAL: "a"'"R SDNY_GM_00047430 DB-SDNY-0010254 EFTA_00158039 EFTA01290160 Important Information and Disclosures (continued) °voluteRam Manaluntar Myatt Cowan Gtcs.p Dettfor4 la* SCW, lei AC. ihm.V.4 Mt* Na riff% Moat lit I ber New Vest rtt 1011A I/12145471a1114178114MS Statement Period: 0910112/14 • 09/3012014 Reinvestment (contnued) 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 convened by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and Many other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appbcable; the rendering of investment advice, if any, to you and n general, for the ongoing relationship that it has with you. • Inquiries conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCs). 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: vrnm.pershing.cornistrength_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 round on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Page? of 9 Account Number: e k l Rated excellent, °RAF v011 Go paperless (very Vs, Siva 2'007 SEPERS INC DAL BAR RAT ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) CONFIDEINTIA rxesurme SDNY_GM_00047431 OB-SDNY-0010255 EFTA_00158040 EFTA01290161 Important Information and Disclosures (continued) 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 join 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 rrinordy of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC 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 den action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 8 of 9 Account Number; Oen.° .olk Go paper ft lecl ve less ek DA tscolYrdi RA E r T LC r Skvai 2OO7 LEPERS INCCONFIDriTriA "`"""" CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E"—Gmcels = SDNY_GM_00047432 DB-SDNY-0010256 EFIA_00158041 EFTA01290162 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. LIAAGFS. 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 00 NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION I: YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT Cf YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YCUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHCWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF TI IE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING COES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE, IF GWEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS OSCRETION 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 8Y LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. ODD LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT 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: WVPAI.PERSHIN(3COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION MIS- 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 MALE 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 PERSH NG ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF MY OF DE ABOVE TERMS NO CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFYPERI:POND PAIEDIATELY IN WRITING BY CERTFIED WA.10 CM PERSHING PLAZA, JERSEY PTY. NJ 07399, ATM WOOL DEPT Page 9 of 9 UBAB 90Lt. Account Num Der Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDESITIAL Rated excePorA L very Yew. Since Z007 DAL BAR RATED COMMUNICA TIONS rxciurnaer SDNY_GM_00047433 DB-SDNY-00 10257 EFTA 0015804? EFTA01290163 I% Os 1710. BolserenLID2i203 Oralsre Ram Ponle *Mall PI Manaluntar Pent% Cowan Comp Dests04 Mai Se4v, lei Ilea wan Onto HI Part Anne0.26th I ber War lot 1,tt 1011.4 45441114. (MI 78/1,4MS Account Number: Statement Period: 0810112/14 -0813112014 Valuation at a Glance this Period Year-to-Date JEEPERS INC Beginning Account Value 828,767,000.64 $46,708,881.11 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 4,500,000.00 -21,474,975.83 ST THOMAS VI 00802 Adjusted Previous Account Value 24,267,000.84 24,833,286.18 Dividends. Interest and Other Income 5.833.04 49,055.82 et Chan e in Portfolio 1.58644 .7 921 18 ncling Account Value fain aced Annual Income Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-fed Last Period This Period % Allocation (..SD Cash. Money Funds. and Bank Deposits 11,148,000.12 25,179,424.36 22,680,039.27 93.434 at LSD Fixed Income 1.560.260 69 1.58/.578.28 1.594.380 85 6.57% Account Total file Chart) 845,708,281.11 326,767,000.64 $24,274,420.12 100.00% See the Asset Gloat on Disclosure and Footnotes section for important informaton regarding yow Asset Aboaton. $24,274,420.12 $24,274,420.12 571 424 29 Pease re.levv a lora' o- Paget 448 OPAL, 9(>1.1. CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) A0097292CSP300IS GO paperless (very taa Year Siva S 2007 Ra'd l CON FIDASSiTiAeisa 'DAXM L•AJI NC RAIL"C ifriCATC.15 SDNY_GM_00047434 DB-SDNY-0010258 EFTA_00 I 58043 EFTA01290164 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 0 00 -242.50 Long-Term Gain/Loss 0.00 000 -3,053.00 Net Gain/Lou 0.00 0.00 -3,295.50 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Demriptioa Amount Balance Sweep Money Market Fund ow S GOVERNMENT CASH !USTI Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 08/29114 08101114 Opening Balance 25,179,424.36 25,179,424.38 08119/14 Withdrawal MONEY FIND REDEMPTION -2,500,000.00 22,879,424.38 08/29/14 Deposit INCOME REINVEST 614.91 22:680,03927 08129114 Closing Balance $22,880,039.27 Total All Money Market Funds 822,180,039.27 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable No. Taxable Dividend Income Money Market 614.91 0.00 2,962.28 0.00 Other Dividends 5.218 13 0.00 42,041.34 0.00 Interest Income FDIC Insured Bank Deports 000 0.00 4.052.20 0.00 Total Dividends, Interest, Income and Expenses $5,833.04 60.00 649,055.82 80.00 Account Number ,x^N.111 paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDAENTIAL llama excellent Every Year Slate 2007 MUM. RA T OD COMMUNICATIONS rxestirtraer Page2 of 8 et a relstrnor veinis:Lo% c ;.......mignert Mae SDNY GM 00047435 DB-SDNY-0010259 EFTA 00158044 EFTA01290165 ()PASO( 'm Pr rfild, V./.4111 PA/ Marais Coon,. 4.p..p Deaulv Sat Stool. Lac Mew *4 Mkt HS Pan Awns,. 26th I to Mew** NY 1011.4 Il VI 49141/IL (MI 16614 Statement Period: 0 81011211 4 • 08/3112014 Portfolio Holdings Account Opening Date Quantity 'lumber Activity Ending Opening Balance Doing Balance Accrued Income Income This Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits 9 3.0 Money Market DIVS GOVERN M ENT CASH INSTL 08/01114 2200,039 270 0000001491 0% of Portfolio 0812911/ 25,179,424.36 22,680,03927 18 64 2 962 28 0.03% 0.03% Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08101114 k4G024935 08129114 $26,179,424.36 0.00 122,660,039.27 0.00 118.64 0.00 12,962.28 4,052 20 NIA N/A Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $4,062.20 Total Cash, Money Funds, and Bank Deposits Date Acquired Quantity Unit Coll Cost Banc 126,179,424.38 Market Price $22,680,039.27 Market Value $18.64 Umeallzed Gala! Loss $7,014.48 Estimated Estimated Annual Income Yield Mutual Funds 7.00% of Portfolio P el ORGAN FLOATING RATE IN COME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 10.0500 1,497,020.84 -2,979.18 80,476.68 4.03% 03101113 15 533.047 10.0600 5,362.46 10.0500 5,357.12 -5.34 216.42 4.03% 04101113 13 591.454 10.1100 5,979.61 10.0500 5,944.11 45.50 240.13 4.03% 05101113 13 562.992 10 1300 5,703.11 10.0500 5.658.07 -45.04 228.57 4.03% 06103113 13 567.343 10.0900 5,724.50 10.0500 5,701.79 -22.71 230.34 4.03% 07/01/13 13 500.501 9.9700 1,990.00 10.0500 5,030.03 4003 20320 4.03% 08101113 13 527.827 10.0800 5,309.94 10.0500 5,304.88 -528 214.30 4.03% 09103113 13 531.248 10.0300 5,328.42 10.0500 5,339.04 1062 215.69 4.03% Reinvestments to 5,873.150 10.0930 59,278.31 10.0500 59,025.19 -253.12 2,384.50 4.03% Date Total Covered 168,844.1111 1,597,676.35 1,5114,3110.15 .3,296.60 64,409.81 Total 168,644.161 $1,597,676.35 $1,694,36005 -13,296.60 $64,409.81 Total Mutual Funds $1,597.676.35 $1,594,380.16 .$3,296.60 04,409.81 Page 3 of 8 11.)8A0 Li% Account Nun ber Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67toNFIDAranAL listed tacelkinfl (very Year Since 2007 DALBAR RATED COMMUNICATIONS rxciturner a.ww.a aura SDNY_GM_00047436 OB-SDNY-0010260 EFTA_00158045 EFTA01290166 Portfolio Holdings (continued) Unrealized Accrued Estimated Cod Basis Markel Value Saki Loss Interest Annual Income Total Portfolio Holdings 620,277,715.62 $20,271,120.12 -0,29510 60.00 671,424.29 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.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 repotting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wit be reported to the IRS on form 10994 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 • Cher securities, principally debt securities and options, acquired on or after January 1, 2010, or later, as determined by the Secretary of the Treasury. 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. Messages Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:thinvw.dvesinvestments.corn/EN/productsimonemarket-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 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. Deutsche Bank has combined its asset and wealth management opeiationsaincluding Deutsche Bank Alex. Brcnvnainto 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 brokerdealer 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. ' , KAN V011 Account Nun ber Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 61,7 1tON F I DranAL Page it of 8 Rabid tacelle nil [very Vow' since ?007 DAL BAR RATED COMMUNICATIONS rxesurtraer SDNY_GM_00047437 DB-SDNY-0010261 EFTA 00158046 EFTA01290167 Drafflell•rtc Pr riFile Wolin Mamie-wad Myatt Cowan Comp Destfthe Sank Sectorrac Mew *4 Oat* HS PM% AS.% 2600 Mb Mew** NY 1011.4 0 1 4914,18. OM) 711114MS Activity Sum mary (All amounts shown are in base currency) Statement Period: 0810112814 • 08/3112014 Credits This Period Year-to•Date Debits This Period Year-to-Date Securities Securities Sec unties Eat.cht 0 00 CO Secunties Bought -5.218.13 -42.041.34 Total Securities 10.00 $0.00 Total Securities -$5,218.13 442,041.34 Dividendsand Interest $5,833.04 $49.055.82 Dividends and Interest Woo $0.00 Cash Cash Withdrawals 000 0.00 Withdrawals -2,500,000.00 -23.769,397 60 Deposits 0 00 2.294.421.97 Deposits 0.00 000 Total Cash $0.00 82,294,421.97 Total Cash 42,500,000.00 -823,769,397.60 FDIC Insured Bank Deposits $0.00 $48,248,022.60 FDIC Insured Bank Deposits 50.00 -$2,098,022.18 Money Market Funds $2,500,000.00 $9,500,000.00 Money Market Funds 4814.91 432,180,039.27 Total Credits 32,505,833.04 $58,089,600.39 Total Debits 42,505,833.04 458,089,500.39 Transactions by Type of Activity Process Settlement Date Activity Type Description Quantity Price Accrued leterest Ammon Currenry Securities Bought and Sold 08101114 REINVEST CASH INCOME ?MORGAN FLOATING RATE INCOME FUND SELECT SHARES 519.734 -5.218.13 USD PHSX 158125.1270 SHRS SIRS PORCH. AT 510.04000 RD 07/30 PD 08101114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 4,218.13 Dividends and Interest 08/01/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SIIECT SHARES 5,218.13 USD .PH SX 158125.1270 SHRS RD 07/30 PD 08/01/14 08129114 MONEY MARKET FUND DWS GO VT CASH INSTL 814.91 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 8.00 5,833.04 Page 5 of 8 IRAN ROL Account Num Der Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: PERS INCC ON F D AENTIA f Rated [nailer/ L....my V.I. Sento 2007 CAL BAR RA T ED COMMUNCATIONS IXCILITher trwrt:="0...7.....r tr, SDNY_GM_00047438 OB-SDNY-0010262 EFrA_00 158047 EFTA01290168 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Awned Interest Amount Currency Cash Withdrawals and Deposits 08119114 FEDERAL FL ADS SEAT DEL TSChE DANK TRUST -2.500.00000 LSO USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -2,500,000.00 Money Market Funds 08119114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 2500,000 00 LSD USD999997 08129114 MONEY MARKET FUND DWS COW CASI. INSTL INCOME REINVESTED -61491 LSO REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 2,499,315.09 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 TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEWYORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IA FIRST OLT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other StailititS: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform anon. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, Page6 of 8 Account Num ber. Rated excelbroll ORAN /IOU Go paperless Lvery Year Siva 2'007 EEPERS INC COMNI DALBAR RATED UNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDETriAL-_-- --rim, — SONY GM 00047430 DB-SDNY-0010263 EFTA OO158O48 EFTA01290169 Important Information and Disclosures (continued) deli •e Ram I...mile 4.41 lr PM nal P-wtat Pdanitt% C Petra,. Group Ottlfffil Baia Secv•es Mee 44 C•Ii• Na PIA ••••••• l'kh I to New*** rtt 10114 1/121454.71114.1115178•471S Statement Period:0810112814 • 08/3112014 Estimated Annual Figures (continued) 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 mwrpershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order kw. 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 wrung of any material change in your investment *dives 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 iron 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 amount. 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. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution a 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 triennial 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing Page 7 eta Account Num be; Go paperless EPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CON F I Drat IA L Rasa tac••••• t vent Y«. Since 2'007 DAL BAR RATEDCOMMUNICATIONS rxesturNer ::11.1.:74==== "4—= L•C SDNY_GM_00047440 OB-SDNY-0010264 EFrA_00158049 EFTA01290170 Important Information and Disclosures (continued) The Role of Pershing (continued) provides coverage in excess of SIPC limits. For more detailed information please visit: vaivepershing.comistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized traditg), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very finiited. • 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 tinging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims ercompassed by the putative class action until; (lithe 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 8 of 8 Account Number: Go paperless T e k Rata. tacelloni IAMB Mel way Year SNOT 2007 LEPERS INC DAL BAR RATED COMAILINICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDEErriA rxerturimer Jit.rwt:ft="0..=•..'irra Mew. ukal meow 01111.. Wet MK SDNY_GM_00047441 OB-SDNY-0010265 EFIA_00158050 EFTA01290171 PO. Sc, 1776, (Mimes MD 21203 Onimm Ram P',.,', Weida Ware.% Firms I wrap 66m, De.mM ML SeAmlmm 11,m164 06m lo Part Ammo. 114h 1 Mei War Rot MC 1011A In I) 4:441114. mfl au•W1 Valuation at a Glance Account Num ber: Statement Period: 07101(2014 -0713112014 This Period Year-to-Date JEEPERS INC Beginning Account Value 128,772,044.90 145,708,261.11 6100 RED HOOK QUARTER B3 jet Cash Deposits and Withdrawals -2.000.000 00 •18.974.975.63 ST THOMAS VI 00802 Adjusted Previous Account Value 28,772,011.90 26,733,285.18 Dividends. Interest and Other Income 6.024.50 43.222.78 jet Chan in Portfolio -11,068 76 .9 sr 52 ncling Account Value $26 767 000.64 26,767,000.64 Brim Wed Annual Incom e 570 Your Client Advisor: TAZIA SMITI- Asset Allocation Prior Year-fed Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposals 44,118,000.42 27,178,758.09 25,179,424.36 94.07% USD Fixed Income 1.580.26049 1.593186.81 1.587.570.28 5.93% Account Total (Pie Chart) $45,708,261.11 128,772,044.90 128,787,000.64 100.00% See page 2 of this statement for important information regarding the Asset Alocatkm section. 8..0 ROLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) A0091311 3CSP30017 paperless P e Chart alocation only Includes oroducts that are of posztote vak*. Page iota CON Fl I:YEN-NAL Rama tmemina (way Year Since 2'007 DAL BAR RAT ED COMMUNOTIONS I %CIL L NCI ocr: girrin== SDNY_GM_00047442 DB-SDNY-0010266 EFTA_00158051 EFTA01290172 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•lo-Date Short-Term Gain/Loss 0.00 0.00 317.15 - Long-Term Gain/Loss 0.00 0.00 -4.56479 Net Galn/Lou 0.00 0.00 -4,881.94 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Oate Activity Type Desaiptioa Amount Balance Sweep Money Market Fund ow S GOVERNMENT CASH !MBE Account Number: 0000001491 Current Yield: 0.03% Activity Ending: 07/31/14 07/01/14 Opening Balance 27.178.758.09 27,176,758.09 07/16114 Withdrawal MONEY FUND REDEMPTION -2,000.000.00 25.178.758.09 07/31114 Deposit INCOMEREINVEST 666.27 25.179.424.36 07/31/14 Closing Balance 626,179,424.38 Total All Money Market Funds $26,179,424.38 Income and Expense Summary Oment Period Year-to-Date Taxable Nos Taxable Taxable NM Taxable Dividend Income Money Market 666.27 0.00 2,347.37 0.00 Other Dividends 5.358 23 0.00 36,823.21 0.00 Interest Income FDIC Insured Bank Deposits 0.00 0.00 4.062.20 0.00 Total Dividends, Interest. Income and Expenses 46,024.50 10.00 $43,222.78 $0.00 Account Nun bar EMIAR ROLt Go paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAranAL Page 2 of 8 Rats. tacelleria (very Vow' Since 2007 DAUM. RATED COMMUNCATIONS rxenarmer SDNY_GM_00047443 DB-SDNY-00 10267 EFTA_00 158052 EFTA01290173 On...04 RIM onin "Mall n PAanaluntat Pent% Coen,. Gomp Desti.04 Yr Se4v, 34s AC. lin• Clint* HI Pan /yeast Ikh I ber War RA 1,tt 1011 4:44414.111151 78114MS Statement Period: 0710112114 • 07/3112014 Portfolio Holdings Axeunt Opening Date Quantity 'lumber Activity Ending Opening Balance Closing Balance Accrued Inomne Income Ns Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits 94.0 Money Market DWS GOVERNMENT CASH INSTL 07101114 25,179,424.360 0000001491 0% of Portfolio 0713111/ 27,178758.09 25,179,424.36 0.00 2.347.37 0.03% 0.03% Total Money Market FDIC Insured Bank Depodts INSURED DEPOSITS PROGRAM 07101/14 N46024935 07131114 $27,175,751.09 0.00 325,179,424.36 0.00 10.00 000 32,347.37 4,052.20 NIA N/A Total FDIC Insured Bank Deposits $0.00 10.00 10.00 $4,052.20 Total Cash, Money Funds, and Bank Deposits Date &mined Quantity Unit Cost Cod Basis 327,171,7150.09 Mattel Price 325,179,424.36 Market Value 30.00 Unrealized Gaial Loss $6,399.57 Estimated Estimated Annual Income Yield Mutual Funds 6.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP 481211510 02113113 13 148.957.299 10.0700 1,500,000.00 10.0400 1,495,531.29 -4.468.71 60,625.81 4.05% 03101/13 13 533.047 10.0600 5,362.46 10.0400 5,351.80 -10.66 216.95 4.05% 04101113 13 591.454 10.1100 5,979.61 10.0400 5.938.20 41.41 240.72 4.05% 05101113 17 562.992 10 1300 5.703.11 10.0400 5.652.44 -50.67 229.14 4.05% 06103/13 13 587.343 10.0900 5,724.50 10.0400 5.696.13 -28.37 230.91 4.05% 07101113 13 500.501 9.9700 4,990.00 10.0400 5,025.03 35.03 203.70 4.05% 08101113 13 527.827 10.0600 5,309.94 10.0400 5,299.38 -10.56 214.83 4.05% 09103113 13 531.248 10.0300 5,328.42 10.0400 5,333.73 5.31 216.22 4.05% Reinvestments to 5,353.416 10.0980 54,060.18 10.0400 53,748.28 -311.91 2,178.84 4.05% Date Total Covered 156,125.127 1351;451.22 1,587,576.28 -1,III1.94 64,358.92 Total 166,126.12? 51,692,458.22 $1.587,576.28 -$4,881.94 384,358.92 Total Mutual Funds $1,692,458.22 $1.587.576.28 •34,081.94 $64.388.92 Page 3 of 8 Account Number Cso ORAN MOLL paperlesS LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F I D'ENt TEA L !LSO [sangria (very yen Slate 2007 DALBAR RATED COMMUNCATIONS rxantrwer relt.."--Jt.=.C.T.' rs .= GEN Y_GM_0004 7444 OB-SDNY-0010268 EFTA_00158053 EFTA01290174 Portfolio Holdings (continued) Cost Basis Market Value Unrealized Awued Estimated Saint Loss Interest Annual Income Total Portfolio Holdings $26,771,882.58 $26,767,000.64 -S4,801.94 $0.00 $70,756.49 Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are. therefore. considered " noncovered.• under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee `applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock is a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 13 The cost basis of this security has been provided to us by the delivering Mn or transferring agent and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your Investment at St 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. 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 httpslAwm.dws-investments.com/EN/productsirrioney-maricet-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Deutsche Bank has combined its asset and wealth management 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. Account Nun ter tilt&E, ROI I Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CON FIDAMSMAL Page408 Rated tamolloni Every Van lame 2007 CALMAR RATEDCOMMUNICATIONS rxesur NCI SDNY_GM_00047445 DB-SDNY-0010269 EFrA_00158054 EFTA01290175 Isre Mn. 'Ansa 1i Univ.-wan VinttforetarG.c., Des-b1h4 lam kcv.,aes Yre *A Mc* Hann Rama. IM I kci. New en WI IOVA inn itA.7.18. msuua»s Activity Summary (All amounts shown are in base currency) Statement Period: 0710112011 • 07/31/2014 Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunties Bought 0 00 0 OD Secirties thug Itt -5.358.23 -36.823.21 Total Securities $0.00 $0.00 Total Seal !lilts -85,368.23 -136,823.21 Dividends and Interest $6,024.50 $43.22278 Dividends and Interest $0.00 9.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals -2,000,000.00 -21,269,397.60 Deposits 0 00 2.294.421.97 Deposits 0.00 0.00 Total Cash $0.00 $2,294,421.97 Total Cash -12,000,000.00 .$2t,269,397.60 FDIC Insured Bank Deposits $0.00 146,246,022.60 FDIC Insured Bank Deposits $0.00 -12,098,022.16 Money Market Funds $2,000,000.00 17,000,000.00 Money Market Funds •$666.27 -532,179,424.36 Total Credits 12,006,024.60 05,583467.36 Total Debits .$2,006,024.50 .$55,683,661.35 Transactions by Type of Activity Process Settlement Date Activity Type Description OsanUty Price Attain Imbued Moist Wrrenq Securities Bought and Sold 07101114 REINVEST CAS1- INCOME "MORGAN FLOATING RATE INCOME FUND SELECT SHARES 529.993 -5,358.23 USD ,PHSX 157595 1310 9-RS SHRS MACH AT 51011000 RD 06127 PO 07101114 Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 .5,3511.23 Dividends and Interest 07101114 CAST DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 5,358.23 LSD PH SX 157595.1310 SHRS RD 06127 PD 0710111/ 07/31/14 MONEY MARKET FL.ND DWS GOV; CASH INSTL 666.27 LSD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6,024.60 Account Number Go paperless LE r CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)PE RS INCCON F I D iScriAL Page 5 of 8 Rated tocollonli t very Von Late 2007 DAL OAR RA TED COMMUNCATIONS rxenuter ..altn===" -=' k4c ..0c SDNY_GM_00047446 OB-SDNY-0010270 EFIA_00158055 EFTA01290176 Transactions by Type of Activity (continued) Process/ Settlement Date Adivity Type Description Quantity Price Accrued leterest Moult Currency Cash Withdrawals and Deposits 07/16114 FEDERAL FL NOS SENT DEL TSChE DANK TRUST -2,000,00000 LSD US0999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 -2,000,000.00 Money Market Funds 07/16114 MONEY FUND REDEMPTION DWSGOVT CAST INSTL 2D00,000 00 LS) USD999997 07/31/14 MONEY MARKET FLND DNS GOVT CASH INSTL INCOME REINVESTED -66627 LSO REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 1,999,333.73 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 TA& SMITH 345 PAR( AVE'', LE 14TH FLOOR NEWYORK NY 10151 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default M ethod for Mutual Funds: FIRST IN FIRST OLT Default M ethod for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Stailitit$: FIRST IN FIRST OUT Electronic Delivery You have not selected any account cam m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more intone ation. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section indudes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the dosing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any tine, Page 6 of 8 Account Num her USAN ROIL Go paperless tn., yes siacaota LEPERS INC DAL tLINC? BAR RAT ED COMMUNCAUDIVS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEISITIAL SDNY_GM_00047447 DB-SDNY-0010271 EFTA_DO 158056 EFTA01290177