EFTA Document EFTA01290414

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 JEEPERS IN C Your Investment Specialist. MARTIN ZEMAN Asset Summary Percent Acid Type 100% Cash, Money Funds, and Bank Deposits 0% Mutual Funds 100% Account Total Please review your allocation periodically with your Investment Specialist. Your Account is 100% invested in Cash, Money Funds, and Bank Deposits. Deutache Sank Private Ittigh Metienent Wigan Uwirr ate bout December 1, 2018 - December 31, 2019 Account N um ber: Portfolio at a Glance ThisPerlod Year-to-Dale BEGINNINGACCOUNT VALUE 83,262,878.85 $3,243,862.08 Net Cash Deposits and Withdrawals 0.00 41,276.11 Adjusted Previous Account Value 3,262,878.85 3,202,585.97 Dividends. Inters and Other Income 8.105.99 98,717.18 Net Change in Portfolio' 0.00 -32.318.31 ENDINGACCOUNT VALUE $3,268,984.84 $3,268,984.4 Estimated Annual Income 529.866 42 'I Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Prior Year-End Lett Period Tele Period CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 1,522,837.51 1,721,024.57 $3,243,882.08 3,282,878.85 0.00 $3,282,878.85 3,288,984.84 0.00 $3,288,984.84 CONFID A,...:2, RaltamMeM Every Vox Since 2007 DAUM WED COMMUMCATIONS LAC CIL t Page ' of Deering Smelt Penbmg LLC, a wholly armed subokharft time Donli of New Vo4 Mellon Ceeponbm CONY Mellon) Pomo*. ucireirte,EinangStque-IM_00047777 DB-SDNY-00 10601 EFTA_00 158386 EFTA01290414 Summary of Gains and Losses This Period Realized Yer4o•DYe Uweeizad Short-Term Gain! Loss 0.00 4,218.82 0.00 Long-Term Gain! Loss 0.00 442,847.98 0.00 Net Gain! Loss 0.00 443,888.80 0.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes. and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Otte Activity Type Description Amount 3,282,878.85 8,105.99 Balance Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.26% Activity Ending: t2/ 3V 18 12/01118 Opening Balance 12731/18 Deposit INCOM ERBNVEST 3,282,878.85 3,288,984.84 12731/18 Closing Balance $3,288,984.84 Total All Money Market Funds $3,288,984.84 Income and Expense Summary TES. Cisrent Period Non Tokio Taxable Year-to-Da, Non Tattle Dividend Income Money Market Other Dividends 8105.99 0.00 0.00 0.00 29.88842 88850.78 0.00 0.00 Total Dividends, Interest. Income and Expenses $8,105.99 $0.00 $98,717.18 $0.00 Page 2 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accottt Numbe 4 CONFIDO. AL- Rated C.cethwit Every Yaw Since 2007 DALBAR RATED CONVOCATIONS EXCIALINCt Owing 0ms:fleabag IIC• Sally owned subsidiary The Sank of New York Melba CAnnatim (SW WINO Penne. 1.11. 'newt*, Fintx6fAtsytepm_00047778 DB-SDNY-0010602 EFTA_00158387 EFTA01290415 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Decem ber 1, 2018 - Decem ber 3t 2018 JEEPERS INC Opening Oosing Awned Booms 30.0ey Description (heady Balance Balance Income TbisYeat Yield CASK MONEY FUN DS.AND BANK DEPOSITS 100 .00% of Portfolio Money Market CASH AC TR °WS GOVT & AG INSTL 3268,984.840 3.262.878.85 3,268,984.84 0.00 29,866.42 2.19% Total Money Market 53262,878.85 53,268,984.84 50.00 929,866.42 TOTAL CASH. MONEY FUNDS, AND BANK DEPOSITS 53.262.878 85 53.268.984 84 Mallet Value TOTAL PORTFOLIO HOLDINGS $3,268,984.84 Portfolio Holdings Disclosures 50.00 529,866.42 Atoned Whaled Interest Annual Income $0.00 $29,866.42 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, w hich 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 w hich a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATE ONLY A PPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAT) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures 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 M utual 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. Account Bombe C noes .. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L Rated taceilent Every Yew Since2007 DAUM MUD COMMUMCATICMS EXCELLENCE Page 3 of 7 Claim dash hangLI.C, a ally armed mbar/ of The Sordi of New York Mellon Comonthm (MY Man) Pentmg utireerte, EinatAcktlYuSIM_00047779 DB-SDNY-00 10603 EFTA_00 158388 EFTA01290416 Portfolio Holdings Disclosures (continued) Foreign Currency Transactions Pershing will 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 w ill 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. 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. Messages Please note the following information for Pershing's 20 18 IRSForm 1099 (B, DIV, INT, M ISC and DID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2013. By February 15, you will be mailed either your Form 10 99 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15, 2019. Although a money market mutual fund seeks to preserve the value of your investment at S1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary rt , 2 al' .$ sn,,,n are oasr Credits This Period Debits ThisPerki4 Net ThisPedod Credits Yeer4o-Dete Debits Yeaucitote Net Year-to-Date Securities Securities Bought 0.00 0.00 0.00 0.00 41,820 14 41,620.14 Securities Sold 0.00 0.00 0.00 1.750.526 40 0.00 1.750.526.40 Total Securities $0.00 $0 .00 $0.00 $1,750,526 40 461.820 14 $1,688,706.26 Dividends and Interest $6,105.99 $0 .00 $6,105.99 $98.717.18 $0.00 $98,717.18 Cash Withdrawals 0.00 0.00 0.00 0.00 -134.984.04 -134.984.04 Deposits 0.00 0.00 0.00 93,707 93 0.00 93,707.93 Total Cash $0.00 $0.00 $0.00 $93,707.93 4134,984 04 441,276.11 Totals 86.105.99 $0.00 86.105.99 $1.942.951.51 4196.804.18 $1,146,147.33 Page 4 of Account Numbe At 0012CW))::S CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Rated tacearnt Every Vex Since2007 DAUMMIED COMMUMCATIM EXCOAENC( Owing dash hang LIC, a ally armed sulmarft a The Soli of Na, Yak Mellon Camonthm (MY Man) Pentmg utinterte, EinatAcklneLGM_00O47780 DB-SDNY-00 10604 EFTA_00158389 EFTA01290417 Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Transactions by Type of Activity Process Settlement Date nth* Type December 1, 2018 - Decem ber 31, 2018 ,SRS INC Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 12131118 MONEYMARKETRIND CASH AC TR DWSGOVT 6,105.99 USD 'NONE RC-CBVB) PB212045 Total Dividends and Interest - U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 6,105.99 0.00 6,105.99 USD Your Investment Swigs:2BI Corded InfotmatIon MARTIN ZEMAN Your Account Information Telephone Number: ( TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DBJVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log In to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. AL- Page 5 of 7 Rateantilent Every vex Since 2007 DALIN& WED commutacmions EXCCIIENCC Owing Swish Pegging LLC. • fl ap:vaned subsidiary el Ike &onkel New York Melba CAS (MY Melon) Penne. rec. ...urea ntat _ iAnuLGM000477131 DB-SDNY-0010605 EFTA_OO15839O EFTA01290418 Important Information and Disclosures The Role of Pershing • Pershing carries your account asclearing 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 (u) 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 All other inquiries regarding your account or activity should be directed to your financial institution Your financial organization's contact information can be foun on efirst 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 (SIPCO) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www pershing coml about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can b • t page of this statement. Pershing's contact information is as follows Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399: Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain docum ants, w itn ess 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 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 w ith 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 073991 Account Numbeile At0012CFCH CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated Eaceilent Every Yew Since 2007 DAIL& RA7 ED COAWALINICATIONS Cita/ANC( Page 6 of Oaring Sae. Penbni LLC, a wholly owned subweliwy or The Sent of New Yo4 Mellon Ceeporathee MAY Mellon) Penne. KC nverrter tiRtA(klirtuaGM_0004 7782 DB-SDNY-00 10606 EFTA_00 15839 I EFTA01290419 TERMS ANDCONDITIONS TRANSACTORS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F 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: bNTEREST 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 PREVIOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMATION 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 CR 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 TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE AcsnrIATEID 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 FCR YOU N ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. MID PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT 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 INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED CR 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 LIABILITIES 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 POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING COINDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES IRE-GULATON NMS- RULE 807W(1)-(l1 PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. BEST EMOTION: 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 TIEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PRO1ADE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANYOf THE ROVE TERNS AND CCNOITIONSME UNACCEPTABLE TO YOU, FtEASE NOWT PEENING IIAIESONTELY IN WRITING ElY CERTIFIED MUL TO ONE PERSHING PLO. JERSEY CITY. NJ On* ATM LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AMON( Number: At0012C91) CONFIDO. L Raid baked &ay Yew Age2007 EMUMR RATED COMMUMCATICNS EXCEUENCE Page 7 of 7 Owing tlaragang LLC, a -bony armed NbsEWya The Mad el New York Mellon Caponthm (INY Man) Pent...* LLC. ve-ter ElliRnANIYULGM_00047783 DB-SDNY-00 10607 EFTA_00 158392 EFTA01290420 15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 JEEPERS INC dots. he Sari. Pr,sate N•a,l. u,nr6,Men Novem ber 1.2018 - November 30,2018 Account N um ber Portfolio at a Glance ThbPerlod Year-to-Dele Your Investment Specialist: BEGINNING ACCOUNT VALUE $3,316,783.09 $3,243,862.08 MARTIN ZEMAN Nei Cash Deposits and Witbdrawah 49,044.97 .41,276.11 Adjusted Previous Account Value 3,277,738.12 3,202,585.97 Dividends, lathiest and Other Income 9,849.57 92,611.19 Net Change in Portfoliol .24.708.84 42.318.31 I 'Ilf{'A_r.I I $3,282,878.85 $3,282,878.85 Estimated Annual Income 523.760 43 Asset Summary 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Percent Asset Type Prior Yes-Bid Lad Period ThIsPedod 100% Cash, Money Funds, and Bank Deposits 1,522,837.51 1,541,547.85 3,282,878.85 0% M utual Funds 1,721,024.57 1,775,235.24 0.00 100% Account Total 63,243,882.08 $3.316,783.09 $3,262,878.85 Please review your allocation periodically with your Investment Specialist. Your Account is 100% invested in Cash, Money Funds, and Bank Deposits. Page r of 10 Rated (Kant Every Vex Since 2007 DAUM MI ED COMMUCATICM EX( CILDK CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Owing tinge. Anion( LI-C.nib* mend subsidiary SIMUnita New York Mellon Cannatim OW Melba) vents; MC. TV rizti FIldtallaCat 00047784 DB-SDNY-0010608 EFTA_00158393 EFTA01290421 Summary of Gains and Losses TSPeriod Realzed Yes-to-We Uwelime Short-Term Gain! Loss 4,218.82 -1,218.82 0.00 Long-Term Gain! Loss 442,641.98 ,142,641.98 0.00 Net Gain! Loss 443,866.80 -143,866.80 0.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. M ney Market Fund Detail Date Adivily Type Sweep Money Market Fund CASH AC TR DWSGOVT & AG INSTL Current Yield: 2.12% Activity Ending: 11/ 30118 11101118 Opening Balance 1,502,502.88 1,502,502.88 11/01/18 Deposit MONEY FUND PURCHASE 39.044.91 1,541,541.85 11102/18 Withdrawal MONEY FUND REDEMPTION -39.044.97 1,502,502.88 11/29/18 Deposit MONEY FUND PURCHASE 1350,526.40 3,253,029.28 11/30/18 Deposit MONEY FUND PURCHASE 7930.62 3,260,059.90 11/30/18 Deposit INCOM ERBNV EST 2,818.95 3,262,878.85 11/30118 Closing Balance $3,282,878.85 Total All Money Market Funds $3,262,878.85 Desalplion Amount Selina Income and Expense Summary Dividend Income Money Market Other Dividends Total Dividends, Interest, Income and Expenses Cunent Pencel Texan, Non Ttocabk CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 2,818.95 1,030.62 $9.849.57 Yea 4o.Date TEMA Hon Taxable 0.00 0.00 $0.00 23360.43 68,850.76 $92,811.19 0.00 0 00 SO 00 Page 2 of 10 Account Numbe CONFIDO. A RAS (mart (rely Vow Since 2007 DALMR WED C0MMUMCATCMS EX( ULM Omen linos* Pemba. LLC, • Woolly mooed sobsidiarft or llw Snake New York Melon Ce•Pembm (SPO' Melon) Penne. U.C.interter finelareaGM_ 00047785 DB-SDNY-0010609 EFTA_00158394 EFTA01290422 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings govern ber 1,2018 - November 30,2018 )EEP62S INC U Description Quantity CASH. MONEY FUNDS. AND BANK DEPOSITS 100.00% of Portfolio Opening Bain Costae Bain Accrued Immune moon TbisYear aO•Day Yield Cash Balance 39.044.97 0.00 Money Market CASH AC TR CM GMT AG MR. 3.282.878.850 1.502.502.88 3.262.878.85 383.54 23.780.43 2.11% Total Money Market $1,502,502.88 $3262.878.85 $383.54 $23,760.43 TOTAL CASH, MONEY FUNDS. AND BANK DEPOSITS $1.541,547.85 $3.262,878.85 $383.54 $23,760.43 Market Value Accrued Estimated Interest knurl Income TOTAL PORTFOLIO HOLDINGS $3.262,878.85 S000 $23.760.43 Portfolio Holdings 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, w hich 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 w hich a price is not available are marked "N/ A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (E0.1) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.corni disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Account Number At 0 nYsCSIX OS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L Rated hceilent Every Vex Since 2007 DALIAR MT ED C0MMUNCATI0NS EXallENC( Page 3 of '0 Onring IMO. Paging LIC, a wholly...toed subsidiary of Ilie &onkel It,,, York Mellon CciPontim (SW Mellon) n a Pena...* LLc. nwrrtt. 1- 1.201"_ ,J004 7786 DB-SDNY-00 10610 EFTA_00 158395 EFTA01290423 Portfolio Holdings Disclosures (continued) Foreign Currency Transactions Pershing will 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 w ill 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. 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. Schedule of Realized Gains and Losses Current Period Description Dale Disposed Dale Acquired Oeggegion Disposition Method) Tienseclion Quantity Proceeds Cog Bails Rested Contacts Short Term PLI ORGAN FLOATING RA 11128/18 11129/17 Covered First In First Out! SELL 623.252 5.740.15 5.839.87 19.72 FUND CLASS I 11/28118 12128/17 Covered First In First Out! Sal. 643.624 5.927.78 6.037.19 409.41 Scarily Identifier: 4812t51.1 11/28118 01130/18 Covered First In First Out SELL 644.018 5,931.41 6.085.97 .154.56 11128/18 02/27118 Covered First In First Out! Sal 578.418 5.327 23 5,437 13 -109.90 11/28118 03/28118 Covered First In First Out SELL 719.153 6.623.40 6.760.04 .136.64 11/28118 04127/18 Covered First In First Out! SELL 624.706 5,753 54 5,872 24 -118.70 11/28118 05130/18 Covered First In First Out! SELL 644.596 5,936 73 6.033.42 16.69 11/28118 06128/18 Covered First In First Out! sat 565.864 5.211.61 5,285.17 -73.56 11/28118 07130118 Covered First In First Out! sat 545.777 5.026.61 5,113.93 17.32 11/28118 08130/18 Covered First In First Out! Sat 667.424 6,146 98 6,253.76 -106.78 11/28/18 09127/18 Covered First In First Out! Sal 697.472 8.423 72 6.549.26 -125.54 Total 6,954.304 64,049 16 65.267.98 -1,218.82 Total Short Term 64149.16 65,267.98 4,218.82 Long Term SW ORGAN FLOATING RA 11/28118 02/13/13 Covered First In First Out! SELL 148,957 299 1,371,896 72 1,499,786 23 -127,114.67 FUND CLASS I Adjustment: -774.84 Adpslmenl Type:LY Security Identifier. 4821.513 11/28118 03101/13 Covered° First In First Out! SELL 533.047 4.909 36 5,361.69 .452.33 11/28118 04101113 Covered13 First In First Out SELL 591.454 5,447 29 5.978.76 .531.47 11/28118 05/01/13 Covered° First In First Out! SELL 562.992 5.185 16 5,702.30 -517.14 11/28118 06103/13 Covered° First In First Out sat 567.343 5.226 23 5.723.68 498.45 11/28118 07/01/13 Covered° First In First Out! SELL 500.501 4.609 61 4.989.29 -37918 11/28118 08/01/13 Covered10 First In First Out! sat 527.827 4.861 29 5.309.17 447.88 11/28118 09/03/13 Covered° First In First Out! SELL 531.248 4,892 79 5,327.65 434.86 11/28118 10101113 Covered First In First Out! sat 533.102 4.909 87 5.346.24 436.37 11128118 11/01/13 Covered First In First Out! SELL 531.254 4,892 85 5.364.90 472.05 Page 4 of 10 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number At 00: CONFIDg L Rated (Kant Every Vex Saxe 2007 DAIJAR WED COMMUMCATIM EXCIEILENCt OaresUtoud. habeg LIC, a ally armed subs:Yr/0 The scum of New York Mellon Comonthm OINY Man) Per)tre. C . Int e EllatANIKIS,M_00047787 DB-SDNY-0010611 EFTA_00 158396 EFTA01290424 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Dale Date Description Disposed Acquired Designation Long Term (continued) "al ORGAN FLOATING RA 11/28118 12/02/13 Covered (continued) 11128118 12113113 Covered 11/28118 12113/13 Covered 11/28118 01102/14 Covered 11/28118 02103/14 Covered 11/28118 03103/14 Covered 11/28118 01101114 Covered 11/28118 05101/14 Covered 11/28118 06102114 Covered 11/28118 07/01/14 Covered 11128118 08/01114 Covered 11/28118 09102114 Covered 11128118 10/01/14 Covered 11/28118 11103/14 Covered 11/28/18 12/01/14 Covered 11/28118 12131/14 Covered 11128/18 01130115 Covered 11/28118 02/26/15 Covered 11/28118 03130115 Covered 11/28118 04129115 Covered 11/28118 05/28115 Covered 11/28118 05129115 Covered 11/28118 06129/15 Covered 11/28118 07130/15 Covered 11/28118 08128/15 Covered 11/28/18 09129/15 Covered 11/28118 10129/15 Covered 11/28118 11127/15 Covered 11/28118 12130/15 Covered 11/28118 01128/16 Covered 11/28118 02126/16 Covered 11/28118 03130/16 Covered 11128118 04128/16 Covered 11/28118 05/27/16 Covered CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) November 1,2018 - November 30,2018 EEPERS INC Cisposilion Method / Transodion first In First Out / Sal first In First Out sat first In First Out / Sal first In First Out sat first In First Out! Sal Ant In First Out 1 Sal first In First Out! SB.L first In First Out! Sal first In First Out! Sal first In First Out! Sal. first In First Out! Sal first In First Out! SELL Fret In First Out! Sal first In First Out! Sat first In First Out! Sal first In First Out! Sal first In First Out! Sal first In First Out! Sat first In First Out! Sal first In First Out! Sal first In First Out! SBA first In First Out !KU first In First Out! SELL first In First Out! SBA first In First Out! SELL first In First Out! SELL first In First Out I SBA first In First Out 1 Sal first In First Out! Sat first In First Out! Sal first In First Out! Sal first In First Out! sat first In First Out! Sat first In First Out! sat Ouentity Proceeds Cod Oasis Renaud Gain:Loss 502.136 4,624.67 5675.88 451.21 68.324 629 26 691.36 62.10 74.729 688.25 756.17 67.92 688.283 6,339.09 6,950.67 411.58 475.322 4.377.72 1.809.57 431.85 476.778 4.391 13 4.824.30 433.17 509.595 4.693.37 5.151.29 457.92 466.165 4.293.38 4.698.25 -404.87 497.735 4.584.14 5.026.11 442.27 529.993 4.881.24 5.357.46 476.22 519.731 4.786.75 5.217.36 430.61 536.709 4.943.09 5.393.16 450.07 609.154 5.610 31 6.048.04 437.73 595.391 5.483.58 5.911.41 427.83 533.542 4.913 92 5.291.97 -378.05 811.220 7,471.34 7,883.90 412.56 566.892 5.221 08 5,498.03 -276.95 463.235 4.266.39 4.543.67 -277.28 548.072 5,047.74 5,370.33 -322.59 546.572 5.033.93 5.388.42 -354.49 499.053 4.596 28 1.914.96 418.68 5.173 47.64 50.95 -3.31 553.457 5,097.34 5,423.10 -325.76 628.403 5.787.59 6.100.89 -313.30 606.063 5,581.84 5,793.10 .211.26 561.429 5.170.76 5.315.93 -145.17 673.931 6,206.90 6.33317 -127.07 632.658 5.826 78 5.857.50 -30.72 791.791 7.320.05 7.223.53 96.52 621.042 5,71980 5,569.85 149.95 690.775 6,362.04 6,098.55 263.49 636.321 5,860 52 5,783.25 77.27 666.015 6134.00 6.146.37 -12.37 610.909 5,626 47 5,656.15 -29.68 Account Numb. AtO0W4SMOS CONFIDO. L [want Every Year Since 2007 DMZM RATED COMMLINCATICOS EXCIUDICIE Page 5 of '0 OnrinftWOhnbaqUCawlWlyormed sublifladySIMWSONtreforkMacm GorpontWWWMAGO Pemba ux.imirta ,thenArAinuS.M_00047768 DB-SDNY-00 10612 EFTA_00 158397 EFTA01290425 Schedule of Realized Gains and Losses Current Period (continued) Dale Dale Realized Description Dispond Acquired Derivation Cisposition Mel hod, 'Dyad ion Quality Proceeds Con Basis Gain, Loss Long Term (continued) ,PM ORGAN FLOATING RA 11128118 06129116 Covered First In First Out! SELL 613.915 6.206.76 6.192.30 14.46 (continued) 11/28118 07128116 Covered First In First Out! sat 684.914 6,308.06 6,389.26 11.20 11/28118 08130/16 Covered First In First Out! SELL 629151 5.800 93 5.894.50 13.57 11/28118 09129/16 Covered First In First Out / Sal 557.175 5.131.58 5.219.94 18.36 11/28118 10/28/16 Covered First In First Out / SBA 685.724 6,315 52 6.45153 -143.01 11/28118 11128116 Covered First In First Out / sat 560.557 5.162 73 5,257.23 14.50 11128118 12/29/16 Covered Rat In First Out / sat 894.039 8.234 10 8.43144 -204.34 11/28118 01/30/17 Covered First In First Out / SELL 549.386 5159.85 5.202.01 442.16 11/28118 02/27/17 Covered First In First Out / SELL 523.765 4,823 88 4.959.47 -135.59 11/28118 03130/17 Covered First In First Out! SBA 518.490 4.775.29 4.888.87 -113.58 11/28118 04127/17 Covered First In First Out! SELL 564.565 5.199.64 5.334.73 -135.09 11/28/18 05/30/17 Covered First In First Out! Sat 626.642 5.771.37 5.915.18 -143.81 11/28118 06129/17 Covered First In First Out / S&L 508.343 4,681 84 4,778.24 16.40 11/28/18 07/28/17 Covered First In First Out! SELL 502.171 4.624.99 4350.45 -125.46 11/28118 08130/17 Covered First In First Out / S&L 577.994 5.323 32 5,438.92 -115.60 11/28118 09/28/17 Covered First In First Out! SELL 532.310 4.902.58 5.009.04 -106.46 11/28118 10130/17 Covered First In First Out! Sal 585.708 5,394.37 5,523.23 -128.86 11/28118 10130/18 Covered First In First Out/ NU 902.486 8111.87 9.204.06 192.19 Your lot bastion adjusted dee to awash sale for more than one year Total 183,113.709 1,686,477 24 1,829,900 06 442,647.98 Total Long Term 1,686,477.24 1,829,900.06 442,64718 Total Short and Long Term 1,750,526 40 1,895,168.04 -143.866.80 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as-covered". were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However. if the account does not receive a 10998, the cost basis will not be reported to the IRS. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes. especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained I rom sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1399-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Page 6 of '0 Account Numbe At 00:YsacX OS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Pateamant EveryVex Since 1007 DALIN, ILMID COMMUMCATICNS EXCOAD.Ct Owing dash hang LIC, a ally armed subs:Yr/0 The km of New York Mellon Carponthm OINY Man) Penne. LIX.rnerrter miRIANIY4S-IM_0004 7789 DB-SDNY-00 10613 EFTA_00 I 58398 EFTA01290426 I 5 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) clovember 1,2018 - November 30,2018 EEPERS INC 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 Misinformation. w Wash Sales Loss - This adjustment is the amount for a disallowed wash sale loss. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method The disposition method is the method which you have selected to use in the disposal of each lax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In. First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/ or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Messages Please note the following information for Pershing's 20 13 IRS Form 1099 (B, OIV. INT, M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019 By February 15, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15.2019. Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (Aii areoun.s sod.% n are case —rree-y) Debits ThisPeriod Net ThisPeriod Credits Yew-to-Date Debits Yea-to-Date Net Year-to-Date CreditsThisPeriod Securities Securities Bought 0.00 0.00 0.00 0.00 41,820.14 -61,820.14 Securities Sold 1,750,526.40 0.00 1.750.526 40 1,750,526.40 0.00 1.750.526.40 Total Securities 91.750.526.40 90.00 91,750,526.40 $1,750.526.40 461.820.14 11,688,706.26 Dividends and Interest 94849.57 90.00 99.849.57 992,611.19 90.00 992,611.19 Cash Withdrawals 0.00 '39,044.97 -39.044.97 0.00 ,134,984.04 -134,984.04 Deposits 0.00 0.00 0.00 93,707.93 0.00 93,707.93 Total Cash 90.00 439,044.97 439.044.97 $93,707.93 4134.984.04 441,276.11 Totals $1,760,375.97 439,044.97 51,721,331.00 91,936,845.52 4196,804.18 $1,740,041.34 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number At MO: CONFIDg L-- Rated EtcliMM Every Vex Since 2007 DAWN MUD COMNiuMCATIM EXCIEILENCt Page 7 of '0 Oaring Sae. habits Lit, a wholly owned subskliary a The ear of New York Mellon Conmeatim (NIT Melon) Pentrtt LIX, everrter ElliRAVAYYULGM_00047790 DB-SDNY-0010614 EFTA_00 158399 EFTA01290427 Transactions by Type of Activity Process Trade; Settlement Transadion Date Dote Adivily Type Doksiption Quantity Pike Monied Internal Amount Wring Securities Bought and Sold 11/29118 11128/18 931.0 PMORGAN BOATING RATE INCOME FUND CUSS I ,190,068.013 9.2100 1,750,526.40 USO .PHSX UNSOLICITEDORDER Total Securities Bought and Sold -U.S. DOLLARS 0.00 1,750,528.40 Dividends and Interest 11129/18 CASI DIVIDEND RECEIVED "MORGAN ROVING RATE INCOME FUND CLASS I SIRS RD 7,030.62 USD INK 1/27 PD 1129/13 11130/18 MONEY MARKET FUND CASH AC TR DVISGOVT 2,818.95 USD INCOME RC-CBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 9,849.57 Cash Withdrawals and Deposits 11102118 FEDERAL FUNDSSENT MORGAN CHAM BANK, -39,044.97 U50 USDAG9997 Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 -39,044.97 Total Value of Transactions 0.00 1,721,331.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Specialist. ZEN MARTIN ZBAAN Your Account Information Corded Information Telephone Number TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield M ethod: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Page 8 of 10 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: CONFIDO. AL At 0:: Rated (warm Every Vox Since 1007 DAIJAR MT ED COMMUNICATIC4.5 EXCCUENC Owing through ks% PIC • sadly weed subsidiary a The Bonita New Yak Who Corpontim (MY Mellor° Penhas 'wets( itatatiAttlacioung DIEI-SDNY-0010615 EFTA_00158400 EFTA01290428 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Your Account I nfor mat n (c ntinued) November t 2019 - November 30,20 JEEPERS IN C ELECTRONIC DELIVERY You have not selected any account corn munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Imp rtant Informas. on and Discl sures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 II other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be fo ge 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 (SIPCO. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-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 Roza, Jersey City, New Jersey 07399; rors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain docum ents, w itness 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 for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 9 of 10 flamed Numbe CONFIDO. AL- Med ballerd bay Year Slece 2007 DALIAR RAl ID COMNARCATICOS MEILEN< ( Owing Paging Lit. • fob owned subsidiary el me aorta New York Melba CaPonthal (MY Melba Pentww ac. nwrte FitistAgatreaPik00047792 DB-SDNY-0010616 EFTA_0015840I EFTA01290429 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 w ith 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 U_C, Legal Department. One Pershing Plaza, Jersey City. New Jersey 07399: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Aanint Phial C At 00:W=0 I ONFID I • i s:I ltd. • L- Reed Eat Every Yew Ace 2007 DRUM WED COMMUMCATICMS EXCIILItea Page '3 of 'D Oaring Sae. Paging LI.C, a wholly owned submiMy of The eat of New York Mellon Cerponbee (SHY Mellon) yenMtU.C. inenta ketAckill YuLGM_0004 7793 DB-SDNY-00 10617 EFTA_00 158402 EFTA01290430 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 JEEPERS INC NOW./ sant RIME tatarth Minarkerner. Mohan Cotarage 6maz Oaatschir Sank Sentare, ha Maw roe. alp HI Park An,.... nth rape manta. NY 10154 Tall ;me 1.124505 Wreck XI PPS seat October 1, 20 18 - ctober 31 20 18 Account Number Portfolio at a Glance ThisPertod Year4o-Dere ialist BEGINNINGACCOUNT VALUE 83,278,067.08 83,243,862.08 Net Cash Deposits and Withdrawals 39,044.97 -2,231.14 Adjusted Previous Account Value 3,317,112.03 3,241,830.94 Dividends, Interest and Other Income 11,020.99 82,781.82 Net Change in Portfolio( -11.349.93 -7.609.47 $3,316,783.09 83,318,783.0 Estimated Anneal Income 596.341 46 'Net Change in Portfolio lathe difference between the ending account value and beginning account value after activity. Asset Summary Percent Asset Type Prot Yeat-End Last Period This Petted I. 46% 54% Cash, Money Funds, and Bank Deposits Mutual Funds 1,522,837.51 1,721,024.57 1,499,911.11 1,718,155.95 1,541,547.85 1,775,235.24 100% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. 83,243,882.08 83,278,087.08 83,318,783.09 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ConNFID AL- Page 1 of 8 Ratecl (.[Wit Every VW Sacs 2007 DMUS RA TED COMMUNCATIONS EXCIAL (NC t Gesting through Pining La. M fl * mond subsidiary b The Unit of New York Mellon Coissabsot &Mora Penne. MC. mutt*, FilitatlAtreaGM 00047704 DB-SDNY-0010618 EFTA_00158403 EFTA01290431 Summary of Gains and Losses Realized This Period Yeepte•Dde Ulna* Short-Term Gain! Loss 0.00 0.00 -314.79 Long-Term Gain! Loss 0.00 0.00 -111843.17 Net Gain! Loss 0.00 0.00 -119,157.96 This summary excludes transactions where cost basis information is not available - or Your Information The European Central Bank (the ECB' ) and other credit institutions Introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 099 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Dole AdlvNy Type Description Meant Bohm Sweep Money Market Fund CASH AC TR DWSGOVT 8 AG INSTL Current Yield: 2.08% Activity Ending: 10/ 31/ S 09129/18 Opening Balance 10/31118 Deposit INCOM EREINVEST 1,499,911.11 2,59177 1,499,911.11 1,502,502.88 10/31118 Closing Balance 11,502,502.88 Total All Money Market Funds $1.502,502.88 Income and Expense Summary Tagil affront Period Non Taste, Texan Tetto•Dale Non Texabk Dividend Income Money Market Other Dividends 2,591.77 8,429.22 0.00 0.00 20,941.41 61,820.14 0.00 0.00 Total Dividends, Interest. Income and Expenses 111.020 99 $0.00 182,761.62 $0.00 Page 2 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. 4 CONFIDO. AL- Rated Carellent Every Vex Since 2007 DAIJAR ltAl ED COMMUNCATIONS EX( ULM C Owing tlwonsh Penting Ilt. a Sally owned subsidiary e4 The Bonita New York Melon Ccnaatim (MY Mellott) Penne. LIX. mutt*, FilitatikkaGM_ 00047795 DB-SDNY-0010619 EFTA_00158404 EFTA01290432 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Portfolio Holdings October 1, 2018 - October 31, 2013 JEEPERS INC • Amount AdMty Opening Opening Dale Gunny Number &ding Benue doing Una Accrued Income Marne miner 30.Ooy D1rrent Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 46.00% of Portfolio Cash Balance 0.00 39,044.97 Money Market CASH AC TR DWSGOVT A AG INSTL 09/29/18 1,502,502.880 WA 10131118 1,499,911.11 1502,502.88 0.00 20,941.18 2.03% 2.08% Total Money Market $1,499,911.11 $1,502,502.88 $0.00 $20,941.48 TOTAL CASH, MONEY FUNDS, AN D BANK DWOSITS $1,499,911.11 11,541,547.85 $0.00 $20,941.48 Darn/Iced Blinded &limited Clete Acquired Quantity Unk Cod Cod Bads Mmeet Price Market Wu Ger /Loss Annul Income Yield MUTUAL FUNDS 54.00% of Portfolio SY ORGAN BOATING RATE INCOME FUN() Swirly Identifier. „PHU CLASS I CUSIP. 4821.513 Open End Fund Dividend Option: Reinvest: Capilal Gains Opting Reinvest 02113/13 ° 148,957.299 10.0690 1,499,786.23 9.3400 1,391,261.18 4 08,525.05 59,091.36 424% 03101113 * 533.047 10.0590 5,361.69 9.3400 4.978.66 483.03 211.46 424% 04101/13 n 591.454 10.1090 5,978.76 9.3400 5,524.16 -454.58 234.63 424% 05101113 * 562.992 10.1290 5,702.30 9.3400 5.258.35 -443.95 223.34 424% 06103/13 ° 567.343 10.0890 5,723.68 9.3400 5298.99 -424.69 225.07 424% 07101/13 500.501 9.9690 4,989.29 9.3400 4,674.67 414.62 198.55 424% 08101/13 * 527.827 10.0590 5,309.17 9.3400 4,929.90 479.27 209.39 424% 09103/13 531.248 10.0290 5,327.65 9.3400 4.961.85 465.60 210.75 424% Reinvestments to Gate 37.298.302 9.5510 356,214.43 9.3400 348,347 46 .7.866.97 14.795.43 424% Total Covered 190,068 013 1 894 393.20 1,775,235 24 -119,157 96 75,399.98 Total 190,068 013 $1,894,393.20 $1,775,235.24 4119,15796 $75,399.98 TOTAL MUTUAL FUNDS $1,894,393.20 $1,775,235.24 4119,157 96 $75,399.98 Unrealized Accrued Estimated Cot Beds Markel Vaen Get Loss interest Annuallecome TOTAL PORTFOLIO HOLDINGS $3,435,941.05 $3,316,783.09 4119,157.96 $000 $96,341.46 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 8 Account Number. rtrernslor CONFIDO L--- R.med (warm Every Vex Sac. 2007 DALBAR RAT ED CONVOCATIONS MEAL CNC t Owing tlwonsb Penbing PIC. /o oda* wned subsidiary el The Bonita New York Mellon CA•Pontim (MY Melba) Penne. U.C. 'newt*, FilitaliklYIELGM_00047796 DB-SDNY-0010620 EFTA_0015 8405 EFTA01290433 Portfolio Holdings (Continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form V 99-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B. the cost basiswill not be reported to the IRS. " 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 thisinformation. Portfolio Holdings 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 "Ni A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATEN ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/ disclosures 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 glow. Option Disclosure 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. Foreign Currency Transactions Pershing will 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 196, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates In effect on the date you executed a transaction, Incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 4 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Amount Num bell= A !!? CONFIDO. PAS taceilent Every Yaw Since 2007 DAUM RAI ED commumcAncres MULOA( Owing tinge. holing IIC. a slay craned subskliady a TheUnita New York Make nonmentba (MY Mellor° Penh* UX arta FniRktakkinievA4_00047797 DB-SDNY-0010621 EFTA_00158406 EFTA01290434 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) October t 2018 - October 31,2018 JEEPERS INC 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note that as of November 1.20 tEl.Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates. Activity Summary fA. arr,oun.s snann drt oase ..,rren4) Debits ThisPelod Net ThNPeriod Creel's Yea-to-Date Debits Yeas-Nate Net Year-to-Date Cledits TNs Period Securities Securities Bought 0.00 4.429.22 4,429/2 0.00 41.820.14 .61,820.14 Total Securities $0.00 48.429 22 48,429 22 $0.00 461.820 14 461,820.14 Dividends and Interest $11.020.99 $0.00 $11,020.99 $82.761.62 $0.00 $82,761.62 Cash Withdrawals 0.00 0 00 000 0.00 -95.939 07 -95.939.07 Deposits 39.044.97 0.00 39.044 97 93,707.93 0.00 93.707.93 Total Cash $39,044.97 $0.00 $39 044 97 $93,707.93 495,939.07 42,231.14 Totals $50.065.96 48,429.22 $41.636.74 $176.489.55 4157.759.21 $18.710.34 Account Numbe ufunsxcx CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO' L Rated Emealent Every Yew Since 1007 DAUM, feAl ED COMMUNICATIONS EXCOAD4a Page 5 of a Oaring Sae. Pentane LI.C, a wholly ...fled fulmar/ Slimes* of New York Mellon Caponthee (MY Melon) Penheoll.C.immter FINRIAINIPGAM_0004 7798 DB-SDNY-00 10622 EFTA_00 158407 EFTA01290435 Transactions by Type of Activity Nees& Settlement Date Aderily Type Description Quantity Price Amsted littered Amount Oaring Securities Bought and Sold 10/30/18 REINVESTCAS1 IRCOM E SIORGAN FLOATING RATE INCOME FUND CUSS 119151270 902.486 4,429.22 USD .PHSX SHRSSHRSFURCH.AT S9.34000 RD 13126 PD 13/30/2 Total Securities Bought and Sold -U.S. DOLLARS 0.00 4,429.22 Dividends and Interest 10130/18 CASH DIVIDEND RECBVED SUORGAN ROATING RATE INCOME FUND CLASS 119151270 8,429.22 USD SKS% SIRS RD 1126 RD 0130113 10/31/18 MONEY MARKET FUND CASH AC TR DWSGOVT 2,691.77 USD INCOME RECBVED PER232045 Total Dividends and Interest - U.S. DOLLARS 0.00 11,020.99 Cash Withdrawals and Deposits 10/31/18 FEDERAL FUNDS RECEIVED BANK OF AMERICA NA. 69448 39,044.97 USD U93090997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 39,04497 Total Value of Transactions 0.00 11,636.74 USD The price and quantity displayed may have been rounded. °lent Service Information You Investment Spedalie ZEN MARTIN TPA AN Your Account Information Contad Information Telephone Number TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Accrual market discount method for all other bond types: Include market discount in income annually: CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) First In First Out First In First Out First In First Out Yes Constant Yield Method No Page 6 of 8 Account !Aerobe... mcn. v CONFIDO. Rated (Kant Every Yaw Since 2007 DAWN MUD C0MMUNCATI0NS EX( CIL CI owing linnet Penteng IIC.• wholly nand subskliani dine Bonita New York Melba OnSnatini (MY Mein° eememmuxdslese.emeaatiteue4A _00047799 DB-SDNY-0010623 EFTA_0015 8408 EFTA01290436 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Your Account Information (c ntinued) October t 2018 - October 31,2018 JEEPERS INC ELECTRONIC DELIVERY You have not selected any account corn munications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment Specialist for more information. ortant Inf rma: nand Discl sores The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 ( A II other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC49). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit:www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows. Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accotsit Numb CONFID AL- At. Page 7 of 8 nateamedlent Every Vex Since 2007 DAIJARRMEDCOMMUMCATIOM5 EXCELLEW( Owing tiwonsh Pasting PIC•who* owned solmielMy el The Bonita New York Melba CenenaMe (MY Mellon) 4C. immter FIIIRAMAtiter4 t 00047800 DB-SDNY-0010624 EFTA_00158409 EFTA01290437 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 w ho has not opted out of the class with respect to any claims encompassed by the putative class action until. (I) the classcertification is denied: (II) the class is decertified. or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows Pershing LLC: Legal Department, One Pershing Plaza, Jersey City. New Jersey 07399: Page 3 of Account Numbe At 1915,r4 DX CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L bled hernent Every Vow Sae 2007 DALIN, RNIED COMMUNICATIONS MOAN< C Clewing Orme. POTbeg LLC, a wholly owned subschary of The UM of Now York Mellon Cemonthee (MY Mellon) Penne.* µtine's*. I lottakki tjLehl_00047801 DB-SDNY-00 10625 EFTA_001158410 EFTA01290438 F1 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 DeutHhe ISM Nisi... /teeth Mon./town Nana. Cenral< 0.08 On-tithe gam Nn', ' September 1, 2018 - Se tem ber 30,2018 Account Number JEEPERS INC Portfolio Glance at a ThisPerlad Year10-Dale Your Investment Specialist. BEGINNINGACCOUNT VALUE $3,263,539.08 $3,243,862.08 MARTIN ZEMAN Nel Dash Deposits and Withdraw* 0.00 41,276.11 011.1.111 Adjusted Previous Account Value 3,263,539.08 3,202,585.97 Dividends. Interest and Other Income 8,866.97 71,710.63 Net Change in Portfolio' 5.661 01 3.740A6 ENDINGACCOUNT VALUe $3,218,067.06 $3,278,067.06 Estimated Annual Income 590.714 98 1 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Asset Type Prins Year-End Last Period This Period Penal 46% 54% Cash, Money Funds, and Bank Deposits Mutual Funds 1,522,837.51 1,721,024.57 1,197,593.10 1,765,945.68 1,199,911.11 1,778,155.95 100% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. 83,243,862.08 83,283,539.08 83,278,067.06 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) RASNANCent Every Vex SCA 2007 DAUM WED CONVOCATIONS EXCUIDICt Page ' of Owing tinge. Amiens LTC. a .MIN TANsed subsklINN W The WC el New York Mellon Carponthas (MY Mellon) ATNANA LTC. Acta TIARA $(49Kal_00047802 DB-SDNY-00 10626 EFTA_0015841 I EFTA01290439 Summary of Gains and Losses Regale This Period Yette•Dele Unrealized Short-Term Gain! Loss 0.00 0.00 84.87 Long-Term Gain! Loss 0.00 0.00 407,892.90 Net Gain! Loss 0.00 0.00 -107,808.03 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1942 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date AdIvIly Type DesalptIon Amount Blase Sweep Money Market Fund CASH AC TR DWSGOVT 8 AG INSTL Current Yield: 1.87% Activity Ending:0 9/ 28! 18 09/01/18 Opening Balance 09/28118 Deposit 09128118 Closing Balance Total All Money Market Funds Income and Expense Summary INCOM E REINVEST 1,497,593.40 2,317.71 1,497,593.40 1,499,911.11 $1 499 911.11 $1,499,911.11 0srent Pedal Tetto•Dde TENNI Non Tool* Trani Non Taxable Dividend Income Money Market 2,317.71 0.00 18,349.71 0.00 Other Dividends 8,549.26 0.00 53,390.92 0.00 Total Dividends, Interest. Income and Expenses 88,888.97 $0.00 871,740.83 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 9 Account !Aunty CONFID AL- Rated (KaNnt Every Vex Since 2007 DALIIAR RAT ED CONVOCATIONS EXCIA CNC t Owing tinge. Amble( PIC a Sally owned subsidiary time brat a New York Melon Ccnaatim (MY Mellon) Pent.. LIX. mInta mitatikkierat00047803 DB-SDNY-0010627 EFTA_00158412 EFTA01290440 Deutsche Bank P.O.Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings Septem ber 1, 2018 - Septem ber 30, 2018 JEEPERS INC Account AdMty 01:41619 Closing Accrued home 30-Day affront Opening Cale Ottanaly Number Ending Balance Balance Income TbitYear Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 46.00% of Portfolio Money Market CA51 AC TR DWSGOYT 5 AG INST1. 09101/18 1,499,911.110 N/A 09/28118 1,491,593.40 1,499,911.11 0.00 16349.71 1.87% 187% Total Money Market $1,497,593.40 91,499,911.11 $0.00 $18,349.71 TOTAL CASH, MONEY FUNDS, AN D BANK DEPOSITS 91,497,593.40 81,499,911.11 90.00 $18,349.71 Date Acquired Cluentily Wit Celt Cod Bat Markel Price Market Vat Unrealized Gar Loss EstimMed Estimated Annual income Yield MUTUAL FUNDS 54.00% of Portfolio ,PM ORGAN FLOATING RATE INCOMEFUND CLASS I Open End AM Dividend Option: Reinvest; Capilal Gains 004: Reinvest Stonily Identifier:SIM CUSP. 4821.513 02113/13' 3 118,957.299 10.0690 1,499,786.23 9.4000 1,400,198.61 .19,587.62 56,983.61 4.06% 03101/13 0 533.047 10.0590 5,361.69 9.4000 5,010.65 451.04 203.92 4 06% 04101/13' 3 591.454 10.1090 5,97816 9.4000 5,559.67 419.09 226.26 406% 05/01/13 0 562.992 10.1290 5,702.30 9.4000 5292.13 -410.17 215.37 4 06% 06/03/13 0 567.343 10.0890 6,723.68 9.4000 5,333.03 490.65 217.04 4.06% 07101/13 O 500.501 9.9690 4,989,29 9.4000 4,704.72 -284.57 191.47 4.06% 08101113'3 527.827 10.0590 5,309.17 9.4000 4,961.57 447.60 201.92 4.06% 09/03/13 O 531.248 10.0290 5,327.65 9.4000 4,993.74 433.91 203.23 4.06% Reinvestments to Date 36,393.816 9.5560 347,786.21 9.4000 342,101.83 4,683.38 13,922.45 4.06% Total Covered 189,165.527 1,885,963.98 1,718,165.95 ,107,808.03 72,365.27 Total 189,165.527 $1,885,963.98 $1,778,155.95 4107,808.03 $72,365.27 TOTAL M UTUAL FUNDS $1,885,963.98 $1,778,155.95 4107,808.03 $72,365.27 Unrealized hayed EstirnMed Cod Ws Markel Value GeintLow Meted Annual Income TOTAL PORTFOLIO HOLDINGS $3,385,875.09 $3,278,067.06 4107,808.03 $0.00 $90,714.98 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 9 Account Number CONFIDO. AL- Rated (Kant Every Yaw Since 2007 DAIJAA WED commueadrinores EX( LENC Owing tlwonsh Patti ISC.• Slay owned subsidiary e4 The brat of New York Meqoa CoPontimi (MY Meta) Penne. LIX. immte, ntimAlklYaGik00047804 DB-SDNY-0010628 EFTA_00158413 EFTA01290441 Portfolio Holdings (continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form V99-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B. the cost basiswill not be reported to the IRS. "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. Portfolio Holdings 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 "Ni A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershingcomf disclosures 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 PA utuat 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. Option Disclosure 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. Foreign Currency Transactions Pershing will 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 196, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates In effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 4 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number Att:i): CONFIDO. AL- Rated E•eawn Every Vex Sac. 2007 OMAR RATED CONVOCATIONS EXCIAL INC( Owing tiwonsh Pmbing Ilt. a Sally craned subsidiary a The Bonita New York Mete Calwatim (MY Mellon) Penn.'s MC. 'newt« FilitactlYEEPM_00047805 DE(-SDNY-0010628 EFTA_00158414 EFTA01290442 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) September 1,2018 - Septem ber 30, 2019 JEEPERS INC 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. Messages 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 30,2018, Pershing's net capital of $2.68 billion was 15.25% of aggregate debit balances and exceeded the minimum requirements by $2.33 billion. 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, 2018, Pershing's net capital of $2.77 billion was 16.37% of aggregate debit balances and exceeded the minimum requirement by $2.43 billion. A copy of the June 30, 2018, Statement of Financial Condition is available at www.pershing.com! statement-of-financial-condition. You may also request a free, printed copy by calling (888) 860-8510 or (201) 413-4200, option 5. Although a money market mutual fund seeks to preserve the value of your investment at $1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note that as of November 1.20 t9.Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates. Activity Summary (An amoon,s snovin are.n ease rren4) Credits This Period Debits TbisPerio4 Net ThisPeriod tredits Year4o•Dele Debits Yetv4o•Date Net Yeu4o•Date Securities Sec-mm(3°49111 0.00 4,549 26 6,549 26 0.00 43,390 92 53,390.92 Total Securities $0.00 46.549.26 46,549.26 $0.00 453,390.92 453,390.92 Dividends and Interest $8.866.97 $0.00 $8.866.97 $71.740.63 $0.00 571140 63 Cash Withdrawals 0.00 0.00 0.00 0.00 -95,939 07 45,939.07 Depouls 0.00 0.00 0.00 54,662.96 0.00 54,662.96 Total Cash $0.00 $0.00 $0.00 $54.662.96 495,939.07 441,276.11 Totals 58.866 97 46.549 26 $2.317.71 $126.403.59 4149.329 99 422.926 40 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. At C0M WIC 02t CONFID L Rated CactIMM Every yew Sme 2007 DAUM MUD COMNiuWATIONS EXCULEMt Page 5 of 9 Oaring Sae. Penbm LLC, a wholly armed sulmoary of The Soak of New York Mellon Cmperatim OW Melon) Petro 11C rrerrtee iliRIAWlYaSIM_0004 7806 DB-SDNY-00 10630 EFTA_00158415 EFTA01290443 Transactions by Type of Activity Rouse Settlement Date Adivily Type Destsiption Duality Pd, Monied literal Amount Currency Securities Bought and Sold 09/27118 REINVESTCASHINCOME StIORGAN BOATING RATE INCOME FUND CLASS I 697.472 .PHSX 18468.0550 SHRSSHRSPURCH.ATS9.39000 RD 09/25 PO 0912711 -6,649.26 USD Total Securities Bought and Sold - U.S. DOLLARS 0.00 Dividends and Interest mute CASH DIVIDEND RECBVED IMORGAN BOATING RATEINO3ME FUND CLASS I .PHSX 18468.0550 SHRSRI3 09125 PO 09127/11 09128118 MONEY MARKET FUND CASH AC TR DWSOOVT INCOME RECEIVED PER232045 -6.549.26 6.549.26 2,317.71 USD USD Total Dividends and Interest - U.S. DOLLARS 0.00 8,866.97 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 2,317.71 USD Client Service Inf rmation tooted loloimition Yew Inurement Spenalitt: ZEil MARTIN ZEMAN Telephone Number Your Account Informal n TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First in First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Vicki Method Include market discount in income annually: No ELECTRONIC DEUVERY You have not selected any account com mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Page 6 of 9 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accout Number A: C: uazon CONFIDO. AL- Raid baleen Every Year Shwa 2007 DAYAR RATED COMMUNCATICOS EXCLUDICt Owing tlwonsh Mang LC. • Stay owned subsidiary el The Santa New York Mellon CAnaatim (MY Maw) Penne. U.C.immter FititaliklYgeLGM_00047807 DB-SDNY-0010631 EF1'A_00158416 EFTA01290444 "I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures September 1,2018 - Septem ber 30,2018 JEEPERS INC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (I) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders:the assessment of the suitability of those transactions, where 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. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution • Pershing is a member of the Securities Investor Protection Corporation (SIPCO) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit. www pershing corn/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-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 0739E Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified: or CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numb.' CONFID L- AIM:N=02f Rated hetalent Every Veer Saxe2OO7 DAUM, MI ED COMMUNICATICMS EXCOANC( Page 7 of 9 Geeing Sae. Penbng LLC, a wholly armed subsflarft ame Simko. New York Mellon Cerponthee (MY Mellon) Penhas LIX. mural. I liRtakki YuS.M-0004 7808 DB-SDNY-00 10632 EFTA_00158417 EFTA01290445 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 3 of 9 Account Number At00MMIC02t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated Excellent Oaring Sae. Pining LI.C, a .Poly owned Every Vex Site 2007 subxelianft of The Sent of New York Mellon DAISAR M7 ED COMateCATICOS Cenneatine rrMY Melon) EXCELLENCE PerItre.U.C.Illetel miluAlAttlYi2Pm_000ds7aos DB-SDNY-00 10633 EFTA_001584 I EFTA01290446 TERMS AND CONDITIONS TRANSACTORS • 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, F ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F 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 PFPRHING 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. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F 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 N MATERIAL PREVOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMAT/ON STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST NJ ACCUMULATNG 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 TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE AF.SOrIATED W ITN PERSHNG 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 THER BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHNG') 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 PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT 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 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 CRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST. ODD LOT DEALER, BLOCK POSITIONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES, WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHNIG.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING COINDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 007(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. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG 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 VP TO A SPECIFIED SCE, AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). 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 THER ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F /MOP THE ABOVE TERNS AND CCHOITIONSAFtE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERSHING RALIEDIAT ELY IN WRITING BY CERTIFIED /MIL TO ONE PERSHING PLAZA JERSEY CITY. PU WM. AM, LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Hulot:NAM Page 9 of 9 CONFIDO. AL- Raed CKAAR Ever/Yost Since2007 DAWN MUD co...monomer* EXCUL NEL Owing tlwonsh Penton. PIC a Sally owned subsidiary a Ilwa Sank of New York Melon CorPontim my mow) Pentint 11e...ttte f I lillagakker-a4_00047810 DB-SDNY-00 10634 EFTA_00158419 EFTA01290447 15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 JEEPERS INC Deutyche NM Nisi... wall. M.noteenect Meet (pent< Goo[ OPetCh• Oar* NC August 1, 20 18 - August 31,2018 Account Number: Portfolio at a Glance ThisPerbd Year4o-Dare Yoar Investment Specialist: BEGINNINGACCOUNT VALUE 63,296,219.16 63,243,862.08 MARTIN ZEM AN lid Cash Deposits and Withdrawals 41,276.11 41,276.11 Adjusted Previous Account Value 3,254,943.05 3,202,585.97 Dividends. Inleresl and Other Income 8,596.02 62,873.66 Net Change in Portfolio' 0.01 -1.920.55 ENDINGACCOUNT VAWE a 83,263,539.08 $3,283,539.4 Estimated Annual Income 586.794 21 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity Asset Summary Percent Asset Type Prior Year-End Lad Period This Period In E. 46% 54% Cash, Money Funds, and Bank Deposits Mutual Funds 1,522,837.51 1,721,024.57 1,536,527.25 1,759,691.91 1,497,593.40 1,785,945.68 100% Account Total (Pie Chart) Please review your allocation periodically with your Investment Specialist. 83,243,862.08 83,296,219.16 83,263,539.08 Page 1 of 8 Rated Casellent Every Vey Shwa 2007 DALY& MUD COMMUNCATIC4.5 Cita/AMC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Owing through Pining • Sally owned subsidiary a The brat a New York Melon CoPontimi (MY Melba) Penh.. LIX. ',tenter FiliFLAAWYEEPM_00047811 DB-SDNY-0010635 EFTA_00158420 EFTA01290448 Summary of Gains and Losses Rifted This Period Yur404)ale Uinta Short-Term Gain! Loss 0.00 tO0 -14165 Long-Term Gain! Loss 0.00 0.00 -113,320.39 Net Gain! Loss 0.00 0.00 -113,469.04 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Otte AdIvily Type enaction Amount Silence Sweep Money Market Fund CASH AC TR DWSGOVT 8 AG INSTL Current Yield: 1.84% Activity Ending: 08/ 31/ 10 08101118 Opening Balance 1,536,527.25 1.536.527 25 08108/18 Withdrawal MONEY FUND REDEMPTION 41,276.11 1.4 5251 14 08110/18 Withdraw al MONEY FUND REDEMPTION 47,849.13 1.477.402 01 08/13/18 Deposit MONEY FUND PURCHASE 17,849.13 1,495,251.14 08/31/18 Deposit INCOM E R8NV EST 2,342.28 1,497,593.40 08/31/18 Closing Balance 91,497,593.40 Total All Money Market Funds $1,497.593.40 Income and Expense Summary Current Period Twine Non honk Yemeo-Date Tattle Non Taxable Dividend Income Money Market 2,342.26 0.00 16,032.00 0.00 Other Dividends 6,253.76 0.00 46,841.66 0.00 Total Dividends, Interest, Income and Expenses $8,596.02 $0.00 562,873.68 $0.00 Page 2 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accoul Number. CONFIDO. Rated (Kant Every Vex Since 2007 DAWN WED COMMUNCATICNS EXCIA LOX t Owing through holing PIC a Sally owned subsidiary time Banta New York Mellon Colnatkol (MY Meta) Penn. U.C. 'newt*, Fitagtearat 00047812 DB-SDNY-0010636 EFTA_00158421 EFTA01290449 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Holdings August 1, 2018 - August 31, 2018 JEEPERS INC Accent Adelly Opening Closing Acaued Income 30.Oay DJ trent opening Dale Cluantay Number Biding Balance Urea Income TbleYear viol Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 46.0 0% of Portfolio Money Market CASH AC TR OWSGOVT 5 AG INSTL 08101/18 1,491,593.400 NM 09/31118 1,536,527.25 1,497,593.40 232.52 16932.00 1.83% 184% Total Money Market $1,536,527.25 $1,497,593.40 1232.52 516,032.00 TOTAL CASH, MONEY FUNDS, AN D BANK DEPOSITS $1,536,527.25 $1,497,593.40 $232.52 $16,032.00 Unrealized Estimated Estimated DoteAcquired Osanlily UM Coal Col Bees Motet Pike Motel Vales Cilia. Loss Annual income Yield MUTUAL FUNDS 54.00% of Portfolio $il ORGAN FLOATING RATE INCOME RIND Stonily Identifier „PHU CLASS I WSW. 482131 Open End Fund Dividend Option: Reinvest; Waal Gains Oplior Reinvest 02/13/13 * 148,957.299 10.0690 1,499,786.23 9.3700 1,395,129.90 ,104,056.33 55,927.50 4.00% 03101113 I3 533.047 10.0590 5,361.69 9.3700 4,994.64 467.05 200.14 4.00% 04/01/13 * 591.454 10.1090 5,97816 9.3100 5,541.93 436.83 222.01 4.00% 05101/13 * 562.992 10.1290 5,702.30 9.3700 5,275.23 427.07 211.38 4 00% 06/03/13 0 561.343 10.0890 5,723.68 9.3700 5,316.01 407.67 213.01 4.00% 07/01/13 13 500.501 9.9690 4,989.29 9.3700 4,689.70 -299.59 187.92 4.00% 08101/13 * 527.827 10.0590 5,309.17 9.3700 4,945.74 463.43 198.18 4.00% 09/03/13 0 531.248 10.0290 5,327.65 9.3700 4,97119 449.86 199.46 4.00% Reinvestments to Date 35,698.344 9.5590 341,235.95 9.3700 334,474.74 4,761.21 13.402.55 4.00% Total Covered 188,468.05$ 1,879,414.72 1,765,945.68 ,113,469.04 70,762.21 Total 199,466.055 $1,879,414.72 51,765,945.68 4113,469.04 $70,762 21 TOTAL MUTUAL FUNDS $1,879,414.72 $1,765,945.68 4113,469.04 $70,762 21 TOTAL PORTFOLIO HOLDINGS wreaked Acaued Estimated Cost 6inis Markel Valve Garenoes Interest Annual Income $3,377,008.12 $3,263,539.08 4113,469.04 $0.00 $86 794.21 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account NumberiM Page 3 of 8 CONFIDO. Rated (Kant Every Yaw Since 2007 DALIIM WED COMMUNCATIONS EX(CILDCI Owing tlwonsh ',entity PIC • Sally COVOIS subsidiary The Banta New York Melba CA•Poatimi (SW Meta) Penne. u.c.nwrtantitatctlYaGM_00047813 DB-SDNY-0010637 EFTA_00158422 EFTA01290450 'ortfolio Holdings (continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1988, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as -noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1399-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998. the cost basis will not be reported to the IRS. " 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 Misinformation. P rtfolio Holdings 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 "Ni A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.comf disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure 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. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, Incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 4 of 8 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Numbe .5, :6 CONFIDO. AL- Rattaacart Every Yaw Since 2007 DAUM WED commutocAncres MULE/4a Owing through holing aC a Si* owned subsidiary e4 n» brat a New York Melba Cal:anti:a (MY Meta) Penne. LIX. miatiAttedaGIN 00047814 DB-SDNY-0010638 EFTA_00158423 EFTA01290451 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) ugust 1, 2018 - August 31, 2018 EEPERS I N C 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10 ( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (A , am ,un,s won n are ,, case -irr,r,") Debits ThisPeibd Net ThisPeOod Credits Yea10-Date Debits Yeauto-Date Net Year-to-Date Gedits Tits Peilod Securities Securities Bought 0.00 -6,253.76 6,253.76 0.00 46,841.66 .46,841.66 Total Securities $0.00 46,253.76 46,253.76 $0.00 446.841.66 446.841.66 Dividends and Interest 58.596.02 $0.00 $8.596.02 162.873.66 $0.00 562.873 66 Cash Withdrawals 0.00 -59.125.24 49.125 24 0.00 45139.07 .9513907 Deposds 17.849.13 0.00 17.849 13 54.662.96 0.00 54.662.96 Total Cash 117.849.13 459,125.24 441.276 11 $54.662.96 495.939.07 441.276.11 Totals 126,445.15 465,379.00 438,933.85 $117,536.62 4142,780.73 425,244.11 Amount Num CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Raleamant Every Vox Slate 2007 DAUMR Glen COMMUMCATIONS EXCOAENC( Page 5 of 2. Otoring dwoud. hang LIC, a ally armed sulmarft S The Ilardi of New York Mellon Conmeathm MO' Man) Penne. utdreirte,miangSiguSIM_00047815 DB-SDNY-00 10639 EFTA_00158424 EFTA01290452 Transactions by Type of Activity Pores& Settlement Date Scaly Type Description Quantity Price Ammed Interest Amount Currency Securities Bought and Sold 08/30118 REINVESTCASH INCOME .PMORGAN FLOATING RATE INCOME FUND CIASS I 887.424 111$ 1780053t SHRS SHIM PURCH.AT 89.37009 RD 08128 Ft 0813011 4,253.78 USO Total Securities Bought and Sold - U.S. DOLLARS Dividends and Interest 08130118 CASH DIVIDEND RECEIVED .141ORGAN BOATING RATE 'HUME FUND CLASS I .PHSX 17800531 SHRS RD 08/28 Ft 0813011 08131118 MONEY MARKET FUND CASH AC TR DWSGOVT INCOME RECEIVED PER23204S 0.00 4,253.76 8,253.78 2,342.28 USD USD Total Dividends and Interest - U.S. DOLLARS Cash Withdrawals and Deposits 08/09118 FEDERAL FUNDS SENT SMORGAN CHASE BANK. 190999997 08/10/18 FEDERAL FUNDS86Ni SMORGAN CHASE BANK, 150999991 08110/18 FEDERAL FUNDSRECEIVED BANK OF AMER1CA NA. 1235 19:100991 0.00 8,598.02 .41,278.11 .17,849.13 17,849.13 USD USD USD Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 41,276.11 Tot al Value of Transactions The price and quantity displayed may have been rounded. 0.00 -38133.85 USD Client Service Information YOU! InvrAmept Specialist ZEM Contact Information MARTIN 7FM AN Telephone Number CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 6 of 8 Accoult Swint Atc:::son I. Up WS. 4 -6 CONFIDO. , AL- Rated EteMent (wry Vow Sake 2007 DAIJAR RAT ED COMMUMCATIONS EXCIALLsa Peering tinge. Penbog LIC.• Away mooed sobeieliarft e. The bake. New York Melina Conmentim (Ma Melon) Pentw•LIX.riverte Filirtk&CIA2Plo_00041816 DB-SDNY-0010640 EFTA_00158425 EFTA01290453 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Your Account Informati n August 1, 2018 - August 31, 2019 EEPERS INC TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DEUVERY You have not selected any account corn mu nications for electronic delivery. To register and turn off paper corn munIcatIons, log in to your account or contact your Investment Specialist for more information. Important Information and Disci sures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without Inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC4). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.comi about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be reconfirmed In writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can b fniind an Ma fir page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City. New Jersey 07399: rrors and Omissions excepted. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ll= Accou I t Number Page 7 of 8 CONFIDO. Rated warm freq.Vex Since 2007 DALIIM WED commumomats EX( (UDC Owing tlytnIthnhing PIC a Sally owned subsidiary a The brit el New York Mellon Ca...Mimi (MY Meson) PentwKLI.C. tea fIllatiAtilePtit 00047817 DB-SDNY-0010641 EFTA_00 I 58426 EFTA01290454 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 docum ants, w itness 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 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 w ith respect to any claims encompassed by the putative class action until, (I) the classcertification 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; Page 3 of 3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbe AtOOMMOS CONFIDO. L IIMeamearM EveryVox Since 2007 DAIJAR RATED COMMUMCATIONS EXCOACM( °berie Sae. exams LLC, a wholly armed sbs:Yr/of The Osaka New York Mellon Oentw. (MY Mellon) inetAWklY4X-Al_0004 7818 DB-SDNY-0010642 EFTA_00 158427 EFTA01290455 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 JEEPERS IN C Otutt<he Font PrIsair 'teeth Min Home tt July 1,2018 - July 31 2018 Account Number: Portfolio at a Glance ThisPeriad Year4o-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE $3,281,251.76 63,243,862.08 M APTINI 7FM AN Adjusted Previous Account Value 3,281,251.76 3,243,862.08 Dividends, Interest and Other Income 7,477 21 54277.64 Net Change in Portfolio' 7,490 19 .1.920.56 ENDINGACCOUNT VALUE al tar /W.18 $3,296,2in Estimated Annual Income 583.606 03 Asset Summary Net Change in Portfolio is the difference between the ending account value and beginning account value after activity Percent Adel Type NW Vexed Lad Period TilePeriod 47% Cash, Money Funds, and Bank Deposits 1,522,837.51 1,534,163.97 1,536,527.25 ai 53% Mutual Funds 1)21,024.57 1,747,087.79 1,759,691.91 100% Account Total (Pie Chart) 63,243,862.08 $3,281,251.76 $3,296,219.16 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) oemoNFIDFITIFAL-4- Paled Cadent Every Yew Shwa 2007 DAIJAR M7m commumcAncres EXCMLENCC Page ' of 8 Owing through Penteng LI.C, a .holly owner subsidiary a7holMa of New York Mellon espontim (MY Mellon) Penne. LIX.rrerrter manAckklYSIM_0004 7819 DB-SDNY-0010643 EFTA 00158428 EFTA01290456 Summary of Gains and Losses Realized This Period Yetto•Dale Unrealized Short-Term Gain! Loss 0.00 9.00 -171.79 Long-Term Gain! Loss 0.00 9.00 -113,297.26 Net Gain! Loss 0.00 9.00 413A69.05 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the ECB' ) and other credit institutions introduced negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1399 and/ or 10 42 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date AdivIly Type Description Amount Bin Sweep Money Market Fund CASH AC TR DWSGOVT it AG INSTL Current Yield: 1.81% Activity Ending:071 311 18 08130/18 Opening Balance 07131/18 Deposit INCOM EREINVEST 1.534.163.97 2,363.28 1,534,163.97 1,536,527.25 07/31118 Closing Balance $1,536,527.25 Total All Money Market Funds $1,538,527.25 Income and Expense Summary Troth Current Pedod Non Taxable Taxable Tetto•Date ran Taxable Dividend Income Money Market Other Dividends 2,363.28 5,113.93 0.00 0.00 13,689.74 40,587.90 0.00 0.00 Total Dividends, Interest. Income and Expenses $7.477.21 $0.00 $54,277.64 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account NuntelliM CONFIDO AL- Page 2 of 8 I1844(KOOM EmyYawSime2007 DAULARWEDCOMNNNCATIONS EXCUUAKt OwingthmehholingUCashollymmed subsichadvAllnewdoOMmYwkMdon OmmaMmONYMellor0 Penn.'s MC. rnerrem AlitallAMYEEPM_00047820 DB-SDNY-0010644 EFTA_00158429 EFTA01290457 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Opening Dale CASH, MONEY FUNDS, AND BANK DEPOSITS 47.00% of Portfolio Money Market CASH AC TR MS GOYT 8 AG INTL 06130/18 1,536,527.250 N/A 07131118 1,534,163.97 1,536,527.25 0.00 13,889.74 Total Money Market $1,531,163.97 $1,536,527.25 $0.00 $13,689.74 TOTAL CASH, MONEY FUNDS, AN D BANK DEPOSITS $1,531,163.97 $1,536,527.25 $0.00 $13,689.74 July 1, 20 18 - July 31, 2018 JEEPERS INC Aoesol Adedly Opening Oodng Aogutd Income 30-Day Patriot WOW Number Siding Balance Balance Income Oils Yea Yield Yield 1.81% 181% Dale Acquired Cloandly UM Cod Cod Beds Merkel Prim Merkel Vika Meted OS/loan Estimated Estimated Annual Income Yield MUTUAL FUNDS 53.0 0% of Portfolio FY ORGAN FLOATING RATE INCOME RIND CLASS I Open End Fund Dividend Option: Reinvest; Capital Gains Optior Reinvest Securely Identifier:RISS CDSIP.482t513 02/13/13 ° 118,957.299 10.0690 1,499,786.23 9.3700 1,395,729.89 4 04,056.34 55,455.31 397% 03101/13 533.047 10.0590 5,361.69 9.3700 1,994.66 -367.03 198 45 397% 04/01/13 ° 591.454 10.1090 5,978.76 9.3700 5,541.92 436.84 220.19 397% 05/01/13 ° 562.992 10.1290 5,702.30 9.3700 5,275.24 427.06 209.60 397% 06/03/13 ° 561.343 10.0890 5,723.68 9.3700 5,316.01 407.67 211.22 397% 07101/13 ° 500.501 9.9690 4,989.29 9.3700 1.689.70 -299.59 186.33 397% 08/01/13 ° 527.827 10.0590 5,309.11 9.3700 1,945.74 463.43 196.50 3.97% 09/03/13 531.248 10.0290 5,327.65 9.3700 1,977.80 419.85 197.78 3.97% Reinvestments to Date 35,028.920 9.5630 334,982.19 9.3700 328,220.95 4,761.24 13.040,91 3.97% Total Covered 187,800.631 1,873,160.96 1,759,691.91 413,469.05 69,916.29 Total 1137,800.631 $1,873,160.96 91,759,691.91 4113,169.05 $69.916.29 TOTALMUTUAL FUNDS $1,873,160.96 $1,759,691.91 4113,169.05 $69,916.29 imitated Acaued Estimated Cod Bads Markel Value GerairLoos Interest Annual Income TOTAL PORTFOLIO HOLDINGS $3,409 688 21 $3,296,219.16 4113,469.05 $0.00 $83,606.03 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Accout %mini In I . CONFID L-- Page 3 of 8 Rated (Kant Every Yaw Since 2007 DALIIM WED cm...mower* PCULOrCt cow envy, holing Ilt. a Sally owned subsidiary e4 The Banta New York Melba CoWathal (MY Meta) Pentw, MC. 'newt,/ AtitalletlYEEPM_00047821 DB-SDNY-0010645 EFTA_00158430 EFTA01290458 Portfolio Holdings (continued) Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form V99-8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10998. the cost basis will not be reported to the IRS. 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 fo the accuracy of Misinformation. P rtfolio Holdings Disclosjres 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 "Ni A" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.comf disclosures 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 M OW Fund distributions, Money M erket 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. Option Disclosure 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. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 4 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AceouM Number Auernmln CONFID AL- Paled taceNnt Every vex Since 2007 DAUM* ItAl ED COMMUNICATIONS EXCEIIENCC Owing Uwo.# Peaking Ilt. a Sally owned subsidiary el llw Bonk of New York Melba Cannatim (MY Mellott) Penne. MC. immte, ilitactlYIELGM_00047822 DB-SDNY-0010646 EFTA_00158431 EFTA01290459 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) July 1, 2018 - July 31, 2018 JEEPERS INC 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10 ( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Act iv ity Summary (Ai. am.,un.s snots n are." oase .vrr.n,,) GedltsINsPerbd DebltsildsPerlod Net ThIsPeriod Credits Year4o.Date DebltsYeat.to.Date NetYes-to-Date Securities Securities Bought 0.00 4,113.93 4,113.93 0.00 -40,587.90 40.587.90 Total Securities 80.00 45,113.93 45,113,93 WOO 440,587.90 440.587.90 Dividends and Interest 87.477.21 80.00 87.477.21 $54.277.64 30.00 $54.277.64 Cash Withdrawals 0.00 9.00 0.00 0.00 .36,813.83 .36,813.83 Deposits 0.00 0.00 0.00 36,813.83 0.00 36.813.83 Total Cash $0.00 50.00 80.00 $36.813.83 436,813.83 $0.00 Totals $7A77.21 45,113.93 $2,363.28 $91,091.47 477,401.73 813,689.74 Account Number At:i97 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L- Page 5 of 8 bled beellent Perim Minch Penang LLC. a Mindy armed EveryVex Sime 2007 sobeMady SIM bake. New York Mellon DAUM WED COMMUNKATICMS Cemeeebm (MY Mellon) EXCULD4C( Penhne WC. ~Man tiRtAini YU:PM-0004 7823 DB-SDNY-00 10647 EFTA_00158432 EFTA01290460 Transactions by Type of Activity Roden Settlement Dote Adivily Type Description Quantity Price Admen altered Amount Currency Securities Bought and Sold 07130118 REINVESTCASHINCOME SMORGAN FLOATING RATE INCOME FUND CUSS I 545.777 &HU 137254.8540 SHASSHRSPURCH.ATS9.37000 RD 01/26PD 0713018 4,113.93 USD Total Securities Bought and Sold - U.S. DOLLARS 0.00 Dividends and Interest 07130118 CASH DIVIDEND MEWED "MORGAN ROATING RATE INCOME FUND CLASS I .PHSX 17254.8540 SHRSRD 07126 PD 07I30/13 07131118 MONEY MARKET FUND CASH AC TR DWSGOVT INCOME RECEIVED PER232045 4,113.93 5,113.93 2,363.28 USD USD Total Dividends and Interest - U.S. DOLLARS 0.00 7,477.21 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 2,383.28 USD Client Service Information Contact Information Your Inurement Spedalid: ZEN MARTIN ZEMAN Telephone Number: Y ur Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds. First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment Specialist for more information. Page 6 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accoun Number: AI P)735W13 CO DO. AL- Rated (learnt Every Yaw Since 2007 DALIIM WED commummincres EXCQLENCC Owing tlwagb Penting PIC. • madly owned subsidiary el The Santa New York Mellon CoPontim (MY Maw) Penne. 11C. intrrte FiliRAVklYt2PM_00047824 DB-SDNY-0010648 EFTA_00158433 EFTA01290461 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Important I nformat on and Disclosu-es July 1, 2018 - July 31, 2018 JEEPERS IN C S The Role of Pershing • Pershing carries your account es clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where 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 a All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be foun on e irs 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 (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can b t page of this statement. Pershing's contact information is as follows: Pershing LIC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399 . Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or Page 7 of 8 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account Number: N46-024935 At: 69153N C29 CONFIDO. AL- Raid Ea ked Every Yew Shwa 2007 DAYAR RAI ID COMMUNICATICNS EXCLUENCE Owing tinge. And Pew a wally subsidiary e( TM Bonita New York Mellor. Capontim (MY Mellott) Penne. Ac. mutter FiliatiAtiter- 4 .4_00047825 DB-SDNY-0010649 EFTA_CI0I 58434 EFTA01290462 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (iii) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page S of a. Account Hunk P1715,..310t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L- Rated hceihnt Clearing tbraighPenbni LtC, a wholly owned (my Vex Since 2007 subdiary time Simko. New York Meltin DALSAR WED COMMJECATICMS Corpontim SMYMebn1 EXCULEKt Penhas MC. meat. FitiRtvitWIYUPSA —00047826 DB-SDNY-00 10650 EFTA_00 I 58435 EFTA01290463