EFTA Document EFTA01290563

Deutsche Asset & Wealth Management P.O. Boa 1776, Ballimore, MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TIMES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: DANIEL &MBA Deuiv.v Ram Pon. Wealth Mantrent Mweets Cowan Gtap Deotem MM Sewlei AC Maw brk Pik* SI, Part Mtgs. AM' kci. Valuation at a Glance Account Num berms Statement Period: 12/01/2014 -1213112014 This Period Year-to-Date Beginning Account Value 962,350,593.99 $22,994,662.96 Nei Casa Deposits and Withdrawals 000 38,193,547.84 Adjusted Previous Account Value 62,350,592.99 61,486,210.79 Dividends. Interest and Other Income 24.116.12 916.905.76 Tots Taxes Withheld 0 00 410 het Charlie in Portfolio -72,363.20 -132,444.74 riding Account Value 562 302 676 21 562 302 676 21 Estim ated Annual Morn e 51.111.295.52 Asset Allocation Prior Year-End lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposits LSD Fixed Income LSD Equities 7,589,036.35 15,405,626.60 000 43,913,182.65 11,434,280.34 7,003,130,00 43,922,655.69 11,400,200.52 6.979.820 00 70.50% 18.30% 1120% P ease re. le.‘yov a lozea- j_ Amount Total {Pie Chart) 122,994,662.95 $62,350,592.99 See the Asset flocabon Disclosure and Footnotes secton lor important informaton renewing your Asset flotation. $62,302,678.21 100.00% DRAB ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 1015 Rated tmellonl B0100378CSP30023 Go I)aP€rless r ok ; Ever/ VAN. Sims 21)07 DAL BAR RATED COMMUNICATIONS CONFIDENTIAL `,calumet SDNY_GM_00047926 OB-SDNY-0010750 EFTA_00158535 EFTA01290563 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0.00 -146.09 126.41713 Long-Term Gain/Loss 73 87 2.095.36 -384213.17 Net Galn/Lou 73.87 1,119.27 -267,79161 This summary excludes transactions where cost basis information is not available. For Your Information Cn June 5, 2014, the European Central Bank (the -ECB') introduced 'negative interest rates'. This negative interest rate applied to all deposits held at the ECB and other credit institutions. Effective February 1, 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S fa tax year 2015. These rates are subject to change in response to market changes. and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Desaiption Amount Babette Sweep Money Market Fund MSGOVERNMENT CASH INSTL Account Number: 0000001492 Current Yield: 0.03% Activity Ending: 12131/14 1112911/ Opening Balance 43,913,182.65 13,913,182.65 12/3011/ Deposit MONEY FUND PURCHASE 8,354.03 13,921,536.68 12131/11 Deport INCOME REINVEST 1119.01 13.922.655.69 1213111/ Closing Balance $13,922,655.69 Total All Money Market Funds 143,922,655.69 Income and Expense Summary Carrot Period Year-to-Date Taxable Nos Taxable Taxable Noo Taxable Dividend Income Equities 0.00 0.00 101,836.05 0.00 Money Market 1,119.01 0.00 4,534.22 000 Other Dividends 17,591.35 0.00 593,971.58 0 00 Account Number. ox avon Go paperless THE e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE Trd-sTO N F I D AENTI AL Pap 2015 Italled excellent Ivory Year Since 2007 DAL BAR RATED COMMUNCATIONS rxesurnaer SDNY_GM_00047927 DB-SDNY-00 10751 EFTA_00 158536 EFTA01290564 Deutsche Asset & Wealth Management P.O. Boa 1776. Beiimore. MO 2t203 Income and Expense Summary (continued) DraIst.< Rana Prmair Wean &Waren Pdatert$ Caen., 6 ,0‘p Des-bOx Mk Settonei'M HI Put Annus. 160. Met War int nr,mw Statement Period: 12//112114 -12/3112114 Current Period Tear-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income Bond Interest 5,736.06 0.00 245,681.66 0.00 FDIC Insured Bank Deposts 0.00 0.00 882.26 0.00 Total Dividends, Interest, Income and Expenses $24,446.42 1010 $046,005.16 $0.00 Distributions Other Distributions 0.00 2,617.97 0.00 30,081.73 Total Distributions $0.00 $2,617.07 $0.00 $30,081.13 Portfolio Holdings Opening Date Account Adivity Opening Closing Awned lawn 31.Oay Omit Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 7 1.0 0% of Portfolio M oney M arket CMS GOVERN M ENT CASH Mk 11129114 43.922.655 690 0000001492 12/31114 43.913.182.85 43.922.655.69 0.00 4.534.22 0.03% 0.03% Total Money Market $43,013,162.65 $43,022,655.69 $0.00 $4,634.22 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11/29114 40024943 12131114 0.00 0.00 0.00 882.25 NM NM Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $882.25 Total Cash, M oney Funds, and Bank Deposits $43,913,15215 $43,922,655.69 $0.00 $5,416.41 IIRA.1t .011 Account Number TI-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON Fl dEiVisA L Page 3 of IS listed Excellent (very Year Sera 2'007 DAUBS. BAT ED COMMUNICA MN'S rxeseirtraer SDNY_GM_00047928 DB-SDNY-0010752 EFTA_00 I 58537 EFTA01290565 Portfolio Holdings (continued) Date Aott:ted Fixed Income 1 5.0 0% of Portfolio (In Maturity Dee Sequence) 'Asset Backed Securities OS M TO SECS CORP 2005.5F M TG PASSTHRU CTF CL 81 VAR 5.752% 06/25/35 WE DID 05101/05 S 8 P Rating B. Factor: 0.79603595 Effective Date:12101111 Current Face Value: 1,194,053925 12/13/13 '•1.11 1,500.000100 97.1780 Guaet6Y UmNCod Adjusted Cod Basis Market Price Markel Value Unrealized Gain, Loss Accrued Interest Estimated Estimated Annual Income Yield Total Asset Backed Securities 1,500,000.000 Total Current Face Value : 1,194,053.925 Corporate Bonds PEABODY ENERGY CORP SR NT 1.315% 11101118 WE DTD 10112106 MULTIPLE GUARANTORS 1ST CPN DTE 05/01/07 Moody Rating BA3 S t P Rating BB- 05110/11 1,200,000.000 104.9590 IPAYM ENT INC GTO SR NT 10.250% 05115/18 WE DID 11115111 CALLABLE 05115/15 Q 105.125 Moody Rating CAA3 S& P Rating CCC 10102112 %UM 500,000.000 92.4590 FM ORGAN CHASE & CO DEP SHS REPSTG 1/10Th PFD SER I FIXED TO FLTG RT BO 7.900% 04/29/49 WE DTD 04/23/08 Moody Rating BM St P Rating BBB- 05/10/11 3,000,000.000 111.2650 BANK AM ER CORP PERP NON CON ULADVE DEP StiS FIXED TO FLOAT 8.125% 04/30/58 WE DTD 04/30/08 CALLABLE 05/15118 Moody /Wing 8A3 St P Rating BB 05110111 '.12,13 3,000,000.000 112 9870 Security Identifier: 3624207X6 1,160,355.99 Original Cost Be $1,160,355.99 97 0240 51.189.588.80 Security Identifier: 704549AE4 1259,504.58 102.7500 Onginal Cod BaSit 51.363.500.00 Security Identifier: 46262EAB 162,295.37 89.0000 Onginal Cost Basis: 5445.000.00 Staidly Identifier: 18625HHA1 3,337,958.33 107.6300 Original Cost Basis. 53.337.958.33 Security Identifier: 060505018 3,389 620.83 107 8750 Account Number T1- E I-AZE 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 1,158,518.88 91,150118.88 1,233,000.00 445,000.00 3,228,900.00 3,236,250 00 .1,837.11 -$1,837.11 .26,504.58 .17,295.37 •109,058.33 5,723.51 $5,723.61 14,750 00 6,548.61 39,500 00 -153,370.83 31,145 83 $0.00 88,500.00 7.17% 51,250.00 11.51% 237,000.00 7.33% 213,750.00 7.53% Page 4of1S Go ON Fl A L Rasa [salient Every Year since 2'007 DAUM. RAT COMMUNICATIONS rxenurtaer L.a SDNY_GM_00047929 OB-SDNY-0010753 EFrA_001 58538 EFTA01290566 Deutsche Asset & Wealth Management P.O. Om 1778, fla!ammo, MD 21203 Portfolio Holdings (continued) ()nacre. Bana Pnur. YhyIr m7mgental Mains CO•ene GK.." Otrisch7 Secteftes New brir011t• 34% Far% Mora MOO ter Statement Period: 12/01/2014 • 12/31/2014 Adjuded Umealized Acuued Estimated Estimated Dale Acquired Ormetity limit Cod Cat Bads Market Price Market Vann Gals/ Loss Merest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON COM ULATIVE DEP (continued) Original Cosl Basic $3,389.620.83 Total Corporate Bonds $8,449,371.11 7,700,000.000 9,143,150.00 -1308,221.11 391,944.44 $620,500.00 Total Fixed Income 1,200,000.000 19,606,735.10 $9,301,661.86 -1301,066.22 $17,667.15 $620,500.00 Unrealized Dale Acquired Quantity Veit Cod Cod Bads Market Price Markel Value Gala( Loss Equities 11.00% of Portfolio Preferred Stocks (Lasted by expiration dais) CITIGROUP INC DEP SHS REMO 111000TH PM SER K DIV 6.875% PERPETUAL MATY PERPETUAL CALL 11/15123(1 25.00 Dividend Option: Cash 02103/14 79.000.000 CITIGROUP INC DEP SITS REPSTG 111000 PFD SER C DIY 5.8% PERPETUAL MATY PERPETUAL CALL 04/22118025.00 Dividend Option: Cash 10/28/14 49.033.000 10129/14 150,967.000 Total Covered 200,000.000 Total 200,000.000 Total Preferred Stocks Total Equities Estimated Estimated Anneal Income Yield Security Identifier: C PRK CUSP: 172967341 252090 1.999.418,90 26.5800 2,099,820.00 100,401.10 135,781.25 6.46% Security Idendfler: C PRC CUSP. 172967366 24.0810 1,180.73916 24.4000 1,196,405.20 15.866.04 71,097.85 5.94% 24.3130 3,670,430.48 24.4000 3,683,594.80 13,184.32 218,902.15 5.94% 1,851,111.04 4,880,000.00 28,830.36 200,000.00 $4,651,169.14 $4,680,000.00 $26,830.36 1210,000.00 16,650,518.54 16.179.620.00 $121,231.48 $425,161.25 $6,650,581.54 16,979,620.00 1129,231.46 $425,761.25 menu you Account Number ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) lia())1(His ON F I A L Page 5 of 15 listed taconenti (very Vo.7. Slate 2007 DAUM. MUD COMMUNICATIONS rxesartraer SDNY_GM_OM34n3G OB-SDNY-0010754 EFrA_00158539 EFTA01290567 Portfolio Holdings (continued) Unrealized Dale Asgeired Ouaitity Unit Cost Cost Basis Market Prim Markel Valle Gain! Loss Estimated Estimated Annual Income Yield Mutual Funds 3.00% of Portfolio R M ORGAN FLOATING RATE INCOME FUND SELECT SFARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP. 181211510 01122113'.3 198,216.056 10.0900 2,000.000.00 9.1200 1,926,660.01 -13,339.93 82,259.66 1.26% 02101113'.3 630.057 10.0670 6,342.92 9.1200 6,124.14 -218.78 261.47 4.26% 03101113'.3 711.578 10.0600 7,158.18 9.7200 6,916.53 -24195 295.30 1.26% 04101113'.3 789.547 10.1100 7,982.33 9.1200 7,674.39 -307.94 327.66 4.26% 05101113'•3 751.550 10.1300 7,613.21 9.7200 7.305.07 -308.14 31119 4.26% 06103113'.3 757.360 10.0900 7,641.77 9.1200 7,361.54 •280.23 314.30 4.26% 07101113'.3 668.131 9.9700 6,661.27 9.7200 6,494.24 -167.03 277.27 1.26% 08101113'.3 104.609 10.0600 7,088.37 9.7200 8,848.81 .239.58 292.41 4.26% 09103113'.3 709.175 10.0300 7,113.03 9.7200 6,893.17 -219.86 291.31 1.26% 10101113'.3 712.100 10.0240 7,137.85 9.7200 6,921.61 •21624 295.52 4.26% Total Mono:meted 204,660.163 2,084,739.23 1,989,91.57 -75,539.66 54,929.19 Reinveslm ants to 11,248.154 10 0210 112,75319 9.7200 109,332.07 -3421.12 4,668.01 1.26% Date Total Covered 11,218.154 112 753.19 119,332.07 -3,421.12 4,561.01 Total 215.898.317 52,177,492,42 22,096,531.64 478,960.78 289,597.9 Total Mutual Funds $2,177,492.42 22,098,631.84 -378,960.76 $89,597.80 Unrealized Awned Estimated Cod Bade Market Value Gain! Loss hayed Anneal Income Total Portfolio Holdings $52,560,471.75 $62.302,676.21 -$257,79511 $97,867.95 $1,141,295.52 Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securdies which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (ORP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 6 of 15 Account Number.WM Deno ,“>1 Cio paperless L V•45.= 2007 TFE FAZE O N FonTIAL roa xaLlIer litArTEOCOAVAUNICATDONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SDNY_GM_00047931 OM-SDNY-0010755 EFTA_001 58540 EFTA01290568 Deutsche Asset & Wealth Management P.O. Bat 1778, Bahimore, MO 21203 Portfolio Holdings (continued) DraIsov Rant P".!" wean &Warne* Peals Caen., Gnat) Dettsag lar* Sew on +IL lire bet Cillict in Put An~. Ita be, Statement Period: 12/01/2014 • 12/3112014 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is detemined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 17 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering tin or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Dispositior Acquisition Disposition Date Date Transaction Description Ouaotity Cost 8asis Proceeds Realized Gain/ Loss/ Disallowance Long Term 12126114 12/13113' PPP GS LI TG SECSCOPP 200 ASSN RU CTF CL 81 VAR 5.752% 06125135 8/E OTD 05101105 Security Identifier 3624207X5 0 rioi nal Cost Basis 2 544 09 1.500.000.000 2.544 09 2617.96 73 87 Total long Term $2,544.00 $2,617.96 973.67 Total Short Term and Long Term 92,544.09 $2,617.96 973.87 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncocovered,- under the new cost basis reporting rules, and masked or denoted as such. AI other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wig be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after yearend, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-8 or online displays you may have availaWe to you. OAS ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number Go paperless THE FAZE Te rO N F I DIAL Page? of 15 Rated t acelkini bray V... sine. 2.007 CAL BAR RATED COmmuroCalsOnS 'Kammer it7r...It a =yr . SDNY_GM_00047932 DB-SDNY-0010756 EFTA_00 158541 EFTA01290569 Schedule of Realized Gains and Losses Current Period (continued) When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, thee may be other adjustments which you need to make, but are not requited to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reiance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 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 winch you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your account's selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. M essa es Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation,(SIPC) For disclosure of rates for DINS money market funds, please visa the DWS Investments website at haps Mom dws-investments.comtENI1productstrroney-market-funds-yields.jsp, Please rote that all money market funds listed on We website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 DIV, INT OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their real tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.com/business_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and imparhat participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar. Gs:neuter-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as called in a partial call is proportional to the total number of trading units held through Pershing. Once the lottery is complete. Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the called security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Page 8 $15 DRAB 9.O9 Account Aum ber TI-E FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go ON Fl A L Lmry Va. Same 2907 DAUM. RATED COMMUNICATIONS rxesturNer SDNY_GM_00047933 OB-SDNY-0010757 EFrA_00158542 EFTA01290570 Deutsche Asset & Wealth Management P.O. Box 1778, flalamer*. MD 21203 M essa a es (continued) Client Account Par Value Number of Trading Units ABC-123234 $100.000 4 CEF-325465 575.003 3 EDR-567433 5150.000 6 EGT-876574 550.000 2 EDT-888345 525.000 FRT-435234 525.000 1 FRT-658797 575.000 3 DraIsre RIM Po.or roan Manrent Minet% COM•IaGro‘P OtOs014 6.8 Selynel M1 4 ONO NanPo Annum. 1141. I to I I I II I I I I I IN Statement Period: 1210112014 • 12/3112014 0 In Niel, the allocation process involves the following steps: ' The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account E0R-567433 would be assigned six numbers). • A random number is generated that will resuk in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at a. ' Wien a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts wil include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts). No allocation wit be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. ' lithe partial call is made at a price above the current market price as captured in Pershingils price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of Page 9 of 15 Account Num ber 901.1 Go paper......_s Plated [salient, Lyon. Vs, siva 2007 ThE FAZE It o N _ graregrepocommumomoeis CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FIDA 1A L rt. L.••• • ;T. ^C. Air= SDNY_GM_00047934 OB-SDNY-0010758 EFIA_00158543 EFTA01290571 M essages (continued) such security. II the partial call is made at a price that is equal to a below the current market price of the security as captured in Pershing's pike reporting system. Pershing will generaty categorize that call as one that is unfavorable to holders of the security. • Clients have the right to withdraw uncaled, fully paid securdies from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. (Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. Activity Sum m ary (AO amounts shown are in base currency) Credits Ibis Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 0.00 000 SecuritiesBought -17.591.35 -6,963.810.12 Secunhes Sold 000 2 760 359 19 Secunties Sold 000 0.00 Total Securities 10.00 $2,760,359.19 Total Securities .$17,591.35 -$6,963,010.12 Dividends and Interest $24,446.42 $946,905.76 Dividends and Interest $0.00 $0.00 Distributions $2,617.97 $1,099,337.08 Distributions $0.00 -$2,724.81 Taxes Withheld 10.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 000 38 493.547 84 Deposits 0.00 0.00 Total Cash 10.00 $38,493,547.84 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits 10.00 110,381,873.66 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $0.00 34,668,419.64 Money Market Funds -$9,473.04 -$48,611,075.33 Total Credits $27,064.39 $58,370,447.57 Total Debits .$27,064.39 -158,370,447.57 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiption Quantity Price Awned Interest Mount Currency Securities Bought and Sold 12101/14 REINVEST CASI. In CO ME 'MORGAN FLOATInG RATE INCOME RAD SELECT SI. ARES 712236 -7,06540 LSD 51-SX 214103.1620 SI-RS ShRSPLRCH. AT $9.92000 RD 11126 PO 12/01/14 12/31/14 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME RAO SELECT SNARES 1.082.917 -10.525.95 LSD Pr SX 214815.4000 S-RS SF RS PLRCH. AT $9.72000 RD 12/29 PO 12/31/14 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -17,591.35 Page 10 of 15 Account Number llitAW von k Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE TURLsTO N F I DAENTIAL 11-E Rabid tscolkini beery V••• Wow 2007 0ALBAR RA702 COMMUNICATOONS rxenurraer SONY GM 00047935 DB-SDNY-0010759 EFTA_00158544 EFTA01290572 Deutsche Asset & Wealth Management P.O. Box 1778, Babimore, MO21203 Transactions by Type of Activity (continued) Process( Settlement Date Activity Type Description Dralsoo Rota Prmair Wean &Warne* Peareits COMM* 6 ,0.1, °tow* ML smongs Oat* HI Part Ammo. Ita I ter War lot IrtImw 4:441114. MIS) 7009 .1 Want Statement Period: 1210112114 -12/3112114 Price Accrued Interest Amount Curren Dividends and Interest 12101(14 CAS,- DIVIDEND RECEIVED Pr SX 12/29/11 BOA 0 INTEREST RECEIVED 3621207X5 12/31/14 MONEY MARKET FUND INCOME RECEIVED 233993682 12131/14 CAS' DIVIDEND RECEIVED Pr SK 'MORGAN FLOATING RATE INCOME FUND SELECT ShARES 214103.1620 *RS RD 11126 PO 12101/14 1500000 GS II TG SECS COW 2005-5F MTG PASSTH RU CTF CL B1 VAR 5.752% 06/25135 WE DTD 05101105 RD 11128 PD 12/25114 DWSGOVT CASI- INSTL PMORGAN FLOATING RATE INCOME FUND SELECT SHARES 214815.1000 ShRS RD 12(29 PD 12131/14 1.065.10 5.136 06 1,119.01 10.525 95 USD LSO LSD LSD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 24,418.12 Distributions 12129/14 RETURN OF PRINCIPAL 1500000 GSM TG SECS CORP 2005-5F NTG PASSTHRU CTF 2,617.97 LSD RECEIVED CL B1 VAR 5.752% 06125135 BIE DTD 05101/05 RD 11128 PD 3624207X5 12/25/14 Total Distributions • UNITED STATES DOLLAR 0.00 2,617.97 M oney Market Funds 12/30/14 MONEY FUND PURCI-ASE DWS GO VT CASP INSTL -8.354.03 LSD USD999997 12/31/14 MONEY MARKET FUND DW$ GOVT CASI1 'NUL INCOME REINVESTED -1.119.01 LSO REINVESTMENT 233993682 Total Money Market Funds- UNITED STATES DOLLAR 0.00 -9,473.04 Total Value of Transactions o.00 0.00 USD The price and quantity displayed may have been rounded. UPAII ROIL Account Number. Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE ICON F I DENTIAL TI,E Page II of Rated [...NYS L von. V... Slate 2007 DAL OAR RAT (0 COMMUN TOG rxesurnact iircr ..2..:7"......17,1..:."-Zin ta:NriallOeleilltf MIS* SDNY_GM_00047936 DB-SDNY-00 10760 EFTA_00 155545 EFTA01290573 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 1 to 5 years 1.678,00000 18% 0 Ove. 10 yeas 7.623.668 88 82% LI Total 9,301,668.88 100% Bond Quality Bond Quality Market Value % of Bond Market Value 2NLower 9.301,668 88 100% Percentages of bond market values are Total 9,301,668.88 100% rounded to the nearest whole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. Percentages of bond market values are rounded to the nearest whole percentage. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 26Th FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Man. FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount COID): No Am orOze premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types. Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more inform alion. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otheriase noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked 'N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS MIEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. O .11 Y1111 (, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E TerazTO N F I DESITIAL E FAZ Account Number. Go paperless P89.12015 Rasa fac.IN1R t VW" V... Lace 2007 DAL BAR RATED COMMUNICATIONS rxerturnser SDNY_GM_00047937 DB-SDNY-0010761 EFTA_00I58546 EFTA01290574 Deutsche Asset & Wealth Management PO Boa 1776. Pa!Wore MD 21103 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to VAwepershing.cornibusiness_continuity.htni 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. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available on written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vole your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poors is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard S Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do rot address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poors ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. (Misr< Rana Pnwalr wean im.tagewen Nantis (Dome Oat, De.isch4 Oa* Sectem“c. wan 06ar HI Part 4..y.Ikh I to Statement Period: 12/0112114 • 12/3112014 Account Number TF E FAZE TRLSl CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 13 of IS Go E)iaqii s 0 N F I A L Rated twiAlenti Event Yew Sinew 2007 DAL MR RATED COMMON1C*710MS IPPOIL I. MCP ...r.t. SDNY_GM_00047938 OB-SDNY-0010762 EFIA_OO158547 EFTA01290575 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (*any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable. the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. AI other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. II you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wompershing.com/strength_stabilityhtml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other 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 reasons) for their award. unless, th 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 v I typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is fled, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLD, Legal Department, One Pershing Plaza. Jersey City, New Jersey 07399: (201) 413.3330. Page 14 of IS Account Num berms Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FAZE TOR6210 N F I DAENTiAL E Rated tacelloni Ln.y Ye sne. 2007 DAL BAR RATED COMMUNICATIONS rxesurner =Ara= SDNY_GM_00047939 OB-SDNY-0010763 EFTA_00 158548 EFTA01290576 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. IF ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO, TIE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT, SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHCH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCE& INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT, THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED, THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MANTANED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, THE PERMANENT RECORD OF THE SEPARATE ACCJMINT AS REQUIRED BY REGULATION T IS AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITES AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TM RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE NDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABLMES TO PERSHNG. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHNG MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER. SPECIALIST. 000 LOT DEALER. BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHNG MAY HAVE ACTED AS PRINCIPAL, AGENT OR BOTH. DUALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW rr ONLINE AT WWW,PERSHING,COM • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WY/W.PERSHING.COWBUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)] PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADNO SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. 8NY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (N880) ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N880. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF 1TE MOVE TERMS ANO OGNINTIONS ARE I maraPTAIRE TO YOU. PLEASE NOTE', POMPOM MIEMATELY IN WRITING BY GOOFED WA TO ONE PERSHNG PLAZ.A. JERSEY CITY. Nl 0T3S9. ATTN. LEON. DEPT DRAB MOLL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE TG ELSTO N F I DENTIAL ThE Account Num hr Go paperless Page15,3115 Rated tacellerill ',ay Year Sac 2'007 DAL BAR RATED COMMUNICATIONS rxempaer Maer.H. SDNY_GN_00047940 DB-SDNY-0010764 EFTA_00158549 EFTA01290577 PO. Sc, 1776, fUltrream MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: CAMEL SABBA °raw< Mn, Pnwerkahnimmtenem Pram Omen. 6,0.6 DM% OR NM Ssoonet Me Put 06c• .141 Pan mime. Itaitcr Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld het Chan e in Portfolio nding Account Value Estim ated Annual Incom e Account Number: Statement Period:11/0112014 - 11/30/2014 This Period 962,094,408.77 0 00 62,094,408.77 240.423 05 0 00 15 761 17 Year-to-Date $22,994,662.95 38.493.547 84 61,188,210.79 922.459 31 440 -60,081 51 S62.350 592 99 $62 350 592 99 Asset Allocation Prior Year-End Lad Period This Period USD Cash. Money Funds. and Bank Deposits 7,589,036 35 17,318,340.05 43,913,182.65 LSD Axed Income 15.405,626.60 11.443.713.96 11,434,280.31 LSD Equities 0.00 3 302 354 76 7,003.130 00 Account Total (Pie Chart) 922,991,662.95 962,094,408.77 962,350,592.99 See the Asset Allocation Disclosure and Footnotes section tor iniportant intormahon regarting your Asset Atcabon. UOAO ROI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) % Allocation 51.138.575.10 70.43% 18.34% 11.23% 100.00% 631,:i2,73:3:,:14 Go paperless CONFIDEmismAL Please review your allocabort Paget of 13 Rated Cacelbroll 1.very Pm. Smop 2007 OALBAR PATEOCOMMUN1CATIOI4S rxarturnser SDNY_GM_00047941 DB-SDNY-00 10765 EFTA_00 158550 EFTA01290578 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 77.39 646.09 149 427 91 Long-Term Gal&Loss 0.00 2,021 49 -336 632 51 Net GsIn/ Lou 77.39 1,376.46 -187,204.60 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Dreription Amount Balance Sweep Money Market Fund D w a GOVERNMENT CASH I NSTI. Account Num bei. 0000001492 Current Yield: 0.03% Activity Ending: 11128/14 11101114 Opening Balance 47,148,340.05 17,348,340.05 11103114 Withdrawal MONEY FUND REDEMPTION -3,626,180.18 13,722,159.57 11/18114 Deposit MONEY FUND PURCHASE 181,445.35 13,903,604.92 11/28114 Deposit MONEY FUND PURCHASE 8,491.61 43,912,098.53 11/28114 Deposit INCOME REINVEST 1,086.12 13.913.182 65 11/28114 Closing Balance $13,913,182.65 Total All Money Market Funds $43,913,182.65 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equates 33,915.35 0.00 101,836.05 0.00 Money Market 1,086.12 0.00 3,415.21 0.00 Other Dividends 129,767.11 0.00 576,380.23 0.00 Interest Income Bond Interest 75,624.17 0.00 239,945.60 0.00 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest. Income and Expenses 9210,423.06 $0.00 8922,459.34 60.00 Distributions Other Distributions 0.00 2.712.44 0.00 27.463.76 Total Distributions $0.00 $2,712.41 $0.00 827,163.76 OEMS BOLL Account Num ber TI-E FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 13 Go ONFIErrWilisAL Rind tmolleM Inn. VAN Lace 2'007 OALIMII RATED COMMUNICATIONS rxclurnaer SDNY_GM_00047942 DB-SDNY-00 10766 EFTA_00 [5855 I EFTA01290579 Ocuiv.v Ram 'noneWealth minim-v.4 Mines Codragt4,0‘P Dens0A Selvnessc Yee brk Mc* Ma Pot Anorffits. )Mn, /at Statement Period: 11/01/2114 • 11/30/2014 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balance Accrued Income income This Year 30-Day Yield Carrell Yield Cash, Money Funds, and Bank Deposits 71.00% of Portfolio Money Market DWS GOVERN M DI T CASH INSTL 1110111/ 13,913,182.650 0000001/92 1112811/ 17,318,310.05 13,913182.65 0.00 3,115.21 0.03% 0.03% Total Money Market $17,318,310.05 $43,913,182.56 10.00 $3,115.21 FDIC Insured Bank Depodts INSURED DEPOSITS PROGRAM 1110111/ N16021913 11128711 0.00 0.00 0.00 882.25 WA NM Total FDIC Insured Bank Deposits $0.00 10.00 $0.00 $88216 Total Cash, Money Funds, and Bank Deposits 847,311310.05 813,913,18216 $0.00 81,297.18 Adjueled Brutalized Acaued Estimated Estimated Date Mildred Quantity Unit Cod Cost Basis Market Price Market Value Gaieties, lamed Annual Income Yield Fixed Income 15.00% of Portfolio (In Marunry Dee Sequence) 'Asset Backed SOIXIMIOS GS M TG SECS CORP 2006.5F I116 PASSTHRU CTF CL 61 VAR 5.751% 06125135 WE DID 05701105 St P Rating Ela Factor: 0.79778126 Eileen)* Date:11103/14 Current Face Value: 1,198.671.890 12/13/13 %LI! 1,500,000.000 97.1780 Security Identifier: 36242D7X5 1,162,900.08 97.0230 Original Cod Basis: $1,189,588.80 1,161,018.97 -1,853.11 5,511.82 Total Asset Backed Securities $1,182,900.08 51,161,010.97 -$1,853.11 $5,511.82 $0.00 1,500,000.000 Total Current Face Value : 1,196,671.890 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11(01116 BIE DTD 10/12/06 MULTIPLE GUARANTORS 1ST CPN DTE 05101107 Moody Rating 9A3 Sd PPM*, Bli• 05110111'.17.15 1,200,000.000 105 1710 1,282,089.10 103.7500 1.245.000.00 -17,089.10 7,129 17 88,500 00 7.10% Original Cost Basis: $1,363,500.00 Page 3 of 13 Account Number: e t :, Rated tocellone 801111333CSP, : Go paperless Von Slate 2007 MM, MOIL DAL OAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINA. P. 61: 414ZE to N F I DrWriA rxentrwer SDNY_GM_00047943 DB-SDNY-0010767 EFTA_00158552 EFTA01290580 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Dale Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain! Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 16262EALS 10.250% 05115118 WE DTD 11115111 CALLABLE 05115115 0 105.125 Moody Rating CAA3 S 8 P Rating C 10102/12 '.12.13 500,000.000 92.3110 161.556.99 83.0000 415,00000 .46.556.99 2,135.42 51,250.00 12.34% Original Cog Basic 8415,000.00 PM ORGAN CHASE d CO DEP SHS REPSTG Security Identifier: 48825HHA1 1/10TH PFD SER 1 FIXED TO FLTG RT BO 7.900% 01/29149 WE MD 0/123108 Moody Rating BM S& P Rating 8B8- 05110111'.1L13 3.000.000.000 1112850 3,337,958.33 108.5610 3,256,830.00 41,128.33 19,750.00 237,000.00 7.27% Original Cod Basic 53.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060606018 SHS FIXED TO FLOAT 8.125% 0/130158 WE DID 0/130108 CALLABLE 05115118 Moody Rating 8A3 S& P Rating BB 05110111'.12,13 3,000,000.000 112.9870 3,389,820.83 101.7500 3,232,500.00 •157,12083 10,15625 243,750.00 7.54% Original Cod Basit 53.389.621.63 Total Corporate Bonds $8,151,225.26 56,119,330.00 .$301,095.25 $39,110.51 8620,500.00 7,700,000.000 Total Fixed Income 99,611,125.33 89,310,378.97 -8303,718.36 844,715.56 8620,500.00 9,200,000.000 Unrealized Estimated Estimated Date Acquired Quantity Unit Cod Cod Bads Market Price Market Value Gain! Loss Annual Income Yield Equities 11.00% of Portfolio Preferred Stocks (Listed by etpitetion dale) CITIGROUP INC DEP SHS REPSTG 111000TH Security Identifier: C PRK PFD SER K DIV 6 875% PERPETUAL MATT CUSP. 1729873/1 PERPETUAL CALL 11/151230 25.00 Dividend Open: Cash 0210311/ 79,000.000 25.3090 1,999,118.90 26 4700 2,091,130.00 91,711.10 135,781.25 6.49% Page 4 of 13 Account N um e t :, Ital.. tacelleria WiAli von k GO paperless (very Yew W,e. 2007 PALMA RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e 67 AZE 'CON F I DAriTriA rxesurner rtret==.2...." -fZir'sra SDNY_GM_000479.44 DB-SDNY-0010768 EFTA_00158553 EFTA01290581 Portfolio Holdings (continued) Date Acquired Equities (continued) Preferred Stocks (continued) CITIGROUP INC DEP SHS REPSTG 111000 Security Identifier: C PRC PFD SER C DIV 5.8% PERPETUAL MAW CUSP. 172967366 PERPETUAL CALL 04/221180 25.00 Dividend Option: Cash 10/28114 49.033.000 240810 1,180,739.16 24.5600 1,204,250.48 23,511.32 71.097 85 5.90% 10/29114 150,967.000 24.3130 3,670,430.48 24.5600 3,707,749.52 37,319.04 218,902 15 5.90% Total Covered 200,000.000 4 851 109.64 4,912,000.00 80,1130.38 290,000.00 Total 200,000.000 $4,851,169.64 34,912,000.00 280,830.38 $290,000.00 Total Preferred gods $8,860,688.54 67,003,130.00 $112,541.48 $64425:1768 Total Eq uities 68,850,638.54 37,003,130.00 $152,641.46 1.256 Uarealited Estimated Estimated Dale Acquired Quantity Usk Col Cost Basis Market Price Market Value Galt Los Annual Income Yield Mutual Funds 3.00% of Portfolio JP IA ORGAN FLOATING RATE INCOME FUND SELECT SNARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CUSP: 481211510 01122113 '.3 198,216.056 10.0900 2,000,000.00 9.9200 1,966,303.28 -33,696.72 81,466.79 4.14% 02101113'•3 630.057 10.0670 6.342.92 9.9200 6.250.16 -92.78 258.95 4.14% 03101113 '.3 711.578 10.0600 7,158.48 9.9200 7,058.86 -99.62 292.46 4.14% 04101113'.3 789.547 10.1100 7,982.33 9.9200 7,832,30 -150.03 324.50 4.14% 05101113'.3 751.550 10.1300 7,613.21 9.9200 7,455.37 -157.84 30089 4.14% 06103/13 '.3 757.360 10.0900 7,641.77 9.9200 7,513.01 -128.76 311.27 4.14% 07101113'.3 668.131 9.9700 8,661.27 9.9200 6,627.85 -33.42 274.60 4.14% 06101113'.3 704.609 10.0600 7,088.37 9.9200 6,989.72 -98.65 289.59 4.14% 09103113'.3 709.175 10.0300 7,113.03 9.9200 7,035.03 -78.00 291.47 4.14% 10101113'.3 712.100 10.0240 7,137.85 9.9200 7,064.04 -73.81 292.67 4.14% Total Noncovered 204,850.183 2,004,739.23 2,030,129.82 -34,609.81 84,111.19 Reinvestments to 9.452.999 10.0670 95,161.84 9.9200 93,773.75 -1,388 09 3,885.20 4.14% Date parr,ar•ngam Pon. Wealth Manirent Mv•et% CINtrarG•mp De.nO4 MM Secylei mC Maw brk Ma Part Anew. lth I kw von. wrt IOVA Statement Period: 11/01/2014 - 11/30/2014 Unrealized Quantity Unit Cost Cost Basis Market Price Market Value Gale/Lou Estimated Estimated Annual Income Yield 04,1),FLICSF,,' MiAt1 irerr TFE ris CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FAZE N F I D mAL Page 5 of 13 Account Number Go paperless Itotod Excellonli (very Van Lowe 2'007 DAUM. RATED COMMUNICATIONS XelltlrNet 4/%1LIT,II .. 111=40 .."." = .• SDNY_GM_00047945 OB-SDNY-0010769 EFTA_00 I 58554 EFTA01290582 Portfolio Holdings (continued) Date Acquired Mutual Funds (continued) JP N ORGAN FLOATING RATE INCOME FUND (continued) Total Covered 9,452.999 05,161.14 93,773.76 .1,388.09 3,885.20 Total 214,103.162 $2,159,901.07 $2,123,903.37 -$35,997.70 187.996.39 Total Mutual Funds $2,159,901.07 32,123,903.37 -$35,997.70 187,996.39 Unrealized Quantity Unit Cost Cost Bads Mutat Prko Nadir Valet Gala/ Loss Estimated Estimated Mnual Income Yield Cod Basis Market Value Unrealized Acaued Estimated Gainl Loss Interest Mnual Income Total Portfolio Holdings 362,637,797.69 $62,350,592.99 -$187,204.60 144,715.66 $1,138,575.10 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (IIRC*) (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered; under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after thee 'applicable date(si at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Ciller securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. I The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering frm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transadion Description Short Term 11125114 12/13113' R1:9 GS MTG SE-CSCORP 200 ASSThRL, CTF CL 81 VAR 5.751% 06125135 WE DID 05/01105 Security Identifier M242D7X5 Original Cost Basis: 2,665.05 O8..0 ROLL Realized Gain/ Lout Quantity Coll Oasis Proceeds Disallowance 1.500.000 000 2,665.05 2,742.44 77.39 Account Number Go paperless ThE FAZE DUST CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDrariAL Page 6 of 13 Rated f.satlera (very Visor Since 2007 DALOAR RATED COMMUMCATIONS rxesurrier SDNY_GM_00047946 DB-SDNY-OO 1O77O EFTA_OO 58555 EFTA01290583 P.O. ea I7PP BoHaan MD 21203 ocuicry Ram Power wean. Manirnall I•lamet% COMIC! GIOI.P OttasIt4 Selt.Ilei Yee bet ON* MI Pot Ant.... 16.1k SIM Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Date Date Tranradion Description Total Short Term Statement Period: 111/112114 -1113012114 Realized Gain/ Leal Quantity Cost Basis Proceeds Disallowance $2,665.05 $2,142.44 171.39 Total Short Term and Long Term $2,665.05 $2,142.44 Mit Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.1.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. M other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-0 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 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 obtains from 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 1099-8 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event one or more of these atbtutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations Hill not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method *With you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to Fist In, Fist Out (FIFO). Your accounts selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selects at the time of the security disposal, and this may be reported on the IRS Form 1099-8. pap? of 13 Account Number— Rand excellent, I /I 1/4II Go paperless bray Year woo. 2007 IF AZE S IA CHUMP RA T ED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) to N F I DriSrriA rxesurnaer rat CZ.= Sr= SDNY_GM_00047947 OB-SDNY-0010771 EFrA_OOI 58556 EFTA01290584 Messages Please note the following information for Pershing's 2014 IRS Forms 1099 fa DIV. 11O; CND and MSC ): Your form 1099 will be delivered as early as possible. beginning January 31, 2015. By February 17. you will receive either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 vnli be mailed no later than March 16. 2015. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for OWS money market funds, please visit the DWS Investments website at https://wwerdws-investments.cornEN/productsimoney-market-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Sum m ary (All amounts shotim are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Securities Bought 000 000 Secunties Bought -3,678.322.89 -6.918.218.77 Secunties Sold 000 2 760 359 19 Seounties Sold 000 0.00 Total Securities $0.00 $2,780,359.19 Total Securities -$3,678,322.89 -$8,916,218.77 Dividends and Interest $710,123.05 9922,159.31 Dividends and Interest $0.00 $0.00 Distributions $7,712.44 $1,096,719.11 Distribudons $0.00 -$2,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 000 38 193 547 84 Deposits 0 00 0 00 Total Cash 10.00 138,493,547.84 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits 10.00 $10,381,873.66 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $3,626,110.48 91,688,419.84 Money Market Funds .$191,023.08 -$48,601,602.29 Total Credits $3,889,345.97 $58,313,383.18 Total Debits -$3,869,345.97 -$58,343,311.18 Page 6 o113 Account Nu■ ber. Go paperless :`,7:7;1 :1:11::•)O11F YOI k TI-E FAZ rgiletlii)C MIPICAT*3.6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E braISTONFIDrwriAL =v. SDNY_GM_000479.48 DB-SDNY-0010772 EFTA_00 155557 EFTA01290585 PC. Box 177S. Bat moot MC) Transactions by Type of Activity Procesti Tradel Settlement Transaction Date Date Activit Securities Bought and Sold 11103/14 1012911/ FL RCFASED C PRC 11103(14 REINVEST CASH INCOME PHSX Total Securities Bought and Sold • UNITED STATES DOLLAR Dividends and Interest 11/03/14 CASH DIVIDEND RECEIVED PF SK 11/03/14 BOND INTEREST RECEIVED 704549AE4 11/17/14 CAST. DIVIDEND RECEIVED 060505DT8 11/17/14 CASH DIVIDEND RECEIVED C PRK 11/17/14 80AD INTEREST RECEIVED 46262EAE5 11/25/14 BOND INTEREST RECEIVED 3621207X5 11/28/14 MONEY MARKET FL ND INCOME RECEIVED 233993682 Total Dividends and Interest - UNITED STATES DOLLAR WOI 0nowe Ram km'. Wolin Parageneit Miniet% Caen., GKM) De.nO4 kr* ,X lire bet Mc* in Part Anne. lthitcr Statement Period: 11/01/2014 - 11/30/2014 Death ion Nan Price Accrued Interest Amount Curren CITIGROUP INC DEP SFS REPSTG 1/1000 PFD SER C DIV 150.967.000 24.2528 .3.670.430.48 LSO 5.8% PERPETUAL 14 ATY PERPETUAL CALL 04122/180 25.00 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 791.805 .7.892.41 USD 213308.3570 SFRS ShRS PATCH. AT $993000 RD 10130 PO 11/03/11 0.00 4,670,322M P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7.892.11 LSO 213308.3570 WAS RD 10130 PD 11103/14 1200000 PEABODY ENERGY CORP SR NT 7 375% 11101/16 44.250.00 LSO WE DTD 10112/06 RD 10131 PD 11103/14 BANK AMER CORP PER, NO N COM ULATIVE DEP SFS FIXED 121.875 00 LSD TO FLOAT 8.125% 04130/58 B/E RD 11114 PD 11115114 DIV PAID AT 40.6250 3000000 79000 SF RS CITIGROL P INC DEP SFS REPSTG 111000Th PFD 33.945.35 LSD SER K DIV 6275% PERPETUAL MATT PERPETUAL CALL 11115/23. 25.00 RD 11105 PD 11117/14 500000 'PAYMENT INC GTD SR NT 10.250% 05/15118 WE 25.625 00 LSD DID 11115M CLB RD 11/14 PD 11117/14 1500000 GS M TG SECS CORP 2005-5F MTG PASSTII RU CTF 5.749.17 LSD CL F11 VAR 5.751% 06/25135 WE DTD 05101/05 RD 10131 PD 11125/14 DWSGOVT CAST INSTL 1.086 12 LSD 0.00 240,123.05 Page 9 of 13 Account Number Italia tacellone Go paperless Ivory Year Late 2'007 TI•E FAZE r DALBAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) O N F I DENTIA PXOPILPNCP SDNY_GM_00047949 DB-SDNY-0010773 EFTA_001585511 EFTA01290586 Transactions by Type of Activity (continued) Process/ Trade/ Settlement Transaction Date Date Activity Type Desairdion Quantity Price Awued littered Mount Currency Distributions 11125114 RETURN OF PRINCIPAL 1500000 GSM TG SECS CORP 2005-5F MTG PASSTHRU CTF 274244 LSO RECEIVED CL B1 VAR 5.751% 06125135 81E DID 05101105 RD 10131 PD 3624207X5 11125/14 Total Distributions • UNITED STATES DOLLAR 0.00 2,712.44 Money Market Funds 11103114 MONEY FUND REDEMPTION DWSGOVT CASh INSTL 3,626,180.48 LSD 1/SO999997 11118114 MONEY FUND PtiliChASE DWS GOUT CASI- INSTL -181,44535 LSD USD999997 11126114 MONEY FUND PURCHASE DWSGOVT CASh INSTL 4.491.61 LSD USD999997 11128114 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVESTED -1.086.12 LSO REIN VEST M ENT 233993682 Total Money Market Funds- UNITED STATES DOLLAR 0.00 3,435,157.40 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value % of Bond Markel Value I to 5 yen 1 660.000 00 18% Over 10 yen 7 650 376 97 82% Total 9,310,376.97 100% Bond Quality Bond Quality Market Vain % of Bond Market Value BA/Lower 9.310,376 97 100% Percentages of bond market values are Total 9,310,376.97 100% rounded to the nearest whole percentage. You are 100% invested it bonds with a bond quality of BArLoo•ver. - Percentages of bond market values are rounded to the nearest whole percentage. litIAN MOLL ThE FAZ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) E TeRuTO N F I DAENTIAL Page10013 Account Number. Go paperless Raid tace.lera (very Year Slate 2007 DAL OAR RATIO COMMUNCA TSONS rxenurnser SDNCGM_00047950 DB-SDNY-0010774 EFTA_00I58559 EFTA01290587 MD 21203 Client Service Information ocuisov Rant Pnnie Weahn Papmernmt Pdaeals CodrageG,o‘P WARM M* Sew +.R R.. wan Onto in Pan Ammo. Ita I *xi Statement Period: 11/01/2014 • 11/30/2014 Your Client Advisor: DAN DANIS. SAW 345 PARK AVER IJE, 26111 FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Ran: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat ad interest as original issue discount fOlD): No Am orbze premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types- Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account com m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for more inform alien. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the 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 M not available are marked 11/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EM) and estimated annual yield (EMI 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 Meov.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution, intonation pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information we 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 Page It of 13 °RAS ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) MOM nt Num ber Cio paperless THE HAZE DUST N F I DrwriAL Rated tacollenti Lyon. Vn. Lace 2007 DAUM* RATED COMMUNICATIONS rxesartraer SDNY_GM_00047951 DB-SDNY-0010775 EFTA_00 155560 EFTA01290588 Important Inform ation and Disclosures (continued) Options (continued) information is available to you prorptty upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance With the terms outlined in the Marge) Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poets. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poets shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bond Maturity Schedule Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (I) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controgng or under 00010100 control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wevespershing.corNstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page 12 of 13 Account hum Der 11-E FAZE T Go TONFIdheleisAL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Rated taconenti Lowy Yew woo. 2007 DALOAR RATED COMMUNKATIONS rxesurtraer SDNY_GM_00047952 OB-SDNY-0010776 EFIA_00 I 58561 EFTA01290589 PC &, 1776 B40 Port MD 21203 Important Information and Disclosures (continued) (*awe Rana Pnvip warn swarms Weans teeny Groao Dettsch4 lariSeudnet Mrs bet Plot In Pon Ammo. /Wm:v. Statement Period: 110112014 • 11/3012014 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 firnited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than n court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wil typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose tine limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum n which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399 Account Num berms .01 Go paperless DIE FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON FIDAEWNAL Page 13 of 13 Rata. Lawns ni Ever, Veil. Slats 2007 DAUM. RATED COMMUNISTIONS rxarturres SDNY_GM_00047953 DB-SDNY-0010777 EFTA_00158562 EFTA01290590 Et Mal 1776. Mere" PADM203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: Davie IIMT Palm WeRIMPAANNAMI Alarm{ Comft• GAM MEND,' Seaderes Ma *a ono MS PTA /mom MAI Me Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income Total Taxes Withheld het Chan e in Portfolio nding Account Value Estim aced Annual Thom e Account Number: Statement Period: 10/01/2014 -1013112014 This Period 823,480,819.75 38,485,359.85 81,986,179.40 133,379.70 0 00 -515033 Year•to.Date 622,994,662.96 38,493,547.84 81,488,210.79 682,036.29 4 40 .75.842 71 $62,094,408.77 862,094.408.77 $917.833.55 Asset Allocation Prior Year-bid Lad Period This Period % Allocation USD Cash. Money Funds. and Bank Deposes LSD Fixed Income LSD Equities 7,589,038.35 16.105.626.60 0.00 9,915,881139 11,481,271.06 2,080,880.00 47,348,340.05 11,443,713.98 3,302.35478 76.25% 18.43% 5.32% Pease re. le,‘ [),. loceo- 1 Account Total {Pie Chart) $22,994,662.95 523,460,81925 See the Asset Amotabon Disclosure and Footnotes section for Impotent inlornsaton regarding yourAsset notation. 982,094,408.77 101.00% CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) E1009 T /3 3CSP 3 00 IT Go paperless Pap 1013 CONFIDAEriAL limed GAMINS L very. Yew Since 2007 DAL BAR RATED COMMUNICATIONS rxesurnaer Isle. WI - no... POIN. dec SDNY_GM_00047954 OB-SDNY-0010778 EFTA_OO158563 EFTA01290591 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year•to•Date Short-Term Gain/Loss 76.93 723.48 118 650 01 Long-Term Gain/Loss 000 2.021.49 -323 392 68 Net GaIn/Lou 76.93 1,296.01 -204,732.67 This summary excludes transactions where cost basis information is not available. Money Market Fund Detail Date Activity Type Dexriptioa Amount Balance Sweep Money Market Fund ow S GOVERNMENT CASH !USTI Account Num ber. 0000001492 Current Yield 0.03% Adivity Ending: 10/31114 10101/14 Opening Balance 9.915,68819 9,915,688.69 10107/14 Deposit MONEY FUND PURCHASE 38,465,359.65 48,401048.34 10128114 Deposit MONEY FUND PURCHASE 8.486.17 48,409,536.51 10131114 Withdrawal MONEY RAO REDEMPTION •1,062,239.16 47,347,297.35 10/31114 Deposit INCOME REINVEST 1,042.70 47,348,340.05 1/131114 Closing Balance $47,348,340.05 Total All Money Market Funds 647,340,340.05 Income and Expense Summary Current Period Year•to•Dale Taxable Non Taxable Taxable Roe Taxable Dividend Income Equities 000 0.00 67,890.70 0.00 Money Market 1.042.70 0.00 2,329.09 0.00 Other Dividends 126.574 82 0 00 446.812 82 0.00 Interest Income Bond Interest 5 762 18 0.00 164,321.43 000 FDIC Insured Bank Deposits 000 0.00 882.25 OR Total Dividends. Interest, Income and Expenses 6133,379.70 $0.00 $602,039.29 $0.00 Distributions Other Distributions 0 00 2.725.99 0.00 24.721.32 Total Distributions 30.00 $2,726.99 $0.00 $21,721.32 097893CSFIC BAB 11(>lt Account Nun ber Tel FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page 2 of 13 Go ErEPAt ilis ON Fl A L Paid Caen na tray Vest 544.0• 29.)7 DALBAR RATIO COMMUNICATIONS tXCRIANCE SDNY_GM_00047955 DB-SDNY-0010779 EFTA_DO [58564 EFTA01290592 0rvitre Voslin Pas nair,tat Marotts (Intiegt De.ticta Bar Storm. M. brit 14,Pant Ann**. ,loe, Statement Period: 18/0112114 • 10/3112014 Portfolio Holdings Account Opening Date Quantity Number Activity Ending Opening Balance Closing Balance Cash, Money Funds, and Bank Deposits 76.00% of Portfolio Money Market DW S GOVERNMENT CASH INSTL 10101114 47,348,340.050 0000001492 10(31114 9,915,688.69 47,348,340.05 Total Money Market FDIC Insured Bank Depodts INSURED DEPOSTS PROGRAM 10101114 N46024943 10131/14 $9,915,688.69 0.00 147,348,340.05 0.00 Total FDIC insured Bank Deposits $0.00 10.00 Total Cash, Money Funds, and Bank Deposits Date Acquired Quality Unit Cost Adjusted Cast Basis 19,915,688.69 Market Price $41,348,340.05 Markel Value Fixed Income 15.00% of Portfolio (In Malunty Date Sequence) Accrued Income 30-Day Carrot Income This Year Yield Yield 77.84 2.32909 0.03% 0.03% 177.84 $2,329.09 0.00 882 25 WA WA $0.00 1882.25 $77.84 $3,211.34 UsitalIzed Maud Estimated Estimated Golf Lou Merest Annual Income Yield 'Asset Backed Securities GS M TG SECSCORP 2005.5E M TG PASSTHRU Security Identifier: 3624207X5 CTF CL 81 VAR 5.751% 06125135 BIE DID 05101105 S 8 P Rating Bs Factor 0.79980956 Effective Date:10/01/14 Current Face Value: 1,199,414.340 12/13/13 %LIZ 1,500,000.000 97 1780 1.165.565.13 96.9900 1,163,311.97 -2.253.16 5,749.11 Original Cost Basis: $1.189.588.80 Total Asset Backed Securities $1,165,565.13 $1,163,311.07 1,500,000.000 Total Current Face Value : 1,199,414.340 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11/01/16 WE DTD 10112106 YULTIPLEGUARANTORSISTCPN DTE 05/01/07 Moody Rating 0/t3 Sd PRO%) BB- 05110/11 '. 12.15 1.200.000 000 105.3890 1,261,663.85 103.0000 1,236.000 00 Original Cast Basis: $1,363,500.00 BOW 8,3CSF,' WIAR ROLL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6: HAZECIO N F I DAENTIAL Account Number Go paperless -62,253.16 15,741.11 $0.00 -28,863.85 44.250 00 88.500 00 7.16% Page 3 of 13 Rated tscollonli L very Va. Slate 2007 DAL OAR RAT OD COMMUNICATIONS rxciturnaer SDNY_GM_00047956 OB-SDNY-0010780 EFrA_00158565 EFTA01290593 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Quantity Unit Cod Cog Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 46282EALS 10250% 05115118 WE DTD 11115111 CALLABLE 05/15115 0 105.125 Moody Rating CAA3 S 8 P Rating C 10102112'.13.13 500,030.000 921650 460.826.53 84.0000 Original Cod Basic $445,000.00 PM ORGAN CHASES CO DEP SHS REPSTG Security Identifier: 46625HHA1 1/10Th FCC) SER 1 FIXED TO FLTG RI BO 7.900% 04/29149 WE DM 04123108 Moody Rating BA1 S & P Rating BBB- 05110/11 12.1S 3.000.000.000 1112850 3,337,958.33 108.3750 3,251250.00 46,708.33 0.00 237,000.00 7.28% Original Cost Bags $3.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security Identifier: 060505078 ShS FIXED TO FLOAT 8.125% 04130158 WE DID 04130108 CALLABLE 05115118 Moody Rating 8A3 S & P Rating B8 0511011112,1* 3,000,000.000 112.9870 3,389.620 83 108 5000 3,255,000.00 ,134,620.83 112,395.83 243,750.00 7.48% Original Cost Basis. $3.389.620.83 Total Corporate Bonds $8,453,059.54 $8,162,250.00 4290,819.54 $90,277.77 $620,500.00 7,700,000.000 Total Fixed Income $9,618,631.67 9,200,000.000 420.000 00 40.826.53 . 23,631 94 51,250.00 12.20% 19,325,561.97 4293,072.70 Unrealized Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Loss Equities 5.00% of Portfolio Preferred Stocks (Listed by expiration date) CITIGROUP INC DEP SHS REPSTG 1/1000TH Security Identifier: C PRK PFD SER K DIV 6.875% PERPETUAL MATY CUSP: 172967341 PERPETUAL CALL 11/15/230 25 00 Dividend Ophon Cash 02/03114 79.000 000 25.3090 1,999,418.90 26.7600 2,114,040.00 114,621.10 135,781.25 6.42% CMGROUP INC DEP SHS REPSTG 111000 PFD SER C OIV 5.8% PERPETUAL MATT PERPETUAL CALL 04/22/18025.00 Dividend Option: Cash 1186,026.81 $620,500.00 Estimated Estimated Annual Income Yield OftAlf ROLL Security Identifier: C PRC CUSP 172967366 Account Nun ber ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ONFIliE)ArnsAL Page 4 of 13 Rated [.c70•80 Every Vs.. Sena 2007 DAL BAR MUD COMMUNCATIONS rxentrwer SDNY_GM_00047957 DB-SDNY-0010781 EFTA_00158566 EFTA01290594 dal. Pnwe Wean manran Marais rap Gw‘P DerbOv Sank kw nes sc Mow Int Cilk• HS ran It•••••.11" I kit Statement Period: 10/0112014 - 10131/2014 Portfolio Holdings (continued) Dale Acquired Equities (continued) Preferred Stocks (continued) CITIGROUP INC DEP SKS REPSTG 111000 (continued) 10/28114 49,033.000 24.0810 Total Preferred Stocks Total Equities Uarealized Quantity Unit Cost Cost Basis Market Price Market Value Galaf Loss Estimated Estimated Annual Income Yield Date Acquired 1.180.739.16 24.2350 1.188 314.76 7,575.60 71.09715 5.98% $3,180,158.06 $3,302,354.76 $122,198.70 $206,679.10 $3,180,158.06 $3,302,354.76 $122,198.70 $206,679.10 Unrealized Estimated Estimated Quality Unit Cost Cost Basis Market Price Market Value Gals/ Loss Annual Income Yield Mutual Funds 4.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SI-ARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier:11SX CI,S1I1 481211510 01/22/13 '.3 198,216.056 10.0900 2.000.000.00 9 9300 1.988.285.45 -31,714.55 81,070.36 4.11% 02/01113 '.3 630.057 10.0670 6,342.92 9 9300 6,256.47 46.45 257.69 4.11% 01101/13 '.3 711.578 10.0600 7.158.48 9 9300 7.065.96 -92.52 291.04 4.11% 04101113 '.3 789.547 10.1100 7,982.33 9.9300 7,840.19 -142.14 322.92 4.11% 05101113 '.3 751.550 10.1300 7,613.21 9.9300 7.462.88 -150.33 307.11 4.11% 06103113 '.3 757.360 10.0900 7,641.77 9.9300 7,520.58 421.19 309.76 4.11% 07101/13 %El 668.131 9.9700 6,661.27 9.9300 6,634.54 -2173 273.27 4.11% 08101113 '.3 704.609 10.0600 7,088.37 9.9300 6,996.76 41.61 288.18 4.11% 09103113 '.3 709.175 10.0300 7,113.03 9.9300 7,042.11 -7192 290.05 4.11% 10101113 '.3 712.100 10 0240 7,137.85 9.9300 7,071.15 -66.70 291.25 4.11% Total Noncovered 204,660.163 2,084,739.23 2,032,178.01 -32,683.14 83,70110 Reinvestments to 8,658.194 10 0790 87,269.43 9 9300 85,975.90 -1,293.53 3,541.21 4.11% Date Total Covered 8,151.194 67 209.43 65,975.90 -1,293.53 3,541.21 Total 213,308.367 $2,152,008.66 $2,116,151.99 -$33,651.17 $87,243.11 Total Mutual Funds $2,152,008.66 $2,116,151.99 433,65817 $87,243.11 Unrealized Awued Estimated Cod Basis Nadel Value Gala/ Loss Interest Animal Income Total Portfolio Holdings $62,299,141.44 162,094,408.77 -$204,132.67 $16$,026.6$ $917,833.65 Account berms °PAN vel Go paperless E MAL MS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) FAZE TPLSTCON FIDA Page 5 of 13 Rated t t very Van Slate 2007 DAUM. RATIO COMMUNICATIONS rxenur NCI SDNY_GM_00047958 OB-SDNY-0010782 EFrA_00 158567 EFTA01290595 Portfolio Holdings (continued) Footnotes ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis repotting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable dates)' at which they are subject to the cost basis reporting rules and the adjusted basis vita be reported to the IRS on form 1099.8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as folows: • Stock in a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default. index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. I The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivemg firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaaion Description Duality Cost Bids Proceeds Realized Gain/ Loss/ I:Hullo/an* Short Term 10127114 12/13113' latP GS LITG SECSCORP 200 ASSTHRU CTF CL 81 VAR 5.751% 08125135 WE DTD 05101105 Security Identifier 3624207X5 Original Cost Basis: 2.609.06 1,500,000.000 2,61906 2,725.99 76.93 Total Short Term 62,649.01 $2,725.99 $76.63 Total Short Term and Long Term $2,149.06 $2,725.99 $76.93 ' Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis repotting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Page 6 of 13 Account Nun Der INNS et) kilted tacellenti Go paperless (very Vow' Woes 2007 THEN DAUM. PATO) COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R P. 6(e) Tt5o N F I DriSiTiA rxarturraer •—•-• gam es-floe...Nat ••••= SDNY_GM_00047959 OB-SDNY-0010783 EFrA_00158568 EFTA01290596 DPASOf Sim PrpnleVNISOOMAIrNat Marais Conran Group °Muhl Sank StuettesAc Now *4 Ma. MS Pan ilonat. ad, I leer New Vert Ptt 101W Statement Period: 910112114 • 10/3112014 Schedule of Realized Gains and Losses Current Period (continued) Reportirg requirements generally will be phased in cver a three-year pencil, as tcllows • Stock in a corporation acquired on or after January 1. 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1. 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Retum of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be 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 109943 or online displays you may have available to you. When you report your cost basis on your tax return. ft should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or mote of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those invoking continuously callable bonds. foreign bonds. variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method winch you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, Fist Out (FIFO). Your accounts selected tax lot method wil be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Cryporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DVVS Investments website at IfflpslAwvwdyrs-iwestrnents.conVENfooducts/money-market-fundsryields.jsp. Please note that all money market hinds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Page? of 13 Account Number Rated excellent, , • . €o paperless Lyon, Vs.. Slate 2'007 DAL OAR RATED COmmuniCaliONS CONFIDENTIAL - PURSUANT TO FED. R 6: HAZE N F I DrErriA exammer etiraran von we.. c.w.o.*. 0•17= •••••••Mc••••••••••....'*r SDNY_GM_00047960 OB-SDNY-0010784 EFrA_00158569 EFTA01290597 Activity Sum m ary (All amounts shown are in base currency) Oedits This Period Year-to-Date Debits This Period Year-to-Date Securities Securities Secunbes Bought 0 00 0.00 Secunbes Bought .1.188 813 98 .3.267.895.88 Secunties Sold 0 00 2,760,359 19 Secuntres Sold 0 00 0 00 Total Securities $0.00 $2,760,359.19 Total Securities -$1,166,613.98 -$3,267,895.68 Dividends and interest $133,379.70 $682,036.29 Dividends and Interest $0.00 $0.00 Distributions $2,725.99 $1,093,976.87 Distributions $0.00 42,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits 31.485.359 65 38.493.547.84 Deposits 000 000 Total Cash $38,485,359.65 $38,493,547.84 Total Cash 50.00 $0.00 FDIC Insured Bank Deposits $0.00 $10,381,873.68 FDIC Insured Bank Deposits $0.00 -$2,792,837.31 Money Market Funds $1,062,239.18 $1,082,239.18 Money Market Funds 438,494,890.52 448,410,579.21 Total Credits $39,683,704.50 $54,474,037.21 Total Debits -$39,683,704.50 -$54,474,037.21 Transactions by Type of Activity Proceed Trade! Settlement Transaction Date Date Activity Type Description Quantity Price Aweed Merest Amount Currency Securities Bought and Sold 10101/14 REINVEST CAST-. INCOME ,P MORGAN FLOATING RATE INCOME FLND SELECT SHARES 813.174 .8.074.82 LSD Pr SX 212495.1830 SHRS SI-RS FILRCH. AT 59.93000 RD 09129 PO 10/01114 10/31/11 10/28114 PURCHASED CITIGROUPIAC DEP SHS REMO 111000 PFD SER C DIV 49.033 000 24.0205 -1,180,739.16 LSD C PRC 5.8% PERPETUAL MATT PERPETUAL CALL 04/22118. 25.00 0401 AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -1,186,613.911 Dividends and interest 10101/14 CASH DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 8,074.82 LSO P-SX 212495.1830 SHRS RD 09129 PD 10101114 10127114 80AD INTEREST RC-C8VED 1500000 GS MTG SECS CORP 2005.5F M TG PASSTHRU CTF 5,762.18 LSD 36242D7X5 CL B1 VAR 5.751% 08125135 WE DID 05101105 RD 09130 PD 10125/14 P19.80113 IJOAE1 14O1 I (very Year Lace 2007 DALBAR RAM. COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) HAZE N F I DriTriA rxenurnser Account Number Go paperless Rated tacellera .11141,...°T.,== • -- c.....«Th—rwr. DB-SDNY-0010785 EFTA_001524570 EFTA01290598 Ute-0 2:1 PC. BoL I no BA wort M021202 Transactions by Type of Activity (continued) Process( Trade/ Settlement Transaction Date Date Activity T Description ()micro Ram 0,0,0 %Wain PA400, 011 Pewals Coerce 4,04, Destut• UM %woes Ac WmIRA 0710P. Mann AMMO. Ma I to Quint Statement Period: 1010112014 • 1 0/3112014 Price Accrued littered Amount CO rrenq Dividends and Interest (continued) 10/30/14 CASH DMDEAD RECEIVED PMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 118.50010 USD 46625H HA1 7.900% 04129/49 B/E RD 09/30 PD 10/30114 CASH PAYMENT 3400000 10131/14 MONEY MARKET FUND DWSGOVT CASH INSTL 1,042.70 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 133,370.70 Distributions 10/27/14 RETURN OF PRINCIPAL 1500000 GS MTG SECS CORP 2005-5F MTG PASSTHRU CTF 2,725.99 USD RECEIVED CL 81 VAR 5.751% 08125135 WE DTD 05101105 RD 09/30 PD 36242D7X5 10/25/14 Total Distributions • UNITED STATES DOLLAR 0.00 2,725.99 Cash Withdrawals and Deposits 10106114 FEDERAL FENDS RECEIVED HSBC BANK USA, NA 09422 38,485,359.65 USD USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 38,465,359.65 Money Market Funds 10107/14 MONEY FUND PURCHASE DWSGOVT CASH INSTL 48,485,359.65 USD USD999997 10128114 MONEY FUND PURCHASE DWSGOVT CASH INSTL 4,488.17 USD USD999997 10131/14 MONEY FUND REDEMPTION DWS GO VT CASH INSTL 1,062,239.16 USD USD999997 10131/14 MONEY MARKET FUND DWSGOVT CASH INSTL INCOME REINVESTED -1,042.70 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 .37,432,651.36 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. OSAR ROLL Page 9 of 13 Account Number Go paperless Rated excellent, (very Yen since 2007 THE HAZE trONFID=iAL 0ALBAII RATED COMMUMCATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) rxesturrder rat= ""."" SDNY_GM_00047962 DB-SDNY-0010786 EFTA_0015857 EFTA01290599 Cash Not Yet Received Send, Record Date Payable Date Quantity Held Rate Dividend Option Amount of Payment Interest BANK AMER CORP PEW NON COMULATIVEOEP 11101/14 11115114 3.000,000 000 0 010625 Cash 121.675.00 SES Fl) TO FLOAT PAYMENT INC GTD SR NT 11101114 11/15/14 500.000.000 0.051250 Cash 25125.00 10.250% 05115118 WE F'EAI30DY ENERGY CORP SR NT 10131114 11/03/14 1 200,000 000 0036875 Cash 44.250.00 7.375% 11101116 WE Total Cash Not Yet Received 0191,150.00 Bond Maturity Schedule Bond Maturity Martet Value %of Bond Markel Value I to 5 years 1,656,000 00 18% Over 10 yea's 7.669.561 97 82% In Total 9,325,561.97 100% Bond Quality Bond Quality Market Vale %of Bond Market Value Percentages of bond market values are rounded to the nearest whole percentage. BNLower 9.325.561.97 total 9,325,561.97 You are 100% invested in bonds with a bond quality of BA/Lower. Trades Not Settled Settlement Date 11103/14 Irade Date 10/29/14 Buy Activity Type Description CITIGROLP INC DEP SI-SREPSTG 1/1000 PFD SRC DIV 5 8% PERPETUAL MATY PERPETUAL CALL 04122118(g 2500 UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION 100% 100% Quanti Percentages of bond market values are rounded to the nearest whole percentage. Price Matted Stem, Sfillemett Mont 150,967 000 24.2528 Total Amount of Trades Not Settled Client Service Information -$3,670,430.48 Your Client Advisor: TOS TAM SMITH 345 PARK AVEn LE 14Th FLOOR NEWYORK AY 10154 Contact Information Telephone Number: (212) 4512889 Page 10 of 13 (very Year Since 2007 DALBAR RAM:. COAWILINCATIONS CONFIDENTIAL - PURSUANT TO FED. R HAZE N F I DAni snA rxenurNer Account Number Go paperless Excellent SDNY_GM_00047963 OB-SDNY-0010787 EFrA_00 158572 EFTA01290600 Oe."1,0 Si. We a In. miner -icor Weals C %Wale Darts( he MA kw net mc Na. Int Mc* MINH Monet lth %v. MEM Statement Period: 1010112014 • 10/3112014 Your Account Inform ation Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestm ent Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat al interest as OMAN issue discount i OlDji No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more inform align. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid a an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) fgures 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 VAYetv.pershing.cornibvsiness_continuity.htrri for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in cons orations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing far. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Fage 11 of 13 IRAN Veit Account Number TI-E FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ess oNFID'ilo eiTAL RAMO tmelloni 099 Yoe. Seme 2907 DAL BAR RATED COMMUNICATIONS rxarturrier Crin.retir SDNY_GM_00047964 OB-SDNY-0010788 EFrA_00 I 58573 EFTA01290601 Important Information and Disclosures (continued) Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions convened by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard 8. Pool's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard 8. Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets sham here are not reflected in your account This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bond Maturity Schedule Bonds that are in default are not included. Bond Duality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (i) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing perromis 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 conceming the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413.3333. Al other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1. Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wiwrpershing.comistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other 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. Page 12 o113 Account Nur Der i t listed tszellene Go paperless Every V.9 Late 2907 ThE DA COMA LBAR RATED IUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) fa Ito N F I DriSiTiA SIDNY_Gki_00047965 DB-SDNY-0010789 EFTA_00158574 EFTA01290602 Gnaw< NM Wealavaragenmt Pangs tedrage Gnat) Destsag lank %tn. Lac. BB. bet Onto Habit Any. 160. Met NM= Important Information and Disclosures (continued) Statement Period: 10101/2914 • 10/3112014 Important Arbitration Disclosures (continued) • 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 Lie shat 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. III) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enlace an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Account Melba Rated tocellenti OBAS ROLL Go paperless beefy Year Since 2007 CALMAR RA TE0 COMMUNCATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e 6(7 HAZE to N F I DrErriA rxartimer Page 13013 ili a reitroatr... - Ltt«.rosmistates..... SDNY_GM_00047966 DB-SDNY-0010790 EFTA_00158575 EFTA01290603 PO. Sc, 1770 Balt mom MD 21203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAZIA SMITI- Oevicov Ram Power wean. Manw.nall 1•0”.11$ COMM! 4,011, OtrAtthl kr* Seltdri AC lire bet ON* Na Pot Aivorek 114h I kw Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends. Interest and Other Income Total Taxes Withheld Net Chan e in Portfolio nding Account Value Estim ated Annual Incom e Account Number: Statement Period: 0910112/14 •09130(2014 This Period 323,113,956.92 0 00 23,113,956.92 13.219 96 0 00 -246 357 13 Year.to-Date 322,994,662.95 8.188.19 23,002,851.14 548.656.59 440 40,69238 $23,480.819.75 $23,480.819.75 Asset Allocation Prior Year•End Lad Period This Period % Allocation LSD Cash. Money Funds. and Bank Deposits 7,589,036 35 9,906.952,32 9.915,688 69 4223% LSD Axed Income 15,405,626.60 11.675.584.60 11,484,271.06 4891% LSD Equities 0.00 2.131.420.00 2.080.860 00 8.86% Account Total (Pie Chart) 322,994,662.95 323,713,956.92 323,460,819.75 100.00% See the Asset Mlocabon Disclosure and FooMotes section ix important intonation regarding your Asset Alsocabon. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) peerless .ry CONFIEr517ffiXL B01012S9CSF30023 5845 36041 P ease re. law your a loceo- Pap14813 Rated twalbrigi Lvery Yew 00072007 DALISAR RATED COMMUNICATIONS rxesurnaer SDNY_GM_00047967 OB-SDNY-0010791 EFTA_00 158576 EFTA01290604 Asset Allocation Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Funds. Summary of Gains and Losses Realized Vitalized This Period Yearto-Date Short•Term Gain/Loss 76.67 -800A1 77.810.54 Long•Term Gal&Loss 000 2.021.49 .279.158.36 Net Gain/Lou 76.67 1,221.0 ,201,347.82 This summary excludes transactions where cost basis intamation is not available. Money Market Fund Detail Date Activity Type Deuription Amount Balms Sweep Money Market Fund CMS GOVERNMENT CASH !NM Account Number: 0000001192 Current Yield: 0.03% Adivity Ending: 09/30111 08130114 Opening Balance 9.906.952 32 9,906,952.32 09126114 Deposit MONEY FLNO PURChASE 8 192 04 9,915,444.36 09130114 Deposit INCOME REIN VEST 211 33 9 915 688.69 0930114 Closing Balance $9,916,688.69 Total All Money Market Funds 59,915,888.89 Income and Expense Summary Current Period Year.to•Date Taxable Nos Taxable Taxable Noo Taxable Dividend Income Equities 010 0.00 67,890.70 0.00 Money Market 244.33 0.00 1.286.39 0.00 Other Dividends 7,200.48 0.00 320,038.00 0.00 Interest Income Bond Interest 5,775.15 0.00 158,559.25 0.00 FDIC Insured Bank Deposits 0.00 0.00 882.25 0.00 Total Dividends, Interest, Income and Expenses 213,219.96 60.00 $50,8611.59 20.00 Distributions Other Distributions 000 2,718.89 0.00 21,995.33 Total Distributions $0.00 $2,716.89 $0.00 $21,995.33 litt ,gt trot k Account Nun bar TFE FAZE TRLSI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Go ON Fl A L Page 2 of 13 Rated [sangria Every Vs.. since 2007 DALBAR RATED COMMUNICATIONS rxemr NCI SDNY_GM_00047968 DB-SDNY-0010792 EFTA_00158577 EFTA01290605 01,41.0t VOtlin hump—via Mooets IPt ,1{t4.0.p De.tic kw M. gr. lovie Mar 14,rant Annw. /Mk Hoct Statement Period: 0910112111 • 09/3012014 Portfolio Holdings Account Opening Date Quantity 'lumber Adivity Ending Opening Balance Doing Balance Awued Income Income This Year 30.0ay Yield Oared Yield Cash, Money Funds, and Bank Deposits 42.00% of Portfolio Money Market DWS GOVERN M DI T CASH INSTL 08130114 9,915,688.690 0000001492 0900114 9,906,952.32 9,915,688.69 0.00 1,286.39 0.03% 0.03% Total Money Market 19,906,952.32 19,915,818.69 10.00 $1,286.39 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08130114 N46024943 09(30114 0.00 0.00 0.00 882.25 NIA N/A Total FDIC Insured Bank Deposits $0.00 $0.00 10.00 $682.25 Total Cash, Money Funds, and Bank Deposits 19,906,952.32 19,915,888.69 30.00 $2,168.64 Adjusted Unrealized Awned Estimated Estimated Date AsOaired Quantity Veit Cod Cost Basis Market Price Market Value Gain/Loss Interest Annual Income Yield Fixed Income 40.00% of Portfolio (In MalurityDale Sequence) tAsset Backed Securities GS M TG SECS CORP 2005.5F M TG PASSTHRU CTF CL 81 VAR 5.751% 06/25/35 WE DID 05/01105 58 P Riding Eln Fedor: 0.60112689 Effective Dale.09/02/14 Current Face Value: 1,212,140.335 12113113'.3,5! 1.500.000.000 Total Asset Backed Securities 1,500,000.000 Total Current Face Value : 1,202,140.335 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11/01/16 WE DTO 10112106 MULTIPLE GUARANTORS 1ST CPN DTE 05101107 Moody Rating BA3 Sd PRO%) BB- 05/10/11 '.ILII 1.200.000.000 105 6020 1,267,228.87 106.0000 1,272.000 00 Original Cost Basis: $1,363,500.00 Security Identifier: 362420745 97.1780 1,168,211.19 96.9890 Original Cod Bads: 51.189 588.80 $1,166,214.19 1,165,913.89 -.270.30 5.570 05 51,185,913.89 •$2,270.30 ?.:10,259CSP, I HAW vell Account Number ThE FAZE T CONFIDENTIAL — PURSUANT TO FED. R CRINI. P. 6(e) (io ON Fl ErrPiV isA L $5,570.05 $0.00 4771.13 36.629 17 88,500.00 6.95% Page 3 of 13 tacellonil Lvery V0.0.200:0 2007 OALBAR PATO) COMMUNICATIONS rxertmsser SDNY_GM_00047969 Ce-SDNY-0010793 EFTA_001 58578 EFTA01290606 Portfolio Holdings (continued) Adjusted Unrealized Accrued Estimated Estimated Date Acquired Duality Umit Cod Cod Basis Market Price Market Value Gain/ Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) IPAYM ENT INC GTD SR NT Security Identifier: 46262EAES 10.250% 05/15/18 BIE DTD 11115111 CALLABLE 05/15/150 105.125 Moody Rating CAA3 S d P Rating CC 10/02112'.13.13 500,000.000 92.0210 460.103.92 88.2500 441,250.00 .18.853.92 19.218 75 51.250.00 11.61% Original Coal Basic $445,000.00 PM ORGAN CHASES CO DEP SHS REPAID Security identifier: 46825HHA1 1/10TH PFD SER 1 FIXED TO FLTG RT BO 7.900% 04129149 WE DID 04123108 Moody Rating BA1 P Rating 888- 05l10111 12.11 3.000.000.000 111_2850 3,337,958.33 108.2500 3,247,500.00 .90,458.33 98,750.00 237,000.00 7.29% Original Cost Basis 53.337.958.33 BANK AM ER CORP PERP NON COM ULATIVE DEP Security identifier: 060505018 SHS MED TO FLOAT 8.125% 04130158 WE DID 041301013 CALLABLE 05115118 Moody Rating BA3 Sd P Rating BB 05!1011112,11 3,000,000.000 112.9870 3,389,620.83 108.2500 3,241,500.00 ,142,120.83 91,406.25 243,750.00 7.50% Onginal Cost Basis 53.389.620.83 Total Corporate Bonds $8,454,911.95 $8,206,250.00 -$246,661.95 $246,004.17 $620,500.00 7,700,000.000 Total Fixed Income $9,623,126.14 $9,374,193.89 -$248,932.25 $251,574.22 $620,500.00 9,200,000.000 Unrealized Estimated Estimated Date Acquired Duality Unit Cod Cod Basis Market Price Market Value Gain/ Lou Mini Income Yield Equities 9.00% of Portfolio Preferred Sods (Listed by option dale) CITIGROUP INC DEP SHS REPSTG 111000TH Security Identifier: C PRK PFD SER K DIV 6.875% PERPETUAL MATT CU SIP- 172967341 PERPETUAL CALL 11/15/23025.00 Dividend Opbon: Cash 02/03114 79,000.000 25.3090 1,999,418.90 26.3400 2,080,860.00 81 441 10 135,781.25 6.52% Total Preferred Stocks $1,990,416.10 $2,080,660.00 $81,441.10 $135,781.25 Total Equities $1,999,41110 62,080,660.00 $81,441.10 $135,781.25 Page { of 13 Account Num ber. Rabid 2scollorigi 08013 ROI I lJO paperless (very Von Woos 2007 THE FAZ DALOAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) E mo sTO N F I DriTriA rxenurraer sciraisaa 'ron von los- c.w.o... mar Ns* SDNY GM 00047970 DB-SDNY-00 10794 EFTA_00158579 EFTA01290607 OraIwo Ram Pon. Wealth Alvmp-nent Pdaent$ COM•404,0‘P Des41.04 la* Settonts lireven Olik• HI Pan Annie. Halter +..n t7, IM)4:44414. ins) swims Statement Period: 09/01/2014 • 09/3012011 Portfolio Holdings (continued) Unrealized Date Acquired Quantity UM Cost Cost Basis Market Price Market Value Gain/ Loss Mutual Funds 9.00% of Portfolio P M ORGAN FLOATING RATE INCOME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest: Capital Gains Option: Reinvest Security Identifier: .PHSX CUSP 481211510 01122113'.3 198,216.056 10.0900 2,000,000.00 9.9300 1,968.285.13 -31,714.57 81,070.38 4.11% 02101113'.3 630.057 10.0670 6.342.92 9.9300 6.256.16 -86.46 257.69 4.11% 03101113 '.3 711.578 10.0600 7,158.48 9.9300 7,065.97 -92.51 291.04 4.11% 04101113'.3 789.547 10.1100 7.982.33 99300 7.840,20 14113 - 322.92 4.11% 05101113'.3 151.550 10.1300 7,613.21 9.9300 7,462.90 .150.31 307.38 4.11% 06103113'.3 757.360 10.0900 7,641.77 9.9300 7,520.59 -121.18 309.76 4.11% 07101113'.3 688.131 9.9700 6,661.27 9.9300 6,634.65 -26.72 213.27 4.11% 08/01/13 '.3 704.609 10.0600 7,088.37 9.9300 6,996.76 -91.61 288.18 4.11% 09103113'.3 109.175 10.0300 7,113.03 9.9300 7,042.11 -70.92 290.05 4.11% 10101113'•3 712.100 10.0240 7,137.85 9.9300 7,071.14 -66.71 291.25 4.11% Total Noncovered 204,650.183 2,084,739.23 2,032,170.11 -32,563.12 13,701.90 Reinvedm ents to 7.845.020 10.0950 79,194.61 9.9300 77.901.06 -1.293.55 3,208.62 4.11% Date Total Covered 7,845.020 79 194.81 77,901.06 .1,293.55 3,208.62 Total 212,495.183 32,143,933.14 17,110,077.17 ,133,856.67 $86,910.52 Total Mutual Funds $2,143,933.84 17,110,077.17 -133,856.67 106,910.52 Estimated Estimated Annual Income Yield Cost Basis Market Value Unrealized Awued Estimated Gain/ Loss Interest Annual Income Total Portfolio Holdings 123,682,167.57 123,480,819.75 .1201,347.82 1251,574.22 1845,360.41 Footnotes • konccvered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC')(ncorporating amendments enacted by P.1.110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their *applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wi8 be reported to the IRS on form 1099-8 for the applicable tax year in which the securty is disposed. Page 5 of 13 Account Num be Itned tscolloni tt, )1% Go paperless (very vs. Late 2007 E HAZE TC' DAL BAR RA TED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) ONFIDArErriA rxemmer War. Lag amine OS Peat SO SDNY_GM_00047971 DB-SDNY-0010795 EFTA_001 58580 EFTA01290608 Portfolio Holdings (continued) Repornrg requremerts generally will be phased in over a three-year period, as follows: • Stock n a corporation acquired on or after January 1.2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 'The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous dent brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering rem or transferring agent and Pershing makes no representation as to the accuracy of this infomkabon. Schedule of Realized Gains and Losses Current Period Dispositioe Acquisition Disposition Dale Date Transaction Description Quantity Col Basis Proceeds Realized Gain/ Lord Disallowance Short Term 09125114 12)13113' RPP GS NIG SECS CO RP 200 ASSTPRL CTF CL 81 VAR 5.751% 06125135 FRE DID 05(01/05 Security Identifier 36212D7X5 Original Cost Basis: 2,610.22 1.500.000.000 2.610.22 2,718.89 7817 Total Short Term 32,610.22 $2,716.89 376.67 Total Short Term and Long Term 32,610.22 $2,716.69 376.67 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "ncncovered.- under the new cost basis reporting rules, and marked or denoted as such. Al other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis nil be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2914, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect aft cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions. has been obtained from sources we believe to be reliable. Page 6 of 13 Account Number excellenti I }rt.,' .4: Go pe rless Every, Yea. Since 2'007 DALBAR RATED COMMUNCATIONS CONFIDENTIAL - PURSUANT TO FED. R CRINI. 67 AZE nto N F I DaimErriA rxciturraer SDNY_GM_00047972 OB-SDNY-0010796 EFrA_OOI 58581 EFTA01290609 Oren Kam POW.. VeAtahn Manip-ncat Innen teeny, Gnat) Penn laria Sewairs Mc. lee V.4 Oleo Na Pon Anne Inn, be 0.1.11111= Statement Period: 0910112014 • 09/3012014 Schedule of Realized Gains and Losses Current Period (continued) Aziustments to cost basis can be made after year-end. in particular. for return cf capital adjustments, but nay also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly dent brokerage statement at year end versus any subsequent reports, including your 109943 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 requted to be made by Pershing as it relates to M.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 retiance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydovms. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event one cc more of these attrbutes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax retums. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your accounts selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. M essa es Pursuant to the Securities Exchange Act of 1934, Pershing I1C (Pershing), a BNY Mellon company, provides individual investors will certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of 51.848 billion was 12.4% of aggregate debit balances and exceeded the minimum requirements by 51.55 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requitement, note that on July 31, 2014, Pershing's net capital of 51.88 billion was 12.74% of aggregate debit balances and exceeded the minimum requirement by 31.59 billion. A copy of the June 30, 2014. Statement of Financial Condition is available at pershing.conistatement_ollmancial_condition.html. You may also request a free, printed copy by calling (888) 860-8510 or (201) 413-4200, option #5. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DVVS Investments websie at httpslAwnv.dws-investrnents.cornUEN/products/rnoneyanarket-fundslields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at 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 a the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operabonsaincluding Deutsche Bank Alex. Browntinto a single division operating under the Deutsche Asset 8 Wealth Management brand and future ccirrrunications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc.. a registered broker-dealer and investment adviser. which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. Page 7 of 13 Account Number e tsrimene Go paperless Lwiny Year Since 2007 THE DALBAR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R P. 6(e) MAZE Trio N F I DriTriA rxestimer (—v.., —4- nomo-fla SDNY_GM_00047973 OB-SDNY-0010797 EFrA_00 I 58582 EFTA01290610 M essages (continued) The new beard name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (Ail amounts them are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Securities SOCJV es 0 00 o CO 0 00 2 760 359 19 Securities Secunties Bought Secunties Sold -7,200 48 0 CO -2,079 081 90 0 CC Total Securities $0.00 $2,760,359.19 Total Securities .17,200.48 -$2,079,081.90 Dividends and Interest 113,219.96 $548,656.59 Dividends and Interest $0.00 $0.00 Distributions 12,716.89 11,091,250.68 Distributions $0.00 -12,724.81 Taxes Withheld $0.00 $4.40 Taxes Withheld $0.00 $0.00 Cash Cash Deposits '0: 1,55 '3 Deposits 0.00 0.00 Total Cash $0.00 $8,188.19 Total Cash $0.00 MOO FDIC Insured Bank Deposits $0.00 $10,381.873.66 FDIC Insured Bank Deposits $0.00 42,792137.31 Money Market Funds 10.00 $0.00 Money Markel Funds -$8,738.37 -W915,08819 Total Credits $15,936.85 $14,790,332.71 Total Debits 416,936.86 ,114,190,332.71 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiption Quantity Price Paned lutend Mont CO nag Securities Bought and Sold 09102114 REIN VEST CASH INCOME P MORGAN R.OATING RATE INCOME FUND SEI.ECT SHARES 716.466 4,200.48 USD .PHSX 211778.7170 SHRS SHRS PORCH. AT 510.05000 RD 08/28 PD 01102114 Total Securities Bought and Sold - UNITED STATES DOLLAR 6.00 -7,200.48 Dividends and Interest 09102114 CASH DIVIDEND RECEIVED ,P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 7,200.48 USD PF Sa 211778.7170 &IRS RD 08128 PD 09/02114 09125/14 BOND INTEREST RECEIVED GS MTG SECS CORP 2005-5F MTG PASSTHRU CIF CL 81 VAR 5,775.15 USD 3624207%5 5.751% 06125135 BARD 09/24 PD 09/25/14 INTEREST 3.850097 1500000 SOS 09/30/11 MONEY MARKET FUND DWS GO VT CASH INSTL 244.33 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 13,219.96 Page 8 M13 1787.0 10)1.1. AccountNumber THE FAZE TRUST CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go aperless 1 ONFIErrPaiTAL Rated tacelloni tv.,y V.7.7. Sinew 2007 CALMAR MUD COMMUNICATIONS rxemmer -•"Cr TT: = "..Lr =I SDNY_GM_00047974 OB-SDNY-0010798 EFFA_00158583 EFTA01290611 PC. Bcp 1776 P-40 Port MO 2121Y3 Otvisre Pant Pnwair. Werth &Worm Weals Cisme GnaP Dettsag NA Salons von Oncio la Pon Ammo. Ita I ter P.. wet WY tem Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Statement Period: 09/01/2014 • 09130/2014 Price Maud litered Mount CU ram Distributions 09125/14 RETURN OF PRINCIPAL GS MTG SECS CORP 2005-5F MTG PASSTERU CTF CL BI VAR 2,716.89 USD RECEIVED 5.751% 06125/35 WE RD 09/24 PD 09/25114 INTEREST 3624207X5 (11.811282 1500000 MIS Total Distributions - UNITED STATES DOLLAR 0.00 2,716.89 Money Market Funds 09/26/14 MONEY FUND PURCHASE DWSGOVT CASH owl. 4,492.04 USD USD999997 09/30/14 MONEY MARKET FUND DWSGOVT CASh INSTL INCOME REINVF_STED -211.33 USD REINVESTMENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR 0.00 -8,736.37 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value I to 5 years 1.7t3.25000 18% Over 10 years 7 660,94389 82% Total 9,374,193.89 100% Bond Quality Bond Quality Market Value % of Bond Markel Value 1=1 LI Percentages of bond market values are rounded to the nearest whole percentage. BA/Lower Total 9,311,193.89 100% Percentages of bond market values are 9,374,193.69 100% rounded to the nearest *tole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. Page 9013 Account Number; Rotel tocellenti DRAB POLL Go paperless Cary Veer SMOD 2007 DALEY& RATED COMPALINICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)E HAZE to N F I DrErriA exclaimer SDNY_GM_00047975 DB-SDNY-0010799 EFTA_0015S584 EFTA01290612