EFTA Document EFTA01291029

Deutsche Asset & Wealth Management PO. Boa 1778. Baltimore. MD 21203 Draisee Sam PoeticW.1M Maatenmil Mitatt CO•MICIG.MP Dt•ISIN Sank Setioneint Mr. *A Once La Pet ASS,. Halbet Fern RAM IP14 )1.14:91, J EPSTEIN VIRGIN ISLANDS Valuation at a Glance Account Number: Statement Period: 12/0112014 - 12/31/2014 This Period Year-to-Dale FOUNDATION INC Beginning Account Value $1,865,040.12 $0.00 6100 RED HOOK QUARTER 53 el Cash Deposits and Withdrawals 000 1.864.730 29 ST THOMAS VI 00802 Adjusted Previous Account Value 1,865,040.12 1,884,730.29 Dividends, Interest and Other Income 46 82 515.29 Tots Taxes Withheld 0.00 .137.57 het Other Activity .27.615.04 .27.615.04 het Change in Portfolio 121.16 100.09 Your Client Advisor: nding Account Value 51.837,593 06 51,837,593.06 DAhlEt. Mean Estim aled Annual Income 5551 80 Asset Allocation Prior Year-&d Last Period This Period % Allocation LSD Cash, Money Funds and Bank Oeposits 0.00 1.837.546 24 1.837.593.06 100 00% Please revrtnv your allocation kon4.• SD Cash. Money Funds. and Bank Deposits 0.00 27.493 88 0.00 0.00% Your Account is 100% invested in USD Cash. Money Funds, and Bank Deposits. Account Total $0.00 $1,865,040.12 $1,837,593.06 100.00% See the Asset Allocation Declasses and Footnotes section for important information regarding your Asset Mocation. ()PA0 Will CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Page 1 of 10 Rated excellent B0100579CSF30023 GO paperless ',v.." 'ear 5.,,W• C 2007 htS D OALSAR RAT( OMMUNICATIO CONFIDE1SITIAL "a"`"`i oar...1.. Ora wait:. rets... .. sty row SDNY_GM_00048675 DB-SDNY-0011499 EFTA_00159284 EFTA01291029 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2014. Exchange rates can vary. For Your Information On June 5, 2014, the European Central Bank (the ICS') introduced 'negative interest rates'. This negative interest rate applied to a 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 nil reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-S for tax year 2015. These rates are subject to change n response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Currency Currency USD Equivalent per USD BRITIS/- POt,ND 1.5590 0.6414 Exchange rates are based on interbank exchange rates as of 12/31/2014. Exchange rates can vary. Money Market Fund Detail Date Activity Type Desaiption Amount Balance Sweep Money Market Fund DWS GOYERNM ENT CASH INSTL Account h um bet. 0000001493 Current Yield 003% Activity Ending 12/31114 11129114 Opening Balance 12/31114 Deposit IkCOME RBAVEST 12131114 Closing Balance Total All Money Market Funds 1,837,546.24 46.82 1.837.546 24 1 837.593 06 11,537,593.05 $1,537,593.08 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 46.82 0.00 479.05 0.00 Interest Income Credit Interest 0.00 0.00 0.00 -36.51 FDIC Insured Bank Deposits 000 000 72.75 0.00 Total Dividends, Interest, Income and Expenses $46.82 $0.00 $561.80 -$36.61 Page 2 of 10 Account Aumber: Go paperless tray tray Yara•Sv.to 2007 • ESTEI"Cb ifi PALMA RATED COMMUNICATIONS F I DAENTTAL SONv_Okt_00048676 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) . DB-SDNY-0011500 EFTA_001 59285 EFTA01291030 Deutsche Asset & Wealth Management PO Bca 1778, Balumore, MD 21203 Portfolio Holdings BRITISH POUND Description Cash, Money Funds, and Bank Deposits Global Cash Balance Quantity Total Cash, Money Funds, and Bank Deposits I Total BRITISH POUND U.S. DOLLARS Dew lotion Cash, Money Funds, and Bank Deposits Money Market DWS GOVERN M ENT CASH INSTL Total Money Markel FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits DralsOe Ban, Poo/lewean roanenan reran Coottate4,“P Dettsche INN Sawn..[. Mrs bri Oita. Pan Si,..,. I•thlIer Mew In Ire 10114 0111,12.&4I9S Statement Period: 12/0112014 - 12/3112014 Openleg Closing Accrued 30-Day Balance Balance Curing Income Yield 17,659.00 0.00 GBP 0.00 USD 17,659.00 0.00 GBP 0.00 0.00 USD 007 Markel Value Currency Ao:rued Interest Plaudit), 0.00 GBP 0.00 0.00 LSD 003 Opening Closing Acaued Income 31-Day Balana Balms Income This Year Yield 1,837,693.060 1,037,546.24 1,537,593.06 0.00 479.06 0.03% $1,037.546.24 $1,537,593.06 $0.00 $479.05 0.00 0.00 0.00 72.75 N/A $0.00 $0.00 $0.00 $72.75 $1,137,546.24 11,537,593.06 $0.00 1551.10 Markel Valle Ataued Estimated Interest Maul lame Total U.S. DOLLARS 61,137,593.06 $0.00 MHO Market Value Accrued Estimated Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS $1,937,593.06 $0.00 $551.80 Page 3 of 10 Account hum ber Rated a l Go paperless tsy V... WK. 2007 J EPSTEIN VDTS. N F DEMIAL ?Va t: PAM, COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) et a riaLWartn.7..1.%7 1.1...... " ••••••••••••••• Wet. IWO SDW_GM 00048677 DB-SDNY-00115O1 EFTA_00159286 EFTA01291031 Holdings Summary by Currency Canary Cash Total by Currency BRITISh POUND 0 0 GBP U.S. DOLLARS 1 837.593 1.837.593 LSO Total USD Equivalent 1,837,693 1,837,593 USD % of Allocation 100.00% 100.00% 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 DWS money market funds, please visit the DVVS Investments website at httpsiNnwrdws-investrnents.corNENfpioducts/money-market-funds-yieldsjsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, VD and MC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 fomi on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.ccaVbusiness_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. Vvhen 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 can of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial participants may or may not receive an allocation of securities selected for redemption. Wien Pershing is notified that it received an allocation of called securities. Pershing conducts a similar. computer-generated random lottery. The lottery determines the accounts that vnll 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 caled in a partial cal 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 SI 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 = $25,000): Client Account Par Value Number of Trading Units ABC-123234 5100,000 4 DEF-325465 575.000 3 Page 4 elle Account umbe Rated Cmollont Go paperless lrwY Tom Nam 2007 J DRUMS. RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. e 6•; " ,"El " C F I D'ENTIAL Ma rIWIL. et wee wet taa. Vita" MEV SIN* t ie.. PINNY lAlle eve SDW_Cat00048678 DB-SDNY-0011502 EFTA_00159287 EFTA01291032 Deutsche Asset & Wealth Management P.O. Box 1776, Baltimore, MD 21203 M essa es (continued) EDR-567433 6150,000 6 EGT4376574 $50,000 2 EGT-886345 525,000 1 FRT-435234 525,000 1 FRT-656797 375 0C3 3 Draisre San. Poo/,[wean roanenan Mica's CoottleIG,C,P Cesisthe M Savona. xw bet Mar .115 Pit .1.P Nth I Ice! Mrs ettk. M WIN ISIS,7844091. Statement Period: 12/0112014 - 12/3112014 In brief, the alocation process involves the following steps: • The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). 'A random number is generated that will result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the alocation 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, 4 is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. • When a partial call is deemed favorable to the holders of the called security, Pershing veil exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as wet as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and clears those accounts/ No allocation will be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market price as captured in Pershinglis price reporting system, Pershing will generally categorize the partial can as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing me generally categorize that call as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. haieMs 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. DRAG RUtt Account A umber: lllllllllllllllllllllllll Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTTAL J EPSTEIN VIC isIN Page 5 of 10 Riled Emyllord trolly Ym• Wm* 2007 OAS0AR RATED COMMUNICATIONS (Rai IONC1 =Ian NieZtaloll Uttreeem " SDNY_GM_00048879 DB-SDNY-0011503 EF1'A_00159288 EFTA01291033 M essages (continued) I Activity Sum m ary (All amounts sham are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Dale Securities Securities Secunbes Bought 000 0.00 Secunhes Bought 000 .27 514 95 Total Securities $0.00 $0.00 Total Securities 10.00 -127514.95 Dividends and Interest $46.82 $551.80 Dividends and Interest $0.00 -$36.51 Taxes Withheld $0.00 $0.00 Taxes Withheld 10.00 -$137.57 Other $0.00 $0.00 Other -$27,815.04 -127515.04 Cash Cash Withdrawals 000 0.00 Withdrawals 0.00 -1 152 093 97 Deposits 000 3,016 824 26 Deposits 0.00 000 Total Cash $0.00 $3,016,824.26 Total Cash 10.00 -$1,152,093.97 FDIC Insured Bank Deposits $0.00 $3,016,892.48 FDIC Insured Bank Deposits $0.00 -$3,016,892.18 Money Market Funds $0.00 1925644.14 Money Market Funds -$46.82 .$2,763,237.20 Total Credits $46.82 $6,959,912.88 Total Debits .127,66126 -$5987527.72 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amoval Currency Dividends and Interest 12131114 MONEY MARKET FUND DWSGOVT CASh INSTL 46.82 USD INCOME RECEIVED 233993882 Total Dividends and interest • UNITED STATES DOLLAR 0.00 4622 Other Transactions 12117114 OUTGOING ADA USD CURRENCY OUTGOING KOK USD CURRENCY WIRE BRMSh POUND -1755900 GBP WIRE STERLING -27.61504 USD 68P999991 Exchange Rate. 1.5727 Total Other Transactions • BRITISH POUND 0.00 .17559.00 Total USD Equivalent 0.00 -27515.04 Page 6 of 10 oxen ROL Account Number Go paperless J ' CONFIDENTIAL - PURSUANT TO FED. R. CRIM, P. 6(Q ) STEIN VI LIN F I DrismAL Rated Excellent Leery Year Since 2007 CIALOAR RATED COMMLIPOCATIOhe EXCEIIENCIE etar ietia et weeir tnt7LAct: :teen" Sae SONY_GM_00048680 DB-SDNY-00 11504 EFTA_00 159289 EFTA01291034 Deutsche Asset & Wealth Management P.O. Box 1776. 8aleinwiro, MD 21203 Transactions by Type of Activity (continued) Process, Settlement Date Activity Type Money Market Funds 12/31/14 MONEY M *WET FUND DWS GO VT CASK INS% INCOME REINVESTED .46 82 LSD REIN VESTM ENT 133993681 Total Money Market Funds • UNITED STATES DOLLAR Description Onillu'e Rana Prmale Weal. kinagentne MYftsl Doer ate 4,C,P DtsiSIM IllarA Setter Nes WI OR,. MINA ASIIIMP. /VIM= Nerve Wet SY 1014 IIISSI MIMS Quantity Statement Period: 12/0112014 - 121311201/ Price Accrued liters Amami Currency Transaction Semmary BRITISF POUND UNITED STATES DOLLAR The price and quantity displayed may have been rounded. Client Service Information Total Accrued liters 0.00 0.00 Total Amount Curren .17.559.00 GBP 0.00 USD Total Accrued Interest Total Amount USD Equivalent USD Equivalent 0.00 •27.61504 0.00 0.00 0.00 -16.82 Your Client Advisor: DAN DANIEL SABBA 345 PAM( AVENUE 26Th FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FAST IA FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (CIO): 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 coma unit:Mantic,' electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for m ore information. Pagel of 10 Account Number: lidtedincoMM Go paperless Erin Y."SiMe 2°°7 Vann ROLL J EPSTEIN rtm F DENT/All' `ff eda m:rail grier RA T CD COMMUNICAT 10116 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) IPOWOILA a•••1••••••.10/We —C SDW_GIN 00048681 DEt-SONY-0011505 EFTA_00159290 EFTA01291035 Important Information and Disclosures Pricing This section includes the ret market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services. which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "Ms and are omitted horn 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 (EA') and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures ate 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. Snce 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 wvm.pershing.conbusiness_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 wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the tine of execution and the name of the person horn whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment fcr order flow. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or horn 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. rowed a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuit of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable: the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (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 Snits. For more detailed information please visit www.pershing.conistrength_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 f unda' organization and Pershing. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights. incbding 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 blows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Pap 8 of 10 TillAll It:a Account hum bet J EPSTEIN Vl CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Go paperless F I DAENTIAL Rated euellent tray Year %We 2007 OALBAR RATCD COMMUNICATIONS eXCeilleNef wow ans'ette.att i/Z= "*" = ANS.U.0 on•••••••••••• Wile SIC SDW_GM_00048682 DB-SDNY-0011506 EFTA_00159291 EFTA01291036 I Deutsche Asset & Wealth Management PO. Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) 0...awe Ilan, Podie Teeth Maagende hlwats Carew* 4,1,0 team.* Sank Saito net .0. 11•*.en Odor He PIA OWIrrne, 20th MC' W. 'ItA Pet 101W MS, 7Ur 4I9S Statement Period: 12/0112014 - 12/3112014 Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the nght to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is tied. • 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, n an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a mealier of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action unlit (lithe class certification is denied; (II) the class is decatified 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; (201) 413-3330. Page 9 of 10 Account hum ber Rated C.ellent Go paperless tray Vann Since 2007 OASOAR PAUI) COMMUNICRTIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. e 6'( " )"El" CCRI F I D^ENTIAL fItal CNC' M a rian etwee ' t 474 4•VOgradean .. eadwat •••••••••%La ••••••• maw wee mac SDNY_GrA 00048683 DB-SONY-0011507 EF'FA_00159292 EFTA01291037 TERMS AND COMMONS TRANSACTIONS • ALL ORDERS MID 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 FACLITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FNANCIAL 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 CONFRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. F SO. THE TRANSACTIONSNAL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD, ARE NOT SEGREGATED ANO MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVOE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING" FOR ANY AMOUNT. ALL SECURITIES HELD BY R FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME. W ITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PI FottPD BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF, WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, EQUAL TO OR GREATER THAW YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, BLOCK POSITIONER, ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES, WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DUALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHNO.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: VVY/W.PERSHING.COMIBUSINESS_CONTRUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PATIENT FOR ORDER FLOW AND ORDER ROUTINES POLICIES DISCLOSURES (REGULATION INAS- RULE SONA)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS ANO FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVOE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F AM OF THE ABOVE TERMS AND CCM:BOONSARE UNACCEPTABLE TO YOU. PLEASE NOTE Y PERS-ING IMMEDIATELY IN WRITING BY CERTHEO Ha TOONE PERSHING PLATA JERSEY CITY, NJ Ora AlTte LEGAL DEPT Page 10 of 10 Account A umber:- Raged Excellent Go paperless I v•n t YV TIr 2007 J EPSTEIN sr:I NDS . czax. , gAtclninicir C. COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DrNTIA AYAq =Am elleZtaINLIC OrireeMn " sec SDW_Ca4_000486114 DB-SDNY-0011508 EFFA_00159293 EFTA01291038 PO &R 1776. 8oit troy MD 2IN3 Draisee Sam Poule Wealth Magagenmil Mitatt COreate Gm, Dt•ISIM Sara Seiwar, RN. yen Mk. HI Part An. Ha I-, Yew WA. hY Ip14 ~PttOM4t J EPSTEIN VIRGIN ISLANDS Valuation at a Glance Account Number: Statement Period: 11/0112014 -1113012014 This Period Year-to-Dale FOUNDATION INC Beginning Account Value 81,966,184.71 80.00 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals •101.170.00 1.864.730 29 ST THOMAS VI 00802 Adjusted Previous Account Value 1,865,014.71 1,864,730.29 Dividends, Interest and Other Income 46 48 468.47 Tots Taxes Withheld 0.00 •137.57 het Change in Portfolio •2107 -21 07 ndrng Account Value 51 865,040 12 51,865 040 12 Your Client Advisor: Estim ated Annual Income 8504 98 DAhlEt. SABBA Asset Allocation Prior Year•End Last Period This Period % Allocation LSD Cash, Money Funds and Bank Deposits 0.00 1.966.184 71 1.837.546.24 9853% Please revew your a ihocatiol Non•LSD Cash. Money Funds, and Bank Deposits 0.00 000 27.493 88 147% Account Total $0.00 $1,956,114.71 $1,165,040.12 100.00% See the Asset Allocation Disclosure and Footnotes section for important information regarding your Asset Alocaeon. OVAII ROIL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Page lot I Reilmd (.4collent A01110 IICSF10016 Go pawrIess t v"I tYa r S. C. 2007 OASOAR RATED COMMUNICATIONS CONFIDENTIAL )1(711INCS ens., M1u1a,4 ~~viaMn. sow — SONY_GM_00048685 DB-SDNY-00 11509 EFTA 00159294 EFTA01291039 Asset Allocation Disclosure and Footnotes Al values are displayed in U.S. dollars based on interbank exchange rates as of 11/3012014. Exchange rates can vary. Exchange Rate Table Global Cash Curacy Currency USD Eqaivalent per USD Corning Closing Balance Amounl in Base Currency USD EIRITIS1. POUND 1.5658 0.6386 BRITISH POUND 17.559.00 27.493.88 Exchange rates are based on interbank exchange rates as of 11/3012014. Exchange rates can vary. Total Global Cash Balance $27,493.88 Money Market Fund Detail Date Act. ity Type Description Amorist Balance Sweep Money Market Fund OWSGOVERNM ENT CASH INSTI. Accounl Num ber 0000001493 Current Yield. 0.03% Activity Ending. 11128/14 11101114 Opening Balance 1,988200.14 1,988,200.14 11103114 Withdrawal MONEY PAD REDEMPTION .50,015.43 1,916,184.11 11104114 Withdrawal MONEY FUND REOEMPTION .1,170.00 1,915,014.11 11/18/14 Withdrawal MONEY FLND REDEMPTION -77,51425 1,837,499.76 11128114 Deposit INCOME REINVEST 46.48 1.837.548.24 11128/14 Closing Balance 51,837,548.24 Total All Money Market Funds 51,837,548.24 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 46.48 0.00 432.23 0.00 Interest Income Credit Interest 0.00 0.00 0.00 -36.51 FDIC Insured Bank Deposits 0.00 0.00 72.75 0.00 Total Dividends, Interest, Income and Expenses 548.48 50.00 850418 -836.51 Page 2 of 7 Accounl Number: Rated [...Mat DOM! ,Wu CiO paperleSS 'Ivory Yon 2007 OAl0AR PARD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. e 6.; E;"El"CCR1 F I D^ENIIAL INCS et a rIwitiel"..4r=lio " :4• ' 1:01•••• •• illoirt thaw. SGW_GN4_000035436 DB-SDNY-0011510 EF1'A_00159295 EFTA01291040 PC. B.' '176, Bat -PI MD 2'2O3 Portfolio Holdings BRITISH POUND Dneisre Ram PI, F•11C WNW. Maitenmi NOtels Cwt.. C,,AP etym.* Nve bet 00kir 315 Part åbeem., Nance! *NV vest. WI 10151 MS/ 7.34091. Statement Period: 11(0117014 - 11(30/2014 Description Quantity Opening Balance Closing Balance Currency Accrued 30-Day Income Yield Cash, Money Funds, and Bank Deposits Global Cash Balance 0.00 17,559.00 27.493.88 GBP USD Total Cash, Money Funds, and Bank Deposits 0.00 17,559.00 27,493.88 GBP USD 0.00 003 I Total BRITISH POUND U.S. DOLLARS Description Quantify Opening Balance Closing Balance Amend Income Income his Year 31-Day Yield Cash, Money Funds, and Bank Deposits Cash Balance .16.43 0.00 Money Market DM GOVERN M ENT CASH INSTL 1,637,546.240 1,986,200.14 1,837,516.24 0.00 432.23 0.03% Total Money M arket $1,966,200.14 11,837,516.21 $0.00 $432.23 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0.00 0.00 0.00 72.75 NM Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 172.75 Total Cash, Money Funds, and Bank Deposits $1,966,184.71 11,837,546.74 $0.00 1504.98 Accrued Estimated Market Value Interest Annual Income Total U.S. DOLLARS 11,837,546.24 10.00 1504.98 Markel Value Currency Accrued Interest 17,559.00 GBP 0.00 2749388 LSD 003 Account Num bey Go nanerless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6( e)STEne R,1 F I DAEN1IAL J E Page 3 all Ridsd nt sy Ymt Waco 2007 OAS OAR RATED COMMUNICATIONS Mrnans• s ei~ Y trontr " Ometsm Ram SDNY_GM_00048687 DB-SDNY-0011511 EFTA_00159296 EFTA01291041 Portfolio Holdings (continued) Market Valve Accrued Estimated Interest Annual lame Total Portfolio Holdings - U.S. DOLLARS Holdings Summary by Currency Currency Cash Total by Currency BRITISI- POUND 17.559 17.50 GBP L.S. DOLLARS 1.837,546 1,837.516 LSD Total USD Equivalent 1,865,010 1,665,010 LISD % of Allocation 100.00% 100.00% M essages $1,865,040.12 $0.00 $501.98 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)4nsured Bank Deposits are not protected by Securities Investor Protection Corporatim.(SIPC). For disclosure of rates for DWS money market funds, please visit the 0WS Investments website at https://www.dws-investments.corniEN/productsimoney-market-hinds-yields.Op. Please note that an money market funds listed on the website may not be offered through us. Activity Sum m ary (Alf amounts show ate in base currency) Credits This Period Year-to-Date Debits Ibis Period Year-to-Date Securities Securities Securities Bought 000 000 Securities Bought .27,514 95 -27,514.95 Total Securities $0.00 $0.00 Total Securities ,127,511.95 -$21,514.95 Dividends and Interest $16.48 $504.98 Dividends and Interest $0.00 -$36.51 Taxes Withheld $0.00 $0.00 Taxes Withheld $0.00 -$137.57 Cash Cash Withdrawals 0.00 0.00 Withdrawals •101.17000 -1.152.093.97 Deposits 000 3.016.824 26 Deposits 0.00 000 Total Cash $0.00 $3,016,821.26 Total Cash -$101,170.00 -$1,152,093.97 FDIC Insured Bank Deposits $0.00 $3,016,892.48 FDIC Insured Bank Deposits $0.00 -13,016,892.18 Money Market Funds $128,70036 1925,641.11 Money Market Funds -$16.18 -$2,763,190.38 Total Credits $126,716.88 $6,959,865.66 Total Debits -$128,731.13 -$8,959,865.66 Page 4 off Account Number. it Rated Excellent ,1 0Ail it, a I Go paperless tvory 'few Since 2007 J EPSTEIN VIC CN D' F I DrisirriAL 0.0.10AR RATED COMMUNICATIONS F)021111INCI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_000186618 DB-SDNY-00 11512 EFTA_00 159297 EFTA01291042 Transactions by Type of Activity Process/ Trade! &fflement Transaction Date Date Ada T Demiolion Dmisre Banc PrnaieWeSth Maagenan MitattstoorageC.MP Ceelsthe Sot Se...anti 'tic *vs bet Ow .115 Pot Odoorrne, Halter Mrs vest WI 10114 011”7.44091. can Statement Period: 1110112114 - 11/30/2114 Price Availed Inbred Amount Caron Securities Bought and Sold 11/18/14 11/17/14 PURCHASED BRITISH POUND 17,559.000 1.5870 .27,511.95 USD Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -27,611.96 Dividends and Interest 11/28/14 MONEY MARKET FUND OWS DOM' CASH 'NUL 1618 USO INCOME RECEIVED 233993682 Total Dividends and interest • UNITED STATES DOLLAR 0.00 16.16 Cash Withdrawals and Deposits 11/03/14 FEDERAL FuNDS SENT EASTERN CORP FCU •50,00000 LSD USD999997 11/04/14 FEDERAL FUNDS SENT FMRWINDS CREDIT UNI -1.170.00 USD US0999997 11/18/14 FEDERAL FUNDS SENT HSBC BANK USA, NA .50,00000 LSD USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -101,170.00 N oney M a rket Funds 11/03/14 MONEY FUND REDEMPTION DwS GOUT CASH INSTL 50.015 43 USD US0999997 11/04/14 MONEY FUND REDEMPTION DWS GOVT CASH INSTL 1,170 00 USD USD999997 11/18/11 MONEY FUND REDEMPTION DWS GOUT CASH INSTL 17,514 95 t.S0 US0999997 11/28/14 MONEY MARKET FUND DWS GOUT CASH INSTL INCOME REINVESTED .46,48 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 126,653.90 Total Value of Transactions 0.00 15.13 USD The price and quantity displayed may have been rounded. 1, 11A1L I' `I Page5otT Account Aumber:- Rated excollont paperless tray Von 'Since 2007 OASBAR RATCD COMMUNICATIOhtS 6.; E: STEI"Cein F I D^ENTIAL IMCII CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. e SDNY_GA4 000496139 DI3-SDNY-0011513 EFTA_00159298 EFTA01291043 Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 261)1 FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IA FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OID): No Am orate premium on taxable bonds based on Constant Yield Method: Yes Accrue 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 m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for %Mich a price is not available are marked "N/A* and are omitted horn the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be rekable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to vevAv.pershing.corrubusiness_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 disbibutions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You Wi not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, inducing the time of execution and the name of the person from whim your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment fa order flow. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others o accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a parbctlar rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 6 of T Account hum ber Rated [...giant 1),IAlt ""`I Go paperless rn. mat. 2007 DAUM/I RATED COMMUNICATIOhtS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) . ""Eitt5R1 F I DAENTIAL fXCIIIINOI M a ra. Owe Van •••=0=e••••• ulIMIV *swim memoirs ram sec SDNY_GIA_00048690 DB-SDNY-0011514 EFTA_00159299 EFTA01291044 PO em 1 M. o.4rov MO 2,203 Important Information and Disclosures (continued) Draisre Pant Prmaie Wean Maatenan Mann. Gwent* GM, Dettsche Ma Saloon act. Mrs van 011op .115 Pot Owner. 20th liter On %A hr 10114 IESSI MC'S Statement Period: 11/0112014 - 11130/2014 The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resue of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCt). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC knits. For more detailed information please visit www.pershing.comlstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) prompdy, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration tow in which a claim is filed. • Arbitration awards are generaly final and Writing; a patty's abibty to have a court reverse or modify an arbitration award is very fl ed. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wail typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time knits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. 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 enlace 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 unlit (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page 7 of? ' Account A um ber Go papedess Riled very Vag Sin ce 2007 MHO Sethi jEPSTElk VI OALIMPI RATCD COMMUNICATP3NS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F DAENTI/°kL4? E SDNY_GA4_00048691 DB-SDNY-0011515 EFTA_00159300 EFTA01291045 PO em Int ea ma* MD21203 Orals° e SamPP./le Maarnmil minim CO•MICIG.MP ChM/it Sank Settaen Mrs bet Mks .115 Pot ••• re. 20th, ter Mew •erk. hY 10114 (111”7.44IIS EPSTEIN VIRGIN ISLANDS Valuation at a Glance Account Number: Statement Period: 10/0112014 - 10/31/2014 This Period Year-to-Date FOUNDATION INC Beginning Account Value 92,041,148.72 $0.00 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals .75,000.00 1,965,900.29 ST THOMAS VI 00802 Adjusted Previous Amount Value 1,966,148.72 1,965,900.29 Dividends, Interest and Other Income 51.42 421.99 Tots Taxes Withheld .15A3 -137.57 nchng Account Value 51 966 184 71 S1 9E6 184 71 Estim ated Annual Income 5458 50 Your Client Advisor: TRILk SMITH Asset Allocation ISO Cash, Money Funds and Bank Deposits 0.00 2.041.148.72 1.966.184.71 100.00% Please review your a llocatiol Recant Total 90.00 $2,041,148.72 91,960,101.71 100.00% Your Account is 100% invested in USD Casn. Money Funds, and Bank Deposits. Prier Year-End Lag Period This Period % Allcation CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Pagel o16 Rated [...Mont A0097 94CSF 3001, GO paperless `,very Yoe, Sint* 2007 OiLL0AR RATCD COMMUNICATPDhtS C ONIFIDArvnAL EXC/1 10.40! et a rlawe of Neeral•I•=a0. UMW ••••• SDNY_GIN 00048692 DB-SDNY-0011516 EFTA_00159301 EFTA01291046 Money Market Fund Detail Date Mildly Type Description Anoint Balance Sweep Money Market Fund DWSGOYERNM ENT CASH INSTL Account N urn ber: 0000001/93 Current Yield: 0.03% Activity Ending: 10/31/14 10101/14 Opening Balance 2,011,184.49 2,041,164.49 10101/14 Withdrawal MONEY FUND REDEMPTION .15.77 2,041,148.72 10107/14 Withdrawal MONEY FUND REDEMPTION -25,00 2,018,118.72 10130/14 Withdrawal 1013111/ Deposit MONEY FUND REDEMPTION INCOMERB REINVEST 1,988,200.14 51.420.00 -50,000.00 1,988,148.72 10131114 Closing Balance $1,956,200.14 Total All Money Market Funds $1,960,200.14 Income and Expense Summary Cement Period Tear-to-DM. Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 61.42 0.00 385.75 0 00 Interest Income Credit Interest 0.00 0.00 0.00 .3651 FDIC Insured Bank Deposits 0.00 0.00 72 75 0 00 Total Dividends, Interest, Income and Expenses $51.42 $0.00 $458.50 -$36.51 Portfolio Holdings Opening Dosing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio Cash Balance -15.77 •15.43 Money Market OW S GOVERN M ENT CASH INSTL 1,966,200.140 2,041,164.49 1,966,200.14 3.23 385.75 0.03% Total Money Market $2,041,164.49 $1,966,200.14 $3.23 $385.75 FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 0.00 0.00 0.00 72.76 NIA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $72.75 Total Cash, Money Funds, and Bank Deposits 02,041,118.72 $1,916,154.71 $3.23 $458.50 INIAX Account hum ber Go paperless JEPSTEIA ISLAAN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) GO FID^ENTIAL Page 2 ol 6 Retied Euenent [wry Year Waco 2007 DAL0AR RATCD COMMUNICATIO116 [Mal IONC, maw. SDNY_GM_00018693 DB-SDNY-00 11517 EFTA_00 I 59302 EFTA01291047 Portfolio Holdings (continued) Dmisre Nana Prmaie w.a', Magatentm Wrens Corral* C.O.P Cetts04 Sank Sett anti New bri Oita. 315 Pot Anew, leth I ter __.,t NY 10114 IS 11111,1704I9S Market Vain Statement Period: 1010112014 - 10/31/2014 Accrued Interest Estimated Annual Income Total Portfolio Holdings Messages $1,966,184.71 $0.00 3458.50 Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at https:/NAver.dws-investments.com/Ehl/products/money-market-fundslields.isp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Activity Sum m ary (All amounts shown are m base currency) Credits This Period Year-to-Date Debits This Period Year.to.Date Dividends and Interest $51.42 $458.50 Dividends and Interest $0.00 -136.51 Taxes Withheld $0.00 $0.00 Taxes Withheld -$15.43 4137.57 Cash Cash Withdrawals 000 0 00 Withdrawals -75.000 00 •1.050.923 97 Deposits 0.00 3.016.824,26 Deposits 0.00 0.00 Total Cash $0.00 $3,016,824.26 Total Cash .$75,000.00 -$1,050,923.97 FDIC Insured Bank Deposits $0.00 83,018,892.48 FDIC Insured Bank Deposits $0.00 -13,016,892.48 Money Market Funds $75,015.77 $798,943.78 Money Market Funds -$51.42 -$2,763,143.90 Total Credits $75,067.19 $8,831,119.00 Total Debits -475,066.85 -$6,831,134.43 ()MN!. R011 Page 3 of 6 Account Number Read Excellent GO paperless Ivory Vas Siew• 2007 OALOAR MILD COMMUNICATIONS J EPSTEIN VIc, nr" CR1 F I DrScriAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 7=0.1." ..-- SDNY_GM_00048694 DB-SDNY-0011518 EFTA_00 159303 EFTA01291048 Transactions by Type of Activity Process/ Settlement Date Activity Type Desaiptioa Quality Price Actrued inters Amount Currency Dividends and Interest 10/31/14 MONEY MARKET FUND DWS GOVT CAST. INSTL 51.42 USO INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 51.42 TaxesWithheld 10131114 NONRESIDENT ALIEN TAX NRA TAX WITF I- ED OA DWSGOVT CAS- IN STL -15.43 USD 233993682 Total Taxes Withheld • UNITED STATES DOLLAR 0.00 -15.43 Cash Withdrawals and Deposits 10107/14 FEDERAL FUNDS SENT EASTERN COPP FCU .25.00000 USD US0999997 10130/14 FEDERAL FUNDS SENT WELLS FARGO BANK, NA .50,00000 USD US0999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -76,000.00 Money Market Funds 10/01/14 MONEY FUND REDEMPTION °WS GOVT CASH INSTL 15.77 USD US0999997 10107114 MONEY FUND REDEMPTION CMS GOVT CASH INSTL 25,000 00 USD UW1999997 10/30/14 MONEY FUND REDEMPTION °WSGOVT.CASH INSTL 50.000 00 USD US0999997 10131/14 MONEY MARKET FUND DWS GOVT. CASH INSTL INCOME REINVESTED .5142 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 74,954.35 Total Value of Transactions 0.00 0.34 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: IDS TAZIA SMITh 345 PARK AVENUE 14Th FLOOR NEW YORK NY 10154 Contact Information Telephone Number: Page 4 of 5 Account Number GO paperless Riled Excellent 1 >anti ROLL eE14)STEIIL VIRGIN 0Al L" ZAR YItAl SZ:7101•0047PALINICATIONS CRi F I DAERITAL XCIIIENCI CONFIDENTIAL— PURSUANT TO FED. R. CRIM. P. 6j( Ma rian et•Zrasir " Oweets. ' 1•••••• Intoroaa avow an* wr me(' SDNY_GM_00048695 DES-SDNY-0011519 EFTA_00 I 59304 EFTA01291049 Your Account Inform ation Gnaw e Banc PrnaieWeSth Ma-mgentne Mines Coeval* C.P. Cetnthe M ."K. *We bet Mk. 115PIA Odalrene 1011, I ter Mrs vest Pet 101W MS, 7.4409S Statement Period: 10/0112014 - 10131/2014 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OM): 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 Qom • unications for electronic delivery. To register and turn off paper com m unications. log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "WA' and are omitted horn the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using intonation 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 econceic, 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 imimpershing:cormbusiness_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, a 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 brne 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 fa order Flow. Proxy Vote Securities not fully paid for in your margin account may be tent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate MU 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, Mound a charge, or received a credit. Transactions converted by agents (such as depositories) will be tidied at the rates such agents use. Fags 5 of6 Account Humber. Rated evoillent I illAll It:IL I Go paperless d-lt. k --# I Y•a• Sint • 2007 J EPSTEIN W:, COMMUNICATIONS D VCO NK . I F I DAENTIAL--" china i n CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) =A. of lairetait Wir•011en " SI•••••• SDNY_GM_00048696 DB-SDNY-0011520 EFFA_00159305 EFTA01291050 Important Information and Disclosures (continued) The Role of Pershing • Pershing carries your account as cleaning broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key hincbons 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 resuN of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (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 vowi.pershing.cornIstrength_stabiley.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing 110, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the tight to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is fled. • Arbitration awards are generaly final and binding; a party's abilty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is deceitified; 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: (201) 4134330. Page 6 of 6 Account A umber: Rated (Koollent Go paperless way Yen %Inc* 2007 OAS OAR RAW) COMMUNICATIO116 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) .""El"Cfi F I DAENTIAL Xefil (NCI =ma settit tres " NM* Was* ft...elm ....maw woe ••Pc SDNY_GIN 00048697 DB-SDNY-0011521 EFTA_00159306 EFTA01291051 Paean* eatt.W+1D2rp3 Draisre Sam PinwaleW.1M Ma.tentm Weetts fere ye CoMP Cettsche Sank Settanei *vs bet Olik* J1 Pot Aire. 20th I ter w vett. 1T 10114 OM, 7.44IIS Account Number: Statement Period: 09/0112014 - 09/30/2014 EPSTEIN VIRGIN ISLANDS Valuation at a Glance This Period Year-to-Date FOUNDATION INC Beginning Account Value 12,342401.93 $0.00 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals ,301,450.00 2,040,900.29 ST THOMAS VI 00802 Adjusted Previous Amount Value 2,041,111.93 2,040,900.29 Dividends, Interest and Other Income 52.58 370.57 Tots Taxes Withheld -15.77 -122.14 ndrng Account Value S2041 14872 S2 C4' 143 72 Estimated Annual Income $401.08 Your Client Advisor: Asset Allocation USD Cash, Money Funds, and Bank Deposits 0.00 2.342.561.93 2.041.148.72 100.00% Please review your airocaton Account Total $0.00 12,342,561.93 12,041,141.72 100.00% you Account is 100% invested in USD Cask Money Funds, and Bank Deposits. Prior Yearad Last Period This Period % AlloatIon DKAO ROLL CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) Page 1 el 8 Rated ILKoollont A0101260CSF10023 Go paperless tv." , Va. S'ne. 2007 D OALSAR RAT( COMMUNICATIONS CON F DrI S IT I T A L. "CM"' SDW_GA4_0004,8698 DB-SDNY-0011522 EFTA_00159307 EFTA01291052 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) M oney Market Fund Detail Date Activity Type Description Mont Balance Sweep Money Market Fund DWSGOVERNM ENT CASH INSTL Account Number: 0000001/93 Current Yield 0.03% Activity Ending: 09130114 08130/11 Opening Balance 2,312,580.73 2,342,580.13 09102/14 Withdrawal MONEY RAD REDEMPTION .18.80 2,342,561.93 09110114 Withdrawal MONEY FUND REDEMPTION 401,450.00 2,041,111.93 09130114 Deposit INCOME REINVEST 52.56 2,041,161.49 09130114 Closing Balance 12,011,161.19 Total All Money Market Funds $2,011,161.19 Income and Expense Summary Current Period Year•to-Oate Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 52 56 0.00 334.33 0.00 Interest Income Credit Interest 0 00 0.00 0.00 -36.51 FDIC Insured Bank Deposits 000 000 72 75 0.00 Total Dividends, Interest, Income and Expenses $52.56 $0.00 $107.08 -$36.61 Portfolio Holdings Description Ouannly Opening Balance Posing Balance Accrued Income Income This Year 30.Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio Cash Balance 46.110 -15.77 Money Market DWS GOVERNMENT CASH INSTL 2,041,161.190 1,312,500.73 2,041,164.49 0.00 334.33 0.03% Total M oney Market $2,342,580.73 $2,041,164.49 $0.00 $331.33 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0.00 0.00 0.00 71.15 NM Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $71.76 Total Cash, M oney Funds, and Bank Deposits $2,342,561.93 $2,041.148.72 $0.01 $107.08 Account N um ber J EPSTEIN VC Page of 8 Coo p iperless Rated 2007 OASBAR PLATO:, COMMUNICATIONS l'XCTI MCI As...tan a...es on sr gee SDNY_GM_00018699 DB-SDNY-00 11523 EFTA_00 159308 EFTA01291053 PC. Bea 1116, Bat -PI MO 2'2)3 Portfolio Holdings (continued) Draisre Banc Prmaie Yne1016rrn,m Mitarts Core age 4,1,P Ceststhe Sank Settanti *vs *A Mk. .115 Pot Agerne, 20th I Ice! Mrs vett. 10. 10114 ItItItltltltllti MS, 2.44I9S Market Value Statement Period: 09/0112014 -09/3012014 Acused Estimated Interest Annual Income Total Portfolio Holdings $2,041,148.72 $0.00 $402.08 M essa es Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing) a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of 51.848 bilbon 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 requirement. note that on July 31, 2014, Pershing's net capital of 51.88 Wien was 12.74% of aggregate debit balances and exceeded the minimum requirement by 51.59 billion. A copy of the June 30, 2014, Statement of Financial Condition is available at pershing.com/statement_of_financial_condition.html. You may also request a free, printed copy by calling (888)880-8510 or (201) 413-4200, option *S. 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 visa the DWS Investments website at https:/Aw.w.dws-investments.coriVEN/products/moneymarket-funds-yields.jsp. Please note that all money market funds hsted on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operabonsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Account km Baer DAR ROLL Go paperless J EPSTEIN VIC °1St-A.7\N . CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) F I DAENTIAL Pigs 3 of 8 Rested Excollent Lvory Vat Since 2007 OASOAR RATCD COMMUNICATIONS EXIT' IRKS SDNY_GM_00048700 DB-SDNY-0011524 EFTA_00159309 EFTA01291054 Activity Summary (AR amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and interest $52.56 $407.08 Dividends and Interest $0.00 -$36.51 Taxes Withheld $0.00 $0.00 Taxes Withheld 41517 -$122.14 Cash Cash Withdrawals 0 00 0 00 Withdrawals -301,150.00 -975.923.97 Deposits 0 00 3.016.824 26 Deposits 0.00 0.00 Total Cash $0.00 63,016,824.28 Total Cash -$301,450.00 -1975,923.9T FDIC Insured Bank Deposits $0.00 23,016,692.18 FDIC Insured Bank Deposits 10.00 •$3,016,892.48 Money Market Funds 2301,48810 $721,92739 Money Market Funds -$52.58 -$2,783,092.48 Total Credits $301,621.36 $8,156,051.81 Total Debits -$301,518.33 .$6,158,081.58 Transactions by Type of Activity Process/ Settlement Date Activity Type Disciple* Chastity Pike Maud Meted Amami Currency Dividends and Interest 09/30/14 MONEY MARKET FUND OWSGOVT CASH INSTL INCOME RECEIVED 233993682 52.58 USD Total Dividends and Interest • UNITED STATES DOLLAR 0.00 52.511 Taxes Withheld 0913011/ NON-RESIDENT ALIEN TAX NRA TAX WITHHELD ON EMS GOUT CASH INST1 .15.11 USD 233993682 Total Taxes Withheld • UNITED STATES DOLLAR 0.00 .15.71 Cash Withdrawals and Deposits 09/10114 FEDERAL FUNDS SENT FIRSTBANK PUERTO RIC -300.000.00 use VS0999992 09/10/14 FEDERAL FUNDS SEN T FAIRWINDS CREDIT UNI .1,450.00 USD USD999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -301,150.00 Money M ark et Funds 09102114 MONEY FUND REDEMPTION OWS BOW CASN 'NUL 18.80 USO U50999997 09/10/14 MONEY FUND REDEMPTION CMS GOVT CASH INSTL 301.450 00 USD US091999T 09/30/14 MONEY MARI(ET FUND OWSGOVT CASH INSTL INCOME REINVESTED •52.56 USD REIN VESTM EN T 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 301,116.21 ID µAB Itt)tt Account N umber: Go paperless J CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e)STEIN VC CDS . NF I DAENTIAL Page 4 of 8 Rated Encollent tray Yea, Since 2007 DAUM* RATC0 COMMUNICATIONS IX/7111NC, :raw etiaZr vesoac, summons... inn =Pc SDNY_GIA 000411701 DB-SDNY-0011525 EFTA_00159310 EFTA01291055 PO flax Ills. tree MO21203 Transactions by Type of Activity (continued) Present Settlement Date Activity Type Desmption Cleantity Price Accrued Interest Dralsre Ilan' Prmale Wealth Maagenmil Marets C Omelet Gto.l. Cettfthe Sank Settanel *rebd. Oita. 315nell AMMO. leth liter Mew eett. WI 10114 0111,1704I9S Statement Period: 09/0112014 - 09/3012014 Amount Current/ Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 3.03 USD Your Client Advisor: TDS TAM SMITI- 345 PARK AVFA IA 14TH FLOOR NEW YOR% NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper com m unications, log in to your account or contact your Client Advisor for m ore information. FIRST IN FIRST OUT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.° Securities for vitich a price is not available are marked "MA"' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vivnv.pershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page 5 Dia Account Num ber Riled excollent 1>FlAil ROL I OASBAR PAUL, COMMUNICATPONS paperless Ivory Yea• WK.. 2007 eE:STEIN VIRGIN CIN F I DAENTIAL EXCM CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6j( rr.L.Tr.".....r • —.eine.. SDNY_GM_00048702 DB-SDNY-00 11526 EFTA_0011593 I I EFTA01291056 Important Information and Disclosures (continued) Reinvestment The dollar amount of Mutual Funo distributions. Money Market Furs orvidend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You will riot 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 horn whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate nay differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) orders for the purchase and sale of securities and other property and (a) any other instructions conceming your account. Pershing is not responsible or liable for any acts a omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCs). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit vnwrpershing.conVstrength_stabilityhtml. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 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 abilty to have a court reverse or modify an arbitration award is very baited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitrabon forums may impose time limits for bringing a clarn in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Page of 8 Account A umber: Riled (*.Mont Go paperless to"...7a=talcrwamicanows J EPSTEIN VI F Drat/AL_ rxere CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) M a tt. et We van Zona I C•••:••••••• •• ••inillit••• ••••••••• • La ••••••••I MONO, 14•I•C WPC SDW_GM_00048703 DB-SDNY-00 11527 EFTA_00159312 EFTA01291057 PO km 1776. 8•Ittrcait MD 2IN3 Important Inform ation and Disclosures (continued) Draisee Banc Prmale wean maarnan Mitatt Geap C.P.P Dttnthe Sank Sesta k. graven Office Ha PIA 410110. lab I *sr $. wnnr IOVA 111”7.44091. Statement Period: 09/01/2014 • 0913012014 Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New Yak govern. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page 7 off( Account hum ber Riled Go paperless ',wry Mar Unto 2007 Cat OPP 'Marti commutticAnohts CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) . ""El" CCRIF I 1:YENTIAL EXCTIIINO1 et a tiwilun e ' ri bit 7110.":.1.T...... " MEV Nam. SDW_GA4_00048704 DB-SDNY-0011528 EF1'A_001593 I 3 EFTA01291058 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 NC REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME OUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES, MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS 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 140 ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING, BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WRIT TEN REQUEST OX YOU CAN VIEW IT ONLINE AT VANIN.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWWPERSHING.COMMUSiNESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 607(A)(1H2)J PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN Cf THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS ANO FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NEISO PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF »IV Of THE ABOVE TERMS MC COMMONS ARE UNACCEPTABLE TO YOUPLEASE NOISY PEREANIC StEDIATELY IN WRITING BE CERTIFIED NAIL TOONE PERSHING PLAZA JERSEY OTT. NJ on* ATIN: LEGAL DEPT Page8 of 8 VINN Rett Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N F I DALMAL TEIN VIC CDS. Rated excullent trwry VW ~a 2007 0A1BAR RATCD COMMUNICATI0h6 xcrurNer SONY GM 00048705 DB-S6NY:00 11529 EFTA_G0I 59314 EFTA01291059 PA Oa 1776. Oslipegs1024C0 Draisre Sant Prmam Weal, Maarnan mines Coeval* C.I, P NvIscM 'lot knots, m. Alm %A 0lIc• M, Pao Airowjern Hoy Mew etek MIW tttttttttttttttttt MWSJI4M$ Account Number: Statement Period: 0810112014 - 08/3112014 EPSTEIN VIRGIN ISLANDS Valuation at a Glance This Period Yaar-lo-Date FOUNDATION INC Beginning Account Value 82,542,518.08 $0.00 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 400,000.00 2,342,350.29 ST THOMAS VI 00802 Adjusted Previous Account Value 2,342,518.08 2,342,350.29 Dividends, Interest and Other Income 62.65 318.01 Tots' Taxes With'eld •1880 .106 37 nding Account Value $2,342,561.93 $2,342,561.93 5354 52 Your Client Advisor: TARA SMITH Asset Allocation LSD Cash, Money Funds, and Bank Deposits 0.00 2.542.518.08 2.342.561.93 100.00% Please renew your allocatol Account Total 80.00 $2,542,518.00 82,341,56113 100.00% You Aocown is 100% invested in USD Casn. Money Funds. and Bank Deposits. Prior Year•&d Lad Period This Period % Allocation OKA0 ROIL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Pagel ot 6 Rated excellent A0097294CSF10015 paperless " w Y Va. $MC. 2°<" OALBAII PATO:. COMMUNICATIONS CONFIDENTIAL MCIIIINC, M a t " Ls MEW Mateo •••••••,ac, genre nay woe ova SDNY_GM_00048706 DB-SONY-0011630 EFTA_001593 I 5 EFTA01291060 M oney Market Fund Detail Date Activity Type Description Amount Balsam Sweep M oney Market Fund DWSGOVERNM ENT CASH NUL Account Number: 0000001/93 Current Yield: 0.03% Activity Ending: 08/29/11 08101114 Opening Balance 2,512,537.54 2,542,537.54 08101114 Withdrawal MONEY RAD REDEMPTION 49.16 2,542,511.08 08119114 Withdrawal MONEY FUND REDEMPTION -200,000.00 2,342,51848 08129114 Deposit INCOMEREINVEST 62.65 2,312,580 73 08129114 Closing Balance 12 312 580.73 Total All Money Market Funds $2,312,580.73 Income and Expense Summary DJ rrent Period Year•to-Oate Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 62.65 0.00 281.77 0.00 Interest Income Credit Interest 000 0.00 0.00 46.51 FDIC Insured Bank Deposits 000 0.00 72.75 0.00 Total Dividends, Interest, Income and Expenses $62.65 $0.00 $364.52 -$36.61 Portfolio Holdings Description Quantity Opening Balance Posing Bikes* Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio Cash Balance -19.46 -18.80 Money Market DWS GOVERNMENT CASH INSTL 2,312,680.730 2,542,537.54 2,342,580.73 1.93 281.77 0.03% Total M oney Market 92,612,537.54 $2,312,580.73 $1.93 $281.77 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0.00 0.00 0.00 72.75 NIA Total FDIC Insured Bank Deposits $0.00 $0.00 $0.00 $72.76 Total Cash, M oney Funds, and Bank Deposits $2,542,518.00 $2,342,561.93 $1.93 $354.52 Page 2 of 6 Account Num ber Rated twollent MOAB ROIL Go paperless tr." Yen Sif.C• 2007 J EPSTEIN VC CIN F I D-ENTIAL OAl0AR PATCD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) EXC71 OKI SONY GM_00048707 DB-S6NY-00 11531 EFTA_00159316 EFTA01291061 PO em 1776. eak pee MO21203 Portfolio Holdings (continued) Dralsre Sam Ponle Wealth kla.zgenmil Weals COreiteGt0.1. Cettf0,4 Sank 140.anel Mrs bri Oita. 315Parli Anew, nib Ibex Mew eett. WI 10114 OtSSIM4I9S Market Value Statement Period: M0112014 -0813112014 Accrued Estimated Interest Annual Income Total Portfolio Holdings Messages $2,342,561.93 10.00 T354.52 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 OWS Investments website at https://ww.dws-investrrients.conVEN/products/monetmarket-fundsiyieldsiisp. 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 81 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual hind 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 hind's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a sante division operating under the Deutsche Asset 8 Wealth Management brand and future cornmunications v1i1 reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (Ail amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $62.65 $354.52 Dividends and Interest $0.00 .$36.51 TaxesWithheld 60.00 WOO Taxes Withheld -$15.80 -$106.37 Cash Cash Withdrawals 000 0.00 Withdrawals .200 000 00 .674.473 97 Deposits 000 1016.824.26 Deposits 0.00 000 Total Cash $0.00 63,016,824.26 Total Cash -$200,000.00 -$674,413.97 FDIC Insured Bank Deposits 60.00 $3,016,892.48 FDIC Insured Bank Deposits $0.00 -T3,016,592.48 Money Market Funds 6200,019.48 6420,459.19 Money Market Funds -T52.65 -$2,163,039.92 Total Credits $200,082.11 $6,454,630.45 Total Debits -$200,081.45 -$8,454,549.25 Page 3 of 5 Account h umber (Koil ed lont Go papedess Ril oc0,0 4, 1>tini ROL [.coy Year Unto 2007 t JEPSTEIN O" K1 F I D AMTIAL OALBAR PATO, COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) IPOSO4LA •110.01FOIRA PAO, SDNY_GM_00048208 DB-SDNY-0011532 EFTA_001159317 EFTA01291062 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Transactions by Type of Activity Process/ Settlement Date Activity Type Dtwiption Quantity Price Mooed Interest Amount Currency Dividends and Interest 08129114 MONEY MARKET FUND OWSGOVT CASH INSTL 62.65 USD INCOMERECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 62.66 Taxes Withheld 08129114 NON-RESIDENT ALIEN TAX NRA TAX WITHHELD ON DWSGOVT CASH INSTL -18.80 USO 233993682 Total Taxes Withheld • UNITED STATES DOLLAR 0.00 •18.80 Cash Withdrawals and Deposits 08119114 FEDERAL FUNDS SENT FIRSTBANK PUERTO RIC -200.000.00 USD US099999T Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 -200,000.00 M oney M arket Funds 08101/14 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 19.16 USD USD99999T 08/19114 MONEY FUND REDEMPTION DWS GOUT CASH INSTL 20(000.00 USD US0999997 08/29/14 MONEY MARKET FUND DWS GOUT CASH INSTL INCOME REINVESTED 42.65 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 199,956.81 Total Value of Transactions 0.00 0.88 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Page 4 of 8 Account A umber: RateW YILlicolloM MIAti ROIL Go paperless very ear 'Since 2007 J EPSTEIN VICONN F DAENTIAL OASOAR RAM. COMMUNICATIONS fl it/111MT rriall•OiNiZtahro l .. tie.. IPSOI.LC •••••••I•MEA VT SDNY_GN4_OOO487O9 DES-SDNY-0011533 EFTA_001593 IR EFTA01291063 Important Information and Disclosures Levis(' c Barn Previa wean Paseetentni hlwartsCooraleCtO.P Cedsde Sank Settanti Mee *A Ms .115 Pot AIIPOOP 20th I by Mrs RA ItY 101S4 111”7.44091. Statement Period: 08/0112014 • 0813112014 Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked —NIA" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast Or guarantee Of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to swmpershing.corn/business_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 distnbutions. Money Market Fund dividend income. Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions. including the tine 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 la order flow. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you imbue, 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, Mound a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (a) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabibty of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial Pages of 6 DKA0 ROll Account Number: Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) FIDarwrIAL J EPSTEIN Vle Rated Excellent trove Year Sint* 2007 OAL0AR RATED COMMUNICATIONS f %en MCI M•. teen Mat Mae SDNY_GM_00048710 DI3-SONY-0011534 EFFA_00159319 EFTA01291064 Important Information and Disclosures (continued) The Role of Pershing (continued) 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 Bits. For more detailed information please visit vnwcpershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includffig unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 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 Ned. • Arbitration awards are generaly final and binding; a party's abity to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securtes industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action unti; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any tights 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. Paget of 6 Account um ber: Rated Cmyllont tray Van SW. 2007 DM0 6°A PaPerless OAS0MI MUD COMMUNICATIONS J EPSTEIN VIC ONNDS F IDriscriAL TXCII IMO/ CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) =Am MMITtaatt:totoollim IMINMAs• SDNY_GM_00048711 DB-SDNY-0011535 EFTA_00159320 EFTA01291065 PA Oa IA0. Oslinta 021200 Draisre San. Ponie wean ma-utenan Weals Cu:melte G,Ist. Dettsche M Saloon xic. Mrs bri Moo HI Pin Aire. leth Hoy Mew vett. 1.1. 10114 11113.17.14,1% Account Number: Statement Period: 0710112014 -0713112014 J EPSTEIN VIRGIN ISLANDS Valuation at a Glance This Period Year-to-Date FOUNDATION INC Beginning Amount Value $2,545,572.89 $0.00 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals -3,400.00 2,542,350.29 ST THOMAS VI 00802 Adjusted Previous Amount Value 2,542,472.89 2,542,350.29 Dividends, Interest and Other Income 84.85 255.36 Tots Taxes Withheld •1918 -8757 lut ing Account Value $2.542.518.08 $2,542.518.08 Estim ated Annual Income 5291 87 Your Client Advisor: TAZIA SYITN Asset Allocation Prior Year-Eod Last Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits Amount Total $0.00 $2,545,872.89 $2,542,5111.08 100.00% l>lIA0 ROll CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 0.00 2.545.872.69 2,542,518.08 100.00% Your Acooun: s 106 invested n USD Cash. Money Funds, and Bank Deposits. Pigs 1 o16 Rated excvillent A00981 ISCSF3001, Go paperless Ya r 2007 D OALOAR RA ,“^" T( COMMUNICATIOhtS CONFIDENTIAL :ra nY n et stroalot reasaullloirt SOY. SDW_GA4_00048712 DB-SDNY-0011536 EF1'A_001 59321 EFTA01291066 M oney Market Fund Detail Date Activity Type Description Mont Solana Sweep Money Market Fund DWSGOVERNM ENT CASH INSTL Account Number: 0000001/93 Current Yield: 0.03% Activity Ending: 07131114 01/01114 Opening Balance 2,615,892.41 2,545,892.41 07/01114 Withdrawal MONEY RAD REDEMPTION •19.72 2,545,872.69 07/24114 Withdrawal MONEY FUND REDEMPTION .3,400.00 2342,472.69 07131/14 Deposit INCOME REINVEST 61.85 2,512,53754 07/31114 Closing Balance $2,642,537.61 Total All Money Market Funds 62,642,537.51 Income and Expense Summary Current Period Year.to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 64,85 0.00 219.12 0.00 Interest Income Credit Interest 000 0.00 0.00 48.51 FDIC Insured Bank Deposits 0 00 0.00 72.75 0.00 Total Dividends, Interest, Income and Expenses $64.86 $0.00 $291.87 -$36.61 Portfolio Holdings Description Quantity Opening Balance Posing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio Cash Balance .19.72 .19.46 Money Market DWS GOVERNMENT CASH INSTL 2,512,637.640 2,505,892.41 2,542,537.50 0.00 219.12 0.03% Total M oney Market $2,545,892.41 $2,542,537.54 $0.00 $219.12 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0.00 0.00 0.00 72.75 NIA Total FDIC Insured Bank Deposits 60.00 $0.00 $0.00 $72.76 Total Cash, M oney Funds, and Bank Deposits $2,545,872.69 $2,512,611.08 $0.01 $291.87 Pap 2 of 6 Account Number Raided excollent MIAS ROLL Cfo EP)STEIN VIRGIN paperless ontrolynYmeaRA•rac 0,4 2007mum Ns cAno CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6j(e CRi F I DENIAL IMCIIIONCI et a riamaetriali tallit.=•n . IOW IlliONO Onr•rou4 airing.* vow ....- SDNY_GM_00018713 DB-SDNY-00 11537 EFTA (x11593?? EFTA01291067 Portfolio Holdings (continued) Draisre Ban' Pr.* Wealth Maatenmi Marets Inns C.O.P Cettsthe Lit Settanti Mw ,re Olio. HI PIO Anew, leth Met Mew etA AY 10114 11111111111116 0111,12.&4091. Market Value Statement Period: 0710112014 -0713112014 Accrued Estimated Interest Annual Income Total Portfolio Holdings Messages 82,541,518.08 80.00 1291.87 Although a money market mutual fund seeks to preserve the value of your investment at 81 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual hind or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credked 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 DWS money market funds, please visk the DWS Investments webske at https://vmw.dws-investments.conVENtproducts/money-market-hinds-yields.jsp. Please note that all money market funds hsted on the webske may not be offered through us. Deutsche Bank has combined its asset and wear management operationsaincluding Deutsche Bank Alex. Brownainto a skigle division operating under the Deutsche Asset 8 Wealth Management brand and future communications nil reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (All amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest 464.85 1291.87 Dividends and Interest 10.00 -136.51 TaxesWithheld $0.00 80.00 Taxes Withheld -$19.46 -88737 Cash Cash 5Vithdrawals 000 0.00 Withdrawals .3 400 00 .474A73 97 Deposits 000 3,016,824.26 Deposits 0.00 000 Total Cash 40.00 43,016,824.26 Total Cash -83,400.00 -8474,473.97 FDIC Insured Bank Deposits 80.00 43,016,192.48 FDIC Insured Bank Deposits 80.00 -83,016,892.48 Money Market Funds $3,419.72 $220,439.73 Money Market Funds -WA -$2,762,977.27 Total Credits 33,484.57 48,254,448.34 Total Debits -43,484.31 -48,254,487.80 Page 3 of 6 Account Number Riled excellont OHO ROLL Go paperless [rosy Veer WK. 2007 J EPSTEIN VI CCD . D . F I DAENTTAL rOZOA. RATCD COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00048714 DB-SDNY-00 11538 EFTA 00159323 EFTA01291068 Transactions by Type of Activity Process' Settlement Date Activity Type Description Onantity Price Accrued Interest MINIM Curren Dividends and Interest 0713111/ MONEY M ARKET FUND NS GOVT CASH INSTL 64.85 LSO INCOME RECEIVED 233993682 Total Dividends and interest • UNITED STATES DOLLAR 0.00 64.85 TaxesWithheld 07/31/14 NON-RESIDENT ALIEN TM NRA TAX WITHHELD ON OWSGOVT CAST INSTL -19.46 LSO 233993682 Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -19.48 Cash Withdrawals and Deposits 07/24/14 FEDERAL FLNDS SEA T FAIRWINDS CREDIT UNI 4.400.00 USCI LS0999997 Total Cash Withdrawalsand Deposits • UNITED STATES DOLLAR 0.00 -3,400.00 Money M arket Funds 07/01/14 MONEY FUND REDEMPTION DWSGOVT CASH INSTL 19.12 LSO US0999997 07/24/14 MONEY FUND REDEMPTION OWSGOVT CASH INSTI. 3400.00 USD USD999997 07/31/14 MONEY M ARXET FUND OWS GOUT CASH INSTL INCOME REINVESTED .64.85 USD REINVESTMENT 233993682 Total Money Market Funds • UNITED STATES DOLLAR 0.00 3,354.87 Total Value of Transactions COO 0.26 USD The mice and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZIA SMITH 345 PARK AVENLE 14Th FLOOR NEW YORK NY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OLT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn off paper communications, log in to your account or contact yours:tient Advisor for more information. FIRST IN FIRST OUT VINO Account Number Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDrismAL J EPSTEIN Page 4 of 5 Rated excelhrint t very Yara•1•••CO 2007 OALSAR RATCD COMMUNICATIONS SDNY_GM_00048715 DB-SDNY-00 11539 EFTA_00 159324 EFTA01291069 Important Information and Disclosures Graisre San. Ponle wean mamtenme minim CO•MICIG,Isti ChiSthe tar* S41.0 Oft Ht. Mrs bet Mop .115 Pot Aire, Halter Mew In PIT 10114 1111111/ OM 7.4409S Statement Period: 07/0112014 - 07131/2014 Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked —N/A— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast Or guarantee Of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time, and may be affected by current and future economics 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 wvm.pershing.comsbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order now. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars 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 belled at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and nit 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 ...All not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitabibty of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial Pages of 6 Account k um ber: a iled Excellent 1, IIAIL 1+:31i Go parerless ce...t U. . , M.. WIC. 2007 =Ian et NerCallola iAa Oe' grOMMIOPI .. Slinfiliffilli. JE D . carom( ILA T L 0 COMMUNICATIONS Anm• tin A.m.*. aNA mm NA, CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e)PSElk VICM<,1 F I DArl\rnAc...e.„ [Mal IINCS SDNY_GM_00048716 DB-SDNY-0011540 EFTA_00159325 EFTA01291070 Important Information and Disclosures (continued) The Role of Pershing (continued) 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 knits. For more detailed information please visit wriftpershing.cornistrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includivg unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 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 Ned. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very brrited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page6 of 6 ()SAO ROLL Account Number: Go paperless J DS . F I D^ENTIAL N CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) STEIN VIC C Rated incepent Lvery Yeas Since 2007 041.0Ali RATC0 COMMUNICATIONS fX/ZillONCIF Mth= etwerrarasi " : "" 0••••64.01•W ••••••• SDW_GM 00048717 DB-SDNY-0011541 EFI'A_00159326 EFTA01291071 PO &.1776. 841t rm.* M0 2120a Draisre Sant Prmax. Mareats Cwt./OG.1,P Dettsthe Sek Settaw. Mew bet 01.1c• 315 Part ibres.. Nth 1 ter W. %ANY 10114 I~OM,TY 4,15 Account Number: Statement Period: 0610112014 -0613012014 EPSTEIN VIRGIN ISLANDS Valuation at a Glance This Period Year-to-Dale FOUNDATION INC Beginning Account Value $2,745,1126.67 $0.00 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals .200.00010 2,545,750.29 ST THOMAS VI 00802 Adjusted Previous Account Value 2,545,82617 Z545,75120 Dividends, Interest and Other Income 65 74 190.51 Tots Taxes Withheld •1972 .68 II -nd rg Acccvit \la ue $2.545.872.69 $2,545,872.69 Ego ated Annual Income 5227 02 Your Client Advisor: Asset Allocation Prior Year•hd Lea Period This Period % Allocation IAD Cash, Money Funds, and Bank Deposits Account Total 90.00 $2,745,026.67 $2,646,172.69 100.00% ()SAO 110.1.1. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0.00 2.745.826.87 2.545.872.69 100.00% Your Accounts 103% invested ei USD Cash, Money Funds, and Bank Deposits. Page 1 o19 Riled excellat B00977 09C5F30022 Go paperless Lbw Year Iwo 2007 0A.I.O.M1 (ATM COMMUNICATIONS. CONFIDENTIAL EX/111(NC ;Taw stor:Ca ri oirra SW NOW SDW_GM_00048718 DB-SDNY-0011542 EF1'A_00159327 EFTA01291072 M oney Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DWSGOVERNM ENT CASH 91511 Accounl N um ber: 0000001493 Current Yield: 0.03% Activity Ending: 06/30/14 05131114 Opening Balance 2,745,847.78 2,745,817.78 06102114 Withdrawal MONEY RAD REDEMPTION •21.11 2,745,828.87 06119114 Withdrawal MONEY HAD REDEMPTION -200,000.00 2,545,828.67 06130111 Deposit INCOM E RETh VEST 65.74 2.515192 01 06/30114 Closing Balance 82,515,892.11 Total All Money Market Funds 12,515,892.11 Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 65.74 0.00 154.27 0.00 Interest Income Credit Interest 0 00 0.00 0.00 -38.5t FDIC Insured Bank Deposits 000 0.00 72.75 0.00 Total Dividends, Interest, Income and Expenses $65.74 $0.00 5227.02 -$36.61 Portfolio Holdings Description Ouantily Opening Balance Posing Balance Accrued Income Income This Year 30-Day Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio Cash Balance .21.11 .1922 Money Market DWS GOVERNMENT CASH INSTL 2,515,892.410 2,745,817.78 2,515,892.11 0.00 154.27 0.03% Total M oney Market 52,115,81T.T8 82,515,892.11 $0.00 8151.27 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 0.00 0.00 0.00 12.1$ NIA Total FDIC Insured Bank Deposits 30.00 $0.00 $0.00 $72.75 Total Cash, M oney Funds, and Bank Deposits $2,745,628.87 $2,545,872.69 $0.08 $227.02 Page 2 ol 9 Account hum ber Rated (..Olent ROLL eEP)STEIN V 6° PaPeriess 0Al tnrYOAYRa RA r rSC 201•4 °W.M.INICATIONS CCIN F I DraTTAL %al IENC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6j( SONY_GM_00018719 DB-SDNY-00 11543 EFTA (x1159328 EFTA01291073 PO Elm 1776. &aurae IVO 2I N3 Portfolio Holdings (continued) Draisre Nana P,,nie %WAN Maatenmi Weals Corral* C.O.P DectsO4 Oat Stu anti Mw bri Moo 315Part Anew. MN Met New ettk NY 10114 IIMI2O4I9S Markel Valve Statement Period: 0610112014 - 06/3012014 Accrued Estimated Interest Annual Income Total Portfolio Holdings $2,545,872.68 M essa es Federal Depose Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). $0.00 027.02 For disclosure of rates for DWS money market hinds, please visit the DWS Investments website at httpsiNnwrdws-investrnents.corNEN/products/moneynarket-fundslields,tsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual hind 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 that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process: Partial Calls: Pershing's Impartial Lottery Process: Partial Calls When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 462.30, which has been incorporated into the FINRA Consolidated Rulebook Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process.thlien 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 4 holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that 4 received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that wt be redeemed. Alocations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker-dealers whose introduced accounts have received an allocation. Securities registered in the clients name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caNed security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Client Account ABC-123234; Par Value: $100000; Number of Trading Units: 4 Client Account DEF-325465; Par Value: 575,000; Number of Trading Units: 3 ONAB,ROLL Account Number Go paperless Page 3 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6J(eEP)STEIA VIC UNITS,1 F I DAENTIAL Riled excellent trosy Mar lance 2007 OALSNA RATCD COMMUNICATIONS extllIf la ..,- SDNY_GM_00048720 DB-SDNY-00 11544 EFTA_00 159329 EFTA01291074 M essa es (continued) Client Account: EDR-567433: Par Value: $150.000; Number of Trading Units: 6 Client Account: EGT-876574; Par Value: 550,000; Number of Trading Units: 2 Client Account EST-868345; Par Value: 525600; Number of Trading Unks: 1 Client Account FRT-435234; Par Value: $25,000; Number of Trading Units: 1 Client Account FRT-658797; Par Value: 575,000; Number of Trading Units: 3 In brief, the allocation process involves the following steps: > The number of trading units held in each account is identified. > A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). > A random number is generated that will result in one of these trading units being the first unit in the selection process. > Thereafter, the trading units participating in the alocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. When a partial cal 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 wel as proprietary and employee accounts of introducing broker-dealers (if Pershing carries and dears those accounts). No allocation will be made to these proprietary and employee accounts unfit all other client positions at Pershing in such securities have been called. When a partial cal is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. If the partial call is made at a price above the current market price as captured in Pershing's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing wall generally categorize that cal as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent 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. Page 4 of 9 Account A umber: ivy un', , 1 Go paperless ',very Yen Since 2007 :ran etsreatt '47••••. " OEN Sam. J EPSTEIN VI cm F I DaraTTAL r0=:416:1(0 COMMUNICATIONS On/. t LC a./ /SW /CM 0/0 SDNY_GM_00048721 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0011545 EFTA_00159330 EFTA01291075 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) dais re Rana Poetic wean ma-etenne Weals Cereal* 4,1,P Censche Sank Sectanci nc. Mrs %A Office 315 Part Anew, 20th I ter Mew etet. WI 10114 1111117.44091. Activity Sum m a ry (NI amounts show; are in base currency) Credits This Period Year-to-Date Debits Statement Period: 06101(2014 • 0613012014 This Period Year-to-Date Dividends and Interest $65.74 $227.02 Dividends and Interest $0.00 -$36.51 Taxes Withheld $0.00 $0.00 Taxes Withheld -$19.72 -$66.11 Cash Cash h d als 0 00 C: 'A' IncraAais -200,00000 .471 073 97 Deposrs 0 00 3 016 He 26 Depcs+3 0.00 0 00 Total Cash $0.00 13,016,824.26 Total Cash 4200,000.00 -$471,073.92 FDIC Insured Bank Deposits $0.00 $3,016,892.48 FDIC Insured Bank Deposits $0.00 -$3,016,892.48 oney Market Funds $200,021.11 6217,020.01 Money Market Funds -$65.74 -$2,762,912.42 Total Credits 1200,066.85 $6,250,913.77 Total Debits 4200,065.46 46,250,963.41 Transactions by Type of Activity Process Settlement Date Activity Type Desolation Duality Price Accused littered Amoaat Correa, Dividends and Interest 06130114 MONEY MARKET FUND DWS GOVT CAM, INSTL 65.74 USD INCOME RECEIVED 233993682 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 65.74 TaxesWithheld 06/30/11 NON-RESIDENT ALIEN TAX NRA TAX WITF FELD Oh DWSGOVT CASH INSTL -19.72 USD 233993682 Total Taxes Withheld - UNITED STATES DOLLAR 0.00 Cash Withdrawals and Deposits 06n9:•t FEDERAL FUNDS SENT FIRSTBAN ERT0 RIC -200.000.00 USD US0999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 -200,000.00 Page 5 o19 Account A umber: J EPSTEIN VC Coo Railed Excellent naPerheSS Every Yost Since 2007 DAUM* RATED COMMUNICATIO116 EXCIIIENt7 oar. 'Ls etwerelta:4•1:••••• " Wart Ida* SDNY_GM_00048722 DB-SDNY-0011546 EFFA_00159331 EFTA01291076 Transactions by Type of Activity (continued) Process? Settlement Date Activity Type Druiption °entity Price Accrued Interest Amount Currency M oney M arket Funds 06102114 MONEY FUND REDEMPTION OWS GOUT CASH INSTL 21.11 DSO VS0999997 06119114 MONEY FUND REDEMPTION °WS GOUT CASH INSTL 200,000.00 DSD VS0999997 06130114 MONEY MARKET FUND OWS GOUT CASH INSTL INCOME REINVESTED 45.74 DSO REINVESTMENT 233993682 Total M oney M arket Funds • UNITED STATES DOLLAR 0.00 199,955.37 Total Value of Transactions 0.00 1.39 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS TAZIA 345 PARK AVENLE 14Th FLOOR KEW YORK AY 10154 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OLT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account corn m unications for electronic delivery. To register and turn oft paper corn ni unications. log in to your account or contact your Client Advisor for more information. FIRST IA FIRST OLT Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked "WC and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of Mure results. These figures are computed using information from providers believed to be rekable; 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 cuffed and future economic, political, and business conditions, they should not be relied on for making investment. trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of pnncipal may be included in the figures for certain securities, thereby overstating them. Refer to vnnwpershing.combusIness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page 6 of 9 Account Number didiv „it 114.1(....lent ? i : Go paperless tray Yon 1~. 2007 1~0 ROL t R I3A 0Al D RAT( COMMUNICATIOrd J EPSTEIN DS _ veCN F I DAnTrIAL.--ss' rxeriliNa CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SONY GM_000413723 DB-SDNY-0011547 EFTA_00159332 EFTA01291077 Important Information and Disclosures (continued) 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. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate with 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 tiled at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions conceming 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. ft acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuN 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 atm operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (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 vmve.pershing.comfstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be 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 0739t (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 tied. • Arbitration awards are generally final and binding; a partys ability to have a court reverse or modify an arbitration award is very tinned. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. Gnaw e Sam Po.or Wealh Mamtenme Porous Corr age IX...Wit Sara Set-newt Mew bet Calor 315 Pot Ouirrne, 20th Met Mrs veAllY 105W 111111111111111 MS, 7.4409S Statement Period: 06/0112014 - 06/30/2014 Page? of 9 Account um ber Rated (*collard t it: IL I Go paperless a ye., 2007 :tan else wet iiists . JE D . 0AlOAR MILD COMMUNICATIO116 . 0 0 AL_ fMCIIIIINC1 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e)STEIN viebNf<1 F I Drat! SDNY_GM_00048724 DB-SDNY-0011548 EF1'A_00159333 EFTA01291078