EFTA Document EFTA01291697

Deutsche Asset & Wealth Management P.O. Box 1776, Baltimore, MD 21203 Gnaw e Banc Ponie Wall" Maarnmi Pewees CoV•00.4,1,P CestsOw Ye* Moo Now Wart Mar 345 Par% MY ,]MB liter lieslat. PM 10114 0 0 ) 451-7101. n•-•091. Portfolio at a Glance Account Number: Statement Period:12/01/2015 - 12/31/2015 Ibis Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 111,775,501.12 9233,030.73 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73 ST THOMAS VI 00802 het Securities InlOut of Account 0.00 5,867,790.80 Adjusted Previous Account Value 1,715,501.12 8,20,035.25 Dividends. Interest and Other Income 59 42 60.410.09 het Chan e in Portfolio •701812.80 .202 697 60 nclrnd Account Value SS 073,747 74 58,073 747 71 Your Client Advisor: Estim ated Annual Income $112,357.29 DANIEL SAW Asset Allocation Prior Year-End Last Period This Period % Allocation LSD Cash. Money Funds and Bank Deposts1 233.030.72 2.408.595.12 2,408,654.54 29.83% LSD Equities 0.00 8.366,906 00 5,665,09320 70.17% Amount Total (Pie Chart) 1233,030.12 98,775,501.13 98,073,717.71 100.00% I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured back deposits are not setuates and are not covered by the Seountres Investor Protection Corporation (SIPC). These bank deposes are covered trr the Federal Depose Insurance Corporation (FDIC), up to allowable limbs. 1)0A0 ,ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Please rev eo yea allxa:ter per05ca y w tr ye.r C ter: Advisor Pagri of9 Rated (..illont B0097909C5F30024 GO paperiess 'ant* 2007 0^10/ka RAW:. COMMUNICATIONS csr c ONIFID,n /AL )0:71 /NCI ...- SDNY_GM_00049602 DB-SDNY-00 12426 EFTA_00I 602 I I EFTA01291697 Summary of Gains and Losses Realized This Period Year-tmDate Unrealized long-Term Gain/Loss Net Galnlioss This summary excludes transactions where cost basis information is not available. 0 00 0.00 COO 666 782 11 0.00 666,782.11 FDIC Insured Bank Deposits Date Adivit pt Demi• Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46028161 Activity Ending: 12131/15 12/01115 Opening Balance 2,408,595.12 2,408,595.12 12/15115 Delimit INTEREST CREDITED 59.42 2,408,854.54 AN 0.03% 12116115 BUT 2808,854.54 NO 12116 $198137.09 Citibank N.A. NO 12116 $231500.00 Compass Bank NO 12116 $237500.00 Deutsche Bank NI Co NO 12/16 $237500.00 East West Bank NO 12116 $237500.00 FSB of Tennessee NO 12116 $231500.00 Huntington National B NO 12/16 $73017.45 RBS Citizens PA NO 12116 $237500.00 Texas Capital Bank NO 12116 $237500.00 TriState Capital Bank NO 12116 $231500.00 Um aqua Bank NO 12116 $237500.00 12131115 Closing Balance $2,408864.64 Total FDIC Insured Bank Deposits 12,408,664.54 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Page 2 of 9 Account A umber: N4G-026161 Rated Euel4nt 1>itAlt ,,;,,I Aso paperless 7"." 7"' 2°° 7 114.13AR RATED COMUNICATIOh1S CONFIDENTIAL —PURSUANT TO FED. R. GRIM. P. 676: IF ERN CO F I DAENTIAL ..CE, M a rlamaidastreiti Lit e des 84.111•EVII04, SDNY_GM_00049603 DB-SDNY-0012427 EFTA 001 602 I 2 EFTA01291698 Deutsche Asset & Wealth Management PO. Box 1776, Baltimore, MD 21203 Gnaw e Sam 1.•••• Wok,. P•s•••entm Wises Corei4eComP Cesisch• Ma N0.•••• Mrs bet ON,* .145Poli Mae, 111h I ter 11.v. week PM 10154 4142talt1S121•409S Statement Period: 1210112015 • 12/3112115 Income and Expense Summary Current Period Year-to-Dale Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 59.998.00 0.00 Interest Income FDIC Insured Bank Deposits 59.42 0.00 411.69 0.00 Total Dividends, nterest, Income and Expenses 559.42 10.00 160,410.09 $0.00 Portfolio Holdings Account Activity Opening Date Quantity Number Ending Opening Balance Ocala Balance Heaved Income Income This Year 30-Day Yield Current Yield Cash, Money Funds, and Bank Deposits 30.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 12101115 2.408.854.540 N40028181 12131115 2.408.595.12 2.408.654.54 37.61 411.69 N/A NIA Total FDIC Insured Bank Deposits 12,408,595.12 12,408,554.54 $37.61 1411.89 Total Cash, Money Funds, and Bank Deposits $2,408,595.12 $2,408,654.54 337.61 1411.69 Date Acquired Quantity Unit Cost Equities 70.00% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cash 10128113 3 14.000.000 75.5800 958.120.50 105.2600 1,473,640.02 415,519.52 29.120.00 1.97% 0910511/ 3 7,200 000 98.9500 712,440.29 105.2600 757,871.98 45,431.69 14,976.00 1.97% 09/05114 3 32.820.000 98.9500 3,227,750.30 105.2600 3,433,581.20 205.830.00 67,849.60 1.97% Total Covered 53,620.000 1,098,311.09 5,665,093.20 666,782.11 111,945.60 Total 53,820.000 $4,998,311.09 95,665,093.20 1668,782.11 5111,945.60 Total Common Stocks 14,995,311.09 95,665,093.20 1566382.11 5111,945.60 Total Equities $4,998,311.09 $5,685,093.20 6668,782.11 5111,94510 Cod Basis Market Price Markel Value Unrealized Gain( Loss Estimated Intimated Mutual Income Yield Security Identifier: AAPL CUSP 037833100 Page 3 of 9 Account Number. N404326161 D97909CSF3C t Go paperless rt,Itznal 0AlliAn RAUL, COMMUNICATIONS • 2007 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 670‘"ERN F I D^ENTIAr 1)0:2110NOI ()OA° IK>t -,- SDNY_GM_00049604 DB-SDNY-00 12428 EFTA 00160213 EFTA01291699 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Valve Gain! Loss Interest Annual Income Total Portfolio Holdings $1,006,965.63 $8,073,747.74 6666,781.11 $0.00 $112,357.29 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered lioncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable dates)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally wit be phased in over a three-year period, as follows: • Stock II a corporation acquired on or after January 1, 2911 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 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 DWS Investments website at https:/rynwr.dws-investments.coriVENfproducts/money-market-funds-yieks.jsp Please note that all money market funds fisted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement 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 produces disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2015 IRS Forms 1099 (B, DIV, INT, 010 and MSC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice MI 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 Mardi 17, 2016. Page 4 of 9 Account Number. N40.026161 Rated luellent MOAB ROLL Go paperless Ls,* Vas Slows 2007 SOUTHERN CP Lt. F I DAERTIAL rOAl xcrOAR itnier RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) :tan etsetratir " O•gets.. esso•La air few.* Prow ...,- SDNY_GM_00049605 DB-SDNY-00 12429 EFTA_GOI 602 I 4 EFTA01291700 Deutsche Asset & Wealth Management PO. Boa 1776. Balbmoro. MD 21203 DralsOe Sam Pootle wean Ma.zigentvd minim Iv., , G.O.P Cevische Sank Senn, vt *vs bet OR or .115 Pan .,,Sp. 20th lbw' Mew %A PIT 10VA OtH CA. 2184. MSS, 211.4M4 Activity Summary /an amounts shown are in base currency) Credits This Period Debits This Period Net This Period Statement Period:121011915 - 1213112115 Credits Year•to•Clate Debits Year-to.Date Net Year•to•Date Secunues Securities Depos,tel 0.00 0.00 0.00 3.383.998.80 0.00 3.383,99840 Total Securities $0.00 $0.00 $0.00 $3,383,990.50 $0.00 $3,383,998.80 Dividends and Interest $59.42 $0.00 $59.42 $60,410.09 $0.00 $10,410.09 Cash Deposts 0.00 0.00 0.00 2,115,21313 0.00 2,115,213/3 Total Cash $0.00 $0.00 $0.00 $2,115,213.73 $0.00 $2,111213.73 FDIC Insured Bank Deposits $0.00 -$59.42 •$59.42 $0.00 42,175,82312 42,17512182 Totals $59.42 459.42 $0.00 55,559,622.62 42,175,82312 $3,383,99180 Transactions by Type of Activity Process/ Settler eat Date ActWT Desc tir t e ti Acaved inters Amount Ones Dividends and Interest 12/15115 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED 458997996 INSURED DEPOSITS INTEREST CREDITED 59.42 USD Total Dividends and interest- UNITED STATES DOLLAR FDIC Insured Bank Deposits 12/15115 FDIC INSURED BANK DEPOSITS INTEREST REINVESTED 458997996 INSURED DEPOSITS INTEREST REINVESTED 0.00 69.42 -59.42 USD Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 49.42 Total Value of Transactions The price and quantity displayed may have been rounded. 0.00 0.00 USD Page 5 o19 Account Number. N40426161 GO PaPerless t r Jiirunti;c2°°7 IOU 1Oh6 et a ntrZa wet tas. act...... . ....v..... MIA0 ROll Isal..114 amt. FS Wilt =Pc SO UTF ERN CZ" KIFID"...„,. AENTIAL f XCII I MCI SDW_GA4_00049606 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012430 EFTA_00160215 EFTA01291701 Client Service Information Your Client Advisor: DAN DANIEL SABRA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all OtheiSecurilies FIRST IN FIRST OUT Bond Amortization Elections: Am 0320 premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account coin n unications for electronic delivery To register and turn off paper comm 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. Marital 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 "NM' arid 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 intonation 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, arid prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to VNAY.pershing.conbusiness_tontinuilyhtml 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 wig 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. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this information is evadable to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action Page 6 of 9 Account Number. N4O126161 B0097909CSF300 4 DBAB.1.OO. GO paperless * i-R---y l" d•ft—'1 5.- - "t• 2007 :ran enZtana ttcle t ' eon " MEV Ida* OnSout RM:. COMMUNICATIONS ......•••La ••••••• now •••••• •••c SOUTHERN criNFIDancTIAL En/ail/No , SDNY_GM_00049607 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012431 EFTA_OO16O216 EFTA01291702 Deutsche Asset & Wealth Management P.O.Box 1776, Balbmora, TAD 21203 Important Information and Disclosures (continued) Orals° e Rana Pr.le wean TAAtenme weans Conran DAR PAIRSIN TATA,. RA Ma RAT Mar 345 PMAsst. l•thilkst le es Wet PM 10114 1/01447/114. MSS) 211409S Statement Period: 1210112016 - 12/31(2015 Foreign Currency Transactions (continued) transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry a investigation 0) orders for the purchase and sale of securities and other property and In any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controling or under 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 are 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 ciders; 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: wnw.pershing.corniabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (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 abikty 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 sane arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Page 7 of 9 Account number: 1146-026161 Riled ILuollat Go paperless Larry Year Tante 2007 OACSAR RATCD COADAIRDCAT1OTTS RARATTIca rare ~A. woe .« ;an eccrantiss. "‘ ""0...Z............, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 678)UTHERtg ONF IDAENTIAL [MTh/NCI DB-SDNY-OO12432 SDNY_GM_00049608 EFTA_OO16O2 I 7 EFTA01291703 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Perskiig's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413.3330. Page I or 9 Account Humber. N404126161 Ridded Luallent • Go pdpQf1£SS tr." Yee, Since 2007 Wink ilin SOUR-ERN CT" LI.C. NFIDENTIAL rOAl xerliin RATC0 COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDNY_GM_00049609 DB-SDNY-00 12433 EFTA _001602I8 EFTA01291704 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES, REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED COFFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR STATEMENT. F 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 F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED N 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 COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO NCLUDES OTHER USEFUL INFORMATION TO ASSIST AN ACC UMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ME INDEBTED TO PERSHNG LLC ('PERSHNG') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT TENDER DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHNG FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR 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. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHNO.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING CONVDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 1307(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETALS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SEE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTNN 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 AMITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF DIE ABOVE TERMS AND CCMDIT IONS ARE UNACCEPTABLE TO YOU. PLEASE NOTFYPERS-ING IMMEDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSHING PLAZA JERSEY arClil Ora ant LEGALDEPT Accouni Humber. 1146.026161 Go paperless S0UTI-ERN CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) ONFI DAENTTAL Page II o(9 Rated Emeliont Lreey Year We 2007 °MBAR RATED COMMUNICATIONS l'Re7I MCI MM et weerwaleme• Lt‘ Wiremen " See. •••••••••41.a nevenew. 'elm m0 SDNY_GM_00049610 DB-SONY-0012434 EFTA_00160219 EFTA01291705 Deutsche Asset & Wealth Management PO. Box 1776, Balbmoro, MD 21203 Draisre Sant Pnvaie weadin maatenan matins Gwen* 66,P Cettscht Ur* Settonei bic Mow Orloo HI PIO AMINO. 2•11. I kit Nowt* NY 10114 00)45441.1ISSIM409S Portfolio at a Glance Account Number: N4G-0 26 16 1 Statement Period: 11101/2015 - 11/3012015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 18,812,037.99 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 2,115,213.73 ST THOMAS VI 00802 Net SecutihesIniClut of Account 000 5,867,790.80 Adjusted Previous Account Value 8,812,037.99 0,215,035.25 Dividends. Interest and Other Income 28.047.13 80.350.67 Net Charlie in Portfolio -64.584.00 499 115 20 ndrng Account Value SS 7 5 50 1 1 2 58.775.501.12 Your Client Advisor: Estim ated Annual Income $112,297.87 DANIEL SAW Asset Allocation Prior Year•End Lad Period This Period % Allocation L SO Cash Money Funds and Bank Depootsl 233.030.72 2,380,547.99 2.408.595.12 27.45% LSD Equities 0.00 8431,490.00 8.366,906 00 7255% Account Total (Pie Chart) $233,030.72 0,112,037.99 8,775,501.12 100.00% I The Sane Deposes in your account are FDIC insured bank deposits. FDIC insured bank deposits are not senoritas and are not covered Dy tne Secunties Investor Protection Corporation (SIPC). These bank deports are covered by the Federal Depose Insult* Corporabon (FDIC). up to allowable ti rots. L>BA0 ROIL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Ili i\ Please rev e,v Cr. aliccncl peior:ca 7 o t- yc.., C ,er:Adv so Page 1 ol 8 A0097019CSF30017 C143paperless CONFIDENTIAL Rated Excellent L very Vat Since 2007 0.410AR RATED COMMUNICATIONS IXCII CNC et a rlamde Nee wok Iiii'= "10:7mee " 'NNW 860.. ••••••••La avestreata, Nn.. siK SDNY_GM 00049611 DB-SDNY-OO12435 EF1'A_00160220 EFTA01291706 Summary of Gains and Losses Realised This Period Year-to-Date Unrealized long-Term Gamfloss Net Galn/Loss This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits 0 00 0.00 0.00 1,368 594.91 0.00 1,368,594.91 Date Aaivit T pe Amount Balance Desai Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 Activity Ending: 11130115 10131115 Opening Balance 2,380,547.99 2,380,547.99 11113/15 Depoit DEPOSIT 27,986.40 2,408,534.39 11113/15 Deposit INTEREST CREDITED 60.73 2,408,595.12 APY 0.03% 11116115 Associated Bank NA 2,408,595.12 NO 11(16 $237500.00 Androscoggin Bank NO 11(16 $237500.00 BUT NO 11(16 $237500.00 Citibank N.A. NO 11(16 $33595.12 Deutsche Bank Trst Co NO 11(16 $237500.00 FSEI of Tennessee NO 11(16 $237500.00 Huntington National B NO 11(16 $237500.00 Israel Discount Bank NO 11(16 $237500.00 Texas Capital Bank NO 11(16 $237500.00 TriStale Capital Bank NO 11(16 $237500.00 Umpqua Bank NO 11(16 5237500.00 11(30116 Closing Balance 12.400,595.12 Total FDIC Insured Bank Deposits 12,401,596.12 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ovmership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Page 2 of 8 Account 1\ umber. N404326161 Rated twollont IMAM ROL Cio paperless tray Year Since 2007 SO TI- ERN F L1C. NFIDncarTAL rOAIL xat: PATCD COMMUNICATIONS NCJ CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) et a tan et NerrestOrirea•on " Mir Wawa SDW_GM 00049612 DB-SONY-0012436 EF1'A_00160221 EFTA01291707 Deutsche Asset & Wealth Management PO. Box 1776, Balbmoro, MD 21203 Income and Expense Summary Draisre Banc ...tie W3/4.41,14aatentm BYOB Comae Comp CeettOw Is* Sm. en 114. NON id Mo. Nf Pin MY, ]NI, I by lies•aft. PM 10114 PO/ 65.61306 PSM 7144095 Statement Period: 1110112015 - 11130/2115 Current Period Year-to-Date Taxable Noe Taxable Taxable Noe Taxable Dividend Income Equines Interest Income FDIC Insured Bank Deposits Total Dividends, nterest, Income and Expenses Portfolio Holdings Account Adivily Opening Date Quantity Number Endieg Cash, Money Funds, and Bank Deposits 27.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 10/31115 2.408.595.120 N40026181 11130115 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits 27,986.10 0.00 59.998.10 0.00 60.73 0.00 352.27 0.00 628,047.13 10.00 160,350.67 10.00 Oneonta Balance Closiag Balance Accrued Income Income This Year 30-Day Yield Current Yield 2.380.54719 2,108,595.12 29.72 352.27 NIA NIA 12,380,5471 9 12,408,595.12 329.72 1352.27 12,380,547.99 $2,408,595.12 129.72 1352.27 Unrealized Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gala, Loss Equities 73.00% of Portfolio Common Stocks APPLE INC CON Dividend Option: Cash 10/28113 3 09105114 3 09105114 3 Total Covered Total Total Common Stocks Total Equities Estimated Estimated Annual Income Yield 14.000.000 7,200 000 32.620.000 53,820.000 53,820.000 75.5800 98.9500 98.9500 Security Identifier: AAPL CloSIP. 037833100 1.058,120.50 118 3000 712,440.29 118 3000 3,227,750.30 118.3000 4,998,311.09 14,998,311.09 14,9911,311.09 $4,998,311.09 1.656.200.02 598.079.52 29,120.00 1.75% 851,759.97 139,319.68 14,976.00 1.75% 3,858,946.01 631,195.71 67,849.60 1.75% 6,366,906.00 1,368,194.91 111,945.60 $6,369,906.00 $1,368,614.91 $111,945.60 16,366,906.00 61,361,694.91 $111,945.60 16,366,906.00 $1,368,694.91 $111,945.60 Page 3 of 8 Account A umber. N40126161 Riled Excellent A, 099049CSF3C P. . Go paperless t tn er V." SMC. 2007 M a tt et warraligt =fa .' SW li••••• MOAB ROLL SO L TF ERN F Out 06.1.13611 RAT CO C061/61.1160‘TIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF I DrariAL f %en I ENO' SDNY_GM_00049613 DB-SDNY-00 12437 EFTA_00 160222 EFTA01291708 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Vain Gain/ Loss Interest Annual Income Total Portfolio Holdings $7,006,906.21 9,775,501.12 91,361,594.91 $0.00 $112,297.67 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("lRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock is a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. M essages Please note the following information for Pershing's 2015 IRS Forms 1099 (B. DIV, INT, OID and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16. you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It coil 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 17, 2016. 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 httpsINAwrdws-investments.corniEN/productsimoney-marIcet-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Page 4 ore Account Number N40.026161 (so paperless tray Van Sint* 2007 MIAS ROLL rOAl xcilr inniltAarTCD COMMUNICATIONS SOUTHERN F I DAENTIAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 13(b) SDNY_GM_00049614 DB-SDNY-00 12438 EFTA_OO16O223 EFTA01291709 Deutsche Asset & Wealth Management PO. Boa 1776. Baltimore. MD 21203 Orals° e Sant Prmale Wealth Magetenmil Mareels Croe00107:•7 CeehOw lelkSeCionel New Wart Orto 341 Parli Mart leth ter linelget. Nr 10114 0 0 ) 451-7110. 0713) 22•409S Activity Summary (Al! amounts shown are in base currency) Credits This Period Debits This Period Net This Period Statement Period: 11/0112015 - 11130/2015 Credits Year•to•Clate Debits Year-to•Date Net Year-to-Date Securities Securities Deposited 0.00 000 000 3.383.998.80 0.00 3,383,99810 Total Securities $0.00 $0.00 $0.00 $3,383,998.80 $0.00 $3,383198.80 Dividends and Interest 128,047.13 $0.00 $26,047.13 $60,360.67 $0.00 $10,350.117 Cash Deposts 0.00 000 000 2.115.213.73 0.00 2,115,213.73 Total Cash 10.00 $0.00 $0.00 $2,116,213.73 $0.00 $2,111213.73 FDIC Insured Bank Deposits 10.00 128,047.13 128,047.13 $0.00 -$2,171514.40 .$2,171584.40 Totals $21047.13 -$20,047.13 $0.00 $5,559,563.20 -12,175,584.40 13,363,99610 Transactions by Type of Activity Process, Settlement Date Activity Type Description Quantity Price Awued Interest Mount Qirreicy Dividends and Interest 11112115 CASH. DIVIDEND RECEIVED 53820 SIRS APPLE INC COM RD 11/09 PD 11/12/15 27.98640 LSD AAFt 11113115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 60 73 LSO DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 28,047.13 FDIC Insured Bank Deposits 11/13115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 47.98640 USD USD999997 11/13/15 FDIC INSURED BANK IASLRED DEPOSITS INTEREST REINVESTED 5073 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -28,047.13 Page 5 o18 Account Number N40126161 Rated excellent 02Ali ROL Go paperless tray Year 'Sento 2007 SOUTHERN Cr — - ONFID^ENTIAL, COMMUNICAT lOhtS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) ettiartrereralel trOomeeteen . te••••• •••••••LA •••••••• OHM WY SDNY_GM_00049615 DB-SDNY-00 12439 EFTA 001070224 EFTA01291710 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiption Quality Price Accrued Interest Amount Currency Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 0.00 USD Your Client Advisor: DAN DANIEL SABBA 345 PARK AVF.NUE 28Th FLOOR NEW YORK NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account cam m unications for eledronic delivery. To register and turn off paper communications, log in to your account or canted your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe lo be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A* and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be 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 busness 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 vnwipershing.corribusiness_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 MI 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 fa order flow. Page 6 of 8 Account Number. N40.028161 Raged Excellent MOAB ROIL GO paperless Y••• se". zoom SOUTHERN F CAL LW. ON.BAR RATED COMMUNICATIOhtS CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) ONFIDn , TTAL- EMT' I MC/ M a t bt etwartelii tr i C•41:S " ante MOW SONV_GM 00049616 DB-SDNY-0012440 EF1'A_00160225 EFTA01291711 Deutsche Asset & Wealth Management PO. Boa 1776. Balbmoro. MD 21203 Important Inform ation and Disclosures (continued) Gnaw e Banc PrrnieWeSth PAMIrlad matins CONWP G.wp Cestuht W Moon. mc New Wart Oltor 345 FM Mist Ilith I kir lieslat. PM 10114 P.O4M4114.POOM-6091. Statement Period: 11/0112015 - 11/3012015 Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Addrional information regarding this procedure is available upon written request to your ntroducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The light to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaler number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions 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 horn your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives arid 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 cr activity should be directed to your financial institution. Your financial organization's contact information can be found on the fist page of this statement. • For a desorption 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: iwnv.pershing.com/abothrstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days AM receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wribng to further protect your rights. including your rights under the Secunties Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page? of 8 Account Humber. 1146.026161 Riled Ibicellent Go paperless twos" Year SW* 2007 SOUTI- ERN CZ, LLC. N F I DAEWITAL OAISAR RAM. COMMUNICATIONS )0Z/IIIINCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SDW_GM_00049617 DB-SDNY-0012441 EFTA_00160226 EFTA01291712 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by pry. except as provided by the rules of the arbitration foram in which a claim is filed. • Arbitration awards are generaty final and binding; a patty's stilly to have a Court reverse or modify an arbitration award is very limited. • The abildy 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 inckide 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 fill) 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 I ol8 Account number: N40-026161 4......O6 Rated Cvoillool MIMI ROIL GO paper less I. rosy yew W.C• 2007 M a rian Mstroalmm it" Orelems " IMIVINOm OALSMI (MUD COMMUNICATIONS ••••••••ac. ••••••••••••• ••••• soc S0UTI- ERN CVO LLC. NF IDneTTAL --- SDW_GM_00049618 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012442 EFTA_00160227 EFTA01291713 Deutsche Asset & Wealth Management PO. Bca 177B, Balarnare, MD 21203 Draisre Banc Poetic vftsar#4.itenan Mantes Covent C, C,P Ces4sOw Si* Maori mc, /10•11ort0111,0 341Parli Aseask *cc liesVat. WI 10114 IM)4544100. PSI) n•-•091. Portfolio at a Glance Account Number: N40-026161 Statement Period: 10/01/2015 - 10/31/2015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 18,316,835.27 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73 ST THOMAS VI 00802 Net SecurinesInlOut of Account 000 5,067,790.80 Adjusted Previous Account Value 8,316,835.17 1,216,035.25 Dividends. Interest and Other Income 58 72 32.303.51 Net Chan .e in Portfolio 495 144.00 563 699.20 nding Account Value $S 812 037 99 S8 812 037 99 Your Client Advisor: Estimated Annual Income 5112 237 14 DANIEL SAM Asset Allocation Prior Year•End 233.030.72 0.00 1133,030.12 Last Period This Period % Allocation LSD Cash. Money Funds and Bank Depostst LW Equities Account Total (Pie Chart) I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securit es and are not covered by the Secuntes Investor Protecbon Corporation (SIPC). These bank deposts are covered by the Federal Depose Imitate Corporaton (FDIC). up to allowable 2.380.489 27 1936.346 00 9,316,835.27 1.>11A0 ROLL CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 2.380.547 99 6.431.490 00 88,812,037.99 27 01% 7299% [ 100.00% AL Please rev e,y so.J alixa:ie, Dein ca 7 V/ t- )C./ C er: Adv sr Page 1 oil Rated excellent A01103 PCSF30010 paperless Lvesry vat Since 2007 :tan etworrealas aa O411311N RATCD COMMUNICATIOhtS ••••.•••La •••••••••••••••••.€ soc CONFIDENTIAL ""'"a SDNY_GM_00049619 DS-SDNY-0012443 EFTA_00160228 EFTA01291714 Summary of Gains and Losses Realized This Period Year•to•Date Unrealized long.Term Gain/Loss Net Gal& Loss This summary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 0.00 1A33.178 91 0.00 1,133,170.91 Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfoko al a Gana, beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber: A4G026161 10101115 Opening Balance 10115/15 Depotal 10116/15 Activity Ending: 10130115 INTEREST CREDITED APY 0.03% Androscoggin Bank NO 10116 5237500.00 BOLT NO 10116 15547.99 Citibank N.A. NO 10116 S237500.00 Deutsche Bank Tail Co NO 10116 1237500.00 East West Bank NO 10116 $237500.00 Flushing Bank NO 10116 1237500.00 FM of Tennessee NO 10116 5237500.00 Huntington National B NO 10116 1237500.00 RN Citizens Bank NO 10/16 1237500.00 Texas Capital Bank NO 10116 5237500.00 2,380.189 27 5872 2,380,189.27 2.380.547 99 2,380,517.99 Page 2 of 8 Account Number N4G•026161 Rem. Encellent I)0A0 itOt Go paperless [very Voss Since 2007 OAS0AR RATED COMMUNICATIONS axeuvav CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN CO lq FIDEmisrriAL :Tan etiarrait .Coonessa .. SW Ida* entwou0 earl roma Pernr •ser SONY_GM_00049620 DB-SDNY-00 12444 EFTA_00 I 60229 EFTA01291715 Deutsche Asset & Wealth Management PO am 1776, Baltimore, MD 21203 FDIC Insured Bank Deposits (continued) Date Activity Type Description Draisre Banc Ponie Wealth Magagentm Maeats Confiee C,0. CesbOw Wit Sea...nein< Now brit Mar NI FM Melnik Iiith liter If es Ilat PM 10114 0 0) 41,1-711. IIMI21•4011 Statement Period:0101121M - 1013112115 Mount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) TriState Capital Bank NO 10116 5237500.00 10130115 Clasina Balance Total FDIC Insured Bank Deposits $2,380,647.99 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250.000 for each category of legal ownership Mcluding Mdivictual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. $2,380,647.99 Income and Expense Summary Parent Period Taxable Non Taxable Year4mDate Tuable Non Taxable Dividend Income Equities Interest Incom e FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses Portfolio Holdings Opening Date Quantity Cash, Money Funds, and Bank Deposits 27.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 10101115 2.380.547.990 N46028181 10130/15 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits Amount Number Activity Ending OtlAla ROLL 0.00 0.00 32.012.00 0.00 58.72 0.00 291.54 0.00 $68.72 $0.00 $32,303.54 $0.00 Opting BMus Oosieg 8113101 Accaed Income leonine This Year 30-Day Yield Current Yield 2.380.489.27 2.380.547.99 33.27 291.54 NM NM $2,380,489.27 $2,380,547.99 $33.27 $291.64 $2,380,489.27 $2,380,647.99 $33.27 $291.64 Page 3 of 8 Account Number N40.026161 Go paperless Riled Excellent Ivory Yves WOO. 2007 SOUTHERN CNCIAL LL F I DAERTIAL OAXOAR RAT CD COMMUNICATIONS EXCIII/Na CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) M an eisttailltrons " we Mao oresoun weir we SDNY_GM_00049621 DB-SDNY-00 12445 EFTA_00 160230 EFTA01291716 Portfolio Holdings (continued) Date Acquired Equities 7 3.0 0% of Portfolio Common Stocks APPLE INC CON Dividend 0ption: Cash 10/28/13 3 14,000.000 75.5800 1,058,12050 119.5000 1,873,000.02 614,819.52 29,120.00 1.74% 09105114 3 7,200.000 98.9500 712,44029 119.5000 860,399.97 147,959.68 14,976.00 1.74% 09105114 3 32,620.000 98.9500 3,227,750.30 119.5000 3,898,090.01 870,339.71 61,849.60 114% Total Covered 63,020.000 4,998,311.09 6,431,490.00 1,433,176.91 111,946.60 Total 63,020.000 94,998,311.09 $6,431,490.00 $1,433,176.91 $111,945.60 Total Common Stocks $4,998,311.09 $6,431,490.00 31,433,178.91 $111,945.60 Total Equities $4,998,311.09 $6,431,490.00 $1,433,178.91 $111,945.80 Unrealized Quietly Unit Cod Cod Basis Market Price Market Value Gain/ Loss Estimated Estimated Annual Income Yield SeCurity Identifier: AAPL CUSIP. 031833100 Cost Basis Market Value Unrealized Acaued Estimated Gain/ Loss Interest Annual Income Total Portfolio Holdings $7,378,059.08 $8,812,037.99 $1,433,178.91 30.00 $112,237.14 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ("IR') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis van be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquked on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messages Customer Collateral Account Under Securities Account Control Agreement 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 DINS Investments website at https://vmw.dws-investments.conVEN/products/money-markehfundswields.jsp. Please note that all money market funds listed on the website may not be offered through us. Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Pori 'ago of a Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. Page c of 8 Account Humber. N40126161 Riled (*valeta OMB RCM Go paperless SOUTHERk "oZnarrer..‘twi tc7c2g1/47....c.TioNs CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. ONFID AENTIAL EXCIIION01 Asa. tan avow am* on iv -- SDNY_GM_00049622 DB-SDNY-00 12446 EFTA_00160231 EFTA01291717 Deutsche Asset & Wealth Management PO. Box 1776, Balemoro, MD 21203 Gnaw, Sam. TrAme Weal, MaNtenan IMeets Comae Cows MANN SankSettoom Ac. Am AA Ono, Nfrot /ANNA IAA IAA Am AA IOIN INN CAMS.. I115121SAMS Statement Period: 10/01/2015 - 10131/2015 Messages (continued) Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual hind'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 in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Nei Year-to-Date Securities Sec.. . cc _r: 0.00 0.00 000 3 383 998 80 000 3,383,998.80 Total Securities 80.00 30.00 30.00 $3,383,998.80 10.00 $3,383,998.80 Dividendsand Interest 858.72 $0.00 $58.72 $32,303.54 80.00 $32,303.51 Cash Deposits 0.00 0.00 0.00 2,115,213.73 0.00 2.115,21313 Total Cash $0.00 $0.00 $0.00 82,115,213.73 $0.00 $2,115,213.73 FDIC Insured Bank Deposits $0.00 .$50.72 -$58.72 $0.00 .12,147,517.27 ..$2,147,517.27 Totals 08.72 -$58.72 $0.09 $6.531,610.07 -12,117,517.27 $3,313,990.10 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Prior Accrued Meted Mont Cerreacy Dividends and Interest 10115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 58.72 USD DEPOSITS INTEREST RECEIVED /58997996 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 58.72 FDIC Insured Bank Deposits 10/15115 FDIC INSURED BANK IN St, RED DEPOSITS INTEREST REINVESTED 48.72 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -50.72 Page 5 ol 8 Account Number. N40-026181 Rated Cm•Ilent Go paper less tr" Yam Sim* 2007 ot a titam warealosa laCt Istmem " MN NANA VINO ROtL COMMA SAND COMMUNICATIONS INNAVIA MAA NATT SO UTI- ERN F LLC. N F I DAEISITIA L "annia SDNY_GM_00049623 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012447 EFTA_00160232 EFTA01291718 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiption Quality Price Acand Inters Amount Currency Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information 0.00 0.00 USD Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 20TH FLOOR NEW YORX NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Secudties: FIRST IN FIRST OUT Bond Amortization Elections: Am oda premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account cum m unications for electronic delivery. To register and turn off paper communications, log in to your account or canted your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, induding 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 diner from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EOUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY)hgures 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 rekable; 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 economic, political, and tuskless 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 vnm,pershing.corn/business_conhnuty.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 wi not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. Mcludin 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. IIMAR ROIL Account Number: ii4G-026161 TrAL a n c i CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) SOUTHERN mmen loiGo paperless Page& of 8 Rated Excellent tray Year Sate 2007 °ALMA RATED COMMUNICATIONS ffliellera at iarall•ma alwerCalls••• “‘""O•setea . flaaaa easel La ammo ran war ....- SDNY_GM_OOO49624 DB-SDNY-0012448 EF1'A_00160233 EFTA01291719 Deutsche Asset & Wealth Management PO. Box 1776, Balbmoro, MD 21203 Important Information and Disclosures (continued) Dralsre Sant Prmale wean 1.4.2gental Wrests Cerra. G,Pp PMUM Oa* Seturri x. Mw M Mar 341Parli MY. MTh ter liesli" Iona P1O4661161.61O671•4091, Statement Period: 10/0112015 - 10131/2015 Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confamations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automaticaly pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing ferns 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 automaticaly 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, ncreased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Rote 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 properly and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel_ Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a desorption 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 (SIPC6). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.corniabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wiling 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 I1C, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page? of 8 Account number. N40.026161 Go paperless L vent Year Sant. 2007 SOUTHERN CRUM. . n F D A.ENTIA rOai xor innittr COmmuniCAT 'Ord CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -a tt. gime* vas ,1 -MHO , MEV le a. Orserenn eanaerreala, ant else SDNY_GM_00049625 DB-SDNY-0012449 EFTA_00160234 EFTA01291720 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in couit. 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 tAnding; a patty's stilly 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 inckide 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 Med, 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 lass who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Nelda Account umber N46.026161 Rated (*.Hat it.nt Go paperiess Lyon/ Year 5..C. 2007 0AlOAR PAUL, COMMUNICATIO116 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 676: TFER" ONFIDAENTIAL an et setralot erveZion MIN Wave ennac. avestnalk Mtl. OK SDW_Cat00049626 DB-SONY-0012450 EFTA_00160235 EFTA01291721 Deutsche Asset & Wealth Management PO. Box 1776, BPIbmora, MD 21203 Orals° e Sam Prmale wean ma.zigenan weans Corea. Ocs. CetisOve 66.1Settork MC. New Ibrt Mar lifraa ASS. 1•th I tccr Ms Vat. PM wits 011/6661301.6716171•41/11, Valuation at a Glance Account Number: N40-026161 Statement Period: 09/01/2015 - 09/30/2015 This Period Tear-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 18,449,173.75 0233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 Z 115,213.73 ST THOMAS VI 00802 Net Securities InlOut of Account 0.00 5,867,790.80 Adjusted Previous Account Value 8,449,173.75 8,210,035.25 Dividends. Interest and Other Income 58 72 32244.82 net Chan e in Por ir d z sii .20 Your Client Advisor: Estimated Annual Income $112,178.42 DANIEL SAB8A Asset Allocation Prior Year-End Last Period This Period % Minutia° LSD Cash. Money Funds and Bank Deposts1 233.030.72 2,380,430.55 2.380.489 27 28 62% LSD Equities 0.00 8.088,743 20 5.936.346 00 7138% Account Total (Pie Chart) 1233,030.72 18,419,173.75 $8,316,835.27 100.00% I The Bank Deposits in your account are FDIC insured bank deposes. FDIC insured bar* deposits are not securit es and are not covered by tne Securities Investor Protects Corporation (SIPC). These bank deports are covered Of the Federal Cepost Instance Corporation (FDIC). up to alowable amts. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) I 1 --- PMeee review your allocation pedoaal1y wtri your Cure Mvlror. Page 1 of 9 Rated exc•iiat B0097322C5F10024 Go paperless tree, Yea• Unto 2007 CatiOut RATCO COmmut6C611066 CONFID=AL PC/o6NO1 M4 MF_ SDNY_GM_00049627 DB-SDNY-0012451 EF1'A_00160236 EFTA01291722 Summary of Gains and Losses Realized This Period Year.to•Date Unrealized Long-Term Gam/Loss Net Oat& Loss This summary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 0.00 938.034.91 0.00 938,034.91 Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfoko at a Gana, beginning with the October 2O15 statement. This change does not apply to accounts which display only opening and closing balances on page one. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G026161 Activity Ending: 09130115 09/01115 Opening Balance 09115115 Dermal 09116/15 INTEREST CREDITED AP( 0.03% Citibank N.A. NO 09116 5237500.00 Compass Bank NO 09O6 1237500.00 Deutsche Bank list Co NO 09116 S237500.00 East West Bank NO 09116 1237500.00 First Niagara Bank NO 09116 $237500.00 Huntington National B NO 09116 1237500.00 NYCommunity Bank NO 09116 554139.27 Texas Capital Bank NO 09116 1237500.00 TriState Capital Bank NO 09116 1237500.00 Union Bank of CA NO 09116 5237500.00 2,380.130 55 5872 2.380.130.55 2.380.489 27 2.380.489.27 Page 2 of 9 Account Number N46•026161 Rated Excellent InIAO ROLL Go paperless Lvenr VW Since 2007 0,40AR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN CO FIDEsivriAL EXCEILINCE SONY GM_00049628 DB-S6NY-00 12452 EFTA_OO I 60237 EFTA01291723 Deutsche Asset & Wealth Management PO. Boa 1776. Baltimore. MD 21203 FDIC Insured Bank Deposits (continued) Date Adivity Type Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) Description tam Aqua Bank NO 09/16 $237500.00 Gnaw e Sam Prmaie Magagentm Weals I oretite Comp Chische OW Saloon w. "re bet Mar .115 PIA Sam, lith liter Sew veA PM 10154 II In 4statr. ISM211409S Statement Period: 09/0112015 - 09/30/2115 Amount Balance 09/30115 Closing Balance 32 380 89.27 Total FDIC Insured Bank Deposits 32,380,489.27 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership Mckiding rdividual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Dale Taxable Noe Taxable Taxable Nos Taxable Dividend Income Equities Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses Portfolio Holdings Account Adivity Opening Date Quantity Number Ending Cash, Money Funds, and Bank Deposits 29.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 09/01115 2.380.489.270 N46026161 09130/15 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits 0.00 0.00 32.012.00 0.00 58.72 0.00 232.82 0.00 $58.72 80.00 632,244.82 30.00 Opening Balance Cloning Balance Awned Income Income This Year 30-Day Yield I:anent Yield 2.380.430.55 2.380.489.21 29.36 232.82 N/A NM $2,380,430.55 $2,380,489.27 329.38 3232.82 $2,380,430.55 32,380,489.27 329.38 3232.82 Page3 of 9 Account Number N40126161 Riled excyllen1 VW° Go paperless tw • Y Va t ,"^", 2007 SOUTHERN eirli DC_ ONFI If Freflr i noillA n TED COMMUNICATIOhtS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) wino. ...- SDNY_DM_00049629 DB-SDNY-00 12453 EFTA_DO 160238 EFTA01291724 Portfolio Holdings (continued) Date Acquired Equities 71.00% of Portfolio Common Stocks APPLE INC CON Dividend Option: Cash 10/28/13 3 14,000.000 75.5800 1,058,120.50 110 3000 1.544.200.02 486,019.52 29,120.00 1.88% 09105114 3 7,200.000 98.9500 712,44029 110 3000 794.159 97 81,719.68 14,976.00 1.88% 09/05114 3 32,620.000 98.9500 3,227,750.30 110.3000 3,597,986.01 370,235.71 67,849.60 1.88% Total Covered 63,820.000 4,998,311.09 5,936,346.00 938,034.91 111,946.60 Total 53,820.000 $4,998,311.09 $5,936,346.00 $936.034.91 $111,945.60 Total Common Stocks $4,998,311.09 $5,936,346.00 $938,034.91 $111,945.60 Total Equities $4,998,311.09 $5,936,346.00 5936,034.91 $111,945.60 Unrealized Quantity Unit Cost Cost Basis Market Price Markel Value Gain/ Loss Estimated Estimated Annual Income Yield Security Identifier: AAPL CUSIP 037833100 Unrealized Acaued Estimated Cost Basis Markel Value OsinlLoss Interest Annual Income Total Portfolio Holdings 57,378,800.36 $8,316,835.27 5938,034.91 $0.00 $112,178.42 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing fum and Pershing makes no representation as to the accuracy of this information. Messages Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Porifoko are Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. 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, 2015. Pershing's net capital of 52.179 billion was 10.78% of aggregate debit balances and exceeded the minimum requirements by $1.77 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, 2015, Pershing's net capital of $2.163 billion was Page 4 of 9 Account Number N40426161 „a k Rated excellent eA D lit ROLL Go paperless Every vat Since 2007 SOUTHERN CR u_ r I lOAR RATCD COMMUNICATIONS Xt,1 MC/ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) et Il annia ewalrOomres " OW Nen wersoun ••••••••••••.•ene es< SDW_GM_00049630 DB-SDNY-00 12454 EFTA_00160239 EFTA01291725 Deutsche Asset & Wealth Management P.O.Box 1776, Baltimore, MD 21203 Messages (continued) Draisre San. Poetic W.M', ma-utenan mats Con, 0 ,0.7 CeIr150w W Settorimc Ibrt Mar Hf flit •••••0.1.111h • kw liesllat. PM 10154 0 U) 454-7101. 0131.120•4095 Statement Period: 09/01/2015 - 09130/2015 11.55% of aggregate debit balances and exceeded the minimum requirement by $1.79 bilion. A copy of the June 30, 2015, Statement of Financial Condition is available at vnvw.pershing.comistatementot.financial-condition. You may also request a free, printed copy by calling (888)860-8510 or (201) 413-4200, option SS 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 httpsinwrw.dws-investments.conVEN/productsimoney-market-funds-yields.jsp. Please note that an money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement 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 (NI amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date SecuNtles SecudliesDeposited 0.00 0.00 000 S383.998 80 0.00 3.383.998 80 Total Securities $0.00 $0.00 $0.00 $3,383,998.80 $0.10 23,383,998.80 Dividends and Interest $58.72 $0.00 $58.72 $32,244.82 $0.80 $32,244.82 Cash Deposits 0.00 0.00 000 2,115,213.73 0.00 2,115,21313 Total Cash $0.00 $0.00 $0.00 12,116,213.73 $0.10 $2,115,213.73 FDIC Insured Bank Deposits 10.00 -$58.72 -$58.72 $0.00 -$2,147,458.55 42,147,458.55 Totals $58.72 -$56.72 $0.00 $5,531,457.36 -$2,147,458.55 $3,383,998.80 Pap 5 of 9 Account Number N40476161 DOAN Kat Go paperless SOUTHERN CACI& LL Fo arTAL onnr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Rated Excellal tray V.., 1en<4 2007 OALSA1t ILO COMMUNICATIONS ?Mali/NC =la r-Y w etlaZtalse a : Or: ••64. " NNW MAD. SDNY_GM_00049631 DB-SDNY-0012455 EF1'A_00160240 EFTA01291726 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioa Quantity Price Accrued Interest Amount Currency Dividends and Interest 09115/15 FDIC INSLRED BANK IN& RED DEPOSITS INTEREST CREDITED 9,72 USO DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 50.72 FDIC Insured Bank Deposits 09/15/15 FDIC INSL RED BANK IASLRED DEPOSITS INTEREST REINVESTED .58.72 USD DEPOSITS INTEREST REINVESTED 458997996 Tout FDIC Insured Bank Deposits. UNITED STATES DOLLAR 0.00 4822 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENLE 26Th FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OLT Default Method for Stocks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OlDi: No Am ortue premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account conim unications for electronic delivery. To register and turn off paper communications. 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, Page 6 of 9 1>ItAll ROL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN F I DIAL Account Number. N464326161 Go paperless Rated Encellent Ivory Yea, since 2007 OAXSAR RATED COMMUNICATIO116 MINIM= SONY_GM_00049632 DB-SDNY-00 12456 EFTA_00 I 60241 EFTA01291727 Deutsche Asset & Wealth Management PO. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) Dralute Sant Poulevften hia.ziental Mats Core. Child,. Ye* Mani MC Now Wart Cake 345 FM ASS, llith tcr lieslat. PM 10114 PUMA-Mt 0RM 7.84091. Statement Period: 09/01/2015 • 0913012015 Pricing (continued) 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 avagable are marked 'N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic, political, and business conditions, they should not be retied 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 mwtpershing.comThosiness_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 Row. Options Information with respect to concessions and other charges incurred in connection with the execution of option transactions has been inckided in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, a 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 properly and (ii) any other instructions concerning your account Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. Page 7 of 9 Account number. N4O.026161 ostad [...giant Go paperless :tan et We velvilltaCtrean B0097321CSF30024 " MEV MOW OMB .ROI l --4t- "." 0 ./(r11:4 T ( C7C200:47MUNICAT IONS en... u4 ....,..,.w. inn mot SOUTHERN F IIICAL CON F I DAENTIAL "a"' SDW_GM 00049633 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012457 EFTA_OO16O242 EFTA01291728 Important Information and Disclosures (continued) The Role of Pershing (continued) • Inquiries concerning the positions ano balarces 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. • Fix 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 (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 GMs. For more detailed information please visit: vowe.pershing.cortgaboutistrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your fnancial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generaly final and balding; a party's abifty 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 mincray 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 fix 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 (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 I of 9 Account Number 1446.026161 Go Nape less 'Ivory Yarn 'Yew* 2007 rOAL xer innilLarD COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: "HTON F I DAENTIAL • 4 .••••rtaa oes..00 muss. Peru. oftwe. 00C SDW_Cat00049634 DB-SDNY-0012456 EFTA_00160243 EFTA01291729 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(8) TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACLITY, F ANY. WHERE THE TRANSACTIONS ARE EXECUTED ARMOR SETTLED. OR F APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH 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. F SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE 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 TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC ('PERSHNG') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME. IN 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 PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, BLOCK POSRIONER, ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. . IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF R WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVYYY.FERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYNN PERSHING. COMIDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 007(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY MD 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 CAS-I PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SZE 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 ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS AND CCAOIT IONS ME UNACCEPTABLE TO YOU. PLEASE NOTFYPERS-ING IMMEDIATELY IN WRITING SY CERTWED MAIL TO ONE PERSHING PLAZA JERSEY CITY, NJ ors. ATITt LEGAL DEPT Acceuni number N40426161 Go paperless SOUP-ERN r ñ F I DranAL Page 9 of 9 Riled Emollent L very Year Mete 2007 DISBAR RATED COMMUNICATIONS FRC/NANCY t r . .= SDNY_GM_OOO49635 DB-SDNY-0012459 EFTA_00160244 EFTA01291730 Deutsche Asset & Wealth Management P.O. Om 17711, esitinssre. MD 21203 0rals° e Ilana Pr.le wean mamtenno marests Connie G,C,P Child,. Oak Set...W.1.0 /14w1411001,0 ASS. 2•11.11ccr lieslat. PM 10114 II in 45141114. M -40E. Valuation at a Glance Account Number: N4G•026161 Statement Period: 0110112015 - 08/31/2015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 14,940,904.19 1233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 2,115,213.73 ST THOMAS VI 00802 Net SecutiliesIniOut of Account 3,383 998.80 5,867,790.80 Adjusted Previous Account Value 8,324,902.98 8,216,035.25 Dividends. Interest and Other Income 11.086 37 32.186.10 Net Chan e in Portfolio 113 184 40 200 95210 ncling Account Value 4 4 9,1 7 3 7 5 SS 4 4 9 1 7 3 7 5 Your Client Advisor: Estimated Annual Income $112,119.70 DANIEL SAW Asset Allocation Prior Year-End Last Period This Period % enaction L SO Cash Money Funds and Bank Deposts1 233,030.72 2.369.344 18 2.380.430 55 2817% USD Equities 0.00 2.571,560 00 6.068.743 20 7183% Account Total (Pie Chart) 5233,030.72 14,910,901.10 11,119,173.75 100.00% I The Bank Deposes in your account are FDIC Insured bank deposes. FDIC insured bank deposits are not set:viten and are not covered by me Securities Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporabon (FDIC). up to alowable CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Please review your alio:Mice pedalos', wt yaw Clore Advisor. Pagel o18 Rated Cwollen1 A009816SCSF1001, Go paperless Dal t MAY..RA r ra C2ON4OO MUNI CA T DONS CONFIDENTIAL EXCIIIIENC :Tan et Nearbralst=son MODw ornowstue, avenellOu. Ma sin SDNY_GM_000496313 DE-SDNY-0012460 EF1'A_00160245 EFTA01291731 Summary of Gains and Losses Realized Unrealized This Period Year-taDate Short-Term Cordless 0.00 0.00 549.912 59 LontpTerm Gainkoss 0.00 0.00 520.519 52 Net Galatians 0.00 0.00 1,070,432.11 This summary excludes transactions where cost basis information is nol avaiable. FDIC Insured Bank Deposits Date Activity Type °taxi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG028161 Activity Ending: 08131115 08101115 Opening Balance 2,369,344.18 2,389,344.18 08114115 Deposit DEPOSIT 11,024.00 2.380.388.18 08114115 Depotit INTEREST CREDITED 62.37 2,380,430 55 AP( 0.03% 08117115 Assodaled Bank NA 2,380,430.55 NO 08117 $237500.00 Citibank N.A. NO 08117 $237500.00 Compass Bank NO 08117 $5430.55 Deutsche Bank Trsl Co NO 08117 5237500.00 East West Bank NO 08117 $237500.00 First Niagara Bank NO 08117 $237500.00 Flushing Bank NO 08117 $237500.00 NYCommunity Bank NO 08117 $237500.00 Texas Capital Bank NO 08117 $237500.00 TriState Capital Bank NO 08117 $237500.00 Page 2 of 8 ORAB ROLL Account Number. N464281131 Rated excyllent Go paperless SOUTe ERN CVO n CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDENTIAL Every Vann Sint* 2007 0.41.0Aft RATCO COMMUNICATIONS EXCTI ONO1 =Ian et NerrestrOvisteen SDNY_GM_00049637 DB-SDNY-0012461 EFTA_00160246 EFTA01291732 Deutsche Asset & Wealth Management PO. Box 1776, Balbmoro, MD 21203 FDIC Insured Bank Deposits (continued) Date Activity Type °malefic' Gnaw e Sant Prmaie w,.On M..,e••um macau Gonne Comp CelAsOw laalt Mclean w. Now MOS°. 341Parl. Mead, lkhl ter lieslat. PM 10114 P 0/46611111.1133171•4091 Statement Period: Illti0112115 0813112115 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) L non Bank of CA NO 08/17 5237500 00 98131115 Closing Balance Total FDIC Insured Bank Deposits $2,380,430.55 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership thcluding thdividual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. $2 380 30.55 Income and Expense Summary Current Period Taxable Non Taxable Year-to-Dale Taxable Non Taxable Dividend Income Equities Interest Income FDIC Insured Bank Deposits Total Dividends, Interest, Income and Expenses Portfolio Holdings Opening Date Quantity Cash, Money Funds, and Bank Deposits 28.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08101115 2.380.430.550 N46028161 Total FDIC Insured flank Deposits Total Cash, Money Funds, and Bank Deposits Account Number Activity Ending ONAK ROLL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 08131/15 11.024 00 000 32.012.00 000 62.37 0.00 110.10 0.00 $11,018.37 $0.00 $32,10.10 $0.00 °peeing Balers Closing Balance Accrued Income Income BM Year 30-Day Yield Carrent Yield 2.389.340.18 2.380.430 55 29.37 174.10 N/A N/A $2,359,311.18 62,350.43035 $29.37 $174.10 $2,389,344.18 12,350,430.55 $29.37 $114.10 Page 3 of 8 Account A umber. N40.026161 Go paperless 2007 SWFERN F PIA OASOAR ;ATMCOMMUNICATIONS diqF DA.ENTIA L. Mal (NCI ..,- SDNY_GM_00049638 DB-SDNY-00 12462 EFTA_00 160247 EFTA01291733 Portfolio Holdings (continued) Date Acquired Equities 72.00% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cash 10/28113 3 14,000.000 75.5800 1,058,120.50 112.1600 1,578,640.02 520,519.52 2t120.00 1.84% 09105114 3,12 7,200.000 98.9500 712,440_29 112.7600 811,871.97 99.431.68 14,976.00 1.84% 09105114 3.12 32,620.000 98.9500 3,227,750.30 112.7600 3,878,231.21 450,480.91 67,849.60 1.84% Total Covered 63,120.000 4,098,311.09 6,068,743.20 1,070,432.11 111,946.60 Total 63,$20.000 34,998,311.09 $8,088,743.20 31,070,432.11 3111,945.80 Total Common Stocks 34,998,311.09 $6,088,743.20 31,070,432.11 $111,945.60 Total Equities $4,998,311.09 $6,068,743.20 31,070,432.11 $111,945.60 Unrealized Quantity Unit Cost Cost Basis Market Price Market Vales Gain( Loss Estimated Estimated Annual Income Yield Security Idend0er: AAPL CUSP. 037833100 Unrealized Accrued Estimated Cost Basis Markel Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $7,378,741.64 $8,449,173.75 31,070,432.11 30.00 3112,119.70 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing km and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. Messages Although a money market mutual fund seeks to preserve the value of your investment at 31 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 heed 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. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)4nsured 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 https:/Awnv.dws-investments.com/EN/products/money-market4unds-yields.rsp. Please note that alt money market funds listed on the website may not be offered through us. Page of 8 rleissAl ,) Account number N40-026161 Rated excellent tray YIN• 'lento 2007 ()RAU ROL PALMA RARE. COMMUNICATIOhtS SOUTHERN CF ONFID Cli aNaPecir P ?Mal ONO1 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) =la. MS. Velk eat Oriankin 1110••• Intorva0 ••••••rama weir ad, SDNY_GM_00049639 DB-SDNY-0012463 EFTA_00160248 EFTA01291734 Deutsche Asset & Wealth Management PO. Boa 1776. Balbmoro, MD 21203 Gnaw[ liana Poetic. Weallt Ma.zienan Marats Cong. 4,cm, PMUM W Semi Now Wart Mar Ha tar% Ass. Iiithi *Cr liesitat. WI 10114 Inn CA-Mt grAl7.64091. Activity Sum m ary /an amounts shown are in base currency) Credits This Period Debits This Period Net This Period Statement Period:II/0112115 -1813112116 Credits Year.to•Oate Debits Year-to-Date Net Year-to-Dab Seco ti ties Securities De poctel 3.383.998 80 0.00 3,383,998.80 3,383,998.80 3,383,99810 Total Securities $3,313,996.80 $0.00 $3,383,998.80 33,313,998.10 $0.00 33,383,198.80 Dividends and Interest $11,086.37 $0.00 $11,086.37 332,166.10 $0.00 $32,111.10 Cash Deposts 0.00 000 0.00 2,115,213.73 0.00 2,115,213.73 Total Cash $0.00 $0.00 $0.00 $2,115,213.73 30.00 32,115,213.73 FDIC Insured Bank Deposits $0.00 .$11,066.37 -311,086.37 30 .00 -32,117,399.83 -$2,117,391.13 Totals 13,395,085.17 -$11,086.37 $3,313,99810 15,531,398.63 -$2,117,399.83 33,383,998.81 Transactions by Type of Activity Process/ Settler eat Date Activity Type Desaiptioe Quantity Price Awned liters Mont Omelet Securities Withdrawals and Deposits 08/25115 CUSTOMER AUTHORIZED AF'PLE INC COM TRANS FRM N1G-023801 32,620 000 3,383,998.80 USO TRANSFER AAFL Total Securities Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 3,313,991.10 Dividends and Interest 08/13/15 CASH DIVIDEND RECBVEO APPLE INC COM RD 08110 PD 08113/15 DIV@ .52 21200 11,021.00 USO AAPL SHARES 0811/115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 62.37 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 11,086.37 Page 5 of 8 Account umber. II10-026161 Rated IL ...mint IJIMN ROIL Go paperless tOrIZRATEC7C2:4 7MUNICATIONS SO UTI- ERN F 1.1.C. N F I DAENTIAL "Crilnia CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) :Clam etsetroaTa:. 'Orsormain " Met Now. anisna• tam oec SDNY_GM_00049640 DB-SDNY-0012464 EFTA_00160249 EFTA01291735 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Transactions by Type of Activity (continued) Process' Settlement Date Adivity Type Desaiptioa Oaantity Price kissed Interest Amount Currency FDIC Insured Bank Deposits 08114115 FDIC INSURED BANK DEPOSIT INSLRED DEPOSITS PROGRAM .11,021.00 USD USD999997 0811/115 FDIC INSURED BANK IASI-RED DEPOSITS INTEREST REIN VESTED -62.37 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -11,086.37 Total Value of Transactions 0.00 3,383,998.80 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABRA 315 PARK AVENUE, 26TH FLOOR KEW YORK NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OLT Default Method for Stooks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (DID): No Am orize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or canted your °lent Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the 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 "NIA' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE Page 6 of 8 Account Number N4G-026161 Rated excvliont SOUTI- ERN CVO C N F I DAENTIAL, rOAt xtr it : RATCD COMMUNICATIONS 00.10•IROLL GO paperless trosy Yea• 11/K• 2007 maw, SDNY_GM_00019611 DB-SDNY-00 12465 EFTA (H) 160250 EFTA01291736 Deutsche Asset & Wealth Management PO. Boa 1776. Baltimore. MD 21203 Important Information and Disclosures (continued) Dralute Ilan. Poule vften. man, Covent G,Pp CteINN Yak Mani MC. Now *A Mar 341 pct MAMA MTh I *cc Ifeslat, 1011.4 P 0/15•430L 1.114 M4091 Statement Period: 0 8101/2 01 5 • 08131/2015 Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/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 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, indudin the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing Rm. In order to assist your Introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Addlional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the tens 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 automaticaty convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) Will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or is 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 ft 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, tor 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 Pagel of 8 Account Number 114G-026161 Rated [...NM Go paperless ivtra:=c 2007 'CATIONS „1„ 1„1 IL I SO ng4u4 on S I penic •••C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 678; THERN F I DAENTIAL /Marl IINC/ an DB-SDNY-OO12466 DNY_GM_00049642 EFTA_0016025 I EFTA01291737 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 mwtpershing.corn/about/sUength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includin 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-confinned 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 nformation 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 fled. • Arbitration awards are generally final and binding; a parlys abikty 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 clam 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 lass who has not opted out of the class with respect to any claims encompassed by the putative class action until; (1) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page I of 8 Account Number 1140.026161 DINO ROIL Go paperIRSS SOU COUR LL FIDAENTIAL oKI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) TNT Riled Emollord IL ray Van Same 2007 DASOAR RATED COMMUNICATIONS MM wa NakroraILAr ft 0inaMMINIIV SAM SDNY_GM_00049643 DB-SDNY-0012467 EFTA_00160252 EFTA01291738 Deutsche Asset & Wealth Management P.O. Box 1776, Baltimore, MD 21203 Draisre San' Prmaie wean humitenan Matests Connie* COo.p CelAsOw Is* Moo O. mc, Now Wart altar HI FM ASS. 10101 tccr Ms Vat. WI 10114 00101-7•14. OM 21HO% Valuation at a Glance Account Number: N40-026161 Statement Period: 07/0112015 - 07/31/2015 Ibis Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 63,280,074.47 6833,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,748.250.00 2,115,213.73 ST THOMAS VI 00802 Net Secutilies InI0 ut of Account 0.00 2,483,792.00 Adjusted Previous Account Value 5,028,324.47 4,832,038.45 Dividends. Interest and Other Income 29 71 21,099.73 Net Charlie in Portfolio -87 450.00 87.768 00 ndrng Account Value $4,940,904.18 54,940.9011 18 Your Client Advisor: Estimated Annual Income 844.207 73 DANIEL SAM Asset Allocation Prior Year-EM Lad Period Ibis Period % Allocation LSD Cash. Money Funds and Bank Deposits' 233,030.72 821,064.47 2.369.344 18 4795% LSD Equities 0.00 2,859,010 00 2.571.56000 52 05% Account Total (Pie Chart) 6233,030.72 63,980,074.47 64,940,904.18 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered try tne Seamen Investor Protection Corporation (SIPC). These bank deports are covered by the Federal Depose Insurance Corporation (FDIC). up to allowable limits. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Please rev ear Cr.. allxvien peno0ca 7 ky V yc,r C ,er: Ach so! Page lot? CON F I D(EMITAL A0121767C5F10018 Rated excella.nt tray Viper W.C• 2007 OASOAR PAUL, COMMUNICATIONS [Ile/111NC et a rivetwetsTroates" :0• 1 •• ••••• " OWSVO•0101 SDNY_GIS4_00049644 DB-SDNY-0012468 EF1'A_00160253 EFTA01291739 Summary of Gains and Losses Realized thuealized This Period Year-to•Date Shan-Term Gain/Loss 0.00 0.00 160.919 71 Long-Term Gain/Loss 000 0.00 610.079 50 Net Gain/ Loss 0.00 0.00 800,999.21 This summary excludes transactions where cost basis information is not evadable. FDIC Insured Bank Deposits Date Activity Type Dual • ion Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N1G026161 Activity Ending: 07/31115 07101/15 Opening Balance 621,064.47 621,061.17 07106/15 Denali DEPOSIT 1.748.250.00 2.369.314.47 07/15/15 Deposit INTEREST CREDITED 29.71 2,369,341.18 APY 0.03% 07/16/15 Associated Bank NA 2.369,314116 NO 07116 1237500.00 888T NO 07116 1237500.00 Citibank N A. NO 07/16 $231844.18 Deutsche Bank TIM Co NO 07116 $237500.00 East West Bank NO 07116 1237500.00 Huntington National B NO 07116 1237500.00 NY Comm unity Bank NO OH% S237500.00 RBS Citizens PA NO 07116 1237500.00 TriState Capital Bank NO 07116 1237500.00 Umpqua Bank NO 07116 S237500.00 07131/15 Closing Balance 52,369,341.10 Total FDIC Insured Bank Deposits 52,369,341.10 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities tnvestor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Page 2 of? ONAI4 IIOL I CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN CONFIDENTIAL Account Number M.026161 Rated Excellent Go paperless t very Yeas Since 2007 0^1.0M RATED COMMUNICATIONS r)1471111NCI wti are_ SONY_GM_00049645 DB-SDNY-00 12469 EFTA 00160254 EFTA01291740 Deutsche Asset & Wealth Management PO. Boa 1776. BalbmorojAD 21203 Drain Sant Posit Wea•Pt Mamigena2 Marsh Gonne 4,O.P CesbOte Iv* Maori 22, Now Ibrt Mar 311 FM Assn. IiitiMccr liesitat. PM 1004 P0)45141•LIMM-409S Statement Period: 07/01/2015 - 07131/2015 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 20.988.00 000 Interest Incom e FDIC Insured Bank Deposits 29.71 0.00 111.73 0.00 Total Dividends, Interest, Income and Expenses $29.71 $0.00 921,099.73 $0.00 Portfolio Holdings Ao:ount Activity Opening Date Duality Number Ending Opening Beare Closiug Balance Acmes Income Income This Year 30-Day Yield Current Yield Cash, Money Funds, and Bank Deposits 48.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 07/01115 2.369.344.180 N4G026161 07131115 621.064.47 2.369.344.18 35.06 111.73 N/A N/A Total FDIC Insured Bank Deposits 9621,064.47 $2,359,344.18 935.06 $111.73 Total Cash, Money Funds, and Bank Deposits 2621,084.47 $2.369.344.18 $35.06 $111.73 Date Ameired Ouaetity Unit Cost Cop Basis Market Price Market Value Brutalized Gala/ loss Estimated Estimated Annual Income Yield Equities 52.00% of Portfolio Common Stooks APPLE INC CON Dividend Option: Cash 10128113 3 14.000.000 75.5800 1.058.120.50 121.3000 1,698,200.00 640.079.50 29,120.00 1.71% 09105114 3 7,200 000 98.9500 712,440.29 121.3000 813,360.00 160,919.71 14,976.00 1.71% Total Cowered 21,200.000 1,770,580.79 2,571,660.00 $00,999.21 44,098.00 Total 21,200.000 $1,770,5$0.79 $2,671,560.00 $800,999.21 944,096.00 Total Common Stocks $1,770,580.79 92,671,560.00 $800,999.21 $44,098.00 Total Equities 91,770,58 0.79 $2,671,560.00 $800,999.21 944,098.00 Security Identifier: AAPL CL/SIP 037833100 Page 3 oft Account Number. N40.026181 Rated excellent 00A0 Mitt Go paperless I. very Yon Sys* 2007 rOAlr i:Ir COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN C N O NFIDAnTriAEt ettislisselsetare "" OsitZen0•Ittavem. vest...0C. wevesnall. eat. 000 SDNV_GM 00040666 DB-SDNY-0012470 EFTA_00160255 EFTA01291741 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Valve Cain( loss Interest annual Income Total Portfolio Holdings 84,139,904.97 $4,940,904.18 $800,999.21 $0.00 844,207.73 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC”) (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock M a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messages 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 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 hind's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)lnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DINS Investments website at https:/Awnv.dws-investrnents.conVEN/products/moneymarket-funds-yieldspsp. Please note that all money market funds fisted on the website may not be offered through us. Activity Summary (Alf amounts shown ate in base currency) Credits This Period Debits This Period Net This Period Credits Year.to•Date Debits Year-to-Date Net Year•to-Date Dividends and Interest 829.71 $0.00 $29.71 $21,099.73 $0.00 $21,099.73 Cash Deposes 1,748,250.00 000 1,148,250.00 2.115,21313 000 2,115,213.13 Total Cash $1,740,250.00 $0.00 $1,741,250.00 $2,115,213/3 $0.00 $2,115,213.73 FDIC Insured Bank Deposits $0.00 -$1,741,271.11 -$1,748,279.71 $0.00 -$2,138,313.41 -$2,131.313.41 Totals $1140,279.71 .$1,748,27911 $0.00 $2,1311,313.41 -82,136,313.10 00.00 Page 4 otT Account A umber NIG•026161 Riled (Koillent 11.0 123767CSFIC OBAB ROLL Go paperless Lvesry Val, Since 2007 TT A EXC71 (NO1 0At BAR RATCD COMMUNICATIONS SO U F Ctu a . D A 1 CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) TI- ERN F I "EN ....- SDNY_GM_00049647 DB-SDNY-00 12471 EFTA_00160256 EFTA01291742 Deutsche Asset & Wealth Management P.O. Box 1776. 8•16moro, MD 21203 Transactions by Type of Activity Process' Settleme--. Dale Activity T Description Gnaw e Banc Prrnie Wog', Maatenme matins CONWP Gre.e CestsOw Is* Maori mc Now 'Sri Mar 345 FM Memo. l•th • tcr lers'eat. PM 10114 0 in 4,4410. VOSS) 21•409S Ouan Statement Period: 07/01/2015 - 07131/2015 Price Accrued Interest Amount Curren Dividends and Interest 07;15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED DEPOSITS INTEREST RECEIVED 458997996 29.71 USD Total Dividends and Interest • UNITED STATES DOLLAR Cash Withdrawals and Deposits 07/02115 CUSTOMER ALThORIZED TRANS FRM NIG-023801 TRANSFER USD999997 0.00 29.71 1,718,250.00 USD Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR FDIC Insured Bank Deposits 07/08/15 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM UW999997 07/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED DEPOSITS INTEREST REINVESTED /58997996 0.00 1,748,250.00 -1,748,250.00 -29.71 USD USD Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 4710,279.71 Total Value of Transactions The price and quantity displayed may have been rounded. Lao 0.00 use Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10151 Page 5 of I Account Number N40426161 A0123767CSF30018 Go atlas CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 678)tiTHEfirO F I DAnTIAL R ated tuollent L very Yea* Since 2007 Clow:usi RATED COmmumiCaTiONS FXCII IIINCIF Mart= earttalosa tia 4.0•Ve.aeon " ••••• 1~ *tn.," tom. ••••••••••••• int mft, SDW_GA4 00049648 DB-SDNY-0012472 EF1'A_00160257 EFTA01291743 Your Account Information Tax Lot Default Disposition Method Default Method for let utual Funds FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST lk FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (CUD): No Am erne premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account comm unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Olen' Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the secunties 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 "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 resuks. These figures are computed using information from providers believed to be rekable, 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 economic, political, and busness 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 vornipershing.combusiness_continuky.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 wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing fimi in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fairy paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 6 off Account Number. N4O-026161 nI OSA° ROIA Go paperless Inlay Yams Since 2007 SOUTHERN COAL LL . KIF I DEN JAL raAl xer taniftAdCD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) M a rais earretallositt:Stan " MEV MAD. /swat> an.. nay wile sec SDW_Cal_00049649 DB-SDNY-0012473 EFTA_OO16O258 EFTA01291744 Deutsche Asset & Wealth Management P.O.Elm 1776. Baltimore. MD 21203 Important Information and Disclosures (continued) Dralsre San. Pootie wean Ma.ziental Minns C044/4e4.0.1. Chtfthe Sank Sen.orivt Mrs bet 011or 315 Pot Owner. lOth l by Mew In /tY IOVA (21))4!A.M..IISSI 2114I9S Statement Period: 07/0112815 - 07131/2015 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 properly and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses Mound 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 desorption 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: www.pershing.comfabouttstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abibty 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 into has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page loll Account umber. N40.026161 _sr, 'toted tuellent DRAB Pell Go paperless YNte 'rzowirVIMUNICATIONS A CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 676)UTHERh Nic F I D AENTI M a tt we et We velt=treeeen" IIMIV SOW* =pa SDNY_GM_00049650 DB-SDNY-OO12474 EFTA_00160259 EFTA01291745 Deutsche Asset & Wealth Management P.O. Box 1776, Baltimore, MD 21203 Gnaw e San' Poetie vftan ro...menno wrests Core. Gmm. Denim. W Senn% 'c.. New 1104 Mar 345 Fa, /005.0.. l•th • tcr Ms Vat. PM 10114 0 / 0•44101. PM) M4091. Valuation at a Glance Account Number: N4G-026161 Statement Period: 06/0112015 - 06/3012015 This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 13,382,985.68 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 388,963.73 ST THOMAS VI 00802 het Setunfies IniOut of Account 0.00 2,183,792.00 Adjusted Previous Account Value 3,382,985.66 3,083,788.45 Dividends, Interest and Other Income 11 81 21,070.02 175.218.00 K et Chan .e in Portfolio .102.926.00 ndirg Account Value $3 280,074 47 S3 280 074 4' Your Client Advisor: Estan ated Annual Income 511.178 02 DANIEL SAW Asset Allocation Prior l'esrad lad Period This Period % Alication LSD Cash. Money Funds and Bank Deposits+ LSD Equities 233,030.72 0.00 821,019.88 2,781138 00 821.064 47 2.659.010 00 18.93% 8107% Please renew your allocation gent pedalo*/ with your Advisor. Account Total (Pie Chart) $233,030.12 53,382,985.66 53,210,074.17 100.00% 77 .--ip hi\ I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not secunt es and are not covered by me Secant's Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Deposit Issuance Corporabon TOICT up to allowable limits. CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) Page 1 oil Rated (...lent B0097220CSF30023 Go paperless t v•°, Y•• • %° C• 2007 OASIMA RATCD COMMUNICATIONS CONFIDENTIAL %ell 10101 M a ria. elakraraloor ia 0004100.00/VIA•40. •••••••••u0 •0•00.•00. Peat 000 SDNV_GM_00049651 DB-SDNY-0012475 EF1'A_00160260 EFTA01291746