EFTA Document EFTA01291791

15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI0 0 80 2 NOW,. Sank Pointe totallth Many/nevi Minna (Awn* ways ape.... San% Semettmet IOW Yen ClIke 345 P(t A.t.nme. /Os f Yoe Nem vce NY 10314 December 1, 2018 - December 31,2018 Account Number: Portfolio at a Glance ThisPeriod Year-k Date Your Investment Specialist. BEGIN NI NG ACCOUNT VALUE 917,931,001.10 $16,956,877.74 MARTIN ZEMAN Net Cash Deposits and Withdrawals 0 00 .213.072.07 Adjusted Previous Account Value 17,931,001.10 16,713,805.67 Dividends, Interest and Other Income 34 t 0 262229.53 Net Change in Portfolio' -2.081.000.00 -1.149.000.00 DINGACCOUNT VALUE 315.847.035.20 $15,847,035.204 Estimated Annual Income 5292.229.53 'Net Change in Portfolio is the difference between the ending account value and beginning account value (Met activity. The Bank Deposits in your account are FDIC insured bank deposits. FOIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Pilaf Year-End Last Period ThisPeriod 1% Cash, Money Funds, and Bank Deposits 33,877.74 73,001.10 73,035.20 99% Equities 16,923,000.00 17,858,000.00 15,774,000.00 100% Account Total 618,956,877.74 $17,931,001.10 $15,847,035.20 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) At OMICSIMS I • 11.:!1 10. CONFID L- Pateameamt Every Vex Site 2007 DAIJAR WED C0MMUMCATI0NS EXC0ANCt Page . of 9 Omit. Smelt Potting LIC, a wholly owned sulmelMy el Ilie Soak of New York Mellon Cementhan (MY Mellon) Pemba* LLC.inerrtte FIIIRAA141X2P14.1—00049696 DB-SDNY-OO 1252O EFTA_OO1 60305 EFTA01291791 Summary of Gains and Losses Reared Long-Term Gain! Loss Net Gain/ Loss This summary excludes transactions where cost basis information is not available. For Your Information ThisPeriod Veruto•Cnte Used* 0.00 0.00 0.00 -1,207,416.00 0.00 -1,207,416.00 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S. These rates are subject to change in response to market changes, and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDICInsured Bank Deposits Date Adivity Type Descdplion Amount Bate Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: IV 31/ 18 12/01/18 Opening Balance 73,001.10 73,001.10 12/14/18 Deposit INTEREST CREDITED 34.10 73,035.20 A PY 0 55% 12/17/18 Citibank N A 73,035.20 A/ 0 12/ 17 5 730 35 20 12/31/18 Closing Balance 373,035.20 Total FDIC Insured Bank Deposits 373,035.29 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 8250,000 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. Income and Expense Summary Oment Period bustle Non Taxable Yeer4o-Dde Taxable Non Tar* Dividend Income Equities 0.00 0.00 202,00000 0.00 Interest Income FDIC Insured Bank Deposits 34.10 0.00 229.53 0.00 Total Dividends, Interest, Income and Expenses 834.10 30.00 3282,229.53 30.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. CONFIDO. AL- A... Page 2 of 9 Rated ha/6rd (very VON Ars2007 DAWN MUD COMMUNCATIONS EXCIA INC t Owing Inc. holing Ilt. a way said subsidiary as Santa New York Melba Omponthan (MY Maw) Penh...* ac. name, FiliRkftlAttedaGM 00049697 DB-SDNY-0012521 EFTA_00160306 EFTA01291792 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Holdings December 1, 2018 - Decem ber 31, 2018 SOUTHERN FINA NCIA L LLC Accent Adlay Opening Dale Quality Weber Siding °Mad Mena Chung Balance Accrued Income 11.61 leads MeV.* 30.0ey Yield Current Yield CASH, MONEY FUNDS, AND BANK DEPOSITS t00% of Portfolio FDIC Insured Bank Deposits INSURED DEFOSITSPROGRAM 12101/18 73,035.200 NM 12131118 73,001.10 73,035.20 229.53 NIA NM Total FDIC Insured Bank Deposits $73,001.10 $73,035.20 $17.61 $229.53 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,001.10 $73,035.20 $17.61 $229.53 Me Acquired EQUITIES 99.00% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cab Neatly WI Cat Cod Bei Merkel Price Medal Ma thweedzed Odorless Security Identifier AAPL CUSP: 037833130 Estimated Estimated Annual Income Yield 12107117 100.000.000 169.8140 16.981.416.00 157.7400 15.774.000.00 -1,207.416.00 292,000.00 1.85% Total Common Stocks $16 981 416.00 $15 774 000.00 41,207,416.00 $292.000.00 TOTAL EQUITIES $18,981,416.00 $15,774,000.00 41,207,416.00 $292,000.00 Uemaliad Amed Estimated Cod Beds Merkel Value Gag Lose Mired Annual Inoue TOTAL PORTFOLIO HOLDINGS $17,054,451.20 $15,847,035.20 41,207,416.00 50.00 5292,229.53 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost basis will not be reported to the IRS. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 9 Account %rite A: C CI !..5)):21 CONFIDO. AL- Rated Cacellent Every Vex Shwa 1007 DAISM MI ID COMMUNCATICNS EXCLUDa Owing tlwonsh lists PIC a Sally owned subsidiary TM brat New York Mika CoWatim (MY MONO Penhal; MC. 'avian F ildRAWSUGM_OOO49698 DB-SIDNY-0012522 EFTA_00 I 60307 EFTA01291793 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested You will not receive confirmation of these reinvestments Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Please note the following information for Pershing's 20 'IS IRSForm 1099 (B, OIV, INT, M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019 By February 15. you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 1099 mailing You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099 Your 1099 will be mailed no later than M arch 15, 2013. Page 4 of 9 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbe A:CMGS:MS I • LAU. CONFID L_- Rateamant Every Vex Saes 2007 DALY& Gym COMMUMCATICMS Ma LOC C Clang dart hang LI.C, a wholly woad sulmarft of The Sordi of New York Mellon Carponthm MO' Man) Pentmg LIX.rner-ter EitiRtAckliqu:PM_00049699 DB-SDNY-0012523 EFTA_00 160308 EFTA01291794 Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Messages (continued) December 1,2018 - December 31,2018 SOUTHERN FINANCIAL LLC Although a money market mutual fund seeks to preserve the value of your investment at 51 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi /www.dws-investments.com/ EN/ products/ money-market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts shown are In base currency) Credits This Period Debits Disagreed Net lblePakid Credits YeayloiDate Debits YeautoiDate Net YearitoiDate Dividends and Interest $34.10 $0.00 $34.10 $282,229.53 $0.00 $282,229.53 Cash Withdrawals 0.00 0.00 0.00 0.00 -243,072.07 -243,072.07 Total Cash $0.00 $0.00 $0.00 $0.00 4243,072.07 4243.072.07 FDIC Insured Bank Deposits $0.00 434.10 434.10 $243,025.18 4282.182.84 439,157.46 Totals $34.10 434.10 $0.00 $525,254.71 4525,254.71 $0.00 Transactions by Typeof Activity Process' Trade. Settlement Transaction Dale Dete Actiriir Type Description gray Prke Accrued Interest Amount Curren, Dividends and Interest 12117/18 12114/18 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED INSURED DEPOSITS INTEREST CREDITED 34.10 USD Total Dividends and Interest - U S DOLLARS 0.00 34.10 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of 9 Account Number MOM atcencSx:21 CONFID AL- Rated Etcaornt Every Vex Since 2007 MAAR RA TED COMMUNCATIM EXCIAL CNC( Owing Hwang% Pmbing PIC a wally owned subsidiary a The brat a New York Mellon onnentim (eon, Melon) Penne. ux.imman FnintAtiatlYEEP$4_00049700 DB-SDNY-OO12524 EFTA_OO16O3O9 EFTA01291795 Transactions by Type of Activity (continued) Process Trade: Settlement Transadion Date Date Activity Type FDIC Insured Bank Deposits 12117/18 12114/18 FDIC INSURED BANK DEPOSITS INTEREST REINVESTED Dewiption INSURED DEPOSITS INTEREST REINVESTED Total FDIC Insured Bank Deposits-U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Your Invedment Specialist:ZEN MARTIN ZEMAN Quantity Price Aimed loitered Anent Cymric/ 34.10 USD 0.00 -34.10 0.00 0.00 USD Your Account Informati n Contact Inlometion Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annua • No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log In to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number. Page 6 of 9 4 CONFIDO. "AL- Rated Etcdent Every Vex Since 2007 DALBAR RAIEDCOMMUNCATIONS EXCIA CNC( Owing through Amain( Ilt. a Sally owned subsidiary a The brat ar New York Mellon Ccnaatim (OW Melon) Penne. MC. immter Filitactrear 4 t 0000701 DB-SDNY-0012525 EFTA_001603 10 EFTA01291796 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Important Information and Disci su-es December 1,2018 - December 31,2018 SOUTHERN FINANCIAL LLC The Role of Pershing • Pershing carries your account es clearing broker pursuant to a clearing agreement with your financial institution, Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing I1C. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 7 of 9 Account Notting= A: t titC513:2S CONFID Rated (Kant Every Yaw Since2007 DAIJAR WED CONVOCATIONS EX( CUENCC Owing Hwang% Pmbing PIC • Sally owned subsidiary a Thellordtel New York Melba CiMontim (MY Mellon) Penhe. Ac. Mx fititatia 00049702 DB-SDNY-0012526 EFTA_0016031 I EFTA01291797 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (Hi) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399. Page 8 of 9 Account Numbet At 01MCSI,OH CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Waled Exceilent Every Yew Since 1007 DAIL& WED COMMUNICATIONS EMaLOCC Oaring Swett Pegging ISC. • wholly owned subncliwy el me bake. New York Mellon Ceeeneebne (MY Mellon) ..„.„ a a., Penmen lie. twwter filiRnAIM -410-Thl _uOuqu 7u 4 DB-SDNY-00 12527 EFTA 00160312 EFTA01291798 TERMS ANDCONDITIONS TRANSACTORS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY, WHERE THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED COWRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: NTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL 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 NTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE MAnrIATEID WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC ('PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT MY TIME. VVITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST, ODD LOT DEALER. BLOCK POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVO.PERSHING COINDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES IRE-GULATON HMS- RULE 607(A)(1)-(211 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. N ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. BEST EMOTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F /MOE 1NE Ab:NE TERNS AND CCHDITIONSARE UNACCEPTABLE TO YOU. PLEASE NOWT PERS,•40 11.11EDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSNMG PLC.. JERSEY CITY. NJ O)SO. ATM LEGAL DEPT ActouM Number - m CI KM?! CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L Rated tangent Every Yew Since 2007 DALIN, RAT ID COAVALINICATICOS EXCELLENCE Page 9 of 9 Om*. Sae. Penbni LLC, a wholly owned sbsidiarySlings* of New York Mellen Coponthan (MY Melon) Pentn LL C. Me HtienAINIPGPM_0004970.4 DB-SDNY-00 12528 EFTA_00 160313 EFTA01291799 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Detellat Link Private Set.gh Manifests. Kitten COvaare Gmwe open, he ISM ismeSei •If - IOW net Vika. 34$ Perk it.e-se. F Mit November 1, 2018 - November 30,2018 Account Number: SOUTHERN FINANCIAL LLC 6930 RED HOOK QUA RTEFt B3 ST THOM ASVI 0 0 802 Portfolio Glance at a ThisPeri:4 Vear4o-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE $21,886,001.10 516,956,877.74 MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.90 -243,072.07 Adjusted Previous Account Value 21,886,001.10 16,713,805.67 Dividends, Interest and Other Income 73,000 00 282,195.43 Net Change in Portfolio' -4.028.000.00 935.000.00 ENDINGACCOUNT VALUE $17,931,001.19 $17,931,001.10 Estimated Anneal Income 5292.195 43 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC). up to allowable limits. Asset Summary Percent Asset Type Prior Yene-End Last Period ThisPeriod 1% Cash, Money Funds, and Bank Deposits 33,877.74 1.10 73,001.10 99% Equities 16,923,000.00 21,886,000.00 17,858,000.00 100% Account Total $16,956,877.74 $21,886,001.10 $17,931,001.10 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AtOOMMICS CONFIDO. L Rated (Kart Evety Yew Since2007 DAIJAR ltAl ED COMMUNICATIONS EXCELLENCE Page ' of - Owing IMO. Pegging LiC, a wholly owned subsidiary s The bake. New Yak Mellon CS (MY Mellon) am a. ..a.. a a a Penn,* MC. men**. FiliRA30411 11.0-1.4 - —U0047 U5 DB-SDNY-00 12529 EFTA_001 60314. EFTA01291800 Summary of Gains and Losses ReMzett Short-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Information This Period Vetto.Date Unreal* 0.00 0.00 0.00 876,584 00 0.00 876,584.00 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. F- FDIC Insured Bank Deposits Date Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 11! 30! 18 11101!18 Opening Balance 1.10 1.10 11!18!18 Deposit DEPOSIT 73000.00 73,001.10 Deutsche Bank Trst Co A/0 11/16 $73001.13 11130/18 Closing Balance $73,001.10 Total FDICInsured Bank Deposits 873,001.10 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits et each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,0 0 0 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. Description Amount Balance Income and Expense Summary Current Period Taable Non lab* Yam-to-Date Taal* Non Tat* Dividend Income Equities 73,000.00 0.00 282,000.00 0.00 Interest Income FDIC Insured Bank Deposits 0.00 0.00 105.43 0.00 Total Dividends, Interest, Income and Expenses 873,000.00 $0.00 8282,195.43 80.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 7 Accout Number At 0,3 ,333 CONFIDP AL- Rated (Kant Levy Yost Snce 2007 DAIJAR MID) COMMUNCATIONS MCILEW( Owing IMO Pasting PIC • Sally owned subsidiary el The &onkel New York Melba CciPontim (MY Maw) Penne. KC rrwrte FilitkftlAtlYaGM_00042706 DB-SDNY-0012530 EFTA_001603 I 5 EFTA01291801 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings November 1, 2018 - November 30, 2018 SOUTHERN FINANCIA L LLC Amer Activity Opening Date Dumbly Number Biding 00060 Nance Doing Bdince Acaued Income Moms This Year 30-Day Yield Current Yield CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio FDIC Insured Bank Deposits INSURED DEP0STSPR0GRAM 11101/18 73,001.100 NIA 11130118 1.10 73,001.10 18.70 195.43 NM NIA Total FDIC Insured Bank Deposits $1.10 $73,001.10 $18.70 $195.43 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1.10 $73,001.10 $18.70 $195.43 pte Acquked 0banlly EQUITIES 99.00% of Portfolio Common Stocks APPLE INCC0M Dividend Option: Conk 12107117 Total Common Stocks TOTAL EQUITIES UMt Cat Cod Bads Molter Pike Markel Viva thireaiLted Gaierlois 100.000.000 Security IdeatifietAAPL CUSP:03783390 189.8140 16981.418.00 178.5800 618 981 416.00 $18,981,418.00 Cod Bads 17658.000.00 $17,858,000.00 $17,858,000.00 Markel Wks 876,584.00 $878,584.00 $878,584.00 Um realized Gat Lon Accrued lateral Estimated Estimated Annual income Yield 292,000.00 163% $292,000.00 $292,000.00 Ed Wonted Annual Income TOTAL PORTFOLIO HOLDINGS $17,054,417.10 $17,931,001.10 $878,584.00 $0.00 $292,195.43 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B. the cost basis will not be reported to the IRS. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ Page 3 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Aconnt %mix I . 1.41 46. CONFID L O. --- Rattassant Every Yaw Since 2007 DAISM MI ED COMMUNCATICNS EXCULNCI Owing IMO holing PIC a Sally owned subsidiary a The Unit of New York Mellon Canneatimi (MY Melon) Penhe.1,E. nurta nitRAUSIPA_00049707 DB-SDNY-0012531 EFTA_00160316 EFTA01291802 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THEASOF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE Estimated Annual Figures The estimated annual income (EM) and estimated annual yield (MY) 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.comi disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to IN, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smeller number of shares entitled to vote than the number of shares in your margin account. M essage Please note the following information for Pershing's 2018 IRS Form 1099 (B, DIV, INT, M ISC and OID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019. By February 15, you will be mailed either your Form 199 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 151099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 199 will be mailed no later than M arch 15,2019. Page 4 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number CONFIDO. AL- RAS (Kam Every Vow Since 2007 DAMN WED COMMUNICATIONS EX( CIL INC Owing tiwomb Penbog ISC. a %play MVOS sobsidiarft el The &onkel New York Melba Ce•Vembm (MY Melon) Penhnt LLC. interter fildlatiklYmPM_00049708 DB-SDNY-0012532 EFTA_001603 I 7 EFTA01291803 Deutsche Bank P.O Box 1776, Baltimore, MD 212O3 NI essages (continued) November 1,2018 - November 30,2018 5OUTH ERN FINANCIAL LLC Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at tittpsi / www.dws-investments.coml EN! products! money-market-funds-yields:pp Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10D-13( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (Al, amounts snoivn are In base currency) Cudits This Period Debits TbisPetiod Net ThiePerioct Credits Yeako•Date Debits Yeauto•Date Net Year•toDete Dividends and Interest $73,000.00 $0.00 $73,000.00 $282,195.43 $0.00 $282,195.43 Cash Witkdrraah 0.00 0.00 0.00 0.00 -243,072.07 -243,072.07 Total Cash $0.00 $0.00 $0.00 $0.00 4243,072.07 4243,072.07 FDIC Insured Bank Deposits $0.00 473,000.00 473,000.00 $243,025.18 4282,148 54 439,123.36 Totals $73,000.00 473,000.00 $0.00 $525,220.61 4525,220.61 $0.00 Transactions by Typeof Activity Process Settlement Dote Acetyl). Type Description Cluantity Peke Accrued !stunt Amount Content/ Dividends and Interest 11115/18 CASH DIVIDEND RECEIVED V0000 SNRSAPPLE INC C0M RD 1112 PO rift/13 73,000.00 USD AAPL Total Dividends and Interest - U.S. DOLLARS 0.00 73,000.00 FDIC Insured Bank Deposits 11116/18 FDIC INSURED BANK DEPOSIT INSURED DEPOEITSPROGRAll -73,000.00 USD Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 -73,000.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of 7 Account Numbs Att)::EMICS CONFIDO. AL- Paled (Kant Every Vex Since 2007 DAUM WED COMMUNCATIONS EXCULD.0 I Owing Own% Mtn PIC • Sally weed subsidiady The BM.' New York Who Cameatim (MY MN M) POnhal; uc. MInter FIIIRAWALGM_00049709 DEI-SDNY-0012533 EFTA_OO16O3 I 8 EFTA01291804 Transactions by Type of Activity (continued) Process Settlement Ode Adivily Type Description Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Yew Investment Spedalia ZEN MARTIN ZSIAN Your Account I nformati n (Tunny Price Accrued Intend Amount Curing 0.00 0.00 USD Canted hdormstion Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account corn municafions for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. imp^ttan: r rmation and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing ads 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, Page 6 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Accoul Numbe A 3C31 CONFIDO. AL- ANNAssant Every Vex Siao 2007 DAIJAR MUD CONVOCATIONS ICCULD CI Oaring throne. holing PIC a Sally owned ,a.ewytimekmaNewYrkMeta CerPontINI (eNY MAN) Pent•, MC. imurter FiliatiAngLat 00049710 DB-SDNY-0012534 EFTA_0016O319 EFTA01291805 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Import ant Information and Disclosures (continued) November 1,2018 - November 30,2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) it 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 nave any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www pershing coin/ about/ strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows Pershing 11C. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399;-. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding: a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain docum ants. w itness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; - Account IIM •lumbei C AtOOD62 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDO. L Rated taceilent Every Vex Since 2007 DALIAR ItAl ED COMMUNICATIONS EXCEILENC( Page - of Oaring IMO. habit. LLC, a wk oily owned Smear/ of The Sari of New York Mellon Caponthan Ma Melon) ucintirteimianAQInue-IM_00049711 DB-SDNY-00 12535 EFTA_00160320 EFTA01291806 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Menthe Sank Pekin* oVe4010 lisnmenee41 lAkleia Cement wow{ Deem fie Saki Semeliet 114 New Y/11 C4ke 34$ Perk rkeker. fl it raw Nero kil n Pa 10114 October 1,2018 - rtnher 31 201 Account Number: SOUTHERN FINANCIAL LLC 6130 RED HOOK QUARTER B3 ST THOM ASVIO0 802 Portfolio Glance at a TtdsPerlod Year4o-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE $22,647,034.10 516,956,877.74 MARTIN ZEMAN Net Cash Deposits and Withdrawals -73,049.51 -243.072.07 Adjusted Previous Account Value 22,573,964.59 16,713,805.67 Dividends, Interest and Other Income 16 51 209,195.43 Net Change in Portfolio' -668,000.00 4,963,000.00 ENDINGACCOUNT VALUE $21,8813,001.10 $21,888,001.10 Estimated Annual Income 5292.195 43 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Prior Yew-End Last Sled TAD Period 1% Cash, Money Funds, and Bank Deposits 33,877.74 73,034.10 1.10 99% Equities 16,923,000.00 22,574,000.00 21,886,000.00 100% Account Total 518,956,877.74 $22,647,034.10 521,886,001.10 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) A:SS/Mt:20 CONFIDO. L RaleamearM Every Year Slate 2007 DAUM, MUD C0MMUMCATICMS EXCELLENCE Page . ofd Oaring Sae. Paging LiC, a wholly owned subsidiaryMTh* UM, of New York Mellon Cemeabm (MY Melon) Penne. LIX.rrerrter EIHRIANItar"M_00049712 DB-SDNY-00 12536 EFTA 001(10321 EFTA01291807 Summary of Gains and Losses Reared Short-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Informati n Mix Period Torro•Date Unresizad 0.00 0.00 0.00 1,901,584.00 0.00 4,904,584.00 The European Central Bank (the' ECB' ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S These rates are subject to change in response to market changes, and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Date Activity Type Desctiplion Amount fiance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending:10/31(18 09129/18 Opening Balance 73,034.10 73,034.10 10102/18 Withdrawal WITHDRAWAL 43,050.61 -16.51 10102118 Deposit INTEREST POSTED 16.51 0.00 10103/18 Deposit DEPOSIT 1.10 1.10 10116/18 Deutsche Bank Trst Co 1.10 A/0 10/Z S1.10 10131/18 Closing Balance $1.10 Total FDIC Insured Bank Deposits $1.10 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 $250,0 0 0 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. Income and Expense Summary Cement Period Taxable Non Taxabk Ten-to-Die habit Nom Treble Dividend Income Equities 0.00 0.00 209,000.00 0.00 Interest Income FDIC Insured Bank Deposits 16.51 0.00 195.43 0.00 Total Dividends, Interest, Income and Expenses $16.51 $0.00 $209,195.43 $0.00 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 8 Account Number CONFIDO. AL- Paled taceNnt Evay Yaw Since 2007 DALIAN ItAl ED COMMUNICATICNS EX( Owing throbeihnting IIC.• Say owned subsidiary el TM Mita New York Melee CerPntim (MY Meta) Penhat MC. 'newts. F ilitactlYaGM_OOCuign 3 DB-SDNY-0012537 EFTA_00160322 EFTA01291808 Deutsche Bank P.O.Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings October 1, 2018 - October 31, 2013 SOUTHERN FINA N CIA L LLC Admen' ActMty *MIN Opening Dale Quantify Number Biding Balance Closing Balance Accrued Income lumen* ThleYear 30-Day tweet Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED DEFOSITSFROGRAM 09129/18 1.100 NIA 10/31/18 73,034.10 1.10 0.00 195.43 NIA NIA Total FDIC Insured Bank Deposits $73,034.10 St 10 $0.00 $195.43 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,034.10 Date Melted Quantify rid Cast Baia Merlin Price 51 10 Market Value $0.00 Unieallzed Gan, Loss $195.43 Estimated Estimated Annual Income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOM Security Identifier AAPL Dividend Option: Cub CUSP. 03783314 12107/17 100.000.000 Total Common Stocks TOTAL EQUITIES 169.8140 16.981.416.00 $16,981,416.00 $16,981,416.00 Cod Bags 218.8600 21.888.000.00 921,888,000.00 $21,888,000.00 Markel Value 4,904,584.00 $4,904,584.00 $4,904,584.00 Unrealized Oalev Len Accrued MEN $0.00 8292,195.43 292,000.00 1.33% $292.000.00 $292,000.00 Estimated Annual Income TOTAL PORTFOLIO HOLDINGS $18,981,417.10 321,886,001.10 $4,904,584.00 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 9 98. the cost basis will not be reported to the IRS. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ Page 3 of 8 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbe CONFIDO. AL- RalwAssant Cray Vex Since 2007 DAIJAR MUD CONVOCATIONS IKMMCCI Owing thews% Pmbing PIC a slay owned subsItINy e4 The Banta New York Make CflontINI CONY Melee Penn.'s U.C. membe. INRAVAITIELGASI004271 DB-SDNY-00125313 EFTA_00160323 EFTA01291809 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY( figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.com/ disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested You will not receive confirmation of these reinvestments Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S m oney market funds. please visit the DW S Investments website at httpsi www.dws-investorents.com/ EN! products! money-market-funds-yieldsjsp Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares Page 4 of 8 Acmunt Numbe Ate/AMC:20 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- Rfleamearnt Every Vex Siva 1007 DAUM, MUD COMMUNICATIONS EXCEILENCE Owing Sae. exams LI.C, a ebony armed subsidiary*. The bake. New York Mellon emeombm (MY Mellon) Penne. 4C. inure*, FilienAckklYter-40_00049715 DB-SDNY-0012539 EFTA 00160324 EFTA01291810 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Messages (continued) a October t 2018 - October 31,2018 SOUTHERN FINA NCIA L LLC of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b•10( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note that as of November 1,20 19, Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates. A ciR i‘y Su nimay (All amounts shonn arem base Currency) Credits TN% NHS Debits ThisPetkid Net ThIsPereml CreditsTearie-bete DebitsYearici-Dre Net Yew-to-DM, Dividends and Interest $16.51 $0.00 $16.51 $209,195.43 $0.00 $209,195.43 Cash Waltdrawah 0.00 -73,049.51 -73,049.51 0.00 -243,072.07 443,072.01 Total Cash $0.00 473,049.51 473,049.51 $0.00 4243,072.07 4243,072.07 FDIC Insured Bank Deposits $73,034.10 41.10 $73,033.00 $243,025.18 4209,148.54 $33,876.64 Totals $73,050.61 473,050.61 $0.00 $452,220.61 4452,220.61 $0.00 Transactions by Type of Activity Process Settlement Date AdIvIly Type Oesalption Quantity Pike named towed Amount Currency Dividends and Interest I 0102118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 16.51 USD DEPOSITS INTEREST Total Dividends and Interest - U.S. DOLLARS 0.00 16.51 Cash Withdrawals and Deposits 10/02118 CUSTOMER AUTHORIZED TRANS TO -73.019.51 USD Tot al Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 -73,040.51 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 5 of 8 Accotel Number attiliatn CONFIDO. AL- Rated (Kant Emory Yaw Since 2007 DALIIM WED cm...mower* EX( adK( Owing IMO holing PIC 'Sally owned subsidiary as &onkelNew York Mellon Cannatim my mete) Penme• LIS. rnente, Ftheatlimr-at 00049716 DB-SDNY-0012540 EFTA_001 60325 EFTA01291811 Transactions by Type of Activity (continued) Process. Settlement Dete ly Type FDIC Insured Bank Deposits 10/02/18 FDIC INSURED BANK WITHDRAWAL Deuziption INSURED DEPOSITSPROGRAM FULL PRINCIPAL REDEEMED 10/03/18 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM Total FDIC Insured Bank Deposits-U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Your Investment Spedslist: ZEN MARTIN ZEMAN Quantity Price Scatted lateral Amount Oaring 73,034.10 USD -1.10 USD 0.00 73,033.00 0.00 0.00 USD Your Account Informati n Coated leformation Telephone Number TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DEUVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Numbetill... CONFIDP AL- Page 6 of 8 Rated Cadent Every vex Slece 2007 DAIJAR Rolm COMMUNCATICOS EX(QtCNCC Owing through holing PIC. nth* mood subsidiary a TheUnita New York Mellon Carinatim (MY Mellott) Penn.'s 4(. 'mot, FilitagekkaGM 00049717 DB-SDNY-0012541 EFTA_GOI 60326 EFTA01291812 "I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures October 1,2018 - October 312018 SOUTHERN FINANCIAL LLC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders:the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution • Pershing is a member of the Securities Investor Protection Corporation (SIPCO) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit. www pershing corn/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows. Pershing U_C, Legal Department. One Pershing Plaza, Jersey City, New Jersey 0739' Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified: or Account Numbe At .13153MC:20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L-- Raid (ward Every Year Age 1007 DALIMR IM1 ID COMMUNICATICNS EXCISID4a Page 7 of 8 Cans dash hang LI.C, a ally owned subsay of The km of New York Mellon Camonthm (MY Man) Penne. utintirte,EmangNNYLecuM_00049718 DB-SDNY-0012542 EFTA 00160327 EFTA01291813 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 6 of 6 Account Numb., Al 13453.9X :20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Paled tacellent Deming Smelt Plnbn( LIC, a wholly owned Every Vex Slone 2007 sobeklEmy or The UM, of New York Mellon DAUM MI ED COMMle•CATICMS Corponthm MIT Mellon) Mall:NC( Penne. u.c....nrce,HofoAPkfteLGM_00049719 DB-SDNY-00 12543 EFTA 00160328 EFTA01291814 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 ("abut.", NMI ...smote Na, I, MMOttaor04 con et Cenral< 0.08 Onvtithe Ur* Se:Leitei vs( NtW Yeti C4ke 34$ POI L. ,.,. )40 F rear September 1,2018 - September 30,2018 Account Number: Portfolio at a Glance ThisPerisd Teat-Wale Your Investment Specialist. BEGINNING ACCOUNT VALUE MARTIN ZEMAN Net Cash Deposits and Withdrawals 222,836,000 00 000 616,956,877 74 .170.022.56 Adjusted Previous Account Value 22,836,000.00 16,786,855.18 Dividends, Inlerest and Other Income 34.10 209,178.92 Net Change in Portfolio' -169,000.00 5,651,000.00 ENDINGACCOUNT VALUE $22,047,034.10 522,647,034.10 Estimated Annual Income 6292.178.92 Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Prier Year-Bid Lad Paled ThisPeriod 1% Cash, Money Funds, and Bank Deposits 33,877.74 73,000.00 73,034.10 99% Equities 18,923,000.00 22,763,000.00 22,574,000.00 100% Account Total $16,956,877.74 $22.836,000.00 $22,647,034.10 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) At 00;44=02t CONFIDO. L Page ' of 9 RAW ballerd Clewing IMO. Pining LIC, a wholly owned Every Yew Slece 2007 subsidiary as brief New York Mellon DAISAR WED COMMJNCATICOS Corponthal (SW Mellon) nn .. EXCEUENCC Pentww ue mtrytt, FiliRILAWASAA-00 049720 DB-SDNY-00 12544 EFTA_00 160329 EFTA01291815 Summary of Gains and Losses Short-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Information This Pried Yuko•Date UreaNM 0.00 0.90 9.00 5,592,584 00 0.00 5,592,584.00 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Date Adiyity Type Detaiplion Amount Bohm Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 09! 28/ 18 09101/18 Opening Balance 73,000.00 73,000.00 09114/18 Deposit INTEREST CREDITED 34.10 73,034.10 APY 0.55% 09117/18 Deutsche Bank Trst Co 73,034.10 A/0 09/ 17 $73034.10 09128/18 Closinj Balance $73,034.10 Total FDIC Insured Bank Deposits 373,034.10 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 S250,0 0 0 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. Income and Expense Summary Current Period Tense Non Taub,. Year4coDdo Tense Non Taal* Dividend Income Equities 0.00 0.00 209,00000 0.00 Interest Income FDIC Insured Bank Deposits 34.10 0.00 178.92 0.00 Total Dividends, Interest, Income and Expenses 134.10 $0.00 3209,178.92 30.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 9 Accout Note 6. CONFID01 AL- Rated (Kant Every Yaw Since 2007 DAWN WED COMMUNCATIONS EX( Owing tiwonsh ',enlists PIC 'Sally owned subsidiary a The Bonita New York Main CAnnatim (MY Mellon) Penhaitll.c.inerrtag FIIIRAIMUGM_00049721 DB-SDNY-0012545 EFTA_00160330 EFTA01291816 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings September 1, 2018 - September 30,2018 SOUTHERN FINANCIAL LLC Amen' Minty Opening Dale Quay Number Biding Opening Balance (losing Bekaa Acaued Income 15.41 Income TgisYear 30-Day Yield tweet Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEMITSFROGRAM 011/01/18 73,034.100 WA 09128118 73,000.00 73,034.10 171.92 N/A NIA Total FDIC Insured Bank Deposits $73,000.00 373,034.10 315.41 $178.92 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,000.00 873,034.10 $15 41 8178.92 Dale Acq*ed EQUITIES 9 9.0 0% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cub 12107/17 Total Common Stocks TOTAL EQUITIES assay UM Out Col Beds Wad Price Markel Velee Security identifier AAPL CUSP:0378331)0 100.000.000 189.8140 18,981,418.00 225.7400 $16 981 416.00 818,981,416.00 22.574.000.00 322 574,000.00 322,574,000.00 Cod Bads Merkel Value Unrealized Estimated Estimated Gs:ivLoss Annual income Yield 5.592.584.00 $5.592,584.00 $5,592,584.00 Unrealized Get Loss Accrued Mired 292,000.00 129% $292,000.00 8292,000.00 atimated Annual lacome TOTAL PORTFOLIO HOLDINGS $17,054,450.10 322,647,034.10 35,592,584.00 30.00 8292,178.92 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which 1 he securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 99B. the cost basis will not be reported to the IRS. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account !Jumbo Page 3 of 9 A: C:itt:9CO2$ CONFIDO. AL- Rated (Imaged Every Yew Since 2007 DAIL& RAl ED COMMUNICATIONS EXCIMENC( Owing tlwonsh Patti EEC. • wholly owned subskliari a I be Banta New York Melon CiMontim (OW Meta) Penile.; U.C. 'newts. FitikalcititELGM_00049722 DB-SDNY-0012546 EFTA_00160331 EFTA01291817 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY( figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions. they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested You will not receive confirmation of these reinvestments Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts. please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation.Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30.2018. Pershing's net capital of S2.68 billion was 15.25% of aggregatedebit balancesand exceeded the minimum requirements by 52.33 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31.2018. Pershing's net capital of 52.77 billion was 16.37% of aggregate debit balances and exceeded the minimum requirement by 52.43 billion. A copy of the June 30, 2018, Statement of Financial Condition is available at www.pershing.com! statement-of-financial-condition. You may also request a free, printed copy by calling (888) 860-8510 or (201) 413-4200, option 5. Page 4 of 9 Account Numbe CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated Exelent °eery. Smelt Pining LI.C, a ebony owned Every Vex Since 2007 ,toa.y time Sank of New York Mellon DALSAR MUD COMMJMCATICOS Cemonthee (MY Mellon) n . EXCELLENCE Penne. KC nowt., F .YU:PM-00049723 DB-SDNY-00 12547 EFTA_00 I 60337 EFTA01291818 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Messages (continued) September 1, 2018 - Septem ber 30, 2018 SOUTHERN FINA N CIA L LLC 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 DW $ money market funds, please visit the DW S Investments website at httpsl/www.dws-investments.com/ elf products/ money-market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-'D( b)( confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note that as of November 1, 2018, Deutsche Bank AG will no longer be offering fixed rate certificates of deposit through Deutsche Bank AG New York Branch. Your Deutsche Bank Investment Specialist will be able to provide you with information regarding alternative instruments offered by Deutsche Bank AG and its affiliates. A ct iv it y Summary (AU amounts shown mein base twenty) Gelds This Petted Debits This Period Net ThisPoriod Ctenits Year-to-Dale Debits Year-to.Dale Net Yetteate Dividends and Interest $34.10 $0 00 $34.10 6209 178 92 $0.00 $209,178.92 Cash Withdrawals 0.00 0.00 0.00 0.00 470,022.58 470,022.50 Total Cash $0.00 $0.00 $0.00 $0.00 4170,022.58 4170,022.58 FDIC Insured Bank Deposits $0.00 434.10 434.10 $169,991.08 4209,147.44 439,156.36 Totals $34.10 434.10 $0.00 $379,170.00 4379,170.00 $0.00 Transactions by Type Activity of Process/ Settlement Dale AdIvily Type Description Wendy Ma Aoned liters Anent Comm Dividends and Interest 09114/18 FDIC INSURED BANK DEP0SITSINTEREST INSURED DEPOS1TSINTEREST CREDITED 34.10 USD Total Dividends and Interest - U.S. DOLLARS 0.00 34.10 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) Account Number. Page 5 of 9 4 CONFIDO. AL- Rated (Kant Every Vex Since 2007 DAIJAR MOD CONVOCATIONS EX( CLINCI Owing engem Penbing PIC a Sally owned subsidiary e4 TM brat W New York Melba CAS (MY Melon) PeNhe. ue. 'NANA' FilatatlAWYNCTM_00049724 DB-SDNY-0012548 EFTA_00160333 EFTA01291819 Transactions by Type of Activity (continued) Process Settlement Dote Adiyily Type FDIC Insured Bank Deposits 09/14/18 FDIC INS1RED BANK DEPOSTSINTEREST Dewiplion INSURED DEPOSITS INTEREST REINVESTED Total FDIC Insured Bank Deposits-U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Your Instillment Specialist: ZEN MARTIN ZEMAN Quantity Price Ammed tutored Amsted Omexoi .34.10 USD 0.00 -34.10 0.00 0.00 USD Your Account Informati n Contest leformotion Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account corn mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 6 of 9 Atom( Number CONFID AL- Paled (learnt Every Yaw Since 2007 DALIN, WED commumomats EXCIALENCt cant dwo.siMMRLC., wholly owned subsidiary aT e Bonita New York Melba CoPontim (OW MONO Penhat LIX. Filiitalikreatat 00049725 DB-SDNY-OO12549 EFTA_OO16O334 EFTA01291820 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Informwr n and Disc] syes 3eptember 1, 2018 - Septem ber 30, 2018 SOUTHERN FINANCIAL LLC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. 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Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum In which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied, (II) the class is decertified; or CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number Page 7 of 9 4 CONFIDO. AL- A.:, Raltassant Cray Vex Since 2007 DAIJAR MILD CONVOCATIONS LC WINO Owing Swab Penting I1C. • Sally owned subsIelNy el IN UK a New York Mellor. CflocatINI (MY Maw) Penne. MC. immter FINFLAADMYIELGA_CI0049726 DB-SDNY-0012550 EFTA_00160335 EFTA01291821 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; Page 3 of 9 Account Numb. MEW= 0 2t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L Rated Caceilent Every Yew Since 2007 DAIL& ltAl ED COMMLINICATIONS Cita:LUX( Owing tThrthabing LIC, a wholly...toed subsidiary*. The &onkel New York Mellon CorPontim (Nfl Mellon) a a a Penne. MC. nowt,. 1 htI-e-m"—U004 7 47 DB-SDNY-00 12551 EFTA_00 160336 EFTA01291822 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 MOOR 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 CONFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR STATEMENT. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTNG 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 BALANCER: 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 PREVIOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBNED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE 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 PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU N ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. MD PERSHNG MAY IN ITS DISCRETION AT ANY TIME. VVITHOUT 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 REMAINNG 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 UMILITIES 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 W LL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVVW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING COINDISCLOSURES • THIS STATEMENT SHOULD 8E RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 007(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDNG 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 SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTA/N 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 CC AIM IONS ARE UNACCEPTABLE TO YOU. PLEASE NOTE Y PERS-ING IMMEDIATELY IN WRITING BY CERT IF ED MAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTN LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Auctionl Monte CONFIDO. Et,„„v,con AL— Page 9 of 9 Aged CicaNnt Every Vex Since2007 DAIJIAR RATED COMNIUMCATIONS ()call ENEE cow tlwongli Penting PIC a Si* owned subsitlimy a The Bonk of New York Meta CoPonthmo (MY Mellott) Penhe. LLC. newt*/ ia ttiAtreapm_cougna DB-SDNY-0012552 EFTA_00160337 EFTA01291823 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 attentive Cant Private Neagh litonsffiemeffi WNW) Cosernt Wows ow.tum MS Seetrom. M. ice* York Office HS Pen Menace. nth Mot August 1,2018 - Account Number Portfolio at a Glance ThisPerind Year-In-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE MARTIN ZEMAN Net Cash Deposits and Withdrawals 219,029,000.00 0.00 $16,956,877.74 .170.022.56 Adjusted Previous Account Value 19,029,000.00 16,786,855.18 Dividends, Interest and Other Income 73,000 00 209,144.82 Net Change in Portfolio' 3.734.000.00 5,840,000.00 ENDINGACCOUNT VALUE $22,638,000.00 $22,836,000.00 Estimated Annual Income $292.144.82 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type PliOf Yett-End Lad Pitied ltds Period 1% Casn,Money Funds, and Bank Deposits 33,877.74 0.00 73,000.00 99% Equities 16,923,000.00 19,029,000.00 22,763,000.00 100% Account Total $16,956,877.74 $19,029,000.00 $22.836,000.00 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) AZ002=47:31) CONFID L Rated tacedlent Every Vex Saco 2007 DAIJARRMEDCOMMUMCATICMS EXallENCt Page ' of Omaire Sae. hakes ISC, a ebony owned waver/ of The an New York Mellon Corporation Me Melon) Pernle. unienAcAtfluuLGM_00049729 DB-SDNY-00 12553 EFTA_OO 160338 EFTA01291824 Summary of Gains and Losses Rested Short-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Information ThisPeded Yetto.0ale Unrealized 0.00 0.00 9.00 5,781,584.00 0.00 5,781,584.00 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 199 and/ or 1042 S. These rates are subject to change in response to market changes, and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Date Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 0813V 18 08/01118 Opening Balance 0.00 0.00 08/17118 Deposit DEPOSIT 73,000.00 73,000.00 08/31/18 Closing Balance 173.000.00 Total FDIC Insured Bank Deposits $73,000.00 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 8250,000 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. Desaiplion Amount Savo Income and Expense Summary Current Period hates Non Tates Year.to•Date Taxable Non Text, Dividend Income Equities 73,000.00 0.00 209,000.00 0.00 Interest Income FDIC Insured Bank Deposits 0.00 0.00 144.82 0.00 Total Dividends, Interest, Income and Expenses $73,000.00 $0.00 8209,144.82 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 7 Account Number CONFID AL- Rated (want Evay Yaw Since 2007 man MUD COMMUNICATICNS EXCIA LEW t Owing linnet ',enlists Ilt. a Si* CMOS subsidiary a The Bonita New York Mete CASs (IIPIY Mellon) Penile. MC. newt,/ fititactitELM_ 00049730 DB-SDNY-0012554 EFTA_00160339 EFTA01291825 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Holdings August 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC Amen' Adidly Opening Dale Otientily Number Biding Opening Chung Balance Acaued Income Income TbleYeet 30-Dey Yield Cornet Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTSPROGRAM 08101/18 73,000.000 WA 08131118 0.00 73,000.00 19.80 144.82 NIA NIA Total FDIC Insured Bank Deposits $0.00 873,000.00 $19.80 8144.82 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 80.00 573,000 00 319.80 8144.82 DeleAcqdred Welly EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA Dividend Option: Cub Mad Cod Begs Merkel Price Security Ideetifier AA PL CUSP:037833100 Market Value Unrealized Estimated Estimated Wnr Loss Annual income Yield 12107/17 100 000 000 109 8140 16 981 416 00 227.6300 22 763 000 00 5 781 584 00 292 000 00 126% Total Common Stocks 878,981,416.00 322 763,000.00 85,781,584.00 8292 000.00 TOTAL EQUITIES $16,981.416 00 Cod Beds 322,763,000.00 Merkel Value 85,781,584.00 Unrealized dal Loss Accrued Mired $292,000.00 alienated Annual Income TOTAL PORTFOLIO HOLDINGS $17,054,418.00 $22,838,000.00 0,781,584.00 $0.00 $292,144.82 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost basis will not be reported to the IRS. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account !Cumin CONFID AL- A: Page 3 of 7 Raid Cacellent Every Yew Age 2007 DAISAR M ED COMMUNICATIONS EXCIUDICE Chains tlwong% MOM. EEC. orb* owned subsidiary e4 TM Bonita New York Melee Colneatim (MY Melon) Penn.'s MC. myna, FilitactreaGl it 00049731 DB-SDNY-0012555 EFTA_00160340 EFTA01291826 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however. no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested You will not receive confirmation of these reinvestments Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation.Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10 ( b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Customer Collateral Account Under Securities Account ControlAgreement. Page 4 of CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number At 0:21K91:31) CONFIDOWAL4 Rated Emelent Owing Sae. Periling LI.C, a .dairy owned Every Vest Sect 2007 subeielMy of The Sank of New York Mellon DAUM Glen C0MMUMCATICMS Ceepontim (MY Mellon) nm . CIC0AENC( Penmets LIX. awat.' FilienAlAMYLIPA-00049732 DB-SDNY-00 12556 EFTA_001 603411 EFTA01291827 Deutsche Bank P.0 Box 1 7 76, Baltimore, MD 21203 Messages (continued) August 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi www.dws-investments.com/ EN! products/ money-m arket-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts shown are m oase currency) Cleat:ibisWM Oaks Tbis Ptilod Net litsPeriou treats Ttario-DMI Debits Towle-CI& Net Yew-lo-Date Dividends and Interest 573,000.00 $0.00 $73,000.00 $209,144.82 $0.00 $209.144.82 Cash Withdrwals 0.00 0.00 0.00 0.00 -170,022.58 -170,022.58 Total Cash $0.00 $0.00 $0.00 $0.00 4170,022.58 4170,022.56 FDIC Insured Bank Deposits $0.00 473,000.00 473,000.00 $169,991.08 4209,113.34 439,122.28 Totals $73,000.00 473,000.00 $0.00 $379,135.90 4379,135.90 $0.00 Transactions by Type of Activity Process Settlement Date Acridly Type Dividends and Interest 08118/18 CASH DIVIDEND RECEIVED AAPL Total Dividends and Interest- U.S. DOLLARS 0.00 73,000.00 FDIC Insured Bank Deposits 08/17118 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -73,000.00 USD Description OuestIty Ala Accrued littered Amount Currency D0000 SNRSAPPLE INC COM RD 08113 ED 084111 73,000.00 USD Total FDIC Insured Bank Deposits - U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0.00 -73.000.00 Account Numbering= A: 0.00 0.00 USD Page 5 of 7 CONFID Paled brae. Every Yea Shwa 2007 DAIJAR PA1ED COMNILRICATICOS EXCClLCNCC Owing IMO Pasting LLC a wholly owned subsidiary e4 The MK a New York Mello, Cnontim tow Melba) Penhat LIX. fititatikkaGM_00049733 DB-SDNY-0012557 EF1'A_00160342 EFTA01291828 Client Service Information Your Investment Specialist ZEN Contact IIremotion Telephone Number: MARTIN ZEMAN Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC D EUVERY You have not selected any account corn mu nications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment Specialist for more information. Important Information and Disclosures The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.corni about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Page 6 of 7 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Account Number: aaaaaaaaaaae At 0::12CSTM) CONFIDO. AL- Rated (warm Every Yaw Sat 2007 DAWN WED commumcmiotas MULE/4C( Owing tlwonsh Penbing PIC a Sally owned subsidiary a The Bonita New York Melba COW•th201 (MY Mellon) Penn.'s MC. 'smite. FiliRkftiAtiligiat00049734 DB-SDNY-0012558 EFTA_00160343 EFTA01291829 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) August 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC The Role of Pershing (continued) • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows. Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399 Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents,witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • 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 LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until. (I) the class certification is denied: (II) the class is decertified. or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows. Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Numbs At 0023M:0S • kj4 I AL- CONFIDO Mid tacellent Every Yew Since 2007 DAUM RAl ID COMMLINICATIONS MU MCC Page • of Clewing Sae. hrtng LLC, a wholly owned 'obedient Ilie &onkel New York Mellon Corponthan (MY Mellon) Penn.. u.C, immta filttaktitS-Al_00049735 DB-SDNY-00 12559 EFTA_0016034 EFTA01291830 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 Your Investment Specialist. MARTIN ZEMAN Ottettite Sank RIM* OVeSth lan•gen.PWI waMn Ceonage Grout Ditettchellaffi Semettbet we New Yen Ciftte 345 fark A.nue. )40 I July 1, 2018 - July 31, 2018 Account Number Portfolio at a Glance ThisPeri:4 Year4o-Dale BEGINNING ACCOUNT VALUE Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income Net Change in Portfolio' ENDINGACCOUNTVAWE Estimated Anneal Income Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. $18,584,029.10 •73.052.21 18,510,976.89 23 11 518,000.00 $19,021M00.00 $292.144.82 $16,956,877.74 ,170,022.55 16,786,855.18 136,144.82 2.106,000 00 $19 020,000.00, The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Aerial Type Prior Yeat-End Last Period ThisPeriod 100% Equities 16,923,000.00 18,511,000.00 19,029,000.00 0% Cash, Money Funds, and Bank Deposits 33,877.74 73,029.10 0.00 100% Account Total $16,956,811.74 $18,584,029.10 919,029,000.00 Please review your allocation periodically with your Investment Specialist. Your Account is 100% invested in Equities. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) At397$1910:20 CONFID L Rated Emearnt Every Vow Since 2007 DALIN, WED COMMUMCATICMS [acaLENCC Page . of a Oaring thane. hakes IA( a wbolly owned sulmelMy el TM Snake. New York Mellon Corporation (MY Mellon) Penh...* LIX. writer FiliRA5141t2Pm_00049736 DB-SDNY-00 12560 EFTA_001160345 EFTA01291831 Summary of Gains and Losses Rated This Period Vetta•Date Uweaitad Short-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Information 0.00 0.00 9.00 2,047,584.00 0.00 2,047,584.00 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S. These rates are subject to change in response to market changes, and we may. in the luture and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Date Activity Type Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 07/ 31118 06130/18 Opening Balance 73,029.10 73,029.10 07109/18 W ithdrawal WITHDRAWAL 43,052.21 43.11 07109/18 Deposit INTEREST POSTED 13.11 0.00 07/31/18 Closing Balance $0.00 Total FDIC Insured Bank Deposits $0.00 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 sell directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Detaiplion Amount Balance Income and Expense S./ 1lMa y tweet Puled Tootle Non Taxable YeaptchDda Tenth Noe Taxable Dividend Income Equities 0.00 0.00 136,000.00 0.00 Interest Income FDIC Insured Bank Deposits 23.11 0.00 144.82 0.00 Total Dividends, Interest, Income and Expenses $23.11 $0.00 $138,144.82 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 8 Acccent %meet „:„.20 CONFIDO. AL- Paled Cacelent Every Y03/ Shwa 2007 DAIJOJI ltAl ID COMMUNCATICOS EXCOAENC( Owing tlwonsh hat Ilt. a Ida/ arced subsidiary e4 The Bonita New York Mellon CoWatim (MY Mellon) Penn.* MC. 'newt« FiliatlAtta 00049737 DB-SDNY-0012561 EFTA_00 160346 EFTA01291832 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Portfolio Holdings July 1, 20 18 - July 31, 20 18 SOUTH ERN FINA N CIA L LLC Account Acridly Opening Dale Quantity Number Biding CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPDSITSPROGRAM 06130/18 NIA 07131118 Total FDIC Insured Bank Deposits TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS Date Acquired Casentily IWI Cs EQUITIES 100.00% of Portfolio Common Stocks APPLE INC COM Dividend Option: Cash 12107/17 100.000.000 Total Common Stocks TOTAL EQUITIES Cod One lAatket Price Opening Balance Closing Bain 73,020.10 0.00 $73,029.10 $0.00 $0.00 $144.82 $73,029.10 $0.00 $0.00 $144.82 LInmalized Market Value Gein, Loss Banality Identifier AAPi. CUSP:037833110 169.8140 16.981.416.00 1901900 19,029,000.00 $16,981,416.00 $19,029,000.00 $16,981,416.00 $19,029,000.00 Cod Bads Markel Value 2,047,584.00 $2,047,584.00 $2,047,584.00 Unrealized Oat Lose Accrued NUN 50.00 8292,144.82 Accrued Mame Mame Meyers 30.Oay Current Yield Yield 0.00 14412 NIA NIA Estimated Estimated AnnualIncome Yield 292,000.00 153% $292.000.00 $292,000.00 Estimated Annual income TOTAL PORTFOLIO HOLDINGS $18,981,416.00 $19,029,000.00 $2,047,584.00 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as 'noncovered'. Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities ere disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 1099B, the cost basis will not be reported to the IRS. P rtf li H Wings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 8 Account Numbe A;:ii79fl:23 CONFID AL- Rated (Kant Every Vex Since 2007 DALIAN WED C0MMUNCATIONS MULE/4a Owing tlwonsh holing PIC a Sally craned subsidiary e4 The Bonita New York Melba Cc•Inatim (OW Mellott) Penn.'s MC. 'newt« FilitatiAttearAt 00049738 DB-SDNY-0012562 EFTA_00160347 EFTA01291833 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICEDATEONLY APPEARSW HEN THE PRICEDATEDOESNOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time. and may be affected by current and future economic. political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities. interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested You will not receive confirmation of these reinvestments Upon written request to your financial institution, information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation.Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate w ill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Messages Although a money market mutual fund seeks to preserve the value of your investment at S1per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule in b-10(b)( t) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). Page 4 of 8 Account Numbe CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L-- Rated taceilent Every Vex Since 1007 DAUM ltAl ED COMMUNCATIM (MUM( Owing iThel habeg LI.C, a wholly owned smaller/ el The Sank of New York Mellon Cannatim (111a Mellon) a a„.. a fl an Pemba* LIX. merrta 2IS-C-1^ 1 -v 004 7" DB-SDNY-00 12563 EFTA_OOI 603,18 EFTA01291834 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Messages (continued) July 1,20 18 - July 31,2018 SOUTHERN FINANCIAL LLC For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi!www.dws-investments.corni EN! products! money-market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Activity Summary (AO amounts shown atom base currency) OEMs ThisPeriod DebfteThIsPerlod Net ThkPerkicl CrectiteYear4o•DrAe DelikeYeer4o•Cate Net Yer4o•Date Dividends and Interest 523.11 50.00 $23.11 5136,144.82 $0.00 $136,144.82 Cash Withdrawals 0.00 -73,052.21 -73,052.21 0.00 -170,022.56 -170,022.56 Total Cash $0.00 473,052.21 473,052.21 $0.00 4170,022.56 4170.022.56 FDIC Insured Bank Deposits $73,029.10 $0.00 $73,029.10 $169,991.08 4136,113.34 $33,677.74 Totals $73,052.21 473,052.21 $0.00 $306,135.90 4306,135.90 $0.00 Transactions by Type of Activity Process Settlement Date Dividends and Interest 07109118 FDIC INSURED BANK DEPOSITS INTEREST RECEIVED Activity Type Description Quantity Fda Mowed haute Anent Currency INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED Total Dividends and Interest - U.S. DOLLARS Cash Withdrawals and Deposits 07/09118 CUSTOMER AUTHORIZED TRANSFER 23.11 USD TRANS TO N4G.023804 Total Cash Withdrawals and Deposits -U.S. DOLLARS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Account %Hoe 0.00 23.11 -73,052.21 USD 0.00 -73.052.21 Page 5 of 8 CONFIDgi AL- heed Casket 6try Yew Age2007 DA UM RAI ID COMMUNICATIMS EXCatENCE Owing tlwonsh Pen PIC. • wholly armed subsidiary *Me Banta New York Melba Cc•Pontim (MY Meta) Pe Mw tic. 'newt« FitakitklYtePA1_00049740 DB-SDNY-0012564 EFTA_00160349 EFTA01291835 Transactions by Type of Activity (continued) Protest) Settlement Dote *aidsType FDIC Insured Bank Deposits 07/09/18 FDIC INSURED BANK WITHDRAWAL Description INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEMED Total FDIC Insured Bank Deposits - U.S. DOLLARS Total Value of Transactions The price and quantity displayed may have been rounded. Client Service Information Guenter Price Awned mud Amulet Currency 73,029.10 USO 0.00 73.029.10 0.00 0.00 USD Your Investment Specielitt:ZEM Contact totormation MARTIN ZEMAN Your Account Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for Mutual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Plan: First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DEUVERY You have not selected any account com mu nications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Atom' Number. CONFIDO. L '— L1:697533110:20 Page 6 of 8 Reed Etcaornt (wry Vex S.K. 2007 DMUS RAT ED COMNIUNCATIONS EXCELLING( owing (Inch hobos ISC.• %play owned subsiehis ot 1St SSE of New York Meica istittstiti (IINY Meta) Penis*. MC. merrier Fidlaaktigsseit_00049741 DB-SDNY-0012565 EFTA_OO16O35O EFTA01291836 I 5 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures July 12018 - July 31,2018 SOUTHERN FINANCIAL LLC The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable'. the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution • Pershing is a member of the Securities Investor Protection Corporation (SIPCO) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit. www pershing corn/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows Pershing LLC. Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413.3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitratorswho were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class w ith respect to any claims encompassed by the putative class action until. (I) the class certification is denied; (II) the class is decertified, or Page 7 of 8 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. Anit7S1910:20 CONFIDO. L Rated hceilent Every Vex Since 2007 DALIAR WED COMMUNCATIM EX( C cn& tinge. Pagan. LIC a .lolly owned subsdiarni Ilie Simko. New Yoek Carpontim Mellon) Penne. ut, f toznA(41 ympM_00049742 DB-SDNY-00 12566 EFTA_00160351 EFTA01291837 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (Iii) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page? of a Account Number AI 39753910:23 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L Med Carelent Every Year Shea 2007 DALIAR RATED COMMUNICATICMS EXCISING Owing Sae. habeg 1.1.C, a ebony owned subekhady of The bake. New Vo4 Ceeponthee (MY Mellon) Perftre. LIJC. ',wrote. filiRIAPWELGM_00049743 DB-SDNY-00 12567 EFTA_00 160352 EFTA01291838 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 0.4A“Ite Ourit PtIsate N,ala 4MPete. VI inet c.n.n. 6,0.; P.m.,. Sank S•ctrollin. Inc -.Tort Mr MES Part SSA,. Maas June 1, 20 18 - June 30 20 18 Account Number: SOUTHERN FINANCIAL LLC 6130 RED HOOK QUARTER B3 ST THOM ASMI 0 0 0 2 Portfolio Glance at a ThIsPerind Thar4o-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE 518360,001.20 516,956,877.74 JOSHUA SHOSHAN Nel Cash Deposits and Withdrawals HO 46,970.35 Adjusted Previous Account Value 18,760,001.20 16,859,907.39 Dividends, Interest and Other Income 27.90 136,121.71 Net Change in Portfolio' -176,000.00 1,588,000.00 ENDINGACCOUNT VALUE $18,584,029.10 $18,584,029.10, Estimated Annual Income $292.121.71 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposit Insurance Corporation (FDIC), up to allowable limits. Asset Summary Percent Asset Type Mot Yea-End Led Period This Period 1% Cash, Money Funds, and Bank Deposits 33,877.74 73,001.20 73,029.10 99% Equities 16,923,000.00 18687,000.00 18,511,000.00 100% Account Total $16,956.877.74 $18,760,001.20 $18,584,029.10 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) nomono2s CONFID I • L- Pateamant EveryVex Since 1007 DAISMI WED COMMLWATIONS MULE/4C( Page ' of 9 Clang Mash hang LI.C, a ally woad sulmarft of The Sordi of New York Mellon Corponthm MO' Man) Pentn..U.C.Intrrtei moznO111YLernM_00049744 DB-SDNY-OO 12568 EFTA_DO 160353 EFTA01291839 Summary of Gains and Losses Reeked Short-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Information This Period Yetto•Date Unrealized 0.00 0.00 9.00 1,529,584.00 0.00 1,529,584.00 The European Central Bank (the' ECB' ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 1099 and/ or 1042 S. These rates are subject to change in response to market changes, and we may. in the future and based on our normal interest rate setting arrangements, begin to charge negative interest rates on additional foreign currency balances. FDIC Insured Bank Deposits Dale Adiray Type Descuplion Amount Uwe Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 06129/18 06/01/18 Opening Balance 73,001.20 73,001.20 06115/18 Deposit INTEREST CREDITED 27.90 73,029.10 A PY 0 45% 06118/18 Citibank N A 73,029.10 A/ 0 06/ 18 S73029 10 06/29/18 Closing Balance $73,029.10 Total FDIC Insured Bank Deposits $73,029.19 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 S250,000 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. Income and Expense Summary Current Period Taxatle Non Taxable Yew-re-Date Tittle Hon Taxable Dividend Income Equities 0.00 0.00 136,00000 0.00 Interest Income FDIC Insured Bank Deposits 27.90 0.00 121.71 0.00 Total Dividends, Interest, Income end Expenses $27.90 $0.00 8138,121.71 90.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 2 of 9 Atom( Numbe CONFID L4 Rated Cadent Every Yaw Since 2007 DAIJAR RAI ID COMMUNCATICNS EX( CI LEW ( Owing IMO Pent/n.11( a Sally owned subsidiary el The Unit of New York Melba CAS (MY Meta) U.C.inerrter FiliatAtlierolt 00049745 DB-SDNY-0012569 EFTA_00160354 EFTA01291840