EFTA Document EFTA01455332

PO ea 1775, WA rate 1A3 2IN3 Portfolio Holdings (continued) EURO (continued) DeitiCle W. Mate PlealiliManaterteat onet•CoorapGme Oeristhe I. SetwainInc Nw Vokallto 3411.vb w. ifen F Now *AP. MY 10154 (10)airmn. In% 7.1409%. Market Value Currency 291,846.67 EUR 364 391 25 LSD Statement Period: 08/01/2014 • 0813112014 Acaued Interest Total EURO 0.00 0.00 Unrealized Accrued Estimated Cost Basis Market Value Gain/ loss Interest Annual Income Total Portfolio Holdings - U.S. DOLLARS $96,388,518.56 5104,29,698.69 95,451,017.63 9477,085.73 $3,646,365.03 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ("IRC') (incorporating amendments enacted by P.L110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered" noncovered," under the new cost basis reporting rules, and marked or denoted as such. AU other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered' under the new cost basis reporting rules are defined as securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis wilt be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds. variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 13 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Account Number:_ SO 7PERN FINANCIAL LLC Cso paperless Icy Aend.r OCuvts I rniii NCI Page 11 of 20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0114044 CONFIDENTIAL SDNY_GM_00260228 EFTA01455332