EFTA Document EFTA01470592

Account Number: Statement Period: 08/01/2014 - 08/31/2014 SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Valuation at a Glance Beginning Account Value Net Cash Deposits and Withdrawals Adjusted Previous Account Value Dividends, Interest and Other Income Net Other Activity Net Change in Portfolio Your Client Advisor: TAZIA SMITH (212) Commission Amount: $29,737.57 Ending Account Value Estimated Annual Income This Period $103,635,665.44 -273,000.00 103,362,665.44 439,623.39 0.00 417,409.86 $104,219,698.69 $3,646,365.03 Year-to-Date $90,573,050.28 9,837,542.15 100,410,592.43 2,417,791.02 -54.00 1,391,369.24 $104,219,698.69 Asset Allocation USD Cash, Money Funds, and Bank Deposits USD Fixed Income Non-USD Fixed Income USD Equities Non-USD Equities Non-USD Cash, Money Funds, and Bank Deposits Other Account Total (Pie Chart) Prior Year-End 18,295,949.71 27,736,972.38 10,227,309.46 30,410,519.65 3,137,192.74 EFTA01470592 402,106.34 363,000.00 $90,573,050.28 Last Period 30,329,970.74 23,923,091.06 7,759,787.00 41,232,354.98 0.00 390,461.66 0.00 $103,635,665.44 See the Asset Allocation Disclosure and Footnotes section for important information regarding your Asset Allocation. 34,850,094.30 19,591,460.64 7,722,321.25 38,644,087.25 3,027,344.00 384,391.25 0.00 This Period % Allocation 33.44% 18.80% 7.41% 37.08% 2.90% 0.37% 0.00% $104,219,698.69 100.00% Please review your allocation. Assets of less than 1% of holdings will not display on this pie chart. Page 1 of 20 60097252CSF30015 EFTA01470593 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data All values are displayed in U.S. dollars based on interbank exchange rates as of 08/31/2014. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Short-Term Gain/Loss Realized This Period 1,980.38 Long-Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis information is not available. Exchange Rate Table Currency EURO USD Equivalent 1.3171 Currency per USD 0.7592 Exchange rates are based on interbank exchange rates as of 08/31/2014. Exchange rates can vary. Money Market Fund Detail Date Activity Type Sweep Money Market Fund DWS GOVERNMENT CASH INSTL Account Number: 0000001490 Current Yield: 0.03% Activity Ending: 08/29/14 08/01/14 08/01/14 08/05/14 08/06/14 08/08/14 08/12/14 08/14/14 08/18/14 08/19/14 08/22/14 08/26/14 08/29/14 08/29/14 08/29/14 Opening Balance Deposit Deposit Deposit Withdrawal Deposit EFTA01470594 Withdrawal Deposit Deposit Deposit Deposit Deposit Deposit Closing Balance Total All Money Market Funds B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND REDEMPTION MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE MONEY FUND PURCHASE INCOME REINVEST 30,324,169.54 5,801.20 2,093,750.00 261,889.92 -534,873.02 82,091.18 -266,420.00 165,481.29 82,431.92 83,418.63 30,618.92 86,404.83 815.62 30,324,169.54 30,329,970.74 32,423,720.74 32,685,610.66 32,150,737.64 32,232,828.82 31,966,408.82 32,131,890.11 32,214,322.03 32,297,740.66 32,328,359.58 32,414,764.41 32,415,580.03 $32,415,580.03 EFTA01470595 $32,415,580.03 Page 2 of 20 Description Global Cash Currency EURO Total Global Cash Balance Closing Balance 291,846.67 -2,611,813.65 -2,609,833.27 Year-to-Date 18,212.90 -7,029,061.12 -7,010,848.22 Unrealized 2,733,326.04 2,717,691.59 5,451,017.63 Amount in Base Currency USD 384,391.25 $384,391.25 Amount Balance EFTA01470596 Statement Period: 08/01/2014 - 08/31/2014 Income and Expense Summary Dividend Income Equities Money Market Other Dividends Interest Income Bond Interest FDIC Insured Bank Deposits Other Interest Total Dividends, Interest, Income and Expenses Distributions Alternative Investments Other Distributions Total Distributions Portfolio Holdings U.S. DOLLARS Opening Date Money Market DWS GOVERNMENT CASH INSTL 08/01/14 Total Money Market FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08/01/14 Total FDIC Insured Bank Deposits Total Cash, Money Funds, and Bank Deposits N4G023804 08/29/14 32,415,580.030 0000001490 08/29/14 30,324,169.54 $30,324,169.54 0.00 $0.00 $30,329,970.74 32,415,580.03 $32,415,580.03 0.00 $0.00 $34,850,094.30 26.65 $26.65 0.00 $0.00 $26.65 3,587.45 $3,587.45 2,691.15 $2,691.15 $6,278.60 EFTA01470597 Page 3 of 20 B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC N/A N/A 0.03% 0.03% Quantity Account Number Cash, Money Funds, and Bank Deposits Cash Balance Activity Ending Opening Balance 5,801.20 Closing Balance 2,434,514.27 Accrued Income Income This Year 30-Day Yield Current Yield Current Period Taxable 116,336 25 815.62 93,750.00 67,044.26 0.00 40,625.04 $318,571.17 0.00 0.00 $0.00 Year-to-Date Non Taxable 0.00 0.00 0.00 0.00 0.00 0.00 $0.00 121,052.22 EFTA01470598 21,174.66 $142,226.88 Taxable 468,457.23 3,587.45 499,005.20 695,861.21 2,691.15 121,875.12 $1,791,477 36 0.00 0.00 $0.00 Non Taxable 0.00 0.00 0.00 0.00 0.00 0.00 $0.00 626,313.66 488,230.19 $1,114,543 85 EFTA01470599 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Fixed Income (In Maturity Date Sequence) 6Asset Backed Securities COUNTRYWIDE HOME LOANS SER 03-1 CL B1 4.090% 03/25/33 B/E DTD 01/30/03 Factor: 0.23181744 Effective Date:08/01/14 Current Face Value: 1,043,178.480 12/13/13 *,3,12 4,500,000.000 Unit Cost Adjusted Cost Basis Market Price Market Value Unrealized Gain/Loss Accrued Interest Estimated Annual Income Estimated Yield Security Identifier: 12669DYS1 93.3760 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972% 07/25/33 B/E DTD 06/01/04 S & P Rating D Factor: 0.57776879 Effective Date:08/01/14 Current Face Value: 745,321.739 12/13/13 *,3,12 1,290,000.000 Total Asset Backed Securities 5,790,000.000 Total Current Face Value: 1,788,500.219 Corporate Bonds JPMORGAN CHASE & CO MEDIUM TERM NTS CAPPED CONTINGENT BUFFERED EQUITY NTS 0.000% 10/16/14 B/E DTD 09/27/13 12/05/13 *,3,12 1,000,000.000 100.0000 PETROLEOS DE VENEZUELA NOTES SENIOR ISIN#XS0460546525 5.000% 10/28/15 REG DTD 10/28/09 S & P Rating B+ 12/04/13 *,3,12 2,500,000.000 Security Identifier: 48126NVE4 EFTA01470600 1,000,000.00 105.0400 Original Cost Basis: $1,000,000.00 Security Identifier: P7807HAF2 93.6050 HEADWATERS INC GTD SR NT 7.625% 04/01/19 B/E DTD 03/11/11 CALLABLE 04/01/15 @ 103.813 Moody Rating B2 S & P Rating B+ 10/22/12 *,12,13 1,000,000.000 102.1670 EARTHLINK INC GTD SR NT FULLY EXCHANGED CUSIP FROM 270321AB8 8.875% 05/15/19 B/E DTD 05/17/11 CALLABLE 05/15/15 S & P Rating CCC+ 10/22/12 *,3,12 400,000.000 B0097252CSF30015 2,340,116.28 93.0000 Original Cost Basis: $2,250,000.00 Security Identifier: 42210PAQ5 1,021,666.69 105.5000 Original Cost Basis: $1,035,000.00 Security Identifier: 270321AC6 102.6890 410,756.48 102.2500 Account Number: SOUTHERN FINANCIAL LLC 409,000.00 -1,756.48 10,452.78 35,500.00 8.67% Page 4 of 20 1,055,000.00 33,333.31 31,770.83 76,250.00 7.22% 2,325,000.00 -15,116.28 42,361.11 125,000.00 5.37% 1,050,400.00 50,400.00 0.00 974,082.95 EFTA01470601 86.1950 899,167.69 Original Cost Basis: $1,111,573.07 Security Identifier: 939336S20 -74,915.26 3,555.50 76.5190 570,309.83 87.0420 648,742.95 Original Cost Basis: $638,906.71 $1,544,392.78 $1,547,910.64 78,433.12 $3,517.86 4,330.58 $7,886.08 $0.00 EFTA01470602 Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Fixed Income (continued) Corporate Bonds (continued) EARTHLINK INC GTD SR NT FULLY EXCHANGED (continued) 10/23/12 *,3,12 600,000.000 Total Noncovered Total 1,000,000.000 1,000,000.000 SERVICEMASTER CO SR NT - CUSIP FULLY EXCHANGED FROM OLD CUSIP 81760NAL3 8.000% 02/15/20 B/E DTD 02/13/12 Moody Rating CAA1 S & P Rating B01/24/13 *,12,13 02/25/13 *,12,13 Total Noncovered Total 440,000.000 1,000,000.000 1,440,000.000 1,440,000.000 LLOYDS TSB BK PLC EURO ISSUE MEDIUM TERM NOTES ISIN#XS0717735822 9.875% 12/16/21 REG DTD 12/16/11 Moody Rating Bal S & P Rating BBB 12/04/13 *,3,12 1,500,000.000 107.9440 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E DTD 01/17/12 CALLABLE 02/01/22 Moody Rating BAA1 S & P Rating BBB01/30/12 *,3,12 3,000,000.000 104.5910 105.1020 102.4990 Original Cost Basis: $414,000.00 614,992.62 Original Cost Basis: $619,500.00 1,025,749.10 $1,025,749.10 Security Identifier: 81760NAN9 460,199.63 107.2500 Original Cost Basis: $468,050.00 1,051,018.62 EFTA01470603 107.2500 Original Cost Basis: $1,070,000.00 1,511,218.25 $1,511,218.25 Security Identifier: G4S15PP48 1,619,166.62 117.0000 Original Cost Basis: $1,627,500.00 Security Identifier: 842400FU2 99.8020 2,994,061.72 108.7500 Original Cost Basis: $2,992,564.97 3,262,500.00 268,438.28 15,625.00 187,500.00 5.74% 1,755,000.00 135,833.38 104,510.42 148,125.00 8.44% 471,900.01 1,072,499.99 1,544,400.00 $1,544,400.00 11,700.38 21,481.37 33,181.75 $33,181.75 1,564.44 3,555.56 5,120.00 $5,120.00 35,200.00 80,000.00 115,200.00 $115,200.00 7.45% 7.45% 102.2500 613,500.00 1,022,500.00 $1,022,500.00 -1,492.62 -3,249.10 -$3,249.10 15,679.16 26,131.94 $26,131.94 EFTA01470604 53,250.00 88,750.00 $88,750.00 8.67% Quantity Unit Cost Adjusted Cost Basis Market Price Market Value Unrealized Gain/Loss Accrued Interest Estimated Annual Income Estimated Yield Page 5 of 20 80097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC EFTA01470605 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Fixed Income (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT ISIN#US06739FHK03 7.750% 04/10/23 B/E DTD 04/10/13 CALLABLE 04/10/18 S & P Rating BB+ 04/03/13 *,12,13 300,000.000 Security Identifier: 06739FHK0 100.0000 JPMORGAN CHASE & CO DEP SHS REPSTG 1/10TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04/29/49 B/E DTD 04/23/08 Moody Rating BA1 S & P Rating BBB 06/15/11 *,3,12 06/15/11 *,3,12 Total Noncovered Total 2,500,000.000 2,500,000.000 5,000,000.000 5,000,000.000 BANK AMER CORP PERP NON COMULATIVE DEP SHS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CALLABLE 05/15/18 Moody Rating BA3 S & P Rating BB+ 01/10/11 *,3,12 2,000,000.000 GENERAL ELEC CAP CORP NON CUM PFD SER A 7.125% 06/12/62 B/E DTD 06/12/12 CALLABLE 06/15/22 Moody Rating BAA1 S & P Rating AA06/27/12 *,12,13 2,000,000.000 LBG CAPITAL NO 1 PLC 144A ISIN#XS0473106283 8.000% 09/15/88 REG DTD 12/15/09 CALLABLE 06/15/20 S & P Rating BB 12/04/13 *,3,12 1,200,000.000 105.5300 2,110,605.12 117.8750 Original Cost Basis: $2,122,916.67 Security Identifier: G5433BBG8 108.2500 SLLOYDS BANKING GROUP PLC FXD RATE RESET ADDL TIER 1 SECS ISIN#US539439AG42 7.500% 09/27/88 B/E DTD 04/07/14 S & P Rating BBPlease Provide * EFTA01470606 1,903,000.000 1,299,000.00 109.4000 Original Cost Basis: $1,299,000.00 Security Identifier: 539439AG4 N/A Please Provide 104.8750 1,995,771.25 N/A 24,976.88 142,725.00 7.15% Page 6 of 20 B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC 1,312,800.00 13,800.00 0.00 96,000.00 7.31% 2,357,500.00 246,894.88 30,083.33 142,500.00 6.04% 102.7500 107.5000 107.0000 300,000.00 111.2500 Original Cost Basis: $300,000.00 Security Identifier: 46625HHA1 2,687,500.00 110.6250 Original Cost Basis: $2,687,500.00 2,675,000.00 Original Cost Basis: $2,675,000.00 5,362,500.00 $5,362,500.00 Security Identifier: 060505DT8 2,055,000.00 111.0000 Original Cost Basis: $2,055,000.00 Security Identifier: 369622SN6 2,220,000.00 165,000.00 47,847.22 162,500.00 7.31% EFTA01470607 110.6250 2,765,625.00 2,765,625.00 5,531,250.00 $5,531,250.00 78,125.00 90,625.00 168,750.00 $168,750.00 65,833.34 65,833.33 131,666.67 $131,666.67 197,500.00 197,500.00 395,000.00 $395,000.00 7.14% 7.14% 333,750.00 33,750.00 9,106.25 23,250.00 6.96% Quantity Unit Cost Adjusted Cost Basis Market Price Market Value Unrealized Gain/Loss Accrued Interest Estimated Annual Income Estimated Yield EFTA01470608 Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Fixed Income (continued) Corporate Bonds (continued) LLOYDS BANKING GROUP PLC FXD RATE RESET (continued) Total Corporate Bonds 23,843,000.000 Total Fixed Income 29,633,000.000 Date Acquired Equities Common Stocks MOBILEYE NV AMSTELVEEN ORD SHS ISIN#NL0010831061 Dividend Option: Cash 08/01/14 03/29/11 *,13 APPLE INC COM Dividend Option: Cash 10/28/13 02/14/12 *,13 01/24/13 *,13 Total Noncovered Total 01/16/01 *,3 B0097252CSF30015 14,000.000 ARIAD PHARMACEUTICALS INC Dividend Option: Cash 7,535.000 9,000.000 16,535.000 16,535.000 ASCENA RETAIL GROUP INC COM Dividend Option: Cash 70,500.000 21.2770 15.2090 19.6000 75.5800 Security Identifier: MBLY CUSIP: N51488117 800.000 APOLLO GLOBAL MGMT LLC CL A SHS Dividend Option: Cash 263,157.000 19.0000 25.0000 20,000.00 EFTA01470609 4,999,983.00 1,058,120.50 114,597.40 176,400.00 290,997.40 $290,997.40 Security Identifier: ASNA CUSIP: 04351G101 1,500,000.00 17.3900 Account Number: N4G-023804 SOUTHERN FINANCIAL LLC 1,225,995.00 -274,005.00 Page 7 of 20 43.1800 Security Identifier: APO CUSIP: 037612306 24.4000 Security Identifier: AAPL CUSIP: 037833100 102.5000 Security Identifier: ARIA CUSIP: 04033A100 6.2200 6.2200 46,867.70 55,980.00 102,847.70 $102,847.70 -67,729.70 -120,420.00 -188,149.70 -$188,149.70 $0.00 1,435,000.00 376,879.50 26,320.00 1.83% 6,421,030.80 1,421,047.80 892,102.23 13.89% 34,544.00 14,544.00 Quantity Unit Cost Cost Basis Market Price Market Value Unrealized Gain/Loss EFTA01470610 Estimated Annual Income Estimated Yield $24,183,476.56 Original Cost Basis: Please Provide $22,639,083.78 $25,765,871.25 $27,313,781.89 $1,131,016.22 $1,134,534.08 $469,199.65 $477,085.73 $1,702,800.00 $1,702,800.00 Quantity Unit Cost Adjusted Cost Basis Market Price Market Value Unrealized Gain/Loss Accrued Interest Estimated Annual Income Estimated Yield EFTA01470611 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Equities (continued) Common Stocks (continued) BANK OF NEW YORK MELLON CORP COM Dividend Option: Cash 06/25/14 BIOGEN IDEC INC COM Dividend Option: Cash 02/14/12 *,13 FACEBOOK INC CL A Dividend Option: Cash 05/17/12 *,13 01/13/14 08/05/14 Total Covered Total GENERAL ELECTRIC CO COM Dividend Option: Cash 04/23/13 *,13 GENERAL MTRS CO COM Dividend Option: Cash 11/18/10 * 12/09/10 * Total Noncovered Total GILEAD SCIENCES INC Dividend Option: Cash 02/05/14 03/07/14 Total Covered Total 5,000.000 3,100.000 8,100.000 8,100.000 JP MORGAN CHASE & CO COM ISIN#US46625H1005 Dividend Option: Cash 07/14/05 *,3,12 79.2810 79.6120 10,988.200 86,536.800 97,525.000 97,525.000 36.4010 36.8160 23,000.000 21.5700 EFTA01470612 17,500.000 FOUNDATION MEDICINE INC COM Dividend Option: Cash 25,000.000 24,830.000 49,830.000 49,830.000 27.5070 23.2530 38.0000 2,095.000 119.5490 250,000.000 36.3060 Security Identifier: BK CUSIP: 064058100 9,076,406.00 250,454.95 665,000.00 687,663.50 577,373.02 1,265,036.52 $1,265,036.52 Security Identifier: GE CUSIP: 369604103 496,109.08 399,978.16 3,185,969.22 3,585,947.38 $3,585,947.38 Security Identifier: GILD CUSIP: 375558103 396,407.00 246,797.00 643,204.00 $643,204.00 Security Identifier: JPM CUSIP: 46625H100 4,353.000 SANGAMO BIOSCIENCES INC COM Dividend Option: Cash B0097252CSF30015 488.4840 2,126,372.76 59.4500 Security Identifier: SGMO CUSIP: 800677106 Page 8 of 20 Account Number: SOUTHERN FINANCIAL LLC 258,785.85 EFTA01470613 -1,867,586.91 6,964.80 2.69% 107.5600 107.5600 537,800.00 333,436.00 871,236.00 $871,236.00 141,393.00 86,639.00 228,032.00 $228,032.00 $0.00 25.9800 Security Identifier: GM CUSIP: 37045V100 34.8000 34.8000 382,389.37 3,011,480.63 3,393,870.00 $3,393,870.00 -17,588.79 -174,488.59 -192,077.38 -$192,077.38 13,185.84 103,844.16 117,030.00 $117,030.00 3.44% 3.44% 597,540.00 101,430.92 20,240.00 3.38% 39.1800 Security Identifier: BIIB CUSIP: 09062X103 343.0400 Security Identifier: FB CUSIP: 30303M102 74.8200 Security Identifier: FMI CUSIP: 350465100 23.2700 23.2700 581,750.00 577,794.10 1,159,544.10 EFTA01470614 $1,159,544.10 -105,913.50 421.08 -105,492.42 -$105,492.42 $0.00 1,309,350.00 644,350.00 718,668.80 468,213.85 9,795,000.00 718,594.00 170,000.00 1.73% Quantity Unit Cost Cost Basis Market Price Market Value Unrealized Gain/Loss Estimated Annual Income Estimated Yield EFTA01470615 Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Equities (continued) Common Stocks (continued) SANGAMO BIOSCIENCES INC COM (continued) 05/28/13 *,13 50,000.000 SANTANDER CONSUMER USA HLDGS INC COM Dividend Option: Cash 01/23/14 TWITTER INC COM Dividend Option: Cash 11/07/13 Total Common Stocks Preferred Stocks (Listed by expiration date) ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE COUPON 8.5% PERPETUAL MATURITY CALL@25 05/15/16 Dividend Option: Cash 02/03/12 *,13 02/09/12 *,13 46,600.000 80,000.000 Total Noncovered Total 126,600.000 126,600.000 GMAC CAP TR I GTD TR PFD SECS SER 2 8 125% FIXED RATE / FLTG Dividend Option: Cash 02/22/12 *,13 80,000.000 1,500.000 26.0000 1,000.000 24.0000 Unit Cost Cost Basis Market Price Market Value Unrealized Gain/Loss Estimated Annual Income Estimated Yield 8.4440 422,214.00 EFTA01470616 24,000.00 39,000.00 $26,462,845.59 Security Identifier: ALLY PRB CUSIP: 02005N308 19.3820 20.1250 903,217.51 1,610,000.00 2,513,217.51 $2,513,217.51 Security Identifier: ALLY PRA CUSIP: 361860208 23.5350 ROYAL BANK SCOTLAND GROUP PLC SPON ADR REPSTG SER T PDF SHS COUPON 7.25% PERPETUAL MATURITY CALL@25 05/14/14 Dividend Option: Cash 10/24/12 *,13 01/07/13 *,13 01/14/13 *,13 40,000.000 40,000.000 40,000.000 1,882,773.60 26.8999 Security Identifier: RBS PRT CUSIP: 780097713 23.7900 24.4400 24.8800 951,600.00 977,600.00 995,200.00 25.6800 25.6800 25.6800 1,027,199.99 1,027,199.99 1,027,200.02 75,599.99 49,599.99 32,000.02 72,500.00 72,500.00 72,500.00 7.05% 7.05% 7.05% Page 9 of 20 B0097252CSF30015 EFTA01470617 Account Number: SOUTHERN FINANCIAL LLC 2,151,992.00 269,218.40 162,500.00 7.55% 27.2700 27.2700 1,270,782.01 2,181,599.99 3,452,382.00 $3,452,382.00 367,564.50 571,599.99 939,164.49 $939,164.49 99,025.00 170,000.00 269,025.00 $269,025.00 7.79% 7.79% 14.3000 715,000.00 Security Identifier: SC CUSIP: 80283M101 18.6200 Security Identifier: TWTR CUSIP: 90184L102 49.7500 74,625.00 $28,131,657.25 35,625.00 $1,668,811.66 $1,233,257.03 18,620.00 -5,380.00 600.00 3.22% 292,786.00 EFTA01470618 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Equities (continued) Preferred Stocks (continued) ROYAL BANK SCOTLAND GROUP PLC SPON ADR (continued) Total Noncovered Total Total Preferred Stocks Options CALL 100 AMERICAN AIRLS GROUP INC COM EXP [email protected] OPTION ROOT= AAL 1,000.00 of these contracts are in your margin account 12/11/13 * 1,000.000 PUT 100 AMERICAN AIRLS GROUP INC COM EXP [email protected] OPTION ROOT= AAL -1,000.00 of these contracts are a short position 12/11/13 * -1,000.000 Total Options Total Equities Date Acquired Quantity Unit Cost Exchange-Traded Products WISDOMTREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60,000.00 of these shares are in your margin account 60,000.000 12/11/13 Total Exchange-Traded Products Total U.S. DOLLARS EURO Description Cash, Money Funds, and Bank Deposits Global Cash Balance Total Cash, Money Funds, and Bank Deposits B0097252CSF30015 120,000.000 120,000.000 2,924,400.00 $2,924,400.00 $7,320,391.11 8.0330 Option Identifier: 99QADTZJJ Underlying Security Identifier: AAL Underlying Security Price: $38.88 18.6400 803,314.50 1.9770 EFTA01470619 Option Identifier: 99QADTZQO Underlying Security Identifier: AAL Underlying Security Price: $38.88 0.0300 3,081,600.00 $3,081,600.00 $8,685,974.00 157,200.00 $157,200.00 $1,365,582.89 217,500.00 $217,500.00 $649,025.00 Quantity Unit Cost Cost Basis Market Price Market Value Unrealized Gain/Loss Estimated Annual Income Estimated Yield 1,864,000.00 1,060,685.50 -197,702.00 $605,612.50 -3,000.00 $34,388,849.20 Cost Basis Market Price Security Identifier: DXJ CUSIP: 97717W851 49.4350 2,966,098.50 $2,966,098.50 Cost Basis $96,388,518.56 Quantity Opening Balance 291,846.67 291,846.67 Account Number: SOUTHERN FINANCIAL LLC 49.8800 2,992,800.00 $2,992,800.00 Market Value $103,835,307.44 EFTA01470620 Closing Balance Currency 291,846.67 384,391.25 291,846.67 384,391.25 EUR USD EUR USD 0.00 0.00 Page 10 of 20 26,701.50 $26,701.50 Unrealized Gain/Loss $5,451,017 63 Accrued Interest $477,085.73 Accrued Income 55,004.40 $55,004.40 Estimated Annual Income $3,646,365.03 30-Day Yield 1.83% $1,861,000.00 $38,678,631.25 Market Value 194,702.00 $1,255,387.50 $4,289,782.05 Unrealized Gain/Loss $0.00 $1,882,282.03 Estimated Annual Income Estimated Yield EFTA01470621 Statement Period: 08/01/2014 - 08/31/2014 Portfolio Holdings (continued) EURO (continued) Market Value Currency Total EURO Cost Basis Total Portfolio Holdings - U.S. DOLLARS Footnotes * Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their "applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • 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. 5 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 EFTA01470622 current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. $96,388,518.56 291,846.67 384,391.25 Market Value $104,219,698.69 EUR USD Unrealized Gain/Loss $5,451,017.63 Accrued Interest 0.00 0.00 Accrued Interest $477,085.73 Estimated Annual Income $3,646,365.03 Page 11 of 20 60097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC EFTA01470623 Holdings Summary by Currency Currency Cash U.S. DOLLARS EURO Total USD Equivalent % of Allocation 34,850,094 291,846 35,234,485 33.81% Fixed Income 27,313,781 0 27,313,781 26.21% Equities 38,678,631 0 38,678,631 37.11% Schedule of Realized Gains and Losses Current Period Description Disposition Date Short Term 08/21/14 Acquisition Date 12/13/13 * Disposition Transaction RPP WASHINGTON MUT MTG S 004-RA2 MTG PASSTHRU CTF CL C- B-1 VAR RATE 6.972% 07/25/33 Security Identifier: 939336S20 Original Cost Basis: 1,927.61 08/25/14 12/13/13 * RPP Total Short Term Long Term 08/01/14 08/05/14 07/14/05 * 07/25/13 * SELL First In First Out RDMG First In First Out 08/07/14 EFTA01470624 08/14/14 08/19/14 08/26/14 08/29/14 07/14/05 * 07/14/05 * 07/14/05 * 07/14/05 * 05/24/13 * SELL First In First Out SELL First In First Out SELL First In First Out SELL First In First Out RDMG First In First Out Total Long Term JP MORGAN CHASE & CO US46625H1005 Security Identifier: JPM 13SG STRUCTURED PRODS ITY LKD MKT PLUS PROTECTED NOT ES 0.000% 08/05/14 B/E DTD 07 Security Identifier: 78423EHS6 Original Cost Basis: 2,000,000.00 JP MORGAN CHASE & CO US46625H1005 Security Identifier: JPM JP MORGAN CHASE & CO US46625H1005 Security Identifier: JPM JP MORGAN CHASE & CO US46625H1005 Security Identifier: JPM JP MORGAN CHASE & CO US46625H1005 Security Identifier: JPM 13HSBC USA INC MEDIUM UFFERED NOTES LKD TO EURO STOX X 50 0.000% 08/29/14 B/E DTD Security Identifier: 40432XFP1 Original Cost Basis: 2,000,000.00 1,450.000 2,000,000.000 COUNTRYWIDE HOME LOA 1 CL B1 4.090% 03/25/33 B/E D TD 01/30/03 Security Identifier: 12669DYS1 Original Cost Basis: 19,579.74 $21,507.35 708,302.44 2,000,000.00 $23,487.73 81,889.92 2,200,000.00 $1,980.38 EFTA01470625 -626,412.52 200,000.00 Exchange-Traded Funds Total by Currency 2,992,800 0 2,992,800 2.87% 103,835,307 USD 291,846 EUR 104,219,698 USD 100.00% Quantity 1,290,000.000 Cost Basis Proceeds 1,927.61 2,519.13 Realized Gain/Loss/ Disallowance 591.52 4,500,000.000 19,579.74 20,968.60 1,388.86 1,450.000 1,450.000 1,450.000 1,450.000 2,000,000.000 708,302.44 82,091.18 708,302.43 708,302.44 708,302.43 2,000,000.00 $7,541,512.18 82,431.92 83,418.63 86,404.83 2,313,462.05 $4,929,698.53 -626,211.26 -625,870.51 -624,883.81 -621,897.60 313,462.05 -$2,611,813.65 Page 12 of 20 B0097252CSF30015 EFTA01470626 Account Number: SOUTHERN FINANCIAL LLC EFTA01470627 Statement Period: 08/01/2014 - 08/31/2014 Schedule of Realized Gains and Losses Current Period (continued) Disposition Date Acquisition Date Disposition Transaction Total Short Term and Long Term * Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered" under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their "applicable date(s)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • • • Stock in a corporation acquired on or after January 1, 2011 Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-B or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by EFTA01470628 Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these 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. 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. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method will be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-B. Description Quantity Cost Basis $7,563,019.53 Proceeds $4,953,186.26 Realized Gain/Loss/ Disallowance -$2,609,833.27 Page 13 of 20 B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC EFTA01470629 Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://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. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications will reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (All amounts shown are in base currency) Credits Securities Securities Bought Securities Sold Total Securities Dividends and Interest Distributions Fees Cash Withdrawals Deposits Total Cash FDIC Insured Bank Deposits Money Market Funds Total Credits 0.00 416,236.48 $416,236.48 $318,571.17 $4,655,688.93 $0.00 0.00 0.00 $0.00 EFTA01470630 $0.00 $801,293.02 $6,191,789.60 0.00 17,854,455.34 $17,854,455.34 $1,885,284.87 $6,772,805.90 $0.00 0.00 11,168,787.15 $11,168,787.15 $37,486,437.18 $9,928,870.15 $85,096,640.59 This Period Year-to-Date Debits This Period Securities Securities Bought Securities Sold Total Securities Dividends and Interest Distributions Fees Cash Withdrawals Deposits Total Cash FDIC Insured Bank Deposits Money Market Funds Total Debits -597,373.02 0.00 -$597,373.02 $0.00 $0.00 $0.00 -273,000.00 0.00 -$273,000.00 $0.00 -$2,892,703.51 -$3,763,076.53 -19,812,268.11 0.00 -$19,812,268.11 -$93,807.51 $0.00 -$54.00 EFTA01470631 -1,331,245.00 0.00 -$1,331,245.00 -$19,304,764.85 -$42,344,450.18 -$82,886,589.65 Year-to-Date Page 14 of 20 B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC EFTA01470632 Statement Period: 08/01/2014 - 08/31/2014 Transactions by Type of Activity Process/ Settlement Date Trade/ Transaction Date Activity Type Securities Bought and Sold 08/06/14 08/06/14 08/08/14 08/12/14 08/19/14 08/22/14 08/29/14 08/01/14 SOLD JPM 08/05/14 PURCHASED FMI 08/07/14 SOLD JPM 08/14/14 SOLD JPM 08/19/14 SOLD JPM 08/26/14 SOLD JPM Dividends and Interest 08/04/14 08/08/14 08/14/14 08/15/14 08/15/14 08/01/14 PURCHASED MBLY Description MOBILEYE NV AMSTELVEEN ORD SHS ISIN#NL0010831061 PROSPECTUS UNDER SEPARATE COVER JP MORGAN CHASE & CO COM ISIN#US46625H1005 UNSOLICITED ORDER FOUNDATION MEDICINE INC COM UNSOL AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT JP MORGAN CHASE & CO COM ISIN#US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER JP MORGAN CHASE & CO COM ISIN#US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER JP MORGAN CHASE & CO COM ISIN#US46625H1005 BKCM EFTA01470633 A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL SOLICITED ORDER JP MORGAN CHASE & CO COM ISIN#US46625H1005 BKCM A PERSHING AFFILIATE MAKES A MKT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER Total Securities Bought and Sold - UNITED STATES DOLLAR CASH DIVIDEND RECEIVED 842400FU2 CASH DIVIDEND RECEIVED BK CASH DIVIDEND RECEIVED AAPL CASH DIVIDEND RECEIVED ALLY PRB BOND INTEREST RECEIVED ALLY PRA SOUTHERN CALIF EDISON CO PREF SER E 6.250% 02/01/22 B/E RD 07/05 PD 08/01/14 CASH PAYMENT 3000000 250000 SHRS BANK OF NEW YORK MELLON CORP COM RD 07/29 PD 08/08/14 14000 SHRS APPLE INC COM RD 08/11 PD 08/14/14 126600 SHRS ALLY FINL INC PERP PFD FIXED/FLTG RATE SER A CALLABLE COUPON 8.5% PERPETUAL MATURITY CALL@25 05/15/16 RD 08/01 PD 08/15/14 80000 SHRS GMAC CAP TR I GTD TR PFD SECS SER 2 8 125% FIXED RATE / FLTG RD 08/14 PD 08/15/14 B0097252CSF3001 Account Number: SOUTHERN FINANCIAL LLC Quantity 800.000 -1,450.000 24,830.000 -1,450.000 -1,450.000 -1,450.000 -1,450.000 Price 25.0000 56.5412 23.1928 56.6800 56.9150 57.5955 59.6550 0.00 Accrued Interest Amount Currency -20,000.00 USD 81,889.92 USD -577,373.02 USD EFTA01470634 82,091.18 USD 82,431.92 USD 83,418.63 USD 86,404.83 USD -181,136.54 93,750.00 USD 42,500.00 USD 6,580.00 USD 67,256.25 USD 40,625.04 USD Page 15 of 20 EFTA01470635 Transactions by Type of Activity (continued) Process/ Settlement Date Trade/ Transaction Date Activity Type Dividends and Interest (continued) 08/15/14 08/25/14 08/25/14 08/29/14 BOND INTEREST RECEIVED 81760NAN9 BOND INTEREST RECEIVED 12669DYS1 BOND INTEREST RECEIVED 939336520 MONEY MARKET FUND INCOME RECEIVED 233993682 Total Dividends and Interest - UNITED STATES DOLLAR Distributions 08/05/14 08/25/14 08/25/14 08/29/14 08/29/14 SECURITY REDEEMED 78423EHS6 RETURN OF PRINCIPAL RECEIVED 12669DYS1 RETURN OF PRINCIPAL RECEIVED 939336520 PARTNERSHIP DISTRIBUTION APO SECURITY REDEEMED 40432XFP1 Total Distributions - UNITED STATES DOLLAR Cash Withdrawals and Deposits 08/14/14 Money Market Funds 08/01/14 08/05/14 FEDERAL FUNDS SENT USD999997 MONEY FUND PURCHASE USD999997 EFTA01470636 MONEY FUND PURCHASE USD999997 DEUTSCHE BANK TRUST Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR DWS GOVT CASH INSTL DWS GOVT CASH INSTL 0.00 SG STRUCTURED PRODS INC COMMODITY LKD MKT PLUS PROTECTED NOTES 0.000% 08/05/14 B/E DTD 07/30/13 ACCOUNT REDEMPTION 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL B1 4.090% 03/25/33 B/E DTD 01/30/03 RD 07/31 PD 08/25/14 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972% 07/25/33 B/E DTD 06/01/04 RD 07/31 PD 08/25/14 263157 SHRS APOLLO GLOBAL MGMT LLC CL A SHS RD 08/22 PD 08/29/14 HSBC USA INC MEDIUM TERM NTS BUFFERED NOTES LKD TO EURO STOXX 50 0.000% 08/29/14 B/E DTD 05/30/13 ACCOUNT REDEMPTION -2,000,000.000 0.00 -2,000,000.000 Description 1440000 SERVICEMASTER CO SR NT - CUSIP FULLY EXCHANGED FROM OLD CUSIP 81760NAL3 8.000% 02/15/20 B/E DTD 02/13/12 CLB RD 07/31 PD 08/15/14 4500000 COUNTRYWIDE HOME LOANS SER 03-1 CL B1 4.090% 03/25/33 B/E DTD 01/30/03 RD 07/31 PD 08/25/14 1290000 WASHINGTON MUT MTG SECS CORP 2004-RA2 MTG PASSTHRU CTF CL C-B-1 VAR RATE 6.972% 07/25/33 B/E DTD 06/01/04 RD 07/31 PD 08/25/14 DWS GOVT CASH INSTL 0.00 Quantity Price Accrued Interest Amount Currency 57,600.00 USD 5,099.04 USD 4,345.22 USD 815.62 USD 318,571.17 2,200,000.00 USD 20,968.61 USD 206.05 USD 121,052.22 USD 2,313,462.05 USD 4,655,688.93 -273,000.00 USD -273,000.00 EFTA01470637 -5,801.20 USD -2,093,750.00 USD Page 16 of 20 B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC EFTA01470638 Statement Period: 08/01/2014 - 08/31/2014 Transactions by Type of Activity (continued) Process/ Settlement Date Trade/ Transaction Date Activity Type Money Market Funds (continued) 08/06/14 08/08/14 08/12/14 08/14/14 08/18/14 08/19/14 08/22/14 08/26/14 08/29/14 08/29/14 MONEY FUND PURCHASE USD999997 MONEY FUND REDEMPTION USD999997 MONEY FUND PURCHASE USD999997 MONEY FUND REDEMPTION USD999997 MONEY FUND PURCHASE USD999997 MONEY FUND PURCHASE USD999997 MONEY FUND PURCHASE USD999997 MONEY FUND PURCHASE USD999997 MONEY FUND PURCHASE USD999997 MONEY MARKET FUND REINVESTMENT 233993682 Total Money Market Funds - UNITED STATES DOLLAR Total Value of Transactions The price and quantity displayed may have been rounded. Description DWS GOVT CASH INSTL DWS GOVT CASH INSTL DWS GOVT CASH INSTL DWS GOVT CASH INSTL DWS GOVT CASH INSTL DWS GOVT CASH INSTL EFTA01470639 DWS GOVT CASH INSTL DWS GOVT CASH INSTL DWS GOVT CASH INSTL DWS GOVT CASH INSTL INCOME REINVESTED 0.00 0.00 Quantity Price Accrued Interest Amount Currency -261,889.92 USD 534,873.02 USD -82,091.18 USD 266,420.00 USD -165,481.29 USD -82,431.92 USD -83,418.63 USD -30,618.92 USD -86,404.83 USD -815.62 USD -2,091,410.49 2,428,713.07 USD Page 17 of 20 B0097252CSF30015 Account Number: SOUTHERN FINANCIAL LLC EFTA01470640 Bond Maturity Schedule Bond Maturity 1 to 6 months 1 to 5 years 6 to 10 years Over 10 years Total Bond Quality Bond Quality BAA BA/Lower Not Rated Total Market Value 1,050,400.00 4,402,500.00 6,895,650.00 14,965,231.89 % of Bond Market Value 4% 16% 25% 55% 27,313,781.89 100% Percentages of bond market values are rounded to the nearest whole percentage. Market Value 5,620,000.00 19,744,214.20 1,949,567.69 % of Bond Market Value 21% 72% 7% 27,313,781.89 100% Percentages of bond market values are rounded to the nearest whole percentage. Client Service Information Your Client Advisor: TDS Contact Information TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT EFTA01470641