EFTA01291791

15I Deutsche Bank NOW,. Sank Pointe totallth Many/nevi Minna (Awn* ways ape.... San% Semettmet IOW Yen ClIke P.O. Box 1776, Baltimore, MD 212O3 345 P(t A.t.nme. /Os f Yoe Nem vce NY 10314 December 1, 2018 - December 31,2018 Account Number: SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI0 0 80 2 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. . Page of 9 Pateameamt Omit. Smelt Potting LIC, a wholly owned At OMICSIMS I • 11.:!1 10. Every Vex Site 2007 sulmelMy elIlie Soak of New York Mellon DAIJAR WED C0MMUMCATI0NS Cementhan (MY Mellon) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- EXC0ANCt Pemba* LLC.inerrtte FIIIRAA141X2P14.1—00049696 DB-SDNY-OO 1252O EFTA_OO160305 EFTA01291791 Summary of Gains and Losses Reared ThisPeriod Veruto•Cnte Used* Long-Term Gain! Loss 0.00 0.00 -1,207,416.00 Net Gain/ Loss 0.00 0.00 -1,207,416.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Yeer4o-Dde bustle Non Taxable 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 Page 2 of 9 A... Account Number. Rated ha/6rd (very VON Ars2007 DAWN MUD COMMUNCATIONS OwingInc.holingIlt. a way said subsidiary as Santa New York Melba Omponthan (MY Maw) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCIA INC t Penh...* ac. name, FiliRkftlAttedaGM 00049697 DB-SDNY-0012521 EFTA_00160306 EFTA01291792 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 December 1, 2018 - Decem ber 31, 2018 SOUTHERN FINA NCIA L LLC Portfolio Holdings Accent Adlay °Mad Chung Accrued leads 30.0ey Current Opening Dale Quality Weber Siding Mena Balance Income MeV.* Yield 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 11.61 229.53 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 thweedzed Estimated Estimated Me Acquired Neatly WI Cat Cod Bei Merkel Price Medal Ma Odorless Annual Income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INC COM Security Identifier AAPL Dividend Option: Cab CUSP: 037833130 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 Page 3 of 9 Account %rite Rated Cacellent Owing tlwonsh lists PIC a Sally owned A: C CI!..5)):21 Every Vex Shwa 1007 subsidiary TM brat New York Mika DAISMMI ID COMMUNCATICNS CoWatim (MY MONO CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCLUDa Penhal; MC. 'avian FildRAWSUGM_OOO49698 DB-SIDNY-0012522 EFTA_00I 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 Account Numbe Rateamant Clang dart hang LI.C, a wholly woad A:CMGS:MS I • LAU. Every Vex Saes 2007 sulmarft of The Sordi of New York Mellon DALY& Gym COMMUMCATICMS Carponthm MO'Man) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L_- Ma LOC C Pentmg LIX.rner-ter EitiRtAckliqu:PM_00049699 DB-SDNY-0012523 EFTA_00160308 EFTA01291794 Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 December 1,2018 - December 31,2018 SOUTHERN FINANCIAL LLC Messages (continued) Although a money market mutual fund seeks to preserve the value of your investment at 51per 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 areIn 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 INSURED DEPOSITS INTEREST CREDITED 34.10 USD DEPOSITS INTEREST RECEIVED Total Dividends and Interest - U S DOLLARS 0.00 34.10 Page 5 of 9 Account NumberMOM Rated Etcaornt Owing Hwang% PmbingPIC a wally owned atcencSx:21 Every Vex Since 2007 subsidiary a The brat a New York Mellon MAAR RA TED COMMUNCATIM onnentim (eon, Melon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCIAL CNC( 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 Dewiption Quantity Price Aimed loitered Anent Cymric/ FDIC Insured Bank Deposits 12117/18 12114/18 FDIC INSURED BANK INSURED DEPOSITSINTEREST REINVESTED 34.10 USD DEPOSITS INTEREST REINVESTED Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -34.10 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Invedment Specialist:ZEN Contact Inlometion MARTIN ZEMAN Telephone Number: Your Account Informati n 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. Page 6 of 9 Account Number. Rated Etcdent Owing through Amain(Ilt. a Sally owned CONFIDO. 4 "AL- Every Vex Since 2007 DALBAR RAIEDCOMMUNCATIONS EXCIA CNC( subsidiary a The brat ar New York Mellon Ccnaatim (OW Melon) Penne. MC. immter Filitactrear 4 t 0000701 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012525 EFTA_00160310 EFTA01291796 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 December 1,2018 - December 31,2018 SOUTHERN FINANCIAL LLC Important Information and Disci su-es 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 Page 7 of 9 Account Notting= Rated(Kant Owing Hwang% PmbingPIC • Sally owned A: t titC513:2S Every Yaw Since2007 subsidiary a Thellordtel New York Melba DAIJAR WED CONVOCATIONS CiMontim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID EX( CUENCC Penhe. Ac. Mx fititatia DB-SDNY-0012526 00049702 EFTA_0016031I 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 Waled Exceilent Oaring Swett PeggingISC. • wholly owned At 01MCSI,OH Every Yew Since 1007 subncliwy elme bake. New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAIL& WED COMMUNICATIONS EMaLOCC Ceeeneebne (MY Mellon) ..„.„ a a., Penmen lie. twwter filiRnAIM -410-Thl _uOuqu 7u 4 DB-SDNY-0012527 EFTA 00160312 EFTA01291798 TERMS ANDCONDITIONS TRANSACTORS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST, ODD LOT DEALER. • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE BLOCK POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS, CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY, WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED ANDIOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED COWRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM. STATEMENT. IF SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVO.PERSHING COINDISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. 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 PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES IRE-GULATON HMS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 607(A)(1)-(211 BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: NTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. N ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL. REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EMOTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION 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 • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE NTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TAX FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. 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. 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 Page 9 of 9 ActouM Number - Rated tangent Om*.Sae. Penbni LLC, a wholly owned m CI KM?! Every Yew Since 2007 sbsidiarySlings* of New York Mellen CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DALIN, RAT ID COAVALINICATICOS EXCELLENCE Coponthan (MY Melon) Pentn LL C. Me HtienAINIPGPM_0004970.4 DB-SDNY-0012528 EFTA_00160313 EFTA01291799 15I Deutsche Bank Detellat Link Private Set.gh Manifests. Kitten COvaare Gmwe open,he ISM ismeSei •If- IOW net Vika. P.O. Box 1776, Baltimore, MD 21203 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 at a Glance 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. Page ' of - Rated(Kart OwingIMO. Pegging LiC, a wholly owned AtOOMMICS Evety Yew Since2007 subsidiary s The bake. New Yak Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAIJAR ltAlED COMMUNICATIONS EXCELLENCE CS (MY Mellon) am a. ..a.. a Penn,* MC. men**. FiliRA3041 a a 1 11. -0-1.4—U0047 U5 DB-SDNY-0012529 EFTA_00160314. EFTA01291800 Summary of Gains and Losses ReMzett This Period Vetto.Date Unreal* Short-Term Gain! Loss 0.00 0.00 876,584 00 Net Gain! Loss 0.00 0.00 876,584.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Description Amount Balance 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. Income and Expense Summary Current Period Yam-to-Date Taable Nonlab* 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 Page 2 of 7 Accout Number Rated(Kant OwingIMO PastingPIC • Sally owned At 0,3 ,333 Levy Yost Snce 2007 subsidiary el The &onkel New York Melba DAIJAR MID) COMMUNCATIONS CONFIDP CciPontim (MY Maw) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) AL- MCILEW( Penne. KC rrwrte FilitkftlAtlYaGM_00042706 DB-SDNY-0012530 EFTA_001603 I 5 EFTA01291801 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 November 1, 2018 - November 30, 2018 SOUTHERN FINANCIA L LLC Portfolio Holdings Amer Activity 00060 Doing Acaued Moms 30-Day Current Opening Date Dumbly Number Biding Nance Bdince Income This Year Yield 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 thireaiLted Estimated Estimated pte Acquked 0banlly UMt Cat Cod Bads Molter Pike Markel Viva Gaierlois Annual income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCC0M Security IdeatifietAAPL Dividend Option: Conk CUSP:03783390 12107117 100.000.000 189.8140 16981.418.00 178.5800 17658.000.00 876,584.00 292,000.00 163% Total Common Stocks 618 981 416.00 $17,858,000.00 $878,584.00 $292,000.00 TOTAL EQUITIES $18,981,418.00 $17,858,000.00 $878,584.00 $292,000.00 Umrealized Accrued EdWonted Cod Bads Markel Wks Gat Lon lateral 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 Aconnt %mix Rattassant OwingIMO holingPIC a Sally owned I . 1.41 Every Yaw Since 2007 subsidiary a The Unit of New York Mellon DAISM MIED COMMUNCATICNS Canneatimi (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID O. L46.--- EXCULNCI 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 Account Number RAS(Kam Owing tiwomb PenbogISC. a %play MVOS Every Vow Since 2007 sobsidiarft el The &onkel New York Melba DAMN WED COMMUNICATIONS Ce•Vembm (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EX( CILINC Penhnt LLC. interter fildlatiklYmPM_00049708 DB-SDNY-0012532 EFTA_001603I 7 EFTA01291803 Deutsche Bank P.O Box 1776, Baltimore, MD 212O3 November 1,2018 - November 30,2018 5OUTH ERN FINANCIAL LLC NI essages (continued) 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 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 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 areIn 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 Page 5 of 7 Account Numbs Paled(Kant Owing Own% Mtn PIC • Sally weed Att)::EMICS Every Vex Since 2007 subsidiady TheBM.' New York Who DAUM WED COMMUNCATIONS Cameatim (MY MNM) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCULD.0I POnhal; uc. MInter FIIIRAWALGM_00049709 DEI-SDNY-0012533 EFTA_OO16O3I 8 EFTA01291804 Transactions by Type of Activity (continued) Process Settlement Ode Adivily Type Description (Tunny Price Accrued Intend Amount Curing Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Yew Investment Spedalia ZEN Canted hdormstion MARTIN ZSIAN Telephone Number: Your Account I nformati n 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 Accoul Numbe ANNAssant Oaring throne.holingPIC a Sally owned A 3C31 Every Vex Siao 2007 ,a.ewytimekmaNewYrkMeta DAIJAR MUD CONVOCATIONS CerPontINI (eNY MAN) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- ICCULD CI Pent•, MC. imurter FiliatiAngLat 00049710 DB-SDNY-0012534 EFTA_0016O319 EFTA01291805 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 November 1,2018 - November 30,2018 SOUTHERN FINANCIAL LLC Import ant Information and Disclosures (continued) 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; - Page - of Account •lumbei IIM Rated taceilent OaringIMO. habit. LLC, a wk oily owned AtOOD62 Every Vex Since 2007 Smear/ of The Sari of New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALIARItAlED COMMUNICATIONS EXCEILENC( Caponthan Ma Melon) ucintirteimianAQInue-IM_00049711 DB-SDNY-0012535 EFTA_00160320 EFTA01291806 15I Deutsche Bank Menthe Sank Pekin* oVe4010 lisnmenee41 lAkleia Cement wow{ Deem fie Saki Semeliet 114 New Y/11 C4ke P.O. Box 1776, Baltimore, MD 21203 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 at a Glance 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. . Page ofd RaleamearM Oaring Sae. Paging LiC, a wholly owned A:SS/Mt:20 Every Year Slate 2007 subsidiaryMTh* UM, of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAUM,MUD C0MMUMCATICMS EXCELLENCE Cemeabm (MY Melon) Penne. LIX.rrerrter EIHRIANItar"M_00049712 DB-SDNY-0012536 EFTA 001(10321 EFTA01291807 Summary of Gains and Losses Reared Mix Period Torro•Date Unresizad Short-Term Gain! Loss 0.00 0.00 1,901,584.00 Net Gain! Loss 0.00 0.00 4,904,584.00 This summary excludes transactions where cost basis information is not available. For Your Informati n 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 Ten-to-Die Taxable Non Taxabk 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 Page 2 of 8 Account Number Paled taceNnt Owing throbeihntingIIC.• Say owned Evay Yaw Since 2007 subsidiary el TMMita New York Melee DALIAN ItAlED COMMUNICATICNS CerPntim (MY Meta) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EX( Penhat MC. 'newts. FilitactlYaGM_OOCuign 3 DB-SDNY-0012537 EFTA_00160322 EFTA01291808 Deutsche Bank P.O.Box 1 7 76, Baltimore, MD 21203 October 1, 2018 - October 31, 2013 SOUTHERN FINA N CIA L LLC Portfolio Holdings Admen' ActMty *MIN Closing Accrued lumen* 30-Day tweet Opening Dale Quantify Number Biding Balance Balance Income ThleYear 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 51 10 $0.00 $195.43 Unieallzed Estimated Estimated Date Melted Quantify rid Cast Baia Merlin Price Market Value Gan, Loss Annual Income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOM Security Identifier AAPL Dividend Option: Cub CUSP. 03783314 12107/17 100.000.000 169.8140 16.981.416.00 218.8600 21.888.000.00 4,904,584.00 292,000.00 1.33% Total Common Stocks $16,981,416.00 921,888,000.00 $4,904,584.00 $292.000.00 TOTAL EQUITIES $16,981,416.00 $21,888,000.00 $4,904,584.00 $292,000.00 Unrealized Accrued Estimated Cod Bags Markel Value Oalev Len MEN Annual Income TOTAL PORTFOLIO HOLDINGS $18,981,417.10 321,886,001.10 $4,904,584.00 $0.00 8292,195.43 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 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 Account Numbe RalwAssant Owing thews% PmbingPIC a slay owned Cray Vex Since 2007 subsItINy e4 The Banta Melee New York Make DAIJAR MUD CONVOCATIONS CflontINI CONY CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- IKMMCCI 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 Rfleamearnt Owing Sae. exams LI.C, a ebony armed Ate/AMC:20 Every Vex Siva 1007 subsidiary*. The bake. New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- DAUM,MUD COMMUNICATIONS EXCEILENCE emeombm (MY Mellon) Penne. 4C. inure*, FilienAckklYter-40_00049715 DB-SDNY-0012539 EFTA 00160324 EFTA01291810 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 October t 2018 - October 31,2018 a SOUTHERN FINA NCIA L LLC Messages (continued) 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 Page 5 of 8 Accotel Number Rated(Kant OwingIMOholingPIC 'Sally owned attiliatn Emory Yaw Since 2007 subsidiary as &onkelNew York Mellon DALIIM WED cm...mower* Cannatimmy mete) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EX(adK( Penme• LIS. rnente, Ftheatlimr-at00049716 DB-SDNY-0012540 EFTA_00160325 EFTA01291811 Transactions by Type of Activity (continued) Process. Settlement Dete ly Type Deuziption Quantity Price Scatted lateral Amount Oaring FDIC Insured Bank Deposits 10/02/18 FDIC INSURED BANK INSURED DEPOSITSPROGRAM FULL PRINCIPAL REDEEMED 73,034.10 USD WITHDRAWAL 10/03/18 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.10 USD Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 73,033.00 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Spedslist: ZEN Coated leformation MARTIN ZEMAN Telephone Number Your Account Informati n 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. Page 6 of 8 Account Numbetill... Rated Cadent Owing throughholingPIC.nth* mood Every vex Slece 2007 subsidiary a TheUnita New York Mellon DAIJARRolm COMMUNCATICOS Carinatim (MY Mellott) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDP AL- EX(QtCNCC Penn.'s 4(.'mot, FilitagekkaGM 00049717 DB-SDNY-0012541 EFTA_GOI 60326 EFTA01291812 "I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 October 1,2018 - October 312018 SOUTHERN FINANCIAL LLC 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 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 Page 7 of 8 Account Numbe Raid(ward Cans dash hang LI.C, a ally owned At .13153MC:20 Every Year Age 1007 subsay of The km of New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L-- DALIMR IM1ID COMMUNICATICNS EXCISID4a 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., Paled tacellent Deming Smelt Plnbn( LIC, a wholly owned Al 13453.9X :20 Every Vex Slone 2007 sobeklEmy or The UM, of New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAUM MI ED COMMle•CATICMS Mall:NC( Corponthm MIT Mellon) Penne. u.c....nrce,HofoAPkfteLGM_00049719 DB-SDNY-0012543 EFTA 00160328 EFTA01291814 ("abut.", NMI ...smote Na,I, MMOttaor04 Deutsche Bank con et Cenral< 0.08 Onvtithe Ur* Se:Leitei vs( NtW Yeti C4ke P.O. Box 1776, Baltimore, MD 21203 34$ POI L. ,.,. )40 F rear September 1,2018 - September 30,2018 Account Number: SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 Portfolio at a Glance ThisPerisd Teat-Wale Your Investment Specialist. BEGINNING ACCOUNT VALUE 222,836,000 00 616,956,877 74 MARTIN ZEMAN Net Cash Deposits and Withdrawals 000 .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. Page ' of 9 RAW ballerd ClewingIMO. Pining LIC, a wholly owned At 00;44=02t Every Yew Slece 2007 subsidiary as brief New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAISAR WED COMMJNCATICOS EXCEUENCC Corponthal (SW Mellon) nn .. 049720 Pentww ue mtrytt, FiliRILAWASAA-00 DB-SDNY-0012544 EFTA_00160329 EFTA01291815 Summary of Gains and Losses ThisPried Yuko•Date UreaNM Short-Term Gain! Loss 0.00 9.00 5,592,584 00 Net Gain! Loss 0.90 0.00 5,592,584.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Year4coDdo Tense Non Taub,. 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 Page 2 of 9 Accout Note Rated(Kant Owing tiwonsh ',enlists PIC 'Sally owned Every Yaw Since 2007 subsidiary a The Bonita New York Main CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID01 AL-6. DAWN WED COMMUNCATIONS EX( CAnnatim (MY Mellon) Penhaitll.c.inerrtag FIIIRAIMUGM_00049721 DB-SDNY-0012545 EFTA_00160330 EFTA01291816 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 September 1, 2018 - September 30,2018 SOUTHERN FINANCIAL LLC Portfolio Holdings Amen' Minty Opening (losing Acaued Income 30-Day tweet Opening Dale Quay Number Biding Balance Bekaa Income TgisYear Yield 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 15.41 171.92 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 Unrealized Estimated Estimated Dale Acq*ed assay UM Out Col Beds Wad Price Markel Velee Gs:ivLoss Annual income Yield EQUITIES 9 9.0 0% of Portfolio Common Stocks APPLE INC COM Security identifier AAPL Dividend Option: Cub CUSP:0378331)0 12107/17 100.000.000 189.8140 18,981,418.00 225.7400 22.574.000.00 5.592.584.00 292,000.00 129% Total Common Stocks $16 981 416.00 322 574,000.00 $5.592,584.00 $292,000.00 TOTAL EQUITIES 818,981,416.00 322,574,000.00 $5,592,584.00 8292,000.00 Unrealized Accrued atimated Cod Bads Merkel Value Get Loss Mired Annual lacome TOTAL PORTFOLIO HOLDINGS $17,054,450.10 322,647,034.10 35,592,584.00 30.00 8292,178.92 Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which 1he securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as noncovered. However, if the account does not receive a 10 99B. the cost basis will not be reported to the IRS. Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ Page 3 of 9 Account !Jumbo Rated (Imaged Owing tlwonshPatti EEC. • wholly owned A: C:itt:9CO2$ Every Yew Since 2007 subskliari a I be Banta New York Melon DAIL& RAlED COMMUNICATIONS CiMontim (OW Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCIMENC( 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 Rated Exelent °eery.Smelt Pining LI.C, a ebony owned Every Vex Since 2007 ,toa.y time Sank of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALSAR MUD COMMJMCATICOS EXCELLENCE Cemonthee (MY Mellon) n Penne. KC nowt., F . .YU:PM-00049723 DB-SDNY-0012547 EFTA_00I 60337 EFTA01291818 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 September 1, 2018 - Septem ber 30, 2018 SOUTHERN FINA N CIA L LLC Messages (continued) 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 $1per 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 of Activity Process/ Settlement Dale AdIvily Type Description Wendy Ma Aoned liters Anent Comm Dividends and Interest 09114/18 FDIC INSURED BANK INSURED DEPOS1TSINTEREST CREDITED 34.10 USD DEP0SITSINTEREST Total Dividends and Interest - U.S. DOLLARS 0.00 34.10 Page 5 of 9 Account Number. Rated(Kant Owing engemPenbingPIC a Sally owned CONFIDO. 4 AL- Every Vex Since 2007 DAIJAR MOD CONVOCATIONS EX( CLINCI subsidiary e4 TM brat W New York Melba CAS (MY Melon) PeNhe. ue. 'NANA' FilatatlAWYNCTM_00049724 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0012548 EFTA_00160333 EFTA01291819 Transactions by Type of Activity (continued) Process Settlement Dote Adiyily Type Dewiplion Quantity Price Ammed tutored Amsted Omexoi FDIC Insured Bank Deposits 09/14/18 FDIC INS1RED BANK INSURED DEPOSITSINTEREST REINVESTED .34.10 USD DEPOSTSINTEREST Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -34.10 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Instillment Specialist: ZEN Contest leformotion MARTIN ZEMAN Telephone Number: Your Account Informati n 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 munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Page 6 of 9 Atom( Number Paled (learnt cant dwo.siMMRLC., wholly owned Every Yaw Since 2007 subsidiary aT e Bonita New York Melba DALIN, WED commumomats CoPontim (OW MONO CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCIALENCt Penhat LIX. Filiitalikreatat 00049725 DB-SDNY-OO12549 EFTA_OO16O334 EFTA01291820 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 3eptember 1, 2018 - Septem ber 30, 2018 SOUTHERN FINANCIAL LLC Important Informwr n and Disc] syes 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.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 b • t 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 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 Page 7 of 9 A.:, Account Number 4 Raltassant Cray Vex Since 2007 DAIJAR MILD CONVOCATIONS Owing Swab PentingI1C. • Sally owned subsIelNy elIN UK a New York Mellor. CflocatINI (MY Maw) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- LC WINO 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. Rated Caceilent Owing tThrthabing LIC, a wholly...toed MEW= 0 2t Every Yew Since 2007 subsidiary*. The &onkel New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAIL& ltAlED COMMLINICATIONS Cita:LUX( CorPontim (Nfl Mellon) Penne. MC. nowt,. a a a 1 htI-e-m"—U004 7 47 DB-SDNY-0012551 EFTA_00160336 EFTA01291822 TERMS AND CONDITIONS TRANSACTIONS PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER, ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR THE TRANSACTIONS ARE EXECUTED MOOR SETTLED. OR F APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT W LL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WVVW.PERSHING.COM. STATEMENT. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING COINDISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTNG THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD 8E RETAINED FOR YOUR RECORDS. 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 PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2)) BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCER: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED N MATERIAL PREVIOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBNED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDNG THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION 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 • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTA/N LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TM INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. 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. F ANY OF THE ABOVE TERMS AND CC AIMIONS ARE UNACCEPTABLE TO YOU. PLEASE NOTE Y PERS-ING IMMEDIATELY IN WRITING BY CERTIFED MAIL TO ONE PERSHING PLAZA JERSEY CITY.NJ 07399. ATTN LEGAL DEPT Page 9 of 9 Et,„„v,con Auctionl Monte Aged CicaNnt Every Vex Since2007 DAIJIAR RATED COMNIUMCATIONS cow tlwongliPentingPIC a Si* owned subsitlimy a The Bonk of New York Meta CoPonthmo (MY Mellott) CONFIDO. AL— ()callENEE Penhe. LLC. newt*/ ia ttiAtreapm_cougna CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012552 EFTA_00160337 EFTA01291823 Deutsche Bank attentive Cant Private Neagh litonsffiemeffi WNW) Cosernt Wows ow.tum MS Seetrom. M. ice* York Office P.O. Box 1776, Baltimore, MD 21203 HS Pen Menace. nth Mot August 1,2018 - Account Number SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 Portfolio at a Glance ThisPerind Year-In-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE 219,029,000.00 $16,956,877.74 MARTIN ZEMAN Net Cash Deposits and Withdrawals 0.00 .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. Page ' of Rated tacedlent Omaire Sae. hakes ISC, a ebony owned AZ002=47:31) Every Vex Saco 2007 waver/ of The an New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAIJARRMEDCOMMUMCATICMS EXallENCt Corporation Me Melon) Pernle. unienAcAtfluuLGM_00049729 DB-SDNY-0012553 EFTA_OO 160338 EFTA01291824 Summary of Gains and Losses Rested ThisPeded Yetto.0ale Unrealized Short-Term Gain! Loss 0.00 9.00 5,781,584.00 Net Gain! Loss 0.00 0.00 5,781,584.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Desaiplion Amount Savo 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. Income and Expense Summary Current Period Year.to•Date hates Non Tates 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 Page 2 of 7 Account Number Rated(want Owinglinnet ',enlistsIlt. a Si* CMOS Evay Yaw Since 2007 subsidiary a The Bonita New York Mete man MUD COMMUNICATICNS CASs (IIPIY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCIA LEW t Penile. MC. newt,/ fititactitELM_ 00049730 DB-SDNY-0012554 EFTA_00160339 EFTA01291825 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 August 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC Portfolio Holdings Amen' Adidly Opening Chung Acaued Income 30-Dey Cornet Opening Dale Otientily Number Biding Balance Income TbleYeet Yield 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 Unrealized Estimated Estimated DeleAcqdred Welly Mad Cod Begs Merkel Price Market Value Wnr Loss Annual income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA Security Ideetifier AAPL Dividend Option: Cub CUSP:037833100 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 00 322,763,000.00 85,781,584.00 $292,000.00 Unrealized Accrued alienated Cod Beds Merkel Value dalLoss Mired 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 Page 3 of 7 Account !Cumin Raid Cacellent Chains tlwong% MOM.EEC. orb* owned A: Every Yew Age 2007 subsidiary e4 TMBonita New York Melee DAISAR M ED COMMUNICATIONS Colneatim (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCIUDICE 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 Account Number Rated Emelent Owing Sae. Periling LI.C, a .dairy owned CONFIDOWAL4 At 0:21K91:31) Every Vest Sect 2007 subeielMy of The Sank of New York Mellon DAUM Glen C0MMUMCATICMS Ceepontim (MY Mellon) nm . CIC0AENC( awat.' Penmets LIX. FilienAlAMYLIPA-00049732 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012556 EFTA_001603411 EFTA01291827 Deutsche Bank P.0 Box 1 7 76, Baltimore, MD 21203 August 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC Messages (continued) 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 TbisPtilod 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 Description OuestIty Ala Accrued littered Amount Currency Dividends and Interest 08118/18 CASH DIVIDEND RECEIVED D0000 SNRSAPPLE INC COM RD 08113 ED 084111 73,000.00 USD 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 Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 -73.000.00 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 5 of 7 Account Numbering= Paled brae. OwingIMO Pasting LLC a wholly owned A: Every Yea Shwa 2007 a subsidiary e4 The MK New York Mello, DAIJAR PA1ED COMNILRICATICOS Cnontim tow Melba) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID EXCClLCNCC Penhat LIX. fititatikkaGM_00049733 DB-SDNY-0012557 EF1'A_00160342 EFTA01291828 Cl ient Service Information Your Investment Specialist ZEN Contact IIremotion MARTIN ZEMAN Telephone Number: 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 Account Number: aaaaaaaaaaae Rated (warm Owing tlwonshPenbingPIC a Sally owned At 0::12CSTM) Every Yaw Sat 2007 subsidiary a The Bonita New York Melba DAWN WED commumcmiotas COW•th201(MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- MULE/4C( Penn.'s MC. 'smite.FiliRkftiAtiligiat00049734 DB-SDNY-0012558 EFTA_00160343 EFTA01291829 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 August 1,2018 - August 31,2018 SOUTHERN FINANCIAL LLC Important Information and Disclosures (continued) 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; Page • of Account Numbs Mid tacellent Clewing Sae. hrtng LLC, a wholly owned At 0023M:0S Every Yew Since 2007 'obedientIlie &onkel New York Mellon CONFIDO AL- • kj4 I DAUMRAlID COMMLINICATIONS Corponthan (MY Mellon) MU MCC Penn.. u.C, immta filttaktitS-Al_00049735 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012559 EFTA_0016034 EFTA01291830 15I Deutsche Bank Ottettite Sank RIM* OVeSth lan•gen.PWI waMn Ceonage Grout Ditettchellaffi Semettbet we New Yen Ciftte P.O. Box 1776, Baltimore, MD 21203 345 fark A.nue. )40 I July 1, 2018 - July 31, 2018 Account Number SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 Portfolio at a Glance ThisPeri:4 Year4o-Dale Your Investment Specialist. BEGINNING ACCOUNT VALUE $18,584,029.10 $16,956,877.74 MARTIN ZEMAN Net Cash Deposits and Withdrawals •73.052.21 ,170,022.55 Adjusted Previous Account Value 18,510,976.89 16,786,855.18 Dividends, Interest and Other Income 23 11 136,144.82 Net Change in Portfolio' 518,000.00 2.106,000 00 ENDINGACCOUNTVAWE $19,021M00.00 $19020,000.00, Estimated Anneal Income $292.144.82 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 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. . Page of a Rated Emearnt Oaring thane.hakes IA( a wbolly owned At397$1910:20 Every Vow Since 2007 sulmelMy el TM Snake. New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DALIN, WED COMMUMCATICMS [acaLENCC Corporation (MY Mellon) Penh...* LIX. writer FiliRA5141t2Pm_00049736 DB-SDNY-0012560 EFTA_001160345 EFTA01291831 Summary of Gains and Losses Rated This Period Vetta•Date Uweaitad Short-Term Gain! Loss 0.00 9.00 2,047,584.00 Net Gain! Loss 0.00 0.00 2,047,584.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Detaiplion Amount Balance 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. Income and Expense S./ 1lMa y tweet Puled YeaptchDda Tootle Non Taxable 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 Page 2 of 8 „:„.20 Acccent %meet Paled Cacelent Every Y03/ Shwa 2007 DAIJOJIltAlID COMMUNCATICOS Owing tlwonshhat Ilt. aIda/ arced subsidiary e4 The Bonita New York Mellon CoWatim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCOAENC( Penn.* MC. 'newt«FiliatlAtta DB-SDNY-0012561 00049737 EFTA_00160346 EFTA01291832 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 July 1, 20 18 - July 31, 20 18 SOUTH ERN FINA N CIA L LLC Portfolio Holdings Account Acridly Opening Closing Accrued Mame 30.Oay Current Opening Dale Quantity Number Biding Balance Bain Mame Meyers Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPDSITSPROGRAM 06130/18 NIA 07131118 73,020.10 0.00 0.00 14412 NIA NIA Total FDIC Insured Bank Deposits $73,029.10 $0.00 $0.00 $144.82 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,029.10 $0.00 $0.00 $144.82 LInmalized Estimated Estimated Date Acquired Casentily IWI Cs Cod One lAatket Price Market Value Gein, Loss AnnualIncome Yield EQUITIES 100.00% of Portfolio Common Stocks APPLE INC COM Banality Identifier AAPi. Dividend Option: Cash CUSP:037833110 12107/17 100.000.000 169.8140 16.981.416.00 1901900 19,029,000.00 2,047,584.00 292,000.00 153% Total Common Stocks $16,981,416.00 $19,029,000.00 $2,047,584.00 $292.000.00 TOTAL EQUITIES $16,981,416.00 $19,029,000.00 $2,047,584.00 $292,000.00 Unrealized Accrued Estimated Cod Bads Markel Value Oat Lose NUN Annual income TOTAL PORTFOLIO HOLDINGS $18,981,416.00 $19,029,000.00 $2,047,584.00 50.00 8292,144.82 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 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 Page 3 of 8 Account Numbe Rated(Kant Owing tlwonshholingPIC a Sally craned A;:ii79fl:23 Every Vex Since 2007 subsidiary e4 The Bonita New York Melba DALIAN WED C0MMUNCATIONS Cc•Inatim (OW Mellott) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- MULE/4a 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 Rated taceilent OwingiThel habeg LI.C, a wholly owned Every Vex Since 1007 smaller/ el The Sank of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L-- DAUMltAlED COMMUNCATIM (MUM( Cannatim (111a Mellon) a Pemba* LIX. merrta a„.. a fl an 2IS-C-1^ 1-v 004 7" DB-SDNY-0012563 EFTA_OOI 603,18 EFTA01291834 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 July 1,20 18 - July 31,2018 SOUTHERN FINANCIAL LLC Messages (continued) 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 Activity Type Description Quantity Fda Mowed haute Anent Currency Dividends and Interest 07109118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 23.11 USD DEPOSITS INTEREST RECEIVED Total Dividends and Interest - U.S. DOLLARS 0.00 23.11 Cash Withdrawals and Deposits 07/09118 CUSTOMER AUTHORIZED TRANS TO N4G.023804 -73,052.21 USD TRANSFER Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 -73.052.21 Page 5 of 8 Account %Hoe heed Casket Owing tlwonshPen PIC. • wholly armed 6try Yew Age2007 subsidiary *MeBanta New York Melba DAUMRAIID COMMUNICATIMS Cc•Pontim (MY Meta) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDgi AL- EXCatENCE Pe Mw tic. 'newt« FitakitklYtePA1_00049740 DB-SDNY-0012564 EFTA_00160349 EFTA01291835 Transactions by Type of Activity (continued) Protest) Settlement Dote *aidsType Description Guenter Price Awned mud Amulet Currency FDIC Insured Bank Deposits 07/09/18 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEMED 73,029.10 USO WITHDRAWAL Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 73.029.10 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Specielitt:ZEM Contact totormation MARTIN ZEMAN Telephone Number: 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 DEUVERY You have not selected any account com munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Page 6 of 8 Atom' Number. Reed Etcaornt owing(Inch hobosISC.• %play owned L1:6975331 10:20 (wry Vex S.K. 2007 subsiehis ot 1St SSEof New York Meica DMUS RAT ED COMNIUNCATIONS istittstiti (IINY Meta) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. L '— EXCELLING( Penis*. MC. merrier Fidlaaktigsseit_00049741 DB-SDNY-0012565 EFTA_OO16O35O EFTA01291836 I5I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 July 12018 - July 31,2018 SOUTHERN FINANCIAL LLC 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 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 Account Number. Rated hceilent cn& tinge.Pagan. LIC a .lolly owned Anit7S1910:20 Every Vex Since 2007 subsdiarniIlie Simko. New Yoek CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALIAR WED COMMUNCATIM EX( C Carpontim Penne. ut, Mellon) f toznA(41ympM_00049742 DB-SDNY-0012566 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 Med Carelent Owing Sae. habeg 1.1.C, a ebony owned AI 39753910:23 Every Year Shea 2007 subekhady of The bake. New Vo4 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L DALIAR RATED COMMUNICATICMS EXCISING Ceeponthee (MY Mellon) Perftre. LIJC. ',wrote. filiRIAPWELGM_00049743 DB-SDNY-0012567 EFTA_00160352 EFTA01291838 15I Deutsche Bank 0.4A“Ite Ourit PtIsate N,ala 4MPete.VI inet c.n.n. 6,0.; P.m.,. Sank S•ctrollin. Inc -.Tort Mr P.O. Box 1776, Baltimore, MD 212O3 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 at a Glance 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. Page ' of 9 Pateamant ClangMashhang LI.C, a ally woad nomono2s EveryVex Since 1007 sulmarft of The Sordi of New York Mellon DAISMI WED COMMLWATIONS Corponthm MO'Man) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID I • L- MULE/4C( Pentn..U.C.IntrrteimoznO11YLernM_00049744 DB-SDNY-OO12568 EFTA_DO160353 EFTA01291839 Summary of Gains and Losses Reeked This Period Yetto•Date Unrealized Short-Term Gain! Loss 0.00 9.00 1,529,584.00 Net Gain! Loss 0.00 0.00 1,529,584.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Yew-re-Date Taxatle Non Taxable 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 Page 2 of 9 Atom( Numbe Rated Cadent OwingIMO Pent/n.11( a Sally owned Every Yaw Since 2007 subsidiary el The Unit of New York Melba CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID L4 DAIJAR RAIID COMMUNCATICNS EX( CILEW ( CAS (MY Meta) U.C.inerrter FiliatAtlierolt 00049745 DB-SDNY-0012569 EFTA_00160354 EFTA01291840 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 June 1,2018 - June 30,20V SOUTHERN FINANCIAL LLC Portfolio Holdings Mooed Aditity Opting Closing Amid Income 30-Day Current Opening Dale Quantity Number Biding Nance Balance Income 'MeV= Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITSPROGRAII 06101/18 73,029.100 NM 06/29/18 73,001.20 73,029.10 15.41 121.71 NM NM Total FDIC Insured Bank Deposits $73,001.20 $73,029.10 $15.41 $121.71 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $73,001.20 $73,029.10 $15.41 $121.71 unieatind Estimated Estimated Dale Acquired Welly UM Celt Cost Beds MAO RS Market Valne Gain, Loss Annual Income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOM &entity Identifier AAPL Dividend Option: Crib CUSP:03783300 12107/17 100.000.000 169.8140 16,981,416.00 185.1100 18.511.000.00 1,529.584.00 292,000.00 157% Total Common Stocks $16 981 416.00 $18,511,000.00 $1,529,584.00 $292,000.00 TOTAL EQUITIES $16,981,416.00 $18,511,000.00 $1,529,584.00 $292,000.00 Unrealized Accrued Edireded Cod Bads Markel Von Cat Lon Interest MoodIacono TOTAL PORTFOLIO HOLDINGS $17,054,445.10 $18,584,029.10 $1,529,584.00 $0.00 $292,121.11 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 vices unless otherwise noted, have been obtained from independent vendor services, w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ Page 3 of 9 Accocci Numbeilla bled balked Owing tlwonshPastingIlt. a Slay craned A: tt::SOPS Every Year Age 2007 subsidiary a The Bonita New York Mete DAUMRAIID COMMUNICATIONS Cal:anti:a (MY Mellott) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCWENCE Pentw, MC. mutt, FitiRalikeaGM_00049746 DB-SDNY-0012570 EFTA_00160355 EFTA01291841 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.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 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 Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporat ion(SIPC). For disclosure of rates for DW S m oney market funds, please visit the DW S Investments website at httpsi / www.dws-investments.coml EN! products! money-market-funds-yieldsjsp Please note that all money market funds listed on the website may not be offered through us. Page 4 of 9 Account Number:- IIMeamearnt Omits.iThel Pelbeg LIC, a wildly owned Atet?! 3. Every Vex Since 1007 subscharft et The WS of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAIJAR WED C0MMUMCATI0NS EXCELLENCE Cementhoe Ma Mellon) µC, f lottAlAtiYuLGM_0004974 DB-SDNY-0012571 EFTA_00160356 EFTA01291842 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 June 1, 2018 - June 30, 2018 SOUTHERN FINANCIAL LLC Messages (continued) Your statement reflects a substitute payment reimbursement because you received one or more substitute paymentslast year in lieu of a qualified dividend. This reimbursement is being made because substitute payments do not receive the same preferential tax rate as qualified dividends. We credited your account with an amount equal to 1323% of each eligible substitute payment. based on the difference between en assumed rate on ordinary income of 25% and the rate for qualified dividends of 15% (10% difference). We amended your reimbursement from 10% up to 13.33% to adjust for taxes paid on the reimbursement. This income will be reported on your Tax Information Statement as'Other Income' on Form 1099-MISC, Box 3. If you received a substitute payment reimbursement with respect to income from an investment company (mutual fund or unit investment trust), you may have received fess than 13.33% of the corresponding substitute payment. Since income from investment companies may consist partly of nonqualified dividend income, your reimbursement was calculated only on the percentage of income that qualifies for the preferential tax rate. If you have any questions regarding your reimbursement, please contact your advisor. 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 (15)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary an, VOW') are case. CreditsThisPeriod DebitsThisPeitod Net ThisPeriod Credits Yeeraci-Date Debits Year-batiste Net Year-to.Date Dividends and Interest $27.90 $0.00 $27.90 9136.121 71 $0.00 $136.121.71 Cash Withdrawals 0.00 0.00 0.00 0.00 46.970.35 46.970.35 Total Cash $0.00 $0.00 $0.00 $0.00 496,970.35 496,970.35 FDIC Insured Bank Deposits $0.00 427.90 427.90 $96,961.98 4136.113.34 439.151.36 Totals $27.90 427.90 $0.00 9233.083.69 4233,083.69 $0.00 Page 5 of 9 Account Numbe Rated Emedlont Own. Sae. habit. LIC, a wholly armed Every Vex Site 2007 subudiarft of The km of New Yak Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALY& WED COMMUNICATIONS Cita/AMC Carponthm (NO' Melon) on) DB-SDNY-0012572 EFTA_00160357 EFTA01291843 Transactions by Type of Activity Process Settlement Date Activily Type Description Quantity Price Acaved Intact moult Owing Dividends and Interest 06f16118 FDICINSURED BANK INSURED DEPOSITSINTEREST CREDITED 2790 USO DEPOSITS INTEREST RECEIVED Total Dividends and Interest - U.S. DOLLARS 0.00 27.90 FDIC Insured Bank Deposits 06/15118 FDIC INSURe) BANK INSURED DEPOSITS INTEREST RBINESTED -27.00 USO DEPOSITSINTEREST Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -27.90 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Samisen: DU 'foul InvtOment Information Contact JOSHUA SH OSHA N Telephone Number Your Account Informati n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual 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 communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Page 6 of 9 Account gembei Rated(Kant cow tinge,. PastingPIC. • %vitally craned Ett: I25 I . 1.141 taN Every Yaw Since 2007 subsidiary el The Banta New York Maw DALIIM WED COMMUNCATIONS CA•Pontimi (MY Meta) 46. CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) CONFID L--- EX( CILDK Penne. LIX. imnte, FiliMADMYE2C DB-SDNY-0012573 4 .4_00049749 EFTA_00160358 EFTA01291844 "I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 June 1,2018- June 30,2018 SOUTHERN FINANCIALLLC 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 (u) 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 Raze, 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 Lit 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 9 Account Nurna IIMeamearnt Owing tivagflenbang LIC, a wholly...fled ACC L2S.V1:325 Every Vex Since 1007 subekhady et The WS of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L- DAIJARItAlED C0MMUMCATI0NS CIC0AINCt Comenthoe (IIMY Mellon) Oen/la KC immter fINIZAAINguS.M-00049750 DB-SDNY-0012574 EFTA_00160359 EFTA01291845 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; Paged of 9 Account Numbe Rated taceilent Oaring tTheaNnbang LIC, a .bony owned Atemcsty.325 Every Yew Since2007 subsidiary of The &onkel Nen York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAIL& RAZED C0MMLINICATIM Eitel:UWE Con, ontim (Nfl Melon) am „ jean Rennet MC. nuttnbef asa l V1.1- P"—uOv"751 DB-SDNY-0012575 EFTA_00160360 EFTA01291846 TERMS AND CONDITIONS TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE BLOCK POSITIONER ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PF_RSHING'S OFFICES. A COPY OF IT W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHING.COM. STATEMENT. F 50. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WVVW PERSHING COMIDISCLOSURES TRANSACTIONS MIST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. 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 PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2)1 BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: MEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED IN MATERIAL PREVKRSLY FURNISHED TO NOV. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDNG THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SCE, AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE AcSC.rIATED WITH PERSHNG IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ME INDEBTED TO PERSHING LLC (PERSHNG') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SMALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHING 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 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. F ANY OF THE ABOVE TERMS AND CCM/ITIONS ME UNACCEPTABLE TO YOU. PLEASE HOEFTPERS-MG IMMEDIATELY IN WRITING BY CERTIFED MAIL TO ONE PERSHING PLAZA JERSEY CITY.NJ MN.ATTN LEGAL DEPT Page 9 of 9 Acatunt Numbe Rated (.earl Owing tiwonshPemba.PIC. • %okay owned A Cg n0lS (very Vox Since 2007 solmidiady a TMBonita New York Maw DAUM MUD commumcenats CeePeabm (MY Melon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CO ONFIDO. AL- (RECLINE( Penn.'s lltraerrte.HIMAAWY,I2Cat00049752 DB-SDNY-0012576 EFTA_00160361 EFTA01291847 Deutsche Bank Ottelsche Sank RIM< elernh Manifests. Mullet. Cavan* Gm,* DwAsch• Wit inmettlei Mc Mw net Clike P.O. Box 1776, Baltimore, MD 21203 34S Park be..,. )Mn ecor SIM May 1,2018 -Ma 31 2 0 18 Account Number SOUTHERN FINANCIAL LLC 6130 RED HOOK QUARTER B3 ST THOM ASVIO0 8 0 2 Portfolio at a Glance ThisPeriod Yeat4o-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE 216,526,001.20 816,956,877 74 Net Cash Deposits and Withdrawals 0.00 16.970.35 Adjusted Previous Account Value 16,526,001.20 16,859,907.39 Dividends, Interest and Other Income 73,000 00 136,093.81 Net Change in Portfolio' 2.161.000.00 1.764.000.00 ENDINGACCOUNTVAWE $18,760,001.20 $18.760,001.20 Estimated Anneal Income 5292093 81 '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 Yew-End last Period TAW Period 1% Cash, Money Funds, and Bank Deposits 33,877.74 1.20 73,001.20 99% Equities 16,923,000.00 16,526,000.00 18,687,000.00 100% Account Total $16,956,877.74 816,526,001.20 818,760,001.20 Please review your allocation periodically with your Investment Specialist. Page ' of Rated Cacao. Oaring Sae. Penbag LLC, a wholly owned At M0OKS3.01) Every Vex Sem2OO7 subsidiary*. The UM of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAUM MI ED COMNiuWATIONS EXCULENC( Cementer MT Melon) Panhas LLC.riverter FilienAWilYIELGM—00049753 DB-SDNY-0012577 EFTA_00I 60362 EFTA01291848 Summary of Gains and Losses Realized ThinPeriod Yetto•Date Unrested Short-Term Gain! Loss 0.00 0.00 1,705584.00 Net Gain! Loss 0.00 0.00 1,705,584.00 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' EC8' ) 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 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. FDICInsured Bank Deposits Dale Activity Type Desalphon Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 05/ 3113 05/01/18 Opening Balance 1.20 1.20 BEST M 0 05116 S120 05118/18 Deposit DEPOSIT 73,000.00 73,001.20 05/31/18 Closing Balance $73,001.20 Total FDIC Insured Bank Deposits $73,001.20 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Sank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,0 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 Yeas-lo-Dale Taxable Non Taxable Tanta Non Taxable Dividend Income Equities 73,000.00 0.00 136,000.00 0.00 Interest Income FDIC Insured Bank Deposits 0.00 0.00 93.81 0.00 Total Dividends, Interest, Income and Expenses $73,000.00 $0.00 $136,093.81 $0.00 Page 2 of 7 Accottt Numbs Rated hcallent Owing Omer PmbingPIC • •frally mood (wry Yaw Since 2007 subsidiary TMBoit na New York Mellon DALIAR RAT ED COMNOCATIONS Corpontim (MY Mallon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- Dalt CNC t PenheollCarte.FiliaktgaGM- 00049754 DB-SDNY-0012578 EFTA_00160363 EFTA01291849 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 M ay 1, 2018 - M ay 31, 2018 SOUTHERN FINANCIAL LLC Portfolio Holdings Amon' AdMly Opening Omni Accrued Imam 30.0ey Current Opening Ode Walley Number Biding Name Balance Income This Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITSPRO(>RAM 05101/18 73,001.200 NIA 05131116 1.20 73,001.20 12.60 9311 NIA NIA Total FDIC Insured Bank Deposits $1.20 $73,001.20 312.60 $93.81 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $1.20 $73,001.20 $12.60 $93.81 Unrealized Estimated Estimated Oste knifed Cloadily Uail Cat Cod Beds Merkel Price Medal Vibe Gain!' Loss Annual Income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA &only Ideatifid: AAPL Dividend Option: Cab CUSP:0378331)0 12107/17 100,000.000 169.8140 16,981,416.00 1861700 18.687.000.00 1305.584.00 292,000.00 156% Total Common Stocks $16 981 416.00 $18,687,000.00 $1,705,584.00 $292.000.00 TOTAL EQUITIES $16,981,416.00 $18,687,000.00 $1,705,584.00 $292,000.00 Unrealized Accrued Estimated Cal Bads Mead VS. Get' Lose Inlaid Annual income TOTAL PORTFOLIO HOLDINGS $17,054,417.20 $18,780,001.20 $1,705,584.00 $0.00 $292,093.61 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 10 99-B for the applicable tax year in which 1he 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 Tnis 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, w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ Page 3 of 7 Account Humber. RattatC0401 Owing Sae. Penkati LI.C, a essay owned Every Vex Silt! 2007 'malodor/ el The Sank of New York Mete DAWN MUD COIMouVCATIONS CA•Pratice arivaseannt CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCII CNC( Penhee LI.C.intrter Fililltatikkaat DB-SDNY-0012579 00042755 EFTA_00160364 EFTA01291850 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. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOES NOT EQUAL THESTATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) 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 et 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 It 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1per 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-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). Page 4 of 7 Account Numb.' Rated (learnt Owing tlwonsh ',entity PIC. • Sly owned Every Yaw Since 2007 subsidiary e4 The Bonita New York Mete DAUM WED co...monomer* CA•Watim (MY Melba) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EX( LENC Penne. EEC. 'sent. fittakitkriteat00049756 DB-SDNY-0012580 EFTA_00160365 EFTA01291851 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 May1,2018 - May31,2018 SOUTHERN FINANCIAL LLC Messages (continued) For disclosure of rates for DW S money market funds, please visit the DW S 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. Activity Summary (All amounts shown stern base currency) Credits This Period Debits ThisPeliod Net ThisPeriod CredltsYmPla•Oute DelAsYeaPlo•OMe Net Year-to-Dale Dividends and Interest $73,000.00 $0.00 $73,000.00 $136,093.81 $0.00 5136,093.81 Cash Withdrawals 0.00 0.00 0.00 0.00 -96,970.35 -98,970.35 Total Cash $0.00 $0.00 $0.00 $0.00 496,970.35 496,970.35 FDIC Insured Bank Deposits $0.00 473,000.00 473,000.00 $96,961.98 4136,085.44 439,123.46 Totals $73,000.00 473,000.00 $0.00 $233,055.79 4233,055.79 $0.00 Transactions by Typeof Activity Process Seltlernerl Date Adivily Type Desalption Oulatity Prier Palled lateral Amount twangy Dividends and Interest 05117/18 CASH DIVIDEND RECEIVED V0000 SHRSAPPLEINCCOM RD 05/14 PD 0510!0 13,000.00 USD AAPL Total Dividends and Interest- U.S. DOLLARS 0.00 73,000.00 FDIC Insured Bank Deposits 05118118 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 43,000.00 USD Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 -73,000.00 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 5 of 7 Accoul Number Rated Cacellent Owing throuslaNntingPIC 'Sally weed EveryVex Sloce 2007 subsidiary SIM bnlat New York Mellon DALIN, VOID COMMUNCATICNS COW•th20 (OW Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO AL- EXCOAENCC Penn.'s MC. 'wan Filiatitegt DB-SDNY-0012581 00049757 EFTA_00160366 EFTA01291852 Cl ient Service Information Youi 'meal SpedaNd:ENJ Contact IIImitation JOSHUA SHOSHAN Telephone Number: Y ur 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 communications for electronic delivery. To register and turn off paper communications, 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.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. Page 6 of 7 Account Number Rated hceilent Owing Swish ',enlistsIlt. a Sally owned Every Yaw Since 2007 subsidiary aT e Bonita New York Melba DALIIM WED commumomotts Cannatim (MY Mellott) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL- EXCULCNCE Pentw, 1.1.C.IMMta fliactlYiEleat 00049758 DB-SDNY-0012582 EFTA_00160367 EFTA01291853 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M ay12018 - May312018 SOUTHERN FINANCIALLLC Important Information and Disclosures (continued) 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 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 (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; Page of ; Account Number Pateamant Oang dash Mani LI.C, a ally armed A:ODOM:CS Every Vex Siva 1007 sulmarft of The Ilardi of New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L DAIJARItAlED COMMUMCATICMS EXCOAD.Ct Camonthm (MY Man) Penne. KC nver-ter miRIANIYASIM_00049759 DB-SDNY-0012683 EFTA_00160368 EFTA01291854 15I Deutsche Bank DttelEhe Sank POW< MaIth Manifesto. Mullet Cavan< Geom. o.e. (he Om* Semeitini Mc Ntw net Vike P.O. Box 1776, Baltimore, MD 21203 34$ Net ft.e-ve. MO f keg April 1, 2018 - April 30 2018 Account Number SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVIO 0 80 2 Portfolio at a Glance ThisPerind Year-Wale Your Investment Specialist. BEGINNING ACCOUNT VALUE $16,874,924.94 $16,956.877.74 JOSHUA SHOSHAN Net Cash Deposits and Withdrawals 46.970 35 46.910.35 Adjusted Previous Account Value 16,777,954.59 16,859,907.39 Dividends, Interest and Other Income 46 61 63,093.81 Net Change in Portfolio' •252,000.00 -397.000.00 ENDINGACCOUNT VALUE $18,526,001.211 $1028,001.20, Estimated Anneal Income 5252.093 81 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 Yeet-End Last Peeled Tills Period 1% Cash, Money Funds, and Bank Deposits 33,877.74 96,924.94 1.20 99% Equities 16,923,000.00 16,778,000.00 16,526,000.00 100% Account Total $10,9505,817.74 916,874,924.94 916,526,001.20 Please review your allocation periodically with your Investment Specialist. Page ' of 8 Rateamedlent Perim Salem looMong LIC.• eft* owned *tomes= Every Vex Site 2007 subekhady et The bake. New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAIJAR MUD commumcAncres Cerponthm (SHY Mellon) Penh...* LIX. nn) DB-SDNY-0012584 EFTA_00160369 EFTA01291855 Summary of Gains and Losses Rested ThisPined Yaks-Dale Usresits4 Short-Term Gain! Loss 0.00 0.00 455,418.00 Net Gain! Loss 0.00 0.00 -455,416.00 This summary excludes transactions where cost basis information is not available. r Your Informati n 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 Adivity Type Description Amount Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 04f 30/ 18 03/30/18 Opening Balance 96.924,94 96.924.94 04/13f18 Deposit INTEREST CREDITED 37.04 96.961.98 A PY 0 45% 04/16118 Texas Capital Bank 96.961.98 A10 04/ 1659696198 04/24118 Withdrawal WITHDRAWAL -96,971 55 8.57 04/24118 Deposit INTEREST POSTED 9.57 0.00 0025118 Deposit DEPOSIT 1.20 1.20 0030/18 Closing Balance $1.20 Total FDIC Insured Bank Deposits $1.20 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership 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 ()Juin, Period Year-to-Dile Tavatee Non Taal* Taxable Non Taxable Dividend Income Equities 0.00 0.00 63.00000 0.00 Page 2 of B Account Number Rated Emarnt OwingUwwd.holingPIC a Sally owned CONFIDO. 4 AL- Every Veit Since 2007 DAUM, RAT ED CONVOCATIONS EXCEL INC t subsidiary a nne Unit of New York Meta Cc•Pontim (SW Meta) Penhe. LI.C.immter FIIIRAtIctreaGM_00049761 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012585 EFTA_00160370 EFTA01291856 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 kpril 1, 2018 - April 30,2018 SOUTHERN FINA N CIA L LLC Income and Expense Summary (continued) Cuttent Period Yealo-Dde Taxa,* Non Doable Untie Non Tootle Interest Income FDIC Insured Bank Deposits 46.61 0.00 93.81 0.00 Total Dividends, Interest, Income and Expenses $46.61 $0.00 $63,093.81 $0.00 Portfolio Holdings Amount AdMty Opening Dosing Acme name 38 .Day Corral Opening Die Quantity Nundir Ending Beam BANN Inane ThloVor Yield Ylekl CASH, MONEY FUNDS, AND BANK DEPOSITS 100% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTSPROGRJUI 03130/18 1.200 NIA 01130118 96 924 94 1.20 0.00 93 81 NM NIA Total FDIC Insured Bank Deposits $94924.94 $1.20 $0.00 $93.81 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $06,924.94 $1.20 $0.00 $93.81 MIMS Estimated Estimated Date Acquired Ovally Unit Cod Cod Bois Market Prke Mukot Value Gelmaoso Annual Income Yield EQUITIES 99 0 0% of Portfolio Common Stocks APPLE INCC011 Scanty Identifier AAPL Dividend Option:Cask CUSP:03183390 12107117 100,000.000 169.8140 16,981,416.00 165.2600 16,528,000.00 455,416.00 252 000.00 1.52% Total Common Stocks $16,961,416.00 $16,526,000.00 4455,416.00 $252,000.00 TOTAL EQUITIES $16,981,416.00 $16,526,000.00 4455,416.00 $252,000.00 Unrealized Acaued Egimated Coll Beds MerksI Value Goan; Loss Mined Annual raceme TOTAL PORTFOLIO HOLDINGS $16,981,417.20 $16,526,001.20 4455,416.00 $0.00 $252,093.81 Page 3 of 8 Account Number: Rated C4e4lent Owing tinge,.Pen PIC• whollycowned CONFIDO. 4 AL- Every Yaw Since 2007 DALBAR RATED COMMUNCATIONS EXCIALLNa subsidiary a The Bonita New York Melba CAS COMY Melon) Penhat LIX. 'newts. FiliFlAtIctlYaGht00049762 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012586 EFTA_00160371 EFTA01291857 Portfolio Holdings (continued) 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 1399-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 10998. 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 from the actual sale price. Securities for which a price is not available are marked "NIA" and are omitted from the Total. THEAS OF PRICE DATE ONLY APPEARSW HEN THE PRICEDATE DOESNOT EQUAL THE STATBA ENT DATE Estimated Annual Figures The estimated annual income ( EM) 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.corni 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. Page 4 of 8 Account NumbeIIIIM Rated(Kant Owing throng% PenbingPIC a wholly owned Every Vex Since 2007 subsidiary a The Bonita New York Mellon DAMN MID) COMMUNICATIONS CoWatim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. EX(MENU Pests* cement. FititatiAttedaGM 00049763 DB-SDNY-0012587 EFTA_00160372 EFTA01291858 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 April 1,2013 - A pril 30, 2018 SOUTHERN FINANCIAL LLC Portfolio Holdings Disclosures (continued) 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 $1per 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-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 m oney market funds, please visit the DW S Investments website at httpsJ / www.dws•investments.coml EN! products! money-market•funds•yieldsjsp Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account ControlAgreem ent, Activity Summary (Ar. am,unts soon n cif J1 Oase ..gren_y) Credits ThisPeriod Debits ThisPeriod Net ThisPeriod Credits Yea4o•Dele Debits YeateceDate Net Yeer•to•Date Dividends end interest 946.61 $0.00 $46.61 $63,093.81 $0.00 $63,093.81 Cash Withdrawals 0.00 46.970 35 48.970.35 0.00 46.970 35 46.970.35 Total Cash $0 .00 496.970 35 498.970,35 $0.00 496.970.35 498.970 35 FDIC Insured Bank Deposits $96,961.98 438.24 $96,923.74 $96,961.98 -$63,085.44 $33,876.54 Totals 997,008.59 397.008 59 $0.00 9180.055.79 4160,055.79 $0.00 Page 5 of 7.„ Account Numb. Raltalttilerlt Oang dash hang LIC, a ally armed A:OW:MD:21 Every Vex Sine 2007 sulmarft of The Sonli of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAIJAR WED COMMUNICATIONS EXC lENC Carponthm OW Man) Perftwq LLCMS!,i-tei ElliRIAWIIYULGM_00049764 DB-SDNY-0012588 EFTA_00I 60373 EFTA01291859 Transactions by Type of Activity Noes Settlement Dote Adielly Type Description Quantity Price Accrued Intend Amount During Dividends and Interest 04/13/18 FDIC INSURED BANK INSURED DEPOSTSINTEREST CREDITED 37.04 USD DEPOSITS INTEREST RECEIVED 04124118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED INCOME REDEEM ED 9.57 USD DEPOSITS INTEREST RECEIVED Total Dividends and Interest - U.S. DOLLARS 0.00 48.61 Cash Withdrawals and Deposits 04124/18 CUSTOMER AUTHORIZED TRANS TO 16,970.35 USD TRANSFER Total Cash Withdrawals and Deposits -U.S. DOLLARS 0.00 41970.35 FDIC Insured Bank Deposits 04113118 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -37.04 USD DEPOSITS INTEREST 0024/18 FDIC INSURED BANK INSURED DEPOSITS PROGRAM FULL PRINCIPAL REDEEM ED 96.981.98 USD WITHDRAWAL USD999997 04/25/18 BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.20 USD Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 96,923.74 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Investment Spedalist EN J Content leletmetion JOSHUA 9405-IAN Telephone Number: Page 6 of 8 Amour Number; Rated (warm Owing tlwonshPasting EEC. • %okay owned At cuncSle:n Every Yaw Since 2007 subsidiary SIMBonita New York Plebe DAUM WED commumcenores CoPontim (1110 Mellon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- MULI:NC( Penhat MC. tn. FilatalctlYaGM_00049765 DB-SDNY-0012589 EFTA_00160374 EFTA01291860 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 April 1, 20 113 - A pril 30, 2018 SOUTHERN FINANCIALLLC Your Account Informati n 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 munications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. Important Information and Disc sures 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.comi 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 reconfirmed In writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LW, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399—. Errors and Omissions excepted. Page • of .1. Atm.,' Number Paled taceilent Owing throughPastingPIC. a %Sony owned Every Yaw Since 2007 subsidiary a The Bonita New York Mellon DAISAR WED commumourctis Cannatim (1111Y Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EX(QLCNCC Penhas lltrnente.Filiatctirietel_ 00049766 DB-SDNY-0012590 EFTA_00160375 EFTA01291861 Import ant Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by 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 tiled, 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 classcertification 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 Paged of 8 Aco3unt Numb. taceilent Claim tlarartni LLC, a wholly owned At 0 WICS),:23 EveryVox Since 2007 mbar/ of The km of New York Mellon DAUMMIED C0MMUMCATICMS Camonthm OW Man) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg L- EXC0AENCC Per)he. utdren-te, motAgAineroM_00049767 DB-SDNY-0012591 EFTA_00160376 EFTA01291862 15I Deutsche Bank OftetukeMmihh**AMOOM4nmeimek meletaCeanam Gm* 0velchreastsemrmet.n. Mtwne1C4ke P.O. Box 1776, Baltimore, MD 21203 145PokAce,w.)60, 14N DOW, liiiiiii Th9 March 1,2018 - M arch 31,2018 Account Number: SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 Portfolio at a Glance This Period Tear4o-Date Your Investment Specialist. BEGINNING ACCOUNT VALUE 817,908,891 50 816.956.87774 JOSHUA SHOSHAN Adjusted Previous Account Value 17,908,891.50 16,956,877.74 Dividends. Interest and Other Income 33 44 63.047 20 Net Change in Portfolio' .1.034,000.00 ,145,000.00 ENDINGACCOUNTVAWE 918,874,924.94 616,814,924.94, Estimated Annual Income 5252.047 20 '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 Ansel Type Prior Year-End Lad Period Ms Period 1% Cash, Money Funds, and Bank Deposits 33,877.74 96,891.50 96,924.94 99% Equities 16.923.000.00 17,812,000.00 16,778,000.00 100% Account Total $16,958,877.74 817,908,891.50 816,874,924.94 Please review your allocation periodically with your Investment Specialist . Page oft Omit. Sae, Penbni LI.C, a wholly, armed At 02tXaot t2S Every Yost Siam 2007 fulmar/ of The bake. Neal York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO L DAUMMUD COMMUMCATIONS EXCIILENCE Cereombee (MY Mellon) Pemba MC. 'newt,' FINRAAWASIM_00049768 DB-SDNY-0012592 EFTA_00I 60377 EFTA01291863 Summary of Gains and Losses Beaked This Period Yetto•Cole Mutated Short-Term Gain! Loss 0.00 0.00 203,416.00 Net Gain! Loss 0.00 0.00 -203,416.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Adivity Type Description Amount BSince Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 03/29/18 03/01118 Opening Balance 96,891.50 96,891.50 03/15/18 Deposit INTEREST CREDITED 33.44 96,924.94 A PY 0 45% 03116/18 Texas Capital Bank 96,924.94 A/ 0 03/ 16 596924 94 03129/18 Closing Balance $96,924.94 Total FDIC Insured Bank Deposits $96,924.94 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Sum ma, y Current Period YetutekDde %We Non Tualie Tuft Hon Tzgiblt Dividend Income Equities 0.00 0.00 63,00000 0.00 Interest Income FDIC Insured Bank Deposits 33.44 0.00 4T.20 0.00 Total Dividends, Interest, Income end Expenses $33.44 $0.00 $63,04T.20 $0.00 Page 2 of 8 Account Nurnbor: kot4(wollent Owing tinge.Penton.PIC. • wildly owned A102631t33)0 23 buy'eart9wsiNg subsidiary a The Bonita New York Melba CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAWRWEDCONNUNCATIONS umana CoWatimi (MY Melea) Penne. MC. intrita FilitatiAngPM_ 00049769 DB-SDNY-0012593 EFTA_00160378 EFTA01291864 I5I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M arch 1,2018 - M arch 31,2018 SOUTH ERN FlNA N CIA L LLC I Portfolio Holdings Amor AdMXy Opening Dosing haute learnt 30-Day Current Opening Dale Ovally Number aging Name Ulna Name Trainer Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 03101/18 98,924.940 Nth 03/29/18 96,891.50 98,924.94 20.31 47.20 NIA NIA Total FDIC Insured Bank Deposits $96,891.50 $96,924.94 $20.31 $47.20 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $96,891.50 $96,924.94 $20.31 $47.20 lbreatted Estimated Estimated Dote Acquired Cessolly WI Cad Cod Beds Merkel Price Medal Vsles We/Los Annual Income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCC011 &amity Identifier AAPL Dividend Option: Cub CUSP: 0378331)0 12107117 100.000.000 169.8140 16,981,416.00 167.7800 16.778.000.00 .203.416.00 252,000.00 1.50% Total Common Stocks $16 981 416.00 $16,778,000.00 4203,416.00 $252,000.00 TOTAL EQUITIES $18,981,416.00 $16,778,000.00 4203,416.00 $252,000.00 derailed Acme Warded Cod Bads Merkel Value Get Loss lamest Somalia:me TOTAL PORTFOLIO HOLDINGS $17,078,340.94 $16,874,924.94 4203,418.00 $0.00 $252,047.20 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 1he 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 prtces 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 Account Number. Rated (learnt owing tinge,. holingPIC a Sally owned Every Yost Since 2007 subsidiary time Bonita New York Meta DAUMMUD COMMUNICATIONS Cartaatim (MY Mellon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EX( a W.4C Penile* MC.rnerrte. MiltaIMELGM_O0042770 DB-SDNY-0012594 EFTA_00160379 EFTA01291865 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 HD! THE PRICEDATE DOES NOT EQUAL THESTATEM 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.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 It 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1per 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-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). Page 4 of 8 Account Number Rated (weirnt OwingIMO holingIlt. a Sally owned Emy Veit Since 2007 subsidiary a The Unit of New York Melon DALBAR WED COMMUNICATIONS CaPonth20 (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCIA CNC t Penile.; MC. iftlinber FIIIRADWARPM_00049771 DB-SDNY-0012595 EFTA_00160380 EFTA01291866 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 M arch 1, 2018 - M arch 31, 2018 SOUTHERN FINANCIAL LLC Messages (continued) For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsi / www dws.invest m ents.com/ EN! products/ m oney-m arket-funds-yieldsjsp Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement. Activity Summary (Afi amounts snown are in LI a se currency) Ciedits This Period Debits This Period Net IldsPerlod Credits Teal-to-Date Debits Year-tot". Net Yeablo-Date Dividends and Interest $33.44 $0.00 $33.44 $63,047.20 $0.00 $63,047.20 FDIC Insured Bank Deposits $0.00 433.44 433.44 $0.00 463,047.20 463,047.20 Totals $33.44 433.44 $0.00 $63,047.20 463,047.20 $0.00 Transactions by Typeof Activity Process Sellkneel Deft AdIvily Type Deusiption Quantity Price Accrued littered Amount Currency Dividends and Interest 03/15/18 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 33.44 USD DEPOSITS INTEREST Total Dividends and Interest - U.S. DOLLARS 0.00 33.44 FDIC Insured Bank Deposits 03/16118 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -33.44 USD DEPOSITS INTEREST REINVESTED Total FDIC Insured Bank Deposits - U.S. DOLLARS 0.00 33.44 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 5 of 8 Acbout Numbe Rated taceNnt Owing ',entity IIC.• Sally owned Every Yaw Since 2007 subsidiary SIMUnita New York Mellor. DALIIM WED commumcenotes Colneatimi (MY Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDRVALe EXCQEENCC Penn. 4C. FiumNillalimPik00049772 DB-SDNY-0012596 EFTA_00160381 EFTA01291867 Client Service Information Your Investment Speciehot: ENJ Contact litormation JOSHUA SH OSHA N Telephone Number: 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 AM ORTIZATION ELECT IONS 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 ELIVERY 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. 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.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. Page 6 of 8 Account Numbe Rated(Kant Owing Own%Pinkly PSC a slay weed AM, Every Vex Since 2007 suboldiani The Bonita New York /Mtn DAUM MILD coouvracAncres Comeatim (MY Maim) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- LACULEMCC POnhal; uE. iftlfnba FIllitaakra00049773 DB-SDNY-0012597 EFTA_00160382 EFTA01291868 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 M arch 1,2018 - M arch 31,2018 SOUTHERN FINANCIAL LLC Important Information and Disclosures (continued) 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 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 (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 7 of 8 Account Numbe Medhallent OaringIMO. Pathan Ltd, a wbolly owned At 02tXaots Every Year Age 2007 subothary Ilie &onkel New York Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DALIAR RAIID COMMUNCATICOS EXCIIMICIE Carpontim (MY Mellon) Penhas utinerrte f lottAl4IYAELGM_000497 DB-SDNY-0012598 EFTA_00I 60383 EFTA01291869 TERMS AND CONDITIONS TRANSACTIONS PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITKNER, ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED ARMOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCML INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST. WITH PFPRHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WVVW.PERSHING.COM. STATEMENT. F SO. WE TRANSACTIONS WU APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WV/AN PERSHING COMOISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. 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 PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE1307(A)(1)42)) BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATOR DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED IN MATERIAL PREVIOLSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBNED STATEMENT OF TO CERTAAN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDNG THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SCE, AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE NTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO NCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN INVESTORS ARE ENCOURAGED TO CONSULT THEIR TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ME INDEBTED TO PERSHING LLC ('PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG 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 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 CR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. F MY OF THE ABOVE TERMS AND CONDITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTIFY PERS-MG IMMEDIATELY IN WRITING SY CERTIFEO MAIL TO ONE PERSHING PLAZA JERSEY CITY.NJ OMR. ATT. LEGAL DEPT Page 8 of 8 Acatunt Number. PBS Emairnt Owing tinge.P.nt LLC a Sally owned Ai t ItC25 (very Vex Since 2007 subsidiary a The Bonita New York Melee DAWN RATED co...monomer* Carinatimi (MY Mellon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCELLENCE Penhas Mt. fitialikritEPM_00049775 DB-SDNY-0012599 EFTA_00160384 EFTA01291870 15I Deutsche Bank OftetukeeMinkfthateMMAhlingtimeM 'uncut...am Gm.* Ovelchesastu.witet..mc lOwne1C4(0 P.O. Box 1776, Baltimore, MD 21203 34$P444.117.)601*or .1 OOin DOW : February 12018 - Februar 28 2018 Account Number SOUTHERN FINANCIAL LLC 6/30 RED HOOK QUARTER B3 ST THOM ASVI00802 Portfolio at a Glance ThisPeriod Year4o-Date Your Investment Specialist. BEGIN WING ACCOUNT VALUE $16,776,878.55 $16,956,877 74 JOSHUA SHOSHAN Adjusted Previous Account Value 16,776,878.55 16,956,877 74 Dividends, Interest and 011ie( Income 63.012 95 63.013 76 Net Change in Portfolio' 1,069,000.00 889,000 00 ENDiNGACCOUNT VALUE $17,908,891.60 $17,908,891.60, Estimated Annual Income 5252.013 76 I 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 Yeas-ad Lad Period This Period 1% Cash, Money Funds, and Bank Deposits 33,877.74 33,878 55 96,891.50 99% Equities 16,923,000.00 16.743,000 00 17.812.000.00 100% Account Total $16,956.877.74 $16.776,878.55 $17 908,891 50 Please review your allocation periodically with your Investment Specialist. Page ' of Rated taceilent OwingIMO. Mani LLC, a wildly owned AI Wei:9135 Every Vex Saes 1007 sl:oldie/elThe Sank of New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDO. L DAUM& WED COMMUNCATIONS EXCIILENCt Cannatim (MY Mellon) Penme. LLC. mtrytt. n ran a 1 -Stli a a e-"n—v004 7 ru DB-SDNY-0012600 EFTA_00160385 EFTA01291871 Summary of Gains and Losses Realm This Period Vett°.Dale UlnaInd Short-Term Gain! Loss 0.00 9.00 830,584 00 Net Gain! Loss 0.00 0.00 830,584.00 This summary excludes transactions where cost basis information is not available. For Your Information 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 Desaiplion Amount Barna Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: 02128/ 18 02/01/18 Opening Balance 33.878.55 33,818.55 02115/18 Deposit INTEREST CREDITED 12.95 33,891.50 A PY 0 45% 02118/18 Deposit DEPOSIT 63.000 00 96,891.50 Citibank N A. A! 0 02/10 $98891.50 02/28/18 Closing Balance $96,891.50 Total FDIC Insured Bank Deposits $98,891.50 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Quint Period Yeet-to-Die Turtle Non Taxabk Tueble Nom Taut* Dividend Income Equities 83,000.00 0.00 63,000.00 0.00 Interest Income FDIC Insured Bank Deposits 12.95 0.00 13.76 0.00 Total Dividends, Interest, Income and Expenses $83,012.95 $0.00 583,013.78 $0.00 Page 2 of 7 Accoant Number: Rated Etcdent Owing eningPaging LLL a wkolly owned At:Wren:A Every Vex Sac. 2007 subsidiary el The Bonita New York Melloa DALBAR RAT ED CONVOCATIONS Cc•Pontim (MY Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID L4 EXCIAANCt Penile.; MC. mtnte,FiliRAtaieaGM_OOCuigiii DB-SDNY-0012601 EFTA_00160386 EFTA01291872 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 February 1, 2018 - February 28, 2018 SOUTHERN FINA N CIA L LLC Portfolio Holdings Account AdMty OMAN Dosing Acaued income 30.Oay Current Opening Dale Quality Number Biding Nance Biwa Income This Yea Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS 1.00% of Portfolio FDIC Insured Bank Deposits DORM DEPOSTSPROGRAII 02101/18 98,891.500 NM 02/28118 33,878.55 96,891.50 15 53 13 76 NIA NM Total FDIC Insured Bank Deposits $33,878.55 $96,891.50 $1553 $1376 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $33,878.55 $96,891.50 $1553 $13 76 Unrealized Estimated Estimated Ole Acquired Quality Wit Cad Colt Bet Merkel Rice Mend VS. pin~Loss Annual income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA &unity identifier AAPL Dividend Option: Cask CUSIP: 0378331)0 12107117 100.000.000 169.8140 16,081,416.00 178.1200 17.812.000.00 830.584.00 252,000.00 1 41% Total Common Stocks $16 981 416.00 $17,812,000.00 $830,584.00 8252,000.00 TOTAL EQUITIES $16,981,416.00 817,812,000.00 $830,584.00 8252,000.00 Unrealized Accrued Estimated Cod Beds Merkel Value Get Lon Interest Annual lames TOTAL PORTFOLIO HOLDINGS 817,078,307.50 $17,908,891.50 $830,584.00 $0.00 $252,013.16 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 1he 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 10998. 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 paces. unless otherwise noted, have been obtained from independent vendor services, w hich we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ Page 3 of 7 Account Dated(Kant OwingDirochholingPIC a Sally weed Numbs.::661!CSI::t Every Yaw Site 2007 subsidiary *Me Sont of New York Mika DAUM WED coaveueacAncres OflonEM (MY MUM) CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) CONFIDO. AL- EX(DUX Penne, U.C.immte,FDditallia DB-SDNY-0012602 0000778 EFTA_00160387 EFTA01291873 Portfolio Holdings Disclosures (continued) Pricing (continued) from the actual sale price. Securities for which a price is not available are marked "NIA" and are omitted from the Total. THEAS OF 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 (SAY) 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 Ph, 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1per 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 EEC Rule 106-10(6)(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). Page 4 of 7 Account Number. Rated (scant onring throne.PentonLi( • Away owned Every Vex Since 2007 subodNy SIN &onkel New York WON DAUM MUD CONVOCATIONS Cape at Maw) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- MEUCCI Penne, I.LC.rnerrter FIIIRActitegtst00049779 DB-SDNY-0012603 EFTA_00160388 EFTA01291874 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 February 1,2018 - February 28,2018 SOUTHERN FINANCIAL LLC Messages (continued) For disclosure of rates for DW S money market funds, please visit the DW S Investments website at httpsif www.dws-investments.comi EN/ products/ money-market-funds-yields.jsp Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement. A ct ivit y Summary (All amounts shown areIn ease currency) Geniis This Puled Debits ThisPeded Net Needed tredits Yete4o•Date Debits Yeas4o•Dele Net Year-to-Date Dividends and Interest $63,012.95 $0.00 $63,012.95 $63,013.76 $0.00 $63,013.76 FDIC Insured Bank Deposits $0.00 463,012.95 $63,012.95 $0.00 463,013.76 $63,013.76 Totals $63,012.95 463,012.95 $0.00 $63.013.76 463,013.76 $0.00 Transactions by Type of Activity Process Selllemeni Dl" AdIvily Type Dtscilption 12oMity Price Accrued !Merest Amount CuffMID/ Dividends and Interest 02115118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 12.95 USD DEPOSITS INTEREST RECEIVED 02115/18 CASHDIVIDENC RECEIVED D0000 SHRSAPPLEINCCOM R00212PDOM5113 63,000.00 USD AAPL Total Dividends and Interest - U.S. DOLLARS 0.00 63,012.95 FDIC Insured Bank Deposits 02115118 FDIC INSURED BANK INBRED DEPOSITS INTEREST REINVESTED -12.95 USD DEPOSITSINTEREST IN 02/16/18 Mir BANK DEPOSIT INSURED DEPOSITS PROGRAM 43,000.00 USD Total FDIC Insured Bank Deposits-U.S. DOLLARS 0.00 43,012.95 Page 5 of 7 Await% Note path brellent cow throughPenangLt. a Sway owned Every Year Same 2007 solmieliarft Mille &onkel New York Mellon DAM& eAlID C0MMUMCATIOM Cerpontim (MY Melon) CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFID AL-- EXCLUDeCt nentnll.C.intrrte HonatIklitero64 00049780 DB-SDNY-0012604 EFTA_00160389 EFTA01291875 Transactions by Type of Activity (continued) Process( Settlement Date Adivily Type Description Quantity Price Maned littered Minuet Owing Total Value of Transactions 0.00 0.00 MO The price and quantity displayed may have been rounded. Client Service Information Your Investment Spedwit: DU Comm offoimstion JOSHI IA CH CICHA N Telephone Number: Your Account Information TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual 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 communications for electronic delivery. To register and turn off paper corn munications, log in to your account or contact your Investment Specialist for more information. moc'tan: lformation 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 Account Numbe bled hceilent Owing tlwachPentingPIC a slay owoM Every Vox Since 2007 subilliady a the Budt a New York Mete DAISM WED couvaumcAncres CaMnEhm (OW Mellor0 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- CACEllENC Penile.; MC. 'wan FilatatiAtreaGM_00049781 DB-SDNY-0012605 EFTA_00160390 EFTA01291876 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 February 1, 2018 - February 28, 2018 5OUTH ERN FINANCIAL LLC Important I nforma, ion and Drscl sires (continued) The Role of Pershing (continued) 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 WPC 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 n n n i t 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 LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client Is excluded from the class by the court. Such forbearance to enforce an agreem ent 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 7 of 7 Account Nunte Rated Eicallent Owing tlwonshPenton.LLC a Sally owned Every Vex Snce 2007 subsidiary aiM Bonita New York Mellon OMAR RATED COMMUNICATIM Cortaatim (IIMY Mellott) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCII INC t Pomba; inerreef FIlltatikteaeltst 00049782 DB-SDNY-0012606 EFTA_00160391 EFTA01291877 Deutsche Bank donne Sank Private oVeSth Mannerists. Marten Coeirfaie &owe tintsch• Sank Searle.. Inc. Nee Von Once P.O. Box 1776, Baltimore, MD 212O3 HS Pet Anna.. fl it Mot ll er Wa. XV 10134 Teur.. 0irecl January 1, 2018 - January 31, 2018 Account Number: SOUTHERN FINANCIAL LLC 6/3O RED HOOK QUARTER B3 ST THOM ASVIO O 8O 2 Portfolio at a Glance ThisPeriod Year-lo-Date Your Investment Specialist. BEGIN WING ACCOUNT VALUE 916 956,877 74 $16,956,877.74 JOSHUA SHOSHAN Adjusted Previous Account Value 16,956,877.74 16,956,877.74 Dividends. Interest and Other Income 081 081 Net Change in Portfolio' -180,000 00 •180.000.00 ENDINGACCOUNTVAWE $16,776,87865 $16,776,878.55 Estimated Annual Income 5252.000 81 Net Change in Portfolio isthedifference 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 Year-End Last Period This Period 1% Cash, Money Funds, and Bank Deposits 33,87714 33,877.74 33,878.55 99% Equities 16,923,000.00 16,923,000.00 16.743.000 00 100% Account Total 916,956,877.74 $16.956.877.74 916.776.878.55 Please review your allocation periodically with your Investment Specialist Page ' of Rated Emedlent OaringiThelhabeg LIC, a wildly owned At 00S1,M3 Ott Every Yew Since 1007 subewhon/ of The bake. New York Mellon CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFID L DAIJAR MUD COMMUNICATIONS EXCELLENCE Cerponthee (MY Mellon) Pemba MC. immter filiRIAINguS.M—00049783 DB-SDNY-OO12607 EFTA_OO16O392 EFTA01291878 Summary of Gains and Losses Raked ThisPaled Yetto•Date Waked Short-Term Gain! Loss 0.00 9.00 -238,418 90 Net Gain! Loss 0.90 0.00 -238,418.00 This summary excludes transactions where cost basis information is not available. For Your Informati n The European Central Bank (the' EC8' ) 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 Bare Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Activity Ending: OV 31/18 12130/17 Opening Balance 33,877.74 33,877.74 01/12/18 Deposit IN CREDITED 0.81 33,818.55 A PY 0 03% 01118/18 Citibank N A 33,818.55 A/ 0 0 V 16 5338 78 55 01131118 Closing Balance 03,878.55 Total FDIC Insured Bank Deposits 833,878.55 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Otirent Period YeautmDate bustle Non Taxable Suable Non Taxable Interest Income FDIC Insured Bank Deposits 0.81 0.00 0.81 0.00 Total Dividends, Interest, Income and Expenses S0.61 $0.00 $0.81 $0.00 Page 2 of 7 Account Mamba' Amu: I. i s iq Mee Every Year Since 2007 Owing throughPiningIlt. a wally owned subsidiary SIM Bonita New York Melba CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDE. AL- DAYAR RAIID COMMUNICATIONS EXCLUDICt Caponthal (SW Meta) Pentw, LIX.inerrter FilitalkkiELGM_00049784 DB-SDNY-0012608 EFTA_00160393 EFTA01291879 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 January 1, 2018 - January 31,2018 SOUTHERN FINANCIAL LLC I Portfolio Holdings Coxed AdMty 09min0 Acaued income 30.Day Current Opening Dale Quoddy Number Biding Balance Balance Income This Year Yield Yield CASH, MONEY FUNDS, AND BANK DEPOSITS t 00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTSPROGRAII 12130/17 33,878.550 WA 01/31/18 3387774 33,878.55 668 081 N/A N/A Total FDIC Insured Bank Deposits $33,877.74 833,878.55 $6 68 $081 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $33.877.74 $33,878.55 $6.68 $0 81 Unrealized Estimated Estimated Ode Aspired Nally Unit OM Cod Bads Market Prim Markel Wee pint Loss Annual income Yield EQUITIES 99.00% of Portfolio Common Stocks APPLE INCCOIA Emily Identifier AAPL Dividend Option: Cask CUSP:0378331)0 12107/17 100.000.000 169.8140 16,981,416.00 167.4300 16.743.000.00 .238.416.00 252,000.00 150% Total Common Stocks 616 981 416.00 316,743,000.00 4238,416.00 $252,000.00 TOTAL EQUITIES 618,981,416.00 $16,743,000.00 4238,416.00 3252,000.00 Unrealized Accrued Btlreeted Cod Bads Market Value GelarLese lidded Annualliwome TOTAL PORTFOLIO HOLDINGS 617,015,294.55 $16,776,878.55 -$238,418.00 50.00 5252,00021 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 t 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 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 Accout Numbe Rateantilent Owing tlwonshholingIIC.• wholly owned Every Vex Since 2007 subsidiary d The Bonita New York Mellon DAIJAR MUD COMMUNCATION5 Cannatim (MY Melon) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- EXCellENCt Pent.u.Carte.Fitiitalikkg2PM_00049785 DB-SDNY-0012609 EFTA_00160394 EFTA01291880 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 (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.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 arts 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. M essage Customer Collateral Account Under Securities Account Control Agreement. Important Reminder for Pershing's 2017 Form 1099 tax statement (1099): The 1099 includes IRS1099 Form B, DIV, INT, OID and M ISC. By February 15,2018, you will be mailed either your 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 you hold by the as of date of the February t5 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than M arch :5,2035. For more information please visit Page 4 of 7 Accent Numbe Rated (warm Owing tlwonshRent PIC. orb* owned Every Vex Since 2007 subsidiary of TM brat ar New York Melba DAWN WED commumomons Ccnaatim (MY Meta) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO AL- EX( xI Penne. MC. nuns, AtiRAOWYEEPM_00049788 DB-SDNY-0012610 EFTA_OO16O395 EFTA01291881 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 January 1,2018 - January 31,2018 SOUTHERN FINANCIAL LLC Messages (continued) mytaxhandbook.com. 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 httpsliwww.dws-investments.comi 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 $1per 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 tub-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (Ail amounts shown are in base currency) Period °edits This DebilsIbisPetiod Net IbisPeriod OeditsYear4o-Date Debits Year-to•Date Net Year-lo-Dale Dividends and Interest $0.81 $0.00 $0.81 50.81 SO 00 $0.81 FDIC Insured Bank Deposits 50.00 40.81 40.81 50.00 40 81 40.81 Totals $0.81 40.81 $0.00 $0.81 40 81 80.00 Transactions by Typeof Activity Recess' Settlement DIN Activity Type Desaiption Quantity Pike Awned haunt Amount Daum Dividends and Interest 01112118 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 0.81 USD DEPOSTSINTEREST Total Dividends and Interest - DOLLARS 0.00 0.81 FDIC Insured Bank Deposits 01/12118 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESIIC 81 USD DEPOSITSINTEREST REINVESTED Total FDIC Insured Bank Deposits -U S DOLLARS 0.00 -0 81 Page 5 of 7 Accout Numbs Rated Emarnt Owinglinnet ',enlistsIlt. • Sally owned A:C:!1:3qMO (wry Vex Since 2007 subsidiary a The Bonita New York Melba DALBAR RATED CONVOCATIONS Cigna , (MY Melba) CONFIDENTIAL — PURSUANT TO FED. R CRI M. P. 6(e) CONFIDO. AL- EXCIA CNC t Penne. u.c. rm.**, FitietAtICIA2Plit000497137 DB-SDNY-0012611 EFTA_00160396 EFTA01291882 Transactions by Type of Activity (continued) Prows, SoMims Onto Activity Type Description Quantity Price Awned littered Awned burrow Total Value of Transactions 0.00 0.00 UM The price and quantity displayed may have been rounded. Client Service Information Yew Investment Specialist ENJ booted Information JOSHUA SHOSHAN Telephone Number: Your Account Inf Orman n TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual 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 munications for electronic delivery. To register and turn off paper communications, 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, Page 6 of 7 Accoul Numb Rated tacaNnt Owing tlwonethnlingPIC • Sally owned Every Yaw Since 2007 subsidiary el The Unit of New York Melba DAWN WED commumomorts Colnatkie (MY Mellott) CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDO. AL- ataLENCI Penne. LIX. FiliatlAtilaGM_00049788 DB-SDNY-0012612 EFTA_00160397 EFTA01291883 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 January 1, 2018 - January 31,2018 SOUTH ERN FINA N CIA L LLC Important Information and Disclosures (continued) 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 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 coml 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 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 tne 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 (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; Page of Account Numbe Rateamedlent Oaring Sae. Penbing LLC, a wholly...fled AtOOSIM3029 Every Vex Sate 1007 sal:Seri of The en of New Yeti; Mellon CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CO NFID L DAIJAR Ml ED C0MMUMCATICMS EXC0AD.Ct emeombm (MY Mellon) on Peat., ITteirtte FIiiRAAW? DB-SDNY-0012613 00049789 EFTA_00160398 EFTA01291884