EFTA01254572

Deutsche Asset & Wealth Management Gnaw, sin, PP...leW.1h Magatentm Mleatt ferry, C0IsP Myna* Mk Woo ori a. *Wart Once P.O. Bc. 177e, fialiinxire. MD 21203 Account Number: Statement Period: 12/01/2014 - 12/31/2014 Valuation at a Glance This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 3233,025.17 353,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,025.17 233,000.29 Dividends, Interest and Other Income 555 41 12 Total Taxes Withheld C CO '0 5? :nd Acccvit \la ue $233,030.72 $233,030.72 Estimated Annual Income Your Client Advisor: DANIEL SAHA Asset Allocation Prior Year-led Last Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 63.00029 233.025.17 233.03012 100.00% Please review y0ur vocation Account Total 363,000.29 3233,025.17 $233,03012 100.00% YouAmur is 100% invested in USD Cash. Money Funds. and Bank Deposits. I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered by the Secuntes Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Deposit. Inuance Corporation (FDIC). up to 'towable limits. Page 1 o19 Rated excolla.nt ISAI4 RoL 80100620CSF10023 paperless "^", WW• 2007 OALSAR PIAUI) COMMUNICATIONS etriwilie 'Asa van a •••••••••La ••••••ree-A inn. oec CONFIDENTIAL MalleN01 SDNY_GM_00049523 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012347 EFTA_00160132 EFTA01254572 For Your Information On June 5. 2014, the European Central Bank (the 'ECI3') introduced 'negative interest rates'. This negative interest rate applied to an deposits held at the ECB and other credit institutions. Effective February 1. 2015, the negative interest expense on any euro deposits will be charged to your account. The initial interest charge will be -.20% (20 basis points), and will reflect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andfor 1042-5 for tax year 2015. 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 Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED PROGRM Accounl N um ber: Activity Ending: 12/31/14 11129/14 Opening Balance 233,025.17 233,025.17 12/15114 Dimwit INTEREST CREDITED 5.55 233,030.72 APY 0.03% 12/16114 Deutsche Bank Trsl Co 233,030.72 NO 12/16 S233030.72 12131111 Closing Balance 2233,030.71 Total FDIC Insured Bank Deposits $233,030.72 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 6250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Noa Taxable Interest Income FDIC Insured Bank Deposits 5.55 0.00 41.12 0.00 Total Dividends, Interest, Income and Expenses $5.55 $0.00 $41.12 $0.00 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,030.720 233,025.17 233,030.72 3.26 41.12 NM Total FDIC Insured Bank Deposits $233,025.17 $233,030.72 $3.26 $41.12 Page 2 of 9 Account um ber Rated IIIIC•Ilent !MAIL R. I Go paperless "WY Y. ..S . C. ?OW OAS0AR RA TOD COMMUNICATIONS ma WA SOUTI- ERN LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENTIAL SDhif_GM_00049524 DB-SDNY-0012348 EFTA_00I60133 EFTA01254573 Deutsche Asset & Wealth Management Gnaw e Banc Pr nale YNYI, Magagentm Pewees CoreWOK.. Cettsche Sank Settanti PO. Boa 1776. Baltimore. MD 21203 Novo etn. aY 10114 Statement Period: 12/0112814 - 12131/2014 Portfolio Holdings (continued) Opening Closing Awued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits $233,025.17 $233,030.72 $3.26 $41.12 Awued Estimated Market Vain Interest Annual Income Total Portfolio Holdings $233,030.72 $0.00 $41.12 M essa es Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpsiNnwv.dws-investments.cornrEN/products/money-market4undslields.ysp. 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 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (B. DIV. INT. OlD and MISC): Your form 1099 will be deWered as early as possible, beginning January 31, 2015. By February 17. you will receive either your 1099 form on special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It 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 Mara 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.combusiness_contmuity. You may also request a printed copy of this information by calling (888)367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer inflates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the Page 3 of 9 Account hum ber Rated (*collard .1% )l Go A. paperless , ?zealMa :4vr U ^ C• 2007 o COMMUNICATIONS :tan etsreal•rg,=••••• ,,er onftwou4 awl*. noRa Prow " S0UTFERA CtI3 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NFIDENTIAL SDNY_GM_00049525 DB-SDNY-0012349 EFTA_00I 60I 34 EFTA01254574 M essa es (continued) number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account The probability of any trading unit held by an account being selected as caled in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker-dealers whose introduced accounts have received an alocation. Securities registered in the client's name, either in transit or held in custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caled security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = 525,000): Client Account Par Value Number of Trading Unita ABC-123234 $100,000 4 DEF-325465 $76000 3 EOR567433 $150,000 6 EGT-876574 $50,000 2 EGT-888345 $25,000 1 FRT-435234 $25,000 1 FRI-658797 $75,000 3 u In brief, the donation process Solves the foloving steps: ' The number of trading units held in each account is identified. ' A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). ' A random number is generated that wil result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the alocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information • The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. • Men a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (if Pershing caries and clears those accounts). No allocation will be made to these proprietary and employee accounts until al other client positions at Pershing in such securities have been called. Men a partial call is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. Page4 of 9 F,C1006219CSF300:.: tYlIA0 Account hum leer SO IF ERN ONO C F Go parerless am. :.corgicrR#AT Rated [...Mont CD C200:47 MUNICATIONS SteIllamt SDNY_GA4_00049528 CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012350 EFTA_00160135 EFTA01254575 Deutsche Asset & Wealth Management bv,uae boa none WAIN Mamientm Await CommeCTAT MANN NM Settaom P.O. Dos 1776, Etahimare. MD 21203 lem ven.. IN ION Statement Period: 12/0112014 - 12/3112014 M essages (continued) • If the partial call is made at a price above the current market price as captured in Pershingils price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial cal is made at a price that is equal to or below the current market price of the security as captured in Penhing's price reporting system, Pershing WI generally categorize that call as one that is unfavorable to holders of the security. • Clients have the right to withdraw uncalled. fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. UCkents also have the right to withdraw excess margin securities. provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. u Activity Summary RIamounts shown are in base uarency) Credits This Period Year.to.Date Debits This Period Year.to-Date Dividends and Interest $5.55 $41.12 DIvIdendsand Interest $0.00 $0.00 TaxesWithheld $0.00 $0.00 Takes Withheld $0.00 -$10.69 Cash Cash Deposrs 000 170000.00 Deposits 0 00 0 00 Total Cash $0.00 1170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $10.69 FDIC Insured Bank Deposits .55.55 4170,041.12 Total Credits $5.55 5170,051.81 Total Debits 45.55 .5170,051.81 Transactions by Type of Activity Noma/ Settlement Date Activity Type Description Deantity Price Acased littered Amount Gauen, Dividendsami Interest 12115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 5.55 DSO DEPOSITS INTEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5.55 Page 5 of 9 Account Number Riled Cmollent " „v.on.. C.4,43 Pa,Perless tray Yam 1Ato 2007 EMAIT ROLL $WF ERN CAC I OAUTAA RATCO COMMUNICATIONS pas, ,...- CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 60) NIFIDENTIAL "auma SDNY_GM_00049527 DB-SDNY-0012351 EFTA_00160136 EFTA01254576 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiptioa Cleantity Nice Accrued Interest Amount Currency FDIC Insured Bank Deposits 12115114 FDIC INSURED BANK IkSt, RED DEPOSITS INTEREST REINVESTED .5 55 USD D EPOSITS IA TEREST SID Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 435 Total Value of Transactions 0.00 0.00 USD The Nice and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST lk FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (COD): No Am olive premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless othenvise noted. have been obtained from eidependent 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 "N/As and are omitted hom the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at arty time, and may be affected by current and future Bennie, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position Page 6 of 9 „ten ROtt Account Number. Go paperless OAXxcilr:NRAcrOCOMMUNICATIOIIIS ,•1:17t:::.2OO7 lt d SIDLTHERZON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDArl\MAr SDNY_GM_00049528 DB-SDNY-0012352 EFTA_00160137 EFTA01254577 Deutsche Asset & Wealth Management Drvisrellant PrmaieWeith maatenan Prat, tonne Owp Cestuhe •M Mixon.% at. PO. Box 1776, Baltimore, MD 21203 Ms,* Pet 10114 Statement Period:12/0112014 - 12/31/2114 Important Information and Disclosures (continued) Estimated Annual Figures (continued) 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 vriwv.pershing.corrsbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction. wcurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation fri 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 resue 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 atm 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 (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit, vnwe.pershing.comlstrength_stability.html • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (nclude%) unauthorized trading) promptly, but no alter 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 AcL • 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)1134330. Errors and Orrissions 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 lied. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very hinted. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. Pagel of9 Account Humber Rated (*.Mont e0100626CSF300_• UtlAtl 'KUL Go paperless :ran etsreasa tia Orstlan . MISINAlat Inl ,••••LA a...et/W. Wilt 'MIK SO UTI- ERN CFO ' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDAENTIAL bre'I' Ns atu'c2cmilmcAT* SOW_GM 00049529 DS-SONY-0012353 EFTA_00160138 EFTA01254578 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • 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 wig typically include a minorAy of arbitrators who were or are affiliated with the securnes industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is inefigibee 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 agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page lel 9 Account Aum tier Rated excollont MAO putt GO paperless Y."' Sk" 2007 °NAAR RATCD COMMUNICATIONS Mtt. a etwerCalL A:e O••• "" :Moe 1•0•••• ERN Cat, SO VI - ID^ENTIAL fItC711(NOI SDW_GM_00049530 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F DB-SDNY-0012354 EFTA_00160139 EFTA01254579 TERMS AND CONDIDONS 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, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES, WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACLITY, 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 FNANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATION& 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 AVAILABLE 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 CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWVY.PERSHING.COM. STATEMENT. F SO. TIE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. VYWW.PERSHING.COMIBUSINESS_CONTINURY.HTML THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THE STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NM- BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)) DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS, OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS ANO FEES ARE AVAILABLE UPON MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBNED STATEMENT OF WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC, FOR EXECUTION AS PRINCIPAL RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU; USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY STATEMENT TO PREPARE YOUR TM FLINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH • DIVIDENDS. INTEREST AND OTHER DISTREUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED DUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN. INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHNG LLC ('PERSHNG') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FCR YOU D4 ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. RV ITMOUT TENDER, DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR AU. OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH 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 ANY OF THE ABOVE TERNS AND CCAOGIONS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFYPERS-ENG IMMEDIATELY IN WRITING BY CERTIFIED MPS TOONE PERSHING PLAZA JERSEY CITY. NJ 07399. ATTN LEGAL DEPT Page 9 of 9 Acounl Mum ber Riled excellent Go paperless • • tray Year Sent* 2007 OASOAB RATED COMMUNICATIONS :ran .twee •••••-•44c, SO UTFERA Cht, LLC. rxtre true, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF IDp\rrIA SDNY_GM_00049531 DB-SONY-0012366 EFTA_00160140 EFTA01254580 Orals(' e Ban, PinwaleW.1h Maarnmi MleNU I orecm C0IsP Chischt Sank Stooneint Year* Once PA Oa I771.0elairois1/02i203 Account Num ber: Statement Period:11/01/2014 - 11/30/2014 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 033,020.88 03,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,020.88 233,000.29 Dividends, Interest and Other Income 613 35 57 Tots Taxes Withheld •A( '0 5? nchng Account Value $233,025.17 $233,025.17 Estim sled Annual Income Your Client Advisor: DANIEL SAWA Asset Allocation Prior Year•&d Last Period This Period % Mloation I.,SD Cash, Money Funds, and Bank Deceits' 63.00029 233.020.88 233.025.17 100.00% Please review your allocation IICO3Unt Total 03,000.29 3233,020.88 3233,02517 100.00% Your Account is WO% invested in USD Cash. Money Funds. and Bank Deposits. I The Bank Deposes In your account are FDIC Insured bank deposes. FDIC insured bank deposits are not securities and are not covered by the Secureos Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Depose Insurance Corporaton (FDIC). up to attest* limits. Page 1 o16 Raided (koala% 110A14 ROL A0111,380CSF10016 Go paperless Ylre• Sento 2007 •••••••%in ••••••tron. Pent /MC OMBASt RAW" COMMUNICATIONS [Mal IONOI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_Gat00049532 DB-SDNY-0012356 EFTA_OOI D0I 4 I EFTA01254581 FDIC Insured Bank Deposits Date Activity Type Dewi Aunt Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum ber: Activity Ending. 11128114 11101114 Opening Balance 233,020.88 233,020.88 11114114 Dermal INTEREST CREDITED 6.13 233,027.01 APY D03% 11117114 Withdrawal WITHDRAWAL -1.84 233,025.17 Deutsche Bank Trt4 CO NO 11117 5233025.17 11120114 Closing Balance $233,025.17 Total FDIC Insured Bank Deposits $233,025.17 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 $250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Corrent Period Yeahlo-Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 8.13 0.00 35.57 0.00 Total Dividends, Interest, Income and Expenses $11.13 $0.00 $35.57 $0.00 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,025.170 233,020.88 233,026.11 2.66 36.67 WA Total FDIC Insured Bank Deposits $233,020.88 $233,025.11 22.66 $35.57 Total Cash, Money Funds, and Bank Deposits $233,020.88 $233,025.17 $2.88 $35.57 Accrued Ealwated Market Value Interest Aimee] Income Total Portfolio Holdings 5233,025.17 $0.00 $35.57 Page2of8 Account h umber: Rated ILKcylkont 1)10.18 ,1tOla Go paperless erPATCC7C2O O:47 MNICATIONS SOUTI- ERN C.OLI LLC. F ID^ENTIAL Olen WW1 SDNY_GM_00049533 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012357 EFTA 00160142 EFTA01254582 Draisre n, Preale Wealth Maagentni Wiens Cermet ComP Ceetsche Sank Setionei nt. Meeyen Once PC. B4. 17/6, id% mom MO 272..n Statement Period: 11/01/2014 - 11/301201/ Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FIDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporabon.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vnwrdws-investments.conVEN/productsimoney-market-hinds-yields.jsp. Please note that all money market funds hsted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Activity Summary (Al arnounts shorm are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $6.13 $35.57 Olvidendsand Interest $0.00 $0.00 TaxesWithheld $0.00 $0.00 Taxes Withheld -11.84 -110.69 Cash Cash Deposits 0 00 170 000 00 Deposits 0 00 0 03 Total Cash $0.00 $170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $1.84 110.69 FDIC Insured Bank Deposits -$6.13 -$170,035.57 Total Credits $7.97 $170,046.26 Total Debits -$7.97 .$170,046.26 Transactions by Type of Activity Process/ %ttlement Date Activity Type Description Quantity Price Awued littered Amaral CUrrency Dividends and Interest 11/14/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 6.13 USO DEPOSITS INTEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 0.13 Page 3 of 6 Account Number. Rated Excellent t/anit aI Go paperless Lvery Yee* Slat. 2007 041.0AR RATED COMMLINICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6; THERN riFlDENTIAL F)02111.1NCI SDNY_GM_00049634 DB-SDNY-0012358 EFTA_00160I43 EFTA01254583 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaiptioa Oriantity Mee Accrued Interest Amorist Cirrency Taxes Withheld 11/14/14 ENT ALIEN TM NRA TAX WITFFELD ON INSURED DEPOSITSINTEREST •1.84 S Total Taxes Withheld • UNITED STATES DOLLAR CREDITED 0.00 -1.84 I./S0 FDIC Insured Sank Deposits 11/14/11 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .6.13 LSO DEPOSITS INTEREST N TD 11/17114 FDIC INSURED BANN INSURED DEPOSITS PROGRAM 1.84 6S0 WITHDRAWAL LS0999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -1.29 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Inform ation Your Client Advisor: DAN iANIEL SABBA f NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method Ica Stocks in a Dividend Reinven eel Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OlDi: No Am oraze premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account cam • unications for electronic delivery. To register and turn oil paper communications: log in to your account or contact your Client Advisor for m ore information. Paged of 5 Account Number Riled Excellent 0 •• uktz i. •••: .nl••••jt•Cz .. •••.m . *r ()NAN MAL CPO paperless L very Vas Siva 2007 CIA10AR RATED COMMUNICATIONS FJCL1NfJ~L PLC, FIDEl\ITIAL FXCNItINCIf SDW_GM_00049535 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN DB-SDNY-00123.59 EFTA_00160144 EFTA01254584 01.114.. Banc PonleMotain Ma.zienan Mine% CO•nee G,C,P CetiSIN Ilara secv vg. Now von Mho PO Elm ins. Uwe. MO 21N3 Statement Period: 11/0112014 - 11/3012014 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the dose of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A1and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (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 wwwpershing.corn/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others n accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action 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 belled at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) orders for the purchase and sale of securities and other property and (A) 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 sukabity 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 (SIPCS). 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 linits. For more detailed information please visit wiwepershing.ccrnIstrength_stability.html. • This statement wilt 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 Page 5 of 6 Account Kum her Rated [...mat A011lBS0CSF300:, MLA stOlt Go paperiess ="*;;;;;;;TISZMUNICATIONS :CU esi.e.• et we vconamtresin ••••••••••••ta, Wye sire Non art Cht5 F IDAENTIAC-- "a"'"a SOU SDNY_GM_00049538 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) " ER4 DEI-SDNY-0012360 EFTA_OO16O145 EFTA01254585 Important Information and Disclosures (continued) The Role of Pershing (continued) your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed 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 fight to a trial by jury, except as provided by the roles of the arbitration forum in which a claim is fled. • Arbitration awards are generaly floral and binding; a party's abibty to have a court reverse or modify an arbitration award is very Wilted. • 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 2O 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 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 6 GIS cr, Account hum ber II- ERN LLC. paperless ti RiteiW[licoMM e r Yo Wa 207 ONAPARATEDCOMMUNKATK*6 :tan etwertatt 0=••••n ..,- Intmou4 ••••••••••••• vow " IOW WI NF ID-ENTIAL "a"nn SO SDNY_GM_00049537 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(8) DB-SDNY-0012361 EFTA_OO16O146 EFTA01254586 blase,. Sant PrmaieWeath Maatentm Maesals Contact Comp Cestuht Sank Settonei it, Sfive 4rpMoo PA ea 17* Wow+ WO 2,2C0 Account Number: Statement Period: 10/01/2014 - 10/31/2014 Valuation at a Glance This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 1233,016.86 03,000.29 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 000 170 000 00 ST THOMAS VI 00802 Adjusted Previous Account Value 233,016.0 233,000.29 Dividends, Interest and Other Income 575 29 44 Tots Taxes Withheld 73 -885 :nd rg AcccL.nt ue $233,020.88 $233.020.88 Estimated Annual Income $29 44 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-fad Last Period This Period %Allocadoe USD Cash, Money Funds, and Bank Deposits' 63.00029 233.016.86 233.02018 100.00% Please renew your allocation Account Total 963,000.29 9233,016.16 1233,020.88 100.00% Youkooky is 100% invested m USD Cash. Money Funds. and Bank Deposits. I The Bank Deposes in your account ale FDIC insured bank deposes. FDIC insured bank deposits are not securities and are not covered by the Searites Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Deposit Insurance Corporaton (FOIC). up to allowable knits, Page I o16 (..„....00 Rated euendont A0097939CSF30017 Go paperless Va. Since 2007 etrroloastarsasiaLt.ers•Zannottlamaim. a 1.20A0 Pell OAl0AR RATCD COMMUNICATIONS etat. wive_ . 00 rxere NO CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) C ONFIDAMTIAL SDNY_GA4_000495313 DB-SDNY-0012362 EFTA_00160147 EFTA01254587 FDIC Insured Bank Deposits Date Activity Type Descri Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum ber: Activity Ending. 10131114 10101/14 Opening Balance 233.01686 233,016.86 10115114 Deposit INTEREST CREDITED 5.75 233,022.61 APY 0.03% 10116114 Withdrawal WITHDRAWAL 4.73 233,020.88 Deutsche Bank flat Co NO 10116 5233020.88 10131114 Closing Balance $233,020.88 Total FDIC Insured Bank Deposits $233,020.88 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 DJtrent Period Yeahlo-Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 5.75 0.00 29.44 0.00 Total Dividends, Interest, Income and Expenses 55.75 $0.00 $29.44 $0.00 Portfolio Holdings Opening Posing Accrued Income 30-Day Desaiptiom Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.0o% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,020.880 233,016.86 233,020.88 3.45 29.44 NIA Total FDIC Insured Bank Deposits $233,016.86 $233,020.88 $3.45 $29.44 Total Cash, Money Funds, and Bank Deposits $233,016.86 $233,020.88 $3.45 $29.44 Ached &Sated Market Value Interes1 *Emil Income Total Portfolio Holdings $233,020.88 $0.08 $29.44 Page 2 o15 AccountNumber: Rated Ibicellent arasetweetraTilsiga o Lt‘e' P eeGa. — rtrw. - LALAK ROLL Go paperless Lvery Yea, Since 2007 OALSAA RATED COMMUNICATIONS ••••••••LL0 ••••••••••••• •••*,R —v- Met lesillso SO F N LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)UTFERN CONFIDAENTIAL SDNY_GM_00049539 DB-SDNY-0012363 EFTA_00160148 EFTA01254588 0...awe San, P,,nie Wet, Maatentm Peseetts Coreute(00.2 Cavisthe Sank Setwari Illak bet Ono, PO 8a. Int Barra* MD2IN3 Statement Period: 10/0112014 • 10/3112014 Messages Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Awnv.thvs•investments.comEN/products/money•market-fundsilelds.jsp. Please note that all money market funds hsted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Activity Summary RIamounts shown are in base currency) Creeds This Period Year-to-Date Debits This Period Yeapto•Date Dividends and Interest $5.75 $29.44 Olvidendsand Interest 20.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$1.73 -$8.85 Cash Cash Deposits 000 170000.00 Deposits 0 00 0 00 Total Cash $0.00 5170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $I.73 $8.85 FDIC Insured Bank Deposits -$5.75 -$170,019.44 Total Credits $7.48 $170,038.29 Total Debits .$7.18 .$170,038.29 Transactions by Type of Activity Process/ &Niemen! Date Activity Type Description Quantity Price Accrued liters Amorist Currency DIvidendeand Interest 10115114 FDIC INSURED BANK IASLRED DEPOSITS INTEREST CREDITED 5.75 LSD D EPOSITS IA TEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 616 Page 3 of 8 Account hum ber ROAN. IsKollent ono.. VINO ROL Go paperless I. very Yea. Since 2007 ,..,- SOUTF ERN CO LLC. OALBAA RATC0 COMMUNICATIONS NF ID^ENTIAL EXCII INC SDNY_GM_00049540 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012364 EFTA_00160149 EFTA01254589 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiptioa Cioantity Nice Amend Inters Amorist Currency Taxes Withheld 10/15/14 Mirk T ALIEN TM NRA TAX WITHHELD ON INSURED DEPOSITSINTEREST •1.73 USD CREDITED Total Taxes Withheld • UNITED STATES DOLLAR 0.00 .1.73 FDIC Inwred Bank Deposits 10115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .S.75 USD DEPOSITS INTEREST IN TD 10/16/14 FDIC INSURED BANN INSURED DEPOSITS PROGRAM 1.73 6S0 WITHDRAWAL USD999997 Total FDIC insured Bank Deposits - UNITED STATES DOLLAR 0.00 -4.02 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TAN $1,/ ITh Telephone Number: NEW YORK. NY 10!54 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: Treat all interest as otiginal issue discount (OlDi: No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include market discount in income annually: No Electronic Delivery You have not selected any account cam • unications for electronic delivery. To register and him off paper communications. log in to your account or contact your °lent Advisor for m ore information. Page 4 of 6 Account Number. Rated Cecellent Veen! Rol Go paperless trine Yeas Since 2007 Onli3AR MUD COMUNICATNS M IO :tan etwererasireseis .. ....- essireun airframe neer nottlimeni CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN CO RI FIDAnsrriAL )02111.0407 SONY_GM_00049541 DB-SONY-0012365 EFTA_00160150 EFTA01254590 lisc le Sant Prmile Wok Pi 143-4.0en00 Myatt Carrie (00.11. Dtsisthe Sank know% vg, Nes bet Olio, Statement Period: 10/0112014 - 10131/2014 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A1and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be 'viable; 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to mwtpershing.comtusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (II) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or 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 ovm 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 sukabity 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 (SIPC1). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: vnwtpershing.comrstrength_stability.html. • 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 Page 5 of 6 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) co F I DA Account lumber SOUTHERN Go paperless Rated (—Ism 'ear Seat* 2007 r41=1:47.4.1Lt DSB- Dec .1" tan ova 3[3: 9AY:70142 9642 366 EFTA_0016015. EFTA01254591 Important Information and Disclosures (continued) The Role of Pershing (continued) your financial organization and Pershing. Please be advised that any oral communication should be re-confrmed in writing to further protect your rights, inckiding 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)013-3330. 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 lied. • Arbitration awards are generaly final and binding; a party's abibty to have a court reverse or modify an arbitration award is very larded. • 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 fix arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page 6 o16 Account humber t r Rated Excellent 011A11 ROLL paperless :±r eicrit=a0; 41. 4icAnows M a ras Ms= alsi " r - enr..a.4 menial roma Pam Ogerotrin " . OW/ SOW* SO U TI- ERN CO 4x4m4Ner CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NF I DA.ENTIAL Ni SDNY_GM_00049543 DB-SDNY-0012367 EFTA_OOINN52 EFTA01254592 0...awe earn 0,..0eWeithitvatenmi Weans I oreare tow2 Cesische I Seitanti Mc. von Once P0. am 177$. &ArmsMO21203 Account Number: Statement Period:09/0112014 -09/30/2014 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 9233,012.98 383,000.29 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 000 170,001100 ST THOMAS VI 00802 Adjusted Previous Account Value 233,012.98 233,000.29 Dividends, Interest and Other Income 5.55 23.69 .1 67 Tots Taxes Withheld -712 ndrng Account Value $233,016.86 $233,016.86 Estim aled Annual Income Your Client Advisor: TAW& SMITH Asset Allocation Prior Year-led Last Period This Period % AlloatIon USD Cash. Money Funds, and Bank Deposits' 63.00029 233.012.98 233.016.88 100.00% Please review your allocatok Acoaunt Total 363,000.29 3233,012.98 $233,016.81 100.00% YouAppoint is 100% invested in USD Casn. Money Funds. and Bank Deposes. I The Bank Deposits In your account are FDIC Insured bank deposits. FDIC insured bank deposits are not securites and are not covered by the Securities Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Depose Issuance Corporabon (FDIC). up to stowable limes. Page 1 oil sr „ors Riled ILuellent URA° ROIL A0101300CSF20023 Go paperless L very Yoe, 5400, 2007 OALSAR RATIO COMMUNICATIOh6 et ri.1.0. el•Zralos'a:0::•• • •••• • a 1604.0 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID=TAL "Cri 1Na SDNn'_GM_00049544 DB-SDNY-0012368 EFTA_00160153 EFTA01254593 FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account K um ber: Activity Ending. 09130114 08130/14 Opening Dianne 233,012.98 233,012.98 09115114 Deposit INTEREST CREDITED 5.55 233,018.53 APY 0.03% 09/16/14 Withdrawal WITHDRAWAL -1.67 233,016.86 Deutsche Bank NI Co NO 09116 S233016.86 09130114 Closing Balance $233,011.66 Total FDIC Insured Bank Deposits $233,016.86 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 rrent Period Yeahlo•Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 5.55 0.00 23.69 0.00 Total Dhildends, Interest, Income and Expenses WU $0.00 $23.69 $0.00 Portfolio Holdings Opening Closing Acaved Income 30-Day Description Quantity Balance Balance Income Ibis Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233.016.860 233,012.9$ 233,016.66 2.8? 23.69 NIA Total FDIC Insured Bank Deposits $233,012.98 $233,016.86 $2.8? $23.69 Total Cash, Money Funds, and Bank Deposits $233,012.98 $233,016.96 $2.67 $23.69 Mused &deleted Markel Value lateral Annual Income Total Portfolio Holdings $233,016.56 $0.00 $23.69 Page 2 ol T Account hum ber Riled emollont MOAB ROLL paperless "'NY Y..' Um* 2007 OAL AAA RATCD COMMUNICATIONS SOUTI- ERN CNCLI LLC. EXISII W, CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NF IDAERTIAL SDNY_GM_00049545 DB-SDNY-0012369 EFTA_00160154 EFTA01254594 .1 PO Ba 1776. Bat omee pt011an Gnaw e Pant prone Weal, Maatenmi Wiens CoreareComP Cesisthe On Saloon .4. *rebel Once Statement Period: 09/0112016 -0913012014 M essa es Pursuant to the Securities Exchange Ad of 1934, Pershing LLC (Pershing) a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershils June Statement of Financial Condition is now available. On June 30, 2014, Pershing's net capital of 51.848 bilbon was 12.4% of aggregate debit balances and exceeded the minimum requirements by $1.55 bdfion. 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, 2014. Pershing's net capital of $1.88 billion was 12.74% of aggregate debit balances and exceeded the minimum requirement by $1.59 billion. A copy of the June 39 2014, Statement of Financial Condition is available at pershing.comistatement_of_financial_condition.html. You may also request a free, printed copy by calling (888) 860-8510 or (201) 4134290. option #5. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://www.dws-investments.com/EN/products/money-market-lunds-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 Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset 8 Weakh Management brand and future communications WI reflect this change. Your account wdl continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc.. a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Su m m a ry (AII ampules shoe» are in base cuffency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest WU $23.69 Dividends and Interest $0.00 $0.00 TaxesWithheld $0.00 $0.00 Taxes Withheld -$1.67 -$7.12 Cash Cash Deposits 0 00 170,000.00 Deposits 0.00 0.00 Total Cash $0.00 $170,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits KIP $7.12 FDIC Insured Bank Deposits -UM -$170,023.89 Total Credits $7.22 $170,030.81 Total Debits -$7.22 -5170,030.131 Page 3 of 7 Account Number: Rated evolient 11:)L TI-ERA O LLC. Go paperless tray Yoe. since 2007 OALOAR PATO:. COMMUNICATIONS 01(7111,01 etwerratt 2•=•••r fi t'/ •••••••LA memo. roma vow..,- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) N F I DAENTIAL SDNY_GM_00049546 DB-SDNY-0012370 EFTA_00160155 EFTA01254595 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioa Otantity Price Atoned Riling Mont Omen, Dividends and Interest 09/15/14 FDIC INSURED BANK in SLRED DEPOSITS INTEREST CI:EDITED 5.55 USD DEPOSITSINTEREST ail Total Dividends and Interest • UNITED STATES DOLLAR 0.00 5.56 Taxes Withheld 09115/14 NON-RESIDENT ALIEN TAX NRA TAX WITHHELD ON INSURED DEPOSITS INTEREST 467 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -1.67 FDIC Insured Bank Deposits 09/15114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .5.55 USD DEPOSITS INTEREST 11,1D 09/16/11 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1.67 USD WITHDRAWAL US0999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 -318 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor TOS Contact Information Telephone Number: NEW YORK NY 10151 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 Electronic Delivery You have not selected any account comm unicalionskii electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. Page 4 of 7 Account Number Riled excellmnit Go paperless 44 .3... iv-vv....is,- coNFIDAnturiAue 2007 :raw et warratt 0.7...ts. .. OrinIda* 08AB R:11. I ihnows•LA •••••••••aw. Wilt ..0 °ALMA PA T CO COMMUNICATIONS rXerliaNOr SDW_GA4_00049547 (er F ERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 693 DB-SDNY-0012371 EFTA_00160156 EFTA01254596 DrAsoe &m PootieWealh MA•Agenan Mitatts Corry', C, C,P Dtascht Sant Uteri me Yes bet Olio, A Statement Period: 09/01/2014 • 0913012014 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked 'WA— and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield RAY) 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. Slice 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 mwr.pershing.cordbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not tufty paid for in your margin account may be lent by Pershing to itself or others in accordance wilt, the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate WI not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation 0) 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 suitabiity 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 (SIPCs). 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 vmve.pershing.comlstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt Page 5 off Account Number Rated [...Mat Go paperless ae t 0A110'ea PATO) F IDrmTTAc-0 --0t- OKA° Itt.al r W•C• 2007 COMMUNICATIONS SOUTHERN SDNY_GM_00049548 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012372 EFTA_00160157 EFTA01254597 Important Information and Disclosures (continued) The Role of Pershing (continued) of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your tights 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 n 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 generaly final and balding; a pan's ability to have a court reverse or modify an arbitration award is very hrrited. • 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 loran 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 agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201) 413-3330. Page 6 *IT Account A umber: Riled [...Hat DilAit RCM Go paperless t "v ., "...k . C. 2007 OA1SAR RATED COMMUNICATIONS Mrla. a etwerreat teen" •••••••••La es,....... /14 mn. ....° Olottli••••• SO VI- ERN CO LLC. [Mal IIINCS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) NF IDAENTIAL SDNY_GM_00049549 DB-SDNY-0012373 EFTA_00160158 EFTA01254598 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 POSMONER. 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. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR 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 APPLCABLE LAWS NC REGULATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS • 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 AVAILABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHINGS OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WM I TEN 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. IF 50. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WWWPERSHING.COMMUSiNESS_CONTINUHY.HTML THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)) DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED FROM TIME TO TIME OUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT. INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN REVENUE SERVICE AM) OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY STATEMENT TO PREPARE YOUR TM FILINGS. THE TM STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N680 PERSHING ALSO REGULARLY DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. 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 TAX ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE 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 PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR 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 SECURITES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR 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. IF ANY OF THE ABOW TERMS AND COMMONS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PF-FULENG &SEDATELY IN WRITING BY CERTIFIED VAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ 0TJe0. ATTtt LEGAL CENT Page? of 7 Accounl humber Rated Excellent a/train (MAO ROIL Go paperless Lvery Yeas Sisce 2007 OAH3AR RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN CONFIDninAL SDNY_GM_00049550 DB-SDNY-0012374 EFTA_00160159 EFTA01254599 0res° e Bare Pewee Woe Maearnmil levant ferry* Calse Ceasche See Setteeel ere Verb Once PA Oa 1776. eitronjDMW Account Number: Statement Period: 08/0112014 - 08/31/2014 Valuation at a Glance This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value 3233,008.56 $63,000.29 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 000 170.000 00 ST THOMAS VI 00802 Adjusted Previous Account Value 233,008.56 233,000.29 Dividends, Interest and Other Income 632 18 14 Tots' Taxes Withheld 490 .545 nding Account Value $233,012.98 $233.012.98 518 14 Your Client Advisor: TAM SMITH Asset Allocation Prior Year•EAd Last Period This Period % Allocation USD Cash, Money Funds, and Bank Deposits' 63.00029 233.008.56 233.012.98 100.00% Please review your allocation Account Total 163,000.29 3233,008.56 1233,01211 10010% Your Account is 100% invested in USD Casn. Money Funds. and Bank Deposits. I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured bank deposits are not secunt es and are not covered by the Securees Investor Protection Corporation (SIPC). These bank defrosts are covered by the Federal Depose I nuance CorpOraton (FDIC). up to allowable limits. Page I o16 Rated Year We OBA0 ROLL A009733SCSF30015 Go paperless Leery Year 2OO7 MAMMA RATED COMMUNICATIONS etTelme eller erarael a l4et =nee " now CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONF IDA.ENTIAL SDW_GM_00049551 DB-SDNY-0012375 EFTA_00160160 EFTA01254600 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber: Activity Ending. 08129114 08101114 Opening Balance 233.008.68 233,008.58 08115114 Deposit IN TBREST CREDITED 6.32 233,014.88 APY 0.03% 08118114 Withdrawal WITHDRAWAL -1.90 233,012.98 Deutsche Bank NI Co NO 08118 5233012,98 08(29/14 Closing Balance $233,012.98 Total FDIC Insured Bank Deposits $233,012.98 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 inured 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 ellrrent Period Year.to.Oate Taxable Noe Taxable Taxable Noe Taxable Interest Income FDIC Insured Bank Deposits 8.32 0.00 18.14 0.00 Total Dividends, Interest, Income and Expenses $1.32 $0.00 $11.14 $0.00 Portfolio Holdings Opening Posing Actrond Income 30.0ay Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,012.980 233,008.66 233,012.98 2.87 16.14 NM Total FDIC Insured Bank Deposits $233,008.66 $233,012.98 $2.87 $16.14 Total Cash, Money Funds, and Bank Deposits $233,006.51 $233,012.96 $2.87 $um Accrued Estimated Markel Value Interest Annual Income Total Portfolio Holdings $233,012.98 $0.00 $16.14 Page 2 o18 IINA It t, a I co Account t\ um bet: SO U TI- ERN LLC. paperless Rated excellent tray Year Since 2007 0.410AR RATCD COMMUNICATIONS f):711/NCI ...,- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDAnTIAL SDNY_GM_00049552 DB-SDNY-0012376 EFTA_00160161 EFTA01254601 OrdisOe Ban, Ponlevften104.2gental Myatt% COonge WP P- Sant 14(teri Nes *A Mar PO &.• 1PPS. eat Pee MD 21P.13 .4 Statement Period: 08/0112014 • 08/3112014 M essages Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPCI. For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsiNnwrdws-investments.com/EN/products/money-market-fundsorields.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 S1 per share, it is possible to lose money by investing In a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brownainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications wit reflect this change. Your account will continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary (All amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest 86.32 $18.14 Dividends and Interest $0.00 $0.00 Taxes Withheld 80.00 $0.00 Taxes Withheld -S1.90 -S5A5 Cash Cash Deposits 0 30 170.000.00 Deposits 0 30 0 33 Total Cash $0.00 6110,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $1.90 $5.45 FDIC Insured Bank Deposits -$6.32 -$170,018.14 Total Credits 98.22 9170,023.59 Total Debits -$8.22 -$170,023.59 Page 3 of& MIMI Mall CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 605) mac. Account h um tier S0UTI-FRk NF IDArWrIAL GO paperless Rated [...Hoot Va. 2007 OA.O3Aft RA TCD COMMUNICATIONS ExamINCII etNeettlit7•01":""Ovistein essonn aviseema.Inn see SDNY_GM_00049553 DB-SDNY-0012377 EFTA_00160162 EFTA01254602 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioe Chianti Price Atoned Wired Mont Corm, Dividends and Interest 08/15114 FDIC INSURED BANK in St RED DEPOSITS INTEREST CREDITED 6.32 USD DEPOSITSINTEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 6.32 Taxes Withheld 08/15/14 NO N-RESIOEN T ALIEN TAX NRA TAX WITI-FELD ON INSURED DEPOSITS INTEREST •1,90 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -1.90 FDIC Insured Bank Deposits 08/15/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -632 DSO DEPOSITS INTEREST IN T D 08118114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 1.90 USD WITHDRAWAL U93999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 .4.42 Total Value of Transactions o.00 0.0e USD The puce and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TA IA MTI- Telephone Number: NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account nom m unications lot electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Client Advisor for more information. Pagel DIE Account hum ber Rated Excellent ROIL Go paperless Exley V... Since 2007 OAXIIAR RATED COMMUNICATIONS etas en.. •LA e darawat: term -,- rem. meow " dm seed ""AR SOuTh ERN CNO F IDAENTIAL EXCSIIENCE SDNY_GM_00049554 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NiN DB-SDNY-0012378 EFTA_00160163 EFTA01254603 DrdisOe gam Ponle Wei11. Ma,Agental Mitatit CO•neet, C,P Dtatthe Sant SeiterimC Nesbit Mar PO em 1776. 8•Ie nee MO 2I2 A Statement Period: 0 8101/2 01 4 • 0 8131/2 014 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price." Securities for which a price is not available are marked —N/As and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of Mute 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 retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to vAvw.pershing.corntbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others n accordance with the terms cutbned in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal to your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wifi not exceed the highest interbank conversion rate identified from customary banking sources on the emersion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or 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 resuit 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 suitabiity 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 inquines regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit: wiwrpershing.corn/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing. within ten days after receipt Page 5 of 6 Account Number Riled Go paperless I very Year Unto 2007 gt.lor t: PATCD COMMUNICATPDhe etrit:In a etreee Van eat &new..in menial —Mat Ontrin '" " =IC Mott Ida* SOUTHERN CNO LIG. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) NFID SDW_C4.4_00049555 DB-SDNY-0012379 EFTA_00160164 EFTA01254604 Important Information and Disclosures (continued) The Role of Pershing (continued) of this statement. Please be advised that any oral communication should be re-confined in writing to further protect your rights, including your fights 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 n court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is fled. • Arbitration awards are generaly final and beiding; a pan'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 loran 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 vino has not opted out of the class with respect to any claims encompassed by the putative class action until; (l)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. Pershitg's contact information is as follows: Pershing US; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Pap of I Account h umber: Rated Exc•lia l Go paperless Every Year* A 2007 etrlareletrarCaM a rtt te.:••••• a •• Dri\riTAL "":1"""7 DILAIL MAUMEE RATED COMMUNICATIONS •••••••••La avare•IS•Peille 501111- ERN CZ, Lit CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) NJ F I SDW_GA4_00049556 DB-SDNY-0012380 EFTA_00160165 EFTA01254605 DrAsoe gam, Pony. Wealh MA•Agenan Matt Coorne WMp Dtaut. Sant Sewn. Nes *A Olio, PA Oa tin itervercee D 2r203 A Account Number: Statement Period: 07/01/2014 -0713112014 Valuation at a Glance This Period Yea r.to.Dale SOUTHERN FINANCIAL LLC Beginning Account Value $63,006.69 $63,000.29 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 170,000.00 170,000.00 ST THOMAS VI 00802 Adjusted Previous Amount Value 233,006.89 233.000.29 Dividends, Interest and Other Income 2.39 11.82 Tots Taxes Withheld -0.72 455 :nd rg Acccvit \la ue 5233 008 56 5233 008 56 Estimated Annual Income 511.82 Your Client Advisor: TANA SMITH Asset Allocation Prior Year•Ead Lad Period This Period % Allocation I.40 Cash, Money Funds, and Bank Deposits' 63.000 29 63.006.89 233.008.56 100.00% Your Accounts 10396 invested ri USD Cash. Money Funds, and Bank Deposits Amount Total 663,000.29 663,008.89 6233,008.56 100.00% I The Bank Deposits In your account are FDIC insured bank deposits. FDIC insured be* deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These Dank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to aim* Unit Page 1 o16 Rated Excellent A0098161CSF1001, Go paperless DASIMA RATED COMMUNICATIONS ettte a etNetalsi ttrsttaeon " •••••• FXCIMONCS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL SDW_Get00049557 DE-SONY-0012381 EFTA_00160166 EFTA01254606 FDIC Insured Bank Deposits Date Activity Type Deraipllon Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account k um ber: Activity Ending: 07131114 07101114 Opening Balance 83,006.89 63.008.89 07110114 Deposit DEPOSIT 170,000.00 233,006.89 07115/14 Dermot lk TEREST CREDITED 2.39 233.009 28 APY 0.03% 07116114 Withdrawal WITI- DRAWN. •0.72 233.008.56 Deutsche Bank Trst Co NO 07116 3233008.56 07131114 Closing Balance $233,008.56 Total FDIC Insured Bank Deposits $233,008.56 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 Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 2 39 000 11 82 0.00 Total Dividends, Interest, Income and Expenses $2.39 $0.00 $11.82 $0.00 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits too.00x of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 233,008.560 63,006.89 233,008.56 3.06 11.82 N/A Total FDIC Insured Bank Deposits $63.006.89 6233,008.56 63.06 $11.82 Total Cash, Money Funds, and Bank Deposits $63,006.89 6233,008.56 $3.06 $11.82 Accrued Estimated Market Value Interest Annual income Total Portfolio Holdings $233,008.56 $0.00 $11.82 Paget of 6 Account Aumber. Rated CumMent Go paperless Every Yam Sime 2007 DALBAR RATED COMMUNICATIONS ettine=alm 'agt .'" 0••;•• •"se Ilimm EXCEIRTNOT CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN FIDENTIAL SONY_GM_00049558 DB-SDNY-0012382 EFTA_O011o01167 EFTA01254607 0rdisOe liana Prmale Wealth 14”igentril MYfut eerie C01,P Dtsischt Sank Sector Y« bet Once Statement Period: 07/0112014 - 0713112014 M essages Customer Collateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at Si per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation (SIPC(. For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htlpsiNnwrdws-iwestments.convEN/products/money-market-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. Deutsche Bank has combined its asset and wealth management operationsaincluding Deutsche Bank Alex. Brcnvnainto a single division operating under the Deutsche Asset & Wealth Management brand and future communications wit reflect this change. Your account MI continue to be serviced by and securities will continue to be offered through Deutsche Bank Securities Inc., a registered broker-dealer and investment adviser, which conducts investment banking and securities activities in the United States. Deutsche Bank Securities Inc. is a member of FINRA, NYSE and SIPC. The new brand name has no effect on your account. Your portfolio and holdings will not change as a result of the rebranding. Activity Summary RIamounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $2.39 $11.82 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$0.72 -$3.55 Cash Cash Deposits 170.000 00 170.000.00 Deposits 000 033 Total Cash $170,000.00 $110,000.00 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.72 $3.55 FDIC Insured Bank Deposits -$170,002.39 -$170,011.82 Total Credits $170,003.11 $170,015.37 Total Debits -$170.003.11 -1170,015.37 Page 3 of 6 Account h umber: ctlisn'W= roue et . ' n!Inv MAO* Riled excolla.nt MHO RCIll GC' PaPedess o •••••••••in ounime nalk Wilt INK CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6": "N CONF IDAENTIAL )14711(NO1 SDNY_GM_00049559 DB-SONY-0012383 EFTA_DO I 60 I 68 EFTA01254608 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Dentin Price Accrued Interest Amount Curren Dividends and Interest 07/157'4 FDIC INSLRED BAK IN St, RED DEPOSITS INTEREST CREDITED 2.39 L SO DEPOSITS IA TEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 2.39 Taxes Withheld 07115114 NON-RESIDENT ALLEN TAX NRA TAX WITHFELD ON IKSbREO DEPOSITS INTEREST -0.72 LSD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.72 Cash Withdrawals and Deposits 07/09/14 CUSTOMER ALTFORIZED TRAK S FRM N4G•023804 170.000 00 LSO TRANSFER 05O999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 170,000.00 FDIC Insured Bank Deposits 07/10/14 FDIC INSURED BANN DEPOSIT INSURED DEPOSITS PROGRAM -170.000.00 LSD 1:SO999997 07/15/14 FDIC INSLRED BAK INSURED DEPOSITS INTEREST Rah VESTED -2.39 L SO DEPOSITS INTEREST REINVESTED 07116114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.72 6 SO WITHDRAWAL USO999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -170,001.67 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TAZIA SMITF Telephone Number: KEW YORK NY 10154 Page 4 of 6 Account Number Rated Excellent OlIAB.ROLL Go paperless I:eery Yeas Since 2007 et rwil••• a • =erbrasi a irOjest " Ste Soo N F I DAnTriAL 0At0AR RATED COMMUNICATIONS EXCINRIINCI SDNY_GM_00049560 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67: FERN DB-SDNY-0012384 EFTA_OO II 60 II 69 EFTA01254609 Drosoe liana Prmaie Weal, Maagenan MitartstorenteC0WP Dtsisthe Sank We vg, Nes bet °Ike Statement Period: 07/0112014 • 07/3112014 Your Account Inform ation Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stodcs In a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper con m unications, log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.° Securities for which a price is not available are marked "'NM"' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Slice 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 postion 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 wvAv.pershing.corn/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself o others in accordance with the terms outlined in the Margin Agreement The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action 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, Mooned a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or 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 Fage 5 ol 5 Account Number Rated excolla.nt t , itniL Go paperless Every Year S•ru. 2007 oasflfl PARC. COMMUNICATIONS aetrints else veva Mr COreeein ontemst LA avow rea• panic " MEV WINO SOUTHERN Ckb LLC. I'MC/11(NOI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NF IDrwriAL SDNY_GM_00049561 DB-SONY-0012385 EFTA_00160170 EFTA01254610 Important Information and Disclosures (continued) The Role of Pershing (continued) 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. • Fa a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: hwirpershing.com/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 Med. • Arbitration awards are generaly final and balding; a party's abifty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a mincrty 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 cabled class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing US; Legal Department; One Pershing Plaza; Jersey City. New Jersey 07399; (201)413-3330. Page 606 Account hum bet ItstodexcoWM A00 96161CSF30017 Olu9Roll (so paperless LvIrryYncSince20O7 MUSMOMUDCOMINUNKATKM6 •••••••••ta4 amt.nate. ,wt. SIG $00Th ERN CO LLC. NF IDAENTIAL EMMflOWV SDNY_GM_00049562 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0012386 EFTA_OO16O171 EFTA01254611 Gnaw e San' Prmaie We klaagentne Vitals Cane C0c•P Dtsisthe Sank Uteri Nes *A Olke PA Om 17* 2121:0 AV InIM Account Number: Statement Period:06/0112014 - 06/30/2014 Valuation at a Glance This Period Yea r.to.Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,005.76 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,005.76 63,000.29 ST THOMAS VI 00802 Dividends. Interest and Other Income 161 Y43 Tots Taxes Withheld .pen 2 63 riding Account Value $63,006.89 $63,006.89 Estim ated Annual Income SF 43 Your Client Advisor: TARA SMITH Asset Allocation Prior Year-End ua Period This Period % Allocation I.,S0 Cash, Money Funds, and Bank Depositst 63.000.29 63.005.16 63.006.69 100.00% Your Account .s 100% invested in USD Cash. Money Funds. and Bank Deposits. Amount Total 163,000.29 163,006.16 163,008.69 100.00% I The Bank Deposits In your account are FDIC Insured bank deposits. FDIC insured bark deposits are not securities and are rot covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Depose Insurance Corporation (FDIC). up to ainwable limn Paget ore Rill.. Excellent ()SAO ItC)ILL A00977S7CSF10022 GO paper-less tt l twny ABM Siewe 2007 RA TCD COMMIROCATIOh6 :taw etreerratitreasen est./Am avow •••••• elf. NS MS* CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFOnSinAL SDNY_GM_00049563 DB-SDNY-0012387 EF1'A_00160172 EFTA01254612 FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account hum ber: Activity Ending. 06130114 05131/14 Opening Balance 63.005 76 63.00516 06113114 Deposit IN TB EST CREDITED 1.61 63.007.37 APY 0.03% 06116/14 Withdrawal WITHDRAWAL -0.48 63.006.89 Deutsche Bank TM CO NO 0611666300629 00130114 Closing Balance 363,006.89 Total FDIC Insured Bank Deposits 363,006.89 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 Current Period Year.to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.61 0.00 9.43 0.00 Total DIvIdends, Interest, Income and Expenses 11.61 30.00 39.43 30.00 Portfolio Holdings Opening Closing Accrete Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 1o 0.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,006.890 63,005.76 63,006.69 0.79 9.43 NM Total FDIC Insured Bank Deposits 03,006.71 363,006.89 30.78 39.43 Total Cash, Money Funds, and Bank Deposits 363,005.76 $63,006.89 30.78 39.43 Parsed Estimated Markel Value Interest Annual Income Total Portfolio Holdings 363,008.89 30.00 39.43 Page 2 dB Account Number Railld Excellent 1>IlAil 11‘)L I Go paperless Lbsy Yea, vows 2007 00.1.0ASI RATCD COMMUNICATIONS ...,- NJ F IDA.ENTI AL SO LI TI- ERN CNO LIC. )077117NCIF SDNY_GM_0004956.4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012388 EFTA_00160173 EFTA01254613 DrdisOe Sant Penn[ Wealth Maagental Myatt Carrie C0C,P DtASIM Sank 14tori Nes *A OR,. PO &. 1776, ammo., MD 2IN3 A Statement Period: 06/0112014 • 06/3012014 M essages Federal Deposit Insurance Corporation (FDIC)4nsured Bark Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the DWS Investments website at httpsAwnv.dwskwesbnents.com/EN/products/money-market-fundsoyields.isp. Please note that all money market funds hsted on the website may not be offered through us. Customer Colateral Account Under Securities Account Control Agreement Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit produces disclosure document or contact your advisor for additional information. Please note that the following language supersedes previous versions of our disclosure, Pershing's Impartial Lottery Process: Partial Calls: Pershing's Impartial Lottery Process: Partial Calls When a security is subject to a partial redemption, pursuant to New York Stock Exchange (NYSE) Rule 402.30, which has been incorporated into the FINRA Consolidated Rulebook, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery processIMien an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or °Tee) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTCC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. Wien Pershing is notified that it received an alocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that vat be selected and the number of securities in the account that wt be redeemed. flotations are based on the number of trading units held in the account. The probability of any trading unit held by an account being selected as called in a partial cal is proportional to the total number of trading units held through Pershing. Once the lottery is complete, Pershing notifies introducing broker ealers whose introduced accounts have received an alocation. Securities registered in the clients name, either in transit or held n custody, are excluded from the Pershing lottery process. Pershing initiates the lottery process by identifying the accounts holding the caned security, the total par value of the called securities held, and the trading unit of the security. Example (unit of trade = $25,000): Client Account ABC-123234; Par Value: $100,000; Number of Trading Units: 4 Client Account DEF-325465; Par Value: $75,000; Number of Trading Units: 3 Client Account EDR-567433; Par Value: $150,000; Number of Trading Units: 6 Client Account EGT-876574; Par Value: $50,000; Number of Trading Units: 2 Client Account EGT-888345; Par Value: $25,000; Number of Trading Units: 1 Page 3 of Account I\ um bet Riled IL ...silent etripnrtirtra=O•••Zionlfl•••• ()Unit ihni PaPerless "wYBA 00.1 YPtt w'c lr(O. C201. 001PfloCATP3NS Olen IINC 43)UTF ERN CO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67 F IDAENTIAL SDNY_GM_00049565 DI3-SDNY-0012389 EFTA_00160174 EFTA01254614 M essa eS (continued) Client Account: FRT-435234; Par Value: 525.000, Number of Trading Units: 1 Client Account: FRT658797; Par Value: $75,000; Number of Trading Units: 3 In brief, the alocation process involves the folovring steps: > The number of trading units held in each account is identified. > A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). > A random number is generated that v.11 result in one of these trading units being the first unit in the selection process. > Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units allocated to Pershing is exhausted. Additional Information The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. When a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts vril include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (rf Pershing carries and clears those accounts) No allocation will be made to these proprietary and employee accounts until all other client positions at Pershing in such securities have been called. When a partial cal is deemed unfavorable to holders of the called security. Pershing will not exclude any accounts from the lottery. If the partial call is made at a price above the current market price as captured in Pershing's price reporting system. Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system, Pershing vAll generally categorize that cal as one that is unfavorable to holders of the security. Clients have the right to withdraw uncalled, fully paid securities from Pershing at any time prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial cal. Clients also have the right to withdraw excess margin securities, provided that the client account is not subject to restriction under Regulation T or that such withdrawal will not cause an under-margined condition. Activity Summary (All amounts shown are in base currency) Credits This Period Year.to.Date Debits This Period Year-to-Date Dividends and Interest $1.01 $9.43 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 TaxesWithheld -$0.48 -$2.83 FDIC Insured Bank Deposits 20.40 $2.83 FDIC Insured Bank Deposits -$1.61 $9.43 Total Credits $2.09 $12.26 Total Debits -$2.09 -$12.26 Page 4 of 8 Account h um ber: t Rated C llont GO paperless (Jewry Year ncy SInce 2007 CIALOMI RAM) COMMUNICATIONS a"Innr a et serarrttrearn " et ....aun aarra.... a . 00 Marilat S0UTI- ERN COL I LLC. [Mal WW1 CONFIDENTAL - PURSUANT TO FED. R. CRIM. P. 6(8) NF IDA.ENTIAL SDNYS4.4 00049566 DB-SDNY-0012390 EFTA_00160175 EFTA01254615 IA PO Beg 1775. Bat mw MO 2IP33 Drdisoe P.m Portle Reda kra.ritentni Myatt% Cornet Gm,• Dtaut. Ian. Sewn. Row Verb CM.. Statement Period: 06/0112014 • 06130/2014 Transactions by Type of Activity Proces4 Settlement Date Activ e Dear 1011 Price Accrued Interest Amount Curren Dividends and Interest 06113114 FDIC INSURED BARK INSURED DEPOSITS INTEREST CREDITED 1.61 USD DEPOSITS INTEREST RECEIVED Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.61 TaxesWithheld 06113114 NONRESIDENT ALIEN TAX NRA TAX WITHHELD ON INSURED DEPOSITS INTEREST -0.48 USD CREDITED Total Taxes Withheld • UNITED STATES DOLLAR 0.00 .0.48 FDIC Insured Bank Deposits 06113/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST RONVESTED -1.61 USD DEPOSITS INTEREST 06116114 Mir FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.48 USD WITHDRAWAL VS0999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -1.13 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information Telephone Number: NEW YORK NY10154 Page 5 o18 Account hum ber Rated Excelient tray Year Since 2007 etriwirra et wee W. eat •O•retneen a " SOY IlleRrat RATED COMMUNICATIOn6 aserfla0ereraelndurrr Yr.. IOC SOUTH ERN CNO CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) F IDch' SDNn'_GM_00049567 DB-SDNY-0012391 EFTA_00160176 EFTA01254616 Your Account Inform ation Tax Lot Default Disposition ,Method Default Method for Mutual Funds: FIRST lk FIRST OUT Default M ethod for Stocks In a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default II elhod for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have nol selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Oient Advisor for more information. Important Inform ation and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price Securities for which a price is not available are marked "WC and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (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 behaved 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 vnwtpershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Proxy Vote Securities not rutty paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. 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 secunties 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 (SIPC`). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit vmwpershing.cceVstrength_stabity.html. Page 6 of 8 A00977S7CSF300:: DINO ROIL CONFID Account Number Go paperless Rolm. Cm•Illend Every Van Um. 2007 OASOAR RATED COMMUNICATIONS a ors...rime shwa Van ii.= .0.7 " ns oun r•••••. MEV row tan ••Pc AENTIAL "ERN SDNY_GIA 00049568 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: DB-SDNY-0012392 EFTA_OO16O177 EFTA01254617 Devisee &m Pootie wean Ma.zienan Mines C00.4•0 tOosp Dtsitthe Sara Uteri vt Yes bet Cillor PC Bc.a. '176, BA no-. 2'713 Statement Period: 06/0112014 • 0613012014 Important Information and Disclosures (continued) The Role of Pershing (continued) • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 Med. • Arbitration awards are generaly final and binding; a party's abifity to have a court reverse or modify an arbitration award is very hinted. • 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 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. Pagt7 018 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) coac. Account Number SO ERN NF IDAENTIAL "a"`"a Go paperless excollat M rian a et 77:7:a101,i e'..a Ors•Zon NNW MO*. SDNV_GM_00049569 DB-SONY-0012393 EFTA_00160178 EFTA01254618 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 POSMONER. 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. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR 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 NC REGULATIONS FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS • 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 AVAILABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WHIT TEN 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. IF 50. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WWW.PERSHING.COMMUSINESS_CONTINUITY.HTML THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 6071A)(1)-(2)1 DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT. INSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE, AND TO EXECUTE THEM AT OR BETTER THAN REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE M3430 PERSHING ALSO REGULARLY DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. 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 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 FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING, AND PERSHING MAY IN ITS DISCRETION AT ANY TIME, WITHOUT 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 SECUFtffES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR 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. IF ANY OF THE MOVE TERMS ANO COMMONS ARE UNACCEPTABLE TO YOU. PLEASE NOTSY PERSMIC BALEDIATELY N WRITINGSY CERTIFIED VAIL TO ONE PERSHING PLAZA JERSEY CITY. NJ OT30E. ATTN: LEGAL DEPT Page8 of 8 Account h um bet Rated Excellent as":7,=.7:Zirat:=••• •—"'s w OBAB ROLL Go paperless Every Yee* Since 2007 OASCIAR RATED COMMUNICATIONS ...- OlenLENGE SCINY_GM_00049570 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6:THERNCONFIDALTITIAL DB-SDNY-0012394 EFTA_00160179 EFTA01254619 DivIsne bm Prnale WogPt Ma.zieneni idaniett COnfy. COMP DMUS Gas Sectones MC Mrs *4 Mk* PO em 1216.8* ma* MD 21N3 Account Number: Statement Period:05/01/2014 - 05/31/2014 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,004.68 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,004.68 63,000.29 ST THOMAS VI 00802 Dividends. Mimes: and Other Inoome 1.55 7.82 Total Taxes Withheld -OAT -2.35 ncling Account Value 563 005 76 $63 005 76 Estimated Annual Income 57.82 Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year•Ead Last Period This Period % Allocation IJSD Cash, Money Funds, and Bank Deposits' 63.000.29 63.004.68 63.005.76 100.00% Your Account .s WO% invested n USD Cash, Abney Funds. and Bank Deposits. Account Total 183,000.29 163,004.68 163,006.16 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposits are not securities and are rot covered by tne Securities Investor Protection C.:cordon (SIPC). These Dank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). LIP to atimatile lint Pagel 446 coNFIDENTTAL A01051 30CSF30016 paperless 4 Riled [...Pont ), Eve n/ Va . W I" 2007 CASPAR RATED COMMUNICATIONS ?Mtn f NC/ a... eyes en SDNY_GM_00049571 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012395 EFTA_00160180 EFTA01254620 FDIC Insured Bank Deposits Date Activity Type Descipeae Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber: Activity Ending: 05130114 05101114 Opening Balance 63.004.68 63.004.68 05115114 Deposit INTEREST CREDITED 1.5$ 63,006.23 APY 0.03% 05116114 Withdrawal WITHDRAWAL -0.47 63.005.76 pentad'. Bank Tr% Co NO 05116 663005.76 05130114 Closing Balance $83,005.76 Total FDIC Insured Bank Deposits 663,005.76 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 6250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.55 0.00 7.82 0.00 Total DIvIdentla, Interest, Income and Expenses 11.5$ 60.00 67.82 60.00 Portfolio Holdings Opening Closing Awned Income 30-Day Description Quantity Balance Balsam Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,005.760 63,004.61 63,006.76 0.88 7.82 NIA Total FDIC Insured Bank Deposits 363,004.68 $63,005.76 $0.68 67.82 Total Cash, Money Funds, and Bank Deposits 363,004.68 $63,005.76 $0.88 $7.82 Awned &Mated Markel Value Interest Aameal Income Total Portfolio Holdings 663,005.76 $0.00 Page 2 o16 Account 1\ umber: Rated exceeent SOY 1>NAll .N.H. I Go paperless Leery Year Since 2007 OALSAet RAUL, COMMUNICATIONS :1741 MOMMOT7:7===IN.VMWNWOMI. ••••••••La anis V•I. *NM — ii-ERN LLC. CONF ID^ENTIAL fealleNel SDNY_GM_00049572 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012396 EFTA_00160181 EFTA01254621 Ot..isc Bans Pootie wean Ma.ligenan Mats COottIVC, WP Dtsitthe Sank 141teri mi Mho PO Elm I776. *Wynn MO2W) Statement Period: 05/0112014 - 05131/2014 M essages Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporahon.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsiNnvw.dws-investments.convEN/products/money-market-funds-yiebds.fsp. 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 preservethe value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Activity Sum mary(Allarnounts shorn are in base twenty) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $1.55 $7-82 Dividends and Interest $0.00 $0.00 Taxes Withheld $0.00 30.00 Taxes Withheld 40.47 42.35 FDIC Insured Bank Deposits $0.47 $2.35 FDIC Insured Bank Deposits -$1.55 -57-82 Total Credits $2.02 $10.17 Total Debits 42.02 -010.11 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioa Quantity Prla Accrued Interest Amaral Currency Dividends and Interest 05115/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 155 LSD DEPOSITS INTEREST Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.55 TaxesWithheld 05115/14 AUER TM NRA TM WITHHELD ON INSURED D800SITS INTEREST -0.41 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.17 Page 3 oft 0S130l-SF30016 Account umber: Rated Excellent ctanZtars o it ta " see ea* Go PaPerless torarl(ATEDC2rImutoCallOntS SO UTI- ERN FaX.TAL c. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONF I DAENTTAL "a"— SDNYS4.4 00049573 DB-SDNY-0012397 EFTA_00160182 EFTA01254622 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Description Quentin/ Price Accrued Interest Amount Currency FDIC Insured Bank Deposits 05115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED •1.55 USO DEPOSITS INTEREST NV TD 05116114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 047 LW WITHDRAWAL US0999997 Total FDIC Insured Sank Deposits • UNITED STATES DOLLAR 0.00 4.08 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information TAZIA SMITE. Telephone Number: NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Searrides: FIRST IN FIRST OUT Electronic Delivery You have not selected any account tom m unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "WC and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (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 rekable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, arid prices remain constant. A capital gain or return of preicipal may be included in the figures for certain securities, thereby overstating them. Refer to monv.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page4of5 Account Number Rated linvollont MIA0 ItOlt Go paperless A "'Per Y*" 5'104. 2007 ()ALMA RATCD COMMUNICATIONS (WM MC, Mtt. a etiamVank •Iolism •••••••••La ••••••os .Ctrean " wee =Pc NNW Saw* CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 64(6)THERKCIOKI F IDniTir SDNY_GM_00049574 DB-SDNY-0012398 EFTA_00160183 EFTA01254623 DrulsOe Barra Footle Wei/0, 147,Agental Mine% CO•nee Dtascht Sant Sewn. MC. Nes Wei Mar PO &e. 1776. eat nee MD 21N3 A Statement Period: 0510112014 -0513112014 Important Information and Disclosures (continued) Proxy Vote Securities not fury paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms Wired in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prier business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or 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 copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit Vetwcpershing.ccin/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 Ned • Arbitration awards are generaty final and binding; a party's abilty to have a court reverse or modify an arbitration award is very lorded. • 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. Page 5 of 6 Account Number SOUTF ERA Ki Go paperless , -a. Rated (Koollent Mar %into 2007 PATCDCOMMUNICATI0h6 etraetanr se a0a •••••7.0.0 anisrinly Lt‘t"Pa OrseZein SINIVIII•••• tenie •IC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) chsriLiIIF IDAENTIAL-4- `•rill`"" SDNY_GM_00049575 DB-SDNY-0012399 EFTA_00160184. EFTA01254624 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration lorum in which the claim is Idea. ara any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative lass who has not opted out of the class with respect to any claims encompassed by the putative class action unU; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 6 o16 Account Number RidwidetwolloM umnrsoir S0UTI- ERN ( NCJAL LL N Go paperless F ID^ETI AL (ArtyYn,Usco2007 MMOMIRAUDCOMNWNICATIONS FXCIIIPWS et cairtartret weost= ........w.ietenec "4 SDW_GA4_00049576 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012400 EFTA_00160185 EFTA01254625 DrAsOe gam Ponle wean 1A.,Agental PAttaM COretateGS.P. Dtatthe Sant Uteri mt. Nrsbri ea ore rex Beinkne san v203 A Account Number: Statement Period: 0410112014 - 04/30/2014 Valuation at a Glance This Period Year.to.Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,003.59 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,003.59 63,000.29 ST THOMAS VI 00802 Dividends. interes: and Other Income 1.56 6 27 Total Taxes Withheld 447 -1 88 ndrng Account Value $63 004 68 $63.004 68 Estimated Annual Income $6.27 Your Client Advisor: TATA SMITH Asset Allocation Prior Year-End Last Period This Period % Allocation IJSD Cask Money Funds, and Bank Deposits' 63.000 29 63.003.59 63.004.68 100.00% Your Account is 100% invested n USD Cash. Money Funds, and Bank Deposit. Account Total 113,000.29 163,003.69 163,001.68 100.00% I The Bank DeposNs In your account are FDIC insured bank deposits. FDIC inured hark deposits are not sec rd es aid are rot covered by the Sureties Investor Froth:tic Corporaton (SIPC). These bank deposits are covered by the Fedral Ceposd Insurance CorporatOn (FDIC), tie ba Salad limit Page 1 of 6 Raga Excellent artior••••••••••••••• LW. •••••••••••••elaiernr 1.O7704C3. Go paperless Saven Yearns In A Pew OALSAII RAIIO COMMUNICATIONS rne ma ern owns% worn caysescarnarerne vow.. „C =wens.. rata VC LACMINCE SDW_GA4 00049577 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL DB-SONY-0012401 EF1'A_00160186 EFTA01254626 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet Activity Ending: 04130114 04101114 Opening Balance 63.003 59 63,003.59 04115/14 Deposl INTEREST CREDITED 1.56 63,005.15 APY 0.03% 04116/14 Withdrawal WITHDRAWAL -047 63,004.68 Union Bank of CA NO 04116 563004.68 04130114 Closing Balance $83,004.68 Total FDIC Insured Bank Deposits $83,004.68 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 Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.56 0.00 6.27 0.00 Total DIvIdentle, Interest, Income and Expenses $1.56 $0.00 $6.27 $0.00 Portfolio Holdings Opening Closing Nerved Income 30-Day Description Quantity Balance Etaliece Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,004.680 63,00319 63,004.68 0.78 6.27 N/A Total FDIC Insured Bank Deposits $63,003.59 663,004.68 $0.78 $8.27 Total Cash, Money Funds, and Bank Deposits $63,003.59 883,004.68 $0.78 18.27 Panted adulated Markel Value Interest Animal Income Total Portfolio Holdings 683,004.66 $0.00 16.27 Page 2 of 6 A,097701CSF30016 Account hum ber Go paperless Rafael mcolient Seven Yeas In A Rove 01.010#1111SPPOTIONOWI•••••••••••••••••~1 Cf•••••••••••••••••••••MC••••••••••=ll =MOS CALSAA *AIM COMAIUNICATIONS •••••••ILC •••••IIMIA Perlit 'WC SO bill-ERN LLC. A • A I l• • Y CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDENTIAL: SONY GM_00049578 DB-S6NY-0012402 EFTA_OOI 60'87 EFTA01254627 Drvisee Sant Prmaie Weal, Magagenan Myatt Conf C0O.P Dtsis0. Sank Senn, vt grebe* Clue PA Sot 1771Barron 21203 Statement Period: 04/0112014 - 0413012014 M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DINS Investments website at https:thwar.dws-iwesbnents.conVEN/products/money-market-funds-yields.isp. Please note that all money market funds listed on the website may not be offered through us. Activity Summary (All amounts show are in base currency) Credits This Period Year.toDate Debits This Period Year.to•Date Dividends and Interest $1.56 $8.27 Dividends and interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld .10.47 .$1.88 FDIC Insured Bank Deposits $0.47 $1.88 FDIC Insured Bank Deposits .$1.56 .$6.27 Total Credits $2.03 $8.1$ Total Debits .$8.15 Transactions by Type of Activity Process) Settlement Date Achy Ty Type Desaiplioa Quantity Price Accrued Interest Amoral Currency Dividends and Interest 04115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 156 LSO DEPOSITS INTEREST RECEIVED Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.56 Taxes Withheld 04/15114 tiOf lESIilENT ALIEN TAX NRA TAX WITH hELD ON INSbRED DEPOSIT$INTEREST 4)47 LW CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 .0.47 Page 3 of 5 Account Number: R.I.d r.e.IMnt Own" Wow. 'Nesse LW- • wilWave.••• •••••Mwt 11.0097704C5F30016 Go paperless Seven Years In A Pow OALSAA PAID COMMUNICATIONS es ease es ors ves Nese caws vases es see eves sec ere awry SOLTHERN C1NO iF DrICITIAL IldOCI SDW_GIA_00049579 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012403 EFTA_00160188 EFTA01254628 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiption Chantal/ Price Accrued 'elated Amount Currency FDIC Insured Bank Deposits 04115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED •1.56 USO DEPOSTS INTEREST IN T D 04118114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 047 LW WITHDRAWAL U50999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 4.09 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: TDS Contact Information ITAZIA SMITH Telephone Number: KEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have nol selected any account corn o unications tot electronic delivery. To register and turn off paper com m unications. log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - NM" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be 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 pikes remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to vnwr.pershing.combusiness_confinuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Page e 015 Account Nun her Use I an§ ...eh PM...NI /AG • ',tory am.. ner A,C197701CSF30016 ()RAS COI Go paprerless :::::ve.,RAUD [NW. ;" COMMUNtCATIONS Pc" , 40 I •••• ant Wilms Consaw. Poona* „C •••••••• Bala MUSK SOUTHERN Cr, LLC. CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) NF IDrNITIAL SDNY_GM_00049580 DE:-SONY-0012404 EFTA_00160189 EFTA01254629 DrdisOe gam Footle VItiah Mamtentni Myatt% CO•nie 4,041. Dtatthe kr% Setter. New *A Clew Nerve WAAY 101•A Statement Period: 04/01/2014 - 04/30/2014 Important Information and Disclosures (continued) Proxy Vote Securities not futy paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prier business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing tattles 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 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. tt acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resul 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 1201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC*). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit Wowe.pashing.can/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 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 Med. • Arbitration awards are generaty final and binding; a party's abMy to have a court reverse or modify an arbitration award is very Silted. • 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. Page 5 GIG Antmo‘csncoi6 ceiKiF DisNETIAr Account Number SOLIFERN Go paperless IPALMA t:V=17:AR— RAIED COMAALNVICATIONS rxcruncr ararq•••••• tear. PatiS.1.1.0. • radar aips• •••••••••• •....eanrearala SDW_GA4_00049581 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012405 EFTA_00160190 EFTA01254630 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration forum in which the claim is filed. and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact intonation is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey City, New Jersey 07399; (201)413-3330. Page 6 of 6 Account hum tier Railed I Anolidnt S.., earl'aftariOnla. • s...f ............." A,097704CSF30016 nme.ciii Go paperless t S'w^ Y^.""A Rew DALIA• RATED COMMUNICATIONS Iva" IL< •••••••••••••• MS SIC SO Lit ERN CNO LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF IDA5NTIAL. "a""sc I SDW_Glit00C49582 DB-SDNY-0012406 EFTA_00160191 EFTA01254631 Druisc le gam, Footle \Yeah Ma.itenan PAYart% ferry', 4 , 0•P Dt• sitthe kV* Setwri vg, Nes *A Once pa ea 1771BAnow 1021203 Account Number: Statement Period: 0310112014 - 03/31/2014 Valuation at a Glance This Period Year.to.Date SOUTHERN FINANCIAL LLC Beginning Account Value 363,002.62 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,002.62 63,000.29 ST THOMAS VI 00802 Dividends. Interest and Other Income 1.39 4.71 Total Taxes Withheld 442 -1.41 ncling Account Value $63.003.59 $63.003.59 Estimated Annual Income 34.71 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-End last Period This Period % Allocation IAD Cash. Money Funds, and Bank Deposits' 63.000 29 63.002.62 63.003.59 100.00% Your Accounts IDA invested o USD Cash, Money Funds, and Bank Deposits. Account Total 963,000.29 163,002.62 9133,003.69 100.00% I The Bait Deposes In your account are FDIC Insured bank deposits. FDIC insured bank deposits are not securities and are rot covered by the Securities Investor Protection Corporation (SIPC). These bank deposits are covered by the Federal Deposrt Insurance Corporaton (FDIC). up to allowable bell& Paget of 7 Ratted rnolient 0400.0.11.•••••h POOSIS4 LLC. • IMMO/ •••••• •••••••bre A0207233CSF30022 Go oaorerless Seven Yeas In A Pow 0.• LIMA RA ItO COMMUNICA *OOHS IMIND Nan Of WM/ V••• •••••••• t“ male fart.. 4.0•••••• Pena lee cart MOM. A• • A I VArba Y CONFIDENTIAL I.XC I IdOCC SDW_GA4_00049583 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012407 EFTA_00160192 EFTA01254632 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number Activity Ending 03131114 03101/14 Opening Balance 63.00262 63.002 62 03114/14 Deposl INTEREST CREDITED 1.39 63.004.01 APY 0.03% 03117/14 Withdoveal WITHDRAWAL -0.42 63.003 59 Taste Capital Bank NO 03117 $63003.59 03131114 Closing Balance 563,003.59 Total FDIC Insured Bank Deposits 3133,003.59 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 Current Period Year•to-Date Taxable Moe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 1.39 0.00 431 0.00 Total Dividends, Interest, Income and Expenses 91.39 $0.00 $4.71 60.00 Portfolio Holdings Opening Closing Accrued Income 30-Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,003.590 63,002.61 63,003.69 0.77 4.71 NIA Total FDIC Insured Bank Deposits 03,002.62 $63,003.69 90.77 04.71 Total Cash, Money Funds, and Bank Deposits $63,002.62 $63,003.69 60.77 94.71 Awned Estimated Markel Value Interest Masai home Total Portfolio Holdings 663,003.59 60.00 14.71 Page 2 of 7 Account Number Rased f Aeoll•nt arose ••••••• •.onW • ••••• •••••••• /1/40107233CSF30022 Go paper,iess ve.— in A Row DALEA• RAUO COMMUNICATIONS OP Malian of Oki. Von Weals Covseibistainailipme ft ..* I.LC Neer non A revile 'Sc SO L II- ERN CNO LLC. excecLoNcr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NJ F I1:i5N"NAL SONY GM_00049584 DB-S6NY-0012408 EFTA_00160193 EFTA01254633 Draisc gam Ponlev•taah Mamitenan Myatt Cornet G,C,P Dtsischt Sara Seltari Nes Wei Mar PO flax 1)16.8* troy M021200 Ifni Wet 101A Statement Period: 03/0112014 - 03131/2014 M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DNS Investments website at httpsiNnwrdws-iwesbnents.conVEN/products/money-market-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. In accordance with the Securities Exchange Act Rule 606 (Disclosure of Order Routing Information), upon your request, the following information is available to you: i) the identity of the venue to which your orders were routed for execution in the sic months prior to the request, i) whether the orders were directed orders or non-directed orders, I) the time of the transactions, if any, that resulted from such orders We will notify you on an annual basis of the availability of the above information upon request. Activity Sum m a ry (AN amounts shown we in base currency) Credits This Period Year-to.flate Debits This Period Year-to -Date Dividends and Interest $1.39 $4.71 Dividends and Interest $0.00 $0.00 Taxes Withheld 30.00 $0.00 Taxes Withheld -t0.42 -$1.41 FDIC Insured Bank Deposits $0.42 $1.41 FDIC Insured Bank Deposits -$1.39 -$4.71 Total Credits $1.81 $6.12 Total Debits 31.01 -$43.12 Page) off Account Num ber Paed rx<ollent Pas, Lit. • ••••••• IOW OSOMMI AO1072 33=3 0 On T Go paperless Seven Yean In A Pow GIL,RRAICO COMAAUNICATIONS fa VS MrNam •.••••I•C Nap Voi aMa••••••••• d••••••• FOS. MIS VC ••••••• CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e)L ft ERN CONF IDAENTIAL I.XCildOCC SDNY_GM_00049585 DB-SDNY-0012409 EFTA_00160194 EFTA01254634 Transactions by Type of Activity Process( Settlement Date Activity Type Description Ounti Price Accrued Interest Amouet Cawing Dividends and Interest 03/14/14 FDIC INSURED BANK in St, RED DEPOSITS INTEREST CREDITED 1.39 USD DEPOSITS INTEREST III Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1.39 Taxes Withheld 03'14.4 NOR-RESIDENT ALIEN TAX NRA TAX WITFFELD ON INSURED DEPOSITS INTEREST .0.42 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 -0.42 FDIC Inwred Bank Deposits 03114/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST RENVESTED -139 USD sill) DEPOSITS INTEREST 03117114 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 042 LSO WITHDRAWAL U$0999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 -0.97 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor MS Contact Information AMA SMITH Telephone Nem bar: NEW YORK NY 10151 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 Electronic Delivery You have not selected any account communications lot electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. Page 4 of T F DAENTIAL,„ Account hum ber Railed xcellent r azor, ut. • way c.a./ eassawr A010723:CSF3002: Go paperless Stven Yeaas In A Rove DAMAN RATED COMMUNICATIONS f.......„“ase roma rais sec SOLTFERNCO ilmCCI.LOCI SDW_GA4 00049586 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0012410 EF1'A_00160195 EFTA01254635 Orvlw Mn, P•male Weal' Ma virntal Myatt% Coeria Gto.p Ofautu w. StUnaign< Mr. Vert CIM14. SIFII 'kn. ler 101•A Statement Period: 03/01/2014 - 03131/2014 Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'N/A"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) 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 bustess 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 prncipal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.cornibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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 vole than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate wit 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, ncurred a charge. or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (6) 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 hinds and securities you may deposit with it directly or through your financial institution or that it receives as the resuit 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 (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC mt. more detailed information please visit www.pershing.comIstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, inckiding your rights under the Securities Investor Protection Act. Page 5 oil F IDrNETIAL. Accounl humleer Go paperless RaSel I Aeolhiest awinositmet P.m.. tit- • any ••••• A010723ICSF300:2 sr— Yea' , in A Pew DAL•A• RATED Bit,, •• name of sive nasees croes Moe. „C •••••••001A my Sec Len. ... SO II- ERA Ct, uccumcg SDW_GM_00a49587 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0012411 EFTA_00160196 EFTA01254636 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 intonation 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 patties 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 generaty final and binding; a party's abilly 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 cant. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)4134331 Page 6 of 7 Account hum bet ItScl Exeolkint Olowist amp. •••••••010. • inparese•••••••••••• =awe AC 107233CSF3002: MAR.( ti I Go palettes L* Srven Yeaas In A Row 0Aer tufric ix •RIED COMMUNICATIONS es made onivain. ramospersa t TI/S4 PIV•15 SO it RN CO LLC. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NF ID5NETIA SDW_GA4_00049588 DB-SDNY-0012412 EFTA_00I60197 EFTA01254637 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 POSMONER. 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. IF ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR 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. DETAILS • 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 AVAILABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WM I TEN 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. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. WYYVV.PERSHING.COMMUNNESS_CONTINUITY.HTML THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POUCIES DISCLOSURES (REGULATION NMS- BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. RULE 607(A)(1)-(2)) DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EQUITY ORDERS AS MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR PAYMENT. NSPECTION UPON REQUEST. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER TAX INFORMATION FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE 70 ACCEPT ORDERS, • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N1380 PERSHING ALSO REGULARLY DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. 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 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 FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR 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 SECUFUTES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR 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. IF ANY OF THE ABOVE TERMS AND CCNDITI0NS ARE UNACCEPTABLE TO YOU. PLEASE NOTIFY PERSWC IIALEDIAIELY IN WRITING BY CERTIFIED MAIL TOONE PERSHING PLAZA JERSEY CITY. NJ 07300. ATTN: LEGAL DEPT Page? of? AO I OT233CST30022 Accounl Number. Go paperiess ttt i;:::stan Paw gaga 'fly a a •• •a way LW- away e•••• we cearsuesa•••, DRAB Cul DAIS** *AIM COMPAIJNICATIONS • mosIS m ld S0U 1 C SONY GM_00049589 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN F D AENTIAL --- DB-S6NY-0012413 EFTA_00160198 EFTA01254638 (*.awe tam wean 143.Mgenaill Mats Cornet C.a.P DtsisOw liana Sewn. mc Yrs vert P0. em 1778. 841t mats M021203 R. wet A Account Number: Statement Period:02/0112014 - 02/28/2014 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,001.42 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,001.42 63,000.29 ST THOMAS VI 00802 Dividends. 'Metes: and Other Income 1/1 3.32 Total Taxes Withheld -0.51 -0.99 ncling Account Value 663 002 62 $63 002 62 Estimated Annual Income 3332 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-End Last Period This Period % Allocation I.,S0 Cash. Money Funds, and Bank Deposits' 63.000 29 63.001.42 61002.62 100.00% Your Account s 100% invested n USD Cash. Money Funds, and Bank Deposits Account Total 663,000.29 $63,001.42 $63,002.62 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposts are not sec rd es and are rot covered by the Securer's Investor Proteclion Corporation (SIPC). These bank deposits are covered by tire Federal Deposit Insurance Corporator (FDIC). up to atwable Mob. Page I of 6 A01200 ISCSFI0015 Go papferless A•• A I +I I T * itmed I mcollent PIA Pow OALSAft itAltO COmmuniCAtiONS omeowtea.eme.Peraseu.a. • ...way ••••• *say •• mu...ow Pant wousneswobscare omen oar* ac wrens Dena rc CONFIDEN TAL a VICII3OCI SDW_GIA_00049690 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012414 EFTA_00160199 EFTA01254639 FDIC Insured Bank Deposits Date Activity Type Desai Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um bet Activity Ending. 02128114 02/01/14 Opening Balance 63,001.42 63 001 42 02114/14 Deposl INTEREST CREDITED 1.11 63 003 13 APY 0.03% 02118/14 Withdrawal WITHDRAWAL -0.51 63.00262 TriSale Capital Bank NO 02118363002.62 02128114 Closlnc Balance 383,002.82 Total FDIC Insured Bank Deposits $63,002.62 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposk Insurance Corporation (FDIC) up to $250,003 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposks you may have at each respective bank. ncome and Expense Summary Current Period Year-to-Date Taxable Non Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits I 71 0.00 3.32 0.00 Total Dividends, Interest, Income and Expenses $1.11 $0.00 $3.32 $0.00 Portfolio Holdings Opening Oodng Accrued Income 30-Day Desaiptioe Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 83,002.620 63,001.42 83,00212 0.67 3.32 N/A Total FDIC Insured Bank Deposits 863,001.42 383,002.62 30.67 $3.32 Total Cash, Money Funds, and Bank Deposits 36310112 363,002.62 30.67 33.32 Accrued Estimated Market Value Interest kin' Income Total Portfolio Holdings 363,002.62 $3.32 Page 2 of 6 A:1200ISCSF3001S Account Num ber Go INyer1ess Rsel I ...Mont sr— ve-s "A aow (SYS. WIMP MS.WI • •••••• 00. 0 0••••••••••! f. The it••• O. Noe Ts% asaa Cd.e•WS tad”...0 DAMAN RATED COMMUNICATIONS SOGil-ERN CN(pj LLC. NF I1:i5NNAL: IXCEI.LlfaCt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) " SONY GM_00049591 DB-S6NY-0012415 EFTA_00160200 EFTA01254640 Draisee Sam Pr.le YNYI, Maatenmil Mleatt CO•er/VCOMP Devnthe Sn St(t *Ira W,. Once PO. Pax Ins asno-4r MO 272P0 Statement Period: 02/0112014 -0212812011 M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please vise the DWS Investments website at httpsfAwrmdws-investments.conVEN/productsimoney-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 Activity Summary (M amounts shown are en base currency) Credits This Period Year-to•Date Debits This Period Ye ar.to•Date Dividends and Interest $1.71 $3.32 Dividendsand Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld 40.51 40.99 FDIC Insured Bank Deposits $0.51 $0.99 FDIC Insured Bank Deposits .$1.71 43.32 Total Credits $2.22 $1.31 Total Debits 42.22 44.31 Transactions by Type of Activity Proceed Settlement Date Adivity Type Dee:Melia Clantity Price Accrued Interest Amorist Currency Dividends and Interest 02/14/11 FDIC INSURED BANK SLRED DEPOSITS INTEREST CREDITED 1.71 IJSO DEPOSITSINTEREST Total Dividends and interest • UNITED STATES DOLLAR 0.00 1.71 TaxesWithheld 02/14/14 M/ IEN T ALIEN TM NRA TAX WITHPIID ON INSURED DEPOSITS INTERP_ST •051 USD CREDITED Total Taxes Withheld - UNITED STATES DOLLAR 0.00 4.51 Page 3 of 5 Account Number: Posed P.<4.1ont *Nay raw. Passp u.C. • pone. cars Go paperless Soren Yeas In A Pow W.W.II Pa1 tO COmnsuPPC*I iOnS 4. Tr Pawpaws Pam axes caseses...• ...ens mu ..< SONY GM_00049592 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)6ThERNCONFIDETIAL DB-S6NY-0012416 EFTA 00160201 EFTA01254641 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaiptioa Qeantity Price Accrued Interest Amount Currency FDIC Insured Bank Deposits 02/14/14 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -1.71 LSD DEPOSITS INTEREST REIN VESTED 0211811/ FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.51 IJSO WITHDRAWAL 15O999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 4.20 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: T0S Contact Information ITAZIA SMITH Telephone Number: KEW YORK AY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OLT Default Method for all Other StaltidIS: FIRST IN FIRST OUT Electronic Delivery You have not selected any account communications lot electronic delivery. To register and turn off paper communications. log in to your account of contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources ?Mich we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A- and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) 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 wvAv.pershing.conVbusiness_conbnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Page c of Account Number RM•cl Excellent erase semen Peewee LLO. • tear wood *sem, 1)14•0•C i, I Go paperless Seven Yee. In A Pow CALL* *AID) COMMUNICATIONS *a mama et ars Tea earn cam...camerae reuse t“ waerrosex re to sec SO Lt . CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)UTHERN L. FIDEWIAL lucuweca SONY_GM_00049593 DB-SDNY-0012417 EFTA_OO I 60202 EFTA01254642 Drvisoe gam Ponle Wei11. Ma.ziental Myatt% Cern* 0 , WP Dtsische Sant Stitarimc Yr. bet Olio, Statement Period: 0210112014 • 02/2812014 Important Information and 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. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without Inquiry or investigation (i) orders for the purchase and sale of securities and other property and any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses 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 resu* 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 1201) 413-3333. All other equines 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 (SIPC1. 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 lints. For more detailed information please visit Wevitpershing.can/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 Med. • Arbitration awards are generaly final and binding; a party's abiMy to have a court reverse or modify an arbitration award is very Ignited. • 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. Page 5 of 6 A01200:5-r.SF3001S Account Number SO L Th ERN Cl / 1ffi 4( c-entiinAative Go paperless C Aeollhent awls. swat Pniseu.0.•••••••••••••••••~t MT. inannin• •••...:0•0•••••••lery miss reels. t“ ..••••• °OA ran VC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) F I DAENTIAL.:"--- 'xAcuscru)°m—AH'ns SDW_GA4_00049594 DB-SDNY-0012418 EFTA_00160203 EFTA01254643 Important Inform ation and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the arbitration forum in which the claim is filed. aro any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative lass who has not opted out of the class with respect to any claims encompassed by the putative class action until; (l)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 govem. Pershing's contact information is as follows: Pershing LLC; Legal Department. One Pershing Plaza; Jersey City. New Jersey 07309: (201)413-3330. Page 6 of 6 Accounl Num tier Raked I eoll.i t cr ag over PoniMme LW. • wfrobersorao• OS'S, /0120015-CSF300:!, Go paperless Yea'' in A Raw DAMAN RATED COMMUNICATIONS Sas. t“ weer e teas sec SO L. TI- ERN Clo ILL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) NF I1:i5NT' A SDW_GA4_00049595 DB-SONY-0012419 EFTA_00160204 EFTA01254644 NUNN INN Pooele THAN Mamienui INeartt CAPUT* GIMP °MUM Sant Secterimc ,Laved Olke PA la4 177S. aslintee 2t203 Account Number: Statement Period: 0110112014 -0113112014 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 163,000.29 163,000.29 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 63,000.29 63,000.29 ST THOMAS VI 00802 Dividends. 'Metes: and Other Income 1.61 161 Total Taxes Withheld -0A8 -0 48 ndrng Account Value $63,001.42 $63.001.42 Estimated Annual Income $1.61 Your Client Advisor: TAM SMITH Asset Allocation Prior Year-End Last Period This Period % Allocation IJSD Cash, Money Funds, and Bank Depositsl 63.000 29 63.000.29 61001.12 100.00% Your Amount d 100% invested n USD Cash. Money Funds. and Bank Deposits. Account Total $63,000.29 963,000.29 963,001.12 100.00% I The Bank Deposits In your account are FDIC Insured bank deposits. FDIC insured bark deports are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporation (FM). PP to alma* limi s. Page 1 of 8 Naiad rx<olkont OMAN eamMONTIANUC. mAparmaNINANIIM, A010033SCSF30016 GO paperless Soren Veen MARNA °AWOL PATIO COMMUNICATIONS ei NT Pa NINA IITA P.m TeneraamMIT MINN Msg. liC wasp /sperm sec CONFIDETNAL Ix< illOCE SDW_GA4_00049596 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012420 EFTA_00160205 EFTA01254645 FDIC Insured Bank Deposits Date Activity Type Demi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h umber: Activity Ending: 01131114 01/01114 Opening Balance 63.000 29 63.000 29 01115/14 Deposit INTEREST CREDITED 1.61 63.001.90 APY 0.03% 01116/14 Withdrawal WITHDRAWAL -0 48 63.001 12 Miele Capital Bank NO 01116 $63001.42 01131114 Closing Balance 963,001.42 Total FDIC Insured Bank Deposits 1133,001.42 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 Current Period Year•to-Date Taxable Noe Taxable Taxable Non Taxable Interest Income FDIC Insured Bank Deposits 161 0.00 1.61 0.00 Total Dividends, Interest, Income and Expenses $1.01 $0.00 $1.61 $0.00 Portfolio Holdings Opening Oodng Accrued Income 30•Day Description Quantity Balance Balance Income This Year Yield Cash, Money Funds, and Bank Deposits 100.0o% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 63,001.420 63,000.29 63,001.42 0.93 1.61 N/A Total FDIC Insured Bank Deposits $63,000.29 $63,001.42 $0.93 $1.61 Total Cash, Money Funds, and Bank Deposits $63,000.29 $63,001.42 $0.93 Sim Accrued Estimated Market Value Interest Annual Income Total Portfolio Holdings $63,001.42 $0.00 $1.61 Page 2 of 6 Account hum ber RaSed I .emant A0100338CSFI0016 SO LTF ERN CNO F DAENTIALGo PaPerless 1.7,,,Thvirp EACCLUINCT bAct.t....iwKATioNs SDNY_GM_00049597 CONFIDENTIAL —PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012421 EFTA_00160206 EFTA01254646 Draisee Sam Stale Walt Marna Mleatt CO•erIVG.MP DeeNhe SW Waal nt. Yrak Veri Ont. Pa &et 1776, Barrow 1021203 Statement Period: 0110112014 -0113112014 Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual hind 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 investment professional for additional information. Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https://vniew.dws-investments.com/EN/productsimoney-market-hinds-yields.jsp. Please note that all money market funds hsted on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Activity Summary (Al amounts shown are in base currency) Credits This Period Year.to-Date Debits This Period Year-to-Date Dividends and Interest $1.61 $1.61 Dividendsand Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$0A8 .$0.48 FDIC Insured Bank Deposits $0.48 $0.48 FDIC Insured Bank Deposits -$1.61 -31.61 Total Credits $2.09 $2.09 Total Debits -$2.09 -$2.09 Transactions by Type of Activity Process' Settlement Date Adivity Type DesaiNice Quantity Price Accrued Interest Amorist Currency Dividends and Interest 0111511/ FDIC INSURED BANN IkSlo RED DEPOSITS INTEREST CREDITED 1.61 LSO DEPOSITS INTEREST Total Dividends and interest • UNITED STATES DOLLAR 0.00 1.61 TaxesWithheld 01/15/14 SIENT ALIEN TAX NRA TAX WITHHELD ON INSURED DEPOSTS lk TERF_ST •0.48 LSO CREDITED Tout Taxes Withheld - UNITED STATES DOLLAR 0.00 .0.48 Page 3 of6 Account Number alga inCellent Cala areasase LLC. • Way sae aa DRAB < pI Go paperless Scan Yea In A Rew OALaa •AliO COMMUNICATIONS es •a va awn caw...stay aau rya. i LC ....efseA a is sec SOUTHERN CIO LLC. ucurueCE CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDatriAL SONY GM_00049598 DB-S6NY-0012422 EFTA_00160207 EFTA01254647 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaation Quantity Price Acaued hatred Amon' Carreno FDIC Insured Bank Deposits 01115114 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -1.61 LSD D EPOSITS INTEREST REIN VESTED 01118/14 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 0.48 LSO WITHDRAWAL SO999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 .1.13 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: T0S Contact Information TAZIA SMITH Telephone Number: KEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default M ethod for Mutual Funds: FIRST IA FIRST O I,T Default Method for Stocks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Electronic Delivery You have not selected any account Dom m unications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices have been obtained from sources ?Mich we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A- and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) 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 wyriv.pershing.cornibusiness_conhnuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. Page 4 of 6 1)1kafi ( .1 Account Number SO RIFIDantiAL RI ..c„,„.., Go paperless Sevenxcellent Seven Yeas In A Rove eAltO COMAAUNICATIONS weree.Penstee u.C. • weeer Geese •••••St re name et ars Tenets, cams verse. t wee VS re le en can manes SONY GM_00049599 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)umERN DB-S6NY-0012423 EFTA 00160208 EFTA01254648 DraIsOe gang, Ponle VItiah Mitatt% CO•neet, C,P Dtsitthe Sant 141ten. mC, Yes *A Once Wit SY 1014 Statement Period: 01/0112014 -0113112011 Important Information and 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. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate vrill not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept horn your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or Rs 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 resuN 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 (SIPC°). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC lints. For more detailed information please visit vnwe.pershing.corn/strength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. 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 Med. • Arbitration awards are generaly final and binding; a party's ability to have a court reverse or modify an arbitration award is very hinted. • 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. Page 5 GIG A010033&:SF30016 c Account number KI.,11- ERN F K L C Go paperless A • A ) O . O 44, ,.. azr; It/a d I Ateliinb t SI•400 Veaes In A Row i itr . RAPD COMMUNICATIONS 01.014101.8•91••••••••410.•••••••••••••Agnier OP Ma. •Ma Of Nara TN gleam. Clopseist••••••••• f••••••ii.0 Nese IMO. ra dii let SDW_GM_00049600 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0012424 EFTA 00160209 EFTA01254649 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of the atherabon forum in which the claim is flea. 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; (lithe class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Page6 of6 Account hum ber F DA5NETTA RM.! xt *Mont awls. swoop. •••••••• MAC. ••••••••••••••••14W, M10033PCSF300:4 Go paperless s..... Yeas In A Row DAESAR tx „ •RTC) COMMONICATIONS ei mesa mew Tem us.. ca.reses min asses Po.w .LC format esa.....sa sec Si) LIM ERN CN(ci SDW_GIA_00049601 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0012425 EFTA_00160210 EFTA01254650