EFTA01291697

Deutsche Asset & Wealth Management Gnaw e Banc Ponie Wall" Maarnmi Pewees CoV•00.4,1,P CestsOw Ye* Moo Now Wart Mar P.O. Box 1776, Baltimore, MD 21203 345 Par% MY ,]MB liter lieslat. PM 10114 0 0 ) 451-7101. n•-•091. Account Number: Statement Period:12/01/2015 - 12/31/2015 Portfolio at a Glance Ibis Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 111,775,501.12 9233,030.73 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73 ST THOMAS VI 00802 het Securities InlOut of Account 0.00 5,867,790.80 Adjusted Previous Account Value 1,715,501.12 8,20,035.25 Dividends. Interest and Other Income 59 42 60.410.09 het Chan e in Portfolio •701812.80 .202 697 60 nclrnd Account Value SS 073,747 74 58,073 747 71 Your Client Advisor: Estim ated Annual Income $112,357.29 DANIEL SAW Asset Allocation Prior Year-End Last Period This Period % Allocation LSD Cash. Money Funds and Bank Deposts1 233.030.72 2.408.595.12 2,408,654.54 29.83% Please rev eo yea allxa:ter LSD Equities 0.00 8.366,906 00 5,665,09320 70.17% per05ca y w tr ye.r C ter: Advisor Amount Total (Pie Chart) 1233,030.12 98,775,501.13 98,073,717.71 100.00% I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured back deposits are not setuates and are not covered by the Seountres Investor Protection Corporation (SIPC). These bank deposes are covered trr the Federal Depose Insurance Corporation (FDIC), up to allowable limbs. Pagri of9 ,npaperiess/AL ONIFIDGO Rated (..illont 1)0A0 ,ROLL c B0097909C5F30024 csr 'ant* 2007 0^10/ka RAW:. COMMUNICATIONS )0:71 /NCI ...- SDNY_GM_00049602 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012426 EFTA_00I 602 I I EFTA01291697 Summary of Gains and Losses Realized This Period Year-tmDate Unrealized long-Term Gain/Loss 0 00 COO 666 782 11 Net Galnlioss 0.00 0.00 666,782.11 This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Adivit pt Demi• Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46028161 Activity Ending: 12131/15 12/01115 Opening Balance 2,408,595.12 2,408,595.12 12/15115 Delimit INTEREST CREDITED 59.42 2,408,854.54 AN 0.03% 12116115 BUT 2808,854.54 NO 12116 $198137.09 Citibank N.A. NO 12116 $231500.00 Compass Bank NO 12116 $237500.00 Deutsche Bank NI Co NO 12/16 $237500.00 East West Bank NO 12116 $237500.00 FSB of Tennessee NO 12116 $231500.00 Huntington National B NO 12/16 $73017.45 RBS Citizens PA NO 12116 $237500.00 Texas Capital Bank NO 12116 $237500.00 TriState Capital Bank NO 12116 $231500.00 Um aqua Bank NO 12116 $237500.00 12131115 Closing Balance $2,408864.64 Total FDIC Insured Bank Deposits 12,408,664.54 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. Page 2 of 9 Account A umber: N4G-026161 Rated Euel4nt 1>itAlt ,,;,,I Aso paperless 7"." 7 "' 2°° 7 114.13AR RATED COMUNICATIOh1S Mrlamaidastreiti Lit a e des84.111•EVII04, F IDAENTIAL ..CE, SDNY_GM_00049603 6: IF ERN CO CONFIDENTIAL —PURSUANT TO FED. R. GRIM. P. 67 DB-SDNY-0012427 EFTA 001602 I 2 EFTA01291698 Deutsche Asset & Wealth Management Gnaw e Sam 1.•••• Wok,. P•s•••entm Wises Corei4eComP Cesisch• Ma N0.•••• Mrs bet ON,* PO. Box 1776, Baltimore, MD 21203 .145Poli Mae, 111h I ter 11.v. week PM 10154 4142talt1S121•409S Statement Period: 1210112015 • 12/3112115 Income and Expense Summary Current Period Year-to-Dale Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 59.998.00 0.00 Interest Income FDIC Insured Bank Deposits 59.42 0.00 411.69 0.00 Total Dividends, nterest, Income and Expenses 559.42 10.00 160,410.09 $0.00 Portfolio Holdings Account Activity Opening Ocala Heaved Income 30-Day Current Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 30.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 12101115 2.408.854.540 N40028181 12131115 2.408.595.12 2.408.654.54 37.61 411.69 N/A NIA Total FDIC Insured Bank Deposits 12,408,595.12 12,408,554.54 $37.61 1411.89 Total Cash, Money Funds, and Bank Deposits $2,408,595.12 $2,408,654.54 337.61 1411.69 Unrealized Estimated Intimated Date Acquired Quantity Unit Cost Cod Basis Market Price Markel Value Gain( Loss Mutual Income Yield Equities 70.00% of Portfolio Common Stocks APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSP 037833100 10128113 3 14.000.000 75.5800 958.120.50 105.2600 1,473,640.02 415,519.52 29.120.00 1.97% 0910511/ 3 7,200 000 98.9500 712,440.29 105.2600 757,871.98 45,431.69 14,976.00 1.97% 09/05114 3 32.820.000 98.9500 3,227,750.30 105.2600 3,433,581.20 205.830.00 67,849.60 1.97% Total Covered 53,620.000 1,098,311.09 5,665,093.20 666,782.11 111,945.60 Total 53,820.000 $4,998,311.09 95,665,093.20 1668,782.11 5111,945.60 Total Common Stocks 14,995,311.09 95,665,093.20 1566382.11 5111,945.60 Total Equities $4,998,311.09 $5,685,093.20 6668,782.11 5111,94510 Page 3 of 9 D97909CSF3C t ()OA° IK>t Account Number. N404326161 Go paperless rt,Itznal • 2007 0AlliAn RAUL, COMMUNICATIONS -,- CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 670‘"ERN F ID^ENTIAr 1)0:2110NOI SDNY_GM_00049604 DB-SDNY-0012428 EFTA 00160213 EFTA01291699 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Valve Gain! Loss Interest Annual Income Total Portfolio Holdings $1,006,965.63 $8,073,747.74 6666,781.11 $0.00 $112,357.29 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P1.110-343. the Emergency Economic Stabilization Act of 2008) and are. therefore, considered lioncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable dates)" at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally wit be phased in over a three-year period, as follows: • Stock II a corporation acquired on or after January 1, 2911 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messa es 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:/rynwr.dws-investments.coriVENfproducts/money-market-funds-yieks.jsp Please note that all money market funds fisted 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 produces disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2015 IRS Forms 1099 (B, DIV, INT, 010 and MSC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16, you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice MI 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 Mardi 17, 2016. Page 4 of 9 Account Number. N40.026161 Rated luellent MOAB ROLL Go paperless Ls,* Vas Slows 2007 rOAl xcrOAR itnier RATED COMMUNICATIONS :tan etsetratir O•gets.. esso•La air few.* Prow " ...,- SOUTHERN CP Lt. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) F IDAERTIAL SDNY_GM_00049605 DB-SDNY-0012429 EFTA_GOI 602 I 4 EFTA01291700 Deutsche Asset & Wealth Management DralsOe Sam Pootle wean Ma.zigentvd minim Iv., , G.O.P Cevische Sank Senn, vt *vs bet ORor PO. Boa 1776. Balbmoro. MD 21203 .115 Pan .,,Sp. 20th lbw' Mew %A PIT 10VA OtH CA.2184. MSS, 211.4M4 Statement Period:121011915 - 1213112115 Activity Summary /an amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year•to•Clate Debits Year-to.Date Net Year•to•Date Secunues Securities Depos,tel 0.00 0.00 0.00 3.383.998.80 0.00 3.383,99840 Total Securities $0.00 $0.00 $0.00 $3,383,990.50 $0.00 $3,383,998.80 Dividends and Interest $59.42 $0.00 $59.42 $60,410.09 $0.00 $10,410.09 Cash Deposts 0.00 0.00 0.00 2,115,21313 0.00 2,115,213/3 Total Cash $0.00 $0.00 $0.00 $2,115,213.73 $0.00 $2,111213.73 FDIC Insured Bank Deposits $0.00 -$59.42 •$59.42 $0.00 42,175,82312 42,17512182 Totals $59.42 459.42 $0.00 55,559,622.62 42,175,82312 $3,383,99180 Transactions by Type of Activity Process/ Settler eat Date ActWT tir Desc ti e Acaved inters Amount Onest Dividends and Interest 12/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 59.42 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest- UNITED STATES DOLLAR 0.00 69.42 FDIC Insured Bank Deposits 12/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -59.42 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 49.42 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Page 5 o19 MIA0 ROll CZ"KIFID"...„,. Account Number. N40426161 SO UTF ERN GO PaPerless t r Jiirunti;c2°°7 IOU 1Oh6 etntrZa a tas wet Isal..114 amt. FS . ac . t..........v..... Wilt =Pc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) AENTIAL f XCII I MCI SDW_GA4_00049606 DB-SDNY-0012430 EFTA_00160215 EFTA01291701 Client Service Information Your Client Advisor: DAN DANIEL SABRA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10154-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all OtheiSecurilies FIRST IN FIRST OUT Bond Amortization Elections: Am 0320 premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account coin n unications for electronic delivery To register and turn off paper comm 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 close of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Marital 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 "NM' arid 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 resuks. These figures are computed using intonation 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 principal may be included in the figures for certain securities, thereby overstating them. Refer to VNAY.pershing.conbusiness_tontinuilyhtml for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income. or dividends for other securities shown on your statement may have been reinvested. You wig not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order Now. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confinations previously furnished to you. A summary of this information is evadable to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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 Page 6 of 9 B0097909CSF300 4 DBAB.1.OO. criNFI Account Number. N4O126161 GO paperless * R---yd•ft—'1RM:. i-OnSout l" -5.- "t•COMMUNICATIONS 2007 :ran enZtana ttcle t '" eon MEV Ida* DancTIAL ......•••La ••••••• now •••••• •••c SOUTHERN En/ail/No , SDNY_GM_00049607 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012431 EFTA_OO16O216 EFTA01291702 Deutsche Asset & Wealth Management Orals° e Rana Pr.le wean TAAtenme weans ConranDAR PAIRSIN TATA,. RA Ma RAT Mar P.O.Box 1776, Balbmora, TAD 21203 345 PMAsst. l•thilkst lees Wet PM 10114 1/01447/114. MSS) 211409S Statement Period: 1210112016 - 12/31(2015 Important Information and Disclosures (continued) Foreign Currency Transactions (continued) 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 a investigation 0) orders for the purchase and sale of securities and other property and In 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 controling 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 are 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 ciders; 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: wnw.pershing.corniabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abikty 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 sane 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. Page 7 of 9 Account number: 1146-026161 Riled ILuollat "‘ ""0...Z............, Go paperless Larry Year Tante 2007 OACSAR RATCD COADAIRDCAT1OTTS ;an eccrantiss. RARATTIca rare ~A. woe.« ONF IDAENTIAL [MTh/NCI SDNY_GM_00049608 8)UTHERtg CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 DB-SDNY-OO12432 EFTA_OO16O2 I 7 EFTA01291703 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Perskiig's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413.3330. Page I or 9 Account Humber. N404126161 Ridded Luallent • Wink ilin Go pdpQf1£SS tr." Yee, Since 2007 rOAl xerlin RATC0 COMMUNICATIONS SOUR-ERN CT" LI.C. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDENTIAL SDNY_GM_00049609 DB-SDNY-0012433 EFTA _001602I8 EFTA01291704 TERMS AND CONDITIONS TRANSACTIONS PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION. RULES, REGULATIONS. CUSTOMS. USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FINANCIAL • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT DATE. WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED COFFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHNO.COM. STATEMENT. F SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING CONVDISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 1307(A)(1)-(2)) BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED N MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETALS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF TO CERTAN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION UPON REQUEST. FLOW. PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SEE. AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTNN LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHNG WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO NCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST AN ACC UMULATNG THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR AMITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ASSOCIATED WITH PERSHING IS AUTHORIZED TO RENDER SUCH ADVICE. DO NOT RELY UPON ANY SUCH ADVICE. IF GIVEN INVESTORS ARE ENCOURAGED TO CONSULT THEIR TM ADVISORS TO DETERMINE THE APPROPRIATE TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ME INDEBTED TO PERSHNG LLC ('PERSHNG') 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. W ITHOUT TENDER DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHNG FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. F ANY OF DIE ABOVE TERMS AND CCMDITIONS ARE UNACCEPTABLE TO YOU. PLEASE NOTFYPERS-ING IMMEDIATELY IN WRITING BY CERTIFIED MAIL TO ONE PERSHING PLAZA JERSEY arClilOra ant LEGALDEPT Page II o(9 Accouni Humber. 1146. Rated Emeliont 026161 Go paperless Lreey Year We 2007 °MBAR RATED COMMUNICATIONS MM et weerwaleme• Lt‘ Wiremen •••••••••41.a nevenew. 'elm m0 " See. S0UTI-ERN ONFIDAENTTAL l'Re7I MCI SDNY_GM_00049610 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SONY-0012434 EFTA_00160219 EFTA01291705 Deutsche Asset & Wealth Management Draisre Sant Pnvaie weadin maatenan matins Gwen* 66,P Cettscht Ur* Settonei bic Mow Orloo PO. Box 1776, Balbmoro, MD 21203 HI PIO AMINO. 2•11. I kit Nowt* NY 10114 00)45441.1ISSIM409S Account Number: N4G-0 26 16 1 Statement Period: 11101/2015 - 11/3012015 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 18,812,037.99 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 2,115,213.73 ST THOMAS VI 00802 Net SecutihesIniClut of Account 000 5,867,790.80 Adjusted Previous Account Value 8,812,037.99 0,215,035.25 Dividends. Interest and Other Income 28.047.13 80.350.67 Net Charlie in Portfolio -64.584.00 499 115 20 ndrng Account Value SS 7 5 50 1 1 2 58.775.501 .12 Your Client Advisor: Estim ated Annual Income $112,297.87 DANIEL SAW Asset Allocation Prior Year•End Lad Period This Period % Allocation L SO Cash Money Funds and Bank Depootsl 233.030.72 2,380,547.99 2.408.595.12 27.45% Ili i\ Please rev e,v Cr. aliccncl LSD Equities 0.00 8431,490.00 8.366,906 00 7255% peior:ca 7 o t- yc.., C ,er:Adv so Account Total (Pie Chart) $233,030.72 0,112,037.99 8,775,501.12 100.00% I The Sane Deposes in your account are FDIC insured bank deposits. FDIC insured bank deposits are not senoritas and are not covered Dy tne Secunties Investor Protection Corporation (SIPC). These bank deports are covered by the Federal Depose Insult* Corporabon (FDIC). up to allowable tirots. Page 1 ol 8 Rated Excellent A0097019CSF30017 C143paperless L very Vat Since 2007 etrlamde Nee wok Iiii'= "1 a 0 :7mee 'NNW 860.. " L>BA0 ROIL ••••••••La avestreata, Nn.. siK 0.410AR RATED COMMUNICATIONS IXCII CNC SDNY_GM 00049611 CONFIDENTIAL CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-OO12435 EF1'A_00160220 EFTA01291706 Summary of Gains and Losses Realised This Period Year-to-Date Unrealized long-Term Gamfloss 0 00 0.00 1,368 594.91 Net Galn/Loss 0.00 0.00 1,368,594.91 This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Aaivit T pe Desai Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 Activity Ending: 11130115 10131115 Opening Balance 2,380,547.99 2,380,547.99 11113/15 Depoit DEPOSIT 27,986.40 2,408,534.39 11113/15 Deposit INTEREST CREDITED 60.73 2,408,595.12 APY 0.03% 11116115 Associated Bank NA 2,408,595.12 NO 11(16 $237500.00 Androscoggin Bank NO 11(16 $237500.00 BUT NO 11(16 $237500.00 Citibank N.A. NO 11(16 $33595.12 Deutsche Bank Trst Co NO 11(16 $237500.00 FSEI of Tennessee NO 11(16 $237500.00 Huntington National B NO 11(16 $237500.00 Israel Discount Bank NO 11(16 $237500.00 Texas Capital Bank NO 11(16 $237500.00 TriStale Capital Bank NO 11(16 $237500.00 Umpqua Bank NO 11(16 5237500.00 11(30116 Closing Balance 12.400,595.12 Total FDIC Insured Bank Deposits 12,401,596.12 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 ovmership 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. Page 2 of 8 Account 1\ umber. N404326161 Rated twollont Cio paperless tray Year Since 2007 ettan a etNerrestOrirea•on " Mir Wawa NFIDncarTAL IMAM ROL rOAIL xat: PATCD COMMUNICATIONS SO TI- ERN F L1C. NCJ SDW_GM 00049612 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0012436 EF1'A_00160221 EFTA01291707 Deutsche Asset & Wealth Management Draisre Banc ...tie W3 /4.41,14aatentm BYOB Comae Comp CeettOw Is* Sm.en 114. NON id Mo. PO. Box 1776, Balbmoro, MD 21203 NfPin MY, ]NI,I by lies•aft. PM 10114 PO/ 65.61306 PSM 7144095 Statement Period: 1110112015 - 11130/2115 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable Noe Taxable Dividend Income Equines 27,986.10 0.00 59.998.10 0.00 Interest Income FDIC Insured Bank Deposits 60.73 0.00 352.27 0.00 Total Dividends, nterest, Income and Expenses 628,047.13 10.00 160,350.67 10.00 Portfolio Holdings Account Adivily Oneonta Closiag Accrued Income 30-Day Current Opening Date Quantity Number Endieg Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 27.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSTS PROGRAM 10/31115 2.408.595.120 N40026181 11130115 2.380.54719 2,108,595.12 29.72 352.27 NIA NIA Total FDIC Insured Bank Deposits 12,380,54719 12,408,595.12 329.72 1352.27 Total Cash, Money Funds, and Bank Deposits 12,380,547.99 $2,408,595.12 129.72 1352.27 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gala, Loss Annual Income Yield Equities 73.00% of Portfolio Common Stocks APPLE INC CON Security Identifier: AAPL Dividend Option: Cash CloSIP. 037833100 10/28113 3 14.000.000 75.5800 1.058,120.50 118 3000 1.656.200.02 598.079.52 29,120.00 1.75% 09105114 3 7,200 000 98.9500 712,440.29 118 3000 851,759.97 139,319.68 14,976.00 1.75% 09105114 3 32.620.000 98.9500 3,227,750.30 118.3000 3,858,946.01 631,195.71 67,849.60 1.75% Total Covered 53,820.000 4,998,311.09 6,366,906.00 1,368,194.91 111,945.60 Total 53,820.000 14,998,311.09 $6,369,906.00 $1,368,614.91 $111,945.60 Total Common Stocks 14,9911,311.09 16,366,906.00 61,361,694.91 $111,945.60 Total Equities $4,998,311.09 16,366,906.00 $1,368,694.91 $111,945.60 Page 3 of 8 A, 099049CSF3C P. . MOAB ROLL OutNF IDrariAL Account A umber. N40126161 SO L TF ERN F Go paperless t Riled Excellent tn er V." SMC. 2007 06.1.13611 RAT CO C061/61.1160‘TIONS f %en I ENO' Mtt a et warraligt =fa .' SW li••••• SDNY_GM_00049613 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012437 EFTA_00160222 EFTA01291708 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Vain Gain/ Loss Interest Annual Income Total Portfolio Holdings $7,006,906.21 9,775,501.12 91,361,594.91 $0.00 $112,297.67 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("lRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock is a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. M essages Please note the following information for Pershing's 2015 IRS Forms 1099 (B. DIV, INT, OID and MISC ): Your form 1099 will be delivered as early as possible, beginning January 31, 2016. By February 16. you will be mailed either your 1099 form or a 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 coil 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 March 17, 2016. 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 DVVS Investments website at httpsINAwrdws-investments.corniEN/productsimoney-marIcet-funds-yields.jsp. Please note that all money market funds fisted 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. Page 4 ore Account Number N40.026161 MIAS ROLL (so paperless tray Van Sint* 2007 rOAl xcilr i nniltA arTCD COMMUNICATIONS SOUTHERN CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 13(b) F IDAENTIAL SDNY_GM_00049614 DB-SDNY-0012438 EFTA_OO16O223 EFTA01291709 Deutsche Asset & Wealth Management Orals° e Sant Prmale Wealth Magetenmil Mareels Croe00107:•7 CeehOw lelkSeCionel New Wart Orto PO. Boa 1776. Baltimore. MD 21203 341Parli Mart leth ter linelget. Nr 10114 0 0 ) 451-7110. 0713) 22•409S Statement Period: 11/0112015 - 11130/2015 Activity Summary (Al! amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year•to•Clate Debits Year-to•Date Net Year-to-Date Securities Securities Deposited 0.00 000 000 3.383.998.80 0.00 3,383,99810 Total Securities $0.00 $0.00 $0.00 $3,383,998.80 $0.00 $3,383198.80 Dividends and Interest 128,047.13 $0.00 $26,047.13 $60,360.67 $0.00 $10,350.117 Cash Deposts 0.00 000 000 2.115.213.73 0.00 2,115,213.73 Total Cash 10.00 $0.00 $0.00 $2,116,213.73 $0.00 $2,111213.73 FDIC Insured Bank Deposits 10.00 128,047.13 128,047.13 $0.00 -$2,171514.40 .$2,171584.40 Totals $21047.13 -$20,047.13 $0.00 $5,559,563.20 -12,175,584.40 13,363,99610 Transactions by Type of Activity Process, Settlement Date Activity Type Description Quantity Price Awued Interest Mount Qirreicy Dividends and Interest 11112115 CASH. DIVIDEND RECEIVED 53820 SIRS APPLE INC COM RD 11/09 PD 11/12/15 27.98640 LSD AAFt 11113115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 60 73 LSO DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 28,047.13 FDIC Insured Bank Deposits 11/13115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 47.98640 USD USD999997 11/13/15 FDIC INSURED BANK IASLRED DEPOSITS INTEREST REINVESTED 5073 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -28,047.13 Page 5 o18 - Account Number N40126161 Rated excellent 02Ali ROL Go paperless tray Year 'Sento 2007 COMMUNICAT lOhtS ettiartrereralel •••••••LA •••••••• t rOomeeteen OHM WY . te••••• SOUTHERN Cr — CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) ONFID^ENTIAL, SDNY_GM_00049615 DB-SDNY-0012439 EFTA 001070224 EFTA01291710 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiption Quality Price Accrued Interest Amount Currency Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVF.NUE 28Th FLOOR NEW YORK NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account cam m unications for eledronic delivery. To register and turn off paper communications, log in to your account or canted 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 close of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe lo 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/A* 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 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 busness 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 vnwipershing.corribusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions. including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment fa order flow. Page 6 of 8 Account Number. N40.028161 Raged Excellent MOAB ROIL SOUTHERN F , TTAL- CAL LW. GO paperless Y••• se". zoom ON.BAR RATED COMMUNICATIOhtS EMT' I MC/ Mt bt a etwartelii tr C•41:S i " ante MOW CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) ONFIDn SONV_GM 00049616 DB-SDNY-0012440 EF1'A_00160225 EFTA01291711 Deutsche Asset & Wealth Management Gnaw e Banc PrrnieWeSth PAMIrlad matins CONWP G.wp Cestuht W Moon. mc New Wart Oltor PO. Boa 1776. Balbmoro. MD 21203 345 FM Mist Ilith I kir lieslat. PM 10114 P.O4M4114.POOM-6091. Statement Period: 11/0112015 - 11/3012015 Important Inform ation and Disclosures (continued) Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Addrional information regarding this procedure is available upon written request to your ntroducing firm. 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 light 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 smaler 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 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 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 arid 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 cr activity should be directed to your financial institution. Your financial organization's contact information can be found on the fist page of this statement. • For a desorption 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: iwnv.pershing.com/abothrstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days AM receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wribng to further protect your rights. including your rights under the Secunties 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. Page? of 8 Account Humber. 1146.026161 Riled Ibicellent Go paperless twos" Year SW* 2007 OAISAR RAM. COMMUNICATIONS SOUTI- ERN CZ, LLC. )0Z/IIIINCI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF IDAEWITAL SDW_GM_00049617 DB-SDNY-0012441 EFTA_00160226 EFTA01291712 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court. including the right to a trial by pry. except as provided by the rules of the arbitration foram in which a claim is filed. • Arbitration awards are generaty final and binding; a patty's stilly to have a Court reverse or modify an arbitration award is very limited. • The abildy 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 inckide 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 fill) 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 I ol8 Account number: N40-026161 4. .....O6 Rated Cvoillool MIMI ROIL GO paperless I.rosy yew W.C• 2007 Mrian a Mstroalmm it" Orelems " ••••••••••••• ••••• IMIVINOm --- OALSMI (MUD COMMUNICATIONS ••••••••ac. soc S0UTI- ERN CVO LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) NF IDneTTAL SDW_GM_00049618 DB-SDNY-0012442 EFTA_00160227 EFTA01291713 Deutsche Asset & Wealth Management Draisre Banc Poetic vftsar#4.itenan Mantes Covent C, C,P Ces4sOw Si* Maori mc, /10•11ort0111,0 PO. Bca 177B, Balarnare, MD 21203 341Parli Aseask *cc liesVat. WI 10114 IM)4544100. PSI) n•-•091. Account Number: N40-026161 Statement Period: 10/01/2015 - 10/31/2015 Portfolio at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 18,316,835.27 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 2,115,213.73 ST THOMAS VI 00802 Net SecurinesInlOut of Account 000 5,067,790.80 Adjusted Previous Account Value 8,316,835.17 1,216,035.25 Dividends. Interest and Other Income 58 72 32.303.51 Net Chan .e in Portfolio 495 144.00 563 699.20 nding Account Value $S 812 037 99 S8 812 037 99 Your Client Advisor: Estimated Annual Income 5112 237 14 DANIEL SAM Asset Allocation Prior Year•End Last Period This Period % Allocation LSD Cash. Money Funds and Bank Depostst 233.030.72 2.380.489 27 2.380.547 99 27 01% AL Please rev e,y so.J alixa:ie, LW Equities Dein ca 7 V/ t- )C./ C er: Adv sr 0.00 1936.346 00 6.431.490 00 7299% [ Account Total (Pie Chart) 1133,030.12 9,316,835.27 88,812,037.99 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securit es and are not covered by the Secuntes Investor Protecbon Corporation (SIPC). These bank deposts are covered by the Federal Depose Imitate Corporaton (FDIC). up to allowable Page 1 oil Rated excellent 1.>11A0 ROLL A01103 PCSF30010 paperless Lvesry vat Since 2007 O411311N RATCD COMMUNICATIOhtS :tan etworrealas aa ••••.•••La •••••••••••••••••.€ soc CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL ""'"a SDNY_GM_00049619 DS-SDNY-0012443 EFTA_00160228 EFTA01291714 Summary of Gains and Losses Realized This Period Year•to•Date Unrealized long.Term Gain/Loss 0.00 0.00 1A33.178 91 Net Gal& Loss 0.00 0.00 1,133,170.91 This summary excludes transactions where cost basis information is not available. For Your Information Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfoko al a Gana, beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account h um ber: A4G026161 Activity Ending: 10130115 10101115 Opening Balance 2,380.189 27 2,380,189.27 10115/15 Depotal INTEREST CREDITED 5872 2.380.547 99 APY 0.03% 10116/15 Androscoggin Bank 2,380,517.99 NO 10116 5237500.00 BOLT NO 10116 15547.99 Citibank N.A. NO 10116 S237500.00 Deutsche Bank Tail Co NO 10116 1237500.00 East West Bank NO 10116 $237500.00 Flushing Bank NO 10116 1237500.00 FM of Tennessee NO 10116 5237500.00 Huntington National B NO 10116 1237500.00 RN Citizens Bank NO 10/16 1237500.00 Texas Capital Bank NO 10116 5237500.00 Page 2 of 8 Account Number N4G•026161 Rem. Encellent [very I)0A0 itOt Go paperless Voss Since 2007 OAS0AR RATED COMMUNICATIONS :Tan etiarrait .C oonessa SW Ida* .. entwou0 earl roma Pernr •ser CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN COlq FIDEmisrriAL axeuvav SONY_GM_00049620 DB-SDNY-0012444 EFTA_00I 60229 EFTA01291715 Deutsche Asset & Wealth Management Draisre Banc Ponie Wealth Magagentm Maeats Confiee C,0. CesbOw Wit Sea...nein< Now brit Mar PO am 1776, Baltimore, MD 21203 NI FM Melnik Iiith liter IfesIlat PM 10114 0 0) 41,1-711. IIMI21•4011 Statement Period:0101121M - 1013112115 FDIC Insured Bank Deposits (continued) Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) TriState Capital Bank NO 10116 5237500.00 10130115 Clasina Balance $2,380,647.99 Total FDIC Insured Bank Deposits $2,380,647.99 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250.000 for each category of legal ownership Mcluding Mdivictual 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 Parent Period Year4mDate Taxable Non Taxable Tuable Non Taxable Dividend Income Equities 0.00 0.00 32.012.00 0.00 Interest Incom e FDIC Insured Bank Deposits 58.72 0.00 291.54 0.00 Total Dividends, Interest, Income and Expenses $68.72 $0.00 $32,303.54 $0.00 Portfolio Holdings Amount Activity Opting Oosieg Accaed leonine 30-Day Current Opening Date Quantity Number Ending BMus 8113101 Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 27.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 10101115 2.380.547.990 N46028181 10130/15 2.380.489.27 2.380.547.99 33.27 291.54 NM NM Total FDIC Insured Bank Deposits $2,380,489.27 $2,380,547.99 $33.27 $291.64 Total Cash, Money Funds, and Bank Deposits $2,380,489.27 $2,380,647.99 $33.27 $291.64 Page 3 of 8 Account Number N40.026161 Riled Excellent OtlAla ROLL Go paperless Ivory Yves WOO. 2007 OAXOAR RAT CD COMMUNICATIONS M an oresoun eisttailltrons " weir we we Mao SOUTHERN CNCIAL LL F IDAERTIAL EXCIII/Na SDNY_GM_00049621 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012445 EFTA_00160230 EFTA01291716 Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired Quietly Unit Cod Cod Basis Market Price Market Value Gain/ Loss Annual Income Yield Equities 7 3.0 0% of Portfolio Common Stocks APPLE INC CON SeCurity Identifier: AAPL Dividend 0ption: Cash CUSIP. 031833100 10/28/13 3 14,000.000 75.5800 1,058,12050 119.5000 1,873,000.02 614,819.52 29,120.00 1.74% 09105114 3 7,200.000 98.9500 712,44029 119.5000 860,399.97 147,959.68 14,976.00 1.74% 09105114 3 32,620.000 98.9500 3,227,750.30 119.5000 3,898,090.01 870,339.71 61,849.60 114% Total Covered 63,020.000 4,998,311.09 6,431,490.00 1,433,176.91 111,946.60 Total 63,020.000 94,998,311.09 $6,431,490.00 $1,433,176.91 $111,945.60 Total Common Stocks $4,998,311.09 $6,431,490.00 31,433,178.91 $111,945.60 Total Equities $4,998,311.09 $6,431,490.00 $1,433,178.91 $111,945.80 Unrealized Acaued Estimated Cost Basis Market Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $7,378,059.08 $8,812,037.99 $1,433,178.91 30.00 $112,237.14 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended ("IR') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis van be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquked on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messages 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://vmw.dws-investments.conVEN/products/money-markehfundswields.jsp. Please note that all money market funds listed on the website may not be offered through us. Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Pori'ago of a Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. Page c of 8 Account Humber. N40126161 Riled (*valeta OMB RCM Go paperless "oZnarrer..‘twi tc7c2g1/47....c.TioNs -- SOUTHERk EXCIIION01 Asa. tan avow am* oniv SDNY_GM_00049622 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. ONFID AENTIAL DB-SDNY-0012446 EFTA_00160231 EFTA01291717 Deutsche Asset & Wealth Management Gnaw, Sam. TrAme Weal, MaNtenan IMeets Comae Cows MANN SankSettoom Ac. Am AA Ono, PO. Box 1776, Balemoro, MD 21203 Nfrot /ANNA IAA IAA Am AA IOIN INN CAMS.. I115121SAMS Statement Period: 10/01/2015 - 10131/2015 Messages (continued) Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares 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 hind's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Activity Sum m ary (All amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Nei Year-to -Date Securities Sec.. . cc _r: 0.00 0.00 000 3 383 998 80 000 3,383,998.80 Total Securities 80.00 30.00 30.00 $3,383,998.80 10.00 $3,383,998.80 Dividendsand Interest 858.72 $0.00 $58.72 $32,303.54 80.00 $32,303.51 Cash Deposits 0.00 0.00 0.00 2,115,213.73 0.00 2.115,21313 Total Cash $0.00 $0.00 $0.00 82,115,213.73 $0.00 $2,115,213.73 FDIC Insured Bank Deposits $0.00 .$50.72 -$58.72 $0.00 .12,147,517.27 ..$2,147,517.27 Totals 08.72 -$58.72 $0.09 $6.531,610.07 -12,117,517.27 $3,313,990.10 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Prior Accrued Meted Mont Cerreacy Dividends and Interest 10115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 58.72 USD DEPOSITS INTEREST RECEIVED /58997996 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 58.72 FDIC Insured Bank Deposits 10/15115 FDIC INSURED BANK IN St, RED DEPOSITS INTEREST REINVESTED 48.72 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -50.72 Page 5 ol 8 Account Number. N40-026181 Rated Cm•Ilent VINO ROtL Go paperless tr" Yam Sim* 2007 COMMA SAND COMMUNICATIONS ottitam a INNAVIA warealosa laCt MAA NATT IstmemMN NANA " SO UTI- ERN F LLC. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFIDAEISITIAL "annia SDNY_GM_00049623 DB-SDNY-0012447 EFTA_00160232 EFTA01291718 Transactions by Type of Activity (continued) Process' Settlement Date Activity Type Desaiption Quality Price Acand Inters Amount Currency Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE 20TH FLOOR NEW YORX NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Secudties: FIRST IN FIRST OUT Bond Amortization Elections: Am oda premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account cum m unications for electronic delivery. To register and turn off paper communications, log in to your account or canted 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, induding short positions. at the close of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may diner from the actual sale price. Securities for which a price is not available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EOUAL THE STATEMENT DATE. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY)hgures 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 intonation from providers believed to be rekable; 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 tuskless 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 vnm,pershing.corn/business_conhnuty.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wi not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions. Mcludin the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Page& of 8 Account Number: ii4G-026161 Rated Excellent IIMAR ROIL Go paperless tray Year Sate 2007 °ALMA RATED COMMUNICATIONS iarall•ma alwerCalls••• at “‘"" O•setea easel La ammo ran war ....- . flaaaa SOUTHERN mmen loi ffliellera SDNY_GM_OOO49624 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) a n cTrAL i DB-SDNY-0012448 EF1'A_00160233 EFTA01291719 Deutsche Asset & Wealth Management Dralsre Sant Prmale wean 1.4.2gental Wrests Cerra. G,Pp PMUM Oa* Seturri x. Mw M Mar PO. Box 1776, Balbmoro, MD 21203 341Parli MY. MTh ter liesli" Iona P1O4661161.61O671•4091, Statement Period: 10/0112015 - 10131/2015 Important Information and Disclosures (continued) Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confamations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automaticaly pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing ferns 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 automaticaly 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, ncreased 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 Rote 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 properly 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 desorption 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 (SIPC6). 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.corniabout/strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in wiling to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing I1C, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page? of 8 Account number. N40.026161 Go paperless L vent Year Sant. 2007 rOxor ai in nittr COmmuniCAT 'Ord -a tt. gime* vas ,1 -MHO , MEV le a. Orserenn eanaerreala, ant else SOUTHERN CRUM. . SDNY_GM_00049625 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) n F D A.ENTIA DB-SDNY-0012449 EFTA_00160234 EFTA01291720 Important Information and Disclosures (continued) Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in couit. including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and tAnding; a patty's stilly 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 inckide 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 Med, 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 lass 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. Nelda Account umber N46.026161 Rated (*.Hat it.nt Go paperiess Lyon/ Year 5..C. 2007 0AlOAR PAUL, COMMUNICATIO116 an ennac. et setralot reveZion MIN Wave avestnalk Mtl. OK CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 676: TFER" ONFIDAENTIAL SDW_Cat00049626 DB-SONY-0012450 EFTA_00160235 EFTA01291721 Deutsche Asset & Wealth Management Orals° e Sam Prmale wean ma.zigenan weans Corea. Ocs. CetisOve 66.1Settork MC. New Ibrt Mar PO. Box 1776, BPIbmora, MD 21203 lifraa ASS. 1•thI tccr Ms Vat. PM wits 011/6661301.6716171•41/11, Account Number: N40-026161 Statement Period: 09/01/2015 - 09/30/2015 Valuation at a Glance This Period Tear-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 18,449,173.75 0233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 Z 115,213.73 ST THOMAS VI 00802 Net Securities InlOut of Account 0.00 5,867,790.80 Adjusted Previous Account Value 8,449,173.75 8,210,035.25 Dividends. Interest and Other Income 58 72 32244.82 irnet Chan d ze insiiPor .20 Your Client Advisor: Estimated Annual Income $112,178.42 DANIEL SAB8A Asset Allocation Prior Year-End Last Period This Period % Minutia° LSD Cash. Money Funds and Bank Deposts1 233.030.72 2,380,430.55 2.380.489 27 28 62% PMeee review your allocation LSD Equities 0.00 8.088,743 20 5.936.346 00 7138% I 1 --- pedoaal1y wtri your Cure Mvlror. Account Total (Pie Chart) 1233,030.72 18,419,173.75 $8,316,835.27 100.00% I The Bank Deposits in your account are FDIC insured bank deposes. FDIC insured bar* deposits are not securit es and are not covered by tne Securities Investor Protects Corporation (SIPC). These bank deports are covered Of the Federal Cepost Instance Corporation (FDIC). up to alowable amts. Page 1 of 9 Rated exc•iiat B0097322C5F10024 Go paperless tree, Yea• Unto 2007 M4 MF_ CatiOut RATCO COmmut6C611066 PC/o6NO1 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID=AL SDNY_GM_00049627 DB-SDNY-0012451 EF1'A_00160236 EFTA01291722 Summary of Gains and Losses Realized This Period Year.to•Date Unrealized Long-Term Gam/Loss 0.00 0.00 938.034.91 Net Oat& Loss 0.00 0.00 938,034.91 This summary excludes transactions where cost basis information is not available. For Your Information Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Portfoko at a Gana, beginning with the October 2O15 statement. This change does not apply to accounts which display only opening and closing balances on page one. FDIC Insured Bank Deposits Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G026161 Activity Ending: 09130115 09/01115 Opening Balance 2,380.130 55 2.380.130.55 09115115 Dermal INTEREST CREDITED 5872 2.380.489 27 AP( 0.03% 09116/15 Citibank N.A. 2.380.489.27 NO 09116 5237500.00 Compass Bank NO 09O6 1237500.00 Deutsche Bank list Co NO 09116 S237500.00 East West Bank NO 09116 1237500.00 First Niagara Bank NO 09116 $237500.00 Huntington National B NO 09116 1237500.00 NYCommunity Bank NO 09116 554139.27 Texas Capital Bank NO 09116 1237500.00 TriState Capital Bank NO 09116 1237500.00 Union Bank of CA NO 09116 5237500.00 Page 2 of 9 Account Number N46•026161 Rated Excellent InIAO ROLL Go paperless Lvenr VW Since 2007 0,40AR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN CO FIDEsivriAL EXCEILINCE SONY GM_00049628 DB-S6NY-0012452 EFTA_OO I 60237 EFTA01291723 Deutsche Asset & Wealth Management Gnaw e Sam Prmaie Magagentm Weals I oretite Comp Chische OW Saloon w. "re bet Mar PO. Boa 1776. Baltimore. MD 21203 .115 PIA Sam, lith liter Sew veA PM 10154 II In 4statr. ISM211409S Statement Period: 09/0112015 - 09/30/2115 FDIC Insured Bank Deposits (continued) Date Adivity Type Description Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) tam Aqua Bank NO 09/16 $237500.00 09/30115 Closing Balance 32 380 89.27 Total FDIC Insured Bank Deposits 32,380,489.27 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership Mckiding rdividual 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-Dale Taxable Noe Taxable Taxable Nos Taxable Dividend Income Equities 0.00 0.00 32.012.00 0.00 Interest Income FDIC Insured Bank Deposits 58.72 0.00 232.82 0.00 Total Dividends, Interest, Income and Expenses $58.72 80.00 632,244.82 30.00 Portfolio Holdings Account Adivity Opening Cloning Awned Income 30-Day I:anent Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 29.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 09/01115 2.380.489.270 N46026161 09130/15 2.380.430.55 2.380.489.21 29.36 232.82 N/A NM Total FDIC Insured Bank Deposits $2,380,430.55 $2,380,489.27 329.38 3232.82 Total Cash, Money Funds, and Bank Deposits $2,380,430.55 32,380,489.27 329.38 3232.82 Page3 of 9 Account Number N40126161 Riled excyllen1 wino. VW° Go paperless tw • Y Va t ,"^", 2007 ...- ONFI Fr eflr i noil n lA TED COMMUNICATIOhtS SOUTHERN eirli DC_ SDNY_DM_00049629 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) If DB-SDNY-0012453 EFTA_DO 160238 EFTA01291724 Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Markel Value Gain/ Loss Annual Income Yield Equities 71.00% of Portfolio Common Stocks APPLE INC CON Security Identifier: AAPL Dividend Option: Cash CUSIP 037833100 10/28/13 3 14,000.000 75.5800 1,058,120.50 110 3000 1.544.200.02 486,019.52 29,120.00 1.88% 09105114 3 7,200.000 98.9500 712,44029 110 3000 794.159 97 81,719.68 14,976.00 1.88% 09/05114 3 32,620.000 98.9500 3,227,750.30 110.3000 3,597,986.01 370,235.71 67,849.60 1.88% Total Covered 63,820.000 4,998,311.09 5,936,346.00 938,034.91 111,946.60 Total 53,820.000 $4,998,311.09 $5,936,346.00 $936.034.91 $111,945.60 Total Common Stocks $4,998,311.09 $5,936,346.00 $938,034.91 $111,945.60 Total Equities $4,998,311.09 $5,936,346.00 5936,034.91 $111,945.60 Unrealized Acaued Estimated Cost Basis Markel Value OsinlLoss Interest Annual Income Total Portfolio Holdings 57,378,800.36 $8,316,835.27 5938,034.91 $0.00 $112,178.42 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing fum and Pershing makes no representation as to the accuracy of this information. Messages Please note that the Valuation at a Glance section on page one of your account statement will be updated and renamed Porifoko are Glance beginning with the October 2015 statement. This change does not apply to accounts which display only opening and closing balances on page one. Pursuant to the Securities Exchange Act of 1934, Pershing LLC (Pershing), a BNY Mellon company, provides individual investors with certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2015. Pershing's net capital of 52.179 billion was 10.78% of aggregate debit balances and exceeded the minimum requirements by $1.77 billion. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2015, Pershing's net capital of $2.163 billion was Page 4 of 9 Account Number N40426161 „a k Rated excellent DeAlit ROLL Go paperless Every vat Since 2007 I lOAR RATCD COMMUNICATIONS annia ewa et Il l rOomres " wersoun ••••••••••••.•ene es< OW Nen SOUTHERN CR u_ Xt,1 MC/ r SDW_GM_00049630 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) DB-SDNY-0012454 EFTA_00160239 EFTA01291725 Deutsche Asset & Wealth Management Draisre San. Poetic W.M', ma-utenan mats Con, 0 ,0.7 CeIr150w W Settorimc Ibrt Mar P.O.Box 1776, Baltimore, MD 21203 Hf fl it •••••0.1.111h • kw liesllat. PM 10154 0 U) 454-7101. 0131.120•4095 Statement Period: 09/01/2015 - 09130/2015 Messages (continued) 11.55% of aggregate debit balances and exceeded the minimum requirement by $1.79 bilion. A copy of the June 30, 2015, Statement of Financial Condition is available at vnvw.pershing.comistatementot.financial-condition. You may also request a free, printed copy by calling (888)860-8510 or (201) 413-4200, option SS 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 httpsinwrw.dws-investments.conVEN/productsimoney-market-funds-yields.jsp. Please note that an 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. Activity Sum m ary (NI amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date SecuNtles SecudliesDeposited 0.00 0.00 000 S383.998 80 0.00 3.383.998 80 Total Securities $0.00 $0.00 $0.00 $3,383,998.80 $0.10 23,383,998.80 Dividends and Interest $58.72 $0.00 $58.72 $32,244.82 $0.80 $32,244.82 Cash Deposits 0.00 0.00 000 2,115,213.73 0.00 2,115,21313 Total Cash $0.00 $0.00 $0.00 12,116,213.73 $0.10 $2,115,213.73 FDIC Insured Bank Deposits 10.00 -$58.72 -$58.72 $0.00 -$2,147,458.55 42,147,458.55 Totals $58.72 -$56.72 $0.00 $5,531,457.36 -$2,147,458.55 $3,383,998.80 Pap 5 of 9 Account Number N40476161 Rated Excellal r-Y Go paperless tray V.., 1en<4 2007 =la w etlaZtalse a : Or: " ••64. NNW MAD. Fo arTAL onnr DOAN Kat SOUTHERN CACI& LL OALSA1t ?Mali/NC ILO COMMUNICATIONS SDNY_GM_00049631 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012455 EF1'A_00160240 EFTA01291726 Transactions by Type of Activity Process' Settlement Date Activity Type Desaiptioa Quantity Price Accrued Interest Amount Currency Dividends and Interest 09115/15 FDIC INSLRED BANK IN& RED DEPOSITS INTEREST CREDITED 9,72 USO DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 50.72 FDIC Insured Bank Deposits 09/15/15 FDIC INSL RED BANK IASLRED DEPOSITS INTEREST REINVESTED .58.72 USD DEPOSITS INTEREST REINVESTED 458997996 Tout FDIC Insured Bank Deposits. UNITED STATES DOLLAR 0.00 4822 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENLE 26Th FLOOR NEW YORK NY 10154.0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OLT Default Method for Stocks in a Dividend Reinvestment Flan: 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 ortue premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Electronic Delivery You have not selected any account conim unications for electronic delivery. To register and turn off paper communications. 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, unless otherwise noted, Page 6 of 9 Account Number. N464326161 Rated Encellent 1>ItAll ROL Go paperless Ivory Yea, since 2007 OAXSAR RATED COMMUNICATIO116 MINIM= CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN FIDIAL SONY_GM_00049632 DB-SDNY-0012456 EFTA_00I 60241 EFTA01291727 Deutsche Asset & Wealth Management Dralute Sant Poulevften hia.ziental Mats Core. Child,. Ye* Mani MC Now Wart Cake PO. Box 1776, Baltimore, MD 21203 345 FM ASS, llith tcr lieslat. PM 10114 PUMA-Mt 0RM 7.84091. Statement Period: 09/01/2015 • 0913012015 Important Information and Disclosures (continued) Pricing (continued) 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 avagable are marked 'N/A' 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. 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 retied 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.comThosiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution. information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order Row. Options Information with respect to concessions and other charges incurred in connection with the execution of option transactions has been inckided in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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, a 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 properly 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. Page 7 of 9 Account number. N4O.026161 [...giant B0097321CSF30024 OMB.ROIl --4t- Go paperless ostad :tan et We velvilltaCtrean" MEV MOW en... u4 ....,..,.w. inn mot CONF IDAENTIAL "a"' "." 0 ./(r11:4 T ( C7C200:47 MUNICATIONS SOUTHERN F IIICAL SDW_GM 00049633 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012457 EFTA_OO16O242 EFTA01291728 Important Information and Disclosures (continued) The Role of Pershing (continued) • Inquiries concerning the positions ano balarces 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. • Fix 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 (SIPCt). 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 GMs. For more detailed information please visit: vowe.pershing.cortgaboutistrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your fnancial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. 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 mincray 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 govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page I of 9 Account Number 1446.026161 • 4 .••••rtaa Go Nape less 'Ivory Yarn 'Yew* 2007 rOxe ALr i nnilLarD COMMUNICATIONS oes..00 muss.Peru. oftwe. 00C CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: "HTON F IDAENTIAL SDW_Cat00049634 DB-SDNY-0012456 EFTA_00160243 EFTA01291729 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 POSRIONER, 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 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 ARMOR SETTLED. OR F APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF R 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 WVYYY.FERSHING.COM. STATEMENT. F SO, THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WYNN PERSHING.COMIDISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALVE OF YOUR ACCOUNT. • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2)) BOOKS OF RECORD, ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TINE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION F YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY MD OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO IT S AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL. REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CAS-I PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER NSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SZE AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE 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 PERSHING LLC ('PERSHNG') 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 PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME.INITHOUT 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 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 WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. F ANY OF THE ABOVE TERMS AND CCAOITIONS ME UNACCEPTABLE TO YOU. PLEASE NOTFYPERS-ING IMMEDIATELY IN WRITING SY CERTWED MAIL TO ONE PERSHING PLAZA JERSEY CITY, NJ ors.ATITt LEGAL DEPT Page 9 of 9 Acceuni number N40426161 Riled Emollent t r . .= Go paperless L very Year Mete 2007 F IDranAL DISBAR RATED COMMUNICATIONS SOUP-ERN r FRC/NANCY SDNY_GM_OOO49635 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(8) ñ DB-SDNY-0012459 EFTA_00160244 EFTA01291730 Deutsche Asset & Wealth Management 0rals° e Ilana Pr.le wean mamtenno marests Connie G,C,P Child,. Oak Set...W.1.0 /14w1411001,0 P.O. Om 17711, esitinssre. MD 21203 ASS. 2•11.11ccr lieslat. PM 10114 II in 45141114. M -40E. Account Number: N4G•026161 Statement Period: 0110112015 - 08/31/2015 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 14,940,904.19 1233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 2,115,213.73 ST THOMAS VI 00802 Net SecutiliesIniOut of Account 3,383 998.80 5,867,790.80 Adjusted Previous Account Value 8,324,902.98 8,216,035.25 Dividends. Interest and Other Income 11.086 37 32.186.10 Net Chan e in Portfolio 113 184 40 200 95210 ncling Account Value 4 4 9,17 3 7 5 SS 4 4 9 1 7 3 7 5 Your Client Advisor: Estimated Annual Income $112,119.70 DANIEL SAW Asset Allocation Prior Year-End Last Period This Period % enaction L SO Cash Money Funds and Bank Deposts1 233,030.72 2.369.344 18 2.380.430 55 2817% Please review your alio:Mice USD Equities 0.00 2.571,560 00 6.068.743 20 7183% pedalos', wt yaw Clore Advisor. Account Total (Pie Chart) 5233,030.72 14,910,901.10 11,119,173.75 100.00% I The Bank Deposes in your account are FDIC Insured bank deposes. FDIC insured bank deposits are not set:viten and are not covered by me Securities Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporabon (FDIC). up to alowable Pagel o18 Rated Cwollen1 A009816SCSF1001, Go paperless RAra C2ON4OO MUNI DONS :Tan etNearbralst=son MODw EXCIIIIENC tDal MA Y..r CA T ornowstue, avenellOu. Ma sin CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_000496313 DE-SDNY-0012460 EF1'A_00160245 EFTA01291731 Summary of Gains and Losses Realized This Period Year-taDate Unrealized Short-Term Cordless 0.00 0.00 549.912 59 LontpTerm Gainkoss 0.00 0.00 520.519 52 Net Galatians 0.00 0.00 1,070,432.11 This summary excludes transactions where cost basis information is nol avaiable. FDIC Insured Bank Deposits Date Activity Type °taxi Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: NIG028161 Activity Ending: 08131115 08101115 Opening Balance 2,369,344.18 2,389,344.18 08114115 Deposit DEPOSIT 11,024.00 2.380.388.18 08114115 Depotit INTEREST CREDITED 62.37 2,380,430 55 AP( 0.03% 08117115 Assodaled Bank NA 2,380,430.55 NO 08117 $237500.00 Citibank N.A. NO 08117 $237500.00 Compass Bank NO 08117 $5430.55 Deutsche Bank Trsl Co NO 08117 5237500.00 East West Bank NO 08117 $237500.00 First Niagara Bank NO 08117 $237500.00 Flushing Bank NO 08117 $237500.00 NYCommunity Bank NO 08117 $237500.00 Texas Capital Bank NO 08117 $237500.00 TriState Capital Bank NO 08117 $237500.00 Page 2 of 8 ORAB ROLL n Account Number. N464281131 SOUTe ERN CVO Go paperless Rated excyllent Every Vann Sint* 2007 0.41.0Aft RATCO COMMUNICATIONS EXCTI ONO1 =Ian etNerrestrOvisteen CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDENTIAL SDNY_GM_00049637 DB-SDNY-0012461 EFTA_00160246 EFTA01291732 Deutsche Asset & Wealth Management Gnaw e Sant Prmaie w,.On M..,e••um macau Gonne Comp CelAsOw laalt Mclean w. Now MOS°. PO. Box 1776, Balbmoro, MD 21203 341Parl. Mead, lkhl ter lieslat. PM 10114 P 0/46611111.1133171•4091 Statement Period: Illti0112115 0813112115 FDIC Insured Bank Deposits (continued) Date Activity Type °malefic' Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) L non Bank of CA NO 08/17 5237500 00 98131115 Closing Balance $2 380 30.55 Total FDIC Insured Bank Deposits $2,380,430.55 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,000 for each category of legal ownership thcluding thdividual 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-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 11.024 00 000 32.012.00 000 Interest Income FDIC Insured Bank Deposits 62.37 0.00 110.10 0.00 Total Dividends, Interest, Income and Expenses $11,018.37 $0.00 $32,10.10 $0.00 Portfolio Holdings Account Activity °peeing Closing Accrued Income 30-Day Carrent Opening Date Quantity Number Ending Balers Balance Income BM Year Yield Yield Cash, Money Funds, and Bank Deposits 28.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08101115 2.380.430.550 N46028161 08131/15 2.389.340.18 2.380.430 55 29.37 174.10 N/A N/A Total FDIC Insured flank Deposits $2,359,311.18 62,350.43035 $29.37 $174.10 Total Cash, Money Funds, and Bank Deposits $2,389,344.18 12,350,430.55 $29.37 $114.10 Page 3 of 8 Account A umber. N40.026161 ONAK ROLL DA.ENTIA L. Go paperless 2007 ..,- diqF OASOAR ;ATMCOMMUNICATIONS SWFERN F PIA Mal (NCI SDNY_GM_00049638 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012462 EFTA_00160247 EFTA01291733 Portfolio Holdings (continued) Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Vales Gain( Loss Annual Income Yield Equities 72.00% of Portfolio Common Stocks APPLE INC COM Security Idend0er: AAPL Dividend Option: Cash CUSP. 037833100 10/28113 3 14,000.000 75.5800 1,058,120.50 112.1600 1,578,640.02 520,519.52 2t120.00 1.84% 09105114 3,12 7,200.000 98.9500 712,440_29 112.7600 811,871.97 99.431.68 14,976.00 1.84% 09105114 3.12 32,620.000 98.9500 3,227,750.30 112.7600 3,878,231.21 450,480.91 67,849.60 1.84% Total Covered 63,120.000 4,098,311.09 6,068,743.20 1,070,432.11 111,946.60 Total 63,$20.000 34,998,311.09 $8,088,743.20 31,070,432.11 3111,945.80 Total Common Stocks 34,998,311.09 $6,088,743.20 31,070,432.11 $111,945.60 Total Equities $4,998,311.09 $6,068,743.20 31,070,432.11 $111,945.60 Unrealized Accrued Estimated Cost Basis Markel Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $7,378,741.64 $8,449,173.75 31,070,432.11 30.00 3112,119.70 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or alter January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing km and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. Messages Although a money market mutual fund seeks to preserve the value of your investment at 31 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 heed 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)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DVVS Investments website at https:/Awnv.dws-investments.com/EN/products/money-market4unds-yields.rsp. Please note that alt money market funds listed on the website may not be offered through us. Page of 8 Account number N40-026161 Rated excellent ()RAU ROL rleiss Al ,) tray YIN• 'lento 2007 PALMA RARE. COMMUNICATIOhtS =la. Intorva0 MS. Velk eat Oriankin ••••••rama weir ad, 1110••• SOUTHERN ?Mal ONO1 SDNY_GM_00049639 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) C F ONFID Cli P aNaPecir DB-SDNY-0012463 EFTA_00160248 EFTA01291734 Deutsche Asset & Wealth Management Gnaw[ liana Poetic. Weallt Ma.zienan Marats Cong. 4,cm, PMUM W Semi Now Wart Mar PO. Boa 1776. Balbmoro, MD 21203 Ha tar% Ass. Iiithi *Cr liesitat. WI 10114 Inn CA-Mt grAl7.64091. Statement Period:II/0112115 -1813112116 Activity Sum m ary /an amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year.to•Oate Debits Year-to-Date Net Year-to-Dab Seco ti ties Securities De poctel 3.383.998 80 0.00 3,383,998.80 3,383,998.80 3,383,99810 Total Securities $3,313,996.80 $0.00 $3,383,998.80 33,313,998.10 $0.00 33,383,198.80 Dividends and Interest $11,086.37 $0.00 $11,086.37 332,166.10 $0.00 $32,111.10 Cash Deposts 0.00 000 0.00 2,115,213.73 0.00 2,115,213.73 Total Cash $0.00 $0.00 $0.00 $2,115,213.73 30.00 32,115,213.73 FDIC Insured Bank Deposits $0.00 .$11,066.37 -311,086.37 30 .00 -32,117,399.83 -$2,117,391.13 Totals 13,395,085.17 -$11,086.37 $3,313,99810 15,531,398.63 -$2,117,399.83 33,383,998.81 Transactions by Type of Activity Process/ Settler eat Date Activity Type Desaiptioe Quantity Price Awned liters Mont Omelet Securities Withdrawals and Deposits 08/25115 CUSTOMER AUTHORIZED AF'PLE INC COM TRANS FRM N1G-023801 32,620 000 3,383,998.80 USO TRANSFER AAFL Total Securities Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 3,313,991.10 Dividends and Interest 08/13/15 CASH DIVIDEND RECBVEO APPLE INC COM RD 08110 PD 08113/15 DIV@ .52 21200 11,021.00 USO AAPL SHARES 0811/115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 62.37 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 11,086.37 Page 5 of 8 Account umber. II10-026161 Rated IL...mint IJIMN ROIL Go paperless tOrIZRATEC7C2 :4 7 MUNICATIONS :Clam etsetroaTa:. 'O anisna• rsormain Met Now. tam oec " SO UTI- ERN F 1.1.C. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) NF IDAENTIAL "Crilnia SDNY_GM_00049640 DB-SDNY-0012464 EFTA_00160249 EFTA01291735 Transactions by Type of Activity (continued) Process' Settlement Date Adivity Type Desaiptioa Oaantity Price kissed Interest Amount Currency FDIC Insured Bank Deposits 08114115 FDIC INSURED BANK DEPOSIT INSLRED DEPOSITS PROGRAM .11,021.00 USD USD999997 0811/115 FDIC INSURED BANK IASI-RED DEPOSITS INTEREST REIN VESTED -62.37 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -11,086.37 Total Value of Transactions 0.00 3,383,998.80 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABRA 315 PARK AVENUE, 26TH FLOOR KEW YORK NY 10151-0003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OLT Default Method for Stooks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (DID): No Am orize 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 canted your °lent 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 otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NIA' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE Page 6 of 8 Account Number N4G-026161 Rated excvliont 00.10•IROLL GO paperless trosy Yea• 11/K• 2007 rOxt Atr it : RATCD COMMUNICATIONS maw, SOUTI- ERN CVO C CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NF IDAENTIAL, SDNY_GM_00019611 DB-SDNY-0012465 EFTA (H)160250 EFTA01291736 Deutsche Asset & Wealth Management Dralute Ilan. Poule vften. man, Covent G,Pp CteINN Yak Mani MC. Now *A Mar PO. Boa 1776. Baltimore. MD 21203 341pct MAMA MTh I *cc Ifeslat, 1011.4 P 0/15•430L 1.114 M4091 Statement Period: 0 8101/2 01 5 • 08131/2015 Important Information and Disclosures (continued) Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.com/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You Will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, indudin the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing Rm. In order to assist your Introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Addlional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the tens 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 automaticaty 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 is 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 ft 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, tor 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 Pagel of 8 Account Number 114G-026161 Rated [...NM „1„ 1„1 IL I Go paperless i vtra:=c 2007 'CATIONS ng4u4 an S I on penic •••C SO FIDAENTIAL /Marl IINC/ DNY_GM_00049642 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 8; THERN DB-SDNY-OO12466 EFTA_0016025 I EFTA01291737 Important Information and Disclosures (continued) The Role of Pershing (continued) 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 knits. For more detailed information please visit mwtpershing.corn/about/sUength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (includin unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confinned 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 nformation 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 fled. • Arbitration awards are generally final and binding; a parlys abikty 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, n 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 clam 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 lass who has not opted out of the class with respect to any claims encompassed by the putative class action until; (1) 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 I of 8 Account Number 1140.026161 Riled Emollord DINO ROIL Go paperIRSS ILray Van Same 2007 DASOAR RATED COMMUNICATIONS MM wa NakroraILAr 0inaMMINIIV SAM ft SOU COUR LL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) TNT oKIFIDAENTIAL SDNY_GM_00049643 DB-SDNY-0012467 EFTA_00160252 EFTA01291738 Deutsche Asset & Wealth Management Draisre San' Prmaie wean humitenan Matests Connie* COo.p CelAsOw Is* Moo O. mc, Now Wart altar P.O. Box 1776, Baltimore, MD 21203 HI FM ASS. 10101tccr Ms Vat. WI 10114 00101-7•14. OM 21HO% Account Number: N40-026161 Statement Period: 07/0112015 - 07/31/2015 Valuation at a Glance Ibis Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 63,280,074.47 6833,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 1,748.250.00 2,115,213.73 ST THOMAS VI 00802 Net Secutilies InI0ut of Account 0.00 2,483,792.00 Adjusted Previous Account Value 5,028,324.47 4,832,038.45 Dividends. Interest and Other Income 29 71 21,099.73 Net Charlie in Portfolio -87 450.00 87.768 00 ndrng Account Value $4,940,904.18 54,940.9011 18 Your Client Advisor: Estimated Annual Income 844.207 73 DANIEL SAM Asset Allocation Prior Year-EM Lad Period Ibis Period % Allocation LSD Cash. Money Funds and Bank Deposits' 233,030.72 821,064.47 2.369.344 18 4795% Please rev ear Cr.. allxvien LSD Equities 0.00 2,859,010 00 2.571.56000 52 05% peno0ca 7 ky V yc,r C ,er: Ach so! Account Total (Pie Chart) 6233,030.72 63,980,074.47 64,940,904.18 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not securities and are not covered try tne Seamen Investor Protection Corporation (SIPC). These bank deports are covered by the Federal Depose Insurance Corporation (FDIC). up to allowable limits. Page lot? Rated excella.nt A0121767C5F10018 tray Viper W.C• 2007 etrivetwetsTroates" :0• 1 • "••••• OWSVO•0101 a OASOAR PAUL, COMMUNICATIONS [Ile/111NC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONF ID(EMITAL SDNY_GIS4_00049644 DB-SDNY-0012468 EF1'A_00160253 EFTA01291739 Summary of Gains and Losses Realized This Period Year-to•Date thuealized Shan-Term Gain/Loss 0.00 0.00 160.919 71 Long-Term Gain/Loss 000 0.00 610.079 50 Net Gain/ Loss 0.00 0.00 800,999.21 This summary excludes transactions where cost basis information is not evadable. FDIC Insured Bank Deposits Date Activity Type Dual • ion Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N1G026161 Activity Ending: 07/31115 07101/15 Opening Balance 621,064.47 621,061.17 07106/15 Denali DEPOSIT 1.748.250.00 2.369.314.47 07/15/15 Deposit INTEREST CREDITED 29.71 2,369,341.18 APY 0.03% 07/16/15 Associated Bank NA 2.369,314116 NO 07116 1237500.00 888T NO 07116 1237500.00 Citibank N A. NO 07/16 $231844.18 Deutsche Bank TIM Co NO 07116 $237500.00 East West Bank NO 07116 1237500.00 Huntington National B NO 07116 1237500.00 NY Comm unity Bank NO OH% S237500.00 RBS Citizens PA NO 07116 1237500.00 TriState Capital Bank NO 07116 1237500.00 Umpqua Bank NO 07116 S237500.00 07131/15 Closing Balance 52,369,341.10 Total FDIC Insured Bank Deposits 52,369,341.10 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities tnvestor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to 5250,003 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. Page 2 of? Account Number M.026161 Rated Excellent wti are_ ONAI4 IIOL I Go paperless t very Yeas Since 2007 0^1.0M RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN CONFIDENTIAL r)1471111NCI SONY_GM_00049645 DB-SDNY-0012469 EFTA 00160254 EFTA01291740 Deutsche Asset & Wealth Management Drain Sant Posit Wea•Pt Mamigena2 Marsh Gonne 4,O.P CesbOte Iv* Maori 22, Now Ibrt Mar PO. Boa 1776. BalbmorojAD 21203 311FM Assn. IiitiMccr liesitat. PM 1004 P0)45141•LIMM-409S Statement Period: 07/01/2015 - 07131/2015 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Equities 0.00 0.00 20.988.00 000 Interest Incom e FDIC Insured Bank Deposits 29.71 0.00 111.73 0.00 Total Dividends, Interest, Income and Expenses $29.71 $0.00 921,099.73 $0.00 Portfolio Holdings Ao:ount Activity Opening Closiug Acmes Income 30-Day Current Opening Date Duality Number Ending Beare Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 48.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 07/01115 2.369.344.180 N4G026161 07131115 621.064.47 2.369.344.18 35.06 111.73 N/A N/A Total FDIC Insured Bank Deposits 9621,064.47 $2,359,344.18 935.06 $111.73 Total Cash, Money Funds, and Bank Deposits 2621,084.47 $2.369.344.18 $35.06 $111.73 Brutalized Estimated Estimated Date Ameired Ouaetity Unit Cost Cop Basis Market Price Market Value Gala/ loss Annual Income Yield Equities 52.00% of Portfolio Common Stooks APPLE INC CON Security Identifier: AAPL Dividend Option: Cash CL/SIP 037833100 10128113 3 14.000.000 75.5800 1.058.120.50 121.3000 1,698,200.00 640.079.50 29,120.00 1.71% 09105114 3 7,200 000 98.9500 712,440.29 121.3000 813,360.00 160,919.71 14,976.00 1.71% Total Cowered 21,200.000 1,770,580.79 2,571,660.00 $00,999.21 44,098.00 Total 21,200.000 $1,770,5$0.79 $2,671,560.00 $800,999.21 944,096.00 Total Common Stocks $1,770,580.79 92,671,560.00 $800,999.21 $44,098.00 Total Equities 91,770,58 0.79 $2,671,560.00 $800,999.21 944,098.00 Page 3 oft Account Number. N40.026181 Rated excellent 00A0 Mitt Go paperless I. very Yon Sys* 2007 rOAlr i:Ir COMMUNICATIONS ettislisselsetare "" OsitZen0•Ittavem. vest...0C. wevesnall. eat. 000 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN C N O NFIDAnTriAEt SDNV_GM 00040666 DB-SDNY-0012470 EFTA_00160255 EFTA01291741 Portfolio Holdings (continued) Unrealized Accrued Estimated Cost Basis Markel Valve Cain( loss Interest annual Income Total Portfolio Holdings 84,139,904.97 $4,940,904.18 $800,999.21 $0.00 844,207.73 Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC”) (incorporating amendments enacted by P.L.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock M a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Messages Although a money market mutual fund seeks to preserve the value of your investment at 81 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 hind's prospectus or the bank deposit products disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)lnsured 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:/Awnv.dws-investrnents.conVEN/products/moneymarket-funds-yieldspsp. Please note that all money market funds fisted on the website may not be offered through us. Activity Summary (Alf amounts shown ate in base currency) Credits This Period Debits This Period Net This Period Credits Year.to•Date Debits Year-to-Date Net Year•to-Date Dividends and Interest 829.71 $0.00 $29.71 $21,099.73 $0.00 $21,099.73 Cash Deposes 1,748,250.00 000 1,148,250.00 2.115,21313 000 2,115,213.13 Total Cash $1,740,250.00 $0.00 $1,741,250.00 $2,115,213/3 $0.00 $2,115,213.73 FDIC Insured Bank Deposits $0.00 -$1,741,271.11 -$1,748,279.71 $0.00 -$2,138,313.41 -$2,131.313.41 Totals $1140,279.71 .$1,748,27911 $0.00 $2,1311,313.41 -82,136,313.10 00.00 Page 4 otT Account A umber NIG•026161 Riled (Koillent 11.0 123767CSFIC OBAB ROLL Go paperless Lvesry Val, Since 2007 ....- SO U TI- ERN F Ctu a . TT A 0AtBAR RATCD COMMUNICATIONS EXC711(NO1 SDNY_GM_00049647 CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) F I D A "EN DB-SDNY-0012471 EFTA_00160256 EFTA01291742 Deutsche Asset & Wealth Management Gnaw e Banc Prrnie Wog', Maatenme matins CONWP Gre.e CestsOw Is* Maori mc Now 'SriMar P.O. Box 1776. 8•16moro, MD 21203 345 FM Memo. l•th • tcr lers'eat. PM 10114 0in 4,4410. VOSS) 21•409S Statement Period: 07/01/2015 - 07131/2015 Transactions by Type of Activity Process' Settleme--. Dale Activity T Description Ouan Price Accrued Interest Amount Curren Dividends and Interest 07;15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 29.71 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 29.71 Cash Withdrawals and Deposits 07/02115 CUSTOMER ALThORIZED TRANS FRM NIG-023801 1,718,250.00 USD TRANSFER USD999997 Total Cash Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 1,748,250.00 FDIC Insured Bank Deposits 07/08/15 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1,748,250.00 USD UW999997 07/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -29.71 USD DEPOSITS INTEREST REINVESTED /58997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 4710,279.71 Total Value of Transactions Lao 0.00 use The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26TH FLOOR NEW YORK NY 10151 Page 5 of I Account Number N40426161 ated tuollent A0123767CSF30018 Go atlas L Rvery Yea* Since 2007 Clow:usi RATED COmmumiCaTiONS Mrt= a earttalosa tia 4. 0•Ve" .aeon •••••1~ *tn.," tom. ••••••••••••• int mft, FXCII IIINCIF CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 678)tiTHEfirO F I DAnTIAL SDW_GA4 00049648 DB-SDNY-0012472 EF1'A_00160257 EFTA01291743 Your Account Information Tax Lot Default Disposition Method Default Method for let utual Funds FIRST IN FIRST OUT Default Method for Socks 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 (CUD): No Am erne 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 comm unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Olen' Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the secunties in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NIA' and are omitted from the Total. 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 rekable, 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 busness 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 vornipershing.combusiness_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distnbutions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing fimi in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fairy 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. Page 6 off Account Number. N4O-026161 nI OSA° ROIA Go paperless Inlay Yams Since 2007 raxe Alr ta niftAdCD COMMUNICATIONS Mrais a /swat> earretallositt :Stan " an.. nay wile sec MEV MAD. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) SOUTHERN COAL LL . KIF IDEN JAL SDW_Cal_00049649 DB-SDNY-0012473 EFTA_OO16O258 EFTA01291744 Deutsche Asset & Wealth Management Dralsre San. Pootie wean Ma.ziental Minns C044/4e4.0.1. Chtfthe Sank Sen.orivt Mrs bet 011or P.O.Elm 1776. Baltimore. MD 21203 315 Pot Owner. lOth l by Mew In /tY IOVA (21))4!A.M..IISSI 2114I9S Statement Period: 07/0112815 - 07131/2015 Important Information and Disclosures (continued) 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 properly 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 Mound 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 desorption 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: www.pershing.comfabouttstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abibty 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 into 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 loll Account umber. N40.026161 _sr, 'toted tuellent Go paperless 'rzowirVIMUNICATIONS YNte Mtt a we et We velt=treeeen" IIMIV SOW* DRAB Pell A =pa SDNY_GM_00049650 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 676)UTHERh Nic F I D AENTI DB-SDNY-OO12474 EFTA_00160259 EFTA01291745 Deutsche Asset & Wealth Management Gnaw e San' Poetie vftan ro...menno wrests Core. Gmm. Denim. W Senn% 'c.. New 1104 Mar P.O. Box 1776, Baltimore, MD 21203 345 Fa, /005.0.. l•th • tcr Ms Vat. PM 10114 0 / 0•44101.PM) M4091. Account Number: N4G-026161 Statement Period: 06/0112015 - 06/3012015 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 13,382,985.68 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 388,963.73 ST THOMAS VI 00802 het Setunfies IniOut of Account 0.00 2,183,792.00 Adjusted Previous Account Value 3,382,985.66 3,083,788.45 Dividends, Interest and Other Income 11 81 21,070.02 K et Chan .e in Portfolio .102.926.00 175.218.00 ndirg Account Value $3 280,074 47 S3 280 074 4' Your Client Advisor: Estan ated Annual Income 511.178 02 DANIEL SAW Asset Allocation Prior l'esrad lad Period This Period % Alication LSD Cash. Money Funds and Bank Deposits+ 233,030.72 821,019.88 821.064 47 18.93% 77 .--ip hi\ Please renew your allocation LSD Equities 0.00 2,781138 00 2.659.010 00 8107% pedalo*/ with your gent Advisor. Account Total (Pie Chart) $233,030.12 53,382,985.66 53,210,074.17 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not secunt es and are not covered by me Secant's Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Deposit Issuance Corporabon TOICT up to allowable limits. Page 1 oil Rated (...lent B0097220CSF30023 Go paperless t v• °, Y•• • %° C• 2007 OASIMA RATCD COMMUNICATIONS Mria. a elakraraloor 0004100.00/VIA•40. ia •••••••••u0 •0•00.•00. Peat 000 %ell 10101 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) CONFIDENTIAL SDNV_GM_00049651 DB-SDNY-0012475 EF1'A_00160260 EFTA01291746 Summary of Gains and Losses Realized This Period Year-to-Dale Unrealized Short-Term Gain/Loss 0 00 000 190.619 71 Long-Term Gain/Loss 0 00 000 697.829 50 Net Gainl Loss 0.00 0.00 888,419.21 This summary excludes transactions where cost basis information is not available. For Your Information On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all 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 wit reffect on your account statement as 'Free Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-6 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 DEPOSITS PROGRAM Account Number: 6/6026161 Activity Ending 06130115 05130115 Opening Glance 621,049.66 621,049.66 06115115 Depot INTEREST CREDITED 14.81 621,064.17 APY 0.03% 06/16115 BUT 621,064.17 NO 06116 $116064.17 Citibank NA NO 06116 $237500.00 Deutsche Bank Trsl Co NO 06116 $237500.00 08730/15 Closing Balance 5621,061.17 Total FDIC Insured Bank Deposits $621,084.47 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 3250.000 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 Dividend Income Ec woes 0 00 0.00 20.988 00 000 Page 2 of 9 Account Humber. N40-026161 Riled Excellent Go paperless • etarias etsreatigt 0,IAIL "OZ73;frI(AT CD C200:17MUNICATIONS yes.im estam, Prow wr exclaimer CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6"(er F E" F IDAENTIA SDNY_GM_00049652 DB-SDNY-0012476 EFTA 00160261 EFTA01291747 Deutsche Asset & Wealth Management Drabre Ben Prreee VondIN Ma.rgenna Wanes Cerra« GM,. Weld,. lank Senn. Orice PO. Bcia 1778, Balbmore, MD 21203 341Parli AM». Mtho *cc •iert 10104 nDI4atJ80..IRy1200%011 Statement Period: 0 6101/2 01 5 • 08/3012015 Income and Expense Summary (continued) Current Period Year-to-Date Taxable Mee Taxable Taxable Non Taxable Interest Income 70.0 Insured Sank :Deposits 14.81 0.00 82C2 C CO Total Dividends, Interest, Income and Expenses 111.81 10.00 321,070.02 30.00 Portfolio Holdings Account Activity °peeing Closing Accrued Income 30 -Day Current °peeing Date Quantity Number Ending Belau Balance Income This Year Yield Yield Cash, M oney Funds, and Bank Deposits 19.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 05130/15 621.081.470 PAG026161 08/30/15 621 049 66 621.061.47 766 82 02 N/A N/A Total FDIC Insured Bank Deposits $621,049.66 1821,064.47 $ $82.02 Total Cash, Money Funds, and Bank Deposits $621,049.66 $621,064.41 t77..6 68 $82.02 Unrealized Estimated Estimated Date Acquired Duality Unit Cost Cost Basis Market Price Market Value Geist Loss Anual Income Yield Equities 81.00% of Portfolio Common Stocks APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSIP. 037833100 10128113 1 11.000.000 75.5800 1,058,120.50 125 4250 1.755.950.00 697.829.50 29.120.00 1.65% 09105114 3 7,200.000 98.9500 712,110.29 125.4250 903,080.00 190,619.71 11,978.00 1.85% Total Covered 21,200.000 1,770t660.79 2,669,010.00 888,449.21 41,096.00 Total 21,200.000 61 710 80.79 $2 669 010.00 9888,419.21 $44,096.00 Total Common Stocks 0,710,180.19 12,659,010.00 088.419.21 $44,096.00 Total Equities 0,770,680.79 0,659,010.00 $888,419.21 $44,096.00 Unrealized Accued Estimated Cod Buis Market Value Gabel Loss littered Annual Income I Total Portfolio Holdings 12,381,626.26 13,280,074.47 $888,449.21 $0.00 01,118.02 Pasta 019 Account Number: WIG-026161 Rated LI...Mara Go paperless tray Year 'Sènce 2007 OAIDAR RATED COMMUNICATIONS etere ircetterets .. Peso, on aims na, rev- wc Ids* F IDrNeriAL %CEO INC SDNV_GM_00049653 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6; ""N t eNÔM DB-SDNY-0012477 EFTA_00160262 EFTA01291748 Portfol io Holdings (continued) Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally we be phased in over a three•year period, as follows: • Stock n a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple faxed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this nformation. M essages Federal Deposit Insurance Corporation (FDIC)Jnsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds. please visit the OWS Investments website at https://swnv.dves-investmentsconVEN/productsimoney-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Please be advised that Reich 8 Tang Asset Management LIG will be liquidating its funds (the 'R8T Funds') by the end of July 2015 and as such the R&T Funds will no longer be available as money market funds in the WS' cash sweep program (the Sweep Program'). What this means for you: If you are currently invested in an R8T Fund, please refer to our earlier letter for more information about your available cash sweep options, or contact your client advisor. If you are not currently invested in the R8T Funds, this change rail not affect the existing sweep for your uninvested cash balances and no action is required on your part For information on all cash sweep options available in the Sweep Program, please visit our website at: http:/tweakh.deutscheawm.comiamericasienfCashSweepOptions.html and click on 'Cash Sweep Options-Rates'. Page 4 of 9 Account A umber. 1146.026161 ....s_ Riled 2,70piwnt ODAO re<70. GO paperless t very Year Sint* 2007 -..thrt........r.a..“:-..-.:- " ..........., OAXOAR RATC0 COMMUNICATIONS •^ti.w wrrwern 00.2 000 SO UTI- ERN CN 40ñF I=TA L:w 1)0271I CNC SDW_GM_00049654 CONFIDENTIAL - PURSUANT TO FED. R GRIM. P. 6(e) DB-SDNY-0012476 EFTA_00160263 EFTA01291749 Deutsche Asset & Wealth Management Draisre Sam Poo/lewean Nia.zigenton Weals ConweGmsp Cettsthe Sank Scoonei New bri Mo. PO. Boa 1776. Balbmoro, MD 21203 315Part Si..... leth I ter New In NY 10114 1))454.7110. m112111409S Statement Period: 06/0112015 • 0613012015 Activity Summary (NI amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $14.61 121.070.02 Dividends and Interest 10.00 $0.00 Cash Cash Deposits 003 366.963 73 Deposit 0.00 0.00 Total Cash 00.00 $388,963.73 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$1141 -0388,033.n Total Credits 61441 $300,033.76 Total Debits -$14.51 -3380,033N Transactions by Type of Activity Process' Settlement Date Activity Type 0.5r:tinhorn Quantity Prla Accrued liters Amount Currency Dividendsand Interest 06/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED mil USD DEPOSITS INTEREST RECEIVED /58907996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 1111 FDIC Insured Bank Deposits 06115115 FDIC INSURED BANK INSURED DEPOSTS INTEREST REINVESTED 11.81 USD DEPOSITS INTEREST RBA VESTED /58997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -14.81 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Pend o19 Account Number. N10.026161 Riled (welkin\ 1,11All RCM S0UTF ERN F IG' Go paperless ',very Year Lace 2007 0AlOAR RAUL. COMMUNICATIONS EXIT' IINCJI ••••••guy avonnat.. Pent —c CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DN F ID^ENTIAL SDNY_GIA 00049655 DB-SONY-0012479 EFTA_00160264 EFTA01291750 Client Service Information Your Client Advisor: DAN DANIEL SABRA 345 PARK AVENUE 26Th FLOOR NEW YORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds. FIRST IN FIRST OLT Default Method for Socks in a Dividend Reinvestment Ran: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (010): No Am orate premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Ratable Method Include • arket discount in income annually: No Electronic Delivery You have not selected any account com • unications for electronic delivery. To register and turn off paper corn 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, 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 ',Mich a price is not available are marked "N/A' and are omitted horn 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. Setae 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 vmv.pershing.corn/business_continuty.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fay paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms dinned 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. Page 5 at 9 Account Number. N40.026161 Riled tuellent BOO 9722GCSF3002 3 DWI) WJILL Go paperless Ivory ves Slew. 2007 rOeritaireZTED COMMUNICATIONS etriameetwee volt •Zst e a •~ ••••••••tuck a.m. aremein " O. MVO. Oro MOD. SO UN- ERN CN — SDW_GM_00049656 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ON FI D A.ENTIA DEI-SDNY-0012480 EFTA_00160265 EFTA01291751 Deutsche Asset & Wealth Management Draisre Banc Prreme w.w 0 Ma.hgenan matins COMM* 4,C,P testa he is* setter, mc Noillart Mar PO. Bca 177B, Balumare, MD 21203 345 ratASS, lathlike! liesliet. WI 10154 P 0 ) 4, 1410.1,1B ).44091. Statement Period: 06/0112015 - 06/30/2015 Important Information and Disclosures (continued) Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly 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 intuited 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 arid 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 ciders; 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 vnwrpershing.cornistrength_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 your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 0134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, it 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 minor* 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. Page 7 of 9 Account Number. N40.026161 Rated excellent INIAlt It:IL Go paperless Unary Year %ince 2007 rOZOIAlilVDCOMMUNICATIOhtS =nem ease veek•ZI Pow. mc. nevem now 4ettemein .. wee est elflaiat i/14c1 F IDrErriAek QINNfJfa SDNY_GM_00049657 SI3 UTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0012481 EFTA_00160266 EFTA01291752 Important Information and Disclosures (continued) Important Arbitration Agreement Any controversy between you and Pershing LLC shall be subrittez to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbrtration, 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 wto has not opted out of the class with respect to any claims encompassed by the putative class action unfit. (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 govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413-3330. Page a of Account Number. N40426161 Z, rrarre"......-- —•••= SOUR- ERN c NciñF ID PaPeriess t Go rtd ondiljal°O7 icAnows runtimes IsaloroUL, ourraer•••••• Ma SOC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(8) AENTIAL SDW_GM_00049658 DB-SONY-0012482 EFTA_00160267 EFTA01291753 TERMS AND CONDITIONS TRANSACTIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST. ODD LOT DEALER, • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE BLOCK POSITIONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND TRANSACTION YOU MAY MAKE, PERSHING MAY HAVE A POSITION IN SUCH SECURITIES, WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING 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 FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN AVAILABLE UPON REQUEST. WITH PERSHING UNTIL THE ENTRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT DATE, WHICHEVER IS LATER. PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR VIEW IT ONLINE AT WVVVY.FERSHING.COM. STATEMENT. F SO. THE TRANSACTIONS WLL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES. WWW PERSHING COINDISCLOSURES TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. • THIS STATEMENT SHOUU) BE RETAINED FOR YOUR RECORDS. THIS IS ESPECIALLY TRUE F YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- FUNDS PAYABLE UPON DEMAND WHICH, ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHING'S RULE 007(A)(1)-(2)) BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY COMPUTED AS DESCRIBED N MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER INSPECTION UPON REQUEST. FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- TAX INFORMATION COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SCE AND TO EXECUTE THEM AT OR BETTER THAN • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO STATEMENT TO PREPARE YOUR TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ASLITY TO PROVIDE • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE ACS(H•IATED 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 ('PERSHNG•) 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 PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. W ITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAD BY YOU. • WHENEVER YOU ARE INDEBTED TO 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 CRCUMSTANCES 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 CRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. F ANY OF THE ABOVE TERMS AND CCM/ITIONS ARE UNACCEPTABLE TO YOU. PLEASE ?MirePERS-MG IMMEDIATELY IN WRITING BY CERTWED MAIL TO ONE PERSHING RAM JERSEY CITY. NJ 07399, ATTN LEGAL DEPT Page 9 of 9 Accouni number. 1146.026161 Riled Euellent B0097220CSF3 002 3 ()SAO ROLL Go papertess Ivory Y••r Mace 2007 er as. et wee Vaeat " en Set NS* S0UTFERN F (MAHAR RATED COMMUNICATIONS EXCIIIINC7 •••••••••LA ••••••.... / 41 4 1".. "`C F IDAENTIAL l e f s SDNY_GM_00049659 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00124433 EFTA_00160268 EFTA01291754 Deutsche Asset & Wealth Management Draisre Banc %spume rosin rm...tenno Weals ComWe 4,C,P Ceettat lanh 'x. NewIlart Mar P.O. Box 1776. Bal6moro, MD 21203 345 PM ASS. nth, tcr lieslat. PM 10114 P 0 /0 4-nel IRM 7.1409S Account Number: N4G-026161 Statement Period: 05/0112015 - 05/3112015 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 83,263,189.58 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 366,963.73 ST THOMAS VI 00802 het Securities IniOut of Account 000 2,483,792.00 Adjusted Previous Account Value 3,283,189.58 3,083,788.45 Dividends, Interest and Other Income 11.040 08 21.055.21 Net Chan .e in Portfolio 108 756.00 278 144 00 ndirg Account Value $3,382,985.66 $3,382,985.6e Your Client Advisor: Estim aced Annual Income $44.163 21 DANIEL SAM Asset Allocation Prior Year-End Last Period This Period % Allocation LSD Cash Money Funds and Bank Dennis+ 233.030.72 810,009.58 621.049 66 18 36% Please review your allocation LSD Equities 0.00 2,653,180.00 2.761.936 00 81645 penman/Wet your Ciera Advisor. Account Total (Pie Chart) $233,030.72 $3,263,189.58 $3,382,986.66 100.00% I The Bank Deposes in your account are FDIC insured bank deposits. FDIC insured bar* deposits are not securit es and are not covered by the Saurian Investor Protection Corporation (SIPC). These bank deports are covered by the Federal Depose Ireurance Corporabon (FDIC). up to allowable limits. Page 1 oil Rated A01300 14CSF10017 GO paperless E 'ea' Sin" 2007 end OAll:ffin RAT(D COMMUNICATIO116 etre a Le etwera *ft tat '.:m.o. sr sore wee CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDAnTiAL "a"' SDNY_GM_00049660 DB-SDNY-0012484 EFTA_00160269 EFTA01291755 Summary of Gains and Losses Realized This Period Year-to-Date Unrealized Short-Term Gain/Loss 000 000 225,575.71 Long-Term Gain/Loss 000 000 765.799.50 Net Gain/Loss 0.00 0.00 191,316.21 This summary excludes transactions where cost basis information is not available. For Your Information On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all 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 Tree Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 andkr 1042-6 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 DEPOSITS PROGRAM Account Rum her: N46026161 Activity Ending: 05129115 05/01115 Opening Balance 610,009,58 610.009.58 05115115 Deposit DEPOSIT 11424.00 621.033.58 05115115 Depotit INTEREST CREDITED 16.08 621.049.66 APY 0.03% 05/18/15 BUT 621.049 66 NO 05118 $237500.00 Deutsche Bank Rd Co NO 05118 $237500.00 NYCommunity Bank NO 05118 $146049.66 05129115 Closing Balance $621,049.66 Total FDIC Insured Bank Deposits $621,049.66 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 Cwrent Period Yearito-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Ec wires 11,024.00 0.00 20.98840 0.00 Page 2 of? Account umber N40126181 Rated (..lient I Go paperless tr." Yon 1...u• 2007 0/41.0AR PATO) COMMUNICATIONS etritelma Owe Van tist aCtreasen a " ono.. at, avow •••••• Walt. OM ,ter NS. SWFERN F O. n rxmttmn CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) FIDricriTAL SDNY_GM 00049681 DB-SDNY-0012466 EFTA_00160270 EFTA01291756 Deutsche Asset & Wealth Management Draisre San, Poo/lewean Ma.zienan POatatts I orttitet00.1. Chtsthe Sank Setwarint *re bet Once PO. Boa 1776. Baltimore. MD 21203 315 Pot Si n, 20th I ter Mew %A 10. 10114 VA.H1/21. MISI7.1,409S Statement Period: 05/0112015 - 05131/2015 Income and Expense Summary (continued) entreat Period Year-to-Date Taxable Nen Taxable Taxable Non Taxable Interest Income EC.: Insured Bank Depcsfis 16.08 0.00 57 21 C CO Total Dividends, Interest, Income and Expenses $11,040.08 $0.00 121,055.21 $0.00 Portfolio Holdings Acoount Activity ()peeing godly Accrued lecome 30 -Day Current Opening Date Quantity Number Ending Balance Balance Nome This Year Yield Yield Cash, Money Funds, and Bank Deposits 18.0 0% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 05101/15 621.049.660 N46026161 05129/15 610,009.58 621.049.66 7.15 67 21 NM N/A Total FDIC Insured Bank Deposits 6610,009.56 6621,049.66 87.16 $67.21 Total Cash, Money Funds, and Bank Deposits $610,009.58 8621,049.66 67.15 $67.21 Unrealized Estimated Estimated Dale Acquired Deadly Unit Coal Cost Basis Market Price Market Value Gale/ Loa Annual Income Yield Equities 8 2.0 0% of Portfolio Common Stocks APPLE INC CON Seardtyldentlfter:AAPL Dividend Option: Cash CUSP. 037833100 10/28113 3 14.000.000 75.5800 1.058.120.50 130.2800 1,823,920.00 765,799.50 29.120 00 t.59% 09/05/14 3 7,200.000 98.9500 712,440.29 130.2800 938,016.00 225,575.71 14.976 00 1.59% Total Covered 21,200.000 11770060.79 2,761,136.00 991,376.21 44,096.00 Total 21,200.000 $1 770 560.79 $2 761 936.00 $991,375.21 $44,096.00 Total Common Stocks $1,770,666.79 $2,711,136.00 $991,375.21 $44,096.00 Total Equities $1,770,660.79 $2,761,936.00 $991,375.21 $44,096.00 Unrealized ktned Eslimated Cod Basle Markel Value Calif Loss liters Annual Income I Total Portfolio Holdings $2,391,610.41 13,382,965.66 $991,375.21 $0.00 $44,163.21 Page) of 7 Account Number N40.026161 Rated Liorce0ent 6o paperless tray Vas Since 2007 ra:4141itier apD COMMUNICATIONS otrr:::=••• ••rvenatit a ". •••••••••in ipso •••••. Mae 000 .". = SOU THERE Cit, SDNY_GM_00049662 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) c F I D A.ENTIAL, DB-SONY-0012486 EFTA_00160271 EFTA01291757 Portfolio Holdings (continued) Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRO (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2009) and are, therefore, considered snoncovered," under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their -applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally me be phased in over a three-year period, as follows: • Stock n a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquied on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 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 products disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDICI-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 httpsiNnvw.dweinvestments.conVEN/products/money-rnaiket-kinds-yields.jsp. Please note that an money market funds fisted on the website may not be offered through us. Activity Sum m ary (Alf amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $11,040.08 $21,055.21 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 000 366 963 73 Deposits 0 00 0 00 Total Cash $0.00 $366,963.73 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits .$11,040.08 -$380,018.94 Total Credits $11,040.08 $308,018.94 Total Debits -$11,040.08 -$380,018.94 Page 4 of I Account Number. N40426161 Rated [...Hera Winn RN /L I Go paperless very Yen 1.<4. 2007 0.410Alt PATO) COMMUNICATIONS :Tama otreerCaltZtreeeen MEV IIISPO COICIFIDriSITIAllt SOUTHERN I'MC/1 INC/ SDW_GM_00049663 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0012487 EFTA_00160272 EFTA01291758 Deutsche Asset & Wealth Management Draisot Banc PreaR wean Magatentni Minds Coney* E.MP Cettsde Sank known nc. Mrs %A OR,. P.O.Box 1776, ibitirixtre. MD 21203 315 Part Anne. lab liter Mrs RA 10. 101•A 121))4!A.M.. MSS, 211409S Statement Period: 05/0112015 - 0513112015 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Currency Dividends and Interest 05/14115 CAST DIVIDEND RECEIVED 21200 Sh RS APPLE INC COM RD 05111 PD 05114115 11.024.00 USO AAPL 05115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 16.08 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest - UNITED STATES DOLLAR 0.00 11,040.08 FDIC Insured Bank Deposits 05115115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -11,024.00 USD US0999997 05/15115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .16.08 USD DEPOSITS INTEREST REINVESTED 458,97996 Total FDIC Mewed Bank Deposits • UNITED STATES DOLLAR 0.00 -11,040.08 Total Value of Transactions 0.00 0.00 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABRA 345 PARK AVENUE 26Th FLOOR NEW YORK NY 10154 Page 5 oft Account Number. N40.026161 Rated Excellent it it, GO paperless Leong Yee, since 2007 SOUTI- ERN F K i rOxcr ld gi EtAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F IDEISITIAL SDNY_GM_00049664 DB-SDNY-0012488 EFTA 00160273 EFTA01291759 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Socks in a Dividend Reinvedm ent Plan: FIRST IN FIRST OUT Default Method for all Other Securities: FIRST lk FIRST OUT Bond Amortization Electlons: Treat all interest as original issue discount (00): No Am daze 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 corn m unications for electronic delivery. To register and turn off paper corn m unications. log in to your account or contact your Oienl Advisor for m ore information. Important Information and Disclosures Pricing Thrs 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 prim 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/A' 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 resuks. These figures are computed using information from providers believed to be rekable, 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 econorric, political, and business conditions, they should not be relied on for making investment, trading, or 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 iwnv.pershing.conbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Intonation with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is evadable to you promptly upon your written request directed to your introducing frm. In order to assist your introducing Mn in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which ale valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon mitten request to your introducing firm. 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 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. Page 6 of T Account Number. N40.026161 Rated IL...lent Go paperless I...Nosy Yalu %Inc* 2007 M.1 wryat ewe Vara OlitrOgres MEVW SOUTI- FRN F 0A/II RAT( 0 COMMUNICATIONS vase/pm onsosastosoat. wise ova SOWS/N.4_0000665 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) dni FI D AENTI A L. "Mina DB-SONY-0012469 EFTA_00160274 EFTA01291760 Deutsche Asset & Wealth Management Gnaw e Banc Prrnie Weal, Magagenten Wrens ComWe 4,1,P DectsOw I. SectonevAc Narg Mt Mar PO Box 1776, Baltimore, MD 21203 HI FM Mom. INIMccr Ns <it PM 10114 0 In 434404, MSS) 21•409S Statement Period: 06/01/2015 - 05131/2015 Important Information and Disclosures (continued) 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 Oil 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 intuited 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 appficatle; 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: www.pershing.comistrength_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 your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201)4134330. EIT016 and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do net have to explain the reason(s) for their award, unless, n 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 wilt 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 110 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) 4134330. Page? ofT O&M. WM Account Number: N46-026161 Go paper less „iu t. Fisted IL...Hat " eY Sint• 2007 ,OZOITLFW(C. COMMUNICATIONS Mrian a cur.+.. vs." an ouni.0••••• Orsteme•n /WMIda* m.0 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) SOUTHERN tnn F IDAENT1Ar SDW_GM 00049666 DB-SONY-0012490 EFTA_00160275 EFTA01291761 Deutsche Asset & Wealth Management Draisre Sana Prmaie vftan ro...itenan Marats Comp G,C,P CeIrtsOw Ye* Settori New Wart Mar PO. Boa 1776, Balbmoro, MD 21203 Ha FM Mw, Ilith kw lieslat. PM 10114 0 0 ) 45.1-730L WM M-4095 Account Number: N4G-026161 Statement Period: 04/01/2015 - 04/30/2015 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value 13,247,910.04 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 366,963.73 ST THOMAS VI 00802 Net SecuritiesIniOut of Account 000 2,183,792.00 Adjusted Previous Account Value 3,247,910.04 3,053,785.45 Dividends. Interest and Other Income 15 54 10.015.13 Net Chan e in Portfolio 15 264 00 16938800 ndrng Account Value $3,263,189.58 S3.263,189 5 E Your Client Advisor: Estim alert Annual Income $44.147 13 DANIEL SAB8A Asset Allocation Prior Year-End Last Period This Period % Allcation L SO Cash Money Funds and Bank Depostsl 233,030.72 609,994.01 610.009 58 18 69% Please review your allocation LSD Equities periodcalPywth your Gent Advie0t. 0.00 2,637.918 00 2.653 180 00 81 31% Account Total (Pie Chart) $233,030.72 13,217,910.01 13,263,99.58 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not secunbes and are not covered by the Secunties Investor Protection Corporation (SIPC). These bank deposes are covered by tne Federal Depose Insurance Corporaton (Fold). up to allowable limits. Page I oi? Rated Ibice0ent A0125219=30018 G o paperless Ivory Yeas Shwa 2007 OAL0Alt RATED COMMUNICATIOhtS Man, s• *ir sarGeogesen " own. • La awl*. now wee sic Met Ida* EXCIII CNC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONF IDrNAL A SDW_GA1_000496437 DB-SDNY-0012491 EFTA_00160276 EFTA01291762 Summary of Gains and Losses Realized This Period Year-to0ate Unrealized Short-Term Gainlloss 000 000 188.639 71 Long-Term Gain/Loss 0 00 000 693.979 50 Net Gainlloss 0.00 0.00 882,619.21 This summary excludes transactions where cost basis information is not available. For Your Information On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all 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 vrill reflect on your account statement as Tree Credit Balance Interest Charge'. The interest will be repated on your Forms 1099 andfa 1042-S fa 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 Descriplia Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N46026161 Activity Ending: 04130115 04101115 Opening Balance 609.994.04 509,994.04 04115115 Depotal INTEREST CREDITED 15.51 610.00918 APY 0.03% 04116115 BUT 610,009.58 NO 04116 $237500.00 Deutsche Bank Ind Co NO 04116 $237500.00 NY Community Bank NO 04116 $135009.58 04130115 Closing Balance $610,008.58 Total FDIC Insured Bank Deposits $610.009.58 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-Dale Taxable Non Taxable Taxable Non Taxable Dividend Income Equities 000 000 9,964 00 000 Page 2 of 7 Account Number: N46-026161 Go paperless Every Yam• 1brue 2007 OALBAR RATED COMMUNICATIONS SOUTHERNCN — TXCINIINOI SDNY_GM_00049668 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) OKIFIDrNTTAL, DB-SDNY-0012492 EFTA_00160277 EFTA01291763 Deutsche Asset & Wealth Management Dralsre Ban, Pr male wean mamtenan wrests Con. t 0 , 0•P CeIrtf4h. IS* Senor. mC, Paw Part Wks PO. Boa 1776. BalbmorojAD 21203 341PM ASS. Mt I kw' Ms Vat. WI Iona P VS 4514101. POO 7.8409S Statement Period: 04/0112015 • 04/3012015 Income and Expense Summary icontmied) Cermet Period Year.to.D ate Taxable Noe Taxable Taxable !Ion Taxable Interest Income FCIC Insured Bank Deposits 15.54 0.00 51.13 0.00 Total Dividends, Interest, Income and Expenses $16.64 $0.00 610,015.13 $0.00 Portfolio Holdings Account Activity °peeing aosiag Malted Income 30.Day Cerrent Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 19.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 04101115 810.009.580 N46028161 04130115 809.994.04 610.00958 7.53 51.13 N/A N/A Total FDIC Insured Bank Deposits $609,991.04 $610,009.58 $7.53 $51.13 Total Cash, Money Funds, and Bank Deposits $609,991.04 8610,009.59 81.13 Unrealized $l3 Estimated Estimated Dale Acquired Quantity Unit Cod Cost Basis Market Price Market Value Odd Lott Annual Income Yield Equities 81.00% of Portfolio Common Stocks APPLE INC COM Security Identifier: AAPL Dividend Option: Cash CUSP. 031833100 10128113 3 14.000.000 75.5800 1.058.120.50 125.1500 1,752,100.00 693.979.50 29.120 00 166% 09105114 3 7,200.000 98.9500 712,440.29 125.1500 901,080.00 188,839.71 14.976.00 1.66% Total Covered 21,200.000 1,770060.79 2,863,180.00 882,619.21 44,096.00 Total 21,200.000 it 770 50.79 $2 663 160.00 $162,619.21 $44,096.00 Total Common Stocks $1,770,660.79 $2,653,110.00 $162,619.21 $44,096.00 Total Equities $1,770,560.79 $2,653,110.00 $882,619.21 $44,096.00 Unrealised Accrued Estimated Cod egos Market Value Gad Lose Interest Annual Income I Total Portfolio Holdings $2,380,570.37 $3,263,189.58 062,616.21 60.00 641,147.13 Page 3 of I Account umber N404326161 Raged Excellent M125219C3F30018 00A0.11011 GC) paperlie55 041.0AR 2007 RATC0 COMMUNICATIONS etrintel" rstrarass lAct 'I " a :4Sn /NW 111••••• •••••••••.0 •••••••••••• in. . 0 0 SO ERN F lONC7 ONFIDAENTIAL Xffil SDNY_GM_00049669 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: e; DB-SDNY-0012493 EFTA_00160278 EFTA01291764 Portfolio Holdings (continued) Footnotes Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRO') (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement US taxpayers securities which have been acquired on or after their "applicable date(sF at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally aril be phased in over a three-year period, as follows: • Stock it a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this ifformation. 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 products disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement 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:fAininv.dwsinvestments.conVEN/products/money4narket-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Activity Sum m ary (All amounts shown are in base currency) Credits This Period Tear•to.Date Debits This Period Year-to-Date Dividends and Interest $15.54 $10,015.13 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 000 366.96173 Deposits 0.00 0 00 Total Cash $0.00 $366,963.73 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$15.54 -$376,9711011 Total Credits $15.54 $371970.46 Total Debits -$15.54 -$376,978.86 Page 4 of I Account Humber: N46-026161 Rated tuellent fated v... Siew• 2007 Lem ORAN 110L I Go paperless r0A.L •RATED xerti mv COMMUNICATIO116 Mt a wet •••••••••41A ea.*. /WNW N F I DrETriAL, SO till - ERN CO ' LC SDW_GM_00049670 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012494 EFTA_00160279 EFTA01291765 Deutsche Asset & Wealth Management Gnaw e Sant P,,nit Wet" Magatentm Weals tonne Clap CestsOw Is* Sew tic. Now Wart Orloo PO am 1776, Baltimore, MD 21203 341FM Mos. 26th I Ices' liesitat. 10114 0 17) O&M& MM21,1 4.091. Statement Period: 04/0112015 -04/3012015 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount Curren Dividends and Interest 04115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 15.54 USO DEPOSITS INTEREST RECEIVED /58997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 18.84 FDIC Insured Bank Deposits 04115115 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED -15.54 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -16.64 Total Value of Transactions 0.00 0.00 USD The mice and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26TH FLOOR NEWYORK NY 10154 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for %attain a Dividend Reinvestm ent 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 MIDI: No Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual mantel discount method for all other bond types: Ratable Method Include market discount in income annually: to Page 5 ol7 Account Number N40426161 Rated A :9 7. 10 0:8 MIMI Rol Go paperless (nosy van Voce 2007 ••••••••• Isenat.. Wet •00 SO UTHERE Cr — I I gttiagt.rdi at° C°144.41NICATM3h6 SDNY_GM 00049671 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) ONFI DrESITTAt, DB-SDNY-001249.5 EFTA_00160280 EFTA01291766 Your Account Information (continued) Electronic Delivery You have not selected any account tom in imitations for electronic delivery. To register and turn off paper Comm unications. log in to your mount 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, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market paces 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/A- 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 resuks. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Sine interest and dividend rates are subject to change at any time, and may be affected by current and future econornic, 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 wirnv.pershing.comthusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing fin in maintaining current background and financial information concerning your option accounts, please prorriptty advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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 relied 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 wig 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 clewing 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 ornissions 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 resuk of securities transactions it processes. • Your financial institution rs 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 Pages oil Account A umber. N4O.026161 Go paperless ca_z) rvery onFIDAneTTAL st" vt ettinc l'nt o 2007 I PAIL 311 OMBAlt PATCD COMMUNICIalOhtS ?Mal MCI SDNY_GM 00049672 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 678)UTHER4 F DB-SONY-0012496 EFTA_OO16O281 EFTA01291767 Deutsche Asset & Wealth Management Dralsre Ban( Pr.le vftan roanenan Marats Cowan 6,0.2 1)70.0w Yak Senn% ax. New 774 C. PO. Ciox 1776, Baltimore, MD 21203 HI Pia Asst. Mm kw' Ms Wet PM 10114 0 0 ) 4$14110. 11702 7.84091. Statement Period: 04/01/2015 - 04/30/2015 Important Information and Disclosures (continued) The Role of Pershing (ccOnued) 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 possthle 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 intitution. • 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: wompershing.congstrength_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 your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to tither 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 patties to this agreement are giving up the right to sue each other in noun, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abitily 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 generaly 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, nix 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? of? Account n umber. N40.026161 Rated twcollent rilAit RCM paperless tray Vat Woo. 2007 041.17AA RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 6: MIR" ONF ID-E 1AL SDNY_GM_00049673 DB-SDNY-0012497 EFTA_00160282 EFTA01291768 Deutsche Asset & Wealth Management Draisre Banc Pr.*wean humgenme wrests Coven* 0,cm, cemsow est Sflt MC. /14.1brt0Plor P.O. Box 1776. 8•Ibmoro, MD 21203 345 Par% ASS. ilithI kir lieslat. WI 10114 II 4544101.1,151, 0•4091. Account Number: N4G-026161 Statement Period: 0310112015 - 03/31/2015 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $3,333,332.50 $233,030.72 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 000 388,963.73 ST THOMAS VI 00802 Net Securities IniOut of Account 000 2,483,792.00 Adjusted Previous Account Value 3,333,332.50 3,083,786.45 Dividends, Interest and Other Income 13 54 9.999 59 het Chan ,e in Portfolio -85 436 00 154 124.00 nd rg Account Value 53,247,910 04 53,247,910 04 Your Client Advisor: Estim ated Annual Income 539 891 59 DANIEL SAHA Asset Allocation Prior Year-lad Last Period This Period % Allocation LSD Cash. Money Funds and Bank Deposts1 233,030.72 609,980.50 809.994.01 18.78% Please review your allocation LSD Equities 0.00 2,723,352 00 2.837,916 00 8122% I Account Total (Pie Chart) $233,030.72 $3,333,332.50 $3,247,910.04 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not secontes and are not covered by the Mounties Investor ProteMion Corporabon (SIPC). These bank deports are covered by the Federal Depose Insurance Corporabon (FDIC). up to alowable Page Iota Rated Excellent A0098976CSF30023 GO paperless En", laSe• 2007 ettiwtneW:kr a DAUM* RATED COMMUNICATIONS %al1INCIr CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL SDW_GM_00049674 DB-SDNY-0012498 EFTA_00160283 EFTA01291769 Summary of Gains and Losses Realized Tbis Period Year-to•Date Unrealized Shan-Term Gainkoss 0.00 0.00 183.455 71 Long-Term Gain/Loss 000 0.00 683199 50 Net Gain/ Loss 0.00 0.00 817,355.21 This summary excludes transactions where cost basis information is not available. FDIC Insured Bank Deposits Date Activity Type Oesaiefion Amount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G026161 Activity Ending: 03/31115 02128115 Opening Balance 609,980.50 601980.50 03113115 Denali INTEREST CREDITED 13.54 609194.04 APY 0.03% 03116/15 BUT 609194.04 NO 03/16 5134994.01 Deutsche Bank rid CO NO 03/16 5237500.00 NY Comm unity Bank NO 03116 $237500.00 03131/15 Closing Balance $809,994.04 Total FDIC Insured Bank Deposits $609,994.04 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 Dividend Income Equities 0 00 0.00 9 964 CO 0.00 Interest Income FDIC Insured Bank Deposits 13.54 0.00 35 59 0 00 Total Dividends, Interest, Income and Expenses $13.54 $0.00 59,999.59 $0.00 Page 2 of 8 Account Kum ber. N46-026161 RANO Excellent DOAN h)l, co paperless (very Vas SW. 2007 ONLOAA RATED COMMUNICATIONS tO lq FIDEsignAL l)02111INCIr SDNY_GM_00049675 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN DB-SDNY-0012499 EFTA 00160284 EFTA01291770 Deutsche Asset & Wealth Management Dreure earn. Pewee wean maagenorn Mall COOP•P 0,1•P tee-WNW Servo. ea Mw elraterMrs PO. Boa 1770 Balbmoro. MD 21203 Me eve Ammojilth leer lieslartr 10114 Po) 04411. ORM 7a409$ Statement Period: 03/01/2015 - 03131/2015 Portfolio Holdings Account Adivity Opening Closing Accrued Income 30-Day Current Opening Date Quantity Number Eiden Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 19.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 02/28115 609.994.040 N4G026161 03131115 609.980 50 609.994.04 8.02 35 59 NIA NIA Total FDIC Insured Bank Deposits $609,960.50 $609,994.04 $6.02 $35.59 Total Cash, Money Funds, and Bank Deposits 1609,960.50 $609,994.04 $8.02 $35.59 Unrealized Estimated Estimated Date Acquired Quantity UnilCost Cod Bads Market Price Market Value Gain/ Loss Annual Income Yield Equities 81.00% of Portfolio Common Stocks APPLE INC COM Security Identities: AAPL Dividend Option: Cash CUSIP: 037833100 10128113 3 14.000.000 75.5800 1.050120 50 124.4300 1,742,020.00 813.89930 26.320.00 1.51% 09105114 1,200.000 98.9500 712,440.29 124.4300 895.896.00 183,455.71 13,536.00 1.51% Total Covered 21,200.000 1,770,680.79 2,637,918.00 867,355.21 39,656.00 Total 21,200.000 $1.770,560.79 $2,637,916.09 9667,355.21 639,656.00 Total Common Stocks $1,170,560.79 92,637,916.09 9667,355.21 $39,658.00 Total Equities $1,770,560.79 $2,837,116.09 $667,355.21 $39,656.00 Uamahzed Aartied Estimated Cod Bads Market Valle Gold Lou Interest Annual Income Total Portfolio Holdings $2,360,654.63 63,247,610.04 $6117,366.21 $0.00 $39,891.59 Footnotes SecurAies acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P.1.110-343. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered." under the new cost basis reporting rules. and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis oil be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Page3 of 8 Account Number. N40426161 Rated excellent a etraapacestrara= "" ovasw Powwow VIIA VI non Go paperless Leery Year Wee 2007 rOV :rir iLIVDCOMMUNiCATIONS ......roata wee woe SDW_GM_00049676 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: HERN DB-SDNY-0012500 EFTA_00160285 EFTA01291771 Portfolio Holdings (continued) Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January% 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on cc after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this nformation. 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 OWS Investments website at httpslAwm.dws-investments.conVEN/productsrmoney-marketaindstields.isp. Please note that all money market funds bsted on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Customer Collateral Account Under Securities Account Control Agreement Activity Sum m ary (Alt amounts shown are in base currency) Credits This Period Yeario•Date Debits This Period Year-to-Date Dividends and Interest 413.51 $9,999.59 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 000 366.963 -a Deposits 000 0.00 Total Cash 10.00 3305,963.73 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits 10.00 50.00 FDIC Insured Bank Deposits -513.54 .4374,963.32 Total Credits $13.54 3376,953.32 Total Debits -T13.54 -4376,963.32 Transactions by Type of Activity Process/ &themeel Date Adivi Pe Descridin Oeantd Price Accrued 'Mimi Moist Correa Dividendsand Interest 03113115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 13.54 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 13.54 Page 4 de Account hum her NaG-026161 Rat.. excollIsint ()MAO ROL Go paperless toktriataig ilmunicAnows etrae.A•WaVelollat=artin a ihnitagILA •••••••••••A " IWO IONVIIIkNee SOUTh ERN CX L LLC. NF IDAENTIAL IMCIlliNO1 SDNY_GM 00049677 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0012601 EFTA_00160286 EFTA01291772 Deutsche Asset & Wealth Management Dnitios Sint Pr male w.ap. Maatenmi Mann COnfape CoMP Moan.. Op* Smoot' .4. Nee Mt altar P.O. Box 1776, 13•16nwireJAD 21203 MS Par% /what Mm li ter WI 10114 (l 11) 061666 161$171•4091. Statement Period: 0310112015 -03/3112015 Transactions by Type of Activity (continued) Process, Settlement Date Activity Type Desolation Cieentily Price Acaued Interest Amonel Currency FDIC Insured Bank Deposits 03113/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST REM VESTED -13.54 LSD DEPOSITS INTEREST REINVESTED 158997996 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -13.54 Total Value of Transactions 0.00 0.00 DSO The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SARA 345 PARK AVENUE 261? FLOOR 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 OUT Default Method for all Other Secunties FIRST IN FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OlDi: No Am orate 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 coma unications for electronic delivery. To register and turn oil paper communications. log in to your account or contact your Client Advisor for more information. Page 5 of 8 Account Number. 1446-026161 Riled Excellent ()PAO ROIL Go paperless twos" Vs* Since 2007 FIDrisrriAL 06.03AR RATED COmmuNiC6110/6 [Mtn IIINCIF SDNY_GM_00049678 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN DB-SDNY-0012502 EFTA_00160287 EFTA01291773 Important Information and Disclosures Pricing This section induces the net r'arket 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 "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 (EA') 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 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 SWAY.pershing.corritusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing Mn. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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 conceming 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 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) 4133333. 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 vnwe.pershing.corn/strength_stability.html. Page 6 of 8 Account A um ber. 1110.026161 Rated euvlIont Go paperless eZz.%7;coriouwicAr in SDNY_G/A_00049679 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. ti(e) ONFID AENTIA rxae Wel DB-SDNY-0012503 EFTA_OO16O288 EFTA01291774 Deutsche Asset & Wealth Management Dvalsre Sam Poule WeilPi Wwenan Weans COVene 4,C,P CtottOw Oak SeCwIewt Mw MtlS P.O.Box 1776, Baltimore, MD 21203 HI tar% MY,Ilit h tor Ms Vat. PM 10114 inn 4$143. n•-• 09 Statement Period: 03/01/2015 - 03/31/2015 Important Information and Disclosures (continued) The Role of Pershing (corninuk) • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) prompt', but no later than ten days after receipt of this statement. to your francial organization and Pershrg. Please be advised that any oral communication should be re-confamed 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 ',formation is as folows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)0134330. 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 generally final and binding; a party's atibty to have a court reverse or modify an arbitration award is very baited. • 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 Nought 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. Page7of8 Account Humber: N46-026161 Riled excollont A0091976CSF30023 DOA. ROLL Go paperless ra. Sento 2007 0.603611 PA TOD COmmut00010h6 vow...LC owoofwato. o•C F ID-ENTIAL IXCIFI ENO' SDW_GM 00049680 6: TF ERN CO CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 DEI-SDNY-0012504 EFTA_00160289 EFTA01291775 TERMS AND CONDITIONS TRANSACTIONS PERSHING MAY TRADE FOR RS 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 POSINONER, ARBITRAGEUR OR INVESTOR. CONSEQUENTLY, AT THE TIME OF ANY SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS, USAGES. RULINGS AND TRANSACTION YOU MAY MAKE, PERSHNG MAY HAVE A POSITION IN SUCH SECURITIES, WHICH INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, F ANY. WHERE POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR F APPLICABLE. OF THE FNANCIAL • 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. DUALS • 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 W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR VIEW IT ONLINE AT WWW.PERSHNO.COM. STATEMENT. F SO. TIE TRANSACTIONS WILL 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_CONTINUITY.HTML THIS IS ESPECIALLY TRUE F 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 PERSHING'S PAYMENT FOR ORDER FLOW AND ORDER ROUTINES 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 COMMUNICATOR 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 S 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 TI-EM 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 TM 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 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 DISTRIBUTORS SHOWN ON THIS STATEMENT WERE CLASSIFIED QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVOE 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 TS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. GENERAL INFORMATION. • PERSHING DOES NOT PROVOE 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 TM TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHNG MAY IN ITS DISCRETION AT MY TIME. NV ITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PR NATE 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 MI AMOUNT PROHIBITED BY LAW. F ALYCE THE ABOVE TERNS AND CCMXTIONS ARE UNACCEPTABLE TO YOU. PLEASE HOOP!' PERS-ING IMLBDIATEL Y III WRITING BY CERTIFIED 10.1. TO ONE PERSHING Pa JERSEY CITY, NJ 07399. ATTN LEGAL DEPT Page 8 of 8 CON Mecum Humber. N4G426161 Go paperless Riled twollont tray Yea• LAC* 2'007 rOAlatilintor RATCD COMMUNICATIONS :Tan etwee Vas liat e O " reteen MEV Illk••• orsanneu4 •••••••••alk Mae OM F I= TA A&YI SDW_GM 00049661 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6; Th ERN DB-SDNY-0012505 EF1'A_00160290 EFTA01291776 Deutsche Asset & Wealth Management Dmilu le SamPP...le Wealth Maatenmil Weett COreateComP Chnthe NW S((t Mr. bet Once P.O. kw 1716, fiatinswe. MD 21203 HI Pot AIIPO“, l•th liter Illewlea PM 101W inn Oda ii3,118•401t Account Number: N4G•026161 Statement Period: 02/0112015 - 02/28/2015 Valuation at a Glance This Period Year-to-Dale SOUTHERN FINANCIAL LLC Beginning Account Value $3,083,792.69 6133,030.71 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 0.00 366 963 73 ST THOMAS VI 00802 Nel Secunties InlOut of Account 0.00 2 483 792 00 Adjusted Previous Account Value 3,083,792.69 3,083,786.45 Dividends. IntereM and Other Income 9.97981 9.986 05 Net Chan e in Portfolio 239 560 00 239 560 00 ndrng Account Value 53 333,332 50 $3,333,332.50 Your Client Advisor: Estimated Annual Income $39,878 05 DAME SABBA Asset Allocation Prior Yearlad Last Period This Period % Allocation LSO Cash. Money Funds and Bank Deposits' 233.030.72 600,000.89 609.980 50 18.30% 7 .1 0iii\ Please review your allocation LSD Equities 7 0.00 2.483.792 00 2.723.352 00 8170% Account Total (Pie Chart) 1233,030.72 13,083,792.69 $3,333,332.50 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bank deposits are not secuntes and are not covered ty tne Secuntes Investor Protection Corporation (SIPC). These bank deports are covered by the Federal Deposit Insult* Corporabon (FDIC), up to stowable limits. Page 1 on Riled evoollent Danl.{ ROL i A0097$09CSF30016 Go paperless Is/ 2007 Owilisa RATCD COmmuttiG•TIOrd .9747.......047==.r.a....... " —..,,..........,- CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDE1SMAL "a"`"" SDNY_GM_00049682 DB-SDNY-0012506 EFTA_00160291 EFTA01291777 Summary of Gains and Losses Realized This Period Year-toffate Uorealked Short-Term Gainilass 0 00 000 212.471.71 Long-Term Gain/Loss 0 00 000 740,319.50 Net Gain/Loss 0.00 0.00 952,791.21 This summary excludes transactions where cost basis information is not available. For Your Information On June 5. 2014, the European Central Bank (the 'ECB') introduced 'negative interest rates'. This negative interest rate applied to all 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 Tree Credit Balance Interest Charge'. The interest will be reported on your Forms 1099 and/or 1042-6 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 DEPOSITS PROGRAM Account N um ber: N46026161 Activity Ending: 02121115 01131115 Opening Balance 600.000.69 600.000.69 02113/15 Depot DEPOSIT 9.964.00 609.964.69 02113115 ['spelt INTEREST CREDITED 15.81 609,980.50 APY 0.03% 02117/15 BUT 609,980.50 NO 02117 $237500.00 Deutsche Bank Trot Co NO 02117 $237500.00 NY Community Bank NO 02117 $134980.50 02127115 Closing Balance $609,960.50 Total FDIC Insured Bank Deposits $609,980.50 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Portent Period Year-to-Date Taxable Noe Taxable Taxable Nom Taxable Dividend Income Ec tides 9.964.00 0.00 9984.00 0.00 Pagr2 of ? Account Humber. N40.026161 ittiadezeruvilent sag 11:)1. I GO paperleSS ar 'CATIONS BOUM ERN CNO LLC. TACO IINCI CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) NF IDAENTIAL SDNY_GM_000496B3 DB-SDNY-0012507 EFTA_00160292 EFTA01291778 Deutsche Asset & Wealth Management Draisre Banc ,,..Ie w.stn14”rgentne Peseets Connive Comp Cettsthe Mr* Setwari Mw bet Once PO. Box 1776, Baltimore, MD 21203 315Part Agere. 30th I *sr Mrs vest. PIT lO%W 1))4S41.71$4. 11114714409S Statement Period: 02/0112015 • 02/2812015 Income and Expense Summary (continued) Current Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Interes: Income FCiC insured Bank Deposts 15.81 0.00 22.05 0.00 Total Dividends, Interest, Income and Expenses 69,979.11 $0.00 $9,986.05 $0.00 Portfol io Holdings Account Activity Opening Closing Acaued Income 30.Day Correia Opening Date Quantity Number Ending Balance Balance Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 18.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 01131115 609.980.500 MG026161 02/27/15 600.000 69 609 980 50 6.52 22.05 NIA NIA Total FDIC Insured Bank Deposits 1600,000.09 1609,980.50 66.52 622.06 Total Cash, Money Funds, and Bank Deposits $600,000.69 1609,980.50 $6.62 622.06 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield Equities 82.00% of Portfolio Common Stocks APPLE INC COI Security Identity: AAPL Dividend 0pbon: Cash CUSIP 037833100 10128113 3.12 14.000 000 75.5800 1.058.120.50 128.4600 1,798,440.00 740.319.50 26,320.00 1.46% 09105114 3. 12 7 200 000 98.9500 712,44029 128.4600 924,912110 212,471.71 13,536.00 1.46% Total Covered 21,200.000 1,770,660.79 2,723,362.00 962,791.21 39,856.00 Total 21,200.000 $1,770,560.79 $2,723,352.00 6962,791.21 639,856.00 Total Common Stocks $1,770,560.79 $2,123,352.00 $962,791.21 639,856.00 Total Equities $1,770,560.79 $2,723,362.00 6962,791.21 $39,856.00 Unrealized Aoned Estimated Cost Basis Markel Value Gain/Loss Mitered Annual income Total Portfolio Holdings $2,380,541.29 $3,333,332.50 6962,791.21 $0.00 639,818.05 Page) 017 Account h umber. N40.026161 Raided Excellent GO paperless L very vv., Siva 2007 0410Ali RAT(O COMMUNICATIOhtS ,rnt tteoZtalL• a 14: . '" osjes.' ste us* MCI 8; IFERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67 F I DAENTIAL SMW_GM_OOCutS0414 DB-SDNY-0012508 EFTA_00160293 EFTA01291779 Portfolio Holdings (continued) Footnotes Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986. as amended 0RO (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabikzation Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual hinds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. M essages 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 httpsINAwrdws-investrrtents.corn/EN/productsimoney-market-fundslields.jsp. Please note that all money market funds listed 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 product's disclosure document or contact your advisor for additional information. Activity Sum m ary (All amounts show, arem base currency) Credits This Period Year4otiate Debits This Period Yeamotiste Dividends and Interest $9,979.81 $9,986.05 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 000 36696373 Deposits 0.00 0 00 Total Cash $0.00 $388,963.73 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 WOO FDIC Insured Bank Deposits -$9,979.81 -$376,949.78 Total Credits $9,979.81 $376,949.78 Total Debits -$9,979.81 .$376,949.78 Page 4 of? Account number. N40126161 ENTTAL Rated [...giant ()WAN ROL paperless 0AlSAYRIA t"" . Sinc TLD. C201• 07.41.1NICATIONS P. 678; TFERNF ONFIDA EXCIIIINCS SDNY_GM_00049685 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. DB-SDNY-0012S09 EFTA 00160294 EFTA01291780 Deutsche Asset & Wealth Management Dmisre Banc PrmaieWealh .4a.igentm hereatiOnneetms• CtelsOw 60* Maori Ht NorelbrtOrlop P.O. Box 1770 Baltimore. MD 21203 341Parli ASS. 1111h I kw lieslat. WI 10114 Po) .01-12211.01151118-4091 Statement Period: 0 2/0112 01 5 • 0 21 28/2015 Transactions by Type of Activity Process Settlement Date Ache Ity Type Description Quantity Price Accrued Interest Amami Currency Dividends and Interest 02/12/15 CASE DIVIDEND RECEIVED 21200 SFRS APPLE INC COM RD 02/09 PD 02/12/15 9164.00 USD AAFt 02/13115 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 15.81 USD PEPOSTS INTEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 9,979.81 FDIC Insured Bank Deposits 02/13/15 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -9.964 00 USD US0999997 02/13/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .15.81 USO DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -9,979.81 Total Value of Transactions 0.00 OAD USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANla SABBA 345 PARK AVENUE 26TH FLOOR NEW YORK KY 10151 Page 5 of? Account Number: N4G•026161 Riled C.00ent L very Yeas setwo 2007 ettetrerCalso “A Orstemein " 01S1110110* OltA1-1 RCM IhnlaUC, Pa a SSC M etl afi rel tf ATED C°144.114ICATI°145 SDW_GM_00049686 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6: THERN C FID Chi PaPerie s r rA C- 4). DS-SDNY-0012510 EFTA_00160295 EFTA01291781 Your Account Information Tax Lot Default Disposition M ethod 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 original issue discount (DID): No Am oda premium on taxable bonds based on Constant Yield Method: Yes Accrue/ market discount method for all other bond types: Ratable Method Include market discount in income annually: No 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 Olen' 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 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/A' 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 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 .wnv.pershing.corn/business_continury.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wit not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment fa order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confrmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. 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 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 trilled at the rates such agents use. Page 6 of T Itt)tt Account Humber. 40.026161 ERN F LLC. Go paperless tov...713AYIrRA.T(C7C2S:47MUNIC Rated winont EXCIIIONCI ettiwt. a 'shwa Veit •••••••••LC avow nay ult,tecr.......MEV Si* wet =Pc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) NFID-ENTIAL SDNY_GIA_00049687 DB-SONY-0012511 EFTA_00160296 EFTA01291782 Deutsche Asset & Wealth Management Dralsre San, Poo/lewean Ma.bgenan Manus I oarme 4.0.1. Chtf0.10ankS4toriv4, Mc* bet Once P.O.Box 1776, Baltimore, MD 21203 315 Pot euircce 201b,/cc, New %A ItY 101W II IS) 454.2104. MSS, 7.I.409S Statement Period: 0210112015 - 0212812115 Important Information and Disclosures (continued) 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 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 vawcpershing.comlstrength_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 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 Me 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)1134330. 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 generally final and binding; a party's abibty to have a court reverse or modify an arbitration award is very fl ed. • 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 vrill typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows' Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 413-3330. Page? of? Account Number: N46-026161 listed excellent 00/41 Go paperless I way Y••• Sint. 2007 rant a t snort ifits t atremsen •••••••••LA wren nay Peat 0.00 'Yew* SOUTHERN Cett, Lit T CD COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(8) NJ F ID^ENTIA1:--ss xasle SDNY_GM_00049688 DEt-SONY-0012612 EF1'A_00160297 EFTA01291783 Deutsche Asset & Wealth Management Orals° e tam Po. .MeWall" Maatenmil Me ts C itt 0Owp Devische Sank Settonel ‘IC Mew bet OR,* P.O. Bop 1776, Balbmoro, MD 21203 145 Part Aar. 20th I Ica Illernea pY IOVA in7)431-780.1111SPISCII, Account Number: N4G-026161 Statement Period: 01/0112015 - 01/31/2015 Valuation at a Glance This Period Year-to-Date SOUTHERN FINANCIAL LLC Beginning Account Value $233,030.72 $233,030.72 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals 366.963 73 366 963 73 ST THOMAS VI 00802 het Secunhes InlOut of Account 2,483 792 00 2 483 792 00 Adjusted Previous Account Value 3,083,786.46 3,083,786.4$ Dividends. Interest and Other Income 6.24 6.24 nding Account Value $3,083,792.69 $3,083 792 69 Estimated Annual Income $39,862 24 Your Client Advisor: DANIEL SABBA Asset Allocation Prior Year-End Last Period This Period % Allocation LSD Cash, Money Funds and Bank Deposits' 233,030.72 233.030 72 600.000 69 1946% Plase review your allocation LSD Equities 0.00 000 2.483.792 00 8054% — j Account Total (Pie Chart) $233,030.72 $233,030.72 $3,083,792.69 100.00% I The Bank Deposes in your account are FDIC insured bank deposes. FDIC insured bank deposits are not securities and are not covered by Ite Secuntes Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Deposit Instrance Corporal on (FDIC). up to allowable limits. Page 1 oil Rated ILKoollent OteAll ROLL A0118728C5F30017 Go paperless l t ) 'ear UM* 2007 Mne a Mara vow er inrrm ••••••••LA 'avow not. t =vei l — SW Mao O.A.t6AR RATCD COmmuniC*110h6 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFICIENTIAL rxen"wi SDNY_GM_00049689 DB-SDNY-0012513 EFTA_00160298 EFTA01291784 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 and/or 1042-S 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 DEPOSITS PROGRAM Account Number: 1146026161 Activity Ending: 01130115 01101115 Opening Balance 233,030.72 233,030.72 01115115 Deporit DEPOSIT 366,963.73 599,994.45 01115115 Deposd INTEREST CREDITED 6.24 600,000.69 APT 0.03% 01116115 Citibank N.A. 600,000 69 NO 01116 $237500.00 Deutsche Bank list Co NO 01116 $237500.00 Texas Capital Bank NO 01116 $125000.89 01130115 Closing Balance $600,000.69 Total FDIC Insured Bank Deposits $600,000.69 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,0® 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 624 000 6.24 000 Total Dividends, Interest, Income and Expenses 16.24 $0.00 $6.21 $0.00 OMB ROLL Account Number 1446.026161 npaperIciarTA Rated (*.Mat tray van 16f.C• 2007 Page 2 of 7 -,- mune" CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(8) ñ c F I D G9 L M etgri`pc°mmuNIcAn°14 SDNY_GM_00049690 DB-SDNY-0012514 EFTA 00160299 EFTA01291785 Deutsche Asset & Wealth Management Orals° e Banc Prrnie wean magenta, wrens OM.6p 6 11,P et-WM.61h SeCter“.C. NON Wart ltc• PO. Box 1776, Bal6moro, MD 21203 341Pea Mist liklultcr Ms Vat. PM 10114 0 )451410.wn42.8409S Statement Period: 0110112015 - 01/31/2015 Portfolio Holdings limpet Adivity °penile Closing Accrued Income 30-Day Current Opening Date Quantity Number &dig Balance Balance Income Ibis Year Yield Yield Cash, Money Funds, and Bank Deposits 19.00% of Portfolio FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 01101/15 600.000.690 N4G026161 01130/15 233.030.72 600 000 69 8.38 821 NM NIA Total FDIC Insured Bank Deposits 1233,030.72 1600,000.69 18.38 16.21 Total Cash, Money Funds, and Bank Deposits 3233,030.72 1600.000.69 Was $6.24 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield Equities 8 1.0 0% of Portfolio Common Stocks APPLE INC COM Security Identifier: AAPL Dividend Option. Cash CUSIP 037833100 Please Provide 21200 000 NIA Please Provide 117.1600 2.183.792.00 hIA 39.856 00 1.601% Total Common Stocks 10.00 12,483,792.00 10.00 $39,856.00 Total Equities $0.00 $2,483,792.00 10.00 $39,856.00 Unrealized Accrued Estimated Cost Basis Markel Value Gain/ Lose Interest Annual Income Total Portfolio Holdings $600,000.69 $3,083,192.89 30.00 10.00 139,882.24 Footnotes Noncovered uncer the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended (1RC') (incorporating amendments enacted by P.L.110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered,' under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dMdend reinvestment Man (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. Page 3 of? Account A um leer N40426161 Rated (Kaillent P.0118726CMCO: Go paperless et T a lnia et We Van1ii= 0 :S " SW Wit.* DrwrIAL-g--- DINO MYR am .-- 7,..r.;c2071touNiCaTiONS P.......• LA ....e.e.s6v6e ac SDW_GM_00049691 SOUTHER?' CON CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DB-SDNY-0012515 EFTA_00I60300 EFTA01291786 Portfolio Holdings (continued) 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. M essa es 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 nsurance 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 https://wwwdws-investments.corn/EN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Customer Collateral Account Under Securities Account Control Agreement Important Reminder for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, OID and ilISC): As a reminder, by February 17. you will receive either your 1099 form or a 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 10,39 will be mailed no later than March 16, 2015. Activity Summary (AM amounts shown are in base currency) Credits This Period Year-to-Date Debits This Period Year-to-Date Dividends and Interest $6.24 $6.24 Dividends and Interest $0.00 $0.00 Cash Cash Deposits 366.963.73 366.961.73 Deposits 0.00 0.00 Total Cash $360,963.73 $306,963.73 Total Cash $0.00 $0.00 FDIC Insured Bank Deposits $0.00 $0.00 FDIC Insured Bank Deposits -$366,969.97 -$369,969.97 Total Credits 6360,969.97 $366,969.91 Total Debits -$366,989.97 -$368,969.97 Transactions by Type of Activity Process' Settlement Date Activity Type Demriptice Oiantity Price Aosed Interest Amaral Currency Securities Withdrawals and Deposits 01130115 CUSTOMER AUTHORIZED APFLEINCCOM TRANS FRU NIG-023804 21,200.000 0.00 LiS0 TRANSFER Total Securities Withdrawals and Deposits - UNITED STATES DOLLAR 0.00 0.00 Page 4 of Account Number N40.026161 t Rated (Kcellent 2.':18727.75731' . acne vu,, Go paperless Every Mai, Sint* 2007 etr: a 1....e.••••••=t"Osonan .. Ste". " 1" OnSAR RATCD COMMUNICATIONS ••••••••••14 •••••••.,... Pa., .., SO UTHERN CNCIAL LL . F IDAERTIAL EXCIIIIINC SDNY_GM_00049692 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(8) 0 DB-SDNY-0012516 EFTA_00160301 EFTA01291787 Deutsche Asset & Wealth Management Gnaw, e Ban, Pony. wean Ma.ligenan Vitals Coon', 4,csr• IX...Wig Sank Sectorivic, Jan bet OR,. PO. Boa 1776. Baltimore. MD 212[0 .115 Pot •••nor. 20th I *sr Mrs vest 10. IOVA 01H4S41.7414.11SS,7.4409S Statement Period: 01/01/2015 • 01131/2015 Transactions by Type of Activity (continued) Process, &Diemen; Date Adivitv T Desaiption Cluantit Prise Accrued Interest Amman Curren Dividends and Interest 01115/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 6.24 LSO DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and interest • UNITED STATES DOLLAR 0.00 0.24 Cash Withdrawals and Deposits 01/14115 CUSTOMER ALTFORIZED TRANSFIN NIG-023804 366,963 73 USD TRANSFER USD999997 Total Cash Withdrawals and Deposits- UNITED STATES DOLLAR 0.00 366,963.73 FDIC Insured Bank Deposits 01115115 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 466.96323 USD US0999997 01/15/15 FDIC INSURED BANK INSURED DEPOSITS INTEREST RBN VESTED -6.24 USD DEPOSITS INTEREST REINVESTED 458997996 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 466,969.97 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 DANIEL SABBA 345 PARK AVENUE, 25111 FLOOR NEW YORK NY 10154 Page 5 ot Account Number. N40426161 Rated Ligament OKA° R011 Go paperless trent Yeas Since 2007 MA, Mastroars ers...ac, ....now *Grelan moc wee " —lire SOUTF ERN F DAUM* RATED COMMUNICATIONS FItall I Ma CONFIDENTIAL — PURSUANT TO FED. R. CRIM, P. 6(e) NF IDAENTIAL IN SDW_GIA 00049693 DB-SDNY-0012517 EFTA_00160302 EFTA01291788 Your Account Information Tax Lot Default Disposition Method Default method ler Mutual Funds FIRST Ik FIRST OLT Default Method for Stocks in a Dividend Reinvestment Plan: FIRST lk FIRST OUT Default Method for all Other Securities FIRST IA FIRST OUT Bond Amortization Elections: Treat all interest as original issue discount (OD): ho 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 corn m unications for electronic delivery. To register and ruin off paper corn m unications. log in to your account or contact your Omni Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the secunties in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A' 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 busness 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 www.pershing.corn/business_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions. Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wd not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the tine of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing ism. In order to assist your introducing fimi in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon mitten request to your introducing firm. 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 bdled at the rates such agents use. Page of? Account Number. N46.026161 Rated Excellent ()RA0 ROtt Go paperless Every Yee, Since 2007 OASEIAR RATED COMMUNICATIONS MM yeantsan nevem nate. meet 000 WYE SOUTHERN COAL LLC. EXCIIIENCIE SDNY_GM_00049694 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFIDAENTIAL DB-SDNY-0012518 EFTA_00160303 EFTA01291789 Deutsche Asset & Wealth Management Orals° e Ram Prmale wean ma.zienme MY Con. MMUS Silt Sefton...C. Nair* 0Sor PO. Box 1776, Balemoro, MD 21203 341FM ASS, /•th I tcr lieslat. PM 101W V VI 4$14101. ptSS 7.84,11. Statement Period: 01/0112015 - 01131/2015 Important Information and Disclosures (continued) The Role of Pershing • Pershing monies 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 hinds 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 desaiption of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC knits. For more detailed information please visit wiwcpershing.comIstrength_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 your financial organization and Pershing. Please be advised that any oral communication should be re-confined 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)4134330. 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 generally final and biding; a partys abibty to have a court reverse or modify an arbitration award is very kited. • 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 knits 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 una, (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 7 of 7 Account Number: N46-026161 Rated [...Mont Dann paperless " t Y Y. .. 5A.C. 2007 ON.ent RAT(D COMMUNICATIONS =las et wortali= —swipe Ortneen " SO UTFERk 'AC_ CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(8) FI DrNi al AL-.- " "" SDW_GAt 00049695 DB-SONY-0012519 EF1'A_00160304 EFTA01291790