EFTA01290990

PO &e. 1226.9,k nov.4021203 THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYICE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 Your Client Advisor: TAM SMITP (212) 454-2889 Asset Allocation 0rals° e Banc Prmale wean mawarnow POleatt Genf Me COMP Cettfthe Sank Sesta on Ywb Ollor He Pot /are. 20th I tcr Mew %A /rt I0VA OI CA.H.121. MTh 2111409, Prior Yearled Lad Period Valuation at a Glance Beginning Account Value het Cash Deposits and Withdrawals het Securities In/Out of Account Adjusted Previous Amount Value Dividends, Interest and Other Income Total Taxes Withheld tel Chance in Portfolio nd ng Account Value Estimated Annual Income Account Number: Statement Period:12/01/2013 • 12/3172113 This Period $21,234,494.74 571,206 85 1,119,951.14 22,925,662.73 133,487.86 0.00 14 477 64 Year4o4ate 20.00 7,237,182.05 15,197,12253 22,434,304.51 464,563.16 X40 95 799 61 522.994.662 95 522,994.662 95 This Period %Allocation $965 609 60 . r.: Cash, Money Funds. and Bank Deposits' 0.00 6,976,118.53 7,589,036.35 33.00% f, SD Fixed Income 0.00 14,258,07621 15,405,626.60 67.00% I Account Total (Pie Chart) $0.00 221,234,414.74 222,194,562.95 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark deposts are not securities and are rot covered by the Secunties Investor Protection Corponton (SIPC). These bank (*posts are covered by the Federal Depose Insurance Corporaton (FDIC). up to simian limes. See page 2 of tho statement for imponam oformation regarding the AsSe Alocaton section. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Pie Chart allocation only etudes products that are of positive rake Page 1 of 14 Ra•ed f xewliont BO 1 0Si SICSF 30022 Go paperless s,-- Yee' s in A P... OALIvta Ralto COMMUNICATIONS , I I D ft. c °MILLI/CI We.. MS. Cis Ise S-- Ian c••••••••••••• airs ft..** oftwew now wow oft PROT39 DB-SDNY-0011460 EFTA_00159245 PROT0 Asset Allocation Disclosure and Footnotes Fixed Income ccrtains Fixed Income Mutual Funds. Summary of Gains and Losses Realized I/realized This Period Year-to-Date Short-Terra Gain/Loss 000 0.00 -1.989.47 Long-Term Gain/Loss 000 0.00 .71.602.41 Net Gain/Loss 0.00 0.00 -73,591.88 This summary excludes transactions where cost basis information is not available. For Your Information Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. FDIC Insured Bank Deposits Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number N46024943 Activity Ending. 12131/13 11130/13 Opening Balance 6.976,418.53 6.976.418.53 12103/13 Deposit DEPOSIT 41,250.00 7,017,668.53 12/13/13 Deposit INTEREST CREDITED 160.97 7,017,829.50 WY 0.03% 12116/13 Associated Bank NA 7.017.829.50 NO 12116 $250000.00 BUT NO 12/16 $250000 00 Bank of Am erica NO 12116 $250000 00 Olibank N A. NO 12/16 9250000.00 Deutsche Bank NO 12/16 $4767829 5 East West Bank NO 12/16 5250000.00 NY Com m unity Bank NO 12/16 S250000.00 Texas Capital Bank Page 2 of 2,4103454CSF30022 1,11•61.Cui Account Number Go paper1eSS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZETCONFlormaiAL DI Rad x<aont Seven Yeas In A Pow OALarn itAltO COMMUNICATIONIS EXCELLING{ ti waft awgue.••••••aaa oe a wa •.•• race...4a .araao ne.ewstsc sea ea.^ mu .4 SOW GM_OOO48637 DB-S6NY-0011461 EFTA_00 159246 PROT1 ea 1771 Barrow WO 21203 FDIC Insured Bank Deposits (continued) Date Activity Type Dewiption Mount Balance Sweep FDIC Insured Bank Deposits (continued) (continued) 12/24113 Deposit NO 12116 $250000.00 Union Bank of CA NO 12116 $250000.00 Com enity Bank NO 12/16 5250000.00 DEPOSIT 571,206.85 7.589.036.35 12131113 Closing Balance 17,689,036.36 Total FDIC Insured Bank Deposits $7,589,036.35 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 devoted retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Paso< Sant Prmile YNe11, Maagentm Mann 010elle GcC4/ Pious Is setwan nt. 0.411.41014,* SO PM Myst Mb 1 ter lerslut PM 10114 P MI PSpdI1L COSS17.14Olt Statement Period: 1 2/01/2013 -12/31/2013 Income and Expense Summary Omen Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Other Dividends 19.978 78 0.00 280.981.35 0.00 Interest Income Bond Interest 11.250.00 0.00 111.12500 0.00 160.97 0.00 358.70 0.00 Total Dividends, Interest, Income and Expenses $61,389.75 $0.00 $392,165.05 $0.00 Distributions Long • Term Capital Gain Disinbubons 62.236.92 0.00 62.236 92 0.00 Short • Term Capital Gain Distnbutions 9161.19 0.00 9.861.19 0.00 Total Distributions 972,098.11 $0.00 $72,098.11 $0.00 Page 3 of t 4 Account number. BOIOSIS4CSF30022 DRAB Ctli Go Na(1erleSS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FAZE TUFILSTO N F I DancliAL TI-E Rand Inellont CIALSPA Rat tO COMMUNICATIONS OK Mika CII.0100 001.0 •••••••• Ile. • wfrmay case •••••.• ,v *a mama cis yr* anon ceps {sic us... ••,••4t0C Fs ra is sec SONY GM_00048638 DB-S6NY-0011462 EFTA_00 159247 PROT2 Portfolio Holdings Activity Opting Closing Accrued lame 36Day Current Opening Date Quantity Account Number Ending Balance Balance Iacono 711Year Yield Yield Cash, Money Funds, and Bank Deposits 33.00% of Portfolio 11130(13 7189.036.350 N10024913 12131113 6,976,118.53 7.589.036 35 102.25 358.70 N/A NIA 86,976,118.63 $7,589,036.35 Total Cash, Money Funds, and Bank Deposits $6,976,118.63 $7,669,036.35 Date ired Fixed Income 46.00% of Portfolio (in Velum, Dale Sequence) 'Asset Backed Securities /GS M TO SECS CORP 2005.5F M TO PASSIM RU Security Identifier: 36212070 CTF CL 81 VAR 5.764% 06125135 8fE DTO 05101105 S8 P Rating B. Fador. 0.81809015 Effective Date:12102113 Current Face Value: 1,224,135.675 Please Provide' 1,500,000.000 N/A Fleas. Provide 91.2830 Original Cost Bans: Please Provide 1.117.127.77 N/A 5,880.75 Total Asset Backed Securities $0.00 $1,117,427.77 $0.00 0,660.75 60.00 1,500,000.000 Total Current Face Value : 1,221135.875 Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704519AE4 7.375% 1110111681E DID 10112106 1ST CPN DIE 05101107 CFN NAT SEMI ANNUAL Moody Rating BA2 $ 8 P Rating BB 05/10111 ..i2.13 1,200,000.000 107 1900 1.289.881 93 112.5000 1,350,000.00 60.11107 11,750.00 18,500.00 6.55% 0 nginal Cost Bans: 51.363,500.00 IPAYM ENT INC 610 SR NT Security Identifier: 46262EAE5 10.250% 05/15/18 B/E DID 11115111 CALLABLE 05/15/15 a 105.125 Moody Rating CAA1 S 6 P Rating CCC 10/02112 '.12.t3 500,000.000 90.7880 153.939.70 82.0000 110,000.00 .13,939.70 6,518.61 51,250.00 12.50% Original Cost Basis 5115100.00 KINDRED HEALTHCARE INC Security Identifier: 491580089 8.250% 06/01/19 WE DTO 06101/11 CALLABLE 06101111 0 106.188 Moody Rating 83 S8 P Rating B. 10102112'.12.13 1,000,000.000 99.6800 996,799.93 106.5000 1.065.000.00 68,200.07 6,875.00 82.500.00 7.71% Original Cost Bans: 5996,250.00 Page 4 014 $102.26 $358.76 $102.25 $356.70 Adjusted Unrealized Awued Estimated Estimated Quantit Unit Cost Cost Basis Market Price Market Value Gala/ Loss Interest Annual Income Yield 1'01 0SI54CSF3002:: ()RAW< 'I Account hum ber Mond f.eibied.nt GO PaPerleSS Se "" Ye. , in A aow DALlin• RAUD COMMUNICATIONS frAZE TnNFIDEN 1AL ""L' A.... IT I CI • Y rwr stroorass *amain mc esaA taut uc PROT40 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0011463 EFTA_00 159248 PROT3 PO Elm IMP alEIMME 2IN3 Portfolio Holdings (continued) Date Acquired Quartity Unit Cos Fixed Income (continued) Corporate Bonds (continued) PilORGAN CHASE 8 CO DEP SHSREPSTO 1110Th PFD SER 1 FIXED TO FUG RT BD 7.900% 04/19149 NE DTO 01123/08 Moody Rating BM Sd P Rating BBB 05110111 12,13 3,000,000.000 111.2850 3.337,958.33 110 2500 3.307.500.00 •30A56.33 39.500.00 237.000.00 7.16% Origins Cost Basis: $3.337,958.33 BANK AMER CORP PERP NON COM ULATIVE DEP Security Identifier: 0605050T8 %IS FIXED TO FLOAT 8.125% 04/30/58 NE DTD 04130/08 CALLABLE 05/15118 Moody Rating BA3 SE P Rating Eil3v 05110111 13,13 3.000.000.000 112.9870 3,389,620.83 111.8750 3.356.250.00 -33.370.83 31,145.83 243.750 00 7.26% Original Cost Bass. $3.389.610.83 Total Corporate Bonds $9,485,200.72 89,486,750.00 820,549.28 $98,819.44 8703,000.00 8,700,000.000 Total Fixed Income $9,168,10012 $10,606,177.77 $20,549.28 $104,700.19 $703,000.00 10,200,000.000 Unrealized Date knifed Quantity Unit Cod Cat Basis Market Pike Market Value Bain/ Loss Mnual Income Yield Adjusted Cost Basis Dralsre Ilan, Picnic wear, ma-urn., Maiests GOWN,* t0c..1. CesINIve . Sefton. rue New *A Olcks 341 Icarli MY,]lb I *cc Ms Vat WI Emu Po/ 45•4101.113Mn•-•09t Market Price Security Identifier: 46625HHA1 Market Value Unrealized Gain/ Loss Statement Period: 12/01/2013 - 12/31/2013 Accrued interest Mnual Income Yield Mutual Funds 21.00% of Portfolio JP MORGAN HIGH YIELD FUND SELECT CLASS Open End Fund Dividend Option: Reinvest; Capital Gins Option: Reinvest Security Identifier: OHYFX CUSP: 4812C0803 05110111 '.3 227,966.660 8.4230 1,920,262.95 7.9800 1,819,173.96 401,088.99 114,439.26 6.29% 06101111 '.3 3,706.904 8.3400 30,915.58 7.9800 29.581.09 -1,334.49 1,860.87 6.29% 07101111 '.3 3,428.920 82000 28,117.15 7.9800 27.362.78 -754.37 1,721.32 6.29% 08101111 '.3 3,595.321 8.2000 29,481.61 7.9800 28,690.66 490.98 1,804.85 629% 09101111 '.3 3,894.861 7.7700 39263.07 7.9800 31,080.99 811.92 1,95522 6.29% 10103111 '.3 3.822.176 7.1900 28,630.35 7.9800 30,503.36 1,873.01 1,91888 6.29% 11101111 3,513.891 7.8500 27,584.05 7.9800 28,040.85 456.80 1,763.97 6.29% 12/01111 '.3 3,918.776 1.6500 30,208.11 7.9800 31,511.22 1,303.08 1,98228 6.29% 12116111 '.3 7,928.226 1.5800 60095.96 7.9800 63,267.24 3,171.28 3,979.97 6.29% 12116111 1%3 1,859.579 7.5800 36,835.61 7.9800 38,779.43 1,943.82 2,439.51 6.29% 01103112 1%3 1,071946 7.6100 31,028.23 7.9800 32.494.12 1,465 89 2,044 12 6.29% Page 5 of 11 Account hum bar Raged rear m 00105151CSF3 0 0:2 MAP< c Go ixtperless Seven Years In A Raw OALIIAA FLAItO COMMONICATION/S CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. (e 67 41E O N F I DAENTIAL awls. wealth 'Was U.C. near sowed *Scarp *a mane m tram memeemmem mows ox pens aree SDW_GM_00048640 DB-SDNY-00 11464 EFTA_00159249 PROT4 Date A ired Ouantit Unk CoM Cod Balls Market Prig Market Valle Unrealized Gal& Leta Annual Income Yield Mutual Funds (continued) .P MORGAN HIGH YIELD FUND SELECT (continued) 02101112'.3 3,349.916 7.8000 28,129.35 7.9800 28,132.33 602.98 1.681.66 629% 03101112 3,559.172 7.9200 28,188.65 7.9800 28,402.19 213.54 1,788.70 629% 04102112 '.3 3.755.851 7.8900 29,633.67 7.9800 29.971.69 338.02 1,885.44 6.29% 05101112'.3 3.108.928 7.9200 21,622.71 7.9800 24.809.24 186.53 1.58068 6.29% 08101112 '.3 3,523.859 7.7600 27,345.15 7.9800 28,120.39 775.24 1,768.98 629% 07102112 '.3 3,493.412 7.8700 27,493.18 7.9800 27,877.42 384.26 1,75169 629% 08101112 '.3 3,637.695 7.9600 28,956.06 7.9800 21028.80 72.74 1,826.12 6.29% 09104112 '.3 3,630.438 8.0200 29,116.12 7.9800 28,970.88 -145.24 1,822.48 629% 10101112'.3 3,623.250 8.0800 29,275.86 7.9800 28,913.54 -382.32 1,818.87 6.29% 11101112 2,628.014 8.1000 21,287.11 7.9800 20,911.55 .315.59 1,31926 6.29% 12103112 '.3 2,575.903 8.1200 20,916.34 7.9800 20,555.72 -360.62 1,293.10 6.29% 12114112'.3 3.180.012 8.1700 25,980.70 7.9800 25,376.50 -604.20 1,596 37 629% 01102113'.3 3,144.163 8.1100 25,593.49 7.9800 25,090.41 -503.08 1,578.37 6.29% 02/01113 '.3 1,569141 8.2000 12,871.88 7.9800 12,526.53 -345.35 788.01 6.29% 03101113 '.3 1,511.590 8.2000 12,936.24 7.9800 12,589.17 -347.07 791.95 6.29% 04101113 '.3 1,614.304 8.2500 13118.01 7.9800 12,882.13 -435.88 810.38 6.29% 05101113 '.3 1,753.666 8.3600 14,860.65 7.9800 13.994.28 -666.39 880.34 6.29% 06103113 '.3 1,550.004 8.2700 12,818.54 7.9800 12,369.04 -449.50 778.10 6.29% 07/01113 '.3 1,604.052 8.0300 12,880.54 7.9800 12,800.34 .8020 80523 6.29% 08101/13 1,552.408 8.1300 12121.08 7.9800 12,388.22 -232.86 779.31 6.29% 09103113 ..3 1.700.764 8.0300 13,657.14 7.9800 13.57210 -85.04 853.78 6.29% 10101113 '.3 1.539.195 8.0700 12,421.09 7.9800 12,282.77 -138.32 772.68 6.29% Total Noncovered 326,409197 2,711146.30 2120,710.92 -95,435.38 161,86135 Retnvesiments to 12.018.739 8.0570 616,832.28 7.9800 95.909.60 -922.88 6,033.42 6.29% Date Total Covered 12,018.739 911632.28 95109.60 -922.88 6,033.12 Total 340,428.836 22,811976.58 32,716,620.52 -396,350.06 5170196.17 P MORGAN FLOATING RATE INCOME FUND Security Identifier: JPI1SX SELECT SI-ARES CUSP:481211510 Open End Fund Dividend Option: Reinvest; Capital Gains Oplion: Reinvest 01122113 '.3 198,216.056 10.0900 2,001000 00 10.1000 2,001,982.16 1,982.16 87,809.71 1.38% 02/01113 '.3 630.057 10.0670 6,342.92 10.1000 6,363.58 20.66 279.12 1.38% 03101113'.3 711.578 10.0600 7.158.48 10.1000 7,186.94 28.16 31523 1.38% 04101113'.3 789.547 10.1100 7,982 33 10.1000 7.974.42 -7.91 349.77 1.38% 05101113 751.550 10.1300 7,613 21 10.1000 7,590.66 -22.55 332.94 4.38% 06103113 757.360 10.0900 7,641.77 10.1000 7,649.33 7.56 335.51 1.38% 07101113 '.3 668.131 9.9700 1861 27 10.1000 6,748.11 86.81 295.98 1.38% 08101113 '.3 704.609 10.0600 7,088 37 10.1000 7,116.55 28.18 312.14 1.38% 09103113 709.175 10.0300 7,113 03 10.1000 7,162.66 49.63 314.16 4.38% 10101113 712.100 10.0240 7,137.85 10.1000 7,19221 54.36 315.46 1.38% Total Nonoovered 204,660.163 2,061,739.23 2,066,968.82 2,227.39 90,860.02 Page 6 of 14 VCI 0S454CSFI002: 1>riati•Cti I Account humber TI-E FAZE Go paiwrIeSS A... r. LtScl rx<ollent Seven Years In A Pow RAICOCOMMUNICATIONS It TONFIDENTIAL Owns. rowel. ...mouse Lit. • a•••• &ASO Sete Ti• NIS Of Alta 'Mt Mies 010.1IS Feat., "C •••••••• • S ••••C SONY GM_00048641 DB-S6NY-0011465 EFTA_00 159250 PROT5 PO Elm 1778, 8*.trraelJD2IN3 Draisre INN Ormie WAIN MuNenmi Mann, CONINT OAP PMUMW Sect MA IAN CON. Ns P.M Mask NUN km lerslat. 10IS4 VICN'+111.pepiNMmp Date Acquired Quantity Unit Cost Cod Bads Market Prim Market Value Unrealized Gain/ Loss Statement Period: 12/0112013 - 12/31/2013 Annual Income Yield Mutual Funds (continued) JP M ORGAN FLOATING RATE INCOM E FUND 'continued) Reinvestments to 1570.182 10.1070 15.872 18 10.1000 15,861.69 .10 49 695 71 4 38% Date Total Covered 1,570.162 15,872.18 15,01.69 -10.49 695.71 Total 206,220.826 12,080,511.41 12,082,828.31 12,216.90 191,355.73 Total Mutual Funds 0,893,589.99 $1,799,448.83 ,594,111.16 1262,250.90 Unrealized Mused Estimated Cot Bub Market Value Gain/ Loss bienst banal Income Total Portfolio Holdings 821,950,1127.06 122,994,662.95 -173,591.56 1101,700.19 061,509.60 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reposing rules set forth in the Internal Revenue Code of 1986. as amended (1RC') (incorporating amendments enacted by P.L110-313, 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 109913 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: Stock in a corporation acquired on or after January 1, 2011 Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 Other securities, principally debt securities and options, acquired on or after January 1. 2013. or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydovins. The method of calculation is based upon the type of hod income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default. index4inked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Unreabzed gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by multiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page? of t4 Account hum bet Raged I V A N,.n, PC10$454CSF10022 APAR elli Go paperless s- VAN. IAA Raw MIAMI IMItO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. e P. 6: 1-E: 42E It N F I D I AL LAC IT LOCI deeded enegh Penle•4110.••••••••••141•Wegage• twee. "C deVresda drag Seed SONY GM_00048642 DB-S6NY-0011466 EFTA 00159251 PROT6 M essa•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 0WS Investments website at https://vmw.dws-investments.convEN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual hind. 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 investment professional for additional information. Effective January 1, 2014, service and account-related fees will be adjusted as follows: Trade confirm service charge: $6.00 per trade Annual IRA fee: $50 IRA termination fee: $95 Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security Foreign safekeeping fee: $6 per position, per quarter To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program Investments Changes in Program Banks have taken place which require your attention. For a list of Program Banks, please visit htto://veiwithern.db.corNarnericasien(CashSweeriOotions.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Activity Summary (All amounts shown are in base currency: USD) Credits Ibis Period Yeardo-Dele Debits This Period Year.to.Date Securities Securities Secunbes Bought 0 00 0 00 Securities Bought -92,07689 -112,701.16 Total Securities $0.00 $0.00 Total Securities -892,07619 -$112,701.16 Dividends and Interest $61,389.75 $392,165.05 $0.00 $0.00 Distributions $72,098.11 $72,098.11 Distributions $0.00 $0.00 TaxesWithheld $0.00 $0.00 Taxes Withheld $0.00 .$1.10 Cash Cash Deposits 571.206 85 7.237.182 05 Deposits 0.00 0 00 Total Cash $571,206.85 $7,237,1$2.05 Total Cash $0.00 $0.00 $0.00 $1.10 -$612,617.82 .S7,09,040.75 Total Credits $701,691.71 $7,701,749.81 Total Debits -$701,691.71 -$7,701,719.61 Page 8 of 14 ei,10S154CSF3002: 11-6 FAZE Account Burn ber [Wed rmal t Go paperless. Seven Year. MA Rave A• • I i• len OALSAft *AIM COMMUNICATIONS Tt I ON FIDEN 1AL arse= heernoip ual•SN•rain••••••••••••7 e .or N'ark Seen C••••••••••can ••••.4.0 Owasvot•C ..•••... • *OA vv. niC SONY GM_00048643 DB-S6NY-0011467 EFTA (H) 159252 PROT7 PA Gat 1770. Earreme 0.021243 0totiCW Balit Prmale Weith Maatenmi Marlin COM ape CoMP 1)0•110.4 Is* Senonel Nee MM o. US Part /what Ilith I ter Beath* PM 10114 PO/ 4544M. WSW 71•4095 Transactions by Type of Activity Process/ Settlement Date Aahr •e Desai ion Ouanf Price Statement Period: 12/0112013 - 12/31/2013 Accrued Interest Amount 0:1 Securities Bought and Sold 12102/13 REINVEST CASF INCOME P MORGAN FIGF YIELD FUND SELECT CLASS 330047 9520 1.609490 -13.201.92 USD 0I•YFX *IRS SHRS PURCH AT 58.20000 RD 11127 PD 12/02113 12102113 REINVEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT SNARES 670.313 •6.776.86 USD PHSX 205359.3470 S -RS SHRS PURCH. AT S10.11000 RD 11127 PD 12/02/13 12/13/13 REINVEST CASF INCOME PMORGAN HIGF YIELD FUND SELECT CLASS 331657.9420 7.653.421 11.227.37 USD OFVFX SHRS SHRSPLRCH. AT 68.00000 RD 12/11 PO 12/13113 12/13/13 PMORGAN HIGH YIELD FUND SELECT CLASS 331657.9420 1,117.273 -9,938.18 USD OFVFX SHRS SHRS PORCH. AT 58.00000 RD 12/11 PO 12/13113 12/13/13 P MORGAN FLOATING RATE INCOME FL ND SELECT SHARES 91.207 -923.01 USD PHSX 206029.6600 SHRS SHRS PURCH. AT 510.12000 RD 12111 PO 12/13/13 12/13/13 P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 99.758 -1.00955 USD PHSX 206029.6600 SHRS SHRS PURCH. AT S10.12000 RD 12111 PD 12113/13 Total Securities Bought and Sold - UNITED STATES DOLLAR 0.00 -92,07619 Securities Withdrawals and Deposits 12/13/13 SECURITY RECEIVED GS MTG SECS CORP 2005-5F MTG PASSTFRU CTF CL 61 VAR 1.500.000.000 0.00 USD 3624207X5 5.764% 06/25/35 WE DID 05101105 0902 PMCBNA NC P 72500 Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 12/02/13 CASH DIVIDEND RECEIVED PMORGAN HIGH YIELD FUND SELECT CLASS 330017.9520 13.201 92 USD OHYFX SHRS RD 11127 PD 12102113 12/02/13 CASF DIVIDEND RECEIVED .P MORGAN FLOATING RATE INCOME FUND SELECT SHARES 6,776 86 USD PHSX 205359.3470 SF RS RD 11127 PD 12/02/13 Page 9 of 14 Accounl A um bet Fuo.ci x<ollent DRAB Cu Go paper Seven Years In A Rove THE FAZE °Alamo mico COMMUNICATIONS TC, Fs°O N F I DtiCriaiAL OWN. ••••••••• Lit. • wear sore talin 40 name✓ Nos vaniesencemeascainarer• Parti i" raisin SONY GM_00048644 DB-S6NY-0011468 EFTA_00 159253 PROT8 Transactions by Type of Activity (continued) Process/ Settlement Date Adivih Tvoe D I Ouantit Price Accrued Interest Mont Ca Dividends and Interest (continued) 12102113 BOND INTEREST RECEIVED 1000000 KINDRED HEALTHCARE IhC 8150% 06/01119 B/E 41250.00 USD 194580A09 DTD 08101/11 CIS RD 11115 PD 12101113 12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST CREDITED 160 97 USD DEPOSITS INTEREST RECEIVED 458997996 Total Dividends and Interest • UNITED STATES DOLLAR 0.00 61,389.75 Distributions 12/13/13 LONG TERM CAPITAL GAIN ,I3 MORGAN HIGH YIELD FUND SELECT CLASS 331657 9420 61.227.37 USD DISTRIBUTION SHRS RD 12111 PD 12/13/13 O PO 12/13/13 SHORT TERM CAPITAL GAIN ,P MORGAN HIGH YIELD FUND SELECT CLASS331557 9420 8,938 18 USD DISTRIBUTION SHRS RD 12111 PD 12113/13 O FYFX 12/13/13 LONG TERM CAPITAL GAIN 1,009 55 USD DISTRIBUTION 206029 6600 SF RS RD 12111 PD 12113/13 -PHU 12/13/13 SHORT TERM CAPITAL GAIN 923.01 USD DISTRIBUTION 206029.6600 SHRS RD 12111 PD 12113/13 ..PFSX Total Distributions • UNITED STATES DOLLAR 0.00 72,098.11 Cash Withdrawals and Deposits 12/23113 FEDERAL FUNDSRECEIVED ,t, M °RCM% CHASE BANK 48227 571,206.85 USD 050999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 571,206.65 12/03/13 FDIC INSURED BANK DEPOSIT -41.250 00 USD US0999997 12)13/13 INSURED DEPOSITS INTEREST REINVESTED .160.97 USD REINVESTED 458997996 12/24/13 571.206.85 - USD USD999997 Total FDIC Insured Bank Deposits- UNITED STATES DOLLAR 0.00 412,817.82 Total Value of Transactions o.00 o.00 The price and quantity displayed may have been rounded. Page 10 of 14 Account Number Go paperless FAZE CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) TCONFIDE\ITIAL TI-E R••••el rx.collent CALM" RATIO COMMONICATIONS LXCIILDC( ars. nao••••••••ut. ei name wolow vets wows canoes isms Par. "c oases on ea sec SONY GM_00048645 DB-S6NY-0011469 EFTA (()159254 PROT9 PC. Bea 1176, Bat -OM MD2'2O3 Bond Maturity Schedule Gnaw e Sam mule Wealth Mmatentm Natoli CoNfatp Comp CeIrts4N Is* Mclean Hc. Now Wart 0Pto Ha Ear% Mask 26th I kw lislat. PM ICIM IIE )YEp1S Bond Maturity Market Value % of Bond Market Value I to 5 years 1.760,00040 17% 0 6 to 10 years 1465400.00 IC% Over 10 years 7,781,177.77 73% LI Total 10,806,177.77 100% Bond Quality Bond Quality Market Value % of Bad Market Value BAILower 10408,177.77 100% Percentages of bond market values are Total 10,806,177.77 100% rounded to the nearest whole percentage. You are 100% invested in bonds with a bond quay of BA/Lower. Statement Period: 12101/2013 - 12/31/2013 Percentages of bond market values are rounded to the nearest whole percentage. Client Service Information Your Client Advisor: TDS Contact Information TAZIA SMITh 345 PARK AVENUE 14Th FLOOR NEW YORK KY 10154 Your Account Information Telephone Number: (212)454.2689 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: Electronic Delivery You have not selected any account tom m unicabons for electronic delivery. To register and turn off paper communications, log in to your account or contact your Client Advisor for more information. Page11 of 14 Account N urn ber R•••d f AceMent 0.400.00 ••••0110.1410040.1.0. • WYO. 000.0.1.010,1 B010/154CSF300:2 I )1U1 II C t i I Go paperless S".•"^ Ye.s In A Rn., Ile MM.= NM. .••• OM.. •.••r..~m+..m.• ThE FAZE T ONF I DA5NTIAL EMIL1p RATED COMMUNICATIONS ""•• EXCELLENCE ,arr••,It< •••••••••••11A Pala •wC SONY GM_00048646 DB-SDNY-0011470 EFTA_00 I 59255 PROT10 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 have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A"' and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and 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 vnvotpershing.corrvbusiness_continuity.htrnt for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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. 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 km. In order to assist your introducing firm in maintaining cement 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, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause. or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Ponta') Holdings section. 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 a 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. Page 12 of 14 Account hum ber. BO105151=3 0 02: GO paperless s-et4 v7:47.4. Rce. TFE OALSAll LOCO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) hAZE TdO N F I Darr' AL: 0140011.•••••• POSI•40.1.0. • Vi•••• •••••• MISS, ne .01.• To.. asamewpOGSISIT M.Of • OwnsIol L C O a A P a r s e c SDW_GM_00048647 DEt-SDNY-0011471 EF'FA_00159256 PROT11 Oralute Wm. Poule Weilh Ma.igental Minns Corey, WPp DMUS ele* Senn% MC. /14.1brt Mar NI Par% /Mist 211Mccr liesllat. PM 10154 • •)••••••• ass) au•on Statement Period:12101/2013 - 12/31/2013 Important Information and Disclosures (continued) The Role of Pershing (corninued) 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. FOe 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 lilt. For more detailed information please visit: www.pershing.corWstrength_stability.html. This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing Ike: Legal Department; One Pershing Plaza: Jersey City. New Jersey 07399 (201)413-3330. Errors and Omissions excepted. Important Arbitration Disclosures All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Ned. Arbitration awards are generaly final and binding; a partys ability to have a court reverse or modify an arbitration award is very lirrited. 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. M 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 Writs for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershin's contact information is as follows: Pershing U.C., Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-33X. Pagan of It Account hum ber Rano., I xe•Thint B0105151CSF300:2 Go paper less or 't , enVe.., in A Pow ThEI - AZE TC' D A 5N11 AL: DALIAN RATIO COMMUNICATIONS ON FI CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) imcw.Lrwcr 0.404.0 •••••••••••••miLLO. • wear ese••••••••••4 ei Tana anieactort roan eawas•amin mow e•••••••t" taws nal. ran VC PROT41 DI3-SDNY-0011472 EF'FA_00159257 PROT12 TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SHALL BE SUBJECT TO THE CONSTITUTION. RULES. REGULATIONS. CUSTOMS. USAGES. RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY, IF ANY, WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLCABLE LAWS NC REGULATIONS • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL. SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE IF YOU HAVE WRITTEN OPTIONS WHICH HAVE BEEN EXERCISED. FREE CREDIT BALANCES: ANY FREE CREDIT BALANCE CARRIED FOR YOUR ACCOUNT REPRESENTS FUNDS PAYABLE UPON DEMAND WHICH. ALTHOUGH PROPERLY ACCOUNTED FOR ON PERSHINGS BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OE THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REOUIRED TO PROVIDE TAX INFORMATION TO THE INTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX INFORMATION STATEMENT TO YOU: USE THAT STATEMENT TO PREPARE YOUR TAX FILINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS Of' THE DISTRIBUTION 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 TAX ADVISORS TO DETERMINE THE APPROPRIATE TAX TREATMENT OF THEIR BUSINESS. GENERAL INFORMATION • WHENEVER YOU ARE INDEBTED TO PERSHING LLC (*PERSHING') FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC CR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS: ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE INDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECUFUTES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. TERMS AND CONDITIONS • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSMONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL INSPECTION AT PERSHINUS OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: YWYVV.PERSHING.COMMUSINESS_CONTINUITY.HTML • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 607(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES, ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN Of THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. IN ADDITION PERSHING MAY EXECUTE CERTAIN EOUITY ORDERS AS PRINCIPAL. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING USTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS, TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR IF THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABILITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE N1380 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. IF ANY OF THE *BOW TERMS ARO COGIOCINS ARE UNACCEPTAELE TO YOU. PLEASE NOISY WRONG IIALEDIAIELY N WHOA* BY CERTIFIED AWL TOONE PERSHING PLAZA. JERSEY CITY. AU 07300. ATM LEGAL CCITT Page 14 of 14 B0I0NISICSF30022 1)14911•C I Account Number: Go paperless FAZE TrONFIDninAL ME Ralird TAA•lione Seven Years In A Row (MIAMI MUD COMMUNICATIONS LAC IL WC( LW.: Were •••••••• MAC. relear &NW, ••••.1.04, SONYGM_00048649 DB-SDNY-0011473 EFTA_00 159258 PROT13 PA So, 1771 BM 'row a.021Ø Devistie Ran, Ponie wean Ma.tenan ~urn Corry* w. Dtauht prr •MC. Raw bet Oillor Sla Part •wwwor. 3Mhr Ica Now luen Irt 10114 IMI454.7111.(M)211409% THE HAZE TRUST UAD 02/09/99 Valuation at a Glance Account Num ber: Statement Period: 11/0112013 - 11/30/2013 This Period Year-to-Date Beginning Account Value $21,020,981.35 $0.00 JEFFREY EPSTEIN & DARREN It 1NDYICE TTEES Net Cash Deposits and Withdrawals het Securities InlOut of Account 012 0.00 6.665.975 14,077 171 20 39 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 21,029,981.17 20,713,146.59 ST THOMAS VI 00802 Dividends, Interest and Other Income 212,560 63 331.075 30 Total Taxes Withheld 000 -4 40 lin i nzn A el Chan e in Portfolio 952.64 160,11 25 Your Client Advisor: Estimated Annual Income S959 855.99 TAM SMITH (2l2l 154-2889 Asset Allocation Prior Year-End Lad Period This Period % Allocation 050 Cash, Money Funds. and Bank Deposits' 0.00 6,781,185.35 6,976,118.53 32.85% USD Fixed Income 0.00 11,236,196.00 11,258,076.21 67.15% I Account Total (Pie Chart' $0.00 621,020,981.35 $21,231,491.71 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured bark depoets are not securities and are rot covered by the Securities Investor Protection Corponston (SIPC). These bank decants are covered by tr* Federal Depost Insurance Corporation (FDIC). up to allowable limas. See page 2 ol ths statement lo' important donation regarding the Asset Alocaton section. Pie Chart allocation only Ind udes products that are or positive value. Pagel of 13 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Go paperless CONFIDENTIAL ~Rd m<SII•nt Sven Yeas In^ Row OALIIMI *AIM COMMUNICATIONS CRC ~CC 0.~.~» •••••• carnealle, ei name men. us.. ~ea ~nay, ~fa, us ins Fs ran sec SDW_GA4_OOO4r365O DB-SDNY-00 11474 EFTA_00159259 PROT14 Asset Allocation Disclosure and Footnotes Fored Income contains Faed Income Mutual Funds. Summary of Gains and Losses Realized WeiReed This Period Year-to-Date Short-Term Gain/Loss 0.00 0.00 5.139.32 Long•Term Gain/Loss 0.00 000 .18.559.04 Net Gain/Loss 0.00 0.00 .13,419.72 This summary excludes transactions where cost basis information is not available. For Your Inform ation Go Papedess. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Weakh Management clients. Sign up today at WAw.myedocumentsuite.com for this easy, convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at M-776-7564. Deutsche Bank will change certain service and account-telated fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits Account N um ber: 1446024943 Activity Ending: 11129(13 11101113 Opening Balance 6,784,485.35 6,784,485.35 11104/13 Deposit DEPOSIT 44,250.00 6.828.735.35 11115/13 Deposit INTEREST CREDITED 183.06 6.828.918.41 API 0.03% 1108113 Deposit DEPOSIT 141,500.00 6.976.418.41 Associated Bank NA NO 11/18 $250000.00 BUT NO 11/18 $250000.00 Deutsche Bank NO 11/18 $4726418 4 East West Bank NO 11/18 $250000.00 KY Community Bank NO 11/18 S251000.00 Citizens Bank NO 11/18 $250000.00 Page 2 of l Account Number. Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) FAZETFILSTO N F I DanivaiAL IFE Roo*. 1.noll•nt OALSAA RwleD COMMUNICATIONS DOC MEW{ Penn., 01•040/ OWNS' 00,11.1.0,1 SDW_GM_00048651 DIEt-SDNY-00 11475 EFTA_00159260 PROT15 pa Bev 7771 Barrow NO 21203 FDIC Insured Bank Deposits (continued) Date Activity Type Description Draiso e Gana Prra *math Maatenmi Mieetts I ore/4e Ct.. Chische Sank Settann Mak Wei Once Ha Pin AIIPOOP. !talker Mrs, vest ItY IOVA (M)CA.Mil. MSS, 211.409S Statement Period: 1110112013 - 11/30/2013 Amount Balance Sweep FDIC Insured Bank Deposits (continued) (continued) 11/29113 Deposit 11129113 Closing Balance $6,978,416.53 Texas Capital Bank NO 11/18 3250000.00 TnSlate Capital Bank NO 11/18 3250000 00 Union Bank of CA NO 11118 3250000.00 Com enity Bank NO 11118 3250000.00 DEPOSIT 0.12 6 976 418 53 96,976,418.53 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposts at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership Mcluding individual retirement accounts and certain other self dieted 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 Other Dividends 112.502.57 0.00 261,002.57 0.00 Interest Income Bond Interest 69,875.00 0.00 69.875 00 0.00 183.06 0.00 197 73 0.00 Total Dividends, Interest, Income and Expenses $212,560.63 30.00 $331,075.30 80.00 Page 3 of 13 Account bum bet. Go paperlesS ThE e\ FAZE ONFID MAL R.Spd rx<ollent OAL*Arn ItAlt0 COMMUNICATIONS I.XC 0140110.1•••••••••••••••• tat. • ••••• sore •••••Mwr ie name ors v••• worn cemeneasten mass Owns., I ens As fa lain SONY GM_00048652 DB-S6NY-0011476 EFTA_GOI 59261 PROT16 Portfolio Holdings Activity Opening Date Quantity Account Number Ending Cash, Money Funds, and Bank Deposits 33.00% of Portfolio 11101(13 6.976 418 530 N40024943 Total Cash, Money Funds, and Bank Deposits Opening Balance Closing Balance Accrued Income Income Ns Year 30•Day Current Yield Yield 11129113 6,784.485.35 6,976,418.53 80.30 197.73 N/A N/A 56 784 486.36 II 978 418.63 $4,784,485.35 16,978,418.53 380.30 380.30 $197.73 $197.73 Accrued Interest Date ired Fixed Income 45.00% of Portfolio (in Matunty Dale Sequence) Corporate Bonds PEABODY ENERGY CORP SR NT 1.315% 11101116 8/E DID 10/12/06 1ST CFN 0TE05/01/07 CFN NT SEMI ANNUAL Moody Rating BA2 S 8 P Rating 88 05110/11 ..12.13 1,200,000.000 Quantit Unit Cost Adjusted Cost Basis Market Price Market Value Unrealized Gala/ Loss Annual Income Yield 107.6980 Original IPAYM ENT INC GTD SR NT 10.250% 05115/1 8 8/E DID 11/15/11 CALLABLE 05115/15 105.125 Moody Rating CAA1 S 8 P Rating CCC. 10102/12 '•12.13 500.000 000 90.6580 Original KINDRED HEALTHCARE INC 8250% 06101/19 8/E DT0 06/01/11 CALLABLE 08101/14 0 106.188 Moody Rating B3 S 8 P Rating B- 10/02112 '.12.12 1,000,000.000 99.6760 Original FM ORGAN CHASE 8 CO DEP SHSREPSTG 1110TH PFD SER 1 FIXED TO FLTG RT BD 7.900% 04129149 B/E DTO 04123108 Moody Rating BA1 S8 P Rating BBB 05110111 12.13 3,000,000.000 111.2650 Original BANK AM ER CORP PERP NON CON ULATIVE OEP SFS FIXED TO FLOAT 8.125% 04/30/58 B/E DTD 04/30/08 CALLABLE 05/15118 Moody Rating BA3 SE P Rating BB+ 05/10111 12,13 3,000,000.000 112.9870 Security Identifier: 704549AE4 1,292,351.59 112.7500 1,353,000.00 Cost Basis: 31,363,50010 Security Identifier: 46282EAE5 453.291 02 76.0000 Cost Ban 5445 000 00 Security Identifier: 494560A89 395,000 00 996.761.06 106.7500 1,067,500.00 Cost Bass: $996.250.00 Security identifier: 46625HHA1 3,337,958.33 110.5000 3,315,000.00 Cost Basic $3,331,958.33 Security Identifier 0805050 T8 3 389 620 83 111.5000 3,345,000.00 e" D 9 01350CSF30015 DRAP.C.0 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 60,648.41 •58.291.02 70,738 94 .22,958.33 .44,620.83 7,129.17 2.135.42 41,020.83 19.750.00 10.156.25 88 500 00 654% 51,250.00 12.97% 82,500.00 7.72% 237,000.00 7.14% 213,750.00 7.28% Page 4 of 13 Account Awn bar Rioted Ye... Inc...Nett 11-E FAZE TIZ.ST Go [miseries% Siwen RAM SAWA O COMMUNICIMONS CONFIDENTIAL I" ` a Coenotoarseit PaSistu.O. • ors,. worms ••••••••• or no woo go mos vas roan espies mews Maw 'Sc owed rye^ si.0 SONY GM_00048653 DB-S6NY-0011477 EFTA_00 159262 PROT17 PO &e. 1776, earrov MO 21N3 Dralsre flint innie Yne1016rrn,m Mantillt COM afe COMP CeettOw W Setto biC. New MOS°. 30 Pr% MY, 214, I ker. Ms Vat WI 10114 P ,2)45441111. Ira M409, Statement Period: 1110112013 - 11130/2013 Adjusted Unrealized Accrued Date Acquired Quantity Unit Cod Cost Basis Market Price Market Valle Gain/ Loss Interest Mnual Income Yield Fixed Income (continued) Corporate Bonds (continued) BANN AM ER CORP PERP NON COM ULATIVE DEP (continued) Original Cost Baas: 33,389,620.83 Total Corporate Bonds $9,469,982.83 $9,476,600.00 $5,517.17 $110,191.67 $703,000.00 8,700,000.000 Total Fixed Income $9,469,982.83 8,700,000.000 Date ired $9,476-000.00 $5,517.17 Unrealized Quantit Unit Cod Cod Basis Market Price Market Value Gain/ Lou $80,191.17 $703,000.00 Mnual Income Yield Mutual Funds 22.00% of Portfolio P MORGAN HIGH YIELD FUND SELECT Security Identifier: OHYFX CLASS CD 4812C0803 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 05110111 227.966.660 8.4230 1,920,262.95 8.2000 1,869,326.60 -50.936.35 114,439.26 6.12% 06101/11 %En 3,106.904 8.3400 3-0916.58 8.2000 30,396.61 -518.97 1,86087 6.12% 07/01111 '.3,12 3,428.920 82000 28,117.15 8.2000 28,117.15 0.00 1,721.32 6.12% 08101111 3,595.321 8.2000 29,481.64 8.2000 29,481.63 -0.01 1,80485 6.12% 09101111 '.3.12 3,894.861 7.7700 30,263.07 8.2000 31.937.85 1,674.78 1,95522 6.12% 10/03111 '.3,1t 3,822.476 7.4900 28,630.35 8.2000 31,344.31 2,713.96 1,918.88 6.12% 11101;11 '.3.12 3,513.891 7.8500 27,584.05 8.2000 28,813.91 1,229.86 1,76397 6.12% 12/01/11 '.3.12 3,948.776 7.6500 30,208.11 8.2000 32,379.96 2,171.82 1,98229 6.12% 12/16/11 '.3.12 7,928.226 7.5800 60,095.96 8.2000 65,011.46 4,915.50 3.979.97 6.12% 12116/11 '.3.12 4,859.579 7.5800 36,835.61 8.2000 39,848.55 3,012.91 2,439.51 6.12% 01/03112 '.3,12 4,071.946 7.6200 31,028.23 8.2000 33,389.98 2,361.73 2,044.12 6.12% 02/01/12 '.3.12 3,349.916 7.8000 26,129.35 8.2000 27,469.32 1,339.97 1,681.66 6.12% 03/01/12'•3.12 3,559.172 7.9200 28,188.65 8.2000 29185.20 996.55 1,786.70 6.12% 04/02112'AM 3,755.851 05/01/12 '.3.12 3,108.928 7.8900 7.9200 29,633.67 24,622.71 8.2000 8.2000 30.797,97 25,493.22 116410 870.51 1,885.44 6.12% 1,560.68 6.12% 06101/12',3.12 3,523.859 7.7600 27,345.15 8.2000 28,895.65 1,550.50 1,768.98 6.12% 07101112',3,12 3.493.412 7.8700 27,493.16 8.2000 28,645.98 1,152.82 1,753-09 6.12% 06/01/12'•3.12 3,637.695 7.9600 28,956.06 8.2000 29,829.11 873.05 1,826.12 6.12% 09104/12'•2,12 3,630.438 8.0200 29,116.12 8.2000 29369.59 653.47 1,822.48 6.12% 10/01112 '.3,12 3,623.250 8.0800 29,275.86 8.2000 29,710.65 434.79 1,818.87 6.12% Pape 5 of 13 P.C.09•1350CSF30015 DRAS.0 to t aroma. Oneel. U.C. • 'Aar cord "*".464, cans= ann. worn ass tan roes roes. t" 'rare essagar sin SONY GM_00048654 DB-S6NY-0011478 EFTA_00 159263 Account Kum bet ThE hAZE Trb N F I DAEN ILA Lt was" RAIwwmmunicATI°Ns Go paperless se.".., Yeas inn Row ExCELLIPCI PROT18 Date A ired Ouantit Unit Cod Cost Basis Market Price Market Value Unrealized Galn/ Loss Estimated Annual Income Estimated Yield Mutual Funds (continued) P MORGAN HIGH YIELD FUND S LECT (continued) 11101112 'An .628B14 8.1000 21.287.14 8.2000 21.549.71 262.57 1,319 26 6.12% 12103112 '.3,12 ,575.903 8.1200 20,916.34 8.2000 21.122.40 206.06 1,293 10 6.12% 12114112'.3.12 .180.012 8.1700 25.980.70 8.2000 26.076.10 95.40 1.596 37 6.12% 01102113 '.3.12 .144.163 8.1400 25,593.49 8.2000 25.782.13 188.64 1.578 37 6.12% 02101113 '.3.12 .569.741 8.2000 12.871.88 8.2000 2,811.88 0.00 788 01 6.12% 03101113 '.3.12 .577.590 8.2000 12,936.24 8.2000 2.936.23 -0.01 791 95 6.12% 04101113 .614.304 8.2500 13,318.01 8.2000 3.237 29 -80.72 810.38 6.12% 05/01113 ,753.666 8.3800 14.660.65 8.2000 4,380.07 -280.58 880.34 6.12% 06/03113 '.3.12 .550.004 8.2700 12.818.54 8.2000 2,710.03 -108.51 778 10 6.12% 07101113 '.3.12 .604.052 8.0300 12,880.54 8.2000 3,153.23 272.69 805 23 6.12% 08101113'.3.12 ,552.408 8.1300 12,621.08 8.2000 2.729 74 108.66 779.31 6.12% 09/03113 '.3.12 .700 764 8.0300 13,657 14 8.2000 3.946 26 289.12 853 78 6.12% 10101113 '.3.12 .539.195 8.0700 12,421.09 8.2000 2.621.40 200.31 772 68 6.12% Total Noncovered 328,409.897 2,716,148.30 2,69 ,961.15 -23,185.15 164,861.76 Reinvestm enls to 1.638.055 8.2200 13.464.81 8.2000 3.432 06 -32 75 822 31 6.12% Date Total Covered 1,638.055 13,464.81 13,432.06 -32.76 622.31 Total 330,047.952 $2,729,611.11 $2,706,393.21 -$23,217.90 $165,684.07 P MORGAN FLOATING RATE INCOME FUND Security Identifier: JRIISX SELECT SNARES CL SIP 48121L510 Open End Fund Dividend Option: Reinvest; Capital Gans Oplion: Reinvest 01122113 '.3.12 198.216 056 0.0900 2.000.000 00 10.1100 2.003.964 32 3.964.32 87,809.71 4.38% 02101113 %LH 630.057 10.0670 6.342.92 10.1100 6,369.87 26.95 279.12 4.38% 03101113 711.578 10.0600 7,158.48 10.1100 7,194.06 35.58 315 23 4.38% 04101113 '.3.12 789.547 10 1100 7.982 33 10.1100 7,982 32 -0.01 349 77 4.38% 05/01113 '.3.12 751.550 10.1300 7.613.21 10.1100 7,598.17 .15.04 33294 4.38% 06103113 '.3.12 757.360 10.0900 7.641.77 10.1100 7,656 90 15.13 335.51 4.38% 07101113 668.131 9.9700 6,661 27 10.1100 6,754.80 93.53 295 98 4.38% 08101113 704.609 10 0600 7.088 37 10.1100 7,123 59 35 22 31214 4.38% 09103113 '.3.12 709.175 10.0300 7.113 03 10.1100 7.169.77 56.74 314 16 4.38% 10/01113 '.3.12 712.100 10.0240 7.137.85 10.1100 7,199.33 61.48 31516 4.38% Total Noncovered 204,850.183 2,064,739.23 2,089,013.13 4,273.90 90,860.02 Reinvestments to 709.184 10.1000 7 162 76 10.1100 7.169 87 711 314 17 4.38% Date Total Covered 709.184 7,162.78 7,169.87 7.11 314.17 Total 205,359.347 $2,071,901.99 $2,076,153.00 $4,281.01 $90,974.19 Total Mutual Funds $4,801,513.10 64,782,578.21 -$18,938.89 6258,858.28 Unrealized Accrued Estimated Cod as Market Value Gain? Loss Interest Annual Income Total Portfolio Holdings 621,247,914.46 $21,234,494.74 -$13,419.72 $80,191.67 $959,855.99 Page 6 of 13 Account um ber Go paperless FAZE Tt, N FIDENTIAL ThE Rawdfmcolont SoverreeawskvARow OALSAANLICOCOMMUNICATIONS rir LW. yeah ...I •••••Mwt GONY_GA4_OOO4865.5 DEt-SDNY-0011479 EFTA_00I 59264 PROT19 Draisre Sant Poetic Wee., 44.2tentai Marats Cowen* 0 ,Cap Ctstuh• 60* Settort Norelbrt0,10• 341 Par% Nowt !Uhl/c! lerollat. PM 10114 PO) 4544110.111$517044095 Statement Period: 1110112013 - 11/30/2013 Footnotes ' Noncovereo under the cost basis rules as cetined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered " noncovered," under the new cost basis reporting rules. and marked or denoted as such. 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 an 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 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, 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 13 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the deivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. M essages Please note the following information for Pershing's 2013 IRS Forms 1099 (8, DIV, INT, OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31. 2014. By February 18, you Will receive either your 1099 form ore special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mated no later than March 17, 2014. 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 investment professional for additional information. Federal Deposit Insurance Corporation (FDICHnsured Bank Deposits are not protected by Securities Investor Protection Corporalion(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https:/Nnwrdws-investments.convEN/products/money-market-funds-yieldsjsp. Please note that all money market funds bsted on the website may not be offered through us. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Pagel of 13 Account Num ber R.••••cl rx<ollent 11009MCCSF3C01: Go paperless Sten ',ems In A Pew TI-E FAZE A W • ,ist tinny' OALSAA ItAlt0 COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Tb STONFID TIAL u" WOK( Owing Ont.U.S.0110. • ••••• wood •••••••••• wa• maw vett urea erp•••••• =some •••••••tuc *rag •••ta tan sec SDW_GA4_00048656 DB-SDNY-0011480 EF1'A_00159265 PROT20 M essages (continued) Changes in Program Banks have taken place which require your attention. For a lust of Program Banks, please visit httn/Awnvnwrn.db.comfamericasieniCashSweepoolions.html or contact your Client Advisor. You should advise us of Program Banks with vAiom you carry depost accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1. 2014, service and account-related fees evil be adjusted as follows: Trade confirm service charge: $6.00 per trade Annual IRA fee: $50 IRA termination fee: $95 Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security Foreign safekeeping fee: $6 per position, per quarter Go Papedess. Electronic delivery of certain account communications is now available. Sign up today at wenv.myedocumentsuite.com for this easy and convenient way to access al of your account information. Eliminating paper delivery of all your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. Activity Sum m ary (All amounts shown are in base currency: USD) Cred is This Period Year-to-Date Debits This Period Year-to-Date SCCUMICS Securities Secur.ties icLgnt 0 00 000 Securities Bought -20,627.57 -20,627.57 Total Securities $0.00 $0.00 Total Securities -$20,627.57 ,420,627.57 $212,560.53 $331,075.30 $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld $0.00 -54.40 Cash Cash Deposits 0.12 6.665.975.20 Deposits 0.00 0.00 Total Cash $0.12 $6,605,925.20 Total Cash $0.00 $0.00 $0.00 $4.40 -0191,933.10 -$6,976,122.93 Total Credits $212,560J5 $6,991,054.90 Total Debits -$212,660.75 -$6,997,054.90 Page 8 of 13 BOO 9013•ACSF30 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) AlE 'to N F I DAENTIAL: Account Number Rased rx<ollent Go paperless Seven Ved,IS In A Pow OALSAA RAILOCOMMUNiCATIONS EXCEILUCE er evrtat Ponnise tail • radar ••••••••••••••• •••••••"c was ow* row sec PROT42 DEt-SONY-0011481 EFTA_00159266 PROT21 MB= 1771 BA now NO 21203 Transactions by Type of Activity Process! Settlement Date Atm e Desai ion Dnitio< SIM Pr male Wall, Maarnmil Marlin COVeate 4,0.P De•Whe Ye* Settaen Nee Oltc• M Part AMIGO. 3*11. Ice" PM 10104 P V10S0d¢ inSlasnon Securities Bought and Sold 11/01/13 OFYFX 11/01/13 "IX P MORGAN HIGH WELD FUND SELECT CLASS 328109.8970 SHRS SIRS RACK. AT 18 22000 RD 10130 PD 11101113 P MORGAN FLOATING RATE INCOME FL AD SELECT SNARES 204650.1630 915 SHRS PORCH. AT $10.10000 RD 10130 PD 11/01/13 Duanf 1.638.055 709.184 Statement Period: 1110112013 • 11/30/2013 Price Accrued Interest Amount ON -13 464 81 USD .7.162 76 USD Total Securities Bought and Sold • UNITED STATES DOLLAR Dividendsand Interest 11/01/13 CASH DIVIDEND RECEIVED FYFX 11/01/13 CASH DIVIDEND RECEIVED PHSX 11/01/13 BOND INTEREST RECEIVED 704549AE4 11/15/13 CASH DIVIDEND RECEIVED 0605050T8 11/15/13 11/15/13 RECEIVED 458997996 BOND INTEREST RECEIVED 46262EAE5 .P MORGAN HIGH YIELD FUND SELECT CLASS 328109.8970 SIRS RD 10130 PD 11101113 204650 1630 SF RS RD 10130 PD 11101/13 1200000 PEABODY ENERGY CORP SR NT 7.375% 11101116 8/E DID 10/12/06 CLB RD 10115 PD 11/01113 BANKAMERCO PERPNON COM ULATIVE DEP SFS FIXED TO FLOAT 8.125% 04130158 WE RD 11/01 PD 11/15113 CASH NAT 3000000 INSURED DEPOSITS INTEREST CREDITED 500000 IPAYMENT INC GTD SR NT 10.250% 05/15118 WE OTD 11115/11 CL8 RD 11101 PD 11115113 0.00 .20,827.57 13,461.81 USD 7,162 76 USD 44,250.00 USD 121.875.00 USD 183.06 USD 25.625.00 USD Total Dividends and interest • UNITED STATES DOLLAR Cash Withdrawals and Deposits 11/27/13 FEDERAL FUNDS RECEIVED US0999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR P MORGAN CHASE BANK 44498 0.00 212,56013 0.12 USD 0.00 0.12 Page 9 of 13 Account hum bet Go paperless TFE E/ .1 FAZE TC ON F I D N1AL Paled r.e.twnt Seven Years In A Roy* OALSAll ItAlt0 COMMUNICATIONS awls. Only.. Palsy i.LC. • ••••• •• man Nos Ma Nelms Camas can =MSS Pew.. "C ens I BONA foe. An SONY M1_00048658 DB-S6NY-0011482 EFTA_00 159267 PROT22 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accnred Interest Amount 001 FDIC Invited Bank Deposits 11104113 414 250 00 USD U$0999997 11115113 INSURED DEPOSITS INTEREST REIN VESTED •183.06 USD REINVESTED 458997996 11118113 •147.500.00 USD OS0999997 11129/13 -0.12 USD 050999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -191,933.18 Total Value of Transactions 0.00 0.00 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Interest KINDRED HEALTHCARE INC 6.250% 06/01119 EVE Record Date Payable Date Quantity Held Rate Mount of Payment Dividend Option 11115113 12/01/13 1,000,000.000 0.041250 41 250.00 Cash Total Cash Not Yet Received $41,250.00 Bond Maturity Market Value 1 to 5 years 1,748,000.00 6 to 10 years 1,067,500.00 Over 10 years 6,660,000.00 Total 0,475,600.00 e:DREES0CSF30015 DRAISC i 18% 1 I 12% E rox I - I 1005 Percentages of bond market values are rounded to the nearest whole percentage. Page 10 of 13 Account N urn ben areReellEm Go p.tpertess St.en Ye.'S in A PRRI °ALDAN RATEDCOMMUNICATIONS 11- E hAZE Tt TO N F I N n A "CILLUCE Citieftry, iliSplOMI•1O.1.0. • ••••••• 0•••• 40 no Masi ef Ton •••••• Canes fen =Mem ••••••LLC •••••00 /ea^ vermin SONY GM_00048659 DES-S6NY-0011483 EFTA_00 159268 PROT23 PO Elm I 776. Bahnat &O2I N3 Bond Quality Bond Ovally Market Value 8Allower L415.500.00 100% Percentages of bond market values are Total 9,415,500.00 100% rounded to the nearest whole percentage. You are 100% invested in bonds with a bond quality of BA/Lower. Draisre Banc PrmaieWoith Maatenmil Weals Cereal* 4 ,1,P Chtfthe Sank Sett Mee %A Olic• 315 Pot Anew. leth I ter Mrs Wet. hY 10154 (I 1?) 454.2M. ml 7a4I91. Statement Period: 1110112013 - 11/30/2013 Client Service Information Your Client Advisor: TDS Contact Information TAZIA SMITh 345 PARK AVF_AL E MTh FLOOR NEW YORK kY10154 Your Account Information Telephone Number: (212) 451-2889 Tax Lot Default Disposition Method Default Method for Mutual Funds: Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: Copies of Statement Sent .EFFREY EPSTEIN Al your request copies of this slatem ent have been sent to the above. Electronic Delivery You have not selected any account corn m unications tot electronic delivery. To register and turn off paper con m unications. log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market paces have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked "'WA - and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future eccoomic, political, and business conditions, they should not be relied on for making invesUnent, 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 PAW pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest eamed but not yet received. Page 11 of 13 Account Number. Raged Fm<oll 090850CSF30015 ()RAH < 4,1 Go naperless Seven Yea sinenA Roy* 441 DALWI taltOCOMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e 6T: ': hAZE O N F I D a d AL UCCUI.W•Ci 0.•••••••••••••0 PordS.110. • ••••••••.••••••••10•1 Th• wan oitsys% Nor, co•voe•stalY arse Ms. FS ran VC SDW_GM_00048680 DB-SDNY-00114434 EFTA_00159269 PROT24 Pricing (continued) THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incuned 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 km. 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 fuly paid for in your margin account may be tent 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 nay also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, inured a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written authorization from Standard & Pools. Standard & Pools does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of fads. are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be retied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received horn sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Pools ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. The Role of Pershing Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. Page 12 of 13 000908•ACSF300:', Account Kum ber Raaed Exollimn Go paperless Sean Ye...MA Pew roe istreitiveLLO. • *Oast avow, *San ME FAZE DAISAN RAIED COMMIJNICATIONS seasasair. rate VC TdFa"5 O N F I DAENITI AL _sode u(CUILIMI PROT43 DB-SONY-0011485 EFTA_00159270 PROT25 Draisre Sant Poetic Weaeh kla.zgentin Mateats Coven* C00.1. CestsOw Is* Maori aft. &melba Oltor Ha Pat MY, 1001 kw liesVat. WI 10114 In2)4514114. n• -•09S Statement Period:1110112013 - 11/30/2013 The Role of Pershing (courinueri) Fora 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 wrirw.pershing.caNstrength_stability.html. This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Your financial organization's contact information can be found on the fast 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 fled. Arbitration awards are generaly final and biding; a pady's abiMy to have a court reverse or modify an arbitration award is very kilted. 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 clan) 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 enlace 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. Pershiig's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 0739t (201)413-3330. Page 13 of 13 AccounlAumber Rad f x<ollent retwr ern ninsismita.0. • Sy wad weseeer BOO 9 SCCSF3 Go 'MIXT leSS seven yeas inn Pow ME FAZE MST DAISAN RAlt0 COMMUNICATIONS ••••••••••ena ram CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDA5NTIAL EXCEILDCZ SDNY_GA4_00a48662 DB-SDNY-0011486 EFTA_00159271 PROT26 Gnaw, e Sam PootieWealh Ma.zienme Minns Coottitet..".1. Cettsche Sank Setwan *vs bet Once PA ea eseimege maraca 315 Pin Mew (21))4544/111.11M1).1,409, THE HAZE TRUST UAD 02/09/99 S. 20th I ter veA 1.1. 10114 Valuation at a Glance Account Number: Statement Period: 0 9/191201 3 - 1 0/31/201 3 lids Period Year.to•Date Beginning Account Value 80.00 $0.00 JEFFREY EPSTEIN & DARREN IC INDYKE TTEES Net Cash Deposits and Withdrawals Net Securities InlOut of Account 6.685.975.08 11,077,171.39 6,665,975.08 11,077,171.39 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 20,713,118.17 20,713,118.17 ST THOMAS VI 00802 Dividends, Interest and Other Income 118,511.87 118,511.87 Total Taxes Withheld -110 -1.10 Net Charlie in Portfolio 159 32411 159 32111 nd ng Account Value 2 1 0 2 0 9 8 1 3 5 $21,020.981 3 5 Your Client Advisor: Estimated Annual Income 5959.930 98 TAZIA SMITH (2121 151-2889 Asset Allocation Prior Year-End Last Period This Period % Allocation USD Cash, Money Funds. and Bank Deposits' 0.00 000 6,781.185.35 32.27% USD Fixed Income 0.00 0.00 11,236,196.00 67.73% I Account Total (Pie Chartl $0.00 30.00 $21,020,981.35 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured berk deposits are not securities and are rot covered by the Secunties Investor Protection Corporation (SIPC). These bank deposes are covered by tr* Federal Depose Insurance Corporation (FOIC), up to stowable limes. See page 2 of this statement for imponam oformation regarding the Asset Atocation section. Pie Chart atocation only includes products that are of positive value. Page I of 12 R•Mcl rm<ollont B-0097270CSF 30016 Go paperless Sean Yeas In A Row OALSAA frAlt0 COMMUNICATIONS CONFIDENTIAL OK GLUM( ins.. Persisocul. essid•SSIO or ronannoils•••••••••.:••••••••40ITIIISO ILC snineriolltk -p. VC SDW_GA4 00048663 DB-SDNY-0011487 EFTA_OO159272 PROT27 Asset Allocation Disclosure and Footnotes Fcred Income contains Ftred Income Mutual Funds. Summary of Gains and Losses Realized This Period Year•to-Date Wielded Long.Term Gain/Loss Net Gain/Loss This summary excludes transactions where cost basis intonation not avaiable. For Your Information 0.00 0.90 0.00 .1.762.83 0.00 .1,762.83 Deutsche Bank will change certain service and account-related fees effective January 1, 2014. See the 'Messages' section at the end of this statement for details. Go Paperless. Deutsche Asset & Wealth Management now offers electronic delivery of certain account communications for Wear Management clients. Sign up today at wvwcmyedocumentsuite.com for this easy. convenient and secure way to receive al of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at M-776-7564. Date Activity Type ()exilenon Mount Balance Sweep FDIC Insured Bank Deposits Accounl Number: N4G024943 Activity Ending: 10131113 09119113 Opening Balance 0.00 000 10103113 Deposit DEPOSIT 28.369.73 28.369 73 10108113 Deposit DEPOST 6,637,605.35 6.665.975 08 10115113 Deposit INTEREST CREDITED 14.67 6,665,989 75 APY 0.01% 10116113 Withdrawal WITHDRAWN .4.40 6.665.985.35 Associated Bank NA NO 10/16 S250000,00 BENST NO 10/16 $250000.00 Deutsche Bank NO 10/16 S44159853 East West Bank NY Comm unity Bank NO 10/16 6250000.00 Plains Capital Bank Texas Capital Bank Paget of 12 Account Number: Rased Ixollont B0097270CSF30014 Go fatherless St.e.Yean Paw E FAZE TRLST " " GALS/kg RAUL) COMMUNICATIONS txCilLflaCC CONFIDEN 1AL: ars. ante. Oise ut. ••••••••.•••••••Min es ane. megnits isawregoms. Mid no. pens sec SDW_GIA_00048664 DB-SDNY-OO11488 EFTA_00159273 PROT28 PC 1776, Bat-envMD2'M FDIC Insured Bank Deposits (continued) Date Activity Type Description Amount Balance Sweep FDIC Insured Bank Deposits (continued) (continued) 10/31/13 Oe osit TnSlate Capital Bank Union Bank of CA Com enity Bank NO 10116 $250000.00 DEPOSIT 118.500.00 6,784,485.35 10131113 Closing Balance 16,784,485.36 $6,784,435.35 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposes at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sett diected retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Plots°, SWIll.n.ale Weal, 14.wientm Margins COM. agre CoMP 05.114.4 0* Mclean .4. Nee *4 Ork. US Prig Am.*. bib I kw liesligit PM 10114 P M1 *la MSS) noon Statement Period: 0911912013 - 10/31(2013 Income and Expense Summary Olrreit Period Year-to-Date Taxable Non Taxable Taxable Nom Taxable Dividend Income Other Dividends 118,500.00 0.00 118,500.00 0.00 Interest Income 14.67 0.00 14 67 0.00 Total Dividends, Interest, Income and Expenses $110,514.67 $0.00 $118,514.67 $0.00 Page 3 .3112 Account Number Irt ) IIMed 14.. roe ••••:91 ••••••••• LW- rey ()RAO ( iii Go paperless Seven Yea.s In A Pew TFE FAZE °ALMA MILO COMMUNICATIONS 'eras sac TFI'srONFIDENTIAL SONYGM_00048665 DB-SDNY-0011489 EFTA_DO 159274 PROT29 Portfolio Holdings Adivily Opening Date Quantity Account Number Ending Opening Balance dosing Balance Awned Income Income TbIs Year 30•Day Yield Carat Yield Cash, Money Funds, and Bank Deposits 32.00% of Portfolio 09(19113 6.784.485 350 N40024943 10131/13 000 6,781,485.35 87.78 14.67 N/A WA 60.00 16,784,185.36 $87.78 614.67 Total Cash, Money Funds, and Bank Deposits $0.00 $6,784,485.35 $87.78 $14.67 Date ired Quanti Fixed Income 45.00% of Portfolio (in Matunty Da:e Sequence) Corporate Bonds PEABODY ENERGY CORP SR NT Security Identifier: 704549AE4 7.375% 11/01/16 NE DTD 10/12/06 CALLABLE 1ST CR CITE 05/01/07 Moody Rating 8A2 St P Rating BB 05/10711 MA 1,200,000.000 101.9010 1,294,811.91 112.5000 Original Cost Bass: 51,363,500.00 !PAYMENT INC GTD SR NT Security Identifier: 46262EAES 10.260% 05115/18 B/E NO 11/15/11 1,350,000.00 55.188.09 44 250.00 88 500 00 6 55% CALLABLE 05(15115 e 105.125 Moody Rating CAA! STI P Rating CCC. 10/02112 ',/2.13 500.000 000 90.5300 452.649 31 77.0000 385,000 00 -67,649.31 23.631.94 51,250.00 13.31% 0 nand Cost Bans $445.000.00 KINDRED HEALTHCARE INC Security Identifier: 494580AB9 8.250% 06/01/19 BJE DTD 06101/11 CALLABLE 0901/14 § 106.188 Moody Rating 83 S 8 P Rating B- 10(02112 '.12.13 1,000,000.000 99.6720 996.722 45 107 5000 1,075,000.00 78,27755 34.375.00 82.50010 7.67% Original Cost Bass 5996 250 00 BANK AM ER CORP PERP NON COM ULAT1YE DEP Security Identifier: 080505DT8 9.8 FIXED TO FLOAT 8.125% 04/30/58 WE DID 0//30108 CALLABLE 05/15118 Moody Rating B1 58 P Rating 13B4 05/10/11 12.13 3.000.000.000 112.9870 3 389.620 83 111 7500 3.352.500.00 •37.120.83 112.395.83 243,750.00 7.27% Original Cost Bags 53,389,620.83 PM ORGAN CHASE 8 CO DEP SIIS REPSTG Security identifier: 46825HHAt 1110TII PFD SER 1 FIXED TO FLTG RATE 7.900% 12/01/99 B/E DTD 04123/08 Moody Rating BA1 S8 P Rating BBB 05/10/11 12.13 3,000,000.000 111 2650 3 337 958 33 110 2500 3.307,500 00 30158.33 0.00 237.000 00 7.16% Unit Cod Adjusted Cost Basis Market Price Market Valle Unrealized Gain/ Loss Accrued Interest &Sated Edloated Annual Mame Yield Pagel of 12 Account hum ber Rowd rueliont es,097270CSF30016 DRAII-Cti I Go paperless S.een Yean In A Rov• CALMS, frAltO COmMumCATIOPAS CRIM. P. CONFIDENTIAL - PURSUANT TO FED. R. 6(e) O N F I DAENTIAL Panibisiptla.••••••••••dseaSi *impIWO ails WS Sash Carill••••••••• Mare Sway Lit me. File. retie LOC SONY GM_00048666 DB-S6NY-0011490 EFTA_00 159275 PROT30 PO Elm 1776. &kn.:of MD 21200 Draisre Banc Ormaie Wag, 14.wienmi Macon COMM* CowP CtelsOw Is* Mclean .4. Now Wart Moo 341Pait hie•00. lth I keg lieslat. WI 10114 PO/ 0544M P11.1, 0•401$ Statement Period: 09/1912013 - 10/31/2013 Adjusted Unrealized Atoned Date Acquired Quantity Unit Cog Cost Basis Market Price Market Valve Gain/ Loa Interest Fixed Income (continued) Corporate Bonds (continued) FM ORGAN CHASE a CO DEP Sli 5 REPSTG (continued) Annual Income Yield Original Cost Bads: $3,337,958.33 Total Corporate Bonds $9,471,782.83 8,700,000.000 19,470,000.00 .01,762.83 $214,652.77 6703,000.00 Total Fixed Income 69,471,762.83 8,700,000.000 Date Acquired Quantity Mutual Funds 23.00% of Portfolio 55 M ORGAN HIGH YIELD FUND SELECT Security Identifier: OHYFX CLASS CUSIP:4812C0803 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Please Provide '.10 328.409.897 Pending Receipt 8.2200 2,69912/35 k/A 165.84619 6.14% $5 MORGAN FLOATING RATE INCOM E FUND Sewrity Identifier: PHSX SELECT SHARES CLSIP 481211510 Open End Fund Dividend Option: Reinvest; Capital Gins Option: Reinvest Please Provide 'O0 204,650.163 N/A Pending Receipt 10.1000 2,066.966 65 k/A 91.069.32 4.40% Total Mutual Funds $0.00 $4,766,496.00 $0.00 $256,916.31 Unit Cost $9,470,000.00 -81,762.83 $214,652.77 $703,000.00 Unrealized Cost Basis Market Price Market Value Gain/ LOU Annual Income Yield Unrealized Aotrued Estimated Cost Basis Market Value Gain/ Loss Interest Animal Income Total Portfolio Holdings $16,256,248.18 121,020,981.35 .01,762.83 $214,652.77 $959,930.98 Footnotes • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRO (incorporating amendments enacted by P.1_110-343, the Emergency Econornic 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 ate 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 109943 for the applicable tax year in which the security is Page 5 of 12 9,270CSF30014 CPR:4hp( pp I Account Number Ryan, I Atexidnt Go paperless sem. - Ye. ' in A Raw E FAZE r A ciNFID5NTI u ar t.00.421E000MMUNICATIO A..* L NS SONY_GM_OOO48667 DB-SDNY-0011491 EFTA_00 159276 PROT31 Portfolio Holdings (continued) disposed. Repotting requirements generally will be phased in over a three-year period, as follows: Stock in a corporation acquired on or after January 1, 2011 Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1.2012 Other securities. principally debt securities and options. acquired on or after January 1. 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization. accretion or principal paydovms. The method of calculation is based upon the type of fixed income security and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, Mere may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 6 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 10 This security has recently been transferred into your account. Upon receipt of cost basis information from the delivering firm or transferring agent. Pershing will perform a validation and update the cost basis accordingly. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the deivering firm or transfernng agent and Pershing makes no representation as to the accuracy of this information. PA 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 investment professional for additional information. Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at httpsiNnm.dws-investments.conVEN/products/money-rnarket-funds-yields.jsp. Please note that all money market funds fisted on the website may not be offered through us. To: Clients who have selected the Deutsche Bank Alex. Brown Insured Deposit Program for Sweep Program investments Changes in Program Banks have taken place which require your attention. For a ist of Program Banks, please visit htto:/Nmwftwm.db.conVarnerkaMen(CaShSweeDOtitiOns.hlml or contact your Client Advisor. You should advise us of Program Banks with whom you catty deposit accounts outside of the Insured Deposit Program, instructing us to exclude them from accepting deposits for your account in the Program, in order to maintain the maximum protection under terms of FDIC coverage. Effective January 1, 2014, service and account-related fees wit be adjusted as follows: Trade confirm service charge: $6.00 per trade Annual IRA fee: $50 IRA termination fee: $95 Estate valuation fee: $300 base fee (per client) plus $5 per publicly traded security and $25 per non-publicly traded security Foreign safekeeping fee: $6 per position, per quarter Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at bwny.myedocumentsuitecom for this easy and convenient way to access all of your account information. Eliminating paper delivery of al your sensitive account information can help to reduce the risk of identity theft, simplify recordkeeping and, at the same time, help to preserve the environment's precious Page 6 of 12 Account number RaMicl m<ellont eC,097270CSFI0016 Got owerless seven Veen In A Row 4). DAUM., LOCO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. e P. 6: P.E: AZE rONFI DrNif AL 'UDC{ Ore. apemen MSc's& • v•••••, •••••• ••••••••••• 40 no Ma 01 am at man Calais an Mona *Mae ISC Iona IS veva sec SONY GM_00048668 DB-S6NY-0011492 EFTA_(() 159277 PROT32 MS1771 BA now 1021203 M essages (continued) 0groboe Una 0rmaie Wealth Ma-went.. Sluts Cove aCe C./sP oeos4 he oak setwan Now *4 Orto MS Mt Moms. M1h I Ice! lerstill. PM 10154 PU)45•411IL IOSS)7.54095 Statement Period: 09/1912013 -1013112013 resources. Have questions or need help enrolling? Please contact your Client Advisor or Web Support at 800-776-7564. Activity Sum m a ry (All amounts shown are in base currency: USD) Credits This Period Year.to•Date Debits This Period Year.taate $118,514.67 2118,514.67 Dividendsand Interest $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld .14.40 -$4.40 Cash Cash Deposits 6.665.97518 6.665.975.08 Deposits 0.00 0.00 Total Cash 16,665,975.06 16,665,975.06 Total Cash $0.00 $0.00 $4.40 $4.40 FOIC Insured Bank Deposits -$6,784,469.75 -$6,784,489.75 Total Credits 16,784,494.15 16,764,494.15 Total Debits -$6,184,494.15 -$6,784,494.15 Transactions by Type of Activity Process/ Settlement Date Activity Type Description Quantity Price Awned Interest Amain CC1 Securities Withdrawals and Deposits 10107113 BANK AMER CORP PERP NON COM ULATIVE DEP SHS FIXED 3,000,000.000 0.00 USD 0605050T8 TO FLOAT 8.125% 04130158 B/E DTD 04/30/08 CLB 0902 ,PM CBNA NC P 72500 10/07/13 'PAYMENT INC GTO SR NT 10 250% 05115/18 EUE DTD 500.000 000 0.00 USD 46262EAE5 11115111 CLB 0902 RI CBAA NC P 72500 10107/13 SECURITY RECEIVED ,PM ORGAN CHASE 8 CO DEP StIS REPSTG 1110TF PFD SER 1 3,000,000.000 0.00 USD 46625HFA1 FIXED TO FLTG RATE 7.900% 12/01199 B/E DTI) 04/23108 CLB 0902 PMCBNA NC P 12500 10107/13 KINDRED HEALTHCARE INC 8.250% 06/01/19 B/E DTD 1,000,000.000 0.00 USD 494580A89 06/01/11 CLB 0902 PM CBA A NC P 72500 10107/13 PEABODY ENERGY COPP SR AT 7 375% 11101116 BIE DTD 1,200,000.000 0.00 USD 704549AE4 10112106 0902 PMCBNA NC P 72500 Pagel of 12 Account Number. Il/IAR I Go paperless FAZE O NFIDEvinAL TI-E 01•44clrx<ollent OALSAll *AIM COMMUNICATIONS LAC MEM( PROT44 DB-SDNY-0011493 EFTA_00 159278 PROT33 Transactions by Type of Activity (continued) Noss/ Settlement Date Activity Tvoe Dewiotion Ouanti Price Awned Interest Amount ON SecurlUes Withdrawals and Deposits (continued) 1088/13 REEVED INTO YOUR ACCOUNT P MORGAN HIG1. YIELD FUND SELECT CLASS AS OF 328.409 897 0.00 USD 0 HYFX 10/14/13 FROM NEED FUND AC NUMBER 108883 RE-COVED INTO YOUR ACCOU NT 204.650 163 0.00 USD JPHSX AS OF 10/14/13 FROM NEED FUND AC NUMBER Total Securities Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 0.00 10115113 1' S, RED DEPOSITS INTEREST CREDITED 14.67 USD RECEIVED 458997996 1013083 CAS- DIVIDEND RECEIVED PIA ORGAN DIME & CO DEP SHS REPSTG 1110TH PFD SER 1 118,500.00 USD 46625HHA1 7.900% 12101199 NE RD 09/30 PD 10/30113 CASH PAYMENT 3000000 Total Dividends and interest • UNITED STATES DOLLAR 0.00 110,514.67 Taxes Withheld 10115/13 NON-RESIDENT AUEN TAX NRA TAX WITHHELD ON INSURED DEPOSITS INTEREST -4.40 USD 458997996 CREDITED Total Taxes Withheld • UNITED STATES DOLLAR 0.00 .4A0 Cash Withdrawals and Deposits 10102113 FEDERAL FUNDS RECEIVED P MORGAN CHASE BANK 22479 28.369.73 USD USD999997 10107/13 FEDERAL FUNDSRECEIVED P MORGAN CHASE BANK 35426 6,637,605.35 USD 050999997 Total Cash Withdrawals and Deposits • UNITED STATES DOLLAR 0.00 6,666,976.08 10103/13 .28.369.73 USD US0999997 10108113 IA St, RED DEPOSITS PROGRAM -6,637,605.35 USD USD999997 10115/13 INSURED DEPOSITS INTEREST REIN VESTED .14.67 USD REINVESTED 458997996 10116113 4.40 USD WITHDRAWAL USD999997 10/31/13 -118,500 .00 USD US0999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 -6,784,465.36 E*097270CSF30016 DMWCuI Pape 8 of 12 Accounl Number RaNd I At011aNt Gc.) paperless in A E FAZE Tt au^O RAlED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ONFID AENTIAL EXCELLENCE ONLNPENN.E. ONOLLLELLO. • ••••••••••••••••••••• rows. iLC New ES tawny< SONY GM_00048670 DB-S6NY-0011494 EFTA_00 159279 PROT34 PO lita. 1214, 8•Itcrae IVO 2IN3 Draisre Sant Pr malt WOW. manenim mantis Gwyn, Gmsp CeelsOw W Setwan New Wart Orloo 30 PM ••••••.. ]Nlrlber Nwt,NNY 10114 1.12)454.230L Pia M409, Statement Period: 09/19/2013 • 10/31/2013 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Description Quantity Price Accrued Interest Amount CCY Total Value of Transactions The price and quantity displayed may have been rounded. Cash Not Yet Received Security Interest F'EASODY ENERGY CORP SR h T 7.375% 11101116 WE Total Cash Not Yet Received 0.00 0.00 Record Date Payable Date Quantity Held Rate Mount of Payment Dividend Option 10/15/13 11101113 1,200,000.000 0.036875 4250.00 Cash Bond Maturity Market Value 1 to 5 years 1,735 000.00 18% Percentages of bond market values are 6 to 10 years 1,075,000.00 12% L rounded to the nearest whole percentage. Over 10 years 6,660 000.00 70% Total 9,470,000.00 100% 844,260.00 Bond Quality Bond Oualrty Market Value BA/Lower Total You are loose invested in bonds with a bond quality of BA/Lower. 9.470.000.00 ICC% Percentages of bond market values are 9,470,000.00 100% rounded to the nearest whole percentage. Page 9 of 12 Account A urn ber Rasa Incensed e,"097270CSF30016 Go INtoer less Yee•S in A Paw r.r I TI-E FAZE OALIW Ralt0 COmmuneCaconrs CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) t sTONFIDENTIAL ..XCEILUCIE PROT45 DES-SONY-0011495 EFTA_00159280 PROT35 Client Service Information Your Client Advisor: TDS Contact Information TAIlA SMITH 345 PARK AVENUE 14TH FLOOR NEW YORK NY 10151 Your Account Information Telephone Number: (212) 454-2889 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST ill, FIRST OUT Default Method for Stocks In a Dividend Reinvestment Plan: Default Method for all Other Stadia's: Copies of Statement Sent .EFFREY EPSTEIN Al your request copies of this statement have been sent to the above. Electronic Delivery You have not selected any account communications for electronic delivery. To register and turn off paper communications. log in to your account or contact your Qienl 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 shod positions, at the close of the statement period. The market prices have been obtained from sources which we believe to be reliable. Pershing may not use the closing price of the particular exchange or marketplace where your position was purchased as the 'Market Price.' Securities for which a price is not available are marked - N/A - and are omitted from the Total. The estimated annual income (EAI) and estimated current yield (ECY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the positron 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 mm.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. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. 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. 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 it confornations previously furnished to you. A summary of this intonation is available to you promptly upon your written request directed to your introducing fern. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please prorriptfy 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 fin. 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 Page 10 oft 2 Account Number 'iked I Atibildnt B009,270. -SF300:4 Go paperiess 4 ., sr.., Yea., In A Row DALIA• RAUO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. e 6T: E: AZE N F I DA5NTIAr.........." ores. raw. es. u.a. • .•••.•••••• sense, fa no verars...osvomoos maw WWW FOOS rooms lee SDNY_GA4_00048672 DB-SDNY-0011496 EF'FA_00159281 PROT36 Dralsre Sana Punt Weida Ma-ugenan Matins GOWN* 0 ,0.1. CeIrttOw Silk Maori Nilw Wart Cake HI Pat ASS. fib *cc, Ms Vat. WI Iona PO)45•4111L0RM7.8409t Statement Period: 09/1912013 - 10131/2013 Foreign Currency Transactions (continued) 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, Slurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Ratings This statement may contain credit rating information obtained from Standard & Pools. Reproducing and distributing any information received from Standard & Pools is not permitted without prior written authorization horn Standard & Poor's. Standard & Poor's does not guarantee the accuracy. completeness, timeliness or availabikty of any information. Standard & Pools is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Pools makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Pools shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do net address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shown here are not reflected in your account. This information has been received from sources we believe to be reliable. Pershing does not guarantee the accuracy of the information. Bonds that are in default are not included. Bond Quality Bond quality ratings reflect Moody's or Standard and Poor's ratings. Bonds may be rated by other services. Bonds that are in default are not included. Please refer to your Portfolio Holdings section. 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 hinds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents: the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. Pershing is a member of the Securities Investor Protection Corporation (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.canIstrength_stability.html. This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Page 11 el 12 Account um bet BOO 97:7CCSF3 0 01 6 Go paperlesS FAZE TL ATO N F I DAEN TIAL TI-E Raged f xf Milan OALluka LOCO COMAAUNICATIONS ExCildOCC awls" 'ingot Maly inannionatta roan wise.. moms Lox foal^ peva, VC SDW SIM 00048673 DB-SDNY-00 11497 EFTA_00159282 PROT37 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 patty's abikty to have a coon reverse or modify an arbitration award is very hailed. 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 lass who has not opted out of the class with respect to any claims encompassed by the putative class action until; (lithe class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3333. Page 12 of 12 Account A urn tier Rand Inollont BOO 97:70CSF3 0 014 Go paperless Seven VedIS In A Roy* ThE AZE TZ,ST OAL*All ItAlt0 COMAAUNICATIONS CONF I DAENITI AL: OK MIMI Owe. anseseerassee u.C. • weer seed eesseer es ens. e Nee vets ram censer con ewes vests. uc - nee eves sec SDW_GkA_000443674 DB-SDNY-OO11498 EFTA_00I 59283 PROT38