EFTA Document EFTA01288458

Private Wealth Management Deutsche Bank Alex. Brown SOUTHERN FINANCIAL LLC 6100 RED HOOK QUARTER 63 ST THOMAS, VI 00802 Notice to Investors Reganfing Custodian Account Statements: You are encouraged to read the statements you receive from the custodian and compare the information on these statements to this report. Please see the Notice on page 2 of this report for an explanation of difference, you may find. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) coMit5n3120-riA3 SONY_GM_00045486 DB-SDNY-0008310 EFTA_00156095 EFTA01288458 Private Wealth Management Deutsche Bank Alex.Brown ACCOUNT NAME Southern Financial LLC ACCOUNT SUMMARY REPORT Quarter Ending December 31, 2013 PREPARED FOR Southern Financial LLC YOUR FINANCIAL ADVISOR TAZIA SMITH DEUTSCHE BANK ALEX. BROWN 345 PARK AVENUE 14TH FLOOR NEW YORK, NY 10154 212-454-2889 Prepared by: Lockwood® ACCOUNT NUMBER N4G-023804 Notice Regarding Portfolio Accounting Differences Please note that the data shown on this report is for informational purposes and may differ from the data on reports generated by other sources These differences can be explained by a number of factors. including, but not Smiled to, the use of trade date versus settlement date for reporting purposes, the treatment of accrued income on securities. the seal* pricing some utilized and reports generated by different reporting systems for the same moan Please refer to your 1099 form in all instances for tax reporting purposes. If you have any questions, please feel free to contact your firencial representative. Please refer to the end of the document for Important Information regarding this report. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL 1c16 SONY_GM_00045487 DB-SDNY-0008311 EFTA_00156096 EFTA01288459 ACCOUNT SUMMARY Account Number : N4G-023804 Since Fiscal Current Southern Financial LLC Account Change Inception YTD OTA Beginning Market Value $45781,896 WA WA Net Contributions/Withdrawals $41,680,028 WA NIA Gain/Loss + Income Earned $3.176.585 N/A N/A Ending Market Value $90 638 509 N/A N/A Account Returns (%) Your Account 4.82% N/A N/A Inception Date 10/11/2013 Quarter Ending 12/31/2013 Year Ending 12/31/2013 Account Gloat Over Time 00.000,000 — 75,000003 — 50,000000 — 25,000000 — 0 Ince, - - - - - - - - - - - IUD 10/13 Asset Allocation El 51.4% - Fixed Income El 22.0% • Equity 20.3% - Cash' El 6.3% • Mutual Fund / ETF - Equity 11113 $90,638,509 $87.461.924 Taal Value 12/13 - - - - Total CaibibutensNitchwals Top 10 Account Holdings Security Name % of Account Apollo Global Mgmt LLC CIA Shs 9.20% J P Morgan Chase & Co Dep 7.900% 04/29/49 6.10% General Mtrs Co Can 4.40% Ally Finl Inc Pero Pld Ser A 2.125%00/00/00 3.80% Lbg Capital No 1 Plc 144a Is 8.000%09/15/88 3.50% Southern Calif Edson Co Pre 6.250%02/01/22 3.40% Wisdomtree Tr Japan Total Divid Fd 3.40% Global Mtg Securitization LT 5.250% 04/25/32 3.20% Royal Bank Scotland Group P11.812%00/00/00 3.20% Servicemaster Co Sr 8.000% 02/15/20 2.80% (Lash. Money Funds. and FOIC Depofins Plen. sw rdmg P rimnianct h a and buichravia al "TM F ID ENTI AL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 206 SON Y_GM_00045488 DB-SDNY-0008312 EFTA_00156097 EFTA01288460 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) PERFORMANCE SUMMARY December 31. 2013 For Southern Financial LLC Investment Account Index Inception Date Since Inception Returns Std Vey Five Years Since 12/31/2008 Returns Std Dev Three Years Since 12/31/2010 Returns Std Dew Last 12 Months Returns Fiscal YTD Returns Current OTR Returns BALANCED No Benchmark Selected N4G-023804 10/11/2013 4.8% Pita soo important disclosures regarding performance. loos, and benchmarks al the enddIht rep Nr FIDENTIAL 3d6 SDNY_GM_00045489 DB-SDNY-0008313 EFTA_00156098 EFTA01288461 IMPORTANT INFORMATION This document provides personalized investment information and is not intended to meet the objectives of anyone other than the individual specified in this document. This document is not an offer to buy or sell or a solicitation of any offer to buy or sell any security or other financial instrument or to participate in any trading strategy. This document does not replace the official statements issued with transactions entered into by the client or the client's behalf with Deutsche Bank. If there are any inconsistencies between this Report and such statements, the information contained in the statements shall govern. For account gaiMoss information, clients should refer to their Pershing statements. ASSET CLASSIFICATION The asset classifications described in this presentation will differ from the asset classification models used in Deutsche Bank business areas. including the Wealth Analytics group. and other business areas. The asset classifications shown on this report may not directly correlate with Pershing monthly statements. "SINCE INCEPTION' DATE References to the 'since inception date' reflects the beginning of actual performance calculations for the account and may differ from the actual date the account was opened. HOUSEHOLDS Performance of a household wil include the performance of its member accounts from the inception date of that member account. Performance of a household account may include accounts that are no longer active. At the request of a client, an account may be added to or removed from a particular household. When an account is added to a household, the entire performance history for the account will be included in the performance for the household. When an account is removed from a household, the performance of the account will be deleted from the household. Terminated accounts will remain in the performance history of a household report as long as they are not explicitly removed from the household. ACCOUNT SWITCHES If all assets of a former account are migrated to a new account and Pershing Managed Account Solutions is notified in advance of the account switch, the new account will include the historical performance of the former account PERFORMANCE Note that al performance figures are unaudited. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL 4016 SDW_GA4_00045490 DB-SDNY-0008314 EFTA_00156099 EFTA01288462 IMPORTANT INFORMATION Performance calculation methodology utilized prior to January 1, 2008 uses the Bank Administration Institute (BAI) method, a type of time-weighted calculation. Performance calculation methodology utilized after January 1. 2008 uses the Modified-Dietz method, a type of time-weighted calculation. Performance data quoted represents past performance, which is no guarantee of future results, and current performance may be lower or higher than the figures shown. Investment returns and principal value will fluctuate and when redeemed, may be worth more or less than their original cost. Due to differences in calculation methodologies. performance returns may vary from other Deutsche Bank performance reports. All returns are presented on a time•weighted basis unless indicated. M returns are presented net of all fees, including consultant's fee, managers fee and transaction costs except individual mutual fund returns, which are net of internal fund expenses and transactions costs. For fee-based accounts shown on this report, the accounts may not be from which the quarterly fee is deducted and therefore, the performance data provided would not reflect deduction of lees. Performance returns are annualized for periods greater than one year. Net Contributions/Withdrawals consist of all receipts and deliveries of securities to the accounts for the specified period. Accrual amount indicates income that has been applied to the total value of the account, but may not be reflected on your custodial statements. Foreign Exchange, OTC Derivable Structures, and any other illiquid securities will experience delayed pricing. This may distort the performance of an account with such securities. The performance calculations of zero coupon bonds wil not include amortized interest while the bond is held in the account. When the bond is sold, the interest will be factored in the performance of the account and portfolio. The pricing for certain alternative investments will have a 30-day or longer lag period. This will be reflected in performance returns. Investments in annuities are not included in this report. Where applicable, annuities are excluded from performance calculations and account holdings. MARGIN The performance of accounts with margin use standardized performance reporting methodology. When these standards are applied, the performance of the accounts may reflect distorted data. PRICING Securities prices displayed may vary from actual liquidation value and your custodial statements. Prices shown should only be used as a general guide to portfolio value. Prices are received from various pricing services. TAX Deutsche Bank does not render advice on tax or tax accounting matters to clients. This material was not intended or written to be used. and it can not be used by any taxpayer, for the purpose of avoiding penalties that may be imposed on the taxpayer under U.S. federal tax laws. CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL 5016 SDW_GM_00045491 DB-SDNY-0008315 EFTA_00l56I 00 EFTA01288463 IMPORTANT INFORMATION BENCHMARKS Performance may be shown at the individual account level or on a household (consolidated) level. At the individual account level, Client Advisors will select one appropriate benchmark for each account. Al the household level the benchmarks will comprise of the S&P 500, MSCI EAFE, and Barclays Capital Intermediate Gov/Credii There is no guarantee that the benchmarks listed are representative of the holdings. As a result of rounding, minimal basis point differences may exist between benchmark performance of this report and other performance reports provided by Deutsche Bank. The information on the benchmarks is presented for ilkistrative purposes only and is not intended to imply the potential performance of any fund or investment. Benchmarks are not available for direct investment. Benchmark performance assumes the reinvestment of all distributions. but does not assume any transaction costs, taxes, management fees or other expenses. The performance of tie benchmarks may vary from investments held in the account. 6016 CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL SDW_C4.4_00045492 DB-SDNY-0008316 EFTA_0015610I EFTA01288464 DNISOC Ilan, Ponle wean Ma.ligenild Weeny C00. 4•1* WPp Cettsche Sank W(. ,ic, Mrs bri Once PA BM 1776. Oslitras kD 21200 J1 Part Mew (I IS) CA.74121.1111.1211.4t9S Aire, Italica •ett. Pi? /OVA Valuation at a Glance Account Num ber: N4G-0 2 3 8 0 4 Statement Period: 1 2/01/201 3 - 1 2/31/2013 This Period Year-to-Dale Beginning Account Value 970,872,398.33 $0.00 SOUTHERN FINANCIAL LLC het Cash Deposits and Withdrawals Net Securities InlOut of Account 395,598 16 25,163,519.80 21,363,602 70 73,858,278.76 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 98,731,648.29 95,221,881.48 ST THOMAS VI 00802 Dividends, Interest and Other Income 192,211.94 1,195,263.04 Total Taxes Withheld -118.86 -11886 Net Charlie in Portfolio -6 650 622 09 -5.843.97536 nd ng Account Value 590 573.050 28 590 573 050 28 Your Client Advisor: Estim aced Annual Income $3.733,57131 Asset Allocation Prior Year-End Lad Period This Period % Allcaticie USD Cash. Money Funds, and Bank Deposits' USD Rod Income Non-USD Fixed Income USD Equities Non-USD Equities Non.USD Cash, Money Funds, and Bank Deposits Other Account Total (Pie Chart( I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured berh deposits are no: securities and are not covered by the Secuntes Investor Protection Corporation ISIPC). These bank deposes are covered by the Federal Deposit Insurance Corporation (FDIC). up to donde finite. See page 2 of this statement for important Information regarding the Asset Atocaton section. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 0.00 20,573,902 14 18,295,949.71 20.20% 0.00 19.692,375.00 27,736,972.38 30.62% p 0.00 320.250.00 10,227,309.46 1129% 0.00 28.904,515.13 30,410,519.65 33.59% 0.00 986,356.08 3,137,19214 3.48% 0.00 0.01) 102.106 34 0.14% 0.00 395,000.00 363.000.00 0.10% 30.00 870,872,398.33 $90,673,050.28 100.00% Pie Chart atocation only includes products that are of positive value. Assets of less than 1% c4 holdings wi not dspay on this pie chart. Page 1 of 24 IA.41.0 B0105409CSF30022 Go oaoerie Mooed ss sc.,— ye.— In A fttsve DAL•A• RATED COMMUNICATIONS CONFIDEN 1AL- 01.01rypiretet•••••.• u.C. Senor. •••••Niwt name. ales V•••••••••Cara.staNY MOMS OviSOILC •••••••• Saw. terSa Lac SDNY_GM_00045493 DB-SDNY-0008317 EF1'A_00156102 EFTA01288465 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data AI values are displayed in U.S. dollars based on interbank exchange rates as of 12/31/2013. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Tear-to-Date Short-Term Gainlloss -130,198.03 -130.198 03 488.435 73 Long.Term Gain/Loss 1.77 1.77 4,117,157.99 Net Galnl loss ,130,196.26 -130,196.26 .2,90,722.8 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. Exchange Rate Table Global Cash Currency Currency USD Equivalent per USD Currency Oasis° Balance Mount in Base Currency USD EL RO 1 3778 0.7257 EURO 291.848.87 102.105.31 Exchange rates are based on interbank exchange rates as of 12/31/2013 Exchange rates can vary. Total Global Cash Balance 3102,106.31 FDIC Insured Bank Deposits Date Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number N46023804 Activity Ending 12131113 11130113 Opening Balance 20,308,113.57 20,308,113.57 12/02113 Deposit DEPOSIT 265,788.57 20,573,902.11 12/03113 Deposit DEPOSIT 12,15625 20,616,058.39 12/05113 Depoil DEPOSIT 23.61 20,618,082.00 12112113 Withdrawal WITHDRAWAL 403,314.50 19,812,767.50 12/13113 Depoll INTEREST CREDITED 125.98 19.813.193.48 12113113 Deposit DEPOSIT 869,801.97 20,682,995.45 APY 0.03% 12/16113 Withdrawal WITHDRAWAL -2,966,098.50 17,716,896.95 Page 2 of 21 Account Number: N16423604 Stan Ye Pin OSIO9CSFI002: NIAS. Cu, Go paperless Years In A Reno GIaAP LOW COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: "ERN BMLWfJgI KIFI DAENTIAL Comesa wow% PerSifteu.C.••••••••••••••••••San on. roan "Diners cams caw arms Army “C 'Jiff...It...A nr.s. sec SONY GM_00045494 DB-S6NY-0008318 EFTA_00156103 EFTA01288466 PQ Sat 1771 Elarrois 'AD 71203 FDIC Insured Bank Deposits (continued) Ad ilty Type Description Prnale wealth Ma.zgentive SWIMS CM. ale 4,C,P OMVMW Sec...o.,,c. MM Mk. SO Pan Mem. !Uhl/act liesli" PM 10114 P M10S4441RS17Y4Ofl Statement Period: 12/0112013 - 12/31/2013 Mount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) 12/17113 Deposit 12/20/13 Deposit 12/27113 Deposit 12/30113 Deposit 12131113 Closing Balance Associated Bank NA NO 12/16 3250000.00 BB8T NO 12/16 $250000 00 Bank of Am erica NO 12/16 $250000.00 Citibank NA NO 12/16 3250000.00 Deutsche Bank NO 12116 $15529897. East West Bank NO 12116 $250000.00 NYCommunity Bank NO 12/16 $250000.00 Texas Capital Bank NO 12/16 $250000.00 TnState Capital Bank NO 12/16 $186999 71 Union Bank of CA NO 12/16 $250000.00 DEPOSIT DEPOSIT DEPOSIT DEPOSIT 258,575.00 197.702.00 1.164.22 7.334.16 17.975,471 95 18.173.173 95 18.174.338 17 18.181.672 33 $18,181,612.33 Total FDIC Insured Bank Deposits $14,181,672.33 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 diected retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Page 3 of 24 Account Number: NIG-023804 Rote rnollent Go paperless Seven Yeas In A Pew SO LTHERk F ""` Err , COmmuNiCiatOrit CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) awls. nom. OWS•110.•••••••••••••••••Sr of made onisneaseies cense/scan arena ••••••••t“ ...es as rem sec SDW_C4.4_00045495 DB-SDNY-0008319 EFTA_00156104 EFTA01288467 Income and Expense Summary anent Period Year-to-Date Taxable Hon Taxable Taxable Non Taxable Dividend income Equities 97,006.69 0.00 170.36294 0 00 Other Dividends interest income 42,532.85 0.00 321,282.85 0.00 Bond Interest 259,73922 0.00 304,114.22 0.00 FDIC Insured Bank Deposits 425.98 0.00 54922 0 00 Other Interest 0.00 0.00 40,625.04 0 00 Expenses Withholding Taxes -118.86 0.00 .118.86 000 Total Dividends, Interest, Income and Expenses 8399,585.88 80.00 8836,815.41 80.00 Distributions Long • Term Capital Gain Distributions 59,348.45 0.00 59,348.45 0.00 Short - Term Capital Gain Distributions 33.191.75 0 00 33.191.75 0.00 Alternative Investments 0.00 000 0.00 265,788.57 Other Distributions 23.61 7234.16 23.61 7.334.16 Total Distributions 892,563.11 87,334.15 892,56311 8273,122.73 Portfolio Holdings U.S. DOLLARS Opening Date Quantity Account Number Activity Ending Opening Balance posing Balance Accrued Income income This Year 30-Day Yield Current Yield Cash, Money Funds, and Bank Deposits Cash Balance Margin Balance FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11130113 18,181,672.330 1446023804 12/31113 265,788.57 0.00 20.308.113.57 54,731.58 59.515.80 18,181.672 33 253.06 549.22 NIA NM Total FDIC Insured Bank Deposits 120,308,113.57 818,181,672.33 8253.05 1549.22 Total Cash, Money Funds, and Bank Deposits $20,573,902.14 $11,295,949.71 3253.05 1549.22 Page 4 of 24 Account A umbel 1146-023804 s . Rowe r.coliont POI 0/109CSF3002: Go paperless Seven Years in Pow MAO .0 CAW.* trAlt0 COMAALPHICAlIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67: 11ERN FJKQNfJOI KIFI DAENTIA VoCillUCC Owes. any. ornisout. nada, OS , •••MINIMI 40 Ti.• Mae 44 OW. TOM MSS MTS.'S 1ST •••••• -'SC T../ IS Pe, St LW< SONY GM_00045496 DB-SDNY-0008320 EFTA_00 I 561 05 EFTA01288468 pa Sot Int &Amon x.021203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date "aired Fixed Income (In Maturity Date Sequence) 'Asset Backed Securities "GLOBAL M TG SECURITIZATION LTD/ Security Identifier: 37696iAVe GLOBAL MTG SCTZN ISINILiS378961AV83 5.250% 0/125132 WE DID 01128/05 Moody Rating CAA3 S 8 P Rating G Factor: 0.36738110 Effective Date:12102/13 Current Face Value: 3,030,918.825 NM Provide' 8,250,000.000 WA Pleat* Provide 94.0510 2,850,609 16 N/A 2.65205 Original Cost Basis: Reese Provide 'COUNTRYWIDE HONE LOANS Seaulty Identlifor 126190YSI SER03.1 CL 81 4.090% 03125133 WE DTI) 01130103 Factor: 0.28453807 Effective Date:12102/13 Current Face Value: 1,190,121.315 Please Provide' 1,500,080.000 N/A Please Provide 861110 1,034,612.78 N/A 1,057.35 Original Cost Bass' Reese Provide 'WASHINGTON NUT NTG SECS CORP 20044A2 Security Identifier: 939336520 MTG PASSIHRU CTFCL C43.1 VAR RATE 6.972% 07/25133 WE DTD 06101/01 SA P Rating 0 Factor 0.61726283 Effective Date:12102/13 Current Face Value: 831.969 051 N/A 1,851.55 Reese Provide' 1,290,000.000 N/A Please Provide 86.0110 716,16523 Original Cost Bass: Reese Provide NM PAC CM B TR 2005.2 ASSET BKO BD CL Security Identifier: 452501/1C7 1-11-2 0.899% 01125135 WE DTO 03103105 Moody Rating CA P Rating CC Factor. 0.14932198 Effective Date:12128113 Current Face Value: 1,193,219.600 Please Provide' 10,000,000.000 N/A Please Provide 70.9860 1,059,976.87 N/A 223.88 Original Cost Bass Please Provide Total Asset Backed Securities $0.00 $5,663,394.34 $0.11 $11,114.13 50.01 24,040,000.000 Total Current Face Value : 6,549,528.791 0rals° e Bina P,,n,e vftan roanenan maeats Covent Gm. CVIANN IS* Sefton. MC. NawIlart Mar 345 Part I /VISA MTh Ms Via. WI 101W P MOWN& PIM MAWS Statement Period: 12/01/2013 - 12131/2013 Adjusted Unrealized Accrued Octant Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Estimated Estimated Annual Income Yield Page 5 of 21 Account I\ umber: N16-023801 RI*Pti t • ii•WIt B01 05109=3 00:2 GO IN iper leSS Yea., In A Pow SO 14 Th ERN CZ" A•• • IT I •F Y EIAL•A• RA1ED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) tJ FIDENTIAL: EXCELLENCE awls. ••••91. PorsiSstati. • **oft wad wits~ir vas NS% Cavialkis err anise iLC peva' sec SDNY_GM_00045497 DB-SDNY-0008321 EFTA_00156106 EFTA01288469 Portfolio Holdings (continued) U.S. DOLLARS (continued) Adjusted Date red et Unit Cost Cost Basis Market Price Market Value Unrealized Gain/ Loss Accrued Interest Estimated Annual Income Estimated Yield Fixed Income (continued) Corporate Bonds SG STRUCTURED PRODS INC Security Identifier: 78423EHS6 COMMODITY LKO MKT PLUS PROTECTED NOTES 0.000% 0810511181E DID 07130/13 07125113'.11,13 2,000,000.000 100 0000 2,000,000.00 101.1600 2,029,200.00 29,200.00 000 Original Cost Bass 52.000,000 00 HSBC USA INC MEDIUM TERM NTS Security Identifier: 40432XFP1 BUFFERED NOTES LKO TO EURO STOXX 50 0.000% 0812911181E DTO 05130113 05124113 2,000,000.000 100.0000 2.000.000.00 107.5800 2,151,600.00 151,600.00 0.00 Original Cost Baas: 52,000,000.00 5.PM ORGAN CHASE 8 CO IA EDIUM TERM NTS Security Identifier: 41112INVE4 CAPPED CONTINGENT BUFFERED EQUITY NTS 0000% 10/18111 SE DTO 09127/13 Please Provide' 1,000,000.000 NIA Please Provide 100 7700 1.007.700 00 NIA 0.00 Original Cost Bass Please Provide FPETROLEOS DE VENEZUELA Security Identifier: P7807HAF2 NOTES SENIOR 'Slit XS0460546525 5.000% 10/28115 REG DTO 10/28/09 S 8 P Rating 8* Please Provide' 2,500,000.000 N/A Please Provide 82.5000 2,062,500.00 NIA 21,527.78 125.000 00 6.06% Original Cost Bass: Please Provide HEADWATERS INC GTO SR NT Security Identifier: 42210PA05 7.625% 0//01119 8/E DID 03/11/11 CALLABLE 0/101115 0 103213 Moody Rating B2 58 P Sling B+ 10/22/12 'MA 1.000,0N.000 102.8870 1,026,669 73 107 7500 1,077,500.00 50,830 27 19,062 50 78,250.00 7.07% Original Cost Bass: 51 035,000 00 EARTHUNK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6 CUSP FROM 270321AB8 8.875% 05/15/19 8/E DTD 05117111 CALLABLE 05/15115 Moody Rating B3 58 P Rating CCC+ 10/22112 %FED 400,000 000 102.7110 110,842.81 98.5000 394,000.00 .16,842.81 4.536 11 35,500.00 9.01% Original Cost Baas: 5414,000.00 10123112'.11.13 600.000 000 102.5190 615.115.31 98.5000 591,000.00 -24.115.31 6.804 17 53.250.00 9.01% Original Cod Ban: 5819,500.00 Total NoncoYtred 1,000,000.000 1,025,958.12 985,000.00 .40,956.12 11,340.28 88,760.00 Total 1,000,000.000 $1,025,958.12 $985,000.00 -$40,958.12 211,340.28 $88,760.00 Page& of 24 Account Number: NAG-023801 ifled f Aeoll t Lt R n Seven Ve.ws In A Raw tx 0Aeti dtmc RA an ZED COMMUNICATIONS B0105109CSF3002: Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) SOUTHERN ONFIDAENT1 r oiettriPanmilitu•••••now•••••••••• SDNYS4.4 00045498 DB-SDNY-0008322 EF1'A_00156107 EFTA01288470 PC. Bni 1776, Etat mom MO 212..n Portfolio Holdings (continued) U.S. DOLLARS (continued) Date ired Quantit Dmiu, e&marrmaieW.AhrIrmienan MwatsCOMNP040. ChttOw Si* Mani "X. NeallidOM,* 345PutAiammIONhOber Mew1WIOW WIM 0 0 ) 4514101. 3M M-409% Adjusted Unit Cost Cost Basis Market Price Market Valee Unrealized Gain/ LOU Statement Period: 12/01/2013 • 12/31/2013 Acaued Interest Estimated Estimated Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) SERVICED ASTER CO SR NT • CUSIP FULLY Security Identifier: 81760NAN9 EXCHANGED FROM OLD CUSP 81760KAL3 8.000% 02115120 DIE DID 02113112 Moody Rating CM1 S 8 P Rating CCC. 01124113 ',11.11 1,500,000.000 105.3630 1,580,117.85 102.0000 1,530,000.00 -50.447.85 45,333.34 120,000.00 7.84% Original Cost Basis: $1,595,625.00 02/25/13 '.12.13 1,000,000.000 105.9650 1,059,64725 102.0000 1.020.000.00 .39.647.25 30,222.22 80,000.00 7.84% Original Cost Bees: $1,070,000.00 Total Nonnovered 2,500,000.000 2 640 095.10 2,550,000.00 .90,095.10 75,555.56 200,000.00 Total 2,600,000.000 $2,610,095.10 $2,550,000.00 -$90,095.10 675,555.56 $200,000.00 'LLOYDS TSB BK PLC EURO ISSUE MEDIUM Security Identifier: GIS15PP18 TERM NOTES ISINOXS0717735822 9.875% 12116121 REG NO 12116111 Moody Rating Bal S 8 P Rating BBB Please Provide' 1,500,000.000 N/A Please Provide 119 0800 1,786,200.00 N/A 5,760.12 148,125.00 8.29% Original Cost Bass. Please Provide SOUTHERN CALIF EDISON CO Security Identifier: 812400FU2 FREF SERE 6.250% 02101/22 WE OM 01117/12 CALLABLE 02/01122 Moody Rating BAA2 S 8 P Rating BBEI. 01130/12'.3.12 3,000,000.000 99.7880 2,993,651 16 103.5000 3,105,000.00 111,318.84 78,125.00 187,500.00 6.03% Original Cost Bass $2.992.564.97 BARCLAYS BK PLC CONTINGENT CAP NT Security Identifier: 06739FHKO Int L506739Fh 603 7.750% 04110123 B/E CITO 04110/13 CALLABLE 04/10118 58 P Rating BM 04103/13 '.12,13 300,000 000 100.0000 300,000.00 108.5000 325,500 00 25,500.00 5,231 25 23,250.00 7.14% Original Cost Bass: 5300.000.00 SM ORGAN CHASE 8, CO DEP MS REPSTG Security Identifier: 46625HHA1 1110TH PFD SER 1 FIX TO RIG RT BD 7.900% 041291/9 WE DID 0/123/08 Moody Rating MI S 8 P Rating 888 06/15111'.3,12 2,500,000.000 107.5000 2.687.500.00 1102500 2,756,250.00 68,750 00 32,916.67 197.500.00 7.16% Original Cost Bass: 52,687,500.00 06/15/11 'An 2,500,000.000 107.0000 2,675,000.00 110.2500 2,756,250.00 81,250 00 32,916.66 197,500.00 7.16% Page 7 of 24 PCIOSIO9CSFI00:2 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number MG-023801 Ra•ed Go oaperiess rzsiitz poictiott oucnions SOLD-ERN CO F ID-ENT AC Camelote•sph•walestat.••••••••••••••••••St Tim Ins e Mem CAM • Mem Mawimesam • • IV WSW* 41a 1m0 LW dome W som tamI-C SDNY_GM_00045499 DB-SDNY-0008323 EFTA_00156 I OR EFTA01288471 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date red Misted Unrealized Accrued Estimated Estimated et Unit Cod Cod Bash Market Price Market Value Gall Loss Interest Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) SN ORGAN CHASE 8, CO DEP SOS REPSTG (continued) Original Cost Bats:52,675,000.00 Total Noncovered 6,000,000.000 8,362,600.00 5,512,500.00 160,000.00 85,833.33 395,000.00 Total 5,000,000.000 $5,362,500.00 56,612,600.00 $150,000.00 $66,833.33 5395,000.00 BANK AMER CORP PERP NON COM ULARVE DEP Security Identifier: 060505D1$ SIISFDS TO FLOAT 8.125% 04130158 B/E DID 04130108 CALLABLE 05115118 Moody Rating BA3 SE P Rating Ber 01110111 '.3.12 2,000.000000 102.7500 2.055000.00 111.8750 2,237,500.00 182,500.00 20,763.89 162.500 00 7 26% Original Cost Bata 52 055,000 00 GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3696225N6 A7.125% 08112/82 WE DTO 06112112 CALLABLE 08115122 Moody Rating BM' S8 P Rating Ala- 06121/12 '.12.13 2.000.000.000 105.5300 2.110.605.12 111.7500 2.235.000.00 124.394.88 6,333.33 142.500.00 6.37% Original Cost Bans: 52,122,916.67 GENERAL ELEC CAP CORP PERP PFD SER C &malty Identifier: 369622513 FIXED TO FLTG 5.250% 06103163 B/E DID 06103113 CALLABLE 06115123 Moody Rating BAA1 SS P Rating AA- 05129113'.11.13 1,400,000.000 100.0000 1,400,000.00 94.0000 1.316.000.00 -84.000.00 3,266.67 73,500.00 5.58% Original Cost Buis: $1.400,000.00 PM ORGAN CHASE å CO 6.000% 09/01186 B/E Security Identifier: 48126HAA8 DTD 07129/13 1ST CPN: 0TE02/01114 CPN PMT SEMI ANNUAL ON FEB Of AND AUG 01 Moody Rating BAI S .1 P Rating BBB 07122113'.12.13 750.000.000 100.0000 750.000.00 95.6250 717,187.50 -32,812.50 19.000.00 45.000.00 6.27% 0 nginal Cost Bass: $750.000.00 gLBG CAPITAL NO 1 PLC 1444 Security Identifier: G5433BBG8 Sias Y33473106283 8.000'b 09115/88 REG DID 12115109 FOREIGN SECURITY SS P Rating BB Please Provide • 3.000.000 000 NA Reese Provide 106 7500 3,202,500.00 N/A 10.668.61 240,000.00 7.49% Original Cost Basis: Pease Provide Total Corporate Bonds $23,684,479.23 532,300,887.60 $677,506.27 $342,466.88 $1,907,375.00 30,960,000.000 Total Fixed Income $23,684,479.23 $37,964,281.84 $577,508.27 6354,251.61 51,907,375.00 54,990,000.000 Page 8 of 24 B0I 05109=3002: Account Number: MG-023804 SOUTHERN CH Go paperless re:^ Pow LU CA D • RA It COWIONIC T IONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) (5 F I DAENTIAL:. "`""ha ors. ~ph %raw Lit. near ow roe. smr •ine• was « ows•ncn.s ors.* mc ~sr...nape.= fiec SDW_GA4_OOO455OO DB-SDNY-0008324 EFTA_00156109 EFTA01288472 PC &a 1776, Batty-ow 2'2..n Portfolio Holdings (continued) U.S. DOLLARS (continued) Date sired Quantit Equities Common Stocks APOLLO GLOBAL MGM T LLC CL A SKS Dividend Option: Cash 03129111 263,157.000 APPLE INC CON Dividend Option: Cash 10128113 2.000.000 ARIAD PHARM ACEUTICALS INC Dividend Option: Cash 02114112'.I3 7,535.000 01124113 %13 9,000.000 Total Nortcovered 16,635.000 Total 16,535.000 ASCENA RETAIL GROUP INC COM Dividend Option. Cash 01116101 'iS 70.500 000 BIOGEN IDEC INC COM Dividend Option: Cash 02114112 2.095.000 BOMBARDIER INC CLASS B Dividend Option. Cash 07110107 '.3 20,000.000 FACEBOOK INC CL A Dividend Option: Cash 05/17112 '.13 17.500.000 GENERAL ELECTRIC CO COM Dividend Option Cash 04123113 '•f3 23.000.000 Unit Cod Orals° e ,.arena.. Marais ferrite 6,0••• Cettfthe Sank Setionelni. Mrs bet OR,. 315 Pit Ramo. 30th lice! Mew etA PIT IOVA (M)4!A.MI. OtSSIM•09S Cost Basis Market Price Market Valve Unrealized Gain/ Lou Statement Period: 12/0112013 - 12/3112013 Estimated Estimated Annual Income Yield 19.0000 529.0800 15.2090 19.8000 Security Identifier: APO CUSIP. 037612306 4,999,983 00 31.6100 Security Identifier: AAPL CLSIP 037833100 1,058.120 50 561 0200 Security Identifier: ARIA CUSP 01033A100 114,597.40 8.8200 178,400.00 8.8200 290,097.40 1290,997.40 Security Identifier: ASNA CliSIP: 043516101 1.500.000 00 21.1600 Security Identifier: B118 CL SIP: 09062X103 250.151 95 279.5720 Security Identifier: BDRBF CUSP 097751200 125,700.00 4.3396 Security Identifier: Fa CUSP: 3030311102 665.000.00 54.6490 Security Identifier: GE CUSP. 369604103 496.109 08 28.0300 8.318,392.77 3,318,409.77 1.122,040.00 51,388.70 61,380.00 112,761.70 63.919.50 433,208.70 -115,020.00 -178,22810 1.039.470.15 12.49% 21.460.00 2 17% 21.2770 119.5490 6.2850 38.0000 21 5700 $112,711.70 -$175,221.70 1.491.780.00 585,703 34 86,792.74 956.357 50 644,690 00 8.220.00 335,248 39 .38,90726 291.357 50 118,580.92 10.00 1,912.00 2.20% 20,210.00 3.13% Page 9 of 24 Accounl um her: N46-023804 ....drmcolliont PC.10/109CSF300:2 ()RAIL( I I Go paperless Steen Yeas In A Pow SOUTHERN cerNFIDrwrIAL 0A txcLItA i, Ittor COMAALNVICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Colowleg Persiontall • ••••ff owan•MINwr fe Th..... owe vett ram cagssis es.O• rearyt“ •••.ew calla revs. sin SONY GM_00045501 DB-S6NY-0008325 EFTA_00156I 10 EFTA01288473 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Portfol io Holdings (continued) U.S. DOLLARS (continued) Date .'sired Quanti Equities (continued) Common Stocks (continued) GENERAL M TRS CO COM Dividend Option: Cash 11118110 ' 12/09/10 ' Total Noncovered Total 97,525.000 JP MORGAN CHASE d CO COM ISINPUS46625N1005 Dividend Option: Cask 07/14/05 21,153.000 SANGAMO BIOSCIENCES INC COM Dividend Option: Cash 05128113'.13 50,000.000 TWITTER INC CON Dividend Option: Cash 11107113 1,500.000 Total Common Stocks Preferred Stocks (Listed by expiration date) ALLY FINL INC PERP PFD FIXEDIFLTG RATE SERA CALLABLE Dividend Option: Cash 02/03/12'.13 45 6C0 000 02109112'.13 53 000 000 Total Noncovered 126,600.000 Total 126,600.000 GM AC CAP TR I GTO TR PFD SECS SER 2 125% FIXED RATE 1 FLTG Dividend Option: Cash 02/22/12'.13 80.000.000 ROYAL BANK SCOTLAND GROUP PLC 7.25% WON ADRREPSTG SER T PFD ais CALLABLE ON OR AFTER 12/31/2012 Q 25 Dividend Option: Cad 10/24112'.13 40,000.000 01/07/13 '.13 40,000.000 01114113 '.13 40.000.000 Unit Cod Cost Basis Market Price Market Vale Unrealized Gain/ Lou Estimated Estimated Annual Income Yield 10,988.200 88.536.800 97,525.000 38.4010 38.8160 Security Identifier: OM CUSIR 37045V100 399,978.18 10.8700 3,185,96122 10.8700 3 685 917 38 33,555,947.36 Security Identifier: SN CUSP 4662511100 449,087.74 3.536.759.01 3,985,545.75 49,109.58 350,789.79 399,599.37 488.1810 8.4440 26.0000 10,626,002.00 58.1800 Security Identifier: SGM 0 CUSH>. 800677106 122,214.00 13.8900 Security Identifier: MIR CUSP. 90184L102 39.000.00 63.6500 $3,915,546.75 9399,599.37 1,212,115.44 694,500.00 95.475.00 .9.353,885.56 272,286.00 56,415.00 $0.00 33 064 56 2 59% 19.9140 20.8580 524,069,528.31 Sterility Identifier: ALLY PRB CUSP 02005k308 927.973.76 1,652,500.00 2 580 473.75 $2,580,473.78 Security Identifier: ALLY PRA CUSP. 381860208 26 8500 268500 919,365,452.24 .64,593,055.07 1.251.210.01 2,147,999.99 3,399,210.00 323.236 25 495.499 99 89,736.24 11,119,056.71 99.025 00 791% 170.000 00 7.91% 269,025.00 23.5350 23.7900 24 1100 24 8800 1,882,77360 26.7400 Security Identifier: RN PRT CUSP. 780097713 951,600.00 977,600.00 995,200.00 24.0000 24.0000 24.0000 $3,399,210.00 9515,736.24 2.139.2% 00 959,999 99 959,999 99 960.000 02 256.426 40 8,399.99 -17,600.01 -35,199.98 $269,025.00 162.500 00 7.59% 72,500.00 7.55% 72,500.00 7.55% 72,500.00 7.55% Page 10 of 24 Account Number: 1146-023804 Raged I .t.io-ro SOUTHERN Go Pal , wrless DAMAN RATED COMMUNICATIONS B015109CSF3002: Seven veJ•5 In A Pow ONFID AEN 'IA EXCELLUCK Owns. Way. Perelvoll.C. • Vi•••• egad ••••••••• nnanufNes NV% Mein Ce•••••• MS, rya. ti.0 ma...MA rasa sec SDW_GM_00045502 DB-SDNY-0008326 EFTA_0015611 1 EFTA01288474 PO. Elm 177$. &Immo MO 2IN3 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Armired Onantitir Unit Cod Equities (continued) Preferred Stooks (continued) ROYAL BANK SCOTLAND GROUP PLC (continued) Total Noncovered 120,000.000 Total 120,000.000 Total Preferred Stooks Options CALL 100 AM ERICAN AIRLS GROUP INC COM EV0147450 20.000 OPTION ROOT: ML 1,000.00 of these contracts are in your margin account 12/11113 1,000.000 PUT 100 AM ERICAN AIRLS GROUP INC COM UP 01.17.150 20.000 OPTION ROOT: ML -1,000.00 of these contrads are a shout position 12111113' -1.000.000 Total Options Total Equities Orals° e Sana Poule maim malgenan minim Con. MMP NM$4 WO Mani vt Mwli40Mor Ma rut Asammidfth I loc, Ws Vat PM WIW W)451.230L arm W•4091. Cod Basis Market Price Market Value Unrealized Gain/ Loss Statement Period: 12/0112013 -1213112013 Estimated Estimated Annual Income Yield 2,924,400.00 $2,924,409.00 57,397,647.36 Option Identifier: 990ADTZ.0 Unclothing Security Identifier: AAL Underlying Security Price: $25.25 8.0330 803,314.50 8.8000 Option Identifier 99CIADTIO0 Underlying Security Identifier: AAL Underlying Security Price: $25.25 1.9770 -197,702.00 1.8200 2,880,000.00 32,880,000.00 58,418,410.00 880,000 00 -182,00000 .44.400.00 -$44,400.00 11,030,782.84 -123,31450 15,702.00 217,500.00 $217,500.00 $649,025.00 Date Amend Quantity Unit Cod Mutual Funds iP MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL CLASS Open End Fund Dividend Option: Reinvest: Capital GainsOption: Reinvest 07109113 '.3 78.709.170 25.4100 Total Noncovered 75,709.170 2.854.003 26.4640 3605,612.50 $32,052,758.17 Cost Basis Market Price $406,000.00 -$101,612.50 $28,252,872.24 -$3,759,915.93 Martel Yen Unrealized Gala) Lou $0.00 $1,768,111.71 Estimated Estimated Annual Income Yield Reinvestments to Date Total Covered Total 81,583.173 Total Mutual Funds 2,854.003 Security Identifier: NAIX CU SIP 4812A2587 2,000,000.00 27.1500 2,000,000.00 75,527.25 27.1500 76,627.25 62,075,527.25 62,075,527.25 2,136,953.97 2,136,953.97 77,486.18 77,486.10 136,953.97 136,953.97 1,958.93 1,959.93 12,214,440.15 1138,912.90 32,214,440.15 $138,912.90 19,757.57 0.92% 19,757.57 716.41 0.92% 716.41 320,473.98 320,473.98 Paget' of 24 Account Number: 1146-023804 Rai•ed I .e•iwnt B0105109CSF300:2 S., en Ye.ws In A Row SOUTHERN c. N DALSA• RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CFIDGAiNPaPe"TriesisACk). uciLLocr rmarm:m. mammon • may poem emmeen tm mops Esma Demo te•C SDNY_Glke 00045503 DB-SDNY-0008327 EFTA_00156112 EFTA01288475 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Quantity Unit Cost Cost Basis Market Price Exchange-Traded Products DEUTSCHE BK AG LONDON BRH 06 AGRIC DOUBLE LONG TRADED n T Dividend Option: Cash; Capital Gains Option: Cash 07112110'.33 50.000.000 7.0510 WISDOMTREE TR JAPAN HEDGED EQUITY FD Dividend Option: Cash; Capital Gains Option: Cash 60,000.00 of these shares are in your margin account 12/11113 60.000.000 49.4350 Total Exchange-Traded Products Market Value Unrealized Estimated Estimated Gain/ Loss Annual Income Yield Security Identifier: DAG CUSP: 25150558 352,529.00 7.2800 Security Identifier: DXJ CUSH". 97711W851 383.000.00 2.96(098.50 50.8400 3.050.400.00 10 471.00 84 301.50 37.081.40 1.21% Total U.S. DOLLARS EURO Deruiption Cash, Money Funds, and Bank Deposits Global Cash Balance $3,318,627.50 $3,413,400.00 Coq Basis 179,407,371.86 Quantity Opening Balance Market Value 890,170,943.94 Closing Balance 0.00 291,816.67 402,106.34 $94,772.50 637,081.40 Unrealized GainlLoss -$2,955,722.26 Currency EUR USD Awued Interest 8354,251.51 Awned Income Estimated Annual Income $3,733,571.31 30-Day Yield Total Cash, Money Funds, and Bank Deposits 0.00 201,816.67 EUR $402.106.34 USD Market Value Curium 291,816.67 EUR 5102.106.34 USD 0.00 $0 00 Accrued Interest Total EURO Unrealized Coq Basis Market Value Gain/ Loss 0.00 $0 00 Awued Interest Estimated Annual Income Total Portfolio Holdings - U.S. DOLLARS $79,407,371.86 $90,573,050.28 -$2,958,722.26 $354,251.51 $3,733,571.31 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 (9RO') (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 winch have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. e010SI09CSF30022 1)ItAil•C p I Page 12 0124 Account Number: N46-023804 Reread f rreararint Go paperless s-v- , " A RCA r °ALBAN RATED COMMUNICATIONS F I DAENT1AL SOUTHERN CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) awls. ans.. Porarblyillt. • *Arent erad•SMINIS• et Timone .oirre vett anon ersisessalunsffier• Pers. +••••• uPC SONY GM_00045504 DB-SONY-0008328 EFTA_00156113 EFTA01288476 PO Ba, 171s. Bat caw MO Dan Portfolio Holdings (continued) Dralsre Poule Wealth Magagenmil MitattS CO•44/4tC, IsP Cettfthe Sank Senoneint *re bet OR,* 315 PIA ONTO. Halter Mew etA ItY Iola (21))4S4.21$4.111147.1.409S Statement Period: 1210112013 - 12/31/2013 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 Ned income security and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances. including those involving continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. 6 The Current Face value represents the outstanding principal balance of the underfying 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 delivering firm or transfening agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Cuirenq Cash Fixed Income Equities Mutual Funds Eabangehaded Funds Total by CCY I. S DOLLAM 18.295.949 37.964,281 28,282,872 2.214,440 3.413.400 90.176,943 USD EURO 291,846 0 0 0 0 291,846 SIR Total USO Equivalent 11,691,066 37,981,281 21,212,172 2,211,110 3,413,100 90,573,050 USDE % of Allocation 20.64% 11.02% 31.23% 2.11% 3.77% 100.00% Schedule of Realized Gains and Losses Current Period Disposition Acquisition Dale Date Disposition Transaction Description Quantity Cog Bat Proceeds Realized Gain/ loss Disallowance Short Term 12112113 04125(13' S9.1 .P MORGAN LATIN AMER ELECT CLASS 49.504150 1100100.00 169,801.91 -130,198.03 First In First Out Security Identifier. JLTSX Total Short Term 31,000,000.00 0869,101.97 -S130,191.03 Long Term 12/02113 11118/10' FSAI. GENERAL M IRS CO COM 0 600 21.84 23.61 1.77 First In First Out Security Idenlifier. GM Page 13 of 24 Account Number: WIG-023601 rx<ollont 0SI09CSF30022 DRAII-C111 Go paperless Sc. e en Yeas In A Pow SOUTHERN CO " F I DA51\ITIAL "Pc RIM COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Iv .crerern Pgesimil...0. • +maw •••••• 6.SW/a verse.ILC ....•••••••• retie In SONY_GM_00045505 DB-SDNY-0008329 EFTA_00156I14 EFTA01288477 Schedule of Realized Gains and Losses Current Period (continued) Disposition Acquisition Disposition Date Date Transaction Description Quantity Cost Basis Total Long Term 321.84 Premeds 323.61 Realized Cain/ IS Disallowance 31.7? Total Short Term and Long Term 31,000,021.84 3869,826.58 -1130,196.26 • 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 (1RC') (incorporating amendments enacted by P.1.110-843. the Emergency Economic Stabilization Act of 2008) and are, therefore, considered "noncovered.- under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are 'covered' under the new cost basis reporting rules Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally wilt 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. This Schedule may not reflect all cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for retum of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 1099-Et or °nine displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and, accordingly, disclaims any and al liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Please refer to the Your Account Information Section in your brokerage account statement for your accounts existing tax4ot disposition method. The disposition method is the method which you have selected to use in the disposal of each tax lot of the securities held in your account. If you do not select a method, your account will be defaulted to First In, First Out (FIFO). Your account's selected tax lot method wit be used to determine the cost basis for calculating gain and/or loss, unless another method was selected at the time of the security disposal, and this may be reported on the IRS Form 1099-8. Messages Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at htips:/Nmwdws-investments,corn/EN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at St per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held In your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual 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 Page 14 oI 24 Account Number: N46-023804 B0105109CSF3002: &.) paper less SR:4: 4 C= P•a". SO L,ThERk CO. LLC. cw.LaAn *A 1 tO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) N F I DrN ucuwcs ITI AL cmccesommoras su.c.nomasecssaneosest massa.sos.svecismoss.cacnesscssav mass, vsecuc scssasseasevas sec SDW_GIA 00045508 DB-SDNY-0008330 EFTA_00156115 EFTA01288478 PO em 1776.8* nay MO 2 I N3 M essages (continued) Gnaw e .n, Pna *Oath Marna POseets I oreitte CM, Casche Lye Sawa w. Mrs `la ON,. .115 Pot Aorta 20th I cur ah+%A WY 10114 4.A.M2LIESSI7.1,409S Statement Period: 12/0112013 - 12/31/2013 • Foreign safekeeping fee: 56 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 kst of Program Banks, please visit httolivinwtowm.rib.cortVarnericas/en/CashSweepOotions.html or contact your Client Advisor. You should advise us of Program Banks with whom you carry depose 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 Sum m ary (All amounts shovm are in base currency: USD) Credits This Period Year.lo.Date Debits This Period Year-to-Date Securities Securities Secunbes Bought 0.00 0.00 Securities Bought .3 844.940 25 4.942.060 75 Secunbes Sold 1.067.527.58 1,067,527.58 Securities Sold 0.00 000 Total Securities $1,067,527.58 $15067,627.58 Total Securities -63,844,940.25 -$4,942,060.75 Dividends and Interest $399,704.74 $836,934.27 Dividends and Interest $0.00 $0.00 Distributions $99,874.36 $365,662.93 Distributions $0.00 $0.00 Taxes Withheld $0.00 $0.00 Taxes Withheld -$118.86 -6118.86 Other $197,702.00 $197,702.00 Other -$197,702.00 -3197,702.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals 000 .126.000 00 Deposits 395.598 16 21,489.602 70 Deposits 000 0 00 Total Cash $395.598.16 121,409,102.70 Total Cash $0.00 -6126,000.00 FDIC Insured Bank Deposits $3,769,413.00 $4,796,03330 FDIC Insured Bank Deposits -$1,642,971.76 -$22,976,705.83 Total Credits $5,929.019.84 $26,752,462.90 Total Debits -$5,885,732.87 -$28,242,597.44 Page 16 of 24 et,1 OSIO9CSF300:2 Account Number: N46-023604 61V Go rless LI Nc CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THERk F I DrWriAL Roelof I x<olient Seven Years in A Pow OALSAII LOCO COMMUNICATIONS area yeah •••••••110. • samy ars as ..tee fa awn ern...means SONY GM_00045507 DB-SDNY-0008331 EFTA_001561 16 EFTA01288479 Transactions by Type of Activity Please, Trade/ Settlement Transaction Date Date AWvi e Dna lot Ouantit Securities Bought and Sold 12102113 MERGER SECLRITY ECHANGED GENERAL MTRS CO COM 97,525.000 GM 12102113 MERGER SECIAITY EXCHANGED GENERAL MTRS CO it PFD CONY SER B 4,75% CIA EFF .71,000.000 37045Y209 121021131 OLD/1.3736 NEW CU 3745V100 GENERAL MOTORS CO 12/04/13 CAST IN LIEL OF FRACTIONAL GENERAL MTRS CO COM PAYMENT OF CIL AT A RATE OF .0.600 GM $39.353 PIS AS 0 F 12102 12104/13 MERGER ADJATM ENT GENERAL MTRS CO COM ALLOCATION OF FRACTI ONS AS 0.600 GM OF 12/02 TO PAY CIL 12/12/13 12/11113 PURCFASED CALL 100 AMERICAN AIRLS GROUP Ike COM EXP 1.000.000 990ADS3Y8 01-17.15020.000 OPTION ROOT: AAL2 OPENING TRANSACTION UNSOLICITED ORDER LNCVRO 12/12/13 12/11113 SOLD SHORT PUT 100 AMERICAN AIRS GROL P INC COM EXP -1.000.000 990ADS978 01-17-150 20.000 OPTION ROOT: AAL2 OPENING TRANSACTION UNSOLICITED ORDER LNO/R0 12113113 12112113 SOLD .P MORGAN LATIN AMERICA FUND SELECT CLASS .49,504.950 J.TSX UNSOLICITED ORDER 12113113 REINVEST CASH INCOME .P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL 800.719 A/MX CLASS 78709.1700 Sh RS SF RS PURCh. AT S26.36000 RD 12111 PD 12113113 12113113 REINVEST CAD, INCOME ..P MORGAN VALLE ADVANTAGE FUND INSTITUTIONAL 1,255.017 NAM CLASS 78709.1700 SF RS SF RS PURCF. AT 526.36000 RD 12111 PD 12113/13 12/16/13 12111/13 PURCFASED WISDOM TREE TR "PAN FEDGED EOUITY FD UNSOL 60.000.000 DXJ AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGEN T 12119113 CUSIP CFANGE CALL 100 LCCULAMRO (100 AAL) EXP01•17•15 0 20 CREDIT .1,000.000 99CIADS9Y8 ACCOUNT 12119113 CUSP CFANGE PUT 100 LCCIAAMR0 (100 AAL) EXP 01-17-15 0 20 1,000.000 990ADS978 CORPORATE ACTIONS • 12/19/13 CUSP CFANGE CALL 100 AMERICAN AIRLS GROUP Ike COM EXP 1,000.000 99CIADTZ4 01-17.150 20.000 OPTION ROOT: AN. CORPORATE ACTIONS • Price Acaued Interest Amount CCY 0.00 USD 0.00 USD 23.61 USD 0.00 USD 8.0031 403.3100 USD 2.0071 197.702.00 USD 17.5700 869,801.97 USD .22,161.35 USD -33.082.25 USD 49.3749 4,966,098.50 USD 0.00 USD 0.00 USD 0.00 USD Page 16 of 24 Accouni Number: NAG-023804 DRARC ti I Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)LIFERN CONFIDAENTIAL Rased mcollent Sew en WIdIS In A Row OALSAR trAltO COMMUNICATIONS EXCII.WICC r owvartr Ps, ut. twom•vo•••••••••••••• Peso „c onciasat NY_GM_00045508 DB-SDNY-0008332 EFTA_00156117 EFTA01288480 PC. Bea 1716, Bat -PI MD 2'2O3 PnitsO, Pam Prmale Wealth Maatentm Mann Cwwye CoP.P Pemba. Oak Sett* eri vic Nee Ibet Oltor MS Pat Nemo, nth incer Pestit PM 10114 P 454401, Ins) 7.84591 Transactions by Type of Activity (continued) Preassi Trade! Settlement Transadion Date Date Ache •e Securities Bought and Sold (continued) 12119/13 CUSIP CF AN GE 990ADTZ00 Desai ma Quan Statement Period: 12!0112013 -12/31/2013 Price Acaued Interest Amount ON 12/23/13 REINVEST CASH INCOME MIX PUT 100 AMERICAN AlFtLS GROUP INC CON EA? 01-17-154 20 000 OPTION ROOT. MI. CREDIT ACCOUNT P MORGAN VALUE ADVANTAGE RAD INSTITUTIONAL CLASS 80804 9060 %I RS SI- RS PURCH. AT $26.75000 RD 12119 PD 12123113 -1.000.000 758.267 000 USD •20.28365 USD Total Securities Bought and Sold • UNITED STATES DOLLAR Securities Withdrawals and Deposits 12/01/13 12103/13 SECURITY RECEIVED GIS15PP18 12/04/13 12103/13 SECURITY RECEIVED G5433BBG8 12/04/13 12(03/13 SECURITY RECEIVED P7807HAF2 12/05/13 SECURITY RECEIVED 40432XFP1 12/05/13 12/05/13 SECURITY RECEIVED 48126NVE4 SECURITY RECEIVED 78423EFS5 12/13/13 SECURITY RECEIVED 126690151 12/13/13 SECURITY RECEIVED 378961AV8 DRAB C III CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6: THERN F I Darn AL LLOYDS TS8 BK PLC EURO ISSUE MEDIUM TERM NOTES 1.500.000 000 IMO XS0717735822 9.875% 12/16/21 REG DTD 12/16/11 CUB LOG CAPITAL NO 1 PLC 144A IS1N$ X.93473106283 8.000% 3.000.000 000 09/15/88 REG DTD 12/15/09 PETRO LEOS DE VENEZUELA NOTES SENIOR 2.50Q000 000 'SINS XS0460516525 5.000% 10/28/15 REG DID 10/28/09 HSBC USA INC MEDIUM TERM k TS BUFFERED tiOTESI.K0 2,000,000.000 TO EURO STOA 50 0.000% 08/29/14 B/E D TO 05/30/13 0902 PMCBNA NC P 72500 .PMORGAN CHASE CO MEDIUM TERM NTS CAPPED 1.000.000 000 CONTINGENT BUFFERED EQUITY NTS0 000% 10/16/11 WE DTD 09/27/13 0902 .FMCBNA NC P 72500 SG STRUCTURED PRODS INC COMMODITY LKD MKT PLUS 2.000.000 000 PROTECTED NOTES 0 000% 08105114 EUE DTD 07/30/13 0902 SMCBKA NC P 72500 COUNTRYWIDE HOME LOANS SER 03.1 CL 014.090% 4.504000000 03/25/33 REG DTD 01/30/03 0902 PMCBNA NC P 72500 GLOBAL MTG SELL RITIZATION LTD/ GLOBAL MTG SCTZN 8.254000000 ISINOU S378961AV83 5.250% 01/25132 REG DTD 04/28/05 0902 .Pil CB/. A NC P 72500 0.00 4,777,412.67 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD 0.00 USD Page t? of 24 Account Number: NIG-023804 Go paperless J. RAFKI Pm<NI•nt Seven Pears In A Paw OALSAA RAICIP COMAAUNICATIONS VOCUI.UPCI .crearerh , Pepisly -C. • wfroav Gard •••••1104, Perm,. tuc ow A mu Sec SONY_GM_000455O9 DB-SDNY-0008333 EFTA_00156I IS EFTA01288481 Transactions by Type of Activity (continued) Proara' Trade/ Settlement Transadion Date Date Activi e Seaarities W Ithdrawals and Deposita (conUnued) 12113113 SECLRITY RECE1VED 45254NNC7 12113113 SECURITY RECEIVED 939336520 Degab loa Otiantit IMPAC CMB TR 2005-2 ASSET BKD BO CL 1-M -2 0 901% 10,000,000.000 04125135 BIE D TD 03103105 0902 .PMCBNA WC P 72500 WASF INGTON NUT LITG SECS CORP 2004-RA2 M TG 1290,000100 PASST1- Ø CTF CL C-8•1 VAR RATE 6.972% 07125133 BIE DTD 06101104 0902 .1:11CBNA WC P 72500 Total Securities Withdtawals and Deposita • UNITED STATES DOLLAR Dlvidendsand Internt 12102113 CASI- DIVIDEND RECEIVED 37045V209 12113113 FDIC INSLRED BANK DEPOSITSIATEREST RECEIVED 458997996 12116113 FOREIGN BOND INTEREST GIS15PP48 12116113 BOND INTEREST RECEIVED 369622%6 12/16/13 BOND IN TEREST RECEIVED 3696225T3 12123113 12126113 12131113 12131113 12/31/13 CASE DIVIDEND RECEIVED J/A1X BOND INTEREST RECEIVED 45250447 71000 SFRS GENERAL MTRS CO it PFD COM/ SER B 4 75% RD 11/15 PO 12/02/13 I k SU RED DEPOS1TS INTEREST CRED1TED 1500000 LLOYDS TSB BK PLC EL RO ISSLE MEDIUM TEN NOTES ISING X50717735822 9.875% 12/16121 REG OTE' 12116111 CLB RD 12/13 PD 12/16/13 2000000 GENERAL ELEC CAP CORP NON CU kl PFD SER A 7.125% 06/12/62 BIE DTD 06112112 CLB RO 11129 PO 12/15/13 1400000 GENERAL ELEG CAP CORP PERP PFD SER C FIXER TO FLTG 5 250% 06/03/63 B/E DTD 06/03/13 CLB RD 11/29 PD 12/15/13 MORGAN VALLE AD VAN TAGE FL N D INSTITUTIONAL CLASS 80804.9060 %Æ RD 12119 PO 12123113 10000009 IMPAC CIA8 TR 2005.2 ASSET BKD BD CL 1.1.2 0.899% 04/25/35 BIE DTD 03103105 RD 12124 PO 12/25/13 FOREIGN SECUR1TY DIVIDEND 20000 %RSBOMBARDIER INC CLASS BRD 12/13 PC/ RECEIVED 12/31/13 BDRBF FOREIGN SECUR1TY DIVIDEND 120000 SFRS ROYAL BANK SCOTLAND GROUP FLG 7.25% RECEIVED SPON ADR REPSTG SER T S CALLABLE ON OR AFTER RBSPRT 12/31/2012 @, 25 RD 12/16 PD 12131113 CASF DIVIDEND RECEIVED 60000 %FIS WISDO M TREE TR JAPAN I, EDGED ECI UITY FD RO DX1 12/27 PD 12/31/13 Price Acctued I nterest Amount OCY 0.00 USD 0.00 USD 0.00 0.00 42,156 25 LSD 425.98 LSD 148.125.00 UD 71.250 00 USD 39.200.00 USD 20,283.65 USD 1.16422 USD 475.44 USD 54.375 00 UD 22.249 20 USD Total Dividends and Internt • UNITED STATES DOLLAR 0.00 399,704.74 Page 18 ol 24 Accounl um ber 114G-023804 Go papeYleSS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CF13 fiFIDe\ITIAL SOLTHER ['Med I^ ~lent Serven Ve..s InA Row GIRAR 11A1tO COMMUNICATIONS IXCILLUICIE Cierss ~~1. Naei.i.C. • I•1~ •••••••».. n?! 4/ TY MO Cf ~I CCM MIG. C ~Ca MC Y Yd •••••••• • MC • 0 Id sec SONY GM_00045510 DB-S6NY-0008334 EFTA _G0156119 EFTA01288482 Pa Got 1771 Belentos x021203 Transactions by Type of Activity (continued) Eleant Trade/ Mellen' Transaction Date Date Activity Type Desai ion Gnaw e San' PrrosieMotah Magatentm Mats CeenteCoMp Deasche Sank Sectoon Mr. bet Once HI Pot Aar. Nth lice! IllerneA 10IW PL7)4,44M. MSS, 7.1.409S Quant Statement Period: 12/0112013 • 12/31/2013 Price Acaued Interest Amount CCI Distributions 12/13/13 LONG TERM CAPITAL GAIN DISTRIBUTION liAlX 12/13/13 SHORT TERM CAPITAL GAIN DISTRIBUTION NAIX 12127113 RETURN OFPRINCIPAL RECEIVED 45254NAC7 12/31/13 LONG TERM CAPITAL GAIN DISTRIBUTION DX1 12/31/13 SHORT TERM CAPITAL GAIN DISTRIBUTION DX1 .P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL CLASS 78709.1700 SliRS RD 12/11 PD 12113113 P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL CLASS 78709 1700 SHRS RD 12111 P012113113 10000000 IM PAC CMS TR 2005-2 ASSET BKD BD CL ¶41-2 0.899% 04125135 WE DTD 03103105 RD 12124 PO 12125/13 60000 SHRS WISDOM TREE TR APAI. HEDGED EQUITY ED RD 12/27 PD 12131/13 60000 SHRS WISDOM TREE TR JAPAN HEDGED EQUITY ED RD 12/27 PD 12131/13 33.082 25 22,161.35 7.334 16 26,266 20 11,030.40 USD USD USD USD USD Total Distributions- UNITED STATES DOLLAR 0.00 99,674.36 TaxesWithheld 12/31113 FOREIGN TAX WITHHELD AT 20000 SHRS BOMBARDIER INC CLASS B RD 12/13 PD .118.86 USD THE SOURCE 12/31/13 BDRSF Total Taxes Withheld • UNITED STATES DOLLAR 0.00 110.66 Other Transactions 12/19/13 MARK TO MARKET FROM SHORT ACCOUNT TO MARGIN ACCOUNT 197.702.00 USD US0999997 12119113 MARX TO MARKET FROM SHORT ACCOUNT TO MARGIN ACCOUNT -197.702.00 USD US0999997 Total Other Transactions • UNITED STATES DOLLAR 0.00 0.00 Cash Withdrawals and Deposits 12103/13 INCOMING CURRENCY WIRE INCOMING CURRENCY WIRE EURO CURRENCY 291.846.67 EL R EUR999995 Exchange Rate: 1.3555 395,598.16E USD Total Cash Withdrawals and Deposits • EURO 0.00 291,846.67 Total USD Equivalent 0.00 395,598.18 Page 19 of 24 imkA8.< ice, Account Number: NIG-023804 Go powerless CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 67e)UTHERN CON F D ni calAL T. Ra•ed x<ollOnt Seven Veen. In A Pow OALIWI itAlt0 COMMUNICATIONS EXCELLING{ OWN.. ••••••••• POWAY Ile. • IMMO. ...HP *SOS. , •ITIan a ales Ma •••••• Canes ren =MSS t LC woe eeA~,.n sae Sec SONY GM_00045511 DB-S6NY-0008335 EFTA _00156120 EFTA01288483 Transactions by Type of Activity (continued) Neese Trade/ Settlement Transaction Date Dale Aaiyil e Devi' roe Ouan Price Accrued Interest Amami r FDIC Insured Bank Deposits 12102113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -265,788 57 USD USO999997 12103113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM .42.156 25 USD USO999997 12105113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 2381 USD USO999997 12112113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 803.311 50 USD WITHDRAWAL USO999997 12113113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -869.801.97 USD USO999997 12113113 FDIC INSURED BANK INSURED DEPOSITS INTEREST REINVESTED .425.98 USD DEPOSITS INTEREST REINVESTED 458997996 12116113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 2,966.098.50 USD WITHDRAWAL USO999997 12117113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -258.575.00 USD USD999997 12120113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 197,702.00 USD USO999997 12127113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -1.16422 USD USO999997 12130113 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -7,334 16 USD USD999997 Total FDIC Insured Bank Deposits • UNITED STATES DOLLAR 0.00 2,126,141.24 Transactions Summary Total Accrued Interest Total Amounl Currency Total Accrued interest USD Equivalent Total Amount USD Equivalent EURO 000 291,846 67 EU R 0 00 395 598 16 UNITED STATES DOLLAR 000 •151.511.19 USD 0 00 -151 511 19 E Represents the U.S. Dollar (USD) Equivalent. The price and quantity displayed may have been rounded. Cash Not Yet Received Security Dividends GENERAL ELECTRIC CO COM Total Cash Not Yet Received Drumm PI Record Dale Payable Date 12123113 01127114 Quantity Held Rate 23.000.000 0.220000 Mount of Payment 5.060 00 $5,060.00 Dividend Option Cash Page 20 of 24 Accounl Number: N4G-023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) C-Fim,IFIDnliAL SOUTHER 12•O•cl r.s.lient Seven Yeas In A Rs COMAAUNICATIONS LAC MUCCI Oms• was Pass u.C. nosy sesSans •••• s ss cams can sem cosmic.° sr..... • s a Pa sa 'Sc SONY GM_00045512 DB-SDNY-0008336 EFTA_OO156121 EFTA01288484 MS= 7771 Barrow 1021203 Bond Maturity Schedule Bond Maturity Market Value 7 to 12 months 5.188.500.00 I to 5 years 2.062.500.00 6 to 10 years 9.829.200.00 Over 10 years 20.884.081 84 Total 37,964,281.84 Bond Quality Bond Oualrlv Market Value 8AA 6.656.000 00 8Arlower 25.085.139 06 kol Rated 6.223.142 78 Total 37,961,28111 Client Service Information Draiu ie .n, Poetic aaini Magnenwl Mieets COrecia Gap Dtaische Ilank Settoa Nr• bet 011o• NINA ••••••. 30th Oar le. AhY IOVA (M)CA.74.4. MSS, 211409S % of Bond Market Value 14% MI 5% le 26% ED 55% - 100% % of Boad Market Value Statement Period: 1210112013 - 12/3112013 Percentages of bond market values are rounded to the nearest whole percentage. Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: TDS Contact Information TAZIA SNI ITh 345 PARK AVENUE 14Th FLOOR NEVI YORK ItY 10154 Your Account Information Telephone Number: 1212) 454.2889 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FAST 01,T Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT Copies of Statement Sent IFFREY EPSTEIN At your request copies of this statement have been sent to the above. Electronic Delivery You have not selected any account cam m unicatMns for electronic delivery. To register and turn off paper communications. log in to your account or contact your Client Advisor for more information. FIRST IN FIRST OUT Page21 of 24 Account kumbec NIG-023804 Dila•Cti Go paperless \l"TiAL SOU n CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) THER CFI" F I Da la•cl x<ellent Seven V.PaIS In A Row CIALIUUI ItAlt0 COMMUNICATIONS (AC GLUM{ gala ••••••••••••••• uLC. nay a••••••dat fa •a as ran Canaan era SDNY_GM_00045513 DB-SDNY-0008337 EFTA _00156122 EFTA01288485 Important Inform ation and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the 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 - NIA— and are omitted from the Total. The estimated annual income (EM) 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 tie 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 wiwtpershing.corNbusress_continuity.html 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 intonation is available 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 concerned your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, Found 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 & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Pools is not responsible for any errors or or issions. 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 fatless 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 not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Cash Not Yet Received Assets shawl 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. Bond Maturity Schedule 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. Page 22 of 24 B01 05109CSF3 0 02: Account h um ber N46-023804 Go paperless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: THEIM F I DSTriAL Paned Iscollsont Seven Yeas inn Row CALMS, ItAltO COMAALINICATIONS ICCUILINCE owns. onsflosaseamsuC. newer ore sans, et mass es meats. rasa cawassesa• mammas* n. n.s tsc see Vs sewn sec SDW_GiA 00045514 DB-SDNY-0008338 EFTA_00156123 EFTA01288486 Important Information and Disclosures (continued) Gralute Sant Poule wean ',anemia wren, Core. bwp DMUS Oa* Senn% Now id Calor 341 petAMist l•th I tcr lieslat. PM 10114 inn *WIN. wis) nnon Statement Period: 1210112013 - 12/31/2113 The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without Inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resuit of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the evening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC Snits. For more detailed information please visit wmv.pershing.comIstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organization and Pershing, within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza: Jersey City, New Jersey 07399; (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is Med. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very baited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a clain 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 unlit al 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. Pershiog's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413.3330. Page 23 of 24 Account Number: N46-023804 RaWd xt •414.t B0105109C5F300:2 Go paperless Ve SOUTHERN Can aC • ENT ; Lu4 °A m er,. • RAZED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) I D A 1 AL 0.40010. Omagh Oorelas ow.••• Can., •••••SI et Tina ay. 'An Needs, Caveaes ST =Mae sec SDNY_GA4_00045515 DB-SDNY-0008339 EFTA_00156124 EFTA01288487 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 REGIKATIONS • 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 OF 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 INSPECTION 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 UABILITIES 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 POSITIONER. 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 PERSHINGS OFFICES. A COPY OF II WILL BE MAILED UPON YOUR WM I TEN REQUEST ON YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: YWYvV.PERSHING.COMMUSiNESS_CONTNUTIY.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 70 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 M3430 PERSHING ALSO REGULARLY REVIEWS REPORTS FOR OUAUTY OF EXECUTION PURPOSES. IF ANY OF THE ABOVE TERMS AND CCNDIH0NS ARE UNACCEPTABLE TO YOU. PLEASE NOISY PERBING IMIEDIAIELY N WRITE.* BY CERTIFIED &WI 1O ONE PERSHP4G PLAZA JERSEY CITY. NJ 073BB ATTAR LEGAL OEM Page 24 of 24 1)PAR•C ti I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Account Number. NIG-023804 Go paperless Rs," ', do e, SOUTHERN CA a OlDaTTIALte 0A tx tUlmenc RPT O COMMUNICATIONS Seven Yeas In A Pow ?ewes.. eete. , ••••••••LLC.:•••••••••••••••1104, SCINY_GM_00045516 DB-SDNY-0008340 EFTA _00115611.25 EFTA01288488 PO ka 1776. 8•It Pc.* MD 21203 Draisre San. Poetic wean Mamtentni Weals COreiteC01,P Cettfthe SW Settoneint Mrs bet Once 315 Pot Aire. 20th liter Mew •ett. hY 101,4 (21))454.7M.IISSInt409, Valuation at a Glance Account Num ber: N10-02 380 4 Statement Period: 11/01/2013 -11/3012013 This Period Year-to-Date Beginning Account Value $64,450,582.78 $0.00 SOUTHERN FINANCIAL LLC Net Cash Deposits and Withdrawals Net SecuAties InlOut of Account 5,937.745 77 0.00 20,968,004 54 48,391,728.96 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 70,3811,328.55 69,362,733.50 ST THOMAS VI 00802 Dividends, Interest and Other Income 505.518.10 703,018.10 K et Chan•e in Portfolio -21.118 32 806 646 73 ndinq Account Value S70.872.398 33 $70,872,398.33 Estim ated Annual Incom e $3.34922298 Your Client Advisor: TAZIA SMITH Asset Allocation Prior Year-Fad last Period This Period ._. bi Cash. Money Funds. and Bank Deposits' 0.00 11,169,638.27 20,573,902.11 LSD Fixed Income 0.00 19,790,125.00 19,692,375.00 USD Equities 0.00 28,745,219.55 28.904,515.13 Non-USD Equities 0.00 1,013,194.98 986.356.06 Non-USD Fixed Income 0.00 316,875.00 320,250.00 Other 0.00 415.500.00 395,000.00 Account Total (Pie Chart) 10.00 284,450,682.78 $70,872,398.33 1 The Bank Deposits in your account are FDIC insured bank deposits. FDIC ins.irel bark deposits are not bounties and are not covered by the Secunbes Investor Protection Corporation (SIPC). These bank deposts are covered by the Federal Depose! Insurance Corporabon (FDIC), up to dovrable limb. See page 2 of the statement for important nformation regarclog the Asset Abcatnn section. % MIcatioe 29.03% 27.79% I 40.78% 1.39% I N N 1 0.15% 0.56% 100.00% Pie Chart allocatepn only includes products that are of positive value. Assets of less than 1% eg holdings yid not display on thes pee chart. Page 1 of 15 Raled I mcollont ...010.•••••••• ••••••••• ISO. • WINO/ Weed B0090 A OWSF 30015 Go paperlesst Seven YeiS In A Roy* or Tinaina•••••••••••••no•••••••••••••••••••• A• V 3 /I • 0 OALIUUI itAMO COMAAUNICATIONS ... •••••••t“ ••••••••••••A POMO SSC c TACULLENC1 SDNY_GM_00045517 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0008341 EF1'A_00156126 EFTA01288489 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data AI values are displayed In U.S. dollars based on interbank exchange rates as of 11/300013. Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain/Loss 0 00 0 00 79.822 51 Long.Term Gain/Loss 000 0.00 4,249,111.81 Net Gain/Loss 0.00 0.00 4,159,292.33 This summary excludes transactions where cost basis intonation is not available. For Your Information Go Papedess. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wealth Management ckents. Sign up today at vnwtmyedocumentsuite.com for this easy, convenient and secure way to receive all of your sensitive account information. If you need assistance during enrollment, please contact your Client Advisor or Web Support at 800-776-7564. 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 Oate Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account kumber. N4G023801 Activity Ending: 11129/13 11101/13 Opening Balance 14.169.638 27 11.169.638.27 11105/13 Deposit DEPOSIT 8.331.02 14.177.969 29 11113/13 Withdrawal WITPORAWAL -39,000.00 11,138,969 29 11115/13 Deposit DEPOSIT 6,100.00 14.145.069.29 11115/13 Deposit INTEREST CREDITED 123.24 11,145,192.53 APY 0.01% 11/18/13 Deposit DEPOSIT 233.506.29 11.378.698.82 Associated Bank NA NO 11118 $250000.00 BUT NO 11/18 $250000.00 Deutsche Bank NO 11/18 512128698. East West Bank NO 11/18 5250000.00 Page 2 of l6 I)RAP C11 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO F I Dtvin AL SOLTHER Account Number: N4G-023804 Go paperless Itakpcl Im<olliont Seven Yeas In A Rove °ALAVA itAltO COMMUNICATIONS DECMIMI Omens. sawsph••••••••• U.C. • wooer canoe *Start ot Tina .••••••••• worn wponestativ warn Passe ttc was. e la sm SDNY_GM_00045518 DB-SDNY-0008342 EFTA_00 I 5 6 I 27 EFTA01288490 PC. Bca I 776, Bat rrow MO 2'2..n FDIC Insured Bank Deposits (continued) Date Activity Type Description Gnaw e Ram Prmaie YnYO Maeatentei Maren Connie G,O.P Ces041w W Sectanas nt. Nos Wart 011Ice 341 Pad. MY,Iiith lice! Reoltat. PM 10114 IM) 4$141•L MOWWf Statement Period: 11/0112013 -1113012013 Amount Balance Sweep FDIC Insured Bank Deposits (continued) INSURED DEPOSITS PROGRAM (continued) NY Community Bank NO 11118 3250000.00 Citizens Bank NO 11118 5250000.00 Texas Capital Bank NO 11/18 525D000.00 TriState Capilai Bank NO 11118 $250000.00 Union Bank of CA NO 11/18 5250000.00 Corn lenity Bank NO 11/18 5250000.00 11121/13 Withdrawal WITHDRAWAL -126,000.00 14,252,698.82 11125/13 Deposit DEPOSIT 63,000.00 14,315,698.82 11127/13 Deposit DEPOSIT 5.992.41415 20.308.113.57 11129113 Closing Balance $20,308,113.57 Total FDIC Insured Bank Deposits $20,308,113.57 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other self directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Income and Expense Summary Correct Period Tear-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Equities Other Dividends 73156.25 0.00 81.250.00 0.00 73,356 25 278.750.00 0.00 0.00 Page 3 of IS e*D9RROSCSF30015 Account Number: N40-023804 Go ~~g)QrIeSS SOUTHERN co r CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) F I DriTnAL Rallrel re<MNnt Seven Years In A Rove GIALLO, RAMO COMMUNICATIONS Oen. avow. Persampu.0.•••••••••••••••~P 40 Mae .010. .1O1Mer• 12.1•••••••••••••••• P al.a LC iv..,-VP/IA on. UPC SONY GM_00045519 DB-SDNY-0008343 EFTA_001561 28 EFTA01288491 10722112'.12.13 100,000.000 102.7690 111,075.49 98.5000 Original Cost Bans: $414,000.00 10123112'.12,13 600,000.000 102.5730 615.139.30 98.5000 Original Cost Bass: 1619.500.00 Income and Expense Sum mary (continued) °meat Period Year-to-Date Taxable Non Taxable Taxable Noe Taxable Interest Income Bond Interest 44.375 00 FDIC Insured Bank Deposits 123 24 Other Interest 40.625 04 Total Dividends, Interest, Income and Expenses 1239,729.53 Distributions Alternative Investments 0.00 Total Distributions $0.00 Portfolio Holdings 0 00 000 0 00 $0.00 44.375 00 123 24 40.625 04 $437,229.53 040 0.00 0.00 $0.00 265.788 57 0.00 265,788.57 $265,788.57 $0.00 $285,788.57 Activity Opening Closing Accrued income 30.Day Current Opening Date Quantity Account Number Ending Balance Balance income This Year Yield Yield Cash, Money Funds, and Bank Deposits 29.00% of Portfolio Cash Balance 0.00 265,788 57 FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 11/01113 20.308,113 570 tilG023804 11129/13 14.169,638 27 20.308.113.57 189.33 123.24 I', /A NIA Total FDIC Insured Bank Deposits 114,169,838.27 120,308,113.57 Total Cash, Money Funds, and Bank Deposits 111,169,638.21 $20,513,902.14 $189.33 1123.24 1189.33 1123.24 Adjusted Unrealized Accrued Date Acquired Quantity Unit Cost Cost Basis Market Price Market Value Gain/ Loss Interest Fixed Income 28.00% of Portfolio (In Matunty Date Sequence) Corporate Bonds HEADWATERS INC GTD SR NT Security Identifier: 12210PAQ5 7.625% 04/01/19 WE DID 03/11/11 CALLABLE 04/01/15 0 103.813 Moody Rating B2 S & P Rating Bs 10122712'.12,13 1.000.000.000 102.7280 1,027,279 56 107 7500 1,077,500.00 50.220.14 12,196.53 Original Cost Ban $1.035.003.00 EARTHLINK INC GTD SR NT FULLY EXCHANGED Security Identifier: 270321AC6 CUSP FROM 27032IA88 8 875% 05/15/19 BIE DTD 05/17111 CALLABLE 05115115 Moody Rating 83 S 8 P Rating CCC• 394,000.00 •17,075.19 1,479.17 591,000 00 -24.439.30 2.218.75 Estimated Estimated Amount Income Yield 76.250.00 7.07% 35,500.00 9.01% 53,250.00 9.01% Page 4 0,16 Account Number: NIG-023804 DRAR•C ti I Go paperless SOL E\" CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) THER LIM F I D lTiAL Raiscl x<ellent Steen Years In A Pow COMMUNICATIONS P.XC PLUMP Oro. anp.I.Ponsifts LLC. • wear canoe sel.oftwr et Yr Paw. Pow von worn cwwfwascoNY maw* Owasso „C moos. IS vast..< SONY GM_00045520 DB-SDNY-0008344 EFTA (x1156129 EFTA01288492 Portfol io Holdings (continued) Oralute Sant Poule Wei4010.0.0gental Mats Corrine 6%0 DMUS SW* Senn% 02. Nor Ibrt OPlor 30 Pat Ao0•00 !Uhl *cc Ifeolat. PM 10154 P *WIN. nnon Statement Period: 1110112013 - 11/30/2013 AdJgded Date ired Unit Cod Cuzrt, Coat Bads Market Price Market Valve Unrealized Gals/ Loss Acand Interest Estimated Estimated Annual Income Yield Fixed Income (continued) Corporate Bonds (continued) EARTHUNK INC GTD SR NT FULLY EXCHANGED (continued) Total Noncovered 1,000,000.000 1 020 514 79 985,000.00 -41,514.79 3,697.92 58,750.00 Total 1,000,000.000 $1,026,514.79 $985,000.00 -$11,511.79 $3,697.92 08,750.00 SERVICEM ASTER CO SR NT - CUSIP FULLY SU:WV Identifier: 81760NAN9 EXCHANGED FROM OLD CliSIP 81760KAL3 8.000% 02115/20 8/E DTD 02/13/12 Moody Rating CMI S 8 P Rating CCCv 01121113 '.12.13 T500.000.000 105.1570 1,581,861.08 100.0000 1.500.000.00 .81,861.08 35,000.00 120.000.00 8.00% Original Cost Bags: 51,595,625.00 02/25/13 %OM 1,000,000.000 106.0700 1,060,700.13 100.0000 anginal Cost Basis: $1.070,000.00 1,000,000.00 -60,700.43 23,333.33 80.000.00 8.00% Total Noncovered 2,600,000.000 2,642,561.51 2,500,000.00 -112,551.51 58,333.33 200,000.00 Total 2,600,000.000 S2,642,561.51 $2,500,000.00 -$142,01.51 $58,333.33 $200,000.00 SOUTHERN CALIF EDISON CO Security Identifier: 842400FU2 PREF SERE 6.250% 02/01/22 B/E DTD 01117/12 CALLABLE 02101122 Moody Rang BAA2 S P Rating BB& 01/30112'.3,12 3,000,000.000 99.7870 2,993,601.03 103.5000 3,105,000.00 111,398.97 61,979.17 187,500 00 603% Original Cost Bags: 52 992,564 97 BARCLAYS Bk PLC CONTINGENT CAP NT Security Identifier: 06739F1180 13140US06739FHK03 7.750% 04110123 B/E DTD 04110113 CALLABLE 04/10118 58 P Rating 88' 04103/13 '.12.13 300,000.000 100.0000 300,000.00 106.7500 320,250 00 20.250.00 3,229.17 23.250,00 7.25% Original Cost Bass: 5300.000.00 PM ORGAN CHASE 8, CO DEP MS FtEPSTG Madly Identifier: 46625HHA1 1110TH PFD SER I AXED TO FLTG RT ee 7.900% 04129149 B1E DID 04123/08 Moody Rating Ml St P Rating BOB 06115/11 '.3.12 2,500,000.000 101.5000 2,687,500.00 110.5.300 2.762.500.00 75.000.00 16,458.34 197.50000 7.14% Original Cost Bads: $2,687,500.00 06/15111 '.3.12 2,500,000.000 107.0000 2,675,000.00 110.5000 2,762,500.00 87,500.00 16,458.33 197,500.00 7.14% Original Cost Bares: 52,675,000.00 Total Noncovered 5,000,000.000 5 362 500.00 5,525,000.00 162,500.00 32,916.67 395,000.00 Total 5,000,000.000 $5,362,500.00 0,525,000.00 $162,500.00 532,915.67 $395,000.00 Page5 of 10 Account Number: MG-023804 ' 0 9000SCSF3C01: Go paperless St en Yeas In A Pow SO id TH ERN C r 0Atx hi l n DnigiA r.064 IVO COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIKI. P. 6(e) owes • raga r s • IA& &radar elipao• *San 08 Timiga•••••••00.•••••nca.oriesev •••••• Par* twandrairea rata let SDNY_GIA 00045521 DB-SONY-0008346 EFTA_00156130 EFTA01288493 Portfolio Holdings (continued) Date mired Guantit Unit Cost Fixed Income (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON CON ULATIVE DEP Security Identifier: 060505078 SFS FIXED TO FLOAT 8.125% 04/30158 B/E DTD 04130108 CALLABLE 05/15118 Moody Rating BA3 SS P Rating BB+ 01/10/11 '.3.12 2,000,000.000 102.7500 2,055,000.00 111.5000 2,230,000.00 175,000.00 6,770.83 162.50040 7 28% Original Cost Bass: 52,055,000.00 GENERAL ELEC CAP CORP NON CUM PFD SER Security Identifier: 3698225116 A 7.125% 06/12/62 B/E DID 08112/12 CALLABLE 06/15122 Moody Rating BAA1 S 8 P Rating M• 06727/12 ',12,13 2.000.004000 105.5300 2.110405 12 1111500 2,225,000.00 114,394.88 65,312.50 142.500.00 6.40% Original Cost Basis. 52.122.916.67 GENERAL ELEC CAP CORP PERP PFD SER C Security Identifier: 369622573 FIXED TO FLTG 5.250% 06103/63 B/E DTD 06/03113 CALLABLE 06/15/23 Moody Rating BMI S 8 P Rating M. 0509/13 '.12.13 1.400.000 000 100 0000 1,400.00000 94.5000 1,323,000.00 .77.000.00 36,137.50 73.500.00 5.55% Original Cost Bass 51.404000.00 PM ORGAN CHASE I CO 6.000% 09/01186 BM Security Identifier: 48126HAA8 DTD 07129/13 1ST CPN DTE 02/01/14 CPN PMT SEMI ANNUAL ON FEB 01 AND AUG 01 Moody Rating BA1 S 8 P Rating BBB 07/22/13 '.12.13 750,000.000 100.0000 750.000.00 96.2500 721,875 00 .28,125.00 15.125.00 45.000.00 6.23% Original Cost Bass: 5750,000.00 Total Corporate Bonds 119,668,062.01 120,012,825.00 1344,562.99 1295,996.82 $1,394,250.00 14950,000.000 Total Fixed Income 119,688,062.01 320,012,625.00 1344,562.99 3295,999.62 $1,394,260.00 18,950,000.000 Unrealized Estimated Edimated Date Acquired Quantity Unit Cod Cod Basis Market Price Market Value Gain/ Loss Animalism.* Yield Equities 38.00% of Portfolio Common Stocks APOLLO GLOBAL M GM T LLC CL A SHS Dividend Option Cash 03/29/11 '.13 263. t 57 000 19 0000 APPLE INC CON Dividend Option: Cash 10/28113 2.000 000 529 0600 ARIAD PHARMACEUTICALS INC Dividend Option Cash 02/14112 '.13 7.535 000 15.2090 Adjusted Cost Basis Market Price Market Valve Unrealized Gain/ Loss Accrued 'Merest Estimated Estimated Annual Income Yield Security Identifier: APO CUSIP. 037612306 4499,983 00 30.1900 Security Identifier: AAPL CLISIP. 037833100 1.058,120 50 556 0700 Security Identifier: ARIA CUSIP 04033A100 114,597.40 4 8400 7,944,709.83 1.112.140.00 36,469.40 2.944.726.83 54,019.50 48,128.00 1,039,470.15 13.08% 24.400.00 2.19% Page 6 of 16 Account Number: N46423804 PC,C1901301CSF30015 1,11AR < . I Go paperless SOUTHERN ['EC teN LL - oits AL1Sr EtA •CC ltO COmmuniCATtOnrS 11.1O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) O ID riAe r ellmetarLLO.••••••••••••••••••••••• yeses. wearanNA on a In SDNY_GM_00045522 DB-SDNY-0008346 EFTA_00156131 EFTA01288494 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) PO Eka 1716. Bal nbre-tr 2, P33 Portfolio Holdings (continued) Date A ned UnitCosi (lurt' Equities (contmued) Common Stocks (continued) ARIAD PHARMACEUTICALSINC (continued) 01124113 '.13 9,000 000 19.6000 Total Noncovered 16,535.000 Total 16,535.000 ASCE/JA RETAIL GROUP INC CON Dividend Option: Cath 01/16101 "Ån 70,500.000 BIOGEN IDEC INC COM Dividend Option: Cash 02/14/12 '.13 2,095.000 BON BARDIER INC CLASS 8 Dividend Option: Cash 07/10/07 'Ån 20,000.000 FACEBOOK INC CL A Dividend Option: Cash 05117/12 ".13 17.500.000 GENERAL ELECTRIC CO COM Dividend Option: Cash 04/23/13 ',13 23.000.000 P MORGAN CHASE 8. CO COM IM/1346625h 1005 Dividend Option: Cash 07/14/05 9.12 21.753100 SANGAM 0 BIOSCIENCES INC COM Dividend Option: Cash 05128113'.13 50.000.000 TWITTER INC CON Dividend Option: Cash 11/07113 1.500.000 Total Common Stocks 21 2770 119 5490 6.2850 38 0000 21.5700 488.4840 8.4440 26.0000 Draisre Bana Ponie Mai P. Mamenme PdarsiesCoreateGoe•P Cettu IM Smog. Mc - MIL -or Ha Paa As~. l•th .Iocr lereell" 10114 P tOPPPapiss»anon Coat Basis Martet Prim Martet Valne Unrealized Gain/ Lou Statement Period: 11/0112013 - 11/302013 Estimated Estimated Animal lomme Vidd 176,400.00 4.8400 290,997.40 $290,997.40 Security IdentIller ASNA CI,S1P: 043516101 1.500.000 00 213000 Security Identiner: BIIB CLS1P: 09062X103 250.454.95 290.9700 Security Identlfier: 8DRBF CUSIP. 097751200 125.70040 4.5158 Seairity Identifier: F8 MAP 30303M102 665.000.00 47.0100 Security Identiller GE CUSIP: 369604103 496.109.08 26.6600 Securlty Identifier: PM CUSIP 46625H100 10.626.002.00 57.2200 Seairlty identifier: SGM 0 CUSIP. 800677106 422.214.00 12.2100 Security identiller: TWTR CUSIP. 90184L102 39.000.00 41.5700 $20,473,580.93 43,560.00 60,029.40 -210,90.00 -132,840.00 00,029.40 4210,90.00 1,501.650 00 609.582 15 90.315.46 822.675 00 613,180 00 1.650.00 359,127.20 -35,383.54 157,675.00 117,070.92 1,244,706.66 -9.381,295.34 810300.00 62.355.00 188,288 00 23.355.00 914,691,644.50 -$5,781,738.43 $0,00 1,939 74 2.14% 17.480.00 2.85% 33.064.56 2.65% 91,116,354.45 Page? «H Accou um ber: N46423804 Rand ~lent BOOMPSO.SF3C 015 Go paperless Seden ytan in Rom/ SO L ERN Ö m Kl F I DrN TIA ~ 1 "`"“jc"lt 0. CONISAUNIC" »OSIS 0~4 orren/sa ut. • ~ar esse ~an *nr Rue ei okat ramm ~is mer eror* ~sett< ens rem. dec SDW_GA4_00045523 DB-SDNY-0008347 EFTA_00156132 EFTA01288495 Portfolio Holdings (continued) Date • vired Qeantit Unit Cost Equities (continued) Preferred Stocks Rioted by expiration dale) ALLY FINL INC PERP no FIXEDIFLTG RATE SERA CALLABLE Dividend Option: Cash Security Identifier: ALLY PRB CUSP 02005N308 02/03112 '43 46.600.000 19.9140 927.973.76 267635 1,247,179.11 319,205.35 99.025 00 7.93% 02109/12'.18 80.000.000 20.6580 1,652,500.00 26.7635 2,141,079.99 468,579.99 170.000 00 7.93% Total Noncovered 126,600.000 2060,473.70 3,381,259.10 807,186.34 269,026.00 Total 126,600.000 $2,660,173.76 $3,368,250.10 $107,715.34 1269,026.00 GM AC CAP TR I GTD TR PFD SECS SER 2 Security Identifier: ALLY PRA 125% FIXED RATE / FLTG CUSIP. 361860208 Dividend Option: Cash 02/22112 80.000.000 23.5350 1,882,773.60 26.8200 2,145,600.00 161.816.40 162,500.00 7.57% GENERAL MTRS CO a PFD CONV SER B 4 75% Security identifier: 37645V299 Dividend Option: Cash Pose Estimated as of: 11/22/13 11118110'.I3 8.000.000 50.0000 400,000.00 51.4000 411,200.01 11,200.01 19,000.00 4.62% 12109110 '.13 63.000 000 50.5710 3.185,969 22 51.4000 3,238,199.99 52,230.77 149,625.00 4.62% Total Noncovered 71,000.000 3,515,969.22 3,649,400.00 63,430.78 168,626.00 Total 71,000.000 63,585,969.22 83,649,100.00 163,430.76 1168,625.00 ROYAL BANK SCOTLAND GROUP PLC Security Identifier: RBS PRT 7.25% SPON ADR REPSTG SER T PFD SKS CLAP. 780097713 CALLABLE ON OR AFTER 12131/2012 9 25 Dividend Option: Cash 10/24112 .43 40.000 000 23.7900 951.600.00 24.6400 985,599 99 33.999.99 72,500.00 7.35% 01107113 '43 40,000.000 24.4400 977.600.00 21.6400 985,599 99 7,999.99 72,500.00 7.35% 01/14/13 '.13 40.000.000 24.6800 995.200.00 24.6400 985.600 02 939998 72.500.00 7.35% Total Noncovered 120,000.000 2,924,400.00 2,951,800.00 32,400.00 217,500.00 Total 120,000.000 12,924,400.00 $2,966,800.00 $32,400.00 $217,500.00 Total Preferred Stocks $10,973,616.58 $12,140,059.10 $1.186,442.62 $817,150.00 Total Equities 631,117.197.51 126,831,903.60 .14,615,293.91 $1,934,004.45 Unrealized Estimated Estimated Date Aosired Quantity that Oil Cost Basis Market Price Market Valve Gain! Loss Annual Income Yield Mutual Funds 4.00% of Portfolio P MORGAN VALUE ADVANTAGE FUND INSTITUTIONAL CLASS Open End Fund Dividend Option: Reinvest; Capital Gains Option Reinvest 01109113 '4.52 78,109.170 25.1100 Cost Basis Market Price Market Valve Unrealized Gain/ Lou Estimated Estimated Annual Income Yield 00090IMCSF3COn Security Identifier: WAIX CUSP 4812A2587 2,000,000.00 27.4800 2,162,921.99 162,927.99 19,960.61 0.92% Page 8 of 16 Account Number: N4G-023804 Cso paperiess Robed (Piollont Seven Years In A Raw OALSAII ItAltO COMMUNICATIONS EXCII.W.CC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6: "ERN ONFID - ENTIAL Owes. no. Pasmitte. nada,. OS, ••••40W1 f0 7.• Noe Ts* •.•••• C•••••••• IMSIO• Peftte. L C 'S r SDW_GA4 00045524 DE-SONY-0008348 EFFA_00156133 EFTA01288496 Portfolio Holdings (continued) Date Acquired Mutual Funds (continued) P MORGAN LATIN AMERICA FUND SELECT CLASS Open End Fund Dividend Option: Reinvest: Capital Gins Option: Reinvest 04125113 'OM 49,504 950 20 2000 Total Mutual Funds Quantity Unit Cod Draisre Banc Or male Wall" Magatenmi maeartsConfaireCno.p CesbOw Yak Mclean vic. NON M Mo. 345 FM ASso. ]Mir I ker Ws Wet PM 10114 P 4$4411111. M -409S Statement Period: 11/0112013 - 11/30/2013 Unrealized Estimated Estimated Cost Basis Market Price Market Value Gala? Loss Annual Income Yield Suavity Identifier: LTSX CU SIP 4812A3478 1 000,000 00 $3,000,000.00 18.1000 896,03910 -103,96040 93,056,967.59 $58,967.59 88465 009% $20,645.29 Unrealized Estimated Estimated Date Ameired Quantity Unit Cop Cost Basis Market Price Market Value Gain/ Loss Annual Income Yield Exchange-Traded Products t00% of Portfolio DEUTSCHE BK AG LONDON BRH DB AGRIC Security Identifier: DAG DOUBLE LONG TRADED NT CUSP: 25154F1558 Dividend Option: Cash; Capital Gains Option: Cash 07112110 '.13 50.000.000 7.0510 352.529.00 7.9000 395.000.00 42.471 00 Total Exchange-Traded Products $352,529.00 $395,000.00 $42,471.00 $0.00 Unrealized Awued Estimated Cod Basis Market Value Gain/ Loss Interest Annual Income Total Portfolio Holdings $75,041,690.66 $70,672,398.33 -$4,169,292.33 $295,998.62 $3,349,222.98 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 ("IRC') (incorporating amendments enacted by P.L110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, coosidered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. AI 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 wig be reported to the IRS on form 1099.8 for the applicable tax year in which the security is dsposed. 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 t, 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 feed income security and certain attributes, obtained from Page 9 of Account k umber: N46-023804 xtelld.t S 0901305CSF30015 ()RAH (HT Rar,! riess V•71:112DACCOZMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 67e)LTHERk C O K1 F I DrN TIA L • •••••• arose women ...nay ut. • IMMO/ Ma ry TI•aaMML•F,••••IMMO CGOINDISMS •••••••„C ••••••.• SSC SONY GM_00045525 DB-SDNY-0008349 EFTA_00156134 EFTA01288497 Portfolio Holdings (continued) sources believe: 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 invoNing continuously callable bonds. foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing finn and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transfening agent and Pershing makes no representation as to the accuracy of this information. M essa•es Please note the following information for Pershing's 2013 IRS Forms 1099 (B, DIV, INT, 0ID 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 or a special Pending 1099 Notice. The Pending 1099 Notice wil 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, are will provide the anticipated mad date of your 1099 form. Your 1099 will be mailed 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 (FDIC)-Insured Bark Deposits are rot protected by Securities Investor Protection Corporation(SIPC) For disclosure of rates for DWS money market funds, please visit the DNS Investments website at https:/Nnwr.dws-investrents.conVEN/products/money-market-fundslields.jsp. Please note that all money market funds listed 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 httolAwerrovan db.conVamericasIentashSweeD0obons 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. 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: S95 • Estate valuation fee: $300 base fee (per client) plus S5 per publicly traded security and $25 per non-publicly traded security • Foreign safekeeping fee: S6 per position, per quarter Go Paperless. Electronic delivery of certain account communications is now available. Sign up today at iwnv.myedocumentsuite.com 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, h* 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. Page 10 of 18 Account N umber: N46-023804 fu, pd BOO 90005-CSF3 0 : I., Go paperless SevenVera In A Row S0UTI- ERhCON F DAENTIA L*. OA m etA ntoc it RIC O COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Sums. otter AinNoeUti. mad.. awod moms, sessesc six sc.... es sass sec SDNY_GM_00045528 DB-SONY-0008350 EFTA_00156135 EFTA01288498 PO Sc,, 1776, Ookon:rx MO 212u3 Draisre Pant PF.ICPotain Ma.zigenan weans Cowan CtelsOw Is* Maori vt Olemelid0Mor MS Fmt Awasjfth I Wu Ifes•at. WIW P 0 )454-2101.1,41M-4091. Activity Sum m a ry (All amounts shown are in base currency: USD) Statement Period: 11/0112013 - 11130/2113 Credits This Period Tear10-D ate Debits This Period Year-to-Date Securities Securities Securities Bought 0 00 0.00 Securities Bought •39.000.00 4,097,120.50 Total Securities $0.00 $0.00 Total Securities .$39,000.00 •St.097,120.50 Dividends and Interest $239,729.53 $437,221.53 Dividends and Interest $0.00 $0.00 Distributions $265,788.57 $705,780.57 Distributions $0.00 $0.00 Cash Cash Withdrawals 0.00 0.00 Withdrawals •126 000 00 -126,00000 Deposits 0,083,745.77 21,094,004.54 Deposits 000 0.00 Total Cash $6,063,745.71 $21,014,001.54 Total Cash .$116,000.00 4120,000.00 FDIC Insured Bank Deposits 3165,000.00 $1,025,620.50 FDIC Insured Bank Deposits .66.303,175.30 .S21,333,734.07 Total Credits $034,263.87 122,522,613.14 Total Debits •16.468.475.30 -$22.554,554.57 Transactions by Type of Activity Noma Trade/ &Bimini Transaction Date Date Activity Type Desuiption Quantity Price Accrued Interest Amorist Ca SecurlUes Bought and Sold 11113113 11107113 PURCHASED TWITTER INC COM PROSPECTUS UNDER SEPARATE COVER 1 500 000 26 0000 •39.00000 USD T1NTR Total Securities Bought and Sold • UNITED STATES DOLLAR 0.00 -39,000.00 Dividends and interest 11114113 CASH DIVIDEND RECEIVED 2000 SHRS APPLE INC CON RD 11111 PD 11/14/13 6,10000 USD AAPL 11115113 CASH DIVIDEND RECEIVED 126600 St-REALLY FINL INC PEPP PM FIXED/FLTG RATE SER 67,256.25 USD ALLY PRB A CALLABLE RD 11101 RD 11115113 11115113 CAS" DIVIDEND RECEIVED KAMERCO PE NONNON COM ULAT1VE DEP %IS FIXED 81,250.00 USD 0605050 TO TO FLOAT 8.125% 04130158 B/E RD 11101 PD 11/15/13 CASH NT 2000000 11115113 BOND INTEREST RECEIVED 1000000 EARTFUNK INC GTD SR NT FULLY EXCHANGED 11,375.00 USD 270321AC6 CUSP FROM 270321ABI 8.875% 05115/18 DIE DID 000901,PSCSF3C01!. 05/17/11 CL8 RD 11101 PD 11115/13 Page11 of 18 Account Number: 114G-023804 rici 6) Go paperless CIA R SOUTH Nc F I D viAC I LItA RATED COMaNVICATIONS ERNCA LL CONFIDENTIAL — PURSUANT TO FED. R GRIM. P. 6(e) 01.010.•••••11.4.01•.1.1.0. • ••••ff Wad •••••INWP 401, e Ono. Yene•••• C••••••••• OW/ MIS, - a ` - - A M r V C SDNY_GM_00045527 DEt-SDNY-0008351 EFFA_00156136 EFTA01288499 Transactions by Type of Activity (continued) ProceØ Trade/ Settlement Transacnon Date Date Actrv, e Dividendsand Interest (continued) 11/15/13 BOND INTEREST RECEIVER ALLY PRA 11115113 FDIC INSLREO BANK DEPOSTSINTEREST REC EI VED 458997996 Total Dividends and Intenst • UNITED STATES DOLLAR Devl Ion 80000 ShRSGMACCAP TRIGTD TR PFD SECSSER 2 8 125% FIXEO RATE! FLTG RD 11114 PD 11115113 INSURED DEPOSITS INTEREST CREOITED Cmantit Prise Accrued Internt Amount CCY 40,625.04 USD 123 24 USD Distributions 11129113 PARTNERSI-IP DISTRIBUTION 263157 SHRSAPOLLO GLOBAL MGM T LLC CL A SI4SRO 265.788 57 USD APO 11122 PD 11129/13 0.00 239,729.63 Total Distributions • UNITED STATES DOLLAR 0.00 265,7116.57 Cash Withdrawals and Deposits 11/04/13 FEDERAL FUNDSRECEIVED 9MORGANCHASEBANK36345 8,33102 USD US0999997 11/21/13 CUSTOM ER AUTFORIZED TRANS TO N4G-026161 -63,000.00 USD TRANSFER US0999997 11/21/13 CUSTOM ER AUTFORIZED TRANS TO N4G-026161 -63,000.00 USD TRANSFER US0999997 11/22/13 CUSTOM ER AUTFORIZED TRANS FRIA N4G•026161 63,000.00 USD TRANSFER USD999997 11/26/13 FEDERAL FUNDS RECEIVER 9 MORGAN CHASE BANK 35250 5.992.414.75 USD US0999997 Total Cash WHhdt.ewals and Depodts • UNITED STATES DOLLAR 0.00 5,937,745.71 FDIC lnsured Bank Deposits 11/05/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM 8.33102 - USD US0999997 11/13/13 HAG INSURED BANK INSURED DEPOSITS PROGRAM 39.000.00 USD WITHDRAWAL USD999997 11/15/13 FDIC INSURED BANK DEPOST INSLRED DEPOS1TS PROGRAM •6,10000 USD US0999997 11115/13 FDIC INSURED BANK INSURED DEPOSITS INTEREST REIN VESTED •12324 USD DEFONTSINTEREST REIS. VESTED 458997996 11/18/13 FDIC INSURED BANK DEPOST INSURED DEPOSITS PROGRAM •233,506.29 USD USD999997 Page 12 ol 16 Accounl tumber N404323804 () e t . Rietod xeellent RAR Ctie Gc.) paperless Swen Yeas In^ Pore OintlAle ROM commumentoers CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6:)LTHERk FIDtNoriAL 01•••10.••••••• AMSIO• LI.C. • %Maat 0•••••• •••••Se et VI. Mn. blers Mt. Wogen Gasts {MW IS.* ••••••• LC ••••••• OMA rnia Set SONY GA4_00045628 DB-SDNY-0008352 EFTA_00156137 EFTA01288500 Draisre Banc Prmaie Wealth 114,atentm MaealstonneetomP CtelsOw Is* Uteri ace. Now Malta. 345 Pin ASS. tab liter lieslat PM 10114 12).A 4 114, 1115121•409, Transactions by Type of Activity (continued) Process/ Trade! Settlement Transaction Date Date Activity Type Desaigba Quantity Price Statement Period: 11101/2013 - 11/30/2013 Mated Interest Amount CC? FDIC Insured Bank Deposits (continued) 11121113 FDIC INSURED BANK INSURED DEPOSITS PROGRAM 126.000 00 USD WITHDRAWAL US0999997 11125/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -63.000.00 USD US:1999997 11/27/13 FDIC INSURED BANK DEPOSIT INSURED DEPOSITS PROGRAM -5.992.414.75 USD U50999997 Total FDIC Insured Bank Deposits - UNITED STATES DOLLAR 0.00 -6,138,475.30 Total Value of Transactions 0.00 265,766.57 The price and quantity displayed may have been rounded. Cash Not Yet Received Security Record Date Payable Date Quantity Held Rate Mount of Payment Divkleed Option Dividends GENERAL IITRSCO .R PFD CONY SER B 4 75% 11115113 12/02/13 71.000.000 0 593750 42,156.25 Cash Interest GENERAL ELEC CAP CORP NON CUM PFD SER 11129113 12/15/13 2,000,000.000 0 035625 71.250.00 Cash A GENERAL ELEC CAP COPP PERP PFD SERC 1109/13 12115113 1,100,000.000 0.028000 39.200.00 Cash FOB TO RIG Total Cash Not Yet Received 8152,608.25 Bond Maturity Schedule Bond Maturity Market Value % of Bond Market Value 6 to 10 years 7,987,750.00 40% I . .1 Over 10 years 12,021,875.00 60% ri Total 20,012,625.00 100% Percentages of bond market values are rounded to the nearest whole percentage. Page 13 of 16 Account Humber: N46-023804 urn <eiii•elt ,D90130SCSF3001/ Go paperless Snden Yeas In A Rove SO t.,11- ERN csOKIFDrNITIALt tx 0Act c RALICO COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Clie•Sellivesph MSS • w••••• a••••• Sel•Wiwt C. Mae 01010 Tett Uses, C.W.Wlei IOW MISS Pal.. LC Iambic VS fa Wile< SONY GM_00045529 DES-S6NY-0008353 EFTA_00156138 EFTA01288501 Bond Quality Bond Quality Market Value % of Bond Market Value BAA 6.653 000 00 33% Ei PkLevier 13 359.625 CO 67% ri Total 20,012,625.00 100% Client Service Information Percentages of bond market values are rounded to the nearest whole percentage. Your Client Advisor: WS Contact Information TAZIA SMITH 345 PARK AVENUE 14TH FLOOR NEW VOW( NY 10154 Your Account Information Telephone Nom bet: {212) 4542889 Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IA FIRST OUT Default Method for Stocks in a Dividend Reinvestment Plan: Default Method for all Other Securities: FIRST IN FIRST OUT 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 Client Advisor for more information. FIRST IN FIRST OUT Important Information and Disclosures I 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 pike 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 wiwypershing.com/busthess_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 distnbutions. 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 Page 14 of 16 Account A um ber NOG-023804 Rani f .collont e*D9080SCSF30015 Go Palwriess eat't .,likvaZITOAct.1.O..cATioNs SO IA-ERN re, KI FtDrNTIAr CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Oirelsg•••••li MOWS& • vo•••••••••••“*".110a - S s _ • . L C - . S . I n SONY GM_00045530 DB-SDNY-0008354 EFTA_00156139 EFTA01288502 Important Information and Disclosures (continued) Oralute bin POW(' Wei11. Ma.ziental Maiats GOWN, 0 ,WP CeettOw Si* Maori C. New art Calor 30 Parli Ycr lers'eat. PM 10114 0 0) CA-MI. PM 7.84091. Statement Period: 1110112013 - 11/30/2013 Options (continued) information is available to you promptly upon your written request directed to your introducing fem. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be 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. doter& 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, routed 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 & Poor's. 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 & 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 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. Bond Maturity Schedule 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 from your financial institution without inquiry or investigation 0) orders for the purchase and sale of securities and other property and (6) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the resin of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which appty 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 suitabibty 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 equines regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • FM 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 Page 15 of 16 Sccouni number: N46-023804 Raked I wabil•nt 00090MCSF3001: Go panerless 4 ) st-- 'less In A Rove SO 11" ERN CNC, LLC. N F I DAENTIAL: DALSA• RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) mrcrurricr ....).....01•V•OrPg•INWAS U.C. rear 4.70 •••••lutt c ..••••• • • • a re SAP< SDW_GM_00045531 DB-SONY-00083.5.5 EFTA_00156140 EFTA01288503 Important Information and Disclosures (continued) The Role of Pershing (continued) 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: vmw.pershing.comrstrength_stability.html. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading), to your financial organtation and Pershing. within ten days after receipt of this statement. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399 (201) 413-3330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by kiry. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abikty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators wil 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 ineigible 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; (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 govern. Pershing's contact information is as follows: Pershing LLC; Legal Department; One Pershing Plaza; Jersey City, New Jersey 07399; (201)413-3330. Page 16 of 16 00090005-7.SF30011, Accounl h umber: N4G-023804 Go rxiiwrless Iret,',7,:ttA SOLT& ERN CZ, LLC. A W ,}T I 0 DALlin• RATED COMMUNECATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) NFID5N TAL EXCELLENCt arts. irseut. • *Maw egins•• •••••14.1 one Ian •rnatit•Yes Caratarmaniol.• ••••••• ILC wet. , VS Rena sec SDNY_GM_00045532 DB-SDNY-0008356 EFTA_00156 141 EFTA01288504 PA Oa 1776, Oseproreled 2I203 Gnaws Banc Prmaie Wealth PAa.zgentive matins Comm, 6 , m, CesbOw Is* Maori me Nowlbort Oltc• HI tar% ASS, Ilithitcr lieslat. PM 10114 45•4101, PSM M-409% Valuation at a Glance Account Number: N4G-023804 Statement Period: 0811912013 -10/3112013 This Period Year.W.Date Beginning Amount Value $0.00 60.00 SOUTHERN FINANCIAL LLC Net Cash Deposits and Withdrawals Net Securities InlOut of Account 15,030,258.77 48,391,728.96 15,030.258.77 18,394,728.96 6100 RED HOOK QUARTER B3 Adjusted Previous Account Value 83,124,087.73 83,121,987.73 ST THOMAS VI 00802 Dividends, Interest and Other Income 197,500.00 197 500 00 Net Chan,e in Portfolio 828.095 05 828 095 05 nding Account Value 56 4 4 50,5 8 2 7 8 $64,450,582.78 Estimated Annual Income 53.188.573 97 Your Client Advisor: Asset Allocation Prior Year•Eed Lad Period This Period % Allocation USD Cash. Money Funds, and Bank Deposits' 000 0.00 11,169,638 27 21.99% USD Fixed Income 0.00 0.00 19,790,125.00 30.71% I USD Equdies 0.00 0.00 28,745,249.55 4410% Non.USO Equities 0.00 000 1,013,194.96 7.57%I Non-USD Fixed Interne 0.00 0.00 378,875.00 0.49% Other 0.00 0.00 475.500 00 0.64% Account Total (Pie Chart' $0.00 $0.00 04,450,682.70 100.00% I The Bank Deposits in your account are FDIC insured bank deposits. FDIC insured barn deposts are not securees and are not covered by the Secuntes Investor Protection Corporation (SIPC). These bank deposes are covered by the Federal Depose Insurance Corporaton (FDIC), up to Snub* limes. See page 2 of this statement for important mformation regarding the Asset Atocaton section. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 9009022145E 30016 N \ I Po Chad allocation only Modes products that are of positive value. Assets of less than 1% of holdings val not dopey on the pie chart. Page 1 of 15 Go t Rued f xtolhent pperless a s— ye— in A Rev' CIALItn• Ft•VTED COMAAUNICATIONS CONFIDEN TAL LX C IL MCC A.. ., +I I D ...... T Orme. Gunmen wows, u.O. • •••••• ••••••1 VOSS, Malls wea•NaaissaM•SMITISMOO •••••••ILC ••••••••IPAPOSS SIC SDNY_GM_00045533 DB-SDNY-0008357 EF1'A_00156142 EFTA01288505 Asset Allocation Disclosure and Footnotes Certain values have been defaulted into the Other Asset Class due to incomplete categorizing data AI values are displayed in U.S. dollars based on interbank exchange rates as of 10/31/2013 Exchange rates can vary. Equities contains Equity Mutual Funds. Summary of Gains and Losses Realized Unrealized This Period Year.to•Date Short-Term Gain/Loss 000 0.00 218.634 31 LonpTerm Gain/Loss 0 00 0.00 5 615 240 88 Net GaIrdLoss 0.00 0.00 5,396,606.57 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. Go Papedess. Deutsche Asset 8 Wealth Management now offers electronic delivery of certain account communications for Wealth Management clients. Sign up today at www.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. FDIC Insured Bank Deposits Oate Activity Type Description Mount Balance Sweep FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM Account Number: N4G023804 Activity Ending: 10/31113 08119113 Opening Balance 0.00 0.00 10117/13 Deposit DEPOSIT 314,640.75 314,610.75 10118113 Deposit DEPOSIT 14,516,581.40 14,831,222.15 10122113 Deposit DEPOSIT 199,036.62 15,030258.77 10/31113 Wdhdrawal WITHDRAWAL •860.62050 14.169,638 27 10131/13 Closing Balance 314,169,636.27 Total FDIC Insured Bank Deposits $14,169,636.27 The FDIC Insured Bank Deposits are not securities and are not covered by the Securities Investor Protection Corporation (SIPC). The Bank Deposits at each bank are insured by the Federal Deposit Insurance Corporation (FDIC) up to $250,000 for each category of legal ownership including individual retirement accounts and certain other sell directed retirement accounts. Please review this in connection with other deposits you may have at each respective bank. Page 2 of 15 Account Number N46-023804 Rad Extellat ei,097221CSF30016 Go paperless s-en Ye...MA Yaw ()PAP (tit SOLTHER °ALMA RAUL) COMMUNICATIONS rO "C11""Cr CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) FIDPNTIA L: asayeas. MS. LW. • oast wad ti e. awry •• a an sia va moan caves aau resew “ mama fwelA Is laC SONY GM_00045534 DB-SDNY-0008358 EFTA_OOIS6I43 EFTA01288506 P0. em 177, 8$4 pee MO 212d3 Income and Expense Summary Gnaw e San. Poo/lewean Ma.zientra Myatt. Corey" C01,1, Myna* Sank Setwari Mew bet Once .115 Pan Owner. Halter Mrs vest kV IOVA (21))4!A.M..111517.44091. Statement Period: 08/19/2013 - 10131/2013 Current Period Year-to-Date Taxable !Ion Taxable Taxable Hon Taxable Dividend Income Other Onidends 197.500 00 0.00 137 5C0 CC 0 J) Total Dividends, Interest, Income and Expenses $197,500.00 $0.09 1197,500.00 10.00 Portfol io Holdings Activity Goring Accreed Income lissome 30•Day Current Opening Opening Date Quantity A nt Number Balance Yield Yield Balance This Year Cash, Money Funds, and Bank Deposits 22.00% of Portfolio Ending FDIC Insured Bank Deposits INSURED DEPOSITS PROGRAM 08119113 14.161631270 N16023804 10/31113 000 t4.169.63827 57.30 000 NM NM Total FDIC Insured Bank Deposits $0.00 $14,169,535.27 167.30 Total Cub, Money Funds, and Bank Deposits $0.00 $14,169,631.27 $67.30 $0.00 Adjusted Unrealized Awued $0 Estimated Estimated Date Awaked Welk, Unit Cod Cost Basis Market Price Market Value Gale/ Lou Interest Annual Income Yield Fixed Income 3 1.0 0% of Portfolio (In Maturity Date Sequence) Corporate Bonds HEADWATERS INC GTD SR NT Security Identifier: 42210PA05 7.625% 01/01/19 WE DID 03111/11 CALLABLE 04101/15 0 103.813 Moody Rating B2 68 P Rating EH 10122(12'.12.13 1,000.000 000 102.7890 1,027,886.00 106.5000 1.065.000.00 37,114.00 6,354.17 76.250.00 7.15% Original Cost Bass: $1,035,000.00 EARTHLINK INC GTO SR NT FULLY EXCHANGED Security Identifier: 210321AC6 CUSP FROM 270321188 8.875% 05/15/19 WE DTO 05117111 CALLABLE 05115115 Moody Rating 03 68 P Raling CM 10122112'.12.13 400,000.000 1021270 111,306.63 98.7500 395,000 00 -16,306.63 16.369.44 35.50000 8.98% Original Cost Ban, $414.00010 10123112'.11.13 600,000.000 102.6270 615.761.13 98.7500 592,500 00 -23,261.13 24,554.17 53,250.00 8.98% Original Cost Basis: $619,500.00 Total Noncovered 1,000,000.000 1,027,087.71 957,500.00 -3907.70 40,923.11 06,160.00 Total 1,000,000.000 $1,021,007.16 $907,500.00 -$39,501.78 $40,923.51 $58,150.00 00097ZZICSF3C016 Page 3 of 15 Account Number: N46-023804 Go parerless CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 693( oUTHERN COALoNFIDArWriAL 12•••clrm<ollent Steen Veen In A Pow OALIW *AIM COMMUNICATIONS ilLUICIE Camnple swamp Owassu.C. • 'Apar wore •••allawt es no min .••••••••• ranyeareagen mar* •••brettc rens ran sec SDW_GIA_00045535 DB-SDNY-0008359 EFTA_00156144 EFTA01288507