EFTA Document EFTA01289201

a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIALUS 6130 RED HOOK QUARTER B3 ST THOM AS VI 00802 Otutt.tkr Lint PtIsair Ohre°. kg4.16 (met' Mulch (pt/art 610,4 Ow Niche east Mw Yon Oke 346 POI *verge. 3611• How Nnw 'mil l „If Clue December 1,2017 - December 31,20 f7 Account Number: Portfolio at a Glance This Period Year4wCialt Your Investment Specialist: BEGINNINGACCOUNT VALUE 391,289,150.11 3117,089,958.26 JOSHUA SHOSHAN Net Cash Deposits aid Withdrawals 60,000.00 -1,213,731.96 Net Securities lo/Out of Account 0.00 42,061,215.50 Adjusted Previous Account Value 97,349,150.71 63,795,008.80 Dividends, Interest and Other Income 216,609.63 3,240,411.59 Total Taxes Withheld 0.00 447649 Other Transactions -2,36 .402.36 Net Change in Portfolio' ,293,210.61 30,243,605.43 Armed 'Meted 5450,463.82 Estimated Annual Income 33,439,222.33 'Nef Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Summary Percent Awl Type Prior Year-End tax Period %%Period 1% Cash, Money Funds, and Bank Deposits 15,864,445.94 4,375,270.63 823,820.96 p 27% Fixed Income 19.233.099.80 26,286,422.71 26,063,479.22 62% Equities 19,000,010.52 51,189,396.32 60,899,388.91 3% Mutual Funds 0.00 3.010.341.05 3,020,938.22 7% Exchange-Traded Products 2,972,400.00 6,427,720.00 8,444,920.00 100% Account Total (Pie Chart) $117,069,956.26 397,289,150.71 $97,272,547.37 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) BO $302i6r530O 25 NFIDO. L Rated EXCIIiiefit (my Yew Same 2007 MAAR WM COMMUNICATIONS EXCILSOICE Page 1 of 34 °awns thsougt Neaten I.LC. atalayievaned WfrOdialy of The Bank o4 New Yea Mellon Corporation (INY Malian) PerOinXII.C.rmtnto ItteRA.filV4PM_00046229 DEMSDNY-0009053 EFIA_00156838 EFTA01289201 Summary of Gains and Losses %abed This Period Vora-Dale Short-Term Gain! Loss Long-Term Gain! Loss Net Gain! Loss This summary excludes transactions where cost basis information is not available. For Your Information 10,129.02 15492.384.19 15.162.513.21 636,964.83 14,372,697.77 15.009.662.60 Unrealized 477,336 29 8.786.895.62 8,409,559.33 The European Central Bank (the' ECB" ) and other credit institutions introduced' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Exchange Rate Table Currency BRITISH POUND HONG KONG DOLLAR APANESE YEN 0.0088 112.6300 RANG 0.0808 12.3760 Exchange rates are based on interbank exchange rates as of 12/ 29/ 2017. Exchange rates can vary. USD Equivalent 1.3525 0.1279 Global Cash Olirenry per U99 Oarency 0.7393 APANESE YEN 7.8170 Total Global Cash Balance Money Market Fund Detail Closing Nesse -267.90 Amount in Base DA rent,/ U80 -2.37 42.37 Dale Activity Type Desalption Amount Bahia Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 120% Activity Ending 12/ 29/ 17 12/01/17 Opening Balance 4.272.639.40 4.272130.40 11/01117 Deposit MONEY FUND PURCHASE 102.631.23 4.375.270 53 12/04/17 Withdrawal MONEY FUND REDEMPTION -158,500.00 4,216,770.63 11/05/17 Deposit MONEY FUND PURCHASE 156.714.76 4,373,485.39 12106117 Withdrawal MONEY FUND REDEMPTION -2,625,890.03 1,747,595.36 12/07/17 Deposit MONEY FUND PURCHASE 21.493.49 1.769.088.85 12108117 Deposit MONEY FUND PURCHASE 31989.68 1.801.978.53 11)11/17 Withdrawal MONEY FUND REDEMPTION -1.801.97893 0 00 12/11/17 Withdrawal SHARES REDEEM ED -86904 -866.04 11/11/17 Deposit ACCRUED DIVIDEND CREDIT 866.04 0.00 12112117 Deposit MONEY FUND PURCHASE 1,477,717.63 1,477,727.53 Page 2 of 3. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 901002t6C630K5F ID Wed banal Clewing through PenhinglIC• awe, owned bery vex Since 2007 seteldlary a The Pak @thew Y.* Mellon DALIARPATEDCOMMUNICATIONS Caporal on (ltly Mem) EXCELLENCE Pt,hat t LC. mente onen.%4qa.GM-00046230 DB-SDNY-0009054 EFTA_00 156839 EFTA01289202 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Money Market Fund Detail (continued) )ecember 1,2017 - December 31,2017 SOUTHERN F1NA NCIAL LLC Date Activity Type Sweep M oney Market Fund (continued) DEUTSCHEGOVT CASH INSTL (continued) Desaiptioi Amount Una 12113/17 Withdraw al MONEY FUND REDEMPTION 416.860 04 960.867.59 12116/17 Deposit MONEY FUND PURCHASE 49,698 32 1810,565.91 12119/17 Withdraw al MONEY FUND REDEMPTION -346,682 85 663,883.06 12120/17 Deposit MONEY FUND PURCHASE 470.00 664,353.06 12127117 Deposit MONEY FUND PURCHASE 61A95 89 725,848.95 12128/17 Deposit MONEY FUND PURCHASE 35.681 25 781,530.20 12129/17 Deposit MONEY FUND PURCHASE 25,228.03 786,758.23 12129/17 Deposit 525.30 767,283.53 INCOM E REINV EST 12/29117 Closing Balance $787,283.53 Total All Money Market Funds $787,283.53 Income and Expense Summary °Merl Peilod Yetloale 'ramble Non Taxable Teti Se Taxable Dividend Income Equities 13,500.00 0.00 1,018,015.34 0.00 Money Market 1,391.34 0.00 103,941.83 0.00 Other Dividends 163,027.71 0.00 1,065,223.52 0.00 Interest Income Bond Interest 38,690.58 0.00 426,560.60 0.00 Other Interest 0.00 0.00 139,834.48 0.00 Expenses Margin Interest 0.00 0.00 0.00 4.63 Withholding Taxes 0.00 0.00 4,076.09 0.00 Fees( Foreign Securities) 0.00 0.00 400.00 0.00 Total Dividends, Interest, Income and Expenses $216,609.63 $0.00 $2,747,199.68 44.63 Distributions Alternative Investments 0.00 0.00 0.00 486,840.45 Other Distributions -2.36 222.19 4.36 23,618.30 Total Distributions 42.36 $222.19 42.36 $510,458.75 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) BO 10 0 24 2CSF300 25 CONFIDO. L Page 3 of 31 Rated ElOillent (my Teat Santo 2007 DMIAR ItATV3 COMMUNICATIONS !ACRID< E Covina through Penbng IIC nib./ evened subsidiary of The Mak eiller Vat Mellon CarpontIon (OM Melba) Peri hnx it F MAAR; YLELGM-00046231 DB-SDNY-0009055 EFIA_00 856840 EFTA01289203 Portfolio Holdings U.S. DOLLARS Opening Dale CASH, MONEY FUNDS, AND BANK DEPOSITS Cash Balance 102,631.23 Margin Balance 0.00 Money Market DEUTSCHE GOVT CASH INSTL 12/01/17 787,283.530 N/A 12/29117 4272.639.40 Total Money Market $4,272,639.40 TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS $4,375,270.63 Account Nastily Number Adivity Ending Opening Balance Chip Wince Accrued Income Income This Yes 30-Day Current Yield Yield Oile Acquired Ordatey Una Cal FIXED INCOME (fit Maturity Date Sequence) °Asset Backed Securities WASHINGTON M LIT IITGSECSCORP 2004•RA2 TG PASSTHRU CTFCLC-8-1VARRATE 6.997%07/251338/E DTO 0510104 Factor 0.39847927 Effective Dele:12/0/11 Current Face Value: 56,038258 12/13113 ." 2 1,290,000.000 76.5190 Adjusted Coil Bath Market Prke 7,000.00 29,539.80 787283.53 $787,283.53 $823,823.33 Market Vslue 0.00 103.941,83 1.10% 120% $0.00 $103,941.83 $0.00 $103,941.83 lamesized Acctued Estimated Est Sled %Mass lateral Annual Income Yield Total Asset Backed Securities 1,290,000.000 Total Current Face Value: 514,038.258 Corporate Bonds CITIZENSCOM lAUNiCATIONSCO SR NT FULLY EXCHANGED FROM 174538AX9 7.25%03,SIS DTD 03/23107M oody Rating 8358 P Rating 8 10103117 1,000,000.000 100.0850 Security Idatifier-939336S20 393,334.91 91.8780 Original Cost Basis: $638,906.71 $393,334.91 472288.07 Security Identifier: 17453BAW1 1,000,849.05 96.0000 Original Cost Basis: VW 01006.00 FRONTIERCOMMUNICATIONSCORP Security Identifier: 35906AAH1 SR NT FULLY EXCHANGED FROM CUSP 8500%04/V20 WE DID 04/4/13Moody Rating 83 S$ P Rating 8 10/11/17 1,000,000.000 98.7510 987,506.00 83.0000 Original Cost Basis: 6987.50680 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) $472,288.07 960.000.00 830.00000 78,953.18 2,997.49 $78,953.16 $2,997.49 $0.00 40.849 05 20,979.17 71.250.00 742% •157.506.00 17.944.44 85.000.00 10.24% 90100242CSF3002 CON5FIDOP Rated tactile.% trey Yew Since 2007 DALIARIATI0 COMMUNICATIONS (XCILUNCI Page 4 of 3' Cleanng through Pershing LC. a *lay evened stall." a The Bank el New Yak Meta CancatIon Ma Mao) Per 91. inx 11.C. menbt• ormA.SCAt4XatelL 00046232 DE1-SDNY-0009056 EFTA_00 56841 EFTA01289204 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) December 1,2017 - December 31,2017 SOUTHERN FlNA N CIA L LLC Date Acquired Quantity Unit Cod FIXED INCOM E (continued) Corporate Bonds (continued) BARCLAYS BK PLC CONTINGENT CAP NT 'SINS US06739AIK03 1.750% 04110123 8/E DID 04/9/13CALLABLE04/DISSS P Rating 81. 04/03/13 T2- 13 300.000.000 100.0000 Adjusted Cud Basis Market Price Market Value EXELA INTER LLC I EXELA FIN INC GTO FIRST PRIORITY SR SECO NT 144A D.000% 071$/23 8/E DID 07/12/17 CA.BMoody Rating 83 55 P Rating B 10/24/17 2,000,000.000 97.0250 DS INVTS GM BH GT0 SR NT REG S 'SINS U5429866453 7250% 04103124 BIE DID 04/03/515 5 P Rating B 10131/17 2,000,000.000 99.0650 Security Identilie4:06739FFIKO 300.000.00 101.5000 Original Cost Basis: $300.000.00 Security Identifier 30 S2RAA9 1,940,506.00 97.2500 Original Cost Basis:61940306.00 Security Identifier: A2986645 1,981,300.00 98.2500 SERVICEMASTER CO NT 7250%03/05'38 B/E DID 03102/98 ET CPN DTE 09/0198 CPN PY T Sall ANNUAL ON IMPOUND SEPO%loody leafing 02 $6 P Rating B Original Cost Basis: $198t300.00 Security Identifier: 817601185 10/18/17 1,000,000.000 103.9830 1,039,829.52 102.2500 Original Cost Basis: $1040,006.00 10/19/17 350,000.000 103.9850 363,946.84 102.2500 Original Cost Basis: $364,00600 10/20II 7 80,000.000 103.9910 83.192.66 102.2500 Original Cost Basis: 58320600 10/31/17 70,000.000 103.9940 72.795.72 102.2500 Original Cost Basis: $72,806.00 Total Covered 1,500.000 000 1,559,764.74 Total 1,500,000.000 $1,559,764.74 304,500.00 1,945,000.00 1.965.000.00 1,022,500.01 357,874.99 81.799.99 71.575.01 1,533,750.00 $1,533,750.00 Jntealized Gair Loss hayed Estimated Estimated totem( Annual Income Yield 4,500.00 5231.25 23250.00 7.63% 4,494.00 93,688.89 200,000.00 10.28% .16,300.00 35,041.67 145,000.00 7.37% -17,329.51 24,166.67 72,500.00 7.09% 1,071.85 8,458 33 25,375.00 7.09% -1.392.67 1.933.33 5,800.00 7.09% -1.220.71 1.69117 5,075.00 709% -26,014.74 36,250 00 108,750.00 426,0104 $36,250.00 $108.750.00 Page 5 or 3' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) BO 10 2.663 (NSF ID Rated [smitten trey Year Since 2007 DAMIARMITO COMMUNICATIONS EXCLIAINCI Clewing Heater halms1SC a vAok owned sobsidiary of The Bank a New Yorlg Mellon CarporatIon (MY Mellon) Periling 11C. tar ot,RA.W.s.q2t.GM-00046233 DB-SDNY-0009057 EFTA 00156842 EFTA01289205 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired Clarity Unit Cost FIXED INCOME (continued) Corporate Bonds (continued) ,PM ORGAN CHASE& CO DEP SHSREPSTG PATH PFD SER 1 FIXED TO RIG RT BD 7900%04/29/49 MOTO 04123/08M oody Rating 8AA3 S P Rating BBB- 08115111 " 12 2.500.000.000 107.5000 06/15/11 " 12 2,500,000.000 107.0000 Total Noncovered Total 5,000,000 000 5,000,000.000 BANK AM ER CORP PERP NON CAM ULATIV E DEP SUS FIXED TO FLOAT 8.25% 04130/58 BJE DID 04130108 CALLABLE05/VMM oody Rating BA2 St P Rating BBB- 01/10111 '.3-52 2.000.000.000 102.7500 SOUTHERN CAUF EDISON CO PREF SER E 6.250% 0117162 WE DID 01'1712 CALLABLE 0210122 © AO 000 M oody Rating BAA1 S8 P Rating BBB- 01130112 ',3 ° 3,000,000.000 99.8800 GENERAL ELEC CO GTD FXD-TO-R.TGRT NON-CUMULATIVE PERPETUAL PREFERRED 4.000% 12/03/65 REG OTD 2/03P6Moody Rating A3 S8 P Rating BBEP 12103115' 2.489.000.000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET AD DI TIER1SC-CS 'NO V55394398642 7.500% 04127/88 BIE DM 04107/1458 P Rating 08- Please Provide • 1,903,000.000 N/A Adjusted Cost Pals Market Rice Security Identifier: 46625HHA1 2.687.500.00 101.2500 Original Cost Basis: $2687,500.00 2,675,000.00 101.2500 Original Cost Basis: $2675.000 00 5.362.500.00 $5,362,500.00 Security Identifier: 0605050T8 2.055.000.00 102.0000 Original Cost Basis: $2055000.00 Security Identifier: 842400 FU2 2,996,392.72 109.2600 Original Cost Basis: $2.992.564.97 Security Identifier:3696046144 2,175,016.17 97.2100 Original Cost Basis: $2.05.01.4 Security Identifier: 539439A04 Please Provide 113.3750 Original Cost Basis: Please Provide CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Market Value 2.531.250 00 2,531,250.00 5.062.500.00 $5,062,500.00 2.040.000.00 3,277,800.00 2.400.114.90 2.157.526.25 Unrealized Oainiloss Acaued Estimated EstInsaled Interest Annual name Yield -156.250.00 32.916.67 197.500.00 7.80% -143,750.00 32,916.66 197,500.00 7.80% -300,000.00 65.833 31 395,000 00 4300,000.00 $65.833.33 3395.000.00 -15.000.00 20.763.89 162.500.00 7.96% 281,407.28 78,125.00 187,500.00 5.72% 225,098.73 4,389.33 98,760.00 4.11% N/A 1,585.83 142.725.00 6.61% BO /3 0 62 C630K5 F ID Rated Ene4lent (my Year Since 2007 DAMAR RATIO COMMUNICATIONS EXCIILLINCE Page 6 of 3' Glenn& tivough Pershing LW. a .holy owned subudiary of The lank a New York Mellon Corporation (SNY Mellon) ‘II•libe Bs )(2 ay6 Nero ym 58 _000004960234 D EFTA_00156843 EFTA01289206 Deutsche Bank P.O. Box 1776, Baltimore. MD 2 12) 3 Portfolio Holdings (continued) U.S. DOLLARS (continued) December t 2017 - December 31, 2017 SOUTHERN FINANCIAL LLC DateAcquired Outstay Unk Cost FIXED INCOM E (continued) Corporate Bonds (continued) CITIGROUPIK FAD RT SR NT PERP DEP RECPT 5950% 001646 Bf E D7006112/6 CALLABLE0815/20 4) 130.0001400dy Rating BA2 SI P Raling 8B• 08/08/15 3.000.000.000 100.0000 Total Corporate Bonds 25,172,000 000 TOTAL FIXED INCOME 26,482,000 000 CiateAcquind Quantity Unit Cod EQUITIES Common Stocks BROADCOM LTD SHSISINO SC999908823 Dividend Option: Cash Adjusted Cost Basis Market Price Murat VS. Unrealized Gain Loss Awued Estimated F9imaled Interest Annual Income Yield Security Identifier 17296725 3.000.005.99 104.5000 Original Cost Basis: $3,000,006.00 3,135,000.00 134,994.01 67,433.33 178,500.00 589% $23,358,840.67 $25,611,191.15 $94,824.23 $447,466.13 $1,798,235.00 $23,752,175.58 Cod Bads Market Pike $26,083,479.22 Mutat Value $173,777.39 Unmixed alarms $450,483.82 $1,798,235.00 Stied NSW Animal Income Yield Security Identifier: AVG° CUSP: Y09827119 09129/17 2,0001 485,814.78 256.9000 513.800 00 27 985 22 14,000.00 2.72% 10113117 2,000 499,916.68 256.9000 513.800 00 1382332 14,000.00 2.72% Total Covered 4,000 000 985,791.46 1.027.600 00 41,808.54 28.000 00 Total 4.000 000 5985,791.46 $1.027,600 00 $41,808.54 528.000 00 ADVANCED M ICRO DEVICES INC COM Searcy Identifier: AND Dividend Option: Cash CUSP 007903'07 50900,00 of these shares are in your margin account 00/15/17 20,000.000 12.2810 245,812.36 10 2800 205.600.00 40,012.36 12115117 30,000.000 12.2300 366,912.57 10 2800 300.400.00 48,512.57 Total Covered 50.000 000 612.524 93 514,000 00 48,524.93 Total 50.000 000 5612 524 93 $514,000.00 498,524.93 $0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) SO 13 0 242 C SP3 CON0 0 25FIDO. L Page 7 of 31 Rated Eacelient Clewing through ltreldis arc wady evened Every Year Since 20O7 sateldiacy a me Mak a New Yea* Mellon DAUIAR RATED COMMUNICATIONS CerpontIon(atlY Mellon) LRCM MCC Perfhnx 11.C.rnott• iineisiONEAGM-00046235 D13-SDNY-0009059 EFrA_00156844 EFTA01289207 Portfolio Holdings (continued) U.S. DOLLARS (continued) Dale Acquired EQUITIES {continued) Common Stocks (continued) ALIBABA GROUP HLDG LTD SPONSORED ADS 'SINS US0109W1327 Dividend Oplion. Cash Quantity Unit Cog Cost Basis Market Price Market Value Unrealized °Silos Estimated Estimated Annual Income Yield Security Identifier. BABA CUSP. 0 809W 1:12 06110115 5.000.000 88.9500 444.749.00 172.4300 APOLLO GLOBAL M GM T Lie CL A SHS Dividend Oplion: Cash Sturdy Idenlifier: APO CUSIP 03762306 03/29/11'm 263.157.000 19.0000 4,999.983 00 33.4700 APPLE INC ODM Dividend Oplion: Cash Security Ideatifier. AAPL CUSP: 037833100 12/07/17 214,000.000 169.8140 36,340,223 40 169.2300 BASF SE SPONSADR ISINI US0552625057 Dividend Oplion: Cash Securily Identifier: BASFY CUSIP 055262505 04/13/15 20.000.000 25.4030 508.056.00 27.4700 BARRETT BILL CORP COM Dividend Oplion: Cash Security Identifier. BBG CUSP: 06846ND4 12/06/17 3,400.000 5.0000 17,000 00 5.1300 MOGEN IDEC INC COM Dividend Oplion: Cash 02114112 ' •3 GEN/ENECORP DEL COM Dividend Oplion: Cash Security Identifier- BOB CUSP 09062X133 231.019 65 318.5700 Security Identifier. CNC CUSIP.15151131 09108114 15,550.000 63.6450 989,679 75 100.8800 FACEBOOK INC CL A Dividend Oplion: Cash Security Idenlifiet FB CUSP. 30303M 1:12 05/17/12 " 3 11.500.000 38.0000 665,000 00 176.4600 GILEAD SCIENCES INC Dividend Oplion: Cash Security Identifier. GILD CUSP: 37555893 02105114 5.000.000 79.2810 396.407 00 71.6400 03107114 3.100.000 79.6120 246,797 00 71.6400 10124117 4,400.000 80.0900 352,395 71 71.6400 Total Covered 12,500 000 Total 12,500.000 995,599 71 $995,599.71 862.150.00 8,807,864.79 36,215,220.00 549.400.00 17.442.00 667.404.15 1.568.684.00 3.088.050.00 358.200 00 222,084.00 315,216.00 895.500.00 $895,500.00 417.401.00 3,807,881.79 486.840.45 5.52% -125,003.40 539,280.00 1.48% 41,344.00 12.092.12 2 20% 442.00 436,384.50 579,004.25 2.423.050.00 -38,207.00 10,400.00 290% -24,713.00 6,448.00 2.90% -37,179.71 9,152.00 2.90% -100,099.71 26,000 00 4100,099.71 $26,000.00 Page 3 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) B010 02t6C630K5F ID0 Rated Galls. Clewing through PeaNnglIC. a udb" owned bay yew Since 2007 Smola, of The Melt OW. Yak Mellon DAIUAR£ATTDCOMMUNICATIONS Corporation (My Mew) EXCIaltha Pennine ltC.n.tater FIKRA.W.Ofuet9M-00046236 DB-SDNY-0009060 EFTA_00156845 EFTA01289208 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EQUITIES (continued) Common Stocks (continued) VOU(SWAGEN A GADR (WOWS) Dividend Option: Cash 04/13/15 09/21/17 Total Covered Total 29.000.000 Total Common Stocks Preferred Stocks (Listed by expiration date) GIAAC CAP TR I GTO TR PRI SECS SER 2 ON- 8.25% FREO ORTLY M ATY-02/ 1/2040 CALL ANYTIME/25 W130 DAYS BEGINS02/1/13 Dividend Oplion: Cash 02122112 '° 80,000.000 Total Preferred Stocks Options CALL 90 TIMEWARN IWC NEW COM NEW DIP 011-1410.000 OPTION ROOT= MX December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC Dustily Unk Cost Cosa EMS Market Price Market Value Unmated GAOL= Estimated La imaled Annual Income Yield 5.000.000 24,000.000 29,000.000 50.8610 34.1880 254,306.00 820,503.00 1,074,809.00 Security Identifier: VLKAY CUSP:928662303 40.4350 40.4350 202.175 00 970.440 00 1,172,615 00 $1,074,809.00 $47,864,435.90 Security Identifier: ALLY PRA CUSP 36160208 23.5350 1,882,773.60 25.9500 $1,882,773.60 10/13/17 10.000 4.5360 PUT 130 GILEAD SOENCESINC EXP 01S-1/75.000 OPTION ROOT: GILD -25.00 of thesecoatracts area short position 12115117' -125.000 1.6790 PUT DO GENERAL ELECTRIC CO COM EXP 0114013000 OPTION ROOT= GE -250.00 of these conliads area short position 12/05/17 -250.000 0.8600 Option Identifies 990AHOGHJ Underlying Security Identifier: TW X Underlying Security Price: $91.47 4.536.00 0.0600 Option Identifier: 990A11114K Underlying Secaiity Identifier. GILD Underlying Security Price: $1164 -20.993.50 3.5600 Option Identifier: 99GAHUOJU Underlying Security Identifier: GE Underlying Setaley Price: S0 .4S 41,493.49 0.6800 CONFIDENTIAL — PURSUANT TO FED. R CRIM, P. 6(e) -52,131.00 149,937.00 91,806.00 691,808.00 $1,172,615.00 $55,385,929.94 2,076,000.00 $2,076,000.00 60.00 44.500.00 -17000.00 $7,521,494.04 193,226.40 $193,226.40 4,416.00 43,506.50 4,493.49 DA 10 0 24 2C SF3 CO0 0 N25FIDO. L 1,706 59 8.191 66 9,898 25 $9,898.25 $1,102,110.82 084% 084% 147,216.00 7.09% $147,216.00 Page 9 of 3'' Rated ficellent Cleanng %Mr Pealing11C a voilay awed Every Year Since 2007 Mallory of The Mak of Yoh Melba DALBAR RATED COMMUNICATIONS CarpontIon (MY MeNon) VICILLINCI Pe„ Einar 11.C. rret-to 00046237 DE-SDNY-0009061 EFrA_00 156846 EFTA01289209 Portfolio Holdings (continued) U.S. DOLLARS (continued) Ode Acquired Nudity Oa Cod Cod Bat Maker Price dirket Value Untested Genloss Ealleseled Winded MaudIncome Yield EQUITIES (continued) Options {continued) CALL 100 BROADCOM LTD SHS Option Identifier 990A1111 *Mt $03999011023 E P 011346260 000 Underlying Security Identifier: AVG° OPTION ROOT: MOO Underlying Security Price: $256.90 -20.00 ol these contracts area shod position 12/15/17 ' -20.000 10.5630 -21.126.51 4.6700 -9,340.00 11,786.51 CALL 130 BROADCOM LTD SHS Option Identifier: 990AM C2D7 ISINt S699990%823 CO 024.1341250.000 Underlying Security Identifier: MOO OPTION ROOT: AVGO Underlying Security Price:5256.90 .20.00 of these contracts area short position 12/15117 ' -20.000 18.4020 -36,803.14 14.5000 -29,000.00 7,803.14 CALL MO SFORS&P 500 ETF TR TR UNIT Option Identifier 990AILYLG CO 03-13-14270.000 OPTION ROOT: SPY Underlying Security Identifier: SPY Underlying Security Price: 3266.86 12111/17 900.000 2.9200 262,806.00 2.9500 265,500.00 2,694.00 Total Options $168925.36 3165 720.00 41 205.38 $0.00 TOTAL EQUITIES $49,914,134.86 $57,627,649.94 $7,713,515.08 $1,249,326.82 nests Eallesered Esthared Dale Aceeked QuestIty Unil Cosl Cod Bids Maker Price Market Value Conlon Annual Monte Yield M UTUAL FUNDS SIAORGAN FLOATING RATE INCOME MO Security Identifier. PHSX CLASS I CUSIP. 4821.59 Open End Fund Dividend Option: Reinvest; Capital Gain Option: Reinvest 09126117 318.809.777 9.4100 3,000,000.00 9.3800 2,994435.72 4,564.26 112,919.23 377% Reinvestments to Date 3,251.867 9.3920 30,542.98 9.3800 30,502.50 40.48 1,151.78 3.77% Total Covered 322,061.644 3,030,542.98 3,020,938.22 4,604.76 114,071.01 Total 322.061.644 53,030,542.98 53.020.938 22 -39.604 76 5111.071.01 TOTAL M UT UA L FUN DS $3.030.542.98 53.020 938 22 49 604 76 3114.071.01 Untaxed Estimated Estimated Date Acquired Quantity Una Cod Cod Bads Mond Rice Market Value maltose Annual Income Yield EXCHANGE-TRADED PRODUCTS ISHARES INC MSQ SOUTH KOREA Elf Dividend Opt ion: Cash: Caudal Gains Option. Cash 11103117 13.000.000 75.8460 &tardy Identifier DV Y CUSP. /6/286772 985,996.98 74.9300 CONFIDENTIAL - PURSUANT TO FED. R CRINI. P. 6(e) 974,090.00 -11,906 98 BO 10 0 24 2C SF30 0 25 CONFIDO. L Rated Eaceilent (my Year time 2007 DMIAR IMO COMMUNICATIONS EXCILlatta 28.291 14 290% Page 10 of 31 Cleating through Penang IIC *tab./ evened sateldiery of Tl,e Bank a New Yeelt Melee Ceoporatton (IINY atelloo) Per ihnx 11.C.nntrber l a) DB-SDNY-0009062 EFrA_00 156847 EFTA01289210 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) U.S. DOLLARS (continued) Date Acquired EXCHANGE-TRADED PRODUCTS (continued) 'SHARES TR CHINA LARGSCAPETF Dividend Option: Cash; Capital Gabs Option: Cash 11103117 21,000.000 46.3690 !SHARES INC MS:l TAIWAN ETF Dividend Option:Cash:Capital Gains Option: Cash 11/03(17 26.000.000 37.9690 WISDOM TREE TR APAN HEDGED EQUITY FO Dividend Option: Cash; Capital Gaels Option: Cash 60,000.00 of these shares are in your margin account 12111/13 60,000.000 49.4350 TOTAL EXCHANGE-TRADED PRODUCTS December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC Nastily Unit Cod Cod Bads Market Rice Market Value TOTAL U.S. DOLLARS BRITISH POUND Security Identifier FXI CUSP:46428714 973,747.44 46.1700 Security Identifier: BUT CUSP:464346772 987.205.46 36.2100 Security Identifier. DM CUSP: 9771W851 2,966,098.50 59.3300 969 570 00 941.460.00 3,559,800.00 $5,913,048.38 Cod Bads $83,433,725.13 $6,444,920.00 M alter Value $94 000,810 71 Unrealized GaIntLess Estimated Estimated Annual Income Yield 4,177.44 22,422.26 2.31% 45,745.46 26,491.55 2.81% 593,701.50 82,039.80 2.30% $531,87152 $159,244.75 Unrealized Gain Loss $8 409,559 33 Accrued Interest 34 50 463 62 ourriptkri (hardily Market Rice Market Value Currency EQUITIES Common Stocks NESC HOLDINGS PW ORD MS 24,800 000 7.6690 190.191 20 GBP ISMS GB0005405286 257233 59 USD Security Id midis: HSBA:GB CUSIP:04634U19 Total Common Stocks 190,191.20 CO) 257,233.59 USD TOTAL EQUITIES 190,191.20 GBP 257,233.59 USD CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) BO 13 024 2CSF3 CO0 0 N25FIDO. L Estimated Annual Income $3,424,819.41 Estimated Yield Page 1) of 3' Rabid hottlent Clewing through Pagel% I1C *aka/ owned (very Year Since 2007 Molar! of The kalcoMer Vat Mellon DALIAR RATIO COMMUNICATIONS CancratIon ('NY Mellon) LICILLINCI Perihnx 11.C.erwf-tan ineenctrRnateM-00046239 DB-SDNY-0009063 EFTA_00156848 EFTA01289211 Portfolio Holdings (continued) BRITISH POUND (continued) Accrued Market Value Cerrenoi interest TOTAL BRITISH POUND 190.191.20 Se 0.00 257,233 59 USD 0.00 HONGKONGDOLLAR Description Ouenlity Meat PIS Market Value Currency Btimated Estimated Annual Income Yield EQUITIES Common Stocks LONKING HOLDINGS LTD SHS 710,000.000 3.4300 2.435.300.00 FIND 44.019.87 1.80% 'SINS KYS5636C9713 311.538.06 USD 5.631.30 Security Identifier: 3339:11K CUSP G5636C07 NINE DRAGONS PAPER HOLDINGSLTD SHS 111.000.000 12.5200 1,802,880.00 HKD ISMS BM G653131305 230.635.15 L150 Security Identifier 2689:11K CUSIP. 06531130 ZTECORPSHSH INN* CNED00001Y2 79,600.000 29.3500 2,072,110.00 HKD Security Id eel Wier 76311K 265,076.74 UM CUSP. Y0004 F135 ANHUI CONCH UM ENT CO LTD SHSH 52,500.000 36.7500 1,929,375.00 HKD 31,510.33 1.63% C,NEt00001/12 246.817.20 USD 4,031.00 Security Identifier 911:HK CUSH>. Y01373132 BANK OF CHINA LTCBEIdNGSHSH 512,000.000 3.8400 1,966,080.00 HKD ISHII CNE13000025 251,512.32 UM Security Identifier 399811K CUSP Y0698A137 CHINA COMM UNICATIONS CONSTRUCTION COMPANY 224.000.000 8.8800 1.989.120.00 HKD LTD SHS H CNEM00002F5 251.459.97 BO Security Identifier 1300 NK CUSP YR36,1138 DONGFANG ELECTRIC CORPORATION LTD 150,200.000 6.1100 962.782.00 HKD SHSH INNS CNED0000301 123.164.75 11W Security Identifier 1)72:HK CUSIP. Y2095807 WBCHAI POWERCO LTD H 228.000.000 8.5600 1,951,680.00 HKD ISINICNE900004L9 249,670.49 USD Security IdeelWier:2338:11K CUSIP. Y95314'09 Page '2 of 3' 60100242CSF3002 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CON Ape 5 L-- Rated 4mM:on (Ivy YCO/ Since 2007 DAllIAR RA 110 COMMUNICATIONS EXCiLLINCI Orin not* Paulen (I a ~yawned istaldiary of TM Bank el New Yet Mellon exponglon (atly Mallon) Pereira 11.C. mere« IthRA.gaelYa.GM-00046240 DB-SDNY-0009064 EFTA_00 156849 EFTA01289212 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Portfolio Holdings (continued) HONG KONG DOLLAR (continued) December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC Description Ovataity Merkel Pike \Watt Value Cliff 00/ EQUITIES (continued) Common Stocks (continued) ZHUDI0U CRfte mi ES EtECTRIC CO LTD WS 43,400.000 50.8500 2,206,890.00 HKD -H. ISNICHED00004X4 282,318.61 USD Security Id Hillier. 3898:11K CUSP. Y9892ND4 Total Common Stocks 17,316,217.00 HK0 2215,193.29 USD TOTAL EQUITIES 17,316,217.00 HKD 2,215,193.29 USD Market Value Curfew Estimated Estimated Annual Income Yield 75,530.20 9,662.30 75,530.20 9,682.30 Accrued Edintated Intend Annul Insane TOTAL HONG KONG DOLLAR 17,316,217.00 HKD 0.00 75,530.20 JA PA N ESE Y EN Desaiption CASH, MONEY FUNDS, AND BANK DEPOSITS Global Cash Balance Quantity 2,215,193.29 USD 0.00 9,662.30 Opening Closing Accrued 30-Day Salome Balance Currency Income Yield 0.00 -267.00 JPY -2.37 USD TOTAL CASH, MONEY FUNDS, AND BANK DEPOSITS 0.00 -267.00 JPY 0.00 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) -2.37 USD 0.00 PO 13 0 24 2CSF3 CO0 0 N25FIDOs L Rated ticellent tray Year Since 2007 DA{ VAR RA Ten COMMUNCATIONS maniacs Page 13 of Cleanng through hob% LC. awl.* evened sobsidiary of The Bank N Net Yak Mellon CarporatIon (IINY MOW Per ihnx 11.C. mn-tan iii AAVVELGOA-00046241 DEl-SDNY-0009065 EFTA_00156850 EFTA01289213 Portfolio Holdings (continued) JA PANESE YEN (continued) Oescription OvaMity Market PM Market Value Currents Estimated Annual Income Estimated Yield EQUITIES Common Stocks NAIITES03 03RP TOKYO SIM LTD 6,300.000 4,320.0000 27,216,000.00 JPY 428.369.06 1.57% MINI Y36529001 241.623.65 US) 3,803 33 Security Identifier. 6268:8 CUSP:447070N Total Common Stocks 27,216,000.00 JPY 428,369.06 241,623.65 USD 3,803.33 TOTAL EQUITIES 27,216,000.00 JPY 428,369.06 241,623 65 USD 3,803.33 Asaved Estimated Market Value Currency lateral Maul Mane TOTALJAPANESEYEN 27,215,733.00 JPY 0.00 428,369.06 RAND Description EQUITIES Common Stocks NASPERS UM ITED LTC 2.000 000 3.451 0000 6,902,000.00 ZAR 11,599.90 0.16% 241,621.28 USD 0.00 3,803.33 Sawed Estimated lbanlity Nadal Prim Market Value Currency Maul lame Yield ISINSZAE0000t889 Security Id anther. NAPRE COSIP: S5343503 551,688.50 USD 931.29 Total Common Stocks TOTAL EQUITIES 6,902,000.00 MR 557,688.50 USD 6,902,000.00 MR 557,688.50 USD Market Value Curtenoi TOTAL RAND TOTAL PORTFOLIO HOLDINGS - U.S. DOLLARS 8,902,000.00 ZAR 11,599.90 937.29 11,599.90 937.29 Acaued Ettlasated Interest Mini Income 0.00 11,599.90 557,688.50 USD 0.00 937.29 Untreated Acaued Whaled Coat Bade Martel Value Galician Intend Annual Income 983,433,725.13 $97,272,547.37 98,409,559.33 $450,463.62 93,439,222.33 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 80 13 0 62 060U F ID Page 14 of 3' Rated timeliest Clewing three* Peaking IIC *ISO/ evened trees Year Since 2007 estaldiary of The task el New Vest Mellon DALIAR WED COMMUNICATIONS CarpotatIon (IINY Mellon) LICalltteCt PerOing nett/ FINRAARIVELGOL 00046242 DB-SDNY-0009066 EFTA_00 I 56851 EFTA01289214 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) December 1,2017 - December 31,2017 SOUTHERN FINA NCIAL LLC • Noncovered under the tost basis rules as dehned below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entit Isis are not subject to the cost basis reporting rules set forth m the Interne' Revenue Code of 1986, as amended bythe Emergency Economie Stabilization Act of 2008. and are marked as "noncovered" Securities marked as "covered-, were identified as securities potent ially subject to the cost basis reporting rules and may be reported to the IRS on form 1099-B for the applicable tax year in which the securities aredisposed. Note: In the event wherewe cannot easily determine the taxability of an account, we may merk the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments. or principal paydowns. The calculation Is based upon the taxpayer election, type of fixed income security, and certain ettributes, 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 untilthe cost basis system is amended to rellect the change. These calculations will not be performed under certain circumstances. including these involving foreign bonds. bonds sold short or bonds issued with less than one year to maturity 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 Ibis security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo fhe accuracy of fhis information. 5 Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. e The Current Face value represents the outst anding principal balante of the underlying security. The Current Face value isdetermined by multiplying the current factor Eimes the original face amount of the securify. Factors may change over time and are obtained from sources we believe fo be 12 Pershing has received updafed tost basis information, therefore cost basis provided on previous dient brokerage Nafementsmay differ from the new tost basis reported in this section. 13 The cost basis of this security has been provided to usbythe dedivaring firm or transferring agent and Pershing makes no representation as to the accuracy of fhis informafion. Holdings Summary by Currency adrency Gel Fixed Inosme Equities Mutual Funds Exclungaraded Funds Total by Ontency U.S. DOLLARS 823.823 26,083.419 57,627.649 3,020,938 6.444.920 94.000.810 USD BRITISH POUND 0 0 190,191 0 0 190,191 GBP HONG KONG DOLLAR 0 0 17,316.217 0 0 17.316.217 HKD APANESE YEN -267 0 27.216.000 0 0 27.215.733 JPY RAND 0 0 6,902.000 0 0 6,902.000 ZAR Total USO Equivalent 823.820 26,083,479 60.899,388 3,020,938 6,444,920 97,272,547 USD % of Allocation 1% 27% 62% 3% 7% 100% BO 10 0242CSP300 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDe 5 L- Rated Gotik« Even/ Yeat SInce1007 DMIAR RATEDCOMMUNICA110115 LetUDICE Page '5 of 3' ca in through Peninnt LLC, a tdely owned tateelary of 71,e Unk ei New Vatit.A.nen Corporation (IINY Perleim U.C. neuer FIKRA.M49y,,,ero_00046243 DB-SDNY-0009067 EFTA_00 156852 EFTA01289215 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "N/ A" and are omitted from the Total. THE AS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political. and business conditions, they should not be relied on for making investment, trading. or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose Credit ratings should not be relied upon as investment advice. Page 16 of 3' 801002.6C630_0Z5 NFIDFFITAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated Ein4lent Every Year Sine 2007 DALBAR RATED COMMUNICATIONS VIM I. MCC Clown& through Persbn LLC • Say ~ad subudiary of me Bank ol Mew Y.:4 Melba Corporation18NY Mellon) tic. mntft ‘11•RA.gWrillteM 00046244 _ DB-SDNY-0009068 EFTA_00 156853 EFTA01289216 Deutsche Bank P.O Box 1 7 76, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period )ecember 1,2017 - December 31,2017 3OUTHERN FlNA NCIALLLC Desaiptke Dale Disposed Date Acquired Designation Disposition Method/ Ttaasadlon Quantity Meads Cod Bait Realized Gain Loss Short Term SM ART GLOBAL HLDGS1 12106/17 11/30/17 Covered Rrst In First Out / SELL 1.800.000 49,967.68 60.300.00 -10.332.32 Security Identifier. 68232YDI AMERICAN AXLES MFG 12/13/17 12112/17 Covered Rrst In First Out / KU 1700.000 29250.32 28.900.00 350.32 caM Security Identifier. 0240611)3 LEXINFINTECHHLOGSL 12121/17 12121117 Covered First In First Out! SELL 1,200.000 14.281.66 10.800.00 3,481.66 Pit VS5188771334 Security Identifier. 52887793 CALL GILEAD SCIENCES 12118117 10/24117 Covered Rrst In First Out / EXPIRE OPT 587 40.000 7,880.81 0.00 7,880.81 85.00 Security Identifier. 990AKP6JT PUT GILEAD SCIENCES 12/18117 10124117 Covered Prat In First Out! EXPIRE OPT SHT 45.000 7,476.82 0.00 7,476.82 75.00 12/18117 10/24/17 Covered First In First Out! EXPIRE OPT SHT 40.000 6,958.83 0.00 6,958.83 Security Identifier. 990AKP6KH Total -125.000 14,435.65 0.00 14,435.65 CALL GILEAD SCIENCES 12118/17 10/24117 Covered Fast In Fits' Out / DFIRE OPT SHT 45.000 13,443.68 0.00 13,443.68 82.50 Security Ideatifier:990ALHGAB CALL BROADCOM LTD SH 12/15117 09/29117 Covered Ant In First Out! BUY .20 000 20,698.52 24288.00 -3,587.48 250.00 Security Identifier:9912AL09FM CALL BROACCOM LTD SH 12/15117 10/13117 Covered Ant In First Out! BUY •20.000 15,828.63 10,798.00 5,032.83 260.00 Security Identifier.990ALOSEN PUT BROADCOM LTD SH 12/18/17 09129/17 Covered Ant In First Out! EXPIRE OPT SHT -20 000 23,775.44 0.00 23,775.44 240.00 12/18/17 10/13117 Covered First In First Out! EXPIRE OPT SHT •20 000 15,648.63 0.00 15,648.63 Security Ideetifier:990ALO9FYI Total 40.000 39,424.07 0.00 39,424.07 Total Short Term 205,211.02 135,082.00 70,129.02 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 80 10 0 24 2CSF3 CO0 0 N25FIDO. L Page 17 of 31 Rated £zSk,n Every Year Sect 2007 DALIAR RATED COMMUNKAT IONS EXCELLENCE C weds through Pealing EEC. a vilely evened sotnkliacy a me kelt a Nen Yen Mellen Per.ceattn (MY Mellon) e hnx 11.C. nwntat• otete.frWitecGM-00046245 DB-SDNY-0009069 EFTA_00 156854 EFTA01289217 Schedule of Realized Gains and Losses Current Period (continued) Dale Dale Realized Desaiption Disposed Annulled Designation Disposition Method / Tranadion Quantity Proceeds Cod Bads GaiM Loss Long Term APPLE INC COM 12107117 01111116 Covered Ant In First Out !SELL 214.000.000 36277.912.46 21.186,005.14 15,091,907.32 Security Identifier. 03783310 WASHINGTON IA UT MTGS 12122117 12113113 Noncovered" REPY1A T OF MN 1.290.000.000 2,030.88 1,554.01 476.87 004-RA2 1176 PASSTHRU CTFCL C- Original Cost Brsis:1554.01 8-1VAR RATE 6.997% 07125133 Security Identifier: 939336520 Total Long Term 38,279,943.34 21,187,559.15 15,092,384.19 Total Short and Long Term 36,485,154.36 21,322,641.15 15,162,513.21 Date Dale Realized Description Dimmed Acquired Designation Disposition Method] Danudion Duzatily Proceeds Cod Bans Gem loss As of Trades MALCOM INC 11117117 09/14/17 Covered Ant In First Out! SB.L 5.000.000 269,715.75 155,585.97 14,119.78 Security Identifier: 74752513 11117117 09120117 Covered Ant In Ant Out! sat 5.000 000 279.149.53 259.806.00 19,343.53 REY GROUP INCCOM 10113117 10/13/17 Covered Fret In First Out / Sal. 2.700 000 73,459.30 73,575.00 -115.70 Security Identifier: 749527137 • Noncovered under Me cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1886, as amended by the Emergency Economic Stabilization Act of 2008, and are marked as "noncovered". Securities marked as 'covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form I399-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS 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 return 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-B or online 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 all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion, original issue discount adjustments, or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. Page 18 of 3 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 8010 0 24 2C SF3 CO0 0 N25FIDO. L Rated tactile.. bey Yew Since 2007 DALIARMIT0 COMMUNICATIONS trauma Clewing liner PadS I1C naoly owned semidry of TM talc N New Vat Meta Carporat$ an (eta Mellon) P ng1LC.ertn—bn FINRAVO VELGM-00046246 DB-SDNY-0009070 EFIA_00156855 EFTA01289218 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) December 1,2017 - Decem ber 31,2017 SOUTHERN FlNANCIALLLC ' The cost basis of this security has been provided fo us by you or your introducing firm and Pershing makes no representation as fo the accuracy of this information. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot 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 will 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-B M essages Please note the following information for Pershing's 2017 Form 1099 tax statement (1099)- The 1099 includes IRS1099 Form B, DIV. INT, OlD and M ISC. Your 1099 will be delivered as early as possible, beginning January 31.2018 By February 15, you will be mailed either your 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15.2018. For more information please visit mytaxhandbook.com. M UNICIPAL SECURITIESRULEM AKING BOARD/9(M Snap) INVESTOR EDUCATION AND PROTECTION An investor brochure that describes the protections available under M SRB rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SRBwebsite. msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC). M SRB. FINRA. and NYSE Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Flease see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. adopted a shortened settlement timeframe beginning with trade date September 5,2017, for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T.3 to a T.2 settlement cycle provides faster access to sale proceeds. but it also means that funds are due on purchase transactions earlier. This may be a good time to consider e-delivery of your account documents-including trade confirmations. account statements and more. Ask your advisor or financial institution about how you can set up e-delivery. DISCLOSURE By completing a physical or electronic contact form or providing Trusted Party information to my broker or advisor for electronic capture, l/ we authorize the named Financial Institution and Pershing LLC ("Pershing') and their affiliates to share my nonpublic personal information' held at Financial Institution and Pershing with the named trusted contact person(s) (the "Trusted Contact Person(s)") identified as such. Additionally, I/ we authorize this information to be shared with the Trusted Contact Person(s) at the discretion of Financial Institution and Pershing This authorization includes, but is not limited to. sharing or disclosing any information regarding securities, insurance, bank related, financial planning or other financial products or services offered by or through Financial Institution and/ or Pershing or any financial information I/we may have provided to Financial Institution and Pershing. l/ we understand that Financial Institution and Pershing, LLC may contact the named Trusted Contact Person(s) if there are questions/ concerns about my whereabouts or health status (i.e., if Financial Institution and Pershing becomes concerned that I may no longer be able to handle my financial affairs) or in the event that Financial Institution and Pershing becomes concerned that I may be a victim of fraud or exploitation. Financial Institution and Pershing suggests that the named Trusted Contact Person(s) not be someone authorized to transact business on the account. or w ho is already otherwise able to receive the information described above. Account owners should contact their Financial Institution or financial representative with additional questions. B013026C630_026 NFIDOWFAL CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Rated ticellent (my Year Since 2007 DALBAR RATED COMMUNiCATI0NS EXCELLENCE Page '9 of 3' Clown& Elvough Perin LLC. a May owned subudiary of The Bank col Mew Vert Mellon Corporation ISNY Mellon) p.,.p.na: Lit% rirrra, ,it,RA.%411,2PM_00046247 DB-SDNY-0009071 EFTA_00 156856 EFTA01289219 M essages (continued) Account ow ners may also contact RNRA at its toll-free number for senior investors to get assistance or raise concerns about issues with brokerage accounts and investments. CALL 844.57-HELPS MONDAY - FRIDAY; 9 - 5 P.M . ET • *Nonpublic personal information" includes, but is not limited to: financial account information and balances, information regarding the purchase of a security or insurance product, and any other personally identifiable financial information: (i) provided by a me/ us to my! our Financial Institution; (ii) resulting from any transaction in my/ our account or any service performed on behalf of me/ us by the Financial Institution; or (iii) otherwise obtained from me/ us by the Financial Institution. Activity Summary (All amounts shown are in base currency) Cedes This Period Debits This Period Net ThisPeded OedltsYear-to-Date Deters Year-to-Deli Net Yere-to-Dele Securities Securities Bought 0.00 45,270,004.73 45,270,004.73 0.00 43,804,982.24 43,804,982.24 Securities Sold 38,299,865.47 0.00 38,299,885.47 42,577,226.53 0.00 42,577,226.53 Securities Wilhdrren 0.00 0.00 0.00 0.00 -52.061,215.50 42,061,215.50 Total Securities $38,299,885.47 445,270,004.73 48,970,119.28 $42,577,226.53 4115,886,197.74 473,288,971.21 Dividends and Interest $216,609.63 $0.00 $216,609.63 $2,878,507.02 4124,935.66 $2,753,571.14 Distributions 8222.19 $0.00 $222.19 $1,511,929.67 $0.00 $1,511,929.67 Fees $0.00 $0.00 $0.00 $0.00 4400.00 4400.00 Taxes Withheld $0.00 80 .00 40.00 $0.00 46,076.09 46,076.09 Other $0.00 42 36 42.36 $0.00 42.36 42.36 Cash Withdrawals 0.00 0.00 0.00 0.00 -1,273,731.96 -1,273,731.96 Deposits 60,000.00 0.00 60,000.00 60,000.00 0.00 60,000.00 Total Cash $60,000.00 $0.00 360,000.00 460,000.00 41,273,731 96 41,213,731.96 Totals $38,576,717.29 445,270,007.09 46,693,289.80 $47,027,663.42 4117,271,344.03 470,243,680.61 Transactions by Type Activity of Preens Dade Settlement Transaction Date Date Activity Type Description Quantity Prim Accrued Interest Amount Currency Securities Bought and Sold 12104/17 11/30/17 PURCHASE) SMART GLOBAL HIGGS INC 915 PROSPECTUS UNDER 1,800.000 33.5000 40,300.00 USD SGH SEPARATE COVER 12104/17 11/30117 SOLD VENATOR M ATLS PLC SHS (SINS MOO ElF3ZNSS4 UNSOLICITED -1,400.000 21.9207 30,626.28 USD VNTR ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT Page 20 of 3' Rated hatlient Clewing lame. Iambi% lac *alai evened BO 10 0242CSF300 25 S trey Year Since 2007 sataldlarg of The lank a New Vat Meta CONFIDOP CONFIDENTIAL - PURSUANT TO FED. R DRINI. P. 6(e) - AL-- DAtRARMITO COMMUNICATIONS EXCILIANCE Carporatfon (SHY Man) Pera..nx 11.C. merge/ Fitala.flAt4YaGM-00046248 DB-SDNY-0009072 EFTA_00 156857 EFTA01289220 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC ROCS Satiation! Date Trade Transaction Dale Activity Type Description (Moldy Price Acaued Interest Amount Currency Securities Bought and Sold (continued) 12/04/17 11130/17 PURCHASED VENATOR MAILSPLCMS (SINS GEIO 0 BF3ZNS54 PROSPECTUS 1.400 000 22.5000 -31.500.00 USD VNTR U HOER SEPARATE COVER 12104/17 11/30/17 SOLD GRAY TELEVISION INC COM UNSOLICITED ORDER AVERAGE -4.600.000 14.4087 66.088.48 USD GUN UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 12/04/17 11/30117 PURCHASED GRAY TELEVISION INC COM PROSPECTUS UNDER SEPARATE 4,600 000 14.5000 16,700.00 USD GTN COVER 12/06/17 12/04/17 PURCHASED HONG KONG DOLLAR 18.584.882 230 7.8147 4.378.195 23 USD 12106/17 12104117 PURCHASED .MPANESE YEN 27.882,261 000 112.5670 -247,694 80 USD 12/06117 12/04111 PURCHASED MSC HOLDINGS PLC ORD MSISNI690005405286 24.800 000 77.5500 -1,928,196.95 HKO IISBAGB ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF -246,679.75 USD 12/04/2017 12106/17 12/04/17 PURCHASED LONYJNG HOLDINGS LTD SHS ISI NO KYG,5636C9711 ALLOCATED 710,000 000 2.7923 -1,987.642.45 HKD 333911K ORDER YOUR BROKER ACTED AS AGENT AS OF 2/04/201 -254,284.78 USD 12106/17 12104/17 PURCHASED NINE DRAGONS PAPER HOLDINGS LTD SHS 144.000 000 13.4600 -1.943.235.60 HKO 2689:HK ISM* BM G653131305 ALLOCATED ORDER YOUR BROKER ACTED -248,603.69 USD ASAGENT ASOF 2/04/2017 12106/17 12/04/17 PURCHASED ZTE CORP SHSH IMMO CHEM 00004 Y2 ALLOCATED ORDER 70,600 000 27.6542 -1,957,418.42 HKD 763 HK YOUR BROKER ACTED AS AGENT AS OF 2/04/2017 -250.418.14 USD 12106/17 12104/17 PURCHASED ANHUI CONCH CEMENT CO LTD SHS H 'SINS CNED 00001II2 52,500 000 37.0748 -1,951,443.51 HKD 914 HK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF -249.653.75 USD 2/04/2017 12106/17 12104/17 PURCHASED BANK OF CHINA LTD Bei NG SHS H IWOCHET000025 512,000 000 3.8000 -1.950.614.21 HKO 3988:HK ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF -249,547.66 USD 12/04/2017 12106/17 12/04/17 PURCHASED CHINA COMM UNICATIONS CONSTRUCTION COMPANY LTD SHS 224.000 000 8.6774 .1.948,746 87 HKD 1300 HK H ISINt CN Et 00002FS ALLOCATED ORDER YOUR BROKER -249,308.76 USD ACTED ASAGENT ASOF 2/04/204 12106/17 12104/17 PURCHASED DONGFANG ELECTRIC CORPORATION LTD SHSH 150.200 000 6.6112 -995.562.20 HKO t72 HK ISINt CNEDO 000304 ALLOCATED ORDER YOUR BROKER .127.365.12 USD ACTED AS AGENT AS OF 12/04/2917 12106/17 12104/17 PURCHASED W SCHAI POWER CO LTD SHS N ISM* CHEM 00004L9 228.000 000 8.4526 -1.932.159.91 HKO 2338:11K ALLOCATED ORDER YOUR BROKER ACTED AS AGENT AS OF -247.166.75 USD /2/04/2017 Page 21 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) B010 2 6i C630K F ID 4 Rated [smitten Clewing through Nimbi.; U.C. • Mai °mai trey Yew, Since 2007 Malang of TM Bask el New Yak Melba OMAR PAITO COMMUNICATIONS CarporatIon (MY Melba) EXCULINCI PerchnxlIC.rner-bn rtt.vwa ..Rh.wivi_Ow46c4c DB-SDNY-0009073 EFTA_00 156855 EFTA01289221 Transactions by Type of Activity (continued) Roans Trade; Settlement Transaction Date Date Activity Type Description Quantity Price Acaued linnet Amount Cerrency Securities Bought and Sold (continued) 12/06117 12104/17 PURCHASED ZNUZHOU CRRC TIM ES ELECTRIC CO LTD SKS 41- 43,400 000 45.7315 -1.969.852.05 H KO 3898 HK ISINICNED00004X4 ALLOCATED ORDER YOUR BROKER -254.568.74 USD ACTED AS AGENT AS OF12104120 V 12/06/17 12105/17 SOLD SHORT PUT DO GENERAL ELECTRIC CO COM EXP 0 I- 9-101 000 -250 000 01700 21,493.49 USD 990AHUOJU OPTION ROOT: GE OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 12/07/17 12104/17 PURCHASED NABTESCO CORP TOKYO SHS LTD ISINS R365210001 6,300 000 4.419.1270 -27.882.26100 JPY 6268:.P ALLOCATED ORD ER YOUR BROKER ACTED AS AGENT AS OF -247,402.49 USD 2/04/2017 12/08/17 12106/17 SOLO SMART GLOBAL HIGGS INC BIS UNSOLIOTED ORDER -1,800.000 27.8038 49,889.68 USD SGH 12108/17 12106/17 PURCHASED BARRETT BILL CORP COM PROSPECTUS UND ER PARATE 3.400.000 5.0000 -17,000.00 USD BBG COVER 12/11117 12107/17 SOLD APPLE INC COM UNSOLICITED ORDER AVERAGE UNIT PRICE •214.000.000 169.5469 36,277,912.46 USD AAPL TRANSACTION YOUR BROKER ACTED AS AGENT 12/11/17 12107/17 PURCHASED APPLE INC COM UNSOL AVERAGE UNIT PRICE TRANSACTION 214.000.000 169.7941 -36.340.223.40 USD AAPL YOUR BROKER ACTED AS AGENT 12112/17 12111/17 PURCHASED CALL DO SPDR SIP 500 ETF TR TR UNIT EXP 900.000 2.8900 -262,806.00 USD 990AILYLG 03.1.10270 000 OPTION ROOT: SPY OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 12/13/17 12112/17 PURCHASED RANO 7,074,755 980 13.6879 -516.860.04 USO 12115/17 12112/17 PURCHASED NASPERSUM ITED LTD INNS ZAE0000 S889 ALLOCATED 2.000.000 3.527.8399 .7,074,755.98 ZAR NAPRF ORDER YOUR BROKER ACTED AS AGENT AS OF 12/ t2/20 4 -516,820.51 USD 12/15/17 12112117 PURCHASED AMERICAN AXLE & M FGHLDGS INC COM PROSPECTUS UNDER 1300.000 17.0000 -28.900.00 USD AXI. SEPARATE COVER 12/15/17 12113/17 SOLD AMERICAN AXLE 8 M FGHLDGS INC COM BKOA A PERSHING -1700.000 17.2500 29,218.32 USO AXL AFFILIATE M AKES A IA KT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER ACTED ASAGENT 12118/17 09114/17 CANCELLED PURCHASE OUALCOM M INC AVERAGE UNIT PRICE TRANSACTION YOUR -5.000.000 51.0759 255.685.97 USD OCOM BROKER ACTED AS AGENT CANCELLED TRADE 12/18/17 09114/17 PURCHASED OUALCOM M INC AVERAGE UNIT PRICE TRANSACTION YOUR 5.000.000 51.0759 -255,585.97 USD OCOM BROKER ACTED ASAGENT 12/18/17 09/29117 CANCELLED sal. CALL DO BROADCOM LTD SHS IONA 9399990%823 EXP 20.000 10.3825 -20,608.52 USD 990A109FM 24-170250000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12118/17 09129117 CORRECTED SELL CALL DO BROADCOM LTD SHS IONA SG9999014823EXP -20.000 10.3825 20.698.52 USD 990AL09FM 24470250 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED Page 22 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) " 2e617F I D L4 Rated banal Eery Year %ice1007 DALIARIATEDCOMMUNICA11016 LXCGAINCE Clewing liner Pagel% U.C. • Say caned satddlia of The Bank *Mew 'fat Melba COSCCONONI OM Melba) na Persittell.C.mente FiNRA.RW UNm—C-"4645O DB-SDNY-0009074 EFTA_00 156859 EFTA01289222 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC Proms; Trade Darlene! TrainedIon Date Dale Securities Bought and Adivily Type Description Cltantdy Price Acaued Interest Amount Currency Sold (continued) 12118117 09/29/17 CANCELLEDSELL PUT AO BROADCOM LTD SHSISNI S03999014823 DP 20.000 11.9210 -23.685.44 USD 990A109FW 44-170240 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12118117 09129117 CORRECTED SELL PUT 100 BROADCOM LTD %MIMI* SG99990%823 OLP -20.000 11.9210 23,775 44 USD 990A109F14 12.15.17U240 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12118/17 10113/17 CORRECTED PURCHASE BROADCOM LTD MIS 'SNP 569999014823 BKCM A PERSHING 2.000.000 249.9453 -499.976.68 USD AVGO AFFILIATE LI AKES A M KT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER CORRECTED CONFIRM 12118/17 10113/17 CANCELLED PURCHASE BROADCOM LTD SHSISINSSG99990 823 BKCM A PERSHING -2000.000 249.9453 500,046.68 USD AVGO AFFILIATE M AKES A IA KT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER CANCELLED TRADE 12118/17 10113/17 CANCELLED SELL REV GROUP INC COM UNSOLICITED ORDER AVERAGE UNIT 2300.000 27.2500 -73.417.30 USD REVG PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CANCELLED TRADE 12118/17 10113/17 CORRECTED SELL REV GROUP INC COM UNSOLICITED ORDER AVERAGE UNIT -VOODOO 27.2500 73,459.30 USD REVG PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CORRECTED CONFIRM 12118/17 10113/17 CANCELLED SELL CALL DO BROADCOM LTD SHS ISMS 9G99990 11823 EXP 20.000 7.9475 -15,73863 USD 990A109EN 12-15-17(00 .000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12/18/17 10113/17 CORRECTED SELL CALL DO BROADCOM LTD SHS ISIN8 9399990 11823 EXP -20.000 7.9475 15,828 63 USD 990ALO9FN 2.15.17®260.000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12/18/17 10113117 CANCELLED SELL PUT 100 BROADCOM LTD SHSISINB 509999014823 IAP 20.000 7.8575 -15,55863 USD 990/11.09F1N 12.15-11®240 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12/18/17 10113/17 CORRECTED SELL PUT DO BROADCOM LTD SHSISNO S69999014823 EXP •20.000 7.8575 15.648.63 USD 990ALCI9F1V 21-11240 000 OPTION ROOT: AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12/18/17 12106/17 CANCELLED SELL SMART GLOBAL HIGGS INC SHS UNSOLICITED ORDER 1.800.000 27.8038 -49,889.68 USD SGH CANCELLED TRADE Page 23 of 3' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) N40-023804 BO 10 Cf 2 6t C63 CRI5F ID L Rated Galls. Clewing through Pinking 11C. • Say ogmai Ever/Yew Since 2007 setaldlan of The Mak Wk. Ytelt Melba DALIARPATEDCPAMUNICATIONS Corp./2600.0M Mellon) LXCGAINCE fientifvell.C.mente FINRA.w)1,21., m_0ur046451 DB-SDNY-0009075 EFTA_00 156860 EFTA01289223 Transactions by Type of Activity (continued) Procne Trade; Settlement Transaction Date Date Activity Type Desctiption Quentiy Price Acaued Meat Amount Currency Securities Bought and Sold (continued) 12/18117 12106/17 CORRECTED SELL SMART GLOBAL HLOGS INC SHS UNSOLICITED ORDER -1.800.000 27.8038 49.96768 USD SGH CORRECTED CONFIRM 12/18/17 12113/17 CANCELLED SELL AMERICAN AXLE 8 M FG HLDGS INC COM BKCM A PERSHING 1300.000 17.2500 -29.218.32 USD AXL AFFILIATE M AKE& A M KT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER ALLOCATED ORDER YOUR BROKER CANCELLED TRADE 12/18/17 12113/17 CORRECTED SELL AMERICAN AXLE a M Fe HLDGS INC COM BKCM A PERSHING -1.700 000 17.2500 29.25012 USD AXL AFFILIATE M AXES A M KT IN THIS SECURITY & ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION CORRECTED CONFIRM 12118/17 12115/17 SOLD SHORT PUT DO GLEAD SCIENCES INC EXP 01411075.000 OPTION .125.000 1.7100 20,993.50 USD 990411.6MK ROOT= GILD OPENING TRANSACTION UNSOL EXCHANGE LISTED OPTION 12118/17 12115/17 SOLD SHORT 990AIEK1 CALL DO BROADCOM LTD SHSISNa 939999014823 EXP t staeoloo OPTION ROOT= AVGO OPENING •20.000 10.5965 21.12631 USD TRANSACTION UNSOL EXCHANGE LISTED 12/18/17 12115/17 PURCHASED CALL DO BROADCOM LTD SHS ISNS 969999051823 EXP 20.000 12.1100 -24,286.00 USD 990ALO9FM 2.6.170250.000 OPTION ROOT: AVGO CLOSING TRANSACTION UNSOL EXCHANGE LISTED 12118/17 12115/17 PURCHASED CALL 130 BROADCOM LTD SHS ISMS 939999014823 EXP 20.000 5.3650 -10196.00 USD 990ALO9FN 243170260.000 OPTION ROOT= AVGO CLOSING TRANSACTION UNSOL EXCHANGE LISTED 12118/17 12115/17 SOLD SHORT CALL DO BROADCOM LTD SHSISNI S69999031823 EXP •20.000 18.4350 36.803.14 USD 990AM C207 02-540250.000 OPTION ROOT= AVGO OPENING TRANSACTION UNSOL EXCHANGE LISTED 12118/17 YOUR OPTION EXPIRED CALL 100 GLEAD SCIENCES INC EXP 45.17085.000 OPTION 60.000 0.00 USD 990AKP6Jf ROOT= GILD GILD CLOSING TRANSACTION 12118/17 YOUR OPTION EXPIRED PUT DO GILEAD SCIENCES INC EXP 2-6-17075.000 OPDON 125 000 0.00 USD 9904KP6K11 ROOT: GILD GILD CLOSING TRANSACTION 12118/17 YOUR OPTION EXPIRED CALL DO GILEAD SCIENCES INC EXP 2447082.500 OPTION 65.000 0.00 USD 990ALHGAB ROOT= GILD GILD CLOSING TRANSACTION 12118/17 YOUR OPTION EXPIRED PUT DO BROADCOM LTD SHS ISM/ SC999901823 EXP 40.000 0.00 USD 9904109FIV 12.5-90240 000 OPTION ROOT= AVGO AVGO CLOSNG TRANSACTION 12/18/17 YOUR OPTION ASSIGNED PUT 100 ADVANCED MICRO DEVICES INC COM EXP 300 000 0.00 USD 990ALWIL 1245-1704.000 OPTION ROOT= AM DAM D CLOSING TRANSACTION 12/19/17 09115/17 CANCELLED PURCHASE ADVANCED MICRO DEVICES INC COM ACCT OPT ASSIGNED •20.000.000 13.0000 261.206.00 USD AM D CANCELLED TRADE Page 24 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DO 10 0246C630_0 Z5 NFIDRNFAL Rated EatWlem (my Year Sint< 2007 DALBAR RATED COMMUNICATIONS IXMLINCI Clewing %MVO PtOTISC LC • Say anal stidiary at The Balk a Mew Yak Maori Caw- Alan (MY Mellon) R A. Bays )(LEL DN 3 eM y:(0 000::g2 D 6 EFTA_00 I 5686 I EFTA01289224 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) December 1,2017 - December 31,2017 SOUTHERN FlNA NCIAL LLC ROGOW Trade, Settlemen1 Transaction Date Dale Activity Type Description Quantity Price Acauee Interest Amount Currency Securities Bought and Sold (continued) 12/19/17 09115/17 PURCHASED ADVANCED MICRO DEVICES INC COM ACCT OPT ASSIGNED 20.000.000 13.0000 -260.806.00 USD AM 12/19/17 09129/17 CANCELLED PURCHASE BROADCOM LTD N115 509999014823 UNSOUCITED -2,000.000 242.8643 485.884.78 USD AVG° ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT CANCELLED TRADE 12119/17 09129/17 PURCHASE) BROADCOM LTD SFIS 'SIN. SG19990 St 823 UNSOLICI TED 2100000 2421643 X85,814.78 USD AVGO ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 12119/17 12115/17 PURCHASED ADVANCED MICRO DEVICESINCCOM ACCT OPT ASSIGNED 30,000100 13.0000 391,206.00 USD AM D OPTCUSIP 99QALANL 12/26/17 12121/17 SOLD LEXINFINTECH HLDGSLTD ADR ISINI US528817234 -1.200100 11.9483 14,281.66 USD LX UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 12/26/17 12121/17 PURCHASED LEXINFINTECH HLCGS LTD ADR ISM/ US5281377934 1200100 9.0000 -10.800.00 USD LX PROSPECTUS UNDER SEPARATE COVER 12/28/17 REINVEST CASH INCOME PM ORGAN FLOATING RATE INCOM E FUND CLASS I 1129.762 -10,597.17 USD PHSX 3209318820 SHRS SHRSPURCH. AT $9.38000 RD 2(26 PD 2/28117 Total Securities Bought and Sold HONG KONG DOLLAR 0.00 -18,584,882.23 HKD TOTAL USD EQUIVALENT 0.00 -2377117.14 USD APANESE YEN 0.00 -27182.26110 WY TOTAL USD EQUIVALENT 0.00 -247,402.49 USD U S. DOLLARS 0.00 3.828.279.12 USD RAND 0.00 -7,074,755.98 DR TOTAL USC EQUIVALENT 0.00 -516,820.51 USD Dividends and Interest 12/11/17 MONEY MARKET FUND DEUTSCHEGOVT CASH INSTL INCOME REDEEMED 866.04 USD INCOME RECEIVED PER232045 12/15117 CASH DIVIDEND RECEIVED 2469000 GENERAL ELEC CO GTD FXD-TO-FITG RT 49.38040 USD 369604404 NON-CUM ULATIVE PERPETUAL PREFERRED 4.000% 2/03165 REG DTD 2103/5 CIS RD 1730 PC 12/6/17 Page 25 of 3' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) " mean F I D L Rated ticellent beer Year Since 2007 OMAR ItA TED COMMUNICATIONS EXCLUINCI Clewing through PealinlIC • Say °mai sobsidiary of TM Bonk el New Yalc Mellon CarporatIon (MY Melba) Perihng 11.C.mer-tan IthitA.WRIY+219M-01-" 4645a DB-SDNY-0009077 EFTA_00 156862 EFTA01289225 Transactions by Type of Activity (continued) Process; Trade; Settlement Transaction Date Date Activity Type Desaiption Quaintly Price Acaued mined Amount Currency Dividends and Interest (continued) 12126/11 CASH DIVIDEND RECEIVED 13000 SHRS ISHARES INC M SO SOUTH KOREA ETF RD 4/20 PD 28.291.15 USD EV/ Y 4/26/17 12126/17 CASH DIVIDEND RECEIVED 26000 SHRS ISHARES INC MSC! TAIWAN ETF RD 12120 PD 26.191.56 USD EWT 4/26/17 12126/17 BOND INTEREST RECEIVED 490000 WASHINGTON I/ UT M TG SECS CORP 2004 -RA2 M TG 3009 33 USD 939336520 PASSTHRU CTF CL C-B-1VAR RATER 997% 07125/33 WEDTD 06/0104 RD 1230 PD 412514 12127/17 FOREIGN BOND INTEREST 103000 LLOYDS BANKING GROUP PLC FXD RATE RESET ADDL 35181 25 USD 539439A64 TIER 1SECS 'SINS US539439AG42 7.500% 04127188 B/E DID 0007/1 CL8 RC 12/26 PD 412714 12128/17 CASH DIVIDEND RECEIVED 12500 SHRSGILEAD SCIENCES INC RD 1211PD 12/28/17 6.500.00 USD GILD 12128117 CASH DIVIDEND RECEIVED 21300 SHRS ISHARES TR CHINA LARGE-CAP ETF RD 12/22 PD 18.728.03 USD FXI 4/28/4 12128/17 CASH DIVIDEND RECEIVED ?MORGAN FLOATING RATE INCOM E FUND CLASS I 10.597.17 USD .PHSX 3209318820 SHRS RD 12/26 PO 4/28/17 12129/17 MONEY MARKET FUND CEUTSCHEGOVT CASH 525.30 USD INCOME RECEIVED PER232045 12129117 FOREIGN SECURITY DIVIDEND 4000 SHRSBROADOOM LTD SHS ISMSSC/999901823RD WS 7,000.00 USD RECEIVED PD 412914 AVG() 12/29/17 CASH DIVIDEND RECEIVED 60000 SH RS W ISOOM TREE TR APAR HEDGED EQUITY FO RD 29339 80 USD DYJ 12/27 PD 12/29/17 Total Dividends and Interest - U.S. DOLLARS 0.00 216,609.63 Distributions 12126/17 RETURN OF PRINCIPAL 490000 WASHINGTON M UT M TGSECSCORP 2004-RA2 M TG 222.19 USD RECEIVED PASSTHRU CTF CL C-B-WAR RATE 6.997% 07125/33 B1E DTD 939336320 08/0104 RD MO PD 2/25/17 Total Distributions - U.S DOLLARS 0.00 222.19 Other Transactions 12120/17 12119/17 FREE CREDIT BALANCE JAPANESE YEN CURRENCY FREE CREDIT BALANCE INTEREST -267.00 JPY INTEREST CHARGE CHARGE FREE CREDIT INT CAIRG 120.4 TO 4.1.4 FOR -2.36 USD PY999993 CUSTOM ER ACCOUNT Total Other Transactions - JAPANESE YEN 0.00 -267.00 Total USD Equivalent 0.00 -2.36 Page 26 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) BO 10 0 2t6C630(KrF ID0 L4 bled Excellent Every Yew Since 2007 DALBARMIT0 COMMUNICATIONS LXMLINCI Clewing through Perrin LC. • Say owned sabsidiary of TM Usk a Mew York Mellon Ono-ream My Mellon) PerOing nen-6n HMV.. iWRIIIIIa9m-01-" 46454 DB-SDNY-0009078 EFTA_00 156863 EFTA01289226 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Transact ions by Type of Activity (continued) ROOS& Trade Settlement Transktion Date Dale Agit* Type Cash Withdrawals and Deposits 12/04/17 FEDERAL RINDS RECBVED USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS Tuvisedions9ammary Told Acased intend Total Amount HONG KONG DOLLAR 0.00 -18,584.882.23 JAPANESE YEN 0.00 -27,882,528.00 U.S.DOLLARS 0.00 4,551,447.30 RAND 0.00 -7,074,755.98 The price and quantity displayed may have been rounded. December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC Desaiption Camay Price Molted Invest Amount Cunene, DEUTSCHE BANK TRUST 00 AO 61000 00 USD Cash Not Yet Received 0.00 60,000.00 Total Mooed Inlets Total Amount airenry USD Equivaior4 USD6suivedent HKD 0.00 -2,377417.14 JPY 0.00 447,404.85 USD 0.00 4,551,447.30 ZAR 0.00 410,820.51 Security Ruud Date Arid* Date Ovally Field We Dividend Option Amount of Payment -Interest Interest EXEIA INTER LLC/ EISA RN MGM 12129/17 01115118 2100.000 000 0.050833 Cash 101480.87 ARST PRIORITY SR Total Cash Not Yet Received 3101,666.67 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. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 27 of 3' 80 100242C SF3 CO 002N5FIDO' Rated Excellent Every Year Since 2007 MBAR RATED COMMUNICATIONS EXCELLENCE Claim through Pealing I1C nub* wend stealdiary a The lank a New Volt Mellen Ceeporaban(IINY Mellon) Per thee LLC.rnentet 00046255 DE!-SDNY-0009079 EV1:4_00156864 EFTA01289227 Fixed Income Analysis Bond Quality Bond Quality Medal Value %of &Ind Matet Value A 2,400,114.90 9% BAA 8,340,300.00 32% BA/ Lower 14,870,776.25 57% Not Rated 472,288.07 2% Total 26,083,479.22 100% 29 40 60 80 100 0 Percent of axed Income Bond Maturity Schedule Bond Maturity Market VS. %ol Bone Market Value Milo 5 years 1,790,000.00 7% 56 to 10 years 4214,500.00 16% Over 10 years 20,078,979 22 77% Total 26,083,479 22 100% Percentages of bond market values are rounded tot e nearest whole percentage. Bond quality ratings reflect M oody'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. C lent Service I nl ormati on Tow Investment Specialin. ENJ JOSHUA SHOSHA N 280 PARK AvE- 3RD FL NEW YORK NY 10017 Your Account Information Coated Information Telephone Number: TAX LOT DEFAULT DISPOSITION METHOD Default Method for M utual Funds: First In First Out Default Method for Stocks in a Dividend Reinvestment Flan First In First Out Default Method for all Other Securities: First In First Out BOND AMORTIZATION ELECTIONS Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market discount method for all other bond types: Constant Yield Method Include market discount in income annually: No ELECTRONIC DELIVERY You have not selected any account communications for electronic delivery. To register and turn off paper communications, log in to your account or contact your Investment Specialist for more information. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 100242CSF30025 CONFIDO. L Page 28 of 3' Rated Excellent Extra Yew Since 2007 DIOAR MRO COMMUNICATIONS UMIAK E Clewing through kali% EEc nide evemd sobaldlary a Me Malt a Na. Yak Mellon CarpotatIon Sly Meta) Per, I. ing 11.C. 0NII/SIAVVELGM-00046256 DB-SDNY-0009080 EFrA_00156865 EFTA01289228 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures December 1,2017 - December 31,2017 SOUTHERN FINANCIAL LLC 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 asthe result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws. regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents. the acceptance and, in certain instances. execution of securities orders.the assessment of the suitability of those transactions. w here 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 .All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance. but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPCO). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection. Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: www.pershing.com/ about! strength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement. to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC. Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; . Errors and Omissions excepted Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by Jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's ability to have a court reverse or modify an arbitration award is very limited • The ability of the parties to obtain documents. witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason( s) for their award, unless. in an eligible case. a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators will typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases. a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed, and any am endm ents t hereto. shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LW shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied: (II) the class is decertified: or Page 29 of 3' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) BO 0260630025 NFIDO L Rated ticellent trey Year Since 2007 OMAR MITO COMMUNICATIONS EXCLUINCI Clewing Heater hakes LLC. • ittlay owned sobsidiary of The Bank el Mew Vat Mellon OnotatIon (MY Mao) Perchnx 11.C.mer-bn HMV, fl4cillillt9m-0034 6257 DB-SDNY-0009081 EFTA_00 156866 EFTA01289229 Important Information and Disclosures (continued) Important Arbitration Agreement (continued) (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399: Page 30 of 3' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) B010 0 2t6C630K5F ID 4 Paled ficetlent (very Ye** Sint 2O07 DALBAR RATED COMMUNICATIONS EXCILLINC( Clewing tivough PenbnglIC• May °mai subudimy of The Bank N Na. Yak Melba Corporation0NY Melloa) 1.1c.mnter HINIZ . BPys t2 N P 0A ym 08 _oo0o0496258 D A 2 EFTA_00 156867 EFTA01289230 TERMS AND CONDITIONS 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 ANCWOR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ANO TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLO 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, DE 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 PERSHING'S BOOKS OF RECORD. ARE NOT SEGREGATED AND MAY BE USED IN THE CONDUCT OF ITS BUSINESS. DEBIT BALANCES: INTEREST CHARGED ON DEBIT BALANCES Pi 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 COPES. MARGIN INFORMATION: IF YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COM3NED 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 AVALABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED 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 FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. MEREST NC OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS Cl ASSFICATION 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 SECURITES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHNG MAY IN ITS DISCRETION AT ANY TIME. WITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRA/ATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHNG TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTW TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY 8E. 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 LIABLMES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. • 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 FFLANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST • A FINANCIAL STATEMENT OF PERSHING IS AVAILABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF [TWILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW,PERSHING COM, • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWVV.FERSHING.COINDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES [REGULATION NMS- RULE 807(AX1)-(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. THE DETAILS OF THESE PAYMENTS AND FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTAIN OPTION EXCHANGES. IN ADDITION. PERSHING ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL COMPENSATION IS GENERALLY IN THE FORM OF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW, PERSHNG SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE. COUNTER AND EXCHANGE-LISTED SECURITES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NERO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET E 4 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 SUPEROR TO THE N880. PERSHNG ALSO REGULARLY REVIEWS REPORTS FOR QUAUTY OF EXECUTION PURPOSES. F ANY OF THE ABOVE TERMS ANO COEDITORS ARE UNACCEPTABLE TO YOU. PLEASE NOTEYPERS-ING IMMEDIATELY IN WRITINGEW CERTIFIED MAIL TOONE PERSHING PLAZA JERSEYCITY, Ni 07399, AITN• LEGAL DEPT CONFIDENTIAL - PURSUANT TO FED. R CRAM. P. 6(e) 801002420SF3 CON 0025FIDO. L Page 31 o131 MPS CnWlent Every Year Since 2007 MBAR RATED COMMUNICATIONS CAMINO Claim liner Penblyg IIC a *bogy evemil tabs kllary a The in a NeatYak Md Carpotaban My Mellon) INHIHnx LICHINHDH on) DB-SDNY-0009083 EFrA_00156868 EFTA01289231 a Deutsche Bank P.O Box 1776, Baltimore, MD 21203 SOUTHERN FINANCIAL LLD 6 130 RED HOOK QUARTER B3 ST THOM AS VI 00802 Your Investment Specialist: JOSHUA SHOSHAN Asset Summary 0.0t5th• Lint Prise. &rant. 5745.2tm.st Minns Cootragt 15,04 0..40hr 5.,* SP:10.1109 POW Ycet Caate 345 Put fl ews. 2611. Flow Me. 'V , PO Tonto. Evert November 1.2017 - November 30.2 0 17 Account Number: Portfolio at a Glance This Period Yew4wDalt BEGINNINGACCOUNT VALUE $113,410,017.38 $117,089,958.26 Net Cash Deposits aid Withdrawals ,141,000.00 .1,273.731.96 Net Securities In/Out of Account •17,588,000.00 42,061215.50 Adjusted Previous Account Value 95,881,017.38 63,735,008.80 Dividends, Interest and (Mho Income 371,587.71 3,023,801.96 Total Taxes Withheld 0.00 4.076.09 Other Transactions 0.00 400.00 Net Change in Portfolio' 1,236,545.62 30,536,816.04 EN DINGACCOUNT VALUE SESII Accrued Interest $382,086.18 Estimated Annual Income $3.383,921.72 'Net Change in Portfolio is the difference between the ending account value and beginning account value after activity. Asset Type PI/01 Year-End led Pedod Needed -rte • HHH N\41‘1 4Pe:enl Cash, Money Funds, end Bank Deposits 15,864,445.94 7,759,402.53 4,37527043 IMI 27% Fixed Income 19.233.099.80 24,497,834.38 28,288,422.71 m 59% Equities 79,000,010.52 74,652,509.28 57,189,398.32 0 3% Mutual Funds 0.00 3,018,071.21 3,010,341.05 • 7% Exchange-Traded Products 2,972,400.00 3,484,200.00 8,427,720.00 100% Account Total (Pie Chart) $117,089,956.28 $113,410.017.38 $97,289,150.71 Please review your allocation periodically with your Investment Specialist. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 8009969C6FM 18 NFIDOP 4 Page "i of 22 Rated (040ent CI. Mg through Penblin IIC sub* evened ('cry That 5Inte 2007 SASS." of The kelt el Maw Yak Mellon DALBAR RATED COMMUNICATIONS Canceatfon(ONY Melon) (XCIlltria PtelPira LI.C.rnember rime.g444YeteM_ 00046260 DB-SDNY-0009084 EFTA_00156869 EFTA01289232 Summary of Gains and Losses This Petiod Realized Yeat4o-Dole Unrealized Short-Term Gain! Loss 411,890 41 566,693.81 .40,996 13 Long-Term Gain! Loss 483.73 219.686.42 24.034.390.49 Net Gain! Loss 412.374 14 °152.992.61 23,993,393.76 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the' ECB° ) and other credit institutions introduced ' negative interest rates' . Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest will be reported on your Forms 10 99 and/ or 104 2 S These rates are subject to change in response to market changes, and we may, in the future and based on our normal interest rate setting arrangements. begin to charge negative interest rates on additional foreign currency balances. Money Market Fund Detail Dale Adivity Type Sweep Money Market Fund DEUTSCHEGOVT CASH INSTL Current Yield 0 99% Activity Ending: 1V 30( 17 Desakilkiri Amount Palma 11/01/17 Opening Balance 7,759,402 53 7,759,402.53 11/02/17 Withdrawal MONEY FUND REDEM PTION .2,066,646.49 5,692,756.04 11/03/17 Withdrawal MONEY FUND REDEMPTION ,135,100.00 5.557.656.04 11/06/17 Deposit MONEY FUND PURCHASE 438.497.50 5.996.153.54 11107/17 Withdrawal M ON EY FUND REDEMPTION -2.968.549.88 3.027.603.86 11/08117 Deposit MONEY FUND PURCHASE 21,701.01 3,049,304 67 11/10/17 Withdrawal MONEY FUND REDEM PTION -143,910.00 2,905,394.67 11/13/17 Deposit MONEY FUND PURCHASE 138.600.12 3,043,994.19 11/14/17 Deposit MONEY FUND PURCHASE 5,886.93 3.049.881.72 11/15/17 Deposit MONEY FUND PURCHASE 287.667.31 3.337.549.03 11/16/17 Deposit MONEY FUND PURCHASE 36,288.88 3.373.837.91 11/17/17 Deposit MONEY FUND PURCHASE 216.010 00 3,589.907 91 11/20/17 Deposit MONEY FUND PURCHASE 231,562.56 3.821.470.47 11/21/17 Deposit MONEY FUND PURCHASE 572.099.02 4,393,569.49 11/22/17 Withdrawal MONEY FUND REDEM PTION 46,056.20 4.321.513.29 11/24/17 Withdrawal M ON EY FUND REDEMPTION 44.500.00 4.233.013 29 11/27/17 Deposit MONEY FUND PURCHASE 95,940.98 4.328.954 27 11/28/17 Deposit MONEY FUND PURCHASE 3,359.43 4,332.313 70 11/29117 Withdrawal MONEY FUND REDEM PTION 43,000.00 4269.313.70 11/30/17 Deposit INCOM E REIN V EST 3,325.70 4.272.639.40 11/30/17 Closing Balance $4,272,639.40 Total All Money Market Funds $4,272,639.40 Page 2 of 22 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) BO 0 99639C6_F3001 0 NtF I D Pick L Rated Ein4lent Every Year Sine 2007 DALBAR RATED COMMUNICATIONS IXCIU. INC I Clown. thtough Periling (IC, • Say owned subudiary of The Bank col Mew Yet* Mellon Corporation (MY Mellon) P!,P4n4 tic. nwl-t-Jer 111•RA.Tys t, N 08 emy:00 0oo0496261 D 5 EFTA_00156870 EFTA01289233 Deutsche Bank P.O Box 1776, Baltimore, MD 21203 Income and Expense Summary November 1, 2017 - November 30, 2017 SOUTHERN FINANCIAL LLC eae CurreM Period Tuttle Non Turtle Taxable Yea4o-Dale Noe Taxable Dividend Income Equities 134,820.00 0.00 1,004,515.34 0.00 Money Market 3,325.70 0.00 102550.49 0.00 Other Dividends 91,500.80 0.00 902,195.81 0.00 Interest Income Bond Interest 3,021.10 0.00 387,870.02 0.00 Other Interest 36,288.88 0.00 139,834.48 0.00 Expenses Margin Interest 0.00 0.00 0.00 4.63 Withholding Taxes 0.00 0.00 4,078.09 0.00 Fees(Foreign Securities) 0.00 0.00 -300.00 0.00 Total Dividends, Interest, Income and Expenses 9268,956.48 90.00 92,530,590.05 44.63 Distributions Alternative Investments 0.00 102,631.23 0.00 488,840.45 Other Distributions 0.00 338.33 0.00 23.398.11 Total Distributions $0.00 3102.969.56 30.00 $510,236.56 Portfolio Holdings Activity Opening Outing Accrued Income 304:ey Parcel Account Opening Dale Quantity Number CASH, MONEY FUNDS. AND BANK DEPOSITS 4 00 Ending Balance Belem Income 11*Year Yield Yield of Portfolio Cash Balance 0.00 102,631.23 Money Market DEUTSCNEGOVICASH INSTL 11101117 4,272,639.400 NIA 11130117 7359.402.53 4272,639.40 0.00 102,550.49 0.97% 099% Total Money Market 37,759,402.53 34,272,639.40 $0.00 3102.550 49 TOTALCASH, MONEY FUNDS. AND BANK DEPOSITS 37,159,402.53 $4,375,270.63 $0.00 9102,550.49 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Page 3 of 22 BO 099389CSF30018 CONFIDO. L Rated [smitten Clare...through hobos IIC nakoly evened bey Year Since 2007 istaldiary of The Bask el New Yak Meta OMAR RATIO COMMUNICATIONS Carponelan (1111Y maw invoice Periling LI.C.nwreer FINRA.VVizeteM_ 00046262 DB-SDNY-0009086 EFTA_00156871 EFTA01289234 Portfolio Holdings (continued) Date Aciotind FIXED INCOME 27.00% of Port folio (In Maturity Date Sequence) °Asset Backed Securities WASHINGTON M UT 2T0SECSCORP 20044(42 Sincerity 'dashiki939336320 TG PASSTHRU CIF CL C4ViARRATE 6.996% 07125/33 WE DTD 0610 704 Factor: 0.40005360 Effective Date:1/0117 Current Face Value: 55.069.114 12/13113 '-' Q 1,200,000.000 76.5190 394,888.92 91.8310 Original Cost Oasis: $638,908.71 Total Asset Backed Securities $394,888.92 $473,911.46 1,290,000.000 Total Current Face Value: 518,069.144 Corporate Bonds CITIZENSCOM MUNICATIONSCO SR Security Identifier 446384W1 NT FULLY EXCHANGE FROM 14538AX9 7.25% ON V WE DTD 03/23/07M cod y Rating 8336 P Rating 8 10/03/17 1,000,000.000 100.0900 1,000,904.73 96.6250 Original Cost Basis: 6100100890 FRONTIER COMM UNICATIONS CORP Security Identifier: 35908AAH1 SR NT FULLY EXCHANGED FROM CUSP 8.500%04/15720 WE DTD 04/2/13Moody Rating 83 $ 6 P Rating B 10/11/17 1,000,000.000 98.7510 987,506.00 91.4380 Original Cost Basis: $987,506.00 Security Identifier: 06739FHK0 Cuantity Unk Cod Adjusted Unrealized Acaued Esliraled Eslirraled Cod Bads Martel Rix Market Value GainItos6 Interest Anrtal frame )(tell 473,911.46 BARCLAYS BK PLCCONTINGENT CAP NT ISM USO 6739FHK03 7.750% 04/2123 WE OTD 0412/13 CALLABLE 0412/1%.1 P Rating 884 04/03/13 ..12in 300,000.000 100.0000 EXELA INTER LLC f EXELA RN DICED FIRST PRIORITY SR SECD NT %4A 5.000% 07/15/23 NE DM 07/12/17 CLBMoody Rating 83 S 8 P Rating 10/24117 2,000,000.000 97.0250 300.000.00 101.9000 Original Cost Basis: $300,000.00 Security Identifier: 30 I82RAA9 1,940,506.00 93.8750 Original Cost Basis: 51940.506.00 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 966 250 00 914.38010 305.700.00 1,877,500.00 79,022.54 2,908.79 $79,022.54 $2,906.79 $0.00 -34.654.73 14,843.75 71,250.00 7.37% -73.126.00 10.625 00 85.000 00 929% 5.700 00 3.229 17 23.250.00 760% 43,006.00 76,666.67 200,000.00 10.85% BO 09 9389 C Sc300 18 CONFIDOP Rated Excellent Every Yet Sect 2007 DALIAR RATED COMMUNICATIONS EXCELLENCE Page 4 of 22 C leen% Winer Roden ti c nub./ evened sotaldlearg et The lank el New Y.t Mellen Ceneratten (My Mellon) Pen Pea 11C...twee. F iliting4E4V136 M-00046263 DB-SDNY-0009087 EFrA_00 156872 EFTA01289235 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) November 1.2017 - November 30,2017 SOUTHERN RNA NCIAL LLC DateAcquired Quantity Unit Cod FIXED INCOM E (continued) Corporate Bonds (continued) INVTS GM BH GTD SR NT REG S ISINB USA29866453 7250%04/03/24 WE DID 04/031MS 8 P Baling B 10/31/I7 2.000.000.000 99.0650 Adjusted Cost Bees Market Price SERVICEMASTER CO NT 7250%03/0138 B/E DTD 03/02/98 ST CPR DTE 09/0198 CPN PM T SEMI ANNUAL ON MAR 01AND SEP011oc4y Rating 62 58 P Rating B 10/18/17 1,000,000.000 103.9910 10/19/17 10/20/17 10/31/17 350,000.000 80,000.000 70,000.000 103.9920 103.9980 104.0020 Total Covered 1,500,000 000 Total 1,500,000.000 PM ORGAN CHASE 8 CO DEP SIISRSPSTG YDTH PFD SER 'FIXED TO FLTG FIT BD 7.900%04/29/49 B/E DTD 04/23/08M oody Wling BAA3 SS P Rating 13611. Security Identifier: A29866AB5 1.981.300.00 99.5000 Original Cost Basis: 51981300.00 Security Identifier: 81760NAB5 1,039,905.42 102.5000 Original Cost Basis: 51040.006.00 363,973.41 102.5000 Original Cost Basis:5384,00600 83,198.74 102.5000 Original Cost Basis: 583206.00 72,801.05 102.5000 Original Cost Basis: 57280600 1.559.878.62 $1,559,878.62 Security Identifier 4662510411 06/15/11 1.3 12 2,500,000.000 107.5000 2,687,500.00 101.2420 Original Cost Basis: $2.687.500.00 06/15/11 . •3t2 2.500.000.000 107.0000 2,675,000.00 101.2420 Original Cost Basis:52,675,000.00 Total Noncovered 5,000,000 000 5,362,500.00 Total 5,000,000.000 55,362,500.00 M arket Valte 1.990 000 00 1.025.000 01 358.749 99 81.999 99 71,750.01 1,537,500 00 51,537.500 00 2.531,050 00 2.531.050 00 5,062,100.00 55,062,100.00 Unit aliZed Gain Lon Acteued Estimated Eslimated lidded Annual Income YM4d 8.700.00 22.958.33 145,000.00 728% -14,905.41 17,923.61 72.500.00 7.07% 5,223.42 6,273.26 25,375.00 7.07% -1,198.75 1,433.89 5,800.00 7.07% -1,051.04 1,254.66 5,075.00 7.07% -22,378.62 26,885 42 108,750.00 422,378.62 $26,885.42 3108,750.00 -156,450.00 16,458.34 197,500.00 7.80% -143,950.00 16,458.33 197,500.00 7.80% -300,400.00 32,916.67 395,000.00 4300.400.00 $32,916.67 3395.000.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDg BOO 99389 CSF30 0 18 L- Rated beetient brew Yet Sm« 2007 DALBAR RATED COMMutoCATiONS ("Mane( Page 5 of 22 Clerg tirough esWquC.arbyewNd subsidiary of Ne Bank a New WA Mello« CorpontionfilNY ~Doll) pc,h, iie,RA.g2Eay,a.GM_00346264 DB-SDNY-0009088 EFTA_00156873 EFTA01289236 Portfolio Holdings (continued) Date Acquired FIXED INCOM E (continued) Corporate Bonds (continued) BANK AM ER CORP PERP NON COM ULATIVE DEP SKS FIXED TO FLOAT 8.25% 04/30/58 BIE DTD 04/30/08 CALLABLE 05/511M oody Rating BA2 SE P Rating BBB- 01/10/11 *-357 Quantity Unit Co! Adjusted Cod Bads Market Pace Mallet Value Qinrlow Umiak/id Accrued Estimated Edintaled lotus Annual Income Yield 2.000.000.000 102.7500 SOUTHERN CALIF EDISON CO PREF SER E 6.250% 0117/62 INE DID 011714 CALLABLE 02101122 Q D0 000 M oody Rating BAA1 S8 P Rat iag BBB- 01130112 ' •3° 3,000,000.000 99.8780 GENERAL MC CO GTD FXD-TO-FITGRT NON-CUMULATIVE PERPETUAL PREFERRED 4 000% 2103/65 REG DID 2/0 Vs6M oody Rating A3 58 P Rating A 12/03115 • 2,469,000.000 88.0930 5LLOYDS8ANKING GROUP PLC FXD RATE RESET ADM. TIER 1SECS 'SINS US539439AG42 7.500% 04/27/88 B/E DTD 04107/14S/1 P Rating BB- Please Provide • 1.903.000.000 NIA CITIGROUP INC FXD RT SR NT PERP DEP RECPT 5.950% 08/t/88 81E DTD 08112/4 CALLABLE0815120Q D0.00014 oody Ratiag Bik2 S8 P Rating BB* 08/06/15 3.000.000.000 Security Identifier: 060505078 2,055,000.00 102.7570 Original Cost Basis: $2,055.00000 Securly Identifier: 842400 FU2 2,996,328.32 112.0310 Original Cost Basis: $2092,564.97 Security Identifier: 3696048144 2,175,016.17 98.8750 Original Cost Basis: $2.175.01.17 Security ldent they 539439AG4 Please Provide 113.2500 Original Cost Basis: Please Provide Security ldentdier: 17296725 3.000.005.99 104 8880 Original Cost Basis: $3,000,006.00 $23,358,945.83 2,055.140.00 3,360,930 00 2,441.223 75 2.155.147.50 3.146.640.00 140.00 6370.83 162,500.00 7 90% 364,601.68 61,979.17 187,500.00 5.57% 266,207.58 45,265.00 98,760.00 4 04% N/A 24,976.88 142.725.00 6.62% 146.634.01 52.062.50 178.500.00 5.67% Total Corporate Bonds $25,812,511.25 $298,417.92 $379,179.39 $1,798,235.00 25,172,000.. TOTAL FIXED INCOME $23,753,834.75 $26.286,422.71 $377,440.46 $382,088.18 $1,798,235.00 26,462,000.000 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 8° "69 ca lqF I D gitefFAL Rated Ene4lerd (my Year Since 2007 DALIAR RATED COMMutoCATIONS rxCEtLLHCE Page 6 of 22 Glenn& tIvough Penbmg U.C. a %lay owned subudiary of The lank a New York Mellon Corporation (MY Mellon) P.,,P1n4 tic. Mnn'ti. liber s uLDN em ym 08 _00000496265 DB- 9 EFTA_00156874 EFTA01289237 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Date Acquied EQUITIES 59.00% of Portfolio Common Stocks BROADCOM LTD SiSISINS SC999909823 Dividend Oplion: Cash 09/29/17 10113117 Total Covered Total 4,000 000 ADVANCED MICRO DEVICES INC COM Dividend Option: Cash 20.00000 of these shales are in your margin account 09/15/17 20,000.000 12.3010 ALIBABA GROUP HLOG LTD SPONSORED ADS ISNIUSOW9W1)27 Dividend Option: Cash 06/10/15 5.000.000 88.9500 APOLLO GLOBAL MUT LLCCL A %IS Dividend Option: Cash 03/29/11 " 3 263.157.000 19.0000 APPLE INC OW Dividend Oplion: Cash 01/11/16 214,000.000 99.0000 BASF SE SPONSADR IS1NO U90552625057 Dividend Option: Cash 04/13/15 20,000.000 BIOGEN 'DEC INC COM Dividend Oplion: Cash 02/14/12 2.095.000 110.2120 CENTENE CORP DB. COM Dividend Option: Cash November 1,2017 - November 30,2017 SOUTHERN FINANCIAL LLC Quantity Unit Caul Cast Basis Market Pike 2,000.000 2.000.000 4,000 • 485,884.78 250.0230 500146.68 985,931.46 Security Identifier: AVGO CUSP. Y09827139 277.9400 277.9400 5985.931.46 Seaway Identifier MID CUSP. 007903W 246.012.36 10.8900 Searily Identifier. BABA CUSP: 0 $091V 1)2 444,749.00 177.0800 Security Identifier: APO CUSP. 03762306 4.991983.00 31.3100 Security Identifier. AAPL CUSP:0378331)0 21,186.005 14 171.8500 Securely Identifier: 8ASFY CLISIR 055262505 25.4030 508.056 00 28.0000 Security Identifier. BIIB CUSP. 09062X133 231.019 65 322.1700 &lardy Identifier. CNC CUSP: 6135891 Mafter ValLe 555,880.00 555.880.00 1,111,760.00 81,111.760 00 217.800.00 885 400 00 8 239 445 67 36.775 900.00 561000.00 674146.15 Unrealized Pintos Estimated Estrin' ed Annual Income Yield 69,995 22 8,160.00 1.46% 55.833 32 8.160.00 1.46% 125.828.54 16,320.00 5125.828 54 $16,320 00 48,212.36 440.651 00 3,239.462 67 486,840.45 590% 15,589,894.86 539,280.00 1.46% 51,944 00 12,092.12 2.15% 443.926 50 Page 7 of 2'2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 900 99639 0 C9F30 0 1 I4FIDO. bled Iscollent Clewing Heater Pecan1SC • +Atoll owned Every Year Since 2007 totaling of The Bank el New Yorlg Mellon DALBAR PAM COMMUNICATIONS OnotatIon (MY Mellon) EXCULINCI Perihnx 11.C. ertet-bn OM A. ileatOluet9M—00346266 DB-SDNY-0009090 EFTA_00 156875 EFTA01289238 Portfolio Holdings (continued) Date Acquired EQU IT I ES {continued) Common Stocks (continued) CENTENE CORP DB. COM (continued) 09108114 15.550.000 FACEBOOK INCCL A Dividend Oplion: Cash 05117112'3 GLEAD SCIENCES INC Dividend Oplion: Cash 02105/14 03107114 10/24/17 Total Covered Total VOLKSWAGEN A GADR (SPONS) Dividend Oplion: Cash 04/13/15 09/21/17 Total Covered Total Total Common Stocks Preferred Stocks (Listed by expiration date) GM AC CAP TR I GTD TRPfD SECS SER 2 CM- 8.125% FREO ORTLY MATY42/5/2040 CALL ANYTIll EQ250,130 DAYS BEGNS02/15/0 Dividend Oplion: Cash 02122112 '3 Total Preferred Stocks Options CALL 1)0 GILEAD SCIENCES INC DR 2-5.17085000 OPTION ROOT: GILD 40.00 of These contrails area shod position 10/24/I7 40.000 PUT 90 GILEAD SCIENCESINC EXP 4.5.0075000 OPTION ROOT: GILD -25.00 of these contrads area short position 10124117' 45.000 17,500.000 5,000.000 3.100.000 4.400.000 12,500 000 12.500 000 5,000.000 24.000.000 29.000 000 29.000 000 Quantity Unit Col Cost Basis Market Rice Market Value Unfilled Gloriosa 63.6450 38.0000 79.2810 79.6120 80.0900 50.8610 34.1880 80,000.000 989.67935 102.0900 Security Idenlifier: FB ClISP. 3030311132 665000.00 177.1800 &wily Identifies GILD CUSP: 37555803 74.7800 74.7800 74.7800 254306.00 820.503.00 1.074.809.00 $1,074.809.00 $32,326,845.07 396.40700 246.797.00 352.395.71 995299.71 $995,599.71 Security Identifier: VLKAY CUSP: 928662303 41.5200 41.5200 Security Identifies:ALLY PRA CUSIP. 36160208 23.5350 1,882.773.50 26.1200 1.3130 1.1500 $1,882,773.60 Option Idenlifies:990AKP6Jf Underlying Senility Idmtifier. GILD Underlying Security Price: $74.78 -7,880.81 0.0400 Oplion Idealdiet 990A1036K}1 Underlying Security Identifier. GILD Underlying Security Price $74.78 4.476.82 1.7800 1.587.499.50 3.100.650.00 373.900.00 231.818.00 329.032 00 934,750.00 $934.750.00 207,600.00 996.480.00 1,204,080.00 $1,204,080.00 $55,292,231.32 2.089.600.00 $2,089.600.00 -240.00 .11,570.00 597.819.75 2.435.650.00 -22,507.00 14.979.00 -23,363 71 -60,849.71 -$60,849.71 -46,706.00 175.977.00 129,271.00 $129.271.00 $22,965,386.25 206,826.40 $206,826 40 7.64011 4,093.18 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 8""ContqF D L Estimated Estimated Annul Income Yield 10,400.00 6448.00 9.152.00 26,000.00 $26.000.00 1,706.59 8.191 66 9,898 25 $9,898.25 $1,090,430.82 2.78% 2.78% 278% 082% 082% 147,216.00 704% $147,216.00 Page 3 of 22 Rated Galls. Clewing through Penaing LC. a mite/ owned bay Yea Since1007 stadia" of The Bank *I New Yea Mellon DALIARIATEDCOMMUNICA11016 Corporation (IINY Melba) ,,,.. ,,.. LXCGAINCE fientirat ll.C. web, F itif tn. tWilfuet!"-00046267 DB-SDNY-0009091 EFTA_00 156876 EFTA01289239 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) November 1, 2017 - November 30,2017 SOUTHERN FlNANCIALLLC Date Acquired Quantity Unit co Cost Bees NNW Rice EQUITIES (continued) Options (continued) PUT VO GILEAD SCIENCESINC (continued) 10/24/17 40.000 1.1600 4.958.83 1.7800 Total Noncovered •125.000 Total -125.000 CALL DO GILEAD SCIENCES INC IXP 4-5.4082.500 OPTION ROOT= GILD -6500 of these contracts area short posilion -14A35.65 414,435.65 Option Identifier: 990ALHGAB Underlying Security Identifier. GILD Underlying Security Price: $74.78 10/24117 45.000 2.0680 -13.443.68 0.0500 CALL 100 BROAKOM LTD %IS ISINISG9999011823 DP 2-6- ft ©250.000 OPTION ROOT= AVGO -20.00 ot these contracts are a short position Option Identifier:9901109FM Underlying Security Identifier: AVGO Underlying Security Price: $277.94 09129/17 -20.000 10.3040 -20,608.52 29.5600 CALL DO BROADC011 LTD DS ISMS 509999011823 DP 2-6- 170260000 OPTION ROOT= AVGO -20.00 of these contracts are a short position Option Identifier: 99DALC19FN Underlying Security Identifier MOO Underlying Secerity Price: $277.94 10/13/17 -20.000 7.8690 -15.738.63 21.3000 PUT DO 8ROADCOLI LTD SliS IMP 569999011823 IXP 12-6-4240.000 OPTION ROOT= MOO -40.00 of theseCOMfacts are a short position Option Identifier:990/0.09AV Underlying Security Identifier: MOO Underlying Security Price: $277.94 09/29/W 40.000 11.8430 -23.685.44 1.1000 10/13/17 • -20.000 7.7790 -15.558.63 1.1000 Total Noncovered -40.000 Total -40.000 -39,244.07 -$39,244.07 Market Value Unrealized Gainlloss -10.680.00 42.250.00 -$22,250.00 325.00 -59,120.00 42.600.00 -2.200.00 -2.200.00 -4,400.00 44,400.00 4.721.17 -7,814.35 47,814.35 13.118 68 48,511.48 -26.861.37 21.485.44 13.358 63 34 844 07 Estimated EdImaled Annual Income Yidd $34,844.07 $0.00 $0 00 Page 9 of 22 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) e""C6HFID L Rated Galls. Oaring Omagh Penblin IIC aut.^ owned Eery Vex Since 2007 satosIdlary of The lank a New Vat Mellon DAUM PATEDCOIAMMICAllONS Corporation OM Aldan) ,..... , EXCULOC PesHeatttC.reente F iNRA.IIW l‘i:t9M-00046268 DB-SDNY-0009092 EFTA_00 156877 EFTA01289240 Portfolio Holdings (continued) Dile Acquired EQUITIES (continued) Options {continued) PUT 130 ADVANCED MICRO DEVICESINC COM DIP 24-17(10.000 OPSON ROOT: AV 0 -300.00 of I hose contracts am a shod position 10/25117 400.000 0.8100 CALL 130 nil EWARNER INC NEW COM NEW DIP 01040 t10.000 OPTION ROOT: TWX Corday Unit Cost Cal Dais Markel Ftice 10/13/17 10.000 4.5360 Total Options TOTAL EQUITIES Option Identifier: 990411Ni Underlying &tangy identifier AND Und 'dying Security Price:St 89 -24.293.43 2.1300 Option identifier: 9904HOGHJ Underlying Seemly Identifier: MX Underlying Security Nice: $9151 4,536.00 0.4000 Muhl Value Unrested Pintoes 43,900.00 400.00 414608.57 4,136.00 Esirrai et Esirraied Annual frame )(tell 4131,108.79 4192,435.00 Ode Acquired Cmantity Unit Col MUTUAL FUNDS 3.00% of Portfolio IVORGAN FLOATING RATE INCOME FUND CLASS I Open End Fund Dividend Oplion: Reinvest: Capital Gaits Option: Reinvest $34,078,509.88 Cod Setif Merkel Ftice Security Ideal ifier: ,PHSX CUSIP 1(412t513 $57,189,396.32 Market Value 461,326 21 $23,110,886.44 $0.00 Unseated Gelarloss $1,237,646.82 Estimated Estimated Maud Income Yield 09/28/17 318,809.777 9.4100 3.000.000.00 9.3800 2 990.435.71 -9,564.29 117,695.00 3.93% Reinvestments to Date 2.122.105 9.3990 19.945 81 9.3800 19.905 34 4047 783.42 393% Total Covered 320,931 882 3.019,945 81 3.010,341 05 -9,604.76 118.478 42 Total 320,931.882 13,019,945.81 13,010,341.05 49,604.76 5118.478.42 TOTAL M UTUAL FUNDS 83,019,945.81 $3,010,341.05 49,604.76 $118,478.42 Unmated Estimated Estimated Onte Accaired Quality Unit Cod Cod EPS Markel Price Market Value Coin/Loss Annul Income Yield EXCHANGE-TRADED PRODUCTS 7.00% of Portfolio ISHARESINC MSCI SOUTH KOREA CAPPED ETF Dividend Oplion: Cash; Capital Gains Option: Cash Stalky Identifier. EWY CUSP. 464286772 11/03117 13,000.000 75.8460 986996.98 76.1600 976,950.00 4,046.98 8.390 14 085% ISHARES TR CHINA LARGE-CAP ETF Dividend Oplion: Cash: Capital Gains Option: Cash Security Waller: FXI CUSIP 46428714 11/03117 21,000.000 46.3690 973,747.14 46.1700 969,570.00 4,177 14 18,167.31 1.87% CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) 80 0 99389 C Sc3OO 18 CONFIDOP Page '0 of 22 WedUSIent CiewingthmorOmMmilICaShaymmed toveretarSince2007 stosklimallftMeltelMw*AMOw commeureoammocAtiom CorpoeWmOMYMADO uctuma PerihrmaCirbeturatA.WaxeM_00046269 DB-SDNY-0009093 EFTA_00 156878 EFTA01289241 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings (continued) Dale Angered EXCHANGE-TRADED PRODUCTS (continued) 'SHARES INC II SCI TAIWAN CAPPED ETF Dividend Option:Cash:Capital Gains Option: Cash 11103117 26.000.000 37.9690 WISDOM TREE TR JAPAN HEDGED EQUITY FO Dividend Option:Cash:Capital Gains Option: Cash 60100.00 of these shares are in your margin account 12/11/13 60.000.000 49.4350 TOTAL EXCHANGET WADED PRODUCTS lovember 1,2017 - November 30,2017 BOUTHERN FINANCIAL LLC Quantity Unit Cod Cad Bates Market kite Security Identdier:E1VT OAP. 46434G772 987,205.46 37.1000 Security Identifier: 0%J CUSP 97717W851 Market Value Unrealized Gainless Estimated Estimated Annual Income Yield 964.600.00 -22,605.46 18.219.34 1.88% 2.966.098.50 58.8100 3.516.600.00 550301 50 82.234 20 2.33% $5,913,048.38 $6,427,720.00 Cod Bads Minket Value $514,671.62 $127,010.99 Uentakzed Gainless Amid Intend ablated Annual Income TOTAL PORTFOLIO HOLDINGS $71,140,609.45 $97,289.150.71 $23.993.393.76 $382.088.18 $3.383.921.72 • Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered". Securities marked as "covered", were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 10 99-B for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS. Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed. there may be a temporary incorrect adjusted cost basis reflected unt if the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with less than one year to maturity. 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 fo us by you or your introducing firm and Pershing makes no representation as f o the accuracy of this information. 5 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°, the underlying security. The Current Face value isdetermined by multiplying the current factor times the original face amount of the security. Factors may changeover time and are obtained from sources we keine fo be reliable. c 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. T3 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Page " of 22 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 8°0" c6N8F I D L Rated Galls. Owing %MOO halting LC • May owned Gary Vex Since 2007 SSA., of The in a New Vat Mellon DALIARILATEDCOINAMICATIONS Corporation (Ely Melba) ,...... n A UMIAK( fientleatttC.rreente F ihltAAW 11,119m_ 00046270 DB-SDNY-0009094 EFTA_00 156879 EFTA01289242 Portfolio Holdings Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions. at the close of the statement period. The market prices. unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer. and may differ from the actual sale price. Securities for which a price is not available are marked "NI A" and are omitted from the Total. THEAS OF PRICE DATEONLY APPEARS W HEN THEPRICEDATE DOES NOT EQUAL THE STATEM ENT DATE Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates. and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to www pershing.coml disclosures for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request t0 your financial institution, information pertaining t0 these transactions. including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Option Disclosure Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options w hich are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Foreign Currency Transactions Pershing will execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness. timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions. regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities, and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. Page '2 of 22 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 90099639CS_F3901 FID Rated ticellent Clewing through Pealwe LLC. • May owned Every Yew Since 2007 subsidiary of The in a New Vat Mellon DALIARRATEDCOMMUNICATIONS Corporation (IINY Melon) OCCGAINCE fientimellCanerte FinatOIWIluann-00046271 DB-SDNY-0009095 EFTA_00 [56880 EFTA01289243 Deutsche Bank P.O. Box 1 7 76, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period November 1,2017 - November 30,2017 rIMA PdrItil l ir Desolation Date Disposed Dale Acquired DesIgnMion DispositionMethod/ Transaction Guanine Proceeds Cost Bans Realized Gain Lou Short Term VENATOR M AILS PLC SH 11/30/179 11/30/17 Covers Rrst In First Out! SELL 1.400 000 30.626 28 31.500 00 -873 72 00BF3ZNS54 Security Identifier. G9329110 OONSTELUUll NV CIA 11/01/17 11101117 Covered Fret In First Out? SELL 8.500.000 96.551.76 93.50010 3.051.76 0489522 Security Identifier. 112203514 ALTAIR B4GR INC CL A 11101/17 11101117 Covered Rrst In First Out / SELL 1200.000 54,876.53 41,600.00 13,276.53 Security Identifier. 0206913 AMERICANAXLES MFG 11108/17 11107117 Covered Fist In First Out? SELL 8.200.000 144,290.12 143.910.00 290.12 COM Security Identifier. 024061/3 AOUANTIA CORP COM 11103/11 11103117 Covered Rrst In First Out! SELL 2.400 000 21,701.01 21.600.00 101.01 Security Identifier 03842018 GARDNERDENVERS.0GS 11/16/17 11116117 Covered first In First Out! SELL 800.000 22,282.01 21,800.00 482.01 Security Identifier. 36555017 GRAY TELEVISION INC 11/30/179 11/30/17 Covered Rrst In First Out / Sal 4.600 000 66.088 48 66.70100 .611.52 Security Identifier 38937516 ..ELOAVEN HLOGINCCO 11116/17 11/16/17 Covered Rrst In First Out/ SELL 700.000 24,135.44 23,625.00 510.44 Security Identifier. 47580003 PAYLOC1TY HLEIG CORP 11121/17 11/20/17 Covered First In First Out! SELL 2.000 000 95.940.98 94,500.00 1,440.98 Security Identifier 7043SVD6 PRESIDIO INC COM 11117/17 11/17/17 Covered First In Ant Out / SELL 800.000 11,943.80 11,400.00 543.80 Security Identifier. 741203 OUALCOMM INC 11117/17 09/14/17 Covers First In First Out! Sal 5.000 000 269.715.75 255,685.97 14,029.78 Security Identifier.74762513 11/17/17 09120117 Covers Ant In First Out / SELL 5,000.000 279.149.63 269.806.00 19.343.53 Total 10,000.000 548.886.28 515.491.97 33.373.31 SRC ENERGY INC COM 11109/17 11/09/17 Covers Ant In First Out / SELL 700.000 5,886.93 5.600.00 286.93 Security Identifier. 78470V138 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ' 0"639631qF ID AL- Rated I 'eviler.? Gen Yew, Sint 2007 DALBAR RATED COMMUNICATIONS EXCELLENCE Page '3 of 22 Cleaving through Penhwell.C. a **ay owned subudimy of The Oak a New York Mellon Corporation 15NY Mellon) P!. 0,14 tic. Trvtary ,II,RAA4411,2PM_00046272 DB-SDNY-0009096 EFTA_00 15688 I EFTA01289244 Schedule of Realized Gains and Losses Current Period (continued) Dale Dale Realized Description Wanted Acidated Designation Disposition Method) Transit lon Closolky Roared; Cod Basis Getty Loss Short Term (continued) CAII VA SIP 500 ET 11/14117 09127117 Covered Rrst In First Out! SELL 620.000 287.667.31 135.879 00 151,788.31 255.00 Security Identifier 990AFT2Z3 PUT CURENC YSHARES 11/03117 10/17117 Coveted Rat In First Out! SELL 7.000 774.83 637 00 137.83 1200 11103117 10117117 Coveted First In First Out 1 SRI 2,593.000 287,020.38 235.969 00 54051 38 Security Identifier 990AHRONU Total 2,600.000 287,795.21 236,606.00 51189 21 CAL!. WORS&P500 ET 11117117 09127117 Covered First In First Out! SELL 500.000 276,987.56 132,406.00 144,581.56 254.00 Security Identifier.990ALK878 PUT OUALCOUN INC EX 11102117 09114117 Covered Rat In First Out! BUY 40.000 7,564.82 363.00 7201.82 50.00 11102117 09120117 Covered First In First Out! BUY 40.000 5,820.86 363.00 5257.86 Security Identifer.990ALPBOU Total 400.000 13,185.68 726.00 12,459.68 Total Short Term 1,988,734.38 1,576,843.97 411,890.41 Long Term WASHINGTON II UT IITOS 1104/17 12113113 Noncovered'' REPYIAT OF PRIN 1,290,000.000 2,080.09 1,576.36 483.73 004-RA2 SITU PASSTHRU CIF CL C- Original Cost 8asis 1576.36 B-1VAR RATE 6.996%07/25133 Security Identifier 939336520 Total Long Term 2,060 09 1 576 36 483.73 Total Short and Long Term 1.990.794 47 1,572420 33 412.374.14 Noncovered under the cost basis rules as defined below. Generally, securities acquired before 2011, in retirement accounts or held by Non-U.S. entities are not subject to the cost basis reporting rules set forth in the Internal Revenue Code of '086, as amended by the Emergency Economic Stabilization Act of 20 0 8, and are marked as "noncovered" Securities marked as' covered', were identified as securities potentially subject to the cost basis reporting rules and may be reported to the IRS on form 1099.8 for the applicable tax year in which the securities are disposed. Note: In the event where we cannot easily determine the taxability of an account, we may mark the account as covered. However, if the account does not receive a 10998, the cost basis will not be reported to the IRS 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 return 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 I399-B or online displays you may have available to you. Page 14 of 22 CONFIDENTIAL — PURSUANT TO FED. R CRIAA P. 6(e) N4G-0I3804 B0099 389 CSF30 0 18 CONFIDO. L Rated Excellent trey Yew Since 2007 DMIAR RATED COMMUNICATIONS EXCILLUICE Clearing Omagh PenblinlIC auk* evened sobildlarrof The Bank a New Yak Meta Carpotaban (MY Mellon) Penhnx 11.C. menbn tuRAARKELGM-00046273 DS-SDNY-0009097 EFTA_00156882 EFTA01289245 PA Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Schedule of Realized Gains and Losses Current Period (continued) Vovem ber 1, 2017 - November 30,2017 SOUTHERN RNA NCIAL LLC W hen 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 lax 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 all liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Cost Basis on fixed income securities may be adjusted for amortization, accretion. original issue discount adjustments. or principal paydowns. The calculation is based upon the taxpayer election, type of fixed income security, and certain attributes, obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the cost basis system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving foreign bonds, bonds sold short or bonds issued with lessthan one year to maturity. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. ' The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as ro the accuracy of this information. u These shares are unsettled and have been recently disposed. You will also see these shares on the Portfolio Holdings section until this transaction has been settled. Please refer to the Your Account Information Section in your brokerage account statement for your account's existing tax-lot 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 will 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 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 prospect us or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10 b-10( b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Please note the following information for Pershing's 2017 Form 1099 tax statement (1099). The 1099 includes IRS1099 Form B, DIV, INT. 010 and M ISC. Your 1099 will be delivered as early as possible, beginning January 312018 By February 15, you will be mailed either your 1399 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities you hold by the as of date of the February 15 1099 mailing. You will also be sent the notice if your information is still being reviewed and finalized. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1399. Your 1099 will be mailed no later than M arch 15.2018. For more information please visit mytaxhandbook.com. MUNICIPAL SECURITIESRULEM AKING BOARDI(M SRN)) INVESTOR EDUCATION A NO PROTECTION An investor brochure that describes the protections available under MSR8 rules and instructions on how to file a complaint with an appropriate regulatory authority can be found on the M SKI w etisite. msrb.org. Pershing LLC is registered with the Securities and Exchange Commission (SEC), M SRB. RN RA, and NYSE Page '5 of 22 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 809CONFIDA Rated Gallen, Clewing through Pashas LC.* +Atoll owned Eery Vex Since 2007 se...Idler of The Bask N Mew Yorlg Mellon DALIARPATEDCOINAUNICATIONS Corporation (eta Melba) .. Uall(Na PositintltC.rreentw F Mite, tWilli.et,40_00346274 DB-SDNY-0009098 EFTA_00 156883 EFTA01289246 Actrvihy Summary A ri ,)„ „, n .abt, U. Cyl Debits Tbis Period Net This Period °edits Yea-to-Dale Detesleat4o-Date Net Yee-to-Date Credits This Period Securities Securities Bought 0.00 4,482,108.1? 4,482,108.17 0.00 -18.534,977.51 -18.534,97151 Securities Sold 1.867.050 23 0.00 1.867.050 13 4.277.341.06 0.00 4.277.341.06 SecuritiesWithdrawn 0.00 -17,588600.00 -17588,000.00 0.00 -52,061215.50 -52,061215.50 Total Securities $1,867,050.23 423,070,108 17 421,203,057.94 51,277,311.06 470,596,193.01 466,318,851.95 Dividends and Interest $268,956.48 $0.00 $268,956.48 $2,661,897.39 4124.935.88 $2,536,961.51 Distributions $102,969.56 $0.00 $102.969.56 $1,511,707.68 $0.00 $1,511,707.68 Fees $0 00 $0 00 $000 $0.00 4400.00 4400.00 Taxes Withheld $0.00 $0.00 $0.00 $0.00 46,076.09 46,076.09 Cash Withdrawals 0.00 -141,00000 -141.000.00 0.00 -1,273,731.96 -1,273,731.96 Total Cash $0.00 4111,000 00 4111.000.00 $0.00 41,273,731.96 41,273,731.96 Totals $2,238,976.27 423.211.108 17 420,972.131 90 $8.450.916.13 472,001,336 91 463.550.390 81 Transactions by Type of Activity PIONS' Trade; Settlement Transiaion Date Dote Agilely Type Desaiption Quantity Price Acaued 'Pint* Amount Cream Securities Bought and Sold 11/02/17 10131/17 PURCHASED SS INVTSGM BH GTC SR NT REG S ISINIUSA29866A653 2.000.000.000 99.0650 -11,680.66 -1.992.980.56 USD SSA/4113909 7250% 04/03/24 MD71304/03/14 CLB YLD 7.434 TO M AT ASOF 913/2017 11/02/17 10131/17 PURCHASED SERVICEM ASTER CO NT 7250%03/0/38 B/E DTD 03/02198 70.000 000 104.0000 -859.93 -73,665.93 USD SYM GD YLD 6880 TO M AT 11103/17 11101/17 SOLO CONSTB.LIUM NV CIA ISINS N1001489522 UNSOLICITED 6.500 000 11.1000 96,551.76 USD CSTM ORDER ALLOCATED ORDER YOUR BROKER ACTED AS AGENT 11103/17 11101/17 PURCHASED CONSTELLIUM NV CIA ISINS N10013489522 PROSPECTUS 8.500 000 11.0000 -93.500.00 USD CSTM UNDER SEPARATE COVER 11103/17 11/01/17 SOLO ALTAIR ENGR INC CL A COM UNSOLICITED ORDER AVERAGE -3,200 000 17.1911 54,876.53 USD ALTR UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 11103/17 11101/17 PURCHASED ALTAIR ENGR INC CI. A COM PROSPECTUS UNDER SEPARATE 3200 000 13.0000 -41,600.00 USD ALTR COVER 11103/17 11102117 PURCHASE) PUT 00 OUALCOMII INC EXP 11-9.17050 000 OPTION ROOT: 100.000 0.0700 -726.00 USD 990ALF8DU 00041 CLOSING TRANSACTION UNSOLICITED ORDER EXCHANGE LISTED OPTION ALLOCATED ORDER Page '6 of 22 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 90099639C5Q° 1_8 NFIDO Paled ficellent Even/ Year Since 2007 DALBAR RATIO COMMUNICATIONS EXCELLENCE Clown. tivough 'Want U.C. a wooer owned sabsidlary of The Sank ad New York Mellon CA•Parabil any Mellon) onm Poshattl.C.nverter FihRAMWV11113•40—00046275 DB-SDNY-0009099 EFTA_00156884 EFTA01289247 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) November 12017 - November 30,2017 SOUTHERN FINANCIAL LLC Proof% Trade' Seillemenl Transaction Date Dale Adivily Type Description Quantity Price Acaued Inlered Amount Currency Securities Bought and Sold (continued) 11/06/17 11103/17 SOLO PUT AO CURENCYSHARES EURO TR EURO SHS EXP -2.600.000 1.1369 287.795 21 USD 990AHRONU 011-134)12 000 OPTION ROOT: FXE CLOSING TRANSACTION UNSOL EXCHANGE LISTED 11107/17 11103117 SOLD AQUANTIA CORP COM UNSOUCITED ORDER -2.100.000 9.0848 21,701.01 USD AO 11101/17 11103111 PURCHASED AOUANTIACORPCOM PROSPECTUS UNDER SEPARATE009ER 2,100 000 9.0000 -21,600.00 USD AO 11/07/17 11103/17 PURCHASED ISHARES INC MSCI SOUTH KOREA CAPPED ETF UNSOLICITED 13.000.000 75.8054 485.996.98 USD ENV ORDER AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED ASAGENT 11/07/17 11103/17 PURCHASED ISHARES TR CHINA LARGE-CAP ETF UNSOLICITED ORDER 21.000 000 46.3286 -973,747.44 USD FXI AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 11/07/17 11103117 PURCHASED MARES INC MSCI TAIWAN CAPPED ETF UNSOLICITED ORDER 26.000 000 37.9292 487.205.16 USD ENT AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 11110/17 11107/17 PURCHASED AMERICAN AXLE & M FG HIDGS INC COM PROSPECTUS UNDER 8200 000 17.5500 -113,910.00 USD AXL SEPARATE COVER 11/10/17 11108/17 SOLO AMERICAN AXLE & M FGHLDGS INC COM BKCM A PERSHING 4.200 000 17.6265 11000.12 USD AXL AFFILIATE MAKESA M KT IN THIS SECURITY 8 ACTED AS PRINCIPAL UNSOLICITED ORDER AVERAGE UNIT PRICE TRANSACTION 11/13/17 11109/17 PURCHASED SRC ENERGY INC 03M PROSPECTUS UNDER SEPARATE COVER 700.000 8.0000 -5.600.00 USD SRO 11113/17 11109/17 SOLD SRC ENERGY INC COM UNSOLICITED ORDER AVERAGE UNIT -700.000 8.4901 5.886.93 USD SRC) PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 11115/17 11114111 SOLD CALL DO SPDR S&P 500 ETF TR TR UNIT EXP 12-4-V0255000 -620.000 4.6700 287,667.31 USD 990AFT2Z3 OPTION ROOT: SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 11/20/17 11116/17 SOLD GARDNER DENVER HLDGS INC COM UNSOLICITED ORDER 400.000 27.9231 22.282.01 USD GUI AVERAGE UNIT PRICE TRANSACTION YOUR BROKER ACTED AS AGENT 11/20/17 11116/17 PURCHASED GARDNER DENVER HLDGS INC COM PROSPECTUS UNDER 800.000 27.2500 -21,800.00 USD GDI SEPARATE COVER Page '7 of 22 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) el09CONFIDA AL- Rated [smitten trey Yew Since 2007 OMAR MITO COMMUNICATIONS EXCLUINCI Cleanng *roar PEWS 11C. a iota/ corned Maid's." a The Mak a New Yak Mellor. CaveratIon (MY Mike) Per 11. ing rner-bn A.g411WPM-00046276 DB-SDNY-0009100 EFTA_00 156885 EFTA01289248 Transactions by Type of Activity (continued) Roast; Trade; Settlement Tranadion Date Date Activity Type Description Quailly Price Acaued Inlered Amount Catena Securities Bought and Sold (continued) 11120/17 11116)17 SOLD .ELD-WEN HLDG INC COM UNSOLICITED ORDER -700.000 34.5600 24.135 44 USD J10 11/20/17 11116/17 PURCHASED ELD-Vi DI HMG INC COM PROSPECTUSUNDER SEPARATE 700.000 33.7500 -23.625.00 USD J10 COVER 11120/1 7 11117/17 SOLD CALL 100 SPDR S&P NO Elf TR TR UNIT RP 9.5-90254000 500.000 5.5700 276,987 56 USD 990ALK879 OPTION ROOT: SPY CLOSING TRANSACTION UNSOL EXCHANGE LISTED OPTION 11120/17 YOUR OPTION ASSIGNED CALL AO OUALCOMM INC BO 11-17-17(02500 OPTION ROOT: 50.000 0.00 USD 990ALPECI OCOM OCOM CLOSING TRANSACTION 11/20/17 YOUR OPTION ASSIGNED CALL I:10 OUALCOMM INC DT itZia55000 OPTION 50.000 0.00 USD 990ALP9CJ ROOT: OCOM OCOM CLOSING TRANSACTION 11121/17 11/17117 SOLD PRESIDIO INC COM UNSOLICITED ORDER 100.000 15.0001 11,943.80 USD PSDO 11/21/17 11117117 PURCHASED PRESIDIO INC COM PROSPECTUSUNDER SEPARATE COVER 800.000 14.2500 -11,400.00 USD PSDO 11/21/17 11117/17 SOLD OUALCOM IA INC ACCT OPT ASSIGNED OPTCUSIP 99OALPBCI -5,000.000 52.5000 262.287.93 USD OCOM 11121/17 11117117 SOLD OUALCOM II INC ACCT OPT ASSIGNED OPTCUSIP 990ALPBCJ 1,000 000 55.0000 274,793.64 USD OCOM 11124/17 11120111 PURCHASED PAYLOCITY HLDG CORPCOM PROSPECTUS UNDER SEPARATE 2,000 000 47.2500 14,500.00 USD PCTY COVER 11124/17 11121117 SOLD PAYLOCITY HLDG CORPCOM UNSOLICITED ORDER -2,000.000 48.0146 95.940 98 USD PCTY 11129/17 REINVEST CASH INCOME .PIAORGAN FLOATING RATE INCOM E FUND CLASS I 1,094.002 -10,250.80 USD PHSX 39831.8800 SHRS SHRS FtIRCH. AT $9.37000 RD 1527PD 1429/17 Total Securities Bought and Sold - U.S. DOLLARS -12,540.49 3,615,057.94 Securities Withdrawals and Deposits 11/09/17 CUSTOMER AUTHORIZED APPLE INC COM TRANS TO NIG-02691 -100.000.000 -17.588.000.00 USD TRANSFER AAPL Total Securities Withdrawals and Deposits - U.S. DOLLARS 0.00 -17,588,000.00 Dividends and Interest 11115/17 BOND INTEREST RECEIVED 80000 SHRSGM AC CAP TR I GTD TR PFD SECSSER2 CP11. 36,288.88 USD ALLY PM 8.25% FREO ORTLY MATY-02/9/2040 CALL ANYTIME 025 W)30 DAYSBEGINS02/15/9 RD 111 PD tV9/17 11/16/17 CASH DIVIDEND RECEIVED 214000 SHRSAPPLE INC COM RD tV13PD 119117 134,820.00 USD AAPI Page 18 of 22 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 8°0 99 co n tqF I D Rated Galls. Charing Omagh Pagan IIC Imlay caned Engl.'s' Since 2007 subsidiary of Their* OW. Yak Melloa OM AR RATED CCOAMUNICAllONS Corp./melon OM Melba) EXCWANCC Pentint U.C.frete FINIZA.Wha.GM-00046277 DB-SDNY-0009101 EFTA_00 156886 EFTA01289249 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity (continued) November 12017 - November 30,2017 SOUTHERN FINANCIAL LLC Proms; Trade; Sett lemenl Trance:Non Date Date Maity Type Description Quanta). Price Acaued Interest Amount Comm Dividends and Interest (continued) 11/16/17 CASH DIVIDEND RECEIVED 2000000 BANKAMERCO PE NONCOUULATIVED SHS 81.25010 USD 060505018 FIXED TO FLOAT 8.25% 04/ 30/ 58 8IE DTD 04)30/08 CL8 RD PD 4E/17 11/27/17 BOND INTEREST RECEIVED 490000 WASHINGTON M UT M TGSECSCORP 2004-RA2 M TG 3.021 10 USD 939336520 PASSTHRU CIF CI. C-B-I VAR RATE 6.996% 07/25/33 6/ E DTD 06/0104 RD 13/31PD 1/25/17 11129/17 CASH DIVIDEND RECEIVED .PM ORGAN FLOATING RATE INCOME FUND CLASS I 10.250.80 USD .PHSX 31837.8800 SHRS RD 1127 PO 1/29/17 11130/17 MONEY M ARKET FUND CELITSCHEGOVT CASH 3.32530 USD INCOME RECEIVED PER2320 45 Total Dividends and Interest - U.S. DOLLARS 0.00 268,956.48 Distributions 11/21117 RETURN OF PRINCIPAL /290000 WASHINGTON 14 UT MI6 SECS CORP 2004-RA2 Al TG 338.33 USD RECEIVED PASSTHRU CIF CL C-8-1 VAR RATE 6 996% 07/26133 8/E DTD 939336520 06/0104 RD 0/31P01/25/9 11/30/17 PARTNERSHIP DISTRIBUTION 26367 SHRS APOLLO GLOBAL M GMTLLC CL A SHS RD 1/21PD 102.63123 USD APO 43014 Total Distributions - U.S. DOLLARS 0.00 102,969.56 Cash W it hd rawals and Deposits 11/22117 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -78,000.00 USD USD999997 11/29/17 FEDERAL FUNDSSENT DEUTSCHE BANK TRUST 43.000.00 USD USD999997 Total Cash Withdrawals and Deposits - U.S. DOLLARS 0.00 ,141,000.00 Total Value of Transactions -12,540.49 -20,912,131.90 USD The price and quantity displayed may have been rounded. Page '9 of 22 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 809CONFID L Rated Wallin, Clan% liner Pershing1SC. a %lag owned bay TeX Since 2007 satosIdlary of The Bank a New York Mellon DAURR£ATTD00MMUNICATI0NS Corporation OM Aldan) ,...,.. , EXCULOC firshint UK. reente, F gate, fl4cillikt9M-00046278 DB-SDNY-0009102 EFTA_00 156887 EFTA01289250