EFTA Document EFTA01290231

15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 212O3 Draisre Ban, PoomeWealh Mamtenan Mitarts I OrecIVC, IsP Cettsche Sank Saloon nc, Mrs bri Olk• in Anew. 20th Hoer Mew eett.M. IOVA Portfolio at a Glance Account Num ber: Statement Period: 12/0112016 - 12/3112016 This Period Year-to-Date JEEPERS INC Beginning Account Value 53,130,335.71 $1,712,138.17 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals 0.00 1,285,318.70 ST THOMAS VI 00802 Adjusted Previous Account Value 3,130,335.71 3,007,117.17 Dividends, Interest and Other Income 8,914 88 81,592.85 Net Chan ,e in Portfolio 10.558 60 60129.17 7nd rg AcccL.ntVa ue $3,149,809.19 3,1 4 9 8 0E. 19 Estimated Annual Income $83,407 18 Your Client Advisor: JOSHUA *IOWAN Asset Summary Prior Year-End Last Period This Period %Mlocation Cash, Money Funds, and Bank Deposits 205,961.90 1,419,312.57 1,479,787.72 47% n Mutual Funds 1,538,176.57 1,651,023.14 1,670,021.17 Account Total (Pie Chart) $1,742,138.47 $3,130,336.71 $3,110,1011.19 10503% CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) r Please rev e,v1,0.,r alicca:Foe pro° ca 7 ')C/ C ee:Ach so• Page 1 dB Rated [...Hat A0099000CSF10024 Go paperless 2007 one*a PATO) COMMUNICATI0h6 CONFIDENTIAL ?Mal IINOI M a tt. shwa veva 111:stlettrin " SIV WIN* 1.0.••••• LA 0..61 FINNY Mat .PC SDNY_GM_00047594 DB-SONY-0010418 EF1'A_OO1582O3 EFTA01290231 Summary of Gains and Losses Realized Berealited This Period Year-to-Date Short-Term Gain/Loss 000 000 1,845.48 Long-Term Gain/Loss 0 00 000 -100,773.41 Net Gain/Loss 0.00 0.00 .19,126.02 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the tECE1') and other credit institutions introduced 'negatrve interest rates'. Negative interest expense may be charged to your account if you have a deposit of foreign currency. The interest wil be reported on your Forms 1099 and/or 1042 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 Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.43% Activity Ending: 12130116 12/01116 Opening Balance 12130116 Deposit INCOME REIN VEST 1,479,312.57 475.15 1,479,312.57 1,479,717.72 12130116 Closing Balance 11,479,78732 Total All Money Market Funds $1,479,767.72 Income and Expense Summary Current Period Year-to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 415.15 0.00 6,477.12 0 00 Other Dividends 1.43913 0.00 73,115.73 0 00 Total Dividends, Interest, Income and Expenses 36,914.86 30.00 $81,892.65 90.00 Page 2 ol 8 Account Number Riled Exc•Ilent paperless tray 'fan Sint* 2007 1>liAll it: IL LEPERS INC CONFIDAENTIAL CIASBAR RATCD COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) XCII SDNY_GM_00047595 DES-SDNY-00 10419 EFTA 00158204 EFTA01290232 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Dralsre Ban, Ponle Wei11. Ma.ziented Weals UMW* G.MP Dettfthe lank Seven .4 11•• %A Oita. Hf POI AMMO nth Met Mew etA Ire 10154 Statement Period: 1210112016 -12/31/2016 Awns)! Addy ()peeing Chasing Accrued Income 30-Day Carrent °peeing Date Quantity Nurrber Emile labia Bahia Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 4 7.0 0% of Portfolio Money Market DEUTSCHE GOVT CASH IN STL 12101116 1.479.787.720 N/A 12130/16 1.479.312.57 1.479.787.72 000 8.477.12 Total Money M arket 11,479,312.57 31,479,787.72 $0.00 $8,477.12 Total Cash, M oney Funds, and Bank Deposits $1,470,312.57 31,479,787.72 $0.00 0,477.12 Date Acquired Quantity Unit Cost Mutual Funds 5 3.0 0% of Portfolio P MORGAN FLOATING RATE IN COME FUN D SELECT SHARES Open End Fund Dividend Option: Reinvest, Capital Gains Option: Reinvest Security Weedier: PHSX CUSP: 481211510 02/13/13 13 148,957.299 10.0700 1,500,000.00 9.4500 1,407,648.47 -92.353.53 63,157.89 4.48% 03101/13 13 533.047 10.0600 5,362.46 9.4500 5.037.30 -325 16 226.01 4.48% 04/01113 13 591.454 10.1100 5,979.61 9.4500 5,589.24 390.37 250.78 4.48% 05/01/13 13 562.992 10.1300 5,703.11 9.4500 5.320.27 382.84 238.71 4.48% 016/03/13 13 937.343 10.0900 5,724.50 9.4500 5.361.39 363.11 240.55 4.48% 07/01/13 13 500.501 9.9700 4,990.00 9.4500 4,729.73 -260.27 21221 4.48% 08/01/13 13 527.827 10.0600 5,309.94 9.4500 4,987.97 321.97 223.80 4.48% 09/03/13 13 531.248 10.0300 5,328.42 9.4500 5,020.30 308.12 225.25 4.48% Reinvestments to 23.950.138 9.6350 230,751.45 9.4500 226,328.80 -4.422 65 10,154.86 4.48% Date Total Covered 176,721.849 1,769,149.49 1,870,021.47 -99,128.02 74,930.06 Total 176,721.849 $1,769,149.49 $1,670,021.47 -$99,128.02 374,930.06 Total Mutual Funds 61,769,149.49 $1,670,021.47 -$99,128.02 374,930.06 Unrealized Cod Basis Market Price Market Valet Gain! loss 0 38% 0.43% Estimated Estimated Annual Income Yield Unrealized Darned Estimated Cod Bade Market Valle Gait/ Lose Interest Annual Income l Total Portfolio Holdings 63,248,937.21 $3,149,809.19 -$99,128.02 30.00 183,407.18 Footnotes DINO W.)11.1. Page 3 of 8 Account Number Riled excellent G pa CEO «y RA " Tac 2°°7 'CATIONS LEPERS INC M a ras edam Van a:, r NS Si* ••••••••LC anis•••••. war se SDW_GA4_00047596 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010420 EFTA_00158205 EFTA01290233 Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquied on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 13 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. The U.S. will adopt a shortened settlement timeframe beginning with trade date September 6 2017. for equities, corporate and municipal bonds, and unit investment trusts. Moving from a T+3 to ail-2 settlement cycle will provide faster access to sale proceeds, but it also means that funds wil be 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 about how you can set up e-delivery. Activity Sum m a ry oviamounrs shown am in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Yeas-to-Date Securities Secunbes Bought 000 8439.73 . -8.439.73 0.00 -73.11573 -73,115.73 Total Securities $0.00 -$8,439.73 -$8,439.73 $0.00 -$13,115.13 -$73,115.73 Dividends and Interest 0,914.81 WOO 8,914.81 $81,592.15 30.00 81,592.15 Cash Withdrawals 0.00 0.00 0.00 0.00 -4,420,200.85 -1,420,200.85 Deposits 0.00 0.00 0.00 5,685,549.55 0.00 5,685,549.55 Total Cash $0.00 $0.00 $0.00 $5,885,549.55 -$4,420,200.85 $1,285,348.70 Totals $8,914.88 -$8,439.73 $475.16 $5,787,142.40 -$4,493,318.68 $1,273,825.82 Piga 4 of 8 Account Number 1),IAll paperless LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO N F D ArNTIAL Road Cranford Lay Vat aa 2007 O,LOAR RATED COMMUNICATIONS Ian IIIYKY M a r.% SDNY_GM_00007597 DB-SDNY-0010421 EFTA_00 158206 EFTA01290234 15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 212O3 Orals° e Ban, Ponle wean Ma.zientni Mitatt COottIVG,WP Chische Ilank Senn, vt Mw bet Once .145 •••re. 20th incer Mew verk. nr 10114 Transactions by Type of Activity Process/ Settlement Dale Activity T Desdidion Deantity Statement Period: 1210112016 - 12/31/2011 Price Starred Interest Amount Curren Securities Bought and Sold 12129/16 REIS. VEST CASH INCOME P MORGAN FLOATING RATE INCOME FUND SELECT 894 039 .8.439.73 USD PH SX SHARES 175827.8100 SH RS SHRS PURCh. AT 59.44000 RD 12127 PD 12129/16 Total SOCUrItIOS Bought and Sold • U.S. DOLLARS 0.00 .5,439.73 Dividends and Interest 12/29116 CASH DMDEND RECBVED PM ORGAN FLOATING RATE INCOME FUND SELECT 8,439.73 USD PH SX SHARES115827 8100 SHRS RD 12121 PD 12129116 12/30116 MONEY MARKET FUND DEUTSCHE GOVT CASH 475.15 USD INCOME RECBVED 233993682 Total Dividends and Interest- U.S. DOLLARS 0.00 8,914.88 Total Value of Transactions 0.00 476.16 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: Ski .O9.1.,ASPOSHAN 280 PARK AYE - 3RD FL NEW YORK NY 10017 Your Account Information Contact Information Telephone Number: Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestm ent Plan: 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 m arket discount method for all other bond types: Constant Yield Method Include market discount in income annually: No Page 5 of 8 Account Num her . Rited[licoMM Go paperless >NAB nOtt LEPERS INC 0..,“"Perme." .. RASZIC;C201,A MWMUNICATION6 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL "Cr" na et a rnets atria velt=tromein " OWN" • L Oa.* I •••••IA. ran =Pc SDW_GA4_00042598 DB-SDNY-OO1O422 EFTA_OO1582O7 EFTA01290235 Your Account Information (continued) Electronic Delivery You have not selected any account con unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for more information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market ohms do not constitute a bid or an offer, and may differ from the actual sale price. Securities for Mich a price is not available are marked "N/A' and are omitted hom the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guile to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s) Prices for marketable securities are received from various pricir g services thought to be reliable; however, pricing services are sometimes unable to provide timely information Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing vnll be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset. the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAl) 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 Dustless conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to ..wnv.pershing.convbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wil not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please prorriptty advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing km. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization othenvise. 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, Moored a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page& of 8 Account Number it it Cio paperless OARS INC CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CO N F I DAENTTAL Rated excellaint trimly Yen SUN. 2007 0A10Alt RAW:, COMMUNICATIONS M a rian ottriatalioCiiiiiZoiiiIS SAW SDNY_GM_00047599 DB-SDNY-0010423 EF1'A_00158208 EFTA01290236 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) Dralsre Ilan, Poo/lewean Ma.ziental Mitatt CO•erIVG.MP Ch4fO,4 Saionfl Mw verb Once Joniell AMMO. leth I ter Mew eett. IVY 10114 Statement Period: 1210112016 - 12/31/2016 The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, n certain instances, execution of securities orders; the assessment of the suitability of those transactions, where appficable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: WfM.pershing.corniabouttstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a parry's abibty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more limited in arbitration than in court proceedings. • The arbitrators do not have to explain the reason(s) for their award, unless, in an eligible case, a joint request for an explained decision has been submitted by all parties to the panel at least 20 days prior to the first scheduled hearing date. • The panel of arbitrators vAll typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claim encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Raze, Jersey City, New Jersey 07399; (201)413.3330. Page? o18 Account Number. Kited evoollent Go papedess tray Vat Unto 2007 LEPERS INC OALOMt RAT( COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFID^ENTIAr"annla SDW_Ca4_00047600 DB-SDNY-0010424 EFTA_00158209 EFTA01290237 TERMS AND CONDITIONS TRANSACTIONS • ALL ORDERS AND TRANSACTIONS SHALL BE SOLELY FOR YOUR ACCOUNT AND RISK SMALL BE SUBJECT TO THE CONSTITUTION, RULES, REGULATIONS, CUSTOMS. USAGES, RULINGS AND INTERPRETATIONS OF THE EXCHANGE OR MARKET AND THE CLEARING FACILITY. F ANY. WHERE THE TRANSACTIONS ARE EXECUTED ARMOR SETTLED. OR F APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU, WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERCHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE, WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFRMATIONS FOR TRANSACTIONS WHICH CO NOT APPEAR ON YOUR STATEMENT. F SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRUE F 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 IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIME DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVKXBLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT, THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR INSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS 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 TM FLINGS. THE TAX STATEMENT ALSO INCLUDES OTHER USEFUL INFORMATION TO ASSIST IN ACCUMULATING THE DATA TO PREPARE YOUR TAX RETURNS. • DIVIDENDS. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE OR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TM, INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE AFAHrIATED 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 ME INDEBTED TO PERSHING LLC ('PERSHING, FOR ANY AMOUNT. ALL SECURITIES HELD BY IT FOR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHNG. AND PERSHING MAY IN ITS DISCRETION AT ANY TIME. IN ITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ME INDEBTED TO PERSHWG FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED OR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CRCUMSTANCES WHICH WILL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN, EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. 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 FbNANCLAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETALS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL INSPECTION AT PERSHING'S OFFICES. A COPY OF IT W ILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WVVVV.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW PERSHING COMDISCLOSURES • THIS STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION NMS- RULE 007(A)(1)-(2)1 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. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY VP TO A SPECIFIED SEE AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS. OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THER EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THER ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF DECUTION PURPOSES. F ANYOF THE MOVE TERMS AND CCHENTONSARE UNACCEPTABLE TO YOU, PLEASE NOTFY PERSHING IMIEDIATELY IN WRITING/3Y CERTIFED MAIL TO ONE PERSHING PLAZA JERSEY CRY NJ 07399, AMY LEGAL DEPT At,C9940TCSF200,74 Account Nurnber: OARS INCrt GO parer-less laizt .,:2;:c2g.O7.O„TioNs CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ON F DA.ENTIAC--....- OILAI4 ROIL Page 8 of 8 et a rianetwerantrOveZiallISSOW• iirakaput, •••••••••••••• Pea IOC SDNY_Gli.4_00047601 DB-SONY-0010426 EF1'A_00158210 EFTA01290238 Deutsche Bank P.O.Box 1776, Baltimore, MD 212O3 Dralsre Ban, Pootle wean ma-utenna Mats Conti.* C, isri. Ce0uht 007.1410.00 lore yen OR,* in Pin •••••••• Itoth 1 Ica Mew verk. Portfolio at a Glance Account Number: Statement Period: 11/0112016 -11130/2110 This Period Year JEEPERS INC Beginning Account Value 13,128,211.02 91,742,131.47 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 1,285,318.70 ST THOMAS VI 00802 Adjusted Previous Account Value 3,126,211.02 3,007,481.17 Dividends, Interest and Other Income 5.624.12 72,677.97 73 50.170 57 Net Chan e in Portfolio •3.499 -nd rg AcccLnt Va ue 53 130,335 71 $3,130,335.71 Estimated Annual Income $81,67382 Your Client Advisor: DANIEL SAM Asset Summary Poor Year•End Lad Period Ibis Period %AlloatIon Cash, Money Funds and Bank 0epovs 205,961.90 1,416,946.17 1,419,312.57 41% • Mutual Funds 1.516.176 57 1.649.264 85 1 651.023 14 53% i Account Total (Pie Chart) K742.136.47 $3,128,211.02 13,130,335.71 100% CONFIDENTIAL - PURSUANT TO FED. R CRI M. P. 6(e) CON F I D(' EN)ejnAL A01003 8SCSF1001, „ Please rev e,vi,o..r alixa' s D penooca 7 k'i t- yz,r C e— A Page I ot 7 R7401 (kcollont tray Yarn 2007 OAISAR ILO COMMUNICATIONS 7710MINCS SDNYS4.4_00047602 DB-SDNY-0010426 EF1'A_0015821I EFTA01290239 Summary of Gains and Losses Realized Unrealized This Period Year-to-Date Short-Term Gain!Loss 0 00 000 145391 Long-Term Gain/Loss 0 00 000 -111.140.53 Net Gain/ Loss 0.00 0.00 ,109,688.82 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 we be reported on your Forms 1099 and/or 1042 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 ederest rates on additional foreign currency balances. Money Market Fund Detail Date Activity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield 0.30% Activity Ending: 11130116 11101/16 Opening Balance 11130/16 Deposit INCOIAE REINVEST 1,478,946.17 366 40 1,478,946.17 1.479 312 57 11130/18 Closing Balance 81,479,312.57 Total All Money Market Funds Income and Expense Summary Current Period Year-to-Date 61,479,312.57 Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market Other Dividends M6.40 5.258 02 0.00 0.00 8,001 97 64.676 00 0.00 000 Total Dividends, Interest, Income and Expenses $5,824.42 60.00 872,877.97 60.00 Page 2 of 7 Account Number Rated incelYnt DOAN ROL I Cio paperless lrwY SOM. 2007 ..EF_FERS INC CIALOASMATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDE1SITIAL "a"" SONY_GM_00047603 DB-SDNY-00 10427 EFTA 00158212 EFTA01290240 Deutsche Bank P.0 Box 1776, Baltimore, MD 21203 Draisre Banc Prmaie Wok', Ma.genten Marets townie C.a.P DtobC he Mt Sonoran nt. Mow *A Paco HI nifi Ammo, nib Ike! Mew eett. NY 10114 Portfolio Holdings Account Activity Opening Date Quality Number Ending Opening Balms axing Balance Statement Period: 11/01/2016 • 11/30/2016 Accrued lecome 30-Day Current Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 47.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 11/0*/16 1.479.312.570 N/A 11/30/16 1.478.946.17 1.479.31257 0.00 8.001.97 3 3011 C .30'.) Total Money Market $1,478,046.17 $1,179,312.67 $0.00 $6,001.97 Total Cash, Money Funds, and Bank Deposits 61,478,048.17 $1,479,312.57 $0.00 $8,001.97 Unrealized Dale Acquired Quantity Unit Cost Cc Basis Markel Pike Market Value Gainl Loss Estimated Estimated Annual Income Yield Mutual Funds 5 3.0 0% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest Security Identifier: PHSX CtiSIP. 461211510 02/13113 13 148,957.299 10.0700 1,500,000.00 9.3900 1,398,709.05 -101,290.95 62,413.11 4.46% 03107113 13 533.047 10.0600 5,362.46 9.3900 5.005.31 -357.15 223.35 4.46% 04101113 13 591.454 10.1100 5,979.61 9.3900 5,553.76 -425.85 247.82 4.46% 05107113 13 562.992 10.1300 5,703.71 9.3900 5.286.49 .416.62 235.89 4.46% 06103113 13 567.343 10.0900 5,724.50 9.3900 5.327.36 -397.74 237.72 4.46% 07/01113 13 500.501 9.9700 4,990.00 9.3900 4.699.70 -290.30 209.71 4.46% 08/01113 1/ 527.827 10.0600 5,309.94 9.3900 4,95619 -353.65 221.16 4.16% 09103/13 13 531.218 10.0300 5,328.42 9.3900 1.988.42 •340.00 222.59 4.46% Reinvesiments to 23.056.099 9.6120 222,371.72 9.3900 216,196 76 -5,814.96 9,660.50 4.46% Date Total Covered 176,627.110 1,780,709.76 1,661,023.11 -109,886.62 73,671.15 Total 176,627.110 61,780,70 9.76 $1,651,023.11 -$109,686.62 $73,671.66 Total M utual Funds $1,760,709.76 61,651,023.14 •$109,886.62 $73,871•65 Unrealized Partied Estimated Cod Basis Market Value Gaial Loss Interest Annual Income I Total Portfolio Holdings $3,240,022.33 $3,130,336.71 -$100,686.62 $0.00 $81,673.82 Footnotes Page) on Account Number Go paperli255 ray se.t. 2007 LEPERS INC 01.10AR RAM, COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDAENTIAL SDNY_GM_00047604 DB-SDNY-0010428 EFTA_00158213 EFTA01290241 Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L 110.343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally wit be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on cc after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 13 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. Messages Please note the fallowing information for Pershing's 2016 IRS Form 1099 (8, DV, INT, OlD and MISC X Your form 1099 will be delivered as early as possible, beginning January 31, 2017. By February 15. you will be mailed either your 1099 form or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mail date of your 1099 form. Your 1099 will be mailed no later than March 15, 2017. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (Aft amounts shown are in base currency) Credits This Period Debits This Period Net Ibis Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Secunbes Bought 000 5.258.02 . -5.25802 0.00 .64 676 00 .64 676 00 Total Securities $0.00 -$5,258.02 -$5,258.02 $0.00 -$64,676.00 -$64,676.00 Dividends and Interest 15,624.42 $0.00 $5,624.42 $72,677.97 $0.00 $72,677.97 Cash Withdrawals 0.00 000 0.00 0.00 .4,420.200.85 -4.420.200.85 Deposts 0.00 000 0.00 5,685.549.55 0.00 5.685.549.55 Total Cash $0.00 $0.00 10.00 15,685,549.55 -$4,420,200.85 11,265,348.70 Totals $5,624.42 -$5,258.02 1368.40 15,758,227.52 -14,484,876.85 $1,273,350.67 Page 4 of Account Kum ber OBAIVROLL OtoteAWLIKWYM GO paperless woo. LEPERS INC IOZZA*Ant,g,LunicAnohe CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIErENTTAL "al l"n SDNY_GM_00047605 DB-SDNY-0010429 EFTA (()158214 EFTA01290242 F1 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Dmisre Banc PrmaieWeSth Maatenmi Marets Corea. 4.0.2 Dettscht lot Sectanei Mow Su* Oita. HI PIO Anew. leth I ker Mew 4n WI 10114 Transactions by Type of Activity Process/ Settlement Dale ARirity T Desaidion Ovantity Statement Period: 1110112116 - 11130/2116 Price Accrued littered Amount Curies Securities Bought and Sold 11129/16 REM:VEST CASH INCOME P MORGAN FLOATING RATE INCOME FL ND SELECT 560.557 .5,25812 USD PH SX SPARES 1752672530 SP RS SHRS PURCF. AT 59.38000 RD 11126 PD 11128/16 Total 900.100$ Bought and Sold • U.S. DOLLARS 0.00 4,266.02 Dividends and Interest 11129116 CASH DIVIDEND RECBVEO .P MORGAN FLOATING RATE INCOME FUND SELECT 5,258.02 USD PH SX SHARES1152672530 SPRS RD 11125 PD 11128/16 11130116 MONEY MARKET FUND DEUTSCHE GOVT CASH 366.40 USO INCOME RECBVED 233993682 Total Dividends and interest • U.S. DOLLARS 0.00 5,624.42 Total Value of Transactions 0.00 368.40 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SABBA 345 PARK AVENUE, 26Th FLOOR NEW YORK NY 101510003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds: FIRST IN FIRST OUT Default Method for Stotts in a Dividend Reinvedm ent Ran: FIRST IN FIRST OUT Default Method 101 all Other Sectuitiet FIRST IN FIRST OUT Bond Amortization Elections: Amortize premium on taxable bonds based on Constant Yield Method: Yes Accrual market diteount method for all other bond types: Constant Yield Method Include market discount in income annually: ho Page 5 of I Account hum Baer Rated Excellent ." Go paperless Ivory Yeas Slew. 2007 MIAS ItOtt LEPERS INC 0 0.40Alt RAT( COMMUNICATIONS CONFIDMTIAL SDNY_GA4_00047606 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0010430 EFI'A_OOI 582 I 5 EFTA01290243 Your Account Information (continued) Electronic Delivery You have not selected any account con in unmans for electronic delivery. To register and turn off paper tom m unications. log in to your mount of contact your Dien' Advisor for m ore information. m portant Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, ixtuding short positions, at the dose of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "N/A' and are omitted trom the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual Iquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information Where pricing sources are not readily available, estimated prices may be used. Wien the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements will not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. 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 intonation from providers believed to be reliable, however, no assurance can be made as to the accuracy. Sine interest and dividend rates are subject to change at any time, and may be affected by current and future 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 mnr.pershing.contousiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wi not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased. may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included in confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please prorriptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Cleating Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dolars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, Mound a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 6 of 7 Account Aum her Raged excolla.nt DMA° ItOll Go PaPerless • torntRAniTc2O7.1mumcanows LEPERS INC CONFIDENTIAL - PURSUANT TO FED, R CRIM. P. 6(e) CONFIDAERTIAL SDNY_GM_00047607 DB-SDNY-0010431 EF1'A_00158216 EFTA01290244 Deutsche Bank P.O.Box 1 7 76, Baltimore, MD 212O3 Important Information and Disclosures (continued) Orals° e Banc Prmale Wealth Maarnan 1.0101$0040.01•11 0,002 Sot Strum 04. 110. yen 0110 315 Pin /Mel, 20th l by Mew vtA PIT 10154 Statement Period: 11/0112016 - 1113012016 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 drection of your financial institution. It acts as custodian for funds and securities you may deposit with it (Greedy or through your financial institution or that it receives as the resuk of securities transactions it processes • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where apphcatie; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or it you would like additional copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit: wmy.pershing.com/aboutistrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's abibty to have a court reverse or modify an arbitration award is very limited. • The ability of the parties to obtain documents, witness statements and other discovery is generally more kinked 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 wilt typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing 110 shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Account lumber. Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(eLE) RS INCCONFIDAERTIAL Paget of? Rated 11.*Illent ',very Va. 'ante 2007 °NAAR RATED COMMUNICATIONS [%C71 ONO' ot a ti.lin we= littr " Goanin .. 807f ••••••••04, ••••••••••=a, twee 00C SDNY_Glit000476O8 DEt-SDNY-0010432 EFTA_OO158217 EFTA01290245 F1 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Gnaw, . San, Prmaie Wtaith Magatentm Mieetts I oreiteComP Cavische Sank Settann Mrs bet Once in Pin /MOM 35th' As vest /tY IOTA Portfolio at a Glance Account Number: Statement Period: 10 01)2016 -10/31/2016 This Period Year-to-Dale JEEPERS INC Beginning Account Value $5,115,708.88 $1,712,138.17 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals -2,000,000.00 1 265 348 70 ST THOMAS VI 00802 Adjusted Previous Account Value 3,115,708.86 3,007,187.17 Dividends, Interest and Other Income 7,271.77 67.053 55 5.23059 Net Chan e in Portfolio 53.670 30 :nd rg A ccc t \la ue $3.128,211.02 $3,128.211.02 Estimated Annual Income 381,918 88 Your Client Advisor: DANIEL SABBA Asset Summary Prior Thisbe Lad Period This Period % Alloatioi Cash, Money Funds, and Bank Deposits Mutual Funds 205,961.90 1,536,176.57 3,478,133.92 1,637,571.71 1,478,948.17 1,619,261.85 47% r Account Total (Pie Chart) $1,742,138.47 $6,115,708.66 $3,121,211.02 10503% 16 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Please rev e,v yc.r alixarren prod ca y Vf V yC,r C ,ee: Actv sorr Page 1 o18 Riled ILKoollent A010202 CSF30019 Go paperless WI" 2007 D ONSAR RAT( COMMUNICATIOhtS CONFIDENTIAL "(Mina Mrla. et•ZralOttraele. SIONVI••••• SDNY_GM_00047609 DB-SDNY-0010433 EFTA_00158218 EFTA01290246 Summary of Gains and Losses Realized Umallted This Period Year-toOate Shon-Terrn Gain/Loss 0 00 000 1.88815 Long•Term Gainkoss 0 00 000 -107,875.14 Net Gainlloss This summary excludes transactions ere cost basis information is not available. 0.00 0.00 ,106,186.61 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 vnl be reported on your Forms 1099 and/or 1042 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 eiterest rates on additional foreign currency balances. Money Market Fund Detail Oate Adivity Type Description Mount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH IN STL Current Yield' 0.29% Activity Ending: 10131116 10101116 Opening Balance 3,478,133.92 3,478,133 92 10126116 Withdrawal MONEYFUND REDEMPTION -2.00(1.000.00 1.478.133.92 10131116 Deposit INCOM E REINVEST 812.25 1.478.948.17 10131110 Closing Balance 11,478,946.17 Total All Money Market Funds $1,478,946.17 Income and Expense Summary Current Period 'fear-to-Date Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 812 25 0 00 7.63557 0 00 Other Dividends 6.459 52 0 00 59.417 98 0 00 Total Dividends, Interest, income and Expenses 97,271.77 10.00 $57,03.55 $0.00 Page 2 of 8 Account Number CEO Rated Encourent MOAB ROIL OaPerleSS O.Y.reintrOcTimumcATioNs LEPERS INC EN na CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDA TIAL "al et a rla..AMDatalea la. GeteSin " IV Si* ••••••••••La roma prow no, SONY_GNI_00047610 DB-SDNY-0010434 EF1'A_00158219 EFTA01290247 Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Portfolio Holdings Orals° e Ban, PonlevItalh Ma.ziental Mlf•IIS CO•en4tC0C,P ChM/it Sank Setwan int Mrs bet OR,* .115 Pot Ass.. Halter Mew %A ICI14 Statement Period: 10/0112016 - 10131/2016 Amount Opening Date Quantity 'iurrber Adivily Opening Ending Bahama axing Bahia Awned Income Income This Year 30-Day Current Yield Yield Cash, Money Funds, and Bank Deposits 47.00% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 10101116 1.478146 170 N/A 10131116 3.178.133.92 1.478.946.17 0.00 7.635.57 03151 029% Total Money Market 33,178,133.92 S1,178,9 16.17 $0.00 $7,635.57 Total Cash, Money Funds, and Bank Deposits $3,471133.92 $1,478,946.17 $0.00 $7,636.67 Unrealized Estimated Estimated Date Acquired Quantity Unit Cost Cost Bads Market Price Market Value Gala/ Lois Annual Income Yield Mutual Funds 53.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND &rarity !doodler: JPHSX SELECT SHARES CUSP. 481211510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13113 13 148,957.299 10.0700 1,500,000.00 9.4100 1,401,681.18 -98.311.82 63,157.89 4.50% 03101113 13 533.047 10.0600 5162.46 9.4100 5.015.98 -34548 226.01 4.50% 04101113 13 591.454 10.1100 5,979.61 9.4100 5,565.58 .414.03 250.78 4.50% 05101113 13 562.992 10.1300 5,703.11 9.4100 5.297.75 -405.35 238.71 4.50% 016103113 13 567.343 10.0900 5,721.50 9.4100 5,338.70 385.80 240.55 4.50% 07/01113 13 500.501 9.9700 4,990.00 9.4100 4,709.71 -280.29 21221 4.50% 08101/13 13 527.827 10.0600 5,309.94 9.4100 4,966.86 343.08 223.80 4.50% 09/03113 13 531.248 10.0300 5,328.42 9.4100 1,999.04 -329.38 22525 4.50% Reinvestments to 22.195.542 9.6190 217,053.70 9.4100 211,683 05 -5.370 65 9,538.11 4.50% Date Total Covered 176,247.263 1,765,461.74 1,649,26415 -106,186.89 74,313.31 Total 175,287.263 81,756,451.74 31,649,26415 -S106,186.89 674,313.31 Total Mutual Funds 51,755,451.74 $1,649,264.15 -$106,188.89 $74,313.31 Uorealited Accrued Estimated Cod Basis Market Valee Gale/ Loss Interest Annual Income Total Portfolio Holdings 33,234,397.91 63,128,211.02 -6108,188.59 $0.00 981,948.88 Footnotes Page 3 of 8 Account Number rusds.... wm ^(. 2007 GO paperless t-wy vf."_ :tan et Nerralasit. :Lin W 0 NN .0.4. LEPERS INC Oaten RATCo COMMUNICATIONS ••••••••414 ••••••.•••••• CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIlrEN T IAL )1/711(NCII SDW_Gl$4 00047611 DB-SDNY-0010435 EFTA_00158220 EFTA01290248 Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC") (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered snoncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 109943 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock M a corporation acquired on or after January 1, 2911 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 13 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary RI amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Scarifies &cunties Bcught 000 6459.52 - -6.45952 0 00 59.417 98 -59.417 98 Total Securities 80.00 -86A59.52 -38,159.52 $0.00 -859,417.98 -859,417.98 Dividends and Interest $7,271.77 $0.00 37,271.77 867,053.55 $0.00 $67,053.55 Cash 'Withdrawals 000 -2.118.049.60 -2,11804960 0.00 -4,420.200 85 -4,420,200.85 0 epows 118.019 60 0.00 118,049 60 5.685,549 55 0.00 5.685.549.55 Total Cash $110,049.60 -92,118,019.60 -$2,000,000.00 85,885,549.55 -$1,420,200.85 $1,265,348.70 Totals $125,321.37 -$2,124,509.12 -$1,999,117.75 $5,752,603.10 -$1,479,618.83 $1,272,981.27 Transactions by Type of Activity Process' Settlement Date Adivity Type Description Securities Bought and Sold 10/28/16 REINVEST CASF INCOME P MORGAN FLOATING RATE INCOME FUND SELECT 685.724 -6459.52 LSO Ph SX SHARES 171581.5290 SH RS SKIS PL RCH. AT 1912000 RD 10126 PD 10128116 Quantity Price Awued Interest Amon' Currency Total Securities Bought and Sold - U.S. DOLLARS 0.00 -6,159.52 Page of 8 Account Number ()OAR RNA Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDESITIAL Rated Excellent tram" Yew Since 2007 0AlEtAR RATED COMMUNICATIONS IXCIILENCE 0.3223==auvura..." SDNY_GM_00047612 DB-SDNY-00 10436 EFTA_00158221 EFTA01290249 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Dralsre ben Prmale Wealth Maarnmil Weals CooeriteComP CesiSthe M Setionel Mrs bet Once 315 P1t Air, 1 20th I ter Mewbnwy 10114 Transactions by Type of Activity (continued) Process/ Settlement Date Activity T Pe Detmistion Ouan Statement Period:1110112M - 101311211e Price Ac rued Interest Amount Correa Dividends and Interest 10/28116 CASE DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FEND SELECT 6,159.52 USD Ph SX SHARES 114581.5290 SI- RS RD 10/26 PO 10/28116 10131118 MONEY MARKET FUND DEUTSCHE GOVT CASF 812.25 USD INCOME RECBVED 233993682 Total Dividends and interest • U.S. DOLLARS 0.00 7,271.11 Cash Withdrawals and Deposits 10113/16 FEDERAL FUN S RECBVED BANK OF AM ERICA N.A. 43555 118.049.60 USD USD999991 10111116 FEDERAL FUNDS SENT .PNORGAN CHASE BANK, .118,01060 USD US099999T 10126118 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST .2,000.000.00 USD USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 .2,000,000.00 Total Value of Transactions 0.00 .1,919,18125 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SAB13A 315 PARK AVENUE. 26TH FLOOR NEWYORK NY 10151-0003 ONAK ROLL Pap 5 of 8 Account Number Riled (Koollont Go paperless tvecY Y... S.C. 2007 LEPERS INC • OASSAR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) et a ritta et FTC= Otra' s•n " •••••••••La airing., Prow awe SDNY_GM_00047613 DB-SDNY-00 10437 EFTA_00 158222 EFTA01290250 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvests enl Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortization Sections: Am orize 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 com m unications for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted. have been obtained from iidependent 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 riot available are marked "N/K and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not reedit( available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement. Prior statements will not be revised. You should affrays request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price avaiable for such securities is unchanged for a period of time deemed appropriate for that asset, the current price will purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EA') and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using intonation from providers believed to be reliable; however, no assurance can be made as to the accuracy. Shoe interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to www.pershing.comlbusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You vidl not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which ale valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page 6 of 8 Account Amber Riled OMB ROIA LEPERS INC Ci° PaPerieS5 sk.C T(D. 101• 0 7...CATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONF D A.ENTIA Olen IINC1 .serairrit rt.tittes.":-.... " SOY. SDNY_GM_00047614 DB-SDNY-0010438 EF1'A_00158223 EFTA01290251 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Important Information and Disclosures (continued) Dralsre San. Ponle TRY', Me.igenan Pesee0 Con0000.2 C70sthe Sn Setionel Mew bre Oita. 315 Part AMMO, 2•000cer Deny %AM. 1004 Statement Period: 1010112016 - 10/31/2016 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day. increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept horn your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and (X) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controling or under common control with it liable for any investment losses intuited by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives arid other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities ciders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice. if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every posside circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copes of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit mm.pershing.comraboutistrength.and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (intruding 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 reconfirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury. except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's 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 generalty 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. Account Number Go paperless IN CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) LEPERS CCON F I DENTAL Page of ft Rated Excellent [very Yeat SinCe 2007 0.003107 RAM. COMMUNICATIONS [%Q1 IMNCI OM FM•Y MWwMO SDNY_GM_00047615 DB-SDNY-0010439 EFTA_00158224 EFTA01290252 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court • The rules of the arbitration forum in which the claim is filed. and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (Ill) the client is excluded from the class by the cowl. 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 07199; (201)413-3330. Page Iola M102022CSF30019 Account Num ber Rated excellent tree" Year 'Sint* 2007 et a riassertmerealesi ttellemeen .. Met Sew* MOAB ROIL Go paperless LEPERS INC D OASOAR RAT( COMMUNICATIOld esere*Un earreerniea. Nee. sec CONFIDMTIAL "a""a SDNY_C4.4 00047616 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0010440 EFTA_00158225 EFTA01290253 15 I Deutsche Bank P.O.Box 1776, Baltimore, MD 21203 Gnaw, e Sam Poo/leVH.1n Mamtenan Mlf•IIS I eery, t0O.P Chischt Sank Setwari *re bet Once 115PIA IMMO • . Italleer Mrs, Perk. ?IV ICI Portfolio at a Glance Account Number: Statement Period:09:01'2016 - 09/30/2016 This Period Year-to-Date JEEPERS INC Beginning Account Value 87007,711.80 51,742,138.47 6100 RED HOOK QUARTER B3 het Cash Deposits and Withdrawals .2,000,000.00 3,285,348.70 ST THOMAS VI 00802 Adjusted Previous Account Value 5,107,711.80 5,007,487.17 Dividends, Interest and Other Income 8,251.05 59,781 78 71 Net Chan. e in Portfolio 1.74581 48.439 -nd rg AcccL.nt Va ue $5.115.708.66 $5,115.708.66 Estimated Annual Income $81.02046 Your Client Advisor: DANIEL SAM Asset Summary Prior Year-End Lad Period This Period % MOWN LSO Cash Money Funds and Bank Deposits 205,961.90 5,477,103.60 3,478,133.92 87.99% Ir SD Fixed Income 1,516,176 57 1.830,808 20 1,837,574.74 3201% Account Total (Pie Chart) 51,712,138.17 $7,107,711.00 $5,115,708.61 100.00% See the Asset Summary Disciosure aid Footnotes section for important intonation regartin your Asset Summary. DNA° Rat,. CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Ir r Please rev ear Cr.. alixarren pros Ca ri kV V yc.r C :er Adv serr Pagel 019 Riled wcollont BO098520CSF30024 Go paperiess Lbw" Yoe. lance/ 2007 OALOAR RATED COMMUNICATIONS CONFIDENTIAL IXCII Wet et a tir&W. rwertra710" : "Pa 0•01:01 . 41.11110.0.0.0 SDNY_GM_00047617 DB-SDNY-0010441 EF1'A_0015 8226 EFTA01290254 LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CO N F D AENTIAL Asset Summary Disclosure and Footnotes Feted Income contains Fbced Income Mutual Funds Summary of Gains and Losses Realized Unrealized This Period Year4oBale Short-Term Gamlloss 0.00 0.00 1,465.69 Long•Term Gain/Loss 0.00 0.00 .112.883.17 Net Gain/Loss 0.00 0.00 ,111,417.46 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 veil be reported on your Forms 1099 and/or 1042 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 'Merest rates on additional foreign currency balances. Money Mark et Fund Detail Date Adivity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH IN STL Current Yield: 0.31% Activity Ending: 09/30/18 09101116 Opening Balance 5,477,103.80 5,477,103 60 09109116 Withdrawal MONEY FUND REDEMPTION -2,000,000.00 3,477,103 60 09130/16 Deposit INCOME REINVEST 1,030.32 3,478,133 92 09130/111 Closing Balance $3,471,133.92 Total All Money Market Funds $3,411,133.12 Income and Expense Summary Taxable Non Taxable Taxable Non Taxable Dividend Income Money Market 1,031132 0.00 8,823.32 0.00 Other Dividends 5,220.73 0.00 52958.46 0.00 Total Dividends, Interest, Income and Expenses $6,251.05 10.00 $59,161.71 $0.00 r rent Period Tear.loBate Page 2 of 9 Account number Rated excellent fro paperless OralArre;cloc:imuwicariotw SDNY_GM 00042618 DS-SDNY-0010442 EF'FA_00158227 EFTA01290255 Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Gnaw* San. Poo/leVH.1h Mamtentni Mite's ferry* E0C,P Devische Sank Ntwari 4. lIcebri 315 Part /week NM I Ice! Mew %A M. WIN Statement Period: 09/0112016 • 09/30/2016 Account Activity Opening Caadag Accrued Income 30-Day Current °peeing Date Quantity Number Ending Bahia Balsam Income This Year Yield Yield Cash, Money Funds, and Bank Deposits 68.00% of Portfolio Money Market DEUTSCHE GOVT CASH IN STL 09101116 3.178.133.910 N/A 09130118 5.477.103.60 3.178.13312 72.19 6123.32 031% 031% Total Money Market $5,477,103.130 $3,471,133.92 $72.19 $6,823.32 Total Cash, Money Funds, and Bank Deposits 95,477,103.60 33,478,1 33.92 $72.49 $6,823.32 Unaided Estimated Estimated Dale Acquired Quantity Unit Cod Cod Balls Market Price Market Valet Gals! Lois Annual Income Yield Mutual Funds 32.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13/13 13 148,957.299 10.0700 03101/13 13 533.047 10.0600 04/01113 13 591.454 10.1100 05/01/13 13 562.992 10.1300 06/03113 13 567.343 10.0900 07/01/13 13 500.501 9.9700 06/01/13 13 527.827 10.0600 09/03/13 13 531.218 10.0300 Reinvestments to 21.809.818 9.6560 Date Total Covered 171,661.529 Total 171101.529 Security Identifier: PHSX CUSP. 48121L510 1,500,000.00 9.3800 1382.46 9.3800 5,979.61 9.3800 1703.11 9.3800 5,724.50 9.3800 4,990.00 9.3800 5,309.94 9.3800 5,328.42 9.3800 210,594.18 9.3800 11748092.22 $1,748,992.22 1,397,219.46 4.999.97 5,547.84 5.280.87 5.321.68 4.694.70 4,951.01 1.983.11 204,576.10 1,637,574.74 $1,637,574.74 -102,780.54 -362.49 431.77 -422.24 402.62 .215.30 -35813 -345.31 -6118.08 111,117.18 -$111,417.48 61306.84 226.54 251.37 23927 24112 212.71 224.33 225.78 9,269.18 71,197.11 $74,197.14 4.53% 4.53% 4.53% 4.53% 4.51% 4.53% 4.53% 4.53% 4.53% Total Mutual Funds 31,748,992.22 $1,837,874.74 -3111,417.48 $74,197.14 Uartalited Accrued Estimated Cod Bads Market Value Gail Loss 'stereo Annual Income I Total Portfolio Holdings 35,2 27,12 6.11 55,115,708.66 -3111,417.48 $0.00 381,020.16 Footnotes Page 3 of 9 Account Number Rited[meloM (4 ) kperleSS Deny yes. Sc. W." LEPERS INC CONFIIDENTIAL rOALJAR g, RATED COMMUNICATIONS nn CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) =Ian ofweritaslitit .47.m ' em " MOROI SDNYS4.4_00047819 DB-SDNY-0010443 EFTA_00158228 EFTA01290256 Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-rehrement, US taxpayers securities which have been acquired on or after their "applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-B for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock M a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 11 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. M essages Pursuant to the Securities Exchange Act of 1934, Pershing (IC (Pershing), a BNY Mellon company, provides individual investors pith certain financial information on a semi-annual basis. Pershing's June Statement of Financial Condition is now available. On June 30, 2016, Pershing's net capital of $2.171 billion was 12.59% of aggregate debit balances and exceeded the minimum requirements by $1.83 Dillon. Pershing is also required to provide the most recent financial information as of this statement mailing. In accordance with this requirement, note that on July 31, 2016, Pershing's net capital of $2.227 billion was 13.17% of aggregate debit balances and exceeded the minimum requirement by 51.89 bilion. A copy tithe June 30. 2016. Statement of Financial Connor?* available al pershing.com/stafement of finanaal conctition.html. You may eiso request a free. printed copy by calling (888) 860-8510 or (201) 413-4200, option O. 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 heed in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Sum m ary (All amounts shown am in base uneasy) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Seounues Bought 000 -5 220 73 -5.22073 0.00 -52,958.48 -52,956A6 Total Securities $0.00 -$5,220.73 -$5,220.73 $0.00 -$52,958.41 -$52,951.46 Dividends and Interest $6,261.06 $0.00 $5,251.06 $59,781.78 $0.00 $69,111.71 Cash Withdrawals 0.00 -2,000.00010 -2,000.000.00 0.00 -2 302,151 25 -2,302,151.25 Deposits 0.00 0.00 0.00 5,567,499.95 0.00 5,567,499.95 Total Cash $0.00 -$2,000,000.00 -$2,000,000.00 $5,567,499.95 -$2,302,151.25 $3,205,34820 Totals $8,251.05 -$2,005,220.73 -$1,995,969.68 $5,027,281.73 -$2,355,109.71 $3,272,112.02 Page 4 of 9 Account hum ber Rated excollent Go paperleSS tvery Yen Unto 2007 LEPERS INC O OAl0AR RAT( COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAMMAL SONY_GM_00047620 DB-SDNY-0010444 EFTA_00158229 EFTA01290257 15 I Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Transactions by Type of Activity Process/ Settlement Date Amivity Type Dowd • Draisre Rana PcmaieWeeRhMagatenmi I /Wets CallItt DevIsche IAA Stu* en .4. Mow %A Olio. 345 Nth Met' Mew etA Ire IOW Quant Statement Period: 0 91011201 6 - 0913012016 Prim Paruod 'stored Amount Curies Securities Bought and Sold 09129116 REINVEST CAS- INCOME StISX P MORGAN FLOATING RATE INCOME FL AD SELECT SHARES 171024.3510 SH RS SHRS PURCI- AT $937000 RD 09127 PD 09129116 557.175 •5.22073 USO Total Securities Bought and Sold • U.S. DOLLARS 0.00 .6,220.73 Dividends and Interest 09129116 CASH DIVIDEND RECBVED .P MORGAN FLOATING RATE INCOME FUND SELECT 5.220.73 USD PH SX SHARES114024.3540 SH RS RD 09127 PD 09129/16 09130116 MONEY MARKET FUND DEUTSCHE GOVT CASH 1.030.32 USD INCOME RECBVED 233993682 Total Dividends and Interest- U.S. DOLLARS 0.00 8,251.05 Cash Withdrawals and Deposits 09109116 FEDERAL FUNDS SENT DEUTSCHE BANK TRUST -2.000.000.00 USD USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 -2,000,000.00 Total Value of Transactions 0.00 .1,998,9130.68 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: DAN DANIEL SAHA 345 PARK AVENUE. 26TH FLOOR NEW YORK NY 101514003 1>tlAil /I: a NIS of 9 Account Number Rated Go paperless Lye." Yen UM* 2007 JEEPERS INC online RATED COMMUNICATIONS IIICTIIINO1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) M a t ' In a/sr vat ' Cops" Non Ram •••••,4m wads nom Prow ..,- SDNY_GM_00042621 DB-SDNY-0010445 EFTA_00 158230 EFTA01290258 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OI,T Default Method for Stocks in a Dividend Reinvestm enl Plan: FIRST IN FIRST OUT Default Method for all Other Securities FAST IN FIRST OUT Bond Amortization Elections: Am orate 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 carom unicafions for electronic delivery. To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the 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 riot available are marked "N/A" and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual bquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not ready available, estimated prices may be used. When the updated price is received from the price provider, the updated Nice will be used in the release of the current month's statement. Prior statements MI not be revised. You should always request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities. including thinly-traded securdies, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing wdl be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price wit purge and WA will be placed in the price field in the statement. The pricing of listed options takes into account the last closing once, as wel as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (FAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, arid prices remain constant. A capital gain or retum of principal may be included in the figures for certain securities, thereby overstating them. Refer to wym.pershing.comibusiness_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You wi not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment fa order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included el confirmations previously furnished to you. A summary of this information is available to you promptly upon your mitten request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page 6 of 9 DBAR ROLL Account Number Go paperless CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 67RStONFIDAENTIAL Rated ILKoellent Levey Year Since 2007 0.040AR RATCD COMMUNICATIONS Olen IMO' lRWiy MM ......"Triaar onoc«.7...... " law Mow . SDNY_GM_00047622 DB-SDNY-0010446 EFTA_0015823 I EFTA01290259 Deutsche Bank P.O. Box 1776, Baltimore, MD 212O3 Important Information and Disclosures (continued) Gnaw, e Ban, Po.or Wealh Mamtenan Mlf•IIS Conte(' G.AP Ct.,uht Sank Seitanti *vs bet Once 315 Part Aire. 20th I ter w en 11Y 10114 Statement Period: 09/0117016 • 0913012016 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaly convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your firancial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other property and MI any other instructions ccnceming your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controling or under common control with it liable for any investment losses intuited by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)113-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement, please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (S1PC1). 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 wmv.pershing.comfaboutlstrength-and-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights. including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filet. • 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 generalty mere 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 patties 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. Page 7 of 9 Account Number Rated evoillont W paperless ',very Vag mow* 2007 LEPERS NC OAL0AR RAUL, • COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Ar CONFID NeTTAL et a rnase etera ei►l47:::::. • ...••••• II•d•••• • L Oa.* • Hi ONI•C SDW_GIA 00047623 DB-SDNY-0010447 EFTA_00158232 EFTA01290260 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of some arbitration forums may impose time limits for bnnging a darn in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action unfit (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (291)013-3330. Page I of 9 Account hum tier listad excollent ONAII Go paperless tray V... Mew* 2007 LEPERS INC D OMOAR RAT( COMMUNICATIOhtS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAERTIAL etriwin lektra=r0iteS. " On.. ••••••••••••• Prow era` SDNY_GM_00047624 DB-SDNY-0010448 EFTA_00158233 EFTA01290261 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. F ANY. WHERE THE TRANSACTIONS ARE EXECUTED AND/OR SETTLED. OR IF APPLICABLE. OF THE FINANCIAL INDUSTRY REGULATORY AUTHORITY AND TO ALL APPLICABLE LAWS AND REGULATIONS. • TITLE TO SECURITIES SOLD TO YOU. WHERE PERSHING HAS ACTED AS PRINCIPAL SHALL REMAIN WITH PERSHING UNTIL THE ENTIRE PURCHASE PRICE IS RECEIVED OR UNTIL THE SETTLEMENT DATE. WHICHEVER IS LATER. • YOU MAY HAVE RECEIVED CONFIRMATIONS FOR TRANSACTIONS WHICH DO NOT APPEAR ON YOUR STATEMENT. IF SO. THE TRANSACTIONS WILL APPEAR ON YOUR NEXT PERIODIC STATEMENT. SUCH TRANSACTIONS MUST BE CONSIDERED BY YOU WHEN COMPUTING THE VALUE OF YOUR ACCOUNT. THIS IS ESPECIALLY TRVE F 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 IN YOUR ACCOUNT APPEARS ON THE STATEMENT. THE RATE OF INTEREST AND PERIOD COVERED ARE INDICATED. THE RATE MAY CHANGE FROM TIME TO TIE DUE TO FLUCTUATIONS IN MONEY RATES OR OTHER REASONS. INTEREST IS COMPUTED AS DESCRIBED IN MATERIAL PREVIOUSLY FURNISHED TO YOU. PLEASE CONTACT YOUR FINANCIAL INSTITUTION IF YOU DESIRE ADDITIONAL COPIES. MARGIN INFORMATION: F YOU MAINTAIN A MARGIN ACCOUNT. THIS IS A COMBINED STATEMENT OF YOUR GENERAL ACCOUNT AND A SPECIAL MEMORANDUM ACCOUNT MAINTAINED FOR YOU UNDER REGULATION T OF THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM. THE PERMANENT RECORD OF THE SEPARATE ACCOUNT AS REQUIRED BY REGULATION T IS AVAILABLE FOR YOUR NSPECTION UPON REQUEST. TAX INFORMATION • AFTER YEAR END. PERSHING IS REQUIRED TO PROVIDE TAX INFORMATION TO THE NTERNAL REVENUE SERVICE AND OTHER GOVERNMENTAL AUTHORITIES. AT THAT TIME PERSHING WILL PROVIDE THAT INFORMATION ON THE ANNUAL TAX NFORMANON 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. INTEREST AND OTHER DISTRIBUTIONS SHOWN ON THIS STATEMENT WERE CLASSIFIED AS TAXABLE CR NONTAXABLE BASED ON CERTAIN INFORMATION KNOWN AS OF THE DISTRIBUTION DATE. THIS CLASSIFICATION IS SUBJECT TO CHANGE AND IS SOLELY INTENDED FOR USE AS GENERAL INFORMATION. • PERSHING DOES NOT PROVIDE TAX. INVESTMENT OR LEGAL ADVISORY SERVICES AND NO ONE AccrIrIATED 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 NDEBTED TO PERSHING LLC (-PERSHING') FOR ANY AMOUNT. ALL SECURITES HELD BY IT FCR YOU IN ANY ACCOUNT IN WHICH YOU HAVE ANY INTEREST SHALL SECURE ALL YOUR LIABILITIES TO PERSHING. AND PERSHING MAY IN ITS DISCRETION AT MY TIME. VVITHOUT TENDER. DEMAND OR NOTICE TO YOU. CLOSE OR REDUCE ANY OR ALL OF YOUR ACCOUNTS BY PUBLIC OR PRIVATE SALE OR PURCHASE OR BOTH OF ALL OR ANY SECURITIES CARRIED IN SUCH ACCOUNTS; ANY BALANCE REMAINING DUE PERSHING TO BE PROMPTLY PAID BY YOU. • WHENEVER YOU ARE NDEBTED TO PERSHING FOR ANY AMOUNT. ALL SECURITIES CARRIED FOR YOUR ACCOUNT ARE OR MAY BE. WITHOUT FURTHER NOTICE TO YOU. LOANED CR PLEDGED BY PERSHING. EITHER SEPARATELY OR UNDER CIRCUMSTANCES WHICH WLL PERMIT THE COMMINGLING THEREOF. WITH OTHER SECURITIES FOR ANY AMOUNT LESS THAN. EQUAL TO OR GREATER THAN YOUR LIABILITIES TO PERSHING. BUT NOT UNDER CIRCUMSTANCES FOR AN AMOUNT PROHIBITED BY LAW. E0(.9”2"<5Fiiic...4 • PERSHING MAY TRADE FOR ITS OWN ACCOUNT AS A MARKET MAKER, SPECIALIST, ODD LOT DEALER, BLOCK POSIT IONER. ARBITRAGEUR OR INVESTOR. CONSEQUENTLY. AT THE TIME OF ANY TRANSACTION YOU MAY MAKE. PERSHING MAY HAVE A POSITION IN SUCH SECURITIES. WHICH POSITION MAY BE PARTIALLY OR COMPLETELY HEDGED. • IF AVERAGE PRICE TRANSACTION IS INDICATED ON THE FRONT OF THIS STATEMENT YOUR FINANCIAL INSTITUTION OR PERSHING MAY HAVE ACTED AS PRINCIPAL. AGENT OR BOTH. DETAILS AVAILABLE UPON REQUEST. • A FINANCIAL STATEMENT OF PERSHING IS AVALABLE FOR YOUR PERSONAL NSPECTION AT PERSHING'S OFFICES. A COPY OF IT WILL BE MAILED UPON YOUR WRITTEN REQUEST OR YOU CAN VIEW IT ONLINE AT WWW.PERSHING.COM. • FOR BUSINESS CONTINUITY AND ADDITIONAL DISCLOSURES: WWW.PERSHING COINDISCLOSURES • TN* STATEMENT SHOULD BE RETAINED FOR YOUR RECORDS. PAYMENT FOR ORDER FLOW AND ORDER ROUTING POLICIES DISCLOSURES (REGULATION MIS- RULE 6O7(A)(1)-(2)) PERSHING SENDS CERTAIN EQUITY ORDERS TO EXCHANGES. ELECTRONIC COMMUNICATION NETWORKS. OR BROKER-DEALERS DURING NORMAL BUSINESS HOURS AND DURING EXTENDED TRADING SESSIONS. CERTAIN OF THESE VENUES PROVIDE PAYMENTS TO PERSHING OR CHARGE ACCESS FEES TO PERSHING DEPENDING UPON THE CHARACTERISTICS OF THE ORDER AND ANY SUBSEQUENT EXECUTION. THE DETAILS OF THESE PAYMENTS ANO FEES ARE AVAILABLE UPON WRITTEN REQUEST. PERSHING RECEIVES PAYMENTS FOR DIRECTING LISTED OPTIONS ORDER FLOW TO CERTNN OPTION EXCHANGES. IN ADDITION. PERSHNG ROUTES CERTAIN EQUITY AND OPTION ORDERS TO ITS AFFILIATE. BNY MELLON CAPITAL MARKETS. LLC. FOR EXECUTION AS PRINCIPAL. COMPENSATION IS GENERALLY IN THE FORM CF A PER OPTION CONTRACT CASH PAYMENT. BEST EXECUTION: NOTWITHSTANDING THE PREVIOUS PARAGRAPH REGARDING PAYMENT FOR ORDER FLOW. PERSHING SELECTS CERTAIN MARKET CENTERS TO PROVIDE EXECUTION OF OVER-THE- COUNTER AND EXCHANGE-LISTED SECURITIES TRANSACTIONS WHICH AGREE TO ACCEPT ORDERS. TRANSMITTED ELECTRONICALLY UP TO A SPECIFIED SIZE. AND TO EXECUTE THEM AT OR BETTER THAN THE NATIONAL BEST BID OR OFFER (NBBO). ON CERTAIN LARGER ORDERS, OR F THE DESIGNATED MARKET CENTERS DO NOT MAKE A MARKET IN THE SUBJECT SECURITY. PERSHING DIRECTLY CONTACTS MARKET CENTERS TO OBTAIN AN EXECUTION. THE DESIGNATED MARKET CENTERS TO WHICH ORDERS ARE AUTOMATICALLY ROUTED ARE SELECTED BASED ON THE CONSISTENT HIGH QUALITY OF THEIR EXECUTIONS IN ONE OR MORE MARKET SEGMENTS AND THEIR ABLITY TO PROVIDE OPPORTUNITIES FOR EXECUTIONS AT PRICES SUPERIOR TO THE NBBO. PERSHING ALSO REGULARLY REVIEWS REPORTS FOR QUALITY OF EXECUTION PURPOSES. F /MOP THE ABOVE TERNS AND CCHOITIONSAFtE UNACCEPTABLE TO YOU, PLEASE NOTFY PERSH•03 ILINEDIATELY N WRIDN0 SY CERTIFIED AWL TO ONE PERSHING PLAZA JERSEY CITY. NJ MEE ANTE LEGAL DEPT Account hum bet Go paperless LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDEsmAL Riled excel/ant Ivory Year 1.nat 2007 ON.SAR RAW) COMMUNICATIOhe EXCIIIENCT Page 9 of 9 SDNY_GM_00047625 DB-SDNY-00 10449 EFTA_00 158234 EFTA01290262 Deutsche Asset & Wealth Management PO &a 1778, Balumore, MD21203 Orals° e Ban, POetle wean Mamtental Mitatt COott/VG,C,P Chnthe Sank Senn, nt, Mw bet Once 115 PIA bi••••••• lance, Mew In nr 101..4 Portfolio at a Glance Account Number: Statement Period: 08/0112016 -0813112016 This Period Year-to-Date JEEPERS INC Beginning Account Value $7,093,467.81 $1,742,138.17 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 5,285,318.70 ST THOMAS VI 00802 Adjusted Previous Account Value 7,093,167.81 7,007,407.17 Dividends, Interest and Other Income 1,301.91 53.530 73 8.94208 Net Chan e in Portfolio 46.693 90 :nd rg Acccvit \la ue $7.107,711.80 $7,107.711.80 Estimated Annual Income $80,101 39 Your Client Advisor: DANIEL SABBA Asset Summary Prior Year•End Last Period This Period % Allocation LSO Cash. Money Funds and Bank Deposits 205,961.90 5,475,697.10 5.477.103 60 77.06'., SD Fixed Income 1,536.176 57 1.617,770 71 1.630.608 20 22 94% Account Total (Pie Chart) 81,712,136.47 $7,093,167.$1 67,107,711.00 100.00% See the Asset Summary Disclosure an Footnotes section for important intonation repannp your Asset Summary. CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) Please rev e,v.,c..r alixaxn prop ca w V )c,r C er: Actv so' Page lot? Riled A0101570CSF30017 Go paperless Year ',a." 2007 0 0Allint PAU COMMUNICATIONS CONFIDENTIAL: """ION„ M a rian et laZtaXeripegli l e•n IlloNVOSPO SDNV_GM_00047626 DB-SONY-0010450 EFTA_00158235 EFTA01290263 Asset Summary Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Fords. Summary of Gains and Losses Realized Unrealized This Period 'ream°Dale Short.Thlin GainfLoss 000 000 1,330 81 Lon •Term Gain/Loss 000 000 .114.494 10 Net Gain:Loss 0.00 0.00 -113,163.29 This summary excludes transactions where cost basis information is not available. For Your Information The European Central Sank (the 'ECM') 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 1099 andfor 1042 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 retest rates on additional foreign currency balances. Money Market Fund Detail Date Adivity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INSTL Current Yield: 0.31% Activity Ending: 08131116 07130116 Opening Balance 08131/16 Deposit INCOME REINVEST 5,475,69/.10 1,408.50 5,475,697.10 5.477.103.60 08131116 Closing Balance 86,477,103.60 Total All Money Market Funds $6,477,103.60 Income and Expense Summary Carrot Period Yeapto.DMe Taxable No Taxable Taxable No Taxable Dividend Income Money Market 1,406.50 0.00 5,793.00 0.00 Other Dividends 5.895.41 0.00 47,131.13 0.00 Total Dividends, Interest, Income and Expenses 67,301.91 10.00 663,630.13 80.00 Page? of? sr: 0IS70CSF3C ; Account Number Riled excellont GO paperless Ininit ROL i ICZBAYS7RATO;C2O° :47MUNICATIONS LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENTIAL r al seen SDNY_GM_00047627 DB-SDNY-00 10451 EFTA_00 158236 EFTA01290264 Deutsche Asset & Wealth Management PO. Box 1776, Balernoro, PAD 21203 Portfolio Holdings °peeing Date Cash, Money Funds, and Bank Deposits 7 7.0 0% of Portfolio Money Market DEUTSCHE GOVT CASH IN STI. 07130116 5.477 103 600 NM Total Money M arket Total Cash, M oney Funds, and Bank Deposits Orals° e Banc .,male wean Magagenmil Pipet. tonne 6t,:sp Cettfthe Sank "K. Mrs bet Once 315 Pot •••ner. 20th incer Mew etA nr 10114 Statement Period: 08/01/2016 • 0 8131/2 01 6 Amount Activity Opening Closiag Awned Interne 30-Day Current Quantity Nurrber Ending Bala's. Balance Income This Year Yield Yield 08131116 5.475.697.10 5.477.103.60 000 5.79310 030% 031% $5,475,691.10 $5,477,103.60 $0.00 $5,793.00 $6,475,697.10 $5,477,103.60 10.00 25,793.00 Uarealized Estimated Estimated Date Acquired Quantity Unit Cosl Cost Balls Markel Price Market Value Gall/ Loss Annual Income Yield Mutual Funds 2 3.0 0% of Portfolio P MORGAN FLOATING RATE IN COME FUND SELECT SPARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13113 13 148,957.299 10.0700 03101113 13 533.047 10.0600 04101113 13 591.454 10.1100 05101/13 13 562.992 10.1300 06103/13 13 07/01113 13 08/01/13 13 09/03/13 13 Reinvestm ents to Date Total Covered 567.343 500.501 527.827 531.248 21.252.643 174,024.364 Total 174,024.364 Total Mutual Funds 10.0900 9.9700 10.0600 10.0300 9.6630 Security Identifier: PHSX CIJSIP: 461211510 1,500,000.00 9.3700 1,395,729.90 ,104,270.10 63,604.76 4.55% 5,362.46 9.3700 4.994.65 -367.81 227.61 4.55% 5,979.61 9.3700 5,541.93 .437.68 252.55 4.55% 5,703.11 9.3700 5,275.23 .427.88 240.40 4.55% 5,724.50 9.3700 5.316.01 .408.49 242.26 4.55% 4,990.00 9.3700 4,689.69 .300.31 213.71 4.55% 5,309.94 9.3700 4,945.73 -364.21 225.38 4.55% 5,328.42 9.3700 4,977.79 .350.63 226.84 4.55% 205,373.45 9.3700 199,137.27 -6,236.18 9,074.88 4.55% 1,743,771.49 1,630,608.20 -113,163.29 74,308.39 $1,743,771.49 $1,830,608.20 -$113,163.29 $74,308.39 11,743,771.49 11,630,608.20 -1113,93.29 174,308.39 Uanalized Accrued Estimated Cod Basis Market Valle Gain/ Loss Interest Annual Income I Total Portfolio Holdings 37,770,375.09 37,107,711.10 -1113,163.29 $0.00 $80,101.39 Footnotes Page 3 of? Account Kum bur now (wawa paperless LEPERS INC OZZATLTCD 10TimUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDA.a. ENTTAL "Cri "7 et a ttrrin Orr. aralella tt‘""0••••Zeon NNW IMAM. •••••••••tu4 •••••••1••••10, Mae 001, SDNY_GM_00047628 DB-SONY-001O462 EF1'A_00158237 EFTA01290265 Portfolio Holdings (continued) Securities acquired before 2011 or in retirement accounts are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ORM (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered* under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-8 for the applicable tax year in which the security is disposed. Reporting requirements generally wil be phased in over a three-year period, as follows. • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 13 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. Messages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity Summary (kl amounts shown are in base currency) Credits This Period Debits This Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Sec.rties 5,ought 0.00 5.89541 . -5.89541 000 -47,737.73 -47,737.13 Total Securities $0.00 -$5,895.41 -$5,895.41 $0.00 .$47,737.73 .$47,137.13 Dividends and Interest $7,301.91 $0.00 $7,301.91 03,530.73 0.00 $63,530.73 Cash 'Nithdrak‘als 0.00 000 0.00 0.00 -302,15125 -302,15125 Deposits 0.00 0.00 0.00 5,567,499 95 0.00 5,567,499.95 Total Cash $0.00 $0.00 $0.00 $5,567,499.95 -$302,161.25 $6.255,348.70 Totals $7,301.91 -$5,895.41 $1,406.50 $5,621,030.68 .$349,086.08 $5,271,141.70 Transactions by Type of Activity Process' Settlement Date Activity Type Description Securities Bought and Sold 08130/15 REINVEST CASh INCOME PM ORGAN FLOATIAG RATE INCOME FUND SELECT 629.651 -5 895 41 LSO 0.SX SHARES 173394.5030 SHRSSHRS MACH. AT $9.36000 RD 08128 PD 08130116 Cheerily Price Acamed Mired Amorist Currency Total Securities Bought and Sold - U.S. DOLLARS 0.00 -5,895.41 Page 4 of 7 Account burn ber Itsted[remolle, Go paperless v•ry WM/ WIC. 2007 IMAIL ROL LEPERS INC CIAISAA RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL Olen liNef Onhotilt. ••••••••••••••• Writ. SOO SDNY_GM 00047629 DB-SDNY-0010453 EFTA_00158238 EFTA01290266 Deutsche Asset & Wealth Management P.O. Box 1776, E1•16nwiro, MD 21203 Orals° c ern Pinwale wean Manenmil Peseed$ COrefideEtwa DedSde Ea* Settonel t. Mee *A Once He Pin /Mel, 20th Ike! Mew vtA PIT 101S4 Transactions by Type of Activity (continued) Process/ Settlement Date Activity Type Desaiptioa Quantity Statement Period: 0 810112016 - 0 8/31/ 201 6 Price Accrued Interest Amount Currency Dividends and Interest 08/30116 CAST DIVIDEND RECEIVED P MORGAN FLOATING RATE INCOME FUND SELECT 5,895.41 USO PFSX SFARES 173394.5030 Sh RS RO 08/26 PD 08130116 08131116 MONEY MARKET FUND DEUTSCFE GOVT CAST 1,406.50 USO INCOME RECEIVE? 233993682 Total Dividends and Interest • U.S. DOLLARS 0.00 7,301.91 Total Value of Transactions 0.00 1,406.50 USD The price and quantity displayed may have been rounded. Client Service Information Your Client Advisor: OAK DANIEL SABBA 345 PARK AVENUE, 26TH FLOOR KBV YORK NY 1015443003 Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST IN FIRST OUT Default Method for Stocks in a Dividend Reinvestment Flan: FIRST IN FIRST OUT Default Method for all Other Securitiet FIRST IK 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 Client Advisor for more information. Page 5 of T Account Number Rated Excellent 1).Atl ROLL Go paperless "Oric••=0O3 020° Z 7out00.110h6 LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDAENTIAL "cm" SDNY_GM_00047630 DB-SDNY-00 10454 EPTA_00 158239 EFTA01290267 Important Information and Disclosures Pricing This section includes the ret market value of the securities in your account on a settlement date basis. including short positions, at the dose of the statement period. The market prices, unless otherwise noted. have been obtained from independent vendor services, which we believe to be reliable. Market prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is not available are marked "NW and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guile to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your account(s). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely efformation. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements vdl not be revised. You should akvays request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts. Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable. For certain securities, including thinly-traded securties, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing will be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset, the current price **di purge and N/A wit be placed in the price field in the statement. The pricing of listed options takes into account the last closing price, as wet as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EAI) and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future results. These figures are computed using information from providers believed to be reliable; however, no assurance can be made as to the accuracy. Slice interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment. trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, and prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to wenv.pershingeorn/business_continuity.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You will not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions. Pershing acts as your agent and receives payment for order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your mitten request directed to your introducing firm. In order to assist your introducing firm in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automatically convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%. unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, rowed a charge, or received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. Page 6 of Account Kum ber Rated Excellent Go paperless v..,* So.C. 2007 LEPERS INC °Nem/ RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFIDAENTIAL "a"" et a riwts• else RN lias. 0•Tadeen " aNNI•lawat es, ••••••••eas wow v.. SDNY_GM_00047631 DB-SDNY-0010455 EFTA_00158240 EFTA01290268 Deutsche Asset & Wealth Management PO. Boa 1776, Balbmoro, MD 21203 Important Information and Disclosures (continued) Dralsre In Ponievftan roanenna Ma, ts COottMet00.1. ChM/it Ilar* S((% Mt. Mrs bet Once 315 Pot Awns., tan, ter Mew etA r 10114 Statement Period: 08/0112016 - 08/31/2016 The Role of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept from your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other properly and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses Stewed by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for funds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, n certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201) 413-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possible circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC'). Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more deta4ed information please visit: weir .pershing.com/abouUstrengthond-stability. • This statement will be deemed conclusive. You are advised to report any inaccuracy or discrepancy (including unauthorized trading) promptly, but no later than ten days after receipt of this statement, to your financial organization and Pershing. Please be advised that any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act. • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201) 4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's 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 wilt typically include a minority of arbitrators who were or are affiliated with the securities industry. • The rules of some arbitration forums may impose time limits for bringing a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed, and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action, who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govern. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)413.3330. Page? at? Account number. Kited [...lent Dann )i r Go paperless i d Th. i t erlrArr;C 2“" Minnows LEPERS INC CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) et a twl•••••••••••••= e'" OrsZe ' Sin " NS SOW* ••••••••• In ••••••taS Mrs.. eirC SDNY_GM_00047632 DB-SDNY-0010456 EFTA_00158241 EFTA01290269 Deutsche Asset & Wealth Management PO. Boa 1776. Baltimore. MD 21203 Gnaw e Ban, Poetic W. V. Vagagentm Weetts I ortriteComP Cesische Sank Saloon w. Mrs bet OR,* .115 Pin AOINIOP. Halter Mrs WA PIT IOVA Portfolio at a Glance Account Number: Statement Period:07'01/2016 - 07/3112016 This Period Year-to-Date JEEPERS INC Beginning Account Value $7,116,382.48 $1,742,138.47 6100 RED HOOK QUARTER B3 et Cash Deposits and Withdrawals -50,000.00 5.265 348.70 ST THOMAS VI 00802 Adjusted Previous Account Value 7,00,382.45 7,007,487.17 Dividends, Interest and Other Income 7,814.41 46.228.82 39 751 82 Net Chan e in Portfolio 17,270.95 _ndrg AcccLnt 1.1a ue $7,093,467.81 $7,093,467.81 Baum ated Annual Income $78 599 34 Your Client Advisor: DANIEL SARA Asset Summary Prior Year-End Last Period This Period %Alloation LW Cash. Money Funds and Bank Deems 205,961.90 5,524,272.94 5,475,697.10 77.19% ar - LSD Fixed Income 1,516.176 57 1.594,109 51 I 817,770 71 22 81% r - Account Total (Pie Chart) $1,742,13147 17,118,382.45 $7,093,467.81 100.00% See the Asset Summary Disclosure and Footnotes secton tar important information regarthma your Asset Summary. OµAhnoLi CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) Please revea, Cr.. alixa' 2 penooca 7 ',ft - yz,r C e— Pagel o(8 Go paperless 4k :ir tvay SW." 2007 mw OASSAR RATCD COMMUNICATIONS ••••••••inaw."••••• s'a roc Rotod excenont A00990 09CSF1001, CONF I DAENTIAL "en iNa SDNY_GM_00047633 DB-SDNY-0010457 EFTAS0015 8242 EFTA01290270 Asset Summary Disclosure and Footnotes Fixed Income contains Fixed Income Mutual Fuels Summary of Gains and Losses Realized Unrealized This Period Year•lo•Dale Short•Term Gain/Loss 0.00 0.00 895.26 Long•Term Gam/Loss 0.00 0.00 .121.000.63 Met GaInlloss 0.00 0.00 ,120,105.37 This summary excludes transactions vitere cost basis information is not available. For Your Information The European Central Bank (the sECE3') 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 1C99 and/or 1042 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 Date Adivity Type Desaiption Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH III SW. Current Yield: 0.30% Activity Ending: 07/29/16 07101116 Opening Balance 5,524,27294 5.524,272 94 01/08116 Withdrawal MONEY PAD REDEMPTION 40900.00 5,474,212 94 07/29/16 Deposit INCOME REINVEST 1 424.16 5 475 697 10 07129/16 Closing Balance 15,475,697.10 Total All Money Market Funds $5,475,697.10 Income and Expense Summary Portent Period Year•to-Date Taxable Noe Taxable Taxable Non Taxable Dividend Income Money Market 1,424.16 0.00 4,386.50 0.00 Other Dividends 6,39925 0.00 41,842.32 0.00 Total Dividends, Interest, Income and Expenses 17,814.41 10.00 14922892 $0.00 1>BAll ROL I Page 2 of 8 Account Kum her tray Go paperless tray Year Since 2007 IEPERS 0.0.10AR RATC0 COMMUNICATIONS coNF D run A L IMC/IINO1 et a rZlemetweetraisiaa LW..'" Oleateln .. Set See* •••••••••••aC, .••••tron wow as,' SDNY_GeLOOO4176.14 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0010458 EFTA_00158243 EFTA01290271 Deutsche Asset & Wealth Management PO. Boa 1776. Balbmoro. MD 21203 Portfolio Holdings Opening Date Cash, Money Funds, and Bank Deposits 7 7.0 0% of Portfolio Money Market DEUTSCHE GOVT CASH INSTL 07/0*/16 5.475.697.100 N/A 07/29/18 Total Money Market Total Cash, Money Funds, and Bank Deposits Account Activity Quantity %urrber Endieg Dale Acquired Mutual Funds 2 3.0 0% of Portfolio JP MORGAN FLOATING RATE INCOME FUND SELECT SHARES Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13113 18 148,957.299 03101113 13 533.047 04/01113 13 591.454 05101/13 13 562.992 08103/1313 567.343 07/01/13 13 500.501 08101/13 13 527.827 09/03/13 13 531.248 Reinvestm ents to 20.622.792 Date Total Covered 173,394.503 Total 173,394.603 Total Mutual Funds Dralsre Sam Pon* wean M.M(e.'..I Ma, ts COott•pec00.1. DnU4M Sank Satanel Mrs bri Mo. 315 Pot Anew. leth I ter M« !n IVY 10114 °peeing idiom Qosiag Baltic' Statement Period: 07/0112016 • 07/31/2016 Accrued Income 30-Day dissent Income This Year Yield Yield 5.524.272.94 5.475.897.10 0 00 s 3E6 50 030% 030% $5,524,272.94 $5,475,697.10 $0.00 $4,386.50 $6,524,272.94 $5,476,697.10 $0.00 $4,366.50 Unrealized Quantity Unit Cost Cod Basis Market Price Market Value Gainl loss Estimated Estimated Annual Income Yield Security !dandier: PHSX CUSP. 48t211510 10.0700 1,500,000.00 9.3300 10.0600 5,362.46 9.3300 10.1100 5,979.61 9.3300 10.1300 5,703.11 9.3300 10.0900 5,724.50 9.3300 9.9700 4,990.00 9.3300 10.0600 5109.94 9.3300 10.0300 5,328.42 9.3300 9.6730 199478.04 9.3300 1,737,175.08 $1,737,875.08 $1,737,875.08 1,389,771.60 ,110,228.40 63,753.72 4.58% 4.973.33 -389.13 228.14 4.58% 5,518.26 481.35 253.14 4.58% 5.252.71 450.40 24196 4.58% 5.293.31 431.19 242.82 4.58% 4,669.68 -320.32 21421 4.58% 4.924.62 -385.32 225.91 4.58% 4.956.54 41118 221.37 4.58% 192.410 66 -7,067.38 8,826.57 4.58% 1,617,770.71 -120,105.37 74,212.84 $1,517,770.71 -$120,105.37 $74,212.54 $1,517,770.71 .$120,105.37 $74,212.54 Unrealized Accrued blimaled Cod Basis Market Value (kid Loos Interest Annual Income l Total Portfolio Holdings $7,213,573.15 $7,093,467.81 •$120,105.37 $0.00 $71,599.34 Footnotes LEPERS INC CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CON F DAENTIAL "a ""<' Page 3 of 8 Account Number Rated excollent et fi aette et •47:::at Polpti•on " IIMAISI GO paperless LOATIMYrIlArT(C7C2OTIMUNICATIONS SDW_Ca4_OOO47635 DB-SONY-0010459 EFTA_00158244 EFTA01290272 Portfolio Holdings (continued) Securities acquire° before 2011 or in retirement accounts are generally net subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ("IRC') (incorporating amendments enacted by P.L 110-343, the Emergency Economic Stabilization Act of 2008) and are, therefore, considered 'noncovered," under the new cost basis reporting rules, and marked or denoted as such. All other securities in this section are securities which are "covered' under the new cost basis reporting rules. Securities which are 'covered' under the new cost basis reporting rules are defined as non-retirement, US taxpayers securities which have been acquired on or after their "applicable date(sr at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 1099-6 for the applicable tax year in which the security is disposed. Reporting requirements generally will be phased in over a three-year period, as follows: • Stock in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquied on or after January 1, 2012 • Options and any Debt Instruments that provide a simple fixed payment schedule for which a yield to maturity can be easily determined acquired on or after January 1, 2014. 13 The cost basis of this security has been provided to us by the delivering fern or transferring agent and Pershing makes no representation as to the accuracy of this information. M essages Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Pursuant to SEC Rule 10b-10(b)(1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. If Article 15 of the EU Securities Financing Transactions Regulation ("STIR') is applicable to you, please refer to https:Thinvw.pershing.contglobal-assets/pdf/disclosures/per-eu-arlide-15-info-stripdf for access to an information statement disclosing the risks and consequences of delivering non-cash collateral under a relevant collateral arrangement with Pershing LLC (including a margin account). This statement does not amend or supersede the express terms of any transaction, collateral arrangement or otherwise affect your or our liabilities or obligations. Please contact your financial professional if you have any questions. Activity Summary (AN amounts shown are m base currency) Credits This Period Debits this Period Net This Period Credits Year-to-Date Debits Year-to-Date Net Year-to-Date Securities Secunbes Bought 0 00 -6.390.25 -6.390 25 0.00 .41,842 32 41.842 32 Total Securities $0.00 -$6,390.25 -16,390.25 $0.00 -$41,142.32 -$41,842.32 Dividends and Interest $7,814.41 $0.00 $7,814.41 $46,220.02 0.00 146,228.82 Cash Withdrawals 0.00 .50,000.00 -50.000.00 0.00 -302.15125 -302,151.25 Deposits 0 00 000 0.00 5.567.499 95 0.00 5,587,499.95 Total Cash $0.00 -$50,000.00 -$50,000.00 $5,567,499.95 -$302,151.25 $5,205,348.70 Totals $7,814.41 -$56,390.25 -$40,575.84 $5,613,728.77 -$343,093.57 $5,209,735.20 Page 4 of 8 Account Number Rated excollent LAM. ROll Go paperless tray van Since 2007 LEPERS INC OAL0AR RAM) COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONFIDENTIAL .9":-.1..........., 7"4,71as aCreZeon UMW MAW r..,. ,. LA muss. Malt, Mat -c SDNV_GM_00047636 DB-SONY-OO1O46O EF1'A_00158245 EFTA01290273 Deutsche Asset & Wealth Management P.O.Boa 1776. Baltimore. MD 21203 Transactions by Type of Activity Process' Senleme-: Date Adivay type Devi ion Gnaw e San. PootieWealh Ma.zienan Myatt C044.14tC0C,P Cetnthe Sank Setwarint, *re bet Once .115 Pot Owner, 20th I ter Mrs Perk. 10. 10114 Ouse Statement Period: 0710112116 - 0713112116 Pik* Accrued littered Amount Curies Securities Bought and Sold 07128116 REINVEST CASH INCOME PH SX P MORGAN FLOATING RATE INCOM E RAO SELECT SHARES 172709.5890 SH RS SHRSFIJRCH. AT 59.33000 RD 01126 PD 07128116 684.914 4,390.25 USD Total SOW rlilli Bought and Sold • U.S. DOLLARS 0.00 4,390.25 Dividends and Interest 07/28116 CASH DIVIDEND RECBYED ,P M OFtGAN FLOATING RATE INCOME FUND SELECT 6,390.25 USD PH SX SHARES 172709.5890 SH RS RD 07126 PD 07128116 07/29/16 MONEY MARKET FUND DEUTSCHEGOUT CASH 1,424.16 USD INCOME RECEIVED 233993682 Total Dividends and Interest- U.S. DOLLARS 0.00 7,814.41 Cash Withdrawals and Deposits 07/08116 FEDERAL FUNDS SENT FIRSTBANK PUERTO RC -50.000.00 USO USD999997 Total Cash Withdrawals and Deposits- U.S. DOLLARS 0.00 -50,000.00 Total Value of Transactions 0.00 48,575.84 LISO The price and quantity displayed may have been rounded. Client Service Inform ation Your Client Advisor: DAN DANIEL SABBA 345 PARK AVEAbE. 26TH FLOOR NEW YORK NY 101544003 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) Page 5 old Account Number Raged ( ....lent Go paperiess tray ••••• 1.c. 2007 oar...2.........."7=4-1 0...a..... • stems., LEPERS INCc O N F I D raurci A L MAMMA ItAnD COMMUNICATIOld •••••••••LA •••••••••••• in.. . 00 f %CFI IIINK SDW_GM_00047637 DEt-SDNY-0010461 EFTA_00158246 EFTA01290274 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(0) Your Account Information Tax Lot Default Disposition Method Default Method for Mutual Funds FIRST ik FIRST OUT Default Method for socks in a Dividend Reinvestment Plan: FIRST IN FIRST OUT Default Method for all Other Securities FIRST IN FIRST OUT Bond Amortisation Sections: Am °We 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 riot selected any account corn m unications for electronic delivery To register and turn off paper corn m unications, log in to your account or contact your Client Advisor for m ore information. Important Information and Disclosures Pricing This section includes the net market value of the securities in your account on a settlement date basis, including short positions, at the close of the statement period. The market prices, unless otherwise noted, have been obtained from independent vendor services, which we believe to be reliable. Mattel prices do not constitute a bid or an offer, and may differ from the actual sale price. Securities for which a price is riot available are marked "N/A' and are omitted from the Total. THE AS OF PRICE DATE ONLY APPEARS WHEN THE PRICE DATE DOES NOT EQUAL THE STATEMENT DATE. The pricing of securities on this statement may vary from their actual liquidation value. Prices shown should only be used as a general guide to portfolio value. Cash shown in this statement may not necessarily be available for investment due to unsettled transactions against your accounts). Prices for marketable securities are received from various pricing services thought to be reliable; however, pricing services are sometimes unable to provide timely information. Where pricing sources are not readily available, estimated prices may be used. When the updated price is received from the price provider, the updated price will be used in the release of the current month's statement Prior statements MI not be revised. You should affrays request a current valuation for your securities prior to making a financial decision or placing an order. Deutsche Bank proprietary investments and miscellaneous assets held by Discretionary Accounts, Trust Accounts and Custody Accounts include several categories of securities. Miscellaneous foreign assets are priced via third party sources believed to be reliable For certain securities. including thinly-traded securities, debt securities in default, securities that do not have a valid pricing source, and certain third-party structured products, the last available pricing MI be listed. If the last price available for such securities is unchanged for a period of time deemed appropriate for that asset the current price MI purge and N/A will be placed in the price field in the statement. The pricing of listed options takes into account the last closing pace, as well as the current bid and offer prices. Estimated Annual Figures The estimated annual income (EA') and estimated annual yield (EAY) figures are estimates and for informational purposes only. These figures are not considered to be a forecast or guarantee of future resuks. These figures are computed using information from providers believed to be reliable: however, no assurance can be made as to the accuracy. Since interest and dividend rates are subject to change at any time, and may be affected by current and future economic, political, and business conditions, they should not be relied on for making investment, trading, or tax decisions. These figures assume that the position quantities, interest and dividend rates, arid prices remain constant. A capital gain or return of principal may be included in the figures for certain securities, thereby overstating them. Refer to wvm.pershing.com/business_continuky.html for specific details as to formulas used to calculate the figures. Accrued interest represents interest earned but not yet received. Reinvestment The dollar amount of Mutual Fund distributions, Money Market Fund dividend income, Bank Deposit interest income, or dividends for other securities shown on your statement may have been reinvested. You MI not receive confirmation of these reinvestments. Upon written request to your financial institution, information pertaining to these transactions, including the time of execution and the name of the person from whom your security was purchased, may be obtained. In dividend reinvestment transactions, Pershing acts as your agent and receives payment fa order flow. Options Information with respect to commissions and other charges incurred in connection with the execution of option transactions has been included n confirmations previously furnished to you. A summary of this information is available to you promptly upon your written request directed to your introducing km. In order to assist your introducing form in maintaining current background and financial information concerning your option accounts, please promptly advise them in writing of any material change in your investment objectives or financial situation. Expiring options which are valuable are exercised automatically pursuant to the exercise by exception procedure of the Options Clearing Corporation. Additional information regarding this procedure is available upon written request to your introducing firm. Page6 of 8 Account leant bar lusdc...wm IEPERS INC GO paperless unnt „tA . 2eO7 T OAS BA CD COMMON CA IONS CONFIDAENTIAL E al I Ma' ..`"7.1•••••••••....Catt • '" Gomnr. sin " SY Si* SDW_GIA_00047638 DB-SDNY-0010462 EF'FA_00158247 EFTA01290275 Deutsche Asset & Wealth Management PO. Box 1776, Baltimore, MD 21203 Important Inform ation and Disclosures (continued) Draisre San. Ponie wean Mamtentne Weans COott/VC, C,P Chisthe Sank Setwari Mrs bet Once 315niell Ante, 20th I ter Mew eett.1O. 10114 Statement Period: 0710112016 - 07/31/2016 Proxy Vote Securities not fully paid for in your margin account may be lent by Pershing to itself or others in accordance with the terms outlined in the Margin Agreement. The right to vote your shares held on margin may be reduced by the amount of shares on loan. The Proxy Voting Instruction Form sent to you may reflect a smaller number of shares entitled to vote than the number of shares in your margin account. Foreign Currency Transactions Pershing may execute foreign currency transactions as principal for your account. Pershing may automaticaty convert foreign currency to or from U.S. dollars for dividends and similar corporate action transactions unless you instruct your financial organization otherwise. Pershing's currency conversion rate will not exceed the highest interbank conversion rate identified from customary banking sources on the conversion date or the prior business day, increased by up to 1%, unless a particular rate is required by applicable law. Your financial organization may also increase the currency conversion rate. This conversion rate may differ from rates in effect on the date you executed a transaction, incurred a charge, a received a credit. Transactions converted by agents (such as depositories) will be billed at the rates such agents use. The Rote of Pershing • Pershing carries your account as clearing broker pursuant to a clearing agreement with your financial institution. Pershing may accept horn your financial institution without inquiry or investigation (i) orders for the purchase and sale of securities and other properly and (ii) any other instructions concerning your account. Pershing is not responsible or liable for any acts or omissions of your financial institution or its employees and it does not supervise them. Pershing provides no investment advice nor does it assess the suitability of any transaction or order. Pershing acts as the agent of your financial institution and you agree that you will not hold Pershing or any person controlling or under common control with it liable for any investment losses incurred by you. • Pershing performs several key functions at the direction of your financial institution. It acts as custodian for hinds and securities you may deposit with it directly or through your financial institution or that it receives as the result of securities transactions it processes. • Your financial institution is responsible for adherence to the securities laws, regulations and rules which apply to it regarding its own operations and the supervision of your account, its sales representatives and other personnel. Your financial institution is also responsible for approving the opening of accounts and obtaining account documents; the acceptance and, in certain instances, execution of securities orders; the assessment of the suitability of those transactions, where applicable; the rendering of investment advice, if any, to you and in general, for the ongoing relationship that it has with you. • Inquiries concerning the positions and balances in your account may be directed to the Pershing Customer Service Department at (201)113-3333. All other inquiries regarding your account or activity should be directed to your financial institution. Your financial organization's contact information can be found on the first page of this statement. • For a description of other functions performed by Pershing please consult the Disclosure Statement provided to you upon the opening of your account. This notice is not meant as a definitive enumeration of every possibe circumstance, but as a general disclosure. If you have any questions regarding this notice or if you would like additional copies of the Disclosure Statement. please contact your financial institution. • Pershing is a member of the Securities Investor Protection Corporation (SIPC1) Please note that SIPC does not protect against loss due to market fluctuation. In addition to SIPC protection, Pershing provides coverage in excess of SIPC limits. For more detailed information please visit WAY .pershing.com/abouttstrength-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 cal communication should be re-confirmed in writing to further protect your tights, including your rights under the Securities Investor Protection Act • Your financial organization's contact information can be found on the first page of this statement. Pershing's contact information is as follows: Pershing LLC, Legal Department, One Pershing Plaza, Jersey City, New Jersey 07399; (201)4134330. Errors and Omissions excepted. Important Arbitration Disclosures • All parties to this agreement are giving up the right to sue each other in court, including the right to a trial by jury, except as provided by the rules of the arbitration forum in which a claim is filed. • Arbitration awards are generally final and binding; a party's 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. OMAN Kitt CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Account Number Go paperless ean toARRAT Von SnI it.C• 2007 .EPERS INC 0 0A ( COMMUNICATIONS CONFIDAENTIAL ' inn Paget otii SDNY_GM_00047639 DI3-SONY-0010463 EFTA_00158248 EFTA01290276 Important Information and Disclosures (continued) Important Arbitration Disclosures (continued) • The rules of some arbitration forums may impose time limits for bunging a claim in arbitration. In some cases, a claim that is ineligible for arbitration may be brought in court. • The rules of the arbitration forum in which the claim is filed. and any amendments thereto, shall be incorporated into this agreement. Important Arbitration Agreement Any controversy between you and Pershing LLC shall be submitted to arbitration before the Financial Industry Regulatory Authority. No person shall bring a putative or certified class action to arbitration, nor seek to enforce any predispute arbitration agreement against any person who has initiated in court a putative class action. who is a member of a putative class who has not opted out of the class with respect to any claims encompassed by the putative class action until; (I) the class certification is denied; (II) the class is decertified; or (III) the client is excluded from the class by the court. Such forbearance to enforce an agreement to arbitrate shall not constitute a waiver of any rights under this agreement except to the extent stated herein. The laws of the State of New York govem. Pershing's contact information is as follows Pershing LLC, Legal Department. One Pershing Plaza, Jersey City, New Jersey 07399: (201) 413-3330. Page 0 ol 8 Account Kum her Rated (5° paperless Vf...k.S. 2007 LEPERS INC D OASOAIR RAT( COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) CONF D AERTIAL: "anima SDNY_GM_00047640 DEt-SDNY-0010464 EF1'A_00158249 EFTA01290277 Deutsche Asset & Wealth Management PO. Box 1776, Balbrnora, MD 21203 Dralsre San, Pooele "main mamienern mats Coottme6,o.P Chnthe Sank Senor ,"( *robe* Once .115 Pot eiwPrier. Iteth I la? Mew %A WC Portfolio at a Glance Account Number: Statement Period: 06! Oli 2016 - 06/3012016 This Period Year-to-Date JEEPERS INC Beginning Account Value 37,115,94419 $1,742,138.47 6100 RED HOOK QUARTER B3 Net Cash Deposits and Withdrawals 0.00 5,315,3470 ST THOMAS VI 00802 Adjusted Previous Account Value 7,115,9409 7,057,487.17 Dividends, Interest and Other Income 7,571 77 31414.41 net Pontolio •5.134 11 22.480 87 Estim aled Annual Income $76.88204 Your Client Advisor: DANIEL SAM Asset Summary Prior Year-fad Lad Period This Period % Allocation la SC Cash Money Funds and Bank Deposits 205.96110 5,522,894.45 5.524.272 94 77.61% USD Fixed Income 1,536.176 57 1.593,050 34 1.594.109 51 2239% Account Total (Pie Chart) $1,742,138.47 87,115,944.79 67,118,362.45 100.00% See the Asset Summary Disciosure and Footnotes secton for important intonation reporting your Asset Strnmary. I .nnt CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) I Please rev e,v yo..r al' avc pros Ca 7 Vi C er:Aciv 62, Pagel o18 Riled incelYnt A0097750CSF10024 Go paperless t t , t r . ,* Y... • 14" 0 . 2007 O616611 AT COmmuniC611O66 CONFIDENTIAL "aunn et a riwsin et Se velol=ra . eon " MEV MAW essvac, a...now woe roc SDNY_GM_00047641 DB-SDNY-0010465 EFTA_00158250 EFTA01290278 Asset Summary Disclosure and Footnotes Fixed Income certain& Fixed Income Mutual Furls Summary of Gains and Losses Realized Unrealized This Period Yeardo.Date Short•Term GainfLoss 000 000 .123.13 Long.Term Gain/Loss 000 000 .137.233.18 Net Gain;Loss 0.00 0.00 ,137,378.32 This sumrnary excludes transactions where cost basis information is not available. For Your Information The European Central Bank (the 'ECG') 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 wit be reported on your Forms 1C99 and/or 1042 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 Date Adivity Type Description Amount Balance Sweep Money Market Fund DEUTSCHE GOVT CASH INS7L Current Yield: 0.34% Activity Ending: 06130116 06101116 Opening Balance 06130116 Deposit INCOME REINVEST 5,522,694.45 1,378.49 5,522,894.45 5.524.212.94 08130118 Closing Balance 66,624,272.94 Total All Money Market Funds $6,624,272.94 Income and Expense Summary Carrot Period Teeple-041e Taxable Moo Taxable Taxable Mon Taxable Dividend Income Money Market 1,378.49 0.00 2,982.34 0.00 Other Dividends 6.193.28 0.00 35,452.07 0.00 Total Dividends, Interest, Income and Expenses $7,571.77 10.00 $38,414.41 $0.00 Page 2 of 8 Account Kum ber Riled ex.vollent A '09/750CSF3C _ paperless Lbw, Yea• Unto 2007 UZIA14 ROL LEPERS INC OAS0AR RATED COMMUNICATIONS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFID ENTTAL :raw etwerrat =Ws" Ste Ns* SDNY_GM_00047642 DES-SDNY-00 10466 EFTA_0015825 I EFTA01290279 Deutsche Asset & Wealth Management PO. Boa 1776, Baltimore, MD 21203 Portfolio Holdings Conine Date Cash, Money Funds, and Bank Deposits 78.00% of Portfolio Money Market DEUTSCHE GOVT CASH IN Sit Total Money M arket 06101116 6.624172 940 N/A 06130/16 Total Cash, M oney Funds, and Bank Deposits Date Acquired Quantity Unit Cost Cost Basis Mutual Funds 22.00% of Portfolio P MORGAN FLOATING RATE IN COME FUND Security Identifier: PHSX SELECT SHARES CUSP. 481211510 Open End Fund Dividend Option: Reinvest; Capital Gains Option: Reinvest 02/13/13 13 148,957.299 03/01/13 13 533.047 04101113 13 591.454 05101/13 13 562.992 06103113 13 07/01/13 13 08/01(13 13 09103113 13 Reinvestments to Date Total Covered Total 172,709.589 Total Mutual Funds Amount Activity Quantity Nurrber Ending 567.343 500.501 527.827 531.248 19,937.878 172,709.589 10.0700 1,500,000.00 9.2300 10.0600 5,362.46 9.2300 10.1100 5,979.61 9.2300 10.1300 5,703.11 9.2300 10.0900 5,721.50 9.2300 9.9700 4,990.00 9.2300 10.0600 5,309.94 9.2300 10.0300 5,328.42 9.2300 9.6840 193,087.79 9.2300 1,731,115.83 $1,731,166.83 $1,731,416.83 ti me' Sam Pootie wean maitenan Marets I 'melte G,Ist. Dettsche Ma Saloon ‘it. Mir•Veri Moo Pan Anew, Md, Met Mew etek 10114 Opening Bahia Clods° Balance Statement Period: 06/01/2016 • 0613012016 /eased Income 30-Day Current Income This Year Yield Yield 5.522.894.45 5.524.272.94 0.00 2.96334 0 3014 034% 8,622,194.45 $5,621,272.94 $9.00 $2,962.34 $5,622,194.45 Market Pria $5,621,272.94 Market Value $0.00 llarealized Gala/ Loss $2,962.34 Estimated Estimated Annual Income Yield 1,374,875.87 -125,121.13 63,753.72 4.63% 4.920.03 -442.43 228.14 4.63% 5,459.12 -520.49 253.14 4.63% 5.196.41 -506.70 240.96 4.63% 5.236.57 487.93 242.82 4.63% 4,619.62 -370.18 21421 4.63% 1,871.84 438.10 225.91 4.63% 4,903.42 •425.00 227.37 4.63% 184,026.63 -9,061.16 8,533.43 4.63% 1,591,109.51 -137,376.32 73,919.70 $1,694,109.51 -837,376.32 $73,919.70 $1,594,109.51 -$137,376.32 $73,919.70 llareolized Accrued Estimated Cod Basis Market Value Gala/ Loss Interest Annual Income Total Portfolio Holdings $7,255,750.77 $7,110,312.45 -837,376.32 $0.00 $76,182.04 Footnotes Page3at8 Account Kum ber RalledincoMM Go paperless t e . "`"V SMC. 2007 LEPERS INC CIALIMA RATED COMMUNICATIONS CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) CONFID NTIAL MT MCI ettittaetsetralos ttstOrsisteenisitl•Sa. onivrou4 avow now Mae •IK SDNY_GM_00047643 DB-SDNY-0010467 EFTA_00158252 EFTA01290280