EFTA Document EFTA01345101

GCL2506B PERSHING LLC POST S/D OPEN ITEM REPORT 10/08/13 PAGE 2 CORRESPONDENT: 6XE OFFICE: N4G RECEIVES OIT ACCOUNT CURRENT QTY DESCRIPTION CUSIP CURRENT ANT CCY OLC REF SD PS FC SFKG ACCT ORGIN QTY PRICE ISIS ORIGINAL ANT COUP PCS REF TD SS RR GLOSS IND ACCT SHRT NM GLOSS REF DEPOT REF BIC ISS SL EXPOSURE EXT RECLM DT SELL DT FILE DT EXT DT AFT DT ID CNTL NR REG EXCL EXEC-BKR SUB-ACCT DK IN EXTERNAL-ACCT RECLAIM COMMENTS DTR 1,000,000.0000 HSBC USA INC 40432XD32 N40 1,000,000.0000 US40432XD326 TDS EPSTEIN DTR 1,000,000.0000 HSBC USA INC 40432XE56 N4G 1,000,000.0000 US40432XE563 TDS EPSTEIN INTERNAL COMMENT USD 31QL9A 2013-10-07 OPE 2013-10-04 UAF DTC N ACAT REF 20132750038473 USD 31QL9D 2013-10-07 OPE 2013-10-04 UAF DTC N ACAT REF 20132750038473 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0031232 CONFIDENTIAL SDNY_GM_00177416 EFTA01345101