EFTA Document EFTA01361668

Deutsche Asset I R & Wealth Management P0. Be, 1776. 8641M0111, MD 21203 Deotoe Boni Matt WHIM Maimpertale Wae. ( wrap Gwv• Oeslie Sink 1[M/,11A Inc Nee evk Office N0M NxnMf.3NN rba, Now *AP. NY 10154 (MI IWO,. Ns% 21114014 Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Date Date Transaction Description Quantity Statement Period: 12/0112014 • 12/31/2011 Realized Gain/ Loss/ Cost Basis Proceeds Disallowance Long Term 12123114 12/13/13" FiPP WAShIAGTOA MUT MTG S004-RA2 MTG PASSTHRU CTFCL 1 290.000 000 2,61209 3.413.67 801.58 C- B-1 VAR RATE 6.982% 07/25133 Security Identifier. 939336S20 Original Cost Basis: 2.612.09 12/26/14 12113/13' RPP COUNTRYWIDE HOME LOA 1 CL B1 4090% D3/25133 WED /,500,000.000 3,157.20 3,38115 223.95 TD 01/30/03 Security Identifier. 126690YSI Original Cost Basis: 3,157.20 Total Long Term $5,169.29 $6,794.82 31,025.53 Total Short Term and Long Term 35,719.29 16,794.112 11,025.53 • Noncovered under the cost basis rules as defined below. Securities acquired before 2011 are generally not subject to the new cost basis reporting rules set forth in the Internal Revenue Code of 1986, as amended ('IRC') (incorporating amendments enacted by P.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. MI other securities in this section are securities which are 'covered' under the new cost basis reporting rules. Securities which are "covered" under the new cost basis reporting rules are defined as securities which have been acquired on or after their 'applicable date(s)' at which they are subject to the cost basis reporting rules and the adjusted basis will be reported to the IRS on form 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 in a corporation acquired on or after January 1, 2011 • Mutual funds and dividend reinvestment plan (DRP) shares acquired on or after January 1, 2012 • Other securities, principally debt securities and options, acquired on or after January 1, 2014, or later, as determined by the Secretary of the Treasury. This Schedule may not reflect al cost basis adjustments necessary for tax reporting purposes, especially for noncovered securities. Adjustments to cost basis may have been made for prior income received and subsequently reclassified by the issuer as a return of capital. In addition, corporate action events may require adjustments to your original cost basis. Return of capital information and cost basis information, as it relates to corporate actions, has been obtained from sources we believe to be reliable. Adjustments to cost basis can be made after year-end, in particular, for return of capital adjustments, but may also include adjustments for corporate action events. Therefore there may be differences in cost basis reflected on your monthly client brokerage statement at year end versus any subsequent reports, including your 109943 or online displays you may have available to you. When you report your cost basis on your tax return, it should be verified using all of your own records. In particular, there may be other adjustments which you need to make, but are not required to be made by Pershing as it relates to H.R. 1424. You should consult with your tax advisor in order to properly report your gain or loss for tax purposes. Pershing shall not be responsible for and makes no representations or warranties with respect to the accuracy of any information that you report to the IRS or other taxing authorities, and. accordingly. disclaims any and al liability that may arise with respect to your use and reliance on the information provided herein for such reporting. Account Number N46-023804 SO U ThERN FINANCIAL LLC Go paper-less ntr A0t)Li• ofuvice. Rett0 Em.o. nt f Way Yaw tone. .}001 DALOAR RAT ED COMMON ICATK,I6 eXallENC? Page 11 of 21 CS.tru intnavl arahra lit!. • •••••••-: µ I 1•A ^ CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050893 CONFIDENTIAL SDNY_GM_00197077 EFTA01361668