EFTA Document EFTA01361670

Deutsche Asset i r & Wealth Management P0. Be, 1776. B641M0111, MD 21203 M essages (continued) DEF-325465 575.000 3 EDR-567433 5150,000 6 EGT-876574 550,000 2 EGT•888345 525,000 1 FRT-435234 525,060 1 FRT-658797 $75,000 3 Deasoc sant Male Won Warns, Penn teewap Gap Oemmlw Sri leolain Inc Maw *A Office BIM tostaVe. iNN ;In Now *et NY 10tH nDl 414./Ml. as 12114091 Statement Period: 12/0112014 -12/3112014 0 In brief, the allocation process involves the following steps: • The number of trading units held in each account is identified. • A sequential number is assigned to each trading unit (e.g., account EDR-567433 would be assigned six numbers). • A random number is generated that will result in one of these trading units being the first unit in the selection process. • Thereafter, the trading units participating in the allocation are based on an incremental random number technique until the number of trading units alocated to Pershing is exhausted. Additional Information ' The allocation of called securities is not made on a pro-rata basis. Therefore, it is possible that a client may receive a full or partial redemption of shares held. Conversely, it is also possible that a client may not have any securities selected for redemption at all. 'When a partial call is deemed favorable to the holders of the called security, Pershing will exclude certain accounts from the lottery. Excluded accounts will include Pershing's proprietary and employee accounts, as well as proprietary and employee accounts of introducing broker-dealers (i1 Pershing carries and clears those accounts). No allocation will be made to these proprietary and employee accounts until all other client positions at Pershing in such securities have been called. When a partial call is deemed unfavorable to holders of the called security, Pershing will not exclude any accounts from the lottery. • If the partial call is made at a price above the current market price as captured in PershingU's price reporting system, Pershing will generally categorize the partial call as one that is favorable to the holders of such security. If the partial call is made at a price that is equal to or below the current market price of the security as captured in Pershing's price reporting system. Pershing will generally categorize that call as one that is unfavorable to holders of the security. Cfients have the right to withdraw uncalled, fully paid securities from Pershing at any tine prior to the cutoff date and time established by the issuer, transfer agent and/or depository with respect to the partial Page 13 of 21 C54.4•1-•.: lOrtlat•I ••••••••ra IA • •••.•• •••••••e t•:••••1 Account Number: N46-023804 SOLD-ERN FINANCIAL LLC Cio paperless rittant:L* .h)jaj ASK **OLP' C .1.0, rDper iRrZED COMMUNICATIOMS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050895 CONFIDENTIAL SDNY_GM_00197079 EFTA01361670