EFTA Document EFTA01361693

Deutsche Asset & Wealth Management P0. Bo" 1776. Braiimoce. MD 21203 Portfolio Holdings (continued) Description Cash, Money Funds, and Bank Deposits (continued) Total Cash, Money Funds, and Bank Deposits Quantity Demisoc Sou Mate WWII. Manaterteat ions <wrap Gme Oeristhe I. Scoot Inc Nw Vokallto 34114•1 *nave. 20Th Flow Now *et MY 10154 (101414.11111.1131)7.1409$ Statement Period: 12/01/2014 • 12/31/2014 Opening Closing Attrued Income 30-Day Balance Balance Income This Year Yield [Total Portfolio Holdings $233,025.17 $233,030.72 $3.26 $41.12 Market Value Awned Estimated Interest Annual Income $233,030.72 M essa es Customer Collateral Account Under Securities Account Control Agreement Federal Deposit Insurance Corporation (FDIC)-Insured Bank Deposits are not protected by Securities Investor Protection Corporation.(SIPC). $0.00 $41.12 For disclosure of rates for DWS money market funds, please visa the DWS Investments website at https:(Awnv.cNis-investments.cordEN/productslmoneygnarket•funds-yields.jsp. Please note that all money market hinds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at $1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the folfoiwng information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, O(0 and MI$C). Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form ora 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 mad date of your 1099 form. Your 1099 will be mailed no later than March 16. 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.convbusiness_continuity. You may also request a printed copy of this information by calling (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340. Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation. or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the Page 3 of 9 Account Numb SO II- ERN FINANCIAL LLC (so i)aperless CI utl, P...4. 41/“!. • .0-4 cp••••••.•,..oinvy CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050918 CONFIDENTIAL SDNY_GM_00197102 EFTA01361693