EFTA Document EFTA01383432

Deutsche Bank P.O. Box 1776, Baltimore, MD 21203 Portfolio Holdings Disclosures (continued) December 1, 2018 - December 31,2018 SOUTHERN TRUST COM PA NY INC Ratings This statement may contain credit rating information obtained from Standard & Poor's. Reproducing and distributing any information received from Standard & Poor's is not permitted without prior written authorization from Standard & Poor's. Standard & Poor's does not guarantee the accuracy, completeness, timeliness or availability of any information. Standard & Poor's is not responsible for any errors or omissions, regardless of the cause, or for the results of using such content. Standard & Poor's makes no express or implied warranties including warranties of merchantability or fitness for a particular purpose. Standard & Poor's shall not be legally responsible for any fees, costs, expenses or losses in connection with the use of their content. Credit ratings are opinions and not statements of facts; are not recommendations to purchase, hold or sell securities; and do not address suitability for investment purpose. Credit ratings should not be relied upon as investment advice. M essages Please note the following information for Pershing's 2018 IRS Form 1099 (B, DIV, INT, M 'SC and 0ID): Your Form 1099 will be delivered as early as possible, beginning January 31, 2019. By February 15, you will be mailed either your Form 1099 or a special Pending 1099 Notice. The Pending 1099 Notice will be sent if we have not received and processed final information from issuers and trustees of securities that you hold by the as of date of the February 15 10 99 mailing. You will also be sent the notice if your information is still being reviewed and finalized. The notice will inform you of the securities that are pending final reporting and provides the anticipated mail date of your 1099. Your 1099 will be mailed no later than M arch 15, 2019. Although a money market mutual fund seeks to preserve the value of your investment at 51 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 10 b-10(b)( 1) confirmations are not sent for purchases into money market mutual funds processed on the sweep platform. Activity SJ.rimary — Arent..,) Credits This Period Debits This Petied Net This Period Creeds Year-to-Date Debris Year-to-Date Net Yea-to-Dale Securities Securities Bought 0.00 0.00 0.00 0.00 .1 019 995 58 1,019,995.58 Securities Sold 0.00 0.00 0.00 7,637,693.44 0.00 7,837,893.44 Securities Deposited 0.00 0.00 0.00 2,775,875.00 0.00 2,775,875.00 Total Securities SO 00 $0.00 $0.00 $10,413,588.44 41,019,995.58 59,393,572.88 Dividends and Interest S8 205 17 $0.00 $8.205.17 $186,327.91 $0.00 $188,327.91 Cash Withdrawals 0.00 0.00 0.00 0.00 4,000,000.00 4,000,000.00 Total Cash $0.00 $0.00 $0 .00 $0.00 48,000,000.00 48,000,000.00 Totals $8 205 17 $0.00 $8.205.17 $10,599,896.35 47,019,995.58 53 579,900.77 Amount tivriber 1: C C,:g!t:26 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL Page 5 of 9 Go paperless MX Atari t.Ptivter 4 Rated Ewellere Every Year Since 2007 04BAR MITOCOMPAVNICA710.5 EXCELLENCE Clucks through Penabos UM. a wholly road subtle:run of The Bakal New Yore Make Comeration (WY Mellen) PCISrat LLC. motto( AURA. NYSE SIPC DB-SDNY-0083140 SDNY_GM_00229324 EFTA01383432