EFTA Document EFTA01452694

PO By 1776. Baltimore MD 21203 Portfolio Holdings (continued) Detisoc Dam Matt wow. ' ,Sweetest Warn <wrap Gwv• Oeslie Sink SOCIIIIetlAt Nay evk Office 3411.04 *now. 2litti ;In Now*n. NY 10154 (MI IWO!. Ns% 211114094 Statement Period: 01/01/2014 • 01131/2014 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, 2013, or later, as determined by the Secretary of the Treasury. Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes. obtained from sources believed to be reliable. In the event, one or more of these attributes is changed, there may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under cedar circumstances, including those involving continuously callable bonds, foreign bonds, variable rates, bonds in default, index-linked bonds, bonds sold shod or bonds that have a negative yield. This information is meant as a general guide and you should consult your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing fpm and Pershing makes no representation as to the accuracy of this information. Unrealized gains and losses are not reported for securities for which cost basis or market value is not available. The Gwent Face value represents the outstanding principal balance of the underlying security. The Current Face value is determined by mukiplying the current factor times the original face amount of the security. Factors may change over time and are obtained from sources we believe to be reliable. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 12 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency U S DOLLARS EURO Total USD Equivalent % of Allocation Case Fired Income Emmen Whoop- Traded Funds Total by Camay 21 936.379 35,910 556 2930.390 3,006.754 90.610.080 USD 291.846 0 0 0 291.846 EUR 22,329,905 35,910,558 29,758,390 3,008,754 91,003,606 USD 24.54% 39.46% 32.70% 3.30% 100.00% Schedule of Realized Gains and Losses Current Period Disposition Acquisition Disposition Reared Gab' Loss Out Dale Transaction Description Quay Cosi Bads Proceeds Mialkeraea Short Term 01/10/14 05/29113' SELL GENERAL ELEC CAP COR SER C FIXED TO FLTG 5.250% 0 1,400,000.000 1,400,000.00 1,316,889.00 -83,131.00 First In Fug Out 8103/63 8/E 0T0 06/03113 CLB Security Identifier. 369822553 Original Cost Basis: 1,400,000.00 01/10/14 07/09/13' SELL P MORGAN VALUE ADVA INSTITUTIONAL CLASS 78,709.170 2,000,000.00 2,138,528.15 138.528.15 Aril In FRI Out Security Identifier AMIX Page 13 of 23 CO 24 F..0 OIF r•FlAlt.C1 I r Account Number: N46-023804 SOUTHERN FINANCIAL LLC Rat•J Urcail•nt Go paperless Simla Yn.uct 1. .4 ge0w All UT C-DCLIVIIRY DA LSA4 RATED COMMIJNICATIOV6 EXCELW4CE ;vas. ate 'swam ries.ktnsr we CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0109878 CONFIDENTIAL SDNY_GM_00256062 EFTA01452694