EFTA01265978.pdf

CA111517 - Transaction Summary
Date Range of Reviewed Transactions:
• Date range of transactions is less than the standard 12 month review as accounts were recently established.
• Date range of transactions reviews will capture from account inception until 07/08/2019 as follows:
o Account 11481413 - Opened on 04/19/2019 to 07/10/2019
o Account 14332170 - Opened on 05/13/2019 to 07/10/2019
c, Account 41224708 - Opened on 04/11/2019 to 07/10/2019
Scope of Accounts Reviewed:
All Accounts Reviewed
o Accounts identified under the clients included within the Client Profile subpages.
[See Subpages for Account Details]
SDNY_GM_00006045
CQNFIDNTIpd_
CA 1151 - Transaction ummary Page
EFTA_00 120104
EFTA01265978

ACCT: 11481413 - FSOUTHERN FINANCIAL LLC
AccountType/Registration/Roles: Account Openedon 04/19/2019
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Transaction Details:
Credits: Debits:
Transaction Type It Trans Amount Transaction Type IP Trans Amount
IN-STATE CHECK DEPOSITS FROM: 5 332,500.00 JOURNALED SHARES & FUNDS TO: 2 -541,543.36
41224708 (SOUTHERN FINANCIAL)
06/17/19 DARREN K INDYKE 8 42.700.00
MICHELLE F SAIPHER DATE AMT
06/10/19 COATUE ENTERPRISES LLC 14.300.00 06/24/19 S540.589.91
05/0509 COATUE ENTERPRISES LLC 70.200.00 07/02/19 5953.45
05/09/19 COATUE ENTERPRISES LLC 16300.00 14332170 [SOUTHERN COUNTRY INTL.)
04/22/19 SOUTHERN FINANCIAL LLC 250.000.00 DATE SHARES SYM
WIRED FUNDS RECEIVED FROM: 3 285,278.60 06/27/19 3.000 GOOD
(SOUTHERN FINANCIAL LLC)
06/27/19 263.757 APO
ADJUSTING ENTRY (1,000 shares GS - canceled) 1 198,384.95 06/27/19 1.000 GS
CASH DIVIDEND 1 121,052.22 06/27/19 25,000 CVNA
QUAUFIED DIVIDEND 1 850.00 06/27/19 1.000 AMZN
SCHWAB 1 INTEREST 3 242.54 06/27/19 25,000 KPTI
Incoming TOA from TD AMERITRADE BUY OF INVESTMENTS: 2 -396,764.95
DATE SHARES SYM DESCRIPTION STATUS 2,000 shares of GS
1,000 adjusted (4198,384.95)
04/25/19 3,000 GOOG ALPHABET INC SOLD 1,000 shares of GS purchased
04/25/19 263.157 APO APOLLO GLOBAL MGMT LP SOLD
04/25/19 25.000 CVNA CARVANA CO SOLD
04/25/19 1,000 AMZN AMAZON.COM INC SOLD
04/25/19 25.000 KPD KARYOPHARM THERAPTIC SOLD
Transaction Spreadsheet Attached /Screenshot (Limited or No Transactions): 04/19/19 - 07/10/19
CA111517 -
preN
cQN.IFonI TIAL SDNY_GM_00006046
2
ransacti ummuy age
EFTA_00 I 2010 5
EFTA01265979

fla
CA111517 -
Transacti...
Investments:
No investments as of 07/1W2019
Li.ilti113 AM /il l )1'1
See the following wire(s) and/or check image(s) subpage(s) if applicable to accounttransactions as noted above.
c97_NuE,In u„E NTIAL SDNY_GM_00006047
EFTA_00120106
EFTA01265980

Incoming Wires
Incoming Wires:
ACCOUNT ID ACTIVITY DT IRAN AM WIRE TAG CD WIRE TX
11481413 05/01/2019 156,947.36 :20: FO19121O646701
11481413 05/01/2019 156,947.36 :32A: 190501USD156947,36
11481413 05/01/2019 156,947.36 :50K: /0042952771 42952771 -
SOUTHERN FINANCIAL LLC C/O HBRK ASSOCIATES, INC
575 LEXINGTON AVENUE,4TH FLOOR NEW YORK, NY 10022
11481413 05/01/2019 156,947.36 :52A: BKTRUS33PWM
11481413 05/01/2019 156,947.36 :53D: /C/4O553953 CHARLES SCHWAB + CO INC Aft CASH ACCOUNTNG
120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104
11481413 05/01/2019 156,947.36 :59: /40553953 CHARLES SCHWAB AND CO INC . .
11481413 05/01/2019 156,947.36 :70: FOR FURTHER CREDIT TO
ACCOUNT NAMES OUTHERN FINANCIAL LLC
ACCOUNT NO 114 8 1413
IMAD 20190501B1Q8383C012734
11481413 05/01/2019 156,947.36 :72: /INS/BKTRUS33XXX
11481413 05/03/2019 51,000.00 :20: FO19123O791701
11481413 05/03/2019 51,000.00 :32A: 19O503USD5100O,
11481413 05/03/2019 51,000.00 :50K: /0042952771 42952771 -
SOUTHERN FINANCIAL LLC C/O HBRK ASSOCIATES, INC
575 LEXINGTON AVENUE,4TH FLOOR NEW YORK, NY 10022
11481413 05/03/2019 51,000.00 :52A: BKTRUS33PWM
11481413 05/03/2019 51,000.00 :53D: /C/4O553953 CHARLES SCHWAB + CO INC An CASH ACCOUNTNG
120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104
11481413 05/03/2019 51,000.00 :59: /40553953 CHARLES SCHWAB AND CO INC . .
11481413 05/03/2019 51,000.00 :70: FOR FURTHER CREDIT TO
ACCOUNT NAMES OUTHERN FINANCIAL LLC
ACCOUNT NO 114 8 1413 IMAD 2O19O503B1Q8383C0O9O35
11481413 05/03/2019 51,000.00 :72: /INS/BKTRUS33XXX
11481413 05/16/2019 77,331.24 :20: FO19136O294B01
11481413 05/16/2019 77,331.24 :32A: 19O516USD77331,24
11481413 05/16/2019 77,331.24 :50K: /867730320
SOUTHERN FINANCIAL LLC ATTN: JEFFRE
6100 RED HOOK QTRS STE B-3 ST THOMAS VI 008021348
11481413 05/16/2019 77,331.24 :52D: /000004123214579
TD AMERITRADE CLEARING INC
OUTGOING WIRE ACCOUNT
200 S. 108TH AVE., 11TH FLOOR OMAHA NE US 68154
11481413 05/16/2019 77,331.24 :53D: /C/4O553953 CHARLES SCHWAB + CO INC An CASH ACCOUNTNG
120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104
11481413 05/16/2019 77,331.24 :59: /40553953 CHARLES SCHWAB CO., INC.
11481413 05/16/2019 77,331.24 :70: FFC SOUTHERN FINANICAL LLC 1148-141 3
IMAD 201905161167031R007209 /RFB/18598437
11481413 05/16/2019 77,331.24 :72: /INS/WFBIUS6SXXX
NBAL
ccgibl. SDNY_GM_00006O48
Fail? Ptmmar
EFTA_00 I 20 I 07
EFTA01265981

Incoming Check Deposits
Incoming Check Deposits:
Incoming
Check Ima...
Date Remitter Remitter: Drawee Bank Check Number & Memo: Deposit Amt
06/17/19 CHECK DEPOSIT DARREN K INDYKE & TO Bank *427 42,700.00
MICHELLE F SAIPHER Account Memo:
Promissory Note Dated 6-13-18
and 6-17-16 - Interest Pmts
06/1W19 CHECK DEPOSIT COATUE ENTERPRISES LLC JPMorgan k *109 14,300.00
Account
05/09/19 CHECK DEPOSIT COATUE ENTERPRISES LLC JPMorga k *108 10,200.00
Account
05/09/19 CHECK DEPOSIT COATUE ENTERPRISES LLC JPMorgan k *107 15,300.00
Account
04/22/19 CHECK DEPOSIT SOUTHERN FINANCIAL LLC Deutsche Bank Trust *300 250,000.00
Account *42952771
NaT5IAL
Q,P5NEIE?sP SDNY_GM_00006049
EFTA_00 I 20 I 08
EFTA01265982

Incoming Transfer of Account (TOA)
Incoming AccountTransfer
Incoming TOA from TD AMERITRADE
Date Quantity Symbol Description
04/25/19 3,000 GOOG ALPHABET INC.
04/25/19 263,157 APO APOLLO GLOBAL MGMT LP
04/25/19 25,000 CVNA CARVANA CO
04/25/19 1,000 AMZN AMAZON.COM INC
04/25/19 25,000 KPTI KARYOPHARM THERAPTIC
TOM M NOM Si, AIM MA :AI /.'.xv - we, Worn Is:/ IVA 1, 1 P 'OM 11:12
or FIT
t> :AO 07/04/11 Mena a - MOM= ACIACIPT DETAIL ly « M/01/10 IA/OM a meows - lam kettan MAIL
Al'; MO DTA: AA MA Mt ACM CTL NSA ITO OUT: MA TAT: PA JCAT CTL I: 201411)0004141
LOT S 11411411 Au Or OM: S101 MA AMA ACCT 11441411 Init At 41413 "a PMA VALID:
MO: $00114011 rnescua AC LAC IOC: SIG MAD COO.: an, 000TOM MAC= LLC lY OM: MCI MAO oar.: 04/25/14
CMG ACM. AM: 010 A011" WO:
r 4441-11•4112 an MCA CAA: 20111114404141 TAX101..: 440-14-1142 TAXIM: CMG ACM ATM:
MA II RN, ILC 09 1416 IS; Al NA LLC CATINICO:
Ma Mt CO TOOL TAMS: MAT ACCT TIM: CO TOMS TAMA: 14.014.115.11
TAM AM OA CTL ID: «414524' CATO CORM: alp AO: PIO al ID: 241542044 CATO COMA:
13:MITIO DMA VaL0.11 OATIO 1.122 KILIAN
ZOCIt Olte IOOCY. Yft COO MIA TO AN12114104 OSAMM. IK Oldl . 0111 MOO: Mn ON MINT: a 13011441 Call/0, MC.
Mar COMM 0121/Alai TM 1013 COMM: COMACT: TAX 101:
a A n M t: A CVO MCT MA CO TAX 202: M N T A h M : : CTRII ACCT TIM CO TAX 1021
411 O 1 A 4 T 1 , ; : C 5 A 2 M 0 A • M 41 T 1 : i 0 0 4 4 / / 1 1 2 1 / / 1 1 1 1 0 O 1: n 1 o 0 , OTO T ICJ M LA N/2 P 2 D /1 X 4 / APR: U M SZ IA LI • MA a T A O : ! C S C I M M AC O A H S: 0 0 4 4 / / 2 2 1 1 / / 1 1 4 4 17 O : D 1 I 0 C : OTCA M I AM 04/2 AC 1 I / R 1 A 4 M AY. Mat:
0 0 0 r A s 4 4 4 - - T 1 / / 2 t 2 / O o 2 4 2 1 C p /1 / / A o 1 1 1 4 1 1 C A m T A V O O l i a O c a s 1 A T 4 I n T 5 m T 1 M I 4 M O - - 1 t M O o M M N u O I . S 0 T I 4 T T 4 A 1 M 2 = A - M 1 : T R R A O M N : i 1 C , : i 0 l 1 0 2 = 4 O 1 0 a 1 M 1 0 t 1 A . T C I O M n 4 N 1 e I P N X - O A n 1 T s R I C A O T 4 T T A 1 2 A 4 4 0 - - 0 1 T 1 T 0 O R 0 710 N 0 4 11 4 4 / - 2 2 / 1 1 4 C 1 4 1 4 0 / 1 / / 1 1 1 0 4 4 4 O O 1 e A 1 r M T : a - - O 1 T A O W M T T T R R IT I I O M T T I A T M 1 IM T T 1 - I • I O I I M 1 0 C I C 4 S 1 O 3 I 1 I T T . . M T IM M M M A T ID O - : M A B C M O C O M M O 1 i ll O 1 -A A 1 T C 4 M C A 1 A 1 S A 4 : C 1 I 1 A m r t T l k - IM r s a A '. t T IM 1 1 1 5 1 / . 2 0 4 4 5 - 4 0 -4 4 T 1 4 • 7 441
CQNFIDNTIN__ SDNY_GM_00006050
CA 1151 - Transaction . ummary Page
EFTA_00120109
EFTA01265983

ACCT: 14332170 - [SOUTHERN COUNTRY INTERNATIONAL1
Account Type/Registration/Roles: Account Opened on 05/13/2019
ACCOUnt °egad%
Ca% liessInialti.•801AISI 13;
4.10)ROD <tr. Q-k-5 SR 8 3
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Coo WWI. Ol.rete Pe 46012 128 645081
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Transaction Details:
Credits: Debits:
Transaction Type # Trans Amount Transaction Type # Trans Amount
SELL OF INVESTMENTS: 37 +23,731,527.61 JOURNAL FUNDS TO: 3 -17,505,911.64
41224708 (SOUTHERN TRUST COMPANY)
Date Quantity Description
Date Amount
06/18/19 15.000 (UM
06/25/19 56,149,343.64
05/18/19 1030.000 'CITIGROUP INC. VAR 99
DUE 12/31/99' 06/25/19 92,000,000.00
05/19/19 2.000.000 JBS INVESTMENTS 7.25% 06/24/19 97,356,568.00
24F OUE 04/03/24
05/21/19 79.000 'CITIGROUP IN 6.875%
05/21/19 2.000.000 *ASSURANT, INC. OUE
03/27/48'
06/21/19 5.760.000 JPMORGAN CHASE 8 VAR
07/10/19 25.000 CVNA
07/10/19 3.000 GOOG
07/10/19 2.000 GS
07/10/19 25.000 KARYOPHARM THERAPTIC
07/10/19 10.000 EKON MOBILE
CHECK DEPOSIT FROM: +250,000.00
SOUTHERN COUNTRY INTERNATIONAL LTD
JOURNAL OF SHARES RECEIVED FROM:
41224708 (SOUTHERN TRUST COMPANY)
Date Quantity Symbol
06/27/19 10.000 XOM
06/27/19 10.000 ILMN
06/27/19 1,000 GS
11487413 (SOUTHERN FINANCIAL LW)
Date Quantity Symbol
06127/79 3.000 GOOG
06/27/79 263.157 APO
OP\ITIAL SDNY_GM_00006051
LiONuiEul
EFTA_001201 10
EFTA01265984

06/27/19 7,000 GS
06/27/79 25.000 CVNA
06/27/79 7,000 AWN
06/27/79 25.000 KIM
CD INTEREST PAYMENT 1 +35,681.25
INTEREST PAYMENTS 2 +620.39
Incoming TOA:
DATE /Sham Dnaiption Status
05/20/19 79.000 CITIGROUP IN 6.875%9CD IC4K) SOLD
05/20/19 1.903.000 LLOYDS BANKING G 7.5%99F DUE 12/31/99 HEW IN ACCT
05/20/19 2.003.000 JBS INVESTMENTS 7.25%249 DUE 04/03/24 SOLD
05/20/19 3.003.000 CITIGROUP INC. VAR 99 DUE 12/31/99 SOLD
05/20/19 2.003.000 ASSURANT. INC. VAR 48 DUE 03/27/48 SOLD
05/20/19 5.760.000 JPMORGAN CHASE 8. VAR SOLO
05/20/19 15.000 UNITED TECHNOLOGIES(UTX) SOLD
05/20/19 80.000 GMAC CAPITAL T 8.125%PfD DUE 02/15/40 HEW IN ACCT
SUBJ TO XTRO REDEMPTION IALLY4A)
Transaction Spreadsheet Attached /Screenshot (Limited or No Transactions): 05/13/19 - 07/10/19
a
CA111517 -
Transacti...
Investments:
Positions AcCOont /413-2170
hales 08•91909 90,90I titan erases erwnaaar
T 9e Quantity $44/44 Mote Ulm
1.0:0 M4DI 4462(.O,4111C 241741 2,017,410.00
2.1.117 NO SALO GLCOAL 1.04T IP 11.16 9.436.910.02
0164 0/0911A 03 6745 0
CLASS A
I 0 CO.I C004 OM OMP 7751 0
I MOM ALLTPRA CPAC GAPTrAL T9.125140193 MU 2.101,0:0.00
0110211$14,
SUL TO rntoriSOCTIO.
0 6$ GOLDMAN SACHS GIMP 21.97 0
1 10.0:0 ELM WAN(MC 312.70 3,727,030.00
0 On KARTOPS,01T HERAPTK 7.79 0
1.903.000 LLOYDS WONG G 7.3%991. 105.79 2,012,172.30
OIt 1)/1IA9
1O1:38 AM 1/11/2019
See the followingwire(s) and/or check image(s) subpage(s) if applicable to account transactions as noted above.
QgNTIAL
LONE' SDNY_GM_00006052
EFTA_0012011 I
EFTA01265985

Incoming Transfer of Account (TOA)
Incoming AccountTransfer:
Incoming TOA:
Date Quantity Description
05/20/19 79,000 CITIGROUP IN 6.875% PFD (C+K)
05/20/19 1,903,000 LLOYDS BANKING G 7.5%99F DUE 12/31/99
05/20/19 2,00&000 JIBS INVESTMENTS 7.25%24F DUE 04/03/24
05/20/19 3,00&000 CITIGROUP INC. VAR 99 DUE 12/31/99
05/20/19 2,000,000 ASSURANT, INC. VAR 48 DUE 03/27/48
05/20/19 5,76&000 JPMORGAN CHASE & VAR
05/20/19 15,000 UNITED TECHNOLOGIES (UTX)
05/20/19 8&000 GMAC CAPITAL T 8.125%PFD DUE 02/15/40
SUBJ TO XTRO REDEMPTION (ALLY4A)
• Appears the incoming TOA was from TD Ameritrade account, however, unable to locate documents.
Client Overview Cust RH BenefltS Bal Stu Trades/yr 0 Refiesh
IdentlIkatbe Infoneatke Ms ID &Aetna Aeconab
watit s
Voice AutheritkatIOn Nan tett Walk-In Meeting Add renew,
Rich came in to open the new colpetate account.
Nave Otliarrida Took the application in.
ItIOURIDKA/IN neteritrai As I undreamt there is one equity and multiple bend positions.
Da act al Sues >a •.c.i Cal nes are coming from W.
"re fro Miami ka latest He would also like to give authoreation to Paul Barret who is the trader and
o sale ida genrator for Mr. Fppaein. He would like to get street srnsrt edge
Date of Bleb ACthitylltie software. Would like to get 5 years of free trades as sera for this account. Repro
12/06/1972 (46 veers old)
Pei weeds about...
Mother's Heiden Name
9:51:30 AM 1012019
CQNFIDNTIpd_ SDNY_GM_00006053
CA 1151 - Transacuon ummary Page
EFTA_00 I 20 I 12
EFTA01265986

Incoming Check Deposits
Incoming Check Deposits:
MS/WA IMMTORCO 1022
SOUTHERN COUNTRY INTERNATIONAL, LTD. ST MOI/At. VI
6100 IMO HOOK WATERS. SUITE 64
99•2019 •
. . ' '
I PAY TO TIE Charles sdasb & Co Inc. $ -250,000.00
i onceux
j Two Hu ndroi FiftyThousand and 0011 {6
CO.LARS
Charles Sch,iab S CD; Inc.' • Seierronwiwunnismal
• •
-1
r00 10 2 2e it
Date Remitter Remitter: Drawee Bank Check Number Deposit Amt
05/13/19 CHECK DEPOSIT SOUTHERN COUNTRY INTERNATIONAL LTD FirstBank Puerto Rico #1022 250.000.00
Account
QPNEILIFIlaTJAL
SDNY_GM_00006054
EFTA_00120113
EFTA01265987

ACCT: 41224708 - [SOUTHERN TRUST COMPANY/
Account Type/Registration/Roles: Account Opened on 04/11/2019
An%Snit Ueda, attOitt 4121-47,311
f Cd. rr
=WAS ,..C7 CO.*, 'C
'IMAM PIXIK pure., Bl
ri1s:at 4
Aocra414114•••(4)
tf• T. 9 Cu. D
In apt. ItICMOD
ritOIAROCArn
ARC, 0.7391 f091016.1
POA•••40tbnilllibiele
Vow T.13 D.eerdeu ErclAqtA.
•o. 0- 03
rem •••• D
FA,PI
/9.C, M ....1
Transaction Details:
Credits: Debits:
Transaction Type # Trans Amount Transaction Type N Trans Amount
JOURNALED FUNDS/SHARES FROM: 5 18,047,455.00 FX WIRED FUNDS DISBURSED TO: 1 -12,708,324.00
# 11481413 (SOUTHERN FINANCIAL LLC] MARC LEON in MOROCCO (returned)
MARC LEON (2nd attempted )
Date Amount
JOURNAL OF SHARES TO:
06/24/19 $540,589.91
14332170 (SOUTHERN COUNTRY INT]
07/02/19 $953.45
Date Quantity Symbol
#14332170 (SOUTHERN COUNTRY INT.]
06/27/19 10,000 XOM
Date Amount
06/27/19 10,000 ILMN
06/25/19 $8,149,343.64
06/27/19 1,030 GS
06/25/19 $2,000,000.00
06/24/19 $7.356568.00 BUY 1 -198,460.00
05/21/19 (1,000 shares of GS)
FX RETURNED WIRE - MARC LEON 2 12,070,506.60
REINVEST DIVIDENDS 3 -4,841.18
WIRED FUNDS RECEIVED FROM: 1 2,000,000.00 WIRE FEE 1 -25.00
SOUTHERN TRUST COMPANY INC
SELL 1 1,059,144.44
06/21/19 1,000,000 BANK OF AMERICA
FUNDS RECEIVED FROM: 1 250,000.00
SOUTHERN TRUST COMPANY INC
QUALIFIED DIVIDEND 2 9,550.00
CASH DIVIDEND 3 4,841.18
SCHWAB INTEREST PAYMENT 3 1,792.30
incoming TOA:
Date Quantity Symbol Description STATUS
04/30/19 10,000 XOM EXXON MOBIL CORP SOLD
04/30/19 10,000 ILMN ILLUMINA INC ACCT-2170
04/30/19 1,000,000 BANK OF AMERICA C VAR SOLD
N.F ID ENTIAL SDNY_GM_00006055
cAIP5,7_.ransaction
Summary age I
EFTA 00120114
EFTA01265988

99 DUE 12/31/99
Transaction Spreadsheet Attached /Screenshot (Limited or No Transactions): 04/11/19 - 07/10/19
a
CA111517 -
Transactio...
Investments:
No investments as of 07/10/2019
Positions Account 4122-4708
Positions Displayby Symbol WKS= grststrall Positions are:epos
Type QtJanbly Symbol Name Quote I Market Value
7:08:39 AM 7/11/2019
See the following wire(s) and/or check image(s) subpage(s) if applicable to accounttransactions as noted above.
SDNY_GM_00006056
cNEIDENTIAL
Al;;?5,7_
iransaction Summary age I_
EFFA_00120115
EFTA01265989

Incoming Wires
Incoming Wires:
ACCOUNT ID ACTIVITY DT IRAN AM WIRE TAG CD WIRE TX
41224708 04/17/2019 2,000,000.00 :20: F01910707AB501
41224708 04/17/2019 2,000,000.00 :32k 190417USD2000000,
41224708 04/17/2019 2,000,000.00 :50K: /0044129244 44129244 -
SOUTHERN TRUST COMPANY, C/O HBRK ASSOCIATES, INC
575 LEXINGTON AVENUE,4TH FLOOR NEW YORK, NY 10022
41224708 04/17/2019 2,000,000.00 :52A: BKTRUS33PWM
41224708 04/17/2019 2,000,000.00 :53D: /C/40553953 CHARLES SCHWAB + CO INC ATT CASH ACCOUNTING
120 8 101 MONTGOMERY ST SAN FRANCISCO CA 94104
41224708 04/17/2019 2,000,000.00 :59: /40553953 CHARLES SCHWAB AND CO INC
399 PARK AVE NEW YORK NY 10022
41224708 04/17/2019 2,000,000.00 :70: FOR FURTHER CREDIT TO
ACCOUNT NAMES SOUTHERN TRUST COMPANY INC
ACCOUNTNUMBER 41224708
IMAD 20190417B1Q8383C 015657
41224708 04/17/2019 2,000,000.00 :72: /INS/BKTRUS33XXX
CQNFIDENTIAL SDNY_GM_00006057
CA 1517 - ransaction Summary Page 13
EFTA_001201 16
EFTA01265990

Outgoing Wires
Outgoing Wires:
Wire requested to be returned:
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05,76/M9 OOP 19 W.Q AQ • PfASO. AINCO1213) EVA EXEOFE cro
Palim wool Wats
7:21:53 AM 7/11/2019
Secondary wire request, but was requested to be canceled.
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7:11219 AM 7/11/2019
CONFIDENTIAL SONY_GM_00006058
CAI 11517 -"transaction Sunuittry Page 14
EFTA_00120117
EFTA01265991

Incoming Transfer of Account (TOA)
Incoming Account Transfer:
Incoming TOA from MERRYL LYNCH Account #603118
Date Quantity Symbol Description
04/30/19 10,000 XOM EXXON MOBIL CORP
04/30/19 10,000 ILMN ILLUMINA INC
04/30/19 1,000,000 BANK OF AMERICA C VAR 99 DUE 12/31/99
• • JIM NOM Mt MUMS MA 0101LAI: :. Met 10.C12 A.A:LAba 11:30
kit; U:
« 01/04/10 1111aarn Or ACCOOM - TLLYMIC AMOR OMIT n _ « 01/04/10 TrAxarn Or ACCOUNT: - LLLYMIC ACCOUNT OMIT
xat: ITO& 1:M. TST: On Aar CT:. MOM Mr1 OP.: SOL Tar: tin WAX CT 10M-ACAT
nal: 41224700 lat: UT Trn: S101. 1TOJD VALID: maX: 41224701 n: O nn: S10: 1TOJD VALID:
900100 MITI COMIC IOC 5104 010,0 COO.: Joanna lint MOM IF OM: *104 010,0 COO.: 01/02/19
001G Aar nTL: 001G Aar IRE:
ACAT COLO: 404.77-9941 TAX102: ACAT
Al REG: C P OrrinCO: OnCO: Iltir : CORP Cirn9CD: aCMCD:
77 ACC, TM: CO TOTAL TWOS: ACC1 Trn: CO TOTAL Taani: 0.00
JOS: 101: OM CM ID: 1249)42W <TM COOTIO: ?A-1/35141 M CIL ID: 574/01144 <MD CONTRA:
00111111 Oita 101101011 ... • • • • • • 0011TIM um toting
0471 1110.30: CM JAM: NIMIRILL !MX Mal MA NNW: Milt Or ANTIC. MINI LL LOICH
COMO. OTITACT: TAX 102: COMM moon: TAX 1DI:
CTPA ACCT 1TPC: CO TAX 102: CTPA ACCT Tin: CO TAX 102:
1: Oat OVEN: 04/22/19 ORIG: 01011 OILY: ACCEL: COO 0110: 04/23/19 TOR OILY
ACAT: NU MO: MO APPAL: X:1111: 44 AM: 11111 PM. APPAL:
19 TOn r0 CASK TA-1311141 rOR POCCIMING lT GM nnJiLLIONT fin • COPT
• 19 ton MOW OW1101:0 111004: KILO to: GILM :0 10r1 1111.1011101:111 nn • CM
-1 19 CM CLIOIT 00104.11/10 Ta VIA ASIA. ta. CLAM WV IMAM= :9 AN rOtriLUeln TriPt • COPT
r3-000 11-11:01: : N10 Ka-ACIa: 11)-1111. n4-T: • •• THICO 11-1100 : ADO wa-ocn: rn-M. m-ns
rn TI:•1.110 111-1011 n•-r0 r:4•FT• nI.101E AM: 1111•0111 n4•101.
49AM 7/9.7019
NTIAL SDNY_GM_00006059
C S? bi ll- FAQ
EFTA_00112011 IS
EFTA01265992

Incoming Check Deposits
Incoming Check Deposits:
1997
SOUTHERN TRUST COMPANY. INC. n •0 i 1 t . o 72 n 16 v /2 i r c 4 o ke k
EGO RED HOOK QUARTERS B)
ST THOMAS. C0001 418)2019-
.•
PM' trIC Charles SC/Hap & Co, Inc ii $ "260.99090o
I C:4 T1O4 0F
Two Hundred Fit Thousand and
Daum
I l EitzraccaAas amx7.4mai Ia
CnarkoSerevab S Co . Icc
Jo.
•
•
4'1:M99V C221142B51C 721 1m098521;•
Date Remitter Remitter: Drawee Bank Check Number Deposit Amt
04/12/19 CHECK DEPOSIT SOUTHERN TRUST COMPANY INC FirstBenk #1997 250.000.00
Account e
QAQ5KEIETNITIJAL
SDNY_GM_00006060
EFTA_00120119
EFTA01265993